change van de van

7/29/2019 Change Van de Van

1/43

5/25/2011

Researching Innovation and

Change Processes

AIM Capacity-BuildingWorkshop

Cardiff University

May 25, 2011

Andrew H. Van de Ven, PhDAIM Visiting International FellowCarlson School of ManagementUniversity of Minnesota, USA


2/43

AwardingInnovation

The 2010 Innovation Award went to acollaboration between the School of

Biosciences and Q Chip - a University spin-out company which specialises in innovativedrug delivery methods.

Dr Kelly BruB, School of Biosciences (left)

pictured with PhD student Ms Claire Gibson

Stimulating InnovationCreating New BusinessCarol Vorderman explains why she's backing the University's drive for business start-up
http://www.cardiff.ac.uk/news/articles/healthy-innovation-awarded-4310.htmlhttp://www.cardiff.ac.uk/news/index.htmlhttp://www.cardiff.ac.uk/news/index.htmlhttp://www.cardiff.ac.uk/news/articles/healthy-innovation-awarded-4310.html


3/43

5/25/2011

Questions

How are innovations like this invented,developed and implemented?

1. What triggers the process

2. What guides its development?3. How does it end?

Is there a pattern to the innovation journey?

How increase the odds of maneuvering this

innovation journey?


4/43

5/25/2011

Minnesota Innovation Research Program

Focused on the Process of Innovation

Source: Van de Ven et al, The Innovation J ourney, NY: Oxford Univ. Press, 2008, Download Chapter 1
https://netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C1.pdfhttps://netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C1.pdf


5/43

Common Characteristicsof the Innovation J ourney

Initiation Period

1. Gestating chance events

2. Shocks trigger innovation efforts

3. Innovation team formed & funded based on planDevelopmental Period

4. Activities proliferate

5. Setbacks and mistakes occur

6. Innovation goals and criteria change7. Innovation personnel part time and turnover

8. Leadership involved and shift roles

9. Lock-in to developmental paths & relationships

10. Building innovation infrastructure

Implementation/Termination Period

11. Linking new with old and reinvention

12. Innovations stop when implemented or money runs outSource: Van de Ven et al, The Innovation J ourney, NY: Oxford Univ. Press, 2008, Download Chapter 2.
https://netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C2.pdfhttps:/netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C2.pdfhttps://netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C2.pdfhttps:/netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C2.pdf


6/435/25/2011

Initiating the Innovation J ourney

Research Finding: Innovations are not initiated onthe spur of the moment, by a single dramatic incident,or by a single entrepreneur. An extended gestationperiod often lasting several years, of seeminglyrandom events occur before innovations are initiated.

Many events are not intended to start an innovation.Some trigger recognition of need for change; othersawareness of technical possibilities. Some of these

events shock entrepreneurs to mobilize efforts tomobilize plans and resources for developing aninnovation.

Question:What can organizations do to increase thechance of innovation?


7/435/25/2011

Creating a Culture of Innovation at 3M

1. Vision. Declare the importance of innovation; make it part of thecompanys self-image.

2. Foresight. Find out where technologies & markets are going.Identify articulated & unarticulated needs of customers.

3. Stretch goalsto make quantum improvements. (e.g., 30% of

sales from products introduced in past 4 years).4. Empowerment. Hire good people and trust them; delegate

responsibilities, provide slack resources, & get out of the way.

5. Communications. Open, extensive exchanges according to

ground rules in forums for sharing ideas, and where networkingis each persons responsibility.

6. Rewards and recognition. Innovation is an intensely humanactivity. Emphasize recognition more than monetary rewards.

Source: William Coyne, Building a Tradition of Innovation, UK Innovation Lecture, 1996

Stated on Innovation for Dummies, Will Mitchell (Duke Univ.) offers the same advice..
http://www.youtube.com/watch?feature=player_detailpage&v=-5frtUwLKoMhttp://www.youtube.com/watch?feature=player_detailpage&v=-5frtUwLKoM


8/435/25/2011

Innovation Development Period

Research Finding:Shortly after work begins:

Activities proliferate Setbacks and mistakes occur

Innovation goals and criteria change

Personnel are part time and turnover Firms get locked into spiders web of relationships

Infrastructure bottlenecks emerge

Leaders actively involved & play opposing roles

Question: What guides the innovation journey?

Processes of Learning, Leadership & Relationships


9/43

Learning the Innovation J ourney

Actions = net monthly #events in which innovation unit continued with minus change its course ofOutcomes = net monthly events of positive minus negative otcomes from eventsPlots are three-month moving averages


10/43

Model of Learning by Discovery &Testing

DivergentActivities

Learningby

Discovery

GoalsActionsContext

Learningby

Testing

ConvergentActivities

Characteristics:ChaoticBroad goalsTacit to Explicit

Explore Alternatives

Characteristics:Trial and errorPredictable outcomesOrderly learningStable: memorize

Goal


11/43

Institutional Leadersets structure,

settles disputes

Criticchallengesinvestments,goals,progress

Sponsor

procures, advocates,champions

Mentorcoaches, counsels,advises

EntrepreneurManages innovation

unit/venture

Leadership Roles in Innovation Development
http://www.youtube.com/watch?feature=player_detailpage&v=2GSH87L-nyIhttp://www.youtube.com/watch?feature=player_detailpage&v=2GSH87L-nyI


12/43

Number ofEvents

Involved

Few

Many

Formation of

Innovation Unit

Developmental

Period

Implementation

of Innovation

Entrepreneur

Mentor/Sponsor

InstitutionalLeader

Critic

Proposition on Balance & Timingof Innovation Leadership Roles

Organizational learning & adaptability increase when leader roles areexercised as follows during the innovation development journey
http://www.youtube.com/watch?v=r4TkRYP_1m4&feature=player_detailpage


13/43

Industry Infrastructure for Innovation
http://www.youtube.com/watch?v=r4TkRYP_1m4&feature=player_detailpagehttp://www.youtube.com/watch?v=r4TkRYP_1m4&feature=player_detailpage


14/435/25/2011

Participants are Distributed, Partisan, Embedded

Distributed: Different actors play key roles

No single actor controls any developmental path

Partisan: Actors participate from own frames

Interests of producers, regulators, investors, etc.are not the same

Solutions through partisan mutual adjustment andsocial movements

Embedded: Actors become dependent on paths theycreate.

Many opportunities for learning & escalation


15/43

Those who run in

packs will be moresuccessful than those

who go it aloneInnovation is a collectiveachievement.

No single actor can do italone.

Knowledge distributed

in different people &places

Innovation costs exceed

proprietary benefits. The Peloton


16/43

The crash

Stuff happens!

Falling out of line

Being ostracized


17/43

The breakawayWhen run in a pack?

When go it alone?

First-mover

advantages/disadvantages

The technical design ofthe first-mover seldom

becomes the dominantdesign that yields the

greatest profits.


18/435/25/2011

So, How does Innovation J ourney Unfold?

Finding:The innovation journey is not sequential

and orderly, nor random; instead, it is a nonlineardynamic cycle of divergent & convergent activitiesthat repeat over time and across levels if enabling &

constraining conditions are present.Implications:

Go with the flow -- You cannot control it,but you can learn to maneuver the journey.

Enabling & constraining factors set innovation scope.

Develop ambidextrous management skills.

Multi-dimensional leadership - balance opposites
http://www.youtube.com/watch?v=1fH0O6IRxRQ&feature=relatedhttp://www.youtube.com/watch?v=1fH0O6IRxRQ&feature=related


19/43

Cycling the Innovation J ourney

Divergent Behavior

A branching & expanding processof exploring new directions

Creating ideas & strategies

Learning by discovery

Pluralistic leadership

Building relationships andporous networks

Creating Infrastructurefor collective advantage - Running in packs

Convergent Behavior

An integrating & narrowing processof exploiting a given direction

Implementing ideas & strategies

Learning by testing

Unitary leadership

Executing relationships inestablished networks

Operating within infrastructurefor competitive advantage

Enabling Factors Resource Investments

Unit Restructuring

Constraining Factors External rules and mandates

Internal focus and self-organizing

Source: Van de Ven et al., The Innovation Journey. New York: Oxford Univ. Press. 2008, p. 185.


20/43

Your thoughts,please

Thank You!http://umn.edu/~avandeve The Victor


21/435/25/2011

Afternoon Workshop:

Designing Process Research

1. Clarify meanings of process Definitions of change process

2. Clarify theory of process

life cycle, teleology, dialectic, & evolution process theories

3. Adopt new vocabulary to analyze processes simple, multiple, cumulative, conjunctive & iterative progressions

4. Design research to observe processes of change

5. Discuss change/innovation research proposals


22/43

Engaged Scholarship: A Guide for

Organizational and Social Researchby Andrew H. Van de Ven, (Oxford Univ. Press, 2007)Book Chapters

1. Engaged Scholarship in a ProfessionalSchool*

2. Philosophy of Science

3. Problem Formulation

4. Theory Building5. Process and Variance Models

6. Designing Variance Studies

7. Designing Process Studies

8. Communicating & Using ResearchKnowledge

9. Practicing Engaged Scholarship*

* Examination copy of chapter can be downloaded here
https://netfiles.umn.edu/users/avandeve/www/recent_books.htmlhttps://netfiles.umn.edu/users/avandeve/www/recent_books.html


23/435/25/2011

Process Research Definitions

> Meaning of process:> A logic that explains a causal relationship

> A category of concepts or variables

> A narrative of how things change over time

> Change: an observed difference in form, quality or

state over time in an entity.> Development: the progression of change events over

the duration of an entitys existence

> Process Theory: An explanation of an observedprogression of change events in terms of generatingmechanisms that cause events to happen in the

world and the circumstances when they operate(Tsoukas, 1989).


24/43

5/25/2011

Definitions Derived From Change

Change an observed difference over time in an entity

Invention when the change represents a new idea Innovation The invention and implementation of a new idea.

In each definition, the change (observed difference) may vary in:

1. Time (duration, pace, momentum of key events)2. Newness (to an observer and the people involved)

3. Recombination of old changes (ideas, routines) in new ways.

4. Magnitude (from small/incremental to large/radical)

5. Complimentarity (relatedness to interdependent changes)

6. Unit of analysis (a project, series or platform of projects)

7. Level of analysis (individual, organization, industry, etc.)

8. Assessments (good, bad, advocate, resist)
http://www.youtube.com/watch?feature=player_detailpage&v=Q5QL9IHPKeQhttp://www.youtube.com/watch?v=03rluf8pWdE&feature=player_detailpagehttp://www.youtube.com/watch?v=8w10VWp95q0&feature=player_detailpagehttp://www.youtube.com/watch?v=8w10VWp95q0&feature=player_detailpagehttp://www.youtube.com/watch?v=03rluf8pWdE&feature=player_detailpagehttp://www.youtube.com/watch?feature=player_detailpage&v=Q5QL9IHPKeQ


25/43

Aspects ofComplex &ProgrammaticChange

Source: Mike WallaceCoping with complex andprogrammatic public service

change, 2006.


26/43

EVOLUTION DIALECTIC

Multiple

Entities

Unit ofChange

SingleEntity

LIFE CYCLE

Pluralism (Diversity)ConfrontationConflict

TELEOLOGY

Variation Selection Retention

Thesis

AntithesisConflict Synthesis

4 (Terminate)

Stage 2(Grow)

Dissatisfaction

ImplementGoals

Search/Interact

Set/EnvisionGoals

Mode of ChangePrescribed Constructive

Population ScarcityEnvironmental SelectionCompetition

Immanent ProgramRegulationCompliant adaptation

Purposeful enactmentSocial constructionConsensus

Process Theories of Organizational Development and ChangeNote: Arrows on lines represent likely sequences among events, not causation between events.Source: A.H. Van de Ven and M.S. Poole, Explaining Development and Change in Organizations,Academy of ManagemenReview, 20, 3, p. 520

Stage 1(Startup)

Stage 3(Harvest)


27/43

5/25/2011

Models of Organizational Change

TeleologyPlanned Change

Life CycleRegulated Change

DialecticConflictual Change

EvolutionCompetitive Chang

Process Dissatisfaction,

search, goal setting,& implementation

prescribed sequence

of steps or stages ofdevelopment

Confrontation, conflict

& synthesis betweenopposing interests

Variation, selection &

retention amongcompeting units

Triggeri Goal, opportunity orthreat

Prefigured programregulated by nature,logic or rules

Conflict betweenopposing forces

Competition for scarceresources

Key metaphor Purposefulcooperation

Organic growth Opposition, conflict Competitive survival

Process failures Decision Biases,Lack of consensus

Group think

Resistance to changenoncompliance

Monitoring & control

Destructive conflictIrresolvable

differences

Requisite varietyLack of scarcity

Process remedies Critical thinkingRational decisionsConsensus building

Obtaining buy inInternalizingmandates

Negotiation skillsPartisan mutualadjustment

Strategies forcompetitive advantage

Example Program PlanningModel Greiners model oforganizational growth Political action modelsof change & protest Miners managerialmodel of evolution


28/43

5/25/2011

Approaches to Managing Change

When Breakdowns Occur

Do you fix the organization to fit yourmodel? Or

Do you change your model to fit theorganization?


29/43

5/25/2011


30/43

Issues Your Process Research StudyProcess Study Design

1. State your processresearch question

2. Whose viewpoint isfeatured?

3. How define process- as variable or event?

4. What process theoriesdo you examine?

5. Real-time or historicalobservations?

6. What units examinedwithin & over time?

7. Sample diversity inwhat dimensions?

8. Sample size:#of events and cases?

Measurement & Analysis1. Define your

process concepts.

2. Define indicators ofprocess concepts

3. What is an incidentor event (a datum)?

4. How tabulate andanalyze process data?

5. How develop a processTheory or narrative?

Process Research Worksheet


31/43

5/25/2011

Steps & Suggestions for Designing Process Research

Key Step Key Decision(s) Suggestions1. Meaning of process Category of concepts or

A developmental sequence?Process models are geared tostudying how questions

2. Theories of process Examine one or more models? Apply and compare plausiblealternative models

3. Frame of reference Whos viewpoint is featured? Observe change process from aSpecific participants viewpoint

4. Mode of inquiry Deductive, inductive or abductive? Iterate between modes of reasoning

5. Observational method Real-time or historical observations? Observe before outcomes are known6. Source of change Age, cohort or transient sources? Develop parallel, synchronic and

diachronic research design7. Sample diversity Homogeneous or heterogeneous? Compare the broadest range possible

8. Sample size Number of events and cases? Focus on number of temporalintervals and granularity of events

9. Process researchdesigns

What data analysis methods to use? Match data analysis methodsTo number of cases and events


32/43

5/25/2011

Discussions of Process Research Worksheets

Issues Your Process Research StudyProcess Study Design1. State your process

research question2. Whose viewpoint is

featured?3. How define process

- as variable or event?4. What process theories

do you examine?5. Real-time or historical

observations?

6. What units examinedwithin & over time?

7. Sample diversity inwhat dimensions?

8. Sample size:#of events and cases?

Measurement & Analysis

1. Define yourprocess concepts.2. Define indicators of

process concepts3. What is an incident

or event (a datum)?4. How tabulate and

analyze process data?

5. How develop a processTheory or narrative?


33/43

5/25/2011

Steps in Measuring & Analyzing Process Data

Key Step Key Decision(s) Suggestions1. Developing process

concepts

What concepts or issues will you

look at?

Begin with sensitizing concepts

and revise with field observations2. Defining incidents

& eventsWhat activities or incidents areindicators or what events?

Incidents are observations, eventsare unobserved constructs

3. Specifying an incident What is the qualitative datum? Develop decision rules to bracketor code observations

4. Measuring an incident What is a valid incident? Ask informants to verify incidents

5. Identifying events What strategies are available totabulate and organize field data?

Apply a mix of qualitative andquantitative data analysis methods

6. Developing process

theory or narrative

How move from surface observation

to a process theory?

Identify five characteristics of

narrative theory


34/43


35/43

Typology of Process Research Designs

Source: Poole, et al (2000) Organizational Change and Innovation Processes: Theory andMethods for research. New York: Oxford Univ. Press.


36/43

5/25/2011

2. Data Entry Forms

Data Entry FormsDate:__________ Event #: ______

Event: (description of actor, action, outcome in context)

____________________________________________________________________________________Observation: _______________________________

__________________________________________

Source: ____________________________________

Keywords: __________________________________

A Sample Event Data Entry Form


37/43

Days Event Observation Source Keywords01/01/77 House,

Academ-icians,transaction

outcome-positive

ASHA, May 1985House & Doyle in LosAngeles conduct the1st cochlear implantin the U.S. by im-planting a limited #of patients usingsingle electrode dev.

The event was pub-lished in W.F. Houseand K.Berliners,Cochelar Implants:Progress & Persp-ectives, Annals ofOtology & Rhinol.

1982, p. 1-124.

More Events

Existing Event Data File Added Columns

i pe tr c ac a op on

0 0 0 1 0 1 1 0


38/43

5/25/2011

Qualitative Methods for Analyzing Process Data

Click HERE for Ann Langley Presentation

> Narrative Strategy

> Template Matching

> Grounded Theorizing

> Visual Mapping> Temporal Bracketing

> Synthetic Strategy

> Quantitative Strategy

Ann LangleyHEC, Montreal

Source: Ann Langley, Strategies for theorizing fromProcess data, Academy of Management Review,vol. 24, 1999
http://www.processresearchmethods.org/tutorials.htmhttp://www.processresearchmethods.org/tutorials.htm


39/43

Power-Generality Tradeoffs of Methods

Power

(Accuracy)

Generality (Information Efficiency)Low

High

High

Chro

nologicallist

ofevents

Narratives,

Stories

Visualprocess

maps

Even

t

frequ

encies

Quan

titative

code

deventtime

serie

s


40/43

Source: Van de Ven, Polley, Garud & Venkataraman, The Innovation Journey, NY: Oxford, 1999.

Example of Visual Mapping Strategy in CIP Case


41/43

Source: R. Garud & A. Van de Ven, An Empirical Evaluation of the Internal Corporate Venturing Process,Strategic Management Journal, 13 (1992): 93-109.

Example of Temporal Bracketing Strategy in CIP Case


42/43

Source: Van de Ven, Polley, Garud & Venkataraman, The Innovation Journey, NY: Oxford, 1999.

Example ofFrequencyPlots

of CodedEvent

Sequences


43/43

Analyzing Quantitative Process Data

Click HERE to Listen to Kevin Dooley

> Analyzing Event

Sequence Data

> Structures of EventTime Series

> Models for examining

different structures of

time series Orderly data

Chaotic data

Random dataKevin Dooley

Arizona State University
http://www.processresearchmethods.org/tutorials.htmhttp://www.processresearchmethods.org/tutorials.htm