ISSN 2434-3013
Proceedings of the International Conference
on Creativity and Innovation 2018
September 10-12, 2018
Osaka, Japan
ICMI
Kindai University
Proceedings of the International Conference on Creativity and Innovation 2018
Editor: Fangqi Xu
ISSN 2434-3013
Ⓒ Japan Creativity Society and Kindai University
All rights reserved. This proceedings may not be translated or copied in whole or in part without
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Use in connection with any form of information storage and retrieval, electronic adaptation,
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PRINTED IN JAPAN in September 2018
ISSN 2434-3013
Proceedings of the International Conference
on Creativity and Innovation 2018
From the Perspective of Interdisciplinary Research and Practice
Edited by Fangqi Xu
September 2018
Japan Creativity Society
The Institute for Creative Management and Innovation, Kindai University
Preface
Every year, I go overseas to attend conferences on creativity and innovation. I often receive
the same question from my foreign colleagues and friends. “Why don’t you hold an
international conference in Japan?” Then, I answer, “Yes, we’ll do.” In fact, we have been
thinking about this conference for many years. But we understood that we lacked resources,
not only fund but also human resources and support infrastructure. Fortunately, our board of
directors of the Japan Creativity Society agreed with my suggestion and started financial
preparations five years ago. And from an other hand, we received financial support from Kindai
University, my employer. It was the second problem of human resources and support
infrastructure that when we were planning to hold the conference proved to be a more crucial
concern. Timing was also critical since the Japan Creativity Society was born in 1979. We
decided to hold our conference in this memorable year, as we welcome our 40th anniversary.
Therefore, it was not enough that we only did financial preparations. We needed academic
support from professional organizations. So, we contacted the associations on creativity
around the world and asked them to support us. Fortunately, ACA (American Creativity
Association), EACI (European Association for Creativity and Innovation), GAC (German
Association for Creativity), Crea-france (Association France for Development of Creativity),
Portuguese Association for Creativity and Innovation, Creativity Foundation of South Africa,
International Center for Studies in Creativity at Buffalo State, Creative Education Foundation
(CEF), International Entrepreneurship Forum, and Essex Business School (UK) agreed with
our suggestion and became the official partners for this conference. On this occasion, as the
representative of Japan Creativity Society and the Institute for Creative Management and
Innovation, I am grateful to all our partners and sponsors for their valuable assistance and
cooperation.
Today’s world is becoming the era of IoT and AI. These changes are going beyond our
imagination at an accelerating pace. Creativity and innovation are required more than ever in
such times. So, we hope and expect that ICCI 2018 will be a watershed conference in the
history of research on creativity and innovation in the world.
Osaka is a beautiful city. We hope you enjoy not only the conference, but also Japanese
culture while you are staying in Osaka. We will do our best to make this conference not only
meaningful but also enjoyable. We are looking forward to meeting you at ICCI 2018.
Dr. Prof. Fangqi Xu
Chairman of ICCI 2018
Chairman of Japan Creativity Society
Director of the Institute for Creative Management
and Innovation, Kindai University
i
Contents
Preface (Fangqi Xu)
Coping with New Consumer Behavior: Young Entrepreneurs Creativity in Bandung, West Java
(Elizabeth Tiur Manurung, Elvy Maria Manurung and Yohanes Slamet Purwadi) p.1
Extending the Concept of Knowledge Management into Innovation and New Business
Creation (Juha Saukkonen and Pia Kreus) p.11
Mapping creativity and design within the entrepreneurship ecosystem (Viviana Molina Osorio
and Widman Said Valbuena Buitrago)
p.27
Design protection in managing sustainable user-driven innovation in SMEs (Gunnar Prause,
Thomas Hoffmann and Laima Gerlitz) p.41
The relationship between students’ creative attitudes and consciousness of computer
programming
(Masanori Fukui, Masakatsu Kuroda, Jun Moriyama and Tsukasa Hirashima)
p.58
How to save time for change: A field study (Fernando Cardoso de Sousa, Ileana Pardal
Monteiro and Joao Pissarra) p.73
Dynamics of Product Design for Creating Market Value (Tatsuya Tokunaga and Shuzo
Fujimura) p.91
Innovation Networks and Public R&D in India (Santanu Roy and Jay Mitra)
p.105
Mindfulness, Creativity, and Novelty Production of Entrepreneurs (Dave Valliere and Zohreh
Hassannezhad) p.119
Sustaining the World as an Ecosystem: From the perspective of knowledge creation theory
(Ayano Hirose Nishihara) p.132
Creative composition project for non-music majors in a Japanese teacher education course:
A preliminary report (Taichi Akutsu, Takeo Higuchi and Shozo Saegusa) p.148
The Dominant Role of Enterprise in the User Innovation Process: A Case Study of Xiaomi (Xi
Yu and Fangqi Xu) p.164
Creativity: Guiding Conceptions (Jonathan S. Feinstein) (only PPT)
p.179
Enhanced Creativity and Concentration in the Mastery of Kanji by Foreign Students (William
Reed)
p.187
ii
The Paradigm Shift of Creativities: What is creativity means for designers and design
educators? (Hoi-yung LEUNG) p.202
The Effect of Collaborative Computer Programming Education at the Elementary School Level
on Promoting Pupils’ Creative Attitudes (Masakatsu Kuroda, Jun Moriyama and Masanori
Fukui)
p.219
Project generator as an instrument for the effective management of technological innovations
(Adam Mazurkiewicz and Beata Poteralska)
p.235
Methodology of supporting the development of technological innovations in an R&D organisation
(Beata Poteralska)
p.252
Entrepreneurship, Capability Accumulation, and Transformation of Taiwan’s Yacht Maker –
Ascending Horizon Group (Jhih-Sian Sun and Ho-Don Yan) p.268
Encouragement & Continuity Support System for Self-Innovative Training of the IdeaMarathon for University Students and Company Staff (Shozo Saegusa, Takeo Higuchi and
Kazunori Miyata)
p.286
‘Liberty vs Love’ and Ethics: Principal Contradiction of Human Culture and Solution Directions
(Toru Nakagawa) p.304
Nega-Posi Reversal: A method using a physical approach to invert negative emotions positively
(Harumi Edo and Takashi Maeno)
p.321
Research into the Improvement of Museum Visitor’s Emotional Response Levels to Artificial
Lighting Designs Based on Interdisciplinary Creativity
(Zhisheng Wang and Yukari Nagai)
p.330
High-level business cases creation method by interpolating constraints between present and
future (Yuriko Sawatani)
p.347
Creativity and Digital Literacy: Skills for the Future
(Sandra M. Dingli and Leonie Baldacchino)
p.361
Fashion Creative Practice Exploration: Multi-dimensional performance from painting to creative
design (Bo Du, Yukari Nagai and Manqian Wang)
p.377
Mechanism of realize organizational creativity based on individual people’s intrinsic motivation
(Kazuhiro Nakamura, Toshiyuki Yasui, Mizuki Tajima, Misa Asakura, Hiroyuki Fujiwara and
Takashi Maeno)
p.392
Phronesis in the applied research works in China- Two practical cases (Jifa GU)
iii
p.406
Extenics based Intelligent innovation and Creativity (Xingsen Li and Chunyan Yang) p.413
An Innovation Study on the Visualization and Evaluability of Thinking Process in the field of
K12 Education Application (Wen Xu and Fangqu Xu)
p.430
Designing new services through “Innovation-Creating Thinking”: Matching hidden needs and
new seeds (Kozi Mihara)
p.440
The effects of long-term orientation on entrepreneurial intention: A mediation model of
creativity (Jin Hong, Nana Yang and Bojun Hou)
p.455
Framework for Accelerated Responsible Product Innovation (Kim Hua TAN and Tetsuo
Yamada)
p.473
Open or Closed Innovation ? Resolution from a case study of closed innovation (Yukio
Takagaki)
p.481
Survive or Thrive? Nepalese Ethnic Business in Japan: Nepalese Entrepreneurs with
Knowledge and Creativity (Yoshiko Higuchi)
p.502
Hybrid methods of process and project management: Would they work for mass customization
in public sector? (Agota Giedrė Raišienė and Gedas Baranauskas)
p.516
In Between Ha-Ha and Aha!: Designers' Humor as a Way of Creativity in Group Innovation
Experience (Chunfang Zhou)
p.534
Failure of recognition or implementation in innovation? A study on the difficulty of
manufacturing high grade steel products (Sungwoo Byun)
p.547
Valuation of intellectual capital and intangible assets created based on innovative products
and intellectual property (Niiaz M. Abdikeev)
p.557
KENOTOMY, the Art of Original Thinking (Gheorghe Teodorescu)
p.569
Creativity and Innovation at the Ecosystem level: How Entrepreneurial Universities can
develop a Holistic Approach to Entrepreneurship Education and Learning (Jay Mitra and SuHyun Berg)
p.592
Relationship between Art Thinking and Social Effects (Minatsu Arigam, Kang Rihyei and Akio
Shimogoori)
p.623
iv
Coping with New Consumer Behavior:
Young Entrepreneurs Creativity in Bandung, West Java
Elizabeth Tiur Manurung, Elvy Maria Manurung and Yohanes Slamet Purwadi
Parahyangan Catholic University, Bandung, Indonesia
Email: eliz@unpar.ac.jp
Abstract
Business competition in culinary businesses is recently increasing, especially in Bandung.
Nowadays, consumers are getting smarter and voters. The unpredictable consumer needs and
behavior accentuate the business challenges and changing market needs. The presence of
new cafes or restaurants over the last three years in the city have been emerging. These cafes
and restaurants do not serve only food or drink but also provide the facility to play and study,
which are a new phenomenon. This study aims to uncover how this phenomenon happened
and how young entrepreneurs become more creative to survive in their businesses. This
research using etnography as qualitative method. Eight coffee shop and restaurants chosen as
research objects. A hundred and thirty-three respondents randomly selected from all research
objects, and have interviewed. The research result shows that young people and students today
are more passionate to do their tasks and spirit to study in several cafes or restaurants.
Keywords: young entrepreneurs, culinary business, consumer behavior, creativity.
1.Introduction
The presence of several cafes in various places in city centers or at universities, has begun a
period of changes the definition of hangout together. The idea is to change a place to learn only
to become a cool hangout and comfortable place to relax and learn. In place of free wifi access,
students call it as “perfect for enjoying the cafe society or just sitting and watching the world go
by” (Sheffield Students’ Union, 2012, dalam Hunter and Cox, 2013). The Sheffield Café is
located in the Information Common, an area that students and staff can only access. Similar
cafes in some universities in other countries have also sprung up over the past decade.
Many researchers study of consumer behavior that affect the culinary business sustainability.
Hunter and Cox (2013) research was one of several, not too many researches, that studies the
changes of consumer behavior of culinary business in relation with type of learning behavior.
This research has the same approach that is a deep observation of changes in consumer
behavior of culinary business during the last five year in city of Bandung, West Java.
Bandung, which is known as "Paris Van Java", is one of the cities in West Java which has
1
undergone a quite rapid development during the last five years. Bandung is no longer only
known as a city which has a lot of students studying (or “student city”), but will also be known
as a tourist or tourism city. Since the construction of Cipularang toll which connects Bandung
with Purakarta regency, Jakarta, and other areas around Bandung, in 2005, the flow of vehicles
and local tourists to Bandung increased.
Consumer behavior which is increasingly smart and unpredictable is followed by the emergence
of hotels, boutiques, distros, restaurants and cafes in Bandung which has increased in recent
years. The emergence of cafes and restaurants, not only enjoyed by local tourists, but also by
student who study in Bandung. Nowadays restaurant or cafe in Bandung, are not a just place
where people eat and drink, but also at the same time a place where many people, especially
students are able to hang-out, play, and even study. Society, especially young men in Bandung
are now experiencing changes in taste, way of thinking and how to shop due to the presence
of boutiques, distros, cafes and new restaurants. The rise of cafes and restaurants in Bandung
during 2010-2014 is shown in table 1.
Table 1. Cafe Business in Bandung
Year
Amount of New Cafes
Growth
(in %)
2010
191
11,2%
2011
196
11,5%
2012
235
13,8%
2013
432
25,3%
2014
653
38,3%
TOTAL 1707
100%
(Source: Bandungkota.bps.go.id, 2017)
The increasing number of cafes in bandung, followed by the increasing number of consumers
coming as shown in the data in table 2.
This phenomenon of developing Bandung does not only produce impact on the economic field
but also on the socio-cultural aspects of the user community. A lot of research in Bandung have
been done to find the impact of the rise of cafes, boutiques and distros that provide fashion and
2
culinary products to urban economic development, but not many has focused on the creativity
of young entrepreneurs and the social and cultural development of the user community.
This research is directed to answer two big questions as follows: (i) How culinary development
during the last five years has affected the creativity of young entrepreneurs in Bandung? (ii)
What changes have occurred to users / consumers in Bandung?
2.Literature Review
Other research on the presence of cafes, coffee shops, and other "hangout" places in Indonesia
has been done in Yogyakarta (Central Java) by Iwan Pribadi (2015), as a form of change of the
a community lifestyle. The results indicate that the presence of coffee shops in Yogyakarta is
no longer dominated by men or fathers only, but also by women. Today's coffeehouse has
provided a new "space" for diverse visitors – who come to enjoy the interaction, and also eat
and drink. Another similar research was conducted by Pramita, D.A., and Pinasti, V.I.S. (2016)
that focuses on the habit of "hanging out" of college students in coffee shops in Yogyakarta.
The aspects studied in the research, again, emphasize the lifestyle of students in Yogyakarta.
Research on the lifestyle of students in the city of Bandung has also been done by Gea, F.
(2013) on the objects of places such as pubs or cafes (known as "dugem" or”dunia gemerlap”
in Indonesian language) that open at night and usually just close in the morning in Bandung.
Some research on the change of mindsets and lifestyles of young people in Indonesia as
described above, has not focused and completely revealed what has happened and changed
with young people in Bandung for the last five years. What kind of creativity should appear and
be shown by the entrepreneur to make his business survive, as well as changes in socio-cultural
construction as what happens to the people of Bandung in general. The aforementioned
matters make this study different from other related studies.
Creativity is the basis of today's economy and industry. It becomes the absolute requirement of
a business to survive and compete in the area of business competition. Without creativity, an
entrepreneur can not create innovation. Creativity is ammunition for the emergence and
creation of innovation. Creativity is inherent and possessed by individuals who make them
"genius" (De Fillipi, R, et.al., 2007).
Creativity is considered essential for social and economic growth (Florida, R., and Goodnight,
J., 2005). At the individual, team, and organizational level, creativity is seen as a core
competitor and contributor to entrepreneurial performance, growth and competitiveness.
Creativity becomes a research area that has evolved over the years. Historically, creativity has
its roots in the field of psychology that is the conceptual and empirical foundation, which focuses
on factors that increase or hamper creativity in different areas.
3
Until now the definition of creativity has grown more and more. Creativity in management is
regarded as an outcome, an exploration of ideas, solutions, and processes, which are novel
and useful. The novelty and the use of both are seen as important conditions for something to
be seen as creative. Thus, even if an idea can be very novel, if it is not useful or worthy, can
not be viewed as creative. Therefore, to categorize an idea as creative, it must be seen whether
the idea meets three attributes of assessment, namely: (i) originality, (ii) problem solving, (iii)
assign values. If an idea has novelty and original content, it can solve a particular problem, and
provide value or benefit to the user community; then the idea can be considered to be creative
(Manurung, E.M., 2018)
3.Research Method
This study was conducted using a qualitative method called ethnography. Ethnographic method
begins with the science of anthropology which emphasizes the observation of the social
behavior of society in a particular area to gain understanding and interpretation of the empirical
phenomenon that occurs. The present use of ethnographic methods has grown broadly and is
used in other sciences including business and economics.
According to Haris and Johnson (2000) in Gunawan, I., "a portrait of people" is the simplest
ethnographic deficit. In a broader sense, ethnography means "written description of a particular
culture -the customs, belief, and behavior-based on information collected through fieldwork."
Therefore, ethnography is an inductive method of research that puts the researcher's sense of
reality (emphasizing subjectivity ), a process of deep thinking, and an interpretation of concepts
found by researchers. Not infrequently a researcher will also enter the field and mingle with the
object which is studied, be a participant observation.
In this study there are two groups that become the object to be observed, namely:
(i) a group of young entrepreneurs who run a fashion or culinary business in Bandung
(ii) Consumers of culinary business in Bandung.
Researcher will enter into the object studied and observe directly as a participant observer.
There are several ways to obtain data, ie (i) spreading 150 questionnaires to get key points
about what affects user / consumer behavior and decisions, (ii) focus group discussions (FGDs)
to confirm the results of data processing from the incoming questionnaires, and (iii) interviewing
business owners of young entrepreneurs in Bandung. Therefore, data analysis in this study is
an interpretative meaning obtained, mainly derived from observation and interview.
This research has begun with an internal discussion with a group of consumers who are
students at the same university. Based on the results of the discussion, there are several places
selected to observe:
a. "DE" restaurant in north Bandung area
b. "CN" restaurant in north Bandung area
4
c. "EB" café in central Bandung area
d. “UPN” café in west Bandung area
e. “GB” café in central Bandung area
f. “EDP” café in central Bandung area
g. "SB" coffee shop in central Bandung area
h. "NB" coffee shop in north Bandung area
4.Analysis and Discussion
From 150 questionnaires distributed, 133 respondents obtained and fill in it completely.
Questionnaires are prepared in the form of closed and open questions, with the following
systematics:
Introduction
Contains open questions regarding:
(i) name,
(ii) age,
(iii) sex,
(iv) employment status,
(v) income status
Content
Contains semi-closed questions regarding:
(i) What cafes or coffee shops which are frequently
visited?
(ii) How often (frequency) are them visited?
(iii) Why choose that location?
(iv) Why do not choose another place or at home?
(v) What comes to mind or perception of the existence
of the cafe and its visitors?
(vi) What is the required budget (expenditure) to go to
the place?
(vii) Are you interested in trying another place?
(viii) What is consumer opinion about culinary
development in Bandung?
Conclusion
Acknowledgments and request to the respondents to
be re-contacted if any information is unclear (there is
stated the phone number or ID Line of the respondents
which can be contacted).
The results of data processing obtained from 133 questionnaires that have been answered is
shown in the following pictures.
From all respondents, 66.2 % is female and 33.8% is male. Most of respondents which are 80%
are students, the age ranging from 13 until 22. The majority of the students (75%) get the source
of income from parents, while the remaining 25% get income from their jobs. They choose to
go to their favorite cafes because they need a place to study and eat. The chosen place
5
selection describe in Figure 1 as follows. The “UPN”, “SB” and “EB” become the most three
cafes want to visit by respondents. Furthermore, 62.4 % quite often visit these three cafes.
Figure 1. Chosen Café to Hangout
The reasons the respondent choose the place largely because of the comfortable factor. Most
respondents are more interested in doing tasks / jobs / learning elsewhere than in the libraries
because the atmosphere of libraries tend to be rigid. The respondents said that they do not
believe that eating in cafes / restaurants symbolize a particular image (51.1% of respondents).
A total of 81 respondents choose culinary aspects from the taste sensation. They said that they
want to eat delicious food when use their free time. 88 resondents (66.2%) choose to come to
the café to take advantage of the facilities provided. The picture shown in Figure 2 and 3.
Figure 2. Choosing Cafe
6
Figure 3. Reasons and Factors To Choose
Most of them (54.9%) said that they do not set aside money to go to restaurants. They said that
their spending budget to eat in cafes is less than IDR 500.000 per month, which number is the
most spending (84.2%). From total, 57.1% of the respondents rarely goes to the same culinary
places. The reason of such thing, is because they love to experience different taste and
atmosphere of other culinary places. Indoor cafe has become the favorite type of cafe of the
133 respondents. While the preferred menu when going to the cafe or restaurant is the coffee
/ other drinks menu. According to the respondents, Bandung is very interesting because the
taste of culinary in Bandung is various and worth trying. These all opinion shown in Figure 4-6.
Figure 4. Budget for Spending
7
Figure 5. Between Indor or Outdoor
Figure 6. Chosen Majority Menus
5.Conclusion
From the analysis and discussion, there are some interpretation found that reflect a new sociocultural behavior constructed by emerging several creative-cafes today:
(i) users are looking for a comfortable place to learn while eating, a need that have never
been emerge in the past
(ii) the place selected does not always have to be a place that is hype or in
(iii) the most wanted café is indoor place
(iv) as well as culinary, fashion selection is not always necessarily the expensive or famous
brand
8
(v) consumers want a comfortable and durable product quality to choose fashion
(vi) consumers did not agree that lifestyle displayed through fashion, as well as personality
or existency from chosen food.
The result of the analysis and discussion on the creative business phenomenon in culinary
businesses in Bandung shows the changes in how to choose eating place due to learning
behavior of its consumers. The students are major or dominated consumers. There is a new
social construction built on the relationship of popping up culinary creative business in Bandung.
Learning behavior before the new trending cafes arises in Bandung, is the habit or style of
learning at home or at school library, apart from visiting friends occasionally. This behavior has
changed now. Today, the presence of cafes with a variety of relatively affordable meals prices
and an atmosphere that melts emotion making the passion of learning or discussion more
appear in these cafes. This new atmosphere or atmosphere is then "captured" by users,
especially students. Today, more and more students are seen carrying laptops or books, and
making/doing their work in cafes.
This study also proves that the atmosphere in the cafe increases the passion of learning and
absorption or understanding of students in studying certain materials. There was an interesting
statement from an interviewee who was later re-confirmed by his colleagues, as follows:
"On campus it's so boring ... everywhere white walls, box buildings. Make me
stress! Especially when I meet friends who have finished the task, if asked by
them, I will be more stress! ... Unlike in the cafe, the atmosphere is more fun!
There is food, drink, there is a view ... my brain is instantly on, I am more
enthusiastic about learning or making a task "
(R and friends, FGD on May 30, 2018)
This finding implies that today's students need a "playful" learning atmosphere. It is time, the
inheritance of a colonist-style raucous learners was abandoned, and replaced by a new way of
learning. Ki Hajar Dewantoro, a national (Indonesian) of education hero learning philosophy
which is Education Park, is more suitable for today's student learning styles.
Another finding is a form of building to learn, it should be reformatted buildings, not too
checkered. The round shape is felt more interesting and provides passion for learning for
students / learners. The white and checkered walls provide terror and stress for students!
Thus, the main conclusions of the results of this study indicate an increasingly unhealthy
learning situation, many stressful learner with an accumulated task and a value that is below
expectations. Going to learn and hang-out to a cafe is one way they get away from stress.
9
References
Amabile, T. M., 1996, “Creativity in Context”. Boulder, CO: Westview.
Connor, J.O., 2010, “The Cultural and Creative Industries: a Literature Review”. Creative
Partnership Arts Council, England.
De Fillippe, R., et.al., 2007, “Introduction to Paradoxes of Creativity: Managerial And
Organizational Challenges In Cultural Economy”. Journal Of Organizational Behaviour,
Vol.28 No.5, Wiley.
Fillis, I., 2002, “An Andalusian Dog or A Rising Star: Creativity and The
Marketing/Entrepreneurship Interface”, Journal of Marketing Management, Vol. 18 No.3/4.
Foord, J., 2008, “Strategies for Creative Industries: An International Review”. Creative
Industries Journal, Vol.1 No.2.
Gunawan, I., 2015, Metode Penelitian Etnografi, Fakultas Ilmu Pendidikan, Universitas Negeri
Malang
Howkins J., 2001, “The Creative Economy: How People Make Money from Ideas”. Penguin
Books, London.
Pramita, D.A., dan Primasti, I.S., 2016, “Nongkrong di Warung Kopi Sebagai Gaya Hidup
Mahasiswa Di Mato Kopi Yogyakarta”,
Jurnal Pendidikan Sosiologi, Universitas
Muhammadyah Makassar
Pribadi, I., 2015, Gaya Hidup Anak Muda Nongkrong Di Kafe Atau Kedai Kopi, Thesis and
Dissertation Repository, Universitas Gajah Mada, Yogyakarta.
10
Extending the Concept of Knowledge Management into Innovation and New Business
Creation
Juha Saukkonen and Pia Kreus
JAMK University of Applied Sciences, Jyväskylä, Finland
Email: juha.saukkonen@jamk.fi
Abstract
Knowledge management (KM) is a widely-used term in management science of 2000’s. The key
essence of KM can be coined e.g. as a “purposeful management of activities and processes for
leveraging knowledge to keep and improve competitive positioning by using well individual and
collective knowledge resources of the firm and its stakeholders” (CEN, 2004).
Majority of the KM discussion and research has focused on recognition, expression and
dissemination of knowledge as it manifests itself in the present day of an organization. Research
has focused on tangible knowledge artefacts such as Patents, Utility models, Trademarks,
Licenses. The processes of creation and maintenance of knowledge are used more often by
companies as protective measures rather than as dynamic tools for new value creation.
Furthermore, the concepts and practices of futures research and anticipation are rarely studied
as vital parts of KM.
The paper at hand studies the views and strategies of Small- and Medium-sized companies in
Finland in their reach for managing present and future-related knowledge by means of qualitative
research. The authors propose a double-dichotomy framework of alternative approaches and
dimensions for KM. The framework is derived from the analysis of material collected by semistructured interviews with the people responsible for KM processes in 10 companies. Authors
also point out the needs for further research on the field.
Keywords: innovation, knowledge, anticipation, foresight, value creation
1. Introduction
Success and survival companies is largely dependent on their capability to innovate new products,
services and business models (Hurley, Hult, and Knight, 2005; Siguaw, Simpson, and Enz, 2006).
The pace of change is increasing, as noted e.g. by Fine (1999) with the concept of “increased
clockspeed”, underlining the importance for swift action on knowledge. New knowledge often
manifests itself in the form of new technologies, and this urges companies to develop new
business models to fully benefit from the novel knowledge (McInnes, 2005).
As a response to these challenges the concept of Knowledge Management (KM) has emerged.
Wiig (2000) suggested that “as for other management directions, it is expected that KM will be
integrated into the basket of effective management tools, and hence disappear as a separate
effort”. To a certain extent the widespread adoption of KM concept has taken place, but gaps
11
exist between the theory and practice of Knowledge Management (Hung et al., 2011). Thus,
further development and testing of models is necessary. Hung et al. (ibid.) proposed that instead
of a holistic activity KM should be regarded as a process that can be divided into sub-processes.
The sub-processes are; knowledge creation, knowledge storage, knowledge sharing, and
knowledge application. A major part of literature and research on KM has been focusing on
development and testing of firms’ maturity in their KM models. Nowacki and Bashnik (2016)
concluded that firms show very little innovativeness in the way they manage knowledge. This
implies that there is a risk of routinizing the KM activity, instead of using KM as a search method
for improved competitive advantage.
The KM models, tasks, roles and responsibilities have been mostly designed for large companies
with ample HR and data management resources. As Cerchione and Esposito (2017) noted,
SMEs are entities without a strategy of their own for processes of knowledge management, and
it is not that clear what knowledge management systems they apply. SMEs also have various
ways in organizing for KM, both within company as well as with the network of the firm. Holzinger
et al. (2014) state that to stimulate fresh ideas and encourage multidisciplinarity domain experts
from diverse areas should be brought together for an impactful KM work.
Also the futures dimension - the tools and practices of futures research and anticipation - are
rarely integrated systematically into KM. Hines and Gold (2015) make a remark that the
integration of foresight work embedded into corporate culture and work processes is still relatively
rare, despite its potential to create an impact and add value. As a solution Hines and Gold (ibid.)
propose creation of a separate “futurist” role into the organization, to ensure foresight is included
in the KM. However, SMEs are not likely to afford a separate function for foresight-task, it should
rather be integrated into general KM work.
This paper starts with the assumptions that SMES have a variety of ways of performing both KM,
and also foresight as an element of KM. They also have various ways in organizing KM, both
within company as well as with the network of the firm. At start the researchers also assumed that
certain typologies of current practices and suggestions for integration and improvement of KM
processes can be proposed based on research findings.
The paper is organized as follows: After abstract and introduction (chapters 1 and 2), Chapter 3
presents the objectives set for the research and research questions. Chapter 4 (Literature review)
introduces the main concepts and processes of KM and foresight as expressed in earlier research.
Chapter 5 describes the methodological choices and implementation of the empirical research,
the results of which are presented in Chapter 6. Chapters 7 to 9 discuss the research process
and quality as well as points out implications of the study and directions for further research.
2. Research objectives
This research set out to explore the knowledge management practices in knowledge- and
technology-based growth-aspiring SMEs. The research also aimed at shedding light on
justification the people responsible for KM give to their choices.
12
In addition the research aimed at contributing to the prior-art knowledge of SMEs performing
knowledge management. The aim was to find out whether there is something specific in this
cohort of companies that would add to the knowledge pool of the KM phenomenon. These
findings and emerging frameworks could potentially be used to improve knowledge management
process in SMEs.
Since the earlier practice, research and publications of the two researchers is a combination of
IP management and futures foresight, this paper also aims at seeing how these two areas coexist
inside knowledge management practice.
The research questions set for the research process were;
1. How is knowledge management conceptualized by SMEs and what are the KM trends
affecting SMEs?
2. What are the actions and processes of KM performed by the growth-aspiring technologyand knowledge-based SMEs?
3. What are roles of SME´s internal functions as well as the role of external partners in KM?
4. For both questions 2 and 3; what are the reasons and forces affecting the choices made
in KM practice?
3. Literature review
3.1. Knowledge – definition and related concepts
Research related to knowledge is vast and spreads into the scientific areas of philosophy,
educational and organizational sciences as well as to business management. At its roots,
knowledge can be defined in various ways. As an example, organizational knowledge creation
theory defines knowledge in three parts, indicating that it has complementary properties. First,
knowledge is justified true belief. Individuals justify the truthfulness of their beliefs based on their
interactions with the world (Nonaka 1994, Nonaka et al. 2006). Second, knowledge is (i) the
actuality of skillful action (we recognize that someone has knowledge through their performance
of a task) and/or (ii) the potentiality of defining a situation so as to permit (skillful) action (Stehr
1992, 1994). Knowledge allows humans to define, prepare, shape, and learn to solve a task or
problem (von Krogh et al. 2000). Third, knowledge is explicit and tacit along a continuum (Nonaka
1991, 1994).
An ample body of research has been built on the DIKW taxonomy (Zeleny 1987, Ackoff 1989,
Baskarada and Koronios 2013, Cooper 2014) that makes a distinction between Data, Information,
Knowledge and Wisdom. Rowley (2007) stated that there are many competing definitions for
each of these constituents and it can also be stated that the lines between the categories blur.
Rowley also added one more layer to the “knowledge pyramid” (Figure 1 below); Intelligence.
When applying the DIKW (or DIKIW) model, it is vital to note that the different layers are not fully
independent. For an organization quality of work done and results achieved in one layer affects
the following layers.
13
Figure 1: DIKIW-hierarchy, based on Rowley (2007)
This study uses the conceptualization of Rowley, where he defines the core essence of each
category top-down as follows: (ibid., bolding by the authors of this paper) “: Wisdom is the ability
to increase effectiveness. Intelligence is the ability to increase efficiency. Knowledge is
know-how, and is what makes possible the transformation of information into instructions.
Information provides answers to “who, what, where and when” questions. Data are defined as
symbols that represent properties of objects, events and their environment”.
In this study authors have combined the intelligence and knowledge categories of Rowley. For
this study the knowledge management means the practices and tools used to turn achieved
information into action to improve efficiency for the future success in business. The layer of
Information in the framework is not limited only to interpretation of facts based on recorded data
of the past and present – but following the ideas of de Jouvenel (1967) these facta should be
expanded with futura, images of mind (of potential future facts) that can also be labelled as
anticipation.
3.2. Knowledge Management as a process
Knowledge management, as discussed above, is a concept of many competing definitions. The
conceptualization of KM naturally does not suffice to a practitioner, as concepts need to get
implemented. For that purpose, research has proposed models of KM process. Shahzad et al.
(2016) concluded that 1) there is a significant positive impact of system-oriented KM systems
strategy on KM process capabilities, creativity and organizational performance. 2) KM processes
have significant impact on organizational creativity and performance. 3) Organizational creativity
has also been identified as having a strong significant impact on organizational performance.
Knowledge management process models are not of short supply, and the differences in the
content and scope of the models come from many variables. One dimension studied is whether
the knowledge being managed is from internal (to the firm) or external sources. Menon and Pfeffer
(2003) reported tendency of organizational members to more likely value knowledge from
external rather than internal sources. A potential reason for that is that valuation of externally
sourced knowledge eliminates the members' status to the information evaluation i.e. positions of
power within the organization. On the other hand, Darr et al. (1995) concluded that knowledge
coming from units of the same organization transfers and improves the performance of a unit
14
studied more likely than knowledge coming from external sources (Darr et al. 1995). The
applicability of the knowledge might be more straight-forward as it is coming from people and
units who share the same business scope. However, this may lead to ignorance of novel ideas
and new angles for future success that an independent external source might provide. This
dilemma is especially relevant for SMEs to consider, as their own resource scarcity forces them
to rely a lot to external sources of knowledge.
3.3 Foresight and anticipation as knowledge processes
Foresight is a theme that pertains to a wider concept of futures research. For Kuusi et al. (2015)
futures research means those studies that are set for pragmatically valid knowledge concerning
possible, potential futures. The sub-concept of future foresight by Kuusi et al. (ibid.) covers the
more pragmatic side of future studies: method-based debates and analyses of different futures.
Foresight practices and processes add value to the strategy formulation. Dufva and Ahlqvist
(2014) claim that a foresight process is an effort where different stakeholders jointly explore
futures and interpret them to formulate actions in present tense. To facilitate knowledge-to-action
process, tools such as technology roadmapping (TRM), radical technology inquirer (RTI) and
technology radar (TR) have been developed.
In wider sense an organization engaged in quest for knowledge of potential futures is
incorporating anticipation. Anticipation serves as an umbrella term that covers different processes
and practices. Poli (ibid.) summarized the key components for the discipline of anticipation
implemented across sciences as follows:
1) In anticipation one will be faced with calculable risks and incalculable uncertainties
2) There is a difference between the distant future and future in the present, the latter one
referring to the future as projection of the past and former one to “proper” anticipation,
allowing also discontinuities
3) There are continuous and discontinuous/ruptured futures
4) Systems and organizations vary in their capability to use futures
5) Anticipations take place in many layers (e.g.. social and psychological) and are of
different types - like explicit and implicit.
This paper focuses especially in the points 2 and 4 in Poli’s list of components and tries to shed
light on intensity, processes and capabilities that SMEs possess in including anticipation-related
elements to their KM function.
Future change is often but not solely caused by technological advancement. It also affects more
functions within a company than just technology. Anticipation of technology is used across
industries and by organizations of different sizes and development stages. Prior-art research on
technology anticipation is SMEs indicates there is a lot of unused potential. Boghani et al. (2008)
pointed out that nascent ventures who learn and apply technology anticipation processes
generate stronger R&D proposals and increase their odds to get funding. On the other hand, a
research in UK by Farukh et al. (2001) indicated that only 10 % of manufacturing firms studied
were applying the most common technique - technology roadmapping - and even that did not
15
always take place in a repetitive and continuous process. Even the more engaged ones reported
they have challenges in starting anticipation processes and keeping the processes alive. These
findings underline the need for conceptual and practical development of technology foresight
deployment in SMES.
Anticipation is a process that deals with high amount and magnitude of uncertainty. The negative
aspect of that fact is that some of the findings of anticipative work and ideas built on those will
have no use in the future that will unfold. The multitude of options and high uncertainty have been
traditionally linked to the beginning of the innovation process, coined e.g. to the term of “fuzzy
front end of innovation” (Thanasopon et al., 2015). Adoption of anticipatory/foresight practices to
KM means that the fuzziness and open-endedness is present across different stages of research
and development processes where new and unique knowledge and solutions are sought
(Saukkonen & Bayiere, 2017). Sung and Choi (2012) found out that the positive effects of
knowledge utilization where stronger when teams were exposed to high environmental
uncertainty.
The need to combine elements of knowledge management on the existing knowledge and
reaching for new knowledge is a topic addressed in the scholarly writings from the very early era
of knowledge management literature. Back in 1990, Cohen and Levinthal defined an approach
that they call absorptive capacity that would allow an enterprise to fully utilize their knowledge
potential. According to Cohen and Levinthal (ibid.) firms must “leverage their existing knowledge
and create new knowledge that favorably positions them in their chosen markets. In order to
accomplish this, firms must develop an "absorptive capacity" - the ability to use prior knowledge
to recognize the value of new information, assimilate it, and apply it to create new knowledge and
capabilities”.
3.4. Specific context of the study: knowledge- and technology-based SMEs
SMEs are recognized as the most important engine of net job growth in most economies. Most
often their ability to employ is fueled by the growth achieved. Their continuous growth requires
expansion to international markets. In countries with limited size of domestic markets such as
Denmark, Estonia and Portugal the share of total exports generated by micro- to small-sized
companies of 1 to 49 employees is as high as 30 % (Eurostat, 2014).
Both the source of competitive advantage (knowledge and technology) as well the nature of a
global market opportunity and competition require measures in KM. Different stage models of
company growth (e.g. Greiner, 1972; Marmer et al., 2011) confirm the view that in order to grow
and evolve companies’ strengths related to their knowledge vary across stages. During the
growth trajectory there are needs both for knowledge protection as well as knowledge
dissemination within the company. Also the knowledge management action with members within
the business ecosystem a company is a needed.
The need of managing uncertainty by acquiring and transforming knowledge becomes evident in
the definitions given to startups i.e. young companies with potential to fast and scalable growth.
Blank (2010) and Ries (2011) underline the concepts of novelty, uncertainty and search as
fundamental characteristics of these firms. Most of the companies in the sample of the empirical
16
part of this study fall into the start-up category of SMEs, highly dependent on successful KM that
includes creation of new knowledge.
4. Research methodology
For this study the qualitative, explotatory approach was chosen as the issue area studied was
presumed to be complex and rich. Also the sheer amount of different concepts and frameworks
used for KM concept studied requested data gathering by live discussions with respondents. This
in order to ensure shared interpretations of the questions and terms in the data gathering phase.
In this type of study it is not a viable option to define processes in variables expressed in numerical
measures. As Black (1994) state: “Unlike quantitative research, qualitative approach seeks to
answer the "what" question, not the "how often" one.” Also “…qualitative methods take a holistic
perspective which preserves the complexities of human behavior” (ibid.).
The research target was partly conceptual. Authors aimed at understanding the phenomenon
and derive typologies and propose new frameworks for further study. Young (1995) proposed
that an important parameter of conceptual research is an attempt to systematically give clarity to
concepts. Conceptual research is used to either develop new concepts or alternatively to
reinterpret existing ones (Kothari, 2008, Leuzinger-Bohleber and Fischmann, 2006). Thus
conceptual research take the concepts themselves as a research object. Conceptual researchers
investigate e.g. the origins, meanings and usage of concepts. The researchers aimed at shedding
light on how practitioners in SMEs have internalized the KM concept and processes, what factors
have affected their ideas of related concepts and how the concepts, tasks and roles of KM have
been externalized within the company and with its network partners.
The researchers collected the data via in-depth interviews with 10 Finnish SME-companies, all of
which can be categorized to knowledge/technology-based companies. All interviews were
recorded, transcribed and subjected to content analysis. In the analysis the principle of researcher
triangulation to enhance the research process (Kitto et al., 2008) was used. The two authors first
independently reviewed the material collected and rearranged, formulated their own conclusions
from the data, that were then synthesized for a joint view.
5. Findings
5.1. The changing landscape of knowledge
What might be the new conceptualization of knowledge and its relation to other concepts in a
modern context? Based on the study in the era of digitalization the sheer amount and availability
of data creates a potentially wider base for the original DIKIW hierarchy pyramid than the one
presented in the literature review (see Figure 1). However, this abundance of data that can be
retrieved and rearranged across various information systems of the company and its stakeholders
can cause a problem in itself. The defining “3 V´s “ characteristic of the modern concept of Big
Data (e.g. Sagiroglu and Senanc, 2013) remind that in what comes to data we live in the era of
volume, variety and velocity. The size of data can be too massive, have too much variety of format
17
and b etoo fluctuating to be correctly acted upon. This abundance may also harm the ability of a
firm to move into the higher levels of the hierarchy. This new context of massive data would need
capabilities of information and knowledge capabilities that have been outspeeded by the
hypergrowth of data. The modern DIWIK model illustration has the shape shown in Figure 2. Due
to the width and depth of the data only part of it can be used and acted upon. Even more
importantly, only a part of it is useful for the future-related decision-making, development and
creativity, in other words some of the expanded data is waste. The imbalance between amount
of data and capabilities/resources for its use can also lead some important data ending up in
unwanted waste, thus hurting the future knowledge capacity of the SME firm.
Figure 2. The new hierarchy of DIKIW? (by authors)
Especially when reaching out for future knowledge, the widened time horizon opens up a growing
array of options of future development (market trends, technologies). The product and service
development in companies typically aims at narrowing the options and making choices of the
technologies and features to be included to the products and services rolled out. This idea of
narrowing down has been described as “innovation funnel” (Dunphy et al., 1996). The evaluation
of relevant knowledge happens inside the “planning horizon” of the companies (Kuusi et al., 2015).
On the contrary, the future-oriented knowledge search happens on the “scanning horizon” (Kuusi
et al., ibid.) and has the shape of a widening funnel. As stated by Saukkonen and Bayiere (2017),
a firm has a dilemma of operating within two funnels that act in a contradictory way in what comes
to narrowing vs. widening the options. This a major challenge for technology and knowledge
based SMEs. Just like the data describing the past actions of the company and markets has
“waste” in it, so does the scanning of futures produce future-informed data that proves to be waste
first at some later stage. Either the envisioned future does not happen, or proves to be irrelevant
to the company at that point of time when it occurs.
As a summary of finding from empirical study it can be stated, that companies and people
responsible of KM in them do identify the challenges of data accumulation vs. usage, but are
short of fast and cost-efficient enough methods to work on the growing sets of data. This confirms
the researcher´s conceptual proposal of reshaped pyramid of DIKIW-model.
5.2. Knowledge management processes and their use in SMEs
18
The content analysis of the primary data collected with qualitative method both gave view on 1)
what are the KM processes identified by actors in SMEs and 2) how common their use is in the
SME sample.
The interviewees described both the processes taking place at the moment as well as reflected
the processes thought over, discussed and planned for the future in their organizations.
The researchers conclude that the processes identified can be categorized using two axis, where
one axis concerns whether the process is done internally in the company or does it also include
external actors as stakeholders (axis of dimension). The other axis makes a distinction in the
processes that are “purely” operational/opportunistic) vs. having more of a strategic view inbuilt
into them (axis of approach). The difference between the two may be best described using
Mintzberg’s framework where management contains decisions that are a) opportunistic/fully
operational i.e. decisions on current situation and with the prevailing knowledge and recourses,
and where decisions have a weak linkage to future decisions, at least by the time they are made
and b) strategic decision-making that happens still in somewhat predictable conditions but in a
timeframe that allows rearranging and acquisition of (some) additional resources.
The findings placed to the framework consisting of this double-dichotomy (Figure 3), indicates
that SMEs tend to act in KM is mostly in internal and operational layers. The companies have
identified and were planning processes with more strategic and outreaching nature, but they were
rarely taken in use. Despite the view that internal and operational KM creates a solid base for
future innovations (Olander et al., 2014), the linkages between operational and strategic
knowledge management processes were not strong. Also Olander et al. (ibid.) in earlier research
identified this need to move in KM beyond protective measures such as patenting and data
security, but that good operational governance works as a foundation that should help in dealing
with future uncertainties. So the cohesion between layers would be needed.
19
Figure 3: Taxonomy and width of usage of KM processes in the sample (Legend: Bold font =
commonly used; Italic font = used by some; plain font = identified but not yet in use)
The findings also reveal the tendency to act on the protective side of knowledge management
compared to the dissemination of knowledge. However, most companies expressed intention to
more externally focused actions in KM and more strategic view to be added to the KM. This in
order to enhance the organization’s (and its network’s) capabilities to keep innovating and
creating new value in the future. However, these recognized needs had in just a few occasions
turned into action. The reasons for the inertia included lack of time and personnel as well as lack
of clarity in role division between different parties when acting in KM. In one occasion the cocreative approach had even led to a loss of IPR to a customer, so the realistic answer to “protect
or disseminate” question is a combination of both solutions.
When interpreting the taxonomy it is vital to notice that the different quadrants are not alternatives.
A holistic KM strategy and action can and should include elements of all sections, like is the case
with many successful firms.
5.3. Factors affecting the KM concepts and processes in SMEs
Another interesting question was: Where do the choices of KM processes come from? Is there a
clear view not only on what is done in KM in SMEs but also why just these processes take place?
The study also aimed at finding out what are the future plans for enhancing KM and why just
those development steps are in discussion or making?
The researchers identified a pattern that has been discussed in earlier research, the impact of the
key persons inside the SMEs. They have a personal effect on KM and innovation processes taken
in use and also in the way these processes are performed. Churchill and Lewis (1983) noted that
in the life-cycle of a company in the early stages the owner-founders´ abilities were crucial, but
subjected to go lower in importance over time. Hauschildt and Schewe (2000) described the role
of key persons to be the ones of gatekeepers and/or promotors, but did not link the role of key
persons to the time dimension.
This research revealed that a) key person´s effect in KM scope and practice in SMEs is crucial
and b) the KM choices and actions by them are largely based on legacy. As Xie et al (2018) put
it, spin-offs carry the legacy of their parent firms. This was clearly seen in teams that had spun off
from larger entities to start a personal entrepreneurial endeavor as well as SMEs that had started
as a new venture arm of a bigger corporate entity. The organizational legacy clearly has an impact
on KM in SMEs.
Another type of legacy is related to the individual that is central to KM process in an SME. Their
career legacy – the motivation that drives them and the impact they most aim at having (Hinds et
al., 2015) affects what the SME will focus on. Their strengths and weaknesses become the ones
of the company. This legacy is a combination of their education, work history and knowledge
possessed. Naturally this can act in favor of an SME. In some of the cases in the sample the core
team members came from a strong research institute background, so they bought the KM
practices that go beyond an average SME level with the. This phenomenon at the same time
makes SMEs vulnerable as changes in personnel can mean sudden loss of KM and innovation
20
capabilities. The role of the key persons’ career legacy can also mean myopia – distant objects
seem too blurry whereas nearby objects are seen well and they are easier to cope with. This
ignorance of new knowledge that does not pertain to the area of the person’s legacy area can be
the negative KM effect of legacy.
Other dimensions of knowledge management that arise from the research data is the
formality/informality as well as explicit/implicit nature of the processes of KM. Typically SMEs have
a relatively high degree of formality and explicitness in the processes that focus on the protection
and maintenance of firm´s own and existing knowledge. Processes and principles most often
exist for internal and operational issues related to the known. There are process descriptions and
procedures for knowledge that is clearly definable and thus can be said to enjoy a certain level of
certainty (i.e. “facta”). The more uncertain the knowledge is e.g. when it is of an external source,
is future- and upcoming innovation –related (i.e. “futura”), the more informal the KM processes
are.. Also more implicit are the processes to the people acting with that knowledge. Researchers
identified processes and core ideas for acting with uncertain type of knowledge – that often acts
as an important spark for innovation and new value creation – but they resided in minds of just a
few people in organization. Most respondents expressed intention or at least interest to formalize
the processes and move forward towards more externally-linked and strategic action in KM. This
enhanced role of external partners was expressed to take place in both knowledge protection as
well as in the quest for new knowledge. Action taken to those identified directions was however
scarce.
External partners were used in many cases to assess a new product or functionality in what
comes to knowledge artefacts (like evaluation of patentability and writing process for a
patent/utility). This move to the external dimension may however miss some of its potential if the
KM action is only focused on individual and operational knowledge item. So, controversially, using
external resources and thus enlarging the pool of people working on firm’s knowledge may even
be counterproductive for innovation, if the external resources are not used also to act on uncertain
and future-related action. The external members and their knowledge should be brought in to
serve also the strategic dimension of KM.
6. Discussion
This research contributes to the earlier findings in the literature of knowledge management, SMEs’
growth and innovation. The findings support the earlier views that SMEs fall short in their
knowledge management processes in comparison with larger and more mature companies. The
SMEs in the sample recognized the needs to improve KM processes to better serve their ongoing
creativity and innovation. Due to lack of resources many of the identified development steps were
not yet taken.
The dilemma of modern management of overwhelming, volatile and fast-changing data became
evident when studying the sample population of growth-aspiring technology- and knowledgebased SMEs. The abundance in sources and amount of knowledge that potentially would serve
21
for innovation and competitiveness is exceeding the capabilities of the organization to handle it.
Even more so when acting with external and future-related knowledge is in scope.
The challenges of KM for SMEs in a modern context are at least threefold: 1) SME’s ability to act
on knowledge depends heavily on its core people. They make the choices on what and how to
act upon in KM. The rationale of their choices is often based on the organizational and career
legacy that may not be relevant to the current environment. 2) When KM processes get
outsourced to company partners in SME’s network, the accumulation of knowledge and
knowledge –related capabilities and/or proprietorship of knowledge may get negatively affected
3) Volatile nature of knowledge and increased uncertainty of knowledge may lead SME
companies to settle in vaguely defined and communicated KM processes. This in its turn may
harm the strategic and operational cohesion of the firm’s internal resources in KM. This together
with a fact that SMEs by definition are resource-scarce created a major challenge for SMEs in
KM.
The research confirmed also the earlier findings of KM transforming towards a function that is
strategically oriented and bound to external network members. There still is a gap between the
intentions to implementation in this respect.
7. Implications (for learning, research policy, practice, for networking)
The research in hand pointed out both the current solutions of KM in growth-aspiring SMEs as
well as challenges in it. The results propose that the challenges of full-scale and high-impact KM
(that serves for both protection, utilization, dissemination and further development of knowledge)
seem to be growing at higher rate than the resources for them in SMEs. The authors were able
to recognize the following streams of further research and development needs both to
practitioners of KM as well as to researchers and scholars of it.
- Processes and tools for screening and choosing relevant items from a growing pool of
data (present and future-oriented data) are needed
- SMEs knowledge management processes with more of a strategic undercurrent than the
current operational/opportunistic actions is needed. This would allow SMEs to direct and
synchronize the scarce resources to best serve for creativity and innovation leading to
improved future competitiveness
- There is a lack of approachable models for the interplay between a SME and its network
partners. These models would include models of choice of partners and criteria for it; roles,
right and responsibilities of each party. These models are needed to maintain the correct
balance between sharing and proprietorship of knowledge.
To reach these aims the authors of this paper suggest both conceptual and processual
development to take place, as well as case-based research to test the appropriateness of the
new models developed.
8. Concluding Observations
22
This research set out with and exploratory approach most focusing on the conceptualizations,
processes and development directions of KM as part of creativity and innovation management in
SMEs. The study did not set to test any prior models, as they were inductively created as a result
from the primary data from the empirical qualitative research. Further research could study e.g.
more in detail any of the four quadrants of the Focus-Dimension typology in Figure 3: OperationalInternal, Operational-External, Strategic-Internal, Strategic-External or address more specifically
one or more of the above-mentioned development needs: 1) Tools for screening and choice of
KM process alternatives 2) Alignment, articulation and communication of a cohesive KM strategy
3) Networked operations in KM.
The sample of this research consisted of Finnish SMEs with a knowledge- and technology-base.
These type of companies operate typically in international market environment with international
competition. Therefore it may be justified to conclude that the key findings would repeat in other
contexts for same kind and size of companies. To confirm this it would be recommendable to
repeat the study either in other context or study more specifically companies in one or two fields
of industry. This would shed light on whether to there are some business-specific issues in KM
and its relation to innovativeness and creativity that this research could not reveal.
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26
Mapping creativity and design within the entrepreneurship ecosystem
1Viviana
Molina Osorio and 2Widman Said Valbuena Buitrago
1 Universidad Autónoma de Manizales, Colombia
2Universidad de Caldas, Colombia
Email: vmolinao@autonoma.edu.co
Abstract
Is an entrepreneurship ecosystem an embodiment of systemic design? In reality, how creative
is the entrepreneurial process? It has been argued that creativity is not generated in the minds
of people, but in the dynamic relations between the thoughts and the sociocultural context of
those people (Csikszentmihalyi, 1996, 1998; Amabile, Hennessey, Grossman & Barbara, 1986;
Amabile & Pillemer, 2012). For a long time, entrepreneurship was studied as a series of
personal traits, exploring them with the help of psychology. Recently effectuation (Sarasvathy,
2008), and some action centered theories, have taken the study of entrepreneurship under the
lens sociology, and network science (Memon, 2016); This path is somehow similar to the one
transited by creativity research (Sawyer, 2006). In this paper, we are taking the design approach,
following an intuition about the similarities between creativity, design and entrepreneurship, our
intention is to understand if the entrepreneurial ecosystem is designed or if it behaves similarly
to a design process in its different phases development process, and how creativity is expressed
during that process.
We Observed “Manizales Más”, a public - private - academic alliance that developed the
entrepreneurship ecosystem in the city of Manizales, Colombia. There we identified, the
academic committee as a key agent for design purposes, so we applied an instrument looking
for the design phases as well as the creativity factors present in the development of different
projects within the entrepreneurial ecosystem. In the paper we will show the results as
sociograms (Wasserman & Faust, 1994), that represent the relations between the academic
committee members and their creative contributions in the different design phases, leaving us
with a map of creativity within the design stages on the Academic dimension of Manizales’
entrepreneurial Ecosystem.
The results reveal that entrepreneurship ecosystem can be studied as a complex adaptive
system (Holland, 2012, 2014). This can be mapped using the social systemic design approach
(Jones, 2014a, 2014b, 2014c) where creativity manifests itself in each Design phase with
different intensities depending on the creative self-organization of the social system
(Csikszentmihalyi, 2014, Amabile & Pillemer, 2012), To detect in each design phase if the
creative qualities of the entrepreneurship social system, can contribute to the organizational selfmanagement of the system.
To return to our initial questions we can say that an entrepreneurship ecosystem can be
acknowledge as a systemic design artifact, where the system goes through different stages of
creative evolution.
Keywords:
Creativity,
Entrepreneurship,
Complex
27
Adaptive
Systems,
Co-design,
Entrepreneurship Ecosystems
1. Introduction
How much design you find in entrepreneurship? In reality, how creative is this process? It has
been argued that creativity is not generated in the minds of people, but in the dynamic relations
between the thoughts and the sociocultural context of those people (Csikszentmihalyi, 1996).
For a long time, entrepreneurship was studied as a series of personal traits, exploring them with
the help of psychology. Recently effectuation (Sarasvathy, 2008) and some action centered
theories, have taken the study of entrepreneurship under the lens of neuroscience and sociology.
In this paper, we are taking the participatory design –Co-design- approach (Sanders & Stapper,
2008, 2014a, 2014b), following an intuition about the similarities between this and
entrepreneurship, our intention is to understand if the entrepreneurial experience is designed or
has the same Co-design moments.
We analyze “Manizales Más”, a public - private - academic alliance that promotes the
entrepreneurship ecosystem in the city of Manizales, Colombia. There we identified, the
academic committee as a key agent for design purposes, so we applied an instrument looking
for the design phases as well as the creativity factors present in the development of different
projects within the entrepreneurial ecosystem. In the paper we will show the results as graphs
that represent the relations between the agents, their creative contributions and the design
stages, leaving us with a map of design and creativity within the entrepreneurial Ecosystem of
Manizales.
Our main conclusion after analyzing the results is that entrepreneurship as a process of
prefiguring and configuring an idea, can be mapped using the social systemic design aproach
(Jones, 2014), and Co-design (Sanders and Stappers, 2088, 2014), along with the sociocultural
approach to creativity (Csikszentmihalyi, 2014, Amabille & Pillemer, 2012). To detect the
creative qualities of the entrepreneurship social system in each design phase, can contribute to
the organizational self-management of the system, to develop an entrepreneurship idea from
the creative design standpoint.
Understanding entrepreneurship ecosystems beyond economic indicators has been a challenge.
An alternative path is to understand them as design fields, from an ecosystemic approach with
overlapping and interwoven domains (Molina, 2017, Quintana, Vargas & Valbuena, 2017), this
allows us to understand that entrepreneurship ecosystems do not only have dimensions or
theoretical components, but the agents, the people who participate in it and the relationships
that are generated, transform the ecosystem, intuiting these relationships sustain the existence
of the ecosystem.
2. Objectives
Analyzing the entrepreneurial processes developed by the academic committee of the Manizales,
28
this study seeks to map the social relationships that occurred on the emerging creative systems
in each design phase based on: First identify which phases of collaborative design ( Sanders &
Stapper, 2008, 2014a, 2014b) operate in the processes of entrepreneurship and, second,
characterize in social entrepreneurship practices the social dynamics of social systems of
creativity (Csikszentmihalyi, 1998, 2014) by mapping relationships and intrinsic or extrinsic
motivations (Amabile, 1983; Amabile & Palmier, 2012) that emerge in each phase of the process.
In the findings section we will show the design phases that are present on the development of
an entrepreneurial ecosystem; so, we can understand and detect in each design phase if the
creative qualities of the entrepreneurship social system, can contribute to the organizational selfmanagement of the system.
3. Literature review
Creativity without innovation generates just another idea. Innovation without a potentially useful
and novel idea supporting it will likely be unsustainable and creates no value so it has little or no
usefulness unless a market need or problem is identified and solved. Like the chicken and the
egg, in practice, creativity, innovation, and entrepreneurship need each other. It may be that
Schumpeter (1934), in his later years and certainly when he wrote Capitalism, Socialism and
Democracy, underestimated the key role of entrepreneurship as a conduit for the spillover of
knowledge from the organization investing in and creating that knowledge to the new organization
actually making the innovations.
The primary mission of design-oriented disciplines, such as medicine and engineering, is the
creation of preferred futures, driven by search for solutions to real-world problems, some of them
complex and ill defined. In a similar vein, a design-science approach to entrepreneurship would
focus on the effort to envision and generate products, services, ventures, firms and other artifacts
that do not yet exist, oriented towards the fulfillment of specific purpose. The consideration of
purpose is key since the question of how things ought to be can be raised only in reference to
that purpose (Simon, 1969/1996). In this sense, the design-science approach considered by
(Dimov, 2016) is situated in a broader realm of ‘worldmaking’ (Sarasvathy, 2012) but is anchored
by purpose that makes some futures preferred to others and oriented towards informing and
being informed by specific actions.
Finding solutions for ill-defined societal challenges requires the integration of different knowledge
fields. As Max-Neef (2005) concluded: none of this century’s main problems, such as water,
poverty, environmental crises, violence, terrorism and destruction of social fabric can be
adequately tackled from the sphere of specific individualist disciplines. This poses a problem,
since education systems are mostly monodisciplinary, resulting in experts in rather narrow fields.
Although it is frequently attempted, the situation cannot be solved by creating teams of specialists
in different areas around a given problem (Collins, 2015). This team approach only leads to an
accumulation of visions emerging from the participating disciplines. It is co-creation or better yet,
co-design, what allow us to tackle the complex problems in more appropriate ways. By creating
an ecosystem that is driven by design, manufacturing and entrepreneurship key economic
outcomes will be generated; a regional area will be more resilient to economic uncertainty and
ultimately a cohort of innovative thinkers that will generate value for their community.
29
To create such entrepreneurial ecosystems, it is vital to understand how they make decisions,
what drives the motivation of different agents and how to promote the creation and
implementation of new initiatives that allow the expansion of it.
4. Research form and methods
This study of descriptive-interpretative scope uses as a central method Social Network Analysis
-SNA- (Wasserman & Faust, 1994) supported by open coding (Strauss & Corbin, 2002) with
the purpose of mapping the creative social relationships that come off of motivation intrinsic
(Amabile, 1993; Amabile, Hennessey, & Grossman, 1986; Amabile & Pillemer, 2012) for
addressing an entrepreneurial problem as a design process.
Initially, the analysis unit was proposed by developing a matrix of categories to analyze the
entrepreneurial actions of the academic committee of the Manizales Más program. These
categories form a matrix that crosses the phases of standard design, problematization, ideation,
conceptualization, prototyping and product (Sanders & Stappers, 2008, 2014), with the systemic
components of creativity from a socio-cultural approach, between the context - domain, contextfield, person - intrinsic motivation, person - domain and person skills - relevant creative skills
(Csikszentmihalyi, 1988, 1996, Sawyer, 2010, Simonton, 2012, Amabile, 1993, Amabile &
Pillemer, 2012).
Afterwards, the instrument to collect information was designed and validated incorporating
these categories. This instrument is segmented into design phases to be applied in the target
population. The instruments are applied through random sampling to guarantee that all the
people who have taken part of the committee would answer at least one instrument in one of
the design phases.
With the collected information, the systematization and analysis process were initiated, for which
the Gephi Network Analysis software was used. Each design phase was analyzed
independently generating a sociogram that represents the social relationships of creativity from
the entrepreneurship team.
In parallel, the CAQDAS Atlas.ti 8 was used to process 143 articles that thematically linked
creativity and design in entrepreneurship seeking to respond to how design and creativity in
entrepreneurship has been understood and studied. The results of this analysis allowed to
triangulate the ARS findings to establish how people organize themselves in creative systems
around the problems of entrepreneurship from a design approach.
5. Findings
From Isenberg’s perspective “Manizales Más” has evolved through roughly four phases that he
labeled like this: (1) activating the stakeholders, (2) aligning the leaders, (3) establishing
execution platform and proof-of-concept programs, and (4) systematizing and expanding
programs and local capacity. Daniel Isenberg & Onyemah (2016). This phases that Isenberg
recognizes are quite similar to the Stages considered for design thinking: Empathize, Define
30
Ideate, Prototype, and Test. (Brown,2009) This leads to another part of our thesis that sustains
this Entrepreneurial Ecosystems are designed for a particular place and conditions and then
evolve according to the agents and contextual changes. From this point on, the results of the
analysis that support this idea will be presented.
Creativity as a phenomenon has been understood in different ways, according to Keith Sawyer
(2006) you can trace its approaches in psychology since the 50's with the first studies that
attribute this phenomenon to certain personality traits of only some people; almost two decades
later the cognitive psychology rethinks this approach to make way for the understanding of
creativity not as a distinctive feature of personality, but as a result of complex combinations of
mental abilities. This approach is very current like the biological and the computational
individualistic approach to creativity. Only until 1983 with the first works on social psychology of
creativity (Amabile, 1983) the individualist approach of studies in creativity is reviewed, to start
what is known as the sociocultural historical approach.
From this sociocultural approach to creativity, it is understood that creativity is a systemic
phenomenon. It highlights in particular two lines: One proposed by Mihaly Csikszentmihalyi
(1996) who, asked not so much what creativity is? but where is it?, where it resides and
develops, and suggests that creativity flows through a system composed of three components,
a domain (cultural component), a field (component social), and people (creative agents), for
Csikszentmihalyi "creativity does not occur within the heads of people, but in the interaction
between a person's thoughts and a socio-cultural context" (p.41). This leads to understand that
creativity is the result of the interaction of three components, a person who makes contributions
to a specific domain, a symbolic universe known as a domain that contains the symbolic rules,
and a social system, or articulated set of people , which constitute the field, are those belonging
to the domain that recognize the creative value of the contributions that people make to be
incorporated into their set of rules, thereby materializing the innovating in their own field.
The other systemic approach within the sociocultural approach is located in Teresa Amabile’s
work (1986, 1993, 2012). They model a componential system closer to the subject with the
purpose of understanding the creative development in organizations. This model is constituted
by a) skills relevant to the domain (expertise), b) creative-relevant processes (creative thinking),
c) intrinsic motivation in the work, and d) the social environment. Expertise, creative thinking
and intrinsic motivation are located within the subject, those are intra-individual; Amabile (1993,
2012) also explains that expertise and creative thinking can be amplified and qualified if intrinsic
motivation is activated with factors located in the social environment that are channeled towards
interest in the task itself.
5.1 Creativity - problematization – entrepreneurship
All standard design processes are developed in five iterative stages (Sanders & Stappers,
2008). In the first phase of design the problem is posed and defined, currently understanding
that the type of problems that the design addresses is wicked problems (Fallman, 2008;
Sevalson, 2010).
31
The results reveal that in this first phase creativity is structured consistently between most nodes
(people) configuring a social network that shapes the problems of entrepreneurship, where the
leadership is distributed evenly among four participants who in turn receive feedback about the
ideas they expose to others (Figure 1).
Figure 1: Creativity - problematization - entrepreneurship, source: own elaboration
Creative social relationships have high intrinsic motivation, such as interest and pleasure in
work and, to a lesser degree, extrinsic motivation factors such as the pressure to deliver a
resilient response soon (Amabile, 1993; Amabile & Pillemer, 2012), indicating the existence of
factors that promote the interest on the part of the participants in the deconstruction and later
update of the problems of entrepreneurship, which is ratified in the density and in the diversity
of relationships that constitute the sociogram of creative relationships (figure 1). The analysis
shows evidence of all the creative relationships analyzed, so they complement each other,
partially accept, accept totally or reject some of the ideas presented in the form of
entrepreneurship problems.
This first stage occurred when the academic committee discussed what kind of programs
Manizales Más should have, each agent gave ideas about possible projects to pursue and
some of the first discussions about the importance of the collaborative work between the
universities happened. At that point the members where deciding if they wanted to develop
new programs or better adapt some of the programs that were conducted at Babson College.
Most of the participants on the academic committee where there because of a personal interest
in the project, they felt the work environment was productive and positive, so intrinsic
motivation was higher than extrinsic motivation.
32
5.2 Creativity - ideation - entrepreneurship
The state of creativity in the process of generating ideas contrasts with the previous phase; in
the first place, fewer people lead the process, that is, the socialization of ideas that aim to
respond to the problem of entrepreneurship is much less, the low density of the sociogram
shows less participation in the development of ideas (figure 2).
Figure 2: Creativity - ideation - entrepreneurship, source: own elaboration
In this phase the extrinsic motivation increases with respect to the previous phase, which
indicates an increase in external factors on the entrepreneurship team, diverting attention from
the work involved in the elaboration of ideas. Another element that shows a decline in the
creative process is the lower diversity of social relationships that constitute the sociocultural
system of creativity (Csikszentmihalyi, 1988, 1996, Sawyer, 2010, Simonton, 2012), where the
total approval is also the relationship with greater strength, which may indicate little development
of the ideas within the working group since the total approval may inhibit initiatives to propose
alternative ways to the problems raised in the first phase.
At this point the academic committee was certain about the ideas they wanted to pursue, so they
began to structure three different programs Startup Mas, Adventure Más and High Potential
Professors. Each one had a clear leader to develop the initiative and the sociogram shows a
concentration on the relations so the other members could help the leader to develop the program.
One of the reasons given to the elevated extrinsic motivation had to do with deadlines to deliver
the proposals.
5.3 Creativity - conceptualization - entrepreneurship
33
Regarding the previous state, the refining of ideas is a little more striking in terms of the density
and strength of creative social relations, although the diversity of these is maintained in the same
range. It can be affirmed that at this moment the work team regains its cohesion, in spite of
decreasing even more the intrinsic motivation of the participants, which indicates that the factors
that motivate these relationships do not settle in the genuine interest to develop the ideas, but
they continue to operate external factors that are likely to exert pressure to do the work
collaboratively (figure 3).
Figure 3: Creativity - conceptualization - entrepreneurship, source: own elaboration
The sociogram of the conceptualization phase shows dynamic equilibrium between several
nodes of the creative system although, as in the previous phase, the total acceptance is the
type of relationship with greater presence, followed by partial acceptance, this may be hinting
that high extrinsic motivation that is presented in this phase makes people question even less
the ideas that have been proposed as an answer to the problem and want to move to more
specific phases of the process, which coincides with the most representative extrinsic motivation
factor, pressure to deliver a result.
By the time the members of the academic committee started with the conceptualization phase
they had a detailed description on what they should do on each program, it was the moment to
set a schedule and launch the pilot program on each initiative. Here the extrinsic motivation is
higher due to performance measurement and some of the team members are not so happy
working on someone else’s idea. The intrinsic motivation decreases and even when they
mentioned the positive work environment was maintained, most of them were working on the
designed program because it was duty they agreed on.
Just to understand a little better the context of the academic committee work, here you can find
a brief description of each program they were working at that time:
Startup Más, is the place for idea exploration and business model construction. It was
created with the students and graduates in mind, many of which went to entrepreneurial units
34
asking for help with their ideas. This early stage is the perfect moment to prototype and iterate
ideas before launching anything.
Addventure Más, is an eight-week business accelerator. In this case, new companies take
the time to plan and rethink the business model. For two months around fifteen companies work
together in a living lab, getting to know what they do, how they do it, and most importantly, what
they should try to overcome the obstacles they are facing to earn more, have better employees,
and sale better products.
High Potential Professors, was created to promote a new mindset on professors so they can
be the catalyst of change in the university. This is one of the most interactive experiences because
educators are both learning and teaching in different moments. Sometimes on the learning side,
they are with another faculty member, sharing experiences, accompanying mentorships, or
attending workshops. And when they are conducting sessions they lead the audience, whether
students or companies to use the resources they have to create new things, evolve, and transform
the ecosystem.
Entrepreneurship Route with its six courses has become the space for experiential learning.
Students are encouraged to create new companies, propose new products, and the most
important part, to build a functioning prototype to test their ideas. The students have learned by
doing and have had to face an audience to convince them of the importance of the proposal and
explain how they solve a problem or have found a more innovative way to do things
5.4 Creativity - prototyping - entrepreneurship
Going from the abstract or ideal to the concrete, or in other words, materializing the ideas in
products or services is the purpose of the prototyping phase, this is when an idea begins to take
shape and form.
Figure 4: Creativity - prototyping - entrepreneurship, source: own elaboration
35
In terms of how creativity manifests itself in entrepreneurship in this phase, it is important to
highlight the dramatic evolution that shows the configuration of the social system. The selforganization of the system around prototyping is much more compact than any of the previous
phases, which indicates greater social support for the ideas, accompanied by an increase in
intrinsic motivation, found some sketches of the probable direct correlation between the factors
of motivation associated with the interest in the work of entrepreneurship and social relations of
a creative nature, especially accentuates the complement of ideas as the type of relationship
with greater presence in this phase (figure 4).
This phase is also characterized by the evident balance between intrinsic and extrinsic
motivation factors, which coincides with the most recent development approach to creativity in
organizations suggested by Amabile and Pillemer (2012), where unlike their own previous
approach (Amabile et al., 1986), it is accepted that the combination of external and internal
mechanisms that operate on motivation is favorable for creative development.
At this point members of the academic committee where pilot testing the programs, most of the
members where involved in more than one of the initiatives, so they had to communicate more
and they complemented the other programs, it was mentioned that the pleasure of working on
the initiatives was reactivated because early results were visible, so the intrinsic motivation
raised up again.
5.5 Creativity - product – entrepreneurship
Figure 5: Creativity - product - entrepreneurship, source: own elaboration
In entrepreneurship you can understand this design phase as implementation, for this particular
36
case it refers to the implementation of some of the entrepreneurship programs that constitute
Manizales Más, this is the design phase that materializes the innovation, since the initial ideas
have matured and are now part of a social context.
The ARS analysis shows that for this moment the community of practice of entrepreneurship
(Wenger, 2011) has consolidated its social relations in terms of creative processes, in particular
we highlight the combination of relationships that partially or totally support ideas, in connection
with those directed towards the collaborative elaboration of entrepreneurship products, thus
configuring, for the task of entrepreneurship, co-creation processes (Sanders & Stappers, 2008;
2014). As for the levels of intrinsic and extrinsic motivation in this stage of the process, they
have stabilized showing a balance between factors such as taste and interest in
entrepreneurship work, a healthy and productive work environment, as well as commitment or
pressure for time of delivery, which helps to consider that for the creative system to develop a
balance between these types of factors is convenient.
At this point all members of the academic committee had responsibilities on the different
programs, so they had to communicate more and help with the day to day operation of all the
initiatives. Both the intrinsic and extrinsic motivation where at its peak because performance
measurement was as important as the satisfaction they obtained from doing the job. Most of the
members mentioned the learning process as iterative and evolving, so it maintained the support
and complement relations very active among the agents.
In this same sense, the density of the sociogram in the product phase reinforces the idea of the
configuration of a creative sociocultural system (Csikszentmihalyi, 1988, 1996, Sawyer, 2010,
Simonton, 2012), in contrast to other initial phases of design where the self-organization of the
system is incipient. What suggests that the socio-cultural system of creativity in
entrepreneurship is matured and amplified in the final phases of the design process, is this usual
for any entrepreneurial process? Does entrepreneurship have something special that enhances
creative processes in the mature phases of design? Does entrepreneurship require greater
management of the creative system in phases such as ideation and conceptualization? We
don’t have the answer to this questions on this paper, but we hope some of these can be
addressed on the PhD dissertations we are working on and that will be available on the near
future.
6. Discussion
In recent years there is an increasing amount of literature on entrepreneurship and innovation,
but there is also a growing interest in understanding the relationship between entrepreneurship
and design, some even consider the two share methods and ways of doing, only using different
names for each step. Creativity, design and innovation are closely interrelated concepts since the
innovation process is supported by design, which in turn, is supported by creativity. We believe
that entrepreneurship makes part of this process as well because entrepreneurship urges
innovation and because entrepreneurship involves designing, in a tacit or explicit manner, the
products, services and the different elements necessary to launch and run a business.
37
The next quote summarizes the joint playground in a simple way:
“Creativity without innovation generates just another idea. Innovation without a potentially
useful and novel idea supporting it will likely be unsustainable and creates no value (has little
or no usefulness) unless a market need or problem is identified and solved. Like the chicken
and the egg, in practice, creativity, innovation, and entrepreneurship need each other (Dino,
2015)
Perhaps the time has come for researchers to stop viewing these as separate domains but rather
subdomains in a larger value-adding ecosystem. With every new dimension of the
entrepreneurship ecosystem studied, we find that multidisciplinary approaches help to obtain
better results. For further work having a clear definition and characterization of the common
ground between these subjects sets the foundations of which elements are going to be taken into
consideration for describing the system required to design an entrepreneurial ecosystem.
If we observe the evolution of the sociograms, we can identify the dynamics on the five stages,
beginning with the fuzzy front end where nothing is clear and some main ideas are chosen, to the
last phase where the programs are running and each agent understand what the particular value
is they are adding to the implementation and maintenance of the entrepreneurial initiative. This
leads us to think if the entrepreneur Is aware that his work is a complex and creative design
process? Or, in other words, is the entrepreneur self-recognized as a creative designer?
We believe that it is important to bear in mind these findings and reflections to rethink the
entrepreneurship and training of new entrepreneurs from a participatory design approach with
awareness of the generation of creative social systems in the work of entrepreneurship.
7. Implications
The results of this study have a direct impact on the teaching and learning practices of
entrepreneurship and its connections with design, as well as in collaborative networks providing
techniques to manage creativity in study and work groups interested in the innovation, creativity,
design and entrepreneurship. On the other hand, it is expected that these results contribute to the
strengthening of the already existing research policies oriented towards collaboration and the
interdisciplinary nature of the fields articulated here, especially design studies, the social
psychology of creativity and entrepreneurship.
All of the above will be able to irrigate innovation in the ways in which the design and
entrepreneurship teams are currently managed, transforming these practices into more creative
processes; having greater clarity of how the social context of the work teams contributes or not
to the establishment of creative social relations in function of the resolution of the problems of
entrepreneurship and participatory design.
8. Concluding Observations
We can identify all collaborative design phases operating in Manizales Más entrepreneurship
ecosystem, it was interesting to find an evolution on the motivations and relations types on each
38
phase.
In Manizales Universities entrepreneurship is now becoming a philosophy, is a collective bet on
entrepreneurs becoming the XXI century face of innovation. The multidisciplinary nature of
entrepreneurship has enriched its knowledge base. Most of new popular products and services
come from multidisciplinary collaboration; entrepreneurs have taken advantage of engineering,
design and biology advances to create new companies and markets. We suppose the behavior
of the ecosystem is quite similar to what we have found on the academic committee.
Finally, we find that understanding how creative social relationships are woven into
entrepreneurial microsystems through collaborative design processes can contribute to the selfmanagement of entrepreneurship ecosystems, so that they are the very agents of the system
who guide their development.
References
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and action: Theoretical, empirical and pedagogical approaches (pp. 1-31). Emerald Group
Publishing Limited.
Dino, R. N. (2015). Crossing boundaries: Toward integrating creativity, innovation, and
entrepreneurship research through practice. Psychology of Aesthetics, Creativity, and the
Arts, 9(2), 139.
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Complexity, 19(1), 1–8. Springer.
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Jones, P. H. (2014b). Systemic design principles for complex social systems. Social systems
and design (pp. 91–128). Springer.
Jones, P. (2014c). Relating Systems Thinking and Design II. Theoretical Evolution in Systemic
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Design. FORMakademisk-research journal for design and design education, 7(4).
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Molina, V. (2017) The Mutualism Relation within the Entrepreneurial Ecosystem. Presented at
ISEA 2017, Manizales, Colombia.
Quintana, M., Vargas, S., & Valbuena, W. S. (2017). La creatividad en el diseño: componentes
sistémicos ¿Más codiseño, menos enseñanza? Arte, Individuo y Sociedad, 29(3), 445–
462. https://doi.org/10.5209/ARIS.55261
Sarasvathy, S. D. (2008). Effectuation: Elements of entrepreneurial expertise. Edward Elgar
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Acknowledgements
This paper shows an intersection between two doctoral thesis. One questions about how to
develop interculturality from creativity with a sociocultural approach and the participatory design.
The other one talks about the entrepreneurial ecosystems as a systemic design result. Both of
them use Social Network Analysis, Complex Adaptive systems and systemic design as a base
to study and understand their particular study cases.
This collaboration allowed both of the researchers to test their instruments and understand some
similarities between their postulates; This has promoted interdisciplinary relations and constant
conversation between different research lines on creativity, design, knowledge management and
entrepreneurship.
We would also like to thank Manizales Más and all the academic committee members that
participated on the sample, the mapping was possible because of your sincere answers.
Author’s profile
Viviana Molina Osorio: Professor in the Business and Economics department, Universidad
Autónoma de Manizales – Colombia. Ph.D. candidate in Design and creation from Universidad
de Caldas. She holds an MBA in Finance from Universidad EAFIT, and undergraduate degree
in Economics from Universidad Autónoma de Manizales. Her research interest revolves around
design, entrepreneurship and complex artifacts.
Widman Said Valbuena Buitrago: Ph. D. candidate in Design and creation, Universidad de
Caldas. Master in Habitat and specialist in Design Pedagogy, Universidad Nacional de
Colombia. Bachelor in Design, Universidad Pedagógica Nacional. Researcher of the research
group Design and Cognition in Visual and Virtual environments -DICOVI- in Universidad de
Caldas, and Researcher and independent consultant in Oka Strategic Academic Consultants.
40
Design protection in managing sustainable user-driven innovation in SMEs
1Gunnar
1Tallinn
Prause, 1Thomas Hoffmann and 2Laima Gerlitz
University of Technology, Estonia; 2 Wismar Business School, Germany
Email: gunnar.prause@ttu.ee
Abstract
Innovation is the key-driving factor for economic growth and social wealth. Innovative
products and services emerge more often as a result of cross-sectorial combination of
technologies, design and business models. In recent times, a design “wave” within
management and innovation gained growing attention in the context of entrepreneurship
and innovation. Numerous approaches emerged under design management or designdriven innovation provinces that have been promising a key to develop, perform
competitively and grow in a sustainable way. Yet, innovation development and the outputs
thereof on the product, service or marketing level embrace also issues that are linked to
the ownership and stakeholders involved in the innovation process, namely, intellectual
property right (IPR) aspects – in both national and international contexts.
From an IPR perspective, one of the most challenging phenomena is the legal
classification and protection of user-driven or open innovation, i.e. companies directly
involving users of its products in product generation and development process – in contrast
to performing these tasks in-house in form of e.g. R&D departments. The value and overall
volume of innovative ideas and solutions “harvested” by companies from their
prosumeristic clients and the general public posting constructive ideas online is
considerable and not restricted to patentable issues. In fact, design-enabled innovation is
becoming a more and more prominent example of user-driven innovation, and the question
of how to calculate and technically provide to prosumeristic users with a fair share of the
company‘s profit created by the economic realisation of these contributions is in industrial
design just as significant as in patents or utility models.
The authors took part in several European research projects on design management, open
innovation and related IPR topics with a focus on transnational entrepreneurship. The
research is based semi-structured interviews, qualitative and quantitative surveys, expert
assessments from different European countries as well as on a comparative analysis of
the legal national and international regulations on the issue. The paper highlights and
discusses results of important aspects of IPR for design management processes forging
innovation and sustainable entrepreneurial growth.
Keywords: Design management, IPR, open innovation, user-driven innovation, SMEs
1. Introduction
41
Design driven innovation enjoys growing importance on the entrepreneurial agenda and
cases like Braun products of Dieter Rams that inspired Apple's designers or the Russian
“Gopniki” look enthusing Western fashion designers show the flow of design innovations
among innovative companies around the world. But most approaches and concepts for
design driven innovations are oriented on large-scale companies, i.e. realistic and feasible
management concepts of design driven innovation for entrepreneurs and specific SMEsuitable implementation concepts are hardly to find. This makes it complicated for SME to
benefit from design-related cost saving, business processes’ improvements and
sustainability which have been proven by research studies (GDC 2010; Gerlitz & Prause
2017). Indeed, traditionally design has been affiliated with products and their uses, their
shapes, colours, etc. or just been treated as a matter of mere styling but today, however,
design has been ‘repositioned’ and new possibilities were opened up for design to play:
within manufacturing, business development, industrial and social innovation and, recently,
digital economy domains (Hack et al. 2013; Inglewood & Young 2014).
Design is used not just for manufacturing anymore, but also for daily life, becoming a
driving force on the entire manufacturing process and the entire lifecycle. Design affects
the entire ecosystem and leaves positive ecological, environmental, sustainable imprints,
e.g. in the manufacturing sector, enables to generate technological innovations or achieve
social inclusion through being heart within social innovation development process (Brown
& Wyatt, 2010). Indeed, as the scholarly discourses showcase, design has become an
important tool related to the business development, innovation and entrepreneurship
(Borja de Mozota 1998, 2003a, 2003b, 2006; Raulik et al. 2008, Prause & Thurner 2014).
By echoing Zhao (2005) an interplay of organizational (cultural), social (external
environmental), managerial (entrepreneurial), technological and environmental domains
that integrate design can drive innovation, accelerate new knowledge and experience
generation. Therefore, the focus turns from traditional design towards design management
(DM), i.e. the efficient and feasible collaboration between design and business in the SME
context, leading to innovation (Norman & Verganti 2014). Innovation is the key to both
competitiveness and growth (Borja de Mozota 2011). Consequently, DM is rather placed
within the area of strategic management where network dimensions play a crucial rule,
connecting and intertwining dimensions that affect SME performance in the regional
context.
But today, innovation is increasingly complex, fast, interactive, and requires the connection
of external and internal knowledge bases (Pavitt 1984; Chesbrough 2003; Asheim &
Gertler 2005; Malerba 2005; Prause & Thurner 2014). Consequently, firms acquire
knowledge from a variety of sources and actors at various spatial scales (Smith 2000;
Tödtling et al. 2006), combining it with internal knowledge and competences. For this
purpose, firms may maintain and use different types of interactions and transfer channels
(Gilsing et al. 2011). Localized design expertise is crucial for competitiveness as innovation
processes rely on the interplay between local and complementary global knowledge and
design expertise (Gertler & Levitte 2005; Boschma & Ter Wal 2007). Thus, globalisation
and emergence of global networks, new social and environmental challenges have
42
jeopardised innovation and growth opportunities. This is especially true for the SME sector
and performance of individual regions of the EU. Certain EU regions located outside the
core of industrial activity or being more remoted from metropolitan areas are subject to a
fiercer competition from other economically strong regions or global players. SMEs are
regarded as a backbone and vehicle of regional and national economy. Thus, in order to
strengthen regions that are exposed to competition more than the other, there is needed
support for SMEs. They play crucial role in generating growth, attracting new investments
and businesses, enabling clusters to evolve and ensuring employability of regional people
(EC 2012a, 2013a, 2013b, 2013c, 2015, 2017; GII 2018).
Since product design plays an important role for the company’s business success the
questions raises how to protect intellectual property rights and how to safeguard that
unique product design is distributed and used globally. Unfortunately, the protection of
designs is not unique organized globally and there are great difference compared to
patents that are applicable all around the world. In the countries of the European
Community, one needs to only pay an official fee and meet other formal requirements for
registration (e.g. Community design at EUIPO, Germany, France, Spain). Another
approach appears for the member states of WIPO where a registration of product design
at WIPO together with an examination by the designated member states in accordance
with the Geneva Act of the Hague Agreement protects the design (DPA 2017).
Protection of product design can be located in the context of Responsible Research and
Innovation (RRI) which is the most recent and mainstream discussion in the EU (EC 2012b,
2013d). RRI can be considered as part of a set of ideas and initiatives addressing socially
responsible innovation, and describes research and innovation processes taking into
account effects and potential impacts on the environment and society; in a nutshell, RRI
can be defined as “transparent, interactive process by which societal actors and innovators
become mutually responsive to each other with a view to the (ethical) acceptability,
sustainability and societal desirability of the innovation process and its marketable
products( in order to allow a proper embedding of scientific and technological advances in
our society (Schomberg 2011). This approach is part of the European research agenda
and has been integrated into EU programmes and projects. Until now, a large number of
EU projects have been funded by the European Commission in order to develop a RRI
governance framework (Res-AGorA 2014).
By accessing protection of product design from IPR point of view, the questions appear
often in the context of open source and user-driven innovation because of the open
distribution of forms and their products in the globalized economy. One can differentiate
open source and user-driven innovation on base of the nature of the innovation target,
either innovator contribute privately and voluntarily to a public good, i.e. to a good or
product which is freely available on the market. This model, known as “private-collective
innovation” (von Hippel & Krogh 2003), is applied for instance often in the IT branch to
develop and maintain open source software; well-known examples are Linux or Firefox.
The model contrasts with the (traditional) private-investment model, where innovation is
43
generated exclusively by the company itself, which – in return – has to amortize its prior
investments via granting licenses to users. It therefore is bound to protect the achieved
innovations, e.g. via licensable IP rights. In private-collective innovation, the privately
generated innovation is not regarded as an “investment”, but rather as a voluntary
contribution to a common good, making the innovator waive any copyright and further IP
rights as soon as the innovation has been shared with others (Lerner & Tirole 2002a; b).
2. Theoretical background
Traditional manufacturing SMEs are forced to search for new innovative and sustainable
solutions in order to survive on the macro-regional or global scale. It might be argued here
that in order to better equip for the global competition, local and regional needs and
challenges need to be addressed first, before proceeding to the global scale. Innovation
generation and focus on the local and regional context needs to be brought back into the
light, making a stronger use of the ‘glocalisation’, which means addressing local and
regional needs and challenges instead of concentrating on global integration (Courchene
1995; Porter 2000; Wolfe 2002). Here, DM can help SMEs to drive innovation and to better
adopt to globalisation by developing new ways of making and selling products, services,
adopting organisational processes and implementing visions that are in line with the needs
and challenges of the local and regional setting (Candi 2006; Steffen 2010; Figurska 2014).
Despite increasing trends of DM utilisation within the global scale and in large
organisations, the map of DM theoretical contributions and practical applications in the
SME context is scarce (Hack et al. 2012, 2013; Gerlitz & Prause 2017). Screening of the
worldwide databases, DM conceptualization and application in the SME context yield just
a few entries (Gerlitz 2018). Parallel, DM is marginally utilised in SMEs and entrepreneurial
management practices and available DM concepts appeared to be either absent or rather
far away from their feasibility to the SME domain (EC 2009, 2013; Prause et al. 2012).
Existing approaches and models are rather driven by transfer of best practices from large
multinational companies which made them less feasible for SMEs, as they were detached
from taking into account the environmental ecosystem of SMEs, addressing less their
specific needs and challenges, SMEs performance practices and networking interactions
(Gerlitz et al. 2016; Gerlitz 2018; Gerlitz & Prause 2017). Consequently, there is missing
a conceptual DM approach to innovation in SMEs from the processual perspective: how
to employ tools, what challenges and opportunities are related to the DM embeddedness
process and how does management of design integration takes place. Furthermore to
large extent knowledge is missing on organisational changes that are based on opportunity
recognition, innovation, organisational strategy and culture (Gerlitz 2018). Additionally, we
are coping with non-utilised potential of DM – design integration and utilisation – in the
SME context by policy and governance measures that would enable to decrease the gap
in knowledge and research on what processes and frameworks may be adopted by
enterprises to assist them in becoming design-oriented. As noted by Whicher & Walters
(2014), only a few regions in Europe have design integrated into innovation policy on
regional and local policy levels (p. 4). Portraying practical application of DM concepts
through research projects is demanded (Acklin et al. 2006).
44
New dynamics in the interaction of innovation, entrepreneurship, design management and
regional development appeared with the rise of the smart specialization and the Industry
4.0 concepts (Gerlitz 2016; Prause 2014). Both approaches embrace distributed
networking interaction and allow the acquisition of knowledge and expertise from a variety
of different sources. Especially for the design sector the inspiration and use of global
patterns, icons, forms or ornaments together with the protection of their intellectual rights
becomes crucial for competitiveness and the prospect of a company. The no universal
“design patent” as a global form of legal protection of design until now but some countries
and institutions made first steps toward patenting industrial design right. On European
level there are forms of registering design as well as for WIPO members and several
countries all around the world (DPA 2017).
Special forms of exchange of design patterns is related to open and user driven processes
that are organized by online communities, and by following Bartl (2008), as an open
innovation approach, which underscores the way of going beyond the corporate
boundaries, i.e. an active strategic deployment of environmental cloud or external factors
of influence to increase its own innovation potential (Hack et al. 2012, 2013). Consequently,
innovation occurs, and ideas and design are generated in such a society through the
interactive creation of value. Additionally, open innovation encompasses such
manifestations as to be open for the knowledge of the other, generation of the knowledge
as a joint action as well as the share of the knowledge with the other. Here, again the
already mentioned cases for open design driven innovation like Braun products of Dieter
Rams or the Russian “Gopniki” fashion look underpins the importance of the flow of design
innovations among open innovation and online communities around the world. But there
should be a legal framework for these considerable transfers of value, providing
sustainability and a minimum of balance of interests of both users and companies, and
legal practitioners should familiarize themselves with user-driven innovation business
models and the implemented technologies (Kerikmäe et al. 2018).
From a legal point of view, there is little demand for a balance of interest to be achieved
by instruments of intellectual property law, as the free use of otherwise protected rights
form the essence of the “Open Source Scene’s spirit”: All parties involved in open source
innovation are aware that they – expressly or impliedly – waive their respective IP rights,
driven by the awareness that they jointly improve a “common good”. But not all open or
user-induced innovations contribute to public goods. The innovation beneficiary more and
more often happens to be a private and profit-oriented company, making the private user
providing innovation not any more to a public good, but to private assets of that company
– e.g. the photography of an amateur carpenter’s design cupboard creation on Instagram,
which is then found and copied by a furniture company (see further examples at Baldwin
et al. 2006). The value generated by this innovation is not any more freely available on the
market, but has to be purchased by each buyer (or other kind of customer) individually. In
this situation, the exchange of interest is not as balanced as in the Open Source Scene,
and correction measures imposed by law may be required. As these contributions are of
immaterial character, these correction measures – in other words forms of legal protection
45
– must be sought among the existing protection schemes intellectual property.
On European level the question of protection of product design falls into the area of
Responsible Research and Innovation (RRI) which refers to the comprehensive approach
of proceeding in research and innovation in ways that allow all stakeholders that are
involved in the processes of research and innovation at an early stage (A) to obtain
relevant knowledge on the consequences of the outcomes of their actions and on the
range of options open to them and (B) to effectively evaluate both outcomes and options
in terms of societal needs and moral values and (C) to use these considerations (under A
and B) as functional requirements for design and development of new research, products
and services (EC 2012b, 2013d). A framework of RRI consisted of six key points and is
described by European Union highlighting engagement, gender equality, science
education, open access, ethics and governance, i.e. RRI can be defined as "a transparent,
interactive process by which societal actors and innovators become mutually responsive
to each other with a view to the (ethical) acceptability, sustainability and societal desirability
of the innovation process and its marketable products in order to allow a proper embedding
of scientific and technological advances in our society (Schomberg 2013). The first steps
on EU level have been scientifically narrowed down by Owen et al. (2012) to the three key
points of democratic governance, responsiveness and framing of responsibility which are
to large extent overlapping with the EU framework as well as by Stilgoe et al. (2013)
highlight as main features for RRI the four dimensions of anticipation, reflexivity, inclusion
and responsiveness. Thus, meanwhile the RRI approach found their way into the strategic
documents and objectives of the Europe 2020 strategy to create smart growth or into the
Horizon 2020 programmes and related projects of European Union including the ResAGorA project (Res-AGorA 2014).
3. Methods
The research process described in the paper has pursued a manifold research path,
whereby diverse research methods have been combined with the respective research
approach and research tool. Five techniques were employed in exploring the objectives of
the present paper:
Research types: analytical, qualitative, historical, empirical, practice-based
Research approach: qualitative
Research methods: descriptive and qualitative – case studies, semi-structured
interviews, expert assessments and observations
Research scope: different research activities between 2013 and 2018.
The reasoning behind the selection of the following techniques in the research process is
elaborated in the following.
Regarding the research types, the paper has chosen analytical, qualitative, empirical and
practice-based way, since during the research process the facts and empirical evidence
gathered were appropriately analysed and subject to a critical assessment. The core of
the research process is the qualitative research approach. Important insight views were
46
given in qualitative expert interviews and the analysis of case studies (Hack et al. 2012,
2013; Prause & Thurner 2014; Hoffmann & Prause, 2015; Gerlitz & Prause, 2017).
4. Design protection schemes in user-driven innovation
a) International design protection
The protection of designs is globally not yet harmonized, as it is e.g. already the case for
patents which can be effective all around the world.
In contrast to other industrial property rights, protection is granted not only upon
registration, but also – similar to copyrights – by mere making the design available in public,
although the scope and period of protection is much less for these unregistered designs.
Both design protection forms share anyway some common protection criteria: It can either
protect the design of a flat surface – for example, of a textile or wallpaper – or the design
of a three-dimensional object. In this context, the following features as lines, contours,
colours, shape, texture or the materials of a product play a role. A product in this context
is any industrial or handicraft item, including packaging, get-up, graphic symbols and
typographic typefaces, as well as parts intended to be assembled into a complex product.
A design must be new on the date of filing the application (respectively on that date where
a first alleged infringement has taken place in case of non-registered designs), meaning
that no design that is identical or differing only in immaterial details from the design in
question has been published, exhibited or put on the market in any other way before that
respective date. Furthermore, the design must have individual character, meaning that its
overall impression must differ from already existing designs. In this context, neither the
view of a layman nor the opinion of a product designer is decisive, but it is rather the overall
impression produced by the design on the so-called “informed user” that is relevant.
These criteria are in national design protection law by contents generally harmonized: The
U.S. design patent, for instance, is a form of legal protection granted to the ornamental
design of a functional item, e.g. jewellery, furniture, beverage containers or logos.
Providing another example, the German registered designs protect the appearance of
industrially manufactured or manually crafted products, for example, clothes, furniture,
vehicles, fabrics, decorative objects or graphical symbols. Parts of products can also be
protected by a registered design, for example, the sole of a sports shoe or the cap of a
writing instrument. Under German law, the registered design (German: eingetragenes
Design), formerly called Geschmacksmuster ("aesthetic model"), is a form of intellectual
property that extends industrial design rights over the visual design of objects that is not
purely utilitarian. The term of a Geschmacksmuster is twenty-five years (§ 27 (2)
GeschmMG), as it is for a community design (Bulling et al. 2004; Eichmann & Kühne 2015;
GPA 2017).
In general, international design protection follows the territoriality principle, i.e. design
rights are granted by and under the legal systems of individual states. Thus, their
47
protection is generally restricted to the territory of the state that granted the design right –
any protection beyond that territory can only be achieved on this basis if parallel national
design rights are obtained in several individual states, usually chosen by the degree of
economic interest for product sales. On this basis, a bundle of rights can be created,
covering the relevant geographic area as a whole. But in fact, such „bundled national
rights“ are rarely applied for in practice, taking into account that there is basic protection
as unregistered design anyway and that substantial costs involved in the accumulation of
national rights (filing fees, publication fees, legal fees, etc.), especially in cases of design
protection of non-durable consumer goods as produced by the fashion industry, toy
industry, etc. But even companies in branches producing longer-lasting products as in the
automotive industry, electronics industry, etc. usually restrict themselves to design
protection in key sales markets (Hasselblatt 2017).
Still, a maximum of international protection is and has always been envisaged by
producers, just as measures of harmonization have been induced and partly also already
achieved by the international community. These measures easier consist of international
treaties harmonizing the national application and registration process (multilateral treaties)
or autonomous international regulations works establishing new, uniform design rights
applicable on the territory of several nation states.
An example for the latter – here for the EU legal space - is the Council Regulation (EC)
No 6/2002 of 12 December 2001 on Community designs (Community designs Regulation),
which grants a unitary right covering all EU member states for up to 25 years for registered
rights (as far as every fifth year the renewal fees have been paid) as well as three years
for unregistered design rights.
The community design is granted additionally to national design protection, which in the
European legal space has anyway to large degree already been harmonized by the
respective implementations into national laws of Directive 98/71/EC of the European
Parliament and of the Council of 13 October 1998 by setting up harmonized standards for
eligibility and protection of most types of registered design.
Beyond the EU, the Hague Model Convention is today the most important treaty providing
uniform registration procedures (but no direct effect, as substantial national design law
remains applied) in all member states - similar to the Madrid Trade Mark Convention, which
also unifies only the filing and registration procedure. Registration procedures are
maintained by the World Intellectual Property Office (WIPO / OMPI) in Geneva.
The Hague Model Convention consists of three separately amended versions of the
original convention of 1925, being the "London Version" (2 June 1934), the "Hague
version" (November 28, 1960) and the „Geneva Version" (July 2, 1996), which are all
parallel in force, as they addressed different international needs; it is thus essential to
specify exactly to which version of the Hague Model Convention is referred to.
48
b) Design protection in user-driven innovation
From an IPR point of view, user-driven innovation can be differentiated on base of the
nature of the innovation target:
Either innovators contribute privately and voluntarily to a public good, i.e. to a good or
product which is freely available on the market. This model, known as “private-collective
innovation” (von Hippel & Krogh 2003), is applied for instance often in the IT branch to
develop and maintain open source software; well-known examples are Linux or Firefox.
The model contrasts with the (traditional) private-investment model, where innovation is
generated exclusively by the company itself, which – in return – has to amortize its prior
investments via granting licenses to users. It therefore is bound to protect the achieved
innovations, e.g. via licensable IP rights. In private-collective innovation, the privately
generated innovation is not regarded as an “investment”, but rather as a voluntary
contribution to a common good, making the innovator waive any copyright and further IP
rights as soon as the innovation has been shared with others (Lerner & Tirole 2002a; b).
But not only the individual innovator refrains from his rights, also firms waive their IPRs
extensively, realizing that making their technical state-of-the-art freely available to the
public generates a much higher return in terms of innovation than the private-investment
model (Henkel et al. 2013). Although innovators “invest” considerably time, energy,
knowledge and other resources without any expectancy of financial gratification, the
private-collective innovation model proved to be very successful in practice (Gächter et al.
2010) and gave grounds to extensive research recently, especially concerning the
contributor’s intrinsic motivation for their free commitment (Alexy & Reitzig 2013).
Form a legal point of view, the exchange of interest in this situation not as balanced as in
the Open Source Scene, and correction measures imposed by law may be required. As
these contributions are of immaterial character, these correction measures – in other
words forms of legal protection – must be sought among the existing intellectual property
protection schemes – for design among the design protection systems discussed above.
A granted registered design is a strong and effective right, and also the unregistered design
grants the creator of the design a range of rights ranging from monetary compensation for
past infringements to injunctions against future infringements.
In fact, every design made available via online communities is (if the respective criteria in
terms of novelty individuality are given) is at least protected as a unregistered design
holder according to national law or – in the EU – according to the community design
regulation. As most users making their designs available in public are not aware of this, in
most cases there is little practical impact of their disclosure. But the situation changes if
the private company copies that design found online and seeks protection of its legal
position from the usage of that design against other third persons: In the case presented
above, the furniture company may eventually intend to apply itself for design protection
based on the design disclosed on the internet by the amateur carpenter. When it will hand
in a respective application for a design at the competent office, in most legal systems the
49
office will check – among other conditions – the novelty of the design. If the company did
not disclose itself the origin of the design, a research by the office may reveal the amateur
carpenter as creator, who, in this case, also made his design publically available –
depriving it from its novelty. But the company’s situation is even at stake if it does not apply
for design protection, but simply starts mass production within three years after design
disclosure, as the initial creator will in many cases be protected at least as holder of an
unregistered design right. Depending on the respective legal regime (national or
international law, depending on the function of the design office), the amateur carpenter
could file a notice of opposition within a special opposition period, and also without such
an opposition the company remains endangered that the user will later hand in an action
for nullification of the design, as the conditions for its grant had not been met, or sue for
cease and desist from the usage of his design in case the company did not apply for design
protection, but trusted to have an unregistered design.
In other words: If a company endeavours the complete exploitation of a design – and the
more attractive the design is, the more probable this endeavour will be –, it has in some
way to cooperate with the creator of that design. Otherwise, it will run the constant risk of
a later revocation of its design right, including a court order to cease and desist from usage
of that design.
5. Findings and Discussion
A closer look at the German statistics concerning design protection reveal that in 2017
about new 44300 design registrations were executed, and the largest number of
registrations concerned furniture (ca. 12000), followed by clothes (ca. 10000) and graphic
design objects (ca. 7000). All in all the number if design registrations decreased by about
22% compared to 2016 but during the period from 2010 to 2016 the number of annual
design registrations ranged around 50000. Interesting wise, the 2016 figures reveal that
the top 3 leading company with design registrations consisted of an Italian company (4200
registrations), a German enterprise (2230) and an Austrian company (1116). At the end of
2017, altogether 312 860 design registrations were enrolled in the databases of the
German Patent and Trademark Office (GPTMO 2017).
Although therefore a clear demand for the regulation of these forms of cooperation exists,
the legal protection of user’s interest in the context of user-driven innovation has not yet
been settled. Still, there is a similar constellation of interests which already has been
regulated in detail by law: Just as in user-driven innovation, an employee not holding any
personal shares in the profit of a company generates innovation through own design
creations he or she develops through daily contact with products or their production, which
usually – if they are high-quality design ideas – find their way to the company’s
management, are respectively implemented into production, hence lead to the attraction
of these products and increase the profit of the producing company.
The European Commission took from 2010 cross-cutting RRI actions and financed a
50
couple of international research projects in order to develop a Responsible Research and
Innovation governance framework. Driving force were the EU constitutional values
comprising respect, for human dignity, liberty, democracy, equality, the rule of law and
respect for human rights, including the rights of persons belonging to minorities.
Background idea was that innovation and new technologies should meet the global
challenges by respecting the European values and safeguarding development, social
cohesion and the maintenance of economic prosperity in the frame of EU2020 strategy
(EU 2012b, 2013d). Important key points were dedicated to open access and ethics as
well as to certain extent governance which are covering the topics of this paper. Among
the initiated EU research projects on RRI some were touching design protection and userdriven innovation including the Res-AGorA and the IRRESISIBLE projects (Res-AGorA
2018). Both projects looked to case studies in design and smart manufacturing sector and
investigated the contextual RRI framework but the legal aspects of our research have not
been discussed, especially the employee’s design rights were not in the centre of the
research projects so that a clear and generally accepted legal framework is still missing.
In terms of law, employee’s design rights generally are automatically transferred to the
employer, see eg. Sec. 7 II German Design Act (DesignG) – unless the design has been
created explicitly beyond the creator’s contractual tasks. In contrast to employee’s
inventions, which entitle the employee in return to a respective monetary gratification (art.
9-12 ArbNErfG), the German design act does not provide any regulation gratifying the
employee for his or her contribution. Still, in cases of truly successful and artistic design
creations, German copyright law grants the author in sec. 32 II 2 an equitable remuneration
at an amount which “corresponds to what in business relations is customary and fair, given
the nature and extent of the possibility of use granted, in particular the duration, frequency,
extent and time of use, and considering all circumstances” (Schwab 2014, Hasselblatt
2017).
This regulation provides at least a general approach of how interests of the creator of a
successful design and the employer in the situation of “employee-driven innovation” can
be balanced. It may be argued that this model cannot be applied directly on the situation
of user-driven innovation, as there is an essential difference: While the designing
employee and his employer are bound by a joint employment contract, there is no
contractual relationship between the user providing attractive design in a virtual community
and the innovation-exploiting company.
But just as the gratification paid to the designing employee does not arise from contractual
relationships, but simply distributes a respective share of the profit made by the company
expected on base of the new design, the duty to pay a respective gratification on base of
copyright law – in our example sec. 32 I UrhG, including its calculation methods – can be
respectively applied to the favour of users in user-driven innovation as well, serving
exclusively that balance of interest also envisaged in user driven innovation and rendering
the company’s design strategy sustainable. As the user does often not know which
company may exploit his design in future – and as there would not be any duty to inform
51
anybody about eventual designs for users anyway – the information duties would be
reversed, i.e. the interested company would be obliged to disclose its intention to make
use of a specific design to its respective author (as far as possible). If the author does not
react within a period of time still to be determined, his consent would be assumed – leaving
untouched his claim for gratification, if he only finds out about the use of his design later.
7. Conclusions
The way technical innovation is generated in companies has essentially changed in recent
years, and the trend has just started: No internal design department of any company has
the resources to compete with the “creativity of the crowd” provided by millions of private
product users every day – in real time, based in real experiences, and – so far – at no
costs. Thus, companies access design ideas or user provide these designs to companies
so far for free, as the “Open Source Spirit” – which is based on an informal understanding
of mutual benefit of all actors involved, leaving any claims for monetary compensation
aside – is still alive in the internet community, and as many users do not realize that their
designs disclosed on the web have indeed an – eventually considerably high – market
value at all.
The European Union has recognised the importance of these issues and initiated activities
to develop a Responsible Research and Innovation (RRI) governance framework
addressing socially responsible innovation, and describes a research and innovation
process that takes into account effects and potential impacts on the environment and
society. Important basics points dedicated to open access, ethics and governance which
are covering the protection of design rights in open access environments. Some initiated
EU research projects on RRI were touching design protection and user-driven innovation
but a clear legal framework is still missing.
The estimation of the benefits of user innovation communities for companies is manifold
comprising sustainability aspects due to stronger user orientation in product development
as well as significant cost aspects due to their analysis of all success dimensions and all
phases of the life-cycle supply chain of a product. Consequently the large potentials in the
usage of design innovations from user communities have to be kept in mind when it comes
to the evaluation of related tentative IPR payments to users.
While the exploitation of this design knowledge is at present basically free for private
companies and therefore is becoming more and more essential in the firms’ scheme, the
Open Source Spirit will sooner or later fade, as users will realize that there is not much of
a mutual benefit left if their creative contributions do not serve a public good, but the profit
of private companies. This does not mean that the trend to even more user-driven
innovation should be stopped or even reverted – on the opposite, the abundant resource
of user’s creativity should even be explored further, and the communication between users
and private companies should further be intensified.
52
Hence, a legal framework for these considerable transfers of value is required, providing
sustainability and a minimum of balance of interests of both users and companies, and
legal practitioners should familiarize themselves with user-driven innovation business
models and the implemented technologies. Such a framework is so far lacking in virtually
most legal systems, as the dogmatically closest legal mechanism – employee’s invention
law and copyright law – cannot be directly applied on user driven innovation due to the
lack of any legal relationship between the innovating user and the exploiting company. Still,
there is one element in employee’s copyright law, which is not based on a contract between
both parties – the duty to pay a respective gratification to the private designer. This duty
should be imposed respectively on companies exploiting user-driven innovation – at least
as far they want exclusively exploit the innovation on base of the existing design.
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57
The relationship between students’ creative attitudes and
consciousness of computer programming
1Masanori
Fukui, 2Masakatsu Kuroda, 2Jun Moriyama and 1Tsukasa Hirashima
University, 2Hyogo University of Teacher Education
Email: f-masanori@oecu.jp
1Hiroshima
Abstract
In the national high school curriculum of Japan announced in 2018, computer programming
education became a more important part of information studies. Computer programming
education involves learning activities in which students find problems and create computer
programs to solve them. In classes focusing on such activities, it is predicted that the
creative attitudes of students play an important role in readiness. Therefore, in this research,
we examined the relationship between the creative attitudes of high school students and
their consciousness of computer programming education. At three public high schools, a
survey was conducted of 226 first-grade high school students who had not yet taken any
computer programming courses. For the measurement scales of creativity, we used six
factors of creative attitudes, as follows: “flexibility,” “analytical problem solving,”
“entrepreneurship,” “perseverance,” “imagination,” and “cooperation.” The results showed
that students with high “flexibility,” “analytical problem solving,” “entrepreneurship,” and
“perseverance” were expected to have application expectations of computer programming
that were useful in understanding the mechanisms of computers and the importance of
creative activities. This suggests that students with high creative attitudes are more
motivated to learn computer programming. On the contrary, during introductory computer
programming education, the necessity of motivating students with low creative attitudes is
highlighted.
Keywords: Creativity, Creative Attitudes, Consciousness of Computer Programming,
Survey
Introduction
In Japan’s new national curriculum to be implemented in 2020, computer programming
education is a part of compulsory education, and further education in computer
programming is scheduled for high school. In order to respond to this situation, it is
necessary for high school information studies classes to increase the significance of
computer programming in students’ real lives. On the other hand, it has been pointed out
that creativity development is important, and computer programming education is no
exception. According to data from the Ministry of Education, Culture, Sports, Science and
Technology (2016) and Ministry of Internal Affairs and Communications (2016), computer
programming education is effective in promoting learner creativity. In other words,
promoting creativity through computer programming is thought to be important for enriching
computer programming education. Abe (2016) reported that many universities and
elementary schools educated computer programming using Scratch, many of the works
demonstrating creativity were produced, and that many of the works demonstrating
creativity were greatly improved from their original form. This is said to be the result of
creativity being expressed and highlights the importance of computer programming
education. However, the definition of creativity is not clear. For example, the "creativity of
self-realization" that values newness for each child/student is fundamental (Onda, 1994).
Boden (1998) said that creativity is not only for the elite, but is a feature of human
intelligence and is based on everyday associations, recollections, perceptions, analogical
58
thinking, problem space searches, and reflections. The ability to create things is divided
into "P-creativity” (individual psychological creation) and "H-creativity” (historical creation)."
P-creativity is the more basic concept. Csikszentmihalyi said that creativity contains both
"creativity" and “‘big C’ Creativity." Creativity is creativity in a very personal range; it is
demonstrated in the lives and spaces of individuals, and even if the results are not
acknowledged by others, it will enrich their own lives. “Big C” Creativity is creativity that
reforms creativity, culture, and things in the public, our ways of life, etc., even though it
originates in an individual; it is something people expect and demand as a society. It also
states that people who acknowledge novel facts are necessary.
As mentioned above, the definition of creativity is diverse. In previous research, the concept
of creativity is used ambiguously, and the methods of evaluating its development are not
clear. On the other hand, in computer programming education in Japan, training in
computer programming thinking is desired, and it is compulsory to implement it in each
subject without requiring coding knowledge (Ministry of Education, Culture, Sports, Science
and Technology, 2016). In other words, with the aim of promoting generic problem-solving
skills using computers, it is important to develop personalities and attitudes that create new
things without being bound by certain subjects, and it is important to encourage students
to tackle creative problem solving. The study of strategy and setting of subject matter are
important. The related attitude is called a “creative attitude.” According to Schank and
Childers (1988), people with creative attitudes do not solve problems using an
immobilization/routine method, but rather use questions, curiosity, and fear of danger. This
attitude entails trying to constantly improve and learning from failure. Also, creative
attitudes affect creative problem solving. In order to compare the creative attitudes of US
and Japanese students, Shigemasu et al. (1993) created a questionnaire on creative
attitudes and compared six factors: “flexibility,” “analytical problem solving,”
“entrepreneurship,” “perseverance,” “imagination,” and “cooperation.”
From the above, it can be seen that it is important to increase the significance of computer
programming and creative problem solving power that is not limited to certain subjects, and
it is assumed that creative attitudes as a form of “creativity as readiness” play an important
role in computer programming education. In other words, in conducting computer
programming education to raise the creativity of students, it is important to develop practical
strategies and subjects based on the relationship between students’ creative attitudes and
their significance to computer programming. In the future, in implementing programming
education to raise creativity, it will be important to develop the power of programming and
increase the interest in programming. Furthermore, information that is not limited only to
coding ability development such as the usefulness of programming, the consciousness that
it is useful for other things if programming is possible, the importance of understanding the
mechanism of computers, the importance of creative activities using computers, etc. It is
thought that it is important to raise the social view on information. However, the relationship
between student 's creative attitudes and its significance to computer programming has not
been clarified. Therefore, this study aimed to clarify its role by paying attention to creative
attitudes which is creativity as readiness for students to feel significance to learning of
computer programming.
Methods
Survey targets
A total of 226 first-year students from 3 public high schools in Hyogo prefecture (92 boys
and 134 girls) in Japan were targeted. They had not completed programming education in
high school. There were a total of 197 effective responses (81 boys and 116 girls), giving
59
an effective response rate of 87.2%.
Measurement scale
The measurement scale included (1) six factors of creative attitudes—“flexibility,”
“analytical problem solving,” “entrepreneurship,” "perseverance,” “imagination,” and
“cooperation”—and (2) items for grasping the significance of programming (how we want
to relate to future programming and social views on information).
Creative attitudes scale
In order to grasp the nature of creative attitudes, the creative attitude scale created by
Shigemasu et al. was used.
“Flexibility” includes factors of association that float along one after the other, creating
perspective and a diversity of ideas. “Analytical problem solving” includes factors such as
the structure of a problem before it is solved and the viewpoint used in the approach.
“Entrepreneurship” involves observing and discovering new and rare things. “Perseverance”
is about not liking to finish things halfway and persistently pursuing one’s goals without
giving up. “Imagination” entails "thinking about things different from reality," imagining
various new things, think factors, etc. “Cooperation” is a factor that emphasizes the
harmony of the whole group, where "the whole sum is important when acting in a group."
(Shigemasu et al., 1993).
In the items indicated by Shigeru et al.(1993), those with a factor loading of less than 0. 4
were cut in order to reduce the burden on students' answers. In total, 13 items for “flexibility,”
9 for “analytical problem solving,” 5 for “entrepreneurship,” 5 for “perseverance,” 4 for
“imagination,” and 5 for “cooperation” were used. The items are as follows:
·
·
·
·
·
·
·
·
·
·
·
·
·
·
·
·
·
·
·
Factor 1
I am good at telling stories.
When I am in trouble, I will soon find a solution.
I can see from various standpoints.
My mind is quick.
Associations float along one after another.
I enjoy intense discussions.
There are abundant topics.
It is often said that people are individuals.
I have broad knowledge.
It is often said that I come up with something that other people cannot come up with.
It is good to find common points among different things.
Many people are asked how to solve a problem.
It is better to have a good idea.
Factor 2
Before solving a problem, I think carefully about the structure of the problem.
Even if a problem is solved, I think about other better ways of solving it.
When an idea comes up, I think about how to realize it.
Before diving in head first, I think about the procedure.
It is easy to divide a problem into several smaller problems.
I believe that I have the ability to understand the essence of things.
60
· I like observing things in detail.
· I try to think about the essence of things.
· I can understand the structure of things well.
Factor 3
· I am very curious.
· We devise various ways to make life more convenient.
· I like new and rare things.
· It is good to make things.
· I want to make a wonderful thing that has never been made before.
Factor 4
· If you concentrate, you can ignore your surroundings.
· I am committed to everything.
· I do not like to stop things halfway or do things halfway.
· I do not give up on things easily.
· I have firm opinions.
Factor 5
• I am very happy to think about new things.
• It is better to do a variety of things than to concentrate on one thing.
• I often think about being special or different from reality.
• I think that I am different from others.
Factor 6
• When acting in a group, I think that the "harmony" of the group is important.
• I think that it is very important to have a superior owe you a favor.
• I often work in cooperation with someone.
• When I do not know how to do something, I consult with people.
• If I see that people are in trouble, I often try to help.
Items for grasping the significance of programming
In order to grasp the significance of programming to students, the following items were
prepared. Abbreviated versions of each item are shown in parentheses at the end of the
sentence. Regarding social views on information, we measured them using a scale with
the following possible responses: 4 = “Agree very much,” 3 = “Agree slightly,” 2 = “Do not
agree much,” and 1 = “Do not agree at all.” To grasp how the participants engaged with
programming (relationship with programming), we used a single answer format. The items
are as follows:
Relationship with programming
• As a programmer.
• As a hobby.
• No particular development, but to utilize more applications (to utilize applications, etc.)
• Nothing in particular.
The items related to social views of information came from a summary of discussions by
the Elementary School Subcommittee of the Ministry of Education, Culture, Sports, Science
and Technology. We used these items to draw out social views on information. The items
are as follows:
61
•
•
•
•
Social views of information
Programming is very useful to me (usefulness of programming).
I think that the contents of programming are useful even for things other than
programming (useful for applications other than programming).
I think that it is important to know what kind of mechanisms computers use
(importance of understanding the mechanisms of computers).
In the future, rather than using computers to improve work efficiency, I think that they
will be more important to use for other activities (importance of creative activities).
Survey procedure
The survey was conducted in December 2016 during lessons in the common subject
"information" at the surveyed school.
Analysis procedure
First, we set up a group for each choice regarding students’ relationship with programming.
Then, an upper group and a lower group were formed based on the average value of each
creative attitude factor, and an χ2 test was performed on the number of people in each
group. Next, the upper group and the lower group were set on the basis of the average
value of the items concerning creative attitudes, and a two-way analysis of variance was
carried out with each social views on information item as the factor, and with gender × topand bottom-ranking factors as a factor.
Results
Status of the participants
The significance of programming
Table 1 shows the results of the simple χ2 test on whether the simple summation results
on how students wanted to engage with programming (relationship with programming) and
the answers selected by the students differed. Regarding their relationship with
programming, 6 boys (3.1%) and 1 girl (5.5%) answered “as a programmer"; 16 boys
(8.1%) and 11 girls (5.6%) said “as a hobby”; 5 boys (2.5%) and 8 girls (4.1%) answered
"no particular development, but to utilize more applications"; and 54 boys (27.4%) and 96
girls (48.7%) said "nothing in particular." Then, the χ2 test showed a difference between
the groups (χ2(3) = 11.08, p <.05). By item, significantly more boys than girls answered "as
a programmer" or "as a hobby.” In addition, significantly more girls than boys answered
"nothing in particular."
Creative attitudes
Table 2 shows the simple counting results for each item on students’ creative attitudes.
The overall average values of “flexibility” and “analytical problem solving” were lower than
the midpoint of 2.50, and the overall average value of each other creative attitude factor
was higher than 2.50. A t test of the difference between the average and the difference
between the sexes revealed that “flexibility” (t(195) = 2.22, p <.05), “analytical problem
solving” (t(195) = 3.87, p <.01), and “total of creative attitudes” (t(195) = 1.80, p <.10) were
significant at the 5% level, and the average value for boys was higher than that for girls.
No significant differences were found for the other items.
Thus, it seems that boys are more flexible—flexible enough to create ideas that float along
one after another. Before solving a problem, it was suggested that boys tended to show
interest more than girls for problems including viewpoints and approaches to the problem,
such as viewpoints and approaches to problems, including such contents.
62
Social views on information
Table 3 shows a simple summary of the results on each item on social views on information.
The overall average value of "useful for applications other than programming" was lower
than the midpoint of 2.50, and the overall average value of social views on other information
was higher than 2.50. Also, a t-test of the difference between the average and the
difference between the sexes revealed that "useful for programming" (t(195) = 3.85, p <.01),
"useful for applications other than programming" (t(195) = 3.96, p <.01), “importance of
creative activities" (t(195) = 2.66, p <.01), and "useful for understanding the mechanisms
of computers" (t(195) = 2.80, p <.01) were significant at the 5% level, and the average
value for boys was higher than that for girls.
Thus, it seems that boys know that programming is useful to them and also has usefulness
outside of programming applications. It is important to understand the mechanisms of
computers, because in the future is will be more important to use computers for more
efficient work and creative activities. Here, the average value for boys was higher than that
for girls.
Relationships between relationship with programming and creative attitudes
For the relationship with programming, groups were formed for each choice selected by
the students; upper groups and lower groups were set based on the average value of each
factor of creative attitudes, and a χ2 test was conducted on the difference between the
groups. The results are shown in Tables 4 and 5.
In boys, “analytical problem solving” (χ2(3) = 7.66, p <.10), “entrepreneurship” (χ2(3) =
11.34, p <.05), and “total of creative attitudes” (χ2(3) = 9.94, p <.05) showed significance
or a significant trend at the 5% level.
In girls, “flexibility” (χ2(3) = 10.00, p <.05), “entrepreneurship” (χ2(3) = 14.08, p <.01),
“perseverance” (χ2(3) = 11.74, p <.01), “imagination” (χ2(3) = 11.13, p <.05), and “total of
creative attitudes” (χ2(3) = 10.53, p <.05) showed significance or a significant trend at the
5% level. By item, significantly more boys chose item 4 of the “analytical problem solving”
lower group, item 3 of the “entrepreneurship” upper group, item 4 of the “entrepreneurship”
lower group, and item 4 of the “total of creative attitudes” lower group. In addition, the
number of item 4 in the upper group of “analytical problem solving,” item 3 in the
“entrepreneurship” lower group, item 4 in the upper group, and item 4 in the upper group
of the “total of creative attitudes” were significantly less. In girls, item 2 of the “flexibility”
upper group, item 3 of the lower-rank group, item 2 of the upper group of “entrepreneurship,”
item 4 of the lower group, item 2 of the upper group, item 2 of the lower group, item 2 of
the upper group of “imagination,” group 4, “total of creative attitudes” upper group 2, and
lower group item 4 were significantly more selective. Item 2 of the “flexibility” lower group,
item 3 of the upper group, item 2 of the “entrepreneurship” lower group, item 4 of the upper
group, item 2 of the “perseverance” lower group, item 4 of the upper group, item 2 of the
“imagination” lower group, the upper group, item 4 in “total of creative attitudes,” item 2 in
the lower group, and item 4 in the upper group were significantly fewer. These results
suggest that a “creative attitude as readiness” has an influence on programming
involvement, and that the gender and creative attitudes that influence it are different factors.
Relationship between creative attitudes and social views on information
To grasp the relationship between a “creative attitude as readiness” and social views
concerning information, upper and lower groups were set up based on the average value
of each item for creative attitude; gender × top- and bottom-ranked groups were the factors,
63
and social views on information was the objective variable. The results are shown in Tables
6, 7, 8, and 9.
As seen in Table 6, on the whole, students with high average values for “flexibility” (F(1,193)
= 6.32, p <.05), “analytical problem solving” (F(1,193) = 21.44, p <.01), “entrepreneurship”
(F(1,193) = 4.31, p <.05), “perseverance” (F(1,193) = 7.99, p <.01), and “total of creative
attitudes” (F(1,193) = 9.36, p <.01), from the creative attitude factor as the main effect of
creative attitudes, were significantly higher (at the 5% level) for the usefulness of
programming. No significant differences were found for “imagination” (F(1,193) = 2.25, n.s.)
or “cooperation” (F(1,193) = 0.84, n.s.). In both cases, the average value for boys was
higher than that for girls. “Flexibility” (F(1,193) = 15.06, p <.01), “analytical problem solving”
(F(1,193) = 18.96, p <.01), “entrepreneurship” (F(1,193) = 12.48, p <.01), “perseverance”
(F(1,193) = 14.79, p <.01), “imagination” (F(1,193) = 15.43, p <.01), “cooperation” (F(1,193)
= 14.41, p <.01), and “total of creative attitudes” (F(1,193) = 15.31, p <.01), from the
creative attitudes factor as the main effect of sex, were significantly higher (at the 5% level)
for the usefulness of programming. In both cases, the average value for boys was higher
than that for girls. Interaction was not significant for any factor.
As seen in Table 7, on the whole, students with high average values for “flexibility” (F(1,193)
= 10.89, p <.01), “analytical problem solving” (F(1,193) = 31.54, p <.01), “entrepreneurship”
(F(1,193) = 11.01, p <.01), “perseverance” (F(1,193) = 5.82, p <.05), “imagination”
(F(1,193) =5.68, p <.05), and “total of creative attitudes” (F(1,193) =20.15, p <.01), from
the creative attitude factor as the main effect of creative attitudes, were significantly higher
(at the 5% level) for the usefulness of applications. No significant difference was found for
“cooperation” (F(1,193) = 2.10, n.s.). In both cases, the average value for boys was higher
than that for girls. Interaction was not significant for any factor. ”flexibility” (F(1,193) = 16.19,
p <.01), “analytical problem solving” (F(1,193) = 21.51, p <.01), “entrepreneurship”
(F(1,193) = 12.43, p <.01), “perseverance” (F(1,193) = 15.46, p <.01), “imagination”
(F(1,193) = 17.31, p <.01), “cooperation” (F(1,193) = 16.53, p <.01), “total of creative
attitudes” (F(1,193) = 17.51, p <.01), from the creative attitude factor as the main effect of
creative attitudes, were significantly higher (at the 5% level) for the usefulness of
programming. In both cases, the average value for boys was higher than that for girls.
As Table 8 shows, on the whole, “flexibility” (F(1,193) = 3.96, p <.05), “analytical problem
solving” (F(1,193) = 11.66, p <.01), “entrepreneurship” (F(1,193) = 24.27, p <.01),
“perseverance” (F(1,193) = 3.61, p <.10), “imagination” (F(1,193) = 12.04, p <.01),
“cooperation” (F(1,193) = 3.41, p <.10), and “total of creative attitudes” (F(1,193) = 13.84,
p <.01), from the creative attitude factor as the main effect of creative attitudes, were
significantly higher (at the 5% level) for the usefulness of understanding. In both cases, the
average value for boys was higher than that for girls. “flexibility” (F(1,193) = 7.11, p <.01),
“analytical problem solving” (F(1,193) = 8.78, p <.01), “entrepreneurship” (F(1,193) = 4.32,
p <.05), “perseverance” (F(1,193) = 6.89, p <.01), “imagination” (F(1,193) = 7.17, p <.01),
“cooperation” (F(1,193) = 6.93, p <.01), and “total of creative attitudes” (F(1,193) = 7.72, p
<.01), from the creative attitude factor as the main effect of sex, were significantly higher
(at the 5% significance) level for the usefulness of understanding. In both cases, the
average value for boys was higher than that for girls. Interaction was not significant for any
factor.
As seen in Table 9, overall, “analytical problem solving” (F(1,193) = 9.21, p <.01),
“entrepreneurship” (F(1,193) = 4.28, p <.05) and “imagination” (F(1,193) = 9.20, p <.01),
from the creative attitude factor as the main effect of creative attitudes, were significantly
higher (at the 5% level) for the importance of creative attitudes. No significant differences
64
were found for “flexibility” (F(1,193) = 1.56, n.s.), “perseverance” (F(1,193) = 2.34, n.s.),
“cooperation” (F(1,193) = 0.80, n.s.), or “total of creative attitudes” (F(1,193) = 2.67, n.s.).
In both cases, the average value for boys was higher than that for girls. Interaction was not
significant for any factor. “Flexibility” (F(1,193) = 7.78, p <.01), “analytical problem solving”
(F(1,193) = 9.33, p <.01), “entrepreneurship” (F(1,193) = 6.23, p <.05), “perseverance”
(F(1,193) = 7.53, p <.01), “imagination” (F(1,193) = 7.48, p <.01), “cooperation” (F(1,193)
= 7.64, p <.01), and “total of creative attitudes” (F(1,193) = 7.81, p <.01), from the creative
attitude factor as the main effect of sex, were significantly higher (at the 5% level) for the
importance of creative attitudes. In both cases, the average value for boys was higher than
that for girls. Interaction was not significant for any factor.
From the above, it can be seen that students with highly creative attitudes have a high
social view of information, and that boys have a more social view of information than girls.
This is consistent with the tendency of the above-mentioned boys to have higher creative
attitudes than girls and their tendency to have a high social view of information.
Discussion
Based on the above results, the associations between a “creative attitude as readiness”
and creative attitudes and social views on information were recognized. Regarding creative
attitudes and social views on information, the average value for boys was higher than that
for girls. However, the relationship between creative attitudes and social views on
information had the following differences among items. Regarding the usefulness of
programming, “flexibility” (F(1,193) = 6.32, p <.05), “analytical problem solving” (F(1,193)
= 21.44, p <.01), “entrepreneurship” (F(1,193) = 4.31, p <.05), “perseverance” (F(1,193) =
7.99, p <.01), and “total of creative attitudes” (F(1,193) = 9.36, p <.01), from the creative
attitudes factor as the main effect of creative attitudes, were all higher than average. Also,
no significant differences were found for “imagination” (F(1,193) = 2.25, n.s.) or
“cooperation” (F(1,193) = 0.84, n.s.). Regarding usefulness in application, “flexibility”
(F(1,193) = 10.89, p <.01), “analytical problem solving” (F(1,193) = 31.54, p <.01),
“entrepreneurship” (F(1,193) = 11.01, p <.01), “perseverance” (F(1,193) = 5.82, p <.05),
“imagination” (F(1,193) = 5.68, p <.05), and “total of creative attitudes” (F(1,193) = 20.15,
p <.01) from the creative attitudes factor as the main effect of creative attitudes were all
significantly higher. Also, no significant difference was found for “cooperation” (F(1,193) =
2.10, n.s.). For the usefulness of understanding, “flexibility” (F(1,193) = 3.96, p <.05),
“analytical problem solving” (F(1,193) = 11.66, p <.01), “entrepreneurship” (F(1,193) =
24.27, p <.01), “perseverance” (F(1,193) = 3.61, p <.10), “imagination” (F(1,193) =12.04, p
<.01), “cooperation” (F(1,193) = 3.41, p <.10), and “total of creative attitudes” (F(1,193) =
13.84, p <.01), from the creative attitude factor as the main effect of creative attitudes, were
significantly higher. Regarding the importance of creative attitudes, “analytical problem
solving” (F(1,193) = 9.21, p <.01), “entrepreneurship” (F(1,193) = 4.28, p <.05), and
“imagination” (F(1,193) = 9.20, p <.01), from the creative attitude factor as the main effect
of creative attitudes, were significantly higher. No significant differences were found for
“flexibility” (F(1,193) = 1.56, n.s.), “perseverance” (F(1,193) = 2.34, n.s.), “cooperation”
(F(1,193) = 0.80, n.s.), or “total of creative attitudes” (F(1,193) = 2.67, n.s.). According to
the χ2 test results, in boys, “analytical problem solving” (χ2(3) = 7.66, p <.10),
“entrepreneurship” (χ2(3) = 11.34, p <.05), and “total of creative attitudes” (χ2(3) = 9.94, p
<.05) showed significance or a significant trend at the 5% level. In girls, “flexibility” (χ2(3) =
10.00, p <.05), “entrepreneurship” (χ2(3) = 14.08, p <.01), “perseverance” (χ2(3) = 11.74, p
<.01), “imagination” (χ2(3) = 11.13, p <.05), and “total of creative attitudes” (χ2(3) = 10.53,
p <.05) showed significance or a significant trend at the 5% level. No significant differences
were found for the other items. Therefore, differences in the relationships between factors
of creative attitudes and the relationship with programming were suggested. However, on
65
the whole, the choice of "nothing in particular" accounted for 76.1% of the total, so it is
necessary to take some measures for the students who gave this answer. In addition, by
boosting creative attitudes, how students relate to programming will change drastically; for
that purpose, classes in programming should highlight the importance of computers
through the use of subjects that increase creative attitudes and by developing lessons on
the use of applications. In this way, it will be possible to enhance students’ understanding
of why programming and computers are important. To that end, developing classes that
evoke “flexibility,” “analytical problem solving,” “entrepreneurship,” and “imagination” in
relation to the awareness of the usefulness of understanding the mechanisms of computers
is important. Also, it is conceivable strategies such as evoking “importance of creative
activities” by making use of subjects that enhance “analytical problem solving,”
“entrepreneurship,” and “imagination.”
In the future, when implementing programming education to raise creativity, it is important
to raise students’ interest in programming (including the related training and skills) and to
raise their social views on information. In order to raise their social views on information
such as the usefulness of programming and the importance of understanding computers’
structures, their consciousness of the fact that programming is useful for other things is key.
Overall, it seems that teaching methods that evoke “analytical problem solving” and
“entrepreneurship” are effective. For example, it is useful to use new and rare things, to
think about the structure of a problem before solving it, and to utilize a theme that can be
viewed in various ways. However, between boys and girls, we found that creative attitudes
related to social views on information were different. In other words, in classes that do not
distinguish between genders, a teaching method that sets multiple subjects that
appropriately enhance creative attitudes within the scope of the students’ readiness and
allows the students to select tasks themselves will be useful. Furthermore, though it is
possible to set a range of tasks, setting up a learning guidance process that gradually shifts
from basic programming lessons to problem solving using creative factors (degree of
freedom) should be considered.
Summary and Future Works
In this research, we examined the significance of programming to high school students
(relationship with programming and social views on information) and a “creative attitude as
readiness.” As a result, on the whole, students with a highly creative attitude as a form of
readiness showed social views on information that were significantly higher than average.
However, it was found that creative attitudinal factors with relevance differ depending on
items related to social views on the information. In the future, when implementing
programming education to increase creativity, it is important to understand the usefulness
of programming, how programming can be used for other things, the importance of
understanding the structure of computers, and the importance of creative activities using
computers. In order to boost social views on information, teaching methods that evoke
“analytical problem solving” and “entrepreneurship” will be useful. In the future, according
to the results of this research, it is necessary to promote programming education to develop
practical strategies based on the actual situations of students and set subjects with
contexts that can appropriately stimulate creative attitudes and nurture creativity.
Acknowledgments
This work was partly supported by JSPS Grant-in-Aid for JSPS Research Fellow Grant
Number 18J20759. The authors are indebted to Mr. Yuito Futatsugi, Mr. Takahiro Harada,
and Mr. Yusuke Watanabe for providing the questionnaire for high school students. Also,
we are indebted to Dr. Ryohei Miyadera, whose contributions were significant, and we
would like to thank Editage (www.editage.jp) for English language editing.
66
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Appendices
Table 1
The significance of programming.
Girls (n =116)
Total (n =197)
n
%
n
%
n
%
As a Programmer
6▲
3.1%
1
0.5%
7
3.6%
As a Hobby
16▲
8.1%
11
5.6%
27
13.7%
5
2.5%
8
4.1%
13
6.6%
54
27.4%
96▲
48.7%
150
76.1%
Relationship with
Programming
To utilize applications,
etc
Nothing in paticular
Boys (n =81)
Note. χ (3) = 11.08, p <.05
the element of value was significantly higher (p <.05)
the element of value was significantly lower (p <.05)
2
Table 2
Creative attitudes
Sex
factors
Mean
S.D.
Analytical
Mean
S.D.
Problem Solving
Mean
Entrepreneurship
S.D.
Mean
Perseverance
S.D.
Mean
Imagination
S.D.
Mean
Cooperation
S.D.
Total of Creative
Mean
Attitudes
S.D.
Note. †p <.10, *p <.05, **p <.01
Flexibility
Boys
n =81
2.45
0.46
2.52
0.56
2.78
0.58
2.76
0.56
2.81
0.53
2.91
0.50
2.70
0.41
Girls
n =116
2.29
0.54
2.22
0.52
2.64
0.62
2.65
0.56
2.77
0.55
3.02
0.50
2.60
0.41
Total
n =197
2.35
0.51
2.34
0.55
2.70
0.60
2.70
0.56
2.78
0.54
2.97
0.50
2.64
0.41
Results of Analysis
t (195) = 2.22 *
t (195) = 3.87 **
t (195) = 1.63 n.s.
t (195) = 1.29 n.s.
t (195) = 0.48 n.s.
t (195) = 1.41 n.s.
t (195) = 1.80 †
Table 3
Social views on information
Sex
Usefulness of programming
Mean
Boys
n =81
2.98
Girls
n =116
2.49
Total
n =197
2.69
S.D.
0.81
0.91
0.90
Usefulness of applications other
than programming
Mean
2.77
2.29
2.49
S.D.
0.81
0.83
0.85
Usefulness of understanding the
mechanisms of computers
Mean
3.19
2.89
3.01
S.D.
0.73
0.80
0.78
Importance of creative activities
Mean
2.93
2.60
2.74
S.D.
0.80
0.79
0.81
Note. **p < .01
68
Results of Analysis
t (195) = 3.85 **
t (195) = 3.96 **
t (195) = 2.66 **
t (195) = 2.80 **
Table 4
Relationships between relationship with programming and creative
attitudes (Boys)
Relationship with Programming
Factors
Flexibility
Analytical
Problem Solving
Entrepreneurship
Perseverance
Imagination
Cooperation
High
Low
High
Low
High
Low
High
Low
High
Low
High
Low
High
Low
n
41
40
37
44
46
35
41
40
33
48
39
42
38
43
1
5
1
4
2
5
1
4
2
3
3
3
3
5
1
2
10
6
10
6
12
4
10
6
10
6
9
7
10
6
Total of Creative
Attitudes
Note. †p <.10, *p <.05
the element of value was significantly higher (p < .05)
the element of value was significantly lower (p < .05)
3
3
2
4
1
5▲
0
3
2
2
3
4
1
4
1
4
23
31
19
35▲
24
30▲
24
30
18
36
23
31
19
35▲
Alalysis between
Groups
χ 2(3) = 5.04 n.s.
χ 2(3) = 7.66 †
χ (3) = 11.04 *
2
χ (3) = 2.51 n.s.
2
χ 2(3) = 3.78 n.s.
χ 2(3) = 0.17 n.s.
χ 2(3) = 9.94 *
Table 5
Relationships between relationship with programming and creative
attitudes (Girls)
Factors
Flexibility
Analytical
Problem Solving
Entrepreneurship
Perseverance
Imagination
Cooperation
High
Low
High
Low
High
Low
High
Low
High
Low
High
Low
High
Low
n
58
58
61
55
49
67
54
62
46
70
50
66
54
62
Relationship with Programming
1
2
3
4
1
9▲
1
47
0
2
7▲
49
1
8
4
48
0
3
4
48
1
10▲
4
34
0
1
4
62▲
0
10▲
5
39
1
1
3
57▲
1
9▲
2
34
0
2
6
62▲
0
6
6
38
1
5
2
58
0
10▲
4
40
1
1
4
56▲
Total of Creative
Attitudes
Note. †p <.10, *p <.05
the element of value was significantly higher (p <.05)
the element of value was significantly lower (p <.05)
Alalysis between
Groups
χ (3) = 10.00 *
2
χ (3) = 2.97 n.s.
2
χ 2(3) = 14.08 **
χ (3) = 11.74 **
2
χ (3) = 11.13 *
2
χ (3) = 5.15 n.s.
2
χ 2(3) = 10.53 *
1: As a programmer.
2: As a hobby.
3: No particular development, but to utilize more applications (to utilize applications, etc.)
4: Nothing in particular.
69
Table 6
Relationships between creative attitudes and usefulness of programming
Factor of Creative Attitudes
High
Flexibility
Low
Analytical
Problem Solving
High
Low
High
Entrepreneurship
Low
High
Perseverance
Low
High
Imagination
Low
High
Cooperation
Low
Total of Creative
Attitudes
High
Low
Usefulness of programming
Usefulness of
programming Creative Attitudes
Sex
Interaction
Sex
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
n =41
n =58
n =40
n =58
n =37
n =61
n =44
n =55
n =46
n =49
n =35
n =67
n =41
n =54
n =40
n =62
n =33
n =46
n =48
n =70
n =39
n =50
n =42
n =66
n =38
n =54
n =43
n =62
3.12 (0.83)
2.66 (0.92)
2.83 (0.74)
2.33 (0.86)
3.30 (0,56)
2.74 (0.85)
2.71 (0.87)
2.22 (0.89)
3.07 (0.76)
2.67 (0.91)
2.86 (0.83)
2.36 (0.88)
3.24 (0.73)
2.57 (0.96)
2.70 (0.78)
2.42 (0.85)
3.15 (0.66)
2.54 (0.97)
2.85 (0.87)
2.46 (0.86)
3.05 (0.78)
2.54 (0.98)
2.91 (0.81)
2.46 (0.84)
3.18 (0.72)
2.69 (0.94)
2.79 (0.82)
2.32 (0.84)
6.32 *
15.06 **
0.02
21.44 **
18.96 **
0.09
4.31 *
12.48 **
0.18
7.99 **
14.79 **
2.48
2.25
15.43 **
0.68
0.84
14.41 **
0.06
9.36 **
15.31 **
0.02
Note. (): Standard Distribution
†p <.10, *p <.05, **p <.01
(df =1,193)
Table 7
Relationships between creative attitudes and usefulness of applications other than programming
Factor of Creative Attitudes
High
Flexibility
Low
Analytical
Problem Solving
High
Low
High
Entrepreneurship
Low
High
Perseverance
Low
High
Imagination
Low
High
Cooperation
Low
Total of Creative
Attitudes
High
Low
Usefulness of applications other than programming
Usefulness of
applications other
than
Creative Attitudes
Sex
Interaction
programming
Sex
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
n =41
n =58
n =40
n =58
n =37
n =61
n =44
n =55
n =46
n =49
n =35
n =67
n =41
n =54
n =40
n =62
n =33
n =46
n =48
n =70
n =39
n =50
n =42
n =66
n =38
n =54
n =43
n =62
2.98 (0.90)
2.47 (0.84)
2.55 (0.63)
2.12 (0.79)
3.16 (0.59)
2.54 (0.84)
2.43 (0.81)
2.02 (0.73)
2.96 (0.72)
2.49 (0.86)
2.51 (0.84)
2.15 (0.78)
2.98 (0.81)
2.37 (0.91)
2.55 (0.74)
2.23 (0.75)
3.03 (0.72)
2.37 (0.92)
2.58 (0.81)
2.24 (0.76)
2.97 (0.73)
2.26 (0.89)
2.57 (0.82)
2.32 (0.78)
3.11 (0.68)
2.50 (0.88)
2.47 (0.79)
2.11 (0.74)
Note. (): Standard Distribution
†p <.10, *p <.05, **p <.01
10.89 **
16.19 **
0.12
31.54 **
21.51 **
0.87
11.01 **
12.43 **
0.19
5.82 *
15.46 **
1.41
5.68 *
17.31 **
1.77
2.10
16.53 **
3.75 †
20.15 **
17.51 **
1.22
(df =1,193)
70
Table 8
Relationships between creative attitudes and usefulness of understanding
Factor of Creative Attitudes
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
High
Flexibility
Low
Analytical
Problem Solving
High
Low
High
Entrepreneurship
Low
High
Perseverance
Low
High
Imagination
Low
High
Cooperation
Low
Total of Creative
Attitudes
Usefulness of understanding the mechanisms of computers
Usefulness of
understanding
the mechanisms Creative Attitudes
Sex
Interaction
of computers
Sex
High
Low
n =41
n =58
n =40
n =58
n =37
n =61
n =44
n =55
n =46
n =49
n =35
n =67
n =41
n =54
n =40
n =62
n =33
n =46
n =48
n =70
n =39
n =50
n =42
n =66
n =38
n =54
n =43
n =62
3.29 (0.77)
3.00 (0.70)
3.08 (0.65)
2.78 (0.87)
3.41 (0.64)
3.05 (0.71)
3.00 (0.74)
2.71 (0.85)
3.37 (0.64)
3.25 (0.66)
2.94 (0.75)
2.63 (0.79)
3.34 (0.75)
2.94 (0.83)
3.03 (0.65)
2.84 (0.77)
3.42 (0.61)
3.11 (0.73)
3.02 (0.75)
2.74 (0.81)
3.33 (0.61)
2.96 (0.89)
3.05 (0.79)
2.83 (0.71)
3.45 (0.59)
3.06 (0.78)
2.95 (0.75)
2.74 (0.78)
3.96 *
7.11 **
0.00
11.66 **
8.78 **
0.09
24.27 **
4.32 *
0.81
3.61 †
6.89 **
0.90
12.04 **
7.17 **
0.03
3.41 †
6.93 **
0.51
13.84 **
7.72 **
0.69
Note. (): Standard Distribution
†p <.10, *p <.05, **p <.01
(df =1,193)
Table 9
Relationships between creative attitudes and importance of creative activities
Factor of Creative Attitudes
High
Flexibility
Low
Analytical
Problem Solving
High
Low
High
Entrepreneurship
Low
High
Perseverance
Low
High
Imagination
Low
High
Cooperation
Low
Total of Creative
Attitudes
High
Low
Note. (): Standard Distribution
†p <.10, *p <.05, **p <.01
Sex
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
Boys
Girls
n =41
n =58
n =40
n =58
n =37
n =61
n =44
n =55
n =46
n =49
n =35
n =67
n =41
n =54
n =40
n =62
n =33
n =46
n =48
n =70
n =39
n =50
n =42
n =66
n =38
n =54
n =43
n =62
Importance of creatice activities
Importance of
creatice
Creative Attitudes
Sex
Interaction
activities
3.00 (0.88)
2.67 (0.73)
1.56
7.78 **
0.00
2.85 (0.69)
2.53 (0.84)
3.11 (0.69)
2.77 (0.73)
9.21 **
9.33 **
0.00
2.77 (0.85)
2.42 (0.80)
3.00 (0.75)
2.84 (0.87)
4.28 *
6.23 *
2.11
2.89 (0.85)
2.43 (0.67)
3.02 (0.81)
2.69 (0.90)
2.34
7.53 **
0.04
2.83 (0.77)
2.53 (0.67)
3.12 (0.81)
2.83(0.84)
9.20 **
7.48 **
0.03
2.79 (0.76)
2.46 (0.71)
3.00 (0.78)
2.64 (0.91)
0.80
7.64 **
0.12
2.86 (0.80)
2.58 (0.68)
3.03 (0.81)
2.70 (0.85)
2.67
7.81 **
0.00
2.84 (0.78)
2.52 (0.71)
(df =1,193)
71
Authors’ profiles
Masanori Fukui is a doctoral student of the Graduate School of Engineering, Hiroshima
University, and a member of the Japan Society for the Promotion of Science Research
Fellowship for Young Scientists (DC1). He works at Osaka Electro-Communication
University, Kobe Gakuin University, and Kwansei Gakuin Senior High School (as a parttime lecturer). His research interests are educational technology, introductory computer
programming education, and creative education. He received the grand prize at the 1st
STAT DASH Grand Prix in 2016, the 6th Future Education Research Institute Excellence
Award of Research Grant, Excellent Student at Hyogo University of Teacher Education in
2018, and more.
Masakatsu Kuroda is a doctoral student of the Graduate School of Education, Hyogo
University of Teacher Education and a primary school teacher in Minami-Awaji city, Hyogo,
Japan. His research interests are computer programming education at the primary school
level and technology education.
Jun Moriyama is a professor at Hyogo University of Teacher Education (Ph.D., education).
His research interest is technology education.
Tsukasa Hirashima is a professor at Hiroshima University (Ph.D., technology). His
research interests are meta-cognition in mathematics education and educational
technology.
72
How to save time for change: A field study
1Fernando
1Research
Cardoso de Sousa, 1Ileana Pardal Monteiro and 2Joao Pissarra
Centre for Spatial and Organizational Dynamics/University of the Algarve, Portugal
2
Research Centre for Social Intervention, Portugal
Email: cardoso_sousa@hotmail.com
Abstract
This study describes the adaptation of a small-group creative problem-solving (CPS) protocol to
work as a large-group organizational change method. The method was designed to suit a
company situation, requiring a forum lasting for only four hours, instead of the two to four days
of the present methods, without losing its effectiveness.
The presentation of the case, with a medium-sized company of the IT sector, includes an
extended diagnosis, the preparation and execution of the company forum, and the beginning of
the implementation of innovation projects, aiming at increasing the proactivity of employees.
The diagnosis includes the results of 32 interviews conducted with internal and external
stakeholders, and an analysis of collected success stories, in order to clarify the strong points
for a future organizational culture orientation.
The results support the effectiveness of the adapted methodology in establishing innovation
projects, involving the entire organization, in just four hours, and clarify desirable characteristics
for the improvement of the present intervention method.
Keywords: Organizational Innovation, Organizational Change, Organizational Diagnosis,
Large-Group Methods, Creative Problem-Solving
Introduction
Scholars like Peter Drucker (Drucker, 2007) have long realized the need for management to
consider time as the more perishable resource, adopting faster decision making processes and,
at the same time, more inclusive of stakeholders than was the case with traditional
management models.
In line with this evolution, and as researchers and practitioners in organizational development,
we devoted time and effort in building an approach that could contribute to meet our needs,
while working in change projects with companies, which had to do with: (1) Overcoming the
difficulty in maintaining group composition after a large break (e.g. meals or overnight); (2) The
little time companies could devote to group decision-making meetings; (3) The need to include
a considerable number of organizational stakeholders in the same project; (4) Simplicity of
execution and appropriation by the intervened companies; (5) And be action-oriented, instead of
idea-oriented. These requirements, once met, should not endanger emotional and product
outcomes during project planning and execution. Therefore, our concentration focused on
73
group decision-making, mainly on small-group, problem-solving approaches, based on
Osborn’s brainstorming groups (Osborn, 1963), and creative problem-solving (CPS), relying on
the work of researchers like Basadur (1987), Isaksen and Treffinger (2004), or Puccio, Firestien,
Coyle, and Masucci (2006). Our developments were also influenced by authors that criticize
the effectiveness of brainstorming-based methods in producing valuable ideas, like Paulus and
Brown (2003), or Stroebe and Diehl (1987).
Even though CPS is a flexible method, the protocol soon revealed itself difficult to adapt to time
restriction conditions, as just cut the duration of meetings would compromise effectiveness,
unless specific procedures were adopted (Sousa, Monteiro, & Pellissier, 2009). Therefore, we
considered appropriate to create a fast track intervention method out of previous developments
in small-group CPS methodology (Sousa, Monteiro, Walton, & Pissarra, 2014), thus reducing
meetings from sixteen to four hours, without losing its effectiveness. This method matched the
majority of our listed requirements, and allowed us to work with small groups in various settings
in order to initiate innovation projects (Sousa, Monteiro, Walton, & Pissarra, 2013).
Although we had used the method with groups of twenty or more people, it became clear that
CPS was not appropriate for such numbers. In interventions for organizational change, where a
large percentage of the organization personnel was required, attempts were made by using the
“snow-ball effect”, i.e., making a central group give rise to more groups under the same
objective. However, results were too slow to obtain and required many coordinating efforts. An
example of such a procedure, with an NGO, is reported in Sousa, Castelao, Monteiro, and
Pellissier (2015).
Therefore, we proceeded to study, acquire training and practice the use of large-group methods,
though the problem of its duration (two to four days) prevented us from going beyond the
training stage. We then decided to initiate the preparation of our CPS four-hour protocol to work
with large groups, in an attempt to merge the its fast procedures with the maximum possible
benefits of large-group methods. Successful attempts were made with project-based learning
(Sousa, Monteiro, & Pellissier, 2015), and community development (Sousa, Monteiro, Gaspar,
& Castelao, 2016), enabling us to be ready to work with companies. Therefore, this article is
intended to report an adaptation of a four-step problem-solving protocol as a large-group
intervention method, in order to suit the needs of a Portuguese company in the IT sector, aiming
at an organizational change process.
Large-Group Methods
Research on large-group methods, intended to bring innovation and change to organizations
and communities, through the involvement of people in the decision making process, is well
documented. Bunker and Alban (1997; 2006), Purser and Griffin (2008), and Weisbord (2012),
are just a few of the authors making extensive reviews about the theoretical foundations of
large-group methods.
Large-group methods are tailored to suit group interventions having between 30 and 150
participants or more (ideally 70-80), and meeting in sessions ranging from two to four days.
74
Although large-group methods may deal with similar types of objectives, each have their own
sequence of procedures. In general, sessions begin by asking the groups of eight (around
tables of approximately 1,5m in diameter) for an analysis of the past and present, followed by a
vision of the desirable future. This is done in order to understand the history of the organization
and create the necessary tension in attaining the ideal future. The definition of strategic
directions, required actions and timelines, together with follow-up procedures, generally close
the sessions.
Given the involvement of all stakeholders in the same location at the same time, large-group
methods allow a change to occur at a much quicker than normal pace. They also allow
opportunities for conflict management, by establishing a focus on common ground rather than
on differences, and promote a flat hierarchy (Garcia, 2007).
The large-group methods taken as reference were Future Search, from Weisbord and Janoff
(2010), and Appreciative Inquiry (AI), from Cooperrider and Whitney (2005). These methods
were chosen because of previous training, availability of referenced studies, and
representativeness among the organizational change theories of second and third generation,
mentioned by authors like Seo, Putnam and Bartunek (2004). The methods, as several
authors agree (Beer & Walton, 1994 ; Worley, Mohrman & Nevitt, 2011), have not been
subjected to any marked change over time. Also, they were the only ones where it was
possible to find mergers between them (Fuller, Griffin, & Ludema, 2000), and comparisons
between AI and CPS (Cabra, 2004; Peelle, 2016).
Future Search is well described in the literature (Weisbord & Janoff, 1995; 2007; 2010; 2015),
and its roots go back to the early works of Fred Emery and Eric Trist, in the 1960s, founders of
the self-managed work teams (Weisbord, 1992). The method brings together 60 - 70
participants for a period of 16 hours over three days. On the first day, the first two-and-a- half
hours are dedicated to defining the milestones of the history of the organization. At this point,
the various types of participants gather around mixed tables with stakeholders coming from
different fields and experiences. This is because homogeneous groups have more difficulty in
building a comprehensive picture. On the morning of the second day, participants work around
tables by stakeholders, i.e., belonging to similar fields, gaining the homogeneity necessary for
the construction of common scenarios. Time is devoted to the analysis of the present and
future trends. The afternoon is dedicated to defining the future, in terms of the "common
ground", and a plan of action is defined on the morning of the third day.
The other method taken as a reference was Appreciative Inquiry (Cooperrider & Whitney, 2005),
with a similar design to Future Search, but lasting up to four days, where participants develop
the work in four phases: discovery (interviews and stories emphasizing the strong points),
dream (building the desired future), design (system changes to meet the desired changes), and
delivery (drawing up plans to implement the changes). Much of the action takes place around
interviews conducted by the participants themselves, who seek to bring out images of the future
based on success stories of the organization’s past. Thus, for four days, participants
designated by the planning committee as representing the "complete system" in the same room
(can be several hundred people) define organizational culture through stories, which will
75
represent the reality of the organization. Ludema, Whitney, Mohr, and Griffin (2003) draw
attention to the fact that the "whole system" in the room leads the participants to a feeling of
being part of a larger system.
Authors related with large-group methods (Bartunek, Balogun, & Boram, 2011; Bushe &
Marshak, 2016) consider classic group problem-solving approaches outdated. These authors
support that, instead of the drawbacks of an approach based on problem solving, the examples
of success make people concentrate on the positive aspects of the organization. This principle,
as with many of the remaining ones, can be put to cause with attempts to gather scientific data
to support it (Worley, Mohrman, & Nevitt, 2011). That is why so many methods proliferate with
a kind of “faith” beneath, instead of scientific considerations, and experts recognize (Bartunek &
Woodman, 2015) that the urge to develop new approaches makes people forget that the classic
ones continue their own way. It was precisely because of the complexity of systems and the
theoretical limitations for field intervention that we made an attempt to summarize the most
important principles of the various forms of intervention in their own approach. This approach
reduces the duration of the meeting to less than one day, while extending the diagnosis to
comprise aspects normally included in the “whole-system in the room” meeting by present
large-group intervention methods.
Adoption of a Small-Group Problem-Solving Method
Following previous studies on small-group creative problem-solving procedures (Sousa et al.,
2014), a four-step model was designed (see Figure 1), comprising Objective-Finding, ProblemDefinition, Action-Planning, and the Action itself. The sequence of divergence (<) and
convergence (>) is maintained only during the Objective-Finding and Problem-Definition steps,
allowing more options to be available to choose from.
Within an orientation supported by several authors, listed in Chung and Choi (2016), which
concentrates participants on action planning rather than idea production, this model focuses
team members on task implementation. This is achieved mainly by devoting more time to
action planning rather than problem definition and ideation, setting up tasks and responsibilities,
using management control measures, establishing a communication system, follow-up
coordination meetings, and final debriefing deadlines. It provides an initial structure for the
group during the divergent phase of Problem-Definition, followed by an emotional linkage
between members, as efforts are focused on reaching a consensus during the convergent
phase, so that the group may start working as a team. Another structuring step follows during
Action-Planning, when the team members’ creativity is expressed during the “how to?”
development of each task in the plan. During the Action phase, the establishment of an
effective communication structure within the team facilitates the collective awareness of what
each team member is doing. Also, advertising the project within the organization reduces
resistance to task accomplishment and increases peer pressure for the team to comply with the
project’s requirements.
76
Designating an appropriate project coordinator is determinant for the success of the project.
This will help maintain a constant interface between management and the team, which is
fundamental for the alignment of management objectives with the team’s actions and interests.
Figure 1.
The Four-Step problem-solving method (Sousa et al., 2014, p. 35)
In Objective-Finding, a pre-consultation (Basadur, 1994) takes place with the manager in
charge (client) so that the objective, group composition, and administrative requirements may
be set. During the interview, the manager is lead to produce images of causality, as advised by
Bushe and Storch (2015), in such a way that the implications among objectives may become
clear enough to facilitate a final choice for the team to work. Also, as suggested by Strauss
(2002), group composition is set and should involve the stakeholders relevant for the project, in
terms of knowledge, power or implication in the possible outcomes. Group composition is
mandatory to gather the different types of knowledge needed and reduce organizational
resistance by including those who have the power to delay the project or may be affected by its
outcomes.
During Problem-Definition, a balance between positive and negative emotions is created in
order to favor creativity, when the team enumerates all possible barriers to reach the objective
and selects a few, which are transformed in challenges rather than obstacles, by adding the
expression “What are the steps needed in order to…?”. This, according to Johnson (2011), can
contribute to producing new ideas depending on context and how people make meaning of the
situation they are in. It also transforms a potential “negative” problem into a positive statement.
From the list of challenges, the group makes a selection, using the convergence tool telescope
(Basadur, 1994), where each participant makes and justifies a few choices. The manager
selects a final problem definition to work with.
77
In Action-Planning, the team starts by listing all tasks needed to achieve the goal and then puts
them in order of execution. In coordination with the manager, each task is assigned to a subteam that defines how the task should be executed, who will be responsible and sets the
deadlines for the outputs. The last step (Action) starts after the planning session.
Adapting the Small-Group Problem-Solving Method to Work with Large Groups
This small-group problem-solving method was adapted to work with large groups, first in a study
with higher education students, described in Sousa et al. (2015), aiming at bringing 62
participants, randomly arranged in ten groups, to solve the objective consisting in the
preparation of a single common essay, which would involve all students. The groups discussed
the issue for an hour, resulting in a consensual problem, written in a challenge format: What are
the steps needed to structure the project so that the physical constraints (e.g. difficulty in
meeting) can be overcome?. After some discussion, the groups identified five key tasks to
solve the problem: (1) Define the topics and subtopics; (2) Establish the process of assigning
the sub-themes to groups; (3) Create a platform for virtual communication and schedule face-toface meetings; (4) Improve personal knowledge (establish scheduled meeting points) ; (5) List
individual skills in each of the defined sub-themes. Then the students were asked to regroup
into five groups, according to personal preferences, around each of the five identified tasks, and
asked to establish action plans to be implemented within the next three months. The whole
forum lasted for three hours.
Approximately three months later, in a session held at the appointed day, almost all students
attended the presentation, during which each component of the collective work was
demonstrated. A 200-page essay, organized, written and presented with a standard of quality
above average, was delivered through the virtual platform two days after the presentation. The
study included the use of small-world network analysis, before and after completion of the
project, in order to appreciate the evolution of the whole group. The findings of the research
indicated that the actions taken after the large-group session led to an increase in the density of
communications and the emergence of leaders who acted as brokers between network clusters.
The next attempt (Sousa et al., 2016), in using this small-group problem-solving method with
large groups, was made in a community development context. The study aimed at assessing
the effectiveness of the four-step, large-group method in project development, using a project
commitment questionnaire. Nine civic forums were planned and executed in order to develop
the participation of civil society in democracy. A total of 318 civil society representatives
produced action plans for the celebration of the anniversary of the Portuguese Revolution (April
25th, 1974), as well as for local development. The participants, invited by local committees, had
very diverse experiences: eleven per cent were former military, who participated in the
revolution; fifteen per cent belonged to associative boards of sports, social support, and
recreational local associations; and thirteen per cent belonged to organizations linked to artistic
activities, including theater, music, museums and art galleries. About eight per cent belonged to
regional state entities (six per cent to the municipalities). The local media also participated
actively, representing eight per cent of the total. Teachers and students from secondary and
higher education schools accounted for twenty per cent of participants, and ten per cent were
78
professionals from various fields, such as trade unionists, banking or administration.
Entrepreneurs and business managers from different sectors of activity (seven per cent)
participated, as well as retired professionals, representing eight per cent of the total.
Furthermore, in collaboration with one of the twelve administrative regions of Lisbon, a forum for
the promotion of local development was organized, gathering local associations and people
representing the different types of knowledge and authority in this parish of 40,000 people (e.g.,
police, firefighters, theatre, art galleries, libraries, music, primary, secondary and higher
education schools).
The forums initially lasted for eight hours. However, given the logistical complications, dropout
rate, and costs associated with the food service, we decided to reduce the sessions to half of
the time, thereby avoiding lunch.
In every forum, the chosen challenges were mostly connected with the need to reach out to the
younger generation and develop intergenerational projects of civic collaboration. With regard to
the projects, the concentration was on events and surveys, as well as the construction of
messages to be disseminated and the use of appropriate media.
The outcomes obtained demonstrated the effectiveness of the method in producing action plans
in a short time and an increase in commitment to projects as a result of the sessions. However,
session commitment did not reveal itself a successful predictor of the projects’ execution. The
forums allowed us to improve the large-group method as a tool to help civil participation in
decision making and regional development. Furthermore, results did not vary depending on the
session length, with the eight-hour sessions obtaining similar results to the four-hour ones.
One of the most important aspects learned by the research team was connected with the
definition of which entities represent the powers and the existing knowledge in a region.
However, the fact that many of the people invited were members of governance boards, and
were not accompanied by their assistants, was relevant in reducing the probability of execution
due to the time available and priorities these leaders had to cope with.
From these two experiments we built a large-group method, trying to bring together the
advantages of both the problem-solving protocol and the large-group methods taken as
references. The main similarities and differences, between the large-group methods presented
and the adapted four-step one, are indicated in Table 1. Details are described in the Method
section.
79
Table 1. Main Similarities and Differences Between the Large-Group Methods
Chosen as References (Future Search and Appreciative Inquiry), and the
Four-Step, Small-Group Problem-Solving Protocol, Adapted to Large
Groups.
Procedures
Large-group
Adapted four-step
methods
method
Participants
30-150 or more
30-80
Duration
16-24 hours
4-6 hours
Groups
Sub-groups of 8
members each
Same
Small-group facilitators
Designated by
small groups
Same
Emphasis
Reaching common
ground
Setting an action plan
Past history; present and
future trends
Within the session
Previous diagnosis and
collection of success
stories
Time for sharing smallgroup conclusions
Yes
Yes
Organization
Steering
Committee
Same
Mixed and homogenous
groups alternate
Yes
Yes
Method and Results – The “Quidgest” Case Study
This presentation describes the intervention in an IT company, aiming at an organizational
change process towards a greater proactivity of employees. Management was approached
after we had won first prize in a contest related with decision-making studies, set by the
company, which provided the conditions for the intervention. It includes the diagnosis, the
company forum, and the beginning of the implementation of the innovation projects, based on
an adapted CPS protocol. To make the company diagnosis, internal and external stakeholders
were interviewed, and a content analysis of the collected success stories was made in order to
define the company’s perceived strong points. The company forum involved the whole
personnel during four hours.
Company Description
80
Created in 1988, Quidgest is a Portuguese IT company acting as a consultant and developer of
management software. In the last few years, the size has increased up to nearly 100 coworkers.
The company is organized in a matrix structure by projects, in conjunction with functional
software departments. The vision is to see itself as a "software factory of the future" in terms of
the production unit. The notion of "software factory" presupposes an automated and constantly
improved information systems development process by immediately incorporating R & D results
into the production process.
The company was a pioneer in the computerization of the Portuguese public administration and,
since 1992, conceived an applications’ generator called “GENIO”, a platform for rapid
development of comprehensive information systems, combining model-based development
with automatic code generation in different programming languages. Any employee can regenerate all the codes for a project and get access to functional specifications (metadata). This
ensures superior standards of agility and maintenance, increases the systems’ stability, and
allows the continuous monitoring of technological developments. Each new version,
automatically generated, incorporates all the improvements in the technology layer, allowing
building programs in less time and with smaller and less specialized teams.
The organization has no particular system of idea management, as the company encourages
concrete changes (there are money awards for initiatives), instead of just ideas for others to do.
The company promotes several initiatives of participation, such as Open Door Day, dedicated to
students in technological areas; the Quidspark, which brings together employees to exchange
ideas and projects; The Customer’s Day, which includes thematic seminars; The Partner’s Day,
with the same purpose but with the company's partners. Every year the company awards
thematic prizes (Q-Day), at the national level, as the one we won.
It is in this betting on a model of collaborative operation, always looking for consistency between
objectives, internal structure, culture and products, that the company aims to participate in the
technological revolution of the future.
Pre-Consultation and Diagnosis
During the pre-consultation (Basadur, 1994) with the CEO, the objective for the intervention was
set - To define the challenges and actions needed to commit everyone in fighting the “common
enemy”- and the diagnosis requirements were presented. This step aimed at collecting the
necessary data to let management know about the alignment between the objective defined
and the views of collaborators. It also intended to replace the time devoted to defining a vision of
the desirable future, followed by a diagnosis of the present, during the session, in large-group
methods.
First, a review of all the documents provided by the company was made, including newsletters,
quality manuals, board reports and publications in journals. Next, always in close coordination
with the CEO, and after the intervention objective was set, the researchers made 32 semistructured interviews to internal and external stakeholders, trying to detect gaps in management
alignment, i.e., mismatches between management intentions, and interests and actions of
81
employees, related with the intervention objective. For example, although management
enforced a decentralized decision making process, some interviewees considered that there
was an excessive centralization, although acknowledging a close relationship with management.
Each interview lasted for 30-40 minutes, stopping when there was repetition of information
already collected. After requesting the interviewee to speak about the professional experience,
before and during the stay in the company, we proceeded to analyze in detail the challenges
defined by management, in a conversation starting with a general consigne, related with the
intervention objective, followed by a protocol that changed as new data was provided by the
interviewees. Each interviewee suggested further interviews that were subject to management
approval. Consequently the diagnosis concentrated progressively in the collection of contrasting
visions regarding the objective of the intervention, related with the difficulties that some
coworkers had in transforming difficulties into challenges. Even though the interviews could only
be made by the researchers, as they required the knowledge about the company, necessary to
maintain a conversation, the analysis of the notes taken from the interviews (there was no
recording) was made by someone else other than the interviewer, in order to reduce the bias.
After reviewing the documents and the interviews, the diagnosis, concerning objectives and
gaps in management alignment, was done and presented to the CEO, who maintained the
intervention objective.
Success Stories.
In order to define the strong points of a future organizational culture, success stories were
requested from every interviewee. The aim was to explore the most recurrent themes from
success stories. The theoretical premise we used was that narrative analysis support the idea
that organizations live and change by discourses (Manuti & Mininni, 2013).
We prepared our text for analysis doing what is known by lemmatization, which gives a
reorganization only for the words (lemmas or categories) considered similar for the subsequent
analyses, like ‘‘client,’’ the most frequent word into our database. Using the software T-Lab,
version 8.2, the cognitive map associated to the word “client” was built, as Figure 2 illustrates.
The distances refer to the frequency and proximity that the different words are positioned in the
original text, without any categorization or change. These distances (shorter distances mean
higher frequencies) measure the frequency each word had in the original text when associated
with the word “client”. Thus, the words “new solutions”, “different ways” and “doing business”
indicate the coworkers’ main concerns in answering the clients’ challenges. A selection of these
stories, representing a desirable future orientation, was included in the handout provided to
everyone before the large-group forum, and shown in the conference room, so that everyone
could read them. This was done to replace the in-group discussion of large-group methods,
aiming at defining the desirable future.
82
IMPLEMENTATION
MAKE
WORKABILITY
COMPANY
WORK
PRIDE
TEAM
CLIENT
SYSTEM
DOING BUSINESS
VERSION
DIFFERENT WAYS
EUROPEAN FUNDS
NEW SOLUTIONS
DEVELOPMENT
PROJECT
Figure 2. Associative network of the word “client”
Preparation, Company Forum, and Follow-Up
Concerning the preparation of the company forum an organizing committee was designated,
and the forum was scheduled with the participation of almost all the company members. A
week before, a handout explaining the objective and the agenda of the meeting, together with
the selection of success stories, was issued to everyone. After that, management made sure all
coworkers knew its content.
On the appointed day, about 80 participants, randomly organized in 10 groups, took part in a
four-hour session, aimed at developing projects contributing to the designated objective. In the
first hour-and-a-half, the groups engaged in defining the most important challenges within the
objective, followed by the selection of the CEO - What are the steps needed to increase
people’s accountability? Next, teams were asked to list projects to match this challenge,
producing a large number of possible projects, which, during the break, were organized in
eleven categories. After the re-start, participants were asked to choose the category each one
would like to develop, thus reorganizing in eight groups (three categories were left blank). The
next 60 minutes were used to define the action plan. In each round (random and stakeholder
groups) a facilitator was designated by each team.
The eight projects planned were: (1) Organizational structure – area coordination; (2) Review of
HR politics; (3) Organizational structure (outside area coordination); (4) Professional
consideration (rewards); (5) Objectives, deadlines and priority management; (6) Work methods;
(7) Competencies improvement to achieve objectives; and (8) Accountability for project delivery.
For each project the group defined the tasks needed, the “how to” and “whom” for each task,
and the deadlines. Even though we knew that this could cause evaluation apprehension
(Bushe & Paranjpey, 2015), groups were encouraged to match tasks with the balanced
scorecard used in the company, so that a quantitative evaluation of projects could be set.
83
Follow-up meetings were scheduled and a general coordinator was designated along with a
communications team.
The first follow-up session showed every team had run at least one face-to-face meeting to
complete the action plan. In addition, the communications team created a virtual platform
where the team members could show their work. All teams had worked on the projects but, due
to the complexity of some of them, as well as the lack of expertise of team members, in matters
pertaining to human resources management, it was necessary to negotiate the reduction of its
scope, so they could become feasible and, therefore, the CEO met with each team facilitator to
redefine each project output. However, since the distance between the imagined and the
negotiated projects was sometimes very large, the facilitators encountered difficulties in making
the teams accept the changes. This difficulty, together with new challenges the company had
to face, led the groups to postpone some of the projects’ outputs.
After the company forum, interviews were made to group coordinators, in order to collect
relevant information for improving the method. Management reported that it is normal for
results of this kind to be postponed for several reasons, but that each project has continued its
own way.
Discussion
In line with previous attempts (Sousa et. al, 2013; 2015; 2016), it became clear that the
adaptation of the small-group procedures to a large-group intervention was effective in creating
organizational innovation projects in the company, in a meeting of just four hours. Indeed,
although many details must be changed, the intervention was a key stage in the work that we
have developed and, more importantly, enabled the design of more effective interventions. The
same happened with the diagnosis, which was explicit enough to detect gaps between the
management objective for the intervention, and its perception by the informal organization, so
that corrective actions could be taken. Success stories’ analysis also confirmed the desirable
future direction, coinciding with the intentions of management. Finally, and although some of
the projects were not completed within the designated period, many aspects influenced
changes in the company, either resulting from the diagnosis or from the forum.
This result was very important for us, given the effort we put in its preparation and the little
support we had from other cases we had studied. In fact, in our research, we have not found a
single example of a merge between CPS and large-group methods. Only examples where AI
and CPS were compared (Cabra, 2004; Peelle, 2016). In a way we drove a path that must have
been similar to Eric Trist, Fred Emery, and Ronald Lippit, who worked with Kurt Lewin in smallgroup problem-solving, and moved later (1960s) to conferences with huge networks (Weisbord,
1992).
In the interviews made after the intervention to group coordinators, some assumptions proved
to be right, such as:
84
Project tasks did not take time out of normal work, with people saying they think about it
during travel from and to work; it is therapeutic; it is a crusade.
All groups thought about the association between project outputs and the indicators of
the balanced scorecard, although the fear that the quantitative could detract the groups from
more qualitative goals led them to abandon the reference. As a result, our doubt about
“evaluation apprehension” (Bushe & Paranjpey, 2015) was clarified and we never tried to
associate quantitative indicators to projects afterwards.
In each group, several departments were represented, which gave them a good
interdepartmental connection.
There appeared to be no conflict between the temporary matrix structure set by the
projects and the formal hierarchy, although the department coordinators were, in some cases,
subordinate to project group coordinators. This factor represented an added value for the
project and for the company.
Limitations and Implications
However, there are aspects that should be modified, including some related with the largegroup method and the preparation of the company forum, such as:
• The operation of the organizing committee was not fully tested. Since the entire company
participated, it was not necessary to make a preliminary selection of participants and the
organizational work was done directly by management, which also appointed someone
responsible for the logistics. This committee could also participate in the selection of projects,
during the large-group session, which should not be left to management, only. Indeed,
management must decide on the fundamental aspects, but should also be far enough from the
definition of projects to allow the teams to have freedom of decision. On the other hand, asking
management to select only one problem/challenge, from the list provided by the teams, is
clearly insufficient and should be extended to every problem considered important and
achievable by management.
Some teams decided to give ideas for others to do, when they were the “others”. Also
some of the projects, in the area of human resource management (HRM), were difficult to
execute, as team members did not have any particular HRM expertise. As there was no outside
expertise, some form of decision about the viability of the projects should have been available.
The greatest difficulty seems to lie in deciding whether or not initiatives about the projects
should be carried out, since management cannot be burdened with decisions about projects,
nor should people wait too long for decisions, or go too far, and then face management
disagreement. One solution may be for the project coordinator to have a more active role in the
preparation of decisions and a more direct implication of the company hierarchy in deciding on
projects. Another solution might be to extend the mission of the organizing committee to work
as a sort of “innovation committee”, which could also be responsible for formal meetings of
coordinators in the follow-up process. As there was some overlapping of work, especially in the
area of processing, quality and accountability, more coordination work is needed. This has to
do with the construction of an innovation process within the company, which is outside the
scope of this article.
• The duration of the session (four hours) is in clear contrast with other large-group methods,
but the steps taken to shorten it are well explained in previous articles (Sousa et al., 2014; 2015;
85
2016). Nevertheless, the time was too short, requiring additional meetings to define action
plans for the projects. In this case, the physical meeting of the teams was not very difficult, due
to the location and type of activity of the company; in other cases, this probably would have
been more difficult. Hence, six hours instead of four seem more appropriate for the duration of
the forum, in order to allow for the complete construction of action plans. This, of course, if a
large break for a meal is possible to be included without loss of group stability.
• Some team facilitators failed to plan with a minimum efficiency, revealing little capacity for
the job. Taking into consideration all the pros and cons, we believe that facilitators should be
pre-appointed and trained to work during the session, thus forcing small changes in the
development of the session. The biggest advantage will be the increase in the feasibility of the
projects, which, in this case, was very weak and led to a difficult negotiation with the teams.
However, the little organizational experience of participants (average age less than 30 years
old) may have favored the conception of perfect organizational models, out of reality’s reach.
Some teams were too large to be coordinated by inexperienced facilitators in group work.
We did not put any restriction to group size because we trusted that they would be capable of
organizing themselves, following our own procedure. We now recognize this was a mistake,
and that teams should not exceed five people, unless there are trained facilitators available.
The main limitation was related to the will of management to "pull" the working groups to
complete the projects. We must recall that management never asked for the intervention, but
only agreed with our request, even though with permanent support. This separation between
accepting and requesting makes all the difference.
Concluding Observations
The way to stay in tune with the concerns expressed by management, and the building of a
solid interface between management and company teams was an important aspect of the
whole process, as recommended by several authors (Howard & Associates, 1994; Beer &
Walton, 1994). If it were possible to repeat the entire process, carried out in the company, we
would have considered all the listed recommendations, and would have deepened the
diagnosis, either in the selection of interviewees or by extending the time spent with each
individual. This embodiment of the diagnosis, through which came out varied and contrasting
views on the objectives set by management, was an important synthesis of information for
management and for the preparation and monitoring of the intervention. Additionally, if you are
able to make a ground theory out of the analysis of the best examples of past company history,
that is when the diagnosis can be itself a form of intervention, as stated by Woodman (2014).
Since we have had the opportunity to successfully put into practice the suggested
changes, it is thought that future research should be directed towards improving efficiency
in the training of small-group facilitators, as well as to understand better what happens
during project execution. But the ultimate purpose should be to learn how to set an
organizational innovation process that works in a matrix organization, together with the
formal structure, after implementing the first set of projects, and under innovation
objectives that management builds out of market analysis. This should be the main
purpose of future research.
86
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Authors’ profile
Fernando Cardoso Sousa Graduation in Military Sciences and Social Psychology; M.A. and
PhD. in Organizational Psychology. President of the GAIM – Marketing Research Centre and of
APGICO – Portuguese Association for Creativity and Innovation in Organizations. Board
member of the CIEO/UAlg – Research Centre for Spatial and Organizational
Dynamics/University of the Algarve . Guest speaker in universities and companies and author of
books and articles on subjects like creativity, innovation, leadership, human resources,
psychology and military sociology. Research interests in creativity, organizational innovation,
leadership and research methodology.
Ileana Pardal Monteiro Graduated in Psychology, MA in Organizational Behavior and PhD in
Organizational Psychology, board member of APGICO – Portuguese Association for the
89
Management of Creativity and Innovation in Organizations and researcher at the CIEO/UAlg –
Research Centre for Spatial and Organizational Dynamics/University of the Algarve . Author of
books and articles on subjects like creativity, innovation, leadership and human resources.
Research interests in, organizational creativity and innovation, leadership and research
methodology.
Joao Pissarra Ph.D in Organizational Psychology; lecturer at the Lisbon Technical
University/ISCTE and member of the Research Centre for Social Intervention (CIS-IUL-ISCTE),
Portugal
90
Dynamics of Product Design for Creating Market Value
1Tatsuya
Tokunaga and 2Shuzo Fujimura
1Mitsui Chemicals, Inc. 2Tokyo Institute of Technology
Email: Tatsuya.Tokunaga@gmail.com
Abstract
We propose theoretical consistent formulation determining design directions in product
design to realize the highest market value. The key is to define dynamical impacts of
design flexibility and technology advance to product design. As basic idea, we generally
define concept structure of design by three different terms of actual design, function design
and architecture design. As first step for the theoretical consistent formulation, we find
dynamics of product design through modularity matrix, and introduce the entropy of design
for product design to be realized by satisfying both functional requirements and constraints
with impact of technology advances by using analogy of statistical mechanics and
information theory. Secondly, the entropy of design is connected to the market by “seeds
translation matrix” as a mapping from functional requirements in product design to
customer needs in the market, and the entropy of design can be identified as a kind of
utility functions in economics. Finally, the theoretical consistent formulation to realize the
highest market value can determine design directions to optimize functional requirements
and constraints in product design. The theory suggests the importance to manage
modularity and technology advance separately in the same time by understanding the
coverage of product designs as architecture design in the market, which will be a prediction
for future innovations as economic successes in the market by simulation.
Keywords: Innovation, Product Design, Modularity, Utility Function, Entropy of Design
1. Introduction
Historically, many researchers in economics, marketing, and product design have sought
to clarify the relationship between product design/development and customer
needs/attributes in order to realize maximum product value in the market. Arthur (2009)
emphasized the importance of technology as “More than anything else, technology creates
our world,” and Ulrich (2011) described in his essay that “product design is conceiving and
giving form to goods and services that address needs. Thus, the roles of product design
and technology are very important to realize innovation in the market.
In product design, the functional requirements, such as product architecture, are critical to
the development process as products because products are always designed to satisfy
functional requirements (Ulrich, 1995; Eppinger and Ulrich, 1995). The modularity of
product architecture has been explored as a useful method to classify designs, products,
and industries by introducing modularity matrices on base vector spaces, such as design
parameters, organizations, functional requirements, physical components, and products
91
(e.g., Eppinger and Browning, 2012). The modularity matrix has been mainly defined in
two ways. The first definition includes the concept of “Design Structure Matrix” (DSM),
which was devised by Steward (1981), developed by Eppinger (1991), and formulated by
Baldwin and Clark (2000) in order to analyze and manage complex systems, and applied
to many case studies (e.g., Browning, 2001; Eppinger and Browning, 2012). The second
definition was formulated by Ulrich (1995) to highlight a shift in emphasis from mapping
functional requirements to physical components, theoretically systematized by Suh (2001)
as a general framework to analyze the interplay between different vector spaces, called
“Axiomatic Design theory” (AD), and applied to many case studies such as Krishnan and
Ulrich (2001). Tokunaga and Fujimura (2016) have introduced Fermi-Dirac entropy for the
modularity matrix (here, “entropy of design”) to realize the highest value of a product, which
is logically equivalent to the real option theory of DSM proposed by Baldwin and Clark
(2000), and the information axiom of AD systemized by Suh (2001).
There remains the important challenge of relating product design and customer
needs/attributes in order to consistently maximize market value such as the utility function.
Figure 1 outlines this paper’s step-wise procedure for theoretically solving this problem.
Utility
Function of
Customer
Needs
Utility
Function
Extended
Lancaster’s
Consumption
Technology
Matrix
Customer
Needs
/Attributes
Product
Architecture
for Functional
Requirements
∂fi/∂Xj
Functional
Requirements
Product
Architecture
for Constraints
∂Ci/∂Xj
Design
Parameters
Constraints
Figure 1: Step-wise mappings between utility function and product design
2. Definition of the Concept Structure of Design
To develop a theoretical model that describes the dynamics of mapping a design to the
market, it is important to define the concept structure of design.
Designing has also been regarded as decision making to obtain the one point in the
intersection of functional requirements and constraints. The “actual design” upon which
every design parameter has been based is represented as one point in the set intersection
of functional requirements and constraints in design space where the coordinate axes are
design parameters: in other words, actual design is a vector. In Suh's theory (2001), if
every actual design in the set intersection has the same realization probability, then they
are equivalent in the purpose to realize all the functional requirements. We define "function
design" as securing the intersection of functional requirements and constraints in as wide
a design space as possible. Thus, the function design is one set in the design space and
includes actual designs as elements; that is, function design is a set of actual design
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vectors.
Because the value of design that Baldwin and Clark (2000) defined as option value is the
gain introduced by the product that the customer would like to pay in the market, the "value
of design" represents the value of design that had been mapped into the market through
the product. This also means that even if every design parameter of a design is strictly
defined at one state, the product realized according to the design covers a somewhat
specific area in the market space in which the coordinate axes are customers’ preferences.
Substituting a subsystem to another that undertakes some functions by adopting a modular
architecture is changing the structure of the system partially and means changing the
intersection of the functional requirements and the constraints. In other words, changing
one module to the alternative module is a shift of coverage area of the function design in
the market. That is, in changing the market coverage by changing the modules, the total
coverage area of the total design in the market broadens so that the probability to find a
big hit product with a huge gain will increase. We define this set of function designs
prescribed by product architecture as "architecture design."
To summarize, we can draw relationships among actual design, function design, and
architecture design as a concept structure of design in Figure 2. In the next section, we
will create a theoretical model to describe the dynamics of architecture design mapping
the design space to the market space.
Design Space
Market Space
D1
Actual Design
Point
Set
D1 D2
Function Design
Set
D1
D2
Architecture Design
Architecture
Figure 2: Concept structure of design
3. Dynamics of Product Design through Modularity Matri
We study a change of product design from a fixed actual product design, such as DSM for
existing products, to define the dynamics of product design. When we denote a vector of
design parameters as {Xi}, called the “design space,” and a vector of functional
93
requirements as {fi(X)}, which are functions of design parameters, we treat only small
transformations {dXi} and {dfi(X)} as linear approximations (Yassine and Falkenburg, 1999)
around the initial values of the design parameters and functional requirements. We
assume that the number of design parameters and functional requirements are the same
as n in one system, the modules of which are labeled by i = 1,2,…n. In general, the
optimization theory for product design requires a set of solutions to be found to satisfy the
following equations (Michelena and Papalambros, 1995; Fujimura, 2000):
dfi(X) = i ,
where i denotes parameters for permissible ranges of {dfi} between Ai and Bi, which are
denoted as [Ai,Bi]. A new definition of the modularity matrix Gfij for functional requirements
is proposed as a mapping as follows:
f
f
Gfij k Kf km m
X
k , m 1 X i
j
n
1
,
where the matrix elements of the modularity matrix means to change the product design
among small transformations {dXi} on design parameters through the permissible ranges
on functional requirements. Here, Kfkm is a diagonal matrix, the matrix elements of which
are parameters i for permissible ranges of {dfi} such that Kfkm = diag (1 , 2 ,..., n ) for n
modules. In the case with many modules, the modularity matrix expresses the set of
solutions as actual design to satisfy the equation as architecture design as well as function
design to adjust actual design among the interactions of many modules. Thus, the
modularity matrix includes all of actual design, functional design and architecture design.
4. Entropy of Design for Modularity Matrix in Product Design
In this section, we define “entropy of design” as one indicator of product value in product
design. In product design, it is essential to consider functional requirements as well as
constraints (Fujimura, 2000), such as the hierarchical constraints: physical, equipment and
operational constraints, shown in the performance correlation diagram of Figure 3.
Physical constraints are conditions based on the fundamental law of science, and this
includes physical and chemical phenomena. Equipment constraints are conditions
dependent on the precision of the technological equipment made to realize products; this
includes machines and materials. Operational constraints are conditions determined by
establishing the parameters of working environments, such as ambient temperature and
atmospheric pressure. We can define the modularity matrix for constraints as “mapping”
in a similar way to that used for the modularity matrix for functional requirements.
94
Performance Level
Physical Constraint
Equipment Constraint
Required Performance
Level
Operation Constraint
Circumstances
Figure 3: Performance correlation diagram
Moreover, we can define modularity matrices on PCs and FSs for functions and constraints
in a way similar to that on DP. The coordinates {Yi} of PC represent the descriptions of
products, and the coordinates {Zi} of FS represent company names and brands.
Relationships among modularity matrices on DP, PC, and FS are displayed in Figure 4,
where functions are the same but constraints are different on three base vector spaces.
Science
Technology
Concept/Idea
FR f(X)
=
Gfd
f(Y)
Market
Business
Product
Prototype
=
Gfp
Lancaster
Goods
CN
f(Z)
Gfs
DP{X} → PC{Y} → FS{Z}
Φ1
Φ2
Gcd
Gcp
Gcs
C1(X) →
C2(Y)
→
C3(Z)
1
Physical constraints
Science Knowledge
Equipment constraints
Technological
Principle/Elements
Operation constraints
Social Structure
/Decision Making
Figure 4: Relationship among DSMs on DP, PC, and FS
Here, the permissible ranges of small transformations of constraints {Ci(X)} are denoted
as [Pi,Qi]. Then, the modularity matrix Gij for both functional requirements and constraints
is defined as the intersection of modularity matrices for functional requirements and
constraints as function design by use of the step function () , which is a theoretical
95
definition of DSM (Tokunaga and Fujimura 2016):
,
cljij
G
Biklmj
Aiklmj
, k , m 1
l
n
[ Aiklmj , Biklmj ] [ f k / X i Ak f k / X l , f k / X i Bk f k / X l ]
1
1
[ Cm / X l 1 Pm Cm / X j , Cm / X l 1 Qm Cm / X j ] .
As a definition of modularity, if the matrix elements of the modularity matrix are diagonal
or block diagonal, then the related product design is understood to be “modular.” If the
upper triangular matrix elements of the modularity matrix are zero, then the product design
is “hierarchical.” If the upper triangular matrix elements of the modularity matrix are not
zero, then the product design is “integral.” In this paper, we adopt the definition of
modularity proposed by Baldwin et al. (2014), which is expressed by the use of a transitive
closure of the modularity matrix to a successive power.
Product design as function design is a set of the mutually exclusive solutions that differ
only by insignificant performances, caused by unconsidered functional requirements, even
in the permissible ranges with necessary and sufficient number of modules. It is, therefore,
natural to find an analogy to Fermi-Dirac statistics in statistical mechanics, which follows
the Pauli exclusion principle and states that two or more identical particles cannot occupy
the state with the same parameter range. Realistically, small probability to realize product
design exists even outside the permissible ranges and the probability to realize product
design inside the permissible ranges becomes smaller as compensation. Then, the
product design can be applicable to wider functional requirements and we introduce a new
parameter T as applying more functional requirements outside the permissible ranges.
The new parameter T signifies the capability to find unknown solutions for product design
as function design even outside the known permissible ranges. The change of the new
parameter T can impact the number of product designs to be realized by the change of
permissible ranges as well as the change of the number of modules through a shift of the
units of permissible ranges, which is really caused by technology advances. Product
design should be adjusted in the permissible ranges of functional requirements between
Ai and Bi, which expresses design flexibility, and should be impacted by the new parameter
T as a phase of technology. Mathematically, the modularity matrix can be regularized using
the new parameter T to modify the step functions smoothly, as in Figure 5, with T = 0 and
T = 1. Here, we denote αi, Ai, and Bi as α, A, and B, respectively, as representative for
overall product design. The probability for the distribution function of functional
requirements is defined as (P B − PA) as follows:
11
1
1
PB = ( B ),
PAA=
,
B
( A )
T
TT
T
1 e
11ee
1 e
96
which can be identified as the distribution function for a fermion. The new parameter T as
a phase of technology relates to Ai and Bi reciprocally as a unit of functional requirement
like a technological change (Ulrich and Ellison, 1999).
1.2
1
T=0
Probability
0.8
T=1
0.6
0.4
0.2
0
-10
-5
0
Per issible ra ge para eter α
5
10
(B=-A=5, T=0&1)
Figure 5: Probability for the distribution function before and after regularization
Given that the product design can be independently determined by modularity, the
permissible ranges and the new parameter T, it is natural to introduce an entropy to count
the number of independent product designs as one indicator of product value. From the
same analogy between dynamics of product design and Fermi-Dirac statistics, we
introduce the “entropy” based on Fermi-Dirac statistics (also, “Fermi-Dirac entropy”) from
statistical mechanics (Kubo, 1965) for a grand-canonical ensemble of fermions by
identifying the matrix elements of the modularity matrix as energy for fermions, which
means “an ability to do work” in statistical mechanics. For example, in the case of one
module, the Fermi–Dirac entropy S for the modularity matrix (entropy of design) is defined
as follows:
( B )
1 e T
S ( , A, B ) log
( A )
1 e T
1
1
1
A
B
.
( B )
( A )
( A )
( B )
T
T
1 e T
1 e T
1 e T
1 e T
From the law of entropy maximization, we propose the following principle of modularity:
“Whenever approaching the best product design, the entropy of design
increases.“ We draw the entropy of design by the size of the permissible range [A, B], i.e.,
(B-A) as the intersection of functional requirements and constraints in Figure 6 when we
set B =−A, T = 1, and α = B/2, which can be generally selected as a positive number to
mean an improvement of the product design from the initial value. The entropy of design
as Fermi-Dirac entropy in a modularity matrix shows the number of possible product
designs as the states that satisfy both functional requirements and constraints, and
highlights product value. As an important note, the overall coefficient of the entropy of
design may be appropriately selected, which can be impacted by “brand”, for example.
97
DSM Region
AD Region
(Creative)
0.6 (Incremental)
Entropy (S)
0.5
0.4
0.3
0.2
0.1
0
-0.1 0
5
10
15
20
Intersection (B- A)
25
30
(T=1)
Figure 6: Entropy of design by the size of the intersection [A, B]
It can be shown that the entropy of design is logically equivalent to real option theory at
one region near zero size of the intersection (what we refer to as the “DSM region,”) and
the information axiom in the other region near infinity in size of the intersection (what we
refer to as the “AD region”) (Tokunaga and Fujimura, 2016). We propose that the DSM
region, where the entropy of design increases by the size of the intersection, denotes
incremental development in product design to increase product value with wider
constraints and/or functional requirements. The AD region, where the entropy of design
decreases by the size of the intersection, indicates creative development in product design
to increase the possibility of realizing product design by setting more constraints with
smaller intersection (B-A)—something that is also proposed in the creative process by
Fujimura (2000) and Moreau and Dahl (2005). The entropy of design in both the DSM and
AD regions has shapes similar to those of technology S-curves (Foster, 1988). The
maximum entropy of design in a phase of technology is the balance point between realizing
more functional requirements (and/or constraints) and limiting the permissible ranges to
increase the possibility of realizing the product, which may be a concrete example of
dominant design as optimal design (Utterback, 1994). Thus, the modularity matrix and the
entropy of design realize one unified theory of DSM and AD to connect both incremental
and creative development in product design in a phase of technology.
5. Entropy of Design and Utility Function in the Market
In this section, we study some examples in which the utility function determines the best
product design in a phase of technology even in various modularity cases as architecture
design. There have been many studies on mapping customer needs/attributes in the
market to product design, for example, conjoint analysis in marketing (Green et al., 1979,
1981, 1990) and QFD (Akao, 1972; Urban and Hauser, 1980; Hauser and Clausing, 1988).
98
Thus, because we confirm the existence of mapping between customer needs in the
market (we call “characteristics of the market”) and functional requirements in product
design, we can approximately measure the characteristics using functional requirements,
and the characteristics are, in general, denoted as functions of functional requirements as
ni / f j for i,k = 1,2,…n, as a square matrix, which means the necessary and sufficient
number of functional requirements to determine all of the characteristics. Here, we call the
mapping ni / f j as the “seeds translation matrix” to connect the market and product
design, although the Lancaster’s consumption technology matrix (Lancaster, 1966) is
generally a mapping between goods and their characteristics.
The entropy of design on functional requirements can be mapped to the entropy of design
on the characteristics in the market through the seeds translation matrix. Because the
entropy of design is the number of product designs possible to be realized, the entropy of
design mapped in the market can express the number of the product designs that will be
accepted in the market, which means a kind of consumer acceptance/preference along
the lines of utility in economics (Von Neumann and Morgenstern, 1945). Therefore, we
conclude that entropy of design mapped by the seeds translation matrix is a kind of
utility function of customer needs in economics.
α2
5/4
4/4
Modular S=0.52
3/4
2/4
1/4
α1
0
1/4
2/4
3/4
4/4
5/4
Figure 7: Utility function and entropy of design in the modular case with S=0.52 in
DSM region
The utility function as market value, therefore, can be identified as the entropy of design
in the modular case with S = 0.43, 0.48, 0.60, 0.70 in the DSM region (Figure 7) as one
simple example, which looks downward and convex like the definition of utility function in
Mankiw’s textbook on economics (2011). Then, the sizes of permissible ranges, [A11111,
B11111] and [A22222, B22222], mean the performances of the functional requirements in the
99
market as a point, denoted as α1 and α2, as the coverage of actual design in the market
space. When we put the entropy of design with S=0.52 in the modular case in Figure 7,
the product design with S=0.52 can cover the shadowed ranges of performance as
architecture design as the market value in market space. In comparing the utility function
and the entropy of design, we can find the best product design with many varieties, which
fundamentally clarifies that increasing the entropy of design means to cover wide
permissible ranges in product design surrounded by the forefront of technology. Thus, the
entropy of design expresses the technology landscape for the product value to find the
best product design from the wide permissible ranges (Kauffman, 1996; Kauffman and
Macready, 2000).
When we put the entropy of design with S=0.52 in the hierarchical case with c/d=1/2 and
T=1 in Figure 8, the shadowed ranges of performance as architecture design in the market
space can be modified to be asymmetric for both axes. To achieve the expected market
value beyond S=0.60, we can find the existence of permissible ranges on the indifference
curve of the entropy of design in product design with S=0.52 in the DSM region (Figure 8),
where the performance α 1 is larger than α 2. Even in the same phase of technology with
T=1, we find that the change of modularity as product design from modular to hierarchical
can realize the higher market value as utility function in the permissible ranges with larger
performance α1 than α2. Thus, we can find that the modular system is more flexible to
cover the widest permissible ranges of product design for technology advances, which can
realize disruptive innovation (Christensen, 2013), than the hierarchical system. As one
conclusion, the theory suggests that we should manage modularity and technology
advance separately and at the same time by understanding the coverage of the product
designs in the market. Therefore, we conclude that the utility function in the market can
determine the best product design in a phase of technology even in any modularity
case.
α2
5/4
4/4
Hierarchical
3/4
S=0.52
2/4
1/4
α1
0
1/4
2/4
3/4
4/4
5/4
Figure 8: Utility function and entropy of design in the hierarchical case with S=0.52 in
100
DSM region
6. Conclusions and Future Works
We have proposed a new theoretically consistent formulation to manage utility function,
customer needs, functional requirements, design parameters, and constraints as the
mappings (Figure 1) with the impact of technology advances and clarified that the
entropy of design in product design can be related to utility function as market value
through the “seeds translation matrix.” As a basic idea of this theoretically consistent
formulation, we have differentiated the concept of design as “actual design”, “function
design” and “architecture design”. In addition, it has been essential to introduce the
applicability of product design with the new parameter T as a phase of technology. The
theoretically consistent formulation to realize the highest market value can determine
design directions to optimize functional requirements and constraints in product design as
architecture design.
As a future work, this theoretically consistent formulation will make a prediction for future
innovations by simulating the value of product design. Soon, it will also reveal the
dynamics of creativity from the theoretically consistent formulation.
7. References
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8. Acknowledgements
The authors are grateful to participants at the international DSM conference and people at
the Department of Innovation Science, School of Environment and Society, Tokyo Institute
of Technology, for their helpful comments. Also, T. T. would like to thankful for Dr. Makoto
Takahashi and Dr. Susumu Kunifuji to introduce this conference on creativity.
9. Authors’ profile
Dr. Tatsuya Tokunaga Mitsui Chemicals, Inc.Tatsuya Tokunaga holds Ph.D. for
theoretical physics at Kyoto University. He works at marketing/sales division of Mitsui
Chemicals.
Professor Dr. Shuzo Fujimura Department of Innovation Science, School of Environment
and Society,Tokyo Institute of Technology
Dr. Shuzo Fujimura is full professor at Tokyo Institute of Technology. He is focusing his
research interest on the generation process of new products and industries as a higher
dimensional system. In addition, he also has strong interest on the relation between
designing and creativity as the base of creation of the new higher dimensional system. He
received Bachelor in Physics (1978) and Ph.D in material science (1993) from Chiba
University. From 1978 to 1998, he engaged in research and development of
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semiconductor processing at Fujitsu and Fujitsu Laboratories. After joining start-up of a
company for four years in California as a co-founder, he worked for the Institute of
Innovation Research of Hitotsubashi University as a chaired professor until 2008. He has
received several awards: Recognition for notable inventions, Science and Technology
Agency (1997), Business & Technology Book Award, Nikkei BP (2001), and Best Teacher
Award, Tokyo Institute of Technology (2010).
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Innovation Networks and Public R&D in India
1 Santanu
Roy and 2 Jay Mitra
1 Institute of Management Technology, UAE 2 University of Essex, UK
Email: sroy@imt.ac.ae
Abstract
In many emerging economies, the ineffectiveness of public -sector R&D often results
from process inefficiencies in technology transfer and commercialization. A strategy
of aligning public R&D with innovation networks and adopting a consortium mode of
R&D/innovation management could prove critical towards achieving the twin
objectives of technology transfer and commercialization of research results. The
literature reports a great deal of work on the construction of networks of linkages
between actors involved in the innovation process, and the individual linkages
between the actors themselves. We argue that innovative capacity may improve and
economic growth may foster through the formation of dense networks among public
R&D institutions and industrial organizations. Given this background, we look at a
public-funded R&D laboratory system in an emerging economy context, the Council of
Scientific and Industrial Research (CSIR), in India, the body that primarily conducts
scientific and technological activities in the country covering a wide canvas of
disciplines. We update four specific technology transfer and innovation cases from
as many CSIR laboratories from the perspective of innovation netwo rks/consortium
mode strategy: In each of these cases we map how the most critical problems in the
technology transfer and commercialization phases were identified, and how a
conscious strategy focusing on consortium development and alignment with
innovation networks were instrumental in facilitating confidence building in the
technology and design, and successful technology transfer and commercialization.
The study results have important implications for the management of innovation,
technology transfer, and commercialization of research results from public R&D in an
emerging economy context.
Keywords: Technological innovation, Public R&D laboratories, India, networking
strategy, technology transfer
1. Introduction
Innovation outcomes of research and development (R&D) activities and probing key
contributors of success in these endeavours such as good communication, effective
project management, understanding user needs, or integration of basic research
results (Brockhoff, Koch, & Pearson, 1997) have been debated in the literature for
long. It is truism to say that scientific and technical knowledge production has become
a less self-contained activity. The traditional task of individual researcher to determine
what scientific questions he wishes to pursue is being significantly affected by the
requirements of funding agencies, as well as by the change in the organizational
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structure of R&D. The scientist is no longer an independent free individual concerned
solely with what he can find. Now he is concerned with what he ought to do. The
question of relevance has become important. To remain credible, R&D managers
need to leverage internal R&D capabilities with external resources, facilitate rapid
learning, deliver long-term as well as short-term value, and focus on speed in the
commercialisation of new technology.
In the context of an emerging economy such as India, besides the low appropriability
of R&D-expenditure in basic research, it is observed that many micro, small and
medium firms that operate in niche markets cannot afford maintaining large R&D
laboratories. Even large firms, mostly risk averse and short -term oriented, often do
not bear the large investments necessary because of indivisibility and high uncertainty.
This brings to the fore the role played by public-funded R&D, the results of which are
meant to be subsequently exploited by private businesses for industrial innovations.
This being the main justification for allocating public funds for research, assessing the
innovative impact of such activities becomes critical. The focus of Carayannis, Giudice,
& Peruta’s (2014) interesting contribution in this regard is the government university/academic-industry R&D partnership. Based on seven case studies of NASA
laboratories that are incubating several companies, they observe that the presence of
internal and external champions, appropriate technology, and patient risk capital are
crucial ingredients for achieving success in a competitive environment. The authors
propose adopting a hybrid portfolio approach in assessing the success of technology
transfer and commercialization of research results.
A network comprises all the organizational or social units connected by a specific type
of relationship. The types of inter-firm alliances and those existing between firms and
R&D institutes might take a variety of forms such as R&D partnerships, complex co marketing arrangements, equity joint ventures, or collaborative manufacturing, often
involving complementary skills-pooling or risk-sharing. This is the primary rationale
for government facilitating the development of these networks. We adopt a case study
methodology to carry out the task of updating the following technologies: ‘Sponge Iron
Production’ developed by the National Metallurgical Laboratory (NML), Jamshedpur;
‘Chlorosilanes’ developed by the National Chemical Laboratory (NCL), Pune; ‘Mini
Cement Plants using Vertical Shaft Kiln (VSK) Process ’ developed by the North-East
Institute of Science and Technology, (NEIST), Jorhat; and ‘Reverse Osmosis Process
for Desalination of Brackish Water’ developed by the Central Salt and Marine
Chemicals Research Institute (CSMCRI), Bhavnagar. The case studies clearly
illustrate and reinforce the utility of adopting such a network strategy among
innovation actors for the processes to ultimately fructify.
2. Study Objectives
Given the above background, the work reported herein looks at a public -funded R&D
laboratory system in an emerging economy context and highlight the strategy of
adoption of a networking strategy among the various actors in the technological
innovation process for achieving success in such efforts. We update four specific
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technology transfer and innovation cases (Roy, 2006) from as many CSIR laborat ories.
We analyze the role played by innovation networks in technology transfer and
commercialization of research results from public R&D in an emerging economy
context.
3. Council of Scientific and Industrial Research, India
In India, scientific and technological research is primarily concentrated in industrial
and government funded institutions like the Council of Scientific and Industrial
Research (CSIR) where the demand for profit, growth and accountability respectively
require that research activity is directed, at least in the long run and more often in the
short run, towards the solution of practical problems. Further, it is directed primarily
towards the general objectives of social and economic development and national
security. These external tasks provide to a great extent the stimuli, growth and
justification of scientific work.
The CSIR is an autonomous society under the Societies’ Registration Act, 1860 with
the Prime Minister of India as its ex-officio President. Each laboratory of CSIR, headed
by the Director, has two Councils: Research Council that looks after its long -term and
short-term R&D strategies, and Management Council that looks after its administrative
functions.
4. Literature Review
Many organizations are confronted with dynamic and uncertain environments due to
the accelerated rate of technological change coupled with increasing competitiveness
in the global marketplace. One particular point of interest in this regard is the Triple
Helix Paradigm (Etzkowitz & Leydesdorff, 1998; Etzkowitz & Dzisah, 2006; Etzkowitz,
2003; Admade & Romero, 2006). Natario, Couto, & Almeida (2012) bring to the fore
the debate concerning this paradigm, examining its role in three spheres – universities,
firms and government – and recognizes key factors for successful innovation
dynamics in a less favoured region of Portugal. Based on a provincial panel data of
Chinese universities for the period 2004-10, Rao, Meng, and Piccaluga (2012)
examine the impact of both Chinese government R&D funding and national R&D
programs on the number and the revenue of patent technology transfer contracts that
revealing a government-dominant position to promote patent technology transfer
activities in Chinese triple helix model. Adopting the triple helix approach as a heuristic,
Fernandez-Esquinas, Merchan-Hernandez, and Valmaseda-Andia (2016) investigate
the role of the interface organizations of a regional innovation system on the dynamics
of knowledge transfer between universities and firms based on a survey of 800
innovative firms in Andalusia in Spain. They find that the firms ’ positive perceptions
of technology transfer offices, science parks and the innovation agency in the
promotion of knowledge transfer are associated to the kind of relationships maintain ed
with universities.
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Technology transfer is not an isolated event that can be identified simply as the actual
process of transfer from the concerned public -funded R&D laboratory to industry but
encompasses the entire gamut of technological innovation man agement. The various
types of inter-firm alliances take on many forms, ranging from R&D partnerships to
equity joint ventures to collaborative manufacturing to complex co -marketing
arrangements. In his work, Yoon (2017) observes that the construction of a regional
innovation cluster is a way of realizing regional development and competitive
development. He puts emphasis on building a university-institute-industry
collaboration and a human resource management system for ensuring R&D efficiency.
Based on a longitudinal case study of four successive regional innovation projects in
Norway, Rubach, Hoholm, and Hakansson (2017) observe that the construction of
innovation networks served as an instrument in the production of new interfaces
between businesses, researchers and policy makers. Based on a study of a sample
of university/academy spin-offs in the United Kingdom, the Netherlands and Norway,
Soetanto and Jack (2016) conclude that (a) a technology and market exploitation
strategy, (b) a market growth strategy (combining technology exploitation and market
exploration), and (c) incubation support in the form of networking and entrepreneurial
support, have a positive effect on the performance of these spin -offs. Egbetokun
(2015) finds that in Nigerian firms, a positive relationship exists between a firm’s
innovation performance and the size of its networking portfolio that varies across
different innovation types and with increasing innovation performance.
The utilization of the results of public-funded research by the industry in India and
how equipped we are to tap the benefits from R&D utilizing the strategy initiative of
networking or a consortium mode of operation have been subjects of debate since
long, especially in view of the weak links that have tradit ionally existed in the
business-laboratory nexus in India (Roy, 2006). Laranja (2004), after a review of
literature on aspects of innovation as a collaborative process, concludes that
innovation is a rather complex process involving learning and the applic ation of
technical knowledge. In most cases, innovation is a collective endeavour involving
formal collaboration and informal interactions among various kinds of organizations.
He emphasizes that these interactions are needed to stimulate the development,
exchange and sharing of knowledge that is scattered by different agents.
Based on a survey data of 594 innovations in Dutch small firms, Jong and Hulsink
(2012) identify six patterns of innovation networking: supplier -based, customer-based,
informal-based, bank/account-based, science-based, and government-based.
Mohannak (2007) examined the innovation networks of Australian high technology
SMEs by focusing on the linkages employed by these businesses to learn, adapt to
technological changes, and innovate. Leading research centres as well as the big
multinational firms are increasingly gaining their competitive edge from a close
undistorted linkage between research, advanced manufacturing and lead marketing.
These trends are giving rise to very decisive changes in the management within
corporations as well as among independent organizations (Gerybadze & Reger, 1999),
bringing to the fore the significance of innovation networks (Ojasalo, 2008; Hao &
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Feng, 2016; Codini, 2015; Liyanage, 1995). Based on a stud y of European automotive
sector, Dilk, Gleich, Wald, and Motwani (2008) observe that the important motivators
for companies involved in innovation networks include flexible access to technologies,
intensified contact with clients and markets, and long -term bonding of suppliers and
clients.
5. Methods
Jungmann, Baur and Ametowobla (2015) and Brostrom (2008) have carried out
studies on pioneering study on methodologies to be adopted for innovation research.
Case study method has been adopted for the work reported in the present paper. The
appropriateness of such a methodology for technology innovation have received
acknowledgement in the literature (Rhoades et al, 1978; Bowonder and Miyake, 1997;
Han, 2017; Chu and Andreassi, 2011; Ozaki et al. 2012; Binsardi, Green and Jackson
2013; Figueroa and Conceicao, 2000; Negro, 2007; Shibeika and Harty, 2015). We
update four networking case studies (Roy, 2006), revisiting the sites, and probing the
way these public R&D innovation networks have survived over time.
5.1 The Case Studies
1.1 Case 1: Sponge Iron Production (National Metallurgical Laboratory (NML),
Jamshedpur)
Two different processes were developed by NML for the production of sponge iron by
using non-coking coal as a fuel and as a reductant – the rotary kiln process and the
vertical retort direct reduction furnace process given the wide gap that had existed
between the supply and demand for steel in India, adopting the methodology of Direct
Reduction (DR) of iron ores involving in-situ reduction or iron oxide without involving
fusion.
The first technology to be developed was the rotary kiln technology. Unfortunately,
the technology was transferred to Andhra Cement Company, Vizayawada in the state
of Andhra Pradesh in India without adequate pilot plant scale testing. The company
got their plant designed by the scientists of NML with no external technical support,
by reconverting a forty-year old cement kiln. The particular plant could run for only
about six months with periodic breakdowns. The first attempt, therefore, resulted in a
failure.
On the other hand, the vertical retort furnace technology was tested at a pilot plant
scale (a 350 kg per day capacity plant) that was designed and built in the laboratory
itself where process utilization of the furnace gas was achieved increasing the
metallization to 90-95 per cent boosting the confidence of possible investors. NML
subsequently went for a collaborative effort with Mechanical Engineering Consultants
(MECON), Ranchi, for the commercial scale engineering design and for drawing up
the engineering specifications. A modular plant with four retorts (capacity 12,000 15,000 kg per day) was established, jointly funded by CSIR and MECON for this
purpose. Subsequently, the Sponge Iron Vertical Retort Direct Reduction Technology
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has been successfully transferred to Bastar Ispat Udyog Pvt. Ltd., Jabalpur, India.
Apart from the sponge iron technology discussed above, NML has all along maintained
a long tradition of a close cooperation with small and medium scale sector (SME)
industries, offering these industries technologies that they require. Some recent cases
of successful technology transfers from NML to the SME sector could be cited here 1 :
1) Production of Nickel-Free Valve Steel: Star Wire (India) Ltd., Balla bhgarh
2) Clay-Bonded Improved Graphite Crucible: Metapalli Systems & Sons, Samalkot;
Maheshwari Udyog Pvt. Ltd., Vizayawada; Silicard Crucibles Pvt. Ltd., Vapi;
Patna State Graphite and Mining, Titlagarh; JD Jones & Co. Ltd., Jamshedpur;
Circar Graphite Products, Rajahmundhry.
3) Sacrificial Anodes based on Aluminum Alloys: Welcome Alloys Pvt. Ltd.,
Chennai; Dum Dum Valves and Bearings Pvt. Ltd., Kolkata; Aluminium
Manufacturing Co. Ltd., Kolkata.
4) Dental Amalgam Alloy: Sakti Industries, Varanasi; Bharat Dental Aid,
Jamshedpur; Dentfill India, Jamshedpur.
5) Picking Inhibitor for Descaling of Steel in Hydrochloride Acid: Peddington
Chemical Industries, Mumbai; Chem-Tech Enterprises, Jamshedpur; Navdeep
Chemicals, Mumbai.
6) Electrolytic Manganese Metal: Indian Manganese Metal Rourkela; Devidayal
Sales Pvt. Ltd., Mumbai.
7) NML-Hodgaflux: Ambika Industries, Kolkata; Hind Chemicals, Hyderabad.
8) Electrical Resistance Alloy for Heating Elements: GK Enterprises, Adityapur;
Neatwell (India) Pvt. Ltd., Kolkata; Met Industr ies, Kolkata; Cable Works (India)
Ltd., Faridabad; SK Mitra, Kolkata; Burjwal Electricals, Bhadoi; Rishi Alloys Pvt.
Ltd., Muzaffarnagar; Fort Gloster Industries Ltd., Kolkata; Jyothi Refinery,
Mumbai.
9) Column Floatation Technology for the Beneficiation of Ores and Minerals: Indian
Rare Earths Ltd., Chatrapur; Calpro Minerals and Chemicals Pvt. Ltd., Salem.
Consciously taking this technology innovation initiative ahead, NML has since
established a Technology Incubation Centre with a view to nurture entrepre neurship
and help spin-off of companies based on technologies developed in the laboratory as
well as incubation of technologies in the domain of minerals, metals and materials.
This Technology Incubation Centre works towards promoting small & medium
industries for contribution to the different government schemes and its activities
include the following 2 :
Promoting entrepreneurship by way of mentoring, translating innovative
knowledge and training.
Providing suggestion/advice on IP white space and for marketing of
products/processes.
Guiding the entrepreneurs in filing of copyrights, patents whenever required.
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Providing support towards quality assurance of products/processes and
marketing.
Providing common facilities such as infrastructure and instrumental facilities to
the incubatees.
Arranging awareness programs for orientation of entrepreneurs towards
Technology basics/ management approach.
1.2 Case 2: Chlorosilanes (National Chemical Laboratory (NCL), Pune)
Chlorosilanes are important basic intermediates in the manufacture of silicone oils
and emulsions that find applications in homes and a variety of industries. NCL
developed a novel and innovative process using a new catalyst to synthesize
methylchlorosilane. Silicones have multifarious applications such as in grease, paints,
rubbers, resins, adhesives, emulsions, etc., possessing a unique combination of
metallic and non-metallic properties. The project vision was to develop the process
essentially as an import-substitution technology as chlorosilanes were a 100%
imported item at that point of time.
The chlorosilanes project was taken up by the Catalysis and Inorganic Chemistry
Division of NCL. This division has had a roadmap to provide uniq ue opportunities for
industries, companies and other interested research institutions to collaborate and
carry out research and development in the area of catalysis (NCL, 2017).
Chlorosilanes are prepared by the so-called Rochow reaction between methyl chloride
and silicon metal in the presence of a copper catalyst (Doraiswamy, 2011).
Initially, work at bench level as well as a small pilot plant level (capacity at 2 kilograms
per hour of mixed chlorosilanes) was completed by the process development group,
and the results were reproduced successfully at the laboratory scale. The process was
then demonstrated to a firm manufacturing methyl chloride, Mettur Chemicals, and
Industrial Development Corporation Ltd. As they delayed a final decision regarding
the commercial exploitation of the process, the NCL initiated a dialogue with HICO
Products Ltd., Mumbai, a company that used chlorosilanes for the manufacture and
sale of a number of silicone products (Doraiswamy, 2011). HICO was already
formulating silicone products with imported dimethylydichlorosilanes (DMDCS). With
a view to upscale the technology, a small pilot plant of about 60 tonnes per annum
(TPA) capacity was set up in HICO factory in Thane Belapur, outside Mumbai. Success
in operations at this level encouraged HICO to set up a larger pilot plant of one tonne
per day (TPD) capacity. A project engineering consultancy firm, Humphreys & Glasgow
Ltd., was roped in as a part of the consortium. This firm carried out the techno economic feasibility study and costing of the project and had sorted out the design
engineering problems. Humphreys & Glasgow Ltd., working in collaboration with NCL
and the user company, was instrumental in designing the commercial scale plant that
was part of an integrated complex at Kharsundi, Raigad district, in the state of
Maharashtra, consisting of a methyl chloride plant of 1200 TPA, a chlorosilanes plant
of 1000 TPA, and a silicones plant of 300 TPA. There are three important measures of
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success of a plant of this type: composit ion of the product mix from the reactor; purity
of the principal components of the product mix; and consumption of raw materials and
utilities (Doraiswamy, 2011). The HICO plant was superior to any of its international
competitors (Bhojwani & Lal, 1991). The NCL as well as HICO received Indian
Chemical Manufacturers Association (ICMA) 1982 Award for ‘Forward Technology
Development’ for their efforts in successfully developing sophisticated technology and
its use entirely through indigenous efforts (Dorais wamy, 2011). At present, HICO has
a 2000 TPA capacity plant (NCL, 2017).
A further instance of the networking strategy in operation was the involvement of the
National Research Development Corporation (NRDC), a Government of India
enterprise established in the year 1951 as a non-profit making public enterprise
specifically to promote transfer to locally developed technologies to industry. NRDC
took over the technology from HICO after getting it assessed by Engineers India
Limited for initiating the process of horizontal transfer of the same, observing that the
NCL-HICO technology was contemporary and there was no need to import this
technology into India from abroad. However, what came a rude blow to the project
team was the announcement of the Import -Export Policy (IEP) of the Government of
India for the period April, 1985 to March, 1988, that placed methyl cholosilanes as well
as silicone compounds/fluids/oils/resins under Open General License, OGL (Bhojwani
& Lal, 1991). The matter eventually had come up before the Technology Evaluation
Committee (TEC) of Directorate General of Technology Development (DGTD),
Government of India. After several discussions at the government level and in several
forums, DGTD requested NCL to collect samples of DMDCS from the HICO plant and
imported DMDCS for conducting an analysis to verify the purity level of the HICO
produce conforms to international standards, and this was subsequently proved (Nath
and Misra, 1988).
Taking this movement forward, the Catalysis and Inorganic Chemistry Division of NCL
has now proposed the creation of a National Centre for Industrial Catalysis (NCIC)
with the twin objectives of undertaking R&D in industrial catalysis through an
integrated approach, in particular, for the conversion of renewables to fuels and
chemicals, and to impart training in refresher courses, particularly to those who are
working in Indian chemical industries. It is expected that these activities would further
bridge the existing gap between laboratory discoveries a nd their commercialization in
the relevant industries (NCL, 2017).
1.3 Case 3: Mini Cement Plants using Vertical Shaft Kiln (VSK) Process
(North East Institute of Science and Technology (NEIST), formerly,
Regional Research Laboratory (RRL), Jorhat)
Cement is a critical material for any civil engineering construction. As per recent
reports, the demand for cement in India is expected to increase due to government ’s
push for large infrastructure projects, and India’s demand for cement is expected to
reach 550-600 million tonnes per annum (MPTA) by the year 2025 (NEIST, 2017).
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Essentially, the vertical shaft kiln constitutes the heart of the cement plant for the
production of quality ordinary portland cement (OPC) to Bureau of Indian Standards
(BIS) specifications (IS:269) employing either a single kiln or multiple kilns. As a rule,
the VSK is made up of a static vertical shaft, lined internally with refractory bricks.
Integrated within the kiln is a chimney, a raw-meal feeding inlet, a rotary grate with
provision for entry of combustion air, a material block tube and discharge mechanism
(NEIST, 2017). This process held the advantages of utilization of smaller deposits of
limestone, lowest capital investment per unit capacity and low gestation period,
efficient kiln performance, efficient clinker discharge mechanism, and uniform air
distribution at multiple levels (NEIST, 2017). The vision was to promote
decentralization of an industry that is very basic to the development of infrastructure
of the country.
The first plant based on this technology of 9900 TPA capacity was commissioned at
Kutch in the state of Gujarat. In the initial technology transfer phase, the project team
had carried out detailed cost analysis and profitability analysis of plants of 25 TPD
capacity. Evidence of the networking strategy was clearly discernible. Consultants
and fabricators were appointed under a tripartite agreement for offering the technology
on a turnkey basis. The consortium consisted of NEIST and CSIR, NRDC, the
consultants, the fabricators and the user agencies. The consultants and fabricators
were jointly endorsed by the laboratory and NRDC. The consultants in collaboration
with the fabricators rendered a variety of services to the entrepreneurs such as
arrangement of licenses, preparation of feasibility reports, arrangement for evaluation
of raw materials, preparation of detailed project engineering report including technical
evaluation of tenders and vendor analysis, installation and commissioning of individual
plants, machinery and quantity of product, arrangement for training of plant operating
personnel, plant commissioning including stabilization for rated quality and quantity of
product, and assistance in providing BIS certificate and other technical assistance as
and when required.
The scientists of the laboratory had designed the pilot plant. It was operated within
the laboratory premises. However, in the technology transfer phase, the up -scaling of
the technology to the commercial scale and other related design engin eering problems
were adequately taken care of by the consultants and fabricators endorsed by the
laboratory and the NRDC. The project initially was envisaged both at the tiny as well
as the mini level. Now, the technology is being offered only at the mini level at three
levels of capacity – 25 TPD, 50 TPD and 100 TPD. After the first technology transfer,
39 cement plants ranging from 25 to 100 TPD have come up in different parts of India
with NEIST’s technology (NEIST, 2017).
1.4 Case 4: The Reverse Osmosis Process for Desalination of Brackish Water
(Central Salt and Marine Chemicals Research Institute (CSMCRI),
Bhavnagar)
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CSMCRI had undertaken R&D investigation on desalination of brackish water by a
process known as reverse osmosis (RO). Osmosis is a process in which solvent flows
spontaneously through a semi-permeable membrane from a dilute into a concentrated
solution.
In reverse osmosis, a pressure is applied to cause solvent flow in the
opposite direction with the membrane material possessing suitable permeation
properties. The success of the technique lies in the preparation of the correct type of
the osmotic membrane. When the project was initiated, the research strategy dealt
with two distinct areas, viz., development of membrane and engineering hardware for
a reverse osmosis system, to satisfy a pressing need of supplying clean drinking water
to a large section of the populace. The project was eventually incorporated into the
National Drinking Water Mission of the Government of India.
The initial technology thrust was developing a tubular RO brackish water desalination
plant that was successfully demonstrated at a capacity level of 10. 000-15,000 litres
per day (LPD) at various places in the country including a plant for the Border Security
Force at Vighakot in Kutch (Gujarat state). These plants had rejected total dissolved
salts (TDS) up to 87-88%, yielding potable water on 50% recov ery basis. The
technology, however, had a few major issues that were highlighted in the field trials
such as the plant cost and bulk, and difficulty in membrane replacement. These and
other issues were resolved in the spiral configuration RO plant that wa s subsequently
developed and commissioned at a 10,000 LPD capacity level at Arnej, near
Dhandhuka in Ahmedabad district in Gujarat state.
The networking strategy was conspicuously present in the course of technology
development and innovation with conscious efforts having been made to bring
together different public bodies, state and central government ministries – first, to
create an awareness about the technology, and second, to install RO plants at
different locations in the country such as Melakodumall ur (Tamil Nadu), Lolawas
(Rajasthan), Puthagaram near Chennai, and Gilledupadu near Tuni (Andhra Pradesh).
The performance data of these plants boosted investor confidence and the technology
was licensed to Bharat Heavy Electricals Limited, Hyderabad, Hind usthan Shipyard
Limited, Vishakhapatnam, and Arrow Technology, Ahmedabad.
Let us focus on certain recent initiatives that have been taken in this regard. This
technology has been further improved over the years and the latest offering from
CSMCRI stable is the development of thin film composite (TFC) reverse osmosis
membrane technology for desalination of brackish and sea water to obtain potable
water with less than 500 ppm TDS. Continuing with the development of technologies
that have wide societal impact, CSMCRI has developed a technology entitled ‘Specific
Polymeric Ion-Exchangers Based Drinking Water Purification Domestic Units for
Arsenic and Fluoride Removal’. The benefits of this technology has wide ramifications
in the Indian context as arsenic and fluoride present in drinking water in certain
locations of the country are highly toxic and health hazardous. CSMCRI has developed
specific polymeric ion exchangers, useful for the selective removal of arsenic and
fluoride from drinking water. This technology has already been transferred to units
114
working in fluoride affected districts in the states of Bengal and Gujarat.
Some other related technologies on offer from CSMCRI include development of hollow
fiber (HF) ultrafiltration membranes for efficient w ater purification with low rejection
rate, production of high purity salt from natural brine, and production of low sodium
salt from bitterns and vegetable salt from Salicornia. One of the new projects in the
area of desalination include the installation of community managed 4000 LPH RO
water purification plants for drinking water treatment at Rajampet Kadapa district and
Kosur, Krishan district of the state of Andhra Pradesh 3 , and the other one is sea water
RO desalination plant 6000 IPH capacity using hollow fibre module for pre-treatment 4 .
6. Discussions and Conclusions
The above four specific technology development case studies on networking strategy
for technological innovation provide us learning situations to appreciate the
significance of the strategy initiative of networking for technological innovation from
public R&D. Based on case studies of innovative small manufacturing firms in Cyprus,
Dickson and Hadjimanolis (1998) recognize a ‘local strategic network model’ where
firms intentionally develop and maintain a network of long-term relationships based
on trust, cooperation and mutual benefit in order to obtain the necessary resources
and knowledge for innovation. Bort, Oeheme, & Zock (2014) point out that to maintain
and enhance innovation performance, many firms look for resource mobilisation from
external sources such as such as strategic alliances and regional network
embeddedness. Novkovic (2007), while examining R&D and innovation patterns of
firms in a mixed industry, observes that forming close networks is a good policy for
cooperative survival. Thus, what clearly emerges from a perusal of the case studies
presented is that factors such as complementary knowledge linkages, close
monitoring, identification and early removal of possible bottlenecks in the
implementation, and the market orientation, are the elements of consortium mode that
contributed to success.
Further, involvement with industrial associations and
financing through contract/memoranda of understanding, could provide additional
support. Mu (2013) argues that new ventures should build and leverage networking
capability to manage network relationships and resources to innovate, develop and
create value, and appropriate various types of econ omic rent.
A noteworthy CSIR initiative in partnership with NCL towards promoting technological
innovation in Pune region of India, has been the establishment of an entity called the
‘Venture Centre’. The Venture Centre is India’s largest science business incubator
specializing in technology start-ups offering products and services exploiting scientific
expertise in the areas of materials, chemicals and biological sciences and engineering
with an aim to empower and enable scientists and engineers in pu rsuing technology,
innovation and entrepreneurship objectives 5 . The Centre has undertaken many
projects supported by agencies such as the Ministry of Micro, Small and Medium
Enterprises (MSME), Government of India with the twin objectives of helping MSME s
pursue development and commercialization of technology innovations, and helping
115
MSMEs with aspects of intellectual property like landscaping, creation, protection, and
commercialization 6 . This underscores the importance of innovation networks for
successful public R&D in an emerging economy context.
Notes:
1. http://www.nmlindia.org/technologyytansfered.html
2. http://www.nmlindia.org/download/TICNML%20Brochure.pdf
3. http://www.csmcri.org/Pages/Projects/projects.php?pageNum_Projects=8&tota
lRows_Projects=122
4. http://www.csmcri.org/Pages/Projects/projects.php?pageNum_Projects=9&tota
lRows_Projects=122
5. http://www.venturecenter.co.in/index.php
6. http://www.venturecenter.co.in/project.php
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Mindfulness, Creativity, and Novelty Production of Entrepreneurs
1Dave
Valliere and 2Zohreh Hassannezhad
1Ted Rogers School of Management, Ryerson University, Canada
2Faculty of Entrepreneurship, University of Tehran, Iran
Email: valliere@ryerson.ca
Abstract:
Entrepreneurs are the creative artists of business – noticing business opportunities that
have been overlooked, envisioning new products/services and business ventures that do
not yet exist, and bringing these into existence by creatively combining and structuring the
raw materials and resources that are available. Mindfulness and creativity are therefore
essential to the alertness and innovativeness of entrepreneurs. This study is an exploration
of the relationship between mindfulness and creativity, in the context of entrepreneurship.
Interpretive structure modelling of the expert opinions of entrepreneurs and mindfulness
practitioners is used to develop a model in which creativity is associated with specific
elements of Langer’s (1992) theory of mindfulness. According to this theory, mindfulness
comprises novelty seeking, sensitivity to context, awareness of multiple perspectives, and
novelty production. Structure modelling suggests that creativity plays a mediating role
among these constructs. This model is then contrasted with an alternative model in which
creativity is identified with novelty production. Structural equation modelling with empirical
data from entrepreneurial undergraduate students is used to compare the degree of fit of
these competing models. This provides an improved understanding of how creativity and
mindfulness work together to support innovation by entrepreneurs.
Keywords: Creativity, mindfulness, entrepreneurship, structural modelling
Introduction
Mindfulness has been highly incorporated in people’s personal and career lives in recent
years. Scholars in business and organizational management fields have recently
investigated the impact of mindful behaviour on many different aspects of business,
including management (Nandram and Borden 2011), leadership (Boyatzis and McKee
2005, Nandram and Borden 2011, Reb, Narayanan et al. 2014) , performance success
(Sauer and Kohls 2011), business ethics (Lampe and Engleman-Lampe 2012) ,
organizational development (Ericksen and Dyer 2005, Jordan, Messner et al. 2009,
Sutcliffe, Vogus et al. 2016), market analysis (Gordon and Schaller 2014), global markets
(Bayraktar and Oly Ndubisi 2014) and organizational change (Wilensky 2016). The
performance of business has a great effect on social and economic development of the
societies. But it is creativity and innovation that are the fundamental drivers of these
benefits. As the founders/creators of these businesses, entrepreneurs are the ones who
see and think differently than others, and who thereby initiate the creation of ventures
and markets that do not yet exist. This different thinking is a unique cognitive ability of
119
some individuals,
suggesting that we should consider
theories from
psychological/cognitive studies to address this prominent feature of entrepreneurs and
social development. In this spirit the current study adopts mindfulness theory, with its
focus on the inner aspects of mind, emotion and cognition, as a useful and appropriate
foundation to explore creativity and innovation in entrepreneurs.
Literature
Entrepreneurs are the creators and innovators of the business world. Their new ventures
are responsible for the creation of new products and services, new markets, and new
jobs and tax bases – by improvising to discover novel business approaches to meeting
societal needs (Fisher 2012). Sometimes this is done through “bricolage”, the
unstructured experimentation and play with combinations of whatever resources are at
hand (Baker, Miner et al. 2003). And sometimes it is done through “effectuation”, the use
of resources at hand to explore potential goals in the face of high market uncertainties
(Sarasvathy 2001). But either way, this proclivity for improvisation has been found to
be a major predictor of entrepreneurial intentions at the individual level (Hmieleski and
Corbett 2006). Improvisation and the ability to thereby reconceptualise existing resource
endowments are also strongly associated with entrepreneurial execution (Baker and
Nelson 2005). Individuals with creative or innovative abilities are able to see
opportunities better, and to invent new ways of using existing resources to launch new
business that exploit these opportunities. Entrepreneurs therefore represent the creative
aspects of business activities in several different ways: the creation of new market
opportunities, the invention of new business models to address these opportunities, and
the innovative use of underutilized resources to support these new business models.
Increasingly, entrepreneurship scholars have been exploring the importance of individual
characteristics and traits on the ability of entrepreneurs to be creative and innovative in
spotting new business opportunities and in developing novel business models to exploit
these (e.g., Schwenk 1984, Baron 1998, Krueger 2000, Mitchell, Busenitz et al. 2007) .
In particular, increasing research efforts have begun to explore the role of the cognitive
psychology of the entrepreneur, such as the manifestation and management of attention
(Sullivan 2010, Ocasio 2011, Valliere and Gegenhuber 2013). Academic study of
creativity has a significant root in the concept of “divergent thinking” (Guilford 1950) that
has sensitivity to problems. Some of the dimensions of creativity that have been that
have been used in measurement and assessment of creative capacity include fluency,
originality, elaboration, flexibility, abstraction, and resistance to closure (Torrance 1998).
Fluency refers to the ability to quickly and easily generate many ideas. Originality refers
to the extent to which these ideas are different from the ideas most commonly generated
from a given stimulus, and thereby the ability to generate uncommon or unique
responses. Elaboration refers to the extent to which the ideas have been developed with
many details or nuances. Flexibility refers to the ability to use the same starting materials
in a variety of different ways or different roles. Abstraction refers to the idea that creativity
involves a conceptual distancing from concrete thoughts. And resistance to closure
refers to the ability to keep an open mind by resisting the temptation to quickly drive to a
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solution by closing down options and possibilities.
This cognitive research is also beginning to suggest that an important dimension of
entrepreneurial alertness is the ability to be mindful of the present environment – to be
able to see what is present but being overlooked by others, and to be able to guide the
attention of others (Weick and Sutcliffe 2006, Valliere 2015). This further suggests that
somehow the formal construct of mindfulness has a role to play in entrepreneurial
creativity and innovation.
The Eastern view of mindfulness is embedded in Buddhist philosophy. In Theravada
Buddhism mindfulness is associated with two different meanings: to remember, and to
develop lucid awareness. According to the first meaning, mindfulness is associated with
memory, as mindfulness enhances one’s ability to remember past experiences. In the
second meaning, mindfulness is associated with what is actually happening in the
present moment, without preconception or delusion (Khoury, Knäuper et al. 2017). Within
Buddhist thought, a key reason for developing increased mindfulness is long-term
spiritual attainment and reduction of suffering that comes from attachment, rather than
just symptomatic relief of stress.
The Western view of mindfulness has a more secular orientation towards the present
moment, perceived without conceptual filters or interpretations. Ellen Langer is one of
the leading theorists for the Western view of mindfulness. According to Langer (1992),
mindfulness comprises openness to novelty, alertness to distinctions, sensitivity to
different contexts, implicit awareness of multiple perspectives, and orientation in the
present. In this study, Langer’s theory of mindfulness has been applied because it
conceptualizes mindfulness on the basis of information processing and creativity theory
(Haigh, Moore et al. 2011). In contrast to Buddhist ideas about mindfulness, Langer ’s
approach focuses on active discrimination and refinement of existing distinction –
creation of new distinct categories out of the continuous stream of events that flow
through activities and a more nuanced appreciation of context and of alternative ways to
deal with (Langer 1989). Although scholars have used different terminologies to reflect
different aspects of Langer’s theory, they all have roots in cognitive psychology and
creativity theory. Citing Langer and Moldoveanu (Langer and Moldoveanu 2000: 2),
Weick and Putnam explain that “when people draw novel distinctions in the face of
disruptions, several things happen. ‘There is (1) a greater sensitivity to one’s
environment, (2) more openness to new information, (3) the creation of new categories
for structuring perception, and (4) enhanced awareness of multiple perspectives in
problem solving’” (Weick and Putnam 2006: 95).
While the literature above suggests that mindfulness may be implicated in creativity and
entrepreneurial innovation, this area appears to be significantly under-theorized.
Accordingly, the goal of this study is exploratory, to propose some potential relationships
between mindfulness and creativity, and to use empirical data to assess which is likely
to represent a promising line of future theory development. In the following sections we
develop two competing models for the relationship between mindfulness and creativity.
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We then use empirical data to compare the degree of support for the two models, and
thereby suggest lines of future theorizing.
Methods
In the first stage of this study, two models were developed using different approaches.
These models represent the relationships among creativity and four key elements of
Langer’s Mindfulness/Mindlessness Scale (Haigh, Moore et al. 2011) – novelty seeking,
sensitivity to context, awareness of multiple perspectives, and novelty production.
Because creativity is a future-oriented activity that potentially blurs pre-existing
categorizations, we omitted the present orientation and alertness to distinction elements
of Langer’s scale. The first model was developed from expert opinion using interpretive
structure modelling. The second model was developed by comparing the definitions of
creativity and novelty production and then modifying the first model to reflect the
apparent correspondence between them.
Interpretive Structure Modelling
Interpretive structure modelling (ISM) is a methodology for discovering relationships of
causal precedence among constructs, implicit in the tacit knowledge of domain experts
(Warfield 1994). This methodology has been successfully used in a wide range of recent
business research, such as developing models of cleantech (Vinodh, Ramesh et al.
2016) and safety management (Khan, Ghazali et al. 2017). ISM is especially suited to
exploring and theorizing relationships within complex issues or situations. In it, experts
are asked to consider various theoretical constructs in a pairwise manner. For each pair
(e.g., constructs A and B), the experts rank which order of precedence or influence exists
between them: A may necessarily precede B, B may precede A, A and B may have
mutual interactions, or A and B may be completely independent and have no relationship
of precedence between them. From an expert consensus of these precedence
relationships a causal model may be developed.
For this study, the five constructs presented to the experts were creativity (“the ability to
easily generate many original or elaborate new ideas”), novelty seeking (“a person’s
active engagement in novel things or ideas”), novelty production (“a tendency to actively
create new categories, perceptions, things or ideas”), sensitivity to context (“the ability
to modify behaviour to reflect the specific context of the situation”), and awareness of
multiple perspectives (“the ability to see a situation from the different perspectives of
other people”). Seven experts participated in the ranking exercise. These individuals
were selected based on their familiarity and expertise in mindfulness or creativity (or
both), either as practitioners or as academic researchers. For example, one participating
expert is an academic researcher of innovation and entrepreneurship and also a teacher
of secular mindfulness practices.
Each expert first recorded their individual views on precedence relationships between
each pair of constructs (e.g., whether novelty seeking precedes novelty production,
follow it, has mutual interaction with it, or has no precedence relationship with it). A one122
round Delphi technique was then employed to develop a group consensus ranking. The
seven expert rankings were aggregated and reported to the individual experts, who were
invited to consider revising their rankings in light of this information about the group ’s
aggregate opinions. These revised individual rankings were again aggregated, and the
majority views taken as being the consensus view of the group.
The ISM methodology uses the resulting precedence information to develop a structural
self-interaction matrix, and from it a reachability matrix that captures the transitive
precedence relationships among all of the constructs being modelled. For example, from
the expert data it was observed that no constructs are precedent to novelty seeking (it is
therefore exogenous to the model), and that novelty production is precedent to no other
constructs. Figure 1 shows the resulting model relationships in diagrammatic form. Of
note in this model, creativity is viewed as being an intermediary construct between
novelty seeking and novelty production.
Figure 1: Expert Model
Figure 2: Alternative Model (Creativity on par with Novelty Production)
The second model was derived from the first model by recognizing the degree of
conceptual similarity between the creativity and Langer ’s novelty production. Langer
describes the novelty production aspect of mindfulness as a flexible state of mind in
which new information and new contexts are actively engaged (Langer 1992). This
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appears to have significant conceptual overlap with creativity, which E. Paul Torrance,
the father of modern creativity research, defined as “a process of becoming sensitive to
problems… searching for solutions… testing and retesting these… and finally
communicating the results” (Torrance 1966: 6). For this reason, the second model
considers the possibility that novelty production and creativity are either synonymous, or
at least should take equivalent positions in the nomological network. Accordingly, the
second model places creativity on par with novelty production, with the same conceptual
antecedents (sensitivity to context and awareness of multiple perspectives), as shown
diagrammatically in figure 2.
Empirical Testing
In the second stage of this study, the competing models were operationalized, and
compared using structural equation modelling to assess the goodness of fit of each
model with the empirical data. The mindfulness constructs of these models were
operationalized using the previously validated scales of Langer (Haigh, Moore et al.
2011), comprising 34 Likert questions. Novelty seeking was measured with a five-item
scale, sensitivity to context was measured with a ten-item scale, awareness of multiple
perspectives was measured with a two-item scale, and novelty production was measured
with a five-item scale.
Creativity was operationalized using the Abbreviated Torrance Test for Adults (ATTA)
(Goff and Torrance 2002). This is a well-established psychometric instrument for
assessing individual creativity, both in verbal and figural contexts, involving standardized
creative activities (such as completing a partial figural drawing). The ATTA results were
each scored on over 150 dimensions by two independent researchers with an interrater
reliability of 91%. Scores on the ATTA are reported as a single-item “Creativity Index”.
Structural equation modelling (SEM) was selected as the appropriate method of
determining the degree to which the data support the competing models. The models
both represent a system of simultaneous and interconnected regressions of dependent
variables onto immediate antecedents. SEM software attempts to solve these systems
of equations simultaneously using maximum likelihood estimation. It is statistically
superior to individual regression models and exploratory factor analyses because it
incorporates both manifest and latent variables and explicitly estimates measurement
error and unexplained variance within the models.
Findings
These measures were administered by paper survey to a sample of undergraduate
business students. Of 53 administered surveys, 50 valid and complete responses were
obtained, representing a 94% response rate. The surveys were administered during
normal class sessions, giving no reason to suspect non-responses would bias the results
(e.g., students who were too busy to complete). The data was recorded in an Excel file.
Of 1700 total Likert responses, there were 3 missing elements (0.17%). Replacement
values for these were imputed from the mean values of all responses to the relevant
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questions. This data was then imported into Amos software for structural equation
modelling.
Analysis
A measurement model was created in which each latent mindfulness construct is
indicated by the manifest items of the Langer scales, and the creativity construct is
measured by the “creativity index” from the ATTA instrument. This model was then
assessed both for convergent validity and discriminant validity, prior to being used as a
basis for a structural model. Convergent validity of the models was assessed on the
basis of a CFI goodness-of-fit measure (Hair, Anderson et al. 1998). Using the reported
data, the proposed measurement model shows CFI improving to 0.621 from < 0.001 of
the baseline regression model. From this, the convergent validity of the model is strongly
inferred.
Turning to the issue of discriminant validity, the measurement model was assessed using
the overall chi-squared statistic, by successively constraining the covariances among the
latent variables to unity and observing any resulting increases in chi-squared for one
degree of freedom (Hair, Anderson et al. 1998). An increase of greater than 3.84 would
indicate a statistically significant reduction in model fit (p = 0.05), and would indicate that
those two latent variables represent distinct constructs without significant cross-loading.
This test was applied to each pair of latent variables in turn. In the unconstrained state,
chi-squared was 532.2 for the proposed measurement model. When the covariance
between Novelty Production and Awareness of Multiple Perspectives was (for example)
constrained to unity, chi-squared increased to 545.6. This test was repeated for each of
the remaining pairs of latent constructs. In each case chi-squared increased by more
than 3.84, supporting the conclusion that the proposed measurement model
demonstrates discriminant validity.
Having confirmed both convergent and discriminant validity, the model provides a
statistically valid measurement basis for the testing of structural relationships in the data,
and therefore usage for SEM parameter estimation.
Results
The expert model was created in Amos SEM software and the parameters estimated with
maximum likelihood. In order to achieve model identification, it was necessary to
constrain the variance of the measurement error of the creativity index variable. The
model had 49 parameters to be estimated, with 279 sample moments in the dataset,
leaving 227 degrees of freedom. The estimated parameters resulted in a model fit CFI
of 0.363 and RMSEA of 0.134. These indicate fairly poor fit between the expert model
and the empirical data. As such, they form a relatively weak basis for interpreting causal
path estimates.
Nevertheless, the estimated path weight parameters for this model were all of the
expected positive signs. The mediating position of creativity in this model shows a strong
125
influence from novelty seeking, but only a very small resulting influence on novelty
production. Figure 3 shows the resulting path estimates for this model.
Figure 3: Path Weight Estimates of Expert Model
The alternative model (modified from the expert model to treat novelty production and
creativity similarly) was also created in Amos SEM software and the parameters
estimated. Again it was necessary to constrain the variance of the measurement error of
the creativity index variable to achieve model identification. The model again had 227
degrees of freedom. The estimated parameters resulted in a fit CFI of 0.515 and RMSEA
of 0.112 for this alternative model. These goodness-of-fit results are significantly better
than those of the initial expert model.
As with the expert model, the estimated path weight parameters for this model were all
of the expected positive signs. Moreover, the magnitudes of the causal path estimates
are consistent with a theory in which novelty production and creativity are synonymous.
Figure 4 shows the resulting path estimates for this model.
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Figure 4: Path Weight Estimates of the Alternative Model
Discussion
The empirical results obtained in this study are highly dependent on the dataset that was
used. This data was collected from undergraduate business students in Canada, either
enrolled in a second-year course in general marketing or in a third-year course in
entrepreneurship. Due to the relatively small sample size, no attempt has been made to
test for differences in parameter estimates between these groups (such as through
nested SEM analysis).
With respect to the model based on expert opinion, the low degree of model fit to the
empirical data can be attributed to two possible causes. Either the expert opinion about
precedence relationships is mistaken somehow, or the small dataset is insufficient to
adequately demonstrate good fit. The path weight estimates for this model suggest that
creativity does not play a significant role in moderating elements of mindfulness towards
the production of novelty – in contrast to the opinions expressed by the expert group.
With respect to the alternative model, the fit metrics are both substantially improved,
indicating that this model specification is substantially better-supported by the empirical
data. The CFI metrics is however still somewhat low, suggesting that the model
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specification still lacks other variables with significant explanatory power. In this model,
creativity (as measured by the ATTA Creativity Index) is, like novelty production,
significantly influenced by sensitivity to context and awareness of multiple perspectives.
It is noteworthy that awareness of multiple perspectives is the greater influence on both
novelty production and creativity. But the extent of this advantage differs for the two
dependent variables. In the case of novelty production, awareness of multiple
perspectives is only slightly more influential than sensitivity to context. But in the case of
creativity, awareness of multiple perspectives has an order of magnitude greater
influence than does sensitivity to context.
The large difference in CFI between the two models suggests that creativity does not
play a mediating role among the various elements of mindfulness. Rather, there is
greater evidence to suggest that creativity is a consequence of mindfulness, at least in
the context of entrepreneurial business students. The support for the second model can
be interpreted to say that the desire for innovation and novelty acts as a trigger to
increase mindfulness in individuals – increasing both their sensitivity to nuances of
context and their ability and willingness to adopt perspectives different than their own.
These two heightened qualities then lead to two notable consequences. First, there is
increased individual creativity, and second there is an increase in the production of
novelty. These two outcomes appear to be conceptually very similar.
The conclusions of this study are provisional and exploratory in nature. The sample is
small and not easily generalizable to broader populations of entrepreneurs, or to more
general populations. As a result, both models exhibited relatively low fit metrics , and
therefore should be interpreted with some caution.
Implications
These results clearly suggest a connection between individual mindfulness and creativity
that has heretofore been largely overlooked by entrepreneurship and innovation scholars.
Mindfulness appears to be a clear contributor to the development of increased creativity
and innovation. If this relationship can be further confirmed with subsequent research,
this may have important practical implications for the development of increased creativ ity
and innovation by individual entrepreneurs.
The support for a conception of creativity on par with the novelty production element
poses an interesting challenge to the Western view of mindfulness, as represented by
Langer. At their broadest, these results could be interpreted to suggest that novelty
production is just a manifestation of creativity, and not an integral element of mindfulness
(which ought to therefore be reconceptualised to focus on sensitivity to context and
awareness of multiple perspectives). Given the increasing research attention being paid
to mindfulness in various cognitive contexts, this potential for construct
reconceptualization may also have important implications for future researchers.
In this study, creativity and mindful novelty production have appeared to be very similar
constructs with similar antecedent relationships. What has not been tested in this study
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is whether they are identical and commensurate, or whether creativity is itself an
antecedent to the production of novelty (i.e., whether mindfulness increases creative
ideation, which then leads to the development of novel products). Such follow-on
directions may be worthy of follow-on studies with larger and more generalizable
datasets.
This study has been an exploration of the relationship between mindfulness and
creativity in the context of entrepreneurial innovation. It has found evidence to suggest
that mindfulness is an antecedent factor in the development of creativity, and therefore
a potential avenue for increasing the innovativeness of entrepreneurs. It has also raised
questions about currently academic conceptualizations of mindfulness and their
appropriate role and fit with the nomology of entrepreneurial cognitions.
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Sustaining the World as an Ecosystem: From the perspective of
knowledge creation theory
Ayano Hirose Nishihara
College of Business, Rikkyo University, Japan
Email: ayano.nishihara@rikkyo.ac.jp
Abstract
Environment we live in today is changing exponentially, mainly led by the advancements
in digital information technology. We are now living in the age of Anthropocene, in which
the acts of human beings are changing the world’s environment and ecosystem, especially
by doing business. Accordingly, coping with economic, environmental, and social agenda
such as globalization and localization, shift to clean and green energy, sustaining quality
of life and work and life balance, etc., have become the critical agenda for both private and
public sectors. The official introduction of the Sustainable Development Goals (SDGs) in
the 2030 Agenda by the United Nations in January 2016 has triggered furthermore
attentions and requirements on solving social issues. In such circumstances, it is
necessary to increase the participation and the commitment of various actors and
accelerate collaboration and co-creation of solutions. However, 2030 Agenda does not
clearly specify how to find and involve new and existing actors, form trust relationships
among the actors, and accelerate their actions and the outcomes. This not easy because
the actors are multidimensional, and their interests are sometimes contradictory.
Consequently, it is not easy to come up with a reductionistic simple solution that fits all
because cause and effect relationships are also complex. Based on these circumstances
and understandings, this paper aims at offering a way to promote and achieve the SDGs,
realize good balance between economy, society, and environment, and ultimately sustain
the world as an ecosystem by grounding on the knowledge creation theory. This paper
takes the form of conceptual paper, aiming to offer a new perspective on SDGs and 2030
Agenda by linking it with the knowledge creation theory. The knowledge creation theory
would be a best “fit” to the 2030 Agenda to explain the missing gap, that is, the process of
utilizing and creating context specific knowledge, through interacting with the people and
the environment, as well as the leadership abilities required to promote this process, and
the organization or system which will be created as an outcome of promoting the
knowledge creation.
Keywords: Knowledge Creation Theory, SECI, Ba, SDGs, homo prudentia
1. Introduction
This paper aims at offering a way to promote and achieve the SDGs, realize good balance
between economy, society, and environment, and ultimately sustain the world as an
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ecosystem by grounding on the knowledge creation theory. This aim was derived basically
from the three circumstances we face today.
Environment we live in today is changing exponentially, mainly led by the advancements
in digital information technology. Digital information technologies such as Cloud computing,
Big Data, Internet of Things (IoT), Artificial Intelligence, and Bitcoin, to name a few, are
changing the way we design the business model, the way we develop products and
services, and the way we work and live our daily lives. For example, Industry 4.0,
Germany’s national strategic initiative launched in 2011 fully aims at developing and
utilizing the digital information technologies, driving digital manufacturing forward,
supporting research, and networking industry partners (European Commission, 2017).
Due to its anticipated international impacts especially on productivity, efficiency, and
effectiveness, this initiative has triggered other nations and the global businesses to also
aim at developing digital information technologies for the standardized digital platform. On
the contrary, researches about the anticipated impact of AI on employment estimate that
AI will take over around 50 percent of our occupation (Osborne and Frey, 2013). Recent
development in Robotics Process Automation (RPA) or digital labour is also forecasted to
affect 30 to 60 percent of our jobs, especially unskilled ones (McKinsey Global Institute,
2017). Bad news is that AI and RPA would take over many of the existing occupations, but
the good news is that human beings would be freed from the routine job and would be
assigned to creative and innovative jobs utilizing human-skills. With these advancements,
the first circumstances is that our future world would be a digital ecosystem where
everything is connected and networked over the digital information platform doing jobs for
human beings, while human beings would be engaged in creative and innovative jobs.
But there are side effects. By developing the digital information technologies, we human
beings are changing the world’s environment and the ecosystem, impacting the
sustainability of the mother earth. Digital information technologies, in addition to other
digital and analogue technologies, are leading us to convenient lives, but with the cost of
damaging nature and natural resources. Typical recent example is the elimination of the
plastic straws by the global coffee chain, Starbucks. Despite of the projection that this
action would affect only a very few percent of the global plastic use, the news has triggered
similar actions by the other global food chains, and, has evoked huge attentions of the
consumers. Global warming is another typical example. Human beings for the first time in
the earth’s history have become the driver to change the earth’s environment and the
ecosystem. Some academics and futurists say that therefore we are now living in the age
of Anthropocene (Crutzen, 2006). The way we do our businesses, the way we produce the
products and services, and the way we consume and live, are more and more affecting
the earth. Therefore, the second circumstance is that we are the ones who are responsible
of designing and realizing our future world, and we human beings must become aware of
that fact.
Accordingly, coping with economic, social, and environmental issues such as balancing
globalization and localization, using land and sea resources sustainably, shifting to clean
and green energy, and realizing inclusive and diverse society, etc, have become the critical
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agenda for both private and public sectors. In the twentieth century, global public
requirements were much focused on the social issues in the emerging countries; end
poverty, secure health, provide education, realize gender equality, promote economic
growth, and so forth. This trend is a continuum of the United Nation’s Millennium
Development Goals (MDGs) between 2000 and 2015. The MDGs targets were met by the
efforts of the concerned countries, proving that human beings can act for the betterment
of the world. Then in September 2015, after consulting and discussing with multiple parties
worldwide, the new target, the Sustainable Development Goals (SDGs) was agreed by the
169 countries aiming at transforming the world where people and planet are sustained,
prosperity and peace is realized, through the partnership of all countries, all stakeholders,
and all people (UN, 2015). After the official introduction of the SDGs in January 2016,
furthermore attentions were drawn from both the public and private sectors globally. Then,
the third circumstance is that it is necessary to increase the participation and the
commitment of various actors and accelerate collaboration and co-creation of solutions, to
achieve the SDGs’ 17 goals and 169 targets by 2030.
From these three circumstances, it is needless to say that we must think and act in terms
of ecosystem, or ecosystem approach, than in terms of atom, or reductionistic approach.
It is necessary to involve various actors with passion and commitment towards the
betterment of our future. It is necessary to accelerate the collaboration and the co-creation
of solutions by the inclusive and diverse members. It is necessary to disseminate the
wisdom and good practices globally. However, finding and involving passionate and
committed actors, forming trust relationships among them, and accelerating their actions
and the outcomes are not easy because the actors are diverse. Their interests are
sometimes contradictory. How then, can we establish an ecosystem approach in which
diverse actors can be involved to promote and achieve SDGs? To answer to this research
question, this paper will ground on the knowledge creation theory. By adopting the
knowledge creation theory as the foundation, this paper aims at offering the way to
promote and achieve the SDGs, realize good balance between economy, society, and
environment, and ultimately sustain the world as an ecosystem.
2. Objectives, research forms and methods
As said, the research question of this paper is how we can establish an ecosystem
approach in which diverse actors can be involved to promote and achieve SDGs. There
are two underlying premises to this question, which comes from the SDGs itself,
specifically, from the 2030 Agenda published by United Nations in September 25, 2015
(hereafter 2030 Agenda). First premise is the need for understanding the specific context
to identify country specific goals. 2030 Agenda sets 17 goals which are applicable to both
developed countries and emerging countries, and the UN suggests each country to define
the specific actions depending on the context of the country. For the country to specify the
country specific goals depending on its context, it is necessary to understand the actual
situation and identify the true requirements and the needs of the people. However, 2030
Agenda do not specify the process to do so.
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Second premise is the need for partnering with multiple diverse parties. As for the 169
targets, some of them are specific to emerging countries. In order for the emerging
countries to achieve these targets, cooperation and collaboration with the developed
countries, including governments, NGOs and businesses, are mandatory because the 17
goals and 169 targets are interlinked with one another. 2030 Agenda also suggests the
means to achieve the SDGs, such as getting financial support from both or either of the
government and the businesses. In short, 2030 Agenda suggests partnering with multiple
diverse parties, but again, 2030 Agenda do not specify the process to do so.
To supplement these processes which 2030 Agenda do not specify, this paper grounds on
the knowledge creation theory which is able to explain and operationalize the process of
utilizing and creating context specific knowledge, through interacting with the people and
the environment. In other words, this paper suggests that the knowledge creation theory
to be the foundation to promote and achieve SDGs, Accordingly, this paper aims at offering
the way to achieve the 17 goals and 169 targets of the SDGs, realize good balance
between economy, society, and environment, and ultimately sustain the world as an
ecosystem by grounding on the knowledge creation theory.
For this purpose, this paper takes the form of conceptual paper, aiming to offer a new
perspective on SDGs and 2030 Agenda by linking it with the knowledge creation theory.
By so doing, this paper intends to offer multi-level insights and to expand the scope of our
thinking (Gilson and Goldberg, 2015).
3. Literature review and Findings
For the aim of this paper, it is mandatory to review 2030 Agenda and the knowledge
creation theory and identify why the knowledge creation theory is superior than other
management theories in offering the foundation and supplementing the 2030 Agenda.
Accordingly, the literature review will be in three folds; 2030 Agenda, the knowledge
creation theory, and the other management theories.
2030 Agenda: Preamble
As said, 2030 Agenda was issued on September 25, 2015, adopted by the General
Assembly as an outcome of United Nations summit. Because this agenda sets the
foundation of all the SDGs actions, it would benefit us to review the whole preamble to
understand the intentions of the agenda. The preamble begins as follows:
This Agenda is a plan of action for people, planet and prosperity. It also seeks to
strengthen universal peace in larger freedom. We recognize that eradicating poverty
in all its forms and dimensions, including extreme poverty, is the greatest global
challenge and an indispensable requirement for sustainable development.
All countries and all stakeholders, acting in collaborative partnership, will
implement this plan. We are resolved to free the human race from the tyranny of
poverty and want and to heal and secure our planet. We are determined to take the
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bold and transformative steps which are urgently needed to shift the world on to a
sustainable and resilient path. As we embark on this collective journey, we pledge
that no one will be left behind.
This first two paragraphs of the preamble include several key words, such as people,
planet, prosperity, peace, and partnership, which are presented as the 5Ps of SDGs. This
5Ps are explained in the latter half of the preamble. Furthermore, the vision or the ambition
of the 2030 Agenda is stated, i.e., no one will be left behind. This statement implies not
only the give and take relationship of “haves” and “don’t haves,” but also of “everyone,
regardless of the economic development levels, needs to be involved.”
Then, in the following paragraphs, it is emphasized how ambitious but important the 17
goals and 169 targets are.
The 17 Sustainable Development Goals and 169 targets which we are announcing
today demonstrate the scale and ambition of this new universal Agenda. They seek
to build on the Millennium Development Goals and complete what they did not
achieve. They seek to realize the human rights of all and to achieve gender equality
and the empowerment of all women and girls. They are integrated and indivisible
and balance the three dimensions of sustainable development: the economic, social
and environmental.
The Goals and targets will stimulate action over the next 15 years in areas of
critical importance for humanity and the planet.
It is also clear from these paragraph that SDGs also aims at balancing the economic, social,
and environmental dimensions of sustainable development.
In the ending paragraph of the preamble as below, interlinkage and integration of the SDGs
are emphasized, suggesting the need for partnership of multiple diverse parties towards
the same goal, in an inclusive and win-win relationship of the equal partnership.
The interlinkages and integrated nature of the Sustainable Development Goals are
of crucial importance in ensuring that the purpose of the new Agenda is realized. If
we realize our ambitions across the full extent of the Agenda, the lives of all will be
profoundly improved and our world will be transformed for the better.
2030 Agenda: Declaration
The Declaration repeatedly emphasizes that 17 goals and 169 targets are “supremely
ambitious and transformational vision” as stated in the paragraph 7. It is ambitious not only
because it covers broad range of issues but also it involves every country and every
organization, both public and private, and every people on the earth to seek for the same
goal. This is clearly stated in the paragraph 18 of the Declaration:
Never before have world leaders pledged common action and endeavour across
such a broad and universal policy agenda. We are setting out together on the path
towards sustainable development, devoting ourselves collectively to the pursuit of
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global development and of “win-win” cooperation which can bring huge gains to all
countries and all parts of the world.
Then the declaration explains in the section of “the vision”, “principles and commitments”,
“view of the world today”, and “the new agenda” the vision, mission, and the value of the
declaration. These sections also set the common ground for understanding the premises
or the context of the SDGs. Then in the “means of implementation” section, it emphasizes
that global partnership of governments, the private sector, civil society, the United Nations
system and other actors are important in mobilizing all available resources, as stated in
the paragraph 39. Then in paragraph 41, the necessity of incorporating multiple diverse
parties is suggested:
We recognize that each country has primary responsibility for its own economic
and social development. The new Agenda deals with the means required for
implementation of the Goals and targets. We recognize that these will include the
mobilization of financial resources as well as capacity-building and the transfer of
environmentally sound technologies to developing countries on favourable terms,
including on concessional and preferential terms, as mutually agreed. Public finance,
both domestic and international, will play a vital role in providing essential services
and public goods and in catalysing other sources of finance. We acknowledge the
role of the diverse private sector, ranging from micro-enterprises to cooperatives to
multinationals, and that of civil society organizations and philanthropic organizations
in the implementation of the new Agenda.
Then the Declaration goes on to explain the importance of international public finance,
international financing institutions, national parliaments, and the United Nations. Then in
the “follow-up and review” section it explains the reporting system to measure the progress.
And finally, in the “a call for action to change our world” section, it once again emphasizes
the necessity to act now to make the world for the better.
Figure 3: 17 goals of SDGs
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To conclude the literature review of the 2030 Agenda, it is apparent that the Declaration
mostly explains the mission, vision, and the value of the Declaration, and emphasizes the
importance of acting now, and involving any parties as much as possible. However, the
Declaration does not clearly state how to involve multiple diverse parties towards the
shared goal, or how to utilize and create necessary knowledge to achieve the goal. SDGs
17 goals and 169 targets does not present “how” either (Figure 3), as each country has
primary responsibility for its own economic and social development, and thus should
determine which goals to focus and take actions. Most importantly, there is no mention of
how to create and utilize new knowledge necessary to mobilize financial resources as well
as build capacity to promote and achieve SDGs. Accordingly, here is a gap to fill.
In the next section and on, the knowledge creation theory will be reviewed.
Knowledge Creation Theory
First of all, in this paper, the term “knowledge creation theory” is adopted to distinguish
from the term “knowledge management” and “knowledge-based management.” The term
“knowledge management” has been widely used in academic areas. Generally, it is
understood as “the management process of creating, sharing and using organizational
information and knowledge” (Girard and Girard, 2015:14). However, this term implicitly
suggest that knowledge as a thing; a static and self-contained substance which is
transferrable and shareable (Nonaka et al, 2008), therefore the term implies 'managing
the knowledge.” On the contrary, “knowledge-based management” implies “managing by
knowledge,” which indicates not only the utilization of existing knowledge as a thing, but a
process of creating it (Spender, 1996), which occurs in the distributed knowledge system
(Tsoukas, 1996; Nonaka et al., 2008). To avoid misconception and at the same time
emphasize the theoretical aspect of knowledge-based management, the term “knowledge
creation theory” is adopted in this paper.
There are several key concepts in the knowledge creation theory, such as knowledge, tacit
and explicit knowledge, SECI model, ba, knowledge ecosystem, phronetic leadership,
middle-up-down management, and fractal organization. In the following, brief introduction
of these key concepts will be offered.
Knowledge
In the knowledge creation theory, knowledge is defined as “a dynamic social process of
justifying personal belief towards truth, goodness, and beauty” (Nonaka and Takeuchi,
1995, Nonaka, et al. 2000; Nonaka, et al., 2008). This definition is an extension of the
definition “justified true belief” which was presented by the ancient Greek Philosopher,
Plato (Nonaka and Takeuchi, 1995). Based on the understanding that knowledge as a
process, the knowledge creation theory incorporates this in the definition itself. Key point
of this definition is that knowledge needs to start from one’s personal belief; without belief,
no knowledge will be created. However, to avoid self-conceit, one’s belief must aim at an
ideal, i.e., truth, goodness and beauty, and justified in the social interaction. Accordingly,
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one of the characteristics of knowledge is that knowledge is created in the interactions
between the people, and between the people and the environment (Nonaka, et al. 2008).
Tacit and Explicit Knowledge
The theory defines two types of knowledge, tacit and explicit (Nonaka, 1991; Nonaka,
1994; Nonaka and Takeuchi, 1995, Nonaka, et al., 2008). Tacit knowledge is subjective
and experiential knowledge that is personal and context specific and therefore difficult to
articulate fully. Typical example is learning to ride on a bicycle. One needs to experience
and practice to be able to ride on a bicycle. Explicit knowledge is objective and rational
knowledge that is formal and context free and therefore expressed fully. Typical example
is a manual. Tacit and explicit knowledge are on a continuum, as shown by the metaphor
of an iceberg (Figure 1). The tip of the iceberg above the sea is the explicit knowledge,
while the large chunk of ice under the sea is the tacit knowledge, near the sea surface is
subconscious while the deep sea is unconscious. This metaphor indicates that human
beings have enormous potential of creating new knowledge once we are able to articulate
our tacit knowledge.
Figure 1 Metaphor of Iceberg
SECI Model
Through the conversion of the tacit knowledge and explicit knowledge, new knowledge will
be created. This process is presented by the SECI model (Figure 2) (Nonaka and Takeuchi,
1995; Nonaka and Konno, 2003). Four phases represent the conversion of two types of
knowledge. First phase is Socialization, a tacit to tacit conversion process in which people
share direct experience and build up tacit knowledge; key is empathizing. Second phase
is Externalization, a tacit to explicit conversion process in which people express tacit
knowledge through dialogue with others and form concepts; key is conceptualizing. Third
phase is Combination, an explicit to explicit conversion process in which people organize
relevant concepts into a prototype, model, or narrative; key is modelling. Forth phase is
Internalization, an explicit to tacit conversion process in which people practice the model
or narrative and accumulate tacit knowledge; key is practicing. SECI model is a continuous
spiral up process that leads to both creativity and efficiency. The letters “I”, “G”, “O”, and
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“E” represents individual, group, organization, and environment respectively, indicating
that SECI model presents organizational process but not an individual process of creating
new knowledge. Although the SECI model was originally developed from the study of
Japanese product development in the 1980s and 1990s, it is recently extended to the
software development processes, called the Agile Scrum (Schwaber and Sutherland,
2012), which is also extendable to solving social issues (Sutherland and Sutherland, 2014).
Figure 2: SECI model
Ba and Knowledge Ecosystem
Another important concept is ba (Nonaka and Konno, 1998; Nonaka, et al. 2008). Ba is a
Japanese term which means a place or a field in which people participate, interact, and
create new knowledge. It is moving context in which the people participating are changing
together with the changing context. Accordingly, ba is defined as shared context in-motion.
People participating in a ba share their subjective views (inter-subjectivity), build “here and
now” relationships of care, trust, and love (social capital), and try to create new meaning.
In order to create new knowledge, the members of the ba need to be diverse in terms of
their experience and their knowledge. For that, ba need to be open and closed at the same
time, and its boundary needs to be permeable to welcome the knowledge from outside of
the ba. Ba therefore is a place where contradictions and conflicts become apparent but
resolved through accepting others as whole and synthesizing oppositions. By connecting
multiple ba, knowledge ecosystem will be configured where multiple and diverse parties,
including academics, businesses, governments, local communities, citizens, NGOs and
NPOs would participate in knowledge creation processes.
Phronetic Leadership
SECI model is a model for organizational knowledge creation. Ba is where the knowledge
is created by the committed participants through the SECI spiral. Then, the question is
who drives the SECI spiral? The answer to this is the phronetic leadership (Nonaka and
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Takeuchi, 2011; Nonaka and Toyama, 2007; Nonaka et al. 2008; Nonaka et al., 2014).
Phronesis is a category of knowledge proposed by Aristotle, which means a virtuous and
practical wisdom for exercising the best judgment for the common good in a particular
context. From the case studies of business and political leaders, six abilities of the
phronetic leadership are identified; 1) set a good goal; 2) perceive reality as it is; 3) create
ba; 4) narrate the essence; 5) exercise political power; and 6) foster phronesis in others.
Phronetic leader has own vision, mission, value, self-motivated with passion, and
persuade others towards the same goal. But at the same time, nurtures others to become
phronetic leaders. Accordingly, a phronetic leader is not so much a charismatic boss but
more of a servant leader (Greenleaf, 1977).
Middle-Up-Down Management and Fractal Organization
Moreover, Phronetic leaders are not only the people in the management. People who
actually exercise these wise leadership abilities in the organization are the middle
managers. Middle managers synthesize the vision from the top and the actual situations
from the frontline, and promote knowledge creation, which process is called the middleup-down management process (Nonaka and Takeuchi, 1995; Nonaka et al; 2008). Middle
managers therefore play an important role in synthesizing the contradictions and solving
the conflicts. By so doing, phronetic leaders are capable of not only creating ba but also
connecting multiple ba, where tacit and explicit knowledge will be converted to the other
by the driving force of practical wisdom. Just like the universe where various kinds of
galaxies are located in the Space, multiple ba would be located and interconnected in a
larger ba, which is called the dynamic fractal organization. Fractal is a concept which
shows the whole and the parts resemble each other (cf Mandelbrott, 1982). By
constructing fractal organization, the organization as a whole will be agile and resilient
because each part will be in sync with the whole and vice versa (Nonaka et al, 2014).
Social Innovation
The organizational knowledge creation theory focuses on the creation of knowledge in the
organizational settings, however not restricted to the private or structured organizations.
Alongside the emergence of social entrepreneurship and social enterprise in the early
2000s, the research area has extended to the social and community settings, or social
innovation. Social Innovation is defined as a process of co-creating value for the society
to solve social issues (Nonaka and Hirose, 2014), where there are not clear division of
labour or hierarchy, but with more diverse parties. So far, organizational knowledge
creation theory is applicable to and well explains the case studies on social innovation not
only in Japan but Asian and Western countries (Nishihara et al, 2017a; 2017b).
To conclude the literature review on the knowledge creation theory, it is apparent from the
explanation of the key concepts that the theory explains the process of utilizing and
creating context specific knowledge, through interacting with the people and the
environment. Furthermore, the theory explains the leadership abilities required to promote
this process, and the organization or system which will be created as an outcome of
promoting the knowledge creation.
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In the next section and on, other management theories will be reviewed.
Other management theories
Other management theories and frameworks would include Evolutionary Theory (Nelson
and Winter, 1982), Positioning Theory (Porter, 1985), Resource-Based View (Barney,
1991), or Dynamic Capabilities (Teece, et. al., 1997). These theories discuss the
importance of making evolutionary progress, taking positions, utilizing rare and inimitable
organizational resources, and promoting sensing, seizing, and orchestrating capabilities.
However, none of these theories clearly explains the process of creating and utilizing new
knowledge required for mobilizing resources as well as building capacity, in the given
context.
Knowledge is accepted widely as a key factor to form competitive advantage (Grant, 1996;
Kogut and Zander, 1992; Nonaka and Takeuchi, 1995), however, many scholars discuss
how the knowledge is used: by exploration and exploitation of knowledge (Benner and
Tushman, 2003), or by transferring and sharing of knowledge (Argote and Ingram, 2000;
Hansen, 1999; Inkpen and Tsang, 2005; Leonard-Barton, 1995; Tsai, 2001), or utilize
knowledge from both inside and outside of the organization (Chesbrough, 2003; 2006;
Chesbrough et al, 2006). To make a bold statement, the knowledge creation theory maybe
the only theory that clearly presents the process of creating knowledge organizationally.
From the literature review on the 2030 Agenda, the knowledge creation theory, and why
not the other management theories, it is concluded that the knowledge creation theory will
be suitable in filling the gap in 2030 Agenda, as the theory can explain the process of
creating and utilizing new knowledge required for mobilizing resources as well as building
capacity, in the given context.
4. Discussions and Implications (connecting findings to literature, concepts and
forms of enquiry)
This paper aimed at offering the way to achieve the 17 goals and 169 targets of the SDGs,
realize good balance between economy, society, and environment, and ultimately sustain
the world as an ecosystem by grounding on the knowledge creation theory. From the
literature review, the gap to fill in the 2030 Agenda was identified as follows:
(1) How to involve multiple diverse parties towards the shared goal, or how to
utilize and create necessary knowledge to achieve the goal.
(2) How each country should determine which goals to focus and take actions for
its own economic and social development among the 17 goals and 169 targets
(3) How to create and utilize new knowledge necessary to mobilize resources as
well as build capacity to promote and achieve SDGs.
To fill this gap, the knowledge creation theory would provide a foundation by the key
concepts. The gap (1) is about involving multiple and diverse parties and creating new
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knowledge. Then this gap would be filled by adopting the #1, #3, and #4 ability of the
phronetic leadership, the SECI model, ba, and knowledge ecosystem. By setting a good
goal (ability #1) and narrating the essence (ability #4), ba will be created (ability #3), which
would include multiple and diverse parties (ba) and would connect with other ba to form
knowledge ecosystem. In the ba, SECI spiral would be promoted to create new knowledge,
which would incorporate the tradition, history, or unspoken needs of the people through
sharing experience and empathizing (socialization). By utilizing the tacit knowledge
embedded in the community or the society, necessary knowledge to achieve a certain goal
would be created and utilized. For example, to achieve goal 11, sustainable cities and
communities, it is necessary to share experience of the citizens, listen to their voices, so
that diverse opinions and ideas would be heard and reflected to the planning and execution
of this goal.
The gap (2) is about understanding the true and essential needs of the people of the
country. This gap would be filled by adopting #2, #3 and #5 ability of the phronetic
leadership, the SECI mode, ba, and the middle-up-down management process. By seeing
the reality as it is (ability #2), the true and essential needs of the people of the country
would be captured. By creating ba (ability #3) and promoting SECI spiral among the
government, public and private organizations, as well as the citizens, the country would
be able to determine which of the 17 goals require higher priority than the other. In the
process of determining the priority, it may be necessary to utilize the political power (ability
#5), and solve the contradictions or conflicts in the middle-up-down management process.
For example, to achieve the goal 12, responsible consumption and production, it is
necessary to depart from the traditional “economic value vs social value.” This is not a
“either or” issue, but “both and,” meaning that we need to utilize the wisdom of the people
to transcend the dualism.
The gap (3) is essentially about nurturing the phronetic leaders. This gap would be filled
by adopting #6 ability of the phronetic leadership, and fractal organization. By fostering
multiple phronetic leaders in the community, society, or the country, both public and private,
then each phronetic leader would be able to create ba, promote SECI spiral, and foster
phronesis in others, eventually creating fractal organization of phronetic leaders and the
ecosystem.
Then the final gap to fill would be how to identify phronetic leaders, and how to nurture
phronesis if one wants to become one? To identify phronetic leaders in every organization
may not be an easy task, because phronetic leaders are often altruistic and servant-leader
type of people. However, many of the leaders who are capable of leading the team to the
goal are often phronetic. Accordingly, identify those leaders who have the record of such
experiences, and observe if they present the abilities of the phronetic leadership. However,
the success of the team often also depends on the context as well as the team members,
so observation need to also cover the context or the situation.
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To become a phronetic leader, there are three points. First is to learn liberal arts, such as
philosophy, history, literatures (such as autobiography), psychology, and art, to name a
few. This point is closely related to understanding the human beings, how we behave, think,
and feel. Second point is to expose in peak and diverse experiences, such as sense of
awe, shared experience with the exemplar, success or failure experiences, cross-cultural
experience and so on. This point is closely related to increasing tacit knowledge, and
therefore the quality and the quantity of experience matters. Self-reflection and feedback
from the others would help increasing the quality and the quantity. Third point is relentless
pursuit for excellence, such as pursuing traditional excellence, artisanship, or Kata. Kata
is a Japanese term meaning the way of doing things, that is the core of the ideal action.
Typical example of kata is found in Japanese martial arts, such as Judo, Kendo, Karate.
Good kata functions as archetype that fosters creative routine but provides higher freedom.
Kata follows three steps, Shu (守: learn), Ha (破: break), and Ri (離: create), which are
critical in continuous self-renewal processes.
5. Concluding Observations
This paper aimed at offering a way to promote and achieve the SDGs, realize good balance
between economy, society, and environment, and ultimately sustain the world as an
ecosystem by grounding on the knowledge creation theory. By combining the 2030 Agenda
with the knowledge creation theory, a new perspective to promote and achieve SDGs was
presented.
As a concluding observation, the knowledge creation theory has high “fit” in realizing good
balance between economy, society, and environment, as the theory incorporates intention
to achieve the common good of the society, and to envision the future of our society. The
theory defines management as “a way of life” meaning that management reflects our way
of living as a human being. This means that if we envision the world filled with fear, poverty,
and hunger, such world would become real; but if we envision the world filled with
happiness, prosperity, and well-being, then such world be actualized. Thus, it is also
important to tell a good narrative to create a good future (Nonaka and Hirose, 2015).
For this, we must depart from the homo economicus view of human beings, who judge and
act on economic rationality to maximize self-interested without considering the interest of
others. We must then shift to the view of human beings as homo prudentia, who judge and
act to maximize the social harmony and environmental sustainability, leaving no one
behind.
Based on this conceptual paper, I wish to continue my research on SDGs, especially the
actions taken by the public and private partnership and verify if the knowledge creation
theory would be able to supplement the promotion and the achievement of the SDGs.
144
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Acknowledgements
I wish to thank Professor Emeritus Ikujiro Nonaka at Hitotsubashi University for his
inspiring comments and relevant suggestions.
Author’s profile
Ayano Hirose Nishihara is an assistant professor at the College of Business, Rikkyo
University in Tokyo. She received MBA in 2005, and DBA in 2011, from the Graduate
School of International Corporate Strategy, Hitotsubashi University, both under the
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supervision of Professor Emeritus Ikujiro Nonaka at Hitotsubashi University in Tokyo.
Before joining the MBA program, she had worked for NEC Corporation, in charge of
business planning and marketing of PC products to the U.S. market. Her doctoral
dissertation thesis was on the collaboration of the citizens to create new knowledge at
Mitaka City for the betterment of the quality of living. After finishing the DBA program, she
had worked at Professor Emeritus Nonaka’s research lab, assisting research activities. In
2016, she has moved to Rikkyo University and took the current position.
Her current teaching includes Corporate Strategy, International Business, Business and
Society, and Leadership. Her research topics are on organizational knowledge creation,
social innovation, service innovation, and phronetic leadership, of public and private
organizations and communities. She has several co-authored articles and books with
Professor Emeritus Ikujiro Nonaka.
147
Creative composition project for non-music majors in a Japanese teacher
education course: A preliminary report
1Taichi
Akutsu, 2Takeo Higuchi and 3Shozo Saegusa
1Seisa University, Japan
2Idea Marathon Research Institute, Japan
3Shujitsu University, Japan
Email: taichiviolin@shujitsu.ac.jp
Abstract
The study documents the creative composition project for non-music education major
students in Japan and investigates the process of learning from each other. The
participants (N=49) of non-music major university students, by employing Higuchi’s Idea
Marathon (IM) to maximize creativity by writing down and record innovative ideas daily
whenever they feel like, spent 6 moths composing music regularly. The study particularly
focuses on how students learned from each other, and creativity was shared and facilitated
throughout the process.
Keywords: Everyday Creativity, Musical Composition, Assessment, Peer Learning, Music
Education
1. Introduction
The Japanese Ministry of Education, Culture, Sports, Science and Technology (2008) for
Kindergarten categorizes music as a part of Expression parallel with their other four
areas of concern; Health, Human Relationships, Environment and Language. The
purpose of offering curriculum in the realm Expression is the, “Developing of rich feelings
and the ability to express oneself, and enhancing creativity by expressing experiences
and thoughts in their own words.” The original version written in Japanese is the
following:
感 たこ や考えたこ を自分
表現す 力を養い,創造性を豊
表現す
す 。
こ
を通し
,豊
感性や
Some of the additional contents in Expression in the Course of Kindergarten are:
1. Enjoying, recognizing and feeling various sounds, colors, forms, textures, and
movements throughout the day;
2. Being familiar with various materials and making use of them creatively in play
3. Being familiar with music, and enjoying singing, using simple rhythmical instruments
In addition, the following section “dealing with contents” says the following:
148
As children often express themselves in a simple manner, teachers should
encourage them to enjoy expressing themselves in various childlike ways by being
receptive to this kind of expression and by acknowledging the willingness of the
children to express themselves.
幼児 自己表現 素朴 形 行わ
こ
現を受容し,幼児自身 表現し う す
中 幼児 しい様々 表現を楽し こ
多い
,教師 そ
意欲を受け止
,幼児
う す こ 。
う 表
生活
These directions to facilitate children’s creativity share common elements with research
in early childhood education and observations of young children by Young (2003). Young
observed young children’s spontaneous voice play, and discovered that often they create
original verbal phrases that can be considered as chants on simple rhythmic and melodic
idea.
Nevertheless, a major problem and critical issue in Japanese institutions is that the
training of early childhood education specialists overlook creative aspects of music
learning and teaching. Indeed, the emphasis of Japanese teacher training for early
childhood education specialists tends to lean on piano technique, playing and skill
building (Shinkai, 2012). Yasuda and Nagao (2010) examined the relationship between
the popularity of piano in kindergartens and day nurseries and the piano teachers’
interest in early childhood education training. They concluded that piano teachers’
interests resulted from the high demand for piano performance by childcare workers
caused by the popularity of the piano in kindergartens and day nurseries.
In Japan, early childhood teacher training focuses on developing general content
teachers and not music or arts specialists. Indeed, in most Japanese kindergartens and
nurseries, most music and arts instructions are integrated in student daily activities. As
a result, Japanese early childhood teacher training emphasizes the basic elements of
music rather than creativity.
Finally, by following the Western conservatory tradition, most music training for Japanese
early childhood education majors emphasizes piano performance and technique rather
than being creative in various musical activities including creating new songs. Burnard
(2012, p.1) points out that music learners in general are taught to play and are
encouraged to perform, “but not to compose.” Consequently, in Japan, in early childhood
education settings, much emphasis is focused on collective singing activities
accompanied the classroom teacher’s piano.
Although Japanese Course of Kindergarten, as well as advanced research in early
childhood music education, emphasizes enhancing children’s creativity through artistic
activities including music, early childhood education in Japan overlooks the creative
aspect of music making. As a result, teacher training courses stifle room for “variety,
independence, creativity and sense of identity” (Burnard, 2012, p.1).
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2. Everyday Creativity
Although many creativity scholars have agreed to define creativity as novel and useful,
or novel, appropriate and high quality (Amabile, 1996), there have been controversies
and diverse views on children’s creativity. From an international perspective, there are
criticisms that the Confucian tradition of learning in Asia focuses on education as the
acquisition of knowledge, respecting the teacher as a repository of knowledge and
emphasizing education through rote learning, which impacts negatively on learners’
creativity; thus Asian students are less creative than Westerners (Lubart, 2010). Similarly,
in the field of music education, Hoshino (1993) views comparative perspectives on
children’s creativity in music education in the U.S. and Japan, and describes that
Japanese schools tend to teach music for children to follow the teacher’s instruction
obediently and stifle individualistic thinking, while American teachers encourage students
to be creative by encouraging students’ decision making and to respect individual values
towards music.
Nevertheless, of late, creativity research suggests that there are certain cognitive
universals to support the view that everyone is creative (Runco, 2007 and Richard, 2009).
When we consider the theoretical aspect of everyday creativity, it is useful to differentiate
between levels of creative ‘magnitude.’ Specifically, research labels the eminent level of
creativity for geniuses or special, talented people as larger-C Creativity, and others
including “the neat things children often say, or the creativity all of us share just because
we have a mind and we can think” as smaller-c creativity (Csikszentmihalyi, 1997). From
the standpoint of social psychology, Amabile (1996) also points out the importance of
conducting research on the non-eminent level of creativity as a normal cognitive ability
in our everyday lives (p.82). In addition, Amabile warns that focusing on individual
differences exclusively often ignore inquiry into creativity in social environment.
More recently, many subcategories have been added to describe smaller-c creativity with
special emphasis on subjective and personal creativity, and labeled that creative
experience of our daily lives as mini-c creativity or everyday creativity (Kozbelt, Beghetto
& Runco, 2010). To describe, “mini-c creativity captures the idea that even very young
individuals and those without a large amount of knowledge construct personal
understanding of the world” (Ward & Kolomyts, 2010, p.96). In addition, Richard (2009)
explains everyday creativity as a universal capability both for adults and children, and
notes as follows:
We humans are often ‘everyday creative,’ or we would not even be alive. To cope with
changing environments, we improvise, we flexibly adapt… and change the environment
to suit us (p.3).
In fact, everyday creativity is a way of life and learners generate new perspectives by
using their own creativity (Richard, 2009). Runco (2009) concludes that in the everyday
sense of coping, adapting and solving novel problems, we, including children, ar e
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creative all the time in our lives. In this view, creativity is, in a phase, a vital form of
human capital,” and “creativity both contributes to the information exploration and helps
each of us copy and adapt it.” As a result, although originality or nov elty is one of the
main components to define creativity, recent views explain that copying and adapting
processes are, indeed, personally creative; thus, everybody is creative.
From an educational viewpoint to promote children’s creativity, Gardner (2009) posits
that there are certain factors that characterize creativity in educational contexts. First,
learners need to have a playful stance towards learning. Second, a “Willingness to
spend years on a project or problem,” is an important factor indicating creativity. Third,
having an odd mind, or outside the box thinking enlarges students’ creativity. Fourth, a
large capacity for solitude also promotes students’ creativity. Lastly, Gardner mentions
that a sense of honesty and trustfulness enriches students’ creativity. Although thinking
in solitude is an important factor to be creative, getting enough support from friends,
parents and teachers is also necessary to nurture students’ creativity. Therefore learners’
spontaneous questions or conversation such as, “Look at this!” or “I don't agree,” in their
social contexts are important to cultivate students’ imagination, according to Gardner.
Nevertheless, Gardner (2009) warns, that we adults often overlook student’s creativity
and ignore it.
Similarly, recent research suggests considering creativity as “a way of learning” rather
than an individual trait (Custodero, 2010). Although “knowing deeply” is one of the
components to generate young generation’s creativity in music learning, “attunement to
possibility” and “awareness of affordance” also support to generate children’s creative
learning; thus, leaners use musical environment as a resource to generate creativity
throughout the musical engagement (Custodero, 2013).
Such a view is echoed by Greene’s philosophy on aesthetic education that the
significance of artistic experience is to open unexplored possibilities, and to seek new
ways of seeing, “not in the predictable or quantifiable, not in what is thought of as social
control.” Greene writes that creativity is not always necessary to create something totally
new. “Creation does not imply a making something out of nothing… It has to do with
reshaping, renewing the materials at hand, very often the materials of our own lives, our
experiences, our memories.”
For Greene, attending to “the raw materials of arts” including music, dance and drama
in its “integrity” and its “autonomy,” and when we allow our imagination to what we
perceived, we encounter arts actively and we are moved by own creativity. As a result,
Greene mentions that, “participant engagements with works of art can themselves be
creative experiences…” (p.96)
3. Objectives
There are no indicatable research and reports of practice that music courses for future
teachers in Japan encourage students to compose or improvise music. This study aims
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to design and assesses a creative composition project for non-music major/ early
childhood education major students in a Japanese university. In the study authors will
illustrate how students whose own musical backgrounds, skills and preference in musical
styles are challenged when composing music every day for the first time in a classroom
setting.
4. Methods
The participants (N=49) were non-music major university students ages 20-21 in average
(46 Female and 2 Males). By using Higuchi’s Idea Marathon System (IMS) to maximize
creativity by writing down and record innovative ideas daily, students spent 6 months
practicing composition. Subjects spent 6 months applying IMS to maximize their
creativity by composing at least one musical phrase and writing daily, when possible in
their notebooks. IMS encourages students’ to immediately transcribe and record their
innovative everyday ideas. Through the IMS composing method, these subjects might
find their “hidden” composing creativity. The teacher is a university professor of music
education and a professional violinist. He has composed very little. The teacher
collaborated with the team of the researchers who did not have a professional musical
composition background
First, students self-reported their level of expertise in music and musical composition at
the beginning of the project. We categorized their self-reports along 5 levels of musical
skills and composition ability. None of the subjects composed their early learning
experiences. Based on the subjects’ report, the teacher differentiated his instruction to
introduce several different approach to start composing. For example, for those who have
vast array of experience in piano playing and learning, the teacher recommend ed them
to play piano chord progressions and try to come up with a melody either by singing or
plying on the piano similar to how J-pop singers. For those who had little experience in
music making, the teacher introduced simple melodies from Japanese traditional music,
such as the traditional nursery song called warabeuta for students to understand that the
combination of very few different pitches could create a composition. The teacher pointed
out that there are many “imitation” and “call and response” utterances in children’s daily
lives. Kindergarten teachers often call children’s name with a chant. For example, “Nenechan” (la-sol-la) to call a female child’s name, so that the child will answer “Ha-a-i” (laso-la) that means yes. Another example is shown in hide and seek. During the game,
the person who would be seeking ask the one who is hiding, Mo-ii-kai (fa-la-sol), so that
the person who is already hiding answer Mo-ii-yo (fa-la-so) to indicate the person would
be ready.
Next, the study authors gathered self-reports of peer learning or peer teaching each
week. These reports were useful in analyzing collaboration between and among students.
Finally, students were asked to give comments for each composition - why and in what
way was the work was creative. Students were asked to subjectively assess their works
152
and rank them from the best to least creative. In addition, two of the music specialists
assessed their works and gave them ranking.
5. Case Presentation
At the first class of Dr. T announced that everyone would participate in composition
project throughout the semester. Indeed, previously, Dr. T already put composition as a
contents of the class in the syllabus; however, not many students expected that everyone
would compose because they simply thought they would learn the music theory and learn
a basic rules of composition. Dr. T also invited Dr. H and Dr. S to the class to explain
how the Idea Marathon work in other activities, and how they already tried the method
for other non-education major students. IMS, making habits of “thinking and writing down”
will not only increase students’ creative confidence but experience continuity power and
even cure helplessness in the class. Three professors told students that they believed in
students that everyone could achieve the goal of composing own musical composition in
the same manner as they create innovative ideas or draw paintings or creating any art
crafts.
In the following lesson which was the first lesson of composition, Dr. T described how
they could start the project. Indeed, in the class, Dr. T already knew that there are various
ranges of students with different musical back ground as he already thought the students
in his previous semester. Some students had almost no musical training besides music
curriculum in P-12 schools, and a few music classes in university. Some got more than
10 years of experience in piano learning and a few attended music related extracurricular
activities such as choir and band. Very few owned experience in rock band. Nevertheless,
none of the students had ever composed.
At the beginning of the class, Dr. T introduced three entry points of composition. To make
the lesson simple and understandable for everyone, Dr. T demonstrated his own
“composition” in front of the class. First, he played a simple melody which was
constructed with two sets of three notes followed by 7 notes by using just do-re-mi on
the piano.
He also introduced several Japanese warabeuta songs to the students, and played them
on the piano. He explained that a quite many songs are constructed even with fewer
choices of the notes with just two or three syllables.
Next. Dr. T began playing several chords on the piano. He selected very simple chord
progression of C-Am-F-G. Dr. T used the both hands to play the chord. Another word, he
played bass line on his left hand, and he played the harmony on his right hand. He
continued playing the progression several times endlessly. He then began singing a
melody in la-la-la randomly by listening to the progression. He also played three chord
of Ⅰ- - on his left hand, and played four times for each chord and repeated several
times. He they added his right hand by listening to his right hand.
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Finally, Dr. T improvised on the piano by selecting tunes in the similar sense of painting
abstract pictures to select colors and enjoyed the mixture of the sound. He added very
low tune to high pitch, and mixed rhythm or repeated tune on the piano. It could go much
longer, but he stopped his improvisation to continue the class.
After the third class, Dr. T divided each class into three groups. Although the degree of
experience and skills were mixed, and rather Dr. T assigned the group by using the
sheeting position they already sat. The music classroom was named Music Laboratory
and there were 40 electric pianos lined up in two rows, and by students’ preference, they
take sheet freely in front of each piano. Usually, in Japanese university, students who
usually spend time with, and get along well sit close to each other. Dr. T purposely made
group of three mixed in the levels but personally get along together.
At 12:00 all students met and reflected on the session. Sometimes they presented group
work and/ or shared the composition process. One day, Dr. T picked up the actual
students’ composition and presented some excerpts to the class by pointing out why and
how the works are creative. Another time, Dr. T shared an episode about the challenges
some particular students faced and how he/ she solved the problem. He also introduced
several different music styles from J-pop to classical to contemporary music to show how
each work is different and considered to be creative.
During the first few classes, most students were not able to compose any tune Dr. T
advised each student which strategy they could possibly use based on the first survey of
musical experiences and skills. Some students were able to play a few tunes on the
piano but they had no idea how to write them down. The teacher supported them during
the lesson, but at the same time, he also asked some students to help writing down their
composition.
At the tenth class, in each group, each student played his/ her own work in front of the
group, and students assessed their work for each other. They were asked to first put a
comment FOR each work why and how the work was creative, and put a creativity
ranking for each. They listened to the work twice. In addition, the students gave
comments to each other’s work about creativity and likeness.
6. Findings
The following is the chart to indicate students’ degree of musical experience and skills
that they have. First, the survey asked the length of the year the students studied music
including piano lessons or any other lessons outside of the school and playing in the
band or singing in chorus as extracurricular activities.
Table 1.
Experienced (More than 10 years)
Intermediate (Between 3 to 9 years)
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14
21
Beginner (Less than 2 years)
14
The study also asked sufficiency in composition. The students answered by self-report.
Table 2.
compose both
Level 5 I can
melody and
accompaniment
Level 4 I can make some accompaniment part.
Level 3 I can compose melody line only
Level 2 I can create a few melody lines or phrases
Level 1 I cannot think of and/ or create any tune
2
6
9
18
14
These are the few of the comment by beginner students before start the project in Level
1 and 2:
I have no idea what to do.
It was too difficult for me.
It was not fun at all and I was almost in panic.
These are some of the comments by students with some experience and self-reported
above level 3 up to 5.
I thought I composed some melodies, but it was the song that I knew that already
exist.
I tried to imitate some songs that I know and arranged the phrase.
It was difficult to write the idea I created only in my mind.
The following Table indicates how students rotate during the 90 minutes of classes. The
teacher was only involved in Group Lessons to offer individual instructions to students.
In the Peer Learning, the students who is more advanced in music helped beginner
composers. In the Group Activities, the teacher asked students to orchestrate their
composition or add movement to their performance in small groups.
11:00-11:20
11:20-11:40
11:40-12:00
Group
Group
Group
Group
Lesson
1
2
3
Table 3.
Peer Learning
Group 2
Group 3
Group 1
Group Activity
Group 3
Group 1
Group 2
The study gathered self-reports of peer learning or peer teaching each week. These
reports were useful in analyzing collaboration between and among students. Some of
the randomly selected students’ response are the following. The reliability of the
creativity ranking made by students was .88 and that of the creativity ranking made by 2
music specialists .78. There was a good agreement between the different groups of judge
on their creativity assessments, although the level of expertise did appear to make few
differences.
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A (Experienced, Level 5, Creativity Ranking Average 1)
What you learned What did you
What is your
from colleagues? support and help
challenge so far?
others?
April week
I learned how to
My friend had
I finished
3
write down music trouble writing
composing the first
from the
down the notation
song, but I still
instructor.
so I helped.
have trouble writing
them. I want to
improve.
May week 2 The instructor
I tried to put
I began composing
suggested me to accompaniment
the second song.
compose also in
part with my
different style like classmates.
classical or in
Japanese style.
May week 4 The instructor
NA
suggested me to
orchestrate the
song or put
lyrics.
June week
I heard several
NA
Performed my first
2
compositions by
song to colleagues
friends. I noticed
and they liked it.
there are many
ways to notate
music.
June week
NA
Helped them
NA
4
writing down.
B (Experienced, Level 5, Creativity Ranking Average 5)
What you learned What did you
What is your
from colleagues? support and help
challenge so far?
others?
April week
The instructor
I was able to make I tried every day,
3
told me either
accompaniment
but every day the
make one phrase part for my friends. melody comes up
every day or
is different.
create entire
image of the
song at once.
May week 2 Learned from the I really liked the
I became able to
instructor how to piece by friend so I write the idea in
told her my feeling.
156
May week 4
June week
2
June week
4
notate the
rhythm.
NA
Learned from the
instructor about
the structure of
the music.
Learned by
listening to other
songs.
NA
I chat with my
friend how they
approach the
composition. I
learned there are
many different
ways.
NA
music sheet, but I
often forget.
NA
I enjoy thinking
how to create
climax or ending.
I learned from
various different
styles and
approaches in
composition. As I
listen to others, my
process improved.
C (Beginner, Level 2, Creativity Ranking Average 15)
What you learned What did you
What is your
from colleagues? support and help
challenge so far?
others?
April week
Learned from
I learned from my
I played random
3
instructor to put
friends, but I was
notes on the piano,
notes on the
not able to help
but nothing come
rhythm of
others.
out.
Twinkle.
May week 2 My friend helped I learned from my
I did not enjoy
me when I had
friends, but I was
because it is too
trouble finding
not able to help
difficult.
the pitch that
others.
match with my
melody.
May week 4 My friend showed My friend was not
It became difficult
me how they
able to decide the
to write down, so I
write down the
rhythm, so I
used my smart
idea to music.
advised her.
phone to record
and asked friends’
help.
June week
Learned from
I heard several
It became very
2
classmates and
other songs and
unique and
every single
gave positive
different from my
piece is different
comments about
classmates’ work,
but I am so far
157
June week
4
from each other
likeness and
and creative.
reasons.
Learned through NA
the experience
that composition
is enjoyable
because the work
is original.
happy that I made
a song.
It is still challenging
and composition is
something far from
my daily activity,
but I feel much
better.
D (Experienced, Level 3, Creativity Ranking Average 30)
What you learned What did you
What is your
from colleagues? support and help
challenge so far?
others?
April week
I learned from my Listening to others. I cannot even think
3
friend who
of a single phrase.
already
composed a
melody, she said
she used chord
progression of
the famous tune.
May week 2 Learned from the Listening to others. I made several
instructor to
melodies.
repeat pattern
and arrange
them so that the
music expand.
May week 4 NA
We sang for each
other and taught
each other how to
notate the rhythm.
June week
Learned from my I gave comments
I completed the
2
friends how to
to my friends’ work. song.
put chord.
June week
I played the song
I was able to play
4
for my friends.
my song without
any error.
E (Intermediate, Level 4, Creativity Ranking Average 38)
What you learned What did you
What is your
from colleagues? support and help
challenge so far?
others?
April week
Learned from my I cannot teach or
I just have anxiety,
3
friends, play
help others but we but I have several
158
May week 2
May week 4
June week
2
June week
4
either chord or
melodies
randomly on the
piano.
My instructor
said he liked the
first 4 bars.
Learned that
music has
pattern and many
different styles.
I feel that my
song is very
much like
children’s song. I
want to change
the style like pop
music.
Listened to other
songs. They are
great!
chat and sing
several songs
together.
ideas in my mind,
so I will try to write
them down.
I chat and
discussed with my
friends.
Listen to other
songs.
I made the first
phrase. I still feel if
it is right.
I had no idea how
to expand the first
phrase, but I made
some progress.
I want to challenge
different style of
composition.
NA
Listening and
comments.
I made a song.
Now I try to make
lyric.
F (Intermediate, Level 1, Creativity Ranking 40)
What you learned What did you
What is your
from colleagues? support and help
challenge so far?
others?
April week
I can just use
NA
I cannot even
3
notes from do to
imagine one tune.
sol and put them
in different order.
May week 2 Each phrase
NA
I now have several
could have same
melodies in mind,
numbers of notes
but I cannot play
like Twinkle.
them on the piano.
May week 4 I can repeat
NA
I worked hard to
similar melody so
change several
that I can make
notes to not just
structure.
repeat the same
lines.
June week
I can make the
NA
I feel my lines are
2
third line
disconnected.
differently so that
the song has
more variety.
159
June week
4
I can make
mistake in
composition
unlike
performance.
NA
I learned by
listening other
composition that
there are different
rhythm and
selections of notes.
G (Beginner, Level 1, Creativity Ranking Average 49)
What you learned What did you
What is your
from colleagues? support and help
challenge so far?
others?
April week
Learned from my NA
I feel I cannot
3
teacher, the
create new tune
rhythm pattern
because there are
could be 3-3-7.
too many music.
May week 2 There are many
NA
I am not good at
other pattern
music so it was
besides 3-3-7.
very difficult. I will
try every day.
May week 4 NA
NA
I want to spend
more time on
composition and
practice.
June week My
instructor NA
My song sound like
2
suggested me to
on a elementary
continue as I am.
textbook,
but
I
made it.
June week My instructor said NA
I want to try to make
4
I can add lyrics.
lyric on my sing
during the summer.
Following is the responses why and how the work was creative by students, and put a
creativity ranking in average by two of the professionals for each work :
A (Creative Ranking: High)
It was truly impressive. I especially thought the wide range of pitch usage was
creative.
By adding very high beautiful pitch in melody, it became very creative.
Changing of the color at the middle of the section was impressive.
B (Creative Ranking: High)
How sustain but build up the phrase was creative.
Climax comes in very nice timing.
Slow but very musically building up the pattern.
160
C (Creative Ranking: Medium)
Very different from other works.
Rhythm is very active and makes me feel excite.
Harmony is very interesting.
D (Creative Ranking: Medium)
Patterns were clear
I liked how the song contain high sound.
Very well organized.
E (Creative Ranking: Low)
Very happy tune and warm atmosphere.
I liked the middle section especially that changed the mode dramatic.
Climax was clear and had an effect.
F (Creative Ranking: Low)
The use of rhythm like skipping was nice.
Pattern was clear and organized.
Like mother chant to her child gently.
G (Creative Ranking: Low)
Sounded very gentle like showing his kind personality.
It sounded like expressing spring season in Okayama.
Very well structured and simple and easy to listen to.
Interestingly, although some students’ works were ranked low in creativity by specialists,
students found creativity in every single work. Moreover, many students found that there
were many different styles and approaches in composition; thus students gained
confidence to be different from others. Peer-learning and listening to each other’s work
weekly helped them to share creativity to learn from each other.
7. Conclusion
The study presented a model of composition class for very beginner education major
students. Results indicated that the use of the IMS, and a differentiated instruction in
musical composition enabled subjects to compose music using different approaches in
a learnable and communicative social context. Communication among class and peer
learning and teaching supported and facilitated and overcame the inclusion of different
levels of learners learn in one classroom. Specifically, how the teacher managed the time
and space of the class by dividing the time and space into three blocks worked so that
the students were able to get tutorial and peer learning at the same time. Finally, no
matter their level of musical skills and background, everyone was able to compose her/
his own composition, and the class found creativity in their work by sharing group
161
performances. Creativity could be found and shared in all of the students’ composition
and process of musical interaction and music learning in their social context. Instead of
generalizing the research findings to establish one solid standard to recognize and
understand everyday sense of creativity, it would be appropriate for each teacher and
researcher to continue gathering findings from individual cases locally, and share
findings from comparative and international perspectives on creativity.
References
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L. A. Custodero (Ed.), Critical issues in music education: Contemporary theory and
practice (pp. 113-142). New York: Oxford University Press.
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Proceedings of educating the creative minds international conference 2013. New
Jersey: Kean University.
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creative examples. Proceedings of educating the creative minds international
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and R.J. Sternberg (Ed.) The Cambridge handbook of creativity (pp.20-47). New
York: Cambridge University Press.
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Sternberg (Ed.) The Cambridge handbook of creativity (pp. 265-278). New York:
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Author’s Profile
Taichi Akutsu, EdD, is a Japanese violinist-teacher-researcher, and a lecturer at Seisa
University and Shujitsu University in Okayama, Japan. His degrees include a BM, from
Tokyo College of Music; a MM, from Manhattan School of Music (2005); and a MA, from
Lehman College, CUNY (2011) and EdD, from Tokyo Gakugei University. Akutsu was a
principal violinist of the New World Symphony under the direction of Michael Tilson
Thomas (2006-2009). His publications appear on International Journal of Music
Education and Music Education Research.
163
The Dominant Role of Enterprise in the User Innovation Process
A Case Study of Xiaomi
Xi Yu and Fangqi Xu
Kindai University
Email: ukei1130@yahoo.co.jp
Abstract
Users are not just consumers, they are also regarded as a part of value creation activities.
They can increase the value of products and services in these activities. However, in past
cases of user innovation, researchers often focused on the direct value brought by users,
and companies also expect users to directly create new value or to provide ideas for new
value. The case discussed in this article is different from the previous situation. By studying
Xiaomi, we have found that companies can play a very important role in the process of
creating value for users.
Xiaomi is a mobile Internet company founded in 2010, and it has quickly become one of the
leading technology companies in China. We have found that Xiaomi divides users into five
degrees, which are called “core value creators”, “value creators”, “active users”, “moderate
active users” and “ordinary users”. It has created interactive patterns with different user
levels, and in this way, more and more “core value creators” and “value creators” have been
acquired. Now, these users have become important forces in product R & D, marketing, and
enterprise operation of Xiaomi. The value they create for Xiaomi is not only product value,
but also marketing value, service value and management value. Therefore, we believe that
Xiaomi’s role in user value creation has important inspirations for user innovation research.
Keywords: open innovation, user innovation process, value creation, case study, Xiaomi
1. Introduction
For a long time, radical innovation has been considered to have resulted from the R&D of
large companies (Chandler, 1962). In the past, many large companies invested large
amounts of R&D funds to maintain their competitive advantage in order to generate more
innovations, and they needed to actively protect intellectual property rights to prevent
internal knowledge leakage. In such closed innovations, users were always regarded as
consumers who passively accepted the technology, services, and commodities provided by
companies. However, with the development of globalization and the change of the business
environment, companies have to rethink the issue of how to innovate. Against this
background, Christensen (2005) pointed out the limitations of traditional closed innovation
and the necessity of open innovation. In open innovation, consumers’ principle role in value
creation cannot be ignored.
164
In recent years, scholars have confirmed that users sometimes innovate their products
without the manufacturer’s awareness (Lüthje,2004; Lüthje, Herstatt, & von Hippel, 2005;
Ogawa & Piller, 2006). Therefore, in a series of studies on users as subject of knowledge
creation, users are considered to be able to independently develop the products and
services they need. Von Hippel (1986) stated that users not only passively accept innovation,
but they can also take the initiative to innovate. Listening to the voices of leading users can
help companies significantly save the time and cost of new product development. In a study
of innovation developed by mountain bikers, Lüthje, Herstatt, & von Hippel (2005) find that
user-innovators almost always utilize “local” information – information already in their
possession or generated by themselves – both to determine the need for and to develop the
solutions for their innovations.
Some studies even show that users can play a leading role in the subsequent stages of the
development process, and they usually take the lead in developing and using a prototype
version of a new industrial product that later become commercially valuable (Enos 1962;
Freeman 1968; Shaw 1985; von Hippel 1976,von Hippel 1988). But in the field of user
innovation or user value creation research, few people have studied the role that companies
play in it.
This study examines the role of Xiaomi in the process of user value creation. It is found that
after creating the user interaction platform, Xiaomi not only pays attention to the value that
users have created, but also participates in the process of user value creation and promotes
users to create value through methods such as motivation, guidance and imparting.
2. Literature review
User innovation research began in the late 1970s and was proposed by von Hippel (1976)
of MIT Sloan School of Management. This innovation process was called “user dominated”
at the time. Von Hippel (1976) found that 80% of scientific instrument innovation was
provided by users rather than manufacturers. Therefore, he believed that users were equally
important or even more important than manufacturers as innovation source. In 1986, von
Hippel introduced the concept of Lead Users. Von Hippel (1986, p.796) defined “lead users”
of a novel or enhanced product, process or service as those who displayed two
characteristics with respect to it: 1. Lead users face needs that will be general in a market
place - but face them months or years before the bulk of that marketplace encounters them,
and 2. Lead users are positioned to benefit significantly by those needs. There are many
researches on user innovation, but in the initial research, this concept has not been
described in detail. In his 2005 work, von Hippel pointed out that user innovation refers to
the user’s own development, improvement, or discovery of a new use of the product (von
Hippel, 2005).
Current research on lead users includes the definition of user innovation (von Hippel, 1986,
1988), how to identify primary users (Urban & von Hippel, 1988; Hippel, 1988), the use of
lead users for development (Ogawa, 2000; Olson & Bakke, 2001) and success stories for
165
lead users (Von Hippel et al. 1999; Lilien et al. 2002; Lüthje and Herstatt 2004). In addition,
in this research field, there are multiple research branches such as the availability of toolkits
(von Hippel and Katz, 2002), the idea of mass customization (Franke and Piller, 2003), and
the innovation process of democratization (von Hippel, 2005). These studies have shown
that many innovations are developed by users based on their own needs (Franke & Shah,
2003. Lüthje, 2004. Franz, 2005. Oliveira & von Hippel, 2009).
Although there are many researches on user innovation, the researchers pay more attention
to the direct value brought by users and do not mention the role companies play in it.
Researches have mentioned the importance of companies in building communication
platforms for users (Jeppesen and Frederiksen, 2006), but in Christensen et al (2005)’s
research, it shows that large companies seem to be more willing to accept “free” knowledge
exchange rather than knowledge supply. Therefore, from the perspective of the existing
research, companies seem to expect users to directly create new value or new ideas rather
than participate in user innovation.
Through the case study of Xiaomi, we found Xiaomi’s leading role in the process of user
value creation (this will be discussed in detail in Section 3). Xiaomi does not entirely wait for
users to directly provide new value or new ideas, but to participate in the process of creating
value by users. Through a series of initiatives, Xiaomi actively guides and helps users create
value. We believe that Xiaomi’s approach has a great inspiration for user value creation,
user innovation, and even open innovation.
The research methods of this article are as follows: First, collecting relevant information
about Xiaomi through news, essays, books, press conferences, etc. Second, registering an
account in the related forum personally, daily visiting and browsing for observation and
analysis, and confirming our findings with related users and forum administrators.
3. A Case Study of Xiaomi
3.1 Building a User Interaction Platform
Xiaomi (Beijing Xiaomi Technology Co., Ltd.) was founded on April 6, 2010 in Beijing, China.
It is a mobile Internet company. It ranked fourth among the 2014 most innovative consumer
electronics companies listed in the American magazine “Fast Company” (the top three were
Amazon, Google and Apple). From Xiaomi’s previous innovation, there was no epochmaking breakthrough innovation. Instead, it has developed many products that are
recognized by users through continuous innovation. At the same time, users created value
for Xiaomi from many aspects such as product development, sales, and management; a
large amount of value created by users was adopted by Xiaomi.
Lei Jun, founder of Xiaomi, was born in 1969 and graduated from the Department of
Computer Science and Technology of Wuhan University. He himself is a cell phone
enthusiast and had submitted more than 1,500 suggestions to Nokia in 2004 but did not
receive any response. Because of his own experience, Lei Jun realizes that the voices of
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cell phone enthusiasts are very important to manufacturers, and that manufacturers’
responses are more essential for enthusiasts. Therefore, Xiaomi established its corporate
culture “Just for fan” from the very beginning.
At the early stage of the venture, it was a big challenge for Xiaomi to try to accumulate users
without reputation and credibility under the circumstances of insufficient funds and
manpower. Xiaomi’s strategy is to obtain users through social media and it has been divided
into three stages: publicizing in major mobile forums; setting up its own Xiaomi forum, MIUI
Forum, etc.; solidifying users of Xiaomi Forum and acquiring users on other mainstream
social media.
On August 16, 2010, Xiaomi released the first version of MIUI (mobile operating system)
and spent three or four months looking for the first batch of users. In order to truly approach
the users, understand the real ideas and needs of users, and enhance the popularity of
Xiaomi, they registered on major forums where Chinese mobile phone users gather (for
example: http://www.gfan.com/, http://www. Hiapk.com/), continuously posted posts every
day, and sent messages to forum moderators and other prestigious users one by one on the
forum, inviting them to participate in the MIUI system testing.
Xiaomi issued a total of 5,000 testing invitations, and 100 users eventually accepted it and
participated in the MIUI testing. These 100 people are mobile phone enthusiasts. They have
a certain understanding of mobile software programs, are eager to try new functions, and
are more tolerant of bugs. Therefore, they cooperated with Xiaomi to convert the mobile
phone to the MIUI system and put forward their own suggestions on various problems
encountered in operation. These 100 people became the source of Xiaomi users and played
a great role in the development of MIUI.
In addition to the forum, Xiaomi also carried out promotional activities and customer services
through Weibo. Xiaomi believed that customer service was an essential part of getting users.
Since Weibo was an open platform, people who were not Xiaomi users still had the
opportunity to see the interactive content between staff and users. Therefore, Xiaomi made
provisions on Weibo customer services: a quick response to any questions, suggestions, or
even complaints from users must be made within 15 minutes. Many potential users who
didn’t know about Xiaomi were surprised to see Xiaomi’s prompt replies and answers, so
that many new users also were attracted by that.
With the increase in the number of users, Xiaomi employees (including the founder) also
joined the ranks of providing services to users. Every day, they reply to the messages on
Weibo and forum. According to statistics, there are about 120,000 new posts on the MIUI
Forum every day, of which about 8,000 need to be artificially responded, and each software
engineer has to reply about 150 posts a day (Lenghu, 2015). Below each post, the
engineer’s feedback column will display a state, such as “included”, “being solved”, “solved”,
or “verified”, equivalent to a simplified version of a bug solution system. Users can clearly
know which engineers are responsible for solving their problems and when to solve them,
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so that they feel valued and respected.
Xiaomi’s approach allows each user to have the opportunity to become a product designer,
giving users a sense of belonging and encouraging them to participate in the process of
product design and feedback. The MIUI Forum and Weibo have acquired a large number of
users for Xiaomi, especially the MIUI Forum has also become a platform for users to create
value.
3.2 Multi-perspective and Multi-level Division of Users
According to the data released by Lei Jun at the Fourth World Internet Conference on
December 4, 2017, the number of the MIUI system users has reached 300 million 1. With the
gradual increase in the number of users, users’ characteristics and needs have become
more and more diverse. Therefore, according to the characteristics of different users, it is
necessary to divide them from multiple perspectives and to formulate interactive methods in
a targeted way.
Taking mobile phone users as an example, combined with MIUI Forum, Aleax’s traffic
statistics and data published at the Xiaomi conference, we believe that Xiaomi users are
divided into “core value creators”, “value creators”, “active users”, “moderate active users”,
and “ordinary users” from the perspective of value creation (Figure 1).
Figure 1. Dividing Xiaomi Mobile Users from the Perspective of User Value Creation
Core value creator(920members)*
Value creator
Active user
78,156members
*
1,300,000members
Positive user
190,000,000members
***
Ordinary user
300,000,000members
****
Data sources:* MIUI Forum、** Alexa’s data estimation、*** Xiaomi Conference、**** the 4th World
Internet Conference
Of the 300 million users of the MIUI system, about 190 million are moderate active users.
They spend 4.5 hours on average using Xiaomi mobile phones every day2. Next, in order to
1
Lei Jun's speech at the 4th World Internet
Conferencehttp://zsjx.cnjxol.com/jxrbcms/index.php?m=content&c=index&a=show&catid=218&id=233844
2 Data sources: Xiaomi conference on May 31, 2018
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know the number of users who browse the MIUI Forum on a daily basis, we used Alexa’s
traffic statistics. According to Alexa’s data, Xiaomi’s daily PV (Page View) averaged over 9
million and UV (Unique Visitor) reached 2 million. Of this, 67% of the traffic (about 1.3 million
people) was contributed by the MIUI Forum3. These users who browse the MIUI Forum
every day not only use hardware products actively, they also show interest in the content
posted on the forum, so we call this part of the user active users.
Lei Jun announced at the 2017 World Network Business Conference that Xiaomi users have
provided more than 150 million suggestions so far4. But among all users, it is “value creators”
and “core value creators” who are truly creating value for Xiaomi. These two types of users
are referred to in the MIUI Forum as “Internal Testing Fans Group” and “Honor Development
Team”. The “Internal Testing Fans Group” currently has 78,156 members and has submitted
969,211 questions for MIUI 5. They have 4 times OTA (Over the Air Technology) priority
upgrade rights per week before the MIUI development version is updated every Friday. After
experiencing the new version, they should promptly report back to the relevant moderators
or administrators on the MIUI Forum about the special circumstances that occur during their
use. Now Xiaomi has not only internal testing group for mobile phones, but also has its own
internal testing groups for TVs, routers, and other products, providing bug feedback for
Xiaomi. Xiaomi also continuously adopts their suggestions and modifies bugs. Such benign
interactions have made members of the internal testing group fully feel their opinions
respected and are more willing to put forward their own ideas.
The “core value creators” is a group of users who have created the largest value for Xiaomi.
They have a special title for them in the MIUI Forum called “Honor Development Team”. It
has 920 members currently. These users are senior core users, including the 100 users who
initially conducted internal testing for Xiaomi. Members of the “Honor Development Team”
can communicate with Xiaomi’s product R & D personnel at zero distance, get the internal
testing version that is synchronized with the development group at the first time, and
participate in the latest version of the testing and problem feedback. These users have
provided 96,258 questions and 21,405 functional suggestions for Xiaomi6.
In addition to the above five degrees of user division, Xiaomi has more perspectives and
more levels of division. For example, it is not Xiaomi’s internal staff who are responsible for
managing the MIUI Forum, but users. These users who assume the forum management
functions are called “Community Version Service Group”. Xiaomi fully delegates power to
these users and does not involve direct management of the forum. It only provides users
with some technical support, assists them in managing other users, and provides advice
when difficult issues should be dealt with. There are currently 125 members of the
3
Alexa Internet is a subsidiary of Amazon Co, headquartered in San Francisco, California. Founded in 1996 by Brewster Kahle and
Bruce Gilliat, it is a website specializing in publishing the world rankings of Websites. Alexa collects more than 1000GB information
on the Internet every day, not only provides up to billions of URL links, but also rankings for each of them, which has currently the
largest number of URL and the most detailed website for ranking information. Browse date: May 5, 2018
4
https://v.qq.com/x/page/k05244y9j46.html
5
Data sources: MIUI Forum,Browse date: May 5, 2018.
Ditto
6
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“Community Version Service Group”. Every month they manage over 50,000 times of forum
management for Xiaomi, recommend more than 400,000 pieces of excellent content, and
organize over 1,000 activities 7.
The value that users bring to Xiaomi does not stop at the product development level. From
the user division and forum management of the MIUI Forum, it can be seen that the value
created by users for Xiaomi has penetrated into the aspects of management and service.
For example, the MIUI Forum has an “Answering Group” with 362 members at present,
which dedicated to answering questions for users, and these members themselves are also
users. They have joined the “Answering Group” by applying, and they have provided more
than 1,500,000 answers for 1,000,000 users8.
Xiaomi also has 78 “Mobile Enthusiasts Club Directors” who are offline organizers elected
by users. They are responsible for assisting Xiaomi to organize and manage offline activities
and they are the bridge between Xiaomi official and users. They have held more than 1,000
activities so far, with nearly 400,000 people involved, and more than 10,000,000 questions
answered offline9.
On April 16, 2014, Xiaomi established the MIUI Campus Club for school students and set
up the “Campus Club Leader” with a total of 80 core members. Together with other colleges
and universities, they organized online and offline activities on campus and carried out largescale campus channel promotion and other activities with Xiaomi. More than 500 activities
have been held so far, with nearly 200,000 people participating, and more than 1,000,000
questions answered offline. There are 24 members of the “Excellent Resource Group”. They
explore and trial applications worldwide and provide valuable resources for other users
through screening, including recommending mobile games, ringtones, wallpapers and a
variety of applications for users.
There are many other groups like this and Xiaomi also has a very detailed division of user
privileges on the MIUI Forum. That is: “Promoted User Group” composed of ordinary users,
“Ordinary User Group”, which is applied by ordinary users, and “Site Management Group”
composed of official organizations, Xiaomi employees and moderator users. There are more
detailed divisions within each layer. The “Promoted User Group” is divided into 8 levels
according to the user’s online time and the number of posts posted and answered on the
forum. The “Ordinary User Group” is divided into 35 groups based on the functions that
users assumed on the forum. The “Site Management Group” is also divided into 19 groups
in accordance with the different functions held on the forum.
Xiaomi employees also have personal ID and can participate in the forum to answer
questions and to publish content. The privilege division of MIUI Forum also applies to these
employees. Xiaomi’s multi-perspective and multi-level division of users can inspire and
7
8
9
Ditto
Ditto
Ditto
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guide each user group to be more targeted.
3.3 Meeting the Diverse Needs of Users
In order to meet the diverse needs of users, Xiaomi provides a variety of mobile products
for different users’ characteristics. The released mobile phone MIUI system has four
versions, such as “experience version”, “internal testing version”, “development version” and
“stable version”.
1. MIUI Experience Version for Mobile Phone Enthusiasts with Certain Professional
Knowledge
This version can experience the latest and fastest development of interfaces and functions
and can be updated by users on every working day. However, due to the fast updating speed
of this version, there will be various bugs without a long-term testing. Users who use the
MIUI experience version are basically mobile phone enthusiasts. They like to experience the
freshest functions, find bugs enthusiastically and give feedback to Xiaomi. Through the
testing held by users of experience version, Xiaomi can quickly understand the defects of
the current version, continue to improve it, and release the development and the stable
version within 1-2 months.
2. Internal Testing Version for Honor Internal Testing Group Users
With the positive feedback from users of the experience version, MIUI has a more stable
internal testing version. About two weeks before the development version and the stable
version are officially released, MIUI will push an internal testing version to some users. Its
purpose is to test the bug that may be encountered after the release of the stable version,
so that engineers can fix it urgently. The updating time of MIUI internal testing is from
Monday to Thursday, and the updating speed is also very fast.
3. Development Version for Active Users
The development version is upgraded every Friday. Xiaomi and users call this day “orange
Friday (Xiaomi’s logo is orange)”. This version is more stable and it’s updating speed is
slower than the experience version. However, the weekly update on time can bring many
expectations to users interested in mobile phones. These users who use the development
version are not persistent in finding and reporting bugs but are looking forward to the
changes brought about by the new version.
4. Stable Version for Users Who Pursue Stability
Some users are not concerned about the changes in the mobile phone systems. Frequent
updates of the system will cause them distress. The stable version is very suitable for such
users. This version has a high stability and its updating cycle is about 1-2 months. Xiaomi
mobile phone comes with a stable version system in the initial state, and users can switch
between the stable version and the development version according to their own needs.
Diversification of products is not a new concept. Many companies provide diversified
products to meet different needs of users. Their core purpose is to increase the sales volume.
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The case of this article is different from other companies. MIUI is a system attached to mobile
phones. The release of multiple versions does not bring a direct impact to the sales volume
of mobile phones. However, from the result, it has helped Xiaomi to maximize the value
created by users.
3.4 Guiding Users to Create Value
3.4.1 Incentives and Interactions
Although Xiaomi has a large number of users, it does not simply wait for the value created
by users directly. Instead, it is constantly involved in the process of creating value by users,
trying to guide and teach the user to create value. First of all, for the “core value creators”
that have matured in value creation, Xiaomi has made them more loyal to the company
through incentives. For example, on April 9, 2013, Xiaomi released a micro-movie named
“100 Dream Sponsors” to specifically thank the 100 users who participated in the initial
testing of the MIUI system. Xiaomi published the 100-person ID of the forum in the movie
and thanked them by displaying their names on the boot screen when Xiaomi made its first
mobile phone. Not only that, Xiaomi also created a strong offline activity platform “City
Council”, which has now covered 31 provinces and cities. Every two weeks, Xiaomi
organizes “Xiaomi City Council” in different cities and invites 30-50 users to meet face-toface with engineers. These users are also very active users. They have a great interest in
Xiaomi products and are looking forward to having this interaction with other users and
Xiaomi employees.
Most of the employees of Xiaomi often browse the forum, communicate with users, answer
users’ questions, and consult users’ opinions. Such a good interaction makes users with
high participation trust in Xiaomi, plus an incentive to make them willing to help other users
on the forum free of charge. These users even launch information and tutorials on the
development of mobile phone systems from elementary to advanced levels for other users
at different levels and teach them how to reprogram and modify their mobile phones using
MIUI. Through the value created by these users with high participation and activity, users
interested in mobile phone software and systems will learn more ways to create new value,
and then continue to expand the scale of “value creators”.
Xiaomi has many similar incentives and interactions for “core value creators” and “value
creators”. These practices are great affirmations to these users and promote their
enthusiasm for continuing to create value.
3.4.2 Attracting Users to Participate
Xiaomi not only attracts users to create value through the forum, but also attracts them to
participate through the product itself. For example, Xiaomi launched a router that requires
the user to assemble it. The practice of selling semi-finished products may seem
incomprehensible, but it has been greatly welcomed by users. This router, which had to be
installed by users themselves, had a total of 3.08 million appointments on the day when it
was first announced for purchase in April 2014. It was sold out within 59 seconds after the
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first 100,000 routers were open for purchase. It can be seen that Xiaomi has attracted users’
interest in self-assembling. We believe that it is this kind of self-assembling that evokes the
enthusiasm of users for hands-on assembling and thinking. Allowing users to participate in
the production process can make them feel that Xiaomi’s products are not only items, but
also works that are obtained through hands-on assembling and hard work. Xiaomi
humorously stated in the installation instructions posted on the forum that the router is “a
new toy”.
Of course, there is a certain degree of risk in allowing users to participate in the assembly
of products. First of all, most users will still choose to purchase finished products in
consideration of convenience and safety. Second, although some users have a strong
interest in assembling semi-finished products, they may not have strong hands-on
capabilities. Given these two situations, Xiaomi still adopts different strategies for users at
different levels. Therefore, the finished product router is also sold to most ordinary users to
meet their demand for product stability. The members of the “answering group” of the MIUI
Forum and other users with large bases continue to contribute their knowledge free of
charge, actively provide assistance for users who have difficulties, and share a lot of aftersale services for Xiaomi.
3.4.3 Imparting the Methodology of Creating Value
Xiaomi motivates users with high participation to gain a sense of honor and to share their
knowledge. At the same time, through interactions between employees and users, it can
provide users with assistance and teach them some professional knowledge. But these
incentive activities and knowledge practices cannot be aimed at most ordinary users. These
ordinary users have almost no relevant professional knowledge, and some users do not
even know how to make a specific distinction, let alone understand the fun of participating
in product development. In order to make this part of users who count on the majority of
users join in the process of creating new value, Xiaomi also made various efforts to it. For
example, Xiaomi realized that it was difficult for users to understand the relationship between
meaning represented by parameters of the mobile phone and the actual operation, so the
ANTUTU Benchmark was developed 10. This is a professional software for rating mobile
phones and tablet computers, which is specially designed for iOS and Android devices. It
can perform UE testing (multi-tasking and virtual machine), CPU overall performance testing,
RAM memory testing, 2D/3D graphics performance testing, and data storage I/O
performance testing. Through ANTUTU Benchmark, users can obtain detailed scores and
overall scores of various related items of the devices, so as to quickly and accurately judge
the performance level of the hardware. This is a way to popularize the performance of mobile
phones and computers for ordinary users, which is equivalent to imparting some basic
knowledge about mobile phones to users and helping them to know their own products.
Xiaomi also launched an activity through an official forum to gather technical staff and users
10
ANTUTU Benchmark official website:http://www.antutu.com/
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who are keen on mobile technology research to conduct small-scale seminars. Users with
certain expertise in mobile phones can directly communicate with Xiaomi’s engineers, forum
administrators, members of the answering group, and other ordinary users about the
technical problems encountered in the process of the brush and other operations, so that
they can improve their skills in creating value. There are several core technology sections
on the MIUI Forum: resource download, getting started, and Xiaomi college. Users can get
a lot of tutorials, resources, and problem solutions through these sections. It is not only
Xiaomi’s technical staff who contribute knowledge to help users, but core users and other
highly active users also spontaneously join in the process of transferring knowledge and
helping others create value.
3.5 Value Created by Users
Now, Xiaomi users have become a very important force in market research, product
technology, marketing and operation. As on April 18, 2013, Lei Jun wrote in Weibo: “We are
developing Internet mobile phones with users, and millions of users have contributed their
wisdom. This is Xiaomi’s Internet DNA! 11” In fact, the value that users really contribute to
Xiaomi is not only in terms of products. We believe that the value provided by Xiaomi users
includes four aspects: product value, marketing value, service value and management value.
1. Product Value
The value of products provided by Xiaomi users is direct and indirect. The direct product
value is developed by users themselves and then contributes to Xiaomi free of charge. Lei
Jun also mentioned the contribution provided by Xiaomi fans many times. For example, MIUI
initially developed only 3 versions of languages such as Chinese simplified, Chinese
traditional and English versions, and then 25 languages are uploaded to Xiaomi
supplemented by an enthusiastic fan of Xiaomi; there were only 36 versions of the original
MIUI mode, but in the effort of many Xiaomi fans, there are as many as 143 adaptable modes.
Xiaomi users have participated in and conducted more than 200 known innovations,
including: different thematic styles of unlocking methods, function of automatically adding
names before the group texts are sent, and traffic call reminders developed for safe driving,
etc. Some of innovations are provided directly by users, and some are developed by Xiaomi
through users’ feedback. The “internal testing fans group” mentioned above is a group of
users who have provided a lot of product testing and bug feedback for Xiaomi. According to
Li Wanqiang, vice president of Xiaomi, one-third of the improvements to Xiaomi’s mobile
phones came from users. These examples can represent the value of the products created
by Xiaomi users.
2. Marketing Value
Xiaomi users have directly promoted Xiaomi products that they had used to others from
mouth to mouth and have created marketing value. There are also some indirect publicity
11
https://weibo.com/leijun?refer_flag=1001030101_
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effects. For example, Xiaomi sometimes releases prototypes before the launch of mobile
phones. Because the quantity of prototypes placed on the market is limited and there is a
certain scarcity in such prototypes, the first batch of users who snapped up the prototype
often posted photos of it on social media similar to Weibo or circle of friends on WeChat.
Every such sharing is equivalent to an advertisement for the Xiaomi product, forming
marketing value created by users.
3. Service Value
Through the entire operation and management mode of the MIUI Forum, we can see that
the mode that users serve spontaneously has been finally formed by actively participating
in the forum to answer questions, making resource recommendations, and disseminating
and imparting knowledge. This is the service value created by users for Xiaomi.
4. Management Value
The management value mentioned here is divided into two types: The first is management
value of users to users. Xiaomi forms a forum management mode for users to manage users
through full decentralization and strong assistance. In turn, users spontaneously organize
various offline activities for Xiaomi. It is the management value that is created by users with
high participation for the management activities of ordinary users. The second is
management value of users to Xiaomi employees. Because Xiaomi requires relevant
employees to answer the questions that the user has feedback through the MIUI Forum,
and immediately modify the problematic project, the user’s voice can be directly conveyed
to the R&D personnel, eliminating the traditional management steps: “users contact
customer service - customer service feedback to the company - the company find the
appropriate person in charge - the person in charge organize related personnel to discuss
and study”. In the hierarchical traditional management mode, the R & D personnel often
disconnect with the users, cannot perceive the needs of the users, and are also in a very
passive position in the process of R & D. Xiaomi effectively solved this problem through the
direct connection between technicians and users. Therefore, Xiaomi users are also
supervising the internal employees of the company and playing an indirect incentive role.
This is the user’s management value to Xiaomi employees.
4. Discussion
Now more and more researches show that users are not just consumers but should be
regarded as a part of the value creation activities. However, in previous case studies of user
innovation, researchers often focused only on the value created by the user, ignoring the
great role played by the company. The case discussed in this article allows us to see that
Xiaomi not only focuses on the value created directly by users, but also participates in the
process of creating value by users, and promotes the value through inspiring, guiding, and
imparting knowledge.
There are two points worth considering in this case. First, Xiaomi divides users into multiple
perspectives. We believe that Xiaomi’s division of users is based on three perspectives.
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Dividing by functions: This divisional benchmark played a role in creating management value
for users, and it was used for the division of users on the MIUI Forum.
Dividing by
demands: This division applies to Xiaomi’s product design process. Through observation,
we found that users with high activity are eager to participate more in Xiaomi’s R&D
operations and services, while users with low activity have higher requirements on product
stability. It is worth noting here that Xiaomi’s approach is different from the previous product
diversity. It is not aimed at direct profit but is aimed at gaining value created by users.
Dividing by participation. This division method acts on Xiaomi’s interaction with the user.
Xiaomi distinguishes “core value creators”, “value creators”, “active users”, “moderate active
users” and “ordinary users” through different degrees of user participation. By inspiring,
guiding and imparting users according to their different characteristics, the interaction
methods eventually played a role in expanding the user scale and creating more value for
Xiaomi.
Secondly, Xiaomi consciously formulates different ways of interactions based on different
user groups and has targeted participation in user value creation. We believe that Xiaomi’s
role in the process of creating value for users is very diverse, especially in the aspect of
users’ dissemination of knowledge. Xiaomi does not simply teach users knowledge about
products but helps a small number of users to manage the majority of users. From this we
can see that Xiaomi conducts a variety of knowledge dissemination to users with
management knowledge involved.
Similarly, the value provided by Xiaomi users is not a single “new idea” but is full of diversity.
It includes product value, marketing value, service value and management value. Xiaomi
played a key role in the clear division of users when it was involved in the process of creating
value by users. Through the encouragement of “core value creators” and “value creators”,
the most active users are willing to actively share their own experience through social media
such as forums, and then attract more attention from users. At the same time, because
Xiaomi delegates sufficient rights to enable users to realize self-management and intermanagement in online or offline activities, this experience also reduces a lot of work for the
company itself and saves a lot of costs.
Through the study of Xiaomi in this article, we have discovered some new inspirations in the
process of user value creation. At the same time, it is also found that there are some
differences between user value creation and traditional user innovation. In future studies,
we will conduct further analyses and discussions on these differences in order to improve
the research on the issue of “user value creation”.
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Enhanced Creativity and Concentration in the Mastery of Kanji by Foreign
Students
William Reed
Yamanashi Gakuin University, Japan
Email: reedwill@mac.com
Abstract
For non-Japanese living in Japan, it is essential to learn to communicate in Japanese in
order to understand, appreciate, and actively engage in Japanese culture. Literacy is one
measure of understanding, and also one of the greatest hurdles for foreign students;
learning to read and write Japanese by mastering the Kanji in a reasonable amount of time.
Dr. James Heisig has earned international acclaim through his development of an innovative
approach to Remembering the Kanji, known as the Heisig Method, by which Dr Heisig taught
himself how to read and write 2000 Kanji in just one month. Others have repeated this in
various time frames, and a number of Website and Apps have been developed to support
study by the Heisig Method.
While the Heisig Method has proven popular among students of Kanji in many countries,
the success of the method depends on four factors: motivation, concentration, visualization,
and review. We have explored methods for increasing retention and engagement in the
process of remembering the Kanji, making use of both digital and analog methods for
enhancing concentration and visualization.
Concentration is developed using simple techniques to enhance mental focus, which are
measured using the JINS MEME technology monitoring head and eye movements through
sensors in special eyewear. Visualization is developed by illustrating the stories associated
with Heisig mnemonics, and recording these in a notebook for frequent review. Participants
in the study are beginning students of Japanese enrolled as foreign students at Yamanashi
University’s International College of Liberal Arts (iCLA). Effectiveness of the approach was
monitored by university professors of Japanese Language. It is hoped that this pilot study
will form the basis for enhanced learning of the Kanji by students around the world.
Keywords: Kanji, Remembering, Heisig, Concentration, Visualization
Introduction
Vincent Van Gogh’s oil painting Flowering Plum Tree (1887) is a remarkably accurate copy
of Hiroshige’s Ukiyoe Plum Park in Kameido (1857), Graphically faithful in nearly every detail
when it came to flowers, tree branch shapes and angles, it contains an awkward anomaly.
The Chinese characters in the painting are a poor estimation of the original, drawn in
distorted proportion, and seem to have been added as a border decoration without any of
the attention to detail given to the tree branches. Presumably unable to read or write
Japanese characters, they are only roughly rendered. To the untrained eye, it is difficult to
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distinguish one Japanese character or Kanji from another, and at first glance they may
appear to be as illegible as chicken scratches.
From Shodo: The Art of Coordinating Mind, Body, and Brush, William Reed, Japan
Publications (1989). On the right is Van Gogh’s painting as a copy of Hiroshige’s Ukiyoe on
the left.
The hurdle facing non-Japanese attempting to gain literacy in the Japanese language is
formidable. Japanese children begin learning to read Japanese at the age of six, are
expected to be able to read 1,006 Kanji by the time they graduate from Elementary School,
and 2,136 Kanji by the age of 15 as part of their compulsory education. Moreover, Japan’s
literacy rate is frequently cited at 99%. While this is often attributed to repetition and rote
learning from a young age, few non-Japanese have the time or inclination to study Kanji by
this method.
A total of 317 Kanji are covered in GENKI, the commonly used textbook for foreigners
learning Japanese at university level. The pace of study is generally set at 4 or 5 hours per
week for 30 to 32 weeks, with 145 Kanji in the first year with GENKI I, and 172 Kanji in the
second year with GENKI II, accounting for 254 of the 284 Kanji required for Level 3 of the
Japanese Language Proficiency Test. This is slightly more than the 240 Kanji that are taught
by the second grade of Elementary school for Japanese children.
However, in this study using a method adapted from James Heisig’s Remembering the Kanji,
and enhanced by the use of student-generated stories, illustrations, and presentations,
university students from 7 different countries were able to master reading and writing of 240
or more Kanji in a period of just 15 weeks, with only 2-1/2 hours of classes per week.
Although the evaluation was limited to matching and writing Kanji with key English words,
not including Japanese readings, pronunciation, or vocabulary, students who studied by this
method consistently outperformed classmates studying the GENKI textbook by the
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conventional method and pace.
The method of Kanji Mnemonics used in this course will be explained in detail, with
examples given of student-generated illustrations and stories. A theory will be proposed for
why this method proved so successful for foreign students learning Kanji, along with
suggestions on how to enhance concentration and even double the effectiveness of the
method. While this approach was designed for foreign students learning Japanese, it also
proved effective for students from Hong Kong who were already familiar with Kanji in
Chinese, and it will be recommended as an innovative method for Japanese to learn English
studying Kanji alongside foreign students. As a result, students were able to master in just
15 weeks the reading and writing of Kanji that are typically taught at university level over a
period of 2 years. All students aspired to learn even more Kanji, and one student from the
UK mastered 500 Kanji after only 4 months in Japan.
Objectives
The purpose of this study was to develop methods for increasing retention and engagement
by foreign university students in reading and writing Japanese Kanji characters. We started
with the Remembering the Kanji method developed by Dr. James Heisig, Permanent Fellow,
Nanzan Institute for Religion & Culture, and Professor, Faculty of Arts and Letters at Nanzan
University in Nagoya, Japan. Remembering the Kanji is a 3-series volume first published in
1977, written by James Heisig to share the method which he developed for his own study
of the Kanji, and by which he was able to master reading and writing of over 2000 Kanji in
just one month. Originally written in English, the book has been translated into Dutch, French,
Spanish, Polish, Portuguese, German, and Hungarian. The Heisig Method has proven
popular among students of Kanji in many countries, and has led to many support tools based
on the method, reference sheets, smart phone Apps, and interactive websites.
Making use of both digital and analog tools that support the Heisig Method, we established
a ritual for students to create their own stories and illustrations to enhance concentration
and visualization. To increase retention, students regularly presented their original stories
and illustrations to the class, which were also written into in a common notebook that was
shared in PDF form at the end of the course. For review we made use of Flashcards and
paired study, and gave frequent quizzes matching and writing Kanji with English key words,
as feedback on actual retention.
The process of creating original stories and illustrations using the Heisig Key words, sharing
creative output through paired study and presentations, and frequent feedback through
Flashcards and Quizzes enhanced the effective application of the method by boosting
motivation, concentration, visualization, and review.
Origin and Review of the Heisig Method
According to an interview with James Heisig in The Japan Visitor, he was invited by the then
President of Nanzan University to come to Japan and help establish The Nanzan Institute
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for Religion and Culture. He was sent by the university to a Japanese language school in
Kamakura, where he was expected to learn Japanese as part of the process. He was told
to concentrate on the reading rather than the writing of Kanji, and to follow the textbook by
coming to class. He was not interested in attending classes, preferring to study the language
on his own, for which he met strong resistance from the Japanese language teachers, given
it was his first exposure to the Japanese language, and because of the difficulty of learning
the Kanji.
Nevertheless, he persisted in his plan for self-study, through which he discovered that the
characters were made of some 220 pieces, which fit together in a rational system that
formed pictures, and could be described in a short sentence. Based on this discovery, Heisig
went about assigning key English words to the parts and the characters, and in the process
was able to associate key English words with each Kanji character. Spending about 10 hours
a day, he was able to learn how to read and write the 1875 required Kanji in just 30 days!
This was done by comprehension and association, and with hardly any review.
His language teachers did not believe that this was possible, but he proved them wrong by
correctly reading or writing Kanji selected at random from the full list. Nevertheless, by
consensus the language teachers told him that he was doing himself a big disservice
learning in this way, and that it was only possible because he had a photographic memory.
He would not retain them over time, and it would discourage the other students who did not
have a photographic memory.
When he returned to Nanzan University, where he had been assigned the task of learning
the Kanji, he was again met with disbelief, but after he proved that he had indeed learned
the Kanji, the president of the university recognized this remarkable achievement, and told
him that he should put his method into a book, which the university would publish. Eventually
it was taken up by a publisher, and became known worldwide as the Heisig Method, the
cause being supported by a number of smartphone apps and interactive websites.
James Heisig himself acknowledges that the method requires dedication, and most people
are not in a position to devote that kind of time and concentrated effort to the task. Given
that motivation, concentration, visualization, and review are also critical factors in
successfully mastering the Kanji, it is a rare person that can actually achieve Heisig’s level
of success in that short a time. Critics of the Heisig method find that some of the key word
choices are ambiguous or eccentric, and that rapid initial progress can sometimes slow to a
snail’s pace, or the demands of business and family life can often interfere. Some people
visualize better in pictures words than words. Some students prefer to create their own
stories, while others prefer to work with stories already provided. Heisig acknowledges that
his own stories and associations were highly individualistic, and encourages people to form
their own.
Nevertheless, consistency in the use of Key words is essential if you want to access words
in a digital application, and helps to avoid confusion as the number of Kanji increases.
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Research Form and Methods
The Shortcuts to Kanji Class at the International College of Liberal Arts (iCLA) at Yamanashi
Gakuin University has been conducted on a pilot basis, and is now in the fourth year. While
the mix of students varies from semester to semester, in the Spring of 2018 we had 10
foreign students, coming from the Philippines, Vietnam, Uzbekistan, Hong Kong, Indonesia,
the United States of America, and the United Kingdom. In past semesters we have also had
students from Germany, Belgium, Northern Ireland, Croatia, Azerbaijan, and Burkina Faso.
We have been able to test and refine the method with foreign students from fourteen
countries. The course is taught entirely in English, as students are only expected to read
and write the Kanji by association with English key words. They are free to learn the
Japanese pronunciation on their own, which is also covered along with grammar and
vocabulary in other Japanese language courses. Certified teachers of Japanese language
who are also professors at iCLA have supervised the course, and also conduct the quizzes
and evaluations. They consistently remark that students who are taking the Shortcuts to
Kanji Class have a distinct advantage when they encounter these Kanji in other Japanese
language courses. When they encounter Kanji in other language classes, they are already
familiar with their meaning and how they are written, so they can concentrate more easily
on pronunciation, vocabulary, and grammar in context.
In order to provide consistency in content, we use an established list of key words for the
Kanji that is drawn from the Apps and interactive websites based on the Heisig Method. The
students are tested based on the association of the Kanji with these key words. The Kanji
are introduced in the sequence used by Japanese Elementary school students by class year,
not the sequence used in the Heisig book Remembering the Kanji, or in the GENKI textbook,
although there is considerable overlap.
In order to provide consistency in method, students follow these 8 steps, writing the Kanji in
their own notebooks, as well as a common notebook. We review them frequently, until they
become familiar faces.
1) Use a three-color pen, or a black, blue, and red marker to write the Kanji, the Key Words,
and draw the pictures for the Stories.
2) Write the Kanji in black, making sure to use the correct stroke order and stroke
proportions for proper balance.
3) Write the key word from Heisig in red.
4) Write the radicals or primitives in black which make up the Kanji, and their Key words in
red.
5) Connect these parts in a simple sentence that uses all of the Key words. It is best to come
up with your own imaginative story, but this takes practice, so you may wish to search on
kanshudo.com, kanji.koohii.com, for stories that other people have come up with around the
world, refer to Heisig's original stories and key words in Remembering the Kanji book or App,
or in Apps such as Kanji Chart.
6) Draw a simple sketch to illustrate the story or connections, using blue, but with touches
of black and red.
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7) Tell or teach the story to another person, or read it out loud to yourself, referring to the
picture and Key words. The key here is Show and Tell.
8) Repeat this process with frequent review, but speeding it up and doing it mentally. Go
back regularly and test yourself.
These 8 steps become a ritual for taking notes and inputting the Kanji in memory. Although
excellent mnemonic stories are readily available in the Apps, students usually prefer to
create their own stories, and all of the illustrations are original student drawings. The quality
of the illustrations is exceptional, and each is a unique expression of the student’s
personality and sense of humor. Drawing in 3 colors with an erasable pen enables students
to engage their imagination in a way that could not be achieved with monotonous indelible
black ink, or with printed characters in a textbook.
Looking at samples of the students’ drawings, you notice immediately how the illustration
occupies from a third to half of the frame. The logic of the character is embedded in the key
words assigned to each part of the Kanji, and the short sentence connects the words into a
story. The author signs each illustrated Kanji Story, providing a sense of ownership and
originality. Although the Apps and interactive websites provide prewritten stories to help
remember the Kanji, most of the students prefer to create and illustrate their own sentence
stories from the key words.
Foreign students at iCLA from Indonesia, Hong Kong, the Philippines, and the USA
produced the following drawings. They are imaginative, fun, and easy to remember.
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The illustrations and stories above are student generated. They also have access to stories
online such as the following from Kanshudo.com, which breaks the character into parts with
key words, and suggests a sentence that connects the key words and makes them easier
to remember.
浅
セン あさい shallow, superficial
the three spears (㦮) in the water (氵) show it's shallow
three spears
(looks like) a spear (戈) with three (三) bars not one
戈
spear; javelin
三
サン みつ three
氵
すい
み
water
The diversity of cultures represented in the classroom, and the ratio of two instructors for
ten students allows students to proceed at their own pace, to study in pairs, and to share
their results with their peers. This leads to a high degree of concentration, and motivation
stimulated by frequent feedback and real progress. Students enjoy the mix of analog
methods such as drawing and presenting stories, along with quick access to key words in
digital tools.
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In the words of an experienced teacher of Japanese as a foreign language, Akiyama Maki,
Adjunct Instructor of Japanese Language to Yamanashi Gakuin University’s Business and
Information Sciences Department, who has supervised the Shortcuts to Kanji Class and
conducted the testing and evaluation:
“In a Japanese language school or university class for beginning students of
Japanese from foreign countries, the typical number of Kanji which students are
expected to learn at the beginner’s level in a period of 3 to 4 months ranges from
80~100 Kanji. However, in the Shortcuts to Kanji class students starting from zero
knowledge of Kanji, Hiragana, or Katakana, were able to master correct recognition
and writing of between 250~400 Kanji in just 15 weeks. This exceptional level of
achievement has not been possible with the conventional approach to teaching of
Japanese Kanji to foreign students. It clearly demonstrates the importance of
engaging the memory with mnemonic associations for the learning and retention of
Kanji.
Moreover, students who have learned to recognize and read Kanji by this method
have consistently demonstrated a distinct advantage when they encounter Kanji in
other Japanese language courses, reflected in rapid understanding of grammar,
vocabulary, and sentence meaning. This approach has been highly effective in
teaching Kanji to foreign students, and also demonstrates great promise and potential
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for Japanese students as a way of learning to communicate in English through Kanji.”
Findings
The Shortcuts to Kanji Course began by offering students 8 basic questions to get them
started in thinking about their Kanji Study in this course. The purpose was to give students
a balanced perspective on how to approach the study of Kanji, as well as inspire confidence
in what they will gain through the course.
1. Can you demonstrate your ability to read and write the first 300 Kanji from the GENKI
text?
2. Can you demonstrate your knowledge and use of Heisig Apps and Websites for
Remembering the Kanji?
3. Can you demonstrate your use of Websites useful in looking up and remembering
Kanji?
4. Can you demonstrate proper stroke order and the ability to write basic Kanji?
5. Can you recognize the principles of balanced handwriting in Kanji, and what it shows
about the personality?
6. Can you show effective use of Flash Cards as a tool for reviewing the Kanji?
7. Can you tell and illustrate Kanji Stories using the Heisig imagery?
8. Can you demonstrate knowledge or a study plan to master the first 1006 Kanji
required of elementary school students in Japan?
I started studying Japanese as a foreign exchange student at Waseda University in 1972.
We had no electronic devices, no Internet, and no Heisig Method. Everything was by book,
using complicated search tables to count strokes and find radicals, and rote repetition writing
Kanji by hand. It was not for the feint of heart, and only the most dedicated students achieved
Kanji literacy over a period of years. The tools available today, combined with the Heisig
Method, make it much easier to learn Kanji. However, the rules for memory and retention
are the same today as they were back then, and probably from the beginning of civilization.
There are no shortcuts to motivation. Unless you use the mnemonic techniques with
motivation, concentration, visualization, and review, then digital tools may help you in
looking up a character, but will not help you in remembering it ten minutes later.
We found a number of approaches to be effective in creating an optimal learning
environment and encourage students to keep up their momentum in learning Kanji.
Have high expectations for the number of Kanji that they can learn, but let the
students demonstrate and model to each other what is possible.
Create an environment where students can feel comfortable studying Kanji entirely
in English, which equalizes the learning process for the students.
Emphasize the importance of ritual and consistency in Kanji study, but allow students
freedom to move at their own pace and enjoy the social element of group study.
Give frequent feedback with Flashcards and Kanji Quizzes, with praise and
encouragement for their progress.
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Introduce interesting elements of Kanji Culture, such as handwriting and calligraphy,
and show them how the ability to read Kanji can open new worlds of access and
appreciation living in Japan.
Relate Kanji to Pop culture, such as Anime and Karaoke, as well as to travel, food
menus, and shop signs.
Introduce useful Smartphone Apps that can enhance Kanji study, such as imiwa?
and yomiwa, which bring Kanji to your fingertips.
Kanji is a critical element of learning to communicate in Japanese. It is also a bridge to the
Japanese culture, as well as the culture of China. Kanji literacy is a passport to
understanding, appreciating, and engaging in life while living in Japan. But without
mnemonic shortcuts and the proper learning environment, Kanji can be confusing and
frustrating to a foreign student trying to learn the language. Partly for this reason Japanese
language texts have tried to slow down the process and lower expectations, rather than
trying to encourage students to surpass their own expectations in learning Kanji.
Importance of Handwriting
Reliance on smartphones and digital communication, many young Japanese are losing their
ability to write Kanji without reference to a digital dictionary. Engaging their fingers through
handwriting may be the best way to engage their brains and remember how to write the
characters in their own native language.
The role of handwriting in brain development and education is gaining attention from
researchers in the United States, even as it is fading from the curriculum in schools. Maria
Konnikova writes in a New York Times article, What’s Lost as Handwriting Fades, that
handwriting provides many benefits to the brain, and should not be considered a thing of the
past. Educators in the United States are only teaching legible handwriting in Kindergarten
and First Grade, then from an early age encourage students to shift toward writing on a
keyboard. Some parents object to teaching handwriting at all, with the misguided impression
that it serves no practical purpose in an IT dominated world. Yet psychologists and
neuroscientists are finding that handwriting can promote brain development. Children who
learn to write first not only learn to read faster, but are better at generating ideas and
remembering information.
College students today tend to take notes on a computer rather than to write them by hand.
Yet according to Konnikova: “Two psychologists, Pam A. Mueller of Princeton and Daniel M.
Oppenheimer of the University of California, Los Angeles, have reported that in both
laboratory settings and real-world classrooms, students learn better when they take notes
by hand than when they type on a keyboard.”
William R. Klemm, PhD, writes in Psychology Today, Why Writing by Hand Could Make You
Smarter, that there is strong scientific evidence showing that handwriting is superior to
keyboard entry in terms of learning benefits. More evidence may emerge from the new field
of research called Haptics, which studies the interactions of touch, hand movements, and
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brain function.
The importance of handwriting to cultivate intelligence has also been taken up by the Wall
Street Journal, in articles such as, How Handwriting Can Make You Smarter, and How
Handwriting Trains the Brain. Even the business world is promoting a revival in handwriting
for note taking and creativity. If handwriting in the English alphabet can produce such
benefits, it is intriguing to consider how the study of Kanji through handwriting might be an
even further boost to creativity and memory.
Implications for Concentration and Focus
It is likely that handwriting and illustrating enhances another element critical in learning,
depth of concentration. We live in an age of digital distraction and information overload. No
matter how good the tools of your study, if you cannot focus on the task, you are not likely
to get good results.
To measure the depth of focus and concentration of students while writing stories and
illustrations in the Kanji Notebook, we made use of an innovative tool called JINS MEME,
intelligent eyewear produced by JINS Inc. Appearing as ordinary eye glasses, the JINS
MEME eyewear contains three sensors in the frame, a three-point electrooculography
sensor, an accelerometer, and gyroscope sensors, which measure mental focus and
concentration by tracking eye movements, blinking, and head movements. The sensors
send data by Bluetooth to an iPhone App called JINS MEME Office, which displays the
wearer’s depth and continuity of concentration. This is tracked in real time, and stored in the
App for future reference. It tracks Blink Detection, Eye Movement, and Head Movement,
providing separate and composite measures on a scale from 0 to 100. When the number
rises above 60 it is considered to reflect a state of Focus, and when it rises above 80 it is
considered to reflect a state of Deep Focus.
We tested the concentration levels of several students, and found that the highest achiever,
a student from the UK who mastered 500 Kanji starting from zero in just 4 months, indeed
had the highest level of concentration. We connected the iPhone to a projector screen so
that the entire class could see the results in real time. He began writing the elements of the
Kanji using the 8 steps outlined above, and speaking his thoughts aloud as he created the
mnemonic sentence and drew the illustration. As soon as he began the process, the JINS
MEME App displayed the Deep Focus level, and remained there for most of the five minutes
that it takes to create a story and illustration for a Kanji. Despite the fact that the entire class
was watching, he was able to stay in Deep Focus while going through the process.
We tested his concentration in three different modes, and found that the level of
concentration differed depending on the task and length of time. It was highest while
focusing for about 3 minutes learning a single Kanji for Pond 池, where engagement and
output was greatest, with 77% of the time in Deep Focus Mode, and 100% of the time in a
state of Focus. While taking a Quiz on familiar Kanji at Grade 2 level, his concentration over
about 5 minutes stayed in Deep Focus Mode for 65% of the time, and 90% of the time in a
state of Focus. During part of an extended learning session, we measured 5 minutes of his
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concentration at 35% Deep Focus, and 70% of the total time in a state of Focus.
Concentration on a producing a Kanji
Concentration during a Kanji Quiz for 5
story and illustration for 3 minutes for a
minutes resulted in Deep Focus for 65%
single character resulted in Deep Focus
of the time.
for 77% of the time.
Concentration during 5 minutes of an
extended learning session Kanji resulted
in Deep Focus for 35% of the time.
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While not all students were able to achieve this level of concentration or retention, all of the
students had higher concentration levels than students tested who were not taking the
course, some of who could not enter a state of Focus or Deep Focus at all. This suggests
that the approach we took adapting the Heisig Method showed improved results with
practice and motivation in using the Method.
Concluding Observations
James Heisig radically changed the approach to learning Kanji beginning with his
remarkable achievement in 1978 of learning to read and write close to 2000 Kanji in just 30
days. He established the Heisig Method of learning Kanji, which today has a loyal following
among Kanji learners around the world. The method has its critics, but this is partly an
indication that its successful application depends on such factors as motivation and
persistence, and that not everyone can achieve the same results in such a short time.
Nevertheless, the Heisig Method has spawned a number of excellent digital support tools,
and has more than proven its worth and sustainability over the past 40 years.
As a self-study tool, it is likely to produce varying results, depending on the level of
concentration and commitment. However, in a classroom setting with students from a
diverse background of more than 12 different countries, tested and refined over 7 semesters
at the International College of Liberal Arts (iCLA), by adding the enhancements of a ritual in
8 Steps including original stories to connect the key words of each part of the Kanji,
illustrating and presenting the story to their peers, we were able to achieve results of
students being able to read, write, and retain from 250~400 Kanji in just 15 weeks, 3 to 4
times the number of Kanji learned by foreign students studying Kanji as beginners for the
same period of 3 or 4 months, and equivalent to something between the 2 nd and 3rd grade
of Elementary school for Japanese students.
We discovered that while learning Kanji depends on fundamental factors like: motivation,
concentration, visualization, and review, it can also be enhanced by creating an environment
that encourages social interaction, frequent feedback, sharing and presentations. A highly
diverse student group, taught entirely in English, with students encouraged to advance at
their own pace produced remarkable results in a short time.
Areas for further investigation include helping students find ideal environments and times
for study of Kanji, feedback on Concentration and Focus using JINS MEME Eyewear,
combining Kanji study with Handwriting improvement and Shodo (Brush Calligraphy), and
how our adaptation of the Heisig Method might prove effective as a way for Japanese
students to learn English through Kanji.
References
Bounds, Gwendolyn, How Handwriting Trains the Brain, The Wall Street Journal, (October
5, 2010)
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Hotz, Robert Lee, How Handwriting Can Make You Smarter, The Wall Street Journal, (April
4, 2016)
Heisig, James, Remembering the Kanji, University of Hawaii Press, (April 1, 2011)
Klemm, William R., PhD, Why Writing by Hand Could Make You Smarter, Psychology
Today, (March 14, 2013)
Konnikova, Maria, What’s Lost as Handwriting Fades, New York Times, (June 2, 2014)
Reed, William, Shodo: the Art of Coordinating Mind, Body, and Brush, (Japan Publications,
1986)
Reed William, Shodo in the Digital Age: Brush Calligraphy and Handwriting for
Concentration and Creativity, Japan Creativity Society Journal (2017).
https://www.kanshudo.com/
https://www.kanji.koohii.com/
https://www.facebook.com/KANJIcircle/
http://ziggr.com/heisig/
https://jins-meme.com/en/
Apps:
Remembering the Kanji
Mirai Kanji Chart
Imiwa?
Yomiwa
Acknowledgements
My greatest debt is to James Heisig, who pioneered the Heisig Method for Remembering
the Kanji, not only mastering it at Genius level, but also generously sharing his method with
the rest of the world. I would like express my deepest appreciation to the Japanese
Language Professors at the International College of Liberal Arts (iCLA) whose supervision,
evaluation and testing, introduction of the best methods of Kanji review, continuous support
and enthusiasm kept students motivated and the class atmosphere highly primed for
learning: Akiyama Maki, Imaki Jun, Hanashiro Yoshitake, and the Director of Japanese
Language Studies Toma Masahiro. Many thanks to my Shodo Calligraphy Teacher, Ishizaki
Senu, the MOJI Doctor, whose advice on calligraphy, handwriting, and personality traits in
handwriting are a constant inspiration. We are grateful for advice from JINS regarding use
of the JINS MEME eyewear to measure concentration.
Lastly, I would like to thank my students from the Philippines, Vietnam, Uzbekistan, Hong
Kong, Indonesia, the United States of America, the United Kingdom, Germany, Belgium,
Northern Ireland, Croatia, Azerbaijan, and Burkina Faso, and to students from over 30
countries attending college at iCLA, including Japan, who will take the Shortcuts to Kanji
class in the future, for their amazing ability of coming up with original stories, creating highquality illustrations, and their fun spirit in sharing and presenting these to other students.
Their enthusiasm and remarkable results keep us inspired to remain lifelong students,
forever young.
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Author’s Profile
William Reed is from the USA, but is a long-time resident of Japan. Currently he is a
professor at Yamanashi Gakuin University, in the International College of Liberal Arts (iCLA),
where he is a Co-Director of Japan Studies. At iCLA he teaches courses and workshops on
Japanese Culture, assisting in teaching a course on memorizing Kanji through Mnemonics.
Since 2004, he has served as a judge at the All Japan Memory Championships every year
in Yamato Koriyama, Nara Prefecture. He holds a 10th-dan in Shodo (Japanese Calligraphy)
from the Nihon Kyoiku Shodo Renmei, and a 7th-dan in Aikido from the Yuishinkai. He also
holds a 1st-kyu rank as a Graphologist Advisor from the Japan Graphologist Association. He
serves as an advisor and calligrapher to the Zen Nihon Kaou Kai, which researches the
history and design of Samurai Signatures. He has a monthly column on Samurai Calligraphy,
The Brush is the Sword of the Mind, published in the Gekkan Hiden Magazine, and online
on budojapan.com. A weekly television commentator for Yamanashi Broadcasting, he also
has appeared numerous times on NHK World Journeys in Japan, and in documentaries as
a navigator on traditional Japanese history and culture. Certified as a World Class Speaking
Coach, he has appeared twice on TEDx stages in Japan and Norway, and has written a
bestseller in Japanese on World Class Speaking.
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The Paradigm Shift of Creativities: What is creativity means for designers
and design educators?
Hoi-yung LEUNG
Beijing Normal University-Hong Kong Baptist University United International College,
China
Email: icemanleung@uic.edu.hk
Abstract
A leading creativity researcher, Kaufman noted that the latest research design for creativity
measures is supported by computers and the Internet. Therefore, this study following his
belief and explored in objective measures with modern test theory (Rasch/IRT) in
psychometrics view for design education. Design educators identified “Creativity” as a
cognitive process dimension across four knowledge domains: 1) Conceptual Knowledge;
2) Procedural Knowledge, 3) Factual Knowledge and 4) Metacognitive Knowledge; and
three facets of latent traits: 1) Cognitive; 2) Affective; and 3) Psychomotor (Krathwohl,
2002). This study aims to explore a new paradigm shift in measuring creativity for design
education. Two new constructs applying psychometric measures of creativity in conceptual
knowledge were explored. The key latent trait of this study is “evaluating” creativity
concepts across the knowledge dimension and the cognitive process dimension. The
expert level creativity (Pro-c) and Historical creativity (H-creativity); Psychological
creativity (P-creativity) and Situated creativity (S-creativity) are the conceptual framework
of this study. During the conference presentation, the literatures of this study reveals the
implication of multidimensional construct of creativity and provide insight into the ideal
conceptual knowledge for a systematic creativity concept for design education. The
findings of this study provide new tools to assess potential design students or for design
graduate to pursuit the next stage of career development.
Keywords: Creativity Concepts, Design Education, Scale Development, Cognitive
Process Dimension, Multi-unidimensional Constructs
1. Introduction
Creativity has been described as the most important human ability, which contributes to
economic growth from the development of intellectual property or producing tangible
solutions or a quality product or service to support the creative economy of the 21st century
(CIE Report, 2009). Possessing creativity seems to be a distinctive process which adds
value to the creative workforce who have been trained through design education at tertiary
level. Over the past six decades, the assessments of creativity of individual students were
almost impossible to carry out in traditional tertiary education or even in primary or
secondary education contexts.
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Following the historical movement of creativity research by searching the keywords
“Creativity” and “Assessing Creativity”, there is an increasing amount of research literature,
investigating the nature of creativity and assessing creativity. Reviewing the published
literature on creativity, there is a lack of instruments for an objective measurement or
approach and there is a need for the development of an educational construct in the
context of design education. This study was designed to integrate different key
components in measuring creativity and solve the existing difficulties of reliability and
validity when measuring the learning outcomes of creativity in design education. The
difficulties in measuring creativity in the context of design education have been discussed
(Lau, 2010). Three researchers (Lau, Ng & Lee; 2009) and design educators from a
leading design school noted that systematic and deliberate design creativity training has
not yet been implemented in any design education programme in higher education in Hong
Kong. Therefore, measuring creativity in design education in a systematic way without bias
seems to be a challenging goal.
The Need for a Study
Since 2003, I have conducted informal observations and small-scale empirical studies in
assessing creativity in schools, jobs training and recruitment interviews. The initial findings
showed that there are no reliable and valid tools (or instruments) for general design
teachers and design leaders to assess difference in creativity between individuals in an
objective and scientific way. This means there is a lack of teachers or professionals who
can adequately explain how to judge who has more/less creativity as a latent trait
(unobserved) from educational or psychometric perspective. At present, there is no
objective way to assess a student’s creativity in the context of design education.
Lau (2011) addressed the difficulties of applying various assessment tools of creativity
performance in design education. He summarized the key construct of assessment in
creativity from a historical perspective: 1) Individual’s creativity capability and personal
intelligence; and 2) Single idea and creative outcomes. The constructs for measuring
creativity have changed over the past six decades. The scope of assessing creativity has
included assessing personal thinking styles, products and process.
From my empirical studies (Leung, 2012, 2013, 2015), I found additional challenges that
were not mentioned in Lau’s research. These relate to the construct and scale of
measurement in creativity. Kampylis (2010) listed over 42 explicit definitions and 120
collocations related to “Creativity”. At least 32 existing instruments for assessing creativity
broadly were sorted into a few categories of measurements: creative products, creative
cognition, creative traits, and creative behavior and accomplishments (Kaufman, Baer,
Cole, & Sexton, 2008). This study provides further discussion and empirical studies to
examine the different of design experts in professional and academic the cognitive
measure in two types of creativity concepts.
“... James C. Kaufman: I think that the ideal creativity measure has yet to be developed. I
think that when we get the next wave of creativity researchers who have grown up with
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computers and the Internet, we will see some startlingly new ideas …” (Henshon, 2010)
A leading creativity researcher, Kaufman noted that the latest research design for creativity
measures is supported by computers and the Internet. This study will follow his belief and
extend objective measures with modern test theory (Rasch/IRT) and from a psychometric
view in educational measurement. This study applies an interdisciplinary perspective in
constructing the measure in “Creativity”. This study identifies “Creativity” as conceptual
knowledge in the cognitive domain of the Revised Boom’s Taxonomy. Creativity can be
identified in four Knowledge domains: 1) Conceptual Knowledge; 2) Procedural
Knowledge, 3) Factual Knowledge and 4) Metacognitive Knowledge; and Three facets of
ability: 1) Cognitive; 2) Affective; and 3) Psychomotor (Krathwohl, 2002). This study aims
to measure a very specific dimension of “Conceptual Knowledge”, “Cognitive Ability” and
“Defined Creativity” within the context of design education.
2. Objectives
This study argues that existing instruments in measuring creativity are not sufficient for
objective measurement serving educational purposes. The central goal of this study is to
develop two new measurement scales to identify the cognitive ability in conceptual
knowledge (latent trait) of an individual’s creativity within a specific theoretical framework,
which includes definition of creativity, educational theory and measurement theories.
Research questions
Reflected from background and the scale development in psychometric measure, this
study asks four research questions as below:
1. What are the definition of creativity fit well the conceptual use for designers and
design educators?
2. What are the definition of creativity fit well the theoretical use for designers and
design educators?
3. What are the definition of creativity fit well the operational use for designers and
design educators?
Three research questions were constructed to evaluate the development using a
Four-Building Blocks approach of scales development. The research design will be
introduced in chapter 3.
Audience
This study is for two main groups of audience: 1) Design educators who are specialized in
enhancing the creativity of design students and 2) Design Professional who are
specialized in commercialized creative services and products. Creativity has been studied
for more than six decades by people from psychology to education researchers. The
development of instrument measuring creativity has changed from assessing onedimensional creativity to multidimensional creativity.
Boundaries of the study
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The focus of this study is to construct the measurement of creativity for educational use in
the context of design education. After having reviewed the existing instruments in
measuring the creativity, it is found that the purposes and measures are not mainly for use
for the design education. Three major measurement designs in creativity are applied:
open-ended items design (with no corrected answer), expert raters’ evaluation, and selfefficacy evaluation. The major limitation of these measurements is that they not designed
for objective measurement or with a repeat measurement perspective. The literature in
open-end items and expert raters’ evaluation are not included in this study. The reason is
that the constructs of latent variables of creativity not stable enough to report into scales.
Such as creative thinking, the scales may change as a result of the context or motivation.
The use of expert raters’ evaluation: in this study, for example, the raters’ effect reduced
the reliability in a small sample size and limited diversity in define who is a suitable review
expert.
In summary, the limitation of this study is that it is at a developmental stage for using two
new scales to validate the difference views between designers, design academics. The
finding of this study may be carried forward to another data analysis to discuss or further
investigate the differences from in cultural background of designers and design academics.
3. Literature review
3.1 The Nature of Creativity
Design and Creativity
Design is a problem-finding, problem-solving process, and the fundamental skills of a
designer are to look for meaningful problems, identify a framework within a context and
design a process to implement a creative solution (Dennis, 1981; Irwin, 2007). The trend
of present-day design has been to apply collaborative design from stakeholders and
organizations working together for a better system to improve user experiences (Brown &
Martin, 2015).
Numerous researchers have highlighted the significant role of design performance in
relation to applied creative thinking (Adair, 1990; Allen & Thomas, 2011; Doppelt, 2007;
Hong & Milgram, 2010) noted that creative thinking skills facilitate the design activities and
process in the context of design education. Lawson (2006) mentioned that the creative
thinking process develops the novelty of user experience. Boden (2004) coined the term
H-creativity, meaning that the result of original designs with a timeless quality for human
being are classified as H-creativity (Historical Creativity). Designs focused on personal
satisfaction are classified P-creativity (Psychological Creativity).
Constructs of creativity
What is creativity? The Noun “Creativity” first appeared from 1875 in printed form
(“Creativity”, 2009; Nelson, 2010). Kampylis (2010) listed the definitions of creativity from
1950 in the literature. He outlined the definition of 42 explicit definitions of creativity and
120 collocations related to “Creativity”. “Creativity is often defined as the development of
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original ideas that are useful or influential” (Runco, 2004). The literature on creativity is
frequently based on context.
3.2 The Paradigm shift of Creativity
General agreement from theories and practitioners in the field: Creativity is a multifaceted
phenomenon (Table 2.1). In the 1950s to 1960s the Mel Rhodes’ framework organized
creativity for study into four categories with overlapping elements (creative person,
creative process, creative product and creative press). Early programmes focused more
on developing personal creativity. Since the 1950s to 1960s, the creative process focused
more attention on steps, stages or repeating aspects of how people could get more
creative results. Synectics, Creative Problem Solving and Lateral Thinking were the
research focus. The process focus approach moved the creative process forward to
engage with problem-solving outcomes involving both person and process. Process
required tools to make divergent thinking popular for ideas generation. From the late 1970s
to 1980s, there was increased interest on creative press or environment. Teresa Amabile
(USA) and Goran Ekvall (Sweden) began looking for a more social, interactive approach
to creativity. The concept of creative products begins to receive attention from the 1990s
and beyond. Susan Besemer developed instrumentation and a theoretical framework in
basic concepts that identify the characteristics of creative products in general. This
concept has been applied in education and organizations and demonstrates an example
of how practice can lead theory. Runco and Jaeger (2012) addressed M. I. Stein’s work
and provided the first standard definition of creativity in 1953. Stein mentioned that the
definition of “creativity” should be “novel” and “useful”. Simonton (2012) echoed Stein’s
first two criteria and highlighted the third criteria “surprise” to advocate a three-criterion
definition of “creativity” to researchers. The research in personality has extended the
interest between motivation and creativity. Intrinsic motivation is a core characteristic of
creative persons (Amabile, 1996). Creative persons are intrinsically motivated to be
appropriate in handling the evaluation and constraints and demonstrate the outcome of
inhibited creativity.
A recent study by Anatonliy (2014) further explained the new direction of creativity
research, the construct of creativity. A four-criterion construct of the attributes of creativity
is novelty, utility, aesthetics, and authenticity. The new conceptual framework extended the
multidimensional creativity to the spiritual, cultural, social and political environment in
context.
In addition to this definition, interdisciplinary researchers defined creativity for specific
purpose and within subject domains as in the table below:
Two major directions from recent researchers provide extended interest in defining
“creativity”. First, a multifaceted definition of “creativity”, such as in classic definition “novel
and useful”; design creativity “novel, to be useful, to be surprising”; Second, researchers
tried to differentiate single facets of creativity into specific subject domains, such as BigC, Pro-c, artistic creativity, E-creativity … etc. The characteristics of creativity are diverse
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in purpose and context. Although, Abbott (2010) considered “creativity” in creative thinking
and creative performance to be stable traits. The constructs of creativity may be arguable
in the context of educational measurement.
Table 2.1 The Definitions of Multiple-Unidimensional Creativity
… “novel and useful”
Guilford, 1950; Stein, 1953; Rogers, 1954; Rhodes, 1961,
Mednick, 1962; Bruner, 1962; Koestler, 1964; Torrance, 1966;
May, 1975; Welsch, 1980; Amabile, 1983; Mumford &
Gustafson 1988; Vernon, 1989; Boone & Hollingworth, 1990;
Ochse, 1990; Mumford, Mobley, ReiterPalmon, Unlman, &
Doares, 1991; Csikszentmihalyi, 1996; Herrmann, 1996;
“Creativity”
NACCCE, 1999; Parkhurst, 1999; Candy & Edmonds, 1999;
(Classic)
Seltzer & Bentley, 1999; Eisenberger, Haskins & Gambleton
1999; Sternberg & Lubart, 1999; Corsini, 1999;
Csikszentmihalyi, 1999; Aleinikov, 1999; Cropley & Urban,
2000; Boden, 2001; Van Hook & Tegano, 2002; Feist & Barron,
2003; Ward & Saunders, 2003; Plucker, Beghetto & Dow,
2004; Pope, 2005; Sawyer, 2006; Runco, 2007; Barnes &
Shirley, 2009; Kampylis, Berki & Saariluoma, 2009;
(Kampylis & Valtanen, 2010)
… “Creative Person, Creative Product, Creative Process &
4Ps’ creativity Creative Press…”
(Rhodes, 1961)
Historical Creativity – “…where novelty is assessed in relation
H-creativity
to the history of humankind…”
(Boden, 2004; Runco, 2010; Runco & Pritzker, 2011)
Psychological Creativity – “…P-creativity implies novelty with
P-creativity
respect to the history of an individual…”
(Boden, 2004; Runco, 2010; Runco & Pritzker, 2011)
Situated Creativity – “…Relative to the situation that pertains
during the process of designing.”
S-creativity
(Runco & Pritzker, 2011)
Eminent creativity – Reserved for great
Big-C creativity
(Csikszentmihalyi & Du, 1999)
Professional – Level expertise that is not eminent.
Pro-c creativity
(Kaufman & Beghetto, 2009)
Everyday creativity – college students or children as
little-c creativity participants focus on every day and found in nearly all people.
(Amabile, 1996; Richards, 1990)
“Personal and inherent in the learning process”
mini-c creativity
(Kaufman & Beghetto, 2009)
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“…the application of information and communication
E-creativity
technology to support and enhance human creativity…”
(Eales & Sophie Nichol, 2006)
“…Technical skill could be conceptualized as an enabling
Artistic creativity basis for creative artistic performance.”
(Runco & Pritker, 2011)
“Novel, to be useful, to be surprise”
Design creativity
(Sarkar, 2011; Taura, 2010; Li, 2006; Runco, 2010)
Note: Encyclopedia of Creativity (2011)
It may not be possible to transform the hypothetical constructs of creativity into construct
descriptors or rubrics. For example, the construct of “novel and useful” is a
multidimensional creativity. Novel is a subjective concept that may be interpreted into
historical new or mental new within a person. Useful may be interpreted as helpful in a
specific context or time.
This study examines the constructs of two defined aspects of creativity, Pro-c and HPScreativity (H-creativity, P-creativity and S-creativity), and 4Ps’ creativity (creative product)
dimension.
3.3 Creativity in Design Professionalism
The chief editor of China Design, Fung (2009), listed FOUR major qualities of a
professional graphic designer in China. These include: 1) Ethics, 2) Communication, 3)
Creativity, and 4) Visual communication skills. Another professional graphic design
association in Ontario, Canada listed the major qualities of a graphic designer in
professional conduct (RGD, 2001). A study about the Hong Kong interior designer
certification of professional reported FOUR characteristics on a register for interior design.
The criteria included: 1) Theoretical Knowledge, An interior design related qualification, 2)
Code of conduct, 3) Performance of design and 4) Professional membership.
The qualities of a professional designer are diverse from different disciplines of design and
country. However, the similarities of the recognized design professional have two major
requirements: the design academic background and professional membership, and
current design practice. A general design expert may be defined as a design professional
with professional membership or design academic mainly creating leading knowledge in
conceptual knowledge or publications.
3.4 Creativity in Design Education
Wilson (2005) highlighted that measurement is defined as the assignment of numbers to
categories of observations. Measuring creativity is a progress to transform unobservable
ability, “creativity” (latent traits), into the properties of the measurement scale (nominal,
ordinal, interval and ratio). Educational measurement in creativity could be formative or
summative during the data collection. Most of the instruments for assessing creativity are
developed as summative assessments. The instruments are given periodically to
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determine, at a particular point in time, an individual’s level of creativity under specific
constructs and measurement scales. Few instruments can be used to measure pretest
and post-test assessments of creativity.
Ideas and the definition of good ideas are subjective to context and audience. Researchers
have addressed creative achievements as being revolutionary in different contexts such
as arts, science and technology, politics or economy (Amabile, 1996; Choi, 2012; Peters,
2010). Some researchers claim that not every idea, or even good ideas, are quantified as
“creative”; but every creative outcome can be traced back to good ideas (Goldschmidt &
Tatsa, 2005). Creativity and critical thinking are two main goals of education (Bleedorn,
2003). Thinking is traditionally defined as ability to reasoning systematically with logic and
evidence. Researchers (Carlos Montana-Hoyos & Fanny Lemaitre, 2011) argue that many
educational systems do not systematically develop thinking skills in students. Zhang (Zhu
& Zhang, 2011) conceptualized 13 thinking style into three types: 1) creativity-generating;
2) norm-favoring tendency; and 3) manifesting characteristics. Lawson (2006) explained
design as a creative process to create novelty or original ideas in terms of user experience
or new products under a traditional context or newly defined purpose. Design activities can
support a creative process which connects and forms a relationship between ideas and
possibilities. Beveridge (2004) argued that the common misunderstanding of equating
creativity with originality means that in fact very few absolute ideas are original. The design
process is a problem-solving process, which is an ability to apply creativity to see
connections and relationships for new possibilities or find a solution to existing issues. He
claimed that classic scientific research methods and design processes have a very similar
structure to inventions around problems and solutions. Design students actually implement
a scientific research method for creative problem solving in two years to four years of
design studies.
In the reality of design education, global design schools and institutes are aimed at
nurturing creativity of students from admission selection to jobs placement of design
graduates. Design students are expected to improve in different levels and dimensions of
applied creativity from creative problem-finding, creative problem-solving, creative output,
creative process, creative thinking, creative design, creative skill, etc. Fostering creativity
has become one of key objectives for preparing design students to be creative
professionals for local and global creative industries. Managing and improving learner’s
creativity will be a tangible asset in curriculum design (Clinton & Hokanson, 2011; Olawale,
Adeniyi, & Olubela, 2010). Specifically, a more reliable and valid instrument about students’
improvement of their creativity would be an asset.
The purposes of measuring creativity in design education involve assessing students’
ability across three majors domains: Cognitive, Affective and Psychomotor. Few studies
have investigated learning perspectives for constructing a measure for creative design
students. Design students are expected to produce creative ideas after the investigation
of new possibilities and needs from instruction (design brief). Lau (2012) noted that
students in design education need more training in how to be creative and that there should
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be a main focus on creating original designs during everyday assignments. Lawson (2006)
explained that design is a creative process that creates novelty for people to experience.
Amabile (1996) addressed THREE components creative performance: 1) domain-relevant
Skills; 2) creativity-relevant processes; 3) task motivation. Amabile highlighted that a
creativity-relevant process is a sort of cognitive process which enables individuals to
understand complexity of situations for problem solving. The cognitive domain in learning
theory provides educators with performance indicators and guidance when measuring
learning outcomes (Krathwohl, 2002). From the classic definition of creativity, “novel and
useful” are the key descriptive creative ideas (Kampylis & Valtanen, 2010). Measuring
creativity of students in an objective way seems to be a very challenging goal for general
teachers or even experts in creativity. A number researcher has investigated new methods
for assessing product novelty and product usefulness. The Function-Behavior-Structure
(FBS) Model was developed as an extensive work for classifying product characteristics.
FBS is defined as 1) Function: description of what a system does; 2) Behavior: description
of how a system does its function; and 3) Structure: description of the elements and
interface, and how they interact with the environment. Sarkar and Chakrabarti (2011)
proposed a SAPPhIRE Model which identifies the constructs of novelty of products in
seven components: 1) phenomenon; 2) state change; 3) effect; 4) action; 5) input; 6)
organs; 7) parts. From previous models of assessing novelty, it seems not easy for
multidisciplinary students to apply either the FBS Model or the SAPPhIRE Model for
evaluating a product’s “novelty”. For this reason, a new possible method for measuring
creativity of design students is investigated in this study.
The Concepts of Creativity
The discussion of defining the concepts of creativity continued in both the western and
eastern perspectives. The western concept of creativity is more focused on novelty and
the pragmatic aspects of problem solving; eastern concept of creativity has emphasized
inner growth, personal fulfillment, and aesthetic aspects of creative problem-solving
(Anatoliy 2014). Anatoliy distinguished between the West and East from two cultural
aspects of creativity, individualism and collectivism, serving a notion of an independent
and interdependent creativity culture. According to this perspective, the paradigm of
design education may have difficulty in aligning the expectation or judgment in a mixed
western and eastern city, Hong Kong, in considering the measurement of individual’s
creativity.
4. Research form and methods
In order to respond to the four research questions, the research design of the present
study adopted the literature research design follow the Four Building Blocks Approach
(Wilson, 2005) to create a new conceptual, theoretical and operational use of creativity
framework for designers and design educators. The creativities framework developed for
assessing the creativity of design participants.
Development of Creativity Concepts Inventory (CCI)
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A new conceptual and operational framework was implemented following the Four-building
Blocks approach for Creative Concepts Scales. The development progress is explained
as follows:
Table 3.2 Conceptual and Operational Framework of CCI
Conceptual & Operational framework of CCI in
Four-building Blocks Approach
(Two new conceptual development in measuring creativity of designers and
design educators)
Conceptual use (Tacit) of
Conceptual use (Explicit) of
Pro-c Creativity
HPS-Creativity Concepts
Construct
Map
(Conceptual
use)
Items Design
(Theoretical
use)
Outcome
Space
(Operational
use)
Common constructs: To Evaluate the conceptual knowledge of
Creativity
To create the construct map of
Pro-c creativity
To create the construct map of
HPS-creativity
The operations as below:
Stage 1: To clarify the constructs for two creativity concepts (Proc, HPS-c);
Stage 2: To define and create the item pool;
Stage 3: To set up the items panel from design experts;
Stage 4: To implement the pilot study and comment from items
panel;
Stage 5: To rewrite and reconfirm the items design.
The operations of consensus
from the design professional
group as below:
Stage 1: To validate the
contextual background of
design professional;
Stage 2: To calculate the raw
score from validated design
professional;
Stage 3: To suggest the
consensus model answers;
Stage 4: To recode all the
data for PROcK items;
Stage 5: To report the PROcK
in raw score and Rasch score
by groups.
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The operations of consensus
from the design academic group
as below:
Stage 1: To validate the
contextual background of
design academic;
Stage 2: To calculate the
agreement percentage of the
items from validated design
professional;
Stage 3: To suggest the
consensus model answers and
remove the weak consensus
items;
Stage 4: To recode all the data
HPScK items;
Stage 5: To report the PROcK
in raw score and Rasch score
by groups.
The operation of the data analysis:
Measurement
Stage 1: To report the contextual information in descriptive
Model
statistic;
(Psychometric
Stage 2: To report the developed scales in raw score;
scales)
Stage 3: To report the developed scales in Rasch score.
Characteristics of Creative Products
Function, Form and Ergonomic. Hernandis (2003) addressed the Systemic Model for
creating product innovation in the design process. In the context of industrial design,
product design is a structure based on systems and multiple relations of components
decision-making (See figure 3.7). The three influence factors proposed by Hernandis to
generate innovative design products are Function, Form and Ergonomic. These three
factors are adopted in this study for the item selection process. All chair items in the CCI
are expected to be easily understood for rating purposes by participants.
Figure 3.7: Systemic Model in Product Design (Hernandis, 2003)
5. Findings
Hypothetical Construct of Creativity
In a psychometric view, creativity is a psychological attribute that cannot be observed
directly. The nature of this attribute is often conceptualized as a hypothetical construct.
One of the distinctive psychometrics measurement, Rasch model (Rasch, 1960, p.117),
assumes that “a person having greater ability than another person should have greater
probability of solving any item of the type in question, and similarly, one item being more
difficult than other means that for any person the probability of solving the second item is
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the greater one”.
In this study, the major characteristic of the hypothetical construct of creativity will follow
the paradigm of the Revised Bloom’s Taxonomy (Bloom, 2001), the knowledge dimension
and the cognitive process dimension, evaluating the creativity concepts in the context of
design education. Therefore, a person with higher creativity may have greater ability in
evaluating creativity concepts. The knowledge dimension in the cognitive domain of
creativity provides a new possibility for measuring creativity in conceptual knowledge in
the CCI development.
Tacit and explicit knowledge in conceptual knowledge of creativity are the major
components in selecting the constructs of creativity. From previous literature, the
hypothetical constructs of creativity have not been well described for educational
measurement. There are two types of constructs in defined creativity. Firstly, creativity is
a multifaceted hypothetical construct (such as novel and useful, HPS-creativity). Secondly,
creativity is a disciplinary hypothetical construct (such as Big C, little-c creativity). Each of
those defined creativities is assessed on an independent hypothetical construct of a latent
trait.
This study discussed the nature of creativity, the constructs of creativity, the definitions of
creativity, the paradigm shift of creativity, the creativity in context, the characteristics of
creative product into a new conceptual and operational framework for designers and
design educators. The Creativity Concepts Inventory is proposed as an operational
framework for educational use. Designers and design educators may follow the operation
framework for curriculum development or assessment design.
6. Implications (for learning, research policy, practice, for networking)
This study is an empirical study of the scales development in measuring the creativity in
the context of design education. Before the data analysis, all the conceptual framework
and operation framework were abstract ideas to a beginning researcher.
The development of CCI is an interdisciplinary study across design education, educational
measurement and creativity. A four-stage scale development construct map, item design,
outcome space and measurement model were addressed in conceptual, theoretical and
operational framework to develop the CCI. The process is very sophisticated and
embedded into the context of educational measurement.
In the context of design education in general, the scope includes primary schools,
secondary schools, post-secondary colleges, design schools and graduate schools. The
educational activities involve design that fully covers all subjects in the curriculum or extracurriculum. The first criteria to evaluate the design outcomes are creativity and aesthetics
experience (problem-solving for design needs). 4Ps creativity addresses a clear structure
for creativity domains. Creativity is a major quality for all design learners in order to
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improve the delivery of ideas or purposes for everyday objects or for a business
environment and is an indicator of successful design. Applying creativity in arts, science
or business is related to sustainable development in the context of design education.
The current study explores the measurement of conceptual knowledge of creativity and
may support a paradigm shift towards knowledge-based creativity for design education.
Before the study, the literature provided a strong base in two directions: 1) the difficulties
in measuring creativity with an objective measure; and 2) the operation to obtain
consensus from expert raters for open-ended item and structured rubrics. The two
directions conclude that it is very challenging to measure creativity; previous strategies for
measuring creativity involved many experts and were timely and costly. Some concluded
that measuring creativity seemed impossible and not practical. This study began in 2003
and now the first milestone is completed and reported.
In education it is more straight-forward to report the improvement of learning in subjects
such as English or mathematics where the knowledge constructs are clearer, or in sports
or music performance which have a clear context. However, in design education, it is very
challenging to find a clear structure to explain the key construct of knowledge in design.
The purpose of developing a key construct of creativity may improve the process of design
education from user to professional level. In different professional contexts doctors,
engineers or accountants the structure of knowledge is more organized for the learners
or students. In general, more experienced professionals are more capable after years of
experience or academic study. However, in design education, I observe that the more
years of experience for a designer may not reflect their conceptual knowledge in creativity.
The findings seem to prove that some designers have a similar score with the general
public or are different from most design professionals and design academics.
The implication of the creating CCI frameworks is exploring two lines of knowledge-based
scales (Pro-c creativity and HPS-creativity). The possible contribution are: 1) how likely
the higher-order thinking skill, evaluating, from design professional and design academic
are different in Pro-c creativity; and 2) how likely the higher-order thinking skill, evaluating,
from design experts (professional and academic) and general public are different in HPScreativity. The finding may lead a new paradigm shift of assessing creativity in the context
of design education that creativities (Pro-c and HPS-creativity) are the knowledge-based
creativity under the cognitive process dimension.
7. Concluding Observations
With appreciation to James C. Kaufman (Henshon, 2010) who expressed that “the ideal
creativity measure has yet to be developed. The next wave of creativity researchers who
have grown up with computers and the internet, we will see some startlingly new ideas.”
This study follows Kaufman’s inspiration of creativity measure and the operational
guidelines of Mark Wilson (2005) to explore the new possibility of measurement in
knowledge-based creativity for designers and design academics.
214
Although this study is at the conceptual and theoretical stage. The operational assumption
is challenged by many educators and researchers. However, after having clarified a
process by following the structure of four-building block approach, a clear road map was
found. The major purpose of educational measurement and assessment is to support an
individual, a group, an activity, a course, a school, a community, or a country to improve
and follow a blueprint to achieve the ultimate goals. The experience of developing the
Creativity Concepts Inventory sustains my belief that the beauty of learning and teaching
come from curiosity and knowledge-based creativity. This is not the end; the next wave of
knowledge-based creativity research has just begun. A whole new development will be
supported by the internet and psychometric measures for education.
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Author’s profile (up to 200 words)
Dr LEUNG is an active psychometric researcher, design educator and design professional.
He is an chief examiner of HKDSE and certified trainer as Adobe Certified Educator (2011).
He is a Committee Member (Technical Advisor) of UNESCO Observatory for Research in
Local Cultures and Creativity in Education (RLCCE) (2011), Member of the Art Directors
Club (New York), Design Research Society (UK), National Council on Measurement in
Education (2011) and Psychometric Society (2012), Subject Specialist (2006-2012) in
Hong Kong Council for Accreditation of Academic and Vocational Qualifications, Certified
Assessors (Level 1 to 4) for Recognition of Prior Learning Scheme of Qualification
Framework by VTC (Publishing and Printing), Chairman of Hong Kong Design Community
(2010-2012) and Founder of Hong Kong Design Directory (www.designdirectory.hk). As
a beginning psychometric researcher in creativity, his key research area is studying "The
New construct of Measuring Creativity", effectiveness and scale development of
measuring students’ creativity, by objective measurement approach (Rasch Theory and
Items Response Theory). He is an editorial board member of Journal of Education and
Training Studies.
218
The Effect of Collaborative Computer Programming Education at the
Elementary School Level on Promoting Pupils’ Creative Attitudes
1Masakatsu
Kuroda, 1Jun Moriyama and 2Masanori Fukui
1Hyogo University of Teacher Education, Japan 2Hiroshima University, Japan
Email: d18702h@hyogo-u.ac.jp
Abstract
The purpose of this research is to verify the effect of collaborative computer programming
education at the elementary school level on promoting pupils’ creative attitudes. In Japan,
computer programming education at the elementary school level will become compulsory
beginning in 2020. These computer programming classes are expected to promote both logical
thinking ability and creative problem-solving in daily life. Therefore, creative attitudes—
creativity as an attitude promoting creative problem-solving—may play an important role. A
previous study by Shigemasu et al. (1993) pointed out that learners’ creative attitudes are
composed of six factors: flexibility, analytical problem-solving, entrepreneurship, cooperation,
perseverance, and imagination. In this research, we conducted classes in order to develop
robots aimed to solve problems in daily life, and we examined how creative attitudes changed
both before and after through the use of Shigemasu’s scale. In the classroom, pupils tried to
develop unique robots or machines that could solve various problems at school, in the home,
and in society, such as the development of an automatic baby-fence that allows mothers to
pass by, the development of a robot to support walking of the visually impaired, and so on. As
a result, pupils’ creative attitudes—such as analytical problem-solving, perseverance, and
cooperation—were significantly improved through these activities. From this result, the
usefulness of this kind of practice (namely, collaborative computer programing, including
problem-solving concerned with the real world) on promoting pupil’s creative attitudes was
suggested.
Keywords: Creativity, Programming Education, Collaborative Learning, Elementary School
Introduction
In Japan, the training of human resources who possess a logical thinking ability, creativity, and
the ability to solve problems is an urgent issue to examine in order to regain the industrial
competitiveness that Japan enjoyed in the past. In order to nurture these human resources,
further enhancement of the programming education is planned. Programming education in
Japan is not independent as a subject. Rather, it is equivalent to computing in the U.K. and
computer science education in various other countries around the world.
At the Ministry of Education, Culture, Sports, Science, and Technology (MEXT), an expert
opinion meeting was held from May 2016 to June 2016 about nurturing a logical thinking ability,
creativity, and problem-solving skills at the elementary school level in the form of programming
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education. In June of the same year, the “summary of the discussion at the expert opinion
meeting about programming education at the elementary school level” (MEXT, 2016a)—
hereinafter referred to as a summary of discussion—was reported. Furthermore, in December
of that same year, the direction of the revision of the next course of study guidance was
indicated in a report by the Central Education Council. Regarding programming education,
specific goals, contents, framework, etc. at each stage of elementary school, junior high school,
or high school education were clearly indicated (MEXT, 2016b). The content related to
programming education was clearly stated in the new elementary school curriculum guidelines
announced in March 2017 after various surveys and discussions, consolidations of opinions,
and so on, and it was decided that programming education will be compulsory at the
elementary school stage beginning in 2020. In the new course of study, emphasis is placed on
independent learning and collaborative learning (MEXT, 2017). This policy is a common policy
for all levels of education, and this also applies to programming education. Meanwhile, Abe
(2016) reports that various creativity levels of children in the elementary and secondary
education stages can be identified by using programming education for open-ended problemsolving. If we can see other transformations of learning attitudes through programming
education, Abe states that this will support the need for mandatory programming education.
In terms of nurturing creative talent, collaborative programming education at the elementary
school level is considered to be one of the most important educational activities. Also, at the
elementary school level, it is considered important to foster creative attitudes as the basis for
fostering creative talent. However, it is not yet clear what kind of influence that collaborative
programming education at the primary school stage has on the pupils’ creative attitudes.
Therefore, it is necessary to consider what kind of learning activity actually is effective for
enhancing pupils’ creative attitudes.
Objectives
The purpose of this research is to verify the effect of collaborative computer programming
education at the elementary school level on promoting pupils’ creative attitudes.
Literature review
Review previous research related to this research. First, attention is paid to research that
tackled creative problem-solving in programming education at the elementary school level. I
would also like to consider the direction of practical lessons in this research. We will pay
attention to previous studies on creative attitudes in order to examine the relationship between
collaborative programming education and pupils’ creative attitudes.
Previous research on programming education at the elementary school level
Mori et al. (2011) conducted 26 hours of lesson practice using Scratch for elementary school
fourth graders, reporting that over 80% of pupils were able to tackle work that included
complicated programming. Scratch is a programming language learning environment
developed by MIT Media Lab. The content of the learning activity was divided into four phases:
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searching for commands, drawing figures, creating works by individuals, and the production of
works in groups. We quantitatively analyzed the number of instruction blocks used and the
number of Sprites of the pupils’ work produced by the learning activity, and studied the pupils’
thinking during the programming. For the creation of works by individuals, an average of 39.7
instruction blocks (SD: 47.6) and an average of 5.2 Sprites (SD: 4.6) were used. In the group
work production, an average of 32.7 instruction blocks (SD: 16.1) and an average of 3.7 Sprites
(SD: 5.8) were used. Most of the pupils were satisfied with this learning activity.
Yamamoto et al. (2014) examined teaching processes in order to learn basic knowledge and
skills by utilizing Scratch and Lego WeDo to promote program learning with computers at
elementary schools. As a result of these lessons, pupils in the fourth grade of elementary
school acquired the basic knowledge and skills of the program. Also, the pupils were able to
overcome the problem of program creation. Through these studies, Yamamoto and colleagues
report that the pupils’ interest in the program has increased. In this research, we establish
automatic doors as an example of things controlled by programming in daily life and society
that is already familiar to the students. We are also implementing programming education with
fundamental control and the simulation of applied control as a subject. In addition, Yamamoto
and colleagues report that pupils’ interest in the program was increased in this research.
Wakana (2016) conducted programming education at a workshop for elementary school pupils.
This workshop was held for five elementary school pupils gathered through recruitment. This
workshop consisted of eight sessions in total. In the first two sessions, pupils developed a
scientific understanding of computers through unplugged computing. After that, pupils learned
about the basic principles and programming of the algorithm. Then the pupils took on the
challenge of programming with Scratch. Pupils used Scratch in order to work on issues such
as multiplication problem creation, graphics drawing, and making analog watches. Wakana
has said that during this workshop, the pupils cooperating and working on problem-solving was
of great value.
What is suggested from the lessons in these previous studies is that problems closer to the
pupils’ lives are effective for maintaining their interest. Also, collaborative learning is effective
in programming education. However, these previous studies do not mention the transformation
of creative attitudes. In this research, while referring to these previous studies, we plan a
learning activity in order to encourage pupils’ creative attitudes to grow and change.
Previous research on creative attitudes
Shigemasu et al. (1993) created a creative attitude questionnaire aimed at comparing the
creative attitudes of U.S. and Japanese pupils, respectively. In the preparation of this creative
attitude questionnaire, a factor analysis was carried out, and six factors were discovered. The
six factors are flexibility, analytical problem-solving, entrepreneurship, cooperation,
perseverance, and imagination. Flexibility creates a divergent perspective and divergent ideas.
Analytical problem-solving involves different viewpoints and approaches to the problem.
Entrepreneurship is the process of observing and discovering new and rare things.
Cooperation emphasizes the harmony of the whole group. Perseverance is an ongoing pursuit
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without giving up on the basis of your thoughts from discovery to the resolution of the problem.
Imagination is the ability to conceive of various new things and ways of thinking.
This creative attitude scale was not created for pupils at the elementary school level. However,
it possible to use it for evaluating the learning effect on the creative attitudes generated by a
programming education at the elementary school level. Therefore, in this research, we will use
the creative attitude scale to discuss the influence on collaborative programming education on
creative attitudes at the elementary school level.
Research form and methods
Lesson design
We conducted 15 hours of programming education in the Period for Integrated Studies. The
unit plan is shown in Figure 1. The unit plan consists of three stages. In the first stage, we
conducted learning activities in order to think about the existence of computers that are mainly
utilized in everyday life and society, as well as the programs controlling them. In the second
stage, learning activities were conducted in order to understand basic concepts of
programming and procedures of processing by using web content and the like. In the third
stage, LEGO WeDo 2.0 was used in order to create a robot for problem-solving for each group
and to complete the robot through repeated trial and error. Finally, we announced the results
of the learning.
Attributes of pupils and the timing of lessons
The pupils who took lessons in this research are 24 people (one class) attending public
elementary school. The age of the pupils was 10 to 11 years old. These pupils have never
undergone programming education. In the lesson, the first stage and the second stage of the
unit plan were conducted in February and March 2017, and the third stage in June and July
2017.
Teaching materials used
Code.org (Minecraft Adventure). Code.org is a website operated by a nonprofit organization
aiming to provide all people with the opportunity to learn computer science in the United States.
Code.org has a significant amount of web content that can be used for free in order to
experience the basic processing of programming at the second stage of the unit plan and to
use the content of Minecraft Adventure on the website. By using Minecraft Adventure, pupils
can experience the basic processing of programming step by step and at their own pace. We
set up an opportunity to acquire Computational Thinking using Minecraft Adventure at the
second stage of the unit plan. Through this learning activity, I aimed to form the foundation for
tackling the problem using Computational Thinking in problem-solving learning at the third
stage.
LEGO WeDo 2.0. We used LEGO WeDo 2.0 (WeDo 2.0 hereafter) in the third stage of the unit
plan. WeDo 2.0 can provide the experience of simple programming with an intuitive visual
programming application, and it also enables the control of robots formed by assembling LEGO
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blocks.
The hardware of WeDo 2.0 consists of a “smart hub,” input device, output device, and various
LEGO blocks. The “smart hub” is in charge of computing and control functions in the computer,
wirelessly paired with the device on which the programming application is installed. Then it
receives and executes the program created by the application. The "smart hub" has an LED
light built in and can emit light of any color, according to the program. There are also “motion
sensor” and “tilt sensor” input devices. In addition to this, voice input using the microphone of
the device in which the application is installed is also possible. As an output device, there is a
“DC motor.” On the device side, it is possible to indicate the rotation direction, rotation speed,
operation time. WeDo 2.0 comes with various LEGO blocks in addition to these. In the block,
there are gear parts and tire parts, etc. By combining these, various mechanisms can be
created.
The programming application of WeDo 2.0 can be installed on devices operating on OS such
as Windows, iOS, MacOS, Android, etc. Applications can be downloaded for free from the
LEGO education website. Program creation is done by combining instruction blocks.
Instruction blocks are color-coded for each role. Most instruction blocks are represented by
icons. There are also blocks that enter numbers and letters. However, difficult programming
terms and expert typing abilities are not necessary. Therefore, it can be used in a wide
developmental context.
In this way, WeDo 2.0 can be programmed with an intuitive interface. Also, the result of the
programming is teaching materials created in the form of the control of concrete things. In this
research, WeDo 2.0 was adopted in the problem-solving learning in the third stage from
hardware stability, robustness, software operability, etc.
Evaluation procedure
In order to evaluate the influence of collaborative programming education on the creative
attitudes of pupils, a survey using the creative attitude scale of Shigemasu et al. was conducted
before and after the lesson, respectively. The creative attitude scale consists of six factors and
75 questions. In the survey in this lesson—considering that it is for elementary school fifth
graders—we extracted four to 11 items respectively from the six factors and prepared the
following questions. The answer method was scored 4-to-1 in order according to the four
methods (very applicable, slightly applicable, not applicable much, almost none). Then, the
average and standard deviation were determined. The survey was conducted before and after
the lesson. Survey items are shown in Figure 2.
Findings
Status of creative attitudes of pupils
As a result of conducting a survey using creative attitude measures in advance, the following
results were generated for the six factors: flexibility (average of 2.51, SD 0.59, the same in the
following), analytical problem-solving (2.49, 0.61), entrepreneurship (2.73, 0.72), perseverance
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(2.83., 0.67), imagination (2.83, 0.62), and cooperation (2.85, 0.56). Relatively speaking, it was
confirmed that imagination and cooperation are high, and analytical problem-solving is low.
However, before the programming education lesson, the average value between the scales
fell within the range of 2.49 to 2.85, and it turned out that there was not much difference.
State of lesson
The first stage. In the first stage of the unit plan, we aimed to recognize computers and how
their work exists all around us. The first stage is also the stage of preparation for the problemsolving learning in the third stage. The impression of the computer before taking the lesson
was limited to “game” and “personal computer.” Therefore, it was acknowledged that it is
important to know in what place the computer is specifically utilized. First, the pupils conducted
learning activities in order to think about machines with built-in computers. In this learning
activity, it became clear that the pupils had the impression that “the computer is a machine that
outputs information from the display.” Then it became clear that computers that do not have an
output device such as a display cannot be recognized as computers. Therefore, we defined
the computer as “a device that enables automatic control of operation even if human beings
have not operated it for a long time.” Subsequently, the pupils performed activities in order to
separate machines that use computers and machines that do not. Then, many pupils became
able to see personal things in different perspectives than before. Many pupils discovered
through this learning activity that there are many machines controlled by computers. Through
this discovery, it was thought that motivation to know more about computers increased.
Next, we learned about the mechanism of control by computers, using vending machines as
an example. All of the pupils have used vending machines. However, it seemed that they had
never thought about the control mechanism involved. Through this learning activity, pupils were
able to understand the definitions of the terms “program” and “programming.” Also, in order to
understand the flow of processing by computers—such as inputting, computing, and
outputting—pupils conducted learning activities in order to think using games that were familiar
to the pupils. In that learning activity, pupils discussed inputs, calculations, and outputs in one
scene of the game.
The second stage. In the second stage, we aimed to understand the concept of basic
processing of computer programming using Minecraft Adventure. Minecraft Adventure can
centrally manage the pupils’ accounts. You can also witness the progress of each pupil. First
of all, sequential processing and iterative processing were explained. Then I worked on the
Minecraft Adventure through all 14 stages. The pupils soon understood the rules and then
cleared the stage. However, at the stage where iterative processing should be used, some
pupils had cleared it only through sequential processing rather than iterative processing. There
was a pupil who had a slight difficulty from stage 5, where repetitive processing comes out. In
this case, the pupil who was progressing more quickly voluntarily helped the troubled pupil.
Although some pupils felt that it was difficult, there was also interesting content, and most pupils
focused on the activities to the very end without losing motivation.
Next, the teacher explained the conditional branching process. Conditional branch processing
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should be performed unconsciously in everyday life. First, the teacher made the pupils aware
of the conditional branching process that the pupil was already undergoing unconsciously.
Then the teacher explained that the computer is using the same process. After that, the pupils
worked on Minecraft. Pupils who cleared all of the stages worked on different content on
code.org while the teacher focused on supporting the pupils who had not yet cleared. However,
the teacher instructed the pupils to think carefully at their own pace, and the pupils were made
aware that the visual programming experienced here could be utilized in the third stage.
The third stage. The third stage is the core phase of practical lessons in this research. We will
explore activities in order to solve familiar problems through computer programming using the
knowledge and ideas acquired so far. We aimed for a creative attitude to be fostered among
them. First, the teacher conducted an orientation in order to begin exploring activities to solve
familiar tasks with computers. In the orientation, the teacher introduced the purpose of the
learning activity, introduced the members of the group, introduced Lego WeDo 2.0, and
explained simple usage. And the pupils programed a simple robot with Lego WeDo 2.0 and
enjoyed the movement. At the elementary school level, the pupils understood that the
experience of controlling robots through programming was important. Next, the teacher
presented the challenges to be addressed, and then we asked each group to discuss which
task to tackle. The group consisted of eight groups, and each group consisted of three people.
We set problems to solve that could potentially happen to our pupils, and we felt that the pupils
were more motivated to make something useful for others than to make things that they would
only use themselves. The pupils proposed robots and devices that could solve the problems
that were presented by teacher. The following six robots and devices were proposed:
1. Model of an automatic baby fence that only adults can pass through
2. Model of robot to draw a dodgeball coat (two groups work jointly)
3. Model of robot to place hurdles at equal intervals
4. Model of a device to not soil the male toilet
5. Model of device to prevent dozing off while driving
6. Models of robots and devices supporting visually impaired people (two groups work jointly)
In addition, the teacher prepared a base model of the proposed robot and device, and the
pupils improved their base model. Pupils created from zero a program to operate each robot
or device. First, the pupils discussed what robots and devices they wanted to develop. They
identified the role of each pupil, the development schedule of robots and devices, ideas, and
so on. The teacher advised each group as appropriate (Photo 1, 2). Early in the work, each
group focused on the creation of hardware. Here, pupils created robots and devices by dividing
up the roles such as pupils taking out parts, assembling the device, and creating prototypes of
programs with software (Photo 3). To a certain extent, once the hardware has been completed,
it has entered the program creation stage, and there is only one terminal that can be
programmed in the group, so the pupils inevitably talked to each other and programmed (Photo
4). As the programming work progressed, there were groups that were not satisfied with the
functions that had been planned. Groups that worked on further improvements such as
effectively using sound have appeared. Other groups also began to imitate it. In the second
half of the lesson, some groups had to a certain extent completed their robots. These pupils
entered the stage of confirming the operation of the robot and devices. Even at this stage,
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pupils cooperated with each other in order to develop robots and devices. After three hours (45
minutes × 4) of development, each group was able to embody their original ideas. In the final
lesson, pupils gave presentations on the robots and devices that had been developed by each
group. Pupils practiced sufficiently before their presentations, and because of that, each pupil
presented confidently. After the presentation, pupils summarized the learning activities that had
been conducted so far (Photo 5). In this lesson, we wanted to convey the importance of
approaching creative attitudes towards one’s own life, personal belongings, and society after
learning through programming. Pupils realized that their ideas could be embodied through
programming, computational thinking, robots, and device development procedures. We felt
that this learning activity helped realize the pupils’ wishes.
Developed robots and devices
Model of an automatic baby fence that only adults can pass through. The motion sensor
is installed at a position unknown to a small child, and it works only when adults come near.
Also, it is programmed to open a fence from either side. You can open a fence even if you have
luggage in both hands. In addition, the pupils thought that it would be better to run the voice
guidance when the fence opens, and they implemented that function (Photo 6).
Model of robot to draw a dodgeball coat. Pupils created left and right units for each group.
It seems that it was somewhat difficult to integrate the programs in the two groups because the
programs were different on the left and right units. This robot is a pen attached in the center,
and it can draw a dodgeball coat on paper (Photo 7).
Model of robot to place hurdles at equal intervals. The function to accurately indicate the
interval of the hurdles is implemented. This robot moves automatically and instructs on where
to place hurdles with both voice and a light. When there is a response to the motion sensor, it
recognizes that the hurdle is to be placed. Then it moves to the position of the next hurdle. This
operation can be executed by specifying an arbitrary interval and the number of hurdles (Photo
8).
Model of a robot not to pollute the male toilet. This device is installed with the iPad at the
top of the urinal for men. When a person’s approach is sensed with a motion sensor, a voice
prompt stating “Please go a little closer” is executed. Pupils made further efforts to display
messages on the iPad. As a result, when the sensor senses that people are leaving, we
implemented a function that allows you to display the message reading “Thank you for using
the toilet cleanly.” (Photo 9)
Model of a device to prevent dozing off during driving. This device is worn on the head
with a rubber band or something similar. When a person falls asleep, the head approaches the
steering wheel and the motion sensor detects it, first calling attention with the sound of a voice.
Then the level of caution aroused by speech gradually increases. Ultimately, the rod connected
to the motor is designed to rotate in order to awaken the driver by producing physical impact
to the head (Photo 10).
226
Models of robot supporting visually impaired people. Pupils designed a guide dog robot
attached to a rope that guides a visually impaired person forward. This robot pauses when
there is an obstacle ahead, and can advance forward when there is no obstacle. Efforts have
also been made to be able to alert the user by voice when an obstacle is detected (Photo 11).
Models of device supporting visually impaired people. Pupils developed a device that can
grasp the surroundings—like a sonar—with the action of a motion sensor. This device is worn
on the wrist. The level of the warning sound varies according to the distance from the obstacle.
However, the pupils were not satisfied with that function. In actual use, they added a vibration
function with a motor according to the nearness of the obstacle to the arm (Photo 12).
The transformation of creative attitudes
Table 1 shows the results of the t-test (before and after) corresponding to the results of the
survey on the change of creative attitude. From the table, regarding cooperation, the
improvement of each factor was observed at p <0.01 level, while perseverance and analytical
problem-solving were at p <0.05 level. On the other hand, no improvement was observed for
flexibility, entrepreneurship, or imagination.
Pupil’s impressions
Various comments were obtained from the pupils, and here is an example of impressions
related to the factors of the improved creative attitude. First of all, in relation to analytical
problem-solving, a pupil stated: “I thought that this device (model of device to prevent dozing
during driving) could be used not only in a car but also in a train or in various situations when
everyone does not want to sleep. However, an accident may occur at the moment someone is
awakened by this device. I want to make it a better device, thinking about how not to do so.”
Another pupil stated: “In order to improve the robot that draws a dodgeball coat, like an
automobile, I thought that it would be nice to have four tires.” These impressions suggest that
pupils are thinking about analyzing and improving the robots and devices that they created.
Next, in connection with perseverance, a pupil stated: “I learned that computers can solve the
problem, and I would like to continue to solve various problems with computers from now on.”
Another pupil went on to say: “I had difficulty making a robot for solving the problem, but at the
end, it was good, because the robot was completed. I want to program even in my 6th grade.”
These impressions suggest the willingness to continue creative problem-solving and the
improvement of perseverance in terms of wanting to continue even if there is difficulty. In
relation to cooperation, a pupil stated: “I enjoyed thinking how to work with my teachers and
friends when I do not know how to solve the problem.” Another continued: “It was difficult to
match opinions in the group, but it was fun to think about how to solve it with everyone.” These
impressions suggest that pupils felt the pleasure of cooperating among other members of the
group in collaborative problem-solving learning.
Discussion
We examined the effect of collaborative programming education lessons at the elementary
227
school level on the creative attitudes of pupils. As a result, under the conditions of this research,
the improvement of three factors—analytical problem-solving, cooperation, and
perseverance—was recognized among six factors of the creative attitude scale created by
Shigemasu et al. Combined with the pupils’ behaviors and impressions in the lesson, the
results are suggested as follows.
Creative attitudes in which improvement was recognized (analytical problem-solving,
cooperation, and perseverance)
Analytical problem-solving. With computer programming, it is necessary to finely break
down the problem in order to solve the problem. It seems that attitudes attempted to analyze
the problem sharply, and in the process to grasp the structure of the problem accurately.
Furthermore, it is considered that analytical problem-solving has been improved by creating a
number of ideas to solve the problem, implementing the idea by programming, and verifying
whether the problem is appropriate in terms of solving the problem.
Cooperation. Since the concept of the class in this research is a collaborative learning activity,
it can be said that this result was to some extent predicted. Nonetheless, cooperation in
creative attitudes is not necessarily improved by simply performing group activities. The lesson
in this research are designed to have a wide variety of roles within the group, such as the role
of developers, hardware designers, and programmers, and the role of evaluating robots and
devices as users as well. It seems that these lesson designs may have improved cooperation.
Perseverance. In developing pupils’ creativity, attitudes towards perseverance are very
important. The open-ended problem-solving learning conducted in this research is a learning
activity that requires perseverance because of its very nature. However, perseverance does
not necessarily improve in an open-ended problem-solving learning. The point that seems to
be important is the response speed. When noting the pupils’ observations, it is thought that the
point in which their ideas are instantaneously realized by programming, and when the results
are reflected immediately, both lead to perseverance.
Creative attitudes in which improvement was not recognized (flexibility,
entrepreneurship, and imagination)
With regards to flexibility, entrepreneurship, and imagination, no improvement in these areas
was observed under the conditions of this research. It is difficult to clearly identify the reason
why these creative attitudes did not improve. One possibility is that the theme of the class was
limited to the “development of robots and devices to solve familiar problems.” Limiting themes
makes the learning goals clearer for the pupils, but it also means limiting the degree of freedom
of ideas. Regarding the lack of improvement in terms of flexibility, entrepreneurship, and
imagination, we cannot deny the influence of limiting the theme.
Implications
Under the conditions of this research, it was suggested that collaborative programming
education at the elementary school level had a certain influence on pupils’ creative attitudes.
228
Given the role required for developing programming education in Japan, this research could
present one model case for future programming education. In addition, there was nothing in
the previous research that focused on creative attitudes and creativity as a viewpoint of
learning in the evaluation of programming education. Therefore, it seems that this research
could propose a new way of evaluating programming education programs.
Concluding Observations
In this research, we implemented a programming education of 15-unit time periods (45 minutes
× 15) for the fifth grade of an elementary school (n = 24). We examined the effect of the
programming education on pupils’ creative attitudes. As a result, the following new findings
were obtained.
(1) Under the conditions of this research, the improvement of three factors—analytical
problem-solving, perseverance, and cooperation—was recognized among the six factors of
the creative attitude scale created by Shigemasu et al.
(2) Under the conditions of this research, improvement was not observed for the other three
factors—flexibility, entrepreneurship, and imagination—of the six factors of Shigemasu et al.’s
creative attitude scale.
However, there is a limit to this research. This research is a case study under very limited
conditions, and additional testing is necessary, including continued tracking of what kind of
learning activity in programming education affects each creative attitude by changing
conditions such as pupils’ grade, unit hours, group size, assignment setting, etc. It will be
required that all of these factors are analyzed in detail in a future project.
References
Abe, K. (2016). Discussion on the Way of Computer Programming Education: 3. Creativity of
Children and Coding for Learning. IPSJ Magazine, Vil. 57, No.4, Apr, 349-353.
MEXT (2016a). Summary of the discussion at the expert opinion meeting about programming
education at the elementary school level. Retrived July 21, 2018 from
http://www.mext.go.jp/b_menu/shingi/chousa/shotou/122/attach/1372525.htm
MEXT (2016b). Improvement of guidelines and guidelines for kindergartens, elementary
school, junior high school, high school and special support school etc. and necessary
measures etc. (Report). Retrived July 21, 2018 from
http://www.mext.go.jp/b_menu/shingi/chukyo/chukyo0/toushin/__icsFiles/afieldfile/201
7/01/10/1380902_0.pdf
MEXT (2017). Course of Study of elementary school. Retrived July 21, 2018 from
http://www.mext.go.jp/component/a_menu/education/micro_detail/__icsFiles/afieldfile/
2018/05/07/1384661_4_3_2.pdf
Mori, H., Sugisawa, M., Zhakg, H., & Maesako, T.(2011). Practical Study on Scratch
Programming Lessons for Elementary School Students - Rethinking Programming
Education at Elementary School -. Japan Journal of Educational Technology, Vol.34,
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No.4, 387-394.
Shigemasu, K., Yokoyama, A., Stern, S., & Komazaki, H.(1993). Comparison of creative
attitudes between American and Japanese students: A factor analytical study. The
Japanese Journal of Psychology, Vol. 64, No. 3, 181-190.
Wakana, H. (2016). Study of Programming Education for Elementary Students. Journal of the
Center for Educational Innovation, Nagasaki University, Vol.7, 35-40.
Yamamoto, T., Hatogai, T., Hironaka, K., & Satou, M. (2014). Proposed program of learning in
elementary school using Scratch and WeDo. Journal of Japan Society of Educational
Information, Vol.30, No.2, 21-29.
Appendices
230
Flexibility
Entrepreneurship
I am good at telling stories.
I am very curious.
When I am in trouble, I will soon find a solution.
We devise various ways to make life more convenient.
I can see from various standpoints.
I like new and rare things.
My mind is quick.
It is good to make things.
Associations float along one after another.
I want to make a wonderful thing that has never been
made before.
I enjoy intense discussions.
Cooperation
When acting in a group, I think that the "harmony" of the
group is important.
I think that it is very important to have a superior owe you
a favor.
There are abundant topics.
It is often said that people are individuals.
I have broad knowledge.
I often work in cooperation with someone.
It is often said that I come up with something that other
people cannot come up with.
When I do not know how to do something, I consult with
people.
It is good to find common points among different things.
If I see that people are in trouble, I often try to help.
Many people are asked how to solve a problem.
Perseverance
It is better to have a good idea.
If you concentrate, you can ignore your surroundings.
Analytical problem-solving
I am committed to everything.
Before solving a problem, I think carefully about the
structure of the problem.
Even if a problem is solved, I think about other better
ways of solving it.
I do not like to stop things halfway or do things halfway.
I do not give up on things easily.
When an idea comes up, I think about how to realize it.
I have firm opinions.
Before diving in head first, I think about the procedure.
Imagination
It is easy to divide a problem into several smaller
I am very happy to think about new things.
problems.
I believe that I have the ability to understand the essence It is better to do a variety of things than to concentrate on
of things.
one thing.
I like observing things in detail.
I often think about being special or different from reality.
I try to think about the essence of things.
I think that I am different from others.
I can understand the structure of things well.
Figure2. The questions that the creative attitude scale of Shigemasu et al. to the reference.
231
Photo 1. Pupils make plans to develop.
Photo 2. Pupils discuss the directions of
robot.
Photo 3. Pupils make device hardware.
Photo 4. Pupils try and error.
Photo 5. Pupils present robots and devices
developed.
232
Photo 6. Model of an automatic baby fence
that only adults can pass through.
Photo 7. Model of robot to draw a dodgeball
coat.
Photo 8. Model of robot to place hurdles at Photo 9. Model of a robot not to pollute the
male toilet.
equal intervals.
Photo 10. Model of a device to prevent
dozing off during driving.
Photo 11. Models of robot supporting
visually impaired people.
233
Photo 12. Models of device supporting
visually impaired people.
Author’s profile
Masakatsu Kuroda is doctoral student in Graduate School of Education, Hyogo University of
Teacher Education and primary school’s teacher in Minami-Awaji city, Hyogo, Japan. His
research interest is computer programming education at the stage of primary school,
technology education et al.
Jun Moriyama is professor, Graduate School of Education, Hyogo University of Teacher
Education. His research interest is computer programming education, technology education,
and educational technology et al.
Masanori Fukui is doctoral student at Graduate School of Engineering, Hiroshima University,
and Japan Society for the Promotion of Science Research Fellowship for Young Scientists
(DC1). Osaka Electro-Communication University, Kobe Gakuin University and Kwansei
Gakuin Senior High School Part-time Lecturer. His research interest is educational technology,
introductory computer programming education, and creative education et al.
234
Project generator as an instrument for the effective management of technological innovations
Adam Mazurkiewicz and Beata Poteralska
Institute for Sustainable Technologies – National Research Institute, Poland
Email: adam.mazurkiewicz@itee.radom.pl
Abstract
Research activity carried out at specialised R&D organisations is the source of many innovations,
developed mainly with a focus on implementation in business practice. The paper is devoted to
technological innovations understood as technologically new or improved products or processes.
The first stage of the innovation process comprises the generation of a set of possible innovative
ideas and projects. The extreme importance of this stage results from the need to select for
development only innovative ideas with potentially high chances of scientific and commercial
success. Their proper selection strongly determines the quality and usefulness of developed
innovative solutions, the possibilities of their practical implementation, and effective use of
available resources.
Taking into account a literature review and case studies and having in mind the importance of
methodologies supporting the project ideas generation, the paper’s authors propose an original
tool adjusted to the needs of R&D organisations. On the basis of their own experience in
generating, developing, and implementing innovations, while taking into account approaches
applied by scholars and practitioners, the authors propose a concept, methods, procedures, and an
IT tool that would enable the determination and choice of innovations that have potential for
development in an R&D organisation.
The initial project ideas, coming from results of scientific investigations, orders from industry, and
the results of foresight research are collected in an original project generator. Application of the
generator assumes the use of methods, co-developed by the paper’s authors, enabling proper
analysis of project ideas, including technology assessment regarding implementation maturity,
commercial and innovativeness potential, and executive capacity assessment including the
human, financial, organisational, and infrastructural capacity necessary for project execution.
The application of the project generator supported by the designed IT tool enables one to identify
new potential research projects and to select the ones with the highest chances for success. The
selected projects concern innovations that are considered as significant due to their scientific and
technological values, and possible economic and social benefits.
The paper presents the idea of the project generator, the way of its application and an example of
its practical use at the Institute for Sustainable Technologies – National Research Institute,
Radom, Poland, which is an R&D organisation involved in technology development and
implementation in the field of machine construction and maintenance.
235
Keywords: technological innovations, project generator, R&D organisation, technology
assessment, executive capacity assessment
1. Introduction
The significance of management for effective realisation of innovative processes determines the
dynamics of their development and application and is addressed by Rogers (1983), Rothwell
(1994), Edwards (2000), Bernstein and Singh (2006), and Taylor (2011), among others. Effective
management of research projects requires the development and application of tools, methods, and
models suited to various levels of management. The following processes are of key importance to
the management of innovative processes understood as creative actions that involve generation,
design, and the realisation of innovations:
Generation of the future-oriented research directions,
Generation of current research projects, and
Realisation of research projects and their implementation in economic practice.
The experience of the paper’s authors, who are involved in processes of innovation generation,
realisation, and implementation (Mazurkiewicz, 2009; Mazurkiewicz and Poteralska, 2015),
provides that an appropriate choice of potential projects in a way ensuring successful development
of innovations characterised by the application potential is a considerable difficulty. The use of
specialist methodological and IT tools is required for the effectiveness of such analyses. An
example of such a tool, applied on the stage of generating innovative research projects, is a “project
generator.” It is an original instrument developed by the paper’s authors which is used for the
effective management of technological innovations at R&D organisations. The project generator
helps to select projects with maximum chances of effective realisation, considering characteristics
of an innovation to be developed, including its implementation maturity, commercial and
innovative potential, as well as the available executive potential necessary to develop a
technological solution. A detailed assessment of a planned innovation is made possible by a set of
methodological tools, including the methods developed with a leading participation of these
authors.
2. Literature review
The importance of the stage of generating innovations indicates the need to apply tools supporting
its effective realisation. There is few publication devoted to the topic of tools of this type. An analysis
of existing tools supporting the generation of innovations (Bąk, et al., 2012, śuinger et al, 2014)
shows that the majority of them are used to aid in the development of technological solutions as
part of research projects. These are predominantly tool solutions that provide operational (chiefly
IT) support for the management of research and development processes.
A range of software and tools which have been developed and employed to initiate, plan, and
execute research and development projects can be successfully implemented in research
institutions. These include OrganisedFeedback, OneDesk, Strategiize™, or Accept360 (Bąk, et al.,
2012, Auinger et al, 2014). OrganisedFeedback (Bąk, et al., 2012) aids encouraging staff and other
236
parties concerned with disclosing innovation proposals, and it suggests ways of their undertaking
and realisation. The tools comprise surveys, fora, procedures of document management, analysis,
and reporting. OrganisedFeedback is designed for organisations wishing to mobilise a specific
community to submit ideas, and it ensures the gathering of concepts, the gaining feedback on such
concepts, and an analysis of their popularity with given client groups. OrganisedFeedback can be
successfully utilised by research organisations to conduct market research and surveys and to
collect opinions on concepts for novel research.
OneDesk (Auinger et al, 2014) allows users to have effective and structured real-time cooperation
with specific groups of interested parties, who assist with quick creation of products and services
ideally responding to market requirements. It also facilitates the identification of valuable
concepts and their implementation to bring maximum benefits. OneDesk offers a very broad
range of functionalities useful in the management of a research organisation. The project
management apparatus seems ideal for planning new research projects as well as controlling
those in progress and the effective use of resources in place. Combined with innovation
management software and ideas, it can greatly improve the efficiency of research organisations at
real-time cooperation and planning of research and development.
Strategiize (Bąk, et al., 2012) is a tool supporting the management of great numbers of projects.
The system collects data, orders ideas, creates reports, and gathers documentation. The software
is designed for both R&D organisations and corporations willing to invest in innovative products,
as well as individual inventors. It is intended for stages of project planning and realisation,
particularly in the management of many projects. It may aid planning schedules, budgets, and
resources in R&D projects. The option of creating progress reports, e.g., following structures
required by EU projects, is useful.
The objective of Accept360 (Bąk, et al., 2012) is to facilitate project planning and evaluation to a
maximum extent. It enables the planning and design of innovations, reduces and makes more
transparent the process of product implementation, and facilitates the perception and solution of
problems and conflicts at their early stages. The system can be adapted for purposes of R&D
organisations that pursue substantial numbers of projects and have complex structures. It allows
collecting and management of both innovation ideas and entire project portfolios. Therefore, this
makes it potentially useful for large interdisciplinary research organisations, because it allows the
control and administration of great numbers of projects.
Tools that mainly commercial businesses may find useful in their research and development
efforts include Target Idea Management, CorasWorks, Imaginatik, or Axon Idea Processor (Bąk,
et al., 2012, Rozwell et al. 2010). Target Idea Management (Bąk, et al., 2012) is an idea
management system that incorporates the idea of continuous improvement. Designed chiefly for
corporations, it supports the process of collecting innovative ideas. However, its part dedicated to
project management, task assignment, and the monitoring of their progress by managers may
also be taken advantage of by science and research organisations. Additional options in the
software comprise the arrangement of virtual meetings and briefings, and report generation.
237
CorasWorks (Bąk, et al., 2012) guides the full cycle of innovation management from the
emergence of an idea throughout its development and implementation. It encompasses modules
aiding project initiation, management, realisation, and contact with project stakeholders. An
advantage of the software is the possibility of integrating all projects in progress and managing
them from the position of a manager or a worker and the option of producing a full evaluation
summary of all indicators and results.
Imaginatik (Rozwell et al. 2010) has been built with organisations desiring to use the innovative
potential of all their stakeholders, both internal and external, regardless of their geographical
location, in mind. The software helps create a transparent path from the initiation to the
implementation of innovative projects based on systemic and procedural methods of management.
Its functional modules help to focus teams around the creation of project concepts, the evaluation
of ideas, and creating innovations via the possibility of changing the ideas presented – adding and
withdrawing particular solutions to and from the general discussion. This solution prevents the
construction of overlong lists of ideas, and a team is able to focus on those most innovative and
capable of being implemented.
Axon Idea Processor (Bąk, et al., 2012) supports processes of creating, communicating, planning,
and conducting research by providing a tool to systematise new ideas. This software does not
require knowledge of specialised methodologies and techniques, and it is simple to use and helps
to work with ideas. It is useful in the analysis of complex problems, additionally stimulating
creativity and the discovery of new developments and improving a researcher’s potential. śXON
Idea Processor structures the process of creative thinking by supplying tools that facilitate
problem solving and reduce the fatigue of creative thinking.
Other tools (Rozwell et al. 2010; Auinger et al, 2014; Evans et al 2016) serve in practice to aid
processes of innovation generation and then realisation as well. The systems discussed above take
advantage of organisational and IT tools yet fail to apply methodological tools to support
innovation development.
3. Research form and methods
The development and practical application of the project generator stems from an R&D
organisations’ need to improve the effectiveness of their innovative process realisation. The tool
serves the purposes of supporting the stage of generating innovations at an R&D organisation
and aiding the collaboration of such an organisation with its scientific and industrial partners.
When working on their project generator, the authors addressed results of the literature review
concerning methods of aiding processes of generating innovations and their own practical
experience of their application. The tools in place, which are mostly IT tools, have also been
analysed. The authors, while acknowledging the weight of operational support for processes of
innovation generation, propose to aid them by employing systemic methodological tools. They are
the following methods: foresight, technology assessment, and executing capacity potential. The
methods, suited to the purposes of generating innovations at an R&D organisation, have been
238
developed with leading involvement of the paper’s authors. The project generator introduced in
this paper is a key part of the authorial methodology of innovation generation, the first stage of
the methodology of supporting generation, and a realisation of technological innovations at a
research organisation.
This article presents the possibilities of using the project generator and instances of its practical
application to activities of an R&D organisation.
4. Findings
An original tool – the “Innovative project generator” (Mazurkiewicz and Poteralska 2018)
including an IT application as its operational element – has been developed and implemented as
a key element of the methodology of innovation generation, which is part of a broader methodology
of supporting the generation and realisation of technological innovations at a research
organisation developed with a view to aiding the process of technological innovation development.
The methodology encompasses the following stages: the generation of research problems that
result in the selection of topics for innovative undertakings, the development of innovations from
the conception to the stage of technical documentation, prototype, and the finished product, where
practical employment of results is possible, and the final stage of innovation development, which
is the implementation into economic practice (Fig. 1).
Fig. 1. Overall diagram of the methodology of supporting processes of generation and realisation
of technological innovations at a research organisation
Source: Authors
The project generator is a methodological idea based on the assumption of a close cooperation of
an R&D organisation with potential industrial partners consisting in gathering information about
the research needs of an economic milieu and suggested innovative undertakings. It serves to
monitor the process of generating and conducting research undertakings. The monitoring process
is enabled by the use of systematically collected information about innovative research
undertakings being prepared or showing potential.
239
For the needs of potential project ideas that are generated and gathered in the “project generator,”
a set of methods is applied, including methods of foresight, technology assessment, and executive
potential assessment. With the use of the methods mentioned, a set of proposals for futureoriented technological innovations as the starting point for decision-making related to the
realisation of research and implementation undertakings at a research organisation is gathered.
The project generator is an important tool used in the process of making decisions about which
technological solutions should be developed at a particular R&D organisation (Fig. 2).
Fig. 2. Methodology of innovation generation of a research organisation using the project
generator
Source: Authors
240
The first stage of the innovation process involves looking for ideas or concepts. This generation of
innovative solutions can be successfully aided with foresight, which is utilised in the process of
generating forward-looking research directions and technologies (Cuhls, 2003; Giesecke S., 2007;
Cadiou, 2003), and it helps to identify emergent development trends and weak signals as well as
explore the potential for their continued development and future significance (Saer et al, 2017).
Researchers and practitioners point out that foresight is an acknowledged tool for decision-makers
and managers to systematically explore, create, and test both possible and desirable visions of the
future for the purpose of supporting decision-making processes at the levels of institutions, regions,
countries, and supranationally, with particular focus on decisions concerning innovations
(Georghiou, 2003; Hines, 2002; van der Duin, 2006; Masini and Samset,1975). The utilisation of
foresight methods (Georghiou et al., 2008; Miles and Keenan 2003; UNIDO, 2005; Porter, 2010;
Popper and Korte, 2004) aids decision-making processes, because it somehow enforces the
anticipation of possible threats and opportunities and addressing ways of taking advantage of
emerging opportunities or dealing with expected difficulties (Giaoutzi and Sapio, 2013; Georghiou,
2003).
Foresight serves the initial identification of innovations potentially capable of being developed by
a research organisation. In connection with foresight undertakings at a research organisation,
macro analyses are conducted including reviews of the state of the art and analysis of foresight
projects realised by national and international entities, as well as micro analyses of technological
innovations already developed by a research organisation. An authorial set is applied of
quantitative and qualitative methods of research organisations’ corporate foresight (SacioSzymańska et al., 2015; Poteralska, 2012; Poteralska and Łabędzka, 2015, Poteralska, 2017).
Micro analyses are aided with technology assessment. Technological solutions that have been
developed and addressed as part of foresight by a research organisation are evaluated for the
possibility of creating future innovative solutions. To this end, solutions developed at the
organisation are assessed for implementation maturity, commercial potential, and
innovativeness. Modules of a complex system of technology assessment, prepared under the
leadership of the paper’s authors (Mazurkiewicz et al., 2015; Mazurkiewicz and Poteralska, 2012),
are employed in the process of evaluating technological solutions. The system is part of an area of
technology assessment for business requirements indicated in the literature and focussing on
technical and economic aspects that coexists side by side with the mainstream technology
assessment, where technology assessment addressing the social perspective (impact of technology
on society) is preponderant (Tran and Daim, 2008; Mazurkiewicz and Poteralska, 2014).
Technological solutions evaluated by means of the complex technology assessment system,
characterised by both innovativeness and market demand, are seen as potential sources of more
technological innovations to be analysed with the aid of foresight methods.
The commencement of innovative undertakings generated is conditioned by the existence of
necessary executive potential of the R&D organization or cooperating institutions (Teece et al.,
1994; Stabryła 2004; Pacholski, 2012; Schoemaker, 1993). Executive potential is understood as a
state of an organisation’s strategic and operational resources and competences that enables the
realisation of actions and supports the organisation’s development in future (Poteralska, 2018). ś
241
preliminary assessment of the executive potential of a research organisation where innovations
are developed and of its collaborating entities is also conducted as part of foresight.
Foresight results in a list of pre-identified innovations and potential projects that can be executed
by a research organisation. The foresight results are but one of the sources of innovation; however,
another source of technological innovations and topics for projects lies in innovations developed at
a research organisation before proposals stemming from industry requirements and cooperation
with research organisations as well as topics indicated in strategic regional, national, or
international documents. They are addressed in the project generator as well. Potential
innovation proposals gathered in the generator are reassessed for executive potential available at
the research organisation as far as executive and application capabilities of a project and the
selection of partners for project realisation and of parties interested in its results are concerned,
considering knowledge in a given field, experience with realisation of research projects, high
standing in a sector and standards of innovation and competences supplementing an
organisation’s resources, financial credibility, etc. The method of key technologies is then applied
as part of the pre-identification of technological innovations for the purposes of a research
organisation from among potential innovations generated in a given area. Key criteria are selected
for an organisation to this end that may encompass, for instance, scientific and technological
significance, compliance with strategic directions of a research organisation’s activities, as well as
economic and social benefits from applying innovations. The key criteria are addressed to select
potential innovations considered for realisation by a research organisation. Regarding individual
technological innovations selected by means of the key criteria, a detailed assessment is conducted
of executive potential available to a research organisation. This is designed to verify whether a
research organisation has the material, financial, human, and organisational executive potential
required to realise the pre-identified technological innovations and to implement them to the
economy. The material executive potential, especially the research infrastructure and human
potential, is of key importance to a research organisation’s executive potential, since it determines
the possibility of realising work at a research organisation. Material and human executive
potentials are a prerequisite to decisions to realise specific innovations. Financial and
organisational potential are added aspects. With reference to the particular innovations, potential
sources of financing their development are indicated that include international projects, national
projects, commercial contracts, the research organisation’s own financial resources, and an
enterprise’s financial commitment. In addition, the availability of organisational executive
potential necessary to realise identified innovations is analysed. The analyses enable a diagnosis
if a research organisation has the potential needed to develop innovations, to what extent an
organisation’s executive potential must be expanded or modernised to allow for work in a given
area to be conducted, and to indicate directions for expansion of the strategic executive potential
required to ensure a research organisation’s competitive standing in future. Results of this stage
help to compile a final list of technological innovations possible to take by an organisation.
Innovative solutions which are effective in application and commercial terms are recommended
for realisation, for which executive potential for effective realisation and implementation is
available at a research organisation or, if necessary, where an organisation’s own potential can be
supplemented with expert knowledge or research apparatus from external entities.
242
The proposals of projects and various types of research and innovation undertakings carry
different statuses that are dependent on the progress of work to start a research undertaking.
Proposals generated, among others, as a result of using foresight methods, business meetings with
industry representatives, study visits, scientific conferences and specialist publications, research
as well as development and application needs observed or discussed in the scientific and industrial
environment, are collected in a specialised database in the folder “New projects.” śt short-term
intervals, the proposals collected are analysed in terms of executive and application capabilities,
including, among others, confirming the willingness of an interested research group, an industrial
entity, or a group of industrial entities to cooperate on a given project. A letter of intent constitutes
grounds for future activities and determines subsequent tasks to be performed, i.e. recognition of
performance capabilities, staff, equipment, infrastructure, time, and financial capabilities (the
project gets the status: “Important”). In the case of failure to meet one of the above-mentioned
factors at a satisfactory level, the possibility is considered of supplementing identified deficiencies
in the structure of external substantive and organisational connections. Instruments of financing
viable in a given undertaking are then analysed. These primarily include direct financing of the
task from funds of an industrial beneficiary, or financing through available regional and national
research funding programmes, as well as a research organisation’s own means. Continued
interest of a third party in a joint undertaking and matching of potential financial instruments to
its unique nature are prerequisite to changing a project’s status to “Priority.” Tasks that did not
meet the requirements but can still be fulfilled in future are sent to the folder “Reserve.” On the
other hand, those projects that do not show prospects for implementation in a foreseeable period
of time are collected in the folder “śrchive of projects.”
Priority projects for which an execution formula was chosen are prepared formally and
substantively in accordance with the requirements of the procedure for their execution. For
projects with direct industrial financing, or joint funding by an R&D organisation and an economic
entity, and those that have been finalised as a result of competitive tendering for national or
international funds, a feasibility study, and required contracts that include matters of
confidentiality, intellectual property, a schedule of financing and implementation, as well as
partial and final acceptance conditions are prepared. Obtaining co-financing makes it possible to
start an innovative project’s execution.
243
Project generator
Fig. 3. Algorithm for use of the project generation
Source: Authors
244
In practice, the project generator is used for generating innovations and project ideas at an R&D
organisation – Institute for Sustainable Technologies - National Research Institute, Radom,
Poland (ITeE-PIB). As a result of its application, a list of potential technological innovations has
been created in the field of machine construction and maintenance including the following: surface
engineering, mechatronics, and optomechatronics, control systems, environmentally friendly
technologies, technical and environment safety technologies, and military production. Sources of
topics for potential technological innovations comprised the following: the results of Strategic
Research Programmes (Mazurkiewicz 2009; Mazurkiewicz, Poteralska 2010; Mazurkiewicz,
Poteralska 2015) executed in Poland, the state of the art in scientific disciplines, research topics
resulting from cooperation with industry and science, as well as the results of foresight projects
executed at sectoral, national, and international levels (Fig. 4).
Fig. 4. Sources of topics for potential technological innovations
Source: Authors
The proposed topics of research and implementation undertakings were assessed by means of the
criteria of key importance for ITeE-PIB, which is scientific and technological significance,
compatibility with the strategic directions of the research organisation’s activities. In addition, an
analysis was undertaken to determine which of them could bring commercial, economic, and
social benefits. Topics of interest to industrial partners and with chances of working on innovations
jointly with or ordered by such partners were addressed first of all. Furthermore, the project
proposals gathered in the generator were subject to initial evaluation for executive potential
required for their realisation. Available executive potential is a major aspect influencing selection
of technological innovations scheduled for development at the organisation. Material executive
potential, especially the research infrastructure in place, and human potential are of key
importance as part of the executive potential, since they determine the feasibility of efforts in
specialist areas of science and the practice of ITeE-PIB. The analysis proved that the material
executive potential necessary for the realisation of the generated innovations is available at the
research organisation. However, it was also found that the realisation of work in these areas of
research that would enhance their standard in line with development trends in science and
technology would require additional equipment with infrastructure of parameters adequate to
world-class standards. This signals the need to expand the strategic executive potential.
245
The presence of material and human executive potential was a prerequisite to decisions to realise
particular innovations. Additional aspects were related to financial and organisational potential.
Potential sources of financing development of individual innovations were indicated, including the
following: international projects, national projects, commercial contracts, the research
organisation’s own financial resources, and the financial commitment of enterprises. The analysis
also showed that the organisational executive potential necessary to realise identified innovations
was in place at the research organisation. However it could be insufficient to execute at the same
time all the undertakings considered, and requires development. The generated list of
technological innovations accepted for the development includes proposals for research and
implementation projects for which an executive potential is available in the research organisation
to carry them out effectively, or if necessary, there is the possibility to supplement their own
expertise by using expert knowledge or using external research equipment.
The process of innovation development is monitored through a systematic technology assessment
comprising implementation maturity, commercial potential, and innovativeness. On-going
technology assessment is carried out in parallel with the assessment of operational executive
potential. It enables on-going support for the process of innovation development and making
operational decisions regarding, for example, strengthening a specific type of potential.
Furthermore, in the case of significant problems with the development of the innovation, for
instance, the lack of a possibility to supplement the executive potential, it enables making a
decision to stop further work on the innovation. Apart from the assessment of the executive
operational potential, the strategic executive potential is also assessed, which is aimed at
indicating the areas where it needs to be expanded to make it possible to undertake the generated
research projects. On the other hand, results of on-going technology assessment are used for the
needs of generating new project ideas, because technologies characterised by innovativeness and
market demand are treated as one of sources for future projects.
The number of potential innovative projects generated with the use of a project generator shows
a dynamic upward trend. Among them, a limited number of the most promising ideas are selected
(Fig. 5).
Fig. 5. The range of subject matter of innovative undertakings generated with the aid of the project
generator
Source: Authors.
246
74 out of 163 proposals for potential technological innovations collected in the project generator in
the period from 2015 to 2018 were qualified for the stage of realisation. Relatively many, even
cognitively interesting, topics for innovative undertakings were abandoned as necessary executive
potential was absent from the research organisation and its cooperating entities or because the
proposed solutions exhibited insufficiently low levels of innovative or commercial potential, among
other reasons that could be identified due to the application of the proposed project generator and
the algorithm of its application.
5. Discussion
The authors of the project generator, while acknowledging the weight of operational support for
processes of innovation generation, propose to aid them by employing systemic methodological
tools. Since innovations commonly spring from efforts by specialised research organisations and
the authors, working for a research institute, have extensive experience in this area, a proposal
suited to conditions prevailing at research organisations is presented in this paper.
The proposed innovation generation methodology with a project generator as its key element, in
comparison to the existing tools supporting generation of innovations, provides not only
operational, mainly IT support for management of research and development processes like other
currently applied systems, but also a comprehensive system support enabling the selection of the
best innovative ideas analysed while taking into account numerous aspects, e.g., implementation
maturity, commercial potential, and innovativeness. One of its main advantages consists in
taking into account a wide spectrum of sources of innovations, including, among others, the needs
of enterprises, ideas resulting from cooperation with research organisations and universities,
innovations currently under development, and innovative research topics resulting from regional,
national, or international strategic documents. The process of generating innovations, while
taking into account innovation ideas from various sources, is carried out with the use of the
foresight methodology. Another important advantage of the methodology consists in applying not
only foresight and other future research methods but also technology assessment and executive
potential assessment to the process of generating project ideas, which increases the chance to
select for development only ideas with considerable chances of success. The application of the
project generator enables a multidimensional approach to the issue of generating project ideas
and aids operational decision-making processes by supporting the process of selecting innovative
technological solutions that can be developed successfully at a research organisation and stand
chances of being utilised in the economy. Furthermore, it enables the creation of new
interdisciplinary project proposals on the basis of ideas gathered in the project generator
representing different research disciplines. The application of the innovation generator
additionally supports the generation of an R&D organisation’s directions of development in the
most promising and forward-looking areas of research, thus aiding strategic management of an
organisation.
6. Implications for practice
247
The project generator is a useful tool supporting processes of innovation generation at R&D
organisations. In the area of management at the strategic level of an R&D organisation as a whole,
the application of the proposed tool helps to identify expected development directions of the
organisation in the short and long time-frame. With regard to innovations being generated and
considered for undertaking, in turn, this tool allows addressing a broad range of aspects essential
to the innovation process, including the future-oriented nature of technological solutions proposed
for development, market requirements, or the availability of executive potential. Its application
allows a dynamic approach to innovation development, e.g., delaying a decision to develop a
potential (reserve) project until necessary executive potential is rolled out. In addition, the tool
brings savings, because only projects with significant chances of success are undertaken.
Thorough and comprehensive analyses of innovations to be developed, even time and expenseconsuming, always cost distinctly less than the realisation of a project that will end with a failure
or will have to be discontinued.
The instance of successful implementation of the tool at ITeE-PIB reaffirms the utility and
effectiveness of its application for the purposes of supporting innovation generation processes and
the initiation of new undertakings at a research organisation.
7. Concluding observations
The proposed project generator, constituting an important element of the methodology of
innovation generation is a tool supporting the decision-making process concerning the generation
of undertakings aimed at the development and implementation of innovative technological
solutions including those in cooperation with industry. The application of the methodology aids
the management of the innovation generation process by means of foresight, technology
assessment, and executive potential assessment, and by including the project generator, a tool
solution that operationally and substantially supports innovation generation. The innovation
generation methodology is an important part of a complex system supporting the processes of
technological innovation generation and realisation at an R&D organisation, which has been
developed with leading contributions of the paper’s authors. The application of this methodology
supports the taking of strategic decisions to select research directions for an organisation and
develop its executive potential within a specified time-frame as well as operational decisions
related to work on a selected group of technological innovations.
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Authors’ profiles
Adam Mazurkiewicz - Prof., CEO – Institute for Sustainable Technologies – National Research
Institute, Radom, Poland. Manager and expert in research projects in the areas of systems
engineering (technology transfer, foresight), machine construction and maintenance, materials
engineering, mechatronics. Expert in international programmes (EU FPs, COST) and Polish
interdisciplinary research groups. Head of strategic national research programmes and
international research projects. Author of 300 publications including 22 monographs.
Beata Poteralska – senior researcher, PhD in economics, head of the Innovation Strategies Centre
in the Institute for Sustainable Technologies-National Research Institute in Radom, Poland.
Involved in execution of 64 research projects, including 24 international projects (Horizon 2020,
FP7, FP5, COST, INTERREG CE, POLONEZ, ERASMUS+) and 36 national ones. Author and
co-author of over 90 publications.
251
Methodology of supporting the development of technological innovations in
an R&D organisation
Beata Poteralska
Institute for Sustainable Technologies – National Research Institute, Poland
Email: beata.poteralska@itee.radom.pl
Abstract
Efficient management at all stages of the innovation process, including generation,
development, and implementation of innovations is necessary for effective development of
innovations. Among the tools that effectively support innovation processes, the following
ones can be indicated: future research, with particular emphasis on foresight, as well as
technology assessment, and executive capacity assessment.
State-of-the-art analysis and the author’s practical experience resulting from execution of
innovative projects have demonstrated the usefulness of individual applications of the
indicated tools for the purposes of supporting innovation processes. The analysis also
allowed for the identification of areas of potential mutual complementarity of tools.
Recognising the legitimacy of a fully integrated use of selected tools to support innovation
processes, the author has conducted in-depth literature studies aimed at identifying
theoretical models and practical examples of the combined application of the indicated tools.
The analysis showed that the joint use of foresight, technology assessment, and executive
capacity assessment in R&D organisations aimed at support for the processes of generation,
development, and implementation of innovations is a subject of few scientific analyses and
only a limited number of practical applications, and a complex system comprising the set of
three tools in question has not been proposed.
Against this background, the author proposes the development of an original methodology
based on the application of a triad of tools in an integrated and comprehensive manner for
effective support of the development of technological innovations.
The methodology refers to the process of technological innovation development including
the following stages: generating research ideas resulting in the selection of innovative
projects topics, the development of the innovation from the concept stage through the stage
of technical documentation, prototype, the finished product, and the final stage consisting in
the implementation of the innovation in business practice. At the stage of generating
technological innovations, foresight methods are used in conjunction with technology
assessment (assessing the level of implementation maturity, innovativeness level, and
commercial potential) and executive capacity assessment (assessing financial, material,
human, and organisational capacity). This stage is supported by an application of an original
idea and an IT tool – the project generator (described in the paper “Project generator as an
instrument for the effective management of technological innovations” also presented at
252
ICCI 2018). The phase of innovation development is supported by technology assessment
carried out at succeeding stages of innovation development and by executive capacity
assessment comprising operational and strategic capacity. Depending on the results of expost technology assessment and the availability of executive capacity, a decision is made
regarding the feasibility of implementation and the possible technology transfer mechanism.
Next, results of ex-post technology assessment are used in the process of generating new
technological innovations with the use of foresight.
The paper presents the original methodology of supporting innovative processes
management applied in practice with regard to generating and developing innovations in the
area of machine construction and maintenance, comprising surface engineering,
mechatronics, environmental technologies, and control systems.
Keywords: Innovation process, R&D organisation, foresight, technology assessment,
executive capacity assessment
1. Introduction
Effective development of innovations (understood by the author as new or modified
technological products or processes (Poteralska, 2018)) requires efficient management at
stages of innovation generation, realisation, and implementation. These problems have
been addressed by such management classics as Adamiecki (1970), Ansoff (1985), Drucker
(1976), Fayol (1947), Obłój (1986), Webber (1990), and Taylor (2011). Strategies of
employing innovations in organisation management have been of interest to a variety of
management schools beginning with Ansoff, who is regarded as the pioneer of the concept
of enterprise development strategy, and who identified four alternative directions of
innovative actions in the product–market area (market penetration and development,
product development, diversification) as early as the 1950s (Ansoff, 1957). The significance
of innovation was discussed by Drucker (1964) in the 1960s and by Peters and Watermann
(1982) in the 1980s. Despite the considerable recognition of their works, they have not been
directly applied to management practice. It was only the changes in the 1990s, when the
importance of and need for innovativeness grew and the world economy became global,
that gave rise to the necessity of searching for new, more effective strategies of
organisations. It was at that time that the idea introduced to the management science by
Drucker (1985) gained popularity that it is innovations, not growth of productivity or quality,
which constitutes the competitive edge. Tools used to support the processes of innovation
generation and development include the following: future research, mainly foresight,
technology assessment, and executive capacity assessment. Foresight is “the process
involved in systematically attempting to look into the longer-term future of science,
technology, the economy and society with the aim of identifying the areas of strategic
research and the emerging of generic technologies likely to yield the greatest economic and
social benefits” (Martin, 1995, 1996). Technology assessment is “a process of
comprehensive analysis of a technological innovation” (Poteralska 2018). There are many
different types of technology assessment (Van Den Ende et al, 1998, Kuhlmann 2002, Tran
and Daim, 2008). In the type conducted at R&D organisations technology assessment
253
concerns mainly technological readiness, but may also refer to other aspects regarding the
technology, e.g. its commercial or innovative potential (Tran and Daim, 2008). Executive
potential assessment concerns assessment of the potential understood as “the state of
strategic and operational resources and competencies of the organization enabling
execution of undertaken activities and shaping the development of the organization in the
future” (Poteralska 2018).
A new systemic approach to the application of the tools in question (Könnölä et al., 1994) is
enforced by the development of models of innovation processes from linear to interactive
ones (Rothwell 1994; Kotesmir, Meissner 2013). Changes in foresight studies and the
development of research methods in this field are also consequences of global changes in
recent decades involving economic, social, cultural, and other aspects (Krawczyk, Slaughter,
2010). Some authors (Hines, 2002) point out that, despite the unquestioned need for raising
standards of innovation, tools employed as part of foresight undertakings remain largely
traditional and require changes. The methods in place are insufficiently effective. Because
of their limited effectiveness new methods and new approaches need to be sought
(Rohrbeck, 2012). The same applies to the approach to technology assessment developed
since as early as 1960s, where new methods and models of technology assessment
continue to be developed and their applicability to a variety of contexts is analysed (Ely et
al, 2011; Bütschi 2014). With regard to executive capacity assessment of organisations, in
turn, the most extensive set of methods applies to enterprises while procedures for executive
capacity assessment of research organisations are also available (Jakuszewicz, 2015). The
need must be emphasised, however, for developing assessment methods of R&D
organisations’ executive capacity that is applicable in reference to innovation process
support. Moreover, it is necessary to develop these methods in conjunction with methods of
foresight and technology assessment. Mobilisation of executive capacity is necessary for
the purposes of foresight and the implementation of its results as technological innovations
(Keenan et al, 2002; McDowall, Eames, 2006; Salo, Cuhls, 2003; Georghiou et al, 2008).
The selection of forward-looking technological solutions is carried out in consideration of the
available executive capacity and is based on the results of assessments of innovative
solutions that have already been developed and become a source of research problems
addressed. Next, innovations being developed are assessed at successive stages of work,
also in combination with the analysis of required and available capacity, followed by an
analysis of practical applicability of solutions developed using results of technology
assessment and executive capacity assessment. In view of the mutual complementarity and
potential for complex application of indicated tools, it is reasonable to use them as a triad,
including foresight, technology assessment, and executive capacity assessment at the time
of generating, realising, and implementing innovative solutions. The author’s literature
reviews, case studies, and direct experience (Mazurkiewicz et al., 2013; Poteralska, SacioSzymańska, 2014; Sacio-Szymańska et al., 2015; Mazurkiewicz et al, 2015; Poteralska,
2017) in connection with the realisation and particularly the management of research
projects confirm such an approach as reasonable.
2. Objectives
254
This article is intended to present a methodology of supporting the generation and realisation
of technological innovations in an R&D organisation developed and implemented by these
authors. The methodology assumes integrating a triad of tools, i.e. future research
(foresight), technology assessment, and executive capacity assessment, which condition
the effectiveness of the innovation process. As part of the methodology, an original matrix
is adopted where the individual tools in the triad find their application at successive stages
of the innovation process. The methodology’s structure encompasses modules for the
particular stages of the innovation process: generation, realisation, and the implementation
of technological innovations. Methods and operational algorithms are proposed as part of
the modules in order to take advantage of the methodology for the purposes of realising
innovation processes in an R&D organisation.
3. Literature review
Experience shows that foresight, technology assessment, and executive capacity
assessment activities undertaken by scientific communities in a range of countries are
commonly independent one from another (Loveridge, 1996), although these areas of
innovative activities are interrelated. On the other hand, industrial organisations have the
practical ability of combining individual tools in order to select technological solutions of a
potentially high significance, both commercial and social (Kuhlmann, 2002). In enterprises,
actions for idea generation, the assessment of solutions developed, and the utilisation of the
potential in place are frequently integrated (Loveridge , 1996) and the need for their
interlinking is understood.
Combining the tools in the triad (foresight, technology assessment, and executive capacity
assessment) by R&D organisations to support the processes of generating and realising
innovation is the subject of few scientific analyses, with scarce instances of combining such
tools in practice.
There are theoretical analyses concerning the potential and reasons for combining the tools
in question, and attempts are also made to develop specialist models. Loveridge’s model
(1996) or proposed solutions combining foresight and another tool, i.e. technology
assessment or executive capacity assessment, to support the generation and realisation of
innovation, e.g., by Kameoka et al. (2004), Porter (1995), Rip (2002) and Kuhlmann et al.
(2002a), are some of the instances. Furthermore, foresight publications suggest that the
mobilisation of organisational resources is a pre-requisite of foresight projects and the
implementation of their results (Keenan et al, 2002; McDowall, Eames, 2006; Georghiou et
al., 2008). SWOT analysis is the method of executive capacity assessment most commonly
employed as part of foresight undertakings at national, regional, sectoral and corporate
levels (Sripaipan, 2006; Popper, 2008; Fleisher, Bensoussan, 2015; Nazarko et al., 2017).
A limited number of instances of linking technology assessment and the executive capacity
assessment of an organisation have been identified in the available literature. An example
is the approach to the process of technology assessment proposed by T. Daim et al. (2011),
taking into account aspects of the executive capacity assessment.
255
Apart from the theoretical analyses concerning the potential for and rationality of combining
selected tools from the proposed triad (foresight, technology assessment, and executive
capacity assessment), some isolated practical instances of such combinations occurring in
realized projects can be indicated. These include a German foresight undertaking
“Technologies at the Beginning of the 21st Century” (Grupp, 1993), as part of which reasons
have been identified for supplementing foresight methods with aspects of technology
assessment and a project executed in the United Kingdom (Improving, 1999) in which
foresight and technology assessment tools were integrated by combining quantitative and
qualitative methods with application of modelling. Regional foresight projects (Ziółkowski,
2013; Nazarko, Magruk, 2013) in Poland are examples of the practical application of
foresight and technology assessment methods in order to support decision-making
processes as well. Instances of executive capacity considered as part of foresight
undertakings include the evaluation of the so-called “industrialisation potential,” proposed
by Lucheng et al. (2010).
The analysis of the state of the art covering theoretical approaches, models, and practical
examples of combining foresight, technology assessment, and executive capacity
assessment tools supporting processes of generating, realising, and implementing
innovation has helped to identify, both in literature and in practice, only a limited number of
instances of such integrations. In practice, all the instances concerned combinations of two
out of the three tools analysed, most commonly future research, mainly foresight and
technology assessment. Attention must be drawn to the need for an integrated application
of these tools in order to boost the effectiveness of innovation processes, arising from
growing expectations of management structures, among other things. However, no single
way to integrate foresight, technology assessment, and executive capacity assessment
tools to optimum effect can be indicated. Each combination is dependent on the objectives
and scope of a decision-making process in place. No comprehensive systems of this type
are currently available for application in R&D organisations, and they need to be created and
their component tools must be improved. Improvement of foresight tools involves searching
for new, innovative approaches and methods. Considering technology assessment, a strong
need for continuing the development and application of more effective methods and systems
can also be observed. The development potential of these methods is palpable, which is
demonstrated by the extent of the changes they have undergone in the last three decades in
view of the growing complexity of innovation systems and the need to support processes of
action strategy creation, inter alia. In the case of foresight, forecasting has been substituted
by the creation of development visions and scenarios and support for active future creation.
With regard to technology assessment, a shift has taken place from identifying possible
consequences of applying a technology to an instrument enabling the determination of
possible positive and negative effects of a technology application providing an aid to
innovative process realisers with development and realisation of innovative products and
services. As far as executive capacity assessment is concerned, certain established methods
are applied to enterprise analysis. However, methods suited to unique requirements of R&D
organisations need to be developed that are aimed at the effective support of processes of
generating, realising, and implementation of technological innovations and at their integration
with the remaining tools in the triad, i.e. foresight and technology assessment.
256
4. Research form and methods
Systemic support for innovation development has been the subject of the author’s research
for years. Projects realised by the author or with her leading involvement have used tools
aiding the management of innovation processes, including future research, in particular
foresight, technology assessment, and executive capacity assessment. Practical experience
has demonstrated the utility of the individual application of these tools to support innovation
processes, and they have helped to identify areas of the mutual potential supplementarity
of the triad tools. Based on these analyses, attempts have been undertaken to combine the
tools as part of projects in progress. Acknowledging that it is reasonable to apply selected
tools to support innovation processes fully integrated into the triad, the author has conducted
an in-depth literature review to identify the state of the art and to analyse good practices in
this respect. The reviews of literature and case studies, as well as the author’s own
experience with the realisation and management of research projects have shown that it is
reasonable to apply the methods of future research, technology assessment, and executive
capacity assessment, but the study and experience have primarily highlighted the need for
their joint application in order to aid management of innovation processes. An absence of a
complex approach to the integration of the proposed tools, particularly in an R&D
organisation, has also been identified. Based on the in-depth literature review, the following
rules for the support of innovation processes have been formulated:
Complex support of decision-making processes related to innovation activities of an R&D
organisation is necessary for its effective operation. These include the following:
The indication of future-oriented research directions conditioning the development of
an R&D organisation in areas of strategic significance,
Assurance of the conformity of subject matter and the scope of innovation efforts with
operational executive capacity available to an R&D organisation,
Improving the effectiveness of processes of developing and implementing
technological innovations through the on-going consideration of results of the
assessment of technologies being developed and the analysis of available
operational executive capacity, and
Strengthening of an R&D organisation’s strategic executive capacity as a prerequisite to assuring its development in future.
Effective management of innovation processes requires their systemic support at the
subsequent stages of generation, realisation, and the implementation of innovations.
Integrated application of the tools of future research, chiefly foresight, technology
assessment, and executive capacity assessment is necessary for the effective
management of innovation processes.
These rules provided the foundation for postulating the research problem of developing a
methodology of supporting the generation and realisation of technological innovations in an
R&D organisation.
5. Findings
A literature review concerning research models and methods utilised in the framework of
257
foresight, technology assessment, and executive potential assessment, the possibility of
integrating these tools within the formula of complex models, an analysis of practical
instances of combining the tools as well as the author’s experience in generation,
management, and the realisation of projects using these tools (Mazurkiewicz, Poteralska,
2011; Koukios, et al, 2017) have helped to identify weak points of individual applications of
the particular tools, and the need and advantages of their integration and employment at all
stages of the innovation process. Furthermore, they have suggested that it is reasonable to
apply the tools in question within a formula of a complex, integrated triad of tools for the
purpose of effective support for innovation processes (Fig. 1).
Fig. 1. Application of the triad of tools: foresight, technology assessment, and executive
potential assessment, at the successive stages of the innovation process
Source: Author
Results of the analysis provided the foundation for proposing a methodology of supporting
the generation and realisation of technological innovations in an R&D organisation (Fig. 2).
The methodology encompasses three detailed modules as part of which tools of the triad,
i.e. foresight, technology assessment, and executive potential assessment, and they are
integrated and applied to the successive stages of the innovation process: generation,
realisation, and the implementation of technological innovations. There is an adopted matrix
approach where the particular tools in the triad are applied to the subsequent stages of the
innovation process.
As part of this methodology, foresight serves to generate technological innovations,
technology assessment to analyse the technological innovations in place regarding their
implementation maturity, and commercial and innovation potential, while the executive
potential assessment refers to executive potential required to carry out on-going work as
part of innovation development and implementation and for the strategic potential aimed at
enhancing the competitive standing of an R&D organisation in future.
258
ORGANISATION
METHODOLOGY OF SUPPORTING THE GENERATION AND REALISATION OF TECHNOLOGICAL INNOVATIONS IN AN R&D
Fig. 2. Scheme of the methodology of supporting processes of generation and realisation of
technological innovations in an R&D organisation
Source: Author
259
The module of generating technological innovation is applied to support, by means of
foresight methods, the process of generating proposals for research undertakings that are
priorities for an R&D organisation and designed to develop technological innovations
(equipment, technologies, systems, materials, services) characterised by innovativeness
and market demand on the one hand, evaluated by a complex technology assessment
system, and for whose development necessary potential is in place or is created in an
organisation using methods of executive potential assessment, on the other hand.
The module of technological innovation realisation is intended to support the stage of
developing technological innovations identified at the stage of generating innovations.
Within the module’s framework, methods of technology assessment are employed to
monitor the process of innovation development on an on-going basis and methods of an
R&D organisation’s executive potential assessment to foster the process of technological
innovation development with required potential. Results of the evaluation of technological
solutions under development are considered when new innovations are generated.
The module of implementing technological innovations is intended to prepare the process
of the practical application of solutions developed by an R&D organisation. As part of the
module, methods of technology assessment and of executive potential assessment are
employed by an R&D organisation to identify technological solutions that stand maximum
chances of being implemented in economic practice and to indicate proposed mechanisms
of technology transfer as primarily dependent on enterprise expectations and the available
executive potential of an R&D organisation. Results of ex-post assessment of innovative
potential and commercial potential of innovations developed are contributions to the
foresight process as part of the module of generating technological innovations aimed at
selecting more innovative technological solutions.
The following executive algorithms are used as part of the proposed detailed modules of the
methodology:
The module of innovation generation: an algorithm for identification of technological
innovations, project generator, algorithm for executive potential assessment of an R&D
organisation for the purpose of making decisions concerning the rationality of
commencing work on a technological innovation, and an algorithm for innovative
potential assessment and commercial potential assessment;
The realisation module of technological innovations: an algorithm for executive potential
assessment of an R&D organisation for the purpose of supporting the stage of innovation
development, an algorithm for implementation maturity assessment, and an algorithm
for innovative potential assessment and commercial potential assessment;
The implementation module of technological innovations: an algorithm for executive
potential assessment of an R&D organisation for the purpose of supporting the stage of
innovation implementation, an algorithm for implementation maturity assessment, and
an algorithm for innovative potential assessment and commercial potential assessment.
The proposed methodology can be supplemented with additional elements: methods or
algorithms if found essential to the processes of the verification of practical application of the
methodology.
260
The methodology is designed to support innovation processes in an R&D organisation. Its
application lends multidimensional support to the following processes:
Indicating future-oriented directions of the research conditioning development of an R&D
organisation in areas of strategic importance and identifying technological innovations
characterised by innovativeness and market demand for whose realisation necessary
executive potential is in place or can be secured;
Managing the realisation of processes of technological innovation development;
Developing recommendations for the implementation of technological innovations; and,
Indicating areas for the necessary improvement of operational executive potential to
allow for the development of selected technological innovations for whose development
the existing executive potential is insufficient and areas for improvement of strategic
executive potential in order to improve an R&D organisation’s competitive standing in
future.
The methodology is intended to support strategic and operational decision-making
processes in an R&D organisation with regard to the generation, realisation, and
implementation of technological innovations. Strategic decisions relate to the selection of
future-oriented research directions in an R&D organisation, responding to situations of
systemic barriers emerging at the time of innovation development and recommendations of
areas for expansion of strategic executive potential. Operational decisions relate to the
indication of specific technological solutions to be developed by an R&D organisation,
support for on-going realisation of processes of developing and implementing technological
innovations, and the selection of technology transfer mechanisms for economic applications.
The usefulness of the application of the methodology in an R&D organisation for the
purposes of supporting the realisation of innovation processes has been proven with their
implementation to the area of support for processes of generation, realisation, and
implementation of technological solutions in the field of machine construction and
maintenance comprising the following: surface engineering, mechatronics, control systems,
pro-ecological technologies, technical and environment safety technologies, and military
production. The methodology was applied in the course of generating, executing and
implementing research projects at the Institute for Sustainable Technologies – National
Research Institute in Radom, Poland. Data, which is constantly gathered in the “project
generator”, is analysed and used in the decision-making process by the researchers –
specialists both in technological and in management fields.
The methodology was used to generate a list of forward-looking and potentially feasible
innovative technological solutions, to prepare an operational plan of their realisation, and to
carry out the process of innovation development and preparation for implementation into the
economy. In addition, areas of desirable expansion of the R&D organisation’s strategic
executive potential have been identified and actions have been taken in this respect that are
necessary to enhance the organisation’s scientific and implementation status in the future.
6. Discussion
261
The methodology of supporting the generation and realisation of technological innovations
in an R&D organisation using a triad of tools, i.e. future research (foresight), technology
assessment, and executive potential assessment, integrated and applied at successive
stages of innovation development is an original approach to the problems of supporting
innovation processes.
Originality of the proposed methodology is demonstrated by the following:
Mutual integration of the tools: future research, chiefly foresight, technology assessment
and executive potential assessment;
Application of the triad at all stages of the innovation process: the generation of a
technological innovation, its development, and preparation to implement;
Proposed execution algorithms in the operational layer to be used as part of detailed
modules in order to support innovation processes;
The development of procedures of the assessment of operational executive potential and
strategic executive potential in an R&D organisation; and,
The verification of the methodology with regard to the realisation of innovation processes
in the field of machine construction and maintenance.
The developed methodology is characterised by a comprehensive character; whereas,
approaches described in literature fail to take into account the triad of foresight, technology
assessment, and executive capacity assessment at the successive stages of innovation
processes in an integrated manner.
In connection with foresight undertakings described in the literature, the need is indicated to
address certain aspects the authors believe technology assessment can serve to analyse,
namely, the consideration of technology characteristics, the market, and other requirements,
e.g., environment requirements or social issues. Expert analysis of these aspects is carried
out for the purposes of foresight. In addition, the methods of technology assessment
described in the literature show only indirect links with future research used to generate
technological innovations without directly referring to, e.g., foresight, which is an undoubted
loss as foresight research, a source of innovative subject matter for research, should utilise
the assessment results of technological solutions already realised and currently developed.
The methods of technology assessment applied until now attach highly limited attention to
the importance of executive potential, which is a pre-requisite to development of
technological innovations. If executive potential is taken into account, which is not a
universal practice, it is as isolated criteria as part of technology assessment. Those involved
in the realisation of foresight undertakings point to the need to address the existing executive
potential as an element affecting the selection of foresight methods to be applied to a given
undertaking, on one hand, and to the need to expand the potential as a pre-requisite to an
effective process of developing innovations generated using foresight, on the other hand.
However, the literature fails to offer complex approaches to linking foresight and potential
assessment. The methodology advanced in this paper proposes a complex approach that
involves the integrated application of foresight, technology assessment, and executive
capacity assessment at the succeeding stages of innovation development. Assessment
methods, project generator, and executive algorithms are employed to apply the triad’s tools.
262
7. Implications
The application of the methodology considering the triad of tools at the successive stages
of innovation processes conducted at an R&D organisation in an integrated way allows for
multidimensional support of innovation development in the following ways:
It improves the effectiveness of the generation, realisation, and implementation of
technological innovations by addressing a broad range of issues influencing the
development of innovations, including the following:
The identification of future-oriented directions of research and feasible technological
innovations;
The constant monitoring of innovation development processes by means of on-going
technology assessment (implementation maturity, commercial and innovative
potential) and in consideration of the available executive capacity – material, human,
organisational, and financial;
The preparation of implementation processes of innovations developed in economic
practice using the results of ex-post technology assessment (implementation maturity,
commercial and innovative potential) and executive capacity assessment;
Addressing the results of ex-post technology assessment (implementation maturity,
commercial and innovative potential) to initiate another process of innovation
generation using foresight.
It aids in the following strategic and operational decision-making processes:
Strategic decisions that apply to the selection of research areas to be pursued by an
R&D organisation and to the identification of needs and areas for the expansion of
the existing strategic capacity of an organisation;
Operational decisions related to day-to-day realisation of processes of developing
and implementing technological innovations, including the commencement or
discontinuation of work aimed at developing innovations and the choice of technology
transfer mechanisms.
It aids the following types of the development of an R&D organisation’s executive
capacity:
Operational – necessary for current realisation of innovation processes, and
Strategic – key to improvement of the organisation’s competitive standing in future.
The usefulness of the methodology to support innovation processes at an R&D organisation
has been proven by its implementation to realisation of strategic research undertakings in
the area of aiding the generation, realisation, and implementation of machine construction
and maintenance solutions. The proposed methodology served to generate a package of
innovative solutions finalised as a strategic national research and development programme
in the area of machine construction and maintenance. An operating plan of its realisation
was compiled and the processes of innovation development and preparation for
implementation in the economy were carried out.
8. Concluding observations
The cognitive efforts and practical experience have helped to arrive at the following
263
conclusions regarding support of innovation processes at an R&D organisation:
The management of innovation processes can be effectively supported by the integrated
application of a triad of tools (future research, particularly foresight, technology
assessment, and executive capacity assessment) using a set of operating algorithms in
place.
The complex use of the triad’s tools at the particular process stages helps to improve the
effectiveness of the processes of generating, realising, and implementing technological
innovations conducted by an R&D organisation.
The use of the project generator and the remaining algorithms support the realisation of
innovation processes at the operational level.
Benefits from integration of the triad tools have been reaffirmed with an actual
implementation of the methodology in practical innovative strategic undertakings in the
field of machine construction and maintenance.
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Author’s profile
Beata Poteralska – senior researcher, PhD in economics, head of the Innovation Strategies
Centre in the Institute for Sustainable Technologies-National Research Institute in Radom,
Poland. Involved in execution of 64 research projects, including 24 international projects
(Horizon 2020, FP7, FP5, COST, INTERREG CE, POLONEZ, ERASMUS+) and 36 national
ones. Author and co-author of over 90 publications.
267
Entrepreneurship, Capability Accumulation, and Transformation of Taiwan’s Yacht Maker –
Ascending Horizon Group
1Jhih-Sian Sun and 2Ho-Don Yan
1National Kaohsiung University of Science and Technology, Taiwan
2Feng Chia University, Taiwan
E-mail: hdyan@fcu.edu.tw
Abstract
This paper proposes an analytical framework to study the dynamic of a small firm grows into a global
enterprise by incorporating growth stage model and strategic factor analysis. Strategic factors are
associated with three main research fields on wealth-creation firms: entrepreneurship (opportunities),
strategic management (capabilities), and leadership (vision). The growth stage of a successful firm is
divided into four stages, which include initiation, expansion, maturity, and diversification. Taking stock
of Horizon Group as a case we examine how Horizon, under the leadership of John Lu, has grown
and transformed into Asia’s number one yacht maker by demonstrating its strategies of opportunity
discovery, capability accumulation, and transformation at each stage on its growth path.
Key word: entrepreneurship, industrial cluster, strategic management, leadership, growth stage
model
1. Introduction
In the 1970s and the first half of the 1980s, Taiwan was praised as the “kingdom of yacht” with its large
number of yacht exports (mainly small-sized yachts). However, since the middle of the 1980s, with the
oil crisis and the imposing luxury tax on yachts in the U.S., local yacht markets were dealt a heavy
blow and many shipyards closed. Taiwan’s yacht makers have managed to transfer into producing
mega-yachts (80 feet or longer) and Taiwan has been ranked as the largest mega-yacht producing
country in Asia for decades, according to ShowBoats International (2017).1 Currently, there are about
30 yacht makers in Taiwan, shrinking from the heyday of more than 100 makers in the 1980s, but their
total production value has risen due to their transition into design and production of large-sized yachts
(Chen and Wu, 2015). Within them, 10 yacht makers are capable of producing mega-yachts (Fwu,
2013).
How Taiwan could transform into being a mega-yacht producer has drawn few attentions. Chen and
Wu (2015) analysed that clustering effect in the southern Taiwan of Kaohsiung is the key driving force
for the success of Taiwan’s yacht production. Cheng (2011) argued that it is mainly due to taking
advantage of adopting flexible specialization, which refers to a production model that relies upon highskilled craftsmen who can instantly respond to rapid market changes through learning and adapting
(Piore and Sabel, 1986). By incorporating the concepts of entrepreneurship, clustering effect, and
1
There are different length ranges for classifying luxury yachts. Fwu (2013) classified the length range of 80-100 feet (20-30m) to be a
large yacht, 100-130 feet (30-40m) to be a mega-yacht, and over 130 feet to be a super yacht. Fwu (2013) argued that 80-130 ft (megayacht) is Taiwan’s advantage.
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flexible specialization, Sun and Yan (2018) ascribed four factors contributing to the competitive
advantages of Kaohsiung’s yacht cluster: the close-knit social network, flexible capability of
customization to order, co-existence of contracted and corporate workers, and superior craftsmanship
with improvisational ability.
Clustering effects indeed merit for embedded firms to grow. However, each firm is different due to the
disparity in the business environment, local culture, and organizational structure. In a dynamic and
ever-changing economy, not all firms are able to survive, let alone grow into big enterprises. According
to Taiwan’s Small and Medium Enterprise Administration (SMEA, 2008), among all SMEs, 7.52% of
them have been open under one year, and only 19.59% of them have lasted over 20 years. Rarely
can fledging businesses evolve into large, long-lived corporations, or transform from practicing original
equipment manufacturing (OEM) to original branding manufacturing (OBM), as can be observed in
many corporations of emerging market economies (Bhide, 2000; Yan, 2014).
Unlike those studies of clustering effects on a group of firms embedded in the cluster, this paper
contributes to propose an analytical framework to demonstrate how an individual firm can initiate its
adventure, accumulate its capabilities, and transform into a global enterprise. This conceptual
framework is based on drawing three main research fields of strategic factors adopted widely for the
wealth creation of firms, namely entrepreneurship (opportunity), strategic management (capability),
and leadership (value). We take Horizon Group, the largest yacht maker in Asia, as a case in this
study. The analytical framework also incorporate horizontal time position for growth stage, which can
be divided into four stages, namely initiation, expansion, maturity, and diversification (Hanks et al.,
1993). Using a growth stage model merits to provide a guideline to show how a small firm could go
through challenges and transform to a global firm. At each stage of the firm’s growth path, three
strategic factors are essential, although each factor weighs disproportionally at the different stage.
The rest of the paper is organized as follows. Section 2 reviews the literature relevant to wealth creation
of firms consisting mainly of three researches field, namely entrepreneurship, strategic management,
and leadership and then proposes an analytical framework, incorporating the growth stage model to
study the firm growth and transformation. Section 3 employs the stated conceptual framework to
explain how Horizon Group initiates, grows, and transforms into a leading mega-yacht producer in
Asia. Section 4 is the conclusion.
2. Literature Review and Research Methodology
The purpose of organizing a firm is to facilitate wealth creation, which relies upon three strategic factors:
opportunity, capability, and value. These three strategic factors have been correspondingly studied
under three main research fields: entrepreneurship, strategic management, and leadership (Kirzner,
1973; Porter, 1990; Hitt et al., 2001; Ketchen et al., 2007). Entrepreneurship focuses on opportunity
discovery and new venture creation (firm formation); strategic management seeks growth for an
existing firm by accumulating capabilities and creating competitive advantages (firm growth); and
leadership is about value and change, and therefore emphasizes how to transcend the firm to a better
and bigger frim (firm transformation). In the following, we first review the literature of related research
fields and then delineate how we integrate these three research fields into the stage-growth model to
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conceptualize our analytical framework.
2.1 Entrepreneurship, Strategic Management, and Leadership
While entrepreneurship, strategic management, and leadership are all essential driving forces for firm
formation, growth and transformation, and represent three strategic factors helping create wealth for
the firms although each emphasizes differently. As argued by Alvarez and Barney (2007), any
entrepreneurial activity requires many skills and resources, which usually involve leadership, strategic
planning, and competitive advantage creation. Notwithstanding, with each research field extending
their research scope, there has been a surging trend of incorporating and cross-pollinating different
research fields to enrich our understanding of the firm’s performance.
Entrepreneurship: Entrepreneurship starts from opportunity discovery, or what Kirzner (1973) notes
as “alertness to hitherto undiscovered opportunity.” Alvarez and Barney (2007) propose two types of
behaviour of opportunity: opportunity discovery and opportunity creation. The former involves the
possibility of putting resources to better use or discovering new solutions or new needs or doing things
right. For the latter, opportunity creation is connected with true uncertainty, in which entrepreneurs
engage in a learning process marked by a gradual investment of resources and attempt to persuade
others to change their vague and unformed aspirations into tangible products or services, or new
markets, or in selecting the right things to do. Corresponding to different forms of opportunity
identification, two types of entrepreneurial behaviour are defined: imitative (or adaptive)
entrepreneurship and innovative (Schumpeterian) entrepreneurship (Yu, 2001; Baumol et al., 2007).
Apart from the newly created firm, an existing firm also needs to discover or create opportunities to
survive and to grow, as corporate entrepreneurship predicates (Colvin and Miles, 1999; Ireland et al.,
2009).
Strategic management: The field of strategic management has contributed immensely towards
studying how an existing firm grows by creating its competitive advantages (Porter, 1990). A firm’s
competitive advantages depend on whether it is able to create a bundle of rare, valuable, and nonsubstitutable resources (Barney, 1991; Peteraf, 1993). Teece et al. (1997) emphasize that capability
accumulation is the prime concept for strategic management research. Lee and Teece (2013) further
stipulate that there are two types of capabilities: ordinary capability and dynamic capability. Ordinary
capabilities involve operations, administration, and governance, which are rooted more firmly in
routines, like a repeated action sequence, and help a firm to perform basic business functions with
efficiency. In contrast, dynamic capabilities are higher-level competences that determine a firm’s ability
to integrate, build, and reconfigure internal and external resources/competences in order to address
and shape changing business environments (Teece et al., 1997; Teece, 2017). Ordinary capabilities
are about doing things right and help generate stable cash flows, while dynamic capabilities are about
selecting the right things to do and help determine the longevity of the firm (Lee and Teece, 2013).
Leadership: The study of leadership has a long history, and like that for entrepreneurship, definitions
vary depending upon the situation (Yukl, 1989; House and Aditya, 1997; Cogliser and Brigham, 2004;
Fernald et al., 2005). The literature has mostly discussed two disparate types of leadership:
transactional leadership and transformational leadership (Burns, 1978; Bass, 1985, 1990; Vera and
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Crossan, 2004; Jansen et al., 2009). Transactional leaders provide stable, risk-averse leadership in
exchange for followers’ efforts and performances, and therefore they generate stable profits (Howell
and Avolio, 1993). In contrast to transactional leaders who are less willing to go beyond their job
responsiveness to try out innovative ideas for the organization’s benefit, transformational leaders
provide inspirational motivation and intellectual stimulation for followers in the organization, thus
creating a vision for the future that is meaningful and challenging (Bass, 1990; Avolio, 1999; Mariano
et al., 2014).
While there appears to be three independent research fields, it is common to find the attempt to
integrate each of these three research fields when studying firm performance. Strategic
entrepreneurship, which integrates both entrepreneurship and strategic management - the former
emphasizes opportunity-seeking, while the latter stresses the importance of advantage-seeking merits sustainable growth for a firm (Ireland and Hitt, 1999; Ireland et al., 2003; Kuratko and Audretsch,
2009). Rowe (2001) and Vera and Crossan (2004) discuss strategic leadership by linking strategic
management with leadership in order to emphasize that a firm that only cares about a short-term gain
without considering and preparing for long-term challenges will ultimately not survive. This is in line
with what Tushman and O’Reilly (1996) and O’Reilly and Tushman (2008) stipulate, that an
ambidextrous strategic leader considers both exploitation and exploration, or both the long-term
viability and the short-term financial stability of the organization. The other linkage is between
entrepreneurship and leadership. An entrepreneurial leader is one who creates an entrepreneurial
vision and has the ability to encourage or motivate others to create value through opportunity as well
as seeks out advantages while functioning within the paradigm of innovativeness, pro-activeness, and
risk-taking (Covin and Slevin, 2002; Gupta et al., 2004; Wang et al., 2012). Nevertheless, there is no
dearth of proposing to synthesize these three research fields, such as Teece (2007, 2014), Gartner
and Brush (2007), and Yan et al. (2014).2
2.2 Conceptual Framework: Linking Growth Stage Model with Strategic Factor Analysis
Two features are worth noting from the above discussion on the three key driving forces of firm value
creation. First, there is a common thread for these three research fields that distinguishes
organizational goals through both short-term gain and long-term viability. The former is about routine,
certainty, and efficiency. Imitative entrepreneurship, ordinary capability, and transactional leadership
are related to short-term exploitation of resources in a profit producing way. The latter is about
experiment, innovation, and change. Innovative entrepreneurship, dynamic capability, and
transformational leadership are related to the long-term exploration of resources to explore for new
technologies and markets. Table 1 lists a summary of these three research fields with their respective
terminology associated with a short-term or long-term focus. Second, while these three research fields
propound that a firm’s sustained competitive advantage hinges upon whether both short-term gains
and long-term viability are simultaneously considered, it is conducive to incorporate different research
fields to enhance our understanding how a firm creates its dynamic competitive advantages and
transcend to a global enterprise.
2
Teece (2014) proposes sensing, seizing, and transformation. Gartner and Brush (2007) note different emphases of the role of
entrepreneurship in the three stages of firm development: emergence, newness, and transformation. Yan et al. (2014) expound the role of
entrepreneurship and strategic leadership.
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A valid life-cycle model is of great value for managing growing firms, such as providing a road map,
identifying critical organizational transitions, as well as avoiding pitfalls when organizations grow in size
and complexity (Hanks, 1990). Most life-cycle models are multi-stage in nature and vary from three to
ten stages. Models with more stages seem to break down general stages into rather specific
developmental periods, while models with fewer, broader stages integrate two or more developmental
periods for the sake of parsimony (Churchill and Lewis, 1983; Miller and Friesen, 1984; Hanks et al.,
1993; Lester et al., 2003). In our study of Horizon Group, we divide the growth path into four stages:
initiation, expansion, maturity, and diversification (Hanks et al., 1993).
Incorporating the strategic factors and growth-stage model, we propose a conceptual framework for
studying the formation, growth, and transformation of the firm. The framework combines the horizontal
time position with the vertical strategy position, as noted in Figure 1. Specifically, each stage of the
growth (initiation, expansion, maturity, and diversification) has accorded with three main strategic
factors to go along. In the initiation stage, the key strategic factor focuses on the opportunity discovery,
as indicated in the coloured big ball of Figure 1; similarly, capability accumulation is the focus of the
expansion stage; transformational leadership is the emphasis on the maturity stage; and in the
diversification stage the firm needs to practice multi-faceted strategies focusing upon all strategic
factors.
Figure 1: Strategic Factors of Wealth-creating Firms in the Growth Stage Model
Note: Prepared by the Authors.
2.3 Research Methodology and Orientation of the Analysis
Our research methodology is based on a comparative case study approach. Supplemented with
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articles, newspaper, and reports, most of the data used herein are based on intensive interviews with
the founder and CEO of Horizon, John Lu. The interviews were conducted during May 2014 to
January 2016. 3 A semi-structured interview, which provide a flexible and informal questions, but
guided by a framework focusing upon different strategic factors, such as opportunity discovery,
competitive advantage, and leadership during the different stage of the growth path of Horizon Group.
The interview questions are accordingly designed under six dimensions: motivation of new venture
creation, technology development, managing strategies, marketing, corporate culture, and corporate
visions. Our methodology was specifically guided by Yin (1989) and Eisenhardt (1989) for conducting
effective case study research. As the interviews progressed, we followed Stenbacka (2001) and
Easterby-Smith et al. (2012) and identified key themes that were mentioned repeatedly as being
important for facilitating firm growth. Given that the entrepreneurial process is subject to complicated
environments and various contingencies, the study of entrepreneurial action and its performance
should be qualitative-oriented by investigating why and how and by focusing on important details
(meticulous attention to details, relevant to business practices, and access to multiple viewpoints) that
help characterize the complexities of strategy formulation. Furthermore, qualitative methodology could
provide open-ended interviews which yields in-depth and oral testimonies, and which also manifests
the interviewee’s attitudes, beliefs, thoughts, intentions, actions, and experiences (Dana and Dana,
2005).
The analysis can be proceeded as follows. The initiation of a new venture can result from imitative
entrepreneurship or innovation entrepreneurship. Leadership in the early stage of the new venture
creation may be more transactional-oriented, particularly if it starts as imitative entrepreneurship. Once
the opportunity has been discovered or created, strategic management is needed to exploit the
profitable opportunity and secure its competitiveness. Operating under efficiency may be a necessary
condition to determine whether a firm will survive, but it is not sufficient to guarantee its long-term
success. If the firm keeps growing with sustained competitive advantages, it needs to reconfigure its
resources to capture existing and new opportunities. Capability accumulation is important to enable
entrepreneurial leaders to have a broader radar band to detect new opportunities. Since successful
firms easily fall prey to path-dependence, or the “success trap,” transformational leadership is critical
to determine whether the firm could rise up to a higher stage. In order to sustain the profitable growth,
transformational leadership is essential. Notwithstanding this, an entrepreneurial leader with the
support of accumulated capabilities will find it easier to recombine and to reconfigure assets and
organizational structures as the enterprise grows and as markets and technologies change. Table 2
shows the critical events and strategic factors of Horizon in practice at each growth stage.
3. Analysing the Growth and Transformation of Horizon Group
Based on the analytical framework proposed in the previous section, in this section we demonstrate
how Horizon starts as OEM and then is able to transform into OBM competing in global market.
Founded in 1987, Horizon started up as a small firm and in 30 years has grown to the number one
yacht maker in Asia. Currently Horizon is a group enterprise with various subsidiaries. Atech
Composite Company was established in 2000 to manufacture hulls and superstructures and has a
9
The time period executing each interview is 2014/5/29 (10:00~11:10), and 2016/1/15 (15:00~16:40).
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capacity large enough to provide the needs for all Taiwan’s yacht producers. In order to effectively
manage the growing production, Horizon was divided into three different brands targeting different
sizes of yachts. Apart from the original brand of Horizon, which focuses on 80-120 feet (16-38 m),
Vision was founded in 2001 and mainly produces yachts with sizes of 50-79 feet (15-24 m), and in
2005 Premier was established and specializes in yachts with sizes of 100-165 feet (over 30 m).
According to Fwu (2013), during 2002-2003, Horizon delivered 39 yachts, and since 2004 the average
size of yachts it produced has surpassed 80 feet.4 Since 2007 Horizon has contributed to one-third of
the total export quantity of Taiwan’s yacht industry and has elevated Taiwan into the world’s top five
luxury mega-yacht building nations. Since 2006, Horizon has been honoured as “Best Asian Motor
Yacht Builder” annually and is the first and only member of SYBAss (Super Yacht Builder Association)
from the Far East since 2009.5
Horizon provides a good case to understand the growth and transformation of Taiwan’s yacht industry.
The growth pathway of Horizon can be divided into four stages: initiation (1987-1999), expansion
(2000-2007), maturity (2008-2013), and diversification (2014 - the present). Figure 1 exhibits three
strategic factors (opportunity discovery, capital accumulation, and leadership) for each stage and
identifies the key strategic factor, indicated in the coloured ball at each stage. Table 2 lists the selected
critical events during the group’s growth path and the corresponding activities following the strategic
factors at each stage. For instance, at the stage of initiation, the key strategic factor is opportunity
discovery, at the expansion stage, the key strategic factor is ordinary capability, transformational
leadership would be the key strategic factor for the maturity stage, and these three strategic factors
are simultaneously important once the firm moves toward the diversification stage.
3.1 Initiation stage (1987-1999)
The initiation stage is known as the birth stage. It marks the beginning of organizational development.
John Lu, a Kaohsiung native, graduated from the department of ship-building at National Ocean
University with a degree in naval architecture in 1981, and after two years’ compulsory military services
he returned to his hometown and worked at Kha-Shing Yacht, the then largest yacht producer in
Taiwan, as a naval architect when the yacht industry was booming. Four years later, in 1987 John Lu
sensed the strong demand in the yacht market and decided to establish his own company. Kha-Shing
Yacht also invested in John Lu’s newly founded company, Horizon Yacht, as a partner.
Opportunity discovery: There is a myth that entrepreneurship is innate, and that entrepreneurs are
born to be heroes (Economist, 2009). In fact, few entrepreneurs start own business with any grand
idea. Survival is the first-level goal and driver, like the necessity-driven entrepreneurship (Reynolds et
al., 2002). Indeed, as John Lu stated when he started his own business, he was not yet 30 years old
with scant experience and looking for a stable job to survive and creating own brand did not occur until
4
Fwu (2013) also documents that during 1987-1991, there were 108 yachts delivered with an average size of 43 feet; within the years of
1992-1997, 114 yachts were delivered and the average size of yachts increased every two years, to 48 feet, to 54 feet, and then to 61 feet;
between 1998 and 2001, 90 yachts were delivered with an average size of 65-70 feet.
5
Horizon became the 21st member of SYBAss since 2009. SYBAss was founded in 2007 with the aim to counteract what its members
perceived as a neglect of their industry’s specific needs in favour of the international maritime leisure and professional marine industries.
SYBAss members have to be in existence for at least ten years and have built at least three yachts over forty meters in length over the past
decade (http://www.sybass.org/).
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the business was stable. For a new-birth firm, the focus is simply to identify a sufficient number of
customers to support the existence of the organization. Decision-making and ownership are in the
hands of one, or a few (Lester et al., 2003). At this initiation stage, although John Lu discovered the
opportunity to gain profit, like most yacht producers, the business practice of Horizon mainly began as
a contracting builder for global brand corporations or practicing original equipment manufacturing
(OEM). As noted in Figure 1, opportunity discovery was the key strategic factor, which Horizon devoted
to.
Capability accumulation: Founding a company is one thing, yet surviving is rather a different issue.
The challenge came after the second year when Horizon was established. With the pressure from the
U.S. which was suffering from large trade deficits, Taiwan’s currency (New Taiwan Dollar, NT$)
appreciated enormously from US$1 = NT$40 to US$1 = NT$26. Later on, the U.S. levied a luxury tax
on yachts, the U.S. market shrank, and Taiwan’s yacht industry fell into an abysmal decade (19891999), whereby two-thirds of yacht producers closed down. John Lu was aware that Taiwan’s Yacht
producers chiefly serve to coordinate different work groups (such as woodworking, electrical, painting,
etc.). The ability to cooperate with components suppliers to assemble a yacht determines the
competitive advantage of yacht producers. Undeterred by the global recession of the yacht industry
from the U.S. market in the late 1980s, John Lu created his own brand by improving the ability to
customized-tailor a yacht to satisfy customers’ needs. In addition, Horizon reorganized its yacht
manufacturing processes, adhering to stringent yacht quality and safety requirements in Europe and
Japan, and earned a reputation for exceptional quality and value. The continual progress and
advancements of Horizon not only established a solid yacht building foundation, but also enhanced
its ability to prevail over Taiwan’s economic recession. While other producers sought to move to China
to find cheaper labour costs to extend their OEM practices, John Lu scrambled to transfer to increase
his firm’s value-added capacity by practicing original brand manufacturing (OBM). In 1989, Horizon
got approval from DNV and was allowed to enter the European markets.6
Transformation: Apart from increasing its production capability during this rough time, Horizon also
strived to explore new market opportunities. In 1989, John Lu decided to shift Horizon’s marketing
strategy from targeting the U.S. to diversifying into Europe, Australia, and Asia. Furthermore, in 1993
John Lu envisioned demand for luxurious mega-yachts and began building yachts over 80 feet. In
1995, Horizon delivered its first 80-foot yacht. The transformation to enter the mega-yacht market was
a notable milestone for Taiwan’s yacht industry and uplifted Horizon to the club of luxury yacht builders.
However, given Horizon’s limitation on production scale, John Lu decided to increase production
capacity through specializing in the production process and improving product quality.
3.2 Expansion stage (2000-2007)
After passing the initial stage, firms seek to grow, develop some formalization of structure, and
establish their own distinct competencies (Miller and Friesen, 1984; Lester et al., 2003). In order to
continue operations and finance sufficient growth to stay competitive, strategies for generating stable
revenues are formulated in ways of creating routine production processes and production integration
6
DNV (Dot Noorske Veritas), established in 1864 in Norway, sets standards for ships and offshore structures - known as Class Rules.
275
to reach economies of scale and scope (Churchill and Lewis, 1983). As noted, assembly work
occupies about 50-60% of yacht makers’ added values in Taiwan. Reducing assembly costs and
minimizing assembly time require a strong integration of managerial skill and production process.
Opportunity creation: With the economy recovering from the demand slump of mega-yachts,
starting in 2000 another wave of opportunity arose. Noting that Horizon’s limited capacity could not
meet the increasing demand, Horizon reconfigured production procedures by implementing an
organizational expansion to reach economies of scale by vertical integration and division of labour. In
2000 it added to the group a new corporation, Atech Composite Company, which specializes in
composite engineering and builds yacht hulls and superstructures with Horizon’s patented SCRIMP
(Seaman Composites Resin Infusion Moulding) process. Using SCIRMP results in fibreglass hulls
that are twice as strong and durable as those made by other processes. Atech Composite has
capacity to meet the needs for vessel hulls for Taiwan’s yacht industry at a competitive cost.7 In order
to exploit the opportunities from different market segments, in 2001 Horizon established Vision Yacht,
which builds yachts ranging from 52 to 80 feet, and in 2005 Premier Yacht was launched for building
customized mega-yachts up to 100 feet. With each subsidiary company focusing on its area of
expertise, the division of labour allows Horizon not only to interconnect the four subsidiaries to
exchange ideas and resources, but also to build high-quality vessels efficiently. The reorganization not
only increased Horizon’s production capacity, but also enhanced its capability to discover new
opportunities.
Capability accumulation: Taking advantage of economies of scale and economies of scope by
adopting vertical integration and horizontal diversification, immediately Horizon began to stand out as
Taiwan’s biggest yacht producer. In 2005, Horizon’s revenue reached NT$1.6 billion. Since 2007, onethird of Taiwan’s yacht exports have come from Horizon, which is the main reason that Taiwan has
become Asia’s number one yacht producer. In order to effectively coordinate each division, in 2007
the Horizon Group Management centre, including a delivery centre, mould centre, human resources
centre, marketing centre, and IT centre, was established to help oversee, organize, and improve the
overall operation of the Horizon Group. Along with the corporate expansion, how to effectively integrate
resources will decide whether the firm will remain competitive. Apart from adopting enterprise
resources planning (ERP) system, John Lu reconfigured the organization by using “system
integration,” which combines ISO, ERP, training, and sector coordination meetings, and re-evaluates
and revises the integrated system in order to improve Horizon’s capabilities, which is the key strategic
factor at this stage, as demonstrated in Figure 1.
Transformation: With the corporation reaching an expansionary stage, to perpetuate growth, a
corporate culture is essential for any organization to endure. Starting as a grass-root employee, John
Lu himself has empathy towards co-workers. When new policies or new managerial systems are
introduced, he would first try to win the consensus and then help motivate co-workers to learn and to
innovate. John Lu particularly respects wood-working handicraftsmen, who are usually considered
7
John Lu originally expected that the yacht builders in Kaohsiung area would outsource their production of hulls to Horizon. To his chagrin,
other yacht makers did not contract their hull production to Atech. The hull of a yacht is considered as special know-how, and yacht builders
are afraid to leak their know-how to others and thus forsake outsourcing to Horizon.
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lower-level blue-coloured workers, noted for having a lower education and usually overlooked, by
periodically posting their pictures and their contributions to the firm. John Lu praises those carpenters
with 20 years of experience as national treasures. Lester et al. (2003) argue that after reaching the
expansion stage, some firms fail to generate sufficient revenue to survive, and some, such as Horizon,
grow larger and prosper well enough to enter the maturity stage. At this stage, it is time for the firm to
consider to establish its own culture for corporate longevity.
3.3 Maturity stage (2007-2013)
The maturity stage usually represents an organizational form when such organizations have passed
the survival test and grown to a point that they seek to protect what they have gained instead of
targeting new territory. The top management team focuses on planning and strategy, leaving daily
operations to middle managers (Miller and Friesen, 1984). Although the world economy was under
the scourge of the global financial crisis in 2008-2009 and the global yacht market shrank about 40%,
Horizon managed to export 50 yachts (Fwu, 2013), and its revenue hit a record of NT$2.79 billion in
2008. At the stage of maturity, the development of the firm reaches the cross-road, transformational
leadership becomes the key strategic factor, which will determine whether the firm will keep growing
or stop growing to exit.
Opportunity discovery: With a growing reputation, Horizon took on more orders and easily won a
contract to refit the super yacht, “Saluzi” (227 feet, or 69.2 meters) in 2013. The refitting of Saluzi mainly
consisted of renovating the original 37 small- and medium-sized guest rooms to 16 wide and cosy
chambers. The refurbished interior decoration was supplemented with a luxury spa, teakwood for the
whole deck and customized furniture. Horizon took the opportunity to demonstrate its professionalism
and competitive capability in industrial fashion. Moreover, by participating in international yacht shows
and technology seminars, Horizon is able to draw the attention of foreign buyers and learn new and
cutting-edge technologies. In 2009, Horizon became the member of SYBAss, the first and only
member from the Far East. Being a member of a super yacht builder association indicates its supreme
capability and helps increase branding value.
Capability accumulation: The vibrant network inside the Kaohsiung yacht cluster renders Horizon
to be able to integrate into a rare and unsubstitutable production platform, incorporating thousands of
detailed tasks and processes that are deftly completed by suppliers in the cluster (Sun and Yan, 2018).
Aside from integrating managerial capability into the production system effectively, Horizon deliberately
dedicates to relentless innovation in order to maintain its enduring quality advantages. By investing in
R&D, Horizon has developed the technology of 3D vacuum formation for a one-piece layout, which
allows it to produce high quality FRP at lower costs by developing a unique tooling of a marine-purpose
5-axis CNC Cutting Command Machine, which intricately carves the exact hull lines to ensure a more
accurate and efficient building process. An immediate benefit is a decrease in a yacht model’s
production cost, while also creating a wide variety of magnificent and compelling boat models with
great value. Nevertheless, John Lu has connected with world famous naval architects, such as Cor D.
Rover from the Netherland, and travelled around the globe to participate and learn from variant yacht
shows.
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Transformation: As the group expands, decentralization becomes essential. Horizon has begun to
incentivize employees by offering shares. Moreover, each subsidiary’s financial statement is
independently separated, thus competing for the maximal benefits of the group. Apart from
maintaining stable financial flows, which transactional leadership dedicates on, an organization needs
to spend more resources in innovation to create more opportunities and to stimulate the employees
to be creative. Transformational leadership is imperative for providing inspirational motivation and
intellectual stimulation for followers in the organization (Bass, 1990; Avolio, 1999; Mariano et al., 2014).
To encourage innovation, tolerance of failure is necessary. John Lu reiterated what cannot be tolerated
is not those who making mistakes, but those who never try. After the global financial crisis, Horizon
experienced a decrease of business by about 40%, yet Horizon firmly announced that there would be
no layoffs. John Lu envisions that a flourishing domestic market would enhance the development of
each sector and is crucial for the yacht industry’s sustainable development. The UK provides a good
example with its services producing 40% of the marina industry’s output, and around 20% from
building (Selby, 2016).
3.4 Diversification stage (2014~)
As a firm grows bigger, it may diversify to take advantage of slack managerial resources and possibly
slack technological resources such as R&D or shared inputs not only to reach economies of scope
but also to create new opportunities (Penrose, 1959). By making several products, a firm may reap
diversification gains through increasing its sales and realizing economies of scale in promoting,
advertising, and distributing its products. Diversified firms are apt to use managerial know-how as well
as other indivisible factors to make, promote, and distribute more than one product at a time, and
therefore are more oriented toward research and development (R&D) than non-diversified firms
(Jovanovic, 1993). Diversification is one of the ways of innovation, which could help spur a
corporation’s longevity. Diversification is a critical change, which needs transformational leadership
(Vera and Crossan, 2004). At the stage of diversification, opportunities, capabilities, and leadership
are all key strategic factors that the firm has to focus upon.
Opportunity creation: Aside from expanding into new business opportunities, Horizon’s
innovativeness in production has never slacked. In 2015 Horizon won the “Asia Boating Awards” for
the Asian best motor yacht producer for 25 meters and up. Moreover, with the expansion of Atech
Composites into innovative ability for material and process development, Horizon has started to
straddle in the production of wind turbine blades (green industry), FRP mould manufacturing, track
vehicle engineering (MRT compartment), aviation aircraft (such as drones) and automobile parts anything related to composite products. Multi-targeted operations enable Horizon to find extra streams
of financial gains. Nevertheless, John Lu emphasized that Taiwan’s yacht industry needs to extend to
recreational services, for which Taiwan has great potential. In particular, with the rising Asian weight in
the global economy and a similar culture over a shorter distance, Asia provides a “niche market” for
yacht producers. While serving as the president of Taiwan’s yacht producer association in 2014, John
Lu has cooperated with the government and other yacht makers to hold the first boat show at
Kaohsiung Harbour. An unexpected 70,000 people attended the show, marking Taiwan’s yacht
industry as a reliable brand with sophisticated capability and the possibility for promoting exhibition
and recreational yachting in the country.
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Capability accumulation: With years of efforts on innovations, particularly in FRP, Horizon has
become a competent provider of technology and services for other Taiwanese yacht makers. As a
result, Atech has brought more revenues for Horizon. With the growing size of the organization and
the capacity for producing mega-yachts, in order to keep growing, Taiwan’s yacht industry needs to
shift toward creating new markets. For instance, the creation of recreational yachting service is still in
an infant stage. In 2014, accompanied by the initiation of the first Taiwan International Yacht Show,
Horizon cooperated with Kha-Shing and Aritex (largest provider of parts and accessories for yacht in
Taiwan) to build Taiwan’s first yacht marina operated under private-own yacht wharf, Horizon (Algo)
City Marina in Kaohsiung, which offers a full range of marine and yachting lifestyle services. The
investment in the city marina has sown the seeds for Taiwan to become a recreational centre, as per
reports from the Western yacht industry, services in the yacht industry are usually 6-7 times that of
production.
Transformation: Noting that a yacht maker focuses on yacht production, there is only a one-time
money-making opportunity, as shown in Taiwan’s make-to-export model. John Lu envisions that yacht
exhibitions and marina services, such as repair and maintenance, refit, crew services, etc., are
instrumental for the whole yacht industry. Production should not be the only thing for Taiwan’s yacht
industry. Taiwan’s yacht industry has the potential to grow multiple times in size. Notwithstanding, with
the rising economic power in Asia, this market has great demand potential to boom in the future. John
Lu figured that if a yacht were to be used in the domestic market, it will need gas, parking, repair, and
maintenance, which add up to 2 times the value of a 20-year running yacht. The creation of
employment and value-added in Taiwan will be enormous. Since 2010, Taiwan government has
started to formally regulate yachting recreation and established berths for yacht parking. After the 2014
show, Horizon started selling its first yacht to domestic buyers. With more agents for yachting charter
and representatives for foreign brands emerging, the yachting recreation industry is ready to surge in
Taiwan.
4. Conclusion
The unique customized-tailoring capability for mega-yacht production has helped the Kaohsiung yacht
cluster become one of Taiwan’s hidden champions and has transformed the domestic yacht industry
from producing low-end yachts to specializing in mega-yachts since the 1990s. By focusing on the
firm level, we take Horizon as a case in study to examine the evolution of a successful firm. Given that
Horizon is in the stage of diversification, it is important to entrench the markets it has and
simultaneously to discover new opportunities. Taiwan’s yacht industry being lack of a domestic market
has been criticized as being one part of losing contact with the end users. How to foster the
consumption side and its related services will be a better development path for Taiwan’s yacht industry
in general and particularly for Horizon.
This paper provides a general conceptual framework for understanding the dynamic growth and
transformation of the firms. The analytical framework draws upon the research of the growth stage
model and strategic factor analysis. Strategic factors of a firm consist of opportunity, capability, and
value, and are correspondent to three research fields for the wealth creation of firms, namely,
entrepreneurship, strategic management, and leadership. The growth stage of a firm can be divided
279
into four stages: initiation, expansion, maturity, and diversification. This framework is based on the
interactions of time scale and space scale. The time scale refers to different growth stage, while the
space scale refers to, given a certain stage the firm is in, what the appropriate key strategic factor is.
For instance, opportunity discovery in the initiation stage, capability accumulation in the expansion
stage, transformational leadership in the maturity stage, and multi-faceted strategies when the firm
reaches diversification.
The extant researches on the value creation have shown a broad understanding of firm’s strategies
which help create competitive advantages at different stage of the firm’s growth path in disparate
environments. Although each firm is different with its internal organization and extern environment it
may encounter, the analytical framework proposed in this paper simultaneously consider growth stage
(time scale) and the strategical factors (space scale) at each given growth stage, helps provide a
general guideline to understand the dynamic of a firm’s growth and transformation.
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Table 1 Common Threads of Research among Entrepreneurship, Strategic Management,
and Leadership
Organizational Ambidexterity
Efficiency
Effectiveness
(do the things right)
(do the right things)
Short-term gain
Long-term success
Repetitive (or Exploitative)
Innovative (or Explorative)
Entrepreneurship
entrepreneurship
entrepreneurship
Opportunity discovery
Opportunity creation
Ordinary capabilities:
Dynamic capabilities:
Strategic
operate, administer, and
sense, seize, and
management
govern
transform
Low-level routine: operation, High-level routine: routines
administration, and
to learn new routines
governance
Transactional leadership:
Transformational
Leadership
provide stable, risk-averse leadership:
leadership in exchange for provide
inspirational
followers’ dedication
motivation and intellectual
stimulation for followers
Note: Summarized by the author. See also Yan (2016).
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(1987 - 1999)
Expansion Stage
(2000 - 2007)
Initiation Stage
Table 2 Growth Stage: Milestones and Focuses of Strategic Factors at Each Stage
Stage
Milestones
Focuses of Strategic
Factors
1987 Founded Horizon Yacht Company Opportunity
discovery:
and focused upon 30-50 feet.
practicing OEM focusing
1989 Global slump in yacht demand, and upon small-sized yacht
Taiwan’s yacht makers shrank from 100 to (below 80 feet).
25.
Capability
accumulation:
1993 Entered the mega-yacht market of learning by doing, adopting
over 80 feet.
the SCRIMP technology, and
1995 Delivered the first 80-foot mega- starting to shift to mega-yacht
yacht.
production.
1999 Applied newly patented “SCRIMP” Transformation: uplifting to
resin vacuum infusion technology to yacht produce mega-yachts and
building.
starting OBM.
2000 Established Atech Composite Opportunity
discovery:
Company
dedicating to building Increasing global demand for
hulls and superstructures.
mega-yacht and creating
2001 Established Vision Yachts Company effective routine production
to build yachts ranging from 56 to 80 feet process and production
(15-24 m).
integration
to
reach
2002 Started R&D in alternative power economies of scale and
resources, especially in manufacturing scope.
of wind turbine blades.
Capability
accumulation:
2005 Established Premier Yachts Seeking to grow and develop
dedicated to building mega-yachts (100- some
formalization
of
165 feet) (30 m over).
structure and establish
2006 Awarded “Best Asian Super Yacht” distinct competencies by
Award and “Best Asian Yacht Builder” applying division of labour to
Award.
create two more shipyards
2007 Awarded “Best Asian Yacht Builder and
one
composite
(under 100 feet)” by Christofle Asia company. For instance,
Boating Awards.
adopted
Enterprise
2007 Won the “2007 Taiwan Superior Resource Planning (ERP)
Brand” competition.
system
to
enhance
2007
Established Horizon Group organizational efficiency.
Management Centre & global branding. Transformation:
Reorganizing Horizon under
the Group Management
Centre and unifying global
branding strategy.
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Maturity Stage
(2008 - 2013)
Diversification Stage
(2014 - present)
2008 Launched the world’s largest oneshot SCRIMP hull vessel, P136 “Miss
Rose”.
2008
Entered the steel mega-yacht
market with the EP148 Explorer.
2009 Launched the Taiwan’s largest
FRP mega-yacht, 136-foot “Bikini
Queen 2”.
2009 Became the first and only SYBAss
member from the Far East.
2010 Launched Taiwan’s first Solar Boat,
SC23.
2010 Refit Aurora.
2011 Refit Polaris.
2012 Launched the largest BV Ice-class
yacht built in Asia - EP148 “Horizon
Polaris”.
2013 Successfully finished a mega-yacht
refit project, 227-foot “Saluzi”.
2014 Launched the New Design Raised
Pilothouse PR110 mega-yacht, 110-foot
“Andrea VI”.
2014 Constructed Horizon City Marina,
Taiwan’s first private luxury yacht marina
that offers a full range of marine and
yachting lifestyle services.
2014 Horizon E56 & Horizon Polaris
super-yacht
won
the
“Taiwan
Excellence 2014” award.
2014 Horizon Polaris super-yacht won the
“Taiwan Excellence 2014 - Gold Award”.
2014 Awarded “Best Asian Yacht Builder
(25 meter above)” by Asia Boating
Awards 2014.
2014 Sold the first yacht to domestic
buyer after the first Taiwan International
Yacht Show.
2015 Horizon CEO John Lu was awarded
“Personality of the Year” by Asia Boating
Awards 2016. Atech started producing
drones.
Data source: Horizon (2017).
285
Opportunity
discovery:
extending its business to refit
projects; starting to represent
foreign brands for yachting
accessories.
Capability
accumulation:
increasing its technological
ability by launching largest
one-shot SCRIPT hull vessel
and joining the global megayacht club, SYBAss.
Transformation: continually
uplifting
technological
innovation, and encouraging
and stimulating workers to be
innovation-driven.
Opportunity
discovery:
diversifying its products
through economies of scope.
For instance, Atech started to
produce drones.
Capability
accumulation:
initiating International Yacht
Show to enhance its
branding
name
and
establishing
its
global
network.
Transformation: extending
the business to the service
sector, such as marina
management.
Encouragement & Continuity Support System for Self-Innovative Training of
the Idea-Marathon for University Students and Company Staff
1Shozo
Saegusa, 2Takeo Higuchi and 3Kazunori Miyata
1Shujitsu University, Japan
2Idea-Marathon Institute, Japan
3Japan Advanced Institute of Science and Technology, Japan
Email: shosaegu@shujitsu.ac.jp
Abstract
The Idea-Marathon System (IMS) is a creative lifestyle of “thinking and immediately writing
in the notebook every day” which the second author founded and started in 1984. Since
then, he himself has been writing ideas in his notebook up to today. In 2004, he has started
to coach the IMS for creativity training in universities, companies and laboratories. Since
the IMS was a daily habituation training of thinking and writing every day, all the
participants were expected to continue daily for a certain period like at least three months.
At the earlier lecture or seminar, all the participants were guided how to start the IMS and
actually receiving the workshop positively with self-declaration for starting and continuing
the IMS. However, it was observed that the participants started tend to stop severally and
scattered after the lecture or seminar. A few participants even did not start at all after the
lecture or seminar, though this stopping tendency has been known to be quite usual in any
training for habituation. Then the authors started “Continuity Support System” by reminding
all the participants to continue regularly. Then it has been found that the majority
participators have continued up to the end of the course. Still some minor participators
were found stopping the IMS. Then, the authors developed “Encouragement and
Continuity Support System (ECSS),” positively persuading slow participators individually
to revive and continue. As the result, in all lectures and seminars, almost all the
participators were found continuing to the scheduled goal. In this paper, details of ECSS
and various other support systems could be utilized or referred to any other training
program.
Keywords: the Idea-Marathon System, Active Teaching, Inside & Outside Coaching,
Encouragement & Continuity Support System
1. Introduction
Since 2004, many companies, laboratories and universities in Japan have started to adopt
the Idea-Marathon System (IMS) to improve creativity of their staff, researchers and
students. In this paper, this Chapter 1 is Introduction. We explain the IMS in Chapter II and
describe how it improves creativity by the effects and usefulness of the IMS in Chapter III.
Chapter IV explains the need for a support system. It points out that there were typical
problems of slow-down and stoppage after the end of the semester due to human nature
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and psychology. It goes on to show that an effective support system has been developed
as a solution and that it came to constitute the core part of the IMS. Chapter V covers
various auxiliary support systems for the IMS. In Chapter VI, it is explained how an
“Encouragement and Continuity Support System” (ECSS) worked in actual lectures at
Shujitsu University from April till July in 2018. Lectures made during 2016, 2017 and 2018
are compared. Chapter VII is a discussion section and Chapter VIII states conclusions and
makes a note of future studies.
2. What is the Idea-Marathon System (IMS)?
The IMS rules are:
2.1 Acquire a single notebook and always carry it with you.
2.2 Think of at least one idea daily and write the ideas down immediately in the
notebook.
2.3 Illustrate the ideas whenever possible.
2.4 Talk about the ideas with colleagues, friends and family.
2.5 Review the ideas as much as possible.
2.6 Put the best ideas in stock into practice.
The subjects of the IMS ideas have no limits or areas as long as the ideas are generated
by the human brain. They can be not only ideas for work, but ideas about life, family, plans,
dreams, poems, sketches or essays. Improvement of products and services are also ideas.
Any concepts, doubts, problems to solve or points to be checked can be ideas. It is
important that the effort to look for subjects every day improves the brain power of
association and imagination. It is natural for people to struggle a little to find the certain
IMS subject every day. Finding subjects to think about is a “meta-thinking” activity. If one
pushes one’s brains to look for idea subjects every day in accordance with meta-thinking,
before one knows it the brains will get used to meta-thinking and the thinking actions will
reinforce the creativity of the brain.
Everyday creativity for all subjects produces great effects—this is an idea that was
supported by Ruth Richards [1]. Ideas are to be written in serial notebooks, not scattered
in various different notebooks, memos or pocket notebooks. If someone continues and
repeats the IMS way every day for at least three months through meta-thinking, the IMS
way of thinking and writing each and every day becomes a habit [2].
After three months of daily the IMS practice, our brains get used to searching for subjects
every day and engaging in meta-thinking, which will keep the brains looking always for
idea subjects unconsciously. These brains will find or feel new ideas from something
similar much faster. Most of the participants will come to understand that they can create
more ideas easier now if they can only find some subject to think about or if they are given
any other subject to mull. This can work a great change in creative confidence for those
who thought they could not create ideas before they started the IMS way. The ideas can
be many and can vary from very easy to complex ones. Often many of these quickly
accessible ideas may have only subtle value. But if individuals start gathering hundreds of
287
ideas about one subject and propose them to their group, the number of ideas might reach
into the thousands and some of them might well be important. For the IMS, it is most
important to find the right subjects to think about. If the IMS participant is given or has an
appropriate, important subject or problem, he or she can start thinking and writing ideas
about it in the notebook that day, the next day, and on any days in the future. This is
important since very good ideas are not usually obtained on the spot but after many long
days of thinking.
Since participants write their ideas in serial notebooks, they can look back on their ideas
by going through the pages. If all the ideas are in their PC data, they might find it easier to
search for and access them. But if they have less than 20 or so notebooks, they can
probably access them easier than they could by using a PC. Also, if they draw pictures to
supplement their ideas, they will find it very easy to locate them by flipping through the
pages.
3. Effects and Usefulness of the IMS
3.1 For students
High school and college students can use notebooks to get them started in the IMS. Of
course, all students should take notes during their classes but they often fail to do so since
they have not developed good note-taking habits. In the worst case, they don’t even bring
notebooks or pens with them to class. This note-taking could, of course, include using a
laptop PC. Students who take good notes tend to get superior class results since they can
easily review their notes at home and keep them fresh in mind. Even students who take
good notes, however, can improve their note-taking habits further after getting daily
training in the IMS.
Students participating in the IMS training initially tend to feel a bit uncomfortable and do
not especially enjoy putting their ideas in the IMS notebook. But after several months of
practice, they start preserving ideas more quickly and naturally in their notebooks. As a
result, their attitude towards taking notes in class tends to become much better.
The most practical and direct uses of the IMS method are for the reports and papers they
submit. The most important point in any report is the content of original opinions that
students must keep thinking about over a certain period by referring to their notebooks,
rather than thinking about the deadline for submitting the report.
“Repeated thinking over a certain period while referring to the notebooks” is the basic
stance of the IMS. College students can use the IMS to select their major, to decide and
develop the topic of their graduation thesis, to think about the future, and to decide which
companies or organizations they would like to join after graduation. There are many
different kinds of IMS subjects students must look for solution, decision or ideas. Daily IMS
practice will give students the will power to “stick to them together” and the effects that
come from concentration, which they can use forever.
288
Many students can use the IMS to start inventing things during their university days and
trying to make the best inventions recorded in their IMS notebooks a reality. They can use
their best ideas for competitive activities like robot contests, solar car contests, or other
forms of student competition. We are of opinion that undergraduate students can make
greater inventions or discoveries through four years if properly concentrated.
3.2 For faculty members
University professors are always keen on getting ideas about their specialty and storing
them every day. They understand that a sudden chance encounter with an idea can lead
to priceless value if they record the idea in their notebook in a timely fashion. New ideas
are critical to them. But even professors cannot predict when they can get or encounter
new ideas. They know the necessity of writing down their thoughts immediately since a
chance encounter with an idea might never come back if they miss it the first time. An IMS
notebook can become a jewel box for professors who are trying to do research work or
write a thesis paper.
As an example, Professor Tomoyuki Mochida of Kobe University and his research staff
have been IMS participants for more than 20 years.
On
Journal
2012
Prof
Mochida’s
IMS
Notebook
Feb 15, 2011
Figure 1. The IMS idea that became a reality in a journal
And he invented new chemical materials by writing his ideas in his IMS notebooks [3].
Capturing and recording ideas by using the IMS has been widely accepted by faculty
members, even as they keep themselves busy teaching after doing heavy preparation.
This is because most faculty members are always struggling to search for any possible
cues, hints, hypotheses and notions about new ideas in their specialty subject. Even
though they know the need for on-spot note-taking all too well, they often have nothing to
write in or with when luck crosses their path. If they would always keep their IMS notebooks
with them and even unconsciously search for hints in their minds, they would be able to
preserve the hints in their notebooks. These note-taking practices can even invite
serendipity for great inventions and discoveries. The hints, of course, could cover how and
what they teach and what they plan for their families.
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3.3 For company staff members and laboratory researchers
Note-taking is one of the building blocks of methodology and tactics in business. One finds
note-taking necessary in all aspects of meetings, manufacturing, discussions, record
taking, negotiating, selling or buying. Furthermore, all the members of a company are
supposed to suggest plans and tactics regularly. The IMS participants can accumulate and
store a huge number of ideas in their notebooks after several years of practice and the
stored ideas can be called a “denominator.” If individuals propose the best ideas out of
their notebook storage denominator to the group, the result will be an IMS synergy effect
created inside the company if many participate in the IMS in this manner.
Furthermore, continuous habits trained by the IMS will give everybody power to invent,
improve, innovate, achieve and succeed. At the same time, all of these IMS practitioners
can also think of their own private lives and families. If their private life is getting more
stable, their business might be better off. All businesses always need new ideas. No
business orders, new contracts or automatic profits can be made without new ideas.
Business competition is firmly based on the use of new ideas. For the production aspect,
even small innovations can upgrade production efficiency and reduce costs if they are
repeated and revised through the group IMS.
3.4 For all others
The IMS is designed to improve the creativity of the individual, which will cause a synergy
effect if it is discussed inside the same group or family. Daily thinking about ideas with the
IMS might be effective in preventing the progress of dementia if aged people always try to
think and write something daily.
4. Need for Support System to Form Students’ Thinking Habits
Participants practicing the IMS and thinking about and writing down things every day often
need supply or finding of more subjects to think about in the early stages. If they become
starved for ideas or subjects, they have to shop around for new categories, new areas, or
fields they have not yet touched. Some people start to find this tiresome and it might cause
them to stop using the IMS.
There are two major factors that inhibit students or company staff members from starting
and continuing the Idea-Marathon as their daily practice. One is a lack of will-power and
confidence before starting. We call people inhibited by these factors “unmotivated
participants” (UMPs). The other is a tendency to become forgetful and easily bored after
starting. We call people inhibited by these factors “demotivated participants” (DMPs). We
noticed that both UMPs and DMPs can always be found in any group training course.
Unfortunately, these negative traits have been nurtured over a long period of time as the
result of being exposed to monotonous teaching methods, doing menial tasks in
companies, or engaging in dull research work. When we start trying to instill good habits
in training classes, UMPs will not remember about the IMS as soon as the lecture is over
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and DMPs will forget about them after only a few days or so. Then UMPs and DMPs will
justify their actions and demotivate by pulling down other classmates or colleagues so that
gradually other participants will stop remembering to adopt the habits one by one (see
Figure 2).
Each colored line shows
each participant
Figure 2. The Group IMS without support
In many cases, only about 10% of the participants continue all the way to the goal if nothing
rendered. That is, few such participants can be found in any training or lecture courses.
Even though most participants (whom we call “majority regular participants”, or MRPs)
fully understand the significance of training to instill good habits, they are prone to watch
UMPs and DMPs and forget to continue the habits without knowing why. And once MRPs
stop practicing the IMS, they start justifying their decision to stop. This is a typical pattern
for almost all training courses—for participants to maintain certain habits only for a few
months or so.
The author found one hypothesis that MRPs will continue to the end merely if they are
reminded to continue in a timely manner. The author has been giving such reminders to
all the participants in the university lectures and in all the company training courses since
2005. As a result, about 85% of the participants were able to attain the goals (see Figure
3).
Now the authors would like to concentrate on the remaining 15% of UMPs and DMPs and
encourage them to reconsider their attitude. This is because they believe UMPs and DMPs
can achieve the IMS targets if they are properly advised. Everybody must have the will to
be more creative and improve.
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Each color shows each
participants
Figure 3. Group IMS with support
The authors established a multi-quartered “Encouragement & Continuity Support System
(ECSS) of the IMS” to cope with UMPs and DMPs. For universities, cooperation was
absolutely necessary between the second author (Outer Coach: OC) and the first author
or professor in charge of the class (Inner Coach: IC). For company staff training,
cooperation was needed between the IMS Institute (OC) and the manager in charge of
training (IC).
5. Need for Auxiliary Support Plans
5.1 Textbook and notebook arrangement
All the students or company staff members are provided a textbook written by the second
author and a notebook. For company staff training, the textbook and notebook are handed
over to the trainees about three weeks prior to the first lecture. Reading the textbook is
quite an effective way to achieve deeper understanding of the IMS since it gives the
participants a feeling of expectation for the new training to come.
5.2 Prefixes and the IMS rules in the notebook
The notebooks contain prefixes written by the president of the institute as well as
professors and directors. These are designed to show the participants how much is
expected of them in the IMS course and to encourage them to continue taking it. The IMS
rules are given on the same page to show the participants what they will be expected to
do. This allows them to try to start doing things the IMS way by themselves before
attending the lectures. This is the “Experience by Self-Practice Prior to Training” method.
5.3 Combination of the IMS lectures and actual workshops to create ideas in persons
and groups
The IMS lectures are given in an encouraging and enthusiastic manner and are rich in
details. This is to stir up the participants’ motivation to the maximum by explaining how the
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merits of creativity can have a positive effect on study and work. In addition to the lectures,
the participants can attend workshops that show them how to create and write down their
own ideas. The workshops start with individual thinking being transferred to group
discussions and group presentations. For company staff training, all participants are told
to think up and write down more than a dozen ideas in their notebooks on the day of the
lecture.
5.4 Reminder after first week
After the lecture, the participants start using the “Encouragement & Continuity Support
System (ECSS)” via the Internet. One week later, they are asked to send the total number
of ideas they have come up with to the second author through their professor or manager
in charge. Upon reading and analyzing the results, the second author sends back
encouraging comments including many thinking hints to each participant individually. The
ECSS is repeatedly used every week at a university, while for a company it is used more
frequently during the first two months and then the intervals gradually become longer. Two
months prior to the goal it may be used only at the end of the month. In the IMS, contents
of the IMS ideas written by the participants will never be checked. The quality and level of
the contents are all leveled to the participants’ interests and concerns, so that all the
participants can think them over freely without stress. Throughout the training period, all
possible kinds of ECSS sessions will be given to the students or company staff members
in accordance with their self-declared total number of ideas.
5.5 Sending encouraging messages
In addition to comments and encouragement from the Outer Coach (OC or the second
author), the Inner Coach (IC or Professor or Manager) also sends encouraging messages
to slow participants or participants who have stopped using the IMS without losing time.
Messages from the OC to such participants are much longer and more serious than
messages of praise sent to better participators. Deliberately encouraging messages
addressed to slow participants are sent by the OC and immediately followed by messages
from the IC as covering fire. When OC usually send various thinking hints weekly, we use
e-mail by BCC mail without students name. But when we send our specific encouragement
e-mail, an e-mail message is addressed to the participant with each name on one e-mail.
If the participants start using the IMS again after getting these encouraging messages,
they will get messages of thanks and appreciation from both OC and IC.
If the participants stubbornly decline to start using the IMS again, they may be sent further
encouraging messages from the group leader, student assistants or higher authorities.
5.6 Certificate for completing three months and possibly one year of the IMS usage
The authors may issue a transit certificate showing the participant has successfully
completed three months of the IMS usage and another complete certificate in one year.
The second author proved that significant improvements had been made in fluency and
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originality by means of pre- and post-tests for the Torrance Tests of Creative Thinking
(TTCT). These tests were given to two university students, one college students, two
company staff members and one laboratory researchers during the three-month IdeaMarathon practice course [4].
6. Process of the IMS and Effects of ECSS at Shujitsu University
6.1 Motivation and class target
Various kinds of active learning methods have been practiced in many universities [5].
However, since we have more than 100 students in our class, we have to find some way
to activate all of them evenly and maintain an activated lecture curriculum [6]. We decided
on the following methodology as the principle for this class:
6.1.1 We grouped the 104 students into 15 groups, trying to respect student independence.
6.1.2 In addition to the conventional teacher (the first author) as the IC, we brought in the
OC (the second author) to handle the IMS duties. In this the OC and IC fully cooperated
with each other.
6.1.3 We set various support systems, such as those issuing hints via the Internet every
week (see Chapter 5).
The class was held 15 times every week for four months, keeping the IMS as an outside
backbone in parallel with normal curriculum lecture hours (the IMS backbone method).
The target was to instill highly effective creativity habits in the students within four months.
We started using the IMS backbone method in 2016 and continued to use it in 2017 and
2018. We tried to improve our IMS methodology every year.
6.2 Basic design of step-type creativity reinforcement study and start-up of the IMS
6.2.1 Class target and components
This course consists of three parts as shown in Figure 4.
Contents (Syllabus of Class)
IMS
SA1
SA3
SA2
Ĭ
ĭ
Į
į
İ
ı
IJ
ij
Ĵ
ĵ
Ķ
ķ
ĸ
Ĺ
ĺ
Exercise
Shujitsu Goods
problem solving
1) ★Foundation of idea
method such as MM, KJ
method
2) ◆IMS
3) ★ Proposal for
College Goods
Fundamenta
l power
debate
4)◆Basic thinking
method, logical strucure
⇒ Exercise
5) ◆Critical thinking
Exercise
In the
second
year
To
internship
7) Introduction to debate =
role play learning
8) ★ Group preparation
6 ★ Problem solving
proposed
9) ★ Discussion competition
Logic
application
2018/7/20
⇒ ◆ personal work, ⇒ ★ group work
Figure 4 “Three-step course syllabus”
First step: basic thinking method.
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12
The students’ groups are supposed to think, design and create a method for promoting
novel university goods and make presentations in front of all the students, who will judge
winners.
Second step: logical construction and problem solving
Each group chooses a certain problem and searches for an approach to solving it.
Third step: debating.
The students in the groups start debating certain common topics. In addition to using all
the thinking tools and methods they have learned, they also choose the debate chairman
and judges.
6.2.2 Starting the IMS
To successfully negotiate these steps, the students need to develop the ability to create
various ideas, plans, notions and tactic reply instantly to given questions, and find alternate
solutions. They can acquire this ability by using the IMS method. The IMS is usually
explained to the students in the second lecture (2 nd week). At this point the students take
up the challenge of creating at least one idea per day and writing it in the notebook.
6.2.3 Creativity test
We introduced a creativity test to measure the creative effect quantitatively [7].
In 2018, we introduced rCAB into the course [8] for:
– (1) Evaluating personal creativity for encouragement
– (2) Correlating functions between creativity and the IMS, C-Card, etc.
– (3) Identifying students with high potential
The last is the most important of these.
6.3 Results for 2018 IMS ideas by 104 students
6.3.1 Change in cumulative number of student ideas from April to July, 2018
Figure 5 Change in cumulative number of student ideas (2018)
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Figure 5 shows the change in the cumulative number of the IMS ideas made by the 104
students from April to July, 2018. The red arrow line shows the minimum quota of one idea
per day from the starting date. The blue arrow line is the doubled quota line. It is very
important to note that all the students cleared the first red arrow quota line starting with
the 12th week. This is the first time this had happened since we started the IMS lectures
in 2016.
6.3.2 Zone comparison among Below-quota, Quota, and Doubled (or more) quota
We were happy to find that the students tended to create more ideas as long as the
lectures continued to be given.
Possible reasons for this are:
1) The students got used to creating their own ideas, or they got used to finding hints or
new subjects for ideas.
2) The students were getting more creative confidence. If they can create some ideas for
any questions, they can try or challenge positively and persistently.
3) The students’ found that it is easier to create solutions if there are questions to answer
or problems to solve.
4) The students were using the IMS to cope with events presented in the lectures. If they
were given a question about creating “novel university goods”, the IMS got activated in
their notebooks. The first author instructed the students to write their ideas in the IMS
notebook for novel university goods in lecture #4 and then they created a lot of ideas during
lecture #5. The same phenomena happened in lectures #8-9 for presentations and also in
lectures #12-13 for debating.
nn=number of ideas
Figure 6. Zone components of all cumulative ideas
5) Encouraged by both the IC (lecture teacher) and the OC, the students maintained their
motivation throughout the semester.
6) Effective results were obtained by giving general encouragement to all the students,
sending e-mail messages of persuasion to specifically named students who had created
few ideas or had stopped using the IMS, and sending messages of encouragement to
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frequent idea creators to be explained in Figure 7, 8 and 9.
6.3.3 Encouragement method: creative test results
Here, we analyze the effects of these possible answers.
Figure 7. Relation between rCAB test averages and number of ideas on 7/12/2018
The horizontal axis is the rCAB test scores and the vertical axis is the total number of the
IMS ideas written in students’ notebooks.
As marked in the circle, the relativity was low because many of the students who got high
scores on July 12, 2018 were showing very low numbers of cumulative ideas in the IMS.
In other words, these students might well have a great deal of creative power potential
inside but they had not used it, nor did they know they had it.
Figure 8. Abrupt increase in the IMS ideas
made by specially encouraged students with high rCAB scores
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Then we formed a hypothesis that these students might be able to create many more ideas
if they were properly advised. For that purpose, the second author (OC) send a little
warmer advice to 13 students (using their specific names) who were within the circle to
challenge their limits from now on. This advice was followed by more of the same from the
first author (IC) and we then waited till the next week’s class. We found we got a much
more positive reaction than we had expected, as shown in Figure 8 and Figure 9.
To our surprise, within one week five students had increased their total number of ideas
by 10 and the other eight had increased it by more than 30. It can be seen in Figure 8 that
the average number of ideas made by the 13 rose suddenly and sharply.
Figure 9 Comparison between average number of ideas made by encouraged students
with high rCAB scores and that made by all students
6. 3.4 Evaluation of daily activities (differential analysis)
Figure 10 shows the daily (not cumulative) differences in the number of ideas in a zone
graph. It can be seen that for lectures #3 and #8 the green and blue zones are increasing.
However, lectures #12 and #13 were for the debate period and for these the students might
have concentrated on logic construction, which caused them to record fewer ideas in their
notebooks. But it is obvious that the encouragement e-mail messages sent to some
specifically named participants produced powerful effects in the 12 th week.
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Figure 10. Zone components of ideas by differential analysis
7. The IMS Evaluation and Discussion
7.1 The IMS evaluation by students
We have been making the IMS questionnaires for students since 2016. The numbers on
the 13 apexes of the histogram correspond to: (1) Opportunity, (2) Thinking frequency, (3)
Thinking habits, (4) Idea creation frequency, (5) Felling of achievement, (6) Futuristic
prospects, (7) Usefulness, (8) Notebook usage, (9) Continuity, (11) Stimulation inside
group, (12) OC-IC cooperation, (13) Total.
We started these questionnaires in 2016. In 2017 we saw improvement in all items but in
2018, items (5), (8) and (9) declined. These are problems to solve in 2019.
1. Opportunity
4.4
Overall average
2. Flequency
4.2
4.0
C12.
3. Habituation
3.8
ollaboration
3.6
3.4
3.2
11. Tips
4. Fluency
3.0
10.Stimulation
in Gr
5. Enrichment
9. Continuation
8. Use of note
6. Future
7. Usefulness
Figure 11. The IMS evaluation by students
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16Ave.
17Ave.
18Ave.(7/12)
18Ave.(7/26)
7.2 Yearly numbers of ideas per student per day
In 2018 the students produced 40% more ideas per day than in 2017. The average number
of ideas (per student per day) was:
2016
1.3 ideas per day
2017
1.5 ideas per day
2018
1.8 ideas per day
If we consider the results shown in Figure 11 and the number of ideas per day, we come
to the following conclusions:
7.2.1. Even if all the students produce more than their quota of one idea per day, some
students still have it in their mind that they do not feel they have achieved much, that they
do not intend to continue with the IMS.
7.2.2. Calculation of average idea numbers of each participant shows that more than half
of the class students are producing more than two ideas per day.
7.2.3 Also the reported number of students idea total shows that there are quite a few
students who are producing more than 10 ideas per day and they are enjoying the IMS as
their life style.
7.3 Why did the students produce more ideas than the quota called for?
7.3.1 On the 12th week, OC sent a strong and enthusiastic e-mail to inspire specific
students selected from high rCAB score and low total ideas written. Eight students out of
13 students e-mailed reacted in increasing their ideas suddenly in sharp upward line on
the next week (as shown in Fig 8). Therefore, the main reasons are, first, both the IC and
the OC gave them all possible chances to start and continue to think and write, and second,
they sent them fiery enthusiastic e-mail encouragement from teachers such as they had
never before received through their academic careers. We call this the “Active Teaching”
method.
7.3.2. Another reason for the success was the group autonomy. However, this still needs
to be developed more in the future.
7.3.3. Still another reason is that the students understood the importance of thinking and
writing on a daily basis as they wanted to use thinking as a means to revolutionize
themselves. All the students wished to better themselves and had a strong will to do so.
7.4 ECSS application
ECSS can be applied to many other kinds of lectures, tutorials and training programs so
as to minimize the number of participants who drop out in those self-continuing training
courses. This system is also the basis for any active learning education.
8. Conclusion and future plan
8.1 Conclusion
8.1.1 We believe we have achieved our initial goals that all the class students achieved
IMS quota for 4 months. The students were able to acquire a quantitative grasp of creativity
by their idea numbers. None of the students dropped out and none failed to reach their
IMS targets.
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8.1.2 (According to their communication cards) we found all the students had the will to do
what was to be done and the will to better themselves. Most of the students obtained selfconfidence in the power of their creative strength, which enabled them to concentrate in
other lecture programs. The approach the IC and OC took, giving all students chances
to think and write and sending them encouraging messages, proved to be quite effective
and can be called “Active Teaching”. And deeper communication between students and
inner/outer coaches was achieved. They are writing their feeling more frankly in their
communication cards. They came to strongly feel the importance of thinking and writing
each and every day and having the will power to “stick to it” as powerful tools for life.
8.1.3 Creative tests proved to be useful in identifying students who have significant
potential.
8.2 Future challenges as the next step
8.2.1 Obtain a more quantitative grasp of how to get students to improve their creative
strength.
8.2.2 Study ways to nurture “Student Assistants” who will provide encouragement for other
students.
8.2.3. Determine approaches that will enable Student Assistants to enhance their influence.
References
Richards, R., Everyday Creativity-Process and Way of Life – Four Key Issues, The
Cambridge Handbook of Creativity, p189, New York, USA, Cambridge University
Press, 2010
Lally, P. et al., How are habits formed: Modelling habit formation in the real world, New
York, USA, European Journal of Social Psychology, Volume 40, issue 6, pp998-1009,
John Wiley & Sons, Ltd, 2009
Mochida, T., Idea No. 1882 in his Idea-Marathon notebook, Kobe, Japan, Department of
Chemistry at Kobe University, 2011
Takeo Higuchi 、“Enhancement Effects of the Idea-Marathon System on Creativity” 、
Dissertation, JAIST, 2014
Charles C. Bonwell and James A. Eison, "Active Learning Creating Excitement in the
Classroom, John Wiley & Son, (2017 Japanese Edition)
Shozo Saegusa, and Takeo Higuchi, Strengthening of thinking and idea power for the first
year education-Practice of Active Learning based on the Idea-Marathon, JCS
conference 2016, (in Japanese)
Masaharu YANO et al., “Concepts and Theories of Creativity,” NII Technical Report (NII2002-001J), June 2002(ISSN 1346-5597)
rCAB : Runco Creativity Assessment Battery in Mark Runco, “ Creativity: Theories and
Themes: Research, Development, and Practice,” http://www.markrunco.com/aboutmark/
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Author’s profile
Shozo Saegusa
Academic Degrees:
1997 Doctor’s Degree in Engineering (Tokyo Institute of Technology)
Work Experiences:
1975 Entered Hitachi, Ltd. Mechanical Engineering Research Laboratory developing
mechatronics devices and products such as Refrigerator, CD, and HDD,
2003 Moved to Hitachi Global Storage Technologies Japan, Ltd.(JV with IBM) for HDD
2005 Professor at Center for Collaborative Research & Community Cooperation
(CCRCC), Hiroshima University working for MOT(Management of Technology) education
and venture creation,
2006 Director of Education & Venture Business Creation Division, CCRCC, Hiroshima
University
(2012 Visiting Professor of Jawaharlal Nehru University, India)
2014 Professor of Shujitsu University to the present
(2015 Visiting Professor of Okayama University to the present)
Membership of Academic Societies:
JSME (fellow), ASME, SICE, JSSPRM(Japan Society of Science Policy and Research
Management), JCS, JATES et al.
Academic Awards:
2007 JSME Medal for New Technology, JSME,
2009 Best Track Paper Award, ASME ISPS,
2017 The 2017 Kunifuji Award of KICSS, et al.
Takeo Higuchi
Academic Degrees:
2014 Doctor’s Degree in Knowledge Science (Japan Advanced Institute of Science
and Technology)
Work Experiences:
1971 Entered Mitsui & Co. Ltd,
1973 Stationed in Nigeria, Lagos
1978 Stationed in Saudi Arabia, Riyadh
1994 Stationed in Vietnam, Hanoi
1999 Stationed in Nepal, Kathmandu
2004 Retired and established Idea-Marathon Institute, Tokyo, Japan
2011 Entered Japan Advanced Institute of Science and Technology (JAIST)
2014 Graduated JAIST with Doctor’s Degree in Knowledge Science
Membership of Academic Societies:
JSC, KICSS.
Academic Awards:
2010 JCS Best Presentation Award
2013 JCS Best Paper Award
2017 The 2017 Kunifuji Award of KICSS, et al.
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Kazunori Miyata
Academic Degrees: Doctor’s Degree in Engineering (Tokyo Institute of Technology, 1997)
Work Experiences: IBM Research, Tokyo Research Laboratory (1986-1998), Associate
Professor in the Department of Imaging Art at Tokyo Institute of Polytechnics (19982002), Professor at Japan Advanced Institute of Science and Technology (2002-)
Membership of Academic Societies: ACM, IEEE, Information Processing Society of
Japan (IPSJ), The Society for Art and Science
Academic Awards: Best Paper Award (IPSJ, 2013), ACM Recognition of Service Award
(ACM, 2010), Trophee Jeux Video et Attractions (Laval Virtual, 2006)
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‘Liberty vs Love’ and Ethics: Principal Contradiction of Human Culture and
Solution Directions
Toru Nakagawa
Osaka Gakuin University
Email: nakagawa@ogu.ac.jp
Abstract
The present author has been working in the field of science and technology to develop TRIZ
(Theory of Inventive Problem Solving) further into General Methodology of Creative Problem
Solving (CrePS) which is based on a new paradigm, Six-Box Scheme.
For extending its application field, the methodology has been applied to a social issue, the lowliving elderly problem in Japan. Opinions and policies of necessity of social welfare always
meet anti-opinions, ‘self-responsibility for the poverty’. Using the creative thinking with
TRIZ/CrePS, the present author has reduced the problem into the basic contradiction between
Liberty and Love and has derived a basic hypothesis as follows:
Liberty (i.e., to decide and act for oneself, and to live) is the First Guiding Principle of Human
Culture, while Love (i.e., to love one’s children, family, and neighbors and to help and protect
them) is the Second Guiding Principle. Extending Liberty and Expanding (or Universalizing)
Love are important and desirable. However, there exist intrinsic contradictions inside Liberty,
inside Love, and between Liberty and Love; this is expressed in short as ‘Liberty vs Love’ is
the Principal Contradiction of Human Culture. Principal Contradictions exist and emerge
everywhere in personal lives, in social issues, in international affairs, etc. History of Human
Culture has been trying to reduce/solve the contradictions but has failed.
Ethics is recognized as the 0th Guiding Principle of Human Culture. Ethics is supposed to tell
us what are Good/Bad. In the present study an inherent ability (namely DNA built-in)
Conscience is assumed to learn and distinguish Good from Bad, and the contents of Ethics
are taught later by the society. Ethics can motivate both Liberty and Love, and hence can
coordinate them to reduce the ‘Liberty vs Love’ Contradictions. The concepts of Fundamental
Human Rights are the core of Ethics in the aspects of human relationships.
Reviewing the traditional/standard theories in Ethics, the hypothesis of Inherent Conscience
has been found more convincing. Conscience is the results of ever-lasting evolution of living
things and contain the motives of life, i.e., to live & survive (Liberty), to make offspring (Love),
and to make the species prosperous (Love, communicate, no killing, etc.). Thus we have found
the Inherent Conscience, at the level deeper than Common-sense Moral rules, having stable
origin of motives for human life. Overall directions of the three Principal Guiding Principles
together, i.e., Extending Liberty, Universalizing Love, and Deepening Ethics, are understood
(the Directions of ) Good. We should follow such overall Guiding Principles (not Duty, not Rules,
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not Directions) in good balance of the Liberty, Love, and Ethics, because taking and insisting
any part of the three would make the intrinsic contradictions among them more severe.
In conclusion, the creative problem solving methodology in science and technology fields has
been successfully applied to a social problem of poverty and have created an original and
systematic understanding of the philosophical basis of Human Culture. Full understanding of
Liberty, Love, and Ethics is crucially significant in the future of Human Culture.
Keywords: Creative problem solving, TRIZ/CrePS, Human Culture, Principal Contradiction,
Ethics
1. Introduction
This is the 3rd report of applying the TRIZ/CrePS Methodology [1] to social problems and
of revealing the root contradictions underlying the Human Culture [2-5].
TRIZ/CrePS is a general methodology for creative problem solving, developed in
technological fields, and uses the ‘Six-Box Scheme’ as the basic process [1].
Box 1: Finding a problem and understanding the problem situations in the Real world.
Box 2: Defining the problem in focus to be solved in the Thinking world.
Box 3. Understanding the present system, in terms of mechanisms, functions, problem
causes, contradictions, etc., and understanding the image of the ideal system.
Box 4. Obtaining basic ideas for new improved systems, by overcoming difficulties and
solving contradictions.
Box 5. Designing conceptual solution systems which should work better solving the
problems.
Box 6. Implementing new solution systems for actual use in the Real world.
For demonstrating the general capability of TRIZ/CrePS in the social/human field, we started
to apply it to the problem of ‘Poverty in the Japanese society’. Using the book "The Low-living
Elderly" (Takanori Fujita, 2015), I visualized its logic. In the Amazon Web site, readers’
evaluations on this best-seller book are divided into opposite sides. Readers on one side
oppose the ideas of mutual help and rescue by social welfare and blame the poor themselves
for their poverty. In the disputes among people, I realized that there exist a deep conflict
between the philosophy of Liberty and the philosophy y of Love. Then I obtained a hypothesis
as follows:
Basic Hypothesis: 'Liberty vs. Love' is the Principal Contradiction of Human Culture and left
unsolved in Human History. Liberty (and its extension) is the First Guiding Principle of Human
Culture, while Love (and its expansion) the Second Guiding Principle. 'Liberty vs Love' is the
Principal Contradiction of Human Culture (including the contradictions inside Liberty as well as
inside Love). Both Liberty and Love are motivated by Ethics and may be coordinated by it. This
hypothesis has been considered more and formalized as reported in 2016 [2].
Then the relationships between Liberty, Love, and Ethics has been investigated further mainly
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at the personal level [3, 4]. Many keywords relevant to Liberty, Love, and Ethics are collected
and their relationships are investigated in a visual diagram, as shown in Fig. 1.
Fig. 1. Structure of 'Liberty, Love, and Ethics’ in the Principal Contradiction [3,4]
Essence of the diagram is extracted as shown in Fig. 2 [4]. This diagram clearly shows that
Liberty, the First Guiding Principle, and Love, the Second Guiding Principle are both motivated
by Ethics, the 0th Guiding Principle. Even though Liberty and Love are very important in Human
Culture, they have contradictory relationships. And hence Ethics may be and should be the
basic keys to reduce/solve the Principal Contradiction.
Fig. 2. Essence of Structure of 'Liberty, Love, and Ethics’ in the Principal Contradiction [4]
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A system of hypotheses in the present study are formulated [3,4] as shown in Sections 2-6.
The implications of the present hypotheses are discussed in Section 7 in comparison with the
conventional/standard theories in Ethics and philosophy [6-12]. And the significant points in the
present study are summarized in Section 8 in the aspects of creativity and creative problem
solving.
2. The 0th Guiding Principle of Human Culture: Ethics [3,4]
(1) At the bottom of human heart, there exist the senses and feelings and also basic desires
and greed. Ethics serves to distinguish Good from Bad deep inside the human heart. Ethics is
formed to be common understanding of guiding principles of personal and social lives for each
society.
(2) Contents of Ethics, i.e., what are Good and what are Bad, are formed by societies more or
less differently and evolve in the history of the Human Culture. Ethics is acquired after birth
through various experiences and educations. Then, what is inherent and common for the
human kind? I suppose 'the ability to distinguish Good from Bad in the depth of human heart'
is inherent and common for human kind. I call the ability ‘Conscience’, after redefining its
conventional meaning of ‘Good Will in the human heart’. (Cf. Human babies of any birth origin
have the ability of learning to speak a language of the raising family/community, wherever
raised.)
(3) Human Culture has been based on Ethics and pursuing to extend Liberty and expand Love.
The keys to coordinating and solving various conflicts/contradictions of 'Liberty vs. Love' are
basically found in Ethics. Hence Ethics is regarded as 'The 0th Principle of Human Culture' in
the present study.
(4) The conventional term 'Moral' has a strong nuance of 'Obedience' to social rules reflecting
traditional hierarchical human relationships. However, the history of Human Culture has
obtained the concept of 'Essential Equality of Humans'. The Fundamental Human Rights with
this Equality concept is the core of thoughts on Ethics in the modern world.
(5) Essence of the 0th Principle: Ethics = ‘Everybody has the rights to pursue one's own
happiness and interests'.
3. The First Guiding Principle of Human Culture: Liberty [3,4]
Human Culture takes 'Liberty' as its First Principle and aims at extending it further.
(1) Liberty = 'To decide for oneself, to act according to one's own decisions, and to live'.
Every action makes different influences and results, and it sometimes succeeds while other
times fails. Knowing such situations, one has to think, decide, and act as one thinks best. This
way of thinking and acting at ones' best is supposed to result in maximizing the possibility of
survival and newly developing the Human Culture.
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(2) Liberty conflicts mutually. Since people want common things while the resources are
limited, people's desires (‘Liberty’) inevitably collide, and there emerge competitions. Liberty
aims at 'Winning in the Competitions'. One has to train oneself to get physical strengths,
experiences, intellects, resources, etc. beforehand, and to think, decide, and act in proper ways.
Winners obtain the things they wanted while Losers fail in obtaining them and may even lose
their own lives. Survival of the stronger (with higher capabilities) in the Competitions is the
natural rule in the world of living things.
(3) People's desires 'To Win in the Competitions' make the Competitions severe more and
more. In the society with severe competitions, people apt to live in awkward relationships. As
the results of repeated competitions, the gaps between the Winners and the Losers expand
gradually and the disparity eventually become fixed more or less.
(4) The Social Winners who won the competitions repeatedly start to rule the whole Society.
The Winners build new Social Rules which are favorable for them. The Winners try to maintain
their own ruling positions. Thus, realism and conservatism prevail among the Winners (and
also in the society).
(5) The Social Losers under the situations of being ruled and oppressed want to get released.
Breaking the current unfavorable situations, and Reforming the current Social Rules become
the targets of new movements in the name of Liberty, with the viewpoints of Idealism. Such
Reformations have made new epochs in history.
(6) 'To decide and act for oneself' often generates epoch-making developments of Human
Culture, especially in the fields of Science & Technology, Arts, etc. It is the source of originality
and novelty, resulting in Innovation. This fact is the basis that Liberty is regarded as the most
important principle for developing Human Culture.
(7) Essence of the First Principle: Liberty = 'To pursue my (or our) own happiness and
interests'.
4. The Second Guiding Principle of Human Culture: Love [3,4]
Human Culture takes `Love' as the Second Principle and aims at expanding it widely and
universally. (1) Love = 'to love one's children, one's family, and one's neighbors, and to help
and protect them’. The prototype of Love is the affection by mothers to their children. It
originates in the instinctive behavior, for human (just like other living things) to protect and raise
their children, for leaving offspring. Expanding Love to one's family and neighbors, to
everybody around, and further universally is a final target for Love as the Second Principle of
Human Culture.
(2) Love helps the weak and the people in trouble. 'To help one another mutually and widely'
is the original direction for Love as the Second Principle. For this purpose, Love wants to make
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contact and communicate with people, and to cooperate with people under mutual
understanding.
(3) Love tries to coordinate people in order to seek Harmony among people in the group.
When the members' insistence of Liberty is strong and different, achieving harmony becomes
rather difficult. One solution is to conciliate the member who was insisting his Liberty so as to
stay in cooperation in the group. Another solution is to approve the opinion of the insisting
person and to ask other members for their understanding (or to conciliate them). In these two
solutions, Love is trying to find some compromise among the group members' Liberty for the
sake of Harmony in the group.
(4) Love tries to find Cooperation of a diversity of Liberty while keeping their mutual respects.
It is desirable that each member of the group understands the differences in members' opinions
and interests, and cooperates in coordination as a group while keeping mutual respects. This
is possible when the group members understand that the differences can compensate the
weakness of individual members and can make the group better/stronger as a whole. In other
cases when an opinion (Liberty) of some members is new and meaningful, such member(s) may
be separated from the original group to form a new group independent but having a (loose)
relationship with the original group.
(5) Another prototype of Love is related to the sexual reproduction of offspring. It has the
nature mostly common as the Love mentioned above, but is specific in its exclusiveness in
pairing. Wanting and choosing a partner is motivated much by instinctive desire and feelings,
and often meets competitions. Finding good partners and living fruitful marriage lives are
important tasks for individuals and for society.
(6) For the purpose of protecting the Family (or Insiders), Love tries to resist/defend against
the Outsiders. Love tries to define the members to protect (Family, or Insiders), and to build a
Wall around and to defend against Outsiders. For banding the Insiders together, Love
sometimes tries to control the opinions and actions (Liberty) of the members, resulting in the
standing positions of Conservatism and Realism.
(7) Love, trying to defend the Insiders, generates a Conflict at a higher social level. (E.g.,
Patriot Love of the people in one country and Patriot Love in the neighboring country caused
wars often.) .
(8) To Love everyone (i.e. Universalization of Love, Philanthropy) is the genuine goal of Love.
Love aims at giving Help to all the people especially those in poor situations in the social
disparity. Trials to change the society in such a direction are the movements of Reformation
and Idealism. With the international world-wide scope, they become the movement for Peace
in the World.
(9) Essence of the Second Principle: Love = 'To pursue happiness and interests of all the
members'. The range recognized as 'all the members' (i.e., Family in a wider sense, Insiders)
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is crucial in this concept.
5.
Conflicts and Contradictions between Liberty and Love [3,4]
Conflicts/Contradictions emerging inside Liberty and inside Love are mentioned already.
Here we discuss on Conflicts/Contradictions between Liberty (pursuing My/Our own
happiness/interests) and Love (pursuing happiness/interests of All the members).
(1) A person has made up his Decisions and Actions (Liberty), but some other persons
around try to stop him for the sake of Love. Persons around, especially in leading/protecting
positions, think that such decisions and actions are wrong or risky. The person thinks "Even
though my decisions and actions are risky, it is necessary to take the risk for the success in
future". But the others advise "Stop them, or you would certainly fail and get a big damage".
Which position is appropriate? It depends on the situations.
(2) Love asks for Mutual help and Cooperation for the sake of happiness and interests for all
the members, but some member may refuse them because they do no match his/her own
happiness/interests (Liberty). Since Liberty pursues one's own happiness/interests at
maximum, this type of conflicts emerges very often.
(3) Liberty wants to finalize an issue by Competition or Fighting, but Love wants to settle the
issue in a peaceful way without Fighting. It is natural for Liberty to finalize any issue by means
of Competitions or Fighting to decide which wins. Love does not want Fighting but wants to
achieve coordination, harmony, and peace among the members. For settling the issue, Love
needs to be respected as a mediator and the Mediating solution must convince the both sides.
(4) Social Winners are going to build new social rules and to start ruling the society (Liberty).
Love sometimes protests against the new social rules and the way of ruling, claiming that they
would violate the happiness and interests of all or some of the members. Love sometimes
starts a new movement with the claim.
(5) Social Losers sometimes raise a Reformation movement for the release from oppression
(Liberty). Love usually agrees with the purpose of the movement but sometimes opposes
against the measures and processes of the movement, because of their violation of happiness
and interests of all or some of the members.
(6) Love wants to strengthen the bandage of the members, in order to defend against the
threats and attacks from outside, and sometimes tries to control and restrict the opinions and
behaviors (Liberty) of the members.
(7) When Love is sensitive in distinguishing the Insiders from outsiders and is narrow-minded,
the people other than the Insiders are often excluded from the community of Insiders and
hence their opinions and actions (Liberty) are not approved; this causes conflicts between the
Insiders and the Outsiders.
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6. The Role of Ethics to Liberty and Love [3,4]
Ethics motivates both Liberty and Love, and coordinates them to reduce/solve the Principal
Contradiction 'Liberty vs. Love'
(1) Even though the contents of Ethics (i.e., 'What are Good and What are Bad') differ
depending on society and have been evolving with the history of Human Culture, Conscience
(the ability to distinguish Good from Bad deeply in the heart) is supposed to be Inherent (and
hence common) in the human kind. Hence, it is important that Ethics is understood properly
in the heart of individuals and is practiced appropriately. This is crucial for Liberty and Love
to be practiced by individuals and by society in their genuine spirits as the Principal Principles
of Human Culture. Ethics is the key to reduce/resolve the conflicts/contradictions existing
inside Liberty, inside Love, and between Liberty and Love.
(2) Insufficient understanding/practice of Ethics ruins the spirits and practices of Liberty.
The followings are some of such examples.
Ruin the pro-activeness <== Being passive, enervated, irresponsible, following others
blindly, etc.
Ruin the originality, novelty <== Following precedent cases, conventional, copying,
imitation, etc.
Ruin the challenging <== Seeking safety, shrinking, avoiding the responsibility, etc.
Make Competitions inappropriate <== Backdoor admission, cunning, doping,
judgement juggling, secret rule violation, corruption, bribery, etc.
Obtaining one's interests unfairly <== Threatening, corruption, falsification, fraud, robbery,
killing, etc.
Building new social rules improperly <== Slavery, class system, restricted voting rights,
colonial system, etc.
Misleading the Movement of Reformation <== Terrorism, armed uprising (on the
movement side), suppression, media control, etc. (on the ruler side)
(3) Hence for Liberty to be respected, the thoughts and actions in the name of Liberty should
be in accordance with Ethics, namely they should come from not Bad Will but Good Will of the
persons. Practical guideline for ensuring this point is to keep following the Fundamental Human
Rights, especially Concept of 'Essential equality', in the claim of Liberty and in the field of
Competition. It is important to understand and practice 'Essential Equality as a human', instead
of 'Uniformed Equality' and of ‘Obedience in traditional class system’.
(4) Insufficient understanding of Ethics ruins the spirits and practices of Love.
Ruins the affection <== Indifference, dislike, cruelty, abusive treatment, etc.
Ruins the help <== Neglect, disregard, etc.
Ruins the protection <== Disregard, closing the eyes, etc.
Ruins the coordination <== Non-cooperation, lack of understanding, cold heart,
selfishness, insistence, rejection, etc.
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(5) Hence Ethics is the foundation of Love. Love is based on the tender heart (an aspect of
Ethics) of everybody. With such a tender heart, one can help, cooperate, and coordinate with
others. With a tender heart, one may avoid claiming selfish Liberty and hence reduce the
factors causing the conflicts between Liberty and Love. Even though Love has its general
philosophy to spread it widely and universally, its sense of specifying the Insider members
forms big barriers against widening of Love. It is important to have the Ethics based on the
concept of 'Essential Equality as a human', and to communicate with people widely for
understanding the history and current situations of the society and the world.
(6) One more point we should note particularly is the fact that Greed of human, especially the
desire for money, is endless. In the current world, money is the biggest factor for distinguishing
the Social Winners. The rich people are the Social Winners and the current social system is
made favorable for them. That is the capitalism economy and the capitalism social system.
The capitalism social system has generated big disparity and various serious problems in
Japan and in the world. We should make efforts for reforming the social system in this point to
incorporate the redistribution of wealth more widely. This is the current important issue of
Liberty, the issue of Love, and the issue of Ethics as well.
7. Discussion: Implications of the present Hypotheses in Comparison with the
conventional/standard theories of Ethics and Philosophy
The present Hypotheses shown so far in Sections 1 - 6 were obtained only with commonsense understanding of Ethics and Philosophy, as a researcher in science and technology.
Reading several references [6-9] in Ethics and Philosophy in Japanese, I would like to discuss
about the implications of my understanding in comparison with the conventional/standard
theories in the field of Ethics and Philosophy. Sidgwick [10, 8] regards (dogmatic) Intuitionism,
Egoism, and (Universal) Utilitarianism as the three most typical Ethical methods. Most
discussions in this section address to these methods.
7.1 What is the real root of the directions of Ethics ?
Commonsense understanding of people are supposed to be: Deep inside the heart of us, we
have Conscience which can judge Good/Bad intuitively and show us Good as some kind of
directions for us to follow. The Conscience reflects the Commonsense Moral rules which we
are taught from the society.
(Dogmatic) Intuitionism tells us: We can feel the Moral rules intuitively through Conscience and
we should follow them faithfully. The Moral rules are always correct, consistent, and free from
contradictions. Hence, to act following them is always Good, without being concerned to the
consequences of the actions.
On the other hand, Utilitarianism tells us: We should act Good in consideration of the
consequences. What is Good is not self-evident. After investigating what people pursue as
ultimately desirable thing, the ultimate Good is concluded to be Pleasure (i.e., desirable feeling,
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in a wider sense). In Moral decisions, we should think of some alternative actions and evaluate
how much Pleasure the action would bring as consequences. Then, in Egoism (i.e., Selfinterested Utiltarianism), choose the action which would bring the greatest Pleasure for myself,
while in Utilitarianism choose the action which would bring us the greatest Pleasure for all the
persons concerned.
Intuitionism is often criticized in its non-consequentialism and blind following, because the
commonsense moral rules, taught by society sometimes as religious dogma, are rigid and
contain various contradictions. Utilitarianism has difficulty in the evaluation of Pleasure (or
Preference later), and in response to such criticisms it chooses to regard Common-sense
Moral rules as the intermediate axioms.
Meta-Ethics in 20th century [6, 11] concluded that the moral statements containing ‘should’ can
never be derived from any fact statements ‘is’. Any moral statements need at the root some
original ‘should’ statements implying directions. If we do not rely on Common-sense Moral rules,
what can we find as the root directions?
The present study has assumed the inherent capability of our heart to find Good/Bad deep
inside us and redefined the inherent capability as Conscience. We learn the Ethics, i.e.
contents of what are Good and what are Bad, through our parents, society, experiences, etc.,
and they can be accepted only on the basis of our inherent capability of Conscience. This idea
was obtained through the similarity of human ability to learn languages. Any baby can learn
and speak, at the ages from 0th to 3rd, mother tongues of the raising family and community
disregarding his/her genetic inherence. Functions of our brain, such as reasoning and physical
movements, are learned in a similar manner. Since Conscience is inherent, it is common to all
the humans and very stable in our heart, but is not easy to be described explicitly.
Shall we assume the inherent Conscience entirely blank about Good/Bad? It may be more
appropriate to assume some fundamental Directions or Guiding Principles, on which we can
build up Moral directions. They must have origins in the genetic evolution as living things.
Such basic Guiding Principles of all living things may be characterized as: (a) To live and
survive, using full capabilities, for oneself, (b) To make and increase one’s offspring, with sexual
reproduction, raising children, etc., and (c) To make the species prosperous, with helping
members, without killing them, with making communications, etc.
We may also assume some tier structure in our Moral sense: Inherent Conscience, Commonsense Moral rules as taught by the society, and Practical personal Moral sense built through
life experiences/feelings and actually practiced in daily behaviors.
7.2 Nature of Ethical Principles/Rules
In deontology, Ethical Rules are regarded as given and obliged Duty to do, without any room
for doubt or arguments. Common-sense Moral rules are often regarded as a rigid system of
rules in a society, where thoughts of people are bound tightly to the rules; denying them is
regarded Bad or Sin in religion. In many other Ethical standpoints, including Utilitarianism, the
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Ethical system are regarded as Rules or Principles, to be followed faithfully. The Utilitarianism,
however, does not try to set up a concrete system of Moral rules. Since it builds the concept of
Good, as the ultimately desirable objectives, and its evaluation process, it implicitly assume
some Ethical Rules.
Such understanding of Ethical Rules/Principles commonly have their weak points as follows:
(a) The intuitive moral thoughts often reflect the Common-sense Moral Rules taught by
the society and urge the people to follow them obediently without critical thinking.
(b) The Rules are assumed to be always correct and consistent with no falsity and no
contradictions. Thus they must be formulated in every detail to be applied in various
applications. This causes the Rules should be detailed including various
limitations/exceptions.
(c) Actually in various new and old applications there appear difficulties, conflicts, and
contradictions. Especially the Rules cannot adapt historical changes in society and
cannot apply to new situations.
(d) They assume some justification or authorization, e.g., by some political or religious
power. We understand such authorization reflects the interests of the authorizing
power, i.e., the social winners, in the present study.
(e) Despite such justifications, Common-sense Moral rules vary much in the historical and
global views. Such Moral rules are different in various countries/communities in the
world and in the time of history. Any of them is not standard or absolute; they have to
admit their relativistic positions.
(f) The differences in the Moral rules make different directions to do in actual cases.
Thus they cause different standpoints in their social and personal behaviors, with
various isms and cultures. The recognition of these differences is the keys to
understand the relative positions for mutual understanding, on one side, but can be a
trigger to doubt and reform the existing Moral rules.
In the present study, we understand Ethical Principles as the ‘Guiding Principles’ for showing
us fundamental and broad directions we should go. The base is well formed and clear at the
root, but the end points are open and not defined in detail. We have to apply such basic
directions to actual cases of issues according to our Ethical reasoning. The base is inherent at
its root as a result of evolution as living things. Then we have the second-tier base accumulated
with the historical evolution of human culture and society; this second tier is not necessarily
simple and consistent without falsity.
The basic tiers, especially the first one, definitely exist but their contents are not easy to write
down, as usual for inherent capabilities. The Ethical Guiding Principles are multi-faced and
have multiple components. They, as a whole, show us rather broad directions we should go,
in divergent rather than convergent ways. In applying the guiding principles, we meet various
difficulties which we have to consider, and we decide what we should do by finding alternative
choices, compromising and solving contradictions, selecting the best, etc.
This is the basic finding of the present study, formulated as ‘Liberty vs Love’, the Principal
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Contradiction of Human Culture. Various traditional/standard Ethics have tried in vain to find
some system of Ethical Principles/Rules which are consistent without any contradictions. The
present study has postulated that Human Culture is based, at its root, on a sound system of
Ethical Guiding Principles, which intrinsically contain Contradictions. Human Culture, not only
the Ethics, has not recognized this point and has resulted in misunderstanding the essences
of issues in many philosophical fields. Finding essential contradictions in problem situations is
the significant approach in the TRIZ/CrePS methodology [1].
7.3 Comments on modern Ethics, especially on Utilitarianism
The concept of Good in Utilitarianism was extracted as the ‘ultimate goal/purpose of our Ethical
conducts’, and hence is too abstract in comparison with people’s feelings of internal Ethical
motivation. We feel that we are actually motivated with somewhat clearer guidelines. The three
Guiding Principles in the present study, i.e., Liberty, Love, and Ethics, motivate us and show
us directions in a much clearer way. Taking the consequences of actions into account in
Utilitarianism is appropriate; it means to evaluate the consequences of possible alternative
actions and choose an action to do. For evaluating the actions, Utilitarianism uses the
measures of Pleasure, while the present study uses the fundamental directions of three
Guiding Principles, namely deepening Ethics, extending Liberty, and expanding (or
universalizing) Love. For thinking of alternative choices of actions, Utilitarianism does not
provide us any methods, while the TRIZ/CrePS methodology [1] in the present study has a
variety of methods and experiences for generating ideas of alternative solutions overcoming
existing contradictions.
7.4 Liberty vs Love Contradiction in place of Sidgwick’s Dualism of Practical
Reasoning
“The Methods of Ethics” by Henry Sidgwick is of particular significance [8,10]. It discusses 3
main methods in Ethics, they are (a) (Dogmatic) Intuitionism, (b) Egoism (or Self-interested
Utilitarianism), and (c) (Universal) Utilitarianism. Both (b) and (c) agree with the concept of
ultimate Good to be Pleasure, Equity of people, and Maximizing the Good as criteria for Ethical
actions. While (c) pursues to maximize people’s Pleasure as well as my own Pleasure, Egoism
(b) pursues only my own Pleasure without taking the position to be fair to all the people in
relevance. Sidgwick found that the Egoism (b) cannot be discarded in theory, and he concluded
that the Ethical Reason are divide into Dualism, i.e., Egoism and Utilitarianism.
From the viewpoint of the present study, Egoism (b) is close to insisting the Guiding Principle
Liberty, while Utilitarianism (c) is close to the behaviors of the Guiding Principle Love (with
some Liberty as well). Thus we may say Sidgwick’s Dualism has come close to the concept of
Liberty vs Love Contradiction in the present study. Sidgwick reached the Dualism concept after
his long journey with Utilitarianism and did not find its root causes and keys to overcoming it.
Modern Utilitarianism had some discussions on this issue but have not succeeded in any
significant findings [8]. The present author, on the other hand, arrived at the concept of Liberty
vs Love Contradiction directly in the discussion of the poverty problem. The nature and problem
situations of the Liberty vs Love Contradiction have been discussed closely and the key
directions to overcome/reduce the contradictions are also shown in the present study.
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7.5 Discussion on Rawls’ “Principle of Justice”
John Rawls postulated “Principles of Justice” in 1970s developing Utilitarianism [9,12]. His two
Principles are:
(1) Each person has the same indefeasible claim to a fully adequate scheme of equal basic
liberties, which scheme is compatible with the same scheme of liberties for all;
(2) Social and economic inequalities are to satisfy two conditions: (a) They are to be
attached to offices and positions open to all under conditions of fair equality of opportunity;
(b) They are to be to the greatest benefit of the least-advantaged members of society.
These principles are remarkable in mentioning about desirable rules of society clearly.
In this context, the present study would say: Everybody has the rights to pursue one’s own
happiness and interest (The 0th Principle, Ethics), thus everybody should pursue one’s own
happiness and interests (The 1st Principle, Liberty) and at the same time (everybody and the
society as a whole) should pursue happiness and interests of all the members (The 2nd
Principle, Love). Rawls’ theory contributed much to show a clear direction for reducing disparity
in modern society, and the present study supports such a direction, from a more general
understanding of Human Culture.
7.6 Liberty, Equity, and Fraternity
It is well known that the three slogans of French Revolution, i.e., Liberty, Equity, and Fraternity,
have given much influences to various constitutions of many modern countries. Stress of them
is the Liberty from the class system, e.g., King and nobility, and Equality of citizens and farmers
etc. Fraternity became the positon of the third slogan somewhat later in mid 19the century,
even though Love had long been the main theme of the Christianity. In French Revolution, the
three slogans were claimed together, as compatible slogans. In the present study, the three
slogans are included in the 1st Principle Liberty, a part of the 0th Principle Ethics, and the 2nd
Principle Love, respectively, in the much enhanced meaning. And the present study raised
them into the position of the three Principal Guiding Principles of Human Culture having the
structure of intrinsic contradictions and possible keys of their resolutions.
7.7 Concepts of Good and Happiness in the Present Study
It should be noted that in the present study, concepts of Good and Happiness were not defined
initially. After discussing the iimplications of the present study, the present author has come to
the conclusion that Good is the ‘overall direction’ guided by the three Principal Guiding
Principles of Human Culture, i.e., deepening the 0th Principle Ethics, extending the 1st
Principle Liberty, and universalizing the 2nd Principle Love, together. The three Principal
Guiding Principles form a system to guide Human Culture in a consistent and compatible way
and yet facing with intrinsic contradictions on the way of their application to various situations.
We should note especially that extracting any one part of the whole system and insisting on it
often make contradictions more severe and problem situations worse. In this sense we must
understand that any single part of the whole system of the three Guiding Principles cannot be
regarded as Good. Examples of inappropriate insisting of some part of the whole Guiding
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Principles are everywhere, such as:
Business-first approaches and resulting disparity increase in the Capitalistic Economy
(insisting Liberty),
Insisting of personal interests and personal proprietary in Egoism (insisting Liberty),
Majority’s decisions of neglecting minority opinions in politics and organization
managements (insisting Love),
Disregarding self-decision and Liberty in religious organizations preaching Love
(insisting Love),
Teaching to be obedient to social rules and social systems (insisting Ethics),
We should also note that the present system of the three Principal Guiding Principles apply not
only to personal levels but also to various social levels in the whole world. The present study
did not have any initial definition of Happiness, either. When showing Figs. 1-2 as the
essence of the directions of Guiding Principles, the words ‘Happiness and Interests’ are used
without definition. At this stage of conclusion, as we define Good as the overall directions
guided by the whole system of Guiding Principles, we may define Happiness at the personal
level as the situation where the overall directions guided by the whole system of Guiding
Principles are observed for the person him/herself and in the environment around him/her.
Similarly, we may define Happiness at the social level as the situation where the overall
directions are observed for the social organization for itself and in the environment around it.
In conclusion we understand that Human Culture should constantly proceed toward the
directions guided by the whole system of the three Principal Guiding Principles, i.e., deepening
Ethics (the 0th Principle), extending Liberty (the 1st Principle), and universalizing Love (the 2nd
Principle). On the way, Human Culture will face with various Contradictions, which arise from
the intrinsic Liberty vs Love Contradictions in the Principal Guiding Principles. The solution
directions will be found mostly with the keys of the 0th Guiding Principle Ethics, which can
motivate and coordinate both Liberty and Love. It is extremely significant for us to understand
these points deeply and to proliferate the findings widely and to apply them to all the activities
in the world.
8. Concluding Remarks
As discussed in the above section, the basic Hypotheses postulated in Sections 2 to 6 have
been demonstrated quite new and creative in comparison with the traditional/standard theories
in Ethics and fulfil the large defects in the latter. The present author is a researcher in science
and technology without professional training in humanity and social sciences. Thus the results
created in the present study seems to be a remarkable example of innovative research brought
in by a researcher out of the field. Several key points in such aspects are summarized here on
the basis of previous discussions in [5].
(1) The present study started for applying the general problem solving methodology in the
science and technology fields [1] to problems in the human/social field. Even though applicable
theories and research methods are apparently very different in these fields, scientific ways of
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thinking, especially cultivated with TRIZ/CrePS [1] were found effective in the new target field.
(2) Visual thinking, i.e., many items (such as facts, issues, components, etc.) are visualized
in diagrams (e.g., Figs. 1 and 2) to see their complex relationships easier, was helpful to
understand the social problem situations and to build up ideas with hypotheses.
(3) Seeing arguments among people for and against social welfare, they are understood as
the contradiction between the arguments for Liberty and arguments for Love. It is noted that
there are many examples of contradictions of the Liberty vs Love type. Since Liberty and Love
are both important goals in Human Culture, the Liberty vs Love Contradiction is found critical
significance in Human Culture necessary to be investigated closely.
(4) The nature, characteristics, behaviors, consequences, etc. of Liberty and Love have been
written down. At this stage, Liberty was defined ‘to decide and act for oneself, and to live’ and
Love was defined ‘to love children, family, neighbors and to help and protect them’, with the
fundamental motives as living things in mind. Various observations of Liberty and Love at
personal and social levels have been described step by step, and negative as well as positive
sides are noticed in Liberty and in Love.
(5) Various phases of conflicts in Liberty, in Love, and between Liberty and Love are
described. All of them form the Liberty vs Love Contradictions.
(6) At the root of human heart we supposed conscience and Ethics. Ethics, or Moral rules,
are found the keys to reduce the Liberty vs Love Contradictions. The concepts of Fundamental
Human Rights are found to be crucial. Internal structure of the human heart is difficult to
understand, because of various levels and aspects of feelings, desires, good/bad will, motives,
reasons, etc. The inherent ability of learning and finding Good from Bad was introduced as a
hypothesis of Conscience, after considering similarity of the inherent ability of learning
languages.
(7) In this manner, the overall structure of the three Guiding Principles of Human Culture were
built up with Liberty, Love, and Ethics. So far the system thinking, concepts of contradictions
and their solution methods, etc. played the most important roles.
(8) Studying the references of Ethics, the present study has been much enhanced in its
philosophical basis, as discussed in Section 7. The hypothetical introduction of inherent
Conscience has been proved necessary and reasonable. All the three Guiding Principles in
the present study are found their strong bases on the inherent evolution of living things.
(9) The inherent Conscience is separated from socially acquired Common-sense Moral rules.
This has solved the arguments between Intuitionism and Utilitarianism in Ethics, by giving a
new clear-cut understanding. The understanding of Ethical directions as ‘Guiding directions’
are clearer than the understanding of Duty, Directions, and (Utilitarian) alternatives to decide
after consequential evaluation.
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(10) Instead of a system of Moral rules without contradiction, which have been searched for
in vain, a new system of Ethics has been found around Liberty, Love, and Ethics. Extending
Liberty, Expanding (or Universalizing) Love, and Deepening Ethics are the stable and strong
Guiding Directions of Human Culture, applicable at personal levels and at various social levels
as well. In applying Guiding Principles, we need to solve intrinsic Contradictions.
(11) Finally Good is defined as the overall Guiding Directions shown by Liberty, Love, and
Ethics. Taking and insisting any single part of the overall Guiding Principles is never Good,
because it make the Contradictions more severe, causing various undesirable results.
Happiness is understood as the situations where the overall directions guided by the whole
system of Guiding Principles are observed for the person him/herself and in the environment.
It is remarkable that all the above steps (1) through (11) have been achieved smoothly, by
introducing scientific inference and reasoning step by step. Further investigations will be
necessary at the personal levels and at various social levels.
References
Nakagawa T (2016) , CrePS (General Methodology of Creative Problem Solving) beyond TRIZ:
What, Why, and How?, TRIZCON2016 held by Altshuller Institute for TRIZ Studies, Mar. 25, 2016, New Orleans, USA; THPJ, Jun. 20,2016.
Nakagawa T (2016), TRIZ/CrePS Approach to the Social Problems of Poverty: 'Liberty vs. Love'
Is Found the Principal Contradiction of the Human Culture, ETRIA TRIZ Future Conference,
Oct. 24-27, 2016, Wroclaw, Poland; THPJ, Nov. 12, 2016
Nakagawa T (2017), 'Liberty vs. Love': The Principal Contradiction of Human Culture (2) The
'Liberty vs. Love' Contradiction and 'Ethics' at the Personal Level, Japan Creativity Society,
Annual Research Conference, Sept. 9-10, 2017, Yokohama (in Japanese)
Nakagawa T (2017), 'Liberty vs. Love': The Principal Contradiction of Human Culture (2) The
'Liberty vs. Love' Contradiction and 'Ethics' at the Personal Level, European TRIZ
Association , TRIZ Future Conference (TFC) 2017, Oct. 4-6, 2017, in Finland; Journal of
the European TRIZ Association, INNOVATOR, ISSN 1866-4180, 02/2017 Volume 04, pp.
97-104 . http://www.etria.eu/innovator/ETRIAjournal2017vol04.pdf
Nakagawa T (2018), 'Liberty vs. Love': The Principal Contradiction of Human Culture (2) The
'Liberty vs. Love' Contradiction and 'Ethics' at the Personal Level, TRIZ Home Page in
Japan, posted Jun. 25, 2018 (Extended paper of [3] in Japanese)
Komatsu M., Tarui M., Tani S., ed. (2006), Guide to Ethics: Theories and Issues, Keio University
Press, pp. 312 (in Japanese)
Shinagawa T., (2015), A Talk about Ethics, Nakanishiya Press, pp. 276. (in Japanese)
Okuno M. (1999), Sidgwick and Modern Utilitarianism, Keiso Shobo, pp. 313 (in Japanese)
Kawamoto T. (2005), Rawls: Principles of Justice, in Explorers of Modern Thoughts Series,
Kodansha, pp. 303 (in Japanese)
Sidgwick H. (1874), The Methods of Ethics, (1st Edition)
Hare R.M. (1961), The Language of Morals, Oxford.
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Lawls J. (1971), A Theory of Justice,
Note: THPJ: TRIZ Home Page in Japan, URL= http://www.osaka-gu.ac.jp/php/nakagawa/
TRIZ/eTRIZ/
Author’s profile
Toru Nakagawa is Professor Emeritus of Osaka Gakuin University since 2012. He was
originally a researcher in physical chemistry in academia (1963-1980), then a researcher and
research managing staff in a computer industry (1980-1998), and became Professor of Osaka
Gakuin University in information science (1998-2012). In 1997 he encountered TRIZ (Theory
of Inventive Problem Solving) and started the research in creative problem solving
methodology and its proliferation as a life work. In 1998 he established a public Web site
“TRIZ Home Page in Japan” (in Japanese and in English) and has been operating it actively
as the Editor for nearly 20 years till present. His research themes gradually shifted as (a)
Introduction and proliferation of (classical and modernized) TRIZ, (b) Introduction and further
development of USIT (Unified Structured Inventive Thinking) Method, (c) Development of
Generalized Methodology for Creative Problem Solving (CrePS) with the new paradigm of the
‘Six-Box Scheme’, and recently (d) Application of TRIZ/CrePS methodology to social problems.
He has found ‘Liberty vs Love’ is the Principal Contradiction of Human Culture and Ethics the
keys to solving it. Thus, “Liberty, Love, and Ethics” has become his main work now and in
future.
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Nega-Posi Reversal1
- A method using a physical approach to invert negative emotions positively Harumi Edo and Takashi Maeno
Keio University, Japan
Email: haruharumailtheory@yahoo.co.jp
Abstract
No matter how much science and technology evolves, the importance of communication in
human relations remains unchanged. However, in Japan as well as other countries, daily life
has become more mechanized, and it is undeniable that in the lives of modern people unable
to relinquish their smartphones in daily life, the manner of contacting others and the manner
of communication has changed dramatically. In this research, we aim to enhance the
pleasant Well-being of society by reversing negative emotions, where possible, into positive
feelings, addressing issues arising for human relations caused by dilution of communication.
For this purpose, we propose the “Nega-Posi reversal” (a tool to improve the mental state
based on a physical approach). This time, we verified the effectiveness of the program,
namely "self-suggestion and repetition of promotion of action", and as a result it was
confirmed that positive feelings held up until that point had increased, and the negative
emotions had declined.
Keywords: Nega-Posi Reversal, method, physical, Negative, Positive
1. Introduction
In general, most people live spend their time being chased by various events and chores that
occur around them, the human relationships and circumstances surrounding them. Even so,
everyone is comfortable and wishes to live with a comfortable and happy feeling, even if a
little. The acceleration of the development of science and technology is also increasing
especially in developed countries. However, the sense of happiness of people is not
necessarily proportional to it, and it is already clear that real GDP and <life satisfaction> are
not necessarily correlated [1].
Even if that life becomes convenient and high-tech, our mind is sometimes frustrated due to
the conflict of human relationships and events, without sacrificing something at times, causing
problems that cause negative feelings. Even so, people are somehow reversing their
negative feelings and potentially seeking to live a comfortable lifestyle promptly.
In the 2000s, the number of papers on subjective happiness continued to increase, for
example Matsumoto (2009) [2] shows that the sense of well-being of people is affected by their
interpersonal relationship network, (2011) [3] revealed that the sense of well-being tends to
increase the degree of happiness as age rises due to personality and desire. For example,
the mindfulness that concentrates on "here now" has been introduced in large corporations
in the United States, and our interest in feeling of well-being is increasing further. In other
words, the desire of people who want to live and live in a happy and positive feelings is
constant, no matter how much the technology has developed a convenient world.
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Many of those solutions are based on the approach of <interpretation and way of thinking> in
previous research. However, people do not easily understand that they understood or
understood the concept. So how do you make your daily life positive anyhow? I thought that
the first beginning of it was "What should I do in the morning?" If you are in a mentally negative
state, it is difficult to act from awakening in the morning. However, if we do not take that first
step we can’t get up, we will not act, we will spend the day unattended, and thereby we will
fall into a more negative mental state, in this study, Even with a movement that seems to be
funny at first glance, I hope to verify that changes in the mind are created by "moving" at the
smallest, the next action is promoted, and that eventually leads to positive mind changes It
was.
2. Objectives
In general, people are eager to live their daily lives in a pleasant, comfortable and positive
mental state with a little comfort. In reality, however, they are stressed from daily human
relations and various events, fall into a negative mental state, and sometimes it is not easy to
get up in the morning.
Therefore, in this research, we aimed to invert the temporarily negative mental state to a
slightly positive emotion using <self-suggestion and repetition of action promotion> which is
one of nega-posi reversal and confirm the presence or absence of significant difference
before and after the execution.
3. Proposal of method
3.1 A method called "self-suggestion and repetition of action promotion"
"Good, good, one by one. Good, good, I can do this."
Purpose: "to get up and start action"
· Repeat the words "Good, good, one by one". Repeat the words "Good, good, I can do this"
while listening to your voice with your own ears, acting slowly and slowly while finishing the
task in front of you.
Expected effect:
· Cheering words that are encouraging yourself, that raises motivation. The feeling of not
retarding increases.
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· It is a burden of one’s mind unnecessarily to think there are various things to do at once.
Thus, by saying "one by one" to oneself, "oh, one by one" can be a thought that it is acceptable
to be comfortable, and every time a task is finished, there is a sense of accomplishment, a
small but confident and positive feeling.
· Repeating the words "I can do this", "I can do it" and to gain confidence with self-suggestion.
It is possible to feel a sense of being alone, although not really being alone, and becoming
confident again when work is finished one after another, leading to a positive chain of events.
This method is to make vocal support to oneself, gradually increasing confidence to enable
otherwise difficult action, and to regenerate positive emotion.
3.2 Purpose and significance of this operation
People usually wake up from their sleep, walk into the bathroom, wash, groom, adjust their
dress, and do some chores in the house. This series of movements and behaviors are all
preparations and a start for the following actions, for example, the preparation for an aircraft
to fly before running on the runway to enter stable flight after takeoff. This is done so that after
entering stability, the movements and actions that follow are made smoothly easily, but
immediately before that is very dangerous and uses a lot of energy.
When getting into a negative mental state, it becomes even more difficult to make this "wake
up", "dressing”, “go to the table", etc. Once cannot move their body well, as it is “pulling" and
“refusing to work in the office". Therefore, by using this method, we give positive prompts to
oneself and create opportunities to encourage a series of stable flights.
Indeed, according to Shimizu [4] (2015) in a previous study, it turned out that positive factors
to the original memory increases by rephrasing the negative experience positively. There is
evidence that supports the impact that positive words can have to transfer mental state to a
positive one by speaking and listening to one’s own voice.
4. Verification
4.1 Verification method
In this research, we verified quantitatively using a subjective questionnaire survey about the
<effect of promoting a transition of behavior> by "self-suggestion and repetition of promotion
of action", and at the same time, a qualitative questionnaire was taken, so that the work can
be verified by comments from collaborators.
4.2 Status at the time of implementation
The study was done over four days from August 28 to 31, 2017, with a total of 110 participants
male and female in their 20s and 70s at the author’s 90 minutes evening live talk performed
in a live venue in Harajuku. In the last part of the show, in order to avoid mental bias, we
conducted a subjective questionnaire avoiding a detailed explanation of the study, then asked
participants to do "self-suggestion and action promotion". Immediately afterwards, a survey
including the subjective questionnaire and open-ended questions were carried out.
Subjective questionnaires were conducted before and after implementation of "selfsuggestion and behavior promotion", and a significant difference test (t-test) was carried out
with the average differences. The time allocated was 5 minutes in the explanation of the
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program, 5 minutes for the questionnaire, 10 minutes for program execution, 5 minutes for
post hoc questionnaire, total for about 20 minutes.
4.3 Characteristics of experiment collaborators
A total of 110 male and female girls in their 20s to 70s who visited the installation venue in
Tokyo / Harajuku, Tokyo, Harajuku, were collaborators of experiments, including 20 persons
in 20 generations, in 30 generations, 20 in 40's, 24 in 40's, 26 in 50's, 60 16 men and 6 men
in 70. The male-female ratio was 25 males and 85 females. The breakdown of family
composition was 6 persons, 45 people, 2 persons, 22 people, 4 persons 22 people, 5 people
12 people, 6 or more people 3. The breakdown of occupations are 62 employees, 11
employees, 10 professional and technical staff, 4 part-time workers, 4 other students
(Housewife, professor, civil servant, unemployed etc.) was 19 people.
4.4 Flow of verification implementation
1) Questionnaire survey conducted immediately before implementation of the method
2) Implementing the method: "self-suggestion and repetition of action promotion"
(※ Participants were asked to encourage themselves by repeating the following to themselves
aloud:
"Ok, I can do this, one by one. Good, good, I can do this."
Then they were asked to imagine finishing off a task, slowly.)
<Specific guidance>
First of all, ask all the subjects to stand and explain the imaginary situation now.
Narrate to set the scene, for the participants’ imagination:
"You are at home, very tired and cannot move, cannot get up. In the kitchen sink
There are piles of dishes and piled in the middle of the room is the laundry just taken in. The
table in the living room is littered with bags and garbage of sweets. You want to stand up, to
tidy them up one by one. But your body is heavy and dull, and can hardly stand up with will
alone. A feeling of self-disgusting is gradually born along with dishonesty for these actions,
and you feel more and more depressed.”
"Then you repeat the following words to yourself. The words are only two phrases:
"Ok, I can do this, one by one. Good, good, I can do this."
"Ok, I can do this, one by one. Good, good, I can do this."
It's iterative and easy to repeat to yourself. Let your ears listen to your own voice, and slowly,
try to get up."
"Now, close your eyes, and imagine the situation of the house earlier. Get up slowly, and
walk one step at a time. Let’s say the phrase together.
"Ok, I can do this, one by one. Good, good, I can do this."
Let’s walk to the kitchen sink and start running the taps. In order to wash the dishes let’s say
it again:
"Ok, I can do this, one by one. Good, good, I can do this."
Great, we can get the washing done like this. Let’s continue.”
Participants are then asked to repeat the phrase, "Ok, I can do this, one by one. Good,
good, I can do this." while imagining slowly completing each of the other household chores,
repeating the phrase to themselves. The total time of program implementation is less than 10
minutes, to not exhaust physical strength.
3) Immediately after implementing the method, conduct the questionnaire survey again
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4.5 Overview of subjective questionnaire
In this research, we conducted a questionnaire consisting of the following questions in order
to verify whether there was a mental change before and after implementing "self-suggestion
and action promotion". It consists of the following questions and answers.
(1) Question: "Please circle how you feel “now”, or about your current mental state"
Answer: 1. Very good 2. Good 3. Good 3. Normal 4. Somewhat bad 5. Very bad.
(2) For those who answered, "very good", 2 "well good" in (1), it is
What do you feel specifically?
Answer: Please circle everything that is applicable from the following
I feel good
I have a sense of euphoria
I am positive to life
Yet
I want to go drinking like this
I want to taste in my heart
share and share it.
I feel happy
I want to laugh
I am smiling even in my heart
I am excited
I'm not coming home
With someone I want to
I understand that I am aggressive
(3) For participants who answered 3 normal ,4 slightly bad ,5 very bad
in part (1), ask the following question. "How do you feel? Please circle everything that that
applies from the following"
Answer: I feel tired , I am tired , I want to go away now , I am irritated , I feel
annoyed , I don’t want to talk to anybody , I am angry ,
I am frustrated at the world , I want someone to listen to my anger.
(4) How was
Ok, I can do this, one by one. Good, good, I can do this.
Answer: 1. Very good , 2. Good , 3. Neither one , 4. Slightly bad
,
5. Very bad
(5) In (4), to those who answered 1"Very good", 2 "Good.", in what ways was it good?
Answer: There was a change in my mood when I moved my body.
I have no
explanation for my pleasant feeling.
things.
I have deeper understanding on several
I feel like I have discovered more than I think I have.
bright feeling.
I think that it had an effect.
I have a
I think it is good to say this
aloud and move my body.
I feel refreshed.
It is easy to do.
(6) How did you feel about "Ok, I can do this, one by one. Good, good, I can do this."?
Answer: I want to do it at home in the future.
I will do this again.
I want to
try sometimes.
I’ll never do this again.
(7) Please leave any other comments.
4.6 Verification result
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One program was implemented to evaluate the effectiveness of Nega-Posi Reversal, and a
questionnaire was given to participants immediately after the execution. Based on the
questionnaire, we conducted statistical analysis using a T test.
We judged that it is appropriate to use the T test with the corresponding sample in order to
measure the difference in consciousness immediately before and after the program was
implemented. In fact, when evaluating the correlation coefficient of this corresponding sample,
with a significance level of 1%, pairs 1 to 14 and pair 22 showed a correlation.
4.6.1 Analysis of questionnaire survey - t test (1/5)
Before and after comparison of feelings "now"
From Table 3, please circle the number closest to the state of mind, "mind" of pair 1 (Q 2 - 1 before Q 2 - 1).
Very good 1, Well good 2, Normal 3, Slightly bad 4, Very bad 5, there was a significant difference at
1% level.
4.6.2 Analysis of questionnaire survey - t test (2/5)
Before and after comparison of feelings "now"
From Table 1, showing average results of the question "please circle the number closest to
your state of mind "now"" for pair 1 (Q 2-1 before - Q2-1 after).
1 Very good, 2 Good, 3 Normal, 4 Slightly bad, 5 Very bad.
The average value of the statistics of the corresponding sample decreased before and after.
The change before and after this program implementation shows the mean value decreasing
from 2.194 to an average of 1.764. From this, it turns out that the respondents’ feelings were
raised to between "very good" and "good", and negative emotions were less apparent.
4.6.3 Analysis of questionnaire survey - t test (3/5)
Comparative sample test for current mood: before and after.
From the result of the T test, the pair 2 (Q 2 - 2 A before Q 2 - 2 A) "felt good", pair 3 (Q 2 - 2
B before Q 2 - 2 B) "there is euphoria", pair 9 (Q 2 - 2H before-Q2-2H) "I want to feel this for
longer", pair 13 (after Q2-2L before Q2-2L) "I feel motivated", there is a notable difference with
significance level 1%.
Also, with respect to pair 11 (Q 2 - 2 J before-Q 2 - 2 J) "I want to talk to and share this with
someone ", pair 12 (before Q 2 - 2 K - Q 2 - 2 K) "I am smiling from inside", there was a notable
difference at significance level 5%.
4.6.4 Analysis of questionnaire survey - t test (4/5)
In addition, pair 2 (after Q2-2A before Q2-2A) "felt good", pair 3 (after Q2-2B before Q2-2B)
"there is euphoria", pair 9 (Q2-2H before Q2 -2H) "I want to feel this for longer", pair 11 (Q22J before Q2-2J) "I want to talk to and share this with someone", pair 12 (Q2-2K before Q22K) "I am smiling from inside", item 13 (Q 2 - 2 L before-Q 2 - 2 L) "I feel motivated" since the
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average value within the corresponding sample is rising, it can be concluded that those
feelings were getting higher after this program was implemented.
4.6.5 Analysis of questionnaire survey - t test (5/5)
A comparison of the feeling of "now "
Next, in the T test for negative emotions, there is a significant difference at the 1% level only
from the item "Tired" of pair 14 (after Q2-3A before Q2-3) from (Table 3). Furthermore, there
was a drop in average values too. From this we deduce that negative emotions were again
less apparent.
(1) Answer to open-ended questionnaire question 1
The answers to the question of the open-ended question 1 were able to be arranged as
shown in (Table 5-5-1). The question was, "Overall how do you feel about your experience of
actually moving around while repeating "Ok, I can do this, one by one. Good, good, I can do
this." to yourself?".
92.2% of the total answers included the following: "Very good" (35.9%) and "Good" (56.3%).
(2) Answer to open-ended questionnaire question 2
The answer to question 2 was arranged as shown in Table 5-5-2. The question was as
follows: "If you answered 1 "Very good" or 2 "Well good" in the previous question, please
answer this question. What kind of mood do you feel specifically? Please circle everything
that applies". Among the answers was: "I feel positive" (44.7%), "I think that it is good to
vocalize and move your body" (44.7%), "It’s good as it is simple" (35.0%), "I think it is effective"
(30.1%), "There was a change in my mind by actually moving my body" (28.2%), "I have a
deeper understanding on this topic" (24.3 % ),"It was a pleasant experience" (24.3%), "I feel
refreshed" (23.3%), "I made discoveries that I was not expecting" (21.4%), "It was good that
I don’t need anything to do this at home" (18.4%), "I feel uplifted" (15.5%).
(3) Answer to open-ended questionnaire question 3
The answers to free description question 3 was organized as follows.
The question was "How did you feel about "Ok, I can do this, one by one. Good, good, I can
do this."? Please circle one of those feelings."
The answers were categorized as: "I want to do this at home" (19.4%), "I will try this again"
(53.3%), "I want to try this sometimes" (24.2%), "I will not do this" (3.1%).
(4) Answer to open-ended questionnaire question 4
The respondents were asked to leave any comments regarding this study. The summarized
content of the description obtained from each respondent is shown in Table.(5-5-4
· It was good to move your body.
· I got a positive attitude easily.
· By actually doing, I felt refreshing feeling.
· I thought that many tasks were solved one by one.
· Although I think that I will try to change the idea, it is rather difficult, I thought if I wanted to
proceed a little bit earlier this morning.
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· That one thinks a lot of the previous things, so it gets heavier and becomes disgusting, so,
as you said, as you said, when you concentrate on the things one by one before your eyes, I
thought so.
5. Conclusion
5.1 <Self-suggestion and repetition of promotion of action>
This method was based on one negative situation, that is, "I have to get up to do this", but
although "I understand" this, "I am not able" to move effectively. To combat this, a voice of
encouragement to oneself of, "Ok, it’s ok", boosting confidence by telling oneself "I can do
this",
enabling specific actions by moving slowly and steadily to ease the burden, was
shown to have a significant impact in reversing the negative psychological state to a more
positive state.
5.2 Other considerations
From the numerous responses from questionnaires, the most frequent answers included: "It
is good as it was simple", "I was able to get a refreshing feeling from doing it", "it was good to
move my body since it is difficult to solve this issue by merely thinking alone". From this, we
deduce that people are potentially seeking concrete solutions by physically moving their
bodies. Future studies will aim to deepen the understanding on this point.
5.3 Future prospects
In the future, we would like to find more specific solutions utilizing physical body movement.
References
Mr. Takashi Maeno "The Mechanism of Happiness" (Kodansha Contemporary Newspaper)
(2013)
Matsumoto (2009): Mr. Naoto Matsumoto (2009) "Clarifying the value of social connection in
subjective happiness - Analysis of subjective happiness by interpersonal relationship
network structural model"
Hasanuma (2011): Miss. Rika Hasunuma (2011) "Relationship of happiness based on
questionnaire on happiness, personality, and desire"
Shimizu (2015): Mr. Yu Shimizu "The influence on the mood and memory by transposing
rewriting of autobiographical memory"
Acknowledgments
In preparing this paper, we received a tremendous amount of guidance and support from
professors, researchers, and fellow students at the Graduate School of System Design and
Management, Keio University. We express our sincerest gratitude to them.
Annotation
1. Nega-Posi Reversal™
2. Keio University Graduate School of System Design and Management Graduate
School of Systems Design and Management Research Fellow
3. Graduate School of System Design and Management, Keio University
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Author’s profile
She started appearing in theaters, dramas, movies, and commercials as an actress since she
debuted at the age of 17. In 2005 turned to the way of laughter and won the "You-can-popular
word grand prix" at "Goo!" Held in 2008. Also, Finished the longest 113 km at that time as a
24 hours runner. In 2018 he was awarded a master's degree from Keio University Graduate
School of System Design and Management. Currently as a researcher in addition to talent
and lecture activities, he is doing research on "Nega-posi Reversal".
329
Research into the Improvement of Museum Visitor’s Emotional
Response Levels to Artificial Lighting Designs Based on
Interdisciplinary Creativity
Zhisheng Wang and Yukari Nagai
Japan Advanced Institute of Science and Technology, Japan
Email: s1820006@jaist.ac.jp
Abstract
This paper expounds the synthesis and design process of artificial lighting to improve the
emotional response level of museum visitors and highlights that the key to the design of
museum lighting is based on tourists' visual factors. The primary research topics
presented in this paper are creative lighting design methods and the creative thinking
process theory. Improvement of the perceptual lighting design mainly includes the lighting
environment and light source elements.
First, from the perspective of basic artificial lighting design, this paper provides three
creative aspects in museum lighting design. Through innovative thinking, the space
element is first solved by classification of the visual factor. The second design condition is
the integration of interdisciplinary theoretical elements, in which artificial theory and
optical engineering theory in human-computer interactions are integrated and classified.
The third design condition is the level of emotional response, which utilizes the interactive
formula method of lighting design. The creative lighting design process can be driven by
these three innovative elements of the conceptual design method. This article uses
creative lighting design thinking through the study of indoor space environment conditions
that have been unified by optical engineering experiments. The influence of the visual
factors of rod cells and cone cells is also examined, and the experimental data used for
the emotional effects of optical engineering are classified and analyzed.
The scores are combined to determine the relevant and interactive elements of emotional
response levels. Factor analysis was used to integrate the data. In addition, four
emotional response models suitable for small-scale and large-scale museum indoor
space lighting were found through the experiments, namely the visibility model, the
comfort model, the preference model, and the warm model.
Finally, the various characteristics of artificial lighting design concepts are discussed, and
the application of creative thinking in lighting design is analyzed to improve emotional
response levels in the design process, which will have innovative thinking and research
significance.
Keywords: Artificial lighting design, Emotional response level, Design research methods,
Creativity, Visual factors
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1. Introduction
Interdisciplinary creative artificial lighting design regards human visual factors as the core
element. The influence of rod-shaped cells and cone-shaped cells on visual factors in
light and dark environments, respectively, is studied as reflected through emotional
responses, including comfort evaluation, visibility evaluation, warm evaluation, and
preference evaluation. Based on the theory of the conceptual optimization of emotional
response levels, this paper puts forward the definition and subject of the results of the
whole standard artificial lighting design, as shown in Fig 1.
The research and analysis results show that it is important to improve the lighting design
of the areas determined in this study.
Fig1. Schematic of interdisciplinary research framework
2. Artificial lighting design
2.1 Using visual factors to solve spatial factors
The impact of vision on people can often affect their first impressions of spatial structure.
The problems caused by spatial defects can be solved if spatial structure is
pre-determined, and the color, material, and object(s) within a scene are treated to
provide special visual effects. Different visual impacts can also be obtained by controlling
glare and by adjusting lamp positions, lamp placement angles, and lamp placement
heights, thus guiding people to sense what the designers intended, and hence solving
spatial factors. Visual factors influenced by lighting include color rendering; CIE – Ra is
the color rendering index recommended by the International Commission on Illumination
(CIE) given by the color difference between a test light and a standard light from 92
standard color samples. CIE - Ra and its supplementary color rendering indexes
comprises LED lighting with a changeable spectrum.[1] The indexes between R9 ~ Rl5 are
no longer suitable for industrial applications. Researchers in various countries have
begun to explore new methods to evaluate the color rendering quality of LED lighting
sources. These evaluation methods are divided into three types: fidelity, color gamut size,
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and memory color. The evaluation method of fidelity is similar to the original color
rendering index. Many studies have expanded the sample set used in calculations and
have replaced the uniform color space and color difference formula to determine the color
difference based on CIE - Ra.
In the plane, or three-dimensional, area surrounded by the color under the test lighting
source in a certain color space, the larger the color gamut area and volume of the light
source, the brighter the color rendering. The calculation method of the color gamut size
index in most studies is the ratio percentage of the sample color gamut to the actual color
gamut under the test light source. However, apart from its size, the shape of the color
gamut also has a great influence on the real color rendering quality of the light source.
Evaluating the degree of matching between these color rendering quality parameters and
vision from a large number of experiments, researchers have used a lot of psychophysics
terms to carry out subjective evaluations, including that of comfort and nature. The
application of LED lighting in museums can be summarized by clarity and warmth in two
dimensions. From organization of the visual experimental data in these dimensions, the
advantages and disadvantages of various color rendering quality parameters can be
tested.
2.2 Fusion optics engineering
Crusoe proposed a method to achieve a “Pleasant effect" based on the following plot:
lighting design of correlated color temperature (CCT) relative to indoor lighting. The
“Pleasant area” is defined by Kruithof.[2] The light sources used in his experiments were
fluorescent lamps and incandescent lamps. The Crusoe rule shows that a specific area of
high (low) CCT corresponds to a high (low) illumination makes the observer happy. The
combination of illuminance and color temperature depends on the activity.
Royer et al.11 check color.[3] Discrimination of tungsten halogen, two fluorescence and
one RGB led (peak wavelength 452 nm, 527 nm and 644 nm) method tone test. It was
found that RGB led system showed obviously poor color discrimination ability. Twelve
people, including Ji Ze, studied white LED and conducted two independent
psychophysics experiments in the museum of modern art by varying lighting CCT, CRI,
and illuminance (up to 400 Lx).[4] Their results show that these factors establish the visual
perception, visibility, and texture of envisioning oil paintings. The influence of illuminance
is more than the CCT of visual perception. The three factors affecting vision are: comfort,
fidelity, and clarity. A CCT can achieve satisfactory results around 3500 K, with a negative
Duv (the shortest distance from the blackbody radiation line on the CIE 1960 color
product diagram for light source color products) and high CRI. Its experimental method is
very instructive, i.e., defining a comfort zone with CCT, correlated color temperature, and
illuminance as coordinates. This has also become a popular method to show the
matching relationship between illuminance and color temperature in recent years. Due to
the high color richness, art paintings are often used as samples for related experiments.
From 2012 to 2015, several psychophysical experiments were carried out successively to
discover the most suitable illuminance and color temperature of museum LED lighting for
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art paintings. In an environment simulating art galleries, this research used a multichannel
LED light mixing system for illumination, with three illuminance levels, five color
temperature levels, three color rendering levels, and two Duv levels.
This study takes the environment and exhibits of the Liaoning provincial museum of China
as samples. Participants were invited to take part in the experiments. The results showed
that the higher the illuminance was, the better most of the evaluations were, but there was
no obvious improvement in the evaluation of illuminance between 200 Lx and 800 Lx.
Simultaneously, many of the evaluation indexes decreased with an increase in the color
temperature. Most subjects preferred lighting conditions with a low color temperature. A
popular color temperature range of high visual comfort is 3000 K to 4000 K, which is
bright and makes people feel more comfortable. In addition, when the Duv of the light
source is negative, the evaluation value is slightly better than that of the light source on
the blackbody radiation line, that is, the light source slightly pinker than that of the
blackbody radiation source with the same color temperature was given a higher
evaluation. All the evaluation indexes can be divided into two components: clarity and
warmth. The former shows that the visual comfort of the subjects is related to color
temperature and illuminance when observing. The increase of illuminance below 200 Lx
greatly improves the clarity. The latter is related to the color tone or texture of vision and is
greatly influenced by color temperature.
Researchers from Taiwan University of Science and Technology also conducted two
groups of similar experiments in special light boxes and real art galleries, respectively,
and reached the conclusion of similar clarity and warmth.[5] Relevant experiments at
Tokyo University of Science and Technology in Japan obtained two dimensions of clarity
and texture that were consistent with our results. A research group in Hungary conducted
a large number of relevant experiments to find the most suitable parameter conditions for
LED lighting in museums. They found that the best color temperature to ensure the color
rendering effect of a painting was 5,500 K. The optimum illuminance was 200 Lx and color
temperature was 4,200 K. The Portuguese research group concluded that the optimal
color temperature was 5,700 K. In recent years, another domestic study has used more
kinds of paintings as samples and found that the most favored color temperature for
common daily colored articles is about 4,500 K, while for cultural relics or artworks the
experimental results between 3,500 K to 4,000 K showed that there is a clear difference
between eastern and western person’s preferences for color temperature. Asia prefers a
soft color temperature, Europe and America prefer cold color temperatures and even the
natural daylight color temperature.[6] Based on the above experimental results, at home
and abroad, the illuminance of museum LED lighting is not suitable at less than 200 Lx
and 400 Lx without considering light damage. [7] However, high illuminance is not suitable
for cultural relics and exhibits sensitive to light damage.
2.3 Interdisciplinary creative artificial lighting
A commercial psychology experiment optimized the spectrum of a light source at a food
counter.[8] They came to the conclusion that preferred illuminators produced a larger color
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gamut. The most suitable natural light source, producing a more symmetrical color gamut
with a more uniform appearance, is higher than the preferred ratio.
Visual phenomena, caused by a light stimulus of different wavelengths acting on visual
organs in two brightness ranges, showed that when the brightness of the light stimulus is
above 3 Candeira (CD) /㎡, the vision obtained by the human eye pyramidal cells is called
clear vision or pyramidal cell vision. When the brightness of the light stimulus is below 3,
the vision obtained mainly from rod cells under dark adaptation is called dark vision or rod
cell vision.[9] In 1941, Crusoe proposed a method: Crusoe’s law shows that high (low)
illuminance in a specific area of high (low) CCT makes the observer feel happy. [10]
Crusoe's statement verifies that a high CCT at low illuminance is unpleasant. Based on
principal component analysis, the results of all average scores, small-scale space, and
large-scale space were synthesized. The model indicates that vmis is only related to
brightness and WM is only related to CCT. It can be seen that all erm models predict good
visual results, and that the correlation coefficient is high, the predicted score is high, and
the value rating score between the predicted scores is high. Regarding Crusoe's concept
of a pleasure area and perception area map, museum interior lighting has been
established.[11]The analysis results show that some happy areas found in the study agree
with Crusoe's rules. These new experiments will be conducted again to check higher
illuminance and a wider scope of CCT's in future work.
2.4 Liaoning museum lighting experiment
2.4.1 Illuminance test
The illuminance test uses the central distribution method in which the illuminance
measurement area is divided into grids. The grids must be square and the illuminance
must be measured at the center of each grid, as shown in Figure 2. This method is
suitable for measuring horizontal illuminance, vertical illuminance, or vertical illuminance
in the camera direction. The vertical illuminance should indicate the normal direction of
the measuring surface of illuminance, as shown in Figure 3.
Fig2. Central measuring point method
Some areas of the lobby rely on natural light for illumination, and the design of the glass
ceiling allows for the penetration of sunlight into the stadium. Other areas are illuminated
by energy-saving lamps. The lobby uniformity and light color test selects the lighting area
of the energy-saving lamps and uses the central layout method to take the average of 7x2
points. The reflectivity of the lobby and its surrounding walls averages 24.2% of the
sampling points, and the color temperature of the artificial light illumination in the lobby is
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3,094 K.
Fig3. Illuminance distribution and real scene map of lobby illuminance test
Eav is the average illuminance value, the unit is Lux (Lx), Ei is the illuminance in the Iobby,
M is the longitudinal measuring point, and N is the transverse measuring point (Equation
1):
(1)
By substituting the data measured in the lobby into the formula: e = 1 / (27) ∑ Ei, the
horizontal average illuminance is 139.30 Lx and the horizontal illuminance uniformity is
0.933. Hall 2 has an illuminance of 101.89 Lx, an illuminance uniformity of 0.491, a
corridor illuminance of 121.21 Lx, and an illuminance uniformity of 0.866. As shown in
Figure 4.
Fig4. Illuminance distribution and real scene of lobby service desk
The lobby service desk has an average illuminance of 95.53 Lx and a uniformity of 0.879,
as shown in Figure 5.
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Fig5. Local ground illuminance distribution and real scene of exhibition hall 2
Similarly, substituting the formula, the average illuminance on the ground of exhibition hall
2 is 6.306 Lx and the uniformity is 0.476, as shown in Figure 6.
Fig6. Illuminance and real scene of eight paintings in exhibition hall 2
Illuminance distribution of 8 paintings in the exhibition cabinet (mean 92.9 Lx, uniformity
0.321), as shown in Figure 6. Hall 4 has an illuminance of 56.42 Lx and an illuminance
uniformity of 0.886, as shown in Figure 7.
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Fig7. Illumination distribution and real scene of exhibition hall 4
2.4.2 Measurement of color temperature and color rendering index
From the perspective of the museum's simple and omitted function, there are three basic
functions with higher requirements for the quality of light and color of lighting. One is the
exhibition function, which requires lighting to achieve a higher definition of exhibits. This
requirement is related to illumination, fidelity, and color gamut of lighting. Secondly, the
preservation and maintenance function of cultural relics or artwork, which requires the
lowest light-induced damage of illumination to the target object, while traditional light
sources, such as halogen lamps and fluorescent lamps, have the most harmful ultraviolet
and infrared spectral components. In contrast, LED light sources can easily adjust and
control the spectrum to reduce harmful bands. The third is to study the educational
function. For example, lighting requirements of the repairman or the cultural relic
researcher in the workbench environment require lighting to reach maximum fidelity.
Besides the fidelity index, color gamut, and relevant index mentioned above, the spectral
characteristic parameters that affect the apparent color quality of LED lighting in the
museum primarily include illuminance and color temperature.
A spectral radiometer was used to measure the color temperature and color rendering
index of the site. The number of measuring points in each site does not fall below 9, and
the arithmetic average value was used for the color temperature and color rendering
index of the tested lighting site.
There were more than 3 measuring points per functional area. The color rendering index
and color temperature of each light source were measured respectively when different
light sources were used for mixed illumination, and the color rendering index and color
temperature after mixing were also measured.
Through testing of the Liaoning provincial museum, the results show that the light
environment Ra of exhibition hall 2 is 96.6; R9 is 89.0; Rf is 98.0; Rg is 97.0; the flicker
index of the lamps and light sources in terms of performance is 0.009, accounting for 4 %;
and the color tolerance is 4.4. The light environment Ra of exhibition hall 4 is 99.6; R9 is
99.0; Rf is 100; Rg is 100; the flicker index of the lamps and light sources is 0, accounting
for 0.6 % of the total; and the color tolerance is 4.5. The lobby lighting environment Ra is
87.0; R9 is 23.0; Rf is 83.0; Rg is 100; the flicker index of the lamps and light sources in
terms of performance is 0.011, accounting for 5.2 %; and the color tolerance is 6.2. The
corridor light environment Ra is 80.3; R9 is - 7.0; Rf is 79.0; Rg is 97.0; the flicker index of
the lamps and light sources is 0, accounting for 0.6 % of the total; and the color tolerance
is 5.1.
2.4.3 Brightness and reflectance test
A luminance meter is used to measure luminance directly, indirect methods can be used
to measure luminance where conditions are limited. The placement height of the
luminance meter is based on the height of the observer's eyes, standing at 1.50 m and
sitting at 1.20 m. For the working face and main visual field of brightness measurement in
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the indoor working area of the museum, representative points were selected, with more
than 3 measuring points on the same representative surface.
The measurement of the reflectance at an illumination site can be directly, or indirectly,
measured by a portable reflectance measuring instrument. The measured values of 3 to 5
measuring points were generally selected for each surface, and the arithmetic average
value was calculated as the reflectance at the side of the surface to be measured.
The luminance meter and a standard whiteboard was used to measure the reflectance. A
standard whiteboard was placed on the surface to be tested and the brightness meter was
used to determine the brightness of the whiteboard. Maintaining the position of the
brightness meter, the standard white board was removed, and the brightness meter was
used to establish the brightness on the surface to be tested. The reflectance was
calculated using the following formula:
(2)
Where ρ is the reflection ratio; L (Reflected) is the brightness of the measured surface,
with the unit of Candeira per square meter (CD/㎡); L (Whiteboard) is the brightness of the
standard white board; and ρ (Whiteboard) is the reflection ratio of the standard white
board.
The corresponding data of the lobby, the ground of exhibition hall 2, the eight paintings,
and exhibition hall 4, are substituted into the formula to obtain reflection ratios of 0.46, 0.5,
0.72, and 0.54, respectively. The brightness of exhibition hall 2 tested for a light
environment was 2.83 CD/㎡ and that of exhibition hall 4 was 2.85 CD/㎡.
2.4.4 Temperature test
The temperature of the surface of the object to be measured can be directly measured by
a handheld thermocouple meter; one end of the thermocouple is attached to the surface
of the object to be measured, while the other end is connected to the handheld
thermocouple meter. The illuminating lamp of the object to be measured was switched off.
After the surface temperature of the object to be measured stabilized, the temperature
data was recorded. The lamp was then switched on and the data was recorded after the
temperature stabilized. The temperature fluctuation between the current temperature and
the temperature before 15 min was less than 1 ℃, and the temperature fluctuation range
between the temperature after 15 min and the temperature before 30 min was also
considered to be stable within 1 ℃. The test environment requirements were: the overall
environment temperature was stable, there was no air flow, and the measuring time was
at least 2 hours. After testing, the surface temperature of exhibition hall 2 reached 16.4 ℃
and that of exhibition hall 4 reached 20.3 ℃. A schematic of this experimental method is
shown in Figure 8.
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Fig8. Schematic of the method for measuring the surface temperature rise of the exhibits
3. Experimental design
3.1 Exhibits
The exhibit type used for the experiment was the artworks from Liaoning provincial
museum, as shown in Table 1.
No.
Table1. Lighting test exhibits title and type
2
1
Title
Embroidered curtain for
"Fengxi peony"
Epitaph of Gaozhu, king of
Xiangcheng county
Type
Embroidery
NO.
Stone tablet
3
4
Title
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Type
Yelvxin first epitaph and
cover
Dragon - grain sarcophagus board
Sarcophagus plate
Stone tablet
3.2 Sensory test questionnaire
A subjective evaluation was carried out by inviting an audience to scan the QR code
onsite and to complete a questionnaire, convenient and efficient for statistics. A total of
106 sets of data were collected for more than 20 people. The display areas used were the
painting area of hall 2, the embroidery bare display area of hall 4, the epitaph display area
of hall 8, and the stereo display area of hall 17. The non-display areas used were the
lobby and a corridor. Regarding the exhibition space at the art museum, the setup was
measured with the following grades: a + is 10 points, a - is 8 points, b + is 7 points, b - is 6
points, c + is 5 points, c - is 4 points, d + is 3 points, and d - is 0 points. Indicators included
the color performance of the exhibits, the clarity of the detail of the exhibits, the comfort of
the light environment, and the artistic performance of the overall space of the lighting. The
testers marked 1, 2, or 3 according to each score, the average x 10 x weight was
converted into a score. The total subjective evaluation score is equal to the subjective
evaluation score x weight; the safety score of the temporary exhibition evaluation for the
non-display space is the actual score x 0.4; the actual score x 0.3 for the distribution of
light in the environment. The classification of statistical indicators and objective data in the
procedure were divided into three levels of indicator systems: a first level indicator, a
second level indicator, and a total score. When scoring, the scores of the main points of
the investigation were first calculated, then, comprehensively, the scores and total scores
of the secondary index and the primary index were calculated. To calculate a first-level
index score of each investigation point: the actual score of the first-level index = point
score x weight value. To calculate the secondary index score (where a full score is 100
points): the actual score of the secondary index = the average score of the investigation
and evaluation x 10 x weight. The subjective evaluation total score was equal to 100
points; the total score of objective evaluation was equal to 100 points; the total light
maintenance score was equal to 100 points. According to each evaluation, the
corresponding scores are above 80 points, above 70 points, above 60 points, and below
60 points, respectively. The evaluations were divided into four grades: excellent, good,
average, and poor.
The subjective evaluation results of a basic display were analyzed. There were 16 people
who felt satisfied with a realistic degree of color of the exhibits in the museum and 3
people who felt normal. 19 people were satisfied with the light source color preference
and 3 people felt normal. 18 people were satisfied with the details of the exhibit, while 4
felt normal. 18 people were satisfied with the expressive force of the three-dimensional
sense, while 4 people felt normal. 5 people were more than satisfied with the clarity of the
outline of the exhibit, 13 were satisfied with it, and 4 felt normal. 18 people were satisfied
with the brightness acceptance of the exhibit, 3 felt normal and 1 felt poor. For visual
adaptability: 16 people felt satisfied, 5 felt better, and 1 felt worse. In the heart, 17 felt
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happy, 3 felt better, and 2 felt worse. 17 people were satisfied with the taste of using light
art, 3 felt better, and 2 felt worse. 17 people felt satisfied with their appeal preferences, 2
felt better, and 3 felt worse.
The highest mean value was 8.4 for the evaluation of artistic preference for light use,
while the lowest mean value was 7.6 for the evaluation of visual adaptability and appeal
preference. 17 people were satisfied with the degree of realism of the exhibits in the
museum, 2 felt better, 1 felt worse, and 1 felt very bad. For the degree of light source color
preference: 15 people felt more than satisfied, 4 people felt satisfied, and 2 people felt
poor; 14 people were satisfied with the details of the exhibit, 6 felt normal, and 1 felt poor.
15 people felt satisfied with the three-dimensional representation, 4 felt normal, and 2 felt
poor. 14 people were satisfied with the clarity of the exhibits, 5 felt better, and 2 felt worse.
14 people were satisfied with the clarity of the outline of the exhibit, 6 felt normal, and 1
felt poor. 14 people were satisfied with the brightness of the exhibit, 6 felt better, and 1 felt
worse. 14 people were satisfied with the visual adaptability, 6 felt better, and 1 felt worse.
14 people were very satisfied with the pleasure in their hearts, 6 felt better, and 1 felt
worse. 8 people felt very satisfied with the artistic preference of using light, 12 felt better,
and 1 felt worse. For the appeal preferences: 5 people were very satisfied, 15 people felt
better, and 1 person felt worse. The highest mean value was 8.5 for subjective visual
comfort, and the lowest mean value was 7.6 for light source color preference.
Using the entropy weight method to weigh the influencing factors in the questionnaire; if
the amount of data information of a certain factor is larger, the entropy value will be
smaller, and instead, it should be given greater weight.
After screening, the factors affecting the lighting of the museum's environment, such as
the degree of realism of display color, the degree of light source color preference, the
display detail expression, the three-dimensional expression, the display texture definition,
the display outer outline definition, the display brightness acceptance, the visual
adaptability, the psychological pleasure, and the degree of light artistic preference, were
selected, and the test questionnaire data were processed to form a matrix. In order to
ensure that the data will not be affected by dimensions during use, it is convenient to
establish a comprehensive index and standardize the data to obtain a normalized matrix
rnm. According to the entropy weight theory, the entropy value of the index of item j is
calculated using Equation 3, and the entropy weight (weight) of the index of item j is
calculated using Equation 4.
(3)
In Equation 3:
,
,
,
,
(4)
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In Equation4:
,
,and
In the subjective evaluation of temporary exhibitions, the secondary weight of the degree
of realism of the exhibits was 20 %, the weight x 10 was 16.2, and the degree of light
source color preference corresponded to 5 % and 3.8%; The detail of the exhibits
corresponded to 10 % and 8.3 %, respectively. The expressive force of stereoscopic
impression corresponded to 5 % and 4.1%; The texture definition of the exhibits
corresponded to 5 % and 4.1%; The outline definition of the exhibits corresponded to 5 %
and 4.0%; The brightness acceptance of the exhibits was 5 % and 4.1%; The visual
adaptability corresponded to 5 % and 4.0%; The subjective visual adaptability
corresponded to 5 % and 4.3%; The ‘happiness in my heart’ corresponded to 5 % and
4.0 %, respectively. The artistic preference of light usage corresponded to 20 % and
16.4 %. The appeal preferences corresponded to 10 % and 7.7 %.
In the subjective evaluation of the hall, the brightness acceptance of the exhibits was
10 % and 8.1; The visual adaptability corresponded to 10 % and 7.7; The subjective visual
adaptability corresponded to 10 % and 8.0; Feelings of happiness corresponded to 10 %
and 7.9 % respectively. The artistic preference of light usage corresponded to 40 % and
34.4 %. The appeal preferences corresponded to 20 % and 15.2 %, respectively. The sum
of the attack weights x 10 was 81.3.
In the corridor subjective evaluation, the brightness acceptance of the exhibits was 10 %
and 7.4; the visual adaptability corresponded to 10 % and 6.9; the subjective visual
adaptability corresponded to 10 % and 7.5; feelings of happiness corresponded to 10 %
and 7.0 %, respectively. The artistic preference of light usage corresponded to 40 % and
29.2; the appeal preferences corresponded to 20 % and 12.8 %; the attack weighted
value x 10 totaled 70.8. Analysis of the subjective evaluation results of the museum hall
showed 5 people were satisfied with the brightness acceptance of the museum exhibits,
14 felt better, and 1 felt worse. 5 people were satisfied with the visual adaptability, 14 felt
better, and 1 felt worse. 7 people were satisfied with the subjective visual comfort, 12 felt
better, and 1 felt worse. 4 people were very satisfied with their happiness, 15 felt better,
and 1 felt worse. 10 people fond of using light art felt very satisfied, 9 felt better, and 1 felt
worse. For the appeal preferences, 5 people felt very satisfied, 13 people felt better, and 2
people felt worse. The highest average was 8.6 for the artistic taste of light consumption,
while the lowest average was 7.6 for appeal. Analysis of the subjective evaluation results
of the museum corridor showed 3 people were satisfied with the brightness of the
museum's exhibits and 19 felt better. For visual adaptability, 2 people felt very satisfied,
20 people were more satisfied; 5 people were satisfied with the subjective visual comfort
and 17 felt better. 3 people were satisfied with their psychological pleasure, 17 felt better,
1 felt worse, and 1 felt very bad. 3 people with an artistic preference degree of light felt
very satisfied, 18 felt better, and 1 felt worse. For the appeal preferences, 2 people were
very satisfied, 15 people were satisfied, 3 people felt poor, and 2 people felt very poor.
The highest mean value was 7.5 for the subjective visual comfort, and the lowest mean
value was 6.4 for appeal.
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3.4 Emotional quantitative evaluation and calculation
Through the variability within and between observers, the root mean square value (RMS)
on the emotional scale was used to test the uncertainty of the experimental evaluation
data. Variability within the observer indicated how well the observer's response was when
repeated under the same evaluation conditions. The difference between the observers
indicates the degree to which the responses of the observers are consistent with the
average values within the group. In addition, the RMS value can determine the
consistency of the two data sets (Equation 5). The smaller the RMS value, the greater the
consistency between the two data sets. The higher the RMS value, the worse the
consistency within or between observers. The change of the root mean square value
depends on the scale range of the dataset. For variability within that observer, xi and yi
represent the first score and the second score of the individual observer of the I - th
stimulus, respectively. For variability among observers, yi is the score of the individual
observer for the I stimulus. Xi is the average score of all observers for the I stimulus; N is
the total number of stimuli.
RMS=
(5)
Adding the measured data to the emotional quantitative evaluation and substituting it into
Equation 5 shows a high consistency with the following RMS numerical quantitative
values.
Table2. Root-mean-square (RMS) values of inter- and intra-observer variability
Intra-observ
Intra-observ
No.
Emotional scale
er variability
er variability
1
Colorful/Dull
0.89
0.37
2
Bright/Dark
0.84
0.35
3
Warm/Cold
0.90
0.36
4
Relaxing/Tense
0.83
0.39
5
Soft/Hard
0.96
0.44
6
Natural/Unnatural
0.92
0.46
7
Active/Passive
0.96
0.35
Comfortable/Uncomfortabl
8
0.92
0.43
e
9
Clear/Blur
0.92
0.35
10
Pleasant/Unpleasant
0.88
0.38
11
Classic/Modern
0.92
0.37
12
High visibility/Low visibility
0.85
0.35
Mean
0.89
0.36
value
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3.5 Consistency verification of emotional response model
A purpose of this study was to develop erms for indoor lighting to watch the paintings in
the museum. Based on linear regression analysis, it is possible to accurately predict
component museum lighting with CCT and illuminance. Therefore, the RMS for installing
small-scale and large-scale spaces is expressed as a visibility model (VM) and a warm
model (WM), as given in Equations 6 and 7.
-3.03
VM=1.41x
WM=-0.39x(Tc/1000)+1.68
(6)
(7)
Based on the brightness, the VM fitting input (expressed as "e") of the small-scale and
large-scale spaces was derived. The range of e in Equation 4 is 50 - 500 CD/㎡. The WM
fitting for small-scale and large-scale spaces was derived using CCT as the input
(denoted as "TC"). The model with TC ranging from 2,700 K to 6,500 K, in Equation 5,
shows that VM is only related to the brightness level and WM is only related to the CCT.
Substituting the measured data from the museum into the correlation analysis of the
available scores and predicted dates, Figure 9 shows: (a) the visibility model (VM) in a
small-scale space, (b) the warm model (WM) in a small-scale space, (c) the visibility
model (VM) in a large-scale space, and (d) the warm model (WM) in a large-scale space.
According to the measured score, the predicted score, and the correlation report
coefficient (r), it can be seen that all models predict the visual results well and have higher
values of r between the predicted score and the rating score. The small-scale space
predicted scores were 0.95 (VM) and 0.96 (WM), and the rating scores were 0.94 (VM)
and 0.83 (WM), respectively. Here, the score refers to the average evaluation score
collected from all subjects, and the predicted score is calculated based on the
recommended erm (Equations 2 and 3). The WM r value (0.83) in a large-scale space is
slightly lower than that in a small-scale space (0.96).
Fig.9 Correlation analysis between rating scores and predicted date:
a
Visibility
model VM in small-scale space, b Warmth model WM in small-scale space,
c Visibility model VM in large-scale space, and d warmth model WM in
large-scale space
4. Discussion and summary
The evaluation of basic display light art preferences is relatively high, and the visual
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adaptability and appeal preferences need to be improved. The subjective visual comfort
of a temporary display is relatively high, and the degree of light source color preference
needs to be improved. The artistic taste of the hall lighting is high, and the appeal taste
needs to be improved. The corridor has a good subjective visual comfort but still has room
for improvement, while the appeal preference can generally be improved.
After analysis of the double light parameters (CCT and illuminance) in small-scale space
and large-scale space, it was determined that the mood of the audience in the museum is
influenced by illuminance and CCT parameters. [12] According to the illuminance and CCT
input, the consistency between the audience's emotional state and the corresponding
values was verified. All average scores were combined based on the results of the
principal component analysis.
Different exhibition halls and different spaces put forward the fitting erms expressed as
VM and WM. The model shows that VM is only related to brightness, and WM is only
related to CCT. It can be seen that all erm models predicted the visual effects well, and
the areas of lighting that make people feel comfortable in the museum, with a high
correlation coefficient, are more in line with Crusoe's law.
The distribution of light sources, the types of light source, and the optical parameters of
the light sources in the Liaoning provincial art museum were analyzed. Based on the light
effect alone, the traditional halogen light source has been used as the main lighting of the
exhibition for a long time due to its good color rendering, light distribution, and easy
adjustment of brightness. The low color temperature of the halogen lamps is 2,700 K,
resulting in poor brightness and vision, hence requiring a greater illumination which
virtually increases the exposure of the exhibits. According to the optical parameters of
each exhibit, halogen lamps have strong infrared radiation, so the amount of infrared
radiation will increase, especially for display cabinet lighting. The display's color reduction
degree, light source color preference degree, detail ability of the display,
three-dimensional display ability, texture definition of the display, outline definition, light
brightness acceptance degree, visual adaptability, and happiness in the heart are all
important factors for evaluating museum lighting. It is necessary to conform to the real
judgment of daily testers on the color of the exhibits. The light source color is in good
agreement with the expectation of appraisal. The stereoscopic effect and light color
comparison of the exhibits were exactly the same. Regarding the artificial nature of the
museum, attention should also be paid to the artistic expression of light. The overall
artistic effect, the import theme in line with the museum's own positioning and collection
characteristics, and the exhibition content should form a unified and coordinated whole.
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346
High-level business cases creation method by interpolating constraints
between present and future
Yuriko Sawatani
Nagoya University of Commerce and Business, Business School
Email: yuriko_sawatani@nucba.ac.jp
Abstract
Enterprises are required to create new services to meet various user needs, which are
changing rapidly, under uncertain business environment. They need to create various
business cases that cover wider requirements, and to make a suitable choice for providing
new services that meet and realize user needs in advance under business environment
changes. This paper proposes high-level business cases creation method by looking from
future states and interpolating constrains between the present and the future.
There are some limits for the current design methods based on technologies or business
to create a new service system. Meanwhile, it is difficult to accurately grasp a complex
business environment. Even if a business person (for example, a consultant) gathers to a
certain extent, words can not be understood by engineers. The followings show the core
of this method:
1. Express uncertainty as a virtual future
2. Regard the difference between the present and the future as a constraint condition in
viewpoint such as PEST analysis
3. Generate intermediate steps realized by eliminating or adding constraints
4. Make the intermediate step closest to the present a business case
These procedures have bridged the gap between technology and business as described
above and made it possible to generate many unique business cases in a short time. This
is because this method does not depend on strict technology or business expertise, it
adopts the expression of virtual future. In addition to improving the performance of the
proposal creation team that the members voluntarily discuss topics other than their own
special field, the best harvest of aggressive input from customers was obtained. Since
customer participation is indispensable to make the latent need of the potential needs
visible, it can be said that the effectiveness of this method has been confirmed.
Keywords: Service system, Design methods, Business model, Innovation management
1. Introduction
The transition towards the service industry in the Japanese economy has been noted, with
the service industry now making up more than 70% (Economic and Social Research
347
Institute 2010) of Japan’s gross domestic product (GDP). This “transition towards the
service industry” (OECD 2005) does not mean that industry is shifting towards tertiary
industry. Rather, it refers to a transition in the structure of industry, in which new service
systems which cut across different industries are being created at an accelerating rate.
The background to this change lies in the universalization of information technology.
Serving as a foundation for industry as a whole, information technology is giving rise to
new businesses connected with all industries. “Digital transformation” is making the world
a more complex place.
In recent years, companies have focused attention upon “design thinking” (Brown 2008 &
2009, Buchanan 1992, Design Council 2005), as part of repeated attempts to resolve
problems based on a human-centered approach. However, as systems centering on
human beings become increasingly complex, it is believed that the traditional style of
“design thinking” education carried out up to now will also need to undergo some changes
(Beckman & Barry 2007, Boland & Collopy 2004, Dunne & Martin 2006, Johansson‐
Sköldberg, Woodilla, & Çetinkaya 2013). Companies need not only to be able to resolve
social problems, but also to be able to discover problems in the first place (Kelly, & Littman
2001, Kimbell 2011). What is more, companies should establish methodologies which will
enable innovation not only for closed systems (in which it is easy for the same values to
be shared) but also for open systems featuring a high level of diversity.
In the wake of such trends, proposal-based education programs have now started at the
“design thinking” workshops being held at Stanford University and other institutions; at
such programs, in anticipation of the developments that are expected over the next 10
years, students learn how to discover new problems based on the idea of taking on
problems suggested by companies and proposing solutions to these. The areas which
have been the subject of focus in the traditional style of design thinking education, humancentered, technology and business, are in this new style of education, combined with
service system thinking and vision/strategy thinking. The aim is to fuse design thinking,
service system thinking and strategic thinking, building upon service design as a
foundation, when thinking about products, services and social systems (Blocker & Barrios
2015, Calas, Smircich, & Bourne 2009).
This means that, in a business environment that is undergoing dramatic changes,
companies need to provide new kinds of services which anticipate a diverse array of user
needs that change rapidly from moment to moment. Efforts to factor in the uncertain nature
of such ever-changing diversity and respond accordingly through the shortening of the
business strategy timeframe and usage of risk management tools, are now being
undertaken on a wider scale; meanwhile, however, we are also seeing more instances of
companies achieving major successes by viewing this kind of uncertainty as a new
business opportunity and making proactive efforts to deliver new services (Amit, & Zott
2001, Zott, Amit & Massa 2011).
In order to provide services which anticipate changes in the business environment,
348
including user needs, we need to generate a wide variety of business scenarios and then
select from these as appropriate. When doing this, we can assume that the greater the
number of business scenarios and types of business scenario generated, the more
uncertainties we will be able to cover. This paper will propose methods for efficiently
generating a variety of business scenarios, by treating uncertainties as “hypothetical
futures” and then filling in the gaps between the present and these hypothetical futures in
a step-by-step manner (Sawatani, 2013 & 2014, Sawatani, Carleton, & Cockayne 2015,
Strategic Foresight and Innovation).
2. Traditional methods and their limitations
When the scale of a business is small, it is usual for specialist planning staff to propose
business scenarios and new ideas for services that will realize such scenarios, based on
their knowledge of the industry in question and the latest information. When a business is
large in scale, however, investigations and analyses must be carried out in order to
formulate company strategies.
During the period when manufacturing industry exerted a major influence on matters in the
world at large (lifestyles, etc.) through the technology it provided, the technological
roadmaps created by companies tended to lead the needs of users; however, as
technology has become increasingly commoditized, performance and functions are no
longer sufficient as points of appeal; instead, companies need to develop business models
in which user-friendliness and ease of maintenance, etc. can be presented as packages
together with such points of appeal. To do this effectively, companies need to analyze the
market and understand the business environment, including that of their own company. In
other words, companies must seek out business scenarios by applying political, economic,
socio-cultural and technological (PEST) analysis, Five Forces analysis, strengths,
weaknesses, opportunities and threats (SWOT) analysis, value chain analysis and value
network analysis, which are standard for proposing business strategies. However, these
tools are used for understanding the present situation, and while they can be used
effectively given the hypothetical assumption that any future changes will be monolithic in
nature or can be forecast in advance to a certain extent, they are inadequate for
understanding situations that are undergoing dramatic change.
In cases where future changes are hard to perceive but factors that will have a major
impact on the business environment are envisaged, it is possible to analyze a number of
possible future trends by using methods such as decision trees, scenario planning or
simulations which incorporate game theory. These tools offer the advantage of sufficient
flexibility to enable them to respond in the face of future events that are taken into account
at the point when analysis is carried out; however, because they take the current business
environment as a starting point, this means that even when envisaging events that will
have a huge impact on the current state of business, these tools remain confined to the
scope that can be predicted from the current status, meaning that their ability to cover
uncertainties is limited.
349
Even in the case of innovations which will unleash major and irreversible change in the
world at large, such innovations will start out as niche markets in the beginning. As stated
hitherto, traditional tools which incorporate only those uncertainties that are related to the
current reality in some way will not be able to generate as wide a range of business
scenarios as approaches which envisage change in greater detail.
3. Deriving high-level business scenarios through interpolation of the present and
the future
An overview of the methods proposed in this paper is set out as follows:
Imagining possible futures in a free-thinking manner
Creating intermediate steps between the present and the futures that are generated
Creating business scenarios based on these intermediate steps
3.1 Creating business scenarios
Fig. 1 shows a block diagram setting out an overview of the method. The details of each
stage are described below:
Fig. 1: Overview of the method
3.1.1 Selecting the topic
Simply imagining future scenarios at random will merely result in numerous scenarios that
disintegrate halfway through without leading to any conclusions: therefore it is essential to
narrow down the envisioned scope to a certain extent. At its largest, the scope could cover
an industry as a whole; at its smallest, it could cover a specialized field, etc.
3.1.2 Imagining possible futures in a free-thinking manner
The reasons for the above-mentioned limitations of traditional methods lie in the fact that
the uncertainties that are factored into these methods primarily concern services that are
currently being provided and the business environments that surround such services. In
the method being proposed in this paper, attention has focused first of all on this point. In
350
other words, we have here attempted to incorporate uncertainties, by envisioning a distant
future which is set at an extremely large gap with the present situation. The best way to
do this is to come up with statements along the lines of “There will be one world”, etc.,
based upon free-thinking ideas, rather than the kind of predictions seen in technological
roadmaps such as “YY can be accomplished by year XX.” Furthermore, no limitations are
imposed in terms of granularity.
In the wake of advancing globalization triggered by information technology such as the
Internet, it is important for companies to discover differentiation factors from users’
perspectives, as opposed to providers merely promoting competitiveness in products and
services in a one-sided manner. This means that when we are considering hypothetical
futures, the key to this method lies in the products of free-thinking imaginative powers that
are not constrained by formulaic rules or existing knowledge. Needless to say, if the user
allows his or her imaginative powers to run completely wild, any outcomes that are
ultimately obtained are likely to prove meaningless, so it is desirable that this is done in an
appropriate manner. The authors have used their collective expertise of a certain kind, and
a commentary is given in Section 3.1.4.
3.1.3 Investigating cutting-edge examples
Cutting-edge examples, which are the products created by the intermediate steps in the
next stage, were then investigated. Methods are unspecified: they could include searching
on the internet using selected topics as keywords, or using a variety of white papers; any
problems which have been surmounted (such as discovering new methods of application
for mature technologies or relaxing regulation) are also set out.
3.1.4 Creating intermediate steps between the present and the futures that are
generated
Next, interpolation is carried out, by inserting a number of intermediate steps between the
present and the hypothetical futures. This method, consisting of interpolating intermediate
steps between the present and the future, is known as “IoFT” (Strong 2007). This fills in
the gap between the present and the future, using checkpoints resembling those in a
technological roadmap. In the method set out in this paper, all factors including society,
economy and politics are taken into account in addition to technology, so a certain amount
of ingenuity is required in order to do this. In other words, the current reality and future are
to be connected in accordance with the following steps:
A. Think of the envisaged future as a free system, and think of the current reality as a
constrained system which imposes various constraints on the free system. There are a
number of constraints, and each of these can be independent, can exist in combination,
or can exist within a system of mutual interdependence.
B. As the constraints are loosened, a world of expanded possibilities can be realized.
Conversely, as constraints are imposed, this gives rise to a world which is constrained in
some parts. This is referred to as the “intermediate steps.” If constraints are still found
351
within the intermediate steps, lifting these will give rise to the next intermediate steps.
Conversely, imposing more constraints will result in the creation of more constrained
intermediate steps.
Fig.
2
Creation of intermediate steps through the elimination of constraints
There are two directions that interpolation can take. These can consist of creating freer
intermediate steps that are oriented towards the future through progressively lifting current
constraints, or creating more constrained intermediate steps oriented towards the present
through progressively imposing constraints on the future. The creation of intermediate
steps oriented towards the future from the present includes the cutting-edge examples
investigated in 3.1.3.
Fig. 3 Creation of intermediate steps through the addition of constraints
The constraints and intermediate steps are connected in the two-way manner described
in the previous paragraph; when the path to which this is to be connected is decided during
the process, this will result in the path for reaching the future from the current reality being
obtained. A number of paths can be created, depending on the order in which the
constraints are lifted or imposed. These different paths may either branch off or converge,
but each single route leading from the current reality to the future (duplications being
permitted) is referred to as a single story “candidate.” After carefully investigating the
naturalness of the order of the constraints and intermediate steps, we then select a story
candidate with good characteristics, which is referred to as a “story.” A collection of all the
stories which connect the current reality and future as a pair is referred to as a “scenario.”
352
Fig. 4: Creating paths through the combination of steps
In addition, after a template describing the various scenarios has been set out, the task of
analysis following this can then be carried out systematically. An example of this is
described below.
Fig. 5 Template for a case description
3.1.5 Creating and evaluating business scenarios
Out of the intermediate steps that make up each story in a scenario, the steps that are the
closest to the present are selected and are considered the “business scenario.” The
business scenarios created through this process incorporate uncertainties within a
configuration that eliminates constraints. Creating a greater number of stories results in a
greater number of business scenarios incorporating many different kinds of uncertainty,
which serves to achieve the creation of wide-ranging and diverse business scenarios that
is the initial goal of this process. Each business scenario is then evaluated in terms of the
ease of eliminating constraints and the service and the interests that are vested in it, and
assigned a priority; the business value of the scenario is then discussed as a potential
candidate for providing as a new service. If the decision is taken to adopt it, a cutover
period is adopted during the process of developing the system out of the normal
requirement definitions.
4. Case study
353
In this section, the “Digital Me retail banking” case study will be explained as an example
of how this method can be applied. Various examples will also be used to explain about
the methods used to create the image of the future that was used in this case study.
4.1 Selection of the topic, and the background
As the first stage of creating the scenario, the topic was selected. “Retail banking” as
described below was selected as the topic. Payment operations (which here refers to
interactions using actual money and physical articles, etc. when settling debts and credits
which arise as a result of transactions), which form the central operations for retail banking,
have undergone the unbundling of various functions (payment methods, indication
methods and access methods); the unbundling of these functions has given rise to
changes in a variety of methods and encouraged the provision of new services. Changes
in these methods are as follows.
Payment methods (money (credit currency), bank deposits, electronic money)
Indication methods (application forms at bank desks (withdrawals, bank transfers,
etc.), bank cards, credit cards, debit cards, cellphones, IC cards, checks, promissory
notes)
Access methods (bank desks, ATMs, readers in stores, telephones, computers, ticket
gates at stations)
Customer values and purposes of usage are becoming increasingly diverse in line with the
growing diversity of access methods. For this reason, a wide range of different industry
types including non-banking sectors such as communications and transportation are
entering this field, and a wide range of services are being provided in line with this trend.
As such services expand and as their value grows while access methods become
increasingly diverse, this results in increasing complexity in management terms, such as
when attempting to build up a picture of transactions as a whole. Solutions known as
“account aggregation” have therefore begun to appear, these being services which
integrate different bank accounts. In this example, “personal aggregation” was selected as
a topic, referring to the aggregation of personal bank transaction information which is a
widespread form of account aggregation.
4.2 Imagining futures
Next, we imagined possible futures in terms of the future that can be imagined surrounding
this kind of retail banking. To sketch out this future, we undertook a PEST analysis (one
type of macro-analysis method) as an input. In a PEST analysis, changes in the
environment are understood through analysis of the following elements.
P: Politics
E: Economy
S: Society
T: Technology
To sketch out an image of the future more than 10 years hence, we used information taken
from IBM’s internal company resources, such as Global Technology Outlook (GTO) which
354
covers technology trends, IBM Institute for Business Value (IBV) which gathers together
industrial trends and cutting-edge examples, Global Innovation Outlook (GIO) which takes
a broad perspective of society and government, and Innovation Jam in which large
numbers of participants discuss innovation over the internet based on changes in
technology and industry.
Fig. 6 Inputs for the future innovation
The picture emerging from these inputs suggests that the outcomes of transactions
connected with a variety of individuals are being digitalized, and that this is leading to the
provision of new services that make use of digitalized personal financial information and
information that individuals have created, etc. Due to the digitalization and standardization
of business documents which are exchanged between both financial institutions and other
companies, it is expected that there will be an expansion in the range of options for
responding to new customer values and purposes and providing services to meet these
needs while at the same time different roles are assigned to different players, as a result
of the unbundling and integration of traditional services, particularly for retail finance
functions which are characterized by ballooning numbers of customers and a highly
diverse range of needs. In Innovation Jam, this trend has been summarized in the form of
the “Digital Me” concept, an orientation for creating new values through the aggregation of
a variety of personal information including not only financial information of this kind but
also photographs, video and files. In this scenario, we have chosen to refer to this image
of the future using the phrase “Digital Me retail banking.”
4.3 Investigating cutting-edge examples
Next, we undertook an investigation of cutting-edge examples. In North America, account
aggregation solutions are provided by companies with a technological base, with the
services that are administered by banks then being provided based on partnerships with
such companies. Forms in which services are being provided include client-side services
where the software is introduced into individuals’ PCs from which account information can
355
be accessed, server-side services which make use of web browsers, and mobile services
which represent an evolution of the two other forms of service. The services provided
consist primarily of portal functions for bank account information, credit card information
and the like. The data acquired will vary greatly depending on the various providers,
meaning that the analysis of integrated data (the area in which analysis would be genuinely
valuable) is something that is yet to be accomplished. Furthermore, the scope of these
services remains confined to that of accessing data, while processing, analysis,
coordination and other transactions are carried out by logging onto the service sites of
individual providers.
4.4 Interpolation between the present and the future
The next step is interpolating intermediate steps between the present and the future. This
fills in the gap between the present and the future, using checkpoints resembling those in
a technological roadmap. In the method set out in this paper, all factors including society,
economy and politics are taken into account in addition to technology, so a certain amount
of ingenuity is required in order to do this.
In the future, it will be possible to aggregate individuals’ financial information; should
services for analyzing such aggregations be carried out, what restrictions will there be?
Although some companies are already electronifying financial transaction information,
enabling online access and providing such services in order to realize this kind of future
image, most companies still continue to provide information in paper-based formats. First
of all, it is crucial that progress is made with ensuring that companies connected with
financial transactions are participating in the electronification process, with the
standardization of information, with electronification including that of general retail
shopping, and with the standardization of relevant information. In line with this, it will be
necessary to enhance the components associated with aggregation and the provision of
services for accessing these kinds of information. Once these areas are enabled, personal
aggregation will be achieved.
Once information has been thus integrated, financial consultation aimed at individuals will
be provided, aiming to offer analysis and advice related to these areas. If the providers of
such services are already providers of personal aggregation services, this will allow such
personal consultation services to be provided via the same platforms. Such companies will
therefore be able to open up their platforms to be used by other companies to provide
different consultation services, rather than providing such consultation services
themselves, making it possible for a wider range of demands to be fulfilled and allowing
the Digital Me financial service concept to become a reality. The preconditions that are
required for this include meeting technological challenges such as security and single signon functions and setting policies regarding personal information, these being areas which
have become constraining factors upon account aggregation. Here, rather than looking at
all of these constraining factors, we will confine our discussion to presenting a simplified
story for the purposes of explaining the method.
356
4.5 Creating business scenarios and describing them in detail
Out of the intermediate steps that make up each story in a scenario, the steps that are the
closest to the present are selected and are considered the “business scenario.” Each
business scenario is then evaluated according to the following points, and assigned a
priority.
Preconditions for spreading
Effects on the ecosystem
Advantages from the perspective of society/customers
Advantages from the perspective of service providers
In this scenario, we assigned a level of priority through comparison with other scenarios
after taking into account the environment in which the electronification of information
relating to financial transactions is being encouraged, the impact that this will have on
current business systems and the value to customers, and evaluating the fact that this can
be resolved by service providers themselves and the effects and advantages of this.
Fig. 7 Digital Me Retail Bank case
5. Considerations
The authors were led to consider this method due to awareness of limitations that are
faced when discussing new service proposals based on technology. In the case of highlevel technologies, the proposals that are made tend to be merely improved forms of the
current model in terms of performance and functions, and do not show much differentiation.
Meanwhile, it is difficult to capture an accurate picture of a complex business environment;
even if the picture can be summarized to an extent by people working on the business side
(for example, consultants), such a summary is likely to contain a series of words that
cannot be understood by engineers. The following steps, which lie at the heart of this
method
Expressing uncertainties as hypothetical futures
357
Treating differences between the present and future as constraints from PEST
analysis perspectives and other perspectives
Creating intermediate steps that are realized through the elimination and addition of
constraints
Using the intermediate steps that are closest to the present time as the business
scenarios
have enabled us to fill in the gaps between technologies and businesses as described
above, allowing us to create large numbers of unique business scenarios in a short period
of time. This method is characterized by the fact that, because it does not depend on an
excessively demanding level of technology or specialized knowledge of business and uses
the expression “hypothetical futures,” it ensures that discussions are not broken off half way through for trivial reasons; as a result, this method not only boosts the performance
of proposal creation teams in which members need to take the initiative in investigating
topics that lie outside their own specialized domains based on their own free-thinking ideas,
but also produces the best results in terms of getting proactive inputs from customers. The
participation of customers is indispensable for ensuring that latent needs are actualized,
and it is fair to say that the effectiveness of this method has been confirmed in this regard.
Moreover, since the aim of this method is to create large numbers of business scenarios
that will become potential candidates for final proposals, attention should also focus on
the ways in which this method fundamentally differs from the traditional IT research
methods which are aimed at coming out with ideal solutions. As business is an area in
which the human factor has a strong presence, there is resistance to the very notion of
business being formulated in numerical terms; it is therefore unlikely that there is any ideal
solution to this puzzle, and even if one were to suppose that an ideal solution could be
found, such a solution is likely to be greeted with little enthusiasm or acceptance, because
it would be seen as robbing human beings of the right to make decisions. This method, on
the contrary, is characterized by the way it proactively incorporates uncertainties through
allowing debate along flexible lines and expresses indeterminate conclusions in the form
of multiple ideas, thereby allowing the ultimate decisions to be made by human beings,
enabling the most effective proposals to be reached.
6. Future research
When applying this method, we had IT researchers and consultants form a team, and
adopted a consulting project style. The practical operation was almost all done manually
in line with the framework; if the routine tasks could be semi-automated without sacrificing
the uncertainties, this would be likely to improve efficiency.
In specific terms, this method extracts constraints that express the gap between the
current reality and the hypothetical future and combines these, as well as evaluating
whether the result is good or bad. We anticipate that work will take place by clustering the
discussions between members and a variety of documents using text mining technology,
treating this as a starting point, and then making adjustments to this.
358
In addition, the initial topic selection has an impact on the expansion of the debate later.
In this paper, we used internal resources, but should technology for searching hotspots
become available as discussed in the news and commentary in internet-related sites and
industrial journals, this is likely to have a major effect.
The practical operation was almost all done manually in line with the framework, and if the
routine tasks could be semi-automated without sacrificing the uncertainties, this would be
likely to improve efficiency. In specific terms, this method extracts constraints that express
the gap between the current reality and the hypothetical future and combines these, as
well as evaluating whether the result is good or bad. We anticipate that work will take place
by clustering the discussions between members and a variety of documents using text
mining technology, treating this as a starting point, and then making adjustments to this.
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Author’s profile
Yuriko Sawatani is Professor of Management at Nagoya University of Commerce and
Business, and Director at Entrepreneurship Center. She received her Ph.D. at The
University of Tokyo. After working at IBM Research, she received a professor position at
Waseda University in 2013, and has the current position since April, 2018. She works in
partnership with companies, transforming organizations to digital era. Current work
includes MEXT Enhancing Development of Global Entrepreneur Program and its followon program. Her research investigates the design function of companies focusing on
Service Design, Innovation Management and Entrepreneurship.
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Creativity and Digital Literacy: Skills for the Future
Sandra M. Dingli and Leonie Baldacchino
University of Malta, Malta
Email: sandra.m.dingli@um.edu.mt
Abstract
Educators prepare students for the future, however, due to the exponential and constant
rate of change, it is difficult to predict which jobs will still be around for them or whether the
profession of their choice will remain a valid option. As Talwar et al. state, ‘for those aged
under eleven, the bulk of the jobs they’ll do probably don’t exist yet’ (2016, ¶8). Students
today spend hours daily on their devices and the question which arises is: How can
educators capitalise on the manner in which students are motivated by their digital devices
in order to enhance their creative thinking skills?
This paper argues for the view that creativity is a skill and that everyone has the possibility
to improve their creative thinking skills. It links creativity to digital literacy, which involves
elements of embodiment, and this enables the transfer of skills learnt to real life situations.
Today’s students are digital natives, born into the internet age with easy access to PCs,
mobile phones and tablets on which they can access multiplayer online games and virtual
worlds. They are raised in an environment where they encounter motivating and exciting
online challenges on a daily basis through online digital technology. Students acquire skills
and maintain their motivation while playing games online. Their motivation and imagination
are often aroused as they strive to move on to higher levels of the game which require
improved skills and increased collaboration.
Some forms of online learning include strategies for the transfer of skills from the online
environment into real life. One example is war game simulation where participants
experiment with strategies and where the consequences of online training provide learning
experiences for those involved.
The paper introduces the CREMO ‘Academy for Creativity’ e-platform
(https://academyforcreativity.com/) which is the result of work by academics from five
countries over three years. The platform incorporates games which enable students to
acquire transferable skills, including creativity and digital literacy. Although creativity and
digital literacy have been studied extensively as key skills for young people, there is limited
literature on how they are related, and on how digital technology can be used to enhance
creativity among young people. This paper contributes to the literature on creativity and
creative education by linking creativity to digital literacy, and by introducing the ‘Academy
for Creativity’ e-platform which incorporates both creativity and digital literacy as skills for
the future.
The skills required today are no longer those that most people were taught at school or
university. Education should be geared to provide students with creative thinking skills,
digital literacy and an entrepreneurial mindset where opportunities are recognised and
individuals are prepared to take risks.
Keywords: Creativity, digital literacy, skill transfer, serious games, future
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1. Introduction: An Uncertain Future
Most of us would agree that a key role of educators is to prepare students for the future.
Teachers strive to develop their students’ full potential, and to enable them to become
responsible citizens who can sustain themselves in the world of work and life in general.
Traditionally, education has been geared at teaching students specific subjects to prepare
them for particular careers or professions. The message conveyed to students has generally
been to study hard, obtain qualifications, and seek employment, with the aim of attaining job
security and stability (Baldacchino & Pulis Xerxen, 2013).
However, due to the exponential rate of change which we constantly experience, it is difficult
to predict which professions or jobs will still be around in the future, whether the profession
of one’s choice will remain a valid option and, if so, for how long. As Talwar et al. (2016)
state, “for those aged under eleven, the bulk of the jobs they’ll do probably don’t exist yet”
(¶8). Quite a few jobs and professions have indeed become obsolete over the years. One
of the authors of this paper was, for example, trained to become a Telex operator, while her
parents were a telegraphist and a switchboard operator. None of these jobs exist today as
there have been huge changes, particularly related to information and communications
technology (ICT). Various industries have experienced an economic slump due to these
changes – one only needs to think of the reduction in the number of print copy newspapers
sold daily, the use of fixed telephone land lines or the amount of snail mail sent through the
post. Retail outlets, banks, supermarkets, travel agents and other customer oriented
industries have reduced their staff as they encourage customers to use online portals,
electronic check-out machines or internet banking.
Furthermore, job stability has decreased drastically over the years and the notion of a career
as it was traditionally perceived is fast becoming redundant, as was hypothesised by Flores
and Gray (2000). For the older generations, a career spanned most of a person’s working
life, but today there is a trend towards increased job mobility, internships, freelancing, and
fixed-term contracts in the so-called ‘gig economy’ (Kuhn, 2016). While the abovementioned telegraphist and switchboard operator were employed in those roles, with the
same organisations, for most of their adult lives until they retired, today’s young people will
most likely change their jobs several times throughout their working life (Flores & Gray,
2000). This may be due to pull factors such as young people’s desire to diversify their work
experience and an availability of a wider range of opportunities, or to push factors such as
organisational downsizing and redundancy. Whatever the reason, job mobility has become
the norm, and it is becoming increasingly evident that traditional methods of teaching and
learning are becoming outdated and need to be reconsidered.
The above begs the question: What should educators be teaching their students so that they
are well equipped to survive and prosper in a dynamic and uncertain future? There have, of
course, been various initiatives to address this question, and new pedagogies and policies
have been implemented. In this conceptual paper, we focus on creativity and digital literacy
as key skills for the future. We define creativity as the ability to generate ideas that are novel
and useful (Amabile, Conti, Coon, Lazenby & Herron, 1996) and digital literacy as the skilful
use of digital technology to process information and the ability to engage with digital
environments (Walton, 2016) – or, in other words, being “technology fluent” (Meyers,
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Erickson & Small, 2013, p. 356). We argue for the view that, like digital literacy, creativity is
a skill that everyone has the possibility to acquire and improve.
Moreover, we acknowledge that most young people today are digital natives (Tkalac Verčič
& Verčič, 2013) who spend hours daily on their digital devices – smartphones, tablets,
laptops, and PCs. Another question thus arises: How can educators capitalise on the
manner in which students are engaged with their digital devices, to enable them to acquire
and enhance their creativity skills? In this paper we link creativity to digital literacy, and argue
that the versatility of digital devices, and the platforms and applications set up on them, allow
for creativity skills to be developed and improved with practice over time in an
interdisciplinary manner. The main claims made in this paper incorporate the way in which
young people are motivated by their digital devices. We maintain that, when used in an
appropriate manner, these devices can foster creativity skills which are transferable to other
domains and real life situations.
Although creativity and digital literacy have been studied extensively as key skills for young
people, there is limited literature on how they are related, and how digital technology can be
used to enhance creativity among young people. In this paper we maintain that digital
literacy in general – and appropriately designed digital games in particular – can be used to
enhance creative thinking skills. We introduce an innovative e-platform for creativity training
which incorporates both creativity and digital literacy as skills for the future. In so doing we
make a contribution to knowledge on creativity and creative education.
This paper proceeds as follows: The next section reviews a selection of reports and
frameworks on the skills that are expected to be required in the future, highlighting the
importance of creativity and digital literacy. This is followed by a brief discussion on the
acquisition of skills in general, and creativity in particular. The link between digital technology,
games and online learning is outlined next, followed by an overview of the above-mentioned
e-platform for creativity training. A brief conclusion draws the paper to a close.
2. Skills for the Future
As outlined above, the skills required today are no longer those that most people were taught
at school or university, and a new approach to teaching and learning is required. Senge et
al. (2000) had drawn attention to the fact that bells ringing to signal a break or the end of the
school day and children sitting down for hours on end may have been suitable to prepare
students for work in the manufacturing industry, but the employment context – including in
manufacturing – has since evolved considerably. Education today consists of a lifelong
undertaking, and should be geared to provide students with skills (both hard and soft skills)
for the future. What are the skill sets that we need to instil in young people for the future?
Various reports and frameworks on future skills have been published over the past few years,
including those by the Institute for the Future (IFTF, 2011), the World Economic Forum (WEF,
2015), Bakhshi et al. (2017), and the Partnership for 21st Century Learning (P21, 2015). The
report published by IFTF (2011) specifically states that predictions of future jobs reported by
various studies have consistently proven to be difficult and that “many of the past predictions
have been proven wrong” (p. 1). Their report therefore focuses on future work skills (as
opposed to future jobs), and proposes ten skill sets which will be of crucial importance in
2020, as listed in Table 1 below. Of most relevance to this paper is that “novel and adaptive
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thinking”, which is defined as a “proficiency at thinking and coming up with solutions and
responses beyond that which is rote or rule based” (p. 9) – and is therefore analogous to
creative thinking – is ranked third. Also of relevance to this paper is “new-media literacy”,
which refers to the “ability to critically assess and develop content that uses new media
forms, and to leverage these media for persuasive communication” (p. 10), and “virtual
collaboration”, which includes the “ability to work as a member of a virtual team” (p. 12) –
which are both related to digital literacy – were ranked sixth and tenth respectively.
The study by the WEF (2016) gathered the views of human resources managers and
strategy officers from leading global organisations on what were the most important skills
that employees possessed at the time of the survey (in 2015), and what skills would be most
important five years later (in 2020). The top 10 current and prospective skills that were
identified in this study are also presented in Table 1. It is interesting to note that creativity
was ranked tenth in 2015, but it was expected to rise to third place by 2020. Furthermore,
complex problem solving, which may be argued to require creative thinking skills, was
ranked first both currently and prospectively.
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Table 1: Top 10 Skills identified by the WEF (2016), IFTF (2011), and Bakhski et al. (2017)
Rank
Top 10 Skills in 2015
(WEF, 2016)
Top 10 Skills in 2020
(WEF, 2016)
Top 10 Skills in 2020
(IFTF, 2011)
Top 10 Skills in 2030 (US)
(Bakhski et al., 2017)
Top 10 Skills in 2030 (UK)
(Bakhski et al., 2017)
1
Complex problem solving
Complex problem solving
Sense Making
Learning Strategies
Judgment & Decision-Making
2
Coordinating with others
Critical thinking
Social Intelligence
Psychology
Fluency of Ideas
3
People management
Creativity
Novel & adaptive thinking
Instructing
Active Learning
4
Critical thinking
People management
Cross-cultural competency
Social Perceptiveness
Learning Strategies
5
Negotiation
Coordinating with others
Computational thinking
Sociology & Anthropology
Originality
6
Quality control
Emotional intelligence
New-media literacy
Education & Training
Systems Evaluation
7
Service orientation
Judgement & decision making
Transdisciplinarity
Coordination
Deductive Reasoning
8
Judgment & decision making
Service orientation
Design mindset
Originality
Complex Problem Solving
9
Active listening
Negotiation
Fluency of Ideas
Systems Analysis
10
Creativity
Cognitive flexibility
Active Learning
Monitoring
Cognitive load management
Virtual collaboration
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The Bakhski et al. (2017) report asks: “given the likely drivers of change in future labour
markets, which occupations will grow or decline in demand by 2030 and what will their skills
profile be?” (p. 19). This study presents separate findings for the US and the UK, with several
skills, knowledge and abilities ranked according to the expected future demand for
occupations in these two countries. The top ten of these are listed in Table 1. It is noteworthy
that in both the US and the UK, originality and fluency of ideas are expected to be among
the top 10 skills for employment in 2030, with a higher ranking in the UK, where fluency of
ideas is in second place and originality in fifth. Complex problem solving also made it into
the top ten for UK-based occupations. Originality and fluency of ideas are both widely
considered to be characteristics of creative thinking (Guilford, 1986; Torrance, 1974) and,
as noted above, complex problem solving may require creativity skills.
The P21 (2015) developed a ‘Framework for 21 st Century Learning’, which identifies the
skills and knowledge that students need to acquire to be well-equipped to face the
challenges of the future. This framework includes four key “learning and innovation skills”
which are increasingly recognised as “the skills that separate students who are prepared for
increasingly complex life and work environments in the 21st century, and those who are not”
(p. 3). These skills, which are referred to as the ‘4Cs’ are creativity, critical thinking,
communication, and collaboration. According to this framework, ‘creativity’ includes the
ability to think creatively, to work creatively with others, and to implement innovations. This
framework also includes four “information, media and technology skills” (p. 5), which include
information literacy, media literacy, and ICT literacy.
While the above is by no means an exhaustive review of the studies and reports that have
been published on the skills that are expected to be in demand in the years to come, it is a
clear illustration that creativity and related thinking skills, together with digital literacy, are
widely believed to be key skills for the future. The focus on creative thinking supports the
views of various authors, including the Lateral Thinking guru Edward de Bono, who
maintains that “what is going to matter is the ability to design and deliver value. That needs
creative and design thinking” (de Bono, 2005, p. 4), and of futurists Talwar et al. (2016), who
state that:
We need to be equipping them [young people] with the skills that will allow them
to take up these new opportunities when they arise. This means a far greater
emphasis on social and collaborative skills, conflict resolution, problem-solving,
scenario thinking, and accelerated learning (¶8).
Unleashing the creative potential of students can thus be seen as an antidote to the
challenges that are being brought about by the changing environment. It enables the
possibility of embracing change, dealing with uncertainty, fostering imaginative thinking and
searching for innovative ways to resolve problems. It further enables increased possibilities
for new ideas to be converted to start-up enterprises and for increased entrepreneurship
opportunities. This is in line with the European perspective, where policy makers have
identified “a sense of initiative and entrepreneurship” as a “key competence for life”. This
key competence is described as:
An individual's ability to turn ideas into action. It includes creativity, innovation
and risk-taking, as well as the ability to plan and manage projects in order to
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achieve objectives. This supports individuals, not only in their everyday lives at
home and in society, but also in the workplace in being aware of the context of
their work and being able to seize opportunities (European Commission, 2006, p.
17).
3. Acquiring Skills
It is clear that students need to acquire the above-mentioned skills that will be useful today
and in the future, but how can they do so? Traditional methods of teaching and learning are
inadequate to impart these skills for the future, and new approaches and tools are therefore
required. Such approaches should acknowledge that skills are not acquired merely through
reading or understanding particular instructions. Reading a ‘how to ... ’ manual can hardly
develop the skills required to become, for example, a successful Formula 1 Grand Prix driver,
an orchestra conductor, a world famous violinist, or an Olympic marathon runner. Skill
acquisition requires deliberate practice, which involves focused, frequent and sustained
efforts to improve performance (Ericsson, Prietula & Cokely, 2007). As noted by Klein (2003),
“deliberate practice means not just practicing to practice, amassing experience randomly,
but practicing with specific objectives in mind” (p. 37). These objectives should be related to
competence improvement, or in other words at enhancing the desired knowledge, skills and
performance (Unger, Keith, Hilling, Gielnik & Frese, 2009).
Muller (2015) addresses the question: “What kind of knowledge is ‘know-how’, and how
might it vary?” (p. 414), followed by a discussion on what he calls “three different kinds of
‘know-how’ knowledge” (p. 414), these being inferential know-how, procedural know-how
and personal know-how. There is, moreover, debate on how skills can be described for
educational purposes, as Muller (2015) states in a paper that tackles the knowledge versus
skills debate:
The problem of skills stipulation in STEM as elsewhere in education is that it is
very hard to describe skills (or ‘techniques’ or ‘outcomes’ and other ‘can do’
surrogates) in other than general or generic terms, which right at the outset
obscures the speciality and differentiation of the knowledgeable practice in
question (p. 414).
Although this is an interesting and relevant debate, it would go beyond the aims of this paper
to delve deeper into the knowledge versus skills debate or on the debate on whether skills
differ from abilities and how they could be described in a less generic manner. Our focus is
on transferable skills while simultaneously acknowledging the importance of theoretical
knowledge that underpins so many subject areas.
Learning a skill involves various stages, starting from a novice and moving on towards
becoming a Master or expert. Dreyfus (2001, 2009) outlines these stages as follows: (1)
Novice – At this stage one experiences the first stages of a new skill such as driving, playing
a musical instrument or learning a foreign language. Initially the novice learns some basic
rules and information about the domain; (2) Advanced beginner – This stage involves
elements of motivation as, for example, in learning some phrases in a foreign language that
may be used for basic communication in particular contexts and applying certain rules that
are learnt; (3) Competence – At this stage the learner feels that he or she has acquired a
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reasonable amount of competence with the skill which allows for decisions related to
relevance and discernment. It is often at this stage that a learner decides to either move on
to the next stage or to retain this level of competence; (4) Proficiency – This is the stage
between competence and expertise where experience gained is internalised and problems
are intuitively resolved; (5) Expertise – Experts are easily recognised as they generally
exhibit fluency and an element of effortless ability when applying a skill, particularly when
there are goals to be achieved; (6) Practical wisdom – This is the level achieved by those
who are recognised as sages, chess grandmasters, Olympic medallists, concert pianists or
Formula 1 Grand Prix drivers, amongst others.
It is not a simple task to move up to the stages of expertise and practical wisdom and few
people actually do so, as this would require an investment of a tremendous amount of time
and effort. A widely accepted norm is that a minimum of 10 years’ experience are required
for the acquisition of expertise in a given domain (e.g., Weisberg, 1999). This so-called
‘Ten-Year Rule’ is sometimes interpreted in terms of the number of hours of practice required,
estimated to be between 10,000 and 15,000 hours over a number of years (Sadler-Smith,
2008, 2010).
Although expertise is not easily attainable, most people are able to acquire various skills up
to the competence or proficiency stage, where such skills become ‘second nature’ and part
of one’s unconscious way of doing things such as driving a car, swimming or using a
keyboard to input data. This should be borne in mind when designing tools and approaches
for skill acquisition.
4. Acquiring Creativity
What does it mean to be creative, and how can creativity be acquired? Senge et al. (2000)
proposed an insightful description of what it means to be a creative human person:
Creative human beings try to conceive problem solutions differently, examining
alternative possibilities from many angles. … Creative people take risks and
frequently push the boundaries of their perceived limits. They are intrinsically
rather than extrinsically motivated.… Creative people are open to criticism, they
hold up their products for others to judge and seek feedback in an effort to refine
their technique. They are uneasy with the status quo (p. 201).
As the above quotation demonstrates, it is possible to outline what a creative person is.
However, there is still a great deal of debate on whether creativity can be taught or whether
it is an innate talent that only some people are born with. Our view is that creativity is a skill
that can be taught, and therefore acquired, improved and internalised just like any other. We
believe that all human beings are born with the potential to be creative – albeit to varying
degrees – but this potential needs to be nurtured through regular, appropriate practice in a
supportive environment in order to flourish. This is in line with the views of various creativity
experts, such as Sir Ken Robinson (2006) who challenged the way the education system
stifled creativity in his TED Talk entitled ‘Do schools kill creativity?’, and Edward de Bono,
who has often made the claim that thinking is a skill (e.g., 1984, 2007).
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Various methods are available which can be used to enable individuals to acquire and
enhance creativity. One of the simplest exercises that can be carried out for this purpose is
to apply divergent thinking to everyday objects. Divergent thinking refers to the generation
of multiple responses or solutions to a particular stimulus or problem, by “making
unexpected combinations, recognizing links among remote associates, transforming
information into unexpected forms, and the like” (Cropley, 2006, p. 391). This is regarded
as a key skill in creativity as it enables individuals to get into the habit of generating multiple
ideas. Applying divergent thinking to everyday objects by, for example, thinking of many
different (and unusual) uses for common items like a paperclip, a brick, a box, or a sock, is
thus seen as a simple yet relevant practice for creativity.
Edward de Bono proposed a number of different methods and tools which include Lateral
Thinking, the Six Thinking Hats, and the PoP (Power of Perception) Tools (formerly known
as DATT: Direct Attention Thinking Tools). As de Bono had studied medicine and
psychology before moving into the area of creativity, he outlines the manner in which his
methods are based on the way the human brain functions in his publication The Mechanism
of Mind (1969). He maintains that the thinking skills which he designed can be learnt through
regular practice, and that they enable the broadening of perception which, in turn, leads
towards increased creativity. Some may seem awkward or difficult to the uninitiated but, with
practice, the skill can become second nature and it may then be applied to various domains.
There is no consensus on whether skills such as creativity should be taught independently
of the curriculum or incorporated into particular subjects. There are, of course, advantages
and disadvantages to both approaches, but it is beyond the scope of this paper to address
this debate. As outlined in the introduction, this paper set out to discuss creativity and digital
literacy as key skills for an uncertain future, and to explore how educators can capitalise on
the manner in which students are engaged with and motivated by their digital devices in
order to enhance their creativity. The sections presented thus far have focused on the first
aspect of the paper. The second aspect is explored next.
5. Digital Technology, Games and Online Learning
Digital technologies available for online learning have evolved a great deal during the past
couple of centuries. Today’s students are digital natives (Tkalac Verčič & Verčič, 2013), born
into the internet age where active participation through online digital technology is a central
part of their lives. They are raised in an environment where they encounter motivating and
exciting online challenges on a daily basis, and they have easy access to devices such as
mobile phones and tablets on which they can access multiplayer online games and virtual
worlds.
McGonigal (2013) claimed that scientific research demonstrates the positive and negative
impacts of games and how they affect users’ brains and bodies. In her view:
Games change how we feel, think, act, and relate to each other even during the
hours we’re not gaming. Most game impacts are positive, some can be negative,
and the design of the game — more so than the content of the game — is what
makes the difference (¶4).
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McGonigal (2010) strongly feels that better use could be made of the time which young
people spend playing games online, such as attempts to resolve the world’s most urgent
problems. She has claimed that three billion hours are spent on online gaming each week.
Although this may sound like an excessive amount of time, she suggests that much more
time should be spent playing games online to resolve some of the world’s most urgent
problems:
If we want to solve problems like hunger, poverty, climate change, global conflict,
obesity, I believe that we need to aspire to play games online for at least 21 billion
hours a week, by the end of the next decade” (¶3).
Well-designed online games challenge and motivate gamers to approach failure and
problem solving in a different way. Their imagination is often aroused as they strive to move
on to higher levels of the game which require improved skills and increased collaboration.
Gamers learn to be resilient and to achieve success by overcoming challenges, rather than
becoming anxious, depressed, and frustrated, as often happens when they are faced by
problems in real life. Games provide students with challenges with the consequence that
their use of educational games which are well designed makes them enjoy learning through
play. Students are today motivated and empowered by well-designed games that make
learning enjoyable and foster creativity.
Some forms of online learning include strategies for the transfer of skills from the online
environment into real life. In war game simulation, for example, participants experiment with
various strategies and online training provides learning experiences for those involved. The
same applies to virtual flight and medical simulations. This involves the concept of
embodiment, which is closely linked to cognition, as Wilson and Foglia (2015) propose in
their ‘Embodiment Thesis’:
Many features of cognition are embodied in that they are deeply dependent upon
characteristics of the physical body of an agent, such that the agent's beyondthe-brain body plays a significant causal role, or a physically constitutive role, in
that agent's cognitive processing (2015, ¶29).
The implication is that it is not only one’s brain that operates when cognitive processes occur.
Thinking does not involve a disembodied mind or brain. Learning, including online learning,
involves a consideration of one’s body, one’s experiences and the context, situation or
environment within which one is operating. Embodiment thus incorporates the successful
interaction of mind, body and world and the manner in which these influence each other.
This makes a great deal of sense when applied to online learning, where we do not ignore
our body and life experiences. It is not possible to learn anything in a vacuum, without
bringing one’s thoughts, experiences and context into the picture. Kant’s (1781, 2007)
famous dictum outlines this interaction as he states: “Thoughts without content are empty,
intuitions without concepts are blind” (A51/B76). The implication is that cognitive processes,
particularly those that operate during the learning or experiential process, are not possible
without any context, world or experience to draw one’s thoughts from. Conversely, inputs
from the world through our senses are incomprehensible without our capacity for thinking
and reflection. Learning on online platforms does not mean that the learner’s world,
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experience, cognitive processes and sensations are left behind, rather, these are
incorporated into the learning process and, vice-versa, affected by that which has been
learnt.
6. The CREMO ‘Academy for Creativity’ e-Learning Platform
Another form of online learning that enables the transfer of skills from the virtual environment
into real life is through the ‘Academy for Creativity’ e-Learning Platform, which was
developed by academics from five countries (Denmark, Malta, Spain, China and the USA)
over three years as part of the ‘CREMO’ (Creativity e-modules for Higher Education) project,
funded through Erasmus+. This online platform, which is available at
https://academyforcreativity.com/, aims to unleash students’ potential for creativity through
games which train users in creativity and idea generation. It enables the fostering of creative
thinking skills, concrete problem solving, and digital literacy skills, which may be transferred
to real life situations. Part of the dissemination process for this European project involved
multiplier events for educators in Denmark, Spain and Malta held during the first half of 2018.
These events involved an introduction to the Academy for Creativity platform for over 200
educators from various European countries who have the potential to use the games with
thousands of students.
The Academy for Creativity e-platform allows for two types of profiles: Teacher (or
educators) and student. Teachers may set up courses for their students and the tasks may
involve up to 50 hours of creativity training. This is equivalent to 2 ECTS (in Europe) and it
is designed so as to be easily incorporated into higher education curricula. Students using
the Academy for Creativity platform select an avatar and take on the role of a robot working
in an office. The story line which is adopted motivates users to use their idea generation and
creativity skills to convince their co-workers that they are actually a human person and not
a robot.
The e-platform consists of 11 games, 10 of which are specifically designed to train students
through deliberate practice in at least two of the following core competences that are closely
linked to creativity: (1) Originality: the ability to generate ideas that are unique, novel and
surprising; (2) Fluency: the ability to generate numerous alternative ideas, possibilities or
solutions; (3) Flexbility: the ability to direct thinking in different directions and this, moreover,
incorporates the possibility of changing perceptions; (4) Elaboration and persuasion: the
ability to further develop and persuasively communicate ideas; (5) Imagination: the ability to
think of unusual, surprising, improbable and inspiring ideas; (6) Creative self-efficacy: the
development of self-confidence when critically reflecting about or applying one’s creative
skill; (7) Creative experience: a quantification of the amount of time and effort spent on the
Academy for Creativity platform.
Some of the above competences are based on the work of Guilford (1986) and Torrance
(1974, 1984, 1990) who had initially incorporated the following four competences into
creativity: originality, fluency, flexibility and elaboration.
The ten games, which are listed and described in Table 2 below, were created following
numerous workshops and brainstorming exercises and they were beta tested by students
at three European universities: University of Aalborg in Denmark, Universidad Complutense
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de Madrid, Spain and University of Malta. Each game has between 30 and 90 rounds
ranging over three levels of difficulty (easy, medium and hard), to enable learners to advance
through the various stages of skill acquisition (Dreyfus, 2001, 2009). The extra (eleventh)
game only becomes available after more than two hours of training as critical reflection on
the training experience and on creativity training in general is required. This extra game
focuses on developing in the student a sense of creative self-efficacy. The e-platform
incorporates an evaluation system which is available for educators who set up courses for
their students. This allows for insights on the students’ performance including the total
amount of time spent using each game and the number of ideas generated. Learners are
awarded points based on effort and the gamification techniques built into the platform also
award coins to users on successful completion of a game. Collecting a certain number of
coins allows learners to move on to the next level of difficulty.
Table 2: Academy of Creativity Games Descriptions
Game No.
Game Name
Description
1
Draw In One Stroke
The avatar is asked to help a graphics team to draw specific items, but it
is only possible to use one arm as the other is not working well, therefore
the drawings need to be done in one stroke
2
Cue Up
The avatar is asked to support a colleague with cue cards for a speech
and after the speech is over the avatar is asked to make creative and
persuasive connections between one cue card and another
3
Poster Perfect
The avatar is asked to finish a campaign poster (which has already been
started) for an advertising team. Once it is completed, the avatar is asked
to generate an appropriate catch phrase for the poster which is expected
to fit in with specific campaign objectives
4
Director’s cut
The avatar is asked to write a script for a movie, using pre-recorded
footage. As each piece of footage which is provided has no connections
to the previous footage provided, the avatar is required to use the
imagination to create a persuasive, original and interesting story line
5
Figure it out
The avatar is tasked with putting together different shapes which are
provided by a design team. These may be moved, rotated and scaled in
order to become specific pre-defined products. The provided shapes may
change during the game and some of them may only be available for use
once.
6
Crazy connection
As the avatar’s real identity as a robot risks exposure in this game, the
task is to create connections between disparate random objects to
demonstrate (by means of creativity) that it is a human and not a robot.
7
Sounds like an idea
The avatar is asked to connect a particular sound to one of three objects
and to provide an explanation as to how the particular object produced the
odd sound.
8
Language Lab
The avatar is asked to produce original definitions for new words and to
compose persuasive sentences in which the word is used.
9
Race for the raise
The task for the avatar is to compete with colleagues to identify the most
creative ideas and to imagine meaningful scenarios for these ideas.
10
Trend Spotter
The avatar is asked to produce ideas for future products by combining
products that are completely unrelated.
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The Academy for Creativity platform combines creativity training with digital technology and
gamification methods. By training students in creativity, it motivates students to ask
questions, to explore possibilities, to foster the imagination and to build skill sets that are
valuable and which will increase their future career prospects. As the platform links creativity
to digital technology, it aims to motivate learners by means of gamification techniques and
to demonstrate that training to improve creativity considered as a skill is possible.
7. Conclusion
Each generation possesses different values, attitudes, skills and ways of operating. Young
people today are ambitious and self-confident. They have high expectations and seek new
challenges. They are not afraid to raise questions if something is not clear. They tend to
change jobs easily when not satisfied with the way in which they are treated, as they are
willing to move around in their search for new opportunities and motivating challenges.
These young people are the CEOs, entrepreneurs and workforce of the future, and they will
play a key role in tomorrow’s local and global economy. It is therefore important for today’s
educators to understand them and foster in them the skill sets that are relevant for their
future. This requires an awareness of emerging trends and the design of appropriate
strategies through the use of the best available technology.
In this paper, we have argued that there is a need to acknowledge creativity and digital
literacy as essential skills for the future. The focus on skills is closely related to change and
strategy, as Bakhshi et al. (2017) state: “History is a reminder that investments in skills must
be at the centre of any long-term strategy for adjusting to structural change” (p. 16).
Creativity is a transferable skill that fosters the imagination and motivates students to explore
complex topics. In today’s knowledge society there is an urgent need for people who have
developed skills in creativity, people with flexible mind-sets who recognise opportunities,
enjoy challenges and are prepared to take risks to benefit society and the economy.
Creativity requires an element of knowledge, experience and reflection, together with an
understanding of the topic being explored. Teaching creativity to students, either face-toface or through a digital device, encourages students to ask questions, explore possibilities,
foster the imagination and build skill sets that are valuable today and in the future.
We would like to emphasise the fact that traditional learning and expertise should not be
dismissed. However, capitalising on digital technology and the digital literacy skills of today’s
young people can add great value to the process and outcomes of education. The Academy
for Creativity e-platform provides an opportunity to do so through a number of games which
enable the fostering of creative thinking and digital literacy skills which may be transferred
to real life situations and concrete problem solving.
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Authors’ Profiles
Professor Sandra M. Dingli obtained her PhD from the University of Durham, U.K. and she
is an Associate Professor at The Edward de Bono Institute for the Design and Development
of Thinking at the University of Malta. She conducts workshops and delivers lectures on
creativity and innovation management, foresight, innovation and new technology,
philosophy of mind and philosophy of artificial intelligence to undergraduate and
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postgraduate students. Sandra set up the Institute in collaboration with Professor Edward
de Bono in October 1992.
Over the years Sandra has been instrumental in the field of creativity education in Malta.
She had set up a summer school for children at the University of Malta which based its
curriculum on creativity and thinking skills. She has collaborated with the Education
authorities in Malta to introduce creativity and thinking skills as a subject in state schools.
She has extensive experience of teaching creativity at all levels, ranging from primary school
children to postgraduate university students and professionals in private and public
organisations.
Sandra has organised six International Conferences on Creative Thinking at the University
of Malta. She has edited five books with selected proceedings of the International
Conferences which have been published by the University of Malta Press. Her numerous
publications include Creativity and Strategic Innovation Management (2017) with M.
Goodman as co-author and a chapter on ‘Thinking outside the box: Lateral Thinking as an
Educational Innovation’ in The Routledge Companion to Creativity (2008) edited by Tudor
Rickards, Mark Runco and Susan Moger.
Dr Leonie Baldacchino holds a Ph.D. in Entrepreneurship from Warwick Business School
(UK), an M.A. in Creativity and Innovation (Distinction) and a B.Psy.(Hons.) from the
University of Malta. She is the Director of The Edward de Bono Institute for the Design and
Development of Thinking at the University of Malta, where she has been lecturing on
entrepreneurship, creativity and innovation since 2008. She has also lectured on
entrepreneurship, creativity and innovation at Warwick Business School (UK), at Teesside
Business School (UK), and at the Malta College of Arts, Science and Technology, and has
delivered numerous presentations and workshops in Malta and overseas. Her research has
been published in various journals and books, including the International Journal of
Management Reviews, International Journal of Entrepreneurial Behavior and Research, and
in edited books by Routledge and Edward Elgar. For further details, including research
interests and publications, please visit: www.um.edu.mt/profile/leoniebaldacchino
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Fashion Creative Practice Exploration: Multi-dimensional performance
from painting to creative design
1Bo Du, 1Yukari Nagai and 2Manqian Wang
1Japan Advanced Institute of Science and Technology, Japan
2Dalian Polytechnic University. China
Email: dubook@jaist.ac.jp
Abstract
Cultural spirit has become an important development trend in today's design. Traditional paintings are
mostly one-dimensional plane expressions, with flowing, intangible, and casual language features.
However, in the field of creative design, it has strong extensibility and stylish expression, suitable for
the development of multidimensional forms. Through the practice of creativity to explore the
combination of multidimensional expressions of Oriental painting language and the design of fashion
accessories, the language of Oriental ink painting will be expanded from the traditional onedimensional to the multidimensional form with fashion inheritance. The article presents a creative
design model using the “Items-Inheritance-Activation,” creativity method, which combines the theory
and practice of interactive design experience mode and discussed the problem of understanding
tradition and interactive creativity.
“Items-Inheritance-Activation” creativity method is the understanding and redesigning of the inherited
forms of traditional cultural and artistic ideas. It contains two layers of meaning: First, modern design
works inherit the essence of ancient civilization; and second, innovation and development in the
process of inheritance, the way of thinking that the harmony between human and nature in Eastern
culture is applied to modern design and inherited and promoted. This model derives from the empirical
study of the interaction between traditional culture and art creative design; it focuses on the creation
process of creative practice and design work and allows the sustainable development of recycling
between culture, art, and creativity.
Pattern decoration is the essence of apparel design; it is also the aesthetic spirit that spreads and
promotes oriental culture concept. Therefore, designers should refine the language of ink painting,
utilize the formal aesthetic rules to deconstruct and reconstruct the brush and ink effect in the artistic
aesthetics, and combine the spatial form of the morphological cognition method with the creativity of
the ink language to design and realize the “lively spirit and charm” costume image. They must analyze
the series of design cases derived from the practical creative design model. Design works as a symbol
to carry people's sustenance for spirituality and oriental aesthetics. People wear it while meeting
emotional needs. The interaction between traditional elements and innovative thinking, spreading
cultural products through advanced science and technology, and the communication between
participants and designers. Knowledge is constantly being transformed in the practice of creativity,
resulting in economic benefits in the market, a positive cycle of creative combinations to optimize the
experience of creative practice. Creativity is an important key to innovation; it becomes the driving
force of fashion trends and forms an interactive design process. Therefore, let each work represent a
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story, so that each story can evoke "the most culture."
Keywords: “Items-Inheritance-Activation,” modern aesthetic, multidimensional, creativity method,
1. Introduction
Track the roots of creative design, the design process is not just the design works from no exist to
presented (Design, T. 2011). In the practice of creative, the design works that have a cultural element
are of national sense of belonging. The contemporary creative design works reflect the unsolved
problems of the ancients. In China, people’s daily life and customs are always related to culture. The
culture here is more about the inheritance of traditional element. We first learn the traditional cultural
ideas, and then use modern vision, ideas and attitudes to complete the creative design works.
Embracing the cultural elements into creative works has become an important development trend in
today’s design (Ruppert-Stroescu & Hawley, 2014; Geng, 2007). Let the national symbols advance
with the times, rekindling the vitality of pattern styles, and increasing the significance of pattern.
Creative design needs to inherit the spirit of traditional humanistic thinking (Zhao, H. Q., & Zhao, K.
2012).
The development of ink painting in contemporary times is often entangled with traditional concepts,
indicating the status of the inheritance and development of Chinese painting in the hearts of Chinese
people. (Hwang, J. 2010). The ink and wash language is important because it is the unique aesthetic
object of Chinese painting. Any art form includes styling, composition, and color. Only Chinese painting
requires ink and wash language. Such as using a traditional brush, it stresses using calligraphy to
“write” strength. “Vivid and lively” is actually the vivid rhythm of calligraphy (Luo, et al., 2013). That is,
a writing brushstroke, to make a writing image (Gao, M., Yang, F., & Gao, M. 2016). In the place where
the pen walks, there is an image appearance, in which the shape and brush strokes are enriched on
the screen. The structure of the body is painted with a writing brush, and the body structure reflects
the charm of the pen, driving away those simple rough ideas and taking chances. If the ink and wash
language is removed, Chinese painting will be difficult to distinguish from other paintings. Therefore,
the designer’s research on the artist's brush and ink experience is very precious. The predecessors
had considerable width and depth in understanding and excavating rice paper, brush and ink. The
language of brush and ink should follow the development of the current era. Brush and ink is the
language of design, and it must be developed to adapt to the moment. The main problem facing
Chinese painting in contemporary development is the synchronization of ink and wash language with
the aesthetic spirit of the times (Wang, L. 2016).
Therefore, the aim of this study is to incorporate the brush and ink that represents the elements of
Chinese culture into the work of creativity. In this study, we extracted the ink language, a typical carrier
of creativity design practice, as the research object. The practice of practicing creativity has explored
the fashionable extension design of the ink and wash language, and has carried out practical and
exploratory research on the form of development from the traditional to the fashion. Brush and ink is a
very specific issue, and finally it should be reflected in the practice design work. It is to integrate oriental
culture into modern design, and to expand the oriental life and natural way of thinking in the modern
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style of design. Let designers’ ideas and skills find a constant design language in traditional culture. In
other words, using “Items-Inheritance-Activation” model to regain Eastern cultural elements, beginning
with skills. It can also be said that ink and wash as a symbolic design language expresses the
expansion and integration of Chinese cultural elements in design culture, sublimation into spiritual
categories and cultural awareness (Brighouse, H., & Swift, A., 2014).
The purpose of this paper is to study and apply the creativity of design thinking to solve problems in
practice. The article presents a creative design model using the “Items-Inheritance-Activation”
creativity method, combined with the inheritance form to effectively cycle the development of theory
and practice, through improvement and adjustment in practice, explore the integration of cultural
elements and modern design concepts, fashion innovation in design practice to enrich people’s
cultural life. From the multi-dimensional representation of painting to creative design, it has realistic
theoretical and applied research significance. The problems that need to be solved include Q1: How
to improve the design taste through the art methods in Chinese painting aesthetics? Q2: Taking silk
scarves as an example, how to achieve the combination of ink language and fashion creative practice?
The method of exploring the form of inheritance is the most important part of the practice of art and
design and is often related to solving the problem of creativity. Multiple sources of inspiration are used
in the generation of practical creative design works, and knowledge is transformed in an appropriate
way so that designers know how to use various sources to generate ideas more effectively. The rest
of the paper effectively demonstrates the integration of Chinese cultural elements and modern design
from the organization of auspicious patterns, the realization of patterns, the craftsmanship of
production, and the study of modal systems. After the development of modern times and
multidimensionality, it will move forward and become the continuation of the next heritage.
2. Literature review
2.1 Key concepts
Modern aesthetic: The method of aesthetics research differs from ordinary knowledge (Manovich, L.
2017), starting with the life activities of human beings, and then the accumulation of consciousness,
the organization of aesthetic consciousness, the conscious construction of aesthetic consciousness,
the role of aesthetic consciousness, the establishment of human subjectivity, the establishment of
cultural subject and aesthetic subject (Duminskaya, M. V. 2015). Although aesthetic experience is
common in modern life, there has been no scientific and comprehensive theoretical explanation. We
will present a large number of individual style works under the modern aesthetics in practical creativity.
Innovation and conceptuality provide a positive aesthetic experience. The challenge of artistic
creativity is mainly driven by the need to meet. Abstract art and other concepts, cognitive challenges
of complex and multidimensional stimuli need to extend previous empirical aesthetic methods.
The spirit of Chinese culture: In the long history of development, the Chinese nation has accumulated
and formed its own unique and great national character and national spirit. The basic spirit of Chinese
culture shows the characteristics of self-improvement, peace and tranquility, happiness in contentment,
dedication, respect for etiquette and so on. For my cultural studies, the spirit of Chinese culture lies in
the words “harmony” and “combination.” Harmony means harmonious, peace, and balanced;
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combination means integration, cooperation, and consolidation. Lao Tzu, Tao Te Ching, Chapter 42,
The Book of the Way said the Tao produced One, One produce Two, Two produce three. Three
produced all things. It is Lao Tzu’s theory of cosmogonies. In traditional Chinese culture, the emphasis
is on “harmony between human and nature”, the recognition of the unity of man and nature, the
unification of the relationship between the natural world and the spiritual world. Man is a part of the
natural world, and man obeys the law of nature. Heavenly principles, moral principles are consistent
with natural laws, and life ideals are harmonious with nature.
2.2 Perception of aesthetics
The oriental connotation and image temperament are suitable for elegant natural dress styles and
images. Let native who are in a foreign land have a sense of belonging and national pride by wearing
the costumes of their own culture with oriental beauty. Thereby achieving the comfort and satisfaction
with emotional satisfaction. Wearing a costume of ink and wash language is also a visual aesthetic
process. It is a moving cultural language. It is a visual and overall experience of plane and threedimensional, visual image and body. The vitality of oriental culture lies in the inheritance and
development of human beings. This inheritance and development is a kind of visual memory and
storage. “Inheritance” is not only the modern people’s inheritance of traditional material and cultural
forms, but also the creation of costumes belonging to this era, which will be passed down to future
generations and will be influenced by traditional culture.
Art is the expression of the will of the artist in the face of society, and its fundamental standpoint is the
expression of the subjective initiative of the individual. Therefore, only the artist himself can grasp the
source of his art, which is the loneliness and straightforwardness of art. Of course, for a creative design
work, there can be quite a lot of interesting interpretations, appreciations, or reviews, or even to put it
together and use it as a resource of wisdom. This is a way of communicating with the art and design
in some way. Design basically has no motivation for self-expression, and its foothold is more focused
on society. Solving the common problems that most people face in society is the essence of design.
The problem-solving process is also the kind of value or spirit that human beings can feel together in
the design process, as well as the emotions caused by it. This is the most attractive place for design
(Hara, K. 2007).
3. “Items-Inheritance-Activation” model method
Innovative research methods should be used to explore the presentation of traditional cultural
elements in modern design (Craig J. Thompson, Diana L. Haytko.1997). To better understand this
process, the IIA creativity method was developed (as shown in Fig.1). The IIA model contains two
layers. In the first layer, modern design works inherit the essence of traditional cultural elements (Chao
Ying Ouyang, Ya Jie Xiong, L. L. 2014). In the second, the innovation and development in the process
of inheritance, the harmony between human and nature is applied to modern design and inherited
and promoted (Wu, P., Zhang, Z., & Bao, Z. 2008). This model is derived from the empirical study of
the interactions between traditional culture and art creative design (Hsieh, M.-H., & Guan, S.-S. 2014).
It allows for the creation of feedback loops between culture, art, and creativity. The inheritance portion
serves as an essential bridge between traditional culture and acceptance by modern society (Ren, L.
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2013).
Figure 1. “Items-Inheritance-Activation” model
In A, upon the synthesis of the moors and customs associated with festivals (Kolko, J. 2011), apparels
are presented as a tentative physical vehicle for the preservation and expression of traditional cultural
elements (Chen, L., Kang, J., Zhang, L., Wang, M., & Wang, D. 2014). In B, specific fashion items are
created. The two main criteria for these items are that they need to be compatible with the tastes of
modern society and they need to inspire interest for traditional themes in the most difficult to reach
groups of society, i.e. usually the younger generation (Li, N. 2011). The difficulty lies in finding an
appropriate way to transform the traditional element into an easily recognizable symbol while
minimizing the loss of meaningfulness (Chang, C. L., & Hsieh, M. H. 2015). In C, the different instances
of items work jointly to create a sense of belonging, fashionability, and recognition within the
consumers (Liaw, G. 2011). In D, a positive feedback loops through popular media leads to the
popularization of traditional cultural themes in fashion and an increased interest of the general public
for traditional culture in general (Ko, E., & Lee, S. 2011). This further increases the commercial value
of the traditional cultural element (Almond, B. A., & DeJordy, R. 2012). In E, the transient public interest
develops to a horizontal spread of traditional culture, which stands in contrast to vertical inheritance
between generations (Yu, W. 2010). The cumulated changes, which are transient until now, are thus
distilled into a few elements that will be permanently added to the pool of common, inherited culture
(Shin, M. J., & Westland, S. 2017).
The IIA model identifies the potential of traditional cultural themes to become a source of inspiration
for popularization fashion items, which in turn contribute to the resilience and preservation of such
themes.
4. Multidimensional creativity design practice of painting
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4.1 Fashion Creative Method: “Leave blanks and space” in Aesthetics
Clothing and accessories have been playing a vital role in the development of Chinese culture for
more than a thousand years. The exploration of costumes is directly related to the perfection and
innovation of art forms. The cultural taste and use of costumes is the embodiment of national soft
power. The research on the expansion of traditional painting culture expression language has chosen
to maintain the inheritance of the traditional language system and the inheritance of new forms of
clothing (Steffen, D. 2010). “Leave blanks and space” is a special technique in Chinese painting. It is
based on the creation of artistic imagination. “Leave blanks and space” gives the endless imagination
of the picture, and it also gives people a sense of infinity. It mean “there is no word, but the artistic
conception of the picture conveys infinity”. Hua Lin, a paint critic of the Qing Dynasty, explained the
technique have “Leave blanks and space” in Chinese painting: White is a white paper without ink.
It is a kind of painting expression in the traditional aesthetic culture of our country, which is expressed
as a way of life. It can give people virtual and real mutual beauty of artistic conception, and space as
the carrier of design language is the material basis of the design and the objective object of artistic
creation. In the apparel creative practice, leave blanks and space layout, coloring and other methods
of blank space are combined with the reconstruction of fabric media. Make fabrics and clothing give
people a space imagination with simple and elegant charm, enhance the taste of the wearer, and
interpret the multi-dimensional cultural expression of the painting art while walking. In the traditional
Chinese painting, the denseness and dispersion are all left blank layouts, and black and white are
used as the two poles of tone, contrasting strongly, reaching the artistic conception of “fuzzy and
definite mutual growth”. The “leave blanks and space” method can give people plenty of room for
imagination. It is a concrete manifestation of the poetic expression and aesthetic taste of Chinese
traditional spiritual temperament. It is of great practical significance to combine this traditional painting
language with modern fashion design.
Figure 2. “Three Fars” method-Blanks and space (B-Blanks, S-Space)
In the famous landscape painting of Chinese Northern Song Dynasty painter Guo Xi, the “Three Fars”
method proposed in “Lin Quan Gao Zhi” is a special perspective method of Chinese landscape
painting. There are three ways to express the mountain space, high-far: from the bottom of the
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mountain and looking up at the mountain peak (Fig. 2-1); far-reaching: the front of the mountain and
the distant view of the mountain (Fig. 2-2); parallel far-near: the composition is viewed from a flat view,
and the scenes appear in parallel to form a space (Fig. 2-3). “Three Fars” method is a kind of time and
space view. It looks at the scenes in the painting with different viewpoints such as looking up, looking
down, and looking far. It breaks the limitation of the general painting with a viewpoint, that is, the
perspective of the scene. The important thing is to “leave blanks and space” to make the realization of
space possible. As long as it is the sunlit place of mountains and stones (Fig. 2-1-B; Fig. 2-3-B), the
smooth plane of the hillside (Fig. 2-2-B), and the open water and sky outside the picture, the clouds
and space, the depths of the mountains (Fig. 2-1-S), the top of the trees, and the sky and water (Fig.
2-3-S). Draw smoke, draw places where clouds connect, draw roads, and draw sunlight (Fig. 2-2-S),
all are “Leave blanks and space.” The beauty of traditional Chinese painting is the rich level of black
ink in the water. In addition to this change, a “white” is added, and the black and white is more distinct
and the whole picture is more harmonious. The “white” should not be too sporadic and repeatable.
When using this method, we should make full use of the rich level of Chinese painting color, and the
space in this time cannot be simply understood as white, but the space is used to rationally arrange
different colors, and the elegant and harmonious artistic conception on the fabric is allowed. Limited
clothing produces unlimited imagination.
Traditional Chinese costumes always express the traditional culture and value orientation of the nation
with a stylized wide-body plane cutting structure and decorative materials and techniques. The
relationship between the human bodies, so the effect is mostly symmetric and balanced composition,
and the decoration is single. The expression of “Leave blanks and space” in the re-creation of fabrics,
taking into account the momentum of the fabric due to the movement of the human body, and the use
of real and virtual contrast to present the simplicity of modern beauty, giving traditional costumes a
new vitality. The key lies in the expression of flexibility and artistic conception. To do this, the designer
must first have a good taste and appreciation of the tradition.
4.2 Fashion Creative Practice 1. Ink language plate
After a long period of development, ink and wash has formed its own unique artistic language of
painting, which is difficult to replace with other art forms, and has profoundly influenced the creative
thinking of Chinese contemporary designers. It has played a role in different levels and perspectives
in modern creative practice. It reflects the unique thinking and unique style of our national traditional
culture. In the practice of fashion creativity, we will explore the symbols of Chinese ink culture, refine
the Chinese ink symbols from the artistic beauty, and enlarge the interpretation of the ancient charm
and the delicate and meticulous multi-dimensional design.
In practice, the ability to observe objective images with the eyes is cultivated, and then processed by
the brain to form an illusory subjective image. Consciously expressed by skilled hands, both the ink
and the body should be embodied in the picture, as well as the subjective conception of the artist. We
must read the works of the ancients and understand how they put their feelings on the picture through
objective objects. Through the deconstruction of artistic language, in the sky where the nature is
changing all the time, mountains, plants, flowers, and creatures are on the plates of the ink language
(Fig.3). Showing the multi-dimensional appreciation and aesthetics of wrapping and three383
dimensionality.
The language of ink and wash should be expressed in sentimental, intentional, rational, flesh-andblood, and rhythmic emotions. This process is to use the contemporary design thinking to express the
true and beautiful. This is the whole body’s input, which is felt by all the sensory functions. The works
and the authors present a unified beauty. This kind of image that is repeatedly flowed and inspected
has the kind of “the kind of gradually infiltrating beauty” that Nietzsche said. In the practice of creativity,
the front of the plate works is the artistic conception of Chinese culture, and the strong linguistic
symbols bring endless imagination to the viewers and satisfy the spiritual comfort of different people
in the ink language. The plate is a multi-dimensional space for presenting paintings. It is more amazing
on the back of the plate. With the change of the structure of the plate, the combination of the poetry,
calligraphy and painting in Chinese culture is used in the circular area at the bottom to transform, the
bolder calligraphy symbol language. The small space of the circular area does not limit the momentum
of the calligraphy symbol language, which is considered in the design.
Figure 3. Creative Practice of Ink plate
In the process of creativity practice, we also study the likeness and dissimilarity, image and non-image,
and formed a complete set of subjective mind language. More can freely play the theme of ink and
wash language according to the subjective thoughts of the creators, not bound to the image and
technology, which requires a rich guide of sensibility to create a meaningful form to achieve a
personalized style. The forms are all adhering to the traditional Chinese culture. In fact, there is no
absolute limit in the process of creativity. The key is to see whether the language in your works has
the corresponding independence and the profound image. It is gradually forming its distinctive
aesthetic value pursuit in various aspects such as modeling, color and composition. Therefore, saying
“ink and wash” is not only a language method, but also a spiritual carrier that can sharply record the
emotional meaning of the creator and accurately convey its aesthetic judgment.
4.3 Fashion Creative Practice 2. Ink paintings to silk scarf
As a symbol of Chinese ancient civilization, silk carry people’s sustenance for spirituality and oriental
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aesthetics. It is a good choice to combine silk scarves with ink paintings with oriental charm. Paintings
focus on the unique perspectives of themes, reflections and observations (Hsieh, M.-H., & Guan, S.S. 2014). Silk scarves as clothing accessories also need to show the theme and corresponding artistic
beauty. Chinese painting and silk are the crystallization of Chinese wisdom, linking the two under the
new era of aesthetics. It can enhance the value of silk scarves and spread Chinese traditional culture.
The brushwork of Chinese painting has a strong subjectivity. It does not seek shape, but only
expresses the mood. Its formation is based on philosophy, because Chinese painting advocates
simplicity, and it is reflected in the color science is black and white, which is the use of ink. Learn to
use the spirit of ink and wash, to nourish people’s body and mind through the beauty of the color of ink
and silk, and to spread and promote traditional culture and art. Silk scarves are picturesque and
women can wear silk art works and are unique. They can spread more individual pursuits of modern
people through silk scarves.
Figure 4. Creative Practice of Ink to silk scarf
The practice creation work “Spring Rain Forest Flower” (Fig.4-2) was inspired by the poet Du Fu’s
poems in the Tang Dynasty. “The flowers in the woods are wet in the spring, and the color of the rouge
is more intense.” The pattern looks like flowers, but not flowers, and looks like rain and not rain. The
dot-shaped figure shows that although the poem is a spring scene, there is no trace of people traveling,
a desolate scene. When making a silk scarf, a double layer or a plurality of layers are formed to form
a superposition of different patterns, and the color and ink of the Chinese painting are blended, light
and dark, so that the silk scarf is not so thin. The morphological emphasis on the repetition of the unit
structure can also be the repetition of other visual factors in the picture, such as texture repetition, color
repetition, and point line repeating. Repeat to make the picture unified, forming a visual sense of
rhythm in harmonious contrast and change. When wearing, different wearing patterns and different
tying methods are superimposed to produce different visual layering; the clear and elegant expression
of the water and ink reveals an elegant and harmonious artistic conception, which generates infinite
imagination. Silk scarves and the human body “illusory and real”, the virtual and real design method
is based on the traditional flat pattern design based on the sublimation. Treating people as entities,
through the different ways of tying, the scarves pattern will have an infinite virtual and real space
change with the human body.
“Mountain Rain” (Fig.4-3) is based on this concept and designed to wear a scarf. Its basic shape is a
one-piece strip in the middle of the mouth, the basic shape is simple but the wearing style is rich.
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“Mountain Rain” (Fig.4-3) takes the mountain scenery in traditional ink as a basic element. Under the
traditional concept that Chinese paintings are scattered and Intensive, the two sides of black and white
are used as the two poles of the color tone, and the contrast is strong, achieving the artistic conception
of “virtual reality”. When wearing, the silk scarf can be fully unfolded, and the side fastening can skillfully
transform the silk scarf and the garment, which produces the maximum coverage of the silk scarf and
the human body, and also maximizes the beauty of the graphic body. If worn in the usual way, the side
is not buckled, it is more elegant, and the silk scarf pattern generates rhythm through the action of the
human body, thus reflecting the fuzzy beauty. Silk scarves can also be worn in traditional draping styles.
The space left in the pattern itself can be used to create a more fluid visual effect by folding during the
wearing of the silk scarves. The visual color sense of the “flower color” and the “base” in the pattern is
balanced, showing each other a blending state, showing the illusion of ink and wash.
4.4 Knowledge Application of Ink Language
Based on the multi-dimensional expansion design of Chinese traditional painting language, modern
practice creation can bring certain economic and cultural value in a relatively short period of time. The
advancement of science and technology must not lack human knowledge and innovative thinking,
and human thinking is gradually becoming more detailed. The design and research and development
of clothing products with the theme of oriental ink elements can promote the development of the
cultural market and inject vitality into the cultural and creative industries. The research on the
inheritance form of ink and wash clothing has effectively promoted the design and positioning of the
clothing design market. The development of this ink language is the use of modern ideas and methods
to infer design, making it a “personal language” and a “cultural language.”
Figure 5. Knowledge Application Derivation of Ink Language
Design language derivation of ink elements based on knowledge application system management.
Combining the ink of Chinese traditional cultural elements with the new design theme, the theme
carries the culture, seeks new support for the traditional culture, and applies the imaginary abstract
visual effects to the creative design.
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In order to realize the inheritance of traditional culture, we must also study and design the practice
through a large number of series of themed costumes. Using the method of knowledge management
system, in the practical creativity, the cultural elements are continuously applied to the development of
the clothing culture market and the creative industry, and become the booster of the cultural creative
industry, and also applicable to other countries. Economic globalization has led to the same world of
goods, and the world factory has done the same for everyone. In the cycle of knowledge management,
cultural design is constantly generated and continuously affects people’s lives (Fig.5).
◉ Data collection is what people experience in nature. With the eyes, the body's senses are real, touch
it, and smell it. It is the real mountain and real river of the objective world, people experience, observe,
and collect natural data.
◉Information is organized through the analysis of people collecting data. Form your own understanding
and become an expression of meaning. The data analysis leads to the creativity of the ancients, the
expression of the natural art language, and the artistic works from the expression of nature painting
language. For designers it is a re-understanding of the history of traditional painting in museums.
◉ The acquisition of knowledge is the result of a valuable information system, leading to the formation
of a description of action, subjective, rational, abstract, and linguistic. Information is transformed into a
contemporary design language with a strong cultural identity, and the expression of language applies.
◉ Wisdom is a time-tested knowledge, a transformation of knowledge and practice, and proves useful
in creativity. The circular system of knowledge. Use the management of knowledge to carry on the
inheritance of the design.
In the design of clothing, the contingency of ink elements becomes the inevitable symbol language,
making the objective carrier of design more cultural and more specific, and the final design works
become the carrier of the spirit. The use of ink language in the development of clothing art forms and
the development of future cultural markets has effectively promoted the advancement of the fashion
design industry.
The progress of human civilization requires cultural differences. Innovation and creativity make the
design rich, rich in culture, enrich people’s lives while conveying culture, and promote the progress of
the fashion design industry. Innovation and creativity will become a booster for the development of the
apparel culture market and the creative industry.
5. Findings
Design-based practical research combines empirical research with theoretical model-driven design,
an important method of how to innovate, when and why it works in practice. Creativity based on
innovative design embodies the relationship between human factors in design and practice. Design
practice is the core of advanced theories that promote learning, create useful knowledge, and teach
cognitive and interactive teaching in complex environments. Through design and adjustment, we can
transform and improve this kind of meaning and spiritual image, become a fashion product that
modern people can accept, and carry out inheritance innovation and promotion.
Design-based practice studies may also contribute to the reform of subsequent design education and
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the reserve of designer reserve human resources. With the increasing demand for spiritual and cultural
life, the design practice based on cultural festival activities is the most closely related to the residents’
lives. It is the most participating cultural expression. At the same time, using the platform of festivals to
show the costume culture, this benign interaction can explode huge economic, cultural and social
values in a short period of time, which should attract the attention and emphasis of local governments.
Promote the design of the program through modern means of communication, so that more people
can feel the joy of culture through wearing costumes with Oriental charm. This inherits and carries
forward the spiritual core of “Learn from the natural” in the spirit of Chinese national culture, and
designs the traditional elements into the clothing culture art that is now accepted and loved by the
people.
6. Discussion
How to combine traditional culture element with modern design? Traditional culture is the background
and extension of modern design. The process of artistic creation and innovation is the process of
refining traditional culture and life to achieve self-expression in the practice of creativity. Selective
inheritance, critical absorption of traditions, making full use of modern science and technology, artistic
concepts, design methods and means, find the best contact points for traditional art and modern
design, promote the development of modern design, and inherit the Chinese traditional costume art
culture.
Traditional brushstrokes rely on skill, but also accumulate unique doorways and strength, but only after
experiencing the objective existence of artistic language descriptions has changed, we can truly
understand it in the process of rich creativity practice and innovative practice. At present, it is very
important to mobilize the enthusiasm of art workers to participate in the multi-dimensional performance
of paintings and invest in the study of the development of brush and ink. Fundamentally speaking, pen
and ink itself is an abstract symbol that can be appreciated, and through the design of thematic
creativity, the realizations of achieve the presentation of cultural objects. Fundamentally speaking, pen
and ink itself is an abstract symbol that can be appreciated, and through the design of thematic
creativity, the realizations of achieve the presentation of cultural objects.
A good design job is everyone’s participation and immersion, with deep emotions to observe the
details of life. Nowadays, we use clothing as a material carrier to explore ways and means of “inherited”.
The great wisdom of the ancients, “Learn from the natural” was transformed into the current festival
costumes through the “inherited” form. This will in turn awaken the younger generation’s emphasis on
traditional cultural symbols and enhances people’s self-confidence and cultural belonging. To study
the relationship between the shapes, color, quality and internal culture of clothing and traditional
Chinese solar terms and calendars. It concludes that the spiritual core of ethnic festival costumes is
“Learn from the natural.” The application of Chinese traditional elements in modern design through the
inheritance and development of consciousness, the use and expansion of forms, the extraction and
derivation of textures, and the grasp and inheritance of colors; and the theory guides the design
practice to use the spirit of “Learn from the natural” uses the clothing as a carrier to carry out modern
and contemporary design heritage.
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7. Implications
Knowledge is a dynamic process in which our beliefs defend the truth. A system is a setting that
connects all elements in the whole. A design system is a series of interrelated behaviors that are facts.
Looking back at the history of mankind, mankind is great, praiseworthy, magical, and incredible. Is the
birth of humanity a necessity of the universe? All the wisdom creatures that are already known, only
the human who can have the ability to order survive manner and learn from nature, and constantly
discover new breakthroughs on the road to nature. The development of humankind is short-lived and
it is the constant exploration of itself and the exploration of the universe.
The human creative thinking is infinite. It is like the vast universe. It is really the son of the universe;
the son of nature. It is the space in which the universe gives humans unlimited exploration, and the
infinite possibilities to explore infinite space is the dialectical relationship between the human brain and
the infinite universe with infinite thinking. The innovative thinking of human beings is also infinite, time
is walking, and the innovativeness of human thinking continues for the next second.
“Learn from the natural,” Ancient Chinese people particularly emphasized the unity of realm of life and
aesthetic realm (Herman, J. R. 2000). The universal application of the dialectic of harmony has made
the Chinese aesthetic wisdom pay special attention to understanding and handling the development
and structure of a series of aesthetic categories in terms of correspondence, blending, dialectic, and
harmony, which means that people respect nature and learn from nature. In aesthetics, the idea of
“harmony between man and nature” and “learn naturalness and the laws” associated with harmonious
poetics deeply impregnated the realm of aesthetic appreciation in ancient China. Based on the
concept of green ecology in the study of nature in the Eastern culture, the practice of creative design
research is carried out, and the possibility of the new design thinking concept under the change of
design creativity and the concept of environmental protection is practiced.
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Acknowledgements
This study was supported in part by China Ministry of Education humanity and social science
Research Youth fund (15YJC760022); 2017 Liaoning Youth Social Sciences Foundation ‘Research
on the activating form of Hong Shan Jade Culture under the background of Industrial Transformation
and Cultural Revival’; National Demonstration Center for Experimental Fashion Design and
Engineering Education (Dalian Polytechnic University).
Author’s profile
DU Bo, Doctoring, Knowledge Science, Nagai Lab, Japan Advanced Institute of Science and
Technology, Japan. Member of the Liaoning Artists Association. Dalian Chinese Painting Institute
specially painters. Working at the School of Fashion, Dalian Polytechnic University, his art works has
participated in many domestic and international art exhibitions, mainly engaged in the expansion of
traditional Chinese painting language and creative design.
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Mechanism of realize organizational creativity based on individual people’s
intrinsic motivation
1Kazuhiro
Nakamura, 1Toshiyuki Yasui, 2Mizuki Tajima, 2Misa Asakura
3Hiroyuki Fujiwara and 1Takashi Maeno
1Keio University, 2NTT DATA INSTITUTE OF MANAGEMENT CONSULTING, Inc.
3NTT DATA Corporation,
Email: n-kazuhi@nifty.com
Abstract
In recent years, the importance of creativity in enterprises has increased in various fields
such as marketing, product development and organization development. This research
proposes the element and the creation model to realize organizational creativity based on
individual people’s intrinsic motivation rather than attributing to only one single innovator.
As a result of interviewing intrapreneurs and the middle class supporting those
intrapreneurs, persons in charge of new business and entrepreneurs, it has become clear
that for the demonstration of individual creativity, following three elements are needed: an
element in an environment such as a psychologically safe place to cause change of
individual and interaction with others, an individual’s internal element to create wills such
as personality traits, ability and intrinsic motivation; and also, an interaction with the others
through a place that creates a change of an individual with the group. In addition, in order
to realize a business or a project based on the manifested creativity, the aspect of
environment and interaction is necessary as well as demonstration of an individual
creativity. Other than that, it has become clear that following three elements are important:
to fine tune the details of the project itself, to match the context of an organization; and to
involve fellows from the organization towards realizing the project.
Keywords: organizational creativity, Intrinsic motivation, psychological safety, mutual
interaction, dialogue
1. Introduction
With intensifying global competition and business model adaptation in line with emerging
markets are being obligated, the importance of creativity is increasing in various fields
such as marketing, product design, and utilization of AI as activities that will be the source
of innovation. In particular with the advanced modern society, it is more important for an
organization to commonly own and share knowledge and to intentionally bring intellectual
inspiration (1), those bearers are being referred to as “creative class,” and it is also being
debated as the subject of social capital (2). In addition, as the importance of creativity in
enterprises increases, the number of creativity studies has increased as well. Research
on creativity as ability and personality traits, and the method of thinking and modeling of
skills are also advancing (3).
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While the importance of creativity and the spread of its fields are increasing as mentioned
above, in large enterprises, individuals’ creativity is difficult to be demonstrated as the
number of employee increases, the loss of flexibility in company structure, and as the
principle of self-sufficiency in trying to cover everything in its own company advances (4).
As a result, a specific individual will take on that role and even in the preceding studies,
there are many studies that focus on a single individual (an innovator or a designer) such
as a serial innovator (5) or the relationship with the individual designers and the customers
(6) resulting in few cases of studies realizing systematic/organizational creativity.
However, in Japanese enterprises, such as Sony (7) and Honda (8) are not demonstrating
their creativity by the power of individual persons alone, but are demonstrating their
creativity in their organizational relationship. In recent years, even for large enterprises
such as Recruit (9) and Google (10), emergence from the organizational engagement are
being created. What is common to both companies is that the presence of individuals with
thoughts and beliefs, and the existence of a place where employees engage with
themselves. In SECI model which considers knowledge creation as a dynamic process, it
points out the importance of a place and a dialogue to express knowledge as a tacit
knowledge of each other (11). In other words, it shows that it is possible to create a place
where creativity can be born even if the scale of the company grows by having both
individuals with will and engagement among the employees.
By the way, it is considered that various elements influence the exhibition of creativity and
its study approach is diverse. In the old days, the investigation of personality traits points
out the spirit of inquiry, activeness and capacity to reason as high individual traits of
creativity (12). As a cognitive approach, it points out that high spontaneous motivation has
an important influence on the demonstration of creativity (13). In addition, environment
plays a great role in influencing creativity and it is affected in various layers, such as work
environment and the human relationship of the workplace (14). However, in the actual
business fields, elements influencing creativity cannot be explained with only one
approach. Therefore, Sternberg assumed that these multiple elements are involved in
demonstrating creativity and revealed that the creativity enhances by dividing into the
seven elements of creative thinking, knowledge, intellectual ability, style of thoughts,
motivation, personality traits, and environment and investment in those seven elements
(15). Although this composite approach is more valid than a single approach, the emphasis
is placed on individual-related elements and the point of view of mutual interaction among
the employees is also missing. It may be true if the employees are doing project under a
closed experimental environment, however, in an actual field, the project is under way by
the employees always interacting with each other. Therefore, it is necessary for the new
model required moving forward is a model which includes three elements of an individual,
an environment and a mutual interaction.
In this research, a primary element common to the demonstration of organizational
creativity of major companies is clarified and proposes a model incorporating mutual
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interactions with other employees based on the individual employee’s elements. In
addition, this research extends the scope not only to the demonstration of individual
creativity, but also the creation of organizational values and this research presents its
overall model.
2. Research Method
2-1.Research Outline
The method of research is as follows. First, based on a previous research, mechanism
plans for “process of demonstrating individual creativity” and “process by which creativity
is converted into organizational values” are to be established. “Process of demonstrating
individual creativity” is a mechanism to foster one’s own thoughts and beliefs that occur
inside individuals, as a preliminary step of the process until the creativity of individual is
demonstrated. Furthermore, creativity is not only expressed and changed to the values of
an organization. “Process by which creativity is converted to organizational values” is a
mechanism of how expressed creativity converts into the values of an organization.
Subsequently, companies and individuals deemed to have created remarkable
organizational outcome are selected, and semi-structured interviews were conducted
based on this model with those individuals who demonstrated creativity and the supporters
who supported those individuals, respectively. A model proposal was considered complete
by reviewing the model based on the interview result and confirming the content with the
interviewees (Currently, an organization change program is being developed based on this
model and demonstration experiments are carried out with multiple companies).
2-2.Experiment Background
This survey was led by NTT DATA and NTT DATA INSTITUTE OF MANAGEMENT
CONSULTING, and was conducted in collaborations with JAPAN USERS ASSOCIATION
OF INFORMATION SYSTEMS and Graduate School of System Design and Management,
Keio University. While organizational adaptation of creating innovation and diversification
of a workplace are becoming social issues, many organizations are trying to raise their
productivity while at the same time seeking to improve the way of working for the
employees and repeated discussions are held within NTT DATA and within JAPAN USERS
ASSOCIATION OF INFORMATION SYSYTEMS. As one of the answer to those problem
consciousness, a survey and a research were conducted from December, 2016 to March
2018, with the theme of “Demonstrating organizational creativity.”
In this survey, it was assumed that the origin of creating innovation is the demonstration
of creativity of each individual employees and in which mutual support among the
employees is important to embody its creativity as an organizational value. This research
was conducted with the aim of realizing the value creation of organization by each
individual employees to feel rewarding for work while actively creating ideas themselves
and having mutually deep relationship among the employees.
2-3.Project Details
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Ministry of Economy, Trade and Industry has formulated and proposed a framework of
innovation management for enhancing international corporation creativity and for
enhancing international competitiveness in 2015 (Figure 1). Many models involving
creativity are based on the existence of individuals and organizations that demonstrates
creativity. However, in the first place, there is not much mention on how demonstration of
creativity as its origin is tried. Even in this framework, ⑦ “Fostering Innovation Culture” is
not systematically organized and there are only few concrete methods for implementing
the measures. A research for this project incorporates this framework as the entire scope
in order to increase the reliability of the planning of this project itself and to make it easy
for the experts of inside and outside the company to be involved by defining “Fostering
Innovation Culture” as the target, which is one of the black box, and dividing “Process
Towards Demonstration of Individual Creativity” and “Process of Converting Creativity into
Organizational Values” as the lower layer.
Figure 1: Comprehensive Research in 2015, “Research Study regarding Assessment of
Environment Creating Innovations at Corporations and Social System Level” (Ministry of
Economy, Trade and Industry, METI)
2-4.Previous Researches in Model Construction
Following literatures were investigated and used as references in constructing models.
Survey Item Referenced Contents
Referents
Creativity
・Flow theory
・ “Good Business: Leadership,
Flow, and the Making of Meaning”
・Creative mindset
by
Csikszentmihalyi,
Mihaly
(2003).
・“Creative Confidence: Unleashing
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Intrinsic
Motivation
Three desires that promotes
intrinsic motivation
・ Method to increase the
feeling of happiness
・ Four
elements
of
happiness
・ Relationship of improving
organizational creativity and
intrinsic motivation
DecisionMaking
Process
・Bucket and Ladle Theory
・Theory U
・OODA Loop
Organization ・System level targeting to
Development organizational development
・Method and types of
organization development
・Functions of each
department of Japanese
corporations and its gaps
・Workplace where there is
work but not a “place”
・KI growth curve
(team/individual)
・Frames of corporations
growing with changes
Knowledge
Creation
・SECI (Socialization,
Externalization,
Combination, Internalization)
model, knowledge creation
management
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the Creative Potential Within Us All”
by Tom Kelley and David Kelley
(2013)
・ “Self-Determination Theory” by
Richard M. Ryan, Edward L. Deci
(2017)
・ “Flourish: A Visionary New
Understanding of Happiness and
Well-being” by Martin E. P.
Seligman (2011)
・ “Shiawase no Mechanism
(Mechanism of Happiness)” by
Takashi Maeno (2013)
・“How to Kill Creativity” by Teresa
M. Amabile (September – October
issue Harvard Business Review)
・ “How Full Is Your Bucket?” by
Donald O. Clifton (2004)
・ “Theory U” by Otto Scharmer
(2007)
・“Beigun Shiki – Hito wo Ugokasu
Management (Management that
moves people – US Armed Forces
Method” by Yasuhiro Tanaka (2016)
・“Soshiki kaihatsu no tokucho to
sono hitsuyousei (Characteristics of
Organization Development and its
Necessity)” by Kazuhiko Nakamura
(2007)
・JMA “Knowledge Intensive Staff
Innovation Plan”
・ “The Key: How Corporations
Succeed by Solving the World’s
Toughest Problems” by Lynda
Gratton (2014)
・“The Fifth Discipline: The Art of
Practice
of
the
Learning
Organization” by Peter M. Senge
(2006)
・ “Chishiki Souzou no Keiei
(Management
of
Knowledge
Creation” by Ikujiro Nonaka (1990)
・“Nagare wo Keiei suru (Managing
the flow)” by Ikuijiro Nonaka (2010)
Self-esteem
Dialogue
・Six abilities of practical
leadership
・“Shallow Self-Approval”
and “Deep Self-Approval”
・Various phases of selfesteems
・“Communication Koui ni yoru Jiko
Kouteikan
Koujou
nikansuru
Kenkyuu (Research regarding
Improving
Self-Esteem
by
Communication Behavior)” by
Sumiyasu Sakuta and Yoshikazu
Nakayama (2012)
・Dialogue
・ “Dialogue: The Art of Thinking
・ OST
(Open
Space Together” by William Isaacs (1999)
・ “Open Space Technology: A
Technology)
User’s Guide” by Harrison Owen
・Whole System Approach
(1993)
・Open dialogue
・ “Whole System Approach” by
Kazuaki Katori and Ko Ohkawa
(2011)
・“The Open Dialogue Approach to
Acute Psychosis: Its Poetics and
Micropolitics” Jaakko Seikkula;
Mary E Olson (2003)
2-5.List of Interviewees
Individuals who demonstrated their creativity and those who realized new value
demonstration within a corporation, and individuals who contributed to the improvements
of organizational values were interviewed. In addition, interviews were carried out to those
who managed individuals displaying those values and those who are involved in
development of human resources and organizations. Interview categories and major
interview topics are as follows.
Categories
Interviewees
Major Interview Topics
Intrapreneurs A (Mitsubishi
・ Series of experiences on how new
and
Heavy Industries)
business/project ideas were created
Entrepreneurs B (Asahi Shimbun) ・What is the most important requirement in
demonstrating creativity of “individuals?”
C (Investment
・What motivates to continue business?
Bank)
・What kind of conditions do you consider
D (ex-Sony)
high creativity?
E (ex-NEC)
F (ex-Recruit
・Devise that you do when you want to pass
Holdings)
what you want to do in your organization
・What are the styles and points when you
launched with your own business?
Middle-class
G (Misumi Group
・What is the most important requirement in
that supports
Inc)
expressing creativity of “individuals?”
intrapreneurs H (Boehriner
・What are the tips to continue measures of
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Ingelheim)
Head of New
Business
Development
Division
Head of
Human
Resources
Development
Department
and
Organizational
Development
Division
Head of New
Business
Development
Division
I (Recruit
Management
Solutions)
Head of Human
Resources
Development
Department and
Organizational
Development
Division
J (ex-JAL)
K (ex-Google)
activation of the whole organization?
・ When implementing new measures in
your organizations, what do you cherish and
what do you care about?
・What are the efforts to connect ideas to
the values of business and the
organization?
・What are the points to devise with the
relationship with your superiors?
・What are the points you care about when
involving people across divisions?
・What is the most important requirement in
expressing creativity of “individuals?”
・What kind of process do you think is easy
to demonstrate creativity (both individual
and management)?
・As a position to cultivate people, is there
any advice on making subordinates’
realization of what they want to do?
・What kind of things should be done in
order to create an organizational culture that
is easy to demonstrate creativity?
・What is the requirement of a good team?
2-6.Creation Model of Creativity
There are mainly two processes to realize organizational creativity. The first process is a
phase where inspirations and ideas are developed based on personal thoughts and beliefs.
Through a dialogue in a safe and secure place, experiences which are the source of one’s
thoughts and behaviors can be found and it is expressed as thoughts through its own
dialogue and interaction with others. The second process is a phase in which that thought
is combined with the value of the organization and is embodied into planning and business
while involving fellows from the company. Inspirations and ideas that tied to the thoughts
that arose from their heart is refined as planning content through mutual interaction with
the others. In that process, integration with own thoughts are taken by the consistency with
the aspects such as invisible organizational needs. In addition, among those involvement,
others become cooperative by sympathizing with those thoughts and beliefs and that will
be propagates to the organization. Through the overall mutual interaction with individual
and the organizations ones’ thoughts will be fulfilled in a form of planning and projects.
And through this process, individuals’ thoughts and beliefs will spread more widely inside
and outside the organization beyond the individuals’ workplace and projects, and it will
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encourage realization of the actual planning and projects. As a result, while constraints
and actions for the realization of projects appear one after another, it leads to the creation
of an organizational cooperation system to produce results.
Figure 2: Process by which creativity is converted to organizational values
First of all, where is the origin of the individual thoughts are born? It is considered to be
born from past experiences and past reflection. People form their own values and way of
thinking, attitudes and self-images while going through various experiences. However, that
is just a personal experience and it cannot be the energy to change reality. In order to
proceed, it requires thoughts and beliefs and in order to generate those thoughts and
beliefs, inquiries and dialogues are essential to access your own sources. In order to
explore your own sources, it is beneficial to look back on personality traits. Attitudes,
intentions and values have tendency to direct interpretation and behavior. By knowing how
that trend is born, and how it grew, you can touch original experience that is sleeping deep
inside you. By touching the source of what becomes your thoughts and behavior to
understand, it gives significance at that present time. That is the starting point of thoughts
and beliefs that serves as energy to move reality.
However, just looking at it may end with misinterpretation of the past. Here, a path to turn
it toward future creativity is required. The keys for that are “question” and “dialogue.” For
example, among the questions that seems effective for creativity are; “what do you really
want to do now?” “what are you trying to realize/solve in this world? (what is your vision,
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the impact you want to give?)” “Why do you exist (what is your mission?)?” In fact, there
are opportunities and places for Recruit and Google employees to be questioned directly
and indirectly, and to keep questioning on a daily basis. They respect each other and talk
whatever they have in their mind. As those true dialogues are repeated, ambiguous or
partial minds for ourselves are translated to language, integrated, and are spun as words
in the form of thoughts and beliefs. In fact, this process happens everyday at Recruit, and
when Recruit employees are questioned about what scenes seems to be most Recruitlike, many employees will answer that they are always questioned “what do you want to
do?” In addition, at Google, a company-wide meeting called “TGIF” is held every week and
60,000 employees from all over the world participate in that meeting including the top
management. As they witness the vision of top management and the impact this company
has given to the world; they are stimulated, they are questioned, and the dialogue with you
is deepened.
A very important factor in this process is a psychologically safe environment. Often, a new
born thought seems to be just a thought and it seems like a child’s dream. A sound dialogue
with others through a safe place is important for the process to sublimate the thought to a
firm will. When that falls out, it does not take away the thought of real intention from the
anxiety of being ridiculed. As a result, the answer becomes something that appears good
and popular in the organization, but the real passion is not shown. Google surveyed
through Aristotle Project about what is common among the teams with outstanding
achievements. It turned out that the only difference was the existence of this psychological
safety. Because there are excellent talent gatherings, it is highly effective not only from the
view point of creativity, but also from the view point of retention and that there is a place
to say anything for those members who cannot speak their real intention. In other words,
it is necessary to have psychological safety which is easy to produce mutual interaction
and physical environment/opportunity to engage in a dialogue.
When thoughts and beliefs are expressed in places along with inspirations and thoughts
as a plan, then what happens next is the mutual interaction with the surrounding members.
It is a place to confirm the thoughts and beliefs toward the creation of organizational values,
it is a place to exchange opinions from different perspectives, and it is a place to collide
with different objectives. Through this mutual interaction, then your thoughts and beliefs
are more embodied and developed. A meeting style called “Wai-gaya,” frequently heard in
Honda is exactly a typical example of this process. This way, each individuals’ thoughts
are brought up and materialized as a certain thing in yourself while adapting to the context
of the organization. Then the thoughts of individuals become an intention including the
thoughts of others which leads to formulating new ideas and plans. It gradually crosses
the team, crosses departments, gets communicated to people, gets connected and creates
coordination and cooperation within the organization.
Refinement of this project content, adaptation to the organizational context, and the
involvement of the fellows from the company all occur simultaneously and are inseparable.
For example, when consulting the content of a project to someone is just an act of
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improving the contents of the project but also to know organizational context from the view
point of others. Furthermore, the others giving advices will sympathize by listening to the
counter person’s feeling and improves the consciousness of the parties concerned and
becomes fellows towards the same goal.
These processes never go in one direction, it embodies while going back and forth.
Sometimes, the project itself may be postponed because of the No-Go decision made by
the upper management before the project is about to realize by just one step. However,
there are many cases seen when the project started with your thoughts as the starting
point and has thoughts from the team members, then you may accept the No-Go decision
at that time, but you will vigilantly watch for the next opportunity and to challenge again
when the upper management changes or the market environment changes. In other words,
it is important for a realization of a project on how far you actually continue to promote.
And, not only do you keep your project alone, but a better project can be kept in a
sustainable way by keeping the project as an organization while fine tuning the project.
Only then, there is a value of demonstrating organizational creativity.
Following are the quotes from the interviewees’ words in each item. (interviewees)
<Environment> Primary factors
・To create an environment that accepts failures (H, I)
・Psychological safety is indispensable to a good team (K)
・Letting out stress is necessary, and to create such environment (A, F)
・To make a place to notice what you can do and make a place to enhance mutual
understanding that you can meet someone who seem to be able to do something
interesting if you team up (J)
・To make a place where you can connect with various persons (H)
・Emphasis is placed on creating a condition that employees can enjoy (I)
<Personality traits> Primary factors
・ internal resources= enthusiasm, attitude, sense of values, self-image, problem
awareness
Experience on receiving educational background discrimination has become own
problem (A)
・awareness formative experience (A)
・Sense of values are created from the failures from exams and studies (B)
・I thought that if my colleagues passes away suddenly due to sickness, what will I use
my life for (C)
・To strongly picture my own “can-do image” (E)
<Intrinsic Motivation> Primary factors
・Passion is necessary to demonstrate creativity (E)
・Nothing will continue if you don’t give your heart to the fullest (A)
・What is important for me is important (B, G)
・I enjoy doing something others will not do (F)
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・I want to give impact to the society (B)
・It is mortifying when I cannot influence others (H)
<Ability> Primary factors
・Enhance your self-esteem so that you can make use of your strength (J)
・ To let them understand their strength and let them think about how they want to
demonstrate and how they can contribute (H)
・“Know-how” is necessary, but most important is to continuing to think (A)
・Communication skills such as smile and being considerate to others are needed as a
base skill (E)
・It is extremely important to know the variation of combination (I)
・We asked our employees to master the skills to express ideas (H)
<Mutual Interaction> Primary factor
・There is a community that questions what you will die for, so I was thinking about that
(A)
・It is inspiring to talk in a community where there are many people who are strongly willing
to contribute. I can continue because of my fellows from that community (A)
・From the doubts about the value of business that I have been involved in so far, I wanted
to do something that I can contribute to the customers in a truly manner (F)
・I like me → I like You → I will be OK → We will be OK (J)
<Fellow> Primary factor
・I involve people that sympathize with me (D, G, F)
・I involve people with same problem consciousness (G)
・It is important to create a system that makes it possible to keep competition-awareness
of colleagues of the same period to encourage each other (J)
・Since there is a limit to an idea by one person, I will go ask another person (F)
・It is impossible to force employees to have problem awareness, so I continue saying
what is important (G)
・People are not touched if you don’t tell from your heart (B)
<Content> Primary factors
・It is important to materialize to make others understand what you are thinking (F)
・It is important to be able to answer “why we are doing this project now” (A)
・Tell facts about why you need to do so, clarify the concept and talk yourself (G)
・Connect with various people and utilize meeting place (B)
・I tell people to not to stick to your sense of values “Beyond border” (I)
・Community is a place to share individuals’ special skills by team. Foster an environment
in which everything can be discussed while the place is deepening (D)
<Context> Primary factors
・I presented an idea by researching why our company was found and took the idea to
realize
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the principles at that time (A)
・Understand the organization’s objectives and when an idea comes up, tie it with the
company’s objective (E)
・Watch upper management’s interests (G)
・Know what your supervisors are struggling with. Know how to pass through the company
(B)
・I waited till the right time (in terms of profit and investment margin) comes so that my
new project ideas will pass easier (A)
・Try to mix my problem awareness and management’s problem awareness in a good way
(G)
・My company is trying to improve in-house satisfaction level by showing the attitude of
“make the best out of individuals and organizations” as a corporate motto (I)
3. Result/Observation
A model was presented to six out of the eleven interviewees and the model was completed
after confirming that there is no discrepancy in the content or lacks any information and
after amendment was made. Currently, a program based on this model and a guideline for
the managers are developed and demonstration experiments are carried out with multiple
organizations. As the method of evaluation at the time of demonstration experiment,
following three points are measured before and after the experiment: 1) employee
engagement, 2) diversity adaptability; and 3) employee happiness. Through these three
points, it is planned to confirm that each employee is working in a vivid manner, enhances
productivity, and demonstrates creativity.
4. Citations/Reference Literatures
Hiroyuki Shiraishi, 2007, “Sharing Knowledge – Examples of Applied Geology (Chishikino
kyouyuu to kyouyou – ouyoutishitsu no jirei)”– Kanazawa University Economics Major
Essay Collections, Vol. 27, Second Edition, PP129-148.
Richard Florida, 2014, translated by Norio Iguchi, “New Creative Capital (Shin Creative
Shihon-ron)”, Diamond Press
Yuan Sun ,Toshiya Inoue, 2003, “Tendency of Psychology Research regarding Creativity
(Souzousei ni Kansuru Shinriteki Kenkyu no Doukou)” , NII Journal, No.5, PP65-73
Murayama, H., 2006, “Issues on creativity of information-creative enterprises (Jyoho-sozogata Kigyo No Sozosei Ni Kansuru Shomondai)” Pacific-rim Management Study (KanTaiheiyou Keiei Kenkyu) Vol. 7, pp.21-53 (in Japanese).
Griffin, A., Price, R.L., Vojak, B., 2012, Serial Innovators: How Individuals Create and
Deliver Breakthrough Innovations in Mature Firms, California: Stanford University
Press.
Verganti, R. ,2009, Design-Driven Innovation: Changing the rules of competition by
radically innovating what things mean, Boston, MI: Harvard Business Press.
Sanderson, S. ,Uzumeri, M. ,1995, “Managing product families: the case of the SONY
Walkman”, Research Policy, Vol.24 Issue 5, pp.761-782.
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Rothfeder, J. ,2014, Driving Honda: Inside the world’s most innovative car company, New
York: Penguin.
Sugita, H. ,2017, Recruit’s amazing power to envision (Rikuruto-no Sugoi Koso-Ryoku),
Tokyo: Nihonkeizai-shimbun Shuppansha (in Japanese).
Steiber, A. ,Alange, S. ,2013, “A corporate system for continuous innovation: the case of
Google Inc.”, European Journal of Innovation Management. Vol.16 Issue 2, pp.243264.
Nonaka, I., Toyama, R., Hirata, T., 2010, Managing Flow, Tokyo: Toyokeizai-shinpousha
(in Japanese).
Daabrowski, K. ,1938, “Types of Increased Psychic Excitability,” Biuletyn Instytut Higieny
Psychicnej, pp.9-21.
Shin, S., Zhou, J., 2003, “Transformational Leadership, Conservation, and Creativity:
Evidence from Korea”, Academy of Manegement Journal, Vol.46, pp.703-714.
Amabile, T. M., Sensabaugh, S. J., 1992, “High Creativity Versus Low Creativity: What
Makes the Difference?” in Gryskiewicz, S. S. & Hills, D. A., 1992, Readings in
Innovation, CCL, pp.19-28
Sternberg, R. J., O’Hara, L. A., Lubart, T. I., 1997, “Creativity as Investment”, California
Management Review, Vol.40, No.1, pp.8-21
Author’s profile
Kazuhiro Nakamura was born in Yokohama, Japan, on March 2, 1978. He received his
B.S. in science and engineering from Sophia University, Tokyo, Japan, in 2002. He
received M.P.D. degrees in project design at The Graduate School of Project Design,
Tokyo, Japan, in 2014. He is currently a student in Graduate School of System Design and
Management, Keio University, Japan. He experienced various key posts as a professional
in service development and business development at MISUMI, Inc. and Recruit, Inc. in
Tokyo. His research field includes dialogue, corporate innovation, social innovation,
creativity, business design, organization development, business development, community
design, communication skills, well-being of mind.
Toshiyuki Yasui is Guest Professor of Graduate School of System Design and
Management, Keio University, Japan. Upon earned B.A. in International Relations from
University of Tokyo in 1985, and he joined in the Japanese Government. During his
distinguished services for more than thirty years he experienced various key posts in the
Ministry of Finance and the Financial Services Agency. In 2011 he earned Ph.D. in Arts
and Science from International Christian University, Tokyo. He actively works as Project
Management Professional, a certified title of the US Project Management Institute.
Dr. Yasui wrote many articles both for the academic journals and for newspapers on
systems design and engineering, policy design, social innovation and international finance
architecture. He mono-authored or co-authored eight books in Japanese including books
on the Taiwan Straits and US-PRC relations (2005), on Japan’s insurance regulations
(2006, 2011), as well as on the value co-creation theory and social systems (2012). He
was awarded the Best Paper Award of the academic society for four times; from the Japan
Society of Competitive Intelligence (2010 and 2011), and the Japan Creative Society (2013
404
and 2014).
Mizuki Tajima was born in Tokyo, Japan, on September 5, 1986. She received her B.A. in
general policy studies from Keio University, Japan, in 2009. Since 2009, She worked for
NTT DATA INSTITUTE OF MANAGEMENT CONSULTING, Inc., Japan. She engaged in
research and consulting on new business creation utilizing service design method and
organization development method for domestic major companies, creation of new services,
and organizational reforms accompanying it. She co-authored "Offensive IT Strategy" and
"Design Thinking Understanding by Feeling for IT Engineers".
Misa Asakura was born in Okinawa, Japan, on May 12, 1989.She received her B.A. in
business administration from Tokyo Science University, Japan, in 2012. M.A. in business
administration from Yokohama City University graduate school in 2015. Since 2015, she
worked for NTT DATA INSTITUTE OF MANAGEMENT CONSULTING, Inc., Japan. Midto-long term business plan formulation for domestic medium-sized enterprises, support for
formulation of corporate vision, etc. In addition, new businesses that make full use of
service design methods and organization development methods for domestic major
companies. She also engage in research and consulting on creation of new services and
organizational reform. She co-authored "Design Thinking Understanding and Felt for IT
Engineers".
Hiroyuki Fujiwara was born in Tokushima, Japan, on October 28, 1980. He received his
B.A. in literature from Waseda University, Japan, in 2005. He worked NTT DATA
Corporation Inc., Japan, since 2005.
After engaging in the planning, development and operation of a large-scale public system
at the system development department, he is engaged in internal control audit and
information security audit. Currently engaged in the planning and development of CIO
human resource development program, research on ecosystem within organization of
creation.
Takashi Maeno was born in Yamaguchi, Japan, on January 19, 1962. He received his B.
S. and M. S. degrees in mechanical engineering from the Tokyo Institute of Technology,
Tokyo, Japan, in 1984 and 1986, respectively. From 1986 to 1995, he worked for Canon,
Inc., in Tokyo, Japan. He was a Visiting Industrial Fellow at the University of California,
Berkeley, from 1990 to 1992. He received his Ph. D. degree in mechanical engineering
from the Tokyo Institute of Technology, Tokyo, Japan, in 1993. From 1995 to 2008, he was
with the Department of Mechanical Engineering at Keio University, Yokohama, Japan. He
was a visiting professor at Harvard University in 2001. Since 2008, he has been with the
graduate school of System Design and Management, Keio University as a Professor. Since
2011, he has been a dean of the graduate school of System Design and Management. He
has also been a dean of the Well-Being Research Center, Keio University since 2017.
His research interests are on design of technological, social and human systems including
robot systems, human-machine interface systems, philosophy of mind, ethics, community
systems and well-being of mind.
405
Phronesis in the applied research works
in China- Two practical cases
Jifa GU
Academy of mathematics and systems sciences, CAS, China
Email: jfgu@amss.ac.jp
Abstract
There were two practical cases in line of the explanation by phronesis.
Case 1: Extension and application of Optimum Seeking Methods (OSM, a kind of methods
in optimization theory, which is a branch of Operations Research). Famous Chinese
mathematician, Professor Hua Luogeng was the key leader in running a mass movement
by participation from common workers and peasants involved in the extension and
application of OSM in the beginning of 1970’s. The specific features are 1) letting the
common people (workers and peasants) to understand the OSM by plain language; 2) letting
workers and peasants to practicing OSM in their own practical works.
Case 2: Extension and application of Systems Engineering (SE). Famous Chinese missile
experts, Professor Qian Xuesen was the key leader in putting SE to the leaders and
managers in the late of 1970’s. The specific features are 1) letting the top and common
leaders and managers to understand the SE by plain language; 2) letting leaders and
managers to practicing SE in their own management affairs.
After introducing the phronesis by Professor Nonaka in China in 2009 author tried to explain
it by our Chinese idea and practical examples, and summarize it by our Chinese experiences.
For example, 1) we utilized the leadership by communist party, let the party helped us to
extend the special scientific knowledge; 2) we also borrow the method by mobilizing the
participation from mass to involve in the affairs related to extending and applying our
knowledge; 3) we ask to establish special team to realize the specialized work, thus in
extending and applying OSM we asked establish the small brigade in which the specialists,
who knows the OSM theory are involved, in applying SE we ask to establish so-called total
design team which not only included the specialists which covered special knowledge,
interdisciplinary knowledge, but the chief designer who takes the charge for command,
control and coordination to whole project starting from the research, design, technology, test
and production to the final product.
Keywords: Phronesis, applied research, China, practical case
1. Introduction
Aristotle had divided all knowledge into three classes:
Episteme (Scientific Knowledge):
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Universal, context-free and objective knowledge (explicit knowledge)
Techne (Skills and Crafts Knowledge):
Practical and context-specific technical know-how (tacit knowledge)
Phronesis (Prudence/Practical Wisdom):
Experiential knowledge to make context-specific decisions based on one’s own
value/ethics (high quality tacit knowledge)
Nonaka has mentioned that Phronesis is a concept that synthesizes
“knowing why” as in scientific theory,
“knowing how” as in practical skill,
“knowing what” as a goal to be realized.
Unlike episteme, it emphasizes practices in particular contexts. However, phronesis is not
just knowledge within a certain, particular context per se. Since it is knowledge to serve the
“common good”, it implies an affinity with universal principles. Phronesis emphasizes on
Knowing-creating (wise 智 ) ;
Operating-realizing-practicing( operable 用 ) ;
Moralizing( morality 德)
Nonaka proposed Six Abilities that Constitute Phronesis
Ability to make a judgment on goodness.
Ability to share contexts with others to create *ba*(shared sense).
Ability to grasp the essence of particular situations/things.
Ability to reconstruct the particulars into universals using language/concepts/narratives.
Ability to use any necessary means well to realize concepts for common goodness.
Ability to foster phronesis in others to build resilient organization [1, 2].
Figure 1. Professor Nonaka gave a talk in School of Economics and Management, CAS in 2009
According to author’s understanding we had transformed these six abilities into six forces:
1) grasp the essence –
Creation,
2) abstract to theory –
Abstraction,
3) run exchange, interdisciplinary, facilitation- Dissemination,
4) realize techniquePractice,
5) organize groupOrganization,
6) guide by worldviewMoral.
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In short we may call it CADPOM. The dynamic process for six forces to phronesis was shown
in Figure 2 [3]
Dynamic Process for Six Forces to Phronesis
M
D
D
A
C
P
Figure 2. Dynamic process for six forces to phronesis
2. Some practical cases in China in the field of developing applied research
Through two practical Chinese cases experienced by many Chinese scholars and Gu
personally we tried to interpret whole process by lines of phronesis.
2.1 First case: Optimum Seeking Methods (OSM)
The first case is the widely extension and application of Optimum Seeking Methods
(OSM 优选法) in China by leadership of famous mathematician Hua Luogeng 华罗庚 during
the 1970’s.
Creation & Abstract:
Even in the middle of 1960’s Hua tried to prepare the theoretical foundation for OSM and he
abstracted these methods from optimization theory. Hua had published the book titled in
‘The popular talk for OSM and its supplements”. [4]
Dissemination:
Very soon he accumulated a lot of experiences for extending OSM in popular language and
selected some practical cases as examples, and then OSM had got a large popularization
in most areas (26 provinces) in China ( see Figures 3 and 4)
Practice:
They obtained ten thousands of practical applications in various areas, such as industry,
agriculture, engineering and military.
Organization:
During working on extension and practice for OSM they established a lot of special brigades
consisting of applied mathematicians, domain specialists and managers. In the 1981 Hua
founded the Chinese Society for optimization, overall planning and economical mathematics,
which had promoted the development of OSM and other applied mathematical methods
much more widely and deeply in China.
Morality:
Since there were not existences of so large amount of applications by other methods in
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Operations research, so during the International IFORS conference in 1975, where author
had chance to give a plenary speech to introduce the extension and applications of OSM in
China, it really attracted a lot of appreciations by audiences[5]
In 1978 Hua’s extension works obtain the National significant awards in the National
congress of Science for the achievements in the extension work for OSM and Overall
Planning. Hua remembered That since the middle of the sixties, my assistants and I have
visited twenty-six provinces, hundreds of cities and thousands of factories in China, and I
have met with millions of workers, peasants and technicians. The following questions sum
up our experiences accumulated in our endeavor: 1) “To whom” and “For what purpose?” 2)
“Which techniques” and 3) “How to popularize”.[6]
Table 1 the number of participation on OSM
province
city
factory
worker
26
102
103
106
1) “To whom” and “for what purpose?”
Specialists and workers do not often share a common language for that we must have
common interests. Therefore to begin with popularization there must be some common goal,
speak a common language
2) “Which techniques”
Three principles for selecting techniques for popularization:
(1)Popularity; all methods we provide should be easy to understand, easy to use and easily
obtain effective results
(2)Practicality;
A method before being popularized, should be tested in order to determine to what areas it
can be applied. Then it could be popularized within those areas
(3)Theoretically sound.
3) “How to popularize”
Hua said that it is my experiences that we should go to factories in person and start work
on a small scale project. If our suggestions turned out to be effective, they would then
naturally attract wider attention and we might soon be invited to other workshops. Then
extend to the whole factory or even to the whole city, whole province. In this way we gave
lectures before audiences of more than a hundred thousand! After the lecture, we went to
the workshops to work together with workers applying the methods to their projects and to
improve their techniques.
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HUA LUOGENG华罗庚AND HIS STUDENTS
POPULARIZING OPTIMUM SEEKING METHODS
华罗庚执笔:
优选法平话及补充
The popular talk for OSM
and its supplements,1971
国防工业出版:1971
Hua gave his talk for wide audiences
Figure 3. The popular talk for OSM and Hua’s lecture
Prof. Hua gave open lecture on Optimum
Seeking Methods in a rain
Shaoguan District, Guangdong Province, China
Figure 4 Hua gave lecture under rain
2.2 Case 2: Systems Engineering (SE)
The widely extension and application of Systems Engineering ( SE 系统工程) in China by
leadership of famous professor in the fields of Engineering Cybernetics, Missile and space
domains Qian Xuesen 钱学森 during the final period of 1970s, Qia, Xu and Wang published
a very famous popular paper” Technology for organization and management: Systems
Engineering” in Wenwei Daily in 1978 [7]. Most of SE specialists paid much attention to
popularizing SE. Many industrial ministries, provinces and cities had organized a large
number of lectures and special short courses on SE. in 1980 the Chinese central television
station gave a TV program titled Public Science Lectures on SE, including 45 courses
presented by 17 celebrated Chinese experts, such as Qian, Jifa Gu and Shouyun Wang.
Our SE knowledge was not only for the general public, but for national leaders at all levels
[8, 9]. Therefore, today, SE now was acknowledged by a large number of leaders at all levels
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and at various fields, Qian had got high respect from the top authorities (see Figure 5). SE
specialists paid attention also to the SE applications on following fields at the starting period
of 1980’s: energy, population, agriculture, environment, ecology, national economic planning,
military, business administration, large scale scientific projects, education and medicine. In
the recent years they pay much attention to finance, internet, supply chain management,
huge engineering project, health ( such as Three gorge project), climate change, social
governance and service et al..[9, 10]
Figure 5 Qian Xuesen with the top leaders in China
Figure 6 Qian gave his talk on SE in the military research institute
3. Some common features while running phronesis in China
3.1 Support from top leaders
Both Hua and Qian had good relationships with Chinese top leaders. They even directly
reported their research to top leaders and ask top leaders to help them during extension for
their research.
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3.2 Letting scientific research be introduced in plain language
Hua had a commanding presence, a genial personality, and a wonderful way of putting
things simply, and the impact of his travels spread his fame and the popularity of
mathematics across the land. So did by Qian.
3.3 letting the theory closely connect with practice
Both of them personally participated into some practical applications.
3.4 Good examples for running phronesis
Hua and Qian are very famous scientific scholar in their own domains, have a solid and deep
theoretical wisdom, but they also spend a lot of energy and effort for using the phronesis
to helping a large scale of common people to understand and use their knowledge.
VI Conclusion
I would like to use this talk to memorizing the contribution in popularizing OSM by Hua
Luogeng, to memorizing the contribution in proposing SE by Qian Xuesen and Xu Guozhi. I
also have a gratitude to Prof. Nonaka giving us to see Hua’s and Qian’s applied work from
the angle of phronesis.
References
Nonaka I., Toyama R., Strategic management as distributed practical wisdom (phronesis),
Industrial and corporate change, 2007, 16 (3):372-394
Nonaka I., Toyama R., Hirata T, Managing flow: the dynamic theory of knowledge-based firm,
Toyo keizai, 2010 (in Japanese)
Gu Jifa, “D-I- K-W-M and C-A-D-P-O-M”, FIS2010, Beijing, 2010, 22, August
Hua L.K., The popular talk for OSM and its supplements, National Defense Industry Press,
Beijing, 1971 (in Chinese)
Ku Chi-Fa (Gu Jifa), Extension Work, Practical Applications and Theoretical Studies of
Some Methods of Seeking the Optimum in China, in K.B. Haley, ed. “Operational
Research’75”, North-Holland Company, 1976:395-404
Hua, L.K., Wang Y, Popularizing Mathematical Methods in the People’s Republic of China
Some Personal Experiences, in Book Mathematical Modeling ed. by JGC Heijmans ,
World Publishing Corporation , Volume 2, 1989
Qian Xuesen, Xu Guozhi, Wang Shouyun , Technology for organization and
management: Systems Engineering , Wenwei Daily, 1978,28,September (in Chinese)
Hsu Kuochi, Ku Chi-Fa, Some facets of the development of Systems Engineering in
China,in P. Gray and Y.Z. Liu eds. Proceedings of the Chinese-US Symposium on
Systems Analysis”, John Wiley & Sons, 1983:17-24
Gu Jifa, Zhu Songchun and Wang Xingcheng, Leaders and Systems engineering, Shandong
People Press,1986,( 26,000 copies) (in Chinese)
A sponsored supplement to Science, The rise of systems engineering in China, Science /
AAAS Custom publishing office, 23 September 2016
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Extenics based Intelligent innovation and Creativity
Xingsen Li and Chunyan Yang
Guangdong University of Technology, China
Email: lixingsen@126.com
Abstract
As the innovation process may not be observable in a clear way, the study of innovation
process and methods can be difficult to be modelled systematically. With the network
information technology environment’s rapid changing, practical innovation makes an urgent
requirement for theory and methods of intelligent innovation. The rapid development of IT
network prepared the conditions for scientific research on innovation mechanism. Based on
Extenics and the assistance of intelligent knowledge management technology, this paper
aims at how to improve the intelligence in the innovation process. It supplies the lack of
information and knowledge of the human brains by network information resources, utilize
basic-element base platform to break through the limitations of individual limitation, and use
formal methods to generate innovation ideas. This may help to crack the bottleneck of "black
box" of the innovation process to a certain extent by information and knowledge. Its
application in creativity education shows a theoretical significance to achieve a breakthrough
in the theory of scientific management of the innovation process, enrich creativity and
innovation by Extenics-based formal approaches beyond the information environment.
Keywords: Extenics, Innovation Methods, Postgraduates, Creativity Training, Knowledge
Management
1. Introduction
Creativity as well as innovation has become more and more important for the development
of the 21st century. For many years, however, innovation and creativity have been
considered as mysterious, and innovation process has been considered as a black box.
Current innovation processes mostly rely on experience and background knowledge by
creative thinking (Satty, 2010). Although today there is plenty of literature on innovation,
there is still a lack of analysis on origins and generative processes of innovation (Birkinshaw,
Hamel, 2008). Moreover, the analysis about innovation capability has no support of
quantitative analysis. This greatly prevents the progress improvement in innovation. Several
scholars pay attentions to presenting models of processes (Birkinshaw and Mol, 2006;
Cantisani, 2006), but the models give no enough explanation about the micro-level
processes of the occurrence of creative ideas.
Today’s Internet environment provides an excellent opportunity for innovation. With the
developing of information technology, especially the World Wide Web and its applications
such as new social network and media, we live in a society with enough information to
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support generating of new ideas by divergent thinking. For example, search engine, web
crawler, data mining and knowledge management will benefit us to cultivate divergent
thinking capability. However, there is no enough research to explore the method to improve
divergent thinking capability by information technology systematically.
In fact, the problem is that the generation of creativity and innovation is a quite hard thing.
It’s not like a Mathematical or Physical problem, which we can solve in relatively fixed
formula or approach and have a very clear boundary between right and wrong. It’s more like
an inspiration which we can pick up from our daily life, maybe during the work, study or even
while we are walking outside for taking a rest. It’s so abstract and hard to manage. So, in
the most situation, the problem is not the people or the companies are not willing to make
the innovation but lies in the dilemma that they cannot figure out a new and creative idea
efficiently. Even they can have a new idea, it will cost a lot of opportunity cost, which means
this idea is not good or creative enough. So, is there any approach in which the people or
company can generate the innovation, or creative idea systematically? The process of
innovation needs more scientific support.
2. Objectives
Innovation is influenced by many variables, the basis for creativity is held to involve the
production of high-quality, original, and elegant solutions (Besemer and O'Quin, 1999;
Christiaans, 2002) to complex, novel, ill-defined, or poorly structured, problems (Mumford
and Gustafson, 2007). What allows people to generate high-quality, original, and elegant
innovative ideas to solve such complex, novel, ill-defined problems (Tierney and Farmer,
2011; Madjar, Greenberg and Chen, 2011)? Innovation cannot be understood using a single
simple model. However, creativity can be understood, or explained using a variety of
substantive models. Innovation involves multiple, complex, processing operations. Effective
execution of these processes depends on the knowledge available to the person and the
strategies people employ in executing these processes. The operation of multiple processes,
multiple strategies, and multiple knowledge structures makes it difficult, albeit intriguing, to
formulate an understanding of innovation (Hennessey and Amabile, 2010; Shi, et al, 2011),
so intelligent technology is necessary for improving innovation capability. The purpose of
this paper is to propose a new innovation method framework that would support our creative
thinking both theoretically and practically.
3. Literature review
3.1 Innovation Methods
Brainstorming is probably the best known of all the techniques available for creative thinking.
Brain Storm (Osborn, 1957) makes participants be enlightened by others. But It is not easy
to set out systematic procedures for organizing effective brainstorming sessions and
evaluating the ideas produced (Rawlinson,1986) because brainstorming mostly rely on
participants’ experience and knowledge. On the other way, the Delphi method develops
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solutions through a systematic, interactive process between panels of experts which are
separated (Linstone and Turoff, 1975). Synectics method (Gordon,1961), which is
developed by MIT professor William Gordon, would extract abstract questions from concrete
situation and put forward for participants along with the process of discovering the links
between different and apparently irrelevant elements (analogy).
“5W2H” (Why, What, Where, When, Who, How, How much), Osborn Checklist method
(Osborn, 1957) and Attribute Listing Technique (ALT) take advantage of specifiable
questions to enlighten personal thought and decrease pretermission. Checklist method
checks 9 angles, including other usages, rearrangement, modification, magnification,
minification, substitution, adaption, reversal and combination, to generate new ideas and
novel solving strategies. ALT would list all the key attributes and breaks the problem down
into smaller and smaller bits to figure ways out (Crawford, 1954). As an extension of Attribute
Listing, Morphological Analysis (Zwicky, Fritz and Wilson, 1967) is a method for
systematically structuring and investigating the total set of relations contained in multidimensional, usually non-quantifiable, problem complexes.
As a group creativity technique designed to generate a large number of ideas for the solution
of a problem, Six Thinking Hats (de Bono, 1985) combines with the idea of parallel thinking,
provides a means for groups to think together more effectively. Other methods or techniques
include Lotus Blossom Technique, Ideatoons Blueprint, Neuo-Linguistic Programming
Techniques (NLP) etc., Mind Map would be a useful tool for organizing these creative ideas
and stimulating more thinking (Buzan, Tony, 1996).
Divergent thinking is an important component of creative thinking and used to generate
ideas by exploring many possible thinking directions (Vosburg,1998). By divergent thinking,
many ideas and possible solutions are explored in a short amount of time, and unexpected
connections are drawn. However, divergent thinking typically occurs in a spontaneous, freeflowing manner, many ideas are generated in an emergent cognitive fashion. After the
process of divergent thinking has been completed, ideas and information are organized and
structured using convergent thinking.
There are several activities which promote divergent thinking including creating lists of
questions, setting aside time for thinking and meditation, brainstorming, subject mapping /
"bubble mapping", creating artwork, and free writing( Hennessey& Amabile,2010) . But most
of these methods are rely on one’s experience and thinking ability, for example, in free
writing, a person will focus on one particular topic and write non-stop about it for a short
period of time, in a stream of consciousness fashion (Edward & Johan, 2000). These
methods depend on personal intelligence which would subject to limitations of individuals
themselves (He et al. 2016).
A lots of personality traits also promote divergent thinking such as nonconformity, curiosity,
willingness to take risks, and persistence4. But it’s not easy to change a person’s personality
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traits in a short time, human’s divergent thinking capability still relies on experience
knowledge or personality traits.
TRIZ is the acronym for "Theory of Inventive Problem Solving" in Russian. The TRIZ
methodology was developed between 1946 and 1985 and is now in use world-wide. It is a
systematic, left-brain creativity method, and as such, is very well suited to the development
of new and improved products, services, and systems (Hua,et al. 2006). TRIZ research
began with the hypothesis that there are universal principles of invention that are the basis
for creative innovations that advance technology, and that if these principles could be
identified and codified, they could be taught to people to make the process of invention more
predictable. TRIZ has many tools and techniques for innovation. A flow chart is useful when
introducing TRIZ, since it shows how the tools are related, as well as what they are. It has
been used for either a product design or process development problem (Ellen Domb,1997).
3.2 Information Technology (IT) Supported Innovation
In the last couple of decades, IT technology has stimulated the development of idea
processor (Chen 1999), from earlier example of Axon idea processor
(http://web.singnet.com.sg/~axon2000/)
to
more
recent
Scamper
(http://www.mindtools.com/pages/article/newCT_02.htm), where new ideas can be
generated from interconnection of various concepts, for improvement of products or services.
It provides 30 skills and techniques needed to be highly creative at work. Invention for
artifacts has also been extensively studied (Burke 1978). However, innovations go behind
ideas.
Innovation needs knowledge, Ikujiro Nonaka sees continuous knowledge creation as the
seed of ongoing innovation. He postulates a model of knowledge creation consists of four
process, known as SECI, which stands for socialization, externalization, combination,
internalization and indicates knowledge conversion which is created when tacit and explicit
knowledge interact.1
So basically the knowledge creation process begins from tacit knowledge and move to
explicit knowledge, and then return back to tacit knowledge again. 2 Nonaka proposed that
successive iterations of the process form a spiral, in each loop the knowledge is amplified
to a higher-level knowledge-creating entity; Like the spiral shown in the figure, the process
moves from individual to group to organization and then to the community of organization.
Vijay Kumar(2003)has proposed a model of the innovation process, shown in the Figure
1. He frames it as a two-by-two matrix moving from “hypothesis” to “research”, “frame
insights”, “explore concepts”, “make plans” and “implement”. He points out that “Framing
1 Nonaka is Professor Emeritus at Hitotsubashi University Graduate School of International Corporate Strategy (ICS) in Tokyo.
2 Michael Polanyi proposed the distinction between tacit and explicit knowledge in 1966.
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Insights” are primarily about descriptive modelling, creating abstract mental pictures about
the patterns that we recognize about reality, and “exploring Concepts” and “Making Plans”
are about prescriptive modelling. Where the bridge model forefronts the role of models,
Kumar’s model forefronts steps that make use of modelling.
Kaiser Permanente’s Innovation Centre (working with IDEO) developed this model, in 2004
as part of an innovation toolkit created for use inside Kaiser. This model is similar to Kumar’s
model, but the Kaiser model emphasizes storytelling and brainstorming as key methods.
Figure 1. Kumer innovation model
Information and Communication Technology (ICT) tools have experienced tremendous
changes in last decades. Many research trends could be observed that are likely to provide
new innovation approaches and effective means to support such new innovation processes
(Sorli and Stokic, 2011). In the era of World Wide Web, Information Technology (IT) applied
in business has accumulated huge data and information. Knowledge discovered by data
mining is novel and quantitative, however, it’s difficult to use so much knowledge and
information effectively for decision making and benefit the innovation. It is a challenge for
looking inside the process of innovation based on intelligent knowledge management (Li,
Shi and Zhang, 2010).
Intelligent knowledge management (Li et al 2009, Shi and Li, 2007) is one of the new
information technologies to support innovation, as intelligent knowledge integrates
intelligence with patterns discovered from data mining in large databases and utilizes
knowledge management technology to accelerate the efficiency of data mining applications.
The use of intelligent knowledge from data mining can extend the thinking directions more
widely from original data, rough knowledge to intelligent knowledge, and actionable
knowledge (Zhang et al 2009) as well as the wisdom (Zeleny, 2006). The practices of
intelligent knowledge management remind us to make a deeper exploring in the latent
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process of innovation, for traditional innovation needs new tools and methods (Hippel and
Katz, 2002).
4. Research form and methods (conceptual paper)
Extenics is a discipline proposed and developed by Chinese scholars, which focuses on
how to systematically generate creative ideas and solve difficult problems. After more than
30 years of research, the Extenics scholars have found a set of mature and systematic
methods to generate creative ideas or solutions (Yang and Cai, 2013;Yang,2017).
4.1 Basic-Element Theory
According to the Extenics, the Basic-element theory defines basic elements of “matterelement” (Physical existence), “affair-element” (events and actions) and “relation-element”
for modeling the information (Cai,1990,1994; Yang & Cai, 2013). One dimensional basicelement is an ordered triad composed of the element name, the characteristics and its
measures, denoted by R= (N, c, v) as matter-element, I = (d, b, u) as event-element and
relation-element Q = (s,a,w).
The basic-element theory provides formalized languages that can guide us to collect
information and think in a systematical way. It changes as time goes by, dynamic matter with
multiple characteristics can be expressed as
Om (t ), cm1 , v m1 (t )
cm 2 , vm 2 (t )
M (t )
(Om (t ), Cm , Vm (t ))
M
M
cmn , vmn (t )
(4.1)
As to a given matter, it has corresponding measure value about any characteristic, which is
unique at any moment as shown in equation (4.1). The basic-element guide us to think all
possible directions in multi-dimensions by using matters’ multi-attributes and interactive
relations among them.
4.2 Extension Innovation Methods
Extension innovation methods use a formal model to discover the extensibility of matters,
affairs, and relations, and develop rules and methods to think divergently and systematically,
so they are also called Extension Innovation methods (Yang and Cai, 2013; Yang,2017).
They use Extension Set and Extension analysis, conjugate analysis, conversion bridge
method, extension transformation matrix and other forms of expression policy to create the
novel ideas. In recent years, in many intelligence fields, such as recognition, search,
diagnostics, data mining, knowledge management, innovation, and strategy generation
have shown good prospects (Li et al,2009,2010,2014; Liu et al., 2012).
4.2.1 Framework model
Extension innovation methods based on extension theory would take advantage of specific
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extension methods to generating new innovative ideas or solutions for the problem solving.
The framework and its relevant steps are depicted in Fig. 2 and are briefly described as
following.
Figure 2. The framwork model of Extenics based innovation
Step 1. Collect information and knowledge
Collect information and knowledge related to the innovation goal G and practical condition L
from database, expertise, tacit knowledge such as experience and the Web by information
technology such as web crawler.
Step 2. Build basic-element base and extensible rule base
Describe and transform the information and knowledge as matter-elements, event-elements
or relation-element and save them into database as a basic-element tree structure. Then
build extensible rule base and knowledge base to systematically analyse the goal and
conditions to generate sub-set of extension information cube by Conjugate Analysis Method.
we could get a systematic cube of integrated information (Li et al, 2009).
Step 3. Proceed from chaos to possible solutions by extension cube
According to the goal, condition, or both goal and condition to search feasible propositions
by human-computer interactions, we get primary ideas and then score and operate them
with operators includes “And, Or, Not and Xand”, Xand means implements more than two
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transformations sequentially one after another, where the order cannot be changed. We
then apply 5 basic transformation methods to transform the domain, the elements or the
criteria of the goals and conditions.
Step 4. Possible solutions Evaluation and application
We test and evaluate the possible solutions by dependent function method (Yang and Cai,
2013) and incorporating with experts’ suggestions, and calculate which solution should be
stopped or deleted. Operating the primary ideas generated through Step 2 to Step 3 with
“and, or, not, Xand ” and evaluating the solutions, the human-computer interactive process
can result in trustworthy innovation proposals.
4.2.2 Methods
The following are description of the methods in detail.
1) Conjugate Analysis Method
Matters possess characteristics of materiality, systematisms, dynamism and antagonism,
which are generally called matter’s conjugation. According to matters’ conjugation, four pairs
of concepts have been proposed correspondingly to describe a matter’s constitution:
imaginary and real, soft and hard, latent and apparent, negative and positive. The four pairs
consist of matter-element and relation-element systematically. Its detailed description can
be referred in papers and books [6,8].
Conjugate analysis and basic-element theory is a guide for us to think about solutions in a
systematic way. Denote physical part as ph, non-physical part as nph, soft part as s, hard
part as h, apparent part as a, latent part as l, positive part as p, negative part as n, MatterElement as M, Event-Element as E, and Relation-Element as R. Using the notations, for
example, the physical part of relation can be denoted as Rph.
2) Basic Transformation Methods
There are five basic transformation methods, substituting, adding/removing,
enlarging/shrinking, decomposing and duplicating Transformation. Substitute certain object,
attribute or value to another one is called Substituting Transformation, adding/removing
transformation refers to add or remove certain attributes of the element, enlarge or shrink
objects value is called enlarging/shrinking Transformation, Decompose object, attributes or
value is called Decomposing transformation; and Duplicating Transformation means
duplicate attributes and its value to similar ones.
3) Extension Innovation cubes
Basic extension innovation methods consist of 5 dimensions as following, every 3
dimensions can form a thinking cube to guide us to explore the solutions systematically.
D1. Basic-element
According to the Basic-element theory in Extenics, innovation topics can be described as
basic elements of “matter-element” (Physical existence), “affair-element” (events and
actions) and “relation-element” for modeling the information. One dimensional basicelement is an ordered triad composed of the element name, the attributes and its values,
denoted by M = (O, c, v).
D2. Conjugate analysis and extension analysis
There are four pairs of conjugate parts, from the views of materiality, systematism, dynamic
and antithetical natures, that is, the physical part (the entity of a matter’s existence) and the
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non-physical part (the sprit or the space of the element), the soft part (relation structure
between parts of a system) and the hard part (each part in a system), the latent part
(unnoticeable element or forthcoming change) and the apparent part (noticeable element),
and the negative part (the part creating positive value to the goal) and the positive part (the
part creating negative value to the goal). Extension analysis includes Divergence
analysis, correlation analysis, Implication analysis and extensible analysis.
D3. Innovation directions
Innovation concerns the goals, conditions and the process from conditions to the goals, and
the more information we collected, the more helpful to get the goals. There’re three
directions for innovation, which are goal transformation, condition transformation and
simultaneously transform both.
D4. Transforming Objects
Based on the theory of extension sets, there are 3 transforming objects include elements
(can be described as one or two basic elements), criteria and domain.
D5. Transformation methods
There are five basic transformation methods, Substitution Transformation,
Increasing/Decreasing
Transformation,
Expansion/Contraction
Transformation,
Decomposition/Combination transformation and Duplication Transformation.
Select 3 dimensions from above 5 Ds, we can get C 53 = 10 cubes. One of the Extension
Innovation cubes below is formed with D3, D4 and D5 as showing in figure 3.
Figure 3. one innovation cube formed with D3, D4 and D5
Another Extension Innovation cubes formed with D1, D3 and D4 is as showing in table 1.
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Table 1. Guide table of innovation objects and directions
Goals
Conditions
Basicdomai
element type
criteria element domain criteria
n
Matter
Mug
Mcg
Meg
Muc
Mcc
Affair
Eug
Ecg
Eeg
Euc
Ecc
Relation
Rug
Rcg
Reg
Ruc
Rcc
element
Mce
Ece
Rce
5. Findings
We designed some topics to train creative thinking and innovation based on the above
model, and found it is effective and have practical value.
5.1 Personal Practice of Guinness Records
Question: Collecting personal data and comparing it to the classmates to find out whose
data ranks top. Groups were divided each for 5 students and presented individual Guinness
respectively. Each effective record scored according to the grade: the group record scored
1 point; the class record scored 5 points; the major record scored 10 points, college record
scored 15 points. The records must meet the following conditions:
1) The ranking is based on data and facts; 2) The item of Guinness Records is optimistic,
not vulgar, and with practical significance and positive energy; 3) Sorted into excel files
according to its level after the group competition and score accounting.
Through the collaborative innovation of information collection and processing, and digging
out their strengths in personal Guinness projects, each student identified at least eight
individual Guinness Records in the end, which help the total 67 students in this class found
self-confidence. It was also a great practice for undergraduates to improve their abilities of
collaborative innovation.
Furthermore, Students extended their practicing contents and well-grasped tools in the
business practices. For instance, students from MIS major extended personal Guinness
Records to companies. They participated in the design of brand planning program for the
new energy companies and recognized by the chairman of the board. The use of knowledge
of process design optimization to draw the strategic investment process and participating in
the compilation of books awarded them the praise of vice president in AUX. Students of
Financial Management has six classes in different grades, they collected business
resources in their spare time and summarized them into an enterprise resource tree with
more than 1,800 piece of information, which has been a resource dictionary to deal with
problems.
5.2 Divergent thinking exercises with the different content but in the same ways
Here are two questions e.g., "D1. A professor speaks poor Mandarin and his language had
no sense of humor, but each of his class was full of students, can you explain it?" Please
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list as many as reasonable explanations within 10 minutes. "E2. A college student only got
56 points in his math test, but the tutor was very happy to award him a meal in McDonald's,
can you explain it?" Please list as many as reasonable explanations within 10 minutes. After
training by our model, the students increase their reasonable explanations from avg. 9 to 22,
and some students listed more than 50 reasonable explanations.
We tested students in 6 groups at the first lesson before our training; most students can only
find 3-9 reasons. After 5-week-lesson, we tested students with another question which has
the same difficult degree and as many as the same elements. Lifting degree indicate the
improving degree, define Dold as the value of the former one, Dnew as the new one, Lifting
degree l denotes as
l ( Dnew Dold ) / Dold 100%
After training, most of them can list out 15-30 reasons. The average Lifting degree is
168.56% of comparison before and after training. Part of reasons the students mentioned is
shown in table 2.
Type
Matterelement
Affairelement
Table 2. Part of reasons extended by basic-element model.
Object
Attriubtes
Value
Explanation
Name
College
age
14
He’s only 14 years old and is a
student
supper boy
(hereinaft
Mental
not
He’s an unable child, 56 scores are
er
health
normal
amazing for him
referred
nationality
Canada
A foreigner
to as He
honest
no
He’s honest for the first time and told
in short)
the parents true score
ranking
No.1
Total score ranked No.1
English
100
He got excellent 100 in English test
score
salary
double
His father is happy for the boss
increased his wages
Parents
Lucky
win
win 5 million lottery (or other bet win),
of the
events
so happy
student
history
worse
Parents’ achievements even worse
when in college
owner
His uncle His uncle treats all family for opening
marketing
coupons
Free for students with their parents
McDonal
found
surprise He found McDonald's coupons, to the
d
last day
future
chance
Get a chance in McDonald's today to
win iPhone
whom
Obama
Obama met with him
Events in
life
what
president
He was elected as the president of
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Special
day
win
position
results
date
score
Full marks
topics
level
honor
Exam
Last score
time
Before
events
during
after
position
dinner
date
With who
Relation
element
s
McDonal
dParents
McDonal
d-
employee
owner
attitude
student union
celebratio
participate in the National Day
n
celebration
tickets
bet exam 56 scores to win three
Olympic tickets
change
just transfer to a new school, different
learning contents
win
win 5 million lottery
special
McDonald's day, Free with student ID.
mistake
Made a mistake, read 56 as 86
60
Full marks is 60 score
10
He’s the only one who solved the
most difficult topic among 10
AAA
This test is the most difficult exam
A
It is International Mathematics
Competition
40
Made great progress
5.12
After earthquake
7:15
He Helped older and delayed the
exam
He just picked the most difficult topic,
disdain to do simple ones.
8:30There’s a earthquake (or shooting)
10:00
during the exam, he’s lucky keep
alive
11:30
after the exam he initiative to help
others and is praised by the teacher
White
They were invited to White House
House
birthday
His (or of his father, his mother…)
birthday (or Wedding anniversary)
Luckyhis father is just promoted and very
day
pleased
Specical
It’s a special day: 1999.12.31
Movie
A famous movie star(or Mayor)
star
invited him
parents
McDonald's hired parents as the
manager
His father
parents successfully bought
McDonald shop
hate
He hates McDonald, so his parents
punish him
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Student
Parentsstudent
love
customers
Good
man
Family
status
tendency
divorced
Lost status
just found
good
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He will study hard after dinner in
McDonald
parents wanted him to learn from his
excellent classmate, the son of
McDonald's manager
Father is happy to meet his son
today, once a year
parents are happy: he went home on
time today, did not play games, but
learning actively
he lost 2 years ago, just back home
yesterday
6. Discussion (connecting findings to literature, concepts and forms of enquiry)
Through the research and theoretical research, this paper found that what restricted the
improvement of innovation abilities lied on the lack of innovative methods. Over 500 students were
benefited from the application of the promotion model of extension innovation in 4 courses such as
the course of “the management of information resources”. Over 650 students were benefited from
Extenics courses and the overall quality promotion courses on this field. Comparing the empirical
results, the open innovation ability of the students has been obviously improved, and the innovation
program increased a lot after the training, which increased 168.56%. Adopting the model to guide
students making their resumes and coping with interviews; students’ employment rate improved
substantially and reached 100% in recent years.
The combination of Extenics and specialized courses would be further researched to realize the
innovative ideas or creation of knowledge. By constructing the primitive base with the knowledge of
specialized courses, the difficulty level of learning has reduced. The basic material of expansion and
transformation also has been made and creative ideas for problem-solving would be generated in
practices.
However, the framework model we presented in the paper is still relatively primitive, the Extenicsbased methods need to be integrated to enhance the innovation process. In the era of big data,
information and knowledge, more in-depth research about combination of above methods is needed.
Moreover, fuzzy set, complexity science and social agent technology will be utilized to improve the
innovation model. How to update ontology automatically and simulate the innovation process by
intelligent agent is another challenging problem. Integrating intelligent technology with innovation in
the era of big data will be our future research directions.
7. Implications (for learning, research policy, practice, for networking)
The main features of using Extenics for innovation can be outlined as follows:
Extenics provides a system structure for information collection and processing, which can be used
as the basis for generation of effective solutions. Due to the completeness of systematic thinking it
endorses, Extenics offers an opportunity of capturing important aspects needed for creative and
innovative problem solving, which are likely to be ignored by conventional problem solving, or
problem solving “by chance.”
In addition to generating possible solutions from chaos, Extenics also offers an effective way of
evaluate solutions, so that any solutions failed the evaluation will be eliminated from further
consideration. This can prevent computational explosion.
The Extenics-based approach for innovation is a human-computer interactive process: Computers
can conduct scalable data storage and mining by making use of various algorithms, far superior
than human labors can handle. Nevertheless, the real world is extremely complex, and only humans
can capture the dynamics of the real world beyond any algorithms can handle.
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8. Concluding Observations
Based on the networking environment, in which computer Internet and mobile Internet are available
almost everywhere, we combine Extenics with Internet information retrieval and intelligent
information technology to enhance the capability of individuals on creating new ideas by formalized
innovation. The paper presents a framework of Extenics-led innovation model and a creative
thinking process based on knowledge management and Extenics. It helps us think from 3 paths with
3 directions and 3 objects with 8 aspects Based on the model, we design guide tables in formularized
expression and list the steps as a thinking tool by 10 innovation cubes. The practices in
postgraduates proved its effectiveness.
However, we only used a small part of Extenics. More theories will be applied further in innovation
educations, such as extension set theory and extension logic. Since the significant importance of
information and knowledge, the research on combination of extension innovation methods with web
information technology, data mining or knowledge management would be further developed.
Acknowledgements
This research was supported by the National Natural Science Foundation of China (#71271191,
#61273306, #61503085), Humanities and Social Sciences project (18YJAZH049) of the Ministry of
Education, China. Zhejiang Natural Science Fund (#LY18F020001, #LY16G010010), Guangdong
Science & Technology Project(#2016A040404015) and 2017 key issues of the national education
information technology research (#176120008).
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Author’s profile
Prof. Xingsen Li is graduated from School of Management, Graduate University of the Chinese
Academy of Sciences and achieved his doctorate degree in management science and engineering.
He has been the secretary-general of Extenics Specialized Committee, China Association of
Artificial Intelligence. His research interests include Extenics, knowledge management and
Intelligent innovation. He has published 4 books and more than 70 papers in various Chinese
journals and international journals/conferences proceedings, including ITQM best paper and ESI
highly cited paper. He wins natural science awards of Zhejiang province and teaching achievement
prizes at Zhejiang university.
Prof. Yang Chunyan is the director of Research Institute of Extenics and Innovation Methods,
Guangdong University of Technology, director of Extenics Society of Chinese Association for
Artificial Intelligent, executive director of Chinese Association for Artificial Intelligence, vice president
of Guangdong Future Forecasting Seminar, corresponding evaluation expert of National Science
Fundamental Project, 863 Project and Guangdong Natural Science Fundamental Project, one of
the academic leaders of the Extenics researching field of China. She have been doing the research
on the theory of the new discipline Extenics and its application in management, decision making
and artificial intelligence professionally for many years. She has directed 3 National Natural Science
Fundamental Projects and 3 Guangdong Natural Science Fundamental Projects, has 11
monographs published by Science Press, etc, including Extenics, Extension Innovation Methods,
Extension Engineering, Extension Data Mining and Its Computer Implementation, Extension
Planning, Extension Strategy Generating System. She was also highly appraised by national
famous scientists for her innovative achievements in extension engineering, contradictory problem
intelligent processing, extension data mining, decision making and strategy generation. Her main
research directions include: Extenics, contradictory problem intelligent processing, extension
data mining, knowledge management, decision making and strategy generation.
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An Innovation Study on the Visualization and Evaluability of Thinking
Process in the field of K12 Education Application
Wen Xu and Fangqu Xu
Shanghai Shenyue Software Technology Ltd. China
Email: cindyxu@geomking.com
Abstract
The Visualization and Evaluability of Thinking Process is the basic research of artificial
intelligence. Our team chooses the Visualization and Evaluability of Thinking Process in
the field of K12 education application as a starting point to study and simulate the human
thinking process. Currently, we have already got 2 main achievements. We developed the
<Geomking -- junior middle school plane geometry learning software > (Abbr. Geomking)
based on “the Visualization of Thinking Process” and <Thinking – student’s thinking
process visualization and evaluation system > (Abbr. Thinking) based on “the Evaluability
of Thinking Process” in the field of junior middle school math education.
Three main innovations:
1. Geometry Fundamental Graph Analysis Model ( GFGAM ) -- Using sophisticated
language to describe complex logical relationships. For a certain geometric problem,
GFGAM acquires and analyzes the application conditions of the basic graphics contained
in this geometric problem, and expresses logical relationships, logical reasoning in
sophisticated language.
2. Dynamic Graph Distribution Technique ( DGDT ) -- Performing complex graphical
relationships with dynamic graphics. DGDT is to find and break down one or several basic
graphics of a certain geometry problem and form them into a collection of graphics. When
the basic graph is not complete, by adding the auxiliary line to complete the basic graph,
dynamically generate new graphics, sort the graphics according to the order of thinking
process and add them into the original collection of graphics.
3. Thinking Tree --Revealing the possibilities of different thinking paths. It includes two
parts: Mathematical knowledge database and Thinking method Rule database.
Keywords: AI, big data, education, software, thinking process
Introduction:
Artificial intelligence is a branch of computer science and is considered one of the three
cutting-edge technologies (genetic engineering, nanoscience, artificial intelligence) in the
twenty-first century. From the formal introduction of artificial intelligence in 1956, after 50
years development, AI has become a frontier science now. The purpose of artificial
intelligence scientific research is to let the computer “think” like people, so that it can
simulate the human thinking and intelligent behavior. One of the most successful artificial
intelligence programs in the world today is the AlphaGo Go Artificial Intelligence program,
which uses the "deep learning" and "two brains" principles to achieve the ultimate goal of
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simulating human thinking. In the field of Go artificial intelligence, it achieves an
unprecedented breakthrough.
To simulate the human thinking function, the foundation is to explore, discover and
understand the regularity of human thinking activities, including the form of thinking,
thinking methods, thinking process and other fields. Among them, the thinking process is
the most basic and most important research field. If the thinking process of the human
brain is not clear, it is obviously impossible to carry out the simulation.
After a long period of effort, our team finally choose the Visualization and Evaluability of
Thinking Process in the field of K12 education application as a starting point to study and
simulate the human thinking process.
Study Significance
First of all, the Visualization and Evaluability of Thinking Process is the basic research of
artificial intelligence. At present, the study of human thinking process, mostly only show
the thinking results, while the thinking process of how the results coming out is rarely
mentioned. For example, China's famous mathematician Chen Jingrun spent six years to
complete the proof of the Goldbach conjecture (1+2), and finally published more than 100
pages of paper. However, for the descendants, we only see his thinking results (more than
100 pages of paper), but for his thinking process about how he completed the proof, we
are completely ignorant. Therefore, to study the human thinking process, we should make
the original thinking process in the human brain become visible through information
technology and make it become evaluable through detection and analysis.
Second, the current artificial intelligence has begun to penetrate into almost all areas of
human life step by step, but only the field of education is almost blank. The goal of
education is to let students learn the ways of thinking and understand thinking process.
Only developing from pursuing the achievements of the previous thinking results to
pursuing the cultivation, training and formation of the thinking process, education can has
a real sense of innovation. Therefore, in the field of education, whether to show the
analyzing process of a problem which is the visualization of thinking process, or to show
the thinking process about how students think about a problem which is the evaluability of
thinking process, both are the direction we want to study.
Theory Basis
The study of the simulation of human thinking process must be based on science rather
than experience. The four characteristics of experience are:
1. Know it is so, but don’t know why it is so.
2. This one could do so, but don’t know whether that one could do so.
3. It could do so today, but don’t know whether it could do so tomorrow.
4. It could do so today, but don’t know when it could do so again.
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The essence of science is the regularity of things to develop and change. Because of this,
it is necessary to study the process of human thinking from empirical research to the level
of scientific research. Therefore, science must have the following four important
characteristics (take the plane geometry we are studying as an example):
Causality
The causality of science refers to the relationship between the cause and the result which
is between things and things, phenomena and phenomena. It is the relationship based on
a logical reason which can be derived from one thing or phenomena to another.
For example: The combination of the angle bisector and the parallel line must have the
basic graphic “Isosceles Triangles”. No matter where the parallel line is draw, whether it’s
parallel to the side of the angle or it’s parallel to the bisector of the angle, it must have the
isosceles triangle. That’s the causality of science.
Figure 1.parallel to the side of the angle
Figure 2. parallel to the bisector of the angle
Universality
The universality of science refers to the common nature of all the objects, things, and
phenomena.
For example: In the geometric problem, when there are two squares with a common vertex,
there must have the basic graphic “Rotary Type of Congruent Triangles”. The way to find
this pair of congruent triangles is to constitute two sets of equal lines from the common
vertex to form congruent triangles. This characteristic is established for any two squares
with a common vertex, therefore, it is show the universality of science.
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Figure 3. Rotary Type of Congruent Triangles
Predictability
The predictability of science refers to the accurate estimation, evaluation and judgment of
the trend and the development of things or objects over a certain period of time in the
future.
For example: In the geometric problem, when two proportional line segments overlap,
there must have the basic graphic “Parallel Line Type of Similar Triangles”. The way to
form this type of similar triangles is to add parallel line from endpoint or internal point. At
this time, it can predict as long as the parallel line is added, there must have the basic
graphic “Parallel Line Type of Similar Triangles”. Even it can accurately predict where the
Parallel Line Type of Similar Triangles appear. That’s the predictability of science.
Figure 4. Parallel Line Type of Similar Triangles
Periodicity
The periodicity of science refers to one or more cycles in which certain repetitive features
occur during the movement of things after a certain period of time.
According to the above discussion, we can realize that the regularity of science could be
known. After having the above basic conditions, we can move on to the stage of the study
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of the thinking process itself.
The essence of human thinking process is actually to answer three questions:
1. How to think when get a question?
2. How to think about it step by step?
3. Why think so?
First, How to think when get a question? This is actually the starting point for each of us to
carry out thinking activities. Thinking about any problem must start from the problem with
given information including conditions, conclusions and other nature. However, the given
information of the target problem is not unique, so there is a thought of all the possibilities.
In essence, this is a diffusion thinking process. In the diffusion thinking through the various
possibilities, some are correct direction to solve the problem while some are wrong
direction, some are very simple direction while some are quite complicated direction. So
there is a comparison and the choice of thinking process, in essence, this is a centralized
thinking process. Linking diffusion thinking process and centralized thinking process, that
is, an innovative thinking process. In this sense, the real process of analyzing and solving
the problem is also treated innovative thinking as the starting point of thinking process.
Second, How to think about it step by step? After the start of the thinking activities is how
to step down to solve the problem until the solution which is the most important part of the
thinking process. Take our study of plane geometry as an example, the key point is also
how to think when get a question, how to come out step by step. Including adding auxiliary
line, the most difficult part in teaching geometry, is also need to make it clear how to come
up with each of the auxiliary line and how to add one by one.
Third, why think so? Because the thinking process is step by step, there is a logical causal
relationship between the previous and the next step. This means that every step of thinking
process is justified and can answer why think so.
Therefore, the study of human thinking process, in fact, is to thorough research these three
questions and achieve results.
Research Achievements
After clarifying the essential problems and basic conditions to be solved in the study of
thinking process, we developed the <Geomking -- junior middle school plane geometry
learning software > (Abbr. Geomking) based on “the Visualization of Thinking Process”
and <Thinking – student’s thinking process visualization and evaluation system >
(Abbr. Thinking) based on “the Evaluability of Thinking Process” in the field of junior
middle school math education.
The theoretical basis of "Geomking" is the "Basic Graphic Analysis Method" which can
reveal the regularity of geometric problem analysis. For a long time, geometry is a subject
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which teachers feel difficult to teach and students feel difficult to learn. The most difficult
part is that the traditional geometric teaching can’t clearly explain how to think about when
get a problem, how to think step by step, especially how each of the auxiliary lines is
coming out. In theory, it doesn’t reveal the thinking process of the geometry problems.
"Basic Graphic Analysis Method" is a geometry problem analysis method which
decomposes the graph of a geometry problem into one of several basic graphs. When the
basic graph is not complete, it makes the incomplete basic graph into complete by adding
auxiliary lines, then use the properties of the basic graph to solve the geometry problem.
The original creation of the "Basic Graphic Analysis Method" is to scientifically introduce
the thinking process about each geometric problem.
Figure 5. Basic Graphic Analysis Method
<Geomking> is a junior middle school plane geometry learning software which is based
on the "Basic Graphic Analysis" as theoretical basis and “the Visualization of Thinking
Process” as core technology. “The Visualization of Thinking Process” technology of
<Geomking> is mainly through the following two ways to achieve:
Geometry Fundamental Graph Analysis Model (GFGAM)-- Using sophisticated
language to describe complex logical relationships
Through the data acquisition, data calculation, data analysis and data modeling of tens of
thousands of geometric questions, GFGAM which is the analysis model based on the
“basic graphic analysis method” is finally formed. For a certain geometric problem, GFGAM
acquires and analyzes the application conditions of the basic graphics contained in this
geometric problem, and expresses logical relationships, logical reasoning in sophisticated
language. In the analysis of the same geometric problem, GFGAM is repeatedly called
and finally the complete thinking process of the geometric problem is expressed in
sophisticated language.
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Dynamic Graph Distribution Technique(DGDT)-- Performing complex graphical
relationships with dynamic graphics
DGDT is to find and break down one or several basic graphics of a certain geometry
problem and form them into a collection of graphics. When the basic graph is not complete,
by adding the auxiliary line to complete the basic graph, dynamically generate new
graphics, sort the graphics according to the order of thinking process and add them into
the original collection of graphics. DGDT loops these steps until finally form a sequence of
ordered graphics. No matter how complex the graphical relationship is, DGDT can break
it into the most basic, ordered set of basic graphics.
“The Visualization of Thinking Process” which uses the information technology to visualize
the thinking process step by step is recognized as “the brain CT of thinking process” by
many teachers. The successful realization of this technology in plane geometry subject
also solves the problem of the deep integration of information technology and subject
teaching, moreover, the normalized application of information technology in classroom
teaching.
After realizing “The Visualization of Thinking Process”, we face a new challenge that is
“the Evaluability of Thinking Process”. The purpose of "Geomking" is to reveal analysis
process of a certain geometry problem, but the purpose of teaching is more needed to be
able to show the thinking process of each different student and evaluate it so that finding
unique problems of thinking process for each student. This turns out to be “Thinking”
software.
The theoretical basis of "thinking" is the "Thinking Tree" which reveals the possibilities of
different thinking paths. To show and evaluate the thinking process of each different
student, the most basic step is to list all the possibilities of every thinking node for each
student without missing. Among them, the most important question is “without missing”. It
includes not only the right path, but also the wrong path. Even the path which the students
can’t be think completed. When we summarize and modeling all the thinking possibilities
of all the thinking nodes of a problem, we get a "Thinking Tree" covering the whole thinking
process about this problem.
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Figure 6. Thinking Tree model: demonstrating a simple geometry problem different color means
different thinking path
The “thinking tree” model consists of two parts:
Mathematical knowledge database – Storing the mathematical thinking tree which
contains the thinking analysis methods of mathematical problems and mathematical
arguments causal relationship. It’s the fundamental basis of all the mathematical thinking
and analysis like an analysis knowledge base of mathematical problems.
Thinking method Rule database – the simulation rule of artificial thinking process for
mathematical problem solving. This algorithm can identify the user's way of thinking and
determine the accuracy of the user thinking.
<Thinking> is a junior middle school math learning software which is based on the
"Thinking Tree" as theoretical basis and “the Evaluability of Thinking Process” as core
technology. “The Evaluability of Thinking Process” technology of <Thinking> is mainly
through the following four ways to achieve:
Thinking tree display and guide interface
Through the human-computer interaction, the user answers the question provided by the
system to complete the problem solving of the mathematical problem. At the same time,
the user can view the thinking and proof process of each question, and in which step
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mistakes have been made.
Human - Computer Interaction Interpretation System
The characteristic of this is to explain why the system adopts a rule and the result is based
on what. For example, a mathematical problems have varieties of solutions, the system
can determine the user finally come to which solution based on the different thinking
process for different users. For another example, there is a loop in the thinking process of
the user, the system can tell the user what is the reason for the loop and the thinking
solution without loop.
Mathematical Thinking Simulation Deriving System
The system can identify the user's thinking mode according to the information provided by
the user, use the optimization query algorithm from the "Thinking Tree" model to find the
matching knowledge and rules. Through the deriving algorithm to find out the most
appropriate response steps to ensure the normal process of solving the problem.
Integrated database
The database consists of three main databases:
Dynamic database is a temporary database generated by the system during operation. It
is used to store the system rules activated by the user in the process of solving the
mathematical problems, the intermediate solution generated by the system and the
reasoning process of the system interruption.
Information Guidance Database stores the guide message when the user thinks about
the math problem. For example, in a mathematical problem, the user using the same
condition may be derived completely different conclusions in different process of solving
the problem. So the deriving of the condition in the process of solving the problem is not
unique. The database will provide different guidance tips based on different derivations to
help connect the user's thinking process, to avoid the user's thinking process interrupted.
User Thinking Record Database is permanently storing a user's problem-solving process.
The establishment of the database provides a good basis for data mining and a strong
data support for the improvement of performance and education.
The evaluation of traditional education is the “right and wrong” evaluation only for the
answer. As long as the answer is right, the student can get a full score. No matter how the
student gets the answer, whether it’s by copying, by guessing or by cheating. At some time,
there’re twice wrong steps during the way to achieve the answer and these mistakes have
been offset so that the result turns out to be “right”. Therefore the evaluation of traditional
education can’t accurately reflect the real quality of learning and teaching quality.
The creation of “Thinking” is to reveal how the student start to think when getting a
mathematical problem and how to think step by step. On the basis of thinking process,
analysis and evaluate the correctness of every thinking steps for the students. As long as
the student has a thinking behavior, the software can record, reveal and evaluate. The
reason why the student can make the mistake at the certain step; the reason why the
student can’t complete the whole thinking path; the reason why the student make the loop
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during the thinking path. All of these can be analyzed clearly. This is “the Evaluability of
Thinking Process” based on “Thinking Tree” method.
At present, “the Visualization and Evaluability of Thinking Process” we work on is only a
first try in the field of K12 education. In fact, on the basis of the realization of the thinking
process, it is possible to extend the research field from education to other fields. As long
as it involves human thinking activities, the research can be done by “the Visualization and
Evaluability of Thinking Process”. So that it can accumulate the data of “the Visualization
and Evaluability of Thinking Process” for different fields and questions one by one. Finally
achieve the goal to simulate the human thinking activities and promote the artificial
intelligence research.
References
Stuart Russell (2013). Artificial Intelligence, Tsinghua University Publishing House
Fangqu Xu (1998). Basic Graphic Analysis Method, Elephant Publishing House (in
Chinese)
Fangqu Xu (2015). Introduction to the Cultivation of Teachers' Innovative Ability, East
China Normal University Publishing House (in Chinese)
Fangqu Xu & Wen Xu (2017). Transparent Geometry - New Practice of Internet + Planar
Geometry, Shanghai Education Publishing House (in Chinese)
Dasong Zhang (2015). The Art of Scientific Thinking: An Introduction to Scientific Thinking
Methodology, Science Publishing House (in Chinese)
Lifeng Zhu (2016). Make Your Mind More Intelligent: Talking About Scientific Thinking
Method, Guangdong Science and Technology Publishing House (in Chinese)
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Designing new services through “Innovation-Creating Thinking”
– Matching hidden needs and new seeds –
Kozi Mihara
Chiba Institute of Technology
Email: mihara.kozi@p.chibakoudai.jp
Abstract
Recently a design of new service is important for all kind of business. And service innovation
is continuously necessary for company for the future. To that end, it is necessary to consider
with a seed of innovative service. And an idea to think about both needs and seeds is
necessary for creation of service innovation. “Purpose Expansion” is the creation technique
that is effective for thinking of innovation [1]. “Potential Expansion” is thinking process of the
seeds pursuit. It develops a new seed. “Purpose Expansion” is thinking process in pursuit of
hidden needs. A preceding study shows that it is raised the possibility of the innovation
creation by using these two kinds of thinking process.
“Innovation-Creating Thinking” is developed based on the study of thinking process of these
two. This paper aims to introduce a theory of “Innovation-Creating Thinking” and to show the
effectiveness of this method for service planning.
Keywords:Planning Method, Service Design, Purpose Expansion, Potential Expansion
1. Introduction
The survival of future businesses requires continuous innovation. The innovation research to
date has nearly unanimously argued that the ideas that form the seeds of innovation are a
necessary factor in innovation. In order to create innovation throughout various fields and
domains, it is critical to conceive of these seeds of innovation. Previous study claims that
conception of the seeds of innovation originates from need-oriented concepts, known as
market driven and market pulled, and seed-oriented concepts, known as technology driven or
technology pushed. There has long been a debate about which produces innovation – needoriented or seed-oriented concepts. However, the current most rational interpretation is that
needs and seeds jointly create innovation. In other words, the joint conception of both needs
and seeds is required to create innovation, and so this is the short cut to the creation of
innovation.
Author is continuing research on "purpose expansion" for work design known as a creative
technique as an innovation conception method [1] [2] [3] [4]. Furthermore, obtaining hints for
"purpose expansion" method through internal argument with oneself using “sentence
expression of the function”, Kurosu proceeded with research regarding new conception
methods and has proposed "potential expansion" method[5]. "potential expansion" develops
possibilities, is a conception method of the type driving by the seeds to go forward developing
new functions. On the other hand, "purpose expansion" is a conception method of the type
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driven by needs to in pursuit of true needs by seeking higher goals, and it is thought that
these two thinking methods systematically to increase the potential for innovation creation.
Furthermore, unifying this research, "Innovation-Creating Thinking" is developed in order to
devise a seed of innovation. From 2014 a course on this thinking method was held as a
subject in Waseda University EDGE, the Ministry of Education, Culture, Sports, Science and
Technology, and has already had more than 100 students turn out who are now practically
utilizing it.
2. Objective & Procedure
The purpose of this paper is to present the effectiveness of the “Innovation-Creating
Thinking” method in designing services while also explaining the logic behind it. Firstly,
Importance of matching of needs and seeds and the logic behind the “Innovation-Creating
Thinking” is introduced. An overview of the “Innovation-Creating Thinking”, two kinds of
expansion which are core thinking method of “Innovation-Creating Thinking”. And each
expansion is explained, and expansion example is shown. Finally, new service example
which was planned by “Innovation-Creating Thinking” was demonstrated.
3. Previous Research on Innovation creation and Conception
There have been many conception methods proposed in the past resulting it a great deal of
achievements. Among these, there are sure to be thinking methods, which create conception
that turned into innovation. Design thinking and system thinking are two conception methods,
which are receiving attention as innovation conception in recent years. However, as far as
author knows, there is almost no conception method development research with the purpose
of creating innovation. Nevertheless, we can conceive that innovation is being created
through some kind of conception method. And so it will be considered from what kind of
conception method theories the seeds of innovation are being created.
In marketing research, in order to produce large economic value, needs are said to be
required. And it is said that when you realize something with completely new needs and new
skills, this leads to innovation. In this way, there is the concept that innovation has created
precisely through the conception of new needs. On the other hand, there is the concept that it
has created through the conception and realization of new seeds. And so there is a
conceivable argument as to whether the conception methods and creation technologies
which we have utilized in the past will are conception methods to conceive of needs, or
conception methods to conceive of needs. Therefore, an outline of past theories as to
whether innovation creation creates needs conception or creates seeds conception are
presented.
3-1. Needs-Driven and Seeds-Driven Innovation creation
There has been debate for many years regarding the issue of whether innovation occurs
being needs-driven or seeds-driven. Namely, the debate is which is effective for innovation
creation "market-driven", which is needs, or "technology-driven", which is seeds. The marketdriven innovation faction has proceeded with technological development through their
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involvement with needs, presented cases where innovation created, and has considered
technological approaches to be a major factor innovation [6]. On the other hand, the
technology-driven faction has argued that market (needs) information cannot be said to
convey a message, which clearly specifies the directionality of market reform, and in general,
the fulfillment of needs is determined on the side supplying the seeds [7] [8] [9]. As such
debate continues to mount, Johne and Snelson considered innovation to be an expression of
balance between advanced technology (seeds) and market insight (needs) [10]. Furthermore,
Clark argued regarding the interaction between technology and markets, and considered
innovation to rely not only on technology but also on the interaction between it and the
evolution of customer needs [11].
In this way there is a wide range of debate regarding the causes of innovation, and there is
surely no one who would use it in a place where there were no needs whatsoever regardless
of what kind of seeds were supplied, and of course no one who could use it even if there
were needs but no seeds to realize said needs. It is believed that, as stated by Clark, it is
appropriate to consider innovation to occur due to an interaction between needs and seeds.
3-2. Conception Driven by both Needs and Seeds
Some research can be found in which regarding both needs- and seeds-driven models, but
all of it considers either needs or seeds to be the initial cause behind conception. Regarding
methods of hypothesis-creation type design support, Noguchi, Tanimura, and Shiono[12]
have taken an approach to Logically new designs with current products (needs) as a starting
point and utilizing quantification class Ⅲ and DEMATEL. Additionally, there is also research
into techniques to conceive of future needs combining various ideas (seeds) conceived by
industrialists through innovation games [13] [14] [15].
Furthermore, the importance of innovation creation through the matching of needs and seeds
has been recognized even at the national level, with research into the matching of needs and
seeds being carried out from the standpoint of Ministry of Education, Culture, Sports, Science
and Technology industry-academic-government collaboration toward the creation of new
value [16].
Although the importance of innovation research focusing on the interaction between needs
and seeds in this way has been confirmed, currently it cannot be said that there is much
research regarding needs- and seeds-driven conception methods.
3-3. Conception methods Matching Needs and Seeds
As confirmed in the preceding section, it would seem to be possible to create innovation by
conceiving of a good balance of both needs and seeds and drawing on them both. In other
words, recognition of both needs and conception methods focusing on the interaction
between them would seem to be necessary for the conception of seeds of innovation.
However, as far as author knows, there are no conception methods to be found which are
scientifically recognized and extensively utilized and which clearly differentiate between
needs conception and seeds conception and attempt to conceive of innovation through
interaction between the two. Nevertheless, the seeds of innovation have been conceived of
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using the conception methods of the past. So considering the question of why it was possible
to conceive of the seeds of innovation despite not clearly differentiating between needs
conception and seeds conception and attempting to conceive of innovation through
interaction between them, the following would seem to be possibilities.
A) While conceiving of needs, people are matching them with the seeds they already
possess (know).
B) When conceiving (developing) of seeds, people notice hidden needs.
Most conception methods from the past seem to have stimulated the ability to conceive of
seeds by the person in the process of conceiving of needs, and vice versa. In other words, it
seems to depend on the abilities of the conceiver of either conception. In order to draw out
the ability to conceive of both needs and seeds in a conceiver as much as possible, it is
effective to mutually stimulate needs conception and seeds conception and conduct
conception method in a way that matches them with each other.
4. The logic behind the Innovation-Creating Thinking method
4-1. An overview of the Innovation-Creating Thinking method
The Innovation-Creating Thinking method is composed of three expansions – “purpose
expansion,” “potential expansion” and “measures expansion” – as well as an innovation map
for obtaining an integrated overlook of these. “Purpose expansion” is a conception method
for discovering needs. “Potential expansion” is a conception method for discovering seeds,
and “measures expansion” is a method for creating realizable plans. The innovation map
gives a bird’s eye view of these three expansions, and is a tool for discovering concepts that
could lead to innovation. Figure 1 shows a conceptual diagram of these three.
Purpose Expansion
Potential Expansion
what is the purpose
↓
what is the purpose
↓
what is the purpose
↓
what is the purpose
↓
what is the purpose
↓
・
・
what else becomes
possible?
↓
what else becomes
possible?
↓
what else becomes
possible?
↓
Needs
Matching
・
・
Method Expansion
Seeds
what do I need to do?
↓
what do I need to do?
↓
what do I need to do?
↓
what do I need to do?
↓
・
・
Method
Figure1 Conceptual diagram of Innovation-Creating Thinking method
4-2. “Purpose expansion” for need conception
The goal of “purpose expansion” in the Innovation-Creating Thinking method is to discover or
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create previously undetected or hidden needs. “Purpose expansion” is a conception
technique originating from work design, which is a system design method.
In Innovation-Creating Thinking, thinking methods which can utilize "purpose expansion"
for the purpose of system design for the sake of innovation conception[1][27].
4-3. “Potential expansion” for seed conception
4-3-1. Logic of “Potential expansion”
There are two types of seed conception. One is conceiving of uses for invented items and
concepts that do not yet have clear uses and another is conceiving of new uses for
previously developed and used items and concepts through new combinations. “Potential
expansion” is a conception method capable of creating both of these approaches.
By systemizing a development method of thinking wherein one repeatedly asks oneself,
"what could be accomplished if that were possible?", it is possible to investigate the
possibilities and conceive of ideas for application [5]. Considering this development made
clear the following points.
A) When the seeds (features which can be supplied) change, the applications change
B) There can be many applications for a single seed (feature which can be supplied)
C) Research and development firstly originates from applications
Furthermore, I obtained the following guidelines regarding development.
(1) Because one repeats the process of abstract expression becoming concrete expression
and vice versa, it is not necessary to continue to be concrete.
(2) Chronological development following the passage of time is sometimes conducted.
(3) There are also cases where one goes forward thinking of causes and results, leading to
causal development.
(4) It sometimes leads to the development of analogous expression.
(5) When considering what is possible, it is better to think releasing oneself from restrictions.
4-3-2. Seeds and Application Development
There exists a great deal of technology which has been created but whose potential uses are
unclear. There is a huge number of patent applications. However, it is said that perhaps less
than one third of patents applied for end up becoming products. Possible reasons for this
include: (i) The technology developed was not advanced enough to become a product; (ii)
the cost for the functions of the product are too high, eliminating the prospect of sales; and
(iii) although the technology developed is interesting, it is unknown what it can be used for.
For example, shape memory alloy was considered a very interesting technology and product
at the time of development, but no decisive field of utilization of application could be
determined. The same can be said of "paper that produces sound", etc. These are
technologies, which seem interesting, but they are inventions and discoveries for which what
kinds of uses would be effective do not readily come to mind. There are cases where
companies decided to put such things and concepts to market without sufficient
consideration for their fields of utilization and application. The reason they wanted the world
to think of applications for such things and have customers use them in accordance with their
needs would seem to be the fact that there were no application development methods, which
had been systemized in the past.
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There are also many things and concepts invented and discovered through research into
natural science whose uses are unclear. These un-utilized inventions and discoveries seem
to come to life in society only after conceiving of their seeds and devising ideas for
application.
3-4-3. The thought process in “potential expansion”
People used to try to think up areas of application and uses for technologies, materials and
expertise as well as the products and services created from these by identifying their
characteristics (mainly the merits), and then trying to think up some way to skillfully put them
to use.
The process is as follows:
1. First, identify the characteristic of the object (X) (in particular, a merit).
2. Find somewhere you want to make use of the characteristic of X (in particular, a merit).
3. Think of how to provide a “more appropriate X” for where you want to make use of it.
4. If the “more appropriate X” does not actually exist, then newly develop it.
Step 1 of the aforementioned process is the act of extracting the characteristics of existing
technologies and products as well as discovered or invented technologies and products that
do not have clear uses. Step 2 corresponds with the process of conceiving of ideas for uses.
Steps 3 and 4 correspond to the processes of designing products and services that reflect
these new uses. It is the process of questioning yourself about the merits of a particular seed
or product as in, “If this is possible, then what else becomes possible?” then self-supplying
the answer. It is the process of expression expansion through repetition of this [5].
4-4. “Measures expansion” to devise realizable plans
Devising realizable plans is a thinking process in which one repeatedly asks, “What do I need
to do to accomplish that?” and then supplies answers to those questions. In other words, just
as in the previously mentioned “potential expansion,” realizable plans are conceived through
the process of supplying answers to the question, “What should I do?” and then, repeatedly
thinking, “What should I do about that?” concerning the answers. Through this process of
expansion, a very specific, tangible image will form at some point. Then, one may conduct
trials when the desire to actually perform them arises. At that point, one enters the production
process. This marks the completion of an actual, realizable plan. Figure 1 shows an example
of “Measures expansion.”
"To carry things with one to use while commuting"
↓ How to make this happen)
"To make it possible for people to instantly take out things they are carrying with them to use while
commuting"
How to make this happen)
(How to make this happen)
"To carry things people can use while commuting in a state
"To carry things in a state where
where an
opening they can use the thing they want to use
immediately without sticking
for them to take them out is always open"
their hand in a pocket, etc."
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Figure 2 Example of "measures dexpansion" devising an implementation scheme
(The "↓" indicates the question "How to make this happen" posed to oneself)
In this way, the thinking process of asking,” What should I do to accomplish that?” and selfsupplying the answer, “You should ~” expands measures that then become realizable plans.
That is why we named this Innovation-Creating Thinking “Measures expansion [17].
4-5. Innovation Map for Matching Needs and Seeds and Devising Implementation
Schemes
Up to the previous section, I introduced three theories of thinking development to support the
foundation of my Innovation-Creating Thinking. The ground-breaking ability to utilize this
thinking method for practical work is the potential for devising many plans through the
creating of an Innovation Map, as I will explain in this section.
An Innovation Map is a map which fuses three developments.
When the series of development consisting of needs development via "purpose expansion",
seeds development via "potential expansion", and development of an implementation
scheme via "measures expansion" is developed by separate individuals with no related
theme, it is difficult to find needs and seeds of a similar time from within the expressions of
said development. However, when people and organizations engaged in the same product,
business, or issue perform each development, the needs, seeds, and design usually possess
a relatedness. Furthermore, conducting development with a unified theme is another
technique to arbitrarily apply relatedness. The Innovation Map is a development support tool
with a commanding view of three developments which are likely to be related whereby
people discover ideas that become new needs and attempt conceptions which realize
implementation schemes to realize these needs.
The most important point of this thinking development in any kind of development is the act
of repeatedly asking oneself the same questions over and over, and this is called the "samequestion repeated thinking method". Furthermore, conducting this consciously will lead to
great results. Because you repeatedly conduct these three thinking developments, a variety
of ideas arise from said development. Furthermore, by taking these ideas and using arrows
extending between each development to join them and create a diagram, it is possible to
draw up innovation ideas like a map. I have named this the Innovation Map [18].
Innovation Maps created via Innovation-Creating Thinking are drafted using the
aforementioned three development methods, so it is possible for a single person to create
one in a relatively short period of time.
Below I will show the features of an Innovation Map.
◆Can be created by one person
By using the three thinking development with the repeated self-questioning, the map can
be created by a single person.
◆Logical Map Creation
The three developments promote logical thinking. In "purpose expansion" one is
required to think logically about "For what purpose?"; in "potential expansion" "What could
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be accomplished if that were possible?";and in "measures expansion", "How to make this
happen"
◆The creation procedures are clear
The creation procedures are systemized, reducing discrepancies in quality of maps
caused by the creator's abilities. No matter who creates it, if they do it according to the
procedure they can create a map of a certain standard.
◆Discovery of New Added Value
By having a commanding view of the overall picture during the creation of and after the
completion of the Innovation Map, one can perceive of "products and services possessing
new added value".
◆Not influenced by the attributes of the creator
Because one goes forward conceiving from functional expressions, it is not absolutely
necessary to possess detailed business knowledge. It is also not necessarily required to
use specialized terms. For this reason, not only technicians but also people from sales
and planning departments can create the maps. By drawing the maps via this method,
sales and planning department people are able to draw a map more from the point of view
of the user. This enables the discovery of new markets and applications. And by showing
this Innovation Map to a technician, the technician can draw a more technical roadmap
from a technological point of view.
For these reasons, this method does not place excessive time pressure (for meetings, etc.)
from the creator, while still enabling them to create the desired Innovation Map following the
procedure. However, this technique does not prevent people from gathering together to
create maps in a meeting setting. When creating the map in a meeting, the person asking the
questions and the person answering the questions do not need to be the same person. By
enabling everyone to question one another and answer an objective and general Innovation
Map can be created, so it is effective for utilization in the expansion of existing business, etc.
5. How to implement the Innovation-Creating Thinking method
As explained in the previous section, the Innovation-Creating Thinking method is composed
of three types of thinking expansions. There are two ways to commence thinking expansions
in this creation technique – need-oriented commencement and seed-oriented
commencement. The need-oriented approach is more suitable when developing and
designing new services, so we present its implementation method.
5-1. How to implement need-led approaches
When commencing with a need-led approach, conduct “purpose expansion,” and then
“potential expansion.” After that, match function expressions from the expansion series made
up of the “purpose expansion” and “potential expansion.” It is sometimes not possible to
match well at this time, but conduct “measures expansion” from the need expressions in the
“purpose expansion,” and create a need-oriented proposal.
The following is a summary of the process.
Step 1) Conduct “purpose expansion,” and discover needs.
Step 2) Conduct “potential expansion,” and discover seeds.
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Step 3) Match needs and seeds from amidst the “purpose expansion” and “potential
expansion,” and create new function expressions (called new need expressions) combining
them.
Step 4) Conduct “measures expansion” on the new need expressions created from the
matching and devise several realizable measures.
Step 5) Line up all three expansions and create an innovation map.
Step 6) Take a bird’s eye view of the innovation map and summarize a proposal that is both
innovative and realizable.
Step 7) Create a proposal outline.
Step 8) Perform detailed system design from the outline.
This paper is a detailed explanation of the process up to step six, in which innovation seeds
are conceived and planned. Steps 7 and 8 are a system design period conducted after
determination of the proposal, and these steps follow system design methodology nearly
exactly, so please reference prior research[25][27][31][34][35][36][37].
5-2. Examples of Methods and Development of "Purpose expansion"
Determine what products and business fields at your company to target, repeat the questions
"What is the purpose of this?" and "What is this for"? as a starting point for that one functional
expression, pursuing the highest goals possible. During this development, needs which had
previously been hidden will be discovered and created. The basic idea is essentially the
same as "purpose expansion" in work design, but in Innovation-Creating Thinking it is more
important to conceive of new needs than to follow the development rules. And so, so that
anyone can easily engage in this conception method, and since it is important in "purpose
expansion" to comprehend the questions which pursue the goal, the deployment name
"What For? Expansion" is also used based on the question, "What is this for?".
Figure 3 is a sample of "purpose expansion". The conceptions created through this
development are actually utilized in planning.
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Purpose Expansion
To buy tape-recorder.
↓ what is the purpose?
To buy a machine that can reproduce tapes which is leaving in house.
↓
To reproduce poorly stored tapes so they may be played.
↓
To reproduce tapes which deteriorated with a machine to listen to when I like.
↓
To have deteriorated analog sound sources that is including the music you used to love with the
machine which always listens to.
↓
To listen anytime and anywhere to analog sound sources you used to love that have become
unplayable due to no longer having a machine and to recording material deterioration.
Figure 3. Example of "Purpose expansion" with "Tape Recorders" as the Subject
5-3. Examples of Methods and Development of "Potential expansion"
"Potential expansion" starts with asking oneself the question, "If this is possible, what
becomes possible?" The basic expression is, "To ×× (predicate; verb) ○○(object; noun)". The
expression "To ×× (predicate; verb) ○○(object; noun)" is a "functional expression". In the
structure of an expression when describing the 3 developments, "functional expressions" are
the basic structure
"Potential expansion" is a development method where one goes forward developing potential
with a certain function as the starting point. The things and concepts established at the outset
as subjects of development are the pre-existing technology, products, and knowhow.
Express the features of the technology, products, and knowhow which are the subjects, and
make that the starting point. The subject of "potential expansion" is features, and in most
cases, they become functional expressions which serve as the starting point as-is.
In "potential expansion", because there are multiple features of the technology, products and
knowhow, it is necessary to functionally express these functions in various ways.
Furthermore, once a certain feature is possible many questions arise about what becomes
possible next, so it is recommended to gradually diverge when conducting development. The
divergences are divergent thoughts to conceive of more plans, and it is a good idea to make
it a point to proactively diverge to create ideas.
Figure 4 is an example of development from one feature, namely "wavelength correction
technology".
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Potential Expansion
To be able to correct audio containing lots of noise on various wavelengths into wavelengths
humans can hear.
↓ what else becomes possible?
To be able to output audio after correcting audio which is hard to hear into audio humans can
hear.
↓
To be able to re-record audio after correcting which is old and difficult to hear into audio
humans can hear.
↓
To be able to re-listen to audio recorded long ago that you wanted to listen to but could not
by improving and clarifying the sound.
↓
To be able to remind of the old forgotten memories based on a real record.
↓
To be able to revivify lost memories.
Figure 4. Example of the "potential expansion" of wavelength correction technology
5-4. Examples of methods of "measures expansion"
"Measures expansion" starts from asking oneself the question, "What should we do for that to
happen?" The expression used at this time is the "functional expression", "To ×× (predicate;
verb) ○○(object; noun)". "Measures expansion" is a development method to devise plans on
how to implement the functions when selecting a "certain function" in "purpose expansion"
and "potential expansion".
It is a development method to devise plans on how to implement said functions. Therefore,
the function established at the outset as the starting point for development will be the
functional expression selected in "purpose expansion" and "potential expansion". One note of
caution in "measures expansion" is the fact that the question "What should we do to fulfill a
certain function?" is not limited to a single answer. Because many ideas are conceivable,
sequential divergence is not obstructed when conducting development. The divergences are
divergent thoughts to conceive of more plans, and it is a good idea to make it a point to
proactively create divergences.
Figure 5 is an example of functional expressions obtained by matching "tape recorder" with
"wavelength correction technology". Because "measures expansion" is development in the
opposite direction from "purpose expansion", in "measures expansion" development occurs
from the bottom up.
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Method Expansion
↑
↑
To save digitized audio tapes which people have not heard which many people have as many as
possible.
↑
To save digitally convert tape audio that has become unplayable due to deterioration to a cloud
server.
↑
To deliver the audio which is converted the audio which deteriorate and cannot hear into a sound to
be able to hear.
↑ what do I need to do?
To correct the sound of analog audio that was stored because you used to love it but that has become
unplayable due to no longer having a machine and to deterioration of the recording so that you can
listen to it anytime and anywhere.
Figure 5. Example of "Measures expansion" of the Needs from Tape Recorders and Matching from
Wavelength Correction Technology
5-5. Creation and Application of Innovation Map
An Innovation Map is a map which itemizes the 3 developments explained hereto, discovers
matching among them, and takes a commanding view of the overall picture to conceive of
new plans. Because the format of the map is not particularly pre-established, it can be
created in a way that is easy for the developers to view and write. In this section I will provide
an outline of the creation steps based upon a single example.
Step 1) Conduct "purpose expansion" on the company's business and products
Through "purpose expansion", you can search for the essential goals of the business
and products. "purpose expansion" ultimately achieves the goal of "making people
happy", and the development to lead to that achievement is the "needs roadmap". The
"needs roadmap" referred to here can be considered the needs in the target market or
the market needs. “Purpose expansion” makes it possible to discover and investigate
latent market needs by defining higher goals for your business and products.
Step 2) Conduct "potential expansion" on the technology, products, and knowhow possessed
by the company".
Through "potential expansion" you can discover the potential of what your own
company is capable of. The results produced in "potential expansion" can be called a
"needs development view", and in a broader sense this is the "product and technology
roadmap". In other words, development created through "potential expansion" is a
seeds group based upon the company's technological factors and indicates the
potential to create new business.
Step 3) Matching of needs and seeds from "purpose expansion" and "potential expansion"
Itemize "purpose expansion" and "potential expansion" for a commanding view to
compare them and discover similarities or related functional expressions. By doing this
451
you will discover seeds which conform to needs and vice versa. Unify the functional
expressions of needs and seeds and create functional expressions matching the
needs with seeds. Even at this point you can be said to have devised one seed of
innovation.
Step 4) Conduct "measures expansion" starting from the matched functional expressions.
Conduct "measures expansion" starting from the functional expressions matched in
Step 3. "Measures expansion" as performed in this step does not necessarily need to
be limited to the technology possessed by your own company. In any case, it is
essential to engage in logical and free conception, taking in various technologies from
other companies as well in pursuit of means. During this development, if a means
arises which requires technology that you don't think you are currently capable of
yourselves, this will become a prospect for your own company's development.
From this development, once expressions of a level that are implementable appear,
compile these as an execution proposal. When compiling a plan, avoid limiting the use
of functional expressions to one of those which has appeared, but rather incorporate
all the functional expressions which seem usable into the plan to increase its feasibility.
This plan will be the plan, which forms the seed of innovation created through
Innovation-Creating Thinking.
6. An example of designing new services by innovation-creating thinking
Figure 6 is an example map of devised proposals (called an innovation map) that is arranged
to give an overlook of these three expansions. This example shows engineers with audio
processing skills planning a new service using their skills. First, they conducted “purpose
expansion” on tape recorders, a machine needed to listen to analog audio sources, in order
to conceive of the needs of people who listen to analog audio, and they tried to discover
hidden needs. And they conducted “potential expansion” from one characteristic of the
analog audio correction techniques they possess, and then they developed seeds they could
offer. Matching these expansions allowed them to create new need expressions, conceive of
realizable plans by conducting “measures expansion” on these new need expressions, and
create new services by making these realizable plans take concrete shape. These new
services are examples that were actually developed as businesses.
7. Conclusion
Graduate school students and members of the general public have received classes on this
Innovation-Creating Thinking method in the EDGE Program [19] supported by the Ministry of
Education, and so far more than 100 participants have studied this material. To the authors’
knowledge, since 2014 up to the present, this has resulted in the founding of two new
companies, two entrepreneurs currently in planning, three cases of new projects within a
company, and one case of manufacturing equipment that is currently in design development
and preparation for a patent application. As an example, the digital transmission service for
analog sound sources introduced in this paper (Figure 6) was started as a business, and so
this displays the method’s effectiveness as a way to plan innovative, new services.
452
Potential Expansion
To buy tape-recorder.
To be able to correct audio containing lots of
noise on various wavelengths into wavelengths
humans can hear.
↓ what is the purpose?
To buy a machine that can reproduce
tapes which is leaving in house.
↓
To reproduce poorly stored tapes so they
may be played.
↓
To reproduce tapes which deteriorated
with a machine to listen to when I like.
↓
To have deteriorated analog sound
sources that is including the music you
used to love with the machine which
always listens to.
↓
To listen anytime and anywhere to analog
sound sources you used to love that have
become unplayable due to no longer
having a machine and to recording
material deterioration.
Method Expansion
「
↓ what else becomes possible?
To be able to output audio after correcting
audio which is hard to hear into audio humans
can hear.
↓
To be able to re-record audio after correcting
which is old and difficult to hear into audio
humans can hear.
↑
To save digitized audio tapes which people
have not heard which many people have as
many as possible.
↓
To be able to re-listen to audio recorded long
ago that you wanted to listen to but could not by
improving and clarifying the sound.
↑
To save digitally convert tape audio that has
become unplayable due to deterioration to a
cloud server.
↑
↓
To be able to remind of the old forgotten
memories based on a real record.
Colle t a alog tapes that ha e be o e u playable at ho e, a d sa e
these to a cloud server after restoring and digitizing the sound sources,
and then provide the service of transmitting these to the smartphones of
those ho a t to hear the .
453
Figure 6. Example of new service proposals from innovation map
Purpose Expansion
↑
To deliver the audio which is converted the
audio which deteriorate and cannot hear into a
sound to be able to hear.
↑ what do I need to do?
To correct the sound of analog audio that was
stored because you used to love it but that
has become unplayable due to no longer
having a machine and to deterioration of the
recording so that you can listen to it anytime
and anywhere.
From this matching, function expressions in line with latent
eeds are reated usi g the o pa y’s te h ology a d skills.
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454
The effects of long-term orientation on entrepreneurial intention: A
mediation model of creativity
Jin Hong, Nana Yang and Bojun Hou
University of Science and Technology of China
Email: hongjin@ustc.edu.cn
Abstract
Entrepreneurial activities are highly prevalent in university students. Given their positive
effects, looking for certain factors on the entrepreneurial intention of university students is
necessary. Previous research has attempted to understand the role of some factors in the
formation of students’ entrepreneurial intention. This study investigated the internal
mechanism through which long-term orientation affects entrepreneurial intention. A
mediation framework of creativity was set to reveal this internal mechanism. With survey
data from 428 Chinese university students, hierarchical regression analysis and
bootstrapping analysis were used to investigate the mediation effect. Results corroborate
that long-term orientation and creativity determine entrepreneurial intention. Furthermore,
creativity positively mediates the relationship between long-term orientation and
entrepreneurial intention. These findings contribute to our understanding of how
long-term orientation and creativity affect entrepreneurial intention in the entrepreneurial
literature.
Keywords: Long-term orientation, Entrepreneurial intention, Creativity, University
students, Mediation effect
1. Introduction
Entrepreneurship has captured the attention of scholars and policymakers as a leading
factor in achieving economic prosperity (Fritsch and Wyrwich, 2016). The main reason is
an increasing need for entrepreneurs who can accelerate economic development through
generating creative and innovative ideas and converting them into profitable ventures.
With the national strategy of “mass entrepreneurship and innovation” initiated by the
Chinese government, which aims to stimulate entrepreneurial spirit and promote
entrepreneurial development among the general public, China’s economy has been
highly entrepreneurial, characterized by high rates of entrepreneurship, strong
entrepreneurial intentions, and high public interest in entrepreneurship (Kelley, 2013). In
the field of entrepreneurship, entrepreneurial intention has become one of the debatable
topics attracting considerable attention from scholars. According to the Global
Entrepreneurship Monitor (GEM) (2016) on average 21.3 per cent of Chinese adults has
entrepreneurial intentions and most of them are between the ages of 18 and 34.
Therefore, exploring the factors associated with the development of entrepreneurial
intention of university students can understand or predict how an individual pursues an
455
entrepreneurial career.
An individual’s intent to start a business can result from personal and environmental
factors (Lee et al., 2011). Previous studies have explored the factors that influence
entrepreneurial intention including personality characteristics, such as prior learning
experiences, proactive personality and self-efficacy (Bonesso et al., 2018; Fuller et al.,
2018), and environmental factors, such as parents or grandparents’ entrepreneurial status
and entrepreneurship support (Laspita et al., 2012; Saeed et al., 2015). However, as a
whole, studies about entrepreneurial intention are limited, especially on university
students in China who are willing to start their own business. Moreover, other factors
affecting entrepreneurial intention have received limited attention, such as long-term
orientation and creativity.
Long-term orientation reflects an individual’s mindset that captures how much a person
focuses on future gains (Bearden et al., 2006). That is, a person who focuses on the
future values planning and works hard for future benefits. Lumpkin et al. (2010)
demonstrated that long-term orientation is associated with entrepreneurial orientation in
the family business. However, previous studies have not examined the role of long-term
orientation in individual entrepreneurial intention. Furthermore, creativity is also seen as
an important personal factor for entrepreneurial intent because it is linked with the
identification of opportunities that can influence individuals’ intentions to establish new
firms (Ko and Butler, 2007).
2. Objectives
On the basis of survey data from university students in China, this study explores the role
of long-term orientation in entrepreneurial intention considering the mediation of creativity.
Although extant research has investigated the mediation effect between entrepreneurial
intention and its antecedents (BarNir et al., 2011; Tsai et al., 2016), researchers have not
examined the role of creativity. Thus, the question raised here is as follows. Is the effect of
long-term orientation significant in entrepreneurial intention? Is creativity the intermediary
factor between entrepreneurial intention and long-term orientation?
Hence, the main contributions of our study are stated in three ways as follows. First,
previous research has focused on the role of creativity on entrepreneurial intention but
has not examined if it is a mediator that significantly impacts entrepreneurial intention
(Biraglia and Kadile, 2017). This study first demonstrate that long-term orientation
enhances entrepreneurial intention through creativity, which extends previous
entrepreneurship research. Then, as discussed in our methodology, this study applies a
mediation approach associated with multi-step approach and bootstrap procedures,
which provide robust tests for the research hypotheses.
3. Literature review
We propose a novel integrated model of entrepreneurship, which jointly examines
456
creativity as a mediator between long-term orientation and entrepreneurial intention. We
simply refer to this model as a mediation model in this study. Figure 1 summarizes our
underlying hypotheses.
H1
H4 (Mediation effect)
H2
Long-term
H3
Creativity
Entrepreneurial
intention
Fig. 1.
The research model
orientation
4.1 Entrepreneurial intention
Entrepreneurship, as the process of new venture creation, gas become a national priority
because it is considered as a leading factor in achieving sustainable economic growth,
job creation, and positive social development (Parker, 2018). An individual’s intention to
become an entrepreneur is crucial to entrepreneurship behavior (Fitzsimmons and
Douglas, 2011; Liñán et al., 2011). Entrepreneurial intention is a mental process that
directs a person’s attention and involvement to set up a new business venture (Souitaris
et al., 2007). Entrepreneurial intention can also be defined as individual
self-acknowledged conviction of planning to start a business in the future (Thompson,
2009).
Previous studies have provided several models for understanding the antecedents of
entrepreneurial intention. These models include Shapero and Sokol’s (1982)
entrepreneurial event (SEE) model, Ajzen’s (1991) theory of planned behavior (TPB),
Krueger and Brazeal’s (1994) entrepreneurial potential model, and Davidsson’s (1995)
model. In the current study, two models are primarily applied to understand
entrepreneurial intention, namely, the SEE and TPB models. In the SEE model, which
was developed to understand entrepreneurial behavior, entrepreneurial intention is
generally dependent on perceived desirability, propensity to act upon opportunities, and
perceived feasibility. Perceived desirability is defined as the attractiveness of starting a
business; perceived feasibility as the person’s confidence to start a business in his/her
capacity; and propensity as the personal disposition to act on the basis of one’s decisions.
The TPB model explains how individual attitudes, subjective norm, and perceived
behavioral control impact entrepreneurial intention and that entrepreneurial behavior
results from intention. Researchers have verified that entrepreneurial intention is
influenced by perceived desirability and feasibility of opportunity (Krueger Jr et al., 2000;
Saeed et al., 2014) and also by an individual’s attitudes, subjective norms, and beliefs
about behavioral control (Kautonen et al., 2015; Shook and Bratianu, 2010).
Comparable interpretations of entrepreneurial intentions in the SEE and TPB models
emerge. Krueger Jr et al. (2000) affirmed that the attitudes and subjective norms in the
TPB model correspond with perceived desirability in the SEE model, whereas perceived
behavioral control in the TPB model is conceptually related to perceived feasibility in the
457
SEE model. Exogenous factors indirectly affect entrepreneurial intention through
individuals’ perceptions of desirability and feasibility (Krueger Jr et al., 2000). Lüthje and
Franke (2003) combined personality traits, contextual factors, and attitudes in
self-employment to explain entrepreneurial intention. They affirmed that personality traits
indirectly affect entrepreneurial intention through entrepreneurial attitude. Using a sample
of IT professionals in Singapore, Lee et al. (2011) validated that innovation climate and
technical excellence incentives influence entrepreneurial intentions through job
satisfaction.
3.1 Long-term orientation
How individuals value time is one of the most salient values they establish in their
personal or professional lives, and they commonly make decisions with consideration of
the past, present, and future. Long-term orientation captures how individuals deal with
time orientation. Originally developed by Hoftstede (1980) as part of the cultural value
framework, long-term orientation was originally labeled the “Confucian dynamism”
(Hofstede and Bond, 1988). Hofstede (1991) first conceptualized long-term orientation as
a forward-looking versus present- and past-looking. Hofstede (1994) divided “respect for
tradition” into a short-term orientation because some attributes, such as respect for
tradition and learning from the past, violated the connotation of long-term orientation.
However, Hofstede’s scales led to concerns surrounding the psychometric properties
(Spector et al., 2001) and the problem of applying aggregate-level measures to the
individual level (Bond, 2002). Reviewing Hofstede’s definition and scale of long-term
orientation, Bearden et al. (2006) defined long-term orientation as the value of viewing
time, the past and the future, rather than the here and now or the short term. As such,
individuals who have a high level of long-term orientation value planning, tradition, hard
work, and perseverance for future benefit.
Previous research has examined how long-term orientation is relevant in explaining
entrepreneurship at the organizational level. Using data from US manufacturing firms,
Zahra et al. (2004) explored the impact of long-term orientation on entrepreneurship.
They posited that the time orientation of a firm’s culture is connected with its choice of
control system, which means organizations with short-term orientation are likely to
employ financial controls, whereas strategic controls reflect a long-term orientation.
Furthermore, they argued that long-term orientation is positively associated with high
levels of entrepreneurship. Interested in family business, Lumpkin et al. (2010) proposed
that long-term orientation is related to the five dimensions of entrepreneurial orientation
and that a positive correlation exists among long-term orientation and innovativeness,
proactiveness, and autonomy. However, limited studies focus on the role of long-term
orientation in entrepreneurial intention at the individual level.
3.2 Mediation effect of creativity
In this study, we propose a mediation mechanism of creativity between long-term
orientation and entrepreneurial intention. Four steps should be followed to establish this
mediation effect. First, the significant relations between predictor and outcome (Step 1),
458
predictor and mediator (Step 2), and mediator and outcome (Step 3) should be satisfied.
In Step 4, the mediation effect is established if the strength of Step 1 is significantly
reduced while controlling the mediator.
Long-term orientation is a trait that captures how much a person is focused on future
gains, and a long-term-oriented person values planning, tradition, and hard work for
future benefits and perseverance (Bearden et al., 2006). Schwartz (2007) argued that
self-direction and tradition are basic human values, which can encourage people to
pursue their expected goals. On the one hand, elaborate and proactive planning can
increase the likelihood of business success and complete planning enables people to
actively deal with difficulties in achieving their goals (Frese et al., 2007), which can help
them create a new business. On the other hand, persistence and hard work are crucial to
entrepreneurial work (Baum and Locke, 2004; Markman and Baron, 2004). Starting a
business is a difficult and time-consuming activity, which typically takes approximately 3
years. Thus, people who lack perseverance are less likely to engage in entrepreneurial
behavior (Wiklund et al., 2017). Locke (2000) asserted that work goal orientation, hard
work, and perseverance are closely related to entrepreneurship. On the basis of these
considerations, we hypothesize the following:
Hypothesis 1 (H1). Long-term orientation is positively related to entrepreneurial
intention.
Amabile (1996) defined creativity as the production of novel and useful ideas that may
occur in any domain of everyday life. Research on creativity has concentrated on
examining the antecedents of employee creativity. Researchers have confirmed that
creativity is influenced by personal characteristics, organizational context, and leadership
(Ghisletta and Lubart, 2016; Horng et al., 2016;Tse et al., 2018). As one specific domain
of creativity, the creativity of undergraduate students has gradually captivated the interest
of researchers (Wang et al., 2017;Kaufman, 2012).Wang et al. (2017) tested the
relationship between the personality types and creativity of undergraduate students.
Kaufman (2012) developed a new instrument - the Kaufman Domains of Creativity Scaleto study creativity by surveying 2,318 college student.
Less research has examined how long-term orientation influences individual creativity,
especially on undergraduate students. Long-term-oriented individuals are likely to do
proactive planning, work hard, and persevere in seeking future gains. On the one hand,
creative ideas are likely to be implemented if an individual has initiatives (Frese and Fay,
2001). Gong et al. (2012) argued that proactive individuals can build strong trust
relationships with others by constantly exchanging information. These trust relationships,
in turn, increase individual creativity. On the other hand, high-level energy in their work is
also important to creativity (Bakker and Xanthopoulou, 2013). It is likely that individuals
who are dedicated in their work will take advantage of their skills or find new skills to be
creative. Perseverance is also considered one of the main traits in creative individuals
because a truly creative achievement is almost never the result of a sudden flash of
insight and usually the result of persistent efforts that, in many cases, have been made
459
after years of hard work (Perkins, 1994). Using the data sets of the students from the
international PISA 2012 data sets of Australia, Norway, and Singapore, Scherer and
Gustafsson (2015) explored the relationship of openness, perseverance, and
performance in creative problem-solving and proved that perseverance is related to
creative problem-solving. Therefore, the following hypothesis is proposed:
Hypothesis 2 (H2). Long-term orientation is positively related to creativity.
Creativity has become a key element in entrepreneurial process research (Hu et al.,
2018).Creativity is closely connected with entrepreneurship, which refers to the
application of creative ideas to new business ventures (Eckhardt and Shane, 2003). The
importance of creativity in entrepreneurship has generally been considered by scholars,
who believed that entrepreneurship activities are dependent on the creativity of young
adults, especially university graduates (Geldhof et al., 2014).
Recently, the relationship between individual creativity and entrepreneurial intention has
gained interest from researchers (Chen et al., 2017; Bello et al., 2018; Biraglia and
Kadile, 2017). Creativity has been considered important to entrepreneurial intention
because it is linked to the identification of opportunities and discovery or the identification
of a business idea, which helps establish new ventures (Hansen et al., 2011).
Entrepreneurs show their creativity as they recognize entrepreneurial opportunities,
which plays a fundamental role in entrepreneurship (Suddaby et al., 2015). Therefore,
creativity is considered a crucial input for identifying business ideas (Smith et al., 2016).
Creativity emphasize the generation of new and original ideas(Van Dyne et al., 2002).
Individuals who can generate novel ideas in establishing a new venture may have
feasibility perceptions about opportunity recognition and may be confident about
becoming a successful entrepreneur and hence are likely to have improved
entrepreneurial intention (Biraglia and Kadile, 2017). Therefore, the affirmation that
creativity has been affirmed as a trigger of entrepreneurial intention is not surprising.
Consequently, the following hypothesis has been proposed:
Hypothesis 3 (H3). Creativity positively influences entrepreneurial intention.
While scholars have discussed the impact of creativity on entrepreneurial intention, only a
few studies investigate creativity as a mediator channel (Zampetakis et al., 2011). With
the insertion of a mediating variable, we seek to investigate whether creativity generated
as a function of access to long-term orientation is compatible with entrepreneurial
intention. The effect of the mediation occurs by reducing the direct effect of H1, rather
than the joint ratio of H2 and H3.
We assume that a person who is long-term-oriented may actively come up with and
implement creative ideas and thus have perceived desirability and feasibility to establish
entrepreneurial intention. Through this assertion, we can infer that long-term orientation
not only is relevant to enhancing entrepreneurial intention but also represents a
generating mechanism of creativity, which can positively affect a critical part of
entrepreneurial activities, i.e., entrepreneurial intention.
460
A person who can come up with creative ideas is likely to possess long-term orientation
and consequently have entrepreneurial intention. For the purpose of testing creativity as a
mechanism of mediating relationships between long-term orientation and entrepreneurial
intention, we will test the following research hypothesis:
Hypothesis 4 (H4). Creativity positively mediates the relationship between long-term
orientation and entrepreneurial intention.
4. Research method
4.1 Sample
This study was conducted using data collected from undergraduate students from
different types of colleges in China, including research-oriented universities,
comprehensive universities, and other general colleges. A total of 600 questionnaires
were distributed by e-mail, and 428 effective responses were obtained, yielding a
response rate of 71%. With regard to the demographic composition of our sample, 48.8%
were male, and 51.2% were female. A total of 14.9% were below 20 years old; 63.3%
were between 20 and 25 years old; 12.1% were between 25 and 26 years old; and 9.7%
were above 30 years old. A total of 60.3% had an undergraduate degree; 22.7% had a
graduate degree; and 10.5% had a PhD. degree. Table 1 presents the demographic
information of the sample.
Table 1 Sample demographic information
Variable
Category
N
Percentage (%)
Age
<20s
64
14.9%
20-25s
271
63.3%
26-30s
52
12.1%
>30s
41
9.7%
Education
Vocational school 28
6.5%
Bachelor's
258
60.3%
degree
Master's degree
97
22.7%
Doctoral degree
45
10.5%
Family business YES
253
59.1%
NO
175
40.9%
experience
Entrepreneurial
YES
168
39.3%
NO
260
60.7%
education
N=428
4.2 Measures
All items used a five-point Likert-type scale to measure the constructs, ranging from 1
(strongly disagree) to 5 (strongly agree). A high score affirmed a high degree of
agreement with the measured construct.
4.2.1 Long-term orientation
The measurement of long-term orientation was developed by Bearden et al. (2006).
461
Respondents were asked to rate how much they focus on future gains. Sample items
included the following three sentences. “I play for the long term.” “I work hard for success
in the future.” “I don’t mind giving up today’s fun for success in the future.” Cronbach’s
alpha for long-term orientation is 0.753. According to Nunally (1978), a reliability of 0.70 or
higher is recommended. Hence, this value has sound scale reliability.
4.2.2 Creativity
According to Mumford and Gustafson (1988), creative ideas can range from minor
adaptations to radical breakthroughs. Thus, researchers have distinguished between two
types of creativity, namely, radical creativity and incremental creativity (Gilson and Madjar,
2011; Madjar et al., 2011). On the basis of Madjar et al. (2011), we constructed a
three-item measure for each of the dimensions of creativity. Items include the following
sentences. “I am a good source of highly creative ideas.” This sentence was used as a
measure for radical creativity. “I am good at adapting already existing ideas.” This
sentence was used to measure incremental creativity. In this study, Cronbach’s alpha
coefficient for creativity was 0.84, which represents good scale reliability.
4.2.3 Entrepreneurial intention
The entrepreneurial intention scale developed by Liñán and Chen (2010) was used to
assess whether participants intended to start a new business. The items included the
following three sentences. “I’m ready to make anything to be an entrepreneur.” “My
professional goal is becoming an entrepreneur.” “I will make every effort to start and run
my own firm.” Cronbach’s alpha was 0.865, indicating adequate internal consistency
reliability.
4.2.4 Control variables
Our analysis also included several control variables, namely, gender, age, educational
level, having an entrepreneurial family, and having entrepreneurship education. Several
studies have contended that individuals’ gender is crucial in assessing entrepreneurial
intention (Maes et al., 2014) (Tsai et al., 2016). Gender was a dummy variable, which
takes the value 0 for female and 1 for male. Previous research has affirmed that age and
educational level can influence entrepreneurial intention (Sesen, 2013). Thus, we used
age and educational level as control variables. We also considered having an
entrepreneurial family as an important control variable. Individuals with an entrepreneurial
family are likely to enhance their entrepreneurial intention (Basu and Virick, 2008). The
response of no entrepreneurial family is coded as 0. If they had entrepreneurial family,
then it is coded as 1. Finally, we control the impact of entrepreneurship education on
entrepreneurial intention. Previous research, such as that by Sun et al. (2017), has
examined the influence of entrepreneurship education on entrepreneurial intention of
students. No entrepreneurship education was coded as 0, and 1 was coded otherwise.
5. Findings
5.1 Common-method bias test
As the data were collected using survey measures from a single source, common-method
bias may exist. We conducted Harman’s one-factor test to address this concern of
common-method variance. We conduct an exploratory factor analysis for the independent
462
and dependent variables by using varimax rotations and principal component analysis.
Result corroborated that the first factor accounted for only 22.89% of the variance
explained, which was less than the critical standard of 40% suggested by Podsakoff et al.
(2003). Thus, the result affirmed the absence of common-method variance in the current
dataset.
5.2 Measure validation
We evaluated the construct reliability and validity of the measurement (see Tables 2–3).
Initially, we assessed the reliability using Cronbach’s alpha and composite reliability.
Cronbach’s alpha and composite reliability of all constructs were finally higher than the
recommended value of 0.70, thereby indicating good reliability. Furthermore, we tested
the convergent validity with the average variance extracted (AVE) from each construct. All
AVEs were above the suggested benchmark of 0.5 (Fornell and Larcker, 1981), which
satisfies convergent validity. We also proved that discriminant validity is satisfied because
none of the correlations between constructs were higher than the square roots of AVE
(Hair et al., 2006).
Table 2 Cronbach’s alphas, composite reliability, and AVEs
Cronbach’s α
Composite
AVE
reliability
Long-term orientation 0.740
0.815
0.503
Creativity
0.846
0.887
0.568
Entrepreneurial
0.865
0.900
0.600
intention
Note: AVE = average variance extracted value
Table 3 Assessment of discriminant validity
Long-term
orientation
Creativity
Entrepreneurial
intention
Mean
3.6817
SD
0.356
1
0.709
2
3.1970
0.606
0.754
2.8793
0.839
0.304*
*
0.242*
*
0.473*
*
3
0.775
Note: Diagonal elements are the square roots of AVEs.
* p <0.05; ** p <0.01; *** p <0.001 (two-tailed test).
5.3 Hypotheses testing
We used the multi-step approach suggested by Baron and Kenny (1986) and the
bootstrap approach suggested by Preacher and Hayes (2004) to test the proposed
hypotheses by SPSS 22 and SPSS PROCESS. According to Baron and Kenny (1986),
four requirements should be met to assess the mediation effect. The independent
variable and mediation variable should be regressed on the dependent variable than
463
regressing the mediation variable on the independent variable. Finally, the dependent
variable should be regressed on the dependent and mediation variables at the same time.
Comparing the coefficient estimate of regressing the dependent variable on the
independent variable, partial mediation effect is confirmed if the coefficient estimate of the
independent variable remains significant and its effect becomes smaller while controlling
the mediation variable. If the independent variable is nonsignificant, the complete
mediation effect exists.
With the procedure of Baron and Kenny (1986), the estimation results were presented in
Table 4. Model 1 tests the impact of control variables on dependent variables. The result
affirms that gender, entrepreneurial family, and entrepreneurial education positively affect
entrepreneurial intention. However, age and educational level do not affect
entrepreneurial intention. Adding long-term orientation into Model 1, Model 2 shows that
long-term orientation had a significantly positive effect on entrepreneurial intention (β =
0.309, p < 0.001), which supports H1. Thus, H3 is supported. In Model 6, where creativity
is seen as a dependent variable, long-term orientation is positively related to creativity
(β=0.264, p<0.001), which supports H2. Model 3 suggests that creativity is also positively
related to entrepreneurial intention (β = 0.448, p < 0.001), statistically supporting H3. After
incorporating creativity into Model 2, Model 4 shows that the effect of long-term
orientation is still significant, but the size of its effect is lower than that shown in Model 2.
Hence, the partial mediation effect of creativity is confirmed, which supports H4. In Model
5, age and entrepreneurial family positively affect creativity, whereas gender, educational
level, and entrepreneurship education are insignificant.
Table 4 The mediating effects of creativity
464
Variables
Entrepreneurial intention
Creativity
Model 1
Model 2
Model 3
Model 4
Model 5
Model 6
0.090
0.030
0.001
-0.024
0.198***
0.131*
(0.056)
(0.056)
(0.051)
(0.051)
(0.054)
(0.054)
0.119*
0.194**
0.104*
0.109**
0.033
0.041
(0.073)
(0.071)
(0.065)
(0.065)
(0.071)
(0.068)
-0.009
-0.016
-0.029
-0.031
0.043
0.036
(0.59)
(0.057)
(0.052)
(0.052)
(0.057)
(0.055)
Entrepreneurial
0.162***
0.255***
0.119**
0.122**
0.096*
0.097*
family
(0.75)
(0.073)
(0.067)
(0.067)
(0.073)
(0.070)
Entrepreneurial
0.144**
0.217**
0.102*
0.102*
0.092
0.085
education
(0.075)
(0.073)
(0.068)
(0.067)
(0.073)
(0.071)
Age
Gender
Education level
Long-term
0.309***
0.122*
0.264***
orientation
(0.063)
(0.060)
(0.061)
Creativity
0.448***
0.416***
(0.045)
(0.046)
Adjusted R2
0.066
0.114
0.252
0.263
0.064
0.127
F
7.000***
10.142***
24.952***
22.774***
6.816***
11.348***
N
428
428
428
428
428
428
Note: Entries are βs, standardized regression coefficients; Figures in parentheses are
estimated standard errors
* p <0.05; ** p <0.01; *** p <0.001.
Furthermore, we also employ the bootstrap approach suggested by Preacher and Hayes
(2004) to determine the statistical significance of mediation. This approach was executed
by resampling and calculating the indirect effects of the mediation model. We set the
bootstrap samples to 5,000 and the confidence level to 95%. The bootstrapping analysis
shows that the estimate of the indirect paths through creativity was 0.146. The 95%
confidence intervals (bias-corrected confidence intervals) ranged from 0.09 to 0.21, which
suggests that the indirect effect of long-term orientation on entrepreneurial intention is
statistically significant. Consequently, creativity demonstrated a mediating effect in linking
long-term orientation and entrepreneurial intention, thereby supporting H4. Table 5
presents the bootstrapping results of these four hypotheses. To examine whether the
estimates of the confidence intervals vary with the number of resampling steps, we set
the bootstrap replications to 10,000. These results are highly in line with those estimated
using 5,000 replications.
Table 5. Results of bootstrapping method for mediation
IV
M
DV
Effect of
IV on M
Long
-term
Creativity
Entrepreneurial
0.342***
Effect of Direct
M
on effect
DV
0.428*** 0.163**
465
Indirect
effect
Total
effects
0.146***
0.309***
95%
confidenc
e interval
0.09-0.22
orien
tation
intention
6. Discussion
The present study aims to examine how long-term orientation and creativity affect
entrepreneurial the intention of university students. As a further step, we analyzed
whether creativity mediates the relationship between long-term orientation and
entrepreneurial intention.
The regression analyses revealed how entrepreneurial intention in university students
was determined by long-term orientation and creativity, which were positively related to
entrepreneurial intention. These findings are consistent with our hypothesis and the
results of previous studies. For instance, Biraglia and Kadile (2017) corroborated that
high levels of creativity were related to high entrepreneurial intention. However, relatively
few studies have affirmed the impact of long-term orientation on entrepreneurial
orientation (Lumpkin et al., 2010). Therefore, these two variables are relevant in
increasing entrepreneurial intention. This is the first study to demonstrate that long-term
orientation enhances entrepreneurial intention through creativity. Individual creativity
appears to be vital, that is, it mediates the relationship between long-term orientation and
entrepreneurial intention. Our results provide empirical evidence that creativity is an
important factor in entrepreneurial intention, which is consistent with the finding of Hu et al.
(2018).
7. Implications
This study has meaningful theoretical and practical implications on existing research on
entrepreneurship. First, this study enriches entrepreneurship literature by exploring an
important but overlooked topic on how individual long-term orientation affects
entrepreneurial intention. In this study, we designate university students as our research
subjects and show for the first time that their long-term orientation can improve their
entrepreneurial intention. Hence, an individual who is long-term-oriented is likely to start a
business venture. Second, the study contributes to the research on the process of
entrepreneurial intention by validating the mediating role of creativity. This study presents
a novel and rich model, where the direct effect of creativity and the indirect effect of
long-term orientation by creativity are positively related to entrepreneurial intention,
highlighting creativity as a key mediator in the process of forming entrepreneurial
intention.
The current study has several limitations. Creativity was proven to mediate the
relationship between long-term orientation and entrepreneurial intention in university
students. Future research should also focus on looking for additional mediators between
long-term orientation and entrepreneurial intention beyond the creativity that operates in
different groups. This study examined the moderating effect of gender in a sample of
466
Chinese university students. Next, this study examined the mediation effect in a sample of
Chinese university students. So, our sample is also limited to a specific country, i.e.,
China. Future studies should test whether the results of the present study generalizes to
different countries. Finally, the present study don’t investigate if a moderator can work.
Future studies should be made to explore some moderators as the process of
establishing entrepreneurial intention is highly context-dependent.
8. Conclusion
This study promotes theory and research on the entrepreneurial literature by examining
the relationships among long-term orientation, creativity and entrepreneurial intention. In
particular, we confirm that creativity mediates the relationship between long-term
orientation and entrepreneurial intention. We hope that this study provides directions for
future research on the entrepreneurial literature.
Acknowledgments
We are truly grateful to the National Natural Science Foundation of China (71172213 and
71572188) for its generous financial support.
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472
Framework for Accelerated Responsible Product Innovation
1Kim
Hua TAN and 2Tetsuo Yamada
1Nottingham University, UK,
2University of Electro-Communications, Japan
Email: kim.tan@nottingham.ac.uk
Abstract
This paper proposes a framework to assist firms in achieving sustainable and responsible
innovation in their research and innovation processes. It unravels how Japanese firms
(such as Shiseido, Toyota, Rakuten etc.) have successfully takes into account of effects
and potential impacts on the environment and society when accelerating their product
innovation. For example, Nintendo Inc., a world leading Japanese consumer electronics
and video game company, is one of the most influential in the industry for its reputation in
corporate social responsibility (CSR) and rapid innovation. The ability of Japanese firms
to launch new products in rapid succession over short periods of time is worth worldwide
attention, as this could inform the next generation of innovation. In this paper, we discuss
the framework that sets out the cornerstones for responsible product innovation.
Keywords: Accelerated Innovation, Creativity, Responsible, Low cost, Corporate social
responsibility
Introduction
The term Responsible Innovation (RI) or ‘Responsible Research and Innovation’ is an
emerging language for science and society, especially in the UK, Europe and in the USA.
The most widely cited definition of RI is of Rene von Schomberg (2011), who defines RI
as ‘Responsible Research and Innovation is a transparent, interactive process by which
societal actors and innovators become mutually responsive to each other with a view to
the (ethical) acceptability, sustainability and societal desirability of the innovation process
and its marketable products( in order to allow a proper embedding of scientific and
technological advances in our society)”. In a nutshell, the idea of responsible innovation is
to engage public participation early into the research and product development process
and embed the process with a sound scientific and technological risk assessment
approach (Stilgoe et al, 2013). So far, RI stirs great expectations, hence requires tighter
scrutiny (Nerlich & McLeod, 2016). Practitioners and academics need an easy to interpret
framework to better understand and interpret RI in practice.
Nonetheless, the concept of RI is not entirely novel. Eco-innovation has been widely
implemented in Japan in 80s. Japanese products, with strong synthesis of aesthetic,
harmony and function is well suited to maintaining humanity, environmental friendly and
connection in a technology driven world (Yamada, 2008). For example, Nintendo Inc., a
world leading Japanese consumer electronics and video game company, is one of the
most influential in the industry for its reputation in corporate social responsibility (CSR)
473
and rapid innovation. The ability of Japanese firms to launch new products in rapid
succession over short periods of time is worth worldwide attention, as this could inform the
next generation of innovation, especially RI.
This paper aims to unravel how Japanese firms have successfully takes into account of
effects and potential impacts on the environment and society when accelerating their
product innovation. Drawing on literature as well as best practices from various firms, in
this paper, we propose a framework that sets out the cornerstones for responsible product
innovation.
Towards a Conceptual Framework for Responsible Innovation
There is no shortage of terms for innovation i.e. incremental innovation (Proctor et al.,
2004), disruptive innovation (Tan & Perrons, 2009), radical innovation, open innovation
(Tan et al. 2015), serial innovation (Chung and Tan, 2017), transformative innovation (Li
and Tan, 2017), and accelerated innovation (Tan & Zhan, 2016). In sustainable term, all
innovations may be categorised into eco-innovation, green innovation or responsible
innovation. Based on a long-term study of innovation and creativity management in Japan,
Xu and Nash (2013) argue that innovation can be structured into four dimensions i.e.
product innovation, process innovation, business innovation, and social innovation.
In this section, we adapt Xu and Nash (2013) four innovation structure as the theoretical
arguments that underpin our framework on responsible innovation. We do acknowledge
stakeholders (i.e. governments, NGOs, community actors, employees) play a significant
role in responsible innovation because frequent meaningful interactions between firms and
stakeholders can influence the economic, environmental, and social activities. We then
linking the proposed framework with the responsible innovation concept. We use examples
and good practices of existing Japanese firms to discuss how the framework may add to
the current discourse and management on responsible innovation.
Product Innovation
Product innovation is not just about improvement of functions, quality or esthetics. Product
innovation should also take into account factors from various levels ranging from social
ecology, society, to individual. A good example is Shiseido, one of the leading hair care
firms in Japan. The firm produces many well-known products that make people happy
through beauty (Shiseido, 2018). Shiseido also supports women empowerment in its
business operations and respects diverse beauty. Though most products are ‘designed’ in
Japan, the firm strongly promote ethical supply chain and recycling of resources (see Table
1). The whole process from sourcing, manufacturing, logistics, selling, and recycling is well
thought out for each and every product in Shiseido.
474
Product innovation
Shiseido
Social ecology
Ethical
supply
chain, recycling of
resources
Society
Women
empowerment,
respect
diverse
beauty
Table 1: Product Innovation
Individual
Makes
people
happy
through
beauty
Process Innovation
A process innovation normally involve new production or methods. Toyota is a world
famous process innovation firm. Toyota Production System aka Lean Manufacturing is
being actively adopted by governments, universities, NGOs, and firms worldwide to
improve their product or service operations. Through process innovation, Toyota enables
cars to be manufactured in high quality, exceeding safety requirements, yet at an
affordable price for consumers (Toyota, 2018). The 7 waste concept also helps to educate
managers to take a wider view on their operations from sourcing of raw materials to
product end of life recycling potential (see Table 2). Toyota production system respect
individual worker and pursuing sustainable operations in very processes. For example, the
karakuri is an automated mechanism to reduce workers’ stress and labour. The approach
is suitable for most assembly operations and it relies on gravity and simple mechanism,
hence eliminates energy consumption in production.
Process innovation Social ecology
Society
Individual
Toyota
Recycling based Initiatives for traffic Respect
society
and safety
individual
systems
Table 2: Process Innovation
for
Business Innovation
At the corporate strategy level, business innovation aims to create value for firms. It
typically involves a business model to offer (or bundle) existing products or services to
customers but at a higher value. Especially with the advent of internet and technology,
many firms are able to ‘disrupt’ incumbent players through business innovation. A new
business model can open up novel ways to generate revenue as well as adding values to
consumers through integrating services, new solutions, and unique customer experiences.
For example, using e-commerce, Rakuten allows consumers to shop from home, a service
offering that provides much convenient to millions of shoppers. All purchases through
Rakuten are protected and sometime shoppers may enjoy more ‘perks’ (i.e. extended
guarantee, longer refund date etc.) than buying from a physical store (see Table 3). By
using latest technology, Rakuten also initiated projects with communities to address local
issues (Rakuten, 2018). With its specific knowledge and vast IT resources, Rakuten works
with local entrepreneurs to grow their businesses and help to promote social harmony.
475
Business
innovation
Rakuten
Social ecology
Social
entrepreneur
program
Table 3: Business Innovation
Society
Individual
Latest technology Individual
to address local purchase
issues
protection
Social Innovation
As the name implying, social innovation involves changes (new technology or business
schemes) that have an impact on society. A good example of social innovation is by the
Big Issues Japan Foundation, an NGO. Its mission is not just helping homeless people,
but also supporting them to achieve independence in the long term. Although the concept
of Big Issues is originated in the UK, it has been successfully implemented in Japan. Big
Issues enables individual to rebuild lives and confident (see Table 4). Homeless people
are given the opportunity to support themselves financially by selling ‘The Big Issues’
magazine on the streets. Homelessness is the problem of social structure and a problem
that is related to everyone in society (Big Issues, 2018). Big Issues social innovation was
important because they focused on fundamental issues of homeless people and set up
systems to help them to manage their lives. Its mission is for everyone has a place to call
home in the long term.
Social innovation
Big Issues
Social ecology
Society
Individual
Eradicate hidden Everyone has a Rebuild live
homeless
place to call home
Table 4: Social Innovation
Based on the four innovation structure, Figure 1 shows the proposed responsible
innovation framework. The proposed framework was developed based on the belief that
we can collectively engage with the social, environmental, political and ethical dimension
of responsible innovation. The goal of the framework is to provide guidance for
practitioners, academics, policy makers to make research and innovation more inclusive
and responsive.
Social ecology
Society
Product
innovation
Process
innovation
Business
innovation
Social innovation
Figure 1: Responsible Innovation Framework
476
Individual
DISCUSSION AND CONCLUSION
Responsible innovation has a strong moral basis. In other words, innovations should
happen in an ethical and democratic way while staying economic competitive during times
of great socio-economic challenges (Nerlich & McLeod, 2016). The proposed framework
(see Figure 1) captures the essence of responsible innovation. The framework provides
an umbrella linking various aspects of the relationship between products/innovation and
society, public engagement, gender equality, ethics, and governance. The framework we
developed is not the ‘silver bullet’ for responsible innovation. Traditionally, managers are
too preoccupied with the product of innovation. The framework seeks to shape a
constructive engagement between questions of innovations and responsibility, and allows
managers to collectively embed science, social, ethic, governance, and equality early in
the innovation process.
In line with Xu and Nash (2013), we view the four types of innovation as the structure of
responsible innovation, but it is not one after another. Some cases may have commenced
by business innovation, and some by social innovation, product innovation or process
innovation. Hence, the steps are not neatly sequential stages, but that there is
considerable iteration between steps. Figure 2 shows circulating arrows to indicate
iteration. The framework enables managers to understand the extent to which a firm
embraces moral, environmental, social, and governance factors into its innovation, and
ultimately the impact these factors have on the firm and society.
Social ecology
Society
Individual
Product
innovation
Process
innovation
Business
innovation
Social innovation
Figure 2: An Iterative Process in the Responsible Innovation Framework
Clearly, researches about RI will become more prominent in the future because science
and innovation have become very complicated at the global level and need to be
addressed collectively. Science and technology, which was the focus of firms have lost the
potential to create responsible innovation. Japan had learned to broaden the concept of
innovation to encompass policy that lead to encompass the social sphere i.e. social
ecology, society and individual. We have shown Japanese companies developed
innovative and social responsible products through merging and integration of different
technologies/science and business models. The inclusion of stakeholders inside and
outside the companies, enables responsible innovation to occur at record speed.
477
Although, the concept of RI is straightforward and convincing, to put into practice firms
need to be prepared to make changes in several operations strategy dimensions
(structural, infrastructural, cultural). Far too frequently innovation and engagement with the
wider communities is carried out relatively informally. A formal framework provides a
mechanism for mitigating this tendency by allowing managers/researchers to decompose
the complexity of RI into manageable steps. Managers had different mental models of
how their organisations, products and services operated, and might therefore make
different opinions on the possible RI strategies. The framework allows managers to
visualise the RI dimensions and relationships with stakeholders. The framework provides
a formal tool for iterative group discussion, where managers learn and modifying their
understanding of RI, ideas, beliefs and even their thought processes over time. Application
of the framework can provide a number of insights into aspects of RI which add to
academic understanding and could form the basis of further work.
Limitations and Future directions
We have argued how the proposed framework can facilitate the generation and
communication of RI. One limitation is that the framework is based on the discourse of
literature and best practices and have not been empirically tested. We hope this paper will
stimulate additional theory building and conceptual development within the RI discipline.
Future research to test the RI framework against reality should be carried out. In addition,
a process to operationalise the framework is needed in order for practitioners and
academics to utilise the framework effectively. Thus, a set of questions as well as steps to
apply the framework should be developed.
References
Big Issues Japan (2018) http://www.bigissue.or.jp/english/index.html accessed on 4th
Aug 2018.
Chung, L.; Tan, K.H. (2017), "The unique Chinese Innovation Pathways: Lessons from
Chinese Small and Medium Size Manufacturing Firms", International Journal of
Production Economics, Vol.190, pp. 80-87.
Li, H. H. J. K., & Tan, K. H. (2017). Transformative innovation: turning commoditised
products into radically high-valued products. Journal of Intelligent Manufacturing, 114.
Meier, M., Tan, K.H., Lim, MK., Chung, L., (2018) 'Unlocking Innovation in the Sport
Industry through Additive Manufacturing’, Business Process Management Journal.
https://doi.org/10.1108/BPMJ-10-2017-0285
Nerlich, B., & McLeod, C. (2016). The dilemma of raising awareness “responsibly”: The
need to discuss controversial research with the public raises a conundrum for
scientists: when is the right time to start public debates?. EMBO reports, 17(4), 481485.
Proctor, T., Tan, K.H., Fuse, K. (2004) “Cracking the Incremental Paradigm of Japanese
Creativity” Creativity and Innovation Management Journal. Vol.13, No.4. pp.207-215.
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2018.
Shiseido (2018) https://www.shiseidogroup.com/sustainability/ accessed on 4th Aug
2018.
Stilgoe, J., Owen, R., & Macnaghten, P. (2013). Developing a framework for responsible
innovation. Research Policy, 42(9), 1568-1580.
Tan, K. H., & Perrons, R. K. (2009). Is globalisation an enabler of radical innovation in
Toyota?. International Journal of Entrepreneurship and Innovation Management, 9(3),
285-298.
Tan, K. H., Zhan, Y., Ji, G., Ye, F., & Chang, C. (2015). Harvesting big data to enhance
supply chain innovation capabilities: An analytic infrastructure based on deduction
graph. International Journal of Production Economics, 165, 223-233.
Tan, K.H.; Zhan, Y. (2016), "Improving New Product Development Using Big Data: A Case
Study of an Electronics Company", R and D Management, pp. 1-13.
Toyota (2018), https://www.toyota.co.jp/jpn/sustainability/csr/index.html accessed on
4th Aug 2018.
Von Schomberg, Rene (2011) ‘Prospects for Technology Assessment in a framework of
responsible research and innovation’ in: Technikfolgen abschätzen lehren:
Bildungspotenziale transdisziplinärer Methode, P.39-61, Wiesbaden: Springer VS.
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Cases. Northeast Decision Sciences Institute Proceedings, 551.
Acknowledgements
This research was partially supported by the Japan Society for the Promotion of Science
(JSPS), Invitational Fellowships for Research in Japan (Long-term), L18560, and
KAKENHI, Grant-in-Aid for Scientific Research (A), 18H03824, from 2018 to 2019.
Author’s profile
Dr. Kim Hua TAN is a Professor of Operations and Innovation Management at Nottingham
University Business School, England. Prior to this, he was a Researcher and Teaching
Assistant at Centre for Strategy and Performance, University of Cambridge. Prof. Tan
spent many years in industry, holding various executive positions before joining academia
in 1999. His current research interests are Sustainable Operations, Accelerated
Innovation, Lean, and Supply Chain Management. Dr. Tan was appointed as Our
Common Future Fellow by the Volkswagen Foundation in 2009. Dr. Tan has published
various books including ‘Winning Decisions: Translating Business Strategy into Action
Plans,’ and more than 100 academic articles.
Dr. Testuo YAMADA is an Associate Professor in the Management Science and Social
Informatics Program, Department of Informatics, Graduate School of Informatics and
479
Engineering, the University of Electro-Communications (UEC), Japan. He is a council
member of the Japan Industrial Management Association (JIMA), and Japan Society of
Plant Engineers. He is also a member of Japan Operations Research Society, Scheduling
Society, and the Institute of Life Cycle Assessment. His research interests are ClosedLoop and Low Carbon Supply Chains, ERP Systems, Disassembly/Assembly Systems,
Remanufacturing, Environmental Logistics, Product Lifecycle Management, Queueing
Applications for Manufacturing, e-Learning, Healthcare Systems Engineering and
Scientific Management in the Home.
480
Open or Closed Innovation?Resolution from a case study of closed
innovation
Yukio Takagaki
Surugadai University
Email: takagaki@surugadai.ac.jp
Abstract
Provided here are results of case analyses of closed innovation during over several
decades within three industrial local firms in Wakayama city, Japan. Innovation is now
recognized as a driving force of the economic development. After Chesbrough (2003)
introduced the concept of open innovation, it has become popular business model. The
term was originally referred to as "a paradigm that assumes that firms can and should use
external ideas as well as internal ideas, and internal and external paths to market, as the
firms look to advance their technology." Trott and Hartman (2009) criticize that Chesbrough
(2003) ignored the preceding studies too much.
The paradigm of closed innovation holds that successful innovation requires control.
Particularly, a company should control the generation of their own ideas, as well as
production, marketing, distribution, servicing, and financing. When a firm starts open
innovation in such as a joint research project with external firms, it should find suitable
partners openly. However, once partners are decided, research project member should be
fixed. The author already researched such joint research project in his paper.
In this paper, the author will reconsider open and/or closed innovation from case studies
of closed innovation. First, a necessary matter is picked out from previous research survey
of innovation by R&D projects. And then, decision tree of open/closed innovation will be
formulated. By doing so, we will try to find some logic of open/closed innovation. Then
case analyses of closed innovation in three local firms are conducted, by clearing the
influenced factors. The result clearly shows that the reason why they choose closed
innovation. The condition when closure innovation is desirable, could be put in order from
an analysis of this paper.
Keywords: Innovation, Open Innovation, Closed Innovation, SME, Local Firms
481
1. Introduction
The recognition of importance on small and medium-sized enterprises (SMEs) in economic
growth has made them a central element in much recent policymaking both in developed
and developing countries. For policy makers, particularly their interests have been
policies designed to promote and facilitate the operation of the innovation process within
local SMEs, and there has been substantial expansion of this kind of effort (Foreman-Peck
et al. 2006). And for business leaders, their interests are how to enhance the innovation
within SMEs and /or small organization. Despite those interests, the knowledge base about
how SMEs undertake innovative activities remains limited.
In case of local SMEs, founders’ entrepreneurship may be one of key for their success.
Especially in the stage of start-up period of venture business, in addition to founders’
entrepreneurship, his /her innovative mind may influence to the success. And later, the
knowledge of organisation may act substantial influence on the success.
This paper will investigate closed innovation in Japanese Local SMEs entrepreneurship,
which did not analyse enough. This will be some examples for further discussion.
Introducing Japanese Local SMEs here are three companies and those founders in
Wakayama city, where Konosuke Matsushita (founder of MATSUSHITA, now
PANASONIC) was born and grew up, and they believe that he is a kind of symbol of
successful entrepreneur.
2. Objective
Innovation is a key success factor in a firm’s competitiveness, and then its future.
Technological innovation is unavoidable for firms which want to develop and maintain a
competitive advantage and/or gain entry in to new markets (Becheikh et al. 2006). The
selection of open or closed innovation is key to success. Here, the discussion puts focus
on closed or open innovation as shown Figure.1.
If SMEs undertake R&D jointly rather than solely, that means that they have realized, or
have come to anticipate, the advantages obtainable through utilization of their own
management resources combined with, or enhanced by, those of others. By contrast, for
SMEs to undertake R&D independently rather than jointly with others suggests that they
anticipate independent development to be more profitable than what might be possible in
association (in a jointly developed system). However, if suitable partners cannot be found,
or if management resources are insufficient for undertaking independent development, the
result is likely to be the abandonment of R&D. The validity of such judgment is supported
by the acquisition of competitive predominance through the creation of new knowledge.
The expression “open innovation” (Chesbrough, 2003) is applicable as a description of a
procedure applicable to team or partner selection. The concept of open innovation
essentially implies the exchange of information with everybody and everywhere. However,
482
as Chesbrough illustrates in his book, some industries are more suitable for open innovaIs there Needs? →
Q:
Q:
Q:
Q:
Q:
Finding of Needs
Finding of Seeds
↓
↓
↓
↓
Yes
Yes
Start Consideration
Are there enough Seeds inside of firm?
Yes --------------------------------------------- No
Sufficiently Partially exists Partially exist
Insufficient
↓
↓
↓
↓
GO
GO
GO
STOP
Are there enough time for R&D?
Yes --------------------------------------------- No
Abundant
Enough
Not enough
Urgently
↓
↓
↓
↓
GO
GO
GO
STOP
Are there enough research found in firm?
Yes --------------------------------------------- No
Abundant
Enough
Not enough
Not enough
↓
↓
↓ External fond
↓
GO
GO
GO
STOP
Scale of expected sales(profit) is suitable for firm?
Large Enough
Sufficient
Small scale
Too small
↓
↓
↓
↓
GO
GO
GO
STOP
Is there capability of self-sales after R&D?
Abundant
Enough
Not enough
Not enough
↓
↓
↓
↓
Find outside sales channel
→ STOP
GO
GO
GO
GO
Closed Innovation
Figure 1:
ŊWhat kind of Seeds?
Open Innovation
Decision tree of Closed/Open Innovation
ation than others, and conditions are usually applicable in the successful adoption of open
innovation. In the case of joint development, “boundary of the firm” exists in the R&D team.
Among participating member enterprises, there may be concern about the risk of leakage
of their management resources; however, without providing the other, cooperating
members adequate access to one’s own knowledge, the desired creation of new
knowledge becomes limited and restricted. If team members are to be selected openly,
candidates for team membership interact with others to determine relevant and applicable
483
criteria until suitable members for a project of joint development can be found. Until that
point team-establishment, the dissemination of information is relatively not open. However,
once established, the group obtains both stability and effective channels of communication
through the closure and containment of team members. This condition or stage can be
identified as “determinative open innovation” (limited open innovation). The author already
researched such joint research project in his paper (Takagaki 2017) as introduced later
(7.3). This paper will investigate closed innovation in Japanese Local SMEs
entrepreneurship.
3. Previous Literatures
3.1 Discussion on Innovation
There are some arguments on Innovation in manufacturing SMEs. Bala Subrahmanya et
al. (2010) well summarized by using current literature as shown below;
(1) Drivers in Internal/External: What drives manufacturing SMEs to technologically
innovate?
Chaminade and Vang (2006), Chanaron (1998), Lee (1998), Lumiste et al. (2004).
(2) Dimensions of product/process innovation: Do SMEs necessarily engage themselves
in product innovations or process innovations, or both?
Bale Subrahmanya (2001), Danneels and Kleinschmidt (2001), Martinez-Ros (1999),
Roper (1997), Vonortas and Xue (1997).
(3) Achievement: What do innovateve SMEs achieve?
Burrone and Jaiya (2005), Cosh and Hughes(1996), Hoffman et al. (1998), Lehtimaki
(1991).
(4) Outcome: Are innovations likely to be an important determinant of their success?
Coad and Rao (2008), Edwards et al. (2001), Engel et al. (2004), Harrison and Watson
(1998),
Reid (1993), Ussman et al. (2001),.
(5) The smaller the firm size, the more flexibility the firm might have. Is it true?
(6) And so on.
They proposed the model of “Innovation and Growth of SMEs” as shown in Figure 2.
Figure 2 shows good suggestion for us for further research. Although we will use this model
for coming questionnaire survey, more simplified version in the next section will be used
in this paper.
484
Source: Bala Subrahmanya et al. (2010)
Figure 2: Innovation and growth of SMEs
3.2 Profit from innovation
For obtaining a competitive advantage, which lead profit for a firm, there are a cost cut
and/or differentiation. As shown in Figure 3, the methods of making it possible include (1)
efficiency, (2) quality, (3) innovation, and (4) customer satisfaction.
→
|
Innovation
→ |
Efficiency
↓
Cost reduction
↓
Ŋ
High productivity
< Competitive Advantage
Ŋ
|
Profit
|
Quality
|
→
ŋ
Differentiation
Ŋ High reliability
ŋ
Customer satisfaction
Source:Takagaki(2008, Weelen and Hunger (2002)
Figure 3: Value Creation and Competitive Advantage
485
|
Ŋ
Ŋ
(1) Innovation
An innovation is what changes a conventional management solution and product into a
completely different and epoch-making situation. A product, a process of manufacturing, a
managerial system, a form of organization, the strategy developed by the company etc.
are included (Schumpeter 1926). An innovation makes possible differentiation (which
allows high price by raising a consumer surplus) by the novel nature -- and it approves
and brings profits of a company. Moreover, profits will be brought to a company if a cost
cut is realizable by an epoch-making method. Although all innovations are not successful,
an innovation is somehow unique to a company and imitation is difficult for it for a
competitor in many cases. An innovation is utilized for a cost cut and differentiation.
(2) Efficiency
After a company obtains management resources (human, material, money, and tacit
knowledge; input) from the outside, it produces a product (throughput) and sells a product
in a market (output). Efficiency is a ratio of output/input, and it contributes to a cost cut.
The efficiency of the whole company is decided by total of the efficiency in each section
(organization), such as supply, production, a physical distribution, and marketing. For
example, the efficiency in a processing sector, such as manufacturing sector (a factory),
improves in accordance with economies of scale and an experience curve.
(3) Quality
It includes the quality of product and/or service and is dependent on the sense of the
employee who involves business. The merit of quality has two aspects. First, if quality
improves, manufacturing efficiency also improves, and a cost cut is realized, and
eventually profit increases. Second, if quality improves, the reliability of goods improves,
and a high price can be admitted by customers, and eventually profit goes up. Thus,
improvement of quality attracts attention as a method of obtaining two or more competitive
advantages.
(4) Customer satisfaction
To obtain customer satisfaction, the company must do better work, being conscious of a
competitor so that a customer may be satisfied. Then, high value will be found out with a
product by customers, this will be differentiated, and the company will have a competitive
advantage. It is differentiation to newly offer the product, and on the other hand, raising
the quality of the existing product line is also differentiation. It can be said that customer
satisfaction has a relation which suits mutually in relation to improved quality or an
innovation.
Furthermore, the correspondence (customization) to the unique needs for an individual or
a group customer is also customer satisfaction. Moreover, the correspondence time
(response time) to a customer is also customer satisfaction, and not only the time required
but the timing of delivery is contained in this. Such services are developed in parcel
delivery service. Outstanding design, service, after-service are effective in customer
satisfaction. These not only serve as the origin of differentiation but make possible
486
construction and the price with premium of the brand image of goods.
3.3 Competitive Advantage of Product and Process
As discussed in 4.1 and 4.2, product and/or process innovation is Competitive Advantage.
Table 1 shows the competitive advantage both in product and production.
Table 1: Competitive Advantage of Product and Process
Competitive Advantage
low cost
high quality
high efficiency
Product
high scarcity
attractive design
durability
low possibility of imitation
capable to produce high quality
product
high speed of production
Productio low production (operation) cost
n
less necessity of special skill
high durability of machine /facility
ease of a maintenance
Source:Takagaki
(2012)
4. Method of Analysis and the subject of research
4.1 Method of Analysis
From the discussion of 4.1, 4.2 and 4.3 including Figure 2, 3 and Table1, we propose
simple version of analytical flame-work here. Our aim is to clear how successful product
innovation is at the early stage of their businesses, and how they enhance their process
innovation. In the early stage of business, the product innovation is greatly influenced by
individual inventor’s knowledge level, as well as creativity. And then, in the developing
stage of business, the roll of process innovation may progressively need the accumulated
knowledge from organization, in addition, as the knowledge of specific local supporting
industry, such as parts and production machines, is increasing markedly.
Figure 4 shows influential factors as discussed above. In early stage of business, we will
discuss on (1) the purpose of development, (2) customer’s advantage, (3) Inventor’s idea
and knowledge. In case of venture business, the firm prefers closed innovation.
And in growing stage of business, we will discuss on (1) the purpose of development, (2)
customer’s advantage, (3) Inventor’s advantage and (4) Obtaining Competitive advantage.
487
The firm has two selection of closed/open innovation as shown in Figure 4.
In the early stage of business
product innovation
(1) the purpose of development
(2) customer’s advantage
(3) Inventor’s idea and knowledge (+ creativity)
closed innovation
In growing stage of business
product innovation → process innovation
(1) the purpose of development
(2) customer’s advantage
(3) Inventor’s idea and knowledge.
(4) Obtaining Competitive advantage
closed/open innovation
local supporting industry,
Source:Author
Figure 4:
Simple version of analytical flame-work.
4.2 Subject of research
(1) Outline of three companies and founders
Specifically, we analyzed three firms and founders, NORITSU KOKI (Mr Kanichi
Nishimoto), SHIMA SEIKI MFG (Mr. Masahiro Shima), and TOYO SEIMAIKI (Mr. Keiji
Saika). Three firm’s two products are analyzed. One is in early stage, and other is in
developing stage. Profile of three firms and history are shown in Table 2 and Table 3 as of
2010. After 2010, we analyzed three firms as current situation in 7.2.
Three founders are inventors, and foundation top-managers respectively. Three firms
started as SMEs (venture businesses) based on their founder’s inventions. This means
that they chose closed innovation in early stage. In developing stage, they had two
choices; closed or open innovation.
Table 2
Corporate profile of three companies
Firm
NORITSU KOKI
SHIMA SEIKI
TOYO SEIMAIKI
Found
er
Mr. Kanichi Nishimoto
Mr. Masahiro Shima
Mr. Keiji Saika
NORITSU KOKI Co.,
LTD.
http://www.noritsu.co.jp/
Tokyo Stock Exchange
(Code:7744)
SHIMA SEIKI MFG.,
LTD.
www.shimaseiki.co.jp
Tokyo Stock Exchange
(Code:6222)
TOYO SEIMAIKI MFG.,
LTD.
http://www.toyoseimaiki.
co.jp/
Not listed at Stock
Corpor
ate
profile
488
579-1, Umehara,
Wakayama city, 640-550
Establishment:
June
1951
Incorporated : June 1965
Type of industry:
Precision instruments
Manufacture and sale of
photograph processing
quick service system
apparatus and peripheral
equipment
President: Mr Hirotsugu
Nishimoto
Capital:7,025,302,000
JPY
Sales: 27,700 million
JPY
(consolidated:45,400
million JPY)
Net assets: 75,600
million JPY
(consolidated: 84,600
million JPY)
Gross assets:
81,900
million JPY
(consolidated: 96,400
million JPY)
(Sept, 2009)
Employees: 904 (Sept,
2008)
Main
stockholder:
42.17%
owend by
NISHIMOTO KOSAN
Group
companies:
Nishimoto Camera, etc.
85, Sakada,
Wakayama city, 6418511
Incorporated:
February 4, 1962
Type of industry:
Machine
Non-sewing knitting
horizontal knitters
"SWG", such as
knitting machine
production sale
President: Mr Masahiro
Shima
Capital:
14,859,800,000 JPY
Sales: 29,500 million
JPY
(consolidated: 36,800
million JPY)
Net assets: 80,400
million JPY
(consolidated: 87,400
million JPY)
Gross assets: 98,000
million
JPY(consolidated:
110,000 million JPY)
(March, 2010)
Employees:1,151(Gro
up:1,794)
(Sept,
2009)
Group company: Sima
fine
press,
TSM
industry,
Kainan
precision, the Toyobo
thread industry,etc.
Exchange
12, Kuroda, Wakayama
city, 640-8341
Incorporated: 1961
Type
of
industry:
Machine
Food-processing
apparatus
manufacturing and
selling
President:
Mr Keiji
Saika
Capital:100,000,000
JPY
TOYO RICE Co., Ltd.
http://www.toyo-rice.jp/
5-10-13, Ginza, Chuoku, Tokyo 104-0061
Establishment:
December, 2004
Food Business activity,
Rice sale
Founder: Keiji Saiga
Capital:100,000,000
JPY
(2)Two products of three firms
Three firm’s two products are analyzed. One is in early stage, and other is in developing
stage. Firstly, for the NORITST KOKI, we analyzed the automatic print washer in early
stage, and a high-speed automatic photograph processing system (QSS) in developing
stage. Secondly for SHIMA SEIKI, we analyzed the full automatic glove knitting machine
489
in the early stage, and the non-sewing type computer flat knitting machine SWG (whole
garment) in developing stage.Thirdly for TOYO SEIMAIKI MFC (TOYO RICE), we
analyzed the cereals separating machine (stone omission machine) in early stage, and
BG rice-cleaning process in developing stage.
In early stage of business, we will discuss on (1) the purpose of development, (2)
customer’s advantage, (3) Inventor’s idea and knowledge. And in growing stage of
business, we will discuss on (1) the purpose of development, (2) customer’s advantage,
(3) Inventor’s idea and knowledge., and (4) Obtaining Competitive advantage. The details
of Founder’s profile and their invention of three companies are explained and summarized
in Table-4.
Table 3
History of three companies
Firm
NORITSU KOKI
SHIMA SEIKI
TOYO SEIMAIKI
Found
er
Mr. Kanichi Nishimoto
Mr. Masahiro Shima
Mr. Keiji Saika
NORITSU KOKI Co.,
LTD.
June, 1951Inaugurated by Kanichi
Nishimoto.
June, 1956 –
Incorporated
NORITZ Light Machine
Factory
November 24, 1961 Renamed to Noritsu
Koki, Inc.
1996 2nd section of Osaka
Stock Exchange
1997 1st section of Tokyo
Stock Exchange, and
Osaka Stock Exchange
SHIMA SEIKI MFG.,
LTD.
February 4, 1962 Establishment
of
SHIMA SEIKI MFG.
1965 Full automatic glove
knitting machine is
developed.
German
Leipzig exhibition gold
medal prize award
1975 Full
automatic
jacquard gloves.
1978 –
SNC
(Jacquard
computer
controlled
flat knitting machine is
developed.
1990 2nd section of Osaka
Stock Exchange
1992 Shifted to 1st section
of
Osaka
Stock
Exchange
1995 -
TOYO SEIMAIKI MFG.,
LTD.
1961 –
Incorporated.
1987 –
Commercialized
(1)
Full automatic machine
of
measuring
and
vacuum
packaging(multifunction
al packer) , and (2)
automatic
extraction
machine of bag storages
(auto rack).
1990 –
"Degree
meter
of
clever" is developed.
1991 Entered rice selling
business by "BG washfree rice”.
2004 Commercialized
“Kinme Mai” (Golden
Bud Rice).
Histor
y
490
Non-sewing
type
computer
controlled
flat knitting machine
SWG (whole garment)
was developed and
exhibited
at
International
Textile
Machine Trade Fair
(ITMA95 Milan holding)
1996 Listed 1st section of
Tokyo Stock Exchange
Table 4
Firm
Founder’s profile and their invention of three companies
NORITSU KOKI
Mr.Kanichi Nishimoto
(1915 August 27,
2005)
Born in Wakayama city.
April, 1943 Opened photo studio
Hokoku (=rewards to
country)
(in
Wakayama), and start
camera shop.
June, 1951 Automatic print washer
is developed.
Profile
1956 of
NORITZ Light Machine
Founder
Factory is incorporated.
November 24, 1961 Renamed as NORITU
KOKI, Co., Ltd.
1979 High speed automatic
photograph processing
system
(QSS)
is
developed.
August 27, 2005 Gone in his age 90.
(Eldest president, and
longest president's
SHIMA SEIKI
Mr.Masahiro Shima
(March 10th, 1937 - )
Born in Wakayama city.
Patented
a
glove
knitter,
(In the age of 18, after
the graduation from
Wakayama
prefectural
high
school of industry).
1962 Foundation of Seiki
Seisaku
shyo
(precision
manufacturing factory)
Start the develop of
automatic
glove
knitting machine.
1965 –
A full automatic glove
knitting machine is
developed.
1975
Gold medal prize in
Leipzig
exhibition,
German, is received
with the edited by the
full automatic jacquard
491
TOYO SEIMAIKI
Mr. Keiji Saika
(1934 - )
Born in Wakayama city.
1949 Joined food processing
machine
distributer
founded by his father,
after graduated from
junior-high school.
March 1961 –
Rice-polishing machine
is invented and started
machine business.
November 1985 –
Incorporated
Toyo
Seimaiki (Oriental ricepolishing
machine
factory), and become
representative director of
president
2005 Inaugurated TOYO
RICE, and become
president and
representative director.
Chairman of Saika
Technical Research
Centre, and a member
tenure of 49 yrs. in
Japan)
Minilab
Firm
NORITSU KOKI
Source:Takagaki
gloves machine.
1978 -Shima
Tronic
jacquard
computer
controlled flat knitting
machine
(SNC) is
developed
1995 –
The non-sewing type
computer flat knitting
machine
(whole
garment, SWG) is
developed
of Management
Committee at
Wakayama Invention
Hall.
SHIMA SEIKI
TOYO SEIMAIKI
Motto: "it is going with
the flow.”
(2012)
(3) The machine production industry and supporting industry around Wakayama
Three firms are located in Wakayama city where Konosuke Matsushita (founder of
MATSUSHITA, now PANASONIC) was born and grew up, and they believe that he is a
kind of symbol of successful entrepreneur.The history of Wakayama, as local industrialized
area, can be dated back to the Meiji period (19 century). Fiber industries (cotton flannel,
knitting, etc.), and the machine production and supporting industries have progressed after
the Meiji term (19 century). With the development of cotton flannel industry, mechanization
was advanced in printing, nap-raising, bleaching processes, and the technology of
machine production was improved splendidly there.
Not only textile and fiber-related industry, but also wood working industry, such as saw mill,
is developed. Machine technology came to be applied to other machine of other fields as
well. The fiber industry, which is mainly concerned with the part manufacturing of a dyeing
machine and a knitting machine, was well developed. And the quality of metal-casting also
improved, as the textile machine increased to the higher level of domestic industries. Thus,
in Wakayama, not only production machine industry but the related supporting industry is
formed. After the WWⅡ, machine technology supported with the demand of the flourishing
machines production in a textile industry, and has developed favorably.
5. Findings: Result of Analysis
492
The result of analysis at the time of (a) the early stage of business, and (b) the growing
stage of business is shown in Table 5.
(1) NORITSU KOKI (Mr. Kanichi Nishimoto)
The development of (1) the automatic print washer and (2) a high-speed automatic
photograph processing system (QSS) is as follows respectively.
Mr. Kanichi Nishimoto, who is a founder and inventor, had strong concern on photograph
technology. Soon after he joined local photo studio (which his father opened in the citycenter of Wakayama city), he put the photographic equipment store side by side. He
understood that photo studio needs newest technology and photographic equipment shop
can easily access such knowledge through market channel. As an electric power supply
situation in Japan is insufficient immediately after the end of the WW Ⅱ, the flush water
washing of photographic printing paper often interrupted. Mr. Nishimoto was a
photographer, and since DPE work was done by him, and was keenly realized the need of
some equipment. The photo studios were located all over the country, in even in little towns,
but there were very few studios which has communication channel with photographic
equipment manufactures. He talked with some photograph equipment manufactures, and
asked to improve the situations; however, they did not understand the need which a
photographic equipment maker of those days did not notice. He decided to improve by
himself. The hint of new idea came from the principle of a water wheel.
The automatic print washer by flush water was invented by Mr. Kanichiro NIshimoto and
commercialized in 1951. Although it was the product borne by the device of the spot, the
same needs were a national level and were accepted also overseas. It became a bestselling product as an ‘automatic print washer’ also could be operated in the time of an
electric power failure. This became a turning point for Mr. Nishimoto. His company served
as a photographic equipment manufacture maker from a photographic equipment store.
NORITZ Light Machine Factory was founded in 1956; reorganization was carried out in
NORITSU KOKI, Inc. in 1961. Although black-and-white DPE was operated at local photo
shops (film and camera shops), color DPE need high technology by using central
laboratory system which was controlled by major filmmaker. Therefore, local photo shops
(film and camera shops) were performing only commission business under large nationwide filmmakers, such as Fuji Film and Sakura etc.
NORITSU KOKI, as a maker of photographic equipment, developed the monochrome film
automatic processor (RF-20E), and it succeeded in automation of the film development
process for the first time in the world. The QSS-1 type, which was the starting point of a
mini-laboratory, was developed in 1976. And the QSS-2 type l was marketed in 1979 ,
which will carry by computer control and realizes 45 minutes from film development to
color print finish. The big echo was called in the United States as a final edition of the
automatic photograph processing system.
The technical knowledge of a photograph was not necessarily required for local operators,
493
it was epoch-making that there was nothing, not to need effluent treatment, and that even
a print was made within 1 hour at a shop front, and it drastically changed DPE business
form concentration system (controlled by film maker) to mini-laboratory (minilab) system
which could be operated by local unskilled photo shops.
Ever since, the NORITSU KOKI Group had held a solid position in the photographic
processing business. By taking business globally, NORITSU KOKI had contributed to the
development of photography all around the world and became widely known as a top
manufacturer of minilab systems.
(2) SHIMA SEIKI (Mr. Masahiro Shima)
The development of (1) the full automatic glove knitting machine, and (2) non-sewing type
computerized flat knitting machine SWG (whole garment) is as follows respectively.
A founder, Mr. Masahiro Shima, was helping, from junior high school for one year, in the
loom machine and sewing machine repair shop near his house. Since he was working
disassembly of a loom, and a re-assembly, he had full knowledge in a mechanical structure.
In 1965, at his age of 18, his confidence was given by having invented the knitter of the
glove containing rubber. In 1965 at the age of 18, he started his company, for development
of a full automatic glove knitting machine. As a maker of a glove knitting machine, SHIMA
SEIKI developed the machine edited by automatic jacquard gloves in 1975, and a jacquard
computer controlled flat knitting machine (SNC) in 1978. The company grew up as a leader
of textile machine manufactures.
The glove looming business was a leading local industry of Kaiso area (south neighbor of
Wakayama city). And spinning, fiber textiles, and printing business were leading industry
in Wakayama city. Therefore, a fiber related machine maker was located on the outskirts
of Wakayama city, and south suburbs of Wakayama. Accumulation of fiber rerated
industries was also considered to have influenced greatly.
In 1983, SHIMA SEIKI developed total knitting system which could fully operate, in series
of computerized motion, from pattern making, programming, knitting, and sewing. The
non-sewing type computer flat knitting machine SWG (whole garment) is developed, and
a sweater could be knit without a joint in 1995. Although the glove knitting machine of
SHIMA SEIKI knits up a glove out of a picture drawn without lifting the brush from the paper
by one thread, it has the capability to carry out single article manufacture of the sweater.
Though SHIMA SEIKI is a machine maker, about 100 apparel designers and about 120
computer technicians are working among 1,200 total workers.
(3) TOYO SEIMAIKI (Mr. Keiji Saika)
The development of (1) the cereals machine (stone omission machine), and (2) BG ricecleaning process are as follows respectively. After the end of the WW Ⅱ, Mr. Keiji Saika
finished compulsory education. Although he was the second son, he was engaged in the
rice-processing machine distribution business, which his father started, and his elder
brother was already joined.
494
The rice-polishing machine in those days could not fully remove stone contamination.
Although there was need to stone-removal, manufactures did not try to develop any
machines. Mr. Saika tried to develop such machine because he had already some
knowledge about rice processing machines. By trial-and-error method, the trial product of
a rice-polishing machine which removes a pebble was completed. When it was shown to
the rice shop of city center, shop owner was surprised. There was a big echo from a ricepolishing machine dealer in March, 1961. The Toyo Seimaiki Seisakusyho (Oriental ricepolishing machine factory) was started and manufacture and sale of the rice-polishing
machine; the cereals machine (stone omission machine). He borrows the place for factory
which remodeled the house and the remains of factory. It developed into the rice-polishing
machine maker from small rice-polishing machine-related store.
Although it was a substantial founder, Mr Saika did not join an officer but he concentrated
on development of a rice-cleaning related machine as an engineer. Furthermore, the Saika
technical research center was founded and it was devoted to research and development.
In 1970s, there was serious water pollution in Seto-naikai (Inland Sea). Fishing industry
was damaged by red tide which may cause by the water for washing of rice bran. He
thought that rice should not be washed before cooking. Although the system which
removes rice bran with rinse water was taken at the beginning, since drainage came out
from the rice milling plant, it groped for the system not using water. It hit on an idea of the
system which takes rice bran by contact of brown rice. Based on thinking, BG non-washing
system was developed.
Furthermore, new system which leaves an embryo was developed and sale was started
through a subsidiary of TOYO RICE. Rice embryo and bran contains a lot of nutritive
substances, new rice is now marketing as “Kinme Mai” (Golden Bud Rice).
Table 5
Firms
Product and Process Innovation at three companies
TOYO SEIMAIKI
NORITSU KOKI
SHIMA SEIKI
SEISAKUSYO
Automatic print washer
The
purpose
of
development:
Customer(Photographer
) can operate flush
Early
stage of watering of printing paper
busines in electric power failure:
(there are few intentions
s
of
cost
cut
or
differentiation)
Customer’s advantage:
Maintaining the quality of
Full automatic glove
knitting machine
The
purpose
of
development:
The machine which can
knit a glove automatically
(There are few intentions
of
a
cost
cut
or
differentiation)
Cereals
separating
machine (stone omission
machine)
The
purpose
of
development:
The machine which a
stone does not mix after
rice cleaning. (There are
few intentions of a cost cut
or differentiation.
Customer’s advantage:
Customer’s advantage:
Decreasing work load by Prevention from mixing of
495
flush watering
--> Stable operation ->
Reliability -> Cost cut ->
differentiation
Inventor’s
idea
and
knowledge:
Sensibility,
and
recognition of need as a
photographer
High-speed automatic
photograph processing
system (QSS)
The
purpose
of
development:
DPE for a short time
near the user:
Customer’s advantage::
DPE is possible at a
local photo shop, instead
of
a
concentration
processing laboratory,
Shortening
of
Growin customer’s waiting time
g stage -> differentiation of photo
shop
of
idea
and
busines Inventor’s
knowledge:
s
DPE is possible at a
local photo shop,
(the Innovator knows a lot
by
operating photo
studio in town)
Obtaining Competitive
DPE market was
overwhelmed.
(Since DPE using a film
disappears by the spread
of digital cameras,
strategic change is
necessary.)
automation
-> Increase efficiency
cost cut
->
Inventor’s
idea
and
knowledge:
->convenient
by
automating
->
the
knowledge of the textile
machine
Non-sewing
type
computer flat knitting
machine
The
purpose
of
development:
Improvement by knitting
clothes automatically:
Customer’s advantage:
Improvement of working
load
-> efficiency by
automation
-> possibility of small-lot
production
Inventor’s
idea
and
knowledge:
Convenient by
automating
An abundant machine
and computer technology
Knowledge over the
structure of the textile
machine
Obtaining
Competitive
advantage:
Improvement
of
technical development.
Entry to the apparel
business
can
be
considered.
496
a stone.
-> quality -> reliability ->
differentiation
Inventor’s
idea
and
knowledge:
Consumers
are
not
troubled by removal of a
stone. Deep knowledge
over the rice-polishing
machine.
BG rice-cleaning process
The
purpose
of
development:
The rice-cleaning method
customer who does not
wash rice but loses
drainage
from
the
household:
Customer’s advantage:
Improvement
in
environmental awareness,
an idea and knowledge of
the
nutritional-balance
secured.
Secure rice of nutrition
and health -> customersatisfaction
Inventor’s
idea
and
knowledge:
Takes only the surface of
rice bran by contact of
brown rice.
Deep knowledge over the
rice.
Obtaining
Competitive
advantage:
Despite a rice-polishing
machine maker, a ricecleaning machine is not
sold but it enters ricecleaning business.
6. Discussion and Conclusion
6.1 Three Cases of closed innovation
As summarized in Table 5, we allayed three companies and their founders’ inventions in
early/growing stage of business. At the early stage of business, an innovation and
knowledge management were one of driving (impelling) force, and founder's originality,
creativity and entrepreneurship are key to product innovation. The finding shows that
founders’ innovation and entrepreneurship were key impelling force to growth of SMEs,
and then knowledge management of production within firm are effective to further
development. After being the stage of growing stage of business, in addition to founders’
capabilities, strategic product/process innovation within organization is necessary. There
were some chance to choose open innovation, but they did not choose because they had
enough capability and investing found.
6.2 Current situation of three firms
After Mr. Kanichi Nishimoto was died on August 27, 2005 in his age of 90, NORITSU KOKI
had two difficulties on management and market. He controlled his company by himself
based on his strong leadership. He was eldest president , and longest president's tenure
of 49 years in Japan. The market of the firm’s minilab systems was shrinking and
disappearing because of the development of self-printing system based on digital
technology. The group is moving aggressively into new growth areas and restructuring
operations with eyes on the future to add "medical care," "environment" and "food" to the
company's flagship "imaging" business. Currently the firm is entering in new business by
M&A.
Mr. Masahiro Shima is active and his son is now president of SHIMA SEIKI. The firm is
continuing closed innovation and their number of patents is top group in textile machine
industry. Mr. Keiji Saika is active in his invention. TOYO SEIMAIKI MFG is renamed as
TOYO RICE, and entered in rice finishing and sales business from machine company. The
firm maintains closed innovation in key technology of machine development. However, in
application and sales, the firm is co-operating with business partner.
6.3 Limited open innovation based on other research
The author analysed joint research projects (limited open innovation) based on questioner
survey and interview (Takagaki 2017). The result showed that four factors (“place”, “trust”,
“investment fund” and “leadership”) appear to be essential for the success of joint
development that begins on premise of “open” innovation. A successful joint R&D project
involving limited open innovation can therefore be characterized by the acronym OPTI as
shown in Figure 4.
Knowledge creation is well explained as Nonaka’s SECI process which introduced by
Takeuchi, H. and I. Nonaka. (1986), Takeuchi, H. and I. Nonaka (1995), and Nonaka, I.
(2005). In case of joint R&D project, knowledge creation (SECI process) will occur under
four factors (“place”, “trust”, “investment fund” and “leadership”) are effectively working.
497
It begins by establishing a goal or framework of limited Open innovation, with open
discussion and exchange of ideas and enthusiasm. Next is the necessity of establishing a
suitable Place for interaction and exchange. Also necessary is the existence of an
Investment fund that enables the concepts, ideas, and dreams to be realized. But without
effective and reliable Leadership, the optimistic plans and infectious enthusiasm may
amount to little more than figments of imagination. However, the fulcrum of the structure
is central, for it is the establishment and cultivation of Trust. OPTIL neatly characterizes
the progress and results of successful open innovation of the kind that has been discussed
by the author.
Source:Takagaki 2017
Figure.5: The concept of OPTIL
6.4 Conclusions
From case analysis of three firms, they started closed innovation in the early stage of
business. In the growing stage of business, they chose closed innovation because they
had enough resource and capability, investing found and so on. However, depend on
business situation and area, closed innovation is not stable policy. As shown Figure 1,
logic of decision of closed/open innovation is effective. As analytical flame-work, we use
simple version as shown in Figure 4. It is simple but enough effective for first step of
analysis in this paper. The result is limited from only three cases. By utilizing discussion of
Figure 2, additional case analyses and questioner survey will be conducted later.
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Business Review, January/February, 285-305
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Press New York.
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International Journal of Innovation Management (Imperial College Press) Vol. 13,
No. 4 (Dec. 2009) pp. 715–736
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Innovation: Perceived Barriers and Behavioural Patterns2. The International Journal
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Prentice Hall
Author’s profile
Born in 1950, Yukio Takagaki began in 1973 as a mechanical engineer with a Japanese
affiliate of the Exxon group, then later returned to the university for graduate work in
international management (MA from International University of Japan, 1989), and then
later entered the University of Tokyo for doctoral work on environmental strategy of
Japanese firms (PhD, 1997). Dr. Takagaki was invited in 1995 to teach at Okinawa
International University. As a fulltime faculty member of the Department of Economics, he
500
has taught numerous courses in international management and related fields at several
universities in Japan. He spent a year at the University of Reading in UK, working with
faculty and researchers there. Additionally, in 1998, Professor Takagaki was appointed by
Japanese International Cooperation Agency to lecture on Japanese Economy and
Management at a JICA training center. He is now Professor of Strategy Management at
Surugadai University and in charge of graduate-level instruction and supervising thesis.
He was in charge of graduate-level instruction in management (MBA) at International
University of Japan (IUJ) and Rikkyo University in English. He currently received his
second doctoral degree on Innovation among SMEs (DBA, 2017) from Rikkyo University.
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Survive or Thrive? Nepalese Ethnic Business in Japan
- Nepalese Entrepreneurs with Knowledge and CreativityYoshiko Higuchi
Japan Advanced Institute of Science and Technology, Japan
Email: yoshikohi@gmail.com
Abstract
The Nepalese population in Japan has increased ten times more in a decade, making the Nepalese
the most rapidly growing nationality in Japan. In 2007 there were 7,844 Nepalese in Japan, but now
we have 80,038. While many Nepalese are challenged as new immigrants, there are successful
entrepreneurs, including women, who have made themselves as leaders in “ethnic enclaves” in Japan
as we define different types of business achievers. We researched to explore the behavioral and
thinking patterns of the increasing Nepalese entrepreneurs in Japan. We identified, through interviews,
the strategies with which they achieve economic success. We also focused on their social capital and
networking patterns. One of our findings is that the Nepalese activities are expanding beyond ethnic
business as they accumulate knowledge and creativity with the support of their community and the
Japanese partners/supporters.
In the study of immigrant entrepreneurs, few approaches have been taken based on "knowledge."
However, Lemes and Hormiga suggest that immigrant entrepreneurs are more easily understood
from the viewpoint of "knowledge" (Lemes, et al 2010). Immigrant entrepreneurs have special
resources that are different from domestic entrepreneurs. It is supposed that during the immigration
process they experience and accumulate "knowledge" that may serve well for their business success.
The knowledge is not limited to overseas experience. They have resources from the place of origin.
When it is strengthened by the connection with the local, which becomes useful for the later
entrepreneurship, their possibility expands. Moreover, deciding to go abroad can change their
worldview, and they start to think differently. It is said that business will not grow just with the connection
among ethnic communities (Sequeria and Rasheed 2006). It is essential that they master the local
language and are bonded with the local people. From the study of Cuban refugees in Florida in the
1960s, the place where ethnic people thrive is called “Ethnic Enclave” (Portes and Wilson 1980). It is
pointed out that entrepreneurs need the three factors for business success. 1. Business experience,
2. Capital money, 3. Inexpensive labor (Waldinger, et al. 1990)
However, most Nepalese had few business experiences nor enough capital even though they
became successful. How have they established thriving businesses in Japan? This question was the
starting point of our research.
As a conclusion, what we are finding is that almost all Nepalese entrepreneurs have the certain quality
they brought from their birth along with the accumulation of knowledge. They also have the ability to
network well both with the local people (Japanese) and their own group (Nepalese). It is amazing that
each successful Nepalese has Japanese partners and supporters to back them up. They have the
502
quality to “charm” the local people. However, it is also true that there are quite many Japanese who
are disappointed with their Nepalese friends and partners. What makes a difference? It all depends
on the quality of knowledge and creativity they have and how they use it creatively.
Keywords: Nepal, immigrants, entrepreneur, knowledge, creativity
1. Introduction
1.1 Nepalese immigrants
Currently, 4 million Nepalese people live overseas, which is 10% of the total population of Nepal. In
fact, 28% of Nepal's 14 million workers are abroad. The proportion of overseas workers' remittances
to Nepal's GDP is rising: it has increased 13 times in 15 years! (2.44% in 2001; 32.22% in 2016). (Ito
2018)
Nepal has relied on international aid, but around the end of the long-term civil war, which was between
1996 and 2008(*1), despite the stagnation of the Nepalese economy, the rate of poverty has reduced
to half. It is because of the increasing remittance from overseas residents. In rural farming areas, after
a large number of migrants left, young men workers have decreased. Then, wages of agricultural
workers have risen. Thus little economic wealth trickled down to workers in the poorest areas.
Minami, who surveyed in a Magal village of 100 people with 15 households (*2), says, " Fifteen young
men from 12 households are overseas: 7 are in Malaysia, 4 are in Qatar, 2 are in the United Arab
Emirates, and 2 are in India. In this village, almost all men in their 20s and 30s have gone. "(Minami
2015: 123).
The overseas workers from a small village represent the reality of the whole of Nepal. The top
countries where Nepalese young men work: Malaysia and the Middle East. According to Minami, in
this village, the first person who went to Saudi Arabia for work acts as a private coordinator for
dispatching young workers abroad. He has arranged 9 out of 13 village boys, excepting those who
went to India.
As many as 2,000 people leave Nepal daily for overseas, mostly as workers in groups, to realize the
dream of their family. Until 2008, 25% of people went abroad with the help of friends and relatives, but
in 2014 the rate became 15% as the number of agents and brokers increased. If one does not know
anyone who has previous overseas experience, one has to use an intermediary agent. The brokerage
fees are varied, so are their expertise, financial and networking capabilities. A person who wishes to
go abroad has to make money somehow, such as using their saving, selling land and taking loans.
Ito reports that remittance has upgraded the village economy and changed the way of life, but there
are only old people, children and young mothers with babies who are left behind. (Ito, 2018) Now
many children are not suffering from poverty, but they know their fathers’faces and voices only in the
social media on the Internet. The real cost of foreign employment (or migration labor) may be waiting
in the future.
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1.2 Nepalese in Japan
In Japan, Nepalese people are increasing dramatically. There were 399 people in 1990 and 3,649 in
2000. However, the population at the end of 2017 is 80,038 (18.6% increase from the previous year).
In the category of visa status, Nepalese students are the highest (27,101), followed by the family
(21,873), and the skilled labor (12,706). The total number of the top three categories shares the 77%
of the Nepalese population in Japan.
The incredible speed of the growth of Nepalese population in Japan is a surprise for those Nepalese
who have lived quietly with a friendly circle of limited numbers of people from their home country. There
is political, social and economic instability of Nepal, which is one of the “push” factors that made the
Nepalese leave home. There are also “pull” factors from Japan. What is the charm or attraction of
Japan? The biggest reason is the easiness of availability. The level of Japanese is not questioned for
visiting Japan.
Students go to Japanese language schools and vocational schools to send money to home. Japan is
the second most popular destination for Nepalese students. The top is Australia. There are hundreds
of Japanese language schools in Nepal, where they often advertise teaching Japanese free of charge.
They are also agents (registered or not) for sending people to Japan for studying Japanese. Many
people want to go to Japan aiming at the status of residence that allows them to work 28 hours a week.
It often happens that the students are so overwhelmed with their part-time jobs that they get tired and
snooze in class. Japanese teachers think it a serious problem to teach those 'learners without
motivation.' (Sato 2016: 9). Of course, some students are motivated to learn Japanese, but the
majority of the students are those whose primary purpose is to earn money in Japan are the majority.
Since they paid a considerable amount (at least 800,000 yen to start with) as "upfront investment,"
they need to work and earn money as quickly as possible. If not, there is a risk that the debts not be
paid off. Ito says that Japanese industries are seeking young and inexpensive workforce and are
interested in relationships with international students aiming to earn money are consistent, they work
hard in the delivery industry, convenience stores, and restaurant industry (Ito 2018).
1.3 India-Nepalese Restaurants
Another way to get a residence permit in Japan is to obtain skilled labor visa. 12 thousand Nepalese
people are in Japan with Indian cooking qualifications. However, they are not allowed to enter Japan
unless they are hired as employees. The restaurants and store owners have power over them. The
owners apply for their visa. There are agencies on the Nepalese side along with a high brokerage fee
of 1 million to 2 million yen per person. Once in Japan, it is difficult to change jobs since their visa status
is a chef. If his employer is not willing to apply for his visa renewal, chefs cannot keep working. There
is an unstable relationship between employer and employee over the resident status. Thus, we see
thousands of Nepalese restaurant suddenly appeared in Japan, the number of Japanese language
schools growing across Japan.
Many Nepali people who came to Japan during the last ten years are changing the appearance of the
Nepalese society of Japan. Shin Okubo in Shinjuku-ku, Tokyo has transformed as a city of Nepalese
people. There are Nepalese walking and talking everywhere. Shops, restaurants, small “banks" for
504
overseas remittance service are found everywhere. Inside the bank there are always people, who are
chatting, talking and exchanging information as they are waiting for their turn to send money. The
remittance to Nepal is quite cheap. The Nepalese attendants behind the counter are sharp, intelligent,
and competent in crisp white shirts. Cash is delivered to remote villages and mountains in Nepal in no
time. Dutiful sons and daughters visit the bank every month to send their savings to their parents at
home.
In the city center, Nepalese restaurants have appeared (no longer Indian-Nepalese restaurants).
There, the Nepalese visit frequently to eat Dalbhert Tarkari, Momo, or Nepalese style snacks, along
with Nepalese beer. On Sundays, they often have parties and group meetings in one of those
restaurants. It looks that the growing number of people can spend money and time to be away from
busy work and relax with their friends.
There are about 3,000 Nepalese-Indian restaurants in Japan. It is less than the total number of
Nepalese chefs, which is about 12,000. It means that the majority of chefs are hired by the
management. There is a profound gap between managers and employees. There are 1,392
people who are qualified to stay in Japan as "management. " The rate is only 1.7% of 80,000 Nepalese.
Also, there are 4,139 permanent residents. Nepalese company owners and successful people are in
the category of management and permanent residents.
Note(1): The Nepalese royal monarchy deceased to exist as the country became the Federal Republic
of Nepal in 2008.
Note(2): Bosha village, Nawaruparashi, West Nepal (Minami 2015)
2. Objectives
As more Nepalese people are coming to Japan, many are facing financial, cultural and language
difficulties. They are struggling just to survive. On the other hand, there are successful entrepreneurs,
including women, who act as leaders of Nepalese Community. Most Nepalese in Japan initially have
little or no experience in business, nor enough capital. How have they become entrepreneurs and
maintain thriving businesses in Japan? What are the achievement factors? These questions were the
starting point of our research. We interviewed the Nepalese who are thriving after being a surviver.
We are also defining different types of business achievers among in the Nepalese Commnnity in
Japan.
3. Literature review
3.1 Knowledge and social capital
In the study of immigrant entrepreneurs, few approaches have been taken based on "knowledge."
However, Lemes, et al suggest that immigrant entrepreneurs are more easily understood from the
viewpoint of "knowledge" (Lemes, et al 2010). Immigrant entrepreneurs have special resources that
are different from domestic entrepreneurs. It is supposed that during the immigration process they
experience and accumulate "knowledge" that may serve well for their business success.
505
The knowledge is not limited to overseas experience. They have resources from the place of origin.
When it is strengthened by the connection with the local, which becomes useful for the later
entrepreneurship, their possibility expands. Moreover, deciding to go abroad can change their
worldview, and they start to think differently. It is said that business will not grow just with the connection
among ethnic communities (Sequeria and Rasheed 2006). It is essential that they master the local
language and culture so they can reach resources of local people.
3.2 immigrant Network Theory
In immigration research, social capital is an important element in addition to individual economic capital
(money) and human capital (educational background, technology). In the assimilation model in early
immigration studies, the immigrant community was supposed to disappear with the progress of
assimilation (Gordon 1964). Immigration community theory denies such view and emphasizes the
importance of social capital as an element of immigration adaptation and social mobility.
Studies to consider immigrant behavior using immigration networks as primary explanatory variables
have been increasing since the 1970s. They consider immigrants as actors who keep ties with
families, relatives, and townsmen (Brettel 2001; Graves and Graves 1974). In addition, there are
researches on the development of social institutions that support chain immigration and the study of
sustainable ties (Boudner 1985) and the case of immigrants from Sweden that form a parent-child
community linking their place of origin and immigrants place (Ostergren 1988).
"Social capital" is the ability to secure profits gained through attribution to networks and other social
structures (Portes 1998: 6-8). Social capital is not born naturally. Maintaining a sustainable relationship
in a social network is a forming condition. Solidarity within the community develops a system of mutual
aid based on the reciprocity principle that creates a system that ensures compliance with the norms
of the community. This mutual trust is the most significant resource for immigration systems and
immigrant communities as a clever institutional arrangement that makes them stop performing fraud
(Granovetter 1985: 489).
3.3 Function of social capital in immigration network
Social capital, in fact, exists both before and after immigration, which also fulfills the functions of
promoting immigration, sorting, and directing.
(1) Immigration promotion function
Relying on someone is the fastest way to lower costs and risks associated with migration. When the
resources and knowledge necessary for living and working in the host country are well distributed in
the ethnic community, the costs, and risks associated with migration decline (Gurank and Caces 1992;
Masse et al. 1988). After the first immigrants have established a specific foundation at the immigrants’
destination, the cost of their families and friends to follow is much lower (Boyd 1989; Mesey et al. 1998).
For late immigrants, the relationship with the leaders becomes social capital, as it eliminates costs of
information and psychological obstacles.
(2) Sorting function of immigrants
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Initially, people in the limited hierarchy, age and gender can migrate, but poor people can not.
Increased promotion function will open up opportunities for migration widely to the community (Massey
1990). The question of why many immigrants come from a few limited places can also be explained
by the sorting function of the immigration system. There is also a model in which the head of the family
chooses a member for remitting money to the family as a migrant worker (Stiglitz 1974).
(3) Orientation function
Immigrants from a particular area tend to focus and gather in some regions of a city (Guttierrez 1984;
Jones 1984). The reason why immigration frequently happens from a particular village to a particular
city cannot be explained by simple wage differentials or historical relationships of the places. Chain
immigration creates a close relationship and linkage with their place of origin in the specific city of the
host country.
4. Research form and method
We researched to explore the behavioral and thinking patterns of the increasing Nepalese
entrepreneurs in Japan. We identified, through interviews, the strategies with which they achieve
economic success. We also focused on their social capital and networking patterns.
5. Findings
One of our findings is that the Nepalese activities are expanding beyond ethnic business as they
accumulate knowledge and creativity with the support of their community and the Japanese
partners/supporters. Almost all Nepalese entrepreneurs have the certain quality that they brought from
their birth along with the accumulation of knowledge. They also have the ability to network well both
with the local people (Japanese) and their own group (Nepalese). It is amazing that each successful
Nepalese has Japanese partners and supporters to back them up. They have the quality to “charm”
the local people. However, it is also true that there are quite many Japanese who are disappointed
with their Nepalese friends and partners. What makes adifference? It all depends on the quality of
knowledge and creativity they have and how they use it creatively.
6. Discussion
6.1 Matrix of Immigration Community
The immigration community can be classified as follows according to the human capital of an individual
and the social capital owned by the immigrant community.
(A) Substantial human capital and social capital → (Example) Cuban Americans
(B) Substantial human capital but little social capital → (Example) Indian in the US
(C) Little human capital, but substantial social capital → (Example) Mexican worker in the US
(D) Little human capital and social capital → (Example) Indochinese refugees in the US
Using this matrix to explain the immigrants in Japan makes the actual map clearer. However, there is
a risk of making it too simple. easier to grasp the actual situation, but it can not be merely applied for
each country. Individuals and communities are gradually changing in the immigration process, but if
507
we dare to classify it to draw the image of the present Nepalese society,
Types of Nepales in Japan:
(A) Substantial human capital and social capital → (Example) Company managers, professors,
NRN executive members, and government-sponsored international students
(B) Substantial human capital but little social capital → (Example) IT technicians, corporate workers,
and chefs
(C) Little human capital, but substantial social capital → (Example) Individual managers /spouses
(D) Little human capital and social capital → (Example) Employees, students, refugee applicants,
and irregular workers.
When both human capital and social capital are substantial, the ethnic community is wealthy as in the
example of the ethnic enclave of Cuban immigrants in the US. Successful Cuban businessmen
originally had skills and knowledge as well as the capital. Moreover they were able to employ less
wealthy immigrants from Cuba as cheap labor. They used social capital to become entrepreneurs
(Portes and Bach 1985: 342-3). The applicability of this model to other ethnic groups has not been
clear. However, some thriving Nepalese groups may have the similar structure, even though the
system is functioning at a much smaller scale. The difference of the status between business owners
and the employee is distinct. When we talk about social capital of the Nepalese, we need to look at
different networking groups within Nepal. The history and tradition of immigrants from Nepal are not
the same because they are basically from different ethnic groups. We need to consider different
immigration network, migration process, and mutual assistance system.
6.2 Ethnic Enclave
The following three points are said to be the essential factors of business success in "Ethnic
Enclave"(*3).
1. Business experience in home country
2. Extensive funds
3. Cheap labor
(Waldinger, et al., 1990)
Most Nepalese managers who attained “success” in Japan had no business experience in the
beginning; they even did not have sufficient capital to start their business. Most of them came to Japan
when they were young. They took time on a long and winding road until they set up their business.
Without business experience or sufficient funds, they tried to realize their dreams as they were
cherishing bond with Japan and their fellow Nepalese. Most of them wanted to contribute to their own
country.
6.3 Extracts of interviews
Mr. L was 13 when he first came to Japan. He was inspired by Japan and the Japanese people very
much. His dream was to build a nice hotel in his hometown in the Nepalese mountain so tourists from
over the world could have the comfortable stay. He helped her sister, who married a Japanese
engineer, open a Nepalese restaurant in Japan. Now his sister’s restaurant is reputable and flourishing,
508
and he has his restaurant in Tokyo and two hotels in Nepal.
“I haven’t obtained Japanese permanent visa yet. Because there are still things I have to do for Nepal.
I haven’t even built my own house there. I only build hotels so I can offer jobs for Nepalese. Some
Nepalese working in Japan want to become rich just for them and their family. They want to build their
house and buy a car. That’s all. I think it’s sad that they stop there.” (Mr. L, 2015, Appendices
Interview No.12)
Mr. H was 22 when he came to Japan to learn Japanese. He lived in a village near Kathmandu. He
met a Japanese volunteer in his hometown and was impressed with his work. He took an interest in
the Japanese language. When he came to Japan, he studied in a Japanese language school and
worked in a restaurant. He had a Nepalese roommate. They were the same age, and two boys went
to the same school and were part-time workers at the same Indian restaurant. Later they both started
a restaurant almost at the same time but different places. But they did not run Nepalese restaurants.
Mr. H focused on International restaurants, and his friend sticks to Japanese bar restaurants (Izakaya).
They are good friends but consider themselves rivals. They are both doing well, always creating
something new. Mr. H has 15 restaurants in Tokyo and expanding real estate business and hotels. He
also has a shoe factory in Nepal, creating jobs for 400 workers. Now he is planning to build a bigger
factory in India to offer jobs for 4,000 workers. When Nepal suffered from the disaster of the
earthquakes in 2015, his company donated 30 million yen. At that time, his rival friend, as he was the
chairperson of Non-Resident Nepalese Association Japan, immediately created a fundraising
organization, and collected 20 million yen from Nepalese in Japan.
The two wealthy entrepreneurs, now in their late 30’s, are running a race to show their best
performances in both business and social services. What they are doing is to be connected with the
world and do more than just making money. They are both excellent communicators in Japanese.
Fluent Japanese is essential to stay in business in Japan. Mr. H has business mentors: he respects
Mr. Son Masayoshi of Soft Bank and Mr. Binod Chaudhary, chairperson of Chaudhary Group.
“I have three cars, each cost over 30 million yen. I deliberately change cars for different purposes in
business. When I was young, I could not buy even a bicycle. But I did not give up. Mr. Binod Chaudhary
was born in Nepal, and he meets the Emperor. I am glad I was able to meet Binod. He treats me like
a brother. Nationality does not matter in business. We are all equal. We must treat people equally and
respect the culture of each person.”
“For me, being in business is not for my profit. I think business is volunteer work, like creating jobs
for the Nepalese.” (Mr. H, 2015, Appendices Interview No.8)
Mr. H hires 120 Nepalese, 20 Japanese, several Americans, and Thais.
Mrs. M used to work for a small Japanese company. She has two little daughters. When she was busy
at work of accounting, her babies were taken care of, often by the president’s family, especially the
mother. Mrs. M was the great workforce for the company, and she felt that people cared about her.
After working for ten years, she decided to start her own business. However, she did not leave the
place she used to know. She opened her restaurant on the same street in “downtown” (Shitamachi)
509
Tokyo, where she lived and worked. There are many friends and acquaintances there. It is nice to be
connected with them. They became good customers and supported her. When she coordinates
Nepalese Festival, groups of people offer their drum and performances.
“When I first came to Japan, I worked at a foreigner’s restaurant. I got paid much less than average
and worked twice more than anyone. I didn’t know that it was not normal. Then I got sick, because I
worked without rest. I realized that they were exploiting me and I quit. “ (Mrs. M, 2017, Appendices
Interview No.13)
Note(*3): From the analysis of successful Cuban refugees in the "Ethnic Enclave" in the 1960s
(Portes and Wilson, 1980)
7. Implications
During interviews with successful Nepalese, we heard the similar things repeatedly. They were
interested in Japan before they come here. They learned and had high skills in the Japanese language.
They are extremely fluent in Japanese. They do not work for money only. They are pursuing happiness
of others and made contributions to Nepal. They are risk-takers and doers. They do not worry about
things they have not done yet. When they work, they want quality in the performance and services
they provide.
Almost all Nepalese entrepreneurs have the certain quality they brought from their birth along with the
accumulation of knowledge. They also can network with the local people (Japanese) as well as their
group (Nepalese). It is fantastic that each successful Nepalese has Japanese partners and supporters
to back them up. They have the quality to “charm” the local people. Behind each and all “successful”
Nepalese there are Japanese supporters who are willing to help.
8. Concluding Observations
One prominent thing is that successful Nepalese have excellent communication skills. Charming
Nepalese are excellent communicators. They, not only use the Japanese language well bust also
understand Japanese culture and customs, and pay respect to them. Successful Nepalese do not
come to Japan for money. They are interested in Japan and want to learn from Japan. Their motivation
is how to make their country better with the knowledge and skills they get.
Unfortunately, the majority of the newcomers whose priority in Japan is earning money are too busy
to learn something new and live with creativity. They cannot find good Japanese friends. They do
not have sufficient social capital for surviving. The interview survey in Nepal reports that nearly 80% of
returnees from Japan are happy back in Nepal. Moreover, 60% of men are happier in Nepal than in
Japan (Sano &Tanaka 2016). We would be happy to have “happier” immigrants with healthy
motivation and willingness. We need to see the importance of knowledge and creativity in the context
of social capital for immigrants.
510
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関連
た考察〜
東洋英和大学.
井 泰(2001). 外国人労働者新時代 ち
書房.
梶 孝道・丹野清人・樋 直人(2005). 顔 見え い定 化 - 日系
人 国家・市場・移
民ネッ ワ ク 名 屋大学出版会.
藤 利子(2012) ネパ
留学生 特徴 増加要因 分析 — 送 出し 力 高い国 対す
留学生政策
い
示唆 — 留学生教育 第 17
19-28.
野麻 子・ 中雅子(2016) 移
洗剤能力 発揮
? —
ン
視点
た滞日ネパ
人 特徴 —
公益法人ア ア女性交流・研究
樋 直人ほ (2010). 国境を越え :対日
移民 社会学 青弓社.
子 (2006) 滞日パキ
ン人
ック・゙ ネ ― 中 車輸出業
ン
ョ
親族配置 桜井厚編 コ ュ テ 形成
け
゙ ア経験 語
千葉大学
社会文化科 学研究科 pp.117–129.
南真木人(2003)
留ネパ
人労働者
ック・コ ュ テ
ネッ ワ ク 正 博史・
三島 子編 国際移民 自存戦略
ン
ョ
・ネッ ワ ク 文化人類学的研究 国立
民族学博物館 pp.85-108.
南真木人(2015) 移民大国ネパ
三尾稔・杉本良男編 現代 ン 6 還流す 文化 宗教 東
京大学出版会 pp.122-126
512
Appendices
Interviewed Nepalese who are successful in Japan.
Name Ag M Work
Year Family
e
/F
s
In
Jap
an
1 A
45 M Meat
29
wife(N)
processing
child
company
2
B
40
3
C
43
4
D
48
5
E
50
6
F
38
7
J
54
8
H
38
9
I
42
M Meat
processing
company
M Owner of
Nepalese
restaurants
M Owner of
Nepalese
restaurant
18
3 25
1 17
M Owner of 4
Nepalese
restaurants
M Owner of 1
Nepalese
restaurant
M Art
antique
dealer owner of
1 Nepanese
restaurant
M Owner of 15
Asian
restaurants,
Real
estate,
Hotels
M Owner of 1
ethnic
food
store and 3
Nepalese
restaurants
20
Reasons to The
initial
come
to resource person
Japan
and
supporter
Level
of
Japa
nese
Wanted
adventure
( Overstayer
)
get
wife(J) To
married
in
child
Japan
wife(J) To
learn
child 2 Japanese
Japanese
and A
South American
friends for finding
jobs
Help with “A” for C
finding a job
wife(N)
child 2
in
Nepal
wife(N)
child 2
Joint
business C
with a Nepalese
friend
20
wife (J)
child 2
34
wife (J)
child
16
wife(J)
child 2
11
wife(N)
child2
513
To
visit
Nepalese
friends
in
Japan
Invited
by
Buddhist
friends
To
learn
Japanese
Wife’s parents and A
relatives
Japanese
supporters
S
Wife’s parents
¥ 10 million
A
Invited by a With my savings
A
Japanese
mountain
climber
Met
a Bank loan ¥ 6 A
Japanese
million
friend
in A Japanese friend
Nepal
guaranteed
To study in His savings
Japanese
graduate
school
A
1 J
0
11 K
38
M Owner of
restaurants
F Owner of
Nepalese
restaurant
4 16
1
2
L
55
M Owner of
restaurant
1 38
1
3
M
30
F
Owner of
restaurants
2 15
1
4
N
29
F
Café bar
1
5
O
35
F
Work in
remittance
company;
owner of
restaurants
61
1 44
10
a 15
2
Wife
(N)
Husban
d
(J) died
chiled
To
learn
Japanese
To
get
married with a
Japanese
wife(N)
child 2
His sister was
in
Japan
married to a
Japanese
husband
Husban Et to know a
d
Japanese
(N)
who supports
child 2 Nepal
husban Husband was
d(N) studying in
child 1 Japan (MA &
PHD)
Husban To
learn
d
Japanese
(N)
child 2
Wife’s parents
B
Husband,
her A
Nepalese sister
and brother
Two sisters
B
Her savings while A
working in a
Japanese
company
Her own savings S
With my savings
B
Husband/wife (N) (J) N=Nepalese J=Japanese
Japanese Level S = Speaks better than an average Native Japanese, including reading & writing
Japanese Level A = Speaks like a Native Japanese with good grammar, some reading & writing
Japanese Level B = Speaks like a Native Japanese, weak in grammar, no writing
Japanese Level C = Speaks with foreign accent with little grammar, no reading
Commonalities of the Nepalese interviewed:
1. Were interested in Japan before coming to Japan.
2. Are extremely fluent in Japanese.
3. Do not worry about failure, life style is positive
4. Want the quality in the performance and services hey provide
5. Have volunteer spirit
Acknowledgements
I would like to express my sincere gratitude to Dr.Yasunobu Ito, the advisor for Ph.D. program and
514
professor at Japan Advanced Institute of Science and Technology. Special thanks go to Dr. Susumu
Kunifuji, the advisor to Subtheme thesis, who has introduced us to Japan Creativity Society. My special
thanks go to Dr. Yuki Ito, who, with her profound knowledge of Nepal and Nepalese studies, inspires
me and directs me to the right academic paths. I am also grateful to all the Nepalese people, who
share their personal life histories with me; they remain anonymous, but the images are vivid in my
heart and my gratitude is immense. I am grateful to my husband Dr. Takeo Higuchi, who is patiently
waiting for my thesis to complete. Thank you for your encouragement!
Author’s profile
Yoshiko Higuchi is an intercultural consultant and a lecturer at Reitaku University. Having lived in
Nigeria, Saudi Arabia, Vietnam, and Nepal with her family, she has traveled to 70 counties around the
world. Being the author of a dozen books on travel and intercultural issues, she is also a translator of
international books, a researcher and a Ph.D. candidate in anthropology at Japan Advanced Institute
of Science and Technology, with a BA in English literature and MA in Intercultural Relations from the
McGregor School, Antioch University, Ohio. Her publication includes “Intercultural Communication –
Workbook,” “Saudi Arabia as We Lived It,” and “Active Learning and Communication” (to be published
in 2019).
515
Hybrid methods of process and project management: Would they work
for mass customization in public sector?
Giedrė Raišienė and 2Gedas Baranauskas
1Mykolas Romeris University, 2ERGO Insurance SE, Lithuania
Email: agotar@mruni.eu
1Agota
Abstract
Under complex conditions of dynamic and demanding Global market and business
environment, both private and public sectors face a number of opportunities and
challenges how to stay competitive, cost effective and customer-oriented organizations
at the same time. The usage of hybrid (integrated) process and project management
methods and implementation principles of the concept of Mass Customization are key
drivers to reach agility and flexibility which are oriented to a customer together keeping
a superior service or production quality and a balanced price. The present article aims
to reveal most common and best practices from private sector experience which might
be applied to modern non-profit organizations as well as to identify main obstacles and
issues in public sector which should be taken into consideration. Combination of content
analysis of theoretical and practical researches of recent 5 years and results of online
expert interview generates a conceptual 3 phases step by step model. It might be used
in cases of short term transformation period in public sector or other non-profit sector
organization as guidelines to reach a next level of service customization, process
improvement and overall cost savings.
Keywords: Hybrid methods, business process optimization, project management, mass
customization, public sector.
Introduction
Current global and dynamic environment with a high level of process integrity, changes
in workforce structure and customer expectations are considered as influential factors to
both private and public sector organizations. Because of these factors, organizations
face specific challenges with changes in the attitude towards business process and
project management, first of all. In this context, application of new – hybrid – project and
process management methods are of particular importance (Rodgers et al., 2018; Mittal
et al., 2017; Stefan & Radu, 2016; Yu et al., 2015; Matthies, 2018). In recent three
decades, Lean and Agile principles and methods have been widely discussed in the
scientific research field and successfully adopted in the working environment (Singh &
Singh, 2013; Huxley, 2015; Qamar et al., 2018; Danese et al., 2017). Although its
implementation allowed to improve the organization performance, however, integration
of these methods has turned out to be applied unsuccessfully too often. Lack of synergy
516
and need of better combination and coordination were observed. Hence, it is important
to analyse shortcomings and to elaborate new models which can lead to optimization of
organization’s project and process management. Another gap in scientific discourse is
how to apply the hybrid methods in the public sector organizations and what effect it can
make. Range of authors (Kawa & Maryniak, 2018; Wedowati et al., 2018; Skačkauskienė
& Davidavičius, 2016) argue that mass customization needs optimizing of business
processes, and this is awarded with competitive advantage. Nevertheless, it isn’t clear
how it works when delivering public services. Therefore, the aim of the paper is to discuss
the application of hybrid methods of the Lean system and Agile within both business
process management and project management in the context of mass customization of
public services. As a research result, the conceptual model has been carried out.
Process management in modern business and public administration
organizations: changes in semantical meaning, practical development tendencies
and main issues
In theory, or academic research, the concept of business process management is usually
defined as featuring high complexity and systematic approach as well as it is seen as
key content factor and indicator of development towards other organizational functions
(Ranđelović et al., 2018, Kasim et al., 2018). In the context of practical implementation,
it is described as an integral part of each project and process management steps, which
leads to a successful implementation of strategic goals at all levels in organizations. First
examples of practical implementation in public sector can be found in last decade of XX
century, when Business Process Reengineering (BPR) started and was an initial
development phase of Business Process Management (BPM) (Bhaskar, 2018).
Research shows that now public sector enterprises focus not only on implementation of
BPM and BPR concepts but also on increasing process and resource management
effectiveness while paying more attention to specific customized details, which allows to
provide a high quality of services and relevant information to citizens following 24/7
service standard (Kasim et al., 2018; Gabryelczyk & Jurczuk, 2016). In addition, it has
been a main challenge and aim since beginning of 90’s - the synergy and integration
tendencies between private and public sectors have occurred and developed in different
forms and well know concepts of New Public Management, E-Government and Open
Government (Gabryelczyk & Jurczuk, 2016; Shanab, 2015).
Evaluating from the practical implementation perspective, the field and content of
process management in modern organizations has significantly changed. Orientation of
primary activity and a change of aims and goals for both short and long periods have
been brought out to light more often now as well as application of hybrid (integrated)
methods have been started using as dominant (Gillani et al., 2014). In addition, it is
noticeable that a focus point of concentration and activities have been changed gradually
from internal resources, implementation of procedural-operational activities and
standardization of processes to primary orientation to customer and customization of
517
processes, intense market monitoring and analysis (Ranđelović, et al., 2018). The
implementation of best business practices can be seen as an opportunity for public
administration institutions to adapt to modern changing consumer patterns and general
economic tendencies too. Of course, differences in the content of performance purposes,
process management culture and mind-set, and the contexts within they operate
generate different obstacles and decisions for solving them. At this point the greatest
challenge in public sector refers to not gaining an impressive numbers of productivity
increase or discovering new product or service solutions which fit to a large scale of end
users. Finding methods or their combination for creating rational and well-designed
processes, increasing accountability and participation rates are biggest targets in this
context. Thus, the main goal of adapting ideas of hybrid (integrated) methods and mass
customization concept in public enterprises can be described as sustainable, cost effective and transparent performance (Rodgers et al., 2018).
Process management improvement by using hybrid (integrated) methods:
experience and lessons from private sector to adapt in public sector
The qualitative changes in the field of information technology at that time of 90’s have
subsequently created the conditions for new, interactive and computer systems based
methods and systems of planning and management and the emergence of combined
solutions for the saving of production methods (Shabbir et al., 2018; Bzdyra et al., 2015).
It is agreed, that first steps to reach a next level of customer service is by transforming
information and communication systems (Tandazo et al., 2016). Next, in detail the
essential transition of process oriented organization to people-customer oriented
organization should be presented: a very important role at organization level for a long
time has been assigned to targeted internal resource management in terms of demand
planning, control, and realization or implementation (Bzdyra et al., 2015). Accordingly, a
so-called optimization of relations with the external environment at the procedural-day to
day operations level is considered essential since it has a direct impact on succeeding
at reaching strategic goals and ensuring an effective performance as well as mass
service and product customization and best level of customer experience (Kasim et al.,
2018; Wang et al., 2015). But on other hand, there are of a quite wide scope of issues
too, both in private and public sectors. They can be divided to categories shown in Table
1.
Table 1. Main obstacles of implementation process in private and public sectors
Sector
Type of obstacle
Private
Public
Sector
sector
Wrong semantic (conceptual) interpretation of +
+
meaning
Lack of experience in practical implementation
+
+
Missing necessary skills and/or process knowledge
+
+
Missing systematic and holistic viewpoint/standpoint
+
+
518
Missing Technology (Innovation) culture
Not developed Risk Management
Not developed or weak partnership-best practices
model
Primary orientation to revenue
+
Limited time in charge/authority
Differences between manufacturing and service +
oriented methods
Workforce structure
Source: made by authors following Price Waterhouse Cooper, 2015,
2011; Bellis et al., 2015
+
+
+
+
+
Hilgers & Piller,
In the context of implementation in public administration related organizations, the main
issues of integrating both hybrid (integrated) methods and the concept of Mass
Customization in daily work flow might be defined in few backgrounds:
cognitive (emotional), which is related to human resource factor and social factors
technical, based on financial investments and transformation of the process.
(Bellis et al., 2015; Wu et al., 2017; Mergel, 2016).
At the first background, challenge of managing in uncertainty and stress by focusing on
becoming more agile in operations is described as well as weak leadership and manager
role during and after period of the transformation (Price Waterhouse Cooper, 2015). The
main issue, which is disturbing to use best practices from business to public are external
environment (market). In other words, governments are missing competition with other
organizations in most instances or dealing with opposite situation. At this point, taking
into consideration Lean implementation at public sector, some other issues arise: it is
noticed that resistance to these of type of changes are related to the structure of the
workforce, poor risk and general process management skills and complex relationships
with stakeholders (Kadarova & Demecko, 2016). The first one is directly related to overall
tendencies of the content of workforce in this sector and worries that constant or
decreased numbers of servant as well as their time resource limitations do not let coping
with daily tasks and backlogs, fast changing environment, big amount of data and Lean
concept requirements in required manner. At this point, working under mix-type principles
of Lean and Agile and usage elements of mentioned concepts can reduce this fear and
possible negative impact to daily work process, for example, using Agile type working
sprints, daily team stand up or online type meeting where talking about existing backlogs
and sharing responsibilities and all that visualizing by Scrumban board (Stoica et al.,
2016). Another important problem in this context might be very high and fast results
expectations coming from public servant and managers limited time of being in charge
and decision making power. It is a common issue between the sectors and as a solution
for continuous process or project management might be, for instance, an adaptation of
Virginia Tech offered guidelines of standard for information technology project
management combined with traditional guidelines of documentation set up by the Project
519
Management Body of Knowledge (PMBOK) of the Project Management Institute. This
hybrid (integrated) solution based on Agile approach in documentation consists of:
a) projects prioritization to 3 main categories (Low-Risk, Medium-Risk and High-Risk)
and clear instructions how to deal with best experience saving, communication to
interested persons and documentation of the project for the future.
b) minimalistic, pragmatic and optimal approach to documents’ size and format with
strong orientation to improvement (Ziółkowski & Deręgowski, 2014; Virginia Polytechnic
Institute and State University, 2018; Project Management Institute-PMI, 2013).
Tendencies of hybrid (integrated) methods and mass customization in process
management
The global prosperous development of Internet technology in last decade of the 20th
century increased consumers’ desire for unique products and changed their shopping
habits as well as creation of new or modified organizational structures, organization
usage of methods in process management and business system (Ranđelović et al.,
2018). It might be illustrated by the Scrumban tool, which is popular in IT organizations
and Web Environment, and Lean automation, which evolved in manufacturing industry
after merging ideas of traditional process standardization and optimization via Lean
concept and modern trends as well as some IT capabilities founded in robotic and overall
process automation (Shabbir et al., 2018). In relation to Hybrid (integrated) methods for
business process optimization, combinations of different Lean methods and principles
for process planning and management tool and methodology of Agile project
managements are worth to mention. The example of integration and harmonization of
Kanban and Scrum as different visual management boards marks the shift from the
traditional Waterfall type of project management technique to Agile and Lean principles
based project management which might be applicable in operations management too
(Ziółkowski & Deręgowski, 2014). Although the scope and characteristics of the named
methods are different, there is a growing trend or popularity of such hybrid (integrated)
methods project management methods such as Scrum-XP Hybrid, Custom Hybrid, or
Scrumban. It is recognized that Lean concept is based on the practice of industrial
organizations, and, therefore their modifications or combinations should be carefully
considered and measured before applying them to service-oriented organizations. In
addition, for the organization it is important to feature an appropriate level of maturity in
terms of both new management process and innovation culture (Urban, 2015). At this
point using Capability Maturity Model Integration (CMMI) can help in the context of IT
related project and process management (Shabbir et al., 2018; Torrecilla-Salinas et al.,
2016; Ziółkowski & Deręgowski, 2014). Therefore, the practical situation of Lean
validates the argument why only the parts or some operating principles, updated or
hybrid versions such as Reactive Kanban, Conwip or even combinations with other
project planning tools (such as Scrumban) are applied in practice for the mentioned type
of organizations (Stoica et al, 2016, Versionone, 2016; Matthies; 2018).
520
From the perspective of Mass Customization it should be mentioned that traditional
practices of supply chain management firstly and overall business processes
management secondly were revolutionized in different types of industry and lead to a so
called process of agile mass customization and concept of Customization Knowledge
Utilization (Sitek et al., 2016; Orošnjak et al., 2017). In practices this transition started
and was best recognized in the sport industry (Nike and Adidas examples) or automotive
industry, later it evolved to financial, Horeca, clothing industries, and from the beginning
of XXI century it has become as Should-To-Be need for each consumer and aim for
improvement in different type of enterprises (Bellis et al., 2015; Park & Yoo, 2016).
Taking in consideration the semantic meaning this process might be described as a
combination of mass production and customization, refers to a multi type of business
strategy that provides individualized products or services to each consumer as well as
allowing them to participate in creation process and express critical opinion and simple
wishes about the specific needs or functionalities of the object (Xu et al., 2016; Park &
Yoo, 2016). On the theoretical discussion level it is argued that Mass Customization
raises response time and cost issues, but practices show that customized products can
be designed according to specific conditions in a great volumes, in time and costeffective manner (Skačkauskienė & Davidavičius, 2016; Wang et al., 2015). Evaluating
from the perspective of process management it is based on two way information
movement and transformation, where by using Global Web technology and computer
software a huge quantities of raw data are gathered and analysed and later converted to
more friendly service or product for end user (Xu et al., 2016). Of course, in public sector
the concept of mass services and products customization-individualization better refers
to Open Government, government 2.0 terms, t-Government or E-Government terms
(Gabryelczyk & Jurczuk, 2016; Shanab, 2015; Hilgers & Piller, 2011). And the content
has different features and focus areas: transparent and openness of service,
collaborative approach in decision making, creation of real participation possibilities for
citizens and primary strategic focus to process effectiveness and efficiency (Price
Waterhouse Cooper, 2015; Hilgers & Piller, 2011). Thus, organizations which are
seeking to shift the business model to mass customization should follow the main Lean
indicators: a) reducing processing (response) time; b) improving overall utilization time;
c) standardize work procedures. These indicators are an integral part of four basic
business activities involved in customer-oriented product design creation (Figure 1).
Figure 1. Typical process flow of Mass Customization
Collecting personalized
data about customer
Analyzes and Filtering
data
Source: made by the authors following Xu et al., 2016
521
Building a knowledge
about customer (KYC)
Improve and creative
selective product/service
options
In addition, organizations, which are aiming to move on customized services or products
are required to have a high quality of process and project management, eliminating or
minimalizing all the possible wastes. This might be reached via balanced focus on
standardization and agility, appropriate reaction to customer feedback – demands and
needs of changes in product or its supply line (Sitek et al., 2016; Orošnjak et al., 2017).
Combination of different Lean and Agile principles and techniques both on back office
and front office operations help to keep the quality rate and customer satisfaction in
desired rate (Mergel, 2016).
Research methodology
In order to evaluate the topic within the borders of its practical application, an expert type
of online interview was conducted with 5 experts in the field of process management and
improvement. An interview was based on a questionnaire composed of 3 question groups
consisting of 10 questions:
1. Process management in business organization and in project-based organization with
focus to content, main problems and areas of improvement.
2. Application of Hybrid (integrated) methods in the field of process management and
mass customization.
3. Mass customization of services and/or production: business demand, practical
implementation and main related issues in public and private sector organizations.
The experts were selected in accordance to the criteria below (Table 2):
Criteria
At least a five year
of
working
experience
The
topics
scientific
researches
of
Working field of
respondent
organization
Table 2. The criteria of selection of experts
Meaning
Relation
to
the
respondents
The respondents have at least a 5 year The
respondents
of working experience in the field of working
experience
process
management
and/or varies from 8 to 21
improvement.
year
The selected experts are making 2 of 5 experts matches
scientific researches in the field to the criteria
process and project management,
continuous improvement or related
fields.
The organization represented by Almost
all
experts is in the field of business organizations
have
consulting, research and learning.
relations to business
consulting
research
and/or learning
Source: made by authors
And the profile of experts can be summarized in the table below (Table 3):
522
Table 3. The criteria of selection and presentation of experts
Alignment to the selection criteria
Working
Represented Scientific
Profile of expert
experience
organization research
and field
Business Consultant (E1) with 8 years of
experience in business consulting
+
+
regarding Lean and Hybrid (integrated)
methods application
Business Consultant and Professor of
Management (E2) with 21 years of
+
+
+
experience in Lean and related process
improvement
Professor of Management (E3) with 10
year of experience in the field of process +
+
and project management in public sector
Leading
manager
of
functional
department (E4I) at international bank,
with 10 year of experience in the field of
+
Lean, Business Process management,
Process automation and related process
and project management
Business Consultant (E5) with 15 years
in business consulting in Lean, Hybrid
+
+
(integrated) methods and Business
Process management application
Source: made by authors
Research results
As mentioned in the part of research methodology, the main aim of the practical analysis
was to evaluate the application of theoretical background in the public and private sectors
regarding process management content and development areas, mass customization
and production individualization tendencies as well as integration of hybrid (integrated)
methods. Main findings, based on comparative analyses, between theoretical and
practical statements are summarized via the SWOT tool (Table 4 and Table 5).
Table 4. SWOT analyses of Hybrid (integrated) methods and Mass Customization
implication in Public Sector
Internal factors
Strengths
Weaknesses
1. Service openness and accountability 1. Primary orientation to internal
processes.
523
2. Already implemented or ongoing
concepts of New Public Management,
E-Government and Open Government.
3. Decision making power
4. Limited competition
External factors
Opportunities
1. Creating model of B2C (Business To
Customer)
2. Increasing Customer Satisfaction
Level
3. Cost savings (financial, time, human
resource, etc.)
4. Reaching better service agility and
flexibility
5. Leading to Standardization and
Customization of processes
6. Pre-stage for process automation
and robotic
2. Missing standardization
3. Orientation to a long period targets
4. Missing Technology (Innovation)
culture, Change
Management and
overall organizational maturity
5. Not developed communication and
information systems.
6. Weak leadership and leader role
7. Structure and content of workforce in
public sector
Threats
1. Dynamic and changes in market and
consumer preferences
2. Limited time in charge/authority
3.
Resistance
from
society
or
stakeholders
4.
Historical
heritage:
model
of
management – (bureaucracy), technical
and financial limitations, corruption and
etc.
Source: made by authors following Shanab, 2015; Hilgers & Piller, 2011, Mergel, 2016;
Gabryelczyk & Jurczuk, 2016; Kadarova & Demecko, 2016; Price Waterhouse Cooper, 2015.
Table 5. Summary of SWOT analyses: compare with results of expert interview
Internal factors
Strengths
Weaknesses
Theory (statement Practice (matches Theory
Practice
No. from Table 1) with
expert
opinion)
1; 2; 3; 4
1; 4
1; 2; 3; 4; 5; 6; 7
1; 2; 4; 5; 6
No additional insights from experts. Additional insights from experts:
different
practices
of
process
management implemented in the same
organization; different understanding of
the term process management;
Main findings from the expert Main findings from the expert
interview. Only 2 of 4 main findings of interview: 5 of 7 statements from
Strengths parts (from theoretical theoretical analyses correlated to the
524
research part) matches with positions
of experts.
Statement No. 1: answers of E1, E3 and
E5 most clearly described the strengths
of implementation of hybrid (integrated)
methods and Mass Customization
concept in public sector organizations.
They matched with statements No.1
and No. 4 from the theory at the same
time. E3 stated that an openness and
accountability to the society and
partners is the main driver and strength
of public sector in transformation period
from process oriented to peoplecustomer oriented organization. It is
also noticed that these features are
closely related to the time limit of being
in authority. Therefore, the public sector
enterprises are encouraged to seek and
show positive internal process changes
and, in this way, impact the opinion of
electorate before election period
Statement No. 4: E3 and E5 outline as
a strength the environment in which
non-profit organizations are acting: the
creation
of
public
good,
their
distribution or other related processes
are not based on revenue targets or
competitive advantage. In other words,
the limited competition in this context
might be as key factor which allows to
apply hybrid (integrated) methods
without concern of financial lost or
negative changes in market position. In
contrast, this condition allows to use
mentioned methods as compulsory and
seek Mass Customization as primary
strategic goal.
positions of the experts in the context of
Weaknesses.
Statement No. 1 and No. 2: answers of E1,
E2 and E5 have a focus to practices of
internal process management in public
sector as main weakness in the context of
research. Such procedures like internal
planning, control or implementation of
activities are considered as dominant both
on daily operations level and strategic
level. While E3 claimed that lack of
process standardization within this sector
are affecting negatively and limiting the
usage of Lean tools and system. In
addition, should be mentioned an
additional insight from the E4 - different
practices of process management which
are implemented in the same organization
as well as different understanding of the
term process management might have a
negative effect to the quality of process
transformation or partly improvement.
Better quality of process improvement
might be gain by, firstly, dividing all
activities into separate, small activities
and, secondly, implementing a Root
Cause analyses or other Lean tools to find
main problems or links to their source.
Statement No. 4: E2 and E3 have similar
positions about Technology (Innovation)
culture, Change Management and overall
organizational maturity level in non-profit
organizations. At this point, without a few
exceptions, it is not enough and missing
implementation of best private sector
practices or share knowledge sessionsmeetings.
Statement No. 5: E3 are seeing and
agreeing with theory that communication
and information systems plays a crucial
role in modern organization and should be
a primary focus area of development for
the public sector enterprises. It allows to
525
have a well-organized, client oriented and
customized service.
Statement No 6.: E2 also talked about
leader role and its need in period of
changes. This expert argued that weak
leader or wrong example of leadership
might lead to the failure or delay of project.
Building competencies of internal leader
or hiring new, highly skilled external leader
might be solutions for better usage of
hybrid (integrated) methods and overall
Mass Customization.
External factors
Opportunities
Theory
Practice
1; 2; 3; 4; 5; 6
3; 4; 5
Additional insights from experts:
leading to the better level of quantitative
indicators in process;
employee
engagement and involvement to
processes.
Main findings from the expert
interview: Half of main findings of
Opportunities part (from part of
theoretical research) matches with
positions of experts.
Statement No. 3: all the five experts
agree with the statement that
implementation of hybrid (integrated)
methods and Mass Customization
should lead to a better cost
management, quality improvement and
overall process improvement. E2 and
E5 outlined the positive effect of Lean
methods and principles at this point –
for example using modified Shewhart or
Deming cycle give an opportunity to
create much more strict, standardize
process without less number of
deviations or ad hoc situations. In
addition, using the combination of
Kanban and Scrum – Scrumban - leads
to optimization the planning and
Threats
Theory
Practice
1; 2; 3; 4
1; 4
Additional insights from experts:
possible need of additional resources (IT,
financial, human resource - expert).
Main findings from the expert
interview: Half of the main findings of
Threats part (from part of theoretical
research matches with positions of
experts. Here should be mentioned that
possible threats were closely related to
existing weakness and has no clear
boundaries.
Statement No. 2: limited time in
charge/authority was mentioned by 3 of 5
experts – E2, E3 and E5 outlined this
aspect. Well know situation in Eastern
Europe political system – rapidly changes
of political power – affects the possibility
to implement changes in process and/or
project management.
Statement No. 3. E2 express a position
that new management methods and ideas
might be blocked both directly and nondirectly by society or stakeholders. All
kinds of resistance are identified in
transformation period within organization
526
implementation procedures. While E4
indicated the possibility to save
numbers of Full Time Employee (FTE)
at this point – process analyse via Lean
tools leads to implementation of BPM or
robotic.
Statement No. 4: E1 and E2 emphasis
the effect of service agility and flexibility
reached by implementation of Mass
Customization. It is closely related to
findings from theory, which are showing
the concept of Mass Customization as
main tool for better quality of service,
agile and time-flexible supply chain.
Statement no. 5: E1, E4 and E5
mentioned
Standardization
and
Customization as most valuable
opportunity which might become a real
strength using mentioned combinations
of Lean and project management tools.
Method of TWI was outlined as best
practice from private sector to follow in
cases of process or/and project
management
standardization
and
documentation. On the other hand, E3
express a doubt of high numbers of
initial costs to transform the existing
process and fully implement the
concept of Mass Customization. At this
point, additional insights came from E4
and was related with the effect to the
employees of implementation of Lean
and BPM– it gives an opportunity for
employee to be more engage in
decision making process, express their
opinion and create more open and
collaborative type of microclimate in
organization.
Source: made by authors .
but in cases of public sector this should be
considered in wider context. In summary,
all the experts agree with idea that
changes should be implemented in
accordance to principle of step by step,
firstly, starting with a Root Cause Analyse
of main process wastes and deviations.
Secondly,
actions
of
corrections
recommended to be planned in a short
term due to mentioned limited time in
decision making position. Some of
additional insights were based on
additional resources (IT, financial, human
resource - expert) need to start and
implement all planned activities in
transformation period.
In summary, the comparative analysis based on SWOT tool above showed the main
matches and mismatches in the context of Hybrid (integrated) methods and Mass
Customization: biggest matches (72 %) are identified in field of internal obstacles and
527
issues which might influence the implementation, while in field of these elements positive
strengths or external environment and related opportunities and threats matches
indicator was 50 %. In addition, the experts pay attention to such internal process
management aspects like: different practices of process management, which are
implemented in the same organization or semantic understanding of term process
management. From the perspective of the future, employee engagement and
involvement to processes improvement has been mentioned as an opportunity in the field.
The main threat seen by the expert and not outlined in theory was a possible lack of IT,
financial and transformation process expert. In conclusion, the main findings from the
expert interview in relation to possible process transformation model can be summarized
in the Table 6.
Table 6. AS-IS and TO-BE of process management and transformation in public sector.
AS-IS
TO-BE
Primary focus on long term run and Primary focus on short term-Agile sprint
strategic goals
type of run and milestones
Based on non-profit activities: creation and Based on non-profit activities + better
distribution of public goods and service employee engagement and customer
(process-oriented organization)
(society) satisfaction level (peoplecustomer oriented organization)
Process
standardization
and Process
standardization
and
documentation is oriented to process documentation is performing in parallel to
continuity
process/product improvement for better
process/product customization
Problem solving
Root Cause Analyses before Problem
solving
Solid, End to End (E2) type of processes
Diveded and separated, partial outsourced
type of processes
Source: made by authors, based on insights of interviewed experts .
A conceptual model
Theoretical and practical analyses confirmed the idea of combination and usage of the
hybrid (integrated) methods in process management both in private and public sectors.
It also showed that application of Lean, Agile and BPM methods or its principles has a
positive impact on organizations which are in transformation period and switching the
process and other activities to Mass Customization. Therefore in the initial phase a
conceptual 3 steps model at this point can be used (Figure 2).
528
Figure 2. The conceptual 3 phase model of process transformation.
• Methods in use:
• Value Stream
Mapping
• Root Cause
Analysis
Collecting, Analizing
and Filtering
personalized data
about customer and
product/service
Building a knowledge
about customer and
product/service
• Methods in use:
• 5 Whys
• Fishborn-Ishikawa
• Simulation model (in
testing environment)
• Methods in use:
• Value Stream
Design
Improvement and
creation of selective
product/service
Source: made by authors.
The model above can be best used in cases of solving process management related
constrains. At this point, especially in cases of public sector organizations, is also
necessary to take into consideration such common factors-issues like complicated and
non-standardized working instructions, missing understanding and analyses of their
customer real needs and touchpoint, and/or poor process coordination across functional
groups. In cases of following described 3 steps model, first of all, implementing a
standardization of all work procedures with Training Within Industry (TWI) method should
be done. Afterward, first step of model can be implemented: starting with using traditional
and simple process flow tool – flowchart and later adding more relevant details by Value
Stream Mapping. A Root Cause Analyses (RCA) with integrated 5 Whys or FishbornIshikawa diagram should be used in first and second phases to identify the main reasons
or sources of process deviation or bottlenecks (Danese & Manfè, 2017; Singh & Singh,
2013; Helleno et al., 2015; Wolniak & Skotnicka-Zasadzien, 2014). Process improvement
based on these results and focused to the better processes and customer touchpoints
understanding and transformation if needed can be reached by implementing a hybrid
method of Value Stream Mapping and Design methods and simulation model (for
example using ARENA-Rockwell Automation software). In addition combination of VSMVSD and simulation model in so called testing environment can help to maximize the
effect of planned process, identify the last bottleneck and places for improvement before
implementing changes in real (production) environment (Atieh et al., 2016). In
background, working and implementing needed actions under restrictions of 2 weeks
sprint (from Agile concept) and 5 activities in Doing phase (from Kanban tool) lets
reducing numbers in backlog list and set the right priorities (Matthies, 2018).
Conclusions
529
Implementation of Hybrid (integrated) methods in public sector leads to collaborative or
interactive public value creation and open innovation mind-set, which gives a possibility
to respond in a right manner during the periods of market changes and build customer
oriented and knowledge-driven business model. Important to mention that it also does
not depend on a organization type (process or project oriented) or functioning area
(private and public sectors). From the perspective of modern organization practices,
there is a need to mention the consolidation of Agile as a project management concept,
Lean as process management optimization techniques and Robotic Automation like
overall development tendencies in the market. These combinations called as a new
hybrid approach triggers the synergy effects and brings process management to a higher
level. From the holistic point of view, it can be stated that the concept of mass
customization follows next and is a result of integration of the mentioned separate
process and project management concepts, but with a direct focus to create a customer
centric approach in organization. Practical field study shows that there are open fields
and possibilities to implement the best practices and principles of process improvement
and Mass customization from private to public sector organizations. Before implementing
the conceptual model taking into consideration and dealing with obstacles like lack of IT
and financial resources and professional communication and leadership skills as well as
not sufficient knowledge of Change and Risk management are necessary. Based on
results of theoretical and practical research the authors suggest to follow the conceptual
model of 3 phases, which might be used as initial guidelines for the public sector
organizations seeking to transform process in short period run.
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Author’s profile
Full Name and Job Title of the First Author: dr. Agota Giedrė Raišienė, professor at
Faculty of Public Governance
Your Institution: Mykolas Romeris university
Your Full Address: Ateities 20, LT-08303 Vilnius, Lithuania
Email: agotagiedre@gmail.com
Full Name and Job title of the Other Author: Gedas Baranauskas, Master of Business
Administration in Project Management
Institution: Junior Project Manager at Alternative Sales Channel ERGO Insurance SE
Full Address: Geležinio vilko str. 6A, LT-03507 Vilnius
Email: gedas.baranauskas@yahoo.com
533
In Between Ha-Ha and Aha!: Designers' Humor as a Way of Creativity in Group
Innovation Experience
Chunfang Zhou
Aalborg University, Denmark
Email: chunfang@plan.aau.dk
Abstract
This paper will explore how the designers perceive roles of humor in developing creativity in their
group innovation experience; a particular focus on the interplay between Ha-Ha and Aha! and a
creative climate will be highlighted. Theoretically, it will take a departure of social-cultural theories
regarding creativity as a situated-based activity that also brings together humor and design in one
framework. Empirically, interviews were carried out with a total of 26 young designers in two
cultures of China and Denmark (n=13 from each culture). The data analysis leads to the following
findings that the designers think: 1) all humorous people are creative and they are welcome in design
project groups; and 2) humor as not only a personality or communication tool but also the outcome
of applying creative ideas to design practice. Meanwhile, this study also reveals cultural differences
of humor: Danish designers think being humorous aids individual involvement in group work and
that humor itself can be a kind of creativity, while Chinese designers think humor is mainly used to
maintain harmonious individual relationships with the group and that humor is instantaneous, a oneoff ability of using language creatively in ongoing communication contexts. The findings contribute
to unpack the black box of humor from a designers’ perspective, cross-culturally, and as a
contribution to joint studies on humor, innovation, creativity and design in the future.
Keywords: Creativity, Humor, Design, Group Innovation, Cross-cultural study
Introduction
Creativity is evident in many human activities that generate new and useful ideas, including scientific
discovery, technological innovation, social innovation, and artistic imagination (Thagard, & Stewart,
2011). Design is, undoubtedly, a creative activity. Designers contribute to finding solutions and
developing products in a very creative way. Initiative, resolution, economic insight, tenacity, optimism
and teamwork are qualities that stand all designers in good stead and are indispensable to those in
responsible positions (Pahl, Beitz, Feldhusen, & Gorte, 2007).
Research suggests that creativity can be explained partly by personality characteristics but also by
situational variables related to changing or enhancing affective states, which leads to options that
consider the interaction of personal and situational variables, as evidenced through the classic
interactionism approach (Amabile, 1996). This approach has been discussed much within a
framework of social-cultural theory and a systematic view to creativity has been suggested in
previous studies, such as in Zhou (2012), which also increases the interests of educational
researchers on the links between learning, teaching, curriculum design, students’ creativity, and
creative climate development (Craft, 2005). This approach also has been developed in research of
534
diverse contexts including both organizations and educational institutions (Zhou, 2012) by locating
it in theoretical frameworks of management (Huy, 2005), learning (Craft, 1995), and economics
(Sternberg, O’ Hara & Lubart,1997).
Having fun and to be playful are good reasons to be creative in certain learning processes and
innovation environments. According to Zhang (2005), humor is the intentional use of verbal and
nonverbal behavior to elicit laughter, pleasure and delight and it is identified as an immediacy.
However, humor is not always supportive of positive learning. Appropriate forms of humor are
required for creative learning (Wallinger, 1997), humor that helps to build connections between the
humorists and other persons (Zhang, 2005). This usually involves accompanying experience of ‘HaHa’, the laughter as a sign of enjoyment, arises in the context of glimpsing an unexpected moment
with exhilaration (Parse, 2002). This also involves another accompanying experience that is often
called ‘Aha!’ experience, which has been considered by many either as definitive an insightful
solution or as the clearest defining characteristic of insight problem-solving (Shen, et al., 2016). Thus,
laughter represents a form of emotional release that comes from the juxtaposition of paradoxes (Huy,
1999).
Given the above, this paper focuses particularly on designers’ perspectives on humor in creativity
development in their group learning and innovation experience. The study involves 26 young
designers, two universities and two cultures - 13 students from Northeastern University (NEU) in
China and 13 from Aalborg University (AAU) in Denmark. Qualitative interviews were carried out,
followed by data analysis, centered on the research questions: 1) How do young designers perceive
humor in relation to their creative design experience in group learning contexts? and 2) How can we
understand humor as a culture-related conception according to designers’ creative learning
experience in China and Denmark? Based on our findings, this study cross-culturally contributes to
the interplay between humor, creativity, learning, design and innovation theoretically, empirically and
methodologically.
Understanding Design and Creativity, and Humor
The literature has many interpretations regarding design as a creative activity (Pahl, et al., 2007).
For example, Gero (1996) said that design can be conceived as a purposeful, constrained, decisionmaking exploration and learning activity. Decision-making implies a set of variables, the value of
which has to be decided. Searching is the process commonly used in decision-making. Exploration
is akin to changing the ways of thinking problems within restructuring of knowledge. Designers
operate within a context that partially depends on their perceptions of purpose, constraints and
related contexts. These perceptions change as designers explore the emerging relationships
between putative designs and the context and as they learn more about possible designs.
Designers operate as problem solvers in the sense they have to solve “open-ended problems”,
employing creative thinking, problem solving, goal setting and interaction. If this is done in teamwork,
participants influence each other’s constructive process by influencing, asking questions, arguing
and agreeing and so on. When designing as part of a group, the same processes are activated.
Designers find and refine problems, test and evaluate, develop and share creative ideas as a part
535
of problem solving. They are then involved in decision-making, communications and co-ordination.
This may create motivation and commitment or the opposite. It depends on the organizational
climate – the behaviors, attitudes and feelings characteristic of life in that organization. This
constitutes the psychological process of learning. The concrete creative design process and its
development are consequently influenced by the context and culture in which they are situated.
Interplay between Humor and Creativity
When humor stimulates a positive emotion, it can lead to a momentary expansion of the thoughtaction repertoire. It therefore follows that such an expansion could lead to a greater sense of selfefficacy in dealing with specific problems or stressful events (Vilaythong, Arnau, Rosen, & Mascaro,
2003). So humor is a key element influencing or reflecting a creative climate (Romero & Cruthirds,
2006). As underlined by Teslow (1995), laughter in the learning context opens paths of
communication, loosens fixed positions and can enable students and teachers to perceive ordinary
information in unusual patterns and connections. We believe that liberating laughter, the response
to a joyful emotional experience (as opposed to the punishing laughter that generates frustration
and inappropriateness), can be a mark of or means to a positive and creative learning environment.
Fredrickson (2001) argued that people see positive emotions as a signal that their environment is
safe and respond to this signal by being more exploratory and playful, thus allowing their minds to
become more creative. Humor has also been argued to be an attention-gaining strategy (Teslow,
1995). The most general description of what is required to gain attention is the presentation of a
sudden change in stimulation, an arousal. Interestingly, suddenness is an important aspect of humor,
as all theories of humor place importance on sudden, unexpected changes or cognitive shifts (e.g.,
being caught off guard, or noticing a verbal or visual incongruity) (Morreall, 1983).
Florence (1993) saw humor in itself as a form of creativity. As Wallinger (1997) discussed, seeing
the humor in a given situation requires the ability to view it in a different light, to reassemble aspects
of it from a different point of view. This skill is also required of those who demonstrate creativity and
humor, creativity and intellect often go hand in hand. Humor and playfulness, for example, are
proposed as a common factor of creative climate in Ekvall’s research (1996) - “the perceived ease
and spontaneity, a relaxed atmosphere with laughter and jokes”.
Understanding Ha-Ha and Aha!
Briefly, Ha-Ha means when fun is found that therefore fosters a kind of positive mood. At the
individual level, fun as an emotional state and process relates to the motivated search for pleasant
experiences and aesthetic appreciation, and this constitutes another trait of emotional intelligence
(George & Zhou, 2007). At organizational level, fun and laughter have also been argued as
necessities in workplace; they grow joyfulness and enjoyment that may help to attract new
employees, reinvigorating veteran employees, strengthening co-worker bounds and sparking
creativity and climate for innovation. Laughter opens our energy channel and places us directly in
the present moment, where memories of the past no longer burden us, and speculations about the
future seem irrelevant (Steven, 2004). Thus, when Ha-Ha happens, it usually releases oneself and
informs other people that all is going well and the environment is unproblematic, thereby prompting
looser, less systematic, and less effortful information processing; greater use of integrative top-down
536
strategies, simplifying heuristics, schemas, and scripts; and more expansive, divergent thinking,
novelty, and playfulness (George & Zhou, 2007).
Some studies have discussed that Ha-Ha relates to a humor context (Garner, 2006). As mentioned
by Cornett (1986), laughter’s relaxation possibilities have direct relevance for many stressful school
situations, such as test taking. Using a couple of humorous items on the test, casual joking with
students right before the test, and structured student-led joke sharing before the tests or at breaks
during long tests are tension-reducing techniques teachers can use. Birch and Clegg (1995)
regarded Ha-Ha as a kind of creativity in humor and as an unexpected combination of events where
normal relationships are abandoned. Southam and Schwartz (2004) highlighted the roles of laughter
and humor in facilitating students’ learning in occupational therapy education. They pointed out that
studies on brain chemistry indicate when humor and laugher happen, the endorphin release, which
many facilitate such good feelings in a person that he or she will continue to seek this ‘high’ through
future creative efforts. Also, individuals in an ‘up’ mood tend to be more creative problem-solvers
and an increase in bonding among group members is seen. To be a creative thinker requires more
than knowledge; it requires an attitude or outlook that encourages manipulation of information for
new possibilities. The use of humor and laughter allows participants to try various ideas, see new
patterns and connections, and possibly to come up with something unique (Southam & Schwartz,
2004).
As we know, a paradigmatic example of the ‘Aha!’ experience in the history is Archimedes’ ‘Eureka!’
Archimedes ran home from the baths naked shouting ‘Aha!’ or ‘Eureka!’ when he had worked out
the solution to the ‘Golden Delicious’ problem (Shen et al., 2016). Accordingly, ‘Aha!’ is an inspiring
moment and an emotional expression of the unpredictability of creativity. Gero (1996) described that
creativity is involved with the production of an unexpected result through the confluence of two
schemas. The first schema provides a set of routine expectations; the second schema is needed to
understand the unexpected result. This also has been highlighted by Parse (2002): Aha! indicates
the discovery that arises in journeying with unfamiliar through creative conceptualization and formal
research. Creatively conceptualizing is synthesizing through dwelling with ideas and crafting anew.
Formal research is rigorous adherence to a qualitative or quantitative design with the goal to
understand lived experiences or causal and associative relationships. The Aha! is a surprise find,
not forced. It springs forth in the wake of calm-turbulent drifting with an availability to see the
possibilities. In addition, happiness is the most typical psychological feature, whereas the feeling of
ease is the closest cognitive characteristic of the ‘Aha!’ experience (Shen, et al., 2016).
Furthermore, ‘Aha!’ comes with the moment when the emergence of creativity happens. As Tosey
(2006) described that emergence involves unpredictability, new forms coming out of apparently
disconnected, even irrelevant, thoughts and sensations, and an inability to force or control the
outcome, it does not seem to be a completely random thing. So Gero (1996) suggested emergence
allows for the introduction of new behaviors and new functions and it is the equivalent of a creator
refocusing his or her attention and / or reinterpreting the results of his or her actions so far. Similarly,
Tosey (2006) emphasized emergence denotes the process though which novel ideas, social forms
and patterns of behavior arise in an uncoordinated why though human interaction. It is a powerful
concept that can help us consider how creativity happens in practice. In this sense, Sawyer (2003)
537
argued that creativity is an emergent process that involves a social group of individuals engaged in
complex, unpredictable interactions. Briefly, ‘Aha!’ is a hint of emergent process transforming implicit
ideas to an explicit discovery.
Humor as Being Cultural-Dependent: Chinese Humor and Danish Humor
Humor, like creativity, is also cultural-dependent. As Zhang (2005) suggested, although the cognitive
and psychological processes of humor mechanisms are fundamentally similar across distinct
cultures, cultural expectations and preferences largely color the perceptions, interpretations and
evaluation of humorous incongruities and arousals in content, target and style.
According to the literature (Yue, 2010), humor was first documented around 2500 BC in China when
the first Chinese poetry and literature appeared. Traditionally, humor was used in a rather latent,
suppressed manner in Chinese culture. For example, the poet Quyuan aptly described the
traditional Chinese concept of humor as deep, remote and silent. From a historical perspective,
Chinese humor has mostly consisted of telling jokes and performing funny shows. Humor has
traditionally been given little respect in Chinese culture - Confucius once ordered the execution of
humorists for having given an “improper performance” before dignitaries in 500 BC. Lin Yu-tang
translated the term ‘humor’ in the 1920s and it has become increasingly popular in China. During
the ‘Cultural Revolution’ (1966-1976), however, humorists of various kinds were criticized and even
prosecuted. Since the 1980s, humor has been rehabilitated as an important element of creativity,
personal charisma and social harmony. However, humor has rarely been studied in China.
As with Chinese humor, the specificities of Danish humor are often mentioned in humor research,
but seldom explained in depth in studies written in English. In a study by Lundquist (2014), Danish
humor (as used in professional settings) is judged as ironic, self-ironic, sarcastic and direct, with no
limits or taboos. Danish people have a low degree of gerontophobia, the fear of being laughed at.
These ideas might be related to the Danish philosopher Kierkegaard, who integrated humor and
irony as significant components in his philosophical system. He discussed irony in his dissertation,
On the Concept of Irony With Constant Reference to Socrates (1841) and later incorporated irony
in his writings, to distance himself and undermine his own authority as an author, placing
responsibility for the existential significance derived from his texts squarely on the reader. The point
of placing responsibility on the individual is in line with the individualism that is often seen as a
characteristic trait of Danish national culture (Lundquist, 2014).
The lack of research on humor in both China and Denmark highlights the need for a cross-cultural
study and especially the consideration of designers’ perceptions on humor in their learning
experience and their interplays with Ha-Ha and Aha! that may provide conditions of an exploration
of deeper insights. In this sense, this paper carried out empirical work by interviews with young
designers from both China and Denmark.
Research Method
As mentioned previously, the research context of this involved two universities – Northeastern
538
University (NEU) in China and Aalborg University (AAU) in Denmark. All participants (n=26) in this
study are young designers coming from student project groups in Industrial Design in their 7th
semester and group interviews were conducted (13 from 3 groups in Denmark and the same in
China).
All the interviewees were invited in the first instance and participated voluntarily in the interviews. A
capital letter (C or D) and a number (from 1 to 13) were used to mark each interviewee in data
collection. This means interviewees from China were marked from C1 to C13 and interviewees from
Denmark were marked from D1 to D13. Each interview lasted around 40 minutes and was recorded.
The interviews were semi-structured, allowing in-depth follow-up of initial responses to questions
asked by the interviewer. Many open questions were used to find out design students’ perceptions
on humor. These were, however, developed from the following main guideline questions:
a) In your project work experience, which kind of environment stimulates positive emotion for
developing new ideas?
b) Is there anyone who is very humorous working with you?
c) What is humor? Can you provide a personal definition?
d) In your daily life, how did you learn humor?
e) Do you like humorous people? Why or why not?
f) Do you think of yourself as a humorous person? If you are, on which occasions and how are
you humorous?
g) Do you think there is any need for humor in the study of design?
h) How do you think of the relationship between humor, emotion and creativity and learning?
All the interviews were transcribed as text. Then content analysis was employed, a process by which
the “many words of texts are classified into much fewer categories (Weber 29, pp.15)”. Categories
are usually derived from theoretical constructs or areas of interest devised in advance of the analysis
(pre-ordinate categorization) rather than being developed from the material itself, though referencing
the empirical data may in turn modify the categories (Cohen, Manion, & Morrison, 2007). The
conclusion or the new theory generated thus emerges inductively from the data collection and
analysis and appears as the final finding.
Designers’ Perception on Humor
In both cultures, young designers think that an open and flexible group facilitates individual creativity
and such a context also gives birth to humor and atmosphere of Ha-Ha. This is in line with
discussions in many previous studies, such as Cayirdag and Acar (2010) and Grissen (2008), which
emphasized that when group openness is encouraged, members may feel psychological safety in
a friendly environment where diverse group members are more likely to suggest novel ideas, criticize
others’ ideas, challenge the status quo, ask naïve questions or admit mistakes, because they lack
fear of ridicule or more subtle forms of interpersonal rejection (Zhou, 2012). We found in the
interviews that most interviewees in both cultures were satisfied with their group-working
atmosphere and the individual’s positive emotion was stimulated:
“I think it is good inspiration [of positive emotion], because we four have similar backgrounds
[in industrial design] and we are working on different parts in the project, but we know the
539
differences (between diverse parts) and the working processes. Sometimes we had some
new ideas to combine everyone’s work.” (Interviewee D6)
“We are working in a positive and open group. It means we all are very happy and every one
prepares for his [or her] job very well. We do not have many complaints that would kill most
of the creative ideas.” (Interviewee C2)
Group openness also encourages informal discussion, talk or chat and even social activities outside
project work. It then provides conditions for generation of humor - both Danish and Chinese
designers said humor occurred in free situations, such as in a supervisor meeting, group discussion,
during breaks and even on the way to library or canteen. Humor, from the design students’ point of
view, can be regarded as a tool for creating closer relationships with others, by making them laugh.
They think that responses to humor differ from person to person, as people have different reactions
to joking. And they agree that humor is an instantaneous phenomenon, which is always an
unexpected result of conversation. So sometimes the emergence of a joke, Ha-Ha, or funny
behavior changes the planned track of discussion, thereby generating unexpected creative ideas,
an Aha! moment:
“Just like [a case that happened] several days ago - we had the task of designing a slogan
for a restaurant. We were very tired of discussing the design plan, focusing on the good
appearance of handwritten words in the slogan. But we could not find a satisfactory solution.
Then one of us suddenly began to pretend he was eating very delicious food. He looked very
funny and made us all laugh happily. Then we realized we should move towards integrating
the feeling of delicious flavors into the design. Yes, this was stimulated by humor.”
(Interviewee C10)
As Gero (1996) suggested, emergence allows for the introduction of new behaviors and new
functions and is the equivalent of designer refocusing their attention and / or reinterpreting the results
of their actions so far. He also argued that creativity is involved with the production of an unexpected
result through the confluence of two schemas. The first schema provides a set of routine
expectations; the second schema is needed to understand the unexpected result. The unexpected
result can produce (or be produced) in a number of different ways such as humor. Meanwhile,
Sawyer (2003) found that collaborating groups have the key characteristics of emergence, forming
“collaborative emergence”, meaning novelty is a collective process and involving the dialogues
between actors and audience in a way of constructing the unexpected meaning. In this sense,
Sawyer (2003) suggested that creativity is an emergent process that involves a social group of
individuals engaged in complex, unpredictable interactions. Thus, to link these points and the
interview findings discussed above, this study provides the empirical evidence of emergence of
creativity from a humorous approach.
The designers in this study then addressed “healthy” humor, humor that should be harmless to
others and positive to their emotion and group atmosphere. In other words, they welcome pleasant
Ha-Ha when they laugh instead of ‘laughing at others’. They considered “a great sense of humor”
to be a charming personality trait or inborn gene in some people. Thus, in the designers’ eyes, not
all creative people are humorous, but all humorous people are creative. Accordingly, some of them
did not think they were good ‘creators of laughs’ or Ha-Ha in the group, but they were very good
540
‘laughers”. They also thought there should be a balance with serious work and inflexible atmosphere
- if humor brings too much leisure to group work, it will waste time, which destroys the group’s work
plans.
It was also very interesting to find that, in both cultures, supervisors like to express humor when
sharing with design students their experiences of how they dealt with learning challenges when
young. In such a way, the supervisors were behaving as “learning experts”. This was helpful in
stimulating the group dynamic and individual confidence when faced with difficult problems in project
work. We might indeed say that supervisors are fond of “acting as learning experts” through use
of humor in practicing supervision principles and encouraging design students in “letting go” and
“learning by hands-on experience”:
“He [the supervisor] used this way [humor] to facilitate us. He told us how he was foolish
when he was young and we were much cleverer than him. I think it [the supervisor’s humor]
is an important thing to get group work moving. This is also a reason that we like him”.
(Interviewee D4)
“He [the supervisor] joked with us saying when he first started to study design, he was like a
dancer whose feet were in chains. This inspired us to think freely, to be open to expressing
a designer’s ideas on the product.” (Interviewee C5)
The appropriate use of humor is beneficial to group creative work and to building good relationships
with others – something mentioned by designers in both cultures. And as young designers, the
interviewees thought humor should also be a meaningful designing style showed by their products.
In this sense, humor is the “outcome” of applying creative ideas to design practice, helping to
increase novelty of product and therefore attract more purchasers. “Humorous” design products
may also enhance public awareness, such as on sustainability, or deliver some positive social values,
such as loving others. So more precisely, humor, thus, in the minds of design students, is not only a
“communication tool” or “personality” but also a “social creative path towards well-being”. Both
Danish and Chinese students gave examples:
“If a product is humorous, it brings not only fun but also reflection on some topics that leave
a deep impression on the audience. Thus, humor can be a power stimulating others to
rethink the meaning behind the product itself. This means to design a humorous product is
much more than to design a point of laugh.” (Interviewee C7)
“I saw a product - a lamp. It was an expression of humor, I think, because its model is very
funny, but it tells people how to save electricity. So, it would be wrong to say this product is
only a joke.” (Interviewee D13)
So, as seen by designers, humor also involves their social responsibility. Humor becomes a
foundation for this. This means that industry basically needs “humorous designers” who have good
communication skills to build collaborative relationships with others for group creativity. It also needs
“humorous design products” that manifest creativity and embody designers’ social responsibility.
Thus, humor is an integral element of a designer’s life that must not be overlooked.
Humor as Being Cultural-Dependent among Designers
541
Both theoretical work and empirical evidence in this study suggest that humor is a culturaldependent concept. One of the differences in designers’ perception of humor between China and
Denmark is related to creativity of the ‘humorists’. As mentioned previously, in both cultures, the
young designers agree that not all creative persons are humorous, but all humorous persons are
creative. Chinese designers think if someone is humorous, it is mainly due to his/her excellent verbal
skills and creative use of Chinese language in ongoing conversation contexts. But Danish designers
think that a strong sense of humor is an instant ability to grasp a creative idea or look at something
from a different viewpoint with a comical result.
“It [Chinese humor] is a personal ability of using the language in expressing a special
meaning in the immediate communication or telling jokes stimulating laughs. So, humorous
people are mostly good at Chinese language.” (Interviewee C10).
“Someone who makes something very funny but with a positive meaning. He [a Danish
humorist] is very creative in finding something that the others have not noticed or he is very
imaginative in thinking about some problems differently from the others” (Interviewee D13).
In other words, Chinese designers think humorous people are creative in making a new form of
discourse, while Danish designers emphasize that being humorous means seeking for a new
content/reason of fun. Such a difference may be helpful in understanding the points discussed in
one of Chen’s early studies (1982), where he said Chinese jokes, from their very beginning, tried to
express both “denial humor” (critical of reality) and “complimentary humor” (complimentary of reality),
which is different from the “pure humor” expressed by Western jokes (just making people laugh). So
Chen (1982) suggested that Chinese humor places great emphasis on “expressive subtleness and
appreciative delicacy” and as such, Chinese jokes tend to be highly dialectic and aesthetic. We
might therefore also expect Chinese jokes to make great play on words. As Lee and Ang (2003)
pointed out, word suggestiveness can be particularly relevant in ideographic writing systems such
as Chinese. In the English language, the mental code for verbal material seems to be phonological,
while in the Chinese language, phonemic information is used much less. Instead, Chinese
characters seem to be encoded visually and mapped on meanings directly. So a new meaning for
a Chinese word relies on a new semantic association between words. This suggests that Chinese
jokes are made more accessible to the audience, if the jokes are able to bring word suggestiveness
of fun in delivery of newer meaning.
In comparison with Chinese designers, Danish designers think humor itself can be seen as a kind
of creativity. This provides evidence for previous theories (Florence, 1993; Wallinger, 1997; Torrance,
1970), as discussed earlier in this paper. As creative behavior involves much more than developing
funny jokes, this further indicates that Danish designers locate “humor” in a broader scope than
Chinese designers, who mainly focus on a narrower sense of “verbal humor”. We might add that
Danish designers are more aware of humor in their daily life than Chinese designers. As Yue (2003)
argued, Chinese people have never lacked humor and have been highly productive and creative in
humor production and comprehension. Unfortunately, due to various cultural, sociological and
political reasons, the Chinese have been highly cautious, conservative and critical regarding humor
appreciation. There is a difference between China, which has developed a national culture of rigid
hierarchy from a traditional society and Denmark, molded into a pragmatic, egalitarian and
consensus-seeking society. As De Gruyter (2014) noted, work relations among Danes are typically
542
“Scandinavian” - organizations are horizontal, flat, with low power distance. He found that among
Danish people, humor, irony and self-irony are forms of humor easily accepted. This social
environment in Denmark lays the foundation for Danish designers having a broader comprehension
of “what humor means”.
Another difference between the designers’ perceptions concerns the aim of being humorous in
building a creative, group learning environment. Both Danish and Chinese designers agree that
humor can be a communication tool, contributing to building closer relationships with others. But
those Danish designers who thought of themselves as humorous said that humor served to allow
others get to know themselves better, to trigger a atmosphere encouraging group members to learn
from each other, or to share fun with others. For their Chinese counterparts, the aim of being
humorous was principally to maintain a “harmonious” relationship with others and avoid group
disagreements.
“Personally, I always give sufficient respect to the others. Sometimes I make critical
comments on others’ ideas but seldom use a joke. Group harmony requires us to have more
positive suggestions than disagreements with others.” (Interviewee C5)
This is in line with what has been much discussed in relation to differing influences of collectivism
and individualism on individuals’ behavior in group contexts (Goncalo and Staw, 2006). It is well
known that the traditional Chinese social system is a collective society, which is rather defensive and
discouraging of independence. It stresses the importance of social harmony that can be achieved
through compromise, moderation and conformity. So among Chinese designers, there is a greater
emphasis on meeting a shared standard so as to maintain harmony in one’s relationships to the
group (Kim, 2007). As group disagreements are not welcome, the high level of group conformity, at
times, is a killer of individual creative ideas. By contrast, in individualistic Danish group, people are
viewed as independent and possessing a unique pattern of traits that distinguish them from others.
Such groups may at times appear to be divisive, even unruly to the extent of increasing group
disagreement, delaying decision processes and decreasing creativity in the collaborative context
(Goncalo and Staw, 2006).
Implication for Fostering Creative Designers
Based on the results of this study, we now go on to reconsider, in a general sense, how to facilitate
the learning process of design students and teaching creative designers by integrating humor into
learning environments in the future.
Firstly, from a cross-cultural perspective, humor is better defined as being both cultural-general and
cultural-specific than by saying ‘humor is cultural-dependent’. Both Danish and Chinese designers
had many common views on humor, as well as different aims in being humorous and different
approaches to conceptualizing humor. Relating this to teaching design students, we might ask how
to use appropriate humor that will meet the common/diverse needs of intercultural student groups?
And how to use humor to help designers (in multicultural group contexts) overcome cultural shock
when engaging in group work?
543
Secondly, humor is an emergent phenomenon that may trigger development of creative ideas,
which might also generate emergence in group work. Along with fun, healthy humor gives groups a
more comfortable and enjoyable learning atmosphere, where design students spark creative ideas,
full of randomness, playfulness and imagination. This also brings more interplay between routine
and non-routine ways of thinking when problem solving and facilitates group engagement into
deeper learning. Thus, humor adds more positive value to the creative process and creative climate.
Consequently, in the learning environment, strategy should focus on learning process rather than
on outcome assessment.
Finally, for young designers, humor is regarded as one of the elements of designing products, rather
than as a personal trait, a communication tool or a way of having fun. This calls for humor to become
a part of learning culture in design education. Undoubtedly, humor is language-related. It involves
both a narrow sense of thinking language as a communication tool, as in the case of ‘verbal humor’
in China, and a broad sense of thinking language as a mind set in building a learning community, as
in the case of ‘funny humor’ in Denmark. So as teachers, how to better understand students’
“language of humor” (locally and internationally) and how to integrate humor into a foundation of a
creative learning community where young designers are stimulated by positive emotion in a
collaborative learning process, freely share creative ideas with peers and develop creative
products? Humor, in short, is set to be a key pillar of designers’ social identity and their social
responsibility, underpinning their social positions in developing creative industries. This calls for more
research into the links between design, creativity, learning and humor in the future.
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Author’s profile
Chunfang Zhou, Ph.D. Associate Professor in Department of Planning, Aalborg University (AAU),
Denmark. Chunfang finished her bachelor degree (on Industry Automation and Information
Engineering) and master degree (Philosophy of Science and Technology) in China, and Ph.D. on
engineering creativity and innovation in Denmark. Chunfang locates her research in the area of
Science, Technology and Society (STS), with a particular focus on creativity study and its relations
to technology design, group collaboration, knowledge management, Problem-Based Learning
(PBL), STEM education and innovation. She has done contributions to a cross-cultural study on
creativity between Denmark and China in her Individual Independent Research Project “Fostering
Creativity in Higher Education: A Comparative Study on Pedagogical Strategies of Learning by
Projects between Denmark and China”, funded by Danish Research Council, from 2013 to 2016.
She is the editor of the Handbook of Research on Creative Problem-solving Skill Development in
Higher Education, published in 2016, by IGI Global. Currently she is working on series editor of Arts,
Creativities and Learning Environment in Global Perspective with Sense Publisher, authored book
Engineering Creativity and Interacting Minds in Problem-Based Learning (to be published in 2018,
by Springer). She is member of research group Techno-Anthropology and Participation, member of
Danish Center for Health Informatics, member of Chinese Creativity Research Network, and board
member of Danish Development Research Network (DDRN).
546
Failure of recognition or implementation in innovation? A study on the
difficulty of manufacturing high grade steel products
Sungwoo Byun
KINDAI University, Japan
Email: byun@bus.kindai.ac.jp
Abstract
A firm is, fundamentally, an interpretation system (Lawrence and Lorsch, 1967; Galbraith,
1973) and organizations are boundedly rational (Simon, 1991). This study focuses on firms’
failure of recognition problem in innovation, especially when they introduce new
technologies. As an interpretation system, firms develops information filters for efficient
information processing, however due to those filters, firms sometimes hit roadblocks to
develop skills to use new technologies.
As a case study, this study elaborates on the difficulty of manufacturing high grade steel
products such as automotive steel sheets. Out of more than two hundred steel
manufacturers around the world, about twenty of them are producing automotive steel
sheets and when it comes to highest quality, only few manufacturers remain on the list.
Steel industry is one of oldest industry and its history is the history of importing and
implementing technologies, most of which are invented and developed in other countries
and continents. And there are not many suppliers of major facilities for steel manufacturers.
Then, we can ask an important question on this industry, “what makes those high quality
manufacturers different from others?”
Developing manufacturing processes can be a key competitive edge and a source of
innovation. However, not all firms are developers. Most firms "purchase" technologies and
upgrade toward high grade products by "integrating" processes. This study elaborates on
what makes process integration difficult, focusing on the recognition problem.
Keywords: technology recognition, information filters, process integration, recognition lag,
learning lag
1. Introduction
The interaction between the technology and the organization has been one of the key
issues in management literature. Researches on fitness between the organizational
structure and technology (Burns & Stalker, 1961; Woodward, 1965; Thomson, 1967),
mutual adaptation of the organization and the technology (Leonard-Barton, 1987) and
fitness between the product architecture and the organizational structure (Sosa, Eppinger
& Rowles, 2004) are good examples of how this research topic deserved various
546
approaches.
This paper introduces a new perspective on the interaction between the technology and
the organization, that is, firm’s recognition on technology. When a firm adopts new
technologies from outside, it should make choices among options available. And this
choice of technologies is the result of the firm’s recognition on adopting technologies. In
other words, a firm chooses specific technologies based on its recognition, and this
subjective recognition prefers certain technologies to other options. In this paper, we call
this kind of recognition or perception on technologies, ‘technology recognition’.
Discussion on organization’s recognition or perception on technologies are not totally new.
Christensen (1997) explained organization’s error based on assumption, using the concept
of ‘disruptive technology’. Incumbents usually focus on high-end technologies, ignoring
inferior technologies targeting low-end market with great potential of growth. The
fundamental reason why incumbents cannot recognize the threats of disruptive
technologies is the assumption that customers will prefer their superior (sustaining)
technologies. This kind of assumption is the failure of recognition.
Henderson and Clark (1990) also explained the failure of recognition as an important
reason why established firms fail to architectural innovation. We can also find the failure
of recognition in adopting new technologies in historical facts. Kamaishi steel work is the
first Japanese steel work who adopted western blast furnace. It started operation in 1880’s.
Japanese government at that time, Meiji government relied heavily on Western engineer
who knew the mechanisms of blast furnace operations. However, this early project failed
because of raw materials, coals which are totally different from materials of Europe. The
engineer did not scrutinize the quality of Japanese raw materials and thought European
operation rule can be applied to Kamaishi without any technological troubles.
2. Objectives
This paper has three objectives. First, we review the related concepts on technology
recognition and identify research gap. Second, we elaborate on the mismatches between
technology characteristics and firm’s recognition through the case study. Third, most
importantly, after explaining how those mismatches were corrected, we suggest two critical
lags, which are ‘recognition lag’ and ‘learning lag’.
3. Literature review
A firm is, fundamentally, an interpretation system (Lawrence and Lorsch, 1967; Galbraith,
1973) and organizations are boundedly rational (Simon, 1991). As an interpretation system,
firms develops their own information filters for efficient information processing, however
due to those filters, firms sometimes hit roadblocks to develop skills to use new
technologies.
Henderson and Clark (1990) stresses that organizations develop their own ‘information
547
filters’ to process overflowing information. Through information filters, organizations
identify which information is critical without taking long time and their tasks stabilizes
(Arrow, 1974; Daft and Weick, 1984).
For efficient and effective information processing, organizations develop those filters and
further experiences can make filters stronger. Starbuck and Milliken (1998) also introduced
similar concept called ‘perceptual filters’ and Shrivastava and Mitroff (1987) called it
‘OFOR(organizational frames of reference)’. We can find related literature in organizational
learning researches. Though they did not use the concept of some kind of filters, the
recognition problem hinders organizational learning.
Senge (1990) introduced ‘learning horizon’ as a dilemma of organizational learning.
Learning horizon implies the range of temporal and spatial distance. Within this range, one
can learn and evaluate the results of his or her own action. However, if the result of the
action can be evaluated only outside learning horizon, finding and learning causality
become extremely difficult and one cannot learn by trial and error approach.
Due to temporal and spatial distance, an organization makes myopic decisions. Levinthal
and March (1993) explained temporal and spatial myopia and constraints of organizational
learning.
Existent literature conceptualized the limits of organization, its roadblock in learning.
However, those researches lack the explanation on how a firm corrects its information
filters and what kind of process a firm should proceed to bring itself to right on track.
As a case study, this study elaborates on the difficulty of manufacturing high grade steel
products such as automotive steel sheets. Out of more than two hundred steel
manufacturers around the world, about twenty of them are producing automotive steel
sheets and when it comes to highest quality, only few manufacturers remain on the list.
Steel industry is one of oldest industry and its history is the history of importing and
implementing technologies, most of which are invented and developed in other countries
and continents. And there are not many suppliers of major facilities for steel manufacturers.
Then, we can ask an important question on this industry, “what makes those high quality
manufacturers different from others?”
Developing manufacturing processes can be a key competitive edge and a source of
innovation. However, not all firms are developers. Most firms "purchase" technologies and
upgrade toward high grade products by "integrating" processes. This study elaborates on
what makes process integration difficult, focusing on the linkages among manufacturing
processes and recognition problem.
4. Research form and methods
This paper uses a case study since research topic is exploratory and dynamic. Data has
been collected through field studies and multiple interviews with engineers (president of
548
steel works, top factory managers) over three years.
5. The difficulty of manufacturing high grade steel products
Steel industry is a typical example of process industry where chemical processing as well
as physical processing are essential to manufacture target products. Contrary to assembly
industry, such as automobile industry, electronics industry where a firm assembles small
parts to larger modules, process industry has very low visibility on operation. Facilities are
connected with interfaces, mostly pipes, and chemical processing happens continuously
inside containers.
The iron and steel industry has long been characterized by a tendency towards integration.
Each process seldom exists in isolation. Especially, to manufacture high grade steel
products, such as automobile sheets, coordination across whole processes are essential.
While more than two hundred ‘integrated’ steel mills exist, only about 20 of them can make
automobile sheets. And fewer can make high-grade automobile sheet, such as galvanized
steel.
Automotive steel product is one of high value-added products which require quite long
experience in steel manufacturing. Compared to other ‘normal’ grade and mass production
steel products, automotive steel products require controlling complex parameters across
multiple manufacturing processes.
A variety of product mix in automotive steel exists. It depends on the part of automotive to
decide what kind of automotive steel should be used. For example, major steel makers
are supplying ‘high tensile strength steel (or high strength steel)’ to automotive
manufacturing firms. High tensile strength steel products also have wide variations
according to technical specification such as chemical and mechanical contents. Chemical
contents generally include the portion of C (carbon), S(silicon), Mn (manganese),
P(phosphorus) and S(sulfur). And mechanical characteristics include (but not limited to)
yield stress and tensile stress.
Automotive steel manufacturing technology also has many different technology names
with own long history. To name a few, related technologies evolved from interstitial free
steel, bake hardening steel, dual phase steel, transformation induced plasticity steel to
high tensile strength steel. And with this development, tensile stress increased from
around 440 MPa (mega pascal) to more than 1500 MPa. And this was possible with
inventing innovative steel manufacturing technologies, for example, vacuum degassing
process, continuous casting (CC) and continuous annealing line (CAL).
Figure 1: The manufacturing process of automotive steel sheet(galvanized sheet)
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Process integration is essential to automotive steel manufacturing process. Figure 1
explains manufacturing process of galvanized steel sheet which is one of technologyintense automotive steel products. As noted previously, there are very few firms around
the world who are able to manufacture high quality galvanized steel sheet and supply to
major automotive manufacturing firms. NSSMC(Nippon Steel and Sumitomo Metal
Corporation), JFE steel in Japan, POSCO(Pohang Iron and Steel Company), Hyundai
Steel in South Korea and Arcelor Mittal in Europe are major players in this area, but their
process technologies have idiosyncrasies.
The key point is that to manufacture high quality galvanized steel sheet, those processes
cannot operate by themselves. Integrating whole processes should be done by a certain
team to monitor and control those processes. For example, NSC(Nippon Steel Corporation,
now NSSMC) had an ‘integrated quality technology team’ and sub-teams for each product
category.
To make the condition in which the steel sheet becomes easier to tightly tied together with
coating materials, other processes from converter(BOF; Basic Oxygen Furnace),
secondary refining, continuous casting to rolling(hot and cold) should work hand in hand.
More concretely, in steel making process(BOF, secondary refining and continuous casting),
chemical compositions need to be finely tuned and this calibration often leads to longer
processing time, more manual skills and even lower yield. Lowering processing pitch in
one of these processes can be recognized as a sacrifice, however they should understand
what the meaning of their sacrifice.
In the process of hot rolling and cold rolling, mechanical characteristics are calibrated for
galvanized steel sheet. Heating, reheating and cooling processes are extremely important
to decide the inner micro structure of steel sheet and physical rolling finishes micro
direction of tissue. In those processes also, each process members should watch what
kind of processing are required soon, changing production pitch and others. Galvanizing
process is not an exception. According to the customer’s requirement, productivity indexes
including production pitch can be under change.
Gerschenkron(1962) stressed that developing countries have merits to produce steel
products since in capital intensive industry like steel industry, knowledge and know-how of
production are already embodied in facilities. He called this merit ‘economic
backwardness’. Although there are merits for developing countries, this does not fully
550
explain why there are only few steel manufacturers who are able to produce high grade
steel products, and process integration through organizational coordination becomes the
key capability for that.
6. Capability building of Korean steel manufacturer POSCO
POSCO is the fifth largest steel manufacturer in the world as of 2016. In the same year,
POSCO produced more than 40 million ton of steel products and about 25% of them were
automobile sheets. POSCO just made 50th anniversary since it adopted steel making
technologies from Japan in early 1970s. In early years, POSCO’s products were mostly
normal grade products which had huge demand even outside Korean peninsula. However,
like other top steel producers, POSCO’s vision also moved up to manufacturing high grade
steel products which bring more profits.
Supplying steel products to Toyota motors in 2009 was definitely a sign of its high quality.
But it took more than 15 years to have process integration capability, as explained below.
Capability building for high grade steel products started with two major projects. The first
one was ‘Mega-Y-Project’ from 2003. In this project, basic members are the departments
who are related to manufacturing automobile sheets. Participants share production
information and communicate across processes. For example, members from steel
making department should communicate with members from galvanizing department on
what should be done in each process to manufacture target products. With the successful
outcome, POSCO enlarged the range of project to R&D and even marketing department.
The second project is the integration of two separate organizations, operating and
maintenance. Like other steel works, there has been stereotype that operators are
fundamentally different from maintenance personnel and this seemed reasonable
especially when considering huge size of steel works and its organizations. For example,
a blast furnace is a gigantic architecture with complex operating rules and its maintenance
knowledge requires years of experience. To accomplish process integration, POSCO
started operating and maintenance staff integration within each process from 2007.
POSCO expected that this integration effort could strengthen process integration too.
However, integration projects above started from early 2000’s which means that it took
more than 15 years since POSCO established ‘automobile specialized steel works’ in
Gwangyang, South Korea. And it is since 2009 when POSCO’s automobile steel sheet
sales exceeded 5 million tonnage. To explain this time lag, we will explain mismatch
between the characteristics of technology and POSCO’s technology recognition and then,
two time lags required for correcting this mismatch.
7. Technology recognition mismatching and its correction
POSCO imported and adopted steel making technologies and machineries from Japan,
and 400 Japanese engineers dispatched to South Korea as consultants. Japanese steel
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makers as a group provided services or advices on design, construction to operations.
When POSCO started adopting ‘new’ technologies, whole system was designed by Japan.
It is said that the first plant manager of iron making department of POSCO had no chance
to see a real blast furnace before. Now POSCO has more than 10 blast furnaces and other
lines as integrated mills.
While POSCO enlarged its capacity, patterns in selecting and implementing facilities can
be observed. First, as previously mentioned, the first line of facilities were totally Japanese
designed. However, from the second line, POSCO started mixing various facilities from
Japan, Austria and Britain. And most of selected facilities were the newest ones at the
time. Second, POSCO’s strength has been iron making process. In terms of capacity of
blast furnace and productivity(hot metal ratio), POSCO seldom lost the top rank.
With this strategy, producing normal grade products brought strong market leadership and
profits. But the same strategy did not work for automobile sheets because making high
grade products requires more than state-of-the-art facilities. Figure 2 shows the fitness
between recognition and technology. Broadly defined, steel manufacturing technologies
can be categorized into two. One is facility based technology that means purchasing
facilities modularly and connecting them can make normal grade products. The other one
is integration based technology. In this category, connecting facilities does not guarantee
performance, even if they are newest machineries. The key factor is process integration
across multiple manufacturing processes and also organizational coordination, making
cross-functional team, for example.
To recognize facility-based technology as so is accurate recognition. Modularly purchased
facilities can be connected each other although making interfaces can take time. And
through this technology, one can produce normal grade products. Recognizing integrationbased technology as so is also accurate recognition, although process integration itself
takes time to learn and build. But without experience and deep knowledge on processes,
it is not easy to have right technology recognition. There can be two mismatches between
technology recognition and characteristics of technology. If a firm recognize integrationbased technology as facility-based technology, it can make myopic decision, such as
depending on high performance facilities and newer ones. On the other hand, if a firm
recognize facility-based technology as integration-based technology, it can take
unnecessary cost and management burden.
One important reason of those mismatches is firm’s information filters. Filtering information
can give merits of efficient information processing but also demerits of recognizing
technology in wrong way.
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Figure 2: matching technology recognition with characteristics of technology
POSCO’s technological capability also grew up with its own information filters. When it just
started operation, POSCO did not have much experiences in iron and steel making.
Naturally, distinguishing facility-based technology and integration-based technology was
challenging, and higher grade products were not major target. However, when it moves up
to automobile sheets, POSCO approached with facility-based recognition, in effect,
mismatch were deepened(Figure 3- ). Correcting this mismatch requires two kinds of
time. The first one is ‘recognition time’, which means the time required for a firm to find its
present recognition is incorrect. The second one is ‘(re)learning time’, which means
learning the characteristics of technology in correct way. So if mismatches happen(
or
), firstly it will take recognition time, and then correcting mismatches to
or
requires relearning time. After mismatch was recognized, POSCO introduced major
projects though it took time to relearn.
Figure 3: Correcting the mismatches between recognition and technology
8. Discussion
553
This paper introduced a perspective on the interaction between the technology and the
organization, that is, firm’s recognition on technology. When a firm adopts new
technologies from outside, it should make choices among options available. And this
choice of technologies is the result of the firm’s recognition on technologies.
And technology recognition does not always match with the characteristics of technology.
Especially a firm without deep understanding on process integration can overly depend on
manufacturing facilities, not on integration across manufacturing processes and tight
organizational coordination. And an important reason is firm’s information filters. As a
result, correcting recognition mismatch requires two lags, recognition lag and learning lag.
Though existent researches conceptualized information filters and failure of recognition,
those literature lack the understanding on ‘after’ the failure of recognition and in that part,
we believe this paper can give little more implication.
However, this paper also has limits. The most important limit is measuring lag. Although
this paper suggested recognition lag and learning lag, measuring period requires strict rule
of measurement. And the second limit is that this paper did not define the difference
between information filters of incumbents and those of new entrants. Analyzing the
formation process of information filters might be fruitful.
References
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Acknowledgements
This research is supported by JSPS 17K03921.
Author’s profile
Author is a lecturer of Faculty of Business Administration, KINDAI University. His research
area is production management, technology management and supply chain management.
Before joining KINDAI, he worked for Manufacturing Management Research Center of the
University of Tokyo. His main industry is process industry which are steel industry,
chemical industry and brewery.
555
Valuation of intellectual capital and intangible assets created based on
innovative products and intellectual property
Niiaz M. Abdikeev
Financial University, Moscow, Russia
Email: nabdikeev@fa.ru
Abstract
The article discusses the evaluation of the value of intellectual capital and intangible
assets of the organization. Intellectual capital includes all the knowledge of the
organization. These are different types of knowledge, innovations, know-how,
knowledge possessed by the employees of the organization, the knowledge base of
the organization, the electronic network and the database based on it, this cooperation
with customers — all that allows you to respond to changes in the market situation
faster than competitors. That is, intellectual capital is a set of explicit and implicit
knowledge. The main thing is that this is the knowledge that the organization can turn
into profit. Intellectual capital is the result of the interaction of people with each other,
people and information resources, as well as people and elements of physical capital
in the production process. It is the result of past investments, but is forward -looking.
The assessment of intellectual capital is formed on the basis of the results of its future
use.
Intangible assets have a certain value for the company, although they have a different
form of presentation than physical objects. Some of the intangible assets were
recognized many years ago. These are patents, copyrights and trademarks.
Intangible assets include:
- market assets (service marks, product marks, trademarks, corporate name, business
cooperation,
licensing and franchise agreements, etc.);
- intellectual assets (patents, software, design rights, copyrights, trade secrets, know how, trademarks);
- human assets (education, qualifications, skills and abilities of employees);
- infrastructure assets (corporate culture, management concepts and management
processes, relationships, etc.).
The approaches to determining the cost of work on the creation of new technology,
such as regulatory, adaptive, program-target and program are considered. The method
of calculating the value of intangible assets created on the basis of intellectual property
and aimed at improving the technologies operating in the market, and the creation of
fundamentally new products or fundamentally new technology. This method of
calculating the value of intangible assets that are the result of innovative projects can
be used in determining the price of the contract for research and development. In this
557
case, its main component is the expected result of the sale of the created intangible
assets in the market. Thus, the method is a tool to stimulate performers to create
market-promising results of research and development work.
Keywords: intellectual capital, intangible assets, intellectual property, valuation,
innovation
Intellectual capital and intangible assets
Intellectual capital (IC) includes all the knowledge of the organization. These can be
ideas, different types of knowledge, innovations, know-how, knowledge owned by
employees of the organization, the knowledge base of the organization, the electronic
network and the database on its basis, this cooperation with customers — all that
allows you to respond to changes in the market situation faster than competitors. That
is, intellectual capital is a set of explicit and implicit knowledge. The main thing is that
this is the knowledge that the organization can turn into a profit.
Intellectual capital is the result of the interaction of people with each other, people and
information resources, as well as people and elements of physical capital in the
production process. It is the result of past investments, but is forward-looking. The
assessment of IR is formed on the basis of the results of its future use.
The intellectual capital, in L. Edvinson's interpretation (Edvinsson 2005), includes two
components. The first is human capital, i.e. the totality of knowledge, practical skills
and creative abilities. It is not the property of the company and is described in detail in
the economic literature. The second is structural capital such as brands, documented
business processes and everything that provides the performance of staff. Structural
capital is the property of the company. It consists of consumer capital (relationship
capital) and organizational capital. The structure of the IR in accordance with this
concept can be presented in the form shown in the table. 1.
Table 1.The structure of intellectual capital
Intellectual capital
Human capital
Knowledge of
employees.
Skills.
Creative ability.
Moral values.
Work culture.
More
Structural capital
Organizational capital
Technical and software.
Intellectual property (patents,
licenses, etc.).
Organizational structure of
the enterprise.
Management strategy.
More
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Consumer capital
Customer relations.
Customer information.
History of customer
relations.
Goodwill.
Brand (awareness,
loyalty, attitude).
More
Consumer capital is a set of established relationships with the entire environment of
the company, primarily with customers. Organizational capital-organizational
knowledge systematized and formalized competence of the company.
Their interpretation of IC suggested K. Sveiby (Sveiby 1997). He identifies the IC and
intangible assets (IA). However, there are other interpretations of these concepts,
since the question arises of their identity: "Are all intangible assets knowledge and
able to benefit from their use?". The balance sheet measures and sums the value of
individual resources of the company, and the market considers and evaluates the
company as a whole. Moreover, there is already a synergetic effect when the sum of
the properties of the constituent parts is less than the properties of the system as a
whole. Therefore, the cost of the whole must exceed the sum of the costs of its
elements.
Intangible assets have a value for the company, although they have a different form of
presentation than physical objects. Some of the IA was recognized many years ago.
These are patents, copyrights and trademarks. However, only a few companies have
tried to give a monetary evaluation of Intangible Assets.
Intangible assets include:
- Market assets (service marks, product marks, corporate name, business cooperation,
licensing and franchise agreements, etc.));
- Intellectual assets (patents, software, design rights, trade secrets, know -how,
trademarks);
- Human assets (education, qualifications, skills and abilities of employees);
- Infrastructure assets (corporate culture, management concepts and management
processes, relationships, etc.).
The scheme of the IC by K. Sveiby contains three elements: the competence of the
employees (human capital); internal structure; external structure (customer capital,
and relationship capital). The competence of employees is the ability of people in the
organization to act in different situations. It includes teaching, skill, education,
experience, social skills, etc. The competence of employees creates internal and
external structures. The internal structure consists of goals, objectives, models,
technologies, information systems, etc., which are owned by the organization. It
includes business strategy and concept, process knowledge, patents and all
information stored and implemented in computer systems. It provides the staff of the
organization with the ongoing support they need to carry out their work.
The external structure consists of links with customers and suppliers, competitors,
brands, reputation. An external structure is a relationship with suppliers, stakeholders,
partners, and customers.
Methodology of the Research
559
Approaches to valuation of intellectual capital.
If IC is put in a row with other factors of production, there is a problem of its estimation.
Traditional methods of economic valuation and measurement, based on the principles
of accounting, have ceased to be adequate to the conditions of today. For example,
traditional accounting practices treat a trademark as an intangible asset that, by
analogy with a tangible asset, loses its value in the course of its use and transfers its
value in parts to a manufactured product. In this regard, Intangible assets are
accounted for according to the same rules as tangible assets, depreciation rates are
applied to them and their write-off is made. At the same time, the trademark or brand
in the process of their exploitation not only does not lose its value, but, on the contrary,
it is often increased. Moreover, many elements of intangible assets are not reflected
in the balance sheets, including connections with consumers, staff qualifications,
knowledge base, etc.
Such researchers of knowledge-based economic intellectual capital as L. Edvinsson
(Edvinsson 2005), K. Sveiby (Sveiby 1997), M. Malone (Edvinsson, Malone 1997), T.
Stewart (Stuart 1999), E. Broking (Brooking 2001) and others have developed a
number of methods to assess intellectual capital.
In particular, K. Sveiby identifies 26 methods of valuation and measurement of
intellectual capital, grouped into four categories:
1) methods of direct measurement of intellectual capital (Direct Intellectual Capital
methods — DIC). It is based on the identification of intellectual capital and the valuation
of the monetary values of individual assets or components of intellectual capital, after
which the integrated assessment of the intellectual capital of the company;
2) methods of market capitalization (Market Capitalization Methods — MCM), when
calculated the difference between the market capitalization of the company and the
equity of its shareholders. The obtained value is regarded as the value of its intellectual
capital or intangible assets;
3) methods of return on assets (Return on Assets methods — ROA). The ratio of the
average income of the company before taxes for a certain period to t he material assets
of the company — ROA of the company — is compared with the same indicator for the
industry as a whole. To calculate the average additional income from intellectual
capital, the resulting difference is multiplied by the tangible assets of the
company.Then, by directly capitalizing or discounting the resulting cash flow, you can
determine the value of thecompany's intellectual capital;
4) scoring methods (Scorecard Methods — SC). Various components of IA or IC are
identified; indicators and indices are generated and recorded in the form of scoring or
as graphs. The use of SC-methods does not imply a monetary valuation of intellectual
capital. These methods are similar to methods of diagnostic information system.
All known methods of IC assessment are divided into four categories listed. It should
be noted the relative proximity of DIC - and SC-methods, as well as MСM and ROAmethods. In the first two cases, the movement comes from the identification of
individual components of IC, and in the remaining — from the integral effect.
560
None of the methods meet all objectives of the evaluation, so the choice methodically
capital depends on the task and situation. For example, to study the company is usually
most suitable methods of scoring and methods of direct measurement of intellectual
capital.
In order to extract value from intellectual capital, organizations need to manage
information flows between different types of capital that make up intellectual capital.
The purpose of management of the intellectual capital of the enterprise is to achieve
the maximum result from its use while minimizing the cost of its development.
The problems of efficient use of IC and IA are usually left out of management activities,
as in domestic enterprises are mainly solved only the problem of accounting for such
assets. This is due, in particular, to the lack of development or absence of the methods
to assess the effectiveness of the IC management system, as well as the effectiveness
of its creation and use.
Evaluation of the effectiveness of the management system intellectual capital is the
calculation of a set of indicators. This is because the process of intellectual capital
management involves the implementation of a large number of functions, the quality
of which is difficult to assess. In addition, such indicators can be used as benchmarks
in the development of the company's strategy for the creation, acquisition and use of
intellectual capital. Methodological problems of accounting, analysis, management and
evaluation intellectual capital and intangible assets are also considered in the works
of domestic researchers (Bulyga 2005), (Abdikeev 2014), (Abdikeev, Kiselev 2011),
(Fedotova et al.), (Kozyrev, Makarov 2003), (Smirnov 2002), (Balakireva 2005).
Approaches to the valuation of intangible assets.
Intangible assets can bedivided into three main groups:
1. Intellectual property (IP).
2. Organizational expenses.
3. Goodwill.
IP includes industrial property, rights to secrets (know-how) and copyright objects.
Industrial property includes inventions, utility models, industrial designs, trademarks
and breeding achievements. The objects of copyright include: computer programs,
databases, topology of integrated circuits, scientific public lectures. The organizational
costs include fees for lawyers for drafting constituent documents, services for the
registration of the company and others. Costs for re-registration of constituent
documents, the production of new seals and stamps intangible assets are not included.
Goodwill appears in an enterprise only if it has made a purchase of another enterprise.
Business reputation can be defined as the difference between the purchase price of
the acquired enterprise and the value of the balance sheet of all its asset s and liabilities.
The market value standard is not always applicable to IA, as market value is the most
probable price at which an object can be disposed of in an open market in a competitive
561
environment. But for some intangible assets it is difficult to talk about the most probable
price of the transaction, because the market of such objects is underdeveloped.
For the valuation of intangible assets, the same approaches that are traditionally used
for the evaluation of objects are mainly applicable: cost , revenue and comparative.
However, with respect to intangible assets, the use of these approaches has its own
specificity in intellectual capital, since intangible assets are rathr unusual object for
evaluation.
Key in the evaluation of intangible assets is often a profitable approach. It is based on
the income that the owner of the valuation object (intangible assets) expects to receive.
When assessing intangible assets under the income approach, a method is sought to
allocate income related to the assessed intangible assets in order to determine the
value of intangible assets using the conventional methods of income approach
(capitalization or discounting) (Belysheva, Kozlov 2008).
In the practical intellectual capital of program-target, planning and management of the
development of new technologies there are a number of approaches to determining
the cost of work on their creation. The most frequently used and well proven both in
our country and abroad are normative, adaptive, program-target and program
approaches (Leonov, Smirnov, Hovanov 2012).
The normative approach provides for the establishment of a certain standard to
determine the cost of work in the creation of new technologies as a percentage of the
total cost of research and development (R&D). In fact, all leading foreign countries
adhere to a normative approach in one form or another. The normative approach is
quite simple to implement, but it has low accuracy and can only be used to estimate
the amount of work on the development of new technologies.
The adaptive approach is based on determining the share of financing for the creation
of new technologies in a specific promising direction from the total cost of R&D,
depending on the goals set out in the development strategy of the enterprise.
Compared with the normative approach, the adaptive approach will determine the
necessary costs depending on the development strategy of the enterprise. However,
its practical application requires more raw data.
The program-target approach provides for full-scale research and development overall
set of directions contained in the list of promising technologies for the enterprise. A
programmatic approach to determining the value of new technology creation and
development involves extending the financing of new technologies over a period of
time, taking into account the overall dynamism of the intellectual capital of R&D
financing.
562
However, the considered approaches do not take into account the emerging market
price and technical characteristics of the intellectual capital of the new technical
intellectual capital and technology and the relevant trends. In this regard, a method of
calculating the value of IA created on the basis of the IP and the price of the contract
for their development is proposed.
The results of research
Calculation of the value of intangible assets created based on the IP and aimed at
improving the technologies operating in the market.
To calculate the value of intangible assets on the basis of the IP used to improve the
technical level of the product or process, the following procedure is used, which is a
modification of the capitalization method of parametric indices (Zavlin, Vasiliev 1998).
The following stages are implemented within the calculation procedure:
1. On the basis of the set of technical characteristics the intellectual capital of the best
analogues and the original technology is formed a set of indicators i in the form of the
vector Pi,k0, "ideal" at the moment the state of the basic production technol ogy of the
considered sample technical intellectual capital.
2. The characteristics of analogs and original technology are compared with the
characteristics of the "ideal" sample. Parametric index is calculated:
SP i,k = P i,k / P i,k0.
At the same time, each technology of analogues of the original technology is assigned
the corresponding numbers k = 1, 2,..., n; the original technology has the number n +
1; i — technical characteristics of the intellectual capital of the technical intell ectual
capital (in the practical intellectual capital of marketing and benchmarking is usually
used no more than five main characteristics of intellectual capital), n — the number of
analogues in the market. Reference model, characterized by the best performance
among the analogues on the market, is assigned the number k 0 .
SP w ,
3. The sum of the parametric indices of analog technologies and original technology
is calculated:
i
i
i
where wi - weight coefficient Р i of the technical indicator, adopted in practice, the
intellectual capital of marketing.
4. The economic effect of the original technology in relation to each k of n analogues
is determined:
,
where k = 1, 2, …, n .
563
The economic effect caused by differences in the technical level of products is
manifested in the change in the price of analogs: the price increases if the coefficient
of technical improvement meets the condition:
�
.�
0 for k = 1, 2, …, n.
5. Intellectual capital forms the number of kmin, analog having the lowest price of P kmin
in the market. Then the additional revenue from the sale of the product on the market
will be
AR = N × P kmin ×
where N — physical volume of production.
,
6. Additional net profit obtained by improving the technological level of products is
equal to
× r × (1 − f),
ANP = N × P kmin ×
where r — the profitability ratio, taken, for example, for high-tech industries is equal to
0,2;
f — tax rate.
7. In the distribution of additional profit between the licensee and the licensor, the ratio
of the cost of exploration and technological development t o the total cost, including
additional development of technologies and production organization, is used (1:4:16)
(Zavlin, Vasiliev 1998), which is determined by the licensee's cost factor ( k cl). If the
licensee conducts both exploratory research and technology development, then
Kcl =
1 4
5
0,24 .
1 4 16 21
When conducting only exploratory research
Kcl =
1
0,05 .
21
In the development of technology k cl =
4
0,20 .
21
8. The additional net profit from the implementation of the m-th sample of equipment,
improved on the basis of the IP at the time tm, is described by the equation
× r m × (1 − f m) × k clm ×
ANP (t m) = N m,макс × P kmin ×
4
× (1 − �2 �� −
�
��
2
2
)
,
564
where Nm,max — maximum physical volume of production sold on the market;
Pkmin — the price of the m-th sample of technical intellectual capital and the market;
�� — total life time of production of a particular kind;
tm = t m0 + ∆t m,
where t m0 — the beginning of the commercialization of the m-th sample of technical
intellectual capital in relation to the time of market entry pioneer model theintellectual
capital;
∆t m — the time period of commercialization of the original technology, measured
in years.
9. Commercialization of products is carried out within ∆t m years, therefore, taking into
account the discount determined by the formula
E m = Rinfm + Rrisk.m + Rinf.m × Rrisk.m ,
where Rinf.m — the inflation index at the time of commercialization of t he m-th sample;
Rrisk.m — the risk index from the implementation of the m-th sample of the improved
technical and intellectual capital, the ratio to calculate the additional net profit from the
implementation of the m-th sample of the technical and intellectual capital received by
the licensee (researcher, developed by the intellectual capital of the technology and a
specialist in engineering and production organization), depending on the coefficient of
kclm is described by the
ANP (F m) =
Fm
× r m × (1 − fm) × k clm ×
Nm max × Pkmin ×
n
4
× (1 − �2 �� −
�
�� 2
2
) × (1 + E m) -n,
where t m = t m0 + ∆t m ; F m = T m – t 0m.
10. To determine the cost of creating a technology to improve the m-sample of
technological product we take into account the additional profit obtained through its
commercialization in the ratio
E m = ANP (F m) × (1 + r m) -1,
where r m — profitability of scientific and technical activities.
Thus, the licensor at the conclusion of the contract for the development of technology
and/or exploratory research of engineering works and the organization of production
should provide for the payment to the licensee of an amount equal to the ANP (F m), in
which the E m is the cost of carrying out the relevant work.
Calculation of the value of intangible assets created based on intellectual property and
aimed at creating a fundamentally new product or a fundamentally new technology.
565
In the case of production of fundamentally new products or new technologies the value
of intangible assets is determined by the ratio
S m = V m × NЕ × k clm ,
where V m — expected revenue from the m-sample technology intellectual capital sold
on the market, created on the basis of IP;
NЕ — the knowledge-intensive sector of the market, within which it is expected
to sell fundamentally new products.
The value of the cost of work on the creation of technology in the m-sample at
the profitability of rm is determined by the formula
E m = V m × NЕ × k clm × (1 + r) -1.
The licensee at the time t m from entering the market receives a profit, determined by
the following ratio
4
Pr l (t m) = V m × r m × (1 − f m) × kclm × (1 − �2 �� −
�
�� 2
2
) × (1 + E m) -n.
E m defined in paragraph 9 of the procedure of calculating the value of IA.
Conclusion
The paper considers various methods of economic evaluation of intellectual capital
and intangible assets:
1) Methods of direct measurement of IC (Direct Intellectual Capital methods – DIC).
2) Market capitalization methods (Market Capitalization Methods – MCM),
3) Methods of return on Assets (ROA).
4) Scoring methods (Scorecard Methods – SC).
It is shown that traditional methods based on the principles of accounting cannot take
into account many elements of intellectual capital and intangible assets, in particular
the scale and level of quality of interaction with consumers, staff qualifications,
knowledge base, etc.
Analysis of methods of valuation of intangible assets (intellectual value, organizational
expenses goodwill showed that the standard approaches such as cost income and
comparative meet with many difficulties, because the IA is a non -standard object for
evaluation. These methods do not take into account the price and technical
characteristics of the products formed in the market. In this regard, a fundamentally
new method of valuation of intangible assets created on the basis of the IP, w hich are
fundamentally new to the market, or improving products on the market. The use of this
method orients the manufacturer to organize the production of competitive products
for the market.
566
The method of intellectual capital appraisal formulated in th e result of innovative
projects. It can be used to determine the price of the R&D contract. In this case, its
main component is the expected result of the commercialization of the created
intangible assets. Thus, the method of intellectual capital is a too l to stimulate the
creation of the economically perspective R&D products.
In conclusion, it should be noted that the method of calculating the cost of IA, which is
the result of innovative projects, presented in the article, can be used to determine the
price of the contract for R&D In this case, its main component is the expected result of
the implementation on the market of created IA. Thus, the method is a tool to stimulate
performers to create market-promising results of research and economically
perspective R&D products.
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568
KENOTOMY, the Art of Original Thinking
Gheorghe Teodorescu
International Institute for Integral Innovation, Italy
Email: george_teodorescu@yahoo.de
Abstract
Creativity is designative for the mankind, distinguishing it among the other species.
Everyone is born with the affinity to interpret the perceived reality - overlaying it by his own
imagination, inventing a playful use for the encountered items and speculating extant ideas,
refreshing them by new approaches and creating new mental outcome. The routine of the
perceived world is not enough for the human mind, which challenges the given reality,
animated by the need for questing and creatively exploring beyond it. As a result, the
history of humanity is a history of realized inventions and shared visions, demonstrating,
that creativity is the real driving force of civilization. If the creativity is an organic part of
the human nature, why are so few mature people creative?
The process of decreasing creative outcome starts early in the childhood and accelerates
exponentially in the first decade of life, leaving the adolescent with just a fraction of his
inborn creative power. Just rare exceptions resist this phenomenon. The extensive and
long-term survey of George Land and Beth Jarman on creativity decrease is identical with
our observations and doesn’t let any doubt about this matter: children loose in the first 15
years of life more than the half of their creative power. This fact raises several questions:
- What is triggering the decay process of creativity?
–Which features of mind and personality are affected along this process?
–Is this process reversible and how?
KENOTOMY© addresses these questions by identifying the mental attributes and
personality traits, related to creativity, identifying the relationship among them, building up
a systemic model of them, the Integral Creativity Profile and enables as such a new
approach to creativity, facilitating transparency to recognizing the specific profile of
creative decay and opening a way to recovery.
Furthermore, Kenotomy points out toward the inhibitors along the home and school
education process, which affect severely the creative skills and disable specifically each
mental feature and personality trait relevant for creativity, suggesting necessary changes
of education policy. The human is born free of inhibitions with an array of inborn mental
attributes and personality traits specific to Creativity (curiosity, speculating, playfulness, et
c) and the ability for inductive reasoning and divergent thinking. In the Kenotomy’s
understanding these mental attributes and personality traits are systemically related and
operate as interrelated Binomials: experiment-curiosity, speculate-play, originality-courage,
et c)
569
They are powerful, inborn features, which are getting systematically repressed along the
education process, excepting the binomial: Knowledge-Abstract Comprehension, the
only fostered and encouraged one along the asymmetrical education process. The
inhibition of the other mental and personality features, which are related to creativity,
reduces dramatically the creative power already in the preschool, home upbringing and
continues in the school education, which are focused on convergent thinking and
deductive reasoning only.
Kenotomy delivers the theoretical background and a training methodology for recovering
the creative aptitude, even in an individually dedicated way. The empiric materiality is
hindering creativity, as empiric perception is a roadblock for the imagination. Physical
items are not an appropriate start for divergent thinking. The Kenotomy introduces a
special focus on exploring far beyond the levels of empiric perception, paradigmatic and
even pragmatic understanding, by following a maieutic abstraction process toward the
archetypal horizon, overcoming the inhibitive empirical myopia. A special focus is set on
restoring the inductive reasoning and the recovery of the inhibited ability to speculate,
using an array of divergent procedures: association, inversion, analogy, extrapolation et c,
as well as encouraging the playful, divergent thinking with serendipity outcome, relieving
the crippling stress and anxiety for failure and mistake.
Keywords: Kenotomy, Seminality, Disruptivity, Seminal Cascade, Creativity Space
Introduction
KENOTOMY, the art of original thinking, is an integrated theoretical approach, addressing
comprehensively the Creativity domain, understood as the effect of synergetic interaction
of several binomial: mental and character features. It is describing the specific role of these
features in ideation process, the effects of their stimulation for inducing and triggering the
ideation as well as the echo of their inhibition in Creativity Fading. Moreover Kenotomy
integrates the ideation process, classifies and evaluates the creative outcome, providing
a practicable approach to ideonomy. Furthermore, Kenotomy provides a successfully
proved methodological procedure, for enhancing the Creative ability and for reversing the
Creativity Fading, meaning a training and study program for Creativity.
KENOTOMY content:
A. Creativity as a vectorial system:
CREATIVITY STRUCTURE
- Making Creativity transparent and manageable by identifying the mental and
character factors which influence the Creativity and the relationship between
them as a“ Creativity Structure”.
- Describing these factors as convergent vectors and recognizing their binomial
nature.
- Understanding their effects on the creativity’ momentum as well as the effects of
inhibitors
570
CREATIVITY FADING
- Identifying Inherent and acquired inhibitions of inborn creative ability
- Describing dwindling of Creativity due to inhibition of the mental and character
factors, which build together the Creative Thrust.
CREATIVITY RECOVERING
- Understanding the Creativity Fading as a reversible process and introducing an
efficient methodology based on the vectorial model of Creativity Structure for
enhancing Creativity and relieving the effects of Creativity Fading.
B. Applied Ideonomy
CLASSES OF IDEAS -Identifying and classifying the output of creativity
-Classes of ideas: Approaches, Concepts, Solutions and Designs
-Phylogenetic and hierarchic relationship of Classes of Ideas
SEMINALITY
Inspiring power of an idea, potential for generating subsequent
ones
DISRUPTIVITY
Degree of originality of an idea- difference to extant knowledge.
SEMINAL CASCADE
A Comprehensive Model of ideation process
C. Seminal Axiology
- Evaluating the impact value of a new idea on extant infrastructure - upstream
and downstream
- Forecasting the cultural and behavioural effects of implementing a new idea on
individuals and society.
N.B. This paper will focus on Creativity as a vectorial system and will address some
aspects of Applied Ideonomy.
Objectives
Pragmatic Objectives
3.1 Acquiring an in-depth understanding of the creativity sources for building a
transparent model of the creative set up of human mind
3.2 Reassessing the categories of ideonomic outcome and integrating them as a
navigable structure
Strategic objectives:
3.3 Balancing the asymmetrical focus of today’s education by introducing
inductive reasoning, speculative thinking and a deeper, archetypal
comprehension of the targeted subject.
3.4 Proposing a recovering methodology for the creative power for students and
adults.
Research Form and methods
KENOTOMY is a conceptual paper, based on 25 years theoretical, experimental
and educational Master Program for Integral Innovation.
a. CREATIVITY as a VECTORIAL SYSTEM
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Creativity is a convergent effect of several attributes of mind and personality, which are
interacting systemically:
These are complementary binomials: Curiosity and Risk (dare), Originality and Courage
(venture), Speculation and Playfulness (imagination), Perseverance and Passion (grit),
Disruptiveness and Defiance (eccentricity), which are evolving as vectors around the axle
of Knowledge, sublimated by Abstraction (comprehension).
The vectors have a binomial relationship, acting interactively:
Curiosity
requires and inspires Risk propensity
>>>>> DARE
Originality
requires and inspires Courage
>>>>>
VENTURE
Speculation
requires and inspires Playfulness
>>>>>
IMAGINATION
Perseverance requires and inspires Passion
>>>>>
GRIT
Disruptiveness requires and inspires Fun and Defiance >>>>
ECCENTRICITY
Knowledge
requires and inspires Abstraction
>>>>
COMPREHENSION
CREATIVITY STRUCTURE
The concept of binomial vectors implies a general correlation of the involved mental and
character features, resulting in one’s creative ability. The expression of this correlation is
the model of Creativity Structure. (Fig. 1)
This model makes transparent the specific influences of each vector upon creative power
and facilitates to diagnose the individual profile and act correctively upon it.
572
Fig.1
This vector systemic model of Creativity Structure helps understand both:
- Creativity is inhibited by sorting out inborn mental and personality attributes along
the education process
- There is no direct way from knowledge to Creativity there, but a fractured pathway
including Abstraction and Speculation
A test based on this model is efficient for evaluating the creative ability and checking the
progress
CREATIVITY FADING
Inhibiting Creativity
The original, creative minds and the positive momentum of their ideas are socially
understood and desired.Nevertheless, the new ideas don’t have a smooth pathway ahead.
Creativity is challenged by the society’s propensity for accepting new ideas and by the
capacity of the actual living model for absorbing and integrating changes. The resistance
increases with the degree of originality and change (disruptivity *) required by the new idea.
Incremental upgrades of extant solutions are expected and mostly welcomed, as they
delay the moment of a real shifting, but Disruptive approaches, which by their nature are
not matching the general horizon of expectation, meet initially a dramatic resistance, being
perceived as invasive, abnormal, disturbing and even scandalous. Their seminal power
prevails eventually against the discomfort of changing the established procedures, items
and habits, and even life style, generating a civilization shift.
The society developed, unwittingly, several conservative strategies for avoiding drastic
changes, inhibiting one’s genuine creativity and few of us are able to escape them. Beside
acquired inhibitions they are inherent ones to overcome.
Comfort of convenience vs. own mental effort
Along eons, the humanity, as a social entity, discovered many patterns of changes and
developed procedure templates, for dealing with them, building a growing body of
knowledge, treasured and transmitted to the next generations, as a heritage, supposed to
help them in their lifetime. Patterns, templates and algorithms are prescriptive pathways,
inducing the anthropocentric illusion of a solid control of the future and even of the universe.
Learned by heart and even understood in their essence, these available pathways and
ready-made solutions, act noxiously, inhibiting one’s creativity, reassuring him by the
comfort of following established, well-known roads. Looking up in a catalogue of
prescribed solutions is easing the pressure for finding a way out with the own mind.
This conditioned reflex: of looking up in a book, or reproducing patterns, learned by heart,
instead of figuring out by yourself a way out is the first step in blunting one’s creative ability.
Learning by heart is offering an easy alternative, reproducing an extant solution, which is
the result of the mental effort made by somebody else before. This mental comfort of
reproducing instead of creating is growing into the discomfort of change, the conservative
rejection of any refreshing input.
573
Prescriptive education
The inherited body of knowledge is a precious civilisation asset, if this would be just a base
for one’s own development and original contributions, but it seduces a large majority of
students to give up their originality and risky quest for the unknown, unusual and
unexpected, especially then, when the body of knowledge is introduced to them as a non
plus ultra, sacrosanct heritage.
The second blow to creativity is the prescriptive education, which is imposing extant
knowledge as a sine qua non, as a canon, even as a dogma. This prescriptive input starts
early in the home education and grows along the entire education & training chain.
Therefore, the result of the survey by George Land and Beth Jarman on 1600 school
children along 10 years of school education is no surprise. Their survey shows, that the
creative capacity of a 5 years old decreases along the first 5 school years by 70% and
after the next 5 dropped by 88 %, reaching at the adult age just 2 % of the initial values.
The test, developed on behalf of NASA, evaluates the performance along an array of
criteria like: Abstraction, Connection, Curiosity, Paradox, Boldness, Persistence,
Complexity and Perspective, shows, that the children are born with a high degree of
creativity, but this natural, inborn creative capacity decreases rapidly along the educational
process, describing an extraordinary loss of creative potential.
The results of this survey equate with our own ascertainment, that the actual education
process affects the skills of visionary imagining, the paradox thinking, the curiosity of
questing beyond the frontier of the known and boldness for challenging it.
The conventional education involves more aspects of human mind:
Memory for acquiring the established knowledge, harvested by predecessors
Logic thinking for structuring the acquired knowledge and
- Deductive Creativity for extending incrementally the domain of knowledge,
allowing inferring in hypothesis, just based of existing facts.
- Empiric, experimental apprehension for collecting facts.
- Limited Abstraction for reaching the pragmatic comprehension
These epistemological aspects are integrated justifiably in the Scientific Method and
legitimate as such their preponderance in the education at school and University levels.
However this selective training ignores and even suppresses:
- Inductive Reasoning, which is the source of unexpected, disruptive concepts
- Speculative Thinking, which opens new, unexpected conceptual opportunities and
seminal approaches
- Abstract Comprehension, which is fathoming the archaetypal essence behind the
empiric, pragmatic and intentional levels of appearance.
- Comprehensive Creativity, merging the Inductive and Deductive Creativity
The mission of school and academic education is the knowledge transfer and enabling the
understanding of extant knowledge by logic and pragmatic thinking, building up specialists,
able to deal with regular, routine situations and to upgrade existing solutions, or to find
some new versions of them incrementally, on a prescribed pathway, to predictable results.
Moreover this quasi-general practice is inhibiting the Inductive Reasoning and especially
574
the Speculative Thinking, adding up Conditioned Inhibitions to those already existing,
Inherent ones.
All Education levels should include Creativity training for compensating the inhibitors.
There is no doubt, that the education process is necessary by the actual amount of
knowledge and efficient for training and qualifying large numbers of focused specialists,
required for maintaining and upgrading incrementally the clockwork of our civilization.
However, there is a fact, that extremely few people contribute creatively and even less
people have any disruptive, visionary input to the future, because their creativity aptitude
lays inhibited behind.
Acquiring knowledge is the essential prerequisite of any qualification, but knowledge
without creativity is just a sterile library, suitable for sustaining routine. As the reality is a
subject of steady change, the routine is a delusive ground, even a serious trap. The focus
of actual school education is set on deductive thinking, ignoring or even combating the
inductive and speculative thinking. It is an undesirable fact, that the absorbed knowledge
and the intake of rules and behavior templates inhibit the divergent, speculative,
spontaneous and visionary thinking, encouraging convergent, routine related ones. The
resulted mentality is dominated by conformity and the anxiety for thinking differently,
outside the prescribed frame.
The creativity is often perceived and combatted as a nuisance, as a disturbance of the
established routine, as it is challenging already implemented and accepted solutions with
unexpected approaches. The box is closing along these lines and is closing very early by
trading the creativity for the generally accepted conventions and believes. Dare, venture,
playful imagination, grit and eccentricity are ruled out. As a result the initial Ingenuity Gap
is mutating at the end of education process in an inert Creativity Gap, making sterile the
accumulated knowledge.
The vectorial Model of Creativity makes evident, the effects of inhibitors upon one’s
creative ability. Our Trans-generational projects Sky is the Limit, involving 9-12 years
children and Master Students revealed the exponentially higher children’s creative power,
575
compared with the older students’ one, even if it arises on a much lower level of knowledge.
The students’ Creativity profile expresses the effects of educational process in both
domains of knowledge and creativity:
Even with a much higher level of knowledge, the creative outcome of 21-26 years old
students couldn’t match neither the amount, nor the originality, r the disruptiveness of the
children’s ideas.
Our research upon the decline of creativity along the education process is identical with
the mentioned research of G. Land and B. Jarman (op.cit)
Oddity
The pressure of conveniences and routines, fostered by one’s social group or the entire
society adds up to the institutional prescriptions and restrictions building up the real threat
576
for a creative person to be isolated, being considered as an oddity or even as a rebel.
Many perceive, for this reason, their own creative impulses as a burden, a sin, which needs
to be suppressed. This mechanism of self-inhibition is largely proliferative and keeps entire
segments and even the majority of society outside the creative process. Some dogmatic
educational curricula are focused on concealing the creativity and modelling compliant,
routine behaviour. Beyond these inflicted and acquired inhibitions they are own sources of
inhibition, related to cognitive process or subliminal instincts, which are completing the ring
of pressure on the inborn creativity.
Fear of making “mistakes”
As a consequence of prescriptive education emerges the word “ mistake”, which is a
relative term, meaning unlike prescriptions, or failing expectations. The negative mind
set, related to the term “mistake” is a major inhibitor of original thinking, implying even the
guilt feeling, which is inhibiting correctively and life long any tentative of dissenting from
the prescribed pathway. The term “mistake” is a misperception, as every experience is
valuable without any additional connotations. A mistake is by definition an unexpected
result, a disruption of routine, therefore is a chance to learn and an opportunity to exceed
the extant expectations.
Any mistake is serendipitous, inspiring and seminal, if it is understood positively.
Fear of unknown
Creativity is native but reaching the creativity potential needs passion and perseverance,
“the Grit”, as A.L. Duckworth names it. Being creative and behaving creatively is a
refreshing adventure. Any adventure requires a personality defined by courage and
steadfast effort. Passion is delivering courage for exploring the unknown, to surpass
yourself and the mistrust of others, to convince them for joining you. On an unknown
pathway the endurance means first of all overcoming the fear of unknown, accepting the
challenge to address the upcoming events by your own creativity. Creativity, endeavour
and grit belong together.
Empirical Myopia
Any perceived reality is an individual speculation of senses, therefore the empiric
perception of the reality and the reflection’s outcome based on it are sufficient for
interacting in routine situations only. This empiric image helps consequent activities, like:
operating and the maintenance related works, as well as redesigning and upgrading extant
solutions. However, the empiric impact of materiality doesn’t inspire the creative mind work,
but hinders it, blindfolding the divergent thinking.
The sensorial icon of reality is no base for creativity, as the mind work can not deal with
any material content The divergent cone of speculative thinking can’t be opened by an
empiric, material input, which keeps the reflection, focused on extant reality. Empiric, solid
reality is a massive roadblock for creativity, the Empirical Myopia. Beyond this inhibitory
effect, the empiric perception is subject of limited accuracy of senses and personal
subjectivity of one’s interpretation ability. This empirical Myopia is a general syndrome and
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might be cured by abstracting the sensorial input. They are several, subsequent levels of
abstraction, increasingly seminal, which we will address in the chapter Abstraction. The
volume and disruptivity of creative outcome is directly proportional with the level of
abstraction.
FALL OUT of CREATIVITY INHIBITION
Creativity is a central feature of humanity with deep implications in every activity domain
and the real driving force for the progress of society. Creativity is not just intimately human,
but an imperious need, which requires cathartic fulfilment. Inhibited creativity retaliates
mostly, beyond the waste of creative contributions, by mutating in socially undesirable
attitudes and compensatory behavior: vandalism, intoxication and outbursts of fury are
some destructive expressions of suppressed creativity, which show the power of this
wasted spiritual energy, which didn’t find the appropriate channel to any constructive
outcome. Inhibited creativity needs to be addressed seriously as it is one major reason for
many problems of our civilization model.
The effects of inhibiting creativity are several contemporary major issues:
The dramatic scarcity of active creative minds among a 7+ billion world-population,
- The urban vandalism
- The market saturation, ending up in cyclic economic crises,
- The epigone behavior in society and in working process,
- The downfall of the rural communities
- Intoxication, drugs consume and addiction
- Resistance to innovation and generally to any break of routine comfort.
Even if they seem to be not related, these undesirable social aspects are direct effects or
compensatory behavior to inhibition of one’s inborn creativity. This fact is one more
argument for avoiding the inhibition of creativity along the educational process and the
need of a positive approach, aimed to releasing and recovering the inhibited creative ability.
The vector model of creativity offers a comprehensible and reproducible base for
investigating the individual creativity profile and transparency of the specific deficits’ outline.
The vectors of inhibition can be reversed by dedicated training procedures along the deficit
vectors, revitalizing them one by one, however not isolated, but in an integrated curricular
strategy, as the Creativity’ vectors are binomially coupled and systemically related.
Is the Creativity Loss reversible ?
RECOVERING and ENHANCING CREATIVITY
The vectors of the Creativity Structure respond to dedicated stimuli recovering sizably,
even if in a differentiated way, depending of the personality profile and age of the student.
The team-mix composition and the working atmosphere are key factors to
success.Applying Kenotomy, as a creativity enhancing methodology, means a project
centered, problem solving based training, involving people from different domains and
cultural backgrounds, often in trans-generational teams and merging students with
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communities and craftsmen, avoiding scholastic lecturing routine by frequent exercising
and extensive quolloquial interaction. Kenotomy is stimulating and promoting The
Inductive Thinking, the ability of generating unexpected conceptual content, which is still
largely understood as a foggy, random aspect and therefore just marginally addressed
along the academic education. As a result the original conceptual outcome is erratic,
spontaneous and often seen as a disruptive matter to the smooth deductive process,
instead of being the main goal of school and academic education.
Kenotomy doesn’t see any dichotomy but a complementarity between Deductive and
Inductive Thinking. Instead of segregating these thinking pathways, Kenotomy is merging
harmoniously the deductive and inductive ways of exploring the virgin field beyond the
solid knowledge, by abstracting and speculating established knowledge for triggering the
Ideation. This approach fosters as well the skills of converting original concepts into
practicable solutions.
Kenotomy’s methodology for Recovering and Training the Creative power comprises:
-Removing the inherent and acquired inhibitions, which are hindering the inborn creative
talent of humans.
-Overcoming the empiric perception by maieutic abstraction and looking beyond early
levels of comprehension (empiric, paradigmatic, pragmatic)
-Facilitating and encouraging the participants’ aptitude to fathom the deeper meaning
levels of the topic (axiomatic, archetypal)
-Stimulating the creativity, by encouraging and boosting speculative thinking modes, using
a supporting and mutually inspiring team work by reticular resonance.
-Identifying the Classes of Ideas, observing the seminal relationship between them
(approaches, concepts, solutions and designs) and building the Seminal Cascade for
increasing exponentially the original conceptual outcome.
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The kenotomic methodology addresses specifically the dedicated vectors:
I-UNIHIBITED –Passion-Perseverance (the Grit)
II-ABSTRACTING –Knowledge, Meaning
III-SPECULATE
– Playful, Imaginative
IV-ORIGINALITY
- Initiative, Courage
I-UNINHIBITED - reversing the inhibited Creativity Vectors
The working environment must be inspiring and facilitating spontaneous changes and
improvisation, stimulating and promoting students initiative, without any pressure to
perform and encouraging team synergetic resonance,
experienced in Brain Storming and Think tank activities.
They are several Inherent and Acquired Inhibitions, which must be addressed with specific
means.
INHERENT INHIBITIONS:
Specific Training:
-Empirical Myopia
Instinct
Maieutic fathoming, abstract
-Fear of Unknown
Instinct
Encouraging
curiosity
and
experimenting
ACQUIRED INHIBITIONS:
Inflicted by:
-Inflicted Thinking Patterns
Education
Speculative thinking
-Frustrated Ludic Instinct
Education
Playful approach and quest for
Serendipity
-Fear of Making Mistakes
Education
Failure as inspiring experience
-Social Pressure
Mobbing
Passion
and
Self
Confidence, Team Spirit
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-Comfort of Convenience
challenging topics
Routine
Fresh
experiences
and
II ABSTRACTING
- overcoming the Empirical Myopia
The perceivable reality is a massive roadblock to creativity as the work of mind is abstract
and therefore needs abstract content to deal with.
The empiric perception and logic, deductive thinking can’t support, or inspire creativity as
the semantic threshold, the iconic-tags paradigms hinder the process.
Apprehensive and even comprehensive knowledge, are just two preliminaries for the real,
creative work of mind.
Nevertheless, there is no direct way up between existing knowledge and creativity. The
knowledge must go through a process of deep abstraction and a playful array of
speculations with subliminal aspects for thriving into original ideas.
The initial step into the creative mode is the Maieutic Quest, the fathoming of essentiality
beyond the empiric perception, allowing the profound comprehension of the addressed
topic.
The extended maieutic quest gives access to subsequent levels of abstraction beyond the
empiric state of art:
Empiric
Material
what is that ?
Pragmatic
Functional
what is for ?
Rational
Conceptual
why ?
Axiomatic (insight)
Approach
why so?
Archetypal
Ideal
which aspiration addresses?
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The levels of Abstraction are levels of Seminality as well, meaning that with the distance
from the empiric, material reality grows the potential of creative outcome too.
Addressing the concrete item, the imagination will develop just formal versions of it. Higher
levels of abstraction will inspire a wide array of versions for answering respectively, the
function, the need or even different attitudes, reflecting the archetypal horizon.
Discussing the importance of ABSTRACTION for creativity, there is a need for introducing
new terms:
- SEMINALITY –
Inspiring power of an idea, potential for generating
subsequent ones.
Seminality is explaining the ephemeral nature of ideas, as the context and even the target
problems are steadily changing and compels as such the need for steady Creativity.
Ideas are getting old and once depleted, they can become a bigger problem, than that one,
they have been created to solve before.
Seminality explores and outlines the foreseeable Impact of newness on individual and
social behaviour, relationships, mentality, and physiology.
DISRUPTIVITY –
Degree of originality of an idea- difference to extant
knowledge.
A high level of disruptivity means, in the economy, overcoming the squeeze of
competitiveness, taking off for leadership and even pioneering new fields of business.
Creativity on Conceptual level is opening new business domains, whereas new
approaches might pioneer new industries and a deep impact on civilization.
In a critical mode, a low level of disruptivity, upgrading designs or solutions, means a low
profit competition, stagnation and market saturation.
-
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It is an intimate relationship between the levels of abstraction and potential creative
outcome. Therefore, both the Seminality and Disruptivity of an idea are rooted in the
Abstraction Level as starting basis. Higher the level of outgoing abstraction, more rich will
be the creative outcome (Seminality) and more original, and unexpected the resulted
ideas (Disruptivity).
It is obvious, that creativity based on Empiric perception is orbiting around perceived items.
The outcome would be subsequent, close to the extant designs and known solutions. If
the Pragmatic level of abstraction has the potential to inspire new Solutions, the Rational
one is the base for new Concepts. The axiomatic, Insight level is inspiring new attitudes,
shifting the point of view and generating new Approaches. As the creativity is a
differentiated domain, they are distinct degrees of Creativity, which are related to the
abstraction level, where they are initiated from. The creative outcome extends between
the creative use of extant items, for solving ad-hoc a problem, to comprehensive visions
of Universe, which might shift the general epistemological perspective of entire humanity.
The difference among the Creativity Degrees is expressed by the levels of Disruptivity:
Ad Hoc
Creativity
Upgrading
Creativity
IMPROVEMENT
Associative
Creativity
Conceptual
Creativity
Axiomatic
Creativity
IMPROVISATION
REFORMING,
PERFECTIONISM,
COMBINATION
INVENTION
VISION, NEW APPROACHES
Creative, Disruptive Content results either from Rational or Axiomatic abstraction levels
and is proportionally relevant to their height.
Just the Rational and Axiomatic level of abstraction support emerging of Disruptive Ideas,
which are not related
to extant items, solutions or concepts. Visionary thinking, bringing up new epistemological
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approaches require abstraction fathoming on Archetypal level.
These parameter of creative outcome reveal the importance of the abstraction for
preparing the ideation and of the height of abstraction for the degree of creativity.
Between consequent Improvement and disruptive Vision They are several Disruptivity
Levels and a paradoxon, created by the Creativity Fading along the educational process.
The Improvisation is supported by a high degree of intuition and playful, inductive thinking,
inherent to smart, but less educated people and kids. We have seen, that, due to
educational process, the increase of knowledge extent goes together with Creativity
584
Fading. This opposing trend keeps a balance before the steep knowledge growth, with the
result that, the largest majority of new outcomes are the subsequent ones, on low
disruptivity levels of Upgrade and Combination, the Routine Valley.
The history shows, that highly educated personalities, who generated ground breaking
visions are extremely rare and those ones have been unusual thinker, who resisted the
inhibitors along their education pathways. The chart makes transparent the dramatic need
for recovering the creative power after steep knowledge growth and the importance of
Kenotomy in the higher education, or a continuous creativity training along the entire
education process, for reducing or avoiding the Creativity Gap
III.-SPECULATE
The abstraction delivers the substance, free of material connotations, for the mental
speculation. Speculation is the expression of the inborn Ludic Instinct, the erratic, playful
exploring and experimenting quest and imaginative fathoming. The Ludic Instinct is the
mate of Ideation, leading and stimulating mutually. The usual life situations develop routine
reflexes and empiric myopia, as the mental tasks are mostly standard packages. Many
potentially inspiring aspects get ignored or neglected as trivial within routine patterns of
daily life.
The speculative thinking is ignited instinctively by unusual, accidental events, which are
disrupting the regular patterns and by unexpected questions. As such, the creativity is a
natural mental reflex to deal with unexpected, disruptive events of various relevance and
magnitude. The speculative thinking can be triggered on purpose too by a special mental
conditioning and adequate procedures, which are relieving the conventional thinking
patterns. Speculative thinking is Inductive, Divergent thinking.
Unlike the Deductive, logic thinking, with a consistent and predictable pathway, which
leads convergent to deductive creative outcome, the speculative, inductive thinking is
divergent and implies subliminal, inferring segments, induces unexpected insights and
requires a divergent, playful practice, heuristics and passion and not least, the readiness
to involve yourself with the addressed topic.
As the experiences are recorded and stored as a multi-sensorial entities under a semantic
term, intriguing the identification routine ignites the reticular activation.
The modes of speculative thinking challenge the mental routine of identifying a
visual perception with a noun, triggering the inferring creative process.
They are several very efficient procedures, Speculative Modes in this respect:
- Ambiguous and unusual description of target/ topic.
An original, even intriguing introduction of a topic, avoiding the trivial terms and
icons appeals the imagination, setting the fun, cheerful mood, one essential
condition for a creative atmosphere. Be
By any means should be avoided a dull, clear-cut description of the target.
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Challenging, shifting approaches
Shifting the point of view and addressing the topic from different perspectives as
well as the step back for enlarging the perspective is producing a rich harvest of
disruptive outcome.
- Iconic insemination
Intriguing images, not related to the addressed topic and awkward analogies
condition the mind for speculative inferring, providing an stimulating attunement to
ideation.
- The Swap “Icon/ Noun” has a wide random effect is highly efficient, ending up in a
wide array of ideas as an interaction within a group and between group-moderator
Semantics explains extensively the relationship between signifiers and symbols, but
avoids the highly seminal potential of the interpretation process.
Confronting an uninvolved, but experienced moderator with the symbolic outcome
of a reticular resonance session, the inferring challenge repeats by translating
creatively the symbolic outcome in a list of seminal terms.
The following step of structuring the resulted list might be the input for a new group
reticular resonance session or the ideation step of the conceptualizing process.
NB
The inductive inferring is a divergent subliminal process, of different nature and
more powerful in outcome, than the convergent, logic-deductive one.
- Weird associations
The experiences are recorded synesthetic as complex entities, including icons,
terms, sounds, flavors and even with an emotional charge.
Weird associations are challenging these established entities, breaking the
comprehensive routine and trigger the speculative inferring, hence the creative
mode.
Beyond this function, as ignition tool for creative thinking, the weird associations
lead to unexpected, seminal outcome.
- Divergent exploring by:
Inversion, Extrapolation, Scaling, Combinations, Mind mapping, Heuristics etc.
-
IV-ORIGINALITY –Initiative, Courage
It might seem weird, the relationship between Originality and Courage.
However the reality of a rich vocabulary for describing the original is symptomatic:
“different, atypical, uncommon, contrasting, odd, weird, special, strange, unusual,
whimsical, eccentric, freaky, wacko, queer et c.”
The development of civilization is driven by original outcome of creative minds and by their
skills for transforming ideas into practicable solutions. It is a natural antithetic process
between conservative routine and change, induced by need and creativity. Originality is
challenged by the society’s propensity for accepting new ideas and by the capacity of the
actual living model for absorbing changes. Consequent, incremental upgrades are
expected and welcomed, but they delay the moment of real change, making it more
dramatic. Disruptive approaches, which by their nature are not matching the general
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horizon of expectation, meet initially a dramatic resistance, being perceived as invasive,
abnormal, disturbing and even scandalous, but their seminal power prevails eventually
against the discomfort of changing the established procedures, items and habits,
generating a civilization shift. Therefore, fostering endeavor, encouraging initiative and the
self confidence for standing up for own , original ideas It is a major topic of educating
creative thinkers.
Different is Better than Perfect
B. Applied Ideonomy
CLASSES OF IDEAS
Identifying and classifying the output of creativity in Classes
of ideas: Approaches, Concepts, Solutions, Designs.
The creative outcome is a mix of various ideas with different seminal potential and
relevance and even more important, of different nature.
The different nature of ideas requires identification of ideas’ classes, a hierarchy of them
and a systemic model.
CREATIVITY SPACE
a Cartesian approach for systemizing the creative outcome.
Creativity Space identifies four classes of ideas:
-Approaches, archetypal projections, apex of general perspective and ethic attitudes
-Concepts, options of addressing a need within an approach.
-Solutions, pragmatic answers within a concept and their corresponding correlation.
-Designs, dedicated forms
The Classes of ideas belong in a subsequent hierarchy with the Approach as the top value,
building up a coordinates system.
The model of Creativity Space makes salient the importance of creativity on conceptual and on
approach level, generating a subsequent array of solutions.
According to this hierarchy they are different degrees of seminality and disruptivity of the ideas.
CREATIVITY SPACE model reveals the importance of
conceptual effort in business venture as the conceptual level means exponentially higher
587
rewards and handicap for the competitors then just upgrading solutions of an existing
concept, even if this is a lower risk option.
Creativity Space is more than just a coordinates system for systemizing and evaluating
ideas along a creative process and in business.
Screening the extant outcome along the coordinates, white spots become evident, like in
the Mendeleev table, intriguing, inspiring further creative effort and focusing it on white
spots to be explored.
This screening mode of Creativity Space reveals the already busy conceptual areas and
indicates the idle ones too.
Creativity Space facilitates the trends forecasting by differentiating the trends, along the
coordinates in:
- Behavioural Trends
- Conceptual Trends
- Technical Trends
enabling a comprehensive trends analyse and the definition of a clean and structured task
to think tank.
SEMINAL CASCADE – is an integrative approach, summarizing the kenotomic sequences
into a Comprehensive and Integrated ideonomic Model .
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SEMINAL CASCADE integrates the upstream abstracting process and the levels of
maieutic inquiring: from extant materiality to Archetype, with the downstream creative
outcome: from Archetype to material solutions and designs.
Seminal Cascade makes transparent several conclusions of pragmatic relevance for both:
the creative process and for the business:
A. The maieutic inquiring must precede any creative activity:
-The empiric, concrete problem shouldn’t be used as an outgoing base for the
creative process, as the potential outcome couldn’t be more than just another
design of the same paradigm. The creative effort is not differentiating essentially
the new result from the extant solution.
-The associative and pragmatic levels of abstraction don’t allow the creation of
content, as they address paradigms and functions only, the implementing steps of
creativity outcome.
-As off the rational level of abstraction the outcome’s seminality is supporting
conceptual disruptivity, the substance of leadership and inspires new paradigms.
The rational level of abstraction is the real threshold of conceptual creativity.
B. The potential yield of ideas and of follow up array is related to the start-level of
speculative thinking.
The same speculative procedures might produce many dead end designs or highly
inspiring concepts.
-They are no dedicated speculative procedures, irrespective to the addressed level
of outcome:
either approach, concept, paradigm, solution or design.
Therefore it is possible to customize the creative process to specific strategy needs:
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-
A winning marge among competitors
by new Solutions
Reaching the leadership in the domain
by new Paradigms
Pioneering a new business field
by disruptive Approaches
CONCLUSIONS:
The society’s awareness of environment changes is high and major efforts are made to
minimize their Impact. However the level of alertness of the severe and quite general
Creativity Fading doesn’t match the environmental one, even if is affecting severely the
entire society. Creativity is a significant, inborn ability of human mind with existential
relevance for individual, business and for humankind as well, but tends to get minimized
by routine thinking and by pragmatic, down to earth mentality. One of the reasons might
be the widespread perception of creativity as a fuzzy, random phenomenon. Creativity is
not a magic random matter, but an understandable and manageable ability of human mind,
which can get enhanced, might fade and get recovered again.
Kenotomy introduces an integrated theoretical base and an operational methodology for:
- Studying Creativity as a dedicated domain
- Educating creativity as an Academic program
- Training recovery and enhancing Creativity
- Managing the creative power and ideonomic outcome
- Inducing the creative mode and stimulating ideation
- Supporting the creative process
- Evaluating the creative outcome, assessing ideas’ value
- Forecasting and fathoming the impact of creative outcome on extant context
(individual, social, technologic and natural)
CREDITS:
Head of Master Program of INTEGRAL INNOVATION,
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1992-2012, State Academy,
Stuttgart, Germany
Kenotomy Course
Wuppertal, Germany
Director of Institute for Integral Innovation
Italy.
2014-on
going
ZWB
Univ.
1995- on-going, Merano,
REFFERENCES:
Max Bense
- Semiotik. Allgemeine Theorie der Zeichen,
Max Bense
- Ungehorsam der Ideen
C.S.Pierce
- Reasoning and the Logic of Things
Siegfried Maser
- Numerische Ästhetik
George Land and Beth Jarman
- Breakpoint Beyond, Mastering the Future Today
Angela Lee Duckworth
- GRIT: the power of Passion and Perseverance
Steven Johnson
- Where the good ideas come from
Ray Kurzweil
- Singularity is Near, when Humans Transcend Biology
Graham Wallas
- Art of Thought
NASA
- Test of Creativity
Author’s profile
Prof. George Teodorescu, is the Director of the International Institute for Integral Innovation,
Germany and Italy. He created and headed between 1992-2012 the Master Program for
Integral Innovation at the State Academy Stuttgart, Germany, authoring the Integral
Innovation curriculum, introducing Kenotomy and Seminality. He developed the
methodology for educating original problem solvers and creative entrepreneurs, with a
high creative power. He is since 2014 the Chairman of DAC Euro-regional Ecosystem for
Integral Innovation, comprising 12 Universities from 10 European countries, several
industry Associations and public Institutions too. The mission of DAC Ecosystem is
education and promotion of Creativity as the main driving force for a prosperous economy
based on original business and building a harmonious society as a creative partnership, a
Culture of Creativity. Since 2013, cooperates with several Asian and European Universities,
offering a Kenotomy Course for Asian students, as a Summer School for Creativity in
Meran, Italy, open to academic and post academic participants.
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Creativity and Innovation at the Ecosystem level:
How Entrepreneurial Universities can develop a Holistic Approach to
Entrepreneurship Education and Learning
1Jay
Mitra and 2Su-Hyun Berg
Essex Business School, University of Essex, United Kingdom
Independent Business Consultant, Germany
Email: jmitra@essex.ac.uk Email: info@su-hyun-berg.com
Abstract
We explore critically, creative approaches to entrepreneurship education and learning in
universities by examining the phenomenon of entrepreneurial ecosystems. Ecosystems
operate at both the macro level of the environment (the external ecosystem) and at the micro
level of the organization (the internal ecosystem). We draw on empirical evidence to propose a
conceptual model for the effective evaluation of the capacity and capabilities for creating an
institutional, internal ecosystem to support an innovative, multidisciplinary form of
entrepreneurship education and creative learning.
We develop the idea of ‘capacity’ in an ecosystem following Miller and Acs (2017), and their
use of Frederick Jackson Turner’s (1894, 1920, 2008) trinity of available assets, liberty and
diversity. To enable the operationalization of ecosystem ‘capacity’ we draw on the economist
Amartya Sen’s capabilities approach (Sen, 1989; 1984) to augment Turner’s thesis and connect
the substance and meaning of entrepreneurship education and learning to the entrepreneurial
ecosystem. We offer different contexts
We study two research universities in two very different economic and social environments
(Hanyang University in South Korea and Essex in the UK), examining five propositions and
addressing two conceptual challenges: a) understanding the importance of higher education
institutions as entrepreneurial campus ecosystems (an internal ecosystem) to support
entrepreneurship education and b) taking entrepreneurship and entrepreneurship education to
mean more than new business creation to help develop creative new mind sets for effecting
change and innovation in learning and practice for dissemination and interaction in the wider
environment (the external ecosystem).
The capacity to create capabilities in the entrepreneurship ecosystem through entrepreneurship
education and research is possible when the decentralized governance structures underpin
organic developments in the campus. This allows for the adoption of a holistic approach to
entrepreneurial learning at different levels and various contexts in both institutions. We find that
both universities have addressed the two challenges we posed at the beginning relating to the
ecosystem, albeit in different ways. The conceptual model we develop allows for the effective
592
evaluation of different approaches to an entrepreneurial ecosystem approach to
entrepreneurship education based on both capabilities and capacities of different institutions
and their ecosystems.
Keywords: Creative Entrepreneurship education, campus entrepreneurship ecosystems,
capacity, capabilities
Introduction
Both entrepreneurial activity and entrepreneurship education are seen by researchers, policy
makers, and the media, as two important societal necessities which are indispensable to
economic growth and development, social cohesion, job creation and increased standards of
living in the knowledge economy. While commentators, thinkers and practitioners have weighed
in on these two fields in growing numbers, policies intended to spur entrepreneurship and
improve higher education output, especially in relation to entrepreneurship education provision,
continue to be difficult to validate (Miller and Acs, 2017). Entrepreneurial agents can be found
in both entrepreneurial campuses and outside in the wider entrepreneurial environment
involving disparate stakeholders. Together they form part of an ecosystem.
Numerous studies (Stam, 2015; Mason and Brown, 2014; Isenberg, 2014, Audretsch and
Thurik, 2000) have made clear arguments about entrepreneurial ecosystems forming a crucial
line of inquiry given that we live in an entrepreneurial economy.An entrepreneurial university
ecosystem (EUE) is understood to offers various advantages for higher educational institutions
to establish in terms of what Graham, 2014 and Fetters 2010) describe as creativity, productivity,
and innovation on campuses.
But what roles do entrepreneurial campuses play in these ecosystems and how is that
experienced and evaluated? How do these roles generate any impact on entrepreneurship
education? Or does entrepreneurship education help to support entrepreneurial campuses in
entrepreneurial ecosystems? If so what form or shape does entrepreneurship education take
in an entrepreneurial ecosystem?
To help answer these questions about entrepreneurial campuses and entrepreneurship
education, adopting an ecosystem approach could be useful because the ways in which the
university interacts with different stakeholders to advance learning and knowledge creation
could have implications for those entrepreneurial activities of the university. Crucially, the
harnessing and coherent organization of these activities across the institution should contribute
to the development of an ecosystem approach to entrepreneurship education. An ecosystem
approach to entrepreneurship education necessarily embraces all aspects of the institution and
its activities which lend themselves to the development of an entrepreneurial approach to
learning. This form of organization is enabled when an institution has the capacity and the
capabilities for developing such an approach.
When we refer to the capacity for ecosystem-based entrepreneurial activity in universities we
refer to the assets, the liberal culture and diversity of the institution. By capabilities we mean
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the fulfilment of aspirations for knowledge acquisition, knowledge creation and self-fulfillment
of individuals (student and staff) by means of cross-departmental and cross-curricula
entrepreneurship research, education and other extra- curricular programmes in institutions of
higher education. These capacities and capabilities obtain primary value in what we describe
as the ‘internal ecosystem’ of the institutions. Given the diversity of the academic and
intellectual base of the university and the historical trajectory of developing knowledge in
specific arenas of knowledge, institutions have also developed their own internal ecosystems.
In this paper we focus particularly on how these capabilities and capacities obtain within the
internal ecosystem of campus entrepreneurship in higher education institutions.
We find that making the entrepreneurial ecosystem to work is dependent on the Turnerian trinity
of available assets, liberty and diversity (Turner, 2008). These characteristics provide the basis
of governance of the campus as an entrepreneurial ecosystem and the necessary capacity for
the output produced by that campus ecosystem. We draw on the capabilities approach
developed by Amartya Sen, 1989; 1984; and others (Nussbaum, 2011’) to augment Turner’s
frontier thesis to develop a replicative framework for obtaining insights into the setting of multiple
objectives for campus-based opportunity development, entrepreneurship and innovation. We
also find that using the capacity to create capabilities is possible when the decentralized
governance structures underpin organic developments in the campus. We find that the
entrepreneurial campus ecosystem fosters opportunities for the creation of new ventures
together with a higher education platform for mind-set change, critical thinking, problem
solving .indeed, the compendium of capabilities vital for entrepreneurial value creation in
different environments. In other words the true worth of entrepreneurship education may lie not
just in the classroom but in this compendium of capabilities buttressed by the institution’s
capacity.
By campus entrepreneurs we refer to all students or staff engaged in creative ways to develop
new ideas and implement them in the form of new venture creation by mobilising resources in
novel ways. We, therefore, stretch the meaning of campus entrepreneurship to beyond starting
up new ventures (utilitarian value creation) to include the entrepreneurial education experience
(intrinsic education value creation). We identify commonalities and distinctive features of the
two different campuses of Hanyang and Essex universities in South Korea and the UK without
necessarily trying to construct an ideal model based on a simplistic comparison of the two
institutions. These empirical reference points are used to develop our conceptual framework
for an ecosystem approach to entrepreneurship education in entrepreneurial campuses.
The rest of the paper provides, first, an overview of the literature on ecosystems, Turner’s
frontier thesis and the capabilities approach to present a conceptual model for understanding
campus ecosystems. We use the literature to develop five propositions that are the building
blocks for the conceptual model. We then explain briefly the secondary material and case study
methods used for the study before proceeding to the findings. We end with an analysis of the
findings and a discussion including some observations for future research and policy
development.
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Overview of the Literature and Proposition Building
Entrepreneurial Ecosystems
James Moore’s (1993) influential article in Harvard Business Review claimed that businesses
do not evolve in a ‘vacuum’ but that the relationally and socially embedded nature of firms imply
interactions with suppliers, customers and financiers. Since then numerous writers have drawn
our attention to the idea of ‘entrepreneurial ecosystems’ (Zacharakis et al, 2003; Isenberg, 2010
Napier and Hansen, 2011; Malecki, 2011; Kantis and Federico, 2012; Feld, 2012; Alvedalen
and Boschma, 2017; Brown and Mason, 2017 ). Ecosystems are born out of the mix of localized
cultural outlooks, social networks, investment capital, universities, and focused economic
policies that create environments supportive of entrepreneurial ventures. Their various guises
are found within and shaped by the academic literature (Acs, et al 2014; Feldman, et al 2005),
policy outlines (Isenberg, 2010; World Economic Forum, 2013), and also the popular business
literature (Feld, 2012; Hwang & Horowitt, 2012). It is argued that in dynamic ecosystems new
firms have better opportunities to grow, and create employment, compared with firms created
in other locations (Rosted 2012).
Stam (2015) states, that at its most basic, an entrepreneurial ecosystem is an independent set
of actors that is governed in such a way that it enables entrepreneurial action (p. 1). Feld (2012)
and others go much deeper in developing these concepts, but at its core, an entrepreneurial
ecosystem and its output relies on a core of large established businesses, (including some that
have been entrepreneur-led) ;” entrepreneurial recycling”( which involves previously successful
entrepreneurs reinvesting their money, acumen and time in promoting new entrepreneurial
activity); an information-rich environment in which this information is relatively easily accessible
and shared within the community, culture and institutions for absorptive capacity for innovation
and new firm creation, start-up and growth finance, universities and service providers (Mason
and Brown, 2014). Interpreting and researching how these three dimensions work, connecting
the research to both policy making and practitioner use through education and knowledge
exchange, is the role of universities as one of the larger independent agents within a regional
ecosystem. There is a reliance on a variety of voluntary relationships among independent
agents with some form of agreed upon and acceptable but implicit (therefore, potentially
dysfunctional) governance structure.
External and Internal Ecosystems
There remain critical analytical problems with ecosystem models. While ecosystem studies
have proliferated, insufficient attention has been paid to the idea of different ecosystems that
need sustaining at both the macro level of the environment (the ecosystem) and at the micro
level of the organization (the internal ecosystem). In much the same way that we look at
relationships between markets and firms and their mutual interdependence, the wider network
of the ‘external ecosystem’ made up of multiple organisations is dependent on the effectiveness
of the ‘internal ecosystem of each of those organisations. This is especially significant when we
reflect on the role of the larger stakeholding organisations of the ecosystem. While larger firms
can replicate market behaviour and structures within the firm, there are differences in those
595
very structures and behaviours as organisations seek levels of efficiency and consolidation of
economic activity not available in the market. The differences can be accounted for in terms of
permeability and openness. While markets are ‘open’ for any player they are not permeable in
relation to individual organizational interests. The internal ecosystem of an organization
compensates for this opaqueness in the market place by creating its own environment. Our
arguments here lead us to consider two propositions (P1 and P2).
P1: Entrepreneurial ecosystems are social, networking systems achieving entrepreneurial
outcomes for different types of organisations and the wider economy.
P2: Entrepreneurial ecosystems consist of interrelated external and internal ecosystems, at the
level of the wider economy and at the level of the organization.
The Entrepreneurial University Ecosystem
As a relatively new concept, an entrepreneurial university ecosystem (EUE) is understood to
offers various advantages for higher educational institutions to establish in terms of what
Graham, 2014 and Fetters 2010) describe as creativity, productivity, and innovation on
campuses. These advantages are accrued when the ecosystem is properly integrated, in that
the essential activities of the university’s research, teaching, knowledge exchange and
community outreach are both strategic and operational imperatives of the institution (Fetters
2010). Integration occurs at the level of multidisciplinary and varied programmes of study,
innovative pedagogic methods, creative involvement of internal and external stakeholders, and
the effective organization of varied outcomes fulfilling aspiration of the institutions’s people, all
as part of a synergistic project of ecosystem-based entrepreneurship. Fetters (2010) unpacks
these activities further by identifying a criteria for evaluation which includes, context, leadership
and governance, teaching and learning, curriculum design, faculty development, outreach,
infrastructure, institutes, and research and culture. However, while the idea or the reality of an
ecosystem is explained limited attention is paid to how best can the institution develop a
capacity for obtaining value from ecosystem membership. Equally, absent from discussions of
entrepreneurial campuses and entrepreneurial ecosystems is the consideration of the
capabilities necessary for both the institution and its students and staff to realise their different
aspirations, which may or may not have purchase in local ecosystems.
The University Campus and its Internal Ecosystem
Ecosystems are evolutionary, complex, self-directed, loose systems where each organisation
carves out its own rules of conduct. Entrepreneurial universities with their global reach in terms
of research, education and outreach activities are not entirely dependent on these localized
systems even though they could use them for specific purposes. This raises the question of
there being the need to recognize a firm/organizational level ecosystem which provides a basis
for absorbing externalities of regional ecosystem and the wider global environment.
A basic assumption in an effective ecosystem is the incorporation of the idea of diversity. Such
diversity is expressed in terms of the race, class and gender of actors, the multiple institutional
agencies, the cross-section of sectors or value chain agglomeration, and key inputs of talent
596
and technologies. These, taken together with the human capital of institutions (its staff and
students) constitute a range of assets that complement the physical ones of property and
finance. The “spontaneous order” in which this diverse set of assets are brought together
evokes Hayek’s (2010) idea of liberty as much as it does Turner’s capture of this essential value
of freedom uncoralled by path-dependent systems and institutional antecedents. A combination
of these features of diversity, assets and freedom of spontaneous liberty create a capacity for
institutions and networks to be part of an effective ecosystem.
The internal ecosystem of the campus is of particular significance because of the tendency of
academic departments to operate in subject or discipline-based silos. So even if sociologists
explore social relations in an entrepreneurial context, economists make the case for optimizing
resource allocation among entrepreneurs, psychologists discover different characteristics or
behavioural patterns, technologists test algorithms for forecasting entrepreneurial deal-making,
and business schools are busy domain hopping, they do so in silos. The incorporation of
courses modules and electives in non- business departments tend to be items gathered from
Business School shelves for cursory deployment in various academic departments. However,
when we note activities such as research collaborations, public lectures, art galleries and
museums, student and staff exchanges and transfers we find universities to be open institutions
(Miller and Acs, 2017).This internal ecosystem interacts with the wider, non-campus ecosystem
stakeholders but the differences are noted in the boundaries within and around the campus. As
Figure 1 below shows, the filled lines of the non-campus represent the lack of permeability and
openness in off-campus institutions in the region or the city in which those universities are
located.
Figure 1: The Entrepreneurial Ecosystem of Research Universities: The Internal and External
Ecosystem Interface:
The External Ecosystems
The Internal Campus Ecosystem
Source: partly adapted from Miller (2016) cited in Miller and Acs (2017)
597
Turner’s Frontier Attributes
Turner argued that the United States of America’s past and especially its 400 years of frontier
experience (till 1890) had an outsized impact on developing American democracy, culture and
economy, and as a place of change and renewal, with a dynamic, hybridized, innovating people
creating a new kind of nation with a new kind of citizen, breaking away from Europe (Miller and
Acs, 2017). This frontier was marked first by considerable economic opportunities and available
assets (fertile lands, rivers, timber, fur and mineral resources). The second enabling factor,
liberty that is associated with distance from establishment institutions, values and culture
coupled with a desire to question those establishment principles. The third critical attribute is
the diversity of people who settled in the American frontier, a function of large scale but varied
immigration which helped create a unique national identity, and supported the development of
hybrid institutions and an evolving political and economic structure that deviated from European
norms (Miller and Acs, 2017). The distinctive flow of immigration over the centuries has led now
to the territorial uniqueness of innovation and enterprise in numerous parts of the country,
although much was achieved via the brutalization of indigenous people and the egregiousness
of slavery.
Miller and Acs (2017) have shown how the innovative American frontier that closed at the end
of the twentieth century has reemerged in the entrepreneurial economy on the U.S. campus.
The characteristics of Turner’s frontier: assets, liberty and diversity can now be found in the
tangible and intangible assets in the campus, liberty which is the cornerstone of university
research and education, and the diversity of its people. The deployment and utilisation of these
‘frontier catalysts’ have created campuses which are asset-rich environments: students with
disposable cash (often from loans, scholarships, and grants), advanced research and
technologies, talented people (academic staff, alumni, etc.), and extensive extracurricular and
co-curricular options. Given the growing interest in entrepreneurship as a subject of study in
universities across the world, can we find entrepreneurial ecosystems with these critical
features of assets, liberty and diversity in different ecosystems? We interpret these frontier
attributes and adapt the frontier model for our analysis of two institutions outside the USA to
examine how the model can apply in different contexts.
Entrepreneurship and the Capabilities Approach Complementing Frontier Assets.
The capabilities approach can be traced back to, among others, Aristotle, Adam Smith, and
Karl Marx but its most prominent, modern form has been pioneered by the economist and
philosopher Amartya Sen ( 1984, 1989, 1999), followed by some significant development of the
ideas by the philosopher Martha Nussbaum (2011) and others such as Deneluin and Shahani
(2009). Although it has been tested in a wide range of fields, in particular in development studies,
welfare economics, social policy and political philosophy, it has by and large been ignored in
the innovation and entrepreneurship literature.
Sen’s capabilities approach deals with well-being issues as ‘functionings’ at the wider economic
and societal levels. (Sen, 1999, 1989, 1984; Robeyns, 2005). When people are able to select
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from an option of functions they acquire “achieved functionings” or a ‘capability set’, especially
when people are able to choose their functionings based on their own understanding of wellbeing. We argue that ‘functionings’, such as autonomy, environmental mastery, personal
growth, self-acceptance, creativity, freedom to grow, training and development, are what people
(both student and staff) want to achieve in their universities. Allowing for the necessary
freedoms individuals can have to pursue their own learning, improve their self-efficacy and
sharpen their perceptions about what they could achieve, would be important considerations
for entrepreneurs, managers of organisations, and an informed citizenry. Figure 2 below
provides a diagrammatic interpretation of Sen’s Capability Approach model.
Figure 2: The Capability Approach: An Interpretation
Source: Authors
One of the entrepreneur's ‘functioning’ is being entrepreneurial (to start a new venture) (Gries
and Naude, 2011; Naude, 2013; Naude et al, 2008; Baumol,1990) and having the means to do
so. We note that the other ‘functionings’ referred to above are also regarded as characteristics
of entrepreneurs. These other ‘functionings’ when realized are also the basis for informing
innovative organizational activities through entrepreneurial managers, and creative citizens.
599
The modern entrepreneurial environment is characterised by capabilities for collaboration,
engagement, discovery-driven learning and integrative decision making. They help to achieve
both individual and organisational ‘functionings’. The development of an entrepreneurial
campus which responds to societal and organisational change is made possible by the
application of the frontier assets of the institution. In the entrepreneurial campus, ensuring that
students and staff can have the space to choose to function innovatively is critical to
entrepreneurial outcomes. Supporting innovative people in their effective opportunities to
undertake the actions and activities that they want to engage in, and be whom they want to be
on an entrepreneurial platform, need to be factored into institutional policy and practice.
Removing barriers in their work so that they have more freedom to function creatively to deploy
their skills, to generate new ideas and to fulfil objectives (their own and those of the university)
so that they have a reason to value what they do and can do, is part of the evaluation process.
The end objective of an innovation outcome and the recycling of the innovation process have
intrinsic importance. In reality ends and means may blur because some ends are
simultaneously also means to other ends (for example the capability of being technologically
savvy could be an end in itself but it may also be a means to achieve the capability for innovation
practice) (Mitra, 2017). The freedom to choose what ‘functionings’ they wish to achieve
indicates that they have the 'capability' (Sen, 2008; Robeyns, 2005). This also means that they
have access to the assets, and the liberty to enhance their human capital; and agency (Sen,
1999; Robeyns, 2005), in a diverse environment.
The breaking down of silos and collaborative learning and doing through a variety of
entrepreneurial learning projects help to develop capabilities among students and staff to
achieve their aspirations or what Sen refers to as ‘functionings’. The creative combination of
capacity and capability within an institution helps to establish an internal campus ecosystem,
which suggests a third proposition for our consideration (P3) below.
P3: The creative combination of a capacity for entrepreneurial activity with the capabilities for
achieving aspirations for entrepreneurial individual and organizational outcomes, helps to
establish an internal, entrepreneurial campus ecosystem.
An Ecosystem Approach to Entrepreneurship Education
We contend that while entrepreneurship research, education, training and enterprise creation
activities proliferate across universities worldwide, neither their utilitarian value (new ventures,
new product, service, new forms of organization or job creation) nor their intrinsic education
value (mind set change, new content creation or pedagogic experimentation, embedded
entrepreneurial learning across the curriculum or value creation) find necessary purchase in
the entrepreneurial ecosystem at the level of a region or any other external unit of ecosystem
assessment. Equally, a ritualistic engagement with the non-campus world does not necessarily
create an entrepreneurial university (Mitra, 2017). Systematic support for organic, decentralized
and novel combinations of resources and capabilities can be considered to be a better option.
Such support can yield entrepreneurial people who can either start new ventures or manage
innovative organisations in private and public spheres, and contribute to society and the wider
600
environment as entrepreneurial citizens. The university’s emergence or evolution as an
entrepreneurial campus is, therefore, a function of its capacity to generate entrepreneurial
capabilities across the board. In other words an entrepreneurial campus is not simply an
aggregate of multiple spin-offs, student enterprise, knowledge transfer, and other new, selfsufficient initiatives. Rather, and in keeping with a Humboltian vision of higher education, it is in
its ability to use its capacity to realise the different capabilities of individuals and the crossfertilisation of knowledge to generate new opportunities, appropriate to its context, that a
university can claim to be offering a holistic entrepreneurship education in an entrepreneurial
campus
There is as much entrepreneurship in the creation of new business or social ventures, as in
serious research, and cross-disciplinary programmes of study designed to help students
achieve entrepreneurial capabilities and mind set change. There is entrepreneurial endeavour
in new forms of pedagogy development combining multidisciplinary experiential learning, the
mobilization of resources for social change and outreach community engagement. Crucially,
there is entrepreneurship in the ability of graduates emerging from universities as engaged
employees or entrepreneurs and as citizens who can make a contribution to social change. The
entrepreneurial ecosystem evolves through this holistic approach to entrepreneurship which
fosters learning for achieving capabilities.
The assets at disposal in the campus, the liberty enshrined in free thinking, and the diversity of
the varied user-producer groups, have ecosystem purchase only when we find the capabilities
representing the set of aspirations that have desired outcomes for the nodes of individuals in
the ecosystem. Not all institutions will have an identical approach to using their ecosystem for
the same end, and not all outcomes are guaranteed. But the systematic practice of innovation
through a focus on capabilities in universities can at least provide pathways for desired ends.
All students can, therefore, have a go at working towards achieving entrepreneurial well-being,
a view that supports our fourth proposition (P4):
P4: Entrepreneurial universities provide for frontier assets, liberty and diversity to enable
multiple entrepreneurial outcomes for its students, including new firm formation, entrepreneurial
career development and entrepreneurial citizenship.
The use of the Capability lens in conjunction with the Turnerian themes enables us to explore
the entrepreneurial campus beyond what human capital and institutional theories allow us to
consider. With human capital we are limited to formal and informal forms of learning and the
trade offs between nurturing them locally or as a public good. Dynamic capabilities (Teece, 2012)
emerging from an interplay of routines in and entrepreneurial action by an organisation, are
essentially acquired attributes of the orgnasation. The capability approach recognizes the
agency function of the individuals in the organization in terms of their ability to use and benefit
from the capacity of the organization.
601
Courses, extracurricular
Available Assets
Entrepreneurs
and cocurricular options,
peers faculty, alumni,
Entrepreneurial
Support service
Providers
networks, research labs,
libraries
Dispersed decision making,
Liberty
freedom of research and
and
Capabilities
field of study,
extracurricular choices,
part-time/full time
Ethnicity, race, class, place of
birth, age, education levels,
Diversity
Functionings
political ideologies,
regenerating youthful
population, visiting scholars,
Entrepreneurial
Policy Makers
Entrepreneurial
/
Entrepreneursh
ip
Researchers
and
Academics
Entrepreneurial
Citizens
This mix of frontier characteristics with the approach to capability development plays out well
in the making of a research university campus’s entrepreneurial ecosystem, as Figure 2 below
shows. It also allows us to consider a fifth proposition (P5):
P5: Achieving the capability for being entrepreneurial in a variety of environments is a function
of the use of assets, liberty and diversity in the campus.
Figure 3 below encapsulates the use of the capacity and capability concepts as part of a
conceptual model for our arguments.
Figure 3: The Frontier Campus and its Internal, Entrepreneurial Ecosystem
Source Authors
602
Courses, extracurricular
Available Assets
Entrepreneurs
and cocurricular options,
peers faculty, alumni,
Entrepreneurial
Support service
Providers
networks, research labs,
libraries
Dispersed decision making,
Liberty
freedom of research and
and
Capabilities
field of study,
extracurricular choices,
part-time/full time
Ethnicity, race, class, place of
birth, age, education levels,
Diversity
Functionings
political ideologies,
regenerating youthful
population, visiting scholars,
Entrepreneurial
Policy Makers
Entrepreneurial
/
Entrepreneursh
ip
Researchers
and
Academics
Entrepreneurial
Citizens
Source Authors
Methods and Data
Our paper is conceptual in scope and purpose but has empirical reference points in the form of
two case studies. The case studies provide illustrative material but, in this paper we do not
validate or triangulate any data through other empirical devices generally associated with case
studies. An early stage in the conceptualization process does not necessarily warrant empirical
niceties especially when a conceptual framework is under development.
Using Turner’s “Frontier Thesis of the United States” (Turner, 2008) we construct a framework
for understanding the university campus as an entrepreneurial ecosystem particularly at
Hanyang but also at Essex. We identify commonalities and distinctive features of the two
different campuses. We then draw on the capabilities approach (Nussbaum, 2011’ Sen, 1989;
1984) theory to augment Turner’s thesis in the context of research universities. We examine
the five propositions above through the two case studies and address the two conceptual
challenges referred to above. We use secondary material to sketch the entrepreneurial
university ecosystems of the two universities.
Epistemologically, our approach is positivist. We apply theory and build our analytical models
for studying entrepreneurial campuses and how and why they shape entrepreneurship
education. .We carry out qualitative research, following Yin’s (2009), rationale for using case
603
studies to understand complex, social but bounded phenomena (Gerring,2004) or the
application of new social constructs in unfamiliar settings. We are, consequently able to identify
characteristics and patterns of evolving phenomenon that yield ideas, data, and interpretation
with which to elucidate features of potentially a larger unit of similar phenomenon.
The entrepreneurial campus of the two universities constitutes the primary unit of analysis so
that various features of this contemporary experience may be explored (Miller and Acs,
2016).Our selection of the two universities is based on the specific excellence in experiential
entrepreneurial knowledge creation (South Korea) and the social science driven excellence
(Essex) in developing an entrepreneurship curriculum. The locations of the 2 institutions are
markedly, different. Hanyang boasts of a thriving urban presence in the heart of Seoul, the
capital of South Korea, a city known for its bustling economic prowess, while Essex is located
in primarily rural environment in the east of England, not known for its entrepreneurial prowess
Essex has a diverse, internationally-oriented people profile, while Hanyang’s essentially Korean
identity defines its organization. These differences in their age and size provide for different
capacities and capabilities. We account for both the commonalities and the differences but do
not evaluate them against a common set of pre-ordained metrics to determine any possible
hierarchy of entrepreneurial campus capacity or capability. Rather we offer them as illustrations
to develop an analytical, internal ecosystem model with which to examine critically, different
types of entrepreneurial campuses. Our purpose is to first show case two different models of
entrepreneurship education, and second, to demonstrate how our conceptual framework allows
researchers to examine, critically, varied approaches reflecting different contexts,
epistemological considerations, and objectives.
The empirical field work in Korea is based on three focus group interviews with 10 experts from
diverse support organizations and 14 in-depth interviews with entrepreneurship experts. We
also used secondary material to validate the evidence. Our UK study is a critical, post-hoc
evaluation of the evolution of entrepreneurship education and research in a very different
environment in the UK, using a diverse set of secondary material and records of the direct
experiences of the founder of the programmes.
In this study, the detailed descriptive data of cases is used to explain how universities may
respond to the driving forces of higher education entrepreneurship ecosystem. The findings are
then used as the beginning of a conceptual framework or an explanatory model (Miles and
Huberman, 1994) that explores how universities develop entrepreneurship ecosystems and
how participation in that ecosystem becomes critical to an ecosystem approach to
entrepreneurship education.
The Two National Contexts
South Korea
In the early 1960s, Korea pushed ahead with export oriented economic development plans. US
support may have helped with the formulation of economic policy and exchange of know-how
604
and strategy, but the growth of the Chaebols and the sharp focus on technological
advancement in Korea, are, essentially, part of the country’s own endeavours in economic
advancement. We have a different formulation of assets, the granting of liberty and diversity,
which is primarily locally driven. The focus on export-oriented policies led to the sharp growth
of the Korean economy from the early 1960s to the late 1980s. Gross Domestic Product (GDP)
increased by an average of more than eight per cent per year, from US$2.7 billion in 1962 to
US$230 billion in 1989. Per capita GDP increased from US$103.88 to US$5,438.24 in the same
period. This rapid growth of Korean economy led to Korea being called one of the ‘Asian Tigers’,
along with Taiwan, Singapore and Hong Kong (KCIS, 2015). At present, the country has a
number of industries that boast solid international competitiveness, such as shipbuilding,
iron/steel and chemical industries. Hanyang University played an important role in the economic
development of Korea by educating engineers focusing on technological innovation and
Figure 4: The Industry-University Cooperation Foundation and its linked Activities
Education
· Business courses
· Techno
management
· Start-up Academy
Research &
cooperation
· Business incubation
major
· Tech Venture
Program
·R&D for
entrepreneurship
Training
-Start-up
competition
· Start-up
internship
· Exchange with
domestic and
foreign
entrepreneur
centers
· Hanyang Startup
Global Challenge
· Supports
production of
prototype using
3D printing
·Joint program
Incubating &
investment
Networking
· Hanyang Startup
Forum
· Business incubation
center / alumni
sponsorship
· Mentoring Cafe
· Mentos Oncoll
· start-up discovery
and cultivation
· Business Hub Day
· Excellent Start-up
Meeting
· Expansion of
investment-linked
infrastructure
Source: Authors
605
technology transfer (Cho, 1994; Jones and Il, 1980). Moreover, it was the first university in
Korea established the Industry-University Cooperation Foundation, an organized program for
cooperative research with industrial partners, in 2003. The foundation has built up a one-stop
total incubating system from education, training, networking, incubating and investment, and
research and cooperation to provide comprehensive and systematic support for startups Figure
4 below shows the different components of the Foundation’s activities.
The United Kingdom
Europe, and in particular, the United Kingdom, cannot boast of a similar frontier evolution to
that of the USA. However, we could consider exactly the opposite in Great Britain’s ‘Britannia’
experience in the colonies. In moving out to the colonies, the English forged new identities
through that experience even when the values of the establishment hierarchy carved out a
position of enforced superiority over the colonized in Africa, Asia, the Caribbean and the
Americas. Assets were plundered and looted, but access to land, spices, fabrics, minerals, gold
and commodities, enabled creative combinations and economic opportunity development.
None of this development could have occurred without the experience of diversity of people,
environment, different sources of knowledge and technology that was obtained in the colonies.
England’s unique experience has attracted in return the flow of talented migrants and creative
organisations which dominate the landscape today. Britain’s entrepreneurial endeavours have
been less spectacular with notable exceptions such as the Durham University spin-out, Applied
Graphene Materials, Circassia Enterprise from Imperial College, and Fermavir, in Cardiff the
company set up to commercialise his laboratory’s work on shingles treatment. Here too we find
an alternative formulation of assets, diversity and liberty, forged by a sustained effort at
maintaining global connectivity, even if part of that involved egregious empire building and
appropriation of the assets of others.
Illustrative Case Studies
A Sketch of the Entrepreneurial Ecosystem at Hanyang University, South Korea
Capacity Building
Hanyang University is a private research university in South Korea (hereafter Korea). The
university began as ‘Donga Engineering Institute’, which was founded by Kim Lyun Joon in
1939, whose intention was to produce science and technology experts for the nation. The
Institute expanded and was later renamed ‘Hanyang Engineering College’ in 1948, with the
objective of contributing toward rebuilding the nation through practical education and
technological expertise. The College continued to develop and was transformed into ‘Hanyang
University’ in 1959, offering comprehensive education and training in various fields. Its main
campus is in Seoul, and the second one, the Education Research Industry Cluster at Ansan
(ERICA) campus, is located in Ansan, lies about 30 km southwest of Seoul. As of the end of
2017 33,065 students - 24,536 undergraduate and 8,529 graduate students in 2017- are
registered under 24 colleges and 105 departments in two campuses. In 2015, it was ranked 1st
606
for the number of CEO alumni of venture companies1 and it won the 'Best Practice Prize' in
start-up support2 in 2016. In 2017, QS ranked Hanyang University 155th in '2017 QS World
University Rankings'3.
Entrepreneurial Capacity
Since Hanyang Industry-University Cooperation Foundation introduced major in
entrepreneurship in 2015, its subject offering spread to twenty one practice focused start-up
lectures, as described in Annex 1, and seven compulsory tech- major startup courses
particularly organized for engineering college students. In addition, it organizes Hanyang Startup Academy, Hanyang Tech Ventures, and Venture Business CEO Academy once a year. The
education of Hanyang is designed to instill students’ startup drive and cultivate their
competence by running a practical program such as start-up competitions, entrepreneurship
camp, 3D printing education, idea realization and business development support, start-up
festivals and company visits that students can participate in directly. Moreover, the university
regularly offers networking and mentoring opportunities with successful entrepreneurs and the
experts of diverse industries. It organizes every quarter Entrepreneur Forums, Mentoring Café
and Alumni-Students Mentorship Program. The institute also provides venturing space for
startup preparation and incubation which is sponsored by alumni and open to venture
companies, startup clubs, and student entrepreneurs. Exchange and joint program with the
entrepreneurship centers at home and abroad 4 is also arranged to foster research and
development of practice entrepreneurship. In sum, Hanyang University supports the students
by offering practice based incubating system, regardless of their major. This practice oriented
approach consisting of five elements - education, training, networking , incubating and
investment, and research and cooperation - has enabled students to access a broad pool of
innovation and entrepreneurship programs across diverse disciplines in line with a holistic
approach to entrepreneurship education (Mitra, 2013: 216), expanding assets, together with
the freedom to pursue those assets.
The university established an open platform “Hanyang Startup Lounge” which provides easy
access to shared information about startup support education, related programs, and mentormentee connection in 2009. In addition, it also provides business start-up support which is
comprised of Global Entrepreneur Center, Entrepreneurial Lab and Technology Holdings
Company. .
The Global Entrepreneurship center has been established in 2009 by initiative of the alumni
entrepreneurs and government support. The center aims at fostering not only prospective
1
Korea Economic Daily http://news.hankyung.com/article/2016102537611 (Oct/26/2015)
Dong-A Daily http://news.donga.com/3/all/20160711/79125298/1 (July/12/2016)
3
QS World University Rankings https://www.topuniversities.com/qs-world-university-rankings (Dec/13/2017)
2
4
(U.S.) Silicon Valley · New York · Las Vegas, (China) Shanghai · Beijing, (Indonesia) Jakarta · Bali, (Vietnam) Hanoi ·
Ho Chi Minh, (Canada) Ottawa.
607
entrepreneurs, but also supporting established and students. In particular, the center provides
Hanyang Tech Venture Program (HTVP) which directly support the entire cycle of startup, from
the development to the commercialization of a new business model that combines the university
technologies of next generation growth engine and unused ideas of large companies, as shown
in figure 5 below.
By doing so, it contributes to stable business development, securing intellectual property rights
for startup items and enables startups to create a new business model combining universityowned technology and the unused ideas of large companies. Furthermore, startups have free
access to entrepreneurial lab in where they can develop university-industry collaboration
through technology commercialization. Furthermore, Hanyang holds seven Technology
Holdings Companies in the field of Nano biotechnology, material components, software,
semiconductor, Information and communications, energy and education, involved more than
30 % of the capital investment of the holding companies. It allows technology holding
companies to commercialize the university’s technology and research, and to facilitate the
formation of spinouts. Superb technology thus can be commercialized through the Technology
Holdings Companies and direct investment.
Figure 5: Business start-up support, Hanyang University: One Stop Incubation System
Source: Authors
Capability Development
608
Overall, Hanyang enjoys its urban settings in two campuses and strong alumni ties with financial
supports on startup support systems. Their technology-oriented support systems and
commitment to lecture freedoms promote wide-ranging entrepreneurship to students and
entrepreneurs of early startups, and foster ‘prepared technical startup entrepreneurs’ trained
with the live on-site experiences and practical insight of entrepreneurs.
Although Hanyang University has established diverse centers and organizational bodies to
excavate alumni entrepreneurs and nurture the university’s entrepreneurial ecosystem, its
capability (Sen, 2008; Robeyns, 2005) can be characterized as a top-down approach
embedded in Korean industrial culture. To understand this point we first need to acknowledge
the Korean Chaebol (large, family-owned Korean conglomerates) system which has had a
certain influence on capability by investment especially in the assets and diversity of institutions.
For instance, Chung Mong Koo (Chairman of Hyundai Motor Group, Graduated Industrial
Engineering in 1967) is an alumnus of Hanyang University, and he invested 14 million USD and
established “Chung Mong-Koo Automotive Research Center” in 2015. A basic idea is that
‘investment in universities → Securing source technology for future industry development →
securing excellent manpower in basic technology research'. The research center is expected
to be used as a space for cultivating technical experts who can design technology for future
cars such as green cars and smart cars. However, the research center mainly supports selected
startups in the field of mechanical engineering, electrical and electronics and IT software
sectors. Second, the organization of Center for Global Entrepreneurship acts as the “control
tower” for specific types of startup support operating as a closed control mechanism rather than
as an open organization enabling different types of startups to emerge organically. Third, the
Center for Global Entrepreneurship provides pre-defined goals and visions. For instance, the
center aims to foster 30,000 startups generating 15 percent of GDP by 2030, without
considering changes in external factors such as consumer demand, market trends and
regulations.
A Sketch of the Entrepreneurial Ecosystem at the University of Essex, UK
Capacity Building
The paper’s second short case study is about a relatively small university in the UK.
Established in 1963 as a public research university, the University of Essex received its Royal
Charter in 1965. Its location at Wivenhoe, near Colchester in the county of Essex – a small
urban oasis in a predominantly rural setting- does not reflect a presence in an environment of
dynamic, innovative organisations (its smaller Southend campus is, however, is in an urban
environment).. The university’s entrepreneurial antecedents can be found in other forms of
innovative and creative endeavour. Its international and diverse identity was forged in the
smithy of radical thought and action in the 1960s as exemplified in the work of leading academic
intellectuals in the fields of politics, economics, sociology and the diverse body of the student
community. Together they created a rich, research-led resource environment of knowledge
creation with a particular, but not exclusive, focus on the social sciences, and a dynamic actionoriented presence wedded to the values of diversity, freedom of thought and internationalization.
609
The 1970s saw the development of larger departments and relationship with local businesses,
allowing it attract substantial research grants which eventually led to the location of the British
Household Panel Survey headquarters at the University in the 1990s and the Data Archive of
the
Economic and Social Research Council of the United Kingdom. The University is
considered to be one of the top 2% of universities in the world by Times Higher Education World
University Rankings with a particular track record as a provider of excellent research and
teaching for over fifty years (THE, 2017). The University of Essex was rated in the top 20 in the
UK in the Research Excellence Framework (REF 2014)
Entrepreneurial Capacity
The University established its first School of Entrepreneurship and Business (SEB) at its new
Southend campus in 2004-5, with its first Professor of Business Enterprise and Innovation,
marking another radical departure from tradition in higher education in the UK. The idea of an
entire new school dedicated to entrepreneurship and innovation in business was a novel
concept in the country, made possible by the prevailing vision of the university leadership for
contributing directly to the region and the local community while establishing international links.
A range of different programmes were developed to address a range of issues about
entrepreneurship in different contexts, working as it were towards creating a new discipline
The primary objective was to establish programmes which were thematically and sectorally
focused and functionally oriented. The programmes reflected the messages obtained from
market intelligence about the topics and themes. For example, 2005-6 was a critical point at
which the creative industries were gaining ground in the UK economy. Similarly, international
business activities were marked by highly entrepreneurial developments in the orientation,
strategies and methods of operation of externally focused businesses with the rapid spread of
globalization. This compendium of courses was offered to local and international students for
the first time at Essex in the academic year 2005-6. Their key learning features included the
critical resolution of organisational and environmental problems, coupled with resolution of
personal development issues, with particular reference to new venture opportunities. Students
could complete the programmes with either a research-based business plan for an organisation
or a traditional dissertation. Underpinning the content, the processes, pedagogies and the
assessment structures are three distinctive drivers. These drivers are the interpretation of
entrepreneurship as value creation, the systemic or holistic approach to entrepreneurship
education based on the idea that it is for all who sup at the table of creativity, endeavor and
newness, and the mix of different pedagogies and tools with which to impart entrepreneurship
education (Mitra, 2017)
Starting with three postgraduate Masters programmes on theories and practice of
entrepreneurship and innovation, entrepreneurship in the public sector and creative industry
innovation, the portfolio developed rapidly to cover diverse areas such as Marketing,
International Business, Human Resources, Social Ventures and Small Business Management,
all with an entrepreneurial twist. The SEB established the first PhD in Entrepreneurship
610
Programme in 2005-6. Innovations continued with the creation of the University’s first ever
Centre for Entrepreneurship Research in the same year, which has mutated into the Venture
Academy, with its focus on applied R&D and action-research oriented projects with local and
international ventures. The Centre attracted the first ever investment from a major Chinese
medical devices company to explore innovative market entry strategies for Europe. The direct
involvement of graduate students in these projects ensured the embedding of some of the
project-based learning components in the academic programmes.[
An early proliferation of programmes led over time to their inevitable consolidation coinciding
with the merger of the SEB with the School for Accounting, Finance and Management in 2008
to form the new Essex Business School. The idea was to avoid possible duplication and
redundant provision especially where content and methods could be integrated. The MSc
programmes for the Creative Industry and Small Businesses were subsumed in the overarching
MSc in Entrepreneurship and Innovation, together with the MSc in Entrepreneurship and
Regional Development. What was lost in breadth was more than compensated by the reworking
and the new richness of key programmes. Furthermore, new routes were explored with the
introduction of entrepreneurship and innovation modules in the MBA programme leading to the
its revision as an Entrepreneurial MBA in 2013-14 highlighting the importance of the topic to
modern day managers along with sustainability and internationalization.
Capability Development
While consolidation at the departmental level met departmental organizational priorities,
proliferation of entrepreneurship education and extra-curricular activities has marked the
University’s motivation to support students and staff with alternative opportunities. These
opportunities enable students to articulate and crystallize their learning gain through business
plan competitions, participation in boot camps, counselling sessions, organized by the
Employability Office. They sit alongside an entrepreneurship concentration through a
Postgraduate Certificate programme in ‘Creating and Growing a New Venture’ for all graduates
of the University, offered by the Business School. Bio and Computing Science Masters students
are able to opt for an elective on a similar but technologically biased course that allows them to
develop entrepreneurial capabilities to complement their technological prowess. A separate
initiative based on crowd sourcing and crowd funding enables any student to mobilise resources
to develop and implement entrepreneurial projects of their choice and complement their
graduate studies. The establishment of a new Innovation Centre together with an Incubation
Centre enables the presence of new firms by students, staff and entrepreneurs from outside
the University.
Figure 6: A Holistic Framework for Developing an Entrepreneurial Campus through
Entrepreneurship Education
611
Source: Mitra (2017)
What we see emerging here is a new entrepreneurial ecosystem in the campus. Underpinning
this development is the progressive integration of assets, freedom and diversity with the
emerging capabilities of the students. A growing number of faculties (approximately 8) across
the campuses are complemented by entrepreneurial colleagues from other departments and
support staff from professional services. An increase in the involvement of guest lectures and
visits is contributing to the forming of the necessary building blocks to help facilitate the
achievement of capabilities. The holistic approach to entrepreneurship education in an
entrepreneurial campus is summarized below in Figure 6
Analysis and Discussion
It may not be possible to generalise from the case studies but they offer insights into the types
of agents, institutions, cultures, and resources that are contained in an entrepreneurial
ecosystem, thus confirming the value of Proposition 1 (P1). More specifically they provide an
understanding of what it takes to develop an ‘internal ecosystem’ that utilizes the capacity for
entrepreneurial endeavor by developing capabilities for their realization, which suggests that
Proposition 2 (P2) could be used for further critical examination of entrepreneurial campus
ecosystems..
612
The assets are made up of the infrastructure, the people, the courses and the projects, but it
also includes diverse governance structures enabling entrepreneurship to develop across the
campus in different forms. The liberty and freedom is characterized in the openness, and
decentralization of activities that have played a role in supporting entrepreneurial learning
(multiple courses, concentrations, electives)and a strong sense of entrepreneurial value
creation (entrepreneurial outcomes. They complement capabilities for research and teaching
excellence) across the curricula and through sustainable resource mobilsation opportunities
(dedicated institutional start-up funding at Hanyang and a crowd funding platform for
entrepreneurial activities beyond business start-ups at Essex), enabling the realization of
aspirations for entrepreneurial thought and action. Proposition 3 (P3) is, therefore, a viable
consideration for developing entrepreneurial campus ecosystems.
Crucially, using this ecosystem approach we obtain two very distinctive insights. First, the
combination of capacity and capabilities help generate a range of activities across the campus,
thus reinforcing the point about entrepreneurial campuses being defined by a clear
entrepreneurial focus. Second, the ecosystem approach, allows us to consider a holistic
approach to entrepreneurship education which derives its meaning from multiple forms of
provision enabling the realization of different sets of aspirations of its students and staff. The
utilization of this ecosystem approach does, however, vary with the context.
In both institutions there has been a rapid escalation of entrepreneurial initiatives both
organically as a direct manifestation of interest in entrepreneurship. In Hanyang in particular,
we note how the school’s leadership capitalized on a national start-up agenda to bolster its
strong engineering and technology base, thus enabling a clear focus on technology –based
entrepreneurship. The direction of travel for entrepreneurship here was to meet specific targets
of the nation and the institution. To do that it developed its capacity in terms of infrastructure,
courses, funding, alumni support and pronounced government support to help their students to
fulfill their aspirations for becoming technology entrepreneurs.
The case of Hanyang University offers insights into the types of agents, institutions, programs,
and (internal and external) resources that are contained in an entrepreneurial ecosystem, thus
confirming the value of Proposition 1 (P1). In addition to, it enhances our understanding of
‘internal ecosystem’ by illustrating how Hanyang Industry-University Cooperation Foundation
coordinates startup supports programs with the help of critical assets and the setting up of
diverse agents across internal and external ecosystems, which is framed as Proposition 2 (P2).
While technology-based entrepreneurship is a strategic choice of the university, the openness
and range of entrepreneurial support measures centred round technology commercialization,
bears testimony to a sense of liberty with key Korean characteristics. It is a form of functional
liberty informed by the national economic agenda which is striving to redirect Korean’s
economic future towards high technology entrepreneurship through start-ups from its previous
reliance on Chaebol largesse and protection. The “functionings” of students and staff are
moderated by this functional approach. Where, there is a correspondence between the
technology and start-up -oriented “functionings” of individuals and the directed policy agenda
613
for start-ups, there are significant opportunities for “achieved functionings” or capabilities. We
could, therefore, argue that the Korean case does not fully support Proposition 3 (P3).
Hanyang University established a Korean-type of entrepreneurship education system, starting
from startup practice courses, incubation, attracting investment, entering the global market and
launched own education systems in Silicon Valley, New York, Shanghai, Beijing and Hanoi. In
addition, it set up a Department Business Incubation and Integration in undergraduate and
graduate school aiming at providing customized education particularly for the engineering
college. Together with alumni entrepreneurs and government support, Hanyang university
proactively supports entrepreneurs both inside and outside of campuses by offering them a
wide range of opportunities to identify and achieve their ‘functionings’.Hence, the Hanyang case
well demonstrates the potential value of Propositions 4 (P4) and 5 (P5) as it applies in a specific
context.
Essex’s entrepreneurial campus development has a more organic trajectory. Its predominantly
social science driven research and education profile raises questions about what
entrepreneurship means and how it works from a critical perspective. However, the
concentration of entrepreneurship education and knowledge exchange programmes in the
Business School and in the Computing and Bio Science departments have also provided for
platforms with a more practical agenda. The mix probably, contains more of hues of critical
social science thinking with students learning about the extensive range of possibilities that lie
in pursuing entrepreneurship as a subject of study. To be able to do this alongside typical social
science majors, or as part of more traditional business subjects and science education, opens
up opportunities for realizing a diverse set of “functionings”. Unlike Hanyang, Essex is not driven
directly by a national policy agenda for start-ups. The encouragement for entrepreneurial
activities remains a secondary objective finding articulation in the form of various policy
exhortations about knowledge exchange, impact drawn from research (limited to the influence
of research on practice but not the generation of practice from research).
It remains to be seen how the university ‘internal ecosystem’ evolves over time and space, and
interacts with ‘external ecosystem’. Political regulation changes should be also considered in
Korea, as the Moon Jae-In administration recognizes the importance of the roles of universities,
relaxing some regulations and introducing new initiatives aimed at university startups (Forbes
2017).
Essex has relatively low base of physical assets compared to Hanyang, but its asset base is
wide with “soft” connotations in that attempts have been made to introduce entrepreneurship
programmes and electives for non-business students. Its “soft” asset base is also diverse in
that it has allowed for an approach to entrepreneurship which is as much about business startups and growth or technology- centred incubation, as it is about the creation of new ventures
to address social ventures, the development of new pedagogies based on entrepreneurial
outcomes to enhance learning, and entrepreneurial social projects that complement the study
of traditional social science subjects. The entrepreneurial outcome is manifest in the
614
development of new creative mind sets through the range of innovative, integrative, problemsolving, analytical, learning, and adaptive skills sets.
Hanyang and Essex are of course very different institutions as we have noted above. Their
regional and national contexts and the systems of higher education are all relatively important
to the making of entrepreneurial ecosystems. Hanyang’s well-established engineering and
technology focused internal ecosystem owes its success to many years of engagement with
state policies and economic agendas, coupled with significant levels of involvement with the
business and alumni community. It has carved out a unique regional national position in
entrepreneurial campus history in Korea. It appears to have established a balanced portfolio of
excellence in teaching and outreach (start-up building) supported by applied research,
acknowledging the importance of entrepreneurship as both a systemic necessity and a form of
institutional achievement. By combining different sub-disciplinary and stakeholder interests
oriented around the making and selling of high technology products and services the
entrepreneurship ecosystem, has benefited students and staff in creating new combinations of
capacity and capability specific to its needs. Essex is carving out its approach to creating its
own ecosystem as a much younger institution through staged developments. Starting first with
the success of its academic programmes in entrepreneurship it is now expanding both its
capacity and its capabilities for a unique campus, entrepreneurial ecosystem. It faces
challenges in the enforced national structures of the Research Excellence Framework (REF)
and the putative Teaching Excellence Framework (TEF) which do not recognize the varied
outcomes afforded by an entrepreneurial ecosystem.
A summary of the findings from the analysis above is provided in Table 2 below (See Annex)
Concluding Observations
We note, however, that the holistic approach for the creation of a fountain head for
entrepreneurial learning at different levels and various contexts in both institutions. This is made
possible through strategies for developing internal ecosystems. In doing so both universities
have addressed the two challenges we posed at the beginning: a) an understanding the higher
education campus as an entrepreneurial campus ecosystem (an internal ecosystem) within
which entrepreneurial activities, find their role; and b) taking entrepreneurship to mean more
than new business creation, helping to develop new mind sets for effecting change in work and
as citizens. In providing for the key assets, encouraging liberty of thought and expression and
promoting diversity of people, ideas and practice, both universities enable capabilities for
economic, social, cultural and personal value creation. Figure 6 below attempts to capture
diagrammatically the essence of our arguments about the links between capacity and
capabilities for the development of a conceptual framework for ecosystems based
entrepreneurial campus.
Figure 7: Towards a Conceptual Model of an Ecosystem Model for the Entrepreneurial
Campus
615
Source: Authors
What differentiates the two institutions is the focus on Hanyang’s contribution as an incubator
for Korea’s start-up agenda, or a policy driven agenda to create a distinctive entrepreneurial
campus, and the organic evolution of entrepreneurship education and learning contributing to
a particular type of entrepreneurial campus, at Essex. While the former harness technological
capacity to generate entrepreneurial capabilities, Essex, enables potential mind set change
using its learning capacity to create entrepreneurial possibilities.
Implications
Our model for an internal ecosystem closely linked to an external ecosystem should be useful
for universities to determine how entrepreneurial thinking and action can help create
entrepreneurial campuses. Rather than an exclusive focus on new business creation through
specific,and often isolated instruments, the idea is to examine the whole campus as an
entrepreneurial unit of analysis. Such a holistic approach to entrepreneurship breaks down silos
of research, teaching and knowledge exchange by augmenting it with the equally strong
outcome of entrepreneurial endeavor. This could also support university management in
creating new pathways to the enterprise of learning, decentralized administrative structures and
openness to capacity and capability building. The application of this approach could
accommodate the harnessing of very specific capabilities such as those for technology-based
616
start-ups, as in Hanyang, or an organic, mind set development approach leading to many
different manifestations of entrepreneurship in society.
Researchers could use our propositions to test empirically new combinations that create
entrepreneurial campuses through capacity and capability building identifying what is relevant
and appropriate in different contexts. Our paper opens up possibilities for further new research
on entrepreneurial universities and their impact on learning, institutional change and opportunity
development. We contribute directly to the augmentation of entrepreneurship education and
development in the campus through our advocacy of an internal ecosystem approach to both
campus development and entrepreneurship education with a close, symbiotic link between the
two.
Finally, both education and economic policy could provide for better solutions to growth and
development through the use of our ecosystem framework and our novel approach to campus
entrepreneurship. Rather than be hamstrung with notions of increased capital and revenue
spending for greater impact with shrinking resources, and limited appreciation of accelerating
changes to the ways we learn and think in the digital age, policy makers could open up
opportunities for universities to redefine themselves in terms of both the Humboltdian vision of
all around education together with experiential learning, fostering the diversity of knowledge
assets with which to make a real impact on the wider economy.
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Annex
Table 1: Startup Lectures
Subject Name
Unit Lecture Practicum
Category
Credit Hours Hours
Social Center for Global
Entrepreneurship
2
2
0
Startup Talk Concert
2
2
0
Startup Basic: Understanding
and utilizing of 3D Printing
3
3
0
Startup Basic: Understanding
of Culture and Art Industry
3
3
0
Startup Basic: Startup and
Center for Global
Entrepreneurship
3
3
0
Advanced Practice: Actual
Startup Workshops
3
3
0
Startup Practice 2
3
0
3
Advanced Startup: Global
Startup Seminar
3
3
0
Advanced Startup: Startup A
to Z
3
3
0
Core
Foundation
Core
Foundation
Core
Foundation
/Major
Intensive
Core
Foundation
/Major
Intensive
Core
Foundation
/Major
Requirement
Core
Foundation
/Major
Requirement
Core
Foundation
/Major
Intensive
Core
Foundation
/Major
Intensive
Core
Foundation
/Major
Requirement
620
Year
Offered
Department
(Recommended) Semester
All years
Semester Center for Global
1
Entrepreneurship
All years
All
Center for Global
semesters Entrepreneurship
Second year
All
Center for Global
semesters Entrepreneurship
Second year
All
Center for Global
semesters Entrepreneurship
Second year
Semester Center for Global
1
Entrepreneurship
Second year
Semester Center for Global
1
Entrepreneurship
Second year
Semester Center for Global
2
Entrepreneurship
Third year
All
Center for Global
semesters Entrepreneurship
Third year
Semester Center for Global
1
Entrepreneurship
Startup Practice: Strategy of
Financing and Investment
3
3
Techno-Business
Administration (Startup
Capstone Design)
3
3
0
Core
Foundation
/Major
Intensive
Third year
All
Center for Global
semesters Entrepreneurship
0
Required
Foundation
Second, Third
year
Semester Center for Global
1
Entrepreneurship
Second year
Semester Center for Global
1
Entrepreneurship
Third year
Semester Center for Global
1
Entrepreneurship
Third year
Semester Center for Global
1
Entrepreneurship
Second year
Semester Center for Global
1
Entrepreneurship
Second year
Semester Center for Global
1
Entrepreneurship
Second year
Semester Center for Global
1
Entrepreneurship
Second year
Semester Center for Global
1
Entrepreneurship
Third years
Semester Center for Global
1
Entrepreneurship
Startup Basic: Design
Thinking
3
3
0
Advanced Startup: Finance
and Law for Startups
3
3
0
Advanced Startup: Patents and
Creative Business Strategy
3
3
0
Startup Practice: Campus CEO
3
3
0
Startup Practice 1
3
3
0
Startup Practice: Capstone
Design
3
3
0
Startup Basic: Business
Strategies of Successful
Korean Entrepreneurs
3
3
0
Advanced Startup:
Cooperatives and Startup
3
3
0
Core
Foundation
/Major
Requirement
Core
Foundation
/Major
Requirement
Core
Foundation
/Major
Requirement
Core
Foundation
/Major
Intensive
Core
Foundation
/Major
Intensive
Core
Foundation
/Major
Requirement
Core
Foundation
/Major
Intensive
Core
Foundation
/Major
Intensive
Students who have not applied for major in Center for Global Entrepreneurship can also take classes as their core courses.
621
Table 2: Comparison of Internal Ecosystems of Hanyang and Essex Universities
Ecosystem Constituents
Essex
Hanyang
Assets
Social Science base; Research
base with new knowledge
exchange base;
Technology & Engineering
base; Experiential knowledge
baseline; technology
infrastructure; start up courses;
strong government & alumni
support
Liberty
Entrepreneurship as Social
Science; Research driven
agenda; dispersed decision
making
Entrepreneurship as
experiential knowledge;
Centralised with functional
branches
Diversity
International Community;
large race & gender diversity
Largely local & aimed at local
start-up capability; gender
diversity
Capabilities as Achieved
Functionings
Entrepreneurship as embedded
in social learning system; open
ended
Entrepreneurship as start up
capability; policy impetus
622
Relationship between Art Thinking and Social Effects
1Minatsu Arigam, 1Kang Rihyei
1Japan Advanced
2
and 2Akio Shimogoori
Institute of Science and Technology,
National Institute of Technology, Hakodate College, Japan
Email: arigaminatsu@gmail.com
Abstract:
The purpose of this research is to organize the views of the authors concerning the possibilities (and
examples) of how art activities may relate to the business field. One of the authors (Ariga) creates
artwork herself, and also works professionally in an art university, and conceptualized the kind of
thinking process in which creativity is needed when creating art, terming this "Art Thinking". The
research intends to verify and analyze its social competence, along with a program of education aimed
at those human resources sought by society through art practice from the viewpoint of arts thinking,
and of the eight aptitudes under the rubric of Multiple Intelligences (Gardner, 2013).
Through coining the word "Art Thinking" toward that notion, the authors examine the hypothesis that
art activities require the creative mind and skills, so-called creativity, as a professional ability that is
deeply linked with "social competence" and "zest of living". In the art field, the method of designing
business models according to design thinking is becoming increasingly popular, but there are few
related studies on how artwork itself and the process of making art can contribute to society. It has
been known that art has power to heal people, and that creative activity increases human healing
power. However, a final work of art does not prove the power of art even with this explanation.
Therefore this research discusses examples of how the process of artistic creation relates to the
potential for future social returns on investment. Specifically, the researchers undertook an
experimental study in the form of a children’s art therapy workshop.
Together, this research looks into the relationship between social problems and human creativity,
which is the principle of how artwork is a means of living fully engaged in society. Our research
connects art, psychology, education, and career education, therefore we avoid construing each of
these as a single field, instead taking a multidisciplinary approach. By looking into art therapy, hospital
art, and healing art, and those activities which connect art and society, we seek the core connections
between art and society. The research proposes that the process of creating art fosters achievements
that are valuable to today’s society. We intend to develop a curriculum that in the future will be used in
related fields such as business education.
Keywords: Art Thinking, Art Therapy, Healing Art, Social Effect, Social Competence
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1. Introduction:
In the art industry, the business model of designing system structures by means of design thinking is
attracting much attention (Nagai, 2018). However, there is only scant research focusing on the
relationship between how art, and its process of creation, can contribute to society. Also, it is known
that art has the power to heal, and the imagination can make this power stronger. However, often there
is insufficient evidence from simply explaining the art itself by means of the finished artwork. One of the
present authors, Minatsu Ariga, has been studying the potential of art, “art thinking”, and the process of
visualizing in the imagination. Previously we have stated how art thinking is altruistic (Ariga, 2018) and
here we investigate again the structure and element of art therapy. Our research seeks the possibility
of promoting “the zest for life” (or, a sense of vitality derived from the artistic and aesthetic process)
from the eight intelligences of Multiple Intelligence Theory in the practice of art therapy in particular.
Additionally, we discuss the possibility of how the activity of creating art can itself contribute to the
society.
2. Objectives
The overall objective of this research is to investigate the differences in practice between art done for
own self and that done for helping society. We seek to relate these findings to Multiple Intelligences
theory, under the general discipline of art therapy. Our objective is to provide a basis of research for
Ariga’s term “art thinking” which includes healing art, art therapy, and hospital art as ways to create art
that transcends an artist’s self-expression.
3. Literature Review:
Ariga has introduced the concept of Art Thinking based on the popular theory of Design Thinking, as
advanced by scholars such as Yukari Nagai (Ariga, 2013). Art thinking expands on this concept to
investigate how thinking artistically can help students develop their minds and imaginative abilities. Our
research draws heavily on the studies of Multiple Intelligences Theory as advanced by Howard
Gardner (1999, 2003) and Kazuo Sakai (2018). According to Howard Gardner (2003), who is the
proponent of Multiple Intelligence Theory, "An intelligence is the ability to solve problems, or to create
products, that are valued within one or more cultural settings." In this present work we apply several of
these intelligences to the experimental design inspired by Thomas Armstrong (2018), adapting his
Multiple intelligences analysis survey to our research model.
Occupational therapy is one well-known methods of therapeutic modalities used in the medical sector.
Occupational therapy, which was developed for rehabilitation of long-term inpatients, is meant to obtain
a healing effect that focuses on creative activity using the hands, as well as from the fulfillment of
creativity.
Also, another system of therapy used in medicine is art therapy. The discipline of art therapy has
similar parts to occupational therapy, while also expanding the healing area to include psychotherapy.
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The original concept of art therapy can be seen in the example of mess painting, for example as
introduced in the work of Naumburg (1966).
In the process of psychotherapy such as counseling, which doesn't use medicines, most of the time
the therapist will use linguistic means of understanding the emotions of the client. However, when the
client is a child who doesn't have an ability to express his or her emotion in words, communicating with
the therapist sometimes don't function smoothly. In order to solve this problem, Naumburg (1966).
focused on mess painting by which children can express their emotions with a painting. This work
developed a method so that children are able to communicate with the therapist.
On the fundamental problems addressed by art therapy is of how to cultivate an environment in which
art can be used as treatment, Gunderson (2001) claims, “The framework is able to predict the time,
place and people that are used in the framework. Therefore, it is to clarify the environment. Thanks to
the environment, the client can feel safe spending time in the activity. Clients won't get threatened or
feel isolated.”
The term framework used in here can be rephrased to mean the care of preparing the environment
where clients feel safe. The environment where the art can be used most effectively as a treatment is
that where therapist and client develop a trust relationship and clients can express their emotion
without any barriers. Clients feel very welcomed and therapists receive any of the client’s behavior as
positive, without anything for the client to fear, and thus the client is able to communicate with the
therapist and seek the treatment.
4. Research Form and Methods
Art Thinking and Art Therapy
Art thinking is a kind of thought that imagines the future and is able to realize this, while also ossessing
the power to solve the gap between society and personally in a creative way (Murayama, Ariga, and
Sakai, 2014). Akiyama, Ariga, and Sakai describe the process of creativity in art therapy by eans of 4
steps (2015).
Figure 1 Process of creativity: Solve the gap of separation between society and self.
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THE FOUR STEPS IN THE PROCESS OF CREATIVITY IN ART THERAPY
As illustrated by figure 1, the process of creativity helps to mediate between self and society by means
of the following steps:
(1) Notice the gap or separation
A person is able to feel the gap between oneself and others when their image and the external reality
do not fit together.
(2) Accept that there is a gap
Make the gap affirmative. Here is where art therapy is needed. Art therapy takes away the stress that
comes from such a perceived gap through the process of the creation of artwork. The gap which was
previously treated as a negative matter is transformed into a positive matter by giving this new
meaning to the gap and the environment surrounding the client.
(3) Express your image
The client is asked to affirm the gap and turn it into a positive image. This is the phase of expressing
the positive image to the external world, getting the feedback from outside, and communicating this
with the external world. The method of expressing the image to those outside of the self and then
selecting the best media is necessary with the use of Multiple Intelligences Theory. Multiple
Intelligences Theory is a theory proposed by Dr. Howard Gardner (1983), who defined these eight
intelligences as listed in the table 1, below.
Human beings are able to solve problems and create products by activating their cultural background
by means of inherent capabilities, i.e. intelligences. The intelligences they may have can be divided
into 8 categories (Gardner, 1983 and Sakai, 2018).
1
2
Intelligences
Verbal-linguistic
Logical-mathematical
3
4
5
6
7
8
Musical-rhythmic
Bodily-kinesthetic
Visual-spatial
Interpersonal
Intrapersonal
Naturalistic
Description
An ability to learn, communicate, write, read and use the language.
Analyze problems, manage numbers in a mathematical way, solve
problems in a scientific way.
An ability to play musical instruments, and compose songs.
Create and solve problems by using the body.
Analyze, manage and recognize patterns in spatial terms.
Understand other people and maintain good relations between them.
Control yourself and understand yourself to live in an effective way.
Recognize categories of the phenomena and understand the species.
Table 1: 8 intelligences in Multiple Intelligences Theory
(4) Resolve the gap
The gap turns into a positive image, which thereby solves the problem and stress caused by the gap.
This phase is to create the new model of getting the understanding and sympathy from the external
environment, which are the result of communication between society and the individual.
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RESEARCH METHODS
This research discovers the possibility and the assignment of art therapy, by means of analyzing
results of three art therapy workshops. According to one that was held in Tsuruoka City, Japan, art
thinking focuses on the future of the client and succeeds in getting rid of the stress by means the effect
of correlating Multiple Intelligences Theory.
1. Art therapy workshop in Tsuruoka
The purpose of workshop
By this workshop and the result of correlation analysis between art therapy and Multiple Intelligences
Theory, consider the possibility of the phase moving from phase 2, Agree to the gap, toward phase 3,
Express your image.
About workshop
On June 2017, a practical art therapy workshop entitled “Become a friend with a sleepy bear” took
place. This workshop is to come up with a friend for the characters drawn in the picture book The
Three Little Ones and the Golden Mane. In detail, the children are given a paper that has an illustration
of the bear. Using the prepared materials, children decorate the bear and give a description of the
physical characteristics.
Figure 2 Explanation of the characters from the picture book
The process
The author, Minatsu, took place in a 62-people size classroom with supporting staff of 3 people. Time
Schedule is shown in Table 2.
9:30
Introduction and pre-research survey
9:40
Explanation of how to make today’s artwork
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9:45
Start working
Introduce the character to others
10:10
Clean up
10:15
Look at the finished artwork
10:20
After-research survey
10:30
End of the 1st class
10:40
Start the 2nd class
11:40
End of the 2nd class
Table 2 workshop time schedule
10 minute of SAN Scale emotional analysis, 10 minute of multiple intelligences analysis survey has
done before and after the workshop for 62 participants. Those participants took all the tests seriously.
SAN emotional analysis
SAN emotional analysis is a 7 level scale choice and emotion is express with the face of illustrated
rabbit. Participants of the workshop select the level of their feeling. Also, the participants express their
feeling by writing inside the speech balloon (picture 3).
Figure 3. SAN emotional analysis
The participant chose one of the emotion out of 7 different emotions. They are only allowed to choose
one. The efficiency of the use of the picture to let participant pick the emotion especially when the
participants are still under level of using the words is reported under other pieces of research (Ariga,
Sakai and Naito, 2014 and Sakamoto, Handam et al 2016).
5. Findings
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Multiple intelligences analysis survey
There are many reports of use of Multiple intelligences theory to the educational field that is positive to
expand and able to have a variety of type of the classes (Richters, 2004) which is also the basic
educational strategy in Netherland. However, when it comes to measuring the efficiency, there is no
survey that is used to analyze the statistical result. The simplified version of the multiple intelligences
test by Thomas Armstrong (2000) that contains 80 questions isn’t enough to prove the validity. This
survey is organized into 48 questions through factor analysis based on the Armstrong’s report of
statistical verification checklist [Sakai, Ariga et al, 2015). The result of the validity is verified by Sakai,
Ariga, Murayama, and Toda (2016, pp. 47-52). Done with 4 point scale.
The result of SAN emotional analysis after the workshop is below (Table3).
Table 3. The result of SAN emotional analysis
The average of SAN emotional analysis before was 6.24 and after was 6.73. Research team observed
the increase in overall average, and reported the participant enjoyed the workshop, and willing to do it
when they had a chance again. The result of the Multiple Intelligences analysis survey is in Table 4.
The survey is done in self evaluation with 4 points scale.
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Table4 The result the Multiple Intelligences analysis survey before and after.
From the result of the survey, the research team conclude verbal-linguistic, musical, bodily-kinesthetic,
spatial, and interpersonal intelligences had improved. Also, the result of correlation analysis done from
before and after the survey showed the next trait.
(1)Interpersonal before workshop x Verbal-linguistic after workshop = 0.627
(2)Verbal-linguistic before workshop x Interpersonal after workshop = 0.621
(3)Intrapersonal before workshop x Verbal-linguistic after workshop = 0.591
6. Discussion
It is obvious that the students demonstrated improvement in all kinds of intelligences, except for logicalmathematical and naturalistic. In his work, Dr. Gardner (1983b) claims that if all of the 8 intelligences
are focused on achieving artistic goals, then there is a possibility that all the intelligences could be
improved. The present research results agree to what Dr. Gardner had claimed. Speaking within the
concept of art thinking, it seems that if the individual’s self-esteem is strongly functioning, then one
does develop an intelligence that is necessary when art therapy moves to step (3) Express your image
from step (2) Agree to the gap.
According to the such movement, the author, Ariga, tests the relationship between workshop and the
Multiple intelligences as below.
-Consider the connection of story and the characters (logical-mathematical, Verbal-linguistic).
-Image the trait of character, provide a chance to think its originality (Intrapersonal).
-Share the completed work with friends (Interpersonal).
With this educational intention, the other intelligences are developed accordingly. Any of the learning
process has a choice of method (Kamijo 2003); (1) the Aesthetic, (2) the Narrative, (3) the
Logical/Quantitative, (4) the Foundational, (5) the Experiential. As referenced by Kamijo, this is based
on the Entry Points from Dr. Gardner. In the contrast, the average self-esteem score of the naturalistic
has fallen down. This could be a matter of when the connection of story and character isn’t well being
designed and not strong enough for the participants to pay attention.
The result of the workshop before and after the Multiple intelligences showed that differences among
individuals in how they understand the others rely on the positive relationship with society, especially
when it involves the communication through words. Actually, Ariga observed there are some students
talking to the other students who are slow in creating the artwork in the workshop about caring for each
other.
In reality, the author, Ariga, asked the children who named the bear very quickly, “What is bear good
at?”, and the children replied “To read a book!”, then start drawing some books around the bear. In
different case, the children was drawing the bear standing on the ground wearing a big brown hat said,
630
“This bear is an adventurer Johnny. He is at the mountain”. The bear holds a country flag, and used
the replica of the glass to describe the mountain. Those who had curiosity and were able to reflect their
own ability onto the bear had a great experience.
In preceding studies, the children who understand and care about others have higher skills in society,
take a longer time to communicate with friends and gain reputation. This result was discussed by
Premack and Woodruff (1978), developed by Cassidy, Werner, et al (2003) and investigated further by
Slaughter, Dennis and Pritchard (2002). In their communications, the children with underdeveloped
function have difficult times developing a relationship with friends (Fink, Begeer, et al, 2015). Also, after
adolescence, people who can understand others have a higher possibility of cooperating with others
voluntarily, as per the research work of Paal and Bereczkei (2007). Those factors could imply that the
efficiency of art therapy is dependent on the development of the mental factors in the individual.
7. Implications: Assignment of Art therapy in Japan
In art therapy, Ariga’s practice discovered that the one of the task for children is to understanding the
others and to develop a relationship. It is also the same in seniors. In art therapy, it has become clear
from the practice that one of the tasks of childhood is to construct human relationships and understand
others. This also applies to the senior citizens. In fact, the seniors have a wide variety of stress, which
are unique from other age groups. Some of the major stresses are declines in cognitive function,
sensory function, and other physical functions. From the social aspect, the seniors have a chance to
feel a sense of loss from retirement and separation of the family. The seniors who feel such a sense of
stagnation have difficulty opening emotionally to others, and also to understand others.
On the other hand, the seniors have high chance of becoming mentally ill from the stress of this
decline in physical function and sense of social loss. In detail, major ills in this regard are depression
and neurosis. When interacting with the seniors, regardless of whether the seniors are mentally ill, in
order to improve quality of life, professionals need to consider how the art therapy can affect the
problem.
Art Therapy and Corporate Social Responsibility for Promotion of Healthcare Policy
Now we will briefly consider the actual method of interference of art therapy from the aspect of the law
that promotes medical care in Japan.
The law on Promotion of Healthcare Policy: In June 2014, the law on Promotion of Healthcare Policy
was established to improve the general medical and nursing environment within the region. This is to
allow for the effective and improved offering of medical and nursing care, and structuring the system of
care within the region (Ohashi and Sirasawa, 2014).
At this point, after the medical amendment of 2006, the medical system within the region is improving,
but there is no written information about care support for those people looking forward to returning
631
home. Therefore, some people willing to return home have trouble between the medical institution and
care office, and have to spend a lot of time to solve the situation.
The act on promotion of healthcare policy pointed out that the main players in medical and nursing are
prefectures and medical institution. Also, in 2015, Public Nursing Care Insurance Law has been
revised and the community service project was founded. The community service project made the city
and care office, which was leading the care, support them as a support rather than the main source of
medical service. However, in the ordinance-designated city, the corporation with the prefectures isn’t
sufficient: there is a huge gap from the government’s ideal aim.
By contrast, in August 2014 at Social Security Council Committee and Welfare, the report of social
welfare corporation system was announced. The announcement included three aspects: preparing
public interest and a non-profit, public accountability, and contribution to the local community. A review
of the system was raised.
The environment around the social welfare corporation system will become severely damaged by
those changes in the systems. Also, it is obvious that medical and social welfare corporations have the
chance to become a holding or to merge with other organizations in the future. Under such
circumstances and understandings, it is important to seek the possibility of constructing the care
system in the region (Tsutsui, 2014).
The possibility of art therapy: Art therapy for Senior citizens
Understanding your own emotions and expressing them externally, which is a basic element of
importance in psychotherapy, is not easy for the senior citizens. For those seniors who worked hard
and held important roles in society, they may not feel like opening up emotionally to the public,
especially when the senior has high pride or self-respect.
Art therapy isn’t always the choice for the solution in this case. Art and this kind of creative activity is a
part of daily life for children, but the art activities are unusual for an older adult. The seniors sometimes
feel that art therapy that uses crayons are childish and not an activity that adults do. Additionally, those
seniors who haven’t played with the art materials don’t know how or where to start the creation.
However, one of the methods of art therapy (collage) has the power to inspire the seniors. Collage is
an art technique that Picasso and Duchamp also loved. Collage may use magazines, newspapers,
and many other art materials to create new artwork. In art therapy, clients create an artwork from
assembling by cutting and pasting of photo, rope, and etc. The finished work isn’t childish and its
process of creating an artwork is suited for an adult. Also, a high level of skill isn’t necessary in collage,
so the client can participate in it without any question. Just as with the example of collage, art therapy
covers the field where clients don't express their emotion with words but with art.
8. Concluding Observations
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Art Therapy and Social Effects
Art is not just a part of the culture, but also the history of Japan. People in Japan need an imaginative
expression that can be used for treatment. In Japan, based on the consensus as written by Bezruchka,
(2005), it is known that keeping up good relationships and harmony with the people around you is a
priority. With the concept of Japanese harmony, people such as Weiten have investigated the belief
that not expressing anger in front of the public is a virtue in Japanese society (2010, p. 425). Therefore
the children are taught in school and home not to express their emotion and feeling to the outside
world.
In many cases, when people reach a certain limit of stress they tend to go beyond and become
enraged, which isn’t properly expressing the stress (Muthu, 2006, p. 10). The term kireru (enraged) in
Japan indicates when a person with depression can't handle their own emotional state, they become
enraged and end up with suffering through life (Benesse Educational Research Center, 1998).
Japan has developed many kinds of psychotherapy, many of which are under the category of art
therapy. Drawing, painting, music, poetry, crafting, collage, miniature gardening, and dance are all used
in the wide range of various therapies. Our research is a response to the situation of social stress in
Japan: Japanese people currently undergo many daily stressors in a culture that encourages the
suppression of emotion. The way the art therapy is used can be divided into two groups. One is the
use of art, and second is the use of visual effect that has a healing method. Art therapy is mainly the
first one, in which the client has the chance to create an artwork in art therapy. By considering the
cultural environment of Japan, one of the most effective approaches is to combine the traditional
Japanese art of healing and ordinary art therapy to form a new category of art therapy (Ariga, 2013).
One of the authors (Ariga) has tested out a new therapy, in combination with hospital art at Nihonkai
Sogo Hospital, Yamagata, Japan, with the purpose of healing all of the people within the hospital,
whether they are workers, clients, or students. Under the leadership of Tohoku University of Art and
Design, the artworks are put up on the walls. In this program, it is known that seniors start opening up
their minds and expression to others.
By looking into art therapy, hospital art, and healing art, and those activities which connect art and
society, we seek the core connections between art and society. The research proposes that the
process of creating art fosters achievements that are valuable to today’s society. We intend to develop
a curriculum that in the future will be used in related fields such as business education.
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APPENDIX I
One of the authors, Ariga, gave an art therapy workshop at a nursing home which demonstrated futher
avenues of research for Art Therapy in Japan, vis a vis senior citizens. This workshop was about
creating an original flower ring using prepared materials that include flowers, rings, color papers,
stickers, balls, wires, etc. The concept of the workshop is very similar to collage, since participants
combine the materials to create the artwork and they don’t need to make from scratch. The finished
flower ring can look good without any need for difficult art techniques.
When seniors participate in the workshop, there are some changes in their motivations over time. At
the first stage, they are curious and interested looking at the art materials that they don’t usually see.
The seniors then listen to the guidance and start choosing the materials to use to make a ring. At this
stage, they are making the ring for themselves so they reflect their taste by means of the ring. However,
as the workshop goes on, some seniors shift the motivation and start making the ring for someone
else like their grandchildren. “My son and the grandchildren are visiting me next week, this could be a
present from me,” says one of the seniors. Once they decided to make a ring for someone else, they
started choosing new materials in order to make sure the grandchildren don’t swallow the materials by
accident, or changes in colors from cold to warm colors. Another change is that the seniors who make
the ring for someone else have more active conversation with other seniors in workshop. This could be
because they have more things to talk about such as their family or someone they are going to give
the ring to and not just talking about intrapersonal emotion. Active talking while in the workshop gave a
positive result, and the seniors who were keeping the certain distance from the workshop gets closer
and some of them joined the activity. Ariga claims that under the altruism situation, the positive chain
could happen just like happened within the seniors. Usually the positive chain brings the finished
artwork to the better level, and also the participants remember the workshop as a good experience.
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APPENDIX II
Traveling Exhibition to USA
Taking the same artwork from the students of Hospital Art, Ariga turned this into a traveling exhibition,
which may serve as an example for how art therapy students may find avenues of social and business
expression in society. Between 2014 and now, Ariga has continuously held annual events at Boston
Children’s Museum (BCM), Boston, USA. The event includes a workshop activity and exhibition at
BCM, with a different theme for each year. Artists gathered mainly from Tohoku, Japan each make a
painting based on the theme for children in Boston. The total numbers of the paintings are up to
around 50 variety in sizes. The paintings cover the brick walls of the Asian section of BCM. The
participating artists are chosen mainly from among Ariga’s students at The Tohoku University of Art and
Design enrolled in the art therapy and hospital art courses. Also, the artists from Tohoku are
participating in the event to appeal to their local community. The interested students visit Boston with
the artwork they have painted, and install on the wall at BCM themselves. Meanwhile the students
stayed in Boston, participated in the event and gave workshops to the children at BCM working as part
of the staff.
The following is a list of past exhibitions:
2015
2016
2017
“The Bottom Monster’s Friends art exhibit”
Visitors of BCM meet the unique monsters from Japan. Monsters in Japan have various
characteristics: sometimes they are shy, friendly, noisy, or cute. Also, something they
have in common is that they are protectors that reflect both the good and the bad in
oneself or one’s environment. They are the reminders of how precious, unique and the
beautiful one’s life is. Visitors may find the best monster and become a friend through
the workshop.
“Trees Make Happiness”
Trees are often described as a theme of happiness and peace. Trees may make you
feel safe, warm, and calm. Visitors may have unique feelings while looking into the
paintings made by the students from Japan. Let your feeling link to the paintings, and
share this in the workshop.
“Train Train”
The theme reflects the life. Assume the train as your life. With yourself as the storyteller
of your own life, imagine where your train is heading. The paintings could be examples
of the answer, showing a wide range of futures in which the visitors may end up.
Looking at those paintings, then answer the following questions in the workshop: “What
is your train story like?”, “Trains connect us and lead us to our tomorrow. Where to?”
Trains often remind us of the importance of hard work and how we can keep moving
forward every day whether in the rain, in the wind, against the summer heat, or the
winter snow.
636
2018
“HOME”
The theme may ask a question of the visitors: What are the most comfortable things for
them? It could be an item, a place, a thing, or it could even be a person. The students
from Japan painted the answers they believe are home for them. There are two points
that visitors can tell from each paintings. “What is the definition of home to the artists?”,
and “What makes home special?”
637
Printed in Japan
September 2018