Exploring Purposeful use of Innovation Self-assessments

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(1)Mälardalen University Doctoral Dissertation 305. This thesis takes a process perspective to focus on the undertaking of an ISA as an improvement process in itself. Its overall objective is to improve the understanding of why a purposeful use of ISA emerges. This thesis explores the use of ISA against a theoretical framework consisting of theories on systems, complex adaptive systems (CAS), and competence-in-use. This thesis makes several contributions in theorizing a four-dimensional ISA competence-inuse that impacts how ISA can be purposefully enacted. The primary contribution is within the field of innovation management. Theorizing the self-assessment use as an improvement process does give a more general relevance to the discussion on improvement processes and the use of self-assessment audits outside the field of innovation management.. Helena Blackbright is a PhD candidate in Innovation and Design at the School of Innovation, Design, and Engineering at Mälardalen University, where she is part of the research group Workplace Innovation and Quality Management. With over 20 years of industrial and academic experience in the field of innovation and innovation management, her research focuses on conditions for maintaining and increasing organizational innovativeness in complex adaptive systems. In recent years, Helena has developed a great interest in human centered Artificial Intelligence (AI), and the impact of AI on innovation management. She is one of the co-founders of the Swedish based initiative addAI.org, which explores the impact of smart algorithms and AI on society. She is also the initiator of the ISPIM Special Interest Group, AI & Innovation Management, exploring the relationship between AI and innovation management.. Address: P.O. Box 883, SE-721 23 Västerås. Sweden Address: P.O. Box 325, SE-631 05 Eskilstuna. Sweden E-mail: info@mdh.se Web: www.mdh.se. ISBN 978-91-7485-454-1 ISSN1651-4238. Helena Blackbright EXPLORING PURPOSEFUL USE OF INNOVATION SELF-ASSESSMENTS 2019. This doctoral thesis in Innovation and Design addresses the use of innovation audits for internal self-assessment of the current state. The use of innovation audits is often considered a vital part of innovation management practice. The purpose of using innovation self-assessment audits (ISA) to assess an organizations current state is to obtain information, which is used to develop improvement activities. Innovation audits have attracted much research attention, often focusing on the development of the audit itself, the topic of assessment, and the development of different types of indicators and frameworks. The problem is that no matter how well the indicators identify possible improvement areas, the discussion seldom focuses on how to transform the information into desired improvements.. Exploring Purposeful Use of Innovation Self-Assessments Helena Blackbright.

(2) Mälardalen University Press Dissertations No. 305. EXPLORING PURPOSEFUL USE OF INNOVATION SELF-ASSESSMENTS. Helena Blackbright 2020. School of Innovation, Design and Engineering.

(3) Copyright © Helena Blackbright, 2020 ISBN 978-91-7485-454-1 ISSN 1651-4238 Printed by E-Print AB, Stockholm, Sweden.

(4) Mälardalen University Press Dissertations No. 305. EXPLORING PURPOSEFUL USE OF INNOVATION SELF-ASSESSMENTS. Helena Blackbright. Akademisk avhandling som för avläggande av teknologie doktorsexamen i innovation och design vid Akademin för innovation, design och teknik kommer att offentligen försvaras torsdagen den 13 februari 2020, 13.00 i Filen, Mälardalens högskola, Eskilstuna. Fakultetsopponent: Professor Inger G. Stensaker, NHH Norwegian School of Economics. Akademin för innovation, design och teknik.

(5) Abstract Innovation management is a multidimensional practice characterized by the requirement of a constant renewal to maintain an organization’s relative innovativeness. A practice highly characterized by a requirement to handle uncertainty, risk, and long lead times, which requires an active management of both the prerequisites of today and a yet-undefined future. Therefore, it is of little surprise that the socalled “innovation audits,” with their purpose of direct or indirect improvement are often considered a vital part of innovation management practices. This thesis focuses on the internal self-assessment use of such audits by organizations to self-assess their current state of innovativeness against indicators of good practice or their own prior state. The purpose of such innovation audits is to reveal gaps between the current and desired state, which the organization can use to develop improvement activities. Substantial empirical and theoretical research on innovation audits exists, which focuses primarily on the development of the audit itself, but seldom on enacting audits that lead to desired improvements. Much innovation audit research discusses the areas to assess and the development of different types of indicators, statements, and framework, which represents these assessment areas. The problem is that no matter how well the indicators identify possible improvement areas or gaps between current and desired states, it still says very little about integrating retrieved information into activities that actually lead to the desired improvements. This thesis takes a process perspective on the undertaking of an innovation self-assessment audit (ISA). Rather than examining what to assess and how to use the result, it focuses on the undertaking of an ISA as an improvement process in itself. The overall objective is to contribute to the understanding of why a purposeful use of ISA emerges (or does not emerge). To this end, this thesis collects empirical data about ISA use and its context from qualitative case studies, involving 14 self-assessment groups from 9 different organizations. The findings from these studies is presented in the six appended papers that address different perspectives on ISA use and contextual prerequisites. To better understand why a purposeful use of ISA emerges (or does not), it was necessary to bring the appended papers together and undertake a more focused discussion on ISA use as a process in its entirety. Therefore, this thesis recontextualizes the six appended papers against a new theoretical framework based on theories on processes, complex adaptive systems (CAS), and competence-in-use. The theoretical discussion in this thesis offers several contributions. First, by approaching the undertaking of ISA as an improvement process, it focuses on the continuity of the process, which in turn allows a distinction between the execution of the process and the enabling of this execution. Second, the enactment of purposeful use is related to knowledge about the focus area of the assessment (e.g. innovation culture or capabilities) and the current state being assessed. Together, these create the basis for the theorization of a four-dimensional ISA competence-in-use that impacts how ISA can be purposefully enacted. Overall, the main reason why purposeful use emerges (or does not) does not seem to be so much about having a high ISA competence-in-use, as having high correspondence between expectations and competence-in-use. Together, this contributes to an increased understanding of why purposeful use emerges (or does not), making this its primary contribution within the field of innovation management. The focus on self-assessment use as an improvement process embedded in the organizational context it intends to improve, does give a more general relevance to the discussion on improvement processes, and the use of self-assessment audits outside the field of innovation management. The contribution of this thesis is closely related to the use of ISA and can be used to support the process of planning and undertaking an ISA. This thesis also contributes to knowledge on ISA competence-inuse, which can guide practical choices in undertaking an ISA for more purposeful use.. ISBN 978-91-7485-454-1 ISSN 1651-4238.

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(30) 1 Contents. 1. INTRODUCTION ..................................................................................................................................... 1 1.1 1.1.1 1.2 1.3 1.4 1.5 1.6 1.7. 2. MOST AUDITS HAVE AN IMPROVEMENT PURPOSE ............................................................................................ 1 How to fulfill an improvement purpose ........................................................................................... 1 USING A SELF-ASSESSMENT AUDIT – A PROCESS............................................................................................... 2 A NEW PERSPECTIVE ON PURPOSEFUL USE ...................................................................................................... 2 THEORETICAL MODEL OF THE ISA AS A TIME-DEPENDENT PROCESS ...................................................................... 3 AIM, OBJECTIVE, AND RESEARCH QUESTIONS .................................................................................................. 4 SCOPE AND DELIMITATIONS ......................................................................................................................... 4 OUTLINE OF THE THESIS .............................................................................................................................. 5. PRIOR RESEARCH ................................................................................................................................... 7 2.1 USING INFORMATION TO DEAL WITH UNCERTAINTY .......................................................................................... 7 2.1.1 Innovation audits ............................................................................................................................ 7 2.1.2 A practice that stretches beyond measuring ................................................................................... 8 2.1.3 Guiding improvement activities ...................................................................................................... 8 2.2 UNDERTAKING THE AUDIT ........................................................................................................................... 9 2.2.1 Different approaches are varyingly suitable for different purposes ................................................ 9 2.3 PROCESS OF UNDERTAKING A SELF-ASSESSMENT AUDIT ................................................................................... 10 2.3.1 Innovation management has strong focus on what to assess ...................................................... 10 2.3.2 Process that involves much more than self-assessment of current state ...................................... 10 2.3.3 Activities that form the process content ....................................................................................... 11 2.3.4 Challenge of undertaking the self-assessment process ................................................................. 12. 3. FRAME OF REFERENCE ......................................................................................................................... 15 3.1 3.1.1 3.1.2 3.2 3.2.1 3.2.2 3.2.3 3.3 3.3.1 3.3.2 3.3.3 3.4. 4. EMERGENT CHAIN OF EVENTS FORMING THE PROCESS..................................................................................... 15 A social system characterized by a circular causality .................................................................... 15 Complexity requires the acknowledgment of time ........................................................................ 16 INTERACTION CAUSES COMPLEXITY AND ENABLES STRUCTURAL MODIFICATION .................................................... 17 Structural interdependency in social processes ............................................................................. 17 Three levels of structures affecting all situations .......................................................................... 17 Change through structural modification ....................................................................................... 18 COMPETENCE-IN-USE IS A SITUATIONAL AND DYNAMIC ABILITY ......................................................................... 19 More than intellectual skill and knowledge .................................................................................. 19 Structural support and decision latitude ....................................................................................... 19 Managerial support for structural modifications .......................................................................... 20 IMPLICATIONS FOR THE ISA PROCESS .......................................................................................................... 20. METHOD ............................................................................................................................................. 21 4.1 4.2 4.3 4.3.1 4.3.2 4.4 4.4.1 4.4.2 4.5 4.5.1. RESEARCH PERSPECTIVE ............................................................................................................................ 21 AN ABDUCTIVE RESEARCH PROCESS ............................................................................................................. 21 RESEARCH DESIGN ................................................................................................................................... 22 Longitudinal case study approach ................................................................................................. 23 Purposeful selection of cases......................................................................................................... 24 DATA COLLECTION ................................................................................................................................... 25 Semi-structured interviews............................................................................................................ 25 Workshops..................................................................................................................................... 25 ANALYSIS AND RECONTEXTUALIZATION ........................................................................................................ 26 Recontextualization....................................................................................................................... 27. IX.

(31) 4.6 5. 5.1 5.1.1 5.1.2 5.1.3 5.2 5.2.1 5.2.2 5.2.3 5.3 5.3.1 5.3.2 5.3.3 5.4 5.4.1 5.4.2 5.4.3 5.5 5.5.1 5.5.2 5.5.3 5.6 5.6.1 5.6.2 5.6.3 6. PAPER 1 ................................................................................................................................................ 31 Summary ....................................................................................................................................... 31 Recontextualization and relation to the thesis .............................................................................. 32 The author's contribution. ............................................................................................................. 32 PAPER 2 ................................................................................................................................................ 33 Summary ....................................................................................................................................... 33 Recontextualization and relation to the thesis .............................................................................. 33 The author's contribution .............................................................................................................. 34 PAPER 3 ................................................................................................................................................ 34 Summary ....................................................................................................................................... 34 Recontextualization and relation to the thesis .............................................................................. 35 The authors contribution ............................................................................................................... 35 PAPER 4 ................................................................................................................................................ 36 Summary ....................................................................................................................................... 36 Recontextualization and relation to the thesis .............................................................................. 37 The author’s contribution .............................................................................................................. 37 PAPER 5 ................................................................................................................................................ 37 Summary ....................................................................................................................................... 37 Recontextualization and relation to the thesis .............................................................................. 38 The author’s contribution .............................................................................................................. 39 PAPER 6 ................................................................................................................................................ 39 Summary ....................................................................................................................................... 39 Recontextualization and relation to the thesis .............................................................................. 40 The author’s contribution .............................................................................................................. 40. DISCUSSION AND CONCLUSION ........................................................................................................... 41 6.1 6.1.1 6.1.2 6.1.3 6.2 6.2.1 6.3 6.3.1 6.4 6.4.1 6.5 6.5.1 6.6 6.6.1. 7. DISCUSSION ON THE QUALITY OF THE RESEARCH ............................................................................................ 28. PAPER SUMMARIES ............................................................................................................................. 31. RETURNING TO THE RESEARCH QUESTIONS ................................................................................................... 41 Answering RQ 1 ............................................................................................................................. 41 Answering RQ 2 ............................................................................................................................. 42 Outline of the chapter ................................................................................................................... 43 CORE CONTENT AFFECTING THE ENACTMENT OF ISA ...................................................................................... 43 Interdependency of core content and the enactment of purposeful use....................................... 44 PROCESS BOUNDARY DEFINING THE STRUCTURAL MODIFICATIONS POSSIBLE ........................................................ 45 Boundary fluctuations revealing a meta-process .......................................................................... 45 INFORMATION TRANSFER AND STRUCTURAL MODIFICATIONS ............................................................................ 46 Discontinuities breaking the progression of the process ............................................................... 47 STRUCTURAL MODIFICATIONS EMERGE BOTH BEFORE AND AFTER SELF-ASSESSMENT ............................................. 48 Different levels of structural modification ..................................................................................... 48 CONCLUSIONS ........................................................................................................................................ 49 Practical implications .................................................................................................................... 50. REFERENCES ........................................................................................................................................ 51. X.

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