Encyclopedia of Creativity, Invention, Innovation and Entrepreneurship

Elias G.
Carayannis
Editor
Encyclopedia of
Creativity,
Invention,
Innovation and
Entrepreneurship
Second Edition
Encyclopedia of Creativity, Invention,
Innovation and Entrepreneurship
ThiS is a FM Blank Page
Elias G. Carayannis
Editor
Encyclopedia of
Creativity, Invention,
Innovation and
Entrepreneurship
With 481 Figures and 105 Tables

Editor
Elias G. Carayannis
Department of Information Systems and Technology
Management, European Union Research Center
GWU School of Business, The George Washington University
Washington, DC, USA
ISBN 978-3-319-15346-9 ISBN 978-3-319-15347-6 (eBook)

ISBN 978-3-319-15348-3 (print and electronic bundle)
https://doi.org/10.1007/978-3-319-15347-6
1st edition: © Springer Science+Business Media LLC 2013
2nd edition: © Springer Nature Switzerland AG 2020
This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or
part of the material is concerned, specifically the rights of translation, reprinting, reuse of
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Preface to the Second Edition
I am pleased to share with you the second print edition of perhaps the first in its
nature, scale, and scope publishing project trying to bring together theories,
practices, and policies related to the nature and dynamics of creativity,
invention, innovation, and entrepreneurship. In collaboration with Springer
Publishers, my four Associate Editors of the Springer Encyclopedia of Cre-
ativity, Invention, Innovation, and Entrepreneurship and I have brought to
completion this precedent-setting and intellectual-footprint-defining Work of
Reference. The aim has been to help define the intellectual scaffolds for the
four related emerging thematic areas of research and practice.
Editorial Board
Editor-in-Chief: Prof. Dr. Elias G. Carayannis, George Washington University,
USA
Creativity Associate Editor: Dr. Igor N. Dubina, Altai State University, Russia
Invention Associate Editor: Dr. Marta Peris-Ortiz, Universitat Politècnica de
València, Spain
Innovation Associate Editor: Dr. David F. J. Campbell, University of Klagen-
furt, Austria
Entrepreneurship Associate Editor: Dr. Evangelos Grigoroudis, Technical
University of Crete, Greece
The Encyclopedia of Creativity, Invention, Innovation, and Entrepreneur-

ship (CI2E) is a multivolume electronic and print reference that uniquely
covers the broad spectrum of topics relating to the process of creativity and
innovation from a wide variety of perspectives (e.g., economics, management,
psychology, anthropology, policy, technology, education, the arts) and modes
(e.g., individual, organization, industry, nation, region).
The CI2E First Edition, published in 2013, is comprised of some 300 topical
entries, definitions of key terms and concepts, and review essays from a global
array of researchers, business executives, policymakers, and artists, illuminat-
ing the many facets of creativity and innovation and highlighting their relation-
ships to such universal concepts as knowledge management, economic
opportunity, and sustainability. Entries feature description of key concepts
and definition of terms, full-color illustrations, case examples, future direc-
tions for research and application, synonyms and cross-references, and biblio-
graphic references.
v
vi Preface to the Second Edition
The CI2E Encyclopedia Second Edition, published in 2020, has a total of

358 entries including definitions/entries of approximately 2000–4000 words
apiece plus longer (up to 6000 words) essays. The presentation style of the
entries is informational/educational; the entries describe, define, synthesize,
and review a topic, whereas there are several entries that highlight original
theoretical or empirical research. We have included qualified input from
government, university, industry, and civil society researchers, policy makers,
and practitioners. All contributions underwent both peer review as well as
editorial review and revision prior to publication.
The CI2E Encyclopedia consists of both print and online versions. It will
remain a dynamically evolving electronic content multimedia platform. More-
over, it will incorporate new entries on an ongoing basis in its online version as
well as have follow-up print editions on a periodic basis.
Professor of Science, Technology Elias G. Carayannis

Innovation and Entrepreneurship Ph.D., M.B.A., M.Sc.EE, CPMMA
Director, European Union Research
Center School of Business, George
Washington University
Washington, DC, USA
September 2020
Preface to the First Edition
I am pleased to share with you perhaps the first in its nature, scale and scope,
publishing project trying to bring together theories, practices and policies
related to the nature and dynamics of creativity, invention, innovation and
entrepreneurship. In collaboration with Springer Publishers, the four Associate
Editors of the Springer Encyclopedia of Creativity, Invention, Innovation,
and Entrepreneurship and I have brought to completion this precedent-
setting and intellectual footprintdefining Work of Reference. The aim has
been to help define the intellectual scaffolds for the four related emerging
thematic areas of research and practice.
Editorial Board
Editor-in-Chief Prof. Dr. Elias G. Carayannis, Department of Information
Systems and Technology Management, School of Business, George
Washington University, USA
Creativity Associate Editor Dr. Igor N. Dubina, Altai State University, Russia
Invention Associate Editor Prof. Dr. Norbert Seel, University of Freiburg,
Germany
Innovation Associate Editor Dr. David F. J. Campbell, University of Klagen-
furt, Austria
Entrepreneurship Associate Editor Prof. Dr. Dimitri Uzunidis, Universite du
Littoral, France
The CI2E Encyclopedia has a total of 274 entries including definitions /

entries of approximately 2000–4000 words apiece plus longer (up to
6000 words) essays. The presentation style of the entries is informational/
educational; the entries describe, define, synthesize, and review a topic,
whereas there are several entries that showcase original theoretical or empir-
ical research findings (see for instance the piece on the Epidemiology of
Innovation). We have included qualified input from Government, University,
Industry and Civil Society researchers, policy makers and practitioners. All
contributions were reviewed on the basis of peer review as well as editorial
review.
vii
viii Preface to the First Edition
The CI2E Encyclopedia will consist of both print and on-line versions and
will remain a living conceptual platform that will incorporate new entries on an
ongoing basis in its online version and will have follow up print editions on a
periodic basis.
Washington, DC, USA Elias G. Carayannis

May 2013 Ph.D., M.B.A., B.Sc.EE, CPMMA
List of Topics
Creativity Creative Pedagogy

Creative Process: The Apple-Tree Creative
Section Editor: Igor N. Dubina
Process (ACP)
Semantic Rhapsody About Creativity, From Creative Styles
Harvard to Habsburg Creative Thinking Skills: Inbox, Outbox, and
Actor-Network-Theory and Creativity Research Newbox (ION) Thinking Skills
Adaptive Creativity and Innovative Creativity Creative Thinking Training
Art of Innovation: A Model for Organizational Creative, ADHD, or Both?
Creativity Creative, or a Behavior Problem?
Attention-Deficit/Hyperactivity Disorder and Creativity Across Cultures
Creativity Creativity and Age
Big C Versus Little c Creativity Creativity and Church
Business Creativity Creativity and Confucian Parenting
Cognitive Fixation and Creativity Creativity and Confucianism (Asian Culture)
Complexity and Creative Problem Solving Creativity and Innovation: What Is the
Computerized Testing of Creativity Difference?
Conflict and Creativity Creativity and Labor
Confrontation Techniques: Inspiration of Ideas by Creativity and Systems Thinking
Unrelated Stimuli Creativity as a Phenomenon of Social
Creative Attitudes: The 4S (Soil, Sun, Storm, and Communications and Interactions
Space) Attitudes Creativity Definitions: Approaches
Creative Behavior Creativity Economy Versus Creative Economy
Creative Brain Creativity for Compassion and Compassion for
Creative Class Creativity
Creative Climate Tests, Creative Attitudes Tests, Creativity from Design and Innovation
and Creative Thinking Skills Tests Perspectives
Creative Climates: Soil, Sun, Storm, and Space Creativity in Research
Climates Creativity Journals
Creative Collaboration Creativity Management Optimization
Creative Ideas as a Starting Point for Innovations Creativity Testing
Creative Industries Creativity, Innovation, and Economic Crises
Creative Leadership Creativity, Knowledge, and Innovation: The
Creative Linguistics Interactive Facets of the New Economy
Creative Management Decrease in Creativity
ix
x List of Topics
Directed Evolution ® Technology Corporate Creativity

Divergent Thinking Creative Mind: Myths and Facts
Four Ps in Organizational Creativity Creative Personality
Four Ps of Creativity and Recent Updates Creativity and Emotion
Gender-Bias-Free Parenting for Creativity Creativity in Invention: Theories
Genius Creativity in Music Teaching and Learning
Idea-Marathon System (IMS) Creativity in Puzzles, Inventions, and Designs:
Ideas and Ideation The Sudden Mental Insight Phenomenon
Implicit Theories and Creativity Creativity Training in Design Education
Inventive Problem Solving (TRIZ), Theory Creativity, Discourses
Inventive Resources Creativity, Experiential Theories
Levels of Invention Creativity, Intelligence, and Culture
Measuring Organizational Climate for Creativity Creativity: Cultural Capital in Mathematics
and Innovation Education
Method for Creating Wisdom from Knowledge Crowdfunding and Entrepreneurship
Model for Managing Intangibility of Developing Radical Inventions
Organizational Creativity: Management Dialogical Critical Thinking in Children:
Innovation Index Developmental Process
Novology Divergent Versus Convergent Thinking
Parsimonious Creativity Effects of Intuition, Positive Affect, and Training
Patterns of Technological Evolution on Creative Problem Solving
Personal Creativity Experiential Learning and Creativity in
Play for Creativity Entrepreneurship
Reading for Creativity Fostering Creativity Through Science Education
Role of Intuition in Creativity Freedom and Constraints in Creativity
Rural Creativity and Urban Creativity Green Innovation
Scenarios as a Basis for Setting Up Innovation How Does Material Culture Extend the Mind?
Strategies Identifying and Assessing Creativity
Science of Creativity Imagery and Creativity
Simplexity Thinking and the Basadur Innovation Imagination
Profile Assessment In Search of Cognitive Foundations of Creativity
Six Sigma Innovation and Ambidexterity
TRIZ Software for Creativity and Innovation Interaction, Simulation, and Invention
Support Interdisciplinarity and Innovation
Women Creativity in Patriarchal Culture Intrinsic and Prosocial Motivations, Perspective
Taking, and Creativity
Invention and Innovation as Creative Problem-
Invention Solving Activities
Invention and Modification of New Tool-Use
Section Editor: Marta Peris-Ortiz
Behavior
Age and Creative Productivity Invention as a Precedent for Innovation
Alternate Reality Games as Inventions Invention in Total Quality Management
Analogies and Analogical Reasoning in Invention Invention Versus Discovery
Brainstorming and Invention Inventive Thinking Skills, Development
Cluster Innovation Managerial Innovation Implementation
Cluster Performance Mathematical Discovery
Cognition of Creativity Measurement of Creativity
List of Topics xi
Measuring Innovation Applied Design Thinking Lab and

Mental Models and Creative Invention Creative Empowering of Interdisciplinary
Merits of Aesthetics in Realm of Science Teams
Metaphorical Reasoning and Design Areas of Innovation in Arts: Innovation and
Creativity: Consequences for Practice and Where to Look for It
Education Artistic Research
Models for Creative Inventions Arts, Research, Innovation, and Society: ARIS
Multiple Models of Creativity China’s National Innovation System
Nature of Creativity Citizen Science in Health Domain
Online Corporate Social Networking Citizen Science: Different Scopes of Citizens’
Organizational Capability Involvement in Research
Organizational Innovation Collaborative Innovation
Process Innovation Capability Communicating Invention, Creativity,
Promoting Student Creativity and Inventiveness Innovation, and Entrepreneurship
in Science and Engineering Corporate Foresight
Psychology of Creativity Creative Knowledge Environments
Research on Creativity Cross-Employment
Scientific Creativity as Combinatorial Process Cross-Retirement (Cross-Employed and Cross-
Scientific Inventive Thinking Skills in Children Retired) and Innovation
Social Media Crowdsourcing Empty Spaces in Space
Social Metacognition and Micro-creativity Entrepreneur’s “Resource Potential,” Innovation
Social Psychology of Creativity and Networks
Spin-Off (A Different Approach) Epidemiology of Innovation: Concepts and
State Space Paradox of Computational Research Constructs
in Creativity Epistemic Governance and Epistemic Innovation
Strategic Thinking and Creative Invention Policy
Student Creativity and Inventiveness in Business Evaluation of Research, Development, and
Administration Innovation
Teaching as Invention Financing Innovation
Technical Invention Foresight
Technological Invention of Disease From Personal to Impersonal Exchange in Ideas
Creativity Machine® Paradigm Future Innovations in Next Centuries
User-Generated Information System Future of Innovation
Using Movement, Music, and Humor: Creative Game Theory and Innovation Analysis
Approaches to Enhance Student Engagement Gender and Innovation
Women’s Entrepreneurship and Invention Global University System in World Society
Healthcare and Innovation
Higher Education and Innovation
Innovation Innovation and Democracy
Innovation Audit: Measuring Innovation
Section Editor: David F. J. Campbell
Management Capabilities
Academic Entrepreneur, Academic Innovation by Applied Mathematics
Entrepreneurship Innovation Eats Transformation: Leading
Academic Firm Innovation, Digital Transformation, and the
Ambidexterity Importance of Culture
Antitechnology Movements: Technological Innovation in Business: Six Honest Questions
Versus Social Innovation Innovation in Defense Technologies
xii List of Topics
Innovation in Forestry: New Values and Paths of Influence from Higher Education Policy
Challenges for a Traditional Sector Paradigms on Innovating Institutional
Innovation in Interdisciplinarity: Four Different Autonomy
Dimensions Political Leadership and Innovation
Innovation in Radical Economic Thought Politics of Light: Innovative Look at How
Innovation of Comparative Framework Nontransparent Ideologies in Visible Light
Innovation of Italian Cuisine in the Twenty-First Influence Our Behavior
Century Polynomiography and Innovation
Innovation of Joint Applications Preparing a “Creative Revolution”: Arts and
Innovation Policies (vis-à-vis Practice and Universities of the Arts in the Creative
Theory) Knowledge Economy
Innovation Policy Coordination Principal-Agent Model in Universities: Problems
Innovation Policy Learning and Solutions
Innovation System of India Processes of Learning and Processes of
Innovations in Business Administration Innovation
Innovations in Geometry Product Innovation, Process Innovation
Innovations in Presidential Elections: The United Public Health and the Commons
States, France, and Austria in Comparison Quality Assurance and Quality Enhancement in
Innovations of and in Organizations Higher Education and Innovation
Innovations of Direct Democracy Quality of Democracy and Innovation
Innovations of Domestic Espresso Making Quintuple Innovation Helix and Global Warming:
Innovative Milieu as a Driving Force of Challenges and Opportunities for Policy and
Innovative Entrepreneurship Practice
Interdisciplinary Research (Interdisciplinarity) Reforms and Innovations of Democratic Systems
Joseph A. Schumpeter and Innovation and the Importance of Political Control
Knowledge Society, Knowledge-Based Responsible Research and Innovation (RRI): A
Economy, and Innovation Critical Reflection Toward Evaluation
Knowledge-Capital and Innovation Standards
Linguistic Dimension of Creativity, Invention, Semantic Technologies in Knowledge
Innovation, and Entrepreneurship Management and Innovation
Media and Innovation SME Growth and Influence of Internal and
Meta-Liveness, Innovative Perception of External Environmental Factors
Liveness in Online Environments Social Design
Mode 1, Mode 2, and Innovation Social Ecology and Quintuple Helix Innovation
Mode 3 Knowledge Production in Quadruple Systems
Helix Innovation Systems: Quintuple Helix Social Innovation
and Social Ecology Speaking Pictures: Innovation in Fine Arts
Model of Dialectical Learning Systems Theory and Innovation
Multilevel Systems of Innovation Techno-globalization and Innovation
National Innovation Systems (NIS) Technology Life Cycles
Networks and Scientific Innovation Innovation and Evolution of Parliamentary
Nonlinear Innovations Inquiries
N-Tuple of Helices The Innovation of Tax: Epistemic Tax Policy and
Organizational Slack and Innovation Online Tax Accounts (Artificial-Intelligence-
Palliative Care and Hospice: Innovation at End of Based Tax Accounts)
Life Knowledge and Innovation Principle of KITA
Patent System PITA CITUITA
List of Topics xiii
Rigidity of Scientific Thought Hinders Entrepreneurship and National Culture

Innovation (According to Hofstede’s Model)
Topsy-Turvy: Innovation of Political Entrepreneurship and Small Business Agility
Leadership Entrepreneurship and Social Inclusion
Transdisciplinary Research (Transdisciplinarity) Entrepreneurship Education
Translational Medicine and the Transformation of Entrepreneurship in Creative Economy
the Drug Development Process Entrepreneurship in Developing Countries
Translational Research Entrepreneurship in International Context
Triple Helix of University-Industry-Government Entrepreneurship Policies
Relations Entrepreneurship Policy
University Research and Innovation Environmental Determinants of Entrepreneurship
Extrapreneurship
Female Entrepreneurship
Entrepreneurship Financing Entrepreneurship
Firm Failure and Exit
Section Editor: Evangelos Grigoroudis
Green Business and Entrepreneurship
Academic Entrepreneurship Green Enterprising and Green Entrepreneurs
Accompaniment of Business Creation Health of Entrepreneurs
Agricultural Entrepreneurship Heroic Entrepreneur, Theories
Angel Investors Individual Determinants of Entrepreneurship
Business Climate and Entrepreneurialism Industrial Atmosphere
Business Cycles Information Asymmetry and Business Creation
Business Emergence Information Monitoring and Business Creation
Business Incubator Innovation and Entrepreneurship
Business Model Innovation Opportunities and Business Start-Up
Business Project Innovation Systems and Entrepreneurship
Business Start-Up: From Emergence to Innovative Milieux and Entrepreneurship
Development Innovator
Church and Entrepreneurship Institutional Entrepreneurship
Clusters, Networks, and Entrepreneurship Institutional Entrepreneurship, Innovation
Co-Conception and Entrepreneurial Strategies Systems, and Innovation Policy
Corporate Entrepreneurship Intellectual Property, Creative Industries, and
Craftsman Entrepreneurial Strategies
Creative Destruction Interactive Processes in the Form of Creative
Cyberentrepreneurship and Proximity Cooperation
Relationships Knowledge Capital and Small Businesses
Digital Economy and Business Creation Knowledge Creation and Entrepreneurship
Diversity and Entrepreneurship Love Money
Entrepreneur and Economists Low-Tech Entrepreneurship
Entrepreneur in Utopian Thinking Microfinance and Entrepreneurship
Entrepreneur: Etymological Bases Microfirms
Entrepreneurial Behavior and Eco-Innovation Network and Entrepreneurship
Entrepreneurial Capability and Leadership Networking Entrepreneurship
Entrepreneurial Opportunity New Forms of Entrepreneurship in a Sustainable
Entrepreneurial Organizations Knowledge-Based Service Economy
Entrepreneurship and Business Growth Open Innovation and Entrepreneurship
Entrepreneurship and Financial Markets Partnerships and Entrepreneurships
xiv List of Topics
Patents and Entrepreneurship Social Capital of the Entrepreneur

Planned Economy and Entrepreneurial Function Social Entrepreneurship
Product Development, Business Concept, and Social Networks and Entrepreneurship
Entrepreneurship Socialized Entrepreneur, Theories
Proximity Relationships and Entrepreneurship Spin-Off
Psychological Aspects of Entrepreneurial Startup
Dynamics Start-Up and Small Business Life
Risk, Uncertainty, and Business Creation Strategic Scanning of SME
Schumpeterian Entrepreneur Technological Entrepreneurship and
Self-Made Man Asymmetries
Small Business Technology Push and Market Pull
Small Businesses: Value, Transmission, and Entrepreneurship
Recovery Territory and Entrepreneurship
Small Businesses and Sustainable Development Venture Capital and Small Business
About the Editor
Elias G. Carayannis
Department of Information Systems and Technology
Management, School of Business, George
Washington University, Washington, DC, USA
Dr. Elias G. Carayannis is Full Professor of Sci-

ence, Technology, Innovation and Entrepreneur-
ship as well as co-Founder and co-Director of the
Global and Entrepreneurial Finance Research
Institute (GEFRI) and Director of Research on
Science, Technology, Innovation and Entrepre-
neurship at the European Union Research Center
(EURC) in the School of Business at the George
Washington University in Washington, DC. Dr.
Carayannis’ teaching and research activities
focus on the areas of strategic government-
university-industry R&D partnerships, technol-
ogy road-mapping, technology transfer and com-
mercialization, international science and
technology policy, technological entrepreneur-
ship, and regional economic development.
Dr. Carayannis has several publications in both
academic and practitioner journals, including
IEEE Transactions in Engineering Management,
Research Policy, Journal of R&D Management,
Journal of Engineering and Technology Manage-
ment, International Journal of Technology Man-
agement, Technovation, Journal of Technology
Transfer, Engineering Management Journal,
Journal of Growth and Change, Review of
Regional Studies, International Journal of Global
Energy Issues, International Journal of Environ-
ment and Pollution, Le Progres Technique, and
Focus on Change Management. He has also
published more than 50 books to date on science,
technology, innovation, and entrepreneurship
xv
xvi About the Editor
with Springer, CRC Press, Praeger/Greenwood,

Palgrave/MacMillan, and Edward Elgar and has
several more projects under contract.
He is Editor-in-Chief of the Edward Elgar
Book Series on Science, Technology, Innovation
and Entrepreneurship; the Springer Book Series
on Innovation, Technology, and Knowledge Man-
agement; the Palgrave MacMillan Book Series on
Democracy, Innovation and Entrepreneurship for
Growth (DIE4Growth); the Springer Book Series
on Arts, Research, Innovation and Society
(ARIS); the Springer Journal of the Knowledge
Economy; the Springer Journal of Innovation and
Entrepreneurship: A Systems View Across Time
and Space; and the IGI International Journal of
Social Ecology and Sustainable Development and
Associate Editor of the International Journal of
Innovation and Regional Development and on the
Editorial Boards of several academic journals.
He has consulted for a wide variety of
chnology-driven organizations in both govern-
ment and the private sector, including the World
Bank, the European Commission, the Inter-
American Development Bank, the US Agency
for International Development, IKED, the
National Science Foundation Small Business
Innovation Research Program, the National Insti-
tute of Standards and Technology’s Advanced
Technology Program, the National Coalition for
Advanced Manufacturing (NACFAM), the USN
CNO Office, Sandia National Laboratories’ New
Technological Ventures Initiative, the General
Electric Corporate Training & Development Cen-
ter, Cowen & Co, First Albany International,
Entreprises Importfab, and others. He is fluent in
English, French, German, and Greek and has a
working knowledge of Spanish.
Academic Profile – Selected Works

Orcid: https://orcid.org/0000-0003-2348-4311
Googlescholar: https://scholar.google.com/
citations?user¼ZN_DyIUAAAAJ&hl¼en
Wikipedia: https://en.wikipedia.org/wiki/
Elias_G._Carayannis, https://en.wikipedia.org/
wiki/Quadruple_and_quintuple_innovation_helix_
(Q2IH)_framework
By decree or by choice? A case study –
Implementing knowledge management and
About the Editor xvii
sharing at the education sector of the World

Bank Group: http://documents.worldbank.org/
curated/en/574241468763497022/By-decree-or-
by-choice-A-case-study-Implementing-knowledge-
management-and-sharing-at-the-education-sector-
of-the-World-Bank-Group
The strategic management of technological
learning in project/program management: the
role of extranets, intranets and intelligent
agents in knowledge generation, diffusion,
and leveraging: https://www.sciencedirect.com/
science/article/pii/S0166497298000650
Fostering synergies between information
technology and managerial and organizational
cognition: the role of knowledge management:
https://www.sciencedirect.com/science/article/pii/
S0166497298001011
Springer Handbook of Cyber-Development,
Cyber-Democracy and Cyber-Defense: https://
www.springer.com/gp/book/9783319090689
Cyber-Development, Cyber-Democracy and
Cyber-Defense: Challenges, Opportunities and
Implications for Theory, Policy and Practice:
https://www.springer.com/gp/book/9781493910274
Smart Quintuple Helix Innovation Systems:
https://www.springer.com/gp/book/9783030015169
e-Development Toward the Knowledge
Economy Leveraging Technology, Innovation
and Entrepreneurship for “Smart” Develop-
ment: https://www.palgrave.com/gp/book/
9781403942449
Unescap Report – Smart Specialization and
the Quintuple Innovation Helix: http://
techmonitor.net/tm/images/0/0a/15jul_sep_tm_
final.pdf
McGill University – Convergent Innovation
Webinar Series – From Industry 4.0 to Indus-
try 5.0 and the Quintuple Innovation Helix
Framework – Theories, Policies and Practices:
https://www.mcgill.ca/desautels/channels/event/ci-
food-webinar-series-dr-elias-g-carayannis-296951
Innovation Ecosystems and Artificial Intelli-
gence: https://www.iem.fraunhofer.de/de/termine/
workshop-innovation-ecosystems-artificial-intellig
ence.html
Entrepreneurship and Innovation Academic
Work
Peer –Reviewed Journals
xviii About the Editor
• Springer Journal of Innovation and

Entrepreneurship: A Systems View Across
Time and Space:
– http://www.innovation-entrepreneur
ship. com
• Springer Journal of the Knowledge
Economy:
– http://www.springer.com/economics/
policy/journal/13132
• IGI Journal of Social Ecology and Sus-
tainable Development:
– http://www.igi-global.com/journal/
international-journal-social-ecology-
sustainable/1174
• Springer Journal of Technology, Innova-
tion and Education
– http://www.technology-innovation-
education.com
Book Series
• Springer Technology, Innovation and
Knowledge Management Book Series:
– http://www.springer.com/series/8124
• Edward Elgar Science, Innovation, Tech-
nology and Entrepreneurship:
– http://www.e-elgar.com/shop/books?
book_series¼Science,%20Innovation,%
20Technology%20and%20Entrepreneur
ship%20series
• Springer Arts, Research, Innovation and
Society Book Series:
– http://www.springer.com/series/
11902
• Palgrave Macmillan Democracy, Innova-
tion and Entrepreneurship for Growth Book
Series:
– https://www.palgrave.com/us/series/
14635
• Emerald Innovation, Technology and
Education for Growth
– http://www.emeraldgrouppublishing.
com/products/books/notable/page.htm?
id¼2059-2841
About the Editor xix
Major Reference Works

• Springer Encyclopedia on Creativity, Inven-
tion, Innovation and Entrepreneurship:
– http://refworks.springer.com/mrw/index.
php?id¼4379
– http://www.springer.com/business+%26
+management/book/978-1-4614-3857-1
• Springer Handbook of Cyber Development,
Cyber Democracy and Cyber Defense:
– https://www.springer.com/us/book/9783319
090689
About the Associate Editors
David F. J. Campbell is an Associate Professor

(“Privat-Dozent”) for Comparative Political Sci-
ence at the University of Vienna (https://politikwis
senschaft.univie.ac.at/en/about-us/staff/associate-
professors/campbell/); a Researcher, Teacher, and
Project Manager at the Center for Educational Man-
agement and Higher Education Development in the
Department for Continuing Education Research and
Educational Technologies at Danube University
Krems (https://www.donau-uni.ac.at/en/university/
organization/employees/person/4295299466); and
a Quality Enhancement Expert and Quality
Researcher at the University of Applied Arts in
Vienna (http://www.dieangewandte.at/jart/prj3/
angewandte_aris/main.jart?j-j-url¼/_1 and http://
www.dieangewandte.at/uqe).
David Campbell studied political science at the
University of Vienna, completing his studies with
a doctoral degree in 1996. In 2014, Campbell rece-
ived a “Habilitation” (Doctor Habilitatus) from
the University of Vienna with a Venia Docendi
(entitlement for teaching) for Comparative Politi-
cal Science.
Campbell lead-authored Global Quality of
Democracy as Innovation Enabler (Palgrave
Macmillan, 2019, https://www.palgrave.com/de/
book/9783319725284 and https://link.springer.
com/book/10.1007/978-3-319-72529-1), Democ-
racy Ranking (Edition 2014): The Quality of
Democracy in the World (Books on Demand,
2015), Epistemic Governance in Higher Educa-
tion: Quality Enhancement of Universities for
Development (Springer, 2013) and Democracy
Ranking (Edition 2012): The Quality of Democ-
racy in the World (Books on Demand, 2012); co-
authored Smart Quintuple Helix Innovation
xxi
xxii About the Associate Editors
Systems (Springer, 2019, https://www.springer.

com/de/book/9783030015169), Mode 3 Knowl-
edge Production in Quadruple Helix Innovation
Systems: 21st-Century Democracy, Innovation,
and Entrepreneurship for Development (Springer,
2012); co-edited The Future of Education and
Labor (Springer, 2019, https://www.springer.com/
gp/book/9783030260675), Handbook of Cyber-
Development, Cyber-Democracy, and Cyber-
Defense (Springer, 2018, https://www.springer.
com/de/book/9783319090689), The Future of
Museums (Springer, 2018, https://www.springer.
com/de/book/9783319939544), Arts, Research,
Innovation and Society (Springer 2015, https://
www.springer.com/de/book/9783319099088),
Cyber-Development, Cyber-Democracy and Cyber-
Defense: Challenges, Opportunities and Implica-
tions for Theory, Policy and Practice (Springer,
2014), Encyclopedia of Creativity, Invention, Inno-
vation and Entrepreneurship (Springer, 2013),
Knowledge Creation, Diffusion, and Use in Innova-
tion Networks and Knowledge Clusters (Praeger,
2006) and Demokratiequalität in Österreich:
Zustand und Entwicklungsperspektiven (Leske +
Budrich, 2002) (“Democracy Quality in Austria”).
His articles on knowledge, innovation, knowl-
edge economy, and democracy (knowledge
democracy and quality of democracy) have been
published in several international journals (cita-
tions of his academic work can be followed at
Google Scholar: http://scholar.google.at/citations?
user=GSNvicMAAAAJ&hl=en&oi=ao). Camp-
bell teaches (taught) at the University of Vienna,
Alpen-Adria University of Klagenfurt, University
of Applied Arts Vienna, Danube University Krems,
George Washington University in Washington, DC
(Elliott School of International Affairs), and at
THAPAR University (Punjab, India).
David Campbell is Academic Director of the
global Democracy Ranking of the quality of
democracy (http://democracyranking.org/) and
Senior Associate Editor (Chief Associate Editor)
to the following journals and book series:
Journal of the Knowledge Economy (JKEC)

(Springer), http://www.springer.com/econom
ics/policy/journal/13132
Journal of Innovation and Entrepreneurship
(JIE) (Springer Open Source), http://www.
About the Associate Editors xxiii
springer.com/business+%26+management/
entrepreneurship/journal/13731
International Journal of Social Ecology and
Sustainable Development (IJSESD) (IGI
Global), http://www.igi-global.com/journal/
international-journal-social-ecology-sustaina
ble/1174
Arts, Research, Innovation, and Society (ARIS)
(Springer), http://www.springer.com/series/
11902
Igor N. Dubina is Professor of Mathematical

Methods in Economics at Novosibirsk National
Research State University (Novosibirsk, Russia)
aProfessor of Economics and Econometrics at
Altai State University (Barnaul, Russia). His educa-
tional background is in the fields of economics and
statistical analysis, his Ph.D. dissertation in Social
Sciences is on “Creativity as a Phenomenon of
Social Communications” (1999), and the topic of
his Dr.Sc. dissertation in Mathematical Economics
is “Game-Theoretic Models for the Organization of
Creative and Innovative Activities in Firms”
(2012). His research interests are concentrated in
interdisciplinary approaches to creativity and inno-
vation studies, mathematic modeling and computer
simulation of innovation, game theory, and mea-
surement theory. Prof. Dubina worked as Visiting
Scholar at the George Washington University
(Washington, DC) in 2004–2005, 2010–2011, and
2014; the International Center for Studies in Crea-
tivity (Buffalo, NY) in 2005; Central European
University (Budapest, Hungary) in 2009; and Mar-
tin Luther University (Halle, Germany) in 2014.
Prof. Dubina published 15 monographs and text-
books on creativity and innovation management
and mathematical methods and models, including
Cross-Cultural Aspects of Creativity, Innovation,
and Entrepreneurship (New York, 2016), Creative
Decision-Making in Management and Business
(Moscow, 2017), Game Theory Fundamentals
(Moscow, 2015), Statistical Methods for Social
and Economic Research (Moscow, 2010), and Cre-
ativity Management in the Innovation Economy
(Moscow, 2009), and over 150 papers in Russian
and English. He presented over 50 conference
papers and taught guest lectures in over 20 universi-
ties worldwide (Austria, China, Costa-Rica, Egypt,
xxiv About the Associate Editors
France, Germany, Hungary, Japan, Kazakhstan,

Kyrgyzstan, Macedonia, Malta, Russia, Spain, Sin-
gapore, Tajikistan, Ukraine, the USA, and other
countries).
Evangelos Grigoroudis is Professor of Manage-

ment of Quality Processes in the School of Produc-
tion Engineering and Management at the Technical
University of Crete, Greece (since 2002). He was
Visiting Professor in the School of Business
Administration at the European University of
Cyprus and in the School of Business and Econom-
ics at the TEI of Piraeus. Prof. Grigoroudis has also
served as Deputy Dean of the School of Production
Engineering and Management at the Technical
University of Crete and is the national representa-
tive in EURO (Association of European Opera-
tional Research Societies) and IFORS
(International Federation of Operational Research
Societies). He is Vice-President of the Hellenic
Operational Research Society (HELORS) and
member of the American Society for Quality
(senior member), the Sigma Xi Scientific and
Research Society, the New York Academy of Sci-
ences, and the International Society on Multiple
Criteria Making. Prof. Grigoroudis has received
distinctions from the Hellenic Operational
Research Society, best paper awards from the
World Automation Congress and the Academy of
Business and Administrative Sciences, and the
gold award of the Greek Healthcare Business
Awards 2017. He is Associate Editor of 8 scientific
journals and member of the Editorial Board of
6 scientific journals, and he acts as reviewer for
more than 80 journals. Prof. Grigoroudis is author
and/or editor of 18 books on service quality, oper-
ations management, business strategy and manage-
ment, multicriteria decision aid approaches, and
innovation management. He has published more
than 200 papers in scientific journals, books, and
conference proceedings, and he has edited 7 feature
issues in scientific journals. Since 1991, he has
been involved as coordinator or research associate
in 50 international and national research projects.
His research interests include quality management
processes, customer satisfaction measurement,
multicriteria decision analysis, innovation manage-
ment, and sustainability assessment.
About the Associate Editors xxv
Marta Peris-Ortiz is Full Professor of Entrepre-

neurship and Innovation at Universitat Politècnica
de València. She received her Ph.D. in Manage-
ment from the University of Valencia in 2005. Her
current research is focused on the topics of Entre-
preneurship and Innovation. She has published
more than 50 articles in journals indexed in the
SSCI such as Journal of Business Research and
Technological Forecasting and Social Change.
Prof. Peris-Ortiz has been Guest Editor of Tech-
nological Forecasting and Social Change, Man-
agement Decision, European Journal of
International Management, Service Industries
Journal, and Journal of Organizational Change
Management among others. She has been editor
of more than 20 research books published by
Springer. Prof. Peris-Ortiz is on the editorial
board of several journals of relevant international
prestige and has been President in different Inter-
national Conferences.
Contributors
Marian Adolf Karl Mannheim Chair for Cultural Studies, Zeppelin Univer-
sity, Friedrichshafen, Lake Constance, Germany
Ömer Akın School of Architecture, Carnegie Mellon University, Pittsburgh,
PA, USA
José Miguel Albarracín Guillem Departament of Business Organisation,
Faculty of Business Administration and Management, Universitat Politècnica
de València, Valencia, Spain
Gema Albort-Morant Department of Business Administration and Market-
ing, Faculty of Economics, Universidad de Sevilla, Seville, Sevilla, Spain
Carol R. Aldous School of Education, Flinders University, Adelaide, SA,
Australia
Andrei G. Aleinikov International Academy of Genius, Montery, CA, USA
Laurice Alexandre-Leclair Research Network on Innovation, CEDAG
Paris Descartes University, Paris, France
Sharam Alijani Department of Strategy and Entrepreneurship, NEOMA
Business School, Reims, France
Darien Allan Faculty of Education, Simon Fraser University, Burnaby, BC,
Canada
Carl Martin Allwood Department of Psychology, University of Gothenburg,
Göteborg, Sweden
Antonio Alonso-Gonzalez Marketing and International Business, EIAM-
PRIME Business School, Universidad Sergio Arboleda, Bogotá, Colombia
Beth Altringer Harvard School of Engineering and Applied Sciences,
Harvard University, Cambridge, MA, USA
MIT International Design Center, Cambridge, MA, USA
Alessandro Antonietti Department of Psychology, Catholic University of
the Sacred Heart, Milan, Italy
Markus Arnold Faculty of Interdisciplinary Studies (IFF), Institute for Sci-
ence Communication and Higher Education Research (WIHO), Alpen-Adria
University of Klagenfurt, Vienna, Austria
xxvii
xxviii Contributors
Arvind Ashta Finance, Control and Law, CEREN, EA 7477, Burgundy

School of Business - Université Bourgogne Franche-Comté, Dijon, France
Jonathan Bainée ENSTA ParisTech, Université Paris 1 Panthéon-Sorbonne
– France, Paris, France
Mohamed Bakhouya Department of Engineering Design and Production,
Aalto University School of Science and Technology, Aalto, Finland
Chaffik Bakkali University of Montpellier, Montpellier Management, Mont-
pellier, France
Pierre Barbaroux French Air Force Research Center, BA 701-EOAA/
CReA, Salon Air-France, France
Oscar Barroso-Huertas CETYS Universidad Baja California, Ensenada,
Mexico
Gerald Bartels Department of Communication Studies, Université de Mon-
tréal, Montréal, QC, Canada
Banff Centre for Arts and Creativity, Banff, AB, Canada
Research and Innovation of Intervene Design, Toronto, ON, Canada
Thorsten D. Barth Political Scientist and Academic Entrepreneur, Vienna
Democracy Ranking Organization – Academic Ranking Team, Vienna,
Austria
Redouane Barzi Ecole Nationale de Commerce et Gestion, Université Ibn
Tofail, Kenitra, Morocco
Min Basadur Michael G. DeGroote School of Business, McMaster Univer-
sity, Hamilton, ON, Canada
Tim Basadur College of Business, Krauss Hall 215, Concordia University
Chicago, River Forest, IL, USA
Gerald Bast Rector, University of Applied Arts Vienna, Vienna, Austria
Alain Philippe Batsale University of Paris 12, Paris, France
Frank Beckenbach University of Kassel, FB Wirtschaftswissenschaften,
Kassel, Germany
Guy Ben-Ari Defense Industrial Initiatives Group, Center for Strategic and
International Studies, Washington, DC, USA
Nicolas Bencherki Center for the Sociology of Innovation, Mines ParisTech
University, Paris, France
Philippe Béraud IMT Atlantique &LIRIS (Université de Rennes 2), Cesson
Sévigné, Cedex, France
James Berry UCL, London, UK
Tarek R. Besold Digital Media Lab, Center for Computing and Communi-
cation Technologies (TZI), University of Bremen, Bremen, Germany
Contributors xxix
Shubhasheesh Bhattacharya Symbiosis Institute of International Business,

Pune, Maharashtra, India
Sonali Bhattacharya Symbiosis Centre for Management and Human
Resource Development, Pune, Maharashtra, India
Peter Biegelbauer Department Innovation Systems, Center for Innovation
Systems and Policy, AIT Austrian Institute of Technology, Vienna, Austria
Magdalena Bielenia-Grajewska Intercultural Communication and
Neurolinguistics Laboratory, Department of Translation Studies, Faculty of
Languages, University of Gdansk, Gdansk, Poland
Andreas Binder Industrial Mathematics Competence Center, MathConsult
GmbH, Linz, Austria
Mauro Birattari Université Libre de Bruxelles, Bruxelles, Belgium
Alan F. Blackwell Computer Laboratory, University of Cambridge, Cam-
bridge, UK
Alicia Blanco-González Business Economics Department, King Juan Carlos
University, Móstoles, Madrid, Spain
Gerhard W. E. Blasche Center for Public Health, Medical University of
Vienna, Vienna, Austria
Vincent Boly Equipe de recherche sur les processus innovatifs (ERPI),
Université de Lorraine, Nancy, France
Maria Bonnafous-Boucher Novancia Business School Paris, Paris, France
Benjamin J. J. Bösch Vienna University of Economics and Business (WU),
Vienna, Austria
Boston College, Boston, MA, USA
Najoua Boufaden ISG – Institut Supérieur de Gestion, Paris, France
Hélène Perrin Boulonne France Angels, Paris, France
Pierre Bourgogne CAIRN-INNOVATION Consulting Agency, BLENOD-
LES-PAM, France
Sophie Boutillier Research Unit on Industry and Innovation/CLERSE–
CNRS (UMR 8019), University of Lille Nord de France, Research Network
on Innovation, Dunkerque, France
Research Unit on Industry and Innovation, University of Littoral Côte
d’Opale, Dunkerque, France
Angela Brand Faculty of Humanities and Sciences, MERIT (Maastricht
Economic and Social Research Institute on Innovation and Technology),
Maastricht University, Maastricht, the Netherlands
Jay L. Brand Ideation, Haworth, Inc., Holland, MI, USA
Pascale Brenet IAE, Université de Franche-Comté, Besançon, France
xxx Contributors
Marc Bühlmann Année Politique Suisse, Institute of Political Science, Uni-

versity of Bern, Bern, Switzerland
Thierry Burger-Helmchen BETA- Bureau d’Economie Théorique et
Appliquée, Université de Strasbourg, Strasbourg, France
Cyndi Burnett International Center for Studies in Creativity, Buffalo, NY,
USA
Kevin Byron Queen Mary, University of London, London, UK
John F. Cabra International Center for Studies in Creativity, Buffalo State,
Buffalo, NY, USA
Anuja Cabraal Graduate School of Business and Law, College of Business,
RMIT University, Melbourne, VIC, Australia
Mauricio Camargo ERPI, University of Lorraine, Nancy, France
David F. J. Campbell Department of Political Science, University of Vienna,
Vienna, Austria
Department for Continuing Education Research and Educational Technolo-
gies, Center for Educational Management and Higher Education Develop-
ment, Danube University Krems, Krems, Austria
Unit for Quality Enhancement (UQE), University of Applied Arts Vienna,
Vienna, Austria
Faculty for Interdisciplinary Studies (IFF), Department of Science Communi-
cation and Higher Education Research (WIHO), Alpen-Adria-University Kla-
genfurt, Vienna, Austria
George S. Campbell Aon, Vienna, Austria
Carlos Devece Carañana Departamento de Organización de Empresas,
Universitat Politècnica de València, Valencia, Spain
Elias G. Carayannis Department of Information Systems and Technology
Management, European Union Research Center, GWU School of Business,
The George Washington University, Washington, DC, USA
Hernan Casakin School of Architecture, Ariel University, Ariel, Israel
Didier Chabaud Sorbonne Business School – Université Paris I Panthéon
Sorbonne, Paris, France
Ming Ming Chiu University at Buffalo, State University of New York,
Buffalo, NY, USA
Dowon Choi Florida State University, Tallahassee, FL, USA
Denis Choulier UBFC / UTBM, Belfort, France
Francois Christophe Department of Pervasive Computing, Tampere Uni-
versity of Technology, Tampere, Finland
Eric Coatanéa Tampere University of Technology, Tampere, Finland
Contributors xxxi
Cinzia Colapinto Department of Management, Ca’ Foscari University Ven-

ice, Venice, Italy
Barbara Colombo Department of Psychology, Catholic University of the
Sacred Heart, Milan, Italy
M. Pilar Conesa-Garcia University Polytechnic of Valencia, Valencia, Spain
Franck Cormerais Université of Bordeaux 3 &MICA, Domaine
universitaire, Bordeaux, Cedex, France
Mawuli Couchoro CERFEG, FASEG, Université de Lomé, Lome, Togo
Jerry Courvisanos Federation Business School, Federation University Aus-
tralia, Mt Helen Campus, Ballarat, VIC, Australia
Ana Cruz-Suárez Business Economics Department, King Juan Carlos Uni-
versity, Móstoles, Madrid, Spain
Alexander Damianisch Support Art and Research, University of Applied
Arts, Vienna, Austria
Marie-France Daniel Département de kinésiologie, Université de Montréal,
Montréal, QC, Canada
Maria Daskalakis University of Kassel, FB Wirtschaftswissenschaften,
Kassel, Germany
Jim Davies Institute of Cognitive Science, Carleton University, Ottawa, ON,
Canada
Karl Dayson Department of Sociology and Criminology, University of Sal-
ford, Salford, UK
Helen De Cruz Somerville College, University of Oxford, Oxford, UK
Centre for Logic and Analytical Philosophy, Katholieke Universiteit Leuven,
Leuven, Belgium
Johan De Smedt Department of Philosophy and Ethics, Ghent University,
Ghent, Belgium
Uehiro Centre for Practical Ethics, University of Oxford, Oxford, UK
Jesus Huerta de Soto King Juan Carlos University, Madrid, Spain
Robert L. DeHaan Division of Educational Studies, Emory University,
Atlanta, GA, USA
Marc-Hubert Depret University of Poitiers, CRIEF, IRIAF, Poitiers (cam-
pus of Niort), France
Robert H. Desmarteau Department of Strategy, Social and Environmental
Responsibilities, School of Management Sciences (ESG), University of Que-
bec at Montreal (UQAM), Montreal, QC, Canada
Francisco Diez-Martin Business Economics Department, King Juan Carlos
xxxii Contributors
Faridah Djellal Clersé-CNRS, University Lille 1 and RRI, Villeneuve

d’Ascq, France
Marija Dobrovolska-Stoian Thinking Approach Group (TA Group), Riga,
Latvia
Amelie Drexler Department of Political Science, University of Vienna,
Vienna, Austria
Igor N. Dubina The Faculty of Economics, Novosibirsk State University
(NSU), Novosibirsk, Russia
The International Institute of Economics, Management, and Information Sys-
tems, Altai State University (ASU), Barnaul, Russia
Susanne Durst University of Skövde, Högskolevägen, Skövde, Sweden
School of Business, Skövde, Sweden
Geert Duysters Brabant Center of Entrepreneurship, Eindhoven University
of Technology and Tilburg University, Eindhoven, The Netherlands
Robert P. Eckert New & Improved, LLC, Paul Smiths, NY, USA
Jakob Edler Innovation Policy and Strategy, University of Manchester,
Manchester, UK
Ingi Runar Edvardsson University of Iceland, Reykjavik, Iceland
Michihiko Esaki Wisdom Management Research, DTCN International
Incorporation, Gifu City, Japan
Sandra Escamilla-Solano Departament of Business Administration, Faculty
of Juridical and Social Sciences, Rey Juan Carlos University, Madrid, Spain
Universidad Rey Juan Carlos, Madrid, Spain
Sofia Estelles-Miguel Departament of Business Organisation, Faculty of
Business Administration and Management, Universitat Politècnica de
València, Valencia, Spain
Dawn L. Eubanks Behavioural Science and Entrepreneurship and Innova-
tion, Warwick Business School, The University of Warwick, Coventry, UK
Nikolaos G. Evangelatos UNU-MERIT (Maastricht Economic and Social
Research Institute on Innovation and Technology), Maastricht University,
Maastricht, The Netherlands
Intensive Care Medicine Unit, Department of Respiratory Medicine,
Allergology and Sleep Medicine, University Clinic for Emergency and Inten-
sive Care Medicine, Paracelsus Medical University, Nuremberg, Germany
Nikolaos Evangelatos Faculty of Humanities and Sciences, MERIT (Maas-
tricht Economic and Social Research Institute on Innovation and Technology),
Maastricht University, Maastricht, the Netherlands
Intensive Care Medicine Unit, Department of Respiratory Medicine,
Allergology and Sleep Medicine, Paracelsus Medical University (PMU),
Nuremberg, Germany
Contributors xxxiii
Alexandra Fabrykowska Department of Political Science, University of

Faculty for Interdisciplinary Studies (iff), Institute of Science Communication
and Higher Education Research (WIHO), Alpen-Adria-University Klagenfurt,
Vienna, Austria
Joshua Fairchild Department of Psychology, Creighton University, Omaha,
NE, USA
Alain Fayolle EM Lyon Business School, Grenoble, France
Gregory J. Feist Department of Psychology, San Jose State University, San
Jose, CA, USA
Cristina Fernandes Instituto Politécnico de Castelo Branco, Castelo Branco,
Portugal
NECE – Research Unit in Business Sciences, Covilhã, Covilhã, Portugal
João J. Ferreira Management and Economics, University of Beira Interior
and NECE – Research Unit in Business Sciences, Covilhã, Portugal
Roger Firestien Innovation Resources Inc., Buffalo, NY, USA
Joëlle Forest EVS-ITUS UMR5600, National Institute of Applied Sciences
of Lyon, University of Lyon, Villeurbanne, France
Claude Fournier Réseau de Recherche sur I’Innovation (RRI), Laboratoire
de recherche sur I’industrie et I’innovation (Lab.RII), Dunkerque, France
Janice Francisco BridgePoint Effect, Ottawa, Canada
Thomas A. E. Fuchs Political Science (Research Focus: European Union,
European Integration, Security Policy), University of Vienna, Vienna, Austria
Liane Gabora Department of Psychology, University of British Columbia
Okanagan Campus, Kelowna, BC, Canada
Andrea Gaggioli Department of Psychology, Catholic University of the
Mathieu Gagnon Université de Sherbrooke, Sherbrooke, QC, Canada
Delphine Gallaud CESAER UMR 1051 Agrosupdijon Inra, Dijon, France
Université Bourgogne Franche-Comté, UMR1041, AgroSup Dijon, INRA
CESAER, Dijon, France
Faïz Gallouj Clersé-CNRS, University Lille 1 and RRI, Villeneuve d’Ascq,
France
Christian Garaus WU (Vienna University of Economics and Business),
Institute for Strategy, Technology and Organization, Vienna, Austria
Raghu Garud Department of Management and Organization, The Pennsyl-
vania State University, State College, PA, USA
Brigitte Gay Toulouse Business School, University of Toulouse, Toulouse,
France
xxxiv Contributors
Robert M. Gemmell Department of Strategy and Entrepreneurship, Robin-

son College of Business, Georgia State University, Atlanta, GA, USA
Horst Geschka Geschka & Partner Unternehmensberatung, Darmstadt,
Germany
Michael Gibbons SPRU (Science Policy Research Unit), University of Sus-
sex, Brighton, UK
Susanne Giesecke Center for Innovation Systems and Policy, Austrian Insti-
tute of Technology, Vienna, Austria
Ignacio Gil-Conesa University Polytechnic of Valencia, Valencia, Spain
Ignacio Gil-Pechuan University Polytechnic of Valencia, Valencia, Spain
Georg Glaeser Institute of Arts and Technology, Department of Geometry,
University of Applied Arts Vienna, Vienna, Austria
Aytac Gogus BAGEM, Center for Individual and Academic Development,
Sabanci University, Istanbul, Turkey
Raúl Gómez-Martínez Rey Juan Carlos University, Faculty of Law and
Social Sciences, Department of Business Economics, Madrid, Spain
Tomás Félix González-Cruz Departamento de Dirección de Empresas,
Facultad de Economia, Universitat de València, Valencia, Spain
Richard Tabor Greene De Tao Master’s Academy, Beijing, China
System Design and Management, Keio University, Tokyo, Japan
Samapti Guha Tata Institute of Social Sciences, Mumbai, Maharashtra,
India
Priya Dhamija Gupta Symbiosis Centre for Management and Human
Resource Management, Pune, Maharashtra, India
Wolfgang H. Güttel Institute of Human Resource and Change Management,
Johannes Kepler University, Linz, Upper Austria, Austria
Samia Haddad Institute of High Commercial Studies of Tunis (IHEC),
Tunis, Tunisia
Mavis Haigh School of Learning, Develoment and Professional Practice,
The University of Auckland, Auckland, New Zealand
Abdelillah Hamdouch Planning Department, Polytechnic School, Univer-
sity of Tours, Tours, France
Katharina Handler Centre for Social Innovation, Vienna, Austria
Ulrike Hanke Department of Educational Science, University of Education
Freiburg (Pädagogische Hochschule), Freiburg, Germany
Georg Hanschitz Amrop Jenewein, Public Sector, Technology & Media,
Professional Services and Industry, Vienna, Austria
Business Development Manager, Freshfields Bruckhaus Deringer LLP,
Vienna, Austria
Contributors xxxv
Yi Hao The College of William & Mary, Williamsburg, VA, USA

Cynthia Hardy Department of Management and Marketing, University of
Melbourne, Parkville, VIC, Australia
Phillip Sinclair Harvard EIGSI – University of La Rochelle, La Rochelle,
France
Parina Hassanaly UFR medecine SESSTIM UMR 912, Aix Marseille
Université, Marseille, PACA, France
John Haworth Manchester Metropolitan University, Manchester, UK
Thomas Heinze Lehrstuhl für Organisationssoziologie, Bergische Univer-
sität Wuppertal, Wuppertal, Germany
Andreas Heller Department for Public Care, University of Graz, Graz,
Austria
Ludger Helms Department of Political Science, University of Innsbruck,
Innsbruck, Austria
Sven Hemlin Department of Psychology, School of Business, Economics
and Law, Gothenburg Research Institute (GRI), University of Gothenburg,
Göteborg, Sweden
Beth A. Hennessey Wellesley College, Wellesley, MA, USA
MIT International Design Center, Cambridge, MA, USA
Takeo Higuchi Idea-Marathon Institute (IMS Institute), Tokyo, Japan
Lisz Hirn Independent Philosopher and Researcher, Vienna, Austria
University of Vienna, Vienna, Austria
Rae Ann Hirsh Early Childhood, Carlow University, Pittsburgh, PA, USA
Josef Hochgerner Centre for Social Innovation (ZSI), Vienna, Austria
Margit Hofer Centre for Social Innovation, Vienna, Austria
Bjørn Hofmann Norwegian University of Science and Technology (NTNU),
Gjøvik, Norway
University of Oslo, Oslo, Norway
W. David Holford Department of Management and Technology, School of
Management Sciences (ESG), University of Quebec at Montreal (UQAM),
Montreal, QC, Canada
Werner Hölzl Austrian Institute of Economic Research (WIFO), Vienna,
Austria
Yi Hua The College of William & Mary, Williamsburg, VA, USA
Samuel T. Hunter The Pennsylvania State University, State College, PA,
USA
Dirk Ifenthaler Learning, Design and Technology, University of Mannheim,
Mannheim, Germany
xxxvi Contributors
Jonathan Impett School of Media and Performing Arts, Middlesex Univer-

sity, London, UK
Jean-Pierre Issa International Center for Studies in Creativity, Buffalo State
College, State University of New York, Buffalo, NY, USA
Anna Katharina Jacob Zentrum fuer Hochschul- und Qualitaetsent-
wicklung (ZfH), Universitaet Duisburg-Essen, Duisburg, Germany
Garrett Jaeger University of Georgia, Vista, California, USA
Sabina Jaeger Auckland University of Technology-New Zealand, Auck-
land, New Zealand
Jonatan Jelen Parsons The New School for Design, New York, NY, USA
Björn Johnson Department of Business and Management, Aalborg Univer-
sity, Aalborg, Denmark
Renata Jonina Thinking Approach Group (TA Group), Riga, Latvia
Nowshade Kabir Knolee Group, Toronto, ON, Canada
Robert Kaiser Seminar of Social Sciences, University of Siegen, Siegen,
North-Rhine Westphalia, Germany
Thomas Kaiserfeld Departmant of Arts and Cultural Sciences, Lund Uni-
versity, Lund, Sweden
Bahman Kalantari Department of Computer Science, Rutgers, The State
University of New Jersey, New Brunswick, NJ, USA
D. Kariv Department of Entrepreneurship and Innovation, The College of
Management, Academic Studies, Rishon Lezion, Israel
James C. Kaufman Department of Psychology, Learning Research Institute,
California State University at San Bernardino, San Bernardino, CA, USA
Uwe H. Kaufmann Centre for Organisational Effectiveness (COE Pte Ltd),
Singapore, Singapore
Matthias Keppel L4.4 People’s Services, Austrian Parliament, Vienna,
Austria
Ralph Kerle The Creative Leadership Forum, Willoughby, NSW, Australia
Stefan Kesting Auckland University of Technology-New Zealand, Auck-
land, New Zealand
Barbara Kieslinger Centre for Social Innovation (ZSI), Vienna, Austria
Daehyun Kim University of Georgia, Athens, GA, USA
Kyung Hee Kim The College of William & Mary, Williamsburg, VA, USA
Laurens Klerkx Knowledge, Technology and Innovation Group,
Wageningen University, Wageningen, The Netherlands
Contributors xxxvii
David A. Kolb Department of Organization Behavior, Weatherhead School

of Management, Case Western Reserve University, Cleveland, OH, USA
Michael König Department of Strategy and Innovation, Vienna University of
Economics and Business, Vienna, Austria
Stefan Konlechner Institute of Human Resource and Change Management,
Pawel Korzynski Department of Human Resources, Kozminski University,
Warszawa, Poland
Harvard University, Cambridge, MA, USA
Gerhard Krauss Faculty of Social Sciences, University of Rennes 2,
Rennes, France
Georg Krücken International Centre for Higher Education Research
(INCHER), University of Kassel, Kassel, Germany
Ulf Krumnack Institute of Cognitive Science, University of Osnabrück,
Osnabrück, Germany
Stefan Kuhlmann Science, Technology, and Policy Studies (STePS), Uni-
versity of Twente, Enschede, The Netherlands
Kai-Uwe Kühnberger Institute of Cognitive Science, University of
Osnabrück, Osnabrück, Germany
Hubert Lackner Institute of Human Resource and Change Management,
Thomas Lans Education and Competence Studies Group, Wageningen Uni-
versity, Wageningen, The Netherlands
Blandine Laperche Research Unit on Industry and Innovation/CLERSE–
CNRS (UMR 8019), University of Lille Nord de France, Research Network on
Innovation, Dunkerque, France
Research Unit on Industry and Innovation, University of Littoral Côte
Edgar Lasevich Thinking Approach Group (TA Group), Riga, Latvia
Kung Wong Lau Institute of Textiles and Clothing, The Hong Kong Poly-
technic University, Kowloon, Hong Kong
Eric Michael Laviolette Novancia Business School Paris, Paris, France
Antonio Leal-Millán Department of Business Administration and Mar-
keting, Faculty of Economics, Universidad de Sevilla, Seville, Sevilla,
Spain
Antonio L. Leal-Rodríguez Department of Management, ETEA-
Universidad Loyola Andalucía, Sevilla, Sevilla, Spain
xxxviii Contributors
Divya Leducq UMR CNRS 7324 CITERES, Polytech Tours, Tours, France
Johannes Leitner University for Applied Sciences bfi Vienna, Vienna,
Austria
Karl-Heinz Leitner Center for Innovation Systems and Policy, AIT Austrian
Institute of Technology, Vienna, Austria
Center for Entrepreneurship and Applied Business Studies, University of
Graz, Graz, Austria
Nadine Levratto EconomiX, UMR 7235 CNRS, University Paris Ouest
Nanterre La Défense and Euromed Management, Nanterre, France
Loet Leydesdorff Amsterdam School of Communication Research
(ASCoR), University of Amsterdam, Amsterdam, The Netherlands
Gordana Licina Michael G. DeGroote School of Business, McMaster Uni-
versity, Hamilton, ON, Canada
Peter Liljedahl Faculty of Education, Simon Fraser University, Burnaby,
BC, Canada
Malin Lindberg Department of Business Administration, Technology and
Social Sciences, Luleå University of Technology, Luleå, Sweden
Bengt-Åke Lundvall Department of Business and Management, Aalborg
University, Aalborg, Denmark
Stuart Mackenzie Federation Business School, Federation University Aus-
tralia, Mt Helen Campus, Ballarat, VIC, Australia
Steve Maguire Desautels Faculty of Management, McGill University, Mon-
treal, QC, Canada
Michel Marchesnay ERFI, ISEM, Université de Montpellier, Montpelier,
France
Ilse Marschalek Centre for Social Innovation, Vienna, Austria
Ben R. Martin SPRU – Science and Technology Policy Research, The
Freeman Centre, University of Sussex, Brighton, UK
Clay Martin The College of William & Mary, Williamsburg, VA, USA
Clayton V. Martin Alvernia University, Reading, PA, USA
Jason L. Mast Karl Mannheim Chair for Cultural Studies, Zeppelin Univer-
sity, Friedrichshafen, Lake Constance, Germany
Ruth Mateus-Berr Center for Didactics of Art and Interdisciplinary Educa-
tion, University of Applied Arts Vienna, Vienna, Austria
Kurt Mayer REFLACT – Sustainable Consulting, Vienna, Austria
Galina Medyna Department of Engineering Design and Production, Aalto
University School of Science and Technology, Aalto, Finland
Contributors xxxix
José M. Merigó Lindahl Department of Management Control and Informa-

tion Systems, University of Chile, Santiago, Chile
Céline Merlin-Brogniart CLERSE, Lille, France
University of Lille–France, Villeneuve d’Ascq, France
Karim Messeghem University of Montpellier, Montpellier Management,
Montpellier, France
Michael Meyer Department of Management, Institute for Nonprofit Man-
agement, WU – Vienna University of Economics and Business, Vienna,
Austria
Winter Meyer Learning Research Institute, California State University at
San Bernardino, San Bernardino, CA, USA
Dimis Michaelides Performa Consulting, Nicosia, Cyprus
Blair Miller Blair Miller Innovation, Evanston, IL, USA
Alfonso Montuori Department of Transformative Inquiry, California Insti-
tute of Integral Studies, San Francisco, CA, USA
Seana Moran MIT International Design Center, Cambridge, MA, USA
Clark University, Worcester, MA, USA
Laure Morel ERPI, University of Lorraine, Nancy, France
Maria D. Moreno-Luzon Department of Business Administration, Facultat
d’Economia, Universitat de València, Valencia, VC, Spain
Piera Morlacchi Department of Management, University of Sussex Business
School, University of Sussex, Brighton, UK
Barbara Müller Institute of Human Resource and Change Management,
Karl H. Müller Steinbeis Transfer Center New Cybernetics, Vienna, Austria
Marc Muller International University Institute, Munsbach, Luxembourg
Francis Munier BETA, Université de Strasbourg, Strasbourg, France
Abu Saleh Mohammad Musa Credit and Development Forum (CDF),
Dhaka, Bangladesh
Bence Nanay Centre for Philosophical Psychology, University of Antwerp,
Antwerp, Belgium
Peterhouse University of Cambridge, Cambridge, UK
Ferreira Nathalie Research Network of Innovation, Paris, France
Patrice Noailles-Siméon European Forum for Innovation Policies – Evry
University – RRI, Paris, France
Nicole Norton The College of William & Mary, Williamsburg, VA, USA
xl Contributors
Kamisah Osman Faculty of Education, Universiti Kebangsaan Malaysia,

The National University of Malaysia, Bangi Selangor, Malaysia
Marta Palmer Gato Departament of Business Organisation, Faculty of
Business Administration and Management, Universitat Politècnica de
València, Valencia, Spain
Andreas Panagopoulos University of Crete, Department of Economics,
Rethymnon, Greece
Jordi Paniagua Faculty of Economics and Business, Catholic Universtiy of
Valencia San Vicente Mártir, Valencia, Spain
Ivan Pantelić Independent Artist and Researcher, Vienna, Austria
Elke Park Institute for Science Communication and Higher Education
Research (WIHO), University of Klagenfurt, Vienna, Austria
Florin Paun ONERA – The French Aerospace Lab, Palaiseau, France
Attila Pausits Department for Continuing Education Research and Educa-
tional Technologies, Center for Educational Management and Higher Educa-
tion Development, Danube University Krems, Krems, Austria
European Higher Education Society (EAIR), Amsterdam, The Netherlands
Michael Pawlikowski University at Buffalo, State University of New York,
Buffalo, NY, USA
Michael Peneder Austrian Institute of Economic Research (WIFO), Vienna,
Austria
Julien Pénin University of Strasbourg – BETA (UMR 7522 CNRS-UdS),
Strasbourg Cedex, France
Marta Peris-Ortiz Departamento de Organización de Empresas, Universitat
Politècnica de València, Valencia, Spain
Yvon Pesqueux Chaire de Développement des Systèmes d’Organisation,
Conservatoire National des Arts et Métiers, Paris, France
Francesca Petrella Lest CNRS, Aix-Marseille Université, Aix-en-provence,
France
Thomas Pfeffer Department for Migration and Globalization, Danube Uni-
versity Krems, Krems, Austria
Institute for Science Communication and Higher Education Research, Kla-
genfurt University, Vienna, Austria
Fabienne Picard University of Technology of Belfort-Montbeliard, Belfort,
France
Robert A. Pierce George Mason University, Fairfax, VA, USA
Carlotta Piscopo IRIDIA, Université Libre de Bruxelles, Bruxelles,
Belgium
Contributors xli
Paola Plaza-Casado Departament of Business Administration, Faculty of

Juridical and Social Sciences, Rey Juan Carlos University, Madrid, Spain
Christian Poncet ART-Dev, University of Montpellier, Montpelier, France
Colin Porlezza Department of Journalism, City, University of London,
London, UK
Alberto Prado-Román Business Economics Department, King Juan Carlos
Camilo Prado-Román Rey Juan Carlos University, Faculty of Law and
Social Sciences, Department of Business Economics, Madrid, Spain
Miguel Prado-Román Departament of Business Administration, Faculty
of Juridical and Social Sciences, Rey Juan Carlos University, Madrid,
Spain
Barbara Prainsack Department of Political Science, University of Vienna,
Vienna, Austria
Department of Global Health and Social Medicine, Kings College London,
London, UK
Heiko Prange-Gstöhl DG Research and Innovation, European Commission,
Brussels, Belgium
Hector Ramos Department of Educational Psychology, College of Education
and Human Development, Texas A&M University, Bryan, TX, USA
Suzanna J. Ramos Department of Educational Psychology, College of Edu-
cation and Human Development, Texas A&M University, College Station,
TX, USA
Kathleen Randerson University of Grenoble IUT2-CERAG, Grenoble,
France
Clint Randles Center for Music Education Research, School of Music, MUS
317 College of the Art, University of South Florida, Tampa, FL, USA
Jacques-Laurent Ravix GREDEG research group (Groupe de Recherche en
Droit, Economie, Gestion), University of Nice – Sophia Antipolis and CNRS
(Centre National de la Recherche Scientifique), Nice, France
Department of Economics, Université Côte d’Azur, Nice, France
Julie Ray Réseau de Recherche sur l’Innovation, Dunkerque, France
Olga M. Razumnikova State Scientific-Research Institute of Physiology and
Basic Medicine, Novosibirsk, Russia
Novosibirsk State Technical University, Novosibirsk, Russia
Sophie Reboud CEREN, EA 7477, Burgundy School of Business,
Université Bourgogne Franche-Comté, Dijon, France
xlii Contributors
Renaud Redien-Collot Novancia Business School Paris, Paris, France

Nadine Richez-Battesti Lest CNRS, Aix-Marseille Université, Aix-en-pro-
vence, France
Alan G. Robinson Isenberg School of Management, University of Massa-
chusetts, Amherst, MA, USA
Serge Le Roux Research Unit on Industry and Innovation, University of
Littoral, Dunkerque, France
Research Network on Innovation, Paris, France
Carlos Rueda-Armengot Departamento de Organización de Empresas,
Universitat Politècnica de València, Valencia, Spain
Mark A. Runco University of Georgia, Athens, GA, USA
Creativity Research and Programming, Southern Oregon University,
Ashland, OR, USA
American Institute for Behavioral Research and Technology, Vista, California,
USA
Charlotta Ruth Zentrum Fokus Forschung (ZFF), University of Applied
Anne-Laure Saives Department of Management and Technology, School of
Management Sciences (ESG), University of Quebec at Montreal (UQAM),
Montreal, QC, Canada
Sylvie Sammut University of Montpellier, Montpellier Management, Mont-
pellier, France
Aljona Sandgren School of Business, Åbo Akademi University, Turku/Åbo,
Finland
Department of Physical Geography and Quaternary Geology, Stockholm
University, Stockholm, Sweden
Teresa Schaefer Centre for Social Innovation (ZSI), Vienna, Austria
Helene Schiffbaenker Joanneum Research, Vienna, Austria
Willi Schlegelmilch Manager, Accounting System Standardisation,
Schönaich, Germany
Adele L. Schmidt School of Education and Professional Studies, Griffith
University, Brisbane, QLD, Australia
Russell Schneck WorkingLessons, Kerhonkson, NY, USA
Wieland Schneider Die Presse, Vienna, Austria
Wilfred Schoenmakers Management Studies Group, Wageningen Univer-
sity and Research Centre, Wageningen, The Netherlands
Maria Schrammel Centre for Social Innovation, Vienna, Austria
Klaus Schuch Centre for Social Innovation (ZSI), Vienna, Austria
Contributors xliii
Martina Schwarz-Geschka Geschka & Partner Unternehmensberatung,

Darmstadt, Germany
Angela Schwering Institute for Geoinformatics, University of Münster,
Münster, Germany
Norbert M. Seel Department of Education, University of Freiburg, Freiburg,
Germany
Franz Seifert Austrian Science Fund FWF (Funding Organization), Vienna,
Austria
Imen Selmi National Engineering School of Gabes (ENIG), Gabès, Tunisia
Pieter Seuneke Aeres University of Applied Sciences Wageningen,
Wageningen, The Netherlands
Robina Shaheen The Open University, Milton Keynes, UK
Dean Keith Simonton Department of Psychology, University of California,
Davis, CA, USA
Anthony Siradakis The College of William & Mary, Williamsburg, VA,
USA
Nina Slanevskaya St. Petersburg Centre for Interdisciplinary Neuroscience
Ltd., St. Petersburg, Russia
David A. Smarsh International Academy of Genius, Montery, CA, USA
Alexander Sokol Thinking Approach Group (TA Group), Riga, Latvia
Hefa Song Institute of Policy and Management, Chinese Academy of Sci-
ences, Beijing, China
Markku Sotarauta Faculty of Management, University of Tampere, Tam-
pere, FI, Finland
Philippe Spieser Groupe Escpeurope, Paris, France
John E. Spillan School of Business, University of North Carolina At Pem-
broke, Pembroke, NC, USA
Nico Stehr Karl Mannheim Chair for Cultural Studies, Zeppelin University,
Friedrichshafen, Lake Constance, Germany
Anne Stenros KONE Corporation, Espoo, Finland
Sam Stern College of Education, Oregon State University, Corvallis, OR,
USA
Kajetan Stransky-Can Austrian Federal Ministry of Education, Science and
Research, Vienna, Austria
William B. Strean Faculty of Physical Education and Recreation, University
of Alberta, Edmonton, AB, Canada
K. S. Subramanian Tata Institute of Social Sciences, Mumbai, Maharashtra,
India
xliv Contributors
Gregory Tassey National Institute of Standards and Technology, Gaithers-

burg, MD, USA
Leïla Temri Montpellier SupAgro - UMR 1110 MOISA, SESG, Montpellier,
France
Stephen Thaler Imagination Engines, Inc., St. Charles, MO, USA
Mazzarol Tim University of Western Australia Business School, Crawley,
WA, Australia
André Torre INRA, Agro Paristech, UMR SAD-APT, Paris, France
Olivier Torrès University of Montpellier South of France, Montpellier,
France
Faruk Ulgen Grenoble Faculty of Economics, University Grenoble Alpes-
Centre de Recherche en Economie de Grenoble (CREG), Grenoble, France
Eskil Ullberg Interdisciplinary Center for Economic Science, George Mason
University, Fairfax County, VA, USA
Iris Ullmann AuPSA/Branch Political Leadership, Innsbruck, Austria
Elisabeth Unterfrauner Centre for Social Innovation, Vienna, Austria
Diego Uribe-Larach Universidad Adolfo Ibañez, Las Condes, Santiago,
Chile
Vuk Uskoković Therapeutic Micro and Nanotechnology Laboratory, Depart-
ment of Bioengineering and Therapeutic Sciences, University of California,
San Francisco, CA, USA
Dimitri Uzunidis Research Unit on Industry and Innovation/CLERSE–
CNRS (UMR 8019), University of Lille Nord de France, Research Network
on Innovation, Dunkerque, France
Political Economy, Research Unit on Industry and Innovation University,
University of Littoral Côte d’Opale, Dunkerque, France
Ingrid Vaileanu XVALUATOR, universal digital hub converting big data in
shared value, Member of Cap Digital and Finance Innovation, Paris, France
Ingrid Vaileanu Paun Institut de l’Evaluation Participative de la Valeur
Territoriale, Issy-les-Moulineaux, France
Jonathan Vehar Center for Creative Leadership, Greensboro, NC, USA
Etienne Vignola-Gagné Science-Metrix, Montréal, Canada
Daniela Villani Department of Psychology, Catholic University of the
Yingxu Wang Department of Electrical and Computer Engineering, Interna-
tional Institute of Cognitive Informatics and Cognitive Computing (ICIC),
University of Calgary, Calgary, AB, Canada
K. Matthias Weber Center for Innovation Systems and Policy, Austrian
Institute of Technology, Vienna, Austria
Contributors xlv
Peter Webster Scholarly and Professional Studies, Scholar-in-Residence,

University of Southern California, Los Angeles, CA, USA
Gerhard Weiss Department of Economics and Social Sciences, University of
Life Sciences and Natural Resources, Vienna, Austria
European Forest Institute - Forest Policy Research Network, University of
Natural Resources and Life Sciences, Vienna, Austria
Claudia Wenzel Department Health Sciences, IMC University of Applied
Sciences Krems, Krems, Austria
Marian Wielezynski Université du Littoral (RRI Dunkerque), Consulting-
European Union, Beauvais, France
Noël Williams The College of William & Mary, Williamsburg, VA, USA
Joshua Wilson The College of William & Mary, Williamsburg, VA, USA
Lee Wilson School of Political Science and International Studies, The Uni-
versity of Queensland, St Lucia, QLD, Australia
Division of Social Anthropology, Department of Archeology and Anthropol-
ogy, University of Cambridge, Cambridge, UK
David M. Wineroither Department of Political Science, Hungarian Acad-
emy of Sciences, Budapest, Hungary
Jeffrey G. Woods School of Business, University of Indianapolis, Indianap-
olis, IN, USA
Robert F. Xavier ThePoliticalMinds.com, Laguna Hills, CA, USA
Fangqi Xu The Institute for Creative Management and Innovation, Kindai
University, Higashi-Osaka, Osaka, Japan
Shinya Yamamoto Primate Research Institute, Kyoto University, Inuyama
City, Aichi Prefecture, Japan
Titus Yong National University of Singapore, Singapore, Singapore
Sureyya Yoruk Marmara University, Istanbul, Turkey
Christopher Ziemnowicz Department of Management, Marketing, and
International Business, The University of North Carolina at Pembroke, Pem-
broke, NC, USA
Andrea Zirm Hochschule für Angewandte Wissenschaften (HAW),
Wentorf, Hamburg, Germany
Boris Zlotin Ideation International Inc., Farmington Hills, MI, USA
Alla Zusman Ideation International Inc., Farmington Hills, MI, USA
A
Abductive, Deductive, and Academic Entrepreneur,

Inductive Thinking Academic Entrepreneurship
▶ Method for Creating Wisdom from Knowledge Thorsten D. Barth1 and Willi Schlegelmilch2
1
Political Scientist and Academic Entrepreneur,
Vienna Democracy Ranking Organization –
Academic Ranking Team, Vienna, Austria
2
Manager, Accounting System Standardisation,
Absolute Leadership Schönaich, Germany
▶ Creative Leadership
Synonyms
Academic firm; Entrepreneur; Entrepreneurship
Absorptive Capacity Introduction

▶ Innovation Audit: Measuring Innovation Man- In the scientific theory, the terms academic entre-
agement Capabilities preneur and academic entrepreneurship are
defined and developed further in very different
ways. From the traditional perspective, academic
entrepreneurship means an “university spin-off”
or an institutional transfer of research, develop-
Abstract Intelligence ment, or technology to start innovations or ven-
tures (see, for example, Shane 2004). According
▶ In Search of Cognitive Foundations of to Beckman and Cherwitz (2009), academic
Creativity entrepreneurship can be defined as an
© Springer Nature Switzerland AG 2020

E. G. Carayannis (ed.), Encyclopedia of Creativity, Invention, Innovation and Entrepreneurship,
https://doi.org/10.1007/978-3-319-15347-6
2 Academic Entrepreneur, Academic Entrepreneurship
“intellectual enterprise,” in which universities the societies (¼ oriented toward innovation).

cooperate with local communities to create new Inevitable assets for the academic entrepreneur
values or ideas. With the special focus on the are its creativity, richness of ideas, exploratory
production of knowledge an academic entrepre- urge, and a network within the scientific discipline
neurship is close to the definition of an “academic as well as across disciplines (¼ know-how). The
firm” (Campbell and Güttel 2005), which sees an value added by an academic entrepreneur is
academic entrepreneur operating simultaneously created by the utilization of academic knowledge
as intellectual actor (¼ academic) and as entrepre- (Patents, Ideas, Technologies, Think Tanks, etc.)
neurial actor (¼ firm). As a summarization, the for customers belonging to different sectors
terms academic entrepreneur and academic entre- (Business & Industry; Government & Politics;
preneurship can be described as follows. Media & Society; Environment; University, Sci-
ence & Research) (see Fig. 1). The success of an
academic entrepreneur comes along with the
Definition of Terms: Academic search for innovative solutions in a more and
Entrepreneur/Academic more digitalized world and through changes in
Entrepreneurship the societies in times of increasing globalization.
Following this, an academic entrepreneur is a sym-
Academic Entrepreneur bol for the modernization of the universities and the
An academic entrepreneur defines an occupational transformation of the science and market-driven
profile for an actor being scientifically active and at societies in the twenty-first century.
the same time working as an entrepreneur. Based
on the academic education, scientific activities and Academic Entrepreneurship
integrated in the academic network combined with The term academic entrepreneurship articulates
the entrepreneurial thinking and acting the aca- that an academic entrepreneur acts commercially
demic entrepreneur creates income, earnings, and (¼ entrepreneurship) with, e.g., creating profits
profit with self-employment. In a modern market- from patent developments, as well as non-
driven society, the academic entrepreneur is the commercially (¼ academic), e.g., with scientific
link between the academic world (¼ oriented publications of research results (see Fig. 1). Aca-
toward knowledge) and the commercial world of demic entrepreneurship is positioned between the
publish research
teach
leam
Academic
connect
University Academic Entrepreneur
media/
society
Entrepreneurship
environ-
poltics/
government
ment
business/ university/
science/
industry research
Academic Entrepreneur, Academic Entrepreneurship, Fig. 1 The academic entrepreneur

Academic Entrepreneur, Academic Entrepreneurship 3
academic production of knowledge and the enterprises. The big difference between an aca-
demand for advanced knowledge and know-how demic entrepreneurship and a university, how-
from societies or private enterprises. In most ever, is that the academic entrepreneur while A
cases, academic entrepreneurship comes from creating knowledge and innovation always is
the so-called spin-offs or start-ups in the context also interested in creating commercial income,
of innovative ideas, developments, and coopera- earnings, and profits:
tions, which were already created at universities
Academic entrepreneurs are therefore characterized
or are still under research. These spin-offs or start- as having multiple missions: they derive direct util-
ups are the universities’ answer to the changes in ity from the completion of a project and the mone-
the sciences and research over the last tary returns from its commercialization (just like
industrial actors), as well as from the research activ-
30–40 years. An academic entrepreneurship
ities that precede commercialization. (Lacetera
start-up or spin-off therefore has the primary 2009, 444)
objective to establish the needed link between
the academic world and the world of private enter- The increasing demand of private enterprises,
prises and by this to satisfy the still existing political parties, nongovernmental organizations,
demand of the societies for new products, ser- media, or the public sector (e.g., governments) for
vices, and ideas. new knowledge and know-how from the aca-
demic sector supports the foundation of more
and more academic entrepreneurship start-ups
The Models of Innovation and Its or spin-offs. With respect to this, Shane explains
Relevance for Academic the five advantages of an academic entrepreneur-
Entrepreneurship ship spin-off (see Shane 2004, 20, 25, 27, 30, 32):
(1) to “encourage economic development,” (2) to
Entrepreneurship among academic scientists is by “enhance the commercialization of university
no means a new phenomenon (Zhang 2007, 1). technologies,” (3) “spin-offs help universities
The emergence of academic entrepreneurship with their mission,” (4) “spin-offs are high poten-
goes along with the changes in the sciences and tial companies,” and (5) “creating spin-offs is
research over the last decades (see Lacetera 2009, more profitable than licensing to established com-
443). The increasing concatenation of the sciences panies.” In a study about academic entrepreneurs
and research with different sectors of the economy in the USA conducted by Junfu Zhang, it was
and the society as well as the change from a found out that in most instances, academic entre-
traditional university to an entrepreneurial uni- preneurship start-ups or spin-offs were founded
versity promotes academic entrepreneurships. by professors, followed by research scientists,
D’Este et al. describes an academic entrepreneur academic directors, and executives (see Zhang
in the following way: 2007, 33). This tendency in the formation of aca-
demic entrepreneurships is linked to the changes
The literature on university-industry technology
transfer defines an academic entrepreneur as an in the models of innovation. This can be visual-
university scientist who engages in the ized with and described based on Fig. 2.
commercialisation of the result of his/her research, Figure 2 visualizes that a change has taken
largely by patenting and/or setting up a business. place in the production of knowledge and innova-
(D’Este et al. 2005, 2)
tion and by this new areas of work are created for
Academic entrepreneurships are mostly academic entrepreneurs as well as an increasing
founded as spin-offs or start-ups established by demand for new knowledge and know-how. Over
universities, in cooperation with universities or by time new models of innovation were built, which
university graduates based on innovative ideas, created more chances for university graduates to
developments, or patents. In the course of change act as entrepreneurs. At the beginning, the focus
in the sciences and research, an academic entre- was on the traditional linear innovation model
preneur defines the necessary link between the “Mode 1” (Gibbons et al. 1994), in which the
academic world and the world of private production of knowledge at the universities was
4
Mode 1 Mode 2 Triple Helix Quadruple Helix Quintuple Helix

Innovation
University/ University/ University/
University/ Innovation Business/ Innovation
Science/ Science/ Science/
Science/ Industry
Research Research Research
University/ Research
Science/ + Government/ Business/
Research applied Politics Industry
research
Government/ Business/ Government/ Media/
Media/
Politics Industry Politics Society Environment
Society
(Gibbon: et al. 1994) (Etzkowitz and Leydesdorff 2000) (Carayannis and Campbell 2009) (Carayannis and Campbell 2010)
Academic Entrepreneur, Academic Entrepreneurship, Fig. 2 The models of innovation

Academic Entrepreneur, Academic Entrepreneurship
done with the support of predefined “disciplinary” production of knowledge and innovation must
and “hierarchically established peers” (see be “transdisciplinary” and “interdisciplinary” at
Carayannis and Campbell 2010, 48). Compared the same time. This is especially needed to work A
to the model “Mode 1,” further developments against the dangers resulting from the climate
toward innovation model “Mode 2” and all further change and the destruction of the environment.
nonlinear models of innovation have created new The described complex changes in and the devel-
opportunities for the production of knowledge. opment of the models of innovation should make
Especially, the innovation model “Mode 2” rep- clear that the currently given complexity in the
resents a model, in which institutions not belong- areas of work and research requires an academic
ing to universities take over a new role for the entrepreneur.
creation and production of knowledge. Research As a summarization, the relevance of an aca-
topics going across scientific disciplines can as demic entrepreneur with relation to the develop-
well be described much better with this model. ment of the described models of innovation can be
The specific characteristics of the innovation defined as follows: The academic entrepreneur
model “Mode 2” compared to the model “Mode increasingly becomes a central actor to facilitate
1” are the following ones: (1) knowledge is “pro- the production of knowledge and innovation. The
duced in the context of application”; (2) “hetero- transformation of the innovation models requires
geneity and organizational diversity”; (3) “social a cooperative and targeted exchange between the
accountability and reflexivity”; and (4) “quality academic world and the world of private enter-
control” (Gibbons et al. 1994, 3–4). Based on prises. In this context, it is the academic entrepre-
innovation model “Mode 2,” an additional change neur to create new and advanced solutions for the
in the creation and production of knowledge could different knowledge areas based on gained knowl-
be initiated. This resulted in and is described with edge and know-how.
the “Triple Helix Model” (Etzkowitz and Academic entrepreneurs are viewed as impor-
Leydesdorff 2000, 118, 111–112). A triple helix tant players in the process of technology transfer
is a “model of trilateral networks” to describe the from university to industry (Zhang 2007, 1).
“university-industry-government relations” as
basis for exchanging knowledge and know-how
through newly established cooperations. The Examples of Academic Entrepreneurship
innovation model of the “Triple Helix” was in Practice
followed by the “Quadruple Helix Model,”
which added the “fourth helix” of “media-based What is the motivation to become an academic
and culture-based public and civil society” as entrepreneur? Following D’Este et al. (2005, 2)
integrative part for innovations. By this, the the “identification and exploitation of profitable
model involves the society and its cultural back- opportunities” is a decisive factor, whether an aca-
ground in the process of knowledge creation and demic entrepreneurship is founded. The authors
production (see Carayannis and Campbell 2009, additionally draw the conclusion that there are
218, 206). As the fifth helix in the enhanced model four important factors to influence the “opportu-
of innovation represents the “natural environ- nity” of an entrepreneurship (see D’Este et al.
ment,” the currently ongoing transformation (2005), 22–23): (1) “Collaboration with users and
from the “Quadruple Helix” to the “Quintuple networking” meaning that “the type of networks
Helix” (see also Fig. 3) makes visible that a sus- the researchers belong to matters,” (2) “Prior entre-
tainable development will be a definite part of the preneurial experience” meaning “prior experience
creation and production of innovations and in entrepreneurial activities matters for the future of
knowledge (Carayannis and Campbell 2010, academic entrepreneurship,” (3) “Combining mul-
51, 62). In addition, the “Quintuple Helix” as tiple bodies of knowledge” meaning, only with a
improved model of innovation shows that in broadly arranged field of work and research, long-
the twenty-first century, the creation and lasting independency and sustainable results could
6 Academic Entrepreneur, Academic Entrepreneurship
Academic Entrepreneur,
Academic
Entrepreneurship,
Fig. 3 The quintuple helix
innovation model
be achieved with academic entrepreneurships, research activities done as political scientist at

(4) “Scientific Excellence” meaning that for a the university (¼ academic) to offer targeted
young university graduate, it is far more difficult political consultancy from a consulting
to establish an academic entrepreneurship start-up company (¼ entrepreneurship) as self-
than for “Scientific Excellence.” In any case, it is of employment. Application areas are, for
advantage for the acquisition of assignments as example, support of political parties for an
entrepreneur to be already well known in science election program, organizing a campaign for a
and research as well as being embedded in political party, or consulting a government to
established networks. establish a new political agenda.
What does an academic entrepreneur do in the 2. An academic entrepreneur working in the helix
occupational praxis and in which areas can work be area of “Business/Industry” focuses the expertise
done? An academic entrepreneur mainly focuses as self-employed consultant to develop new and
disciplinary in its area of specialization. However, innovative methods for the strategy development
in order to create best possible solutions for the of private enterprises (¼ entrepreneurship).
customers, actions, research, and networking must At the same time, new findings could be
also be concentrated on interdisciplinary areas. In published in a specialized scientific journal or
the following section, practical examples and invited lectures could be given at universities
potential focus areas for an academic entrepreneur (¼ academic).
are shown based on the innovation model and the 3. An academic entrepreneur working in the
knowledge areas of the Quintuple Helix (see helix area of “Environment” could, for exam-
Fig. 4): ple, be employed as a natural scientist at the
university (¼ academic). At the same time,
1. An academic entrepreneur working in the patents could be registered for the university
helix area of “Government/Politics” utilizes and promoted in cooperation between the
the academic knowledge and know-how, university and a pharmaceutical enterprise
which was for example gained through (¼ entrepreneurship).
Academic Entrepreneur,
Academic
Entrepreneurship,
Fig. 4 Academic A
entrepreneurship in the
quintuple helix innovation
model
4. An academic entrepreneur working in the helix chemistry. Zhangs’ research findings also indicate
area of “Media/Society” could be a self- that academic entrepreneurships can mainly be
employed journalist writing articles and working found in scientific disciplines, where traditionally
for several newspapers (¼ entrepreneurship). At cooperations with private enterprises exist since
the same time, textbooks, scientific articles, and long. New ventures can also be found, where
contributions to specialized journals could be based on academic innovations or developments,
written for the scientific discipline of journalism marketable enterprises could be founded. Besides
(¼ academic). the disciplines mentioned in this study, other aca-
5. An academic entrepreneur working in the helix demic disciplines offer opportunities and markets
area of “University/Science/Research” utilizes for academic entrepreneurships also. The special
the academic knowledge and know-how gained point about an academic entrepreneurship hereby
as research fellow in the area of research at the is that “. . . universities and academic scientists
university (¼ academic) to create information offer something that other actors, e.g., ‘pure
about needed strategic changes in the area of firms,’ cannot re-plicate” (Lacetera 2009, 443).
university development (¼ entrepreneurship)
for the customers, for example, by consulting
the ministry of science about foreseeable and Conclusion and Future Directions
expected changes in the world of sciences.
Finally, following definition can be given with
Currently in the USA, the most academic relation to further developments of the innovation
entrepreneurships can be found in the following models and the profession of the academic entre-
disciplines (see Zhang 2007, 33): Engineering, preneur: Through the transformation of the inno-
medical science, bioscience, business, and vation models, there will be a more and more tight
8 Academic Entrepreneurship
and targeted exchange between the academic References

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Subsequently, the profession of the academic Beckman GD, Cherwitz RA. Intellectual entrepreneurship:
an authentic foundation for higher education reform.
entrepreneur will become normality in the scien-
Plan High Educ. 2009;4:27–36.
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for academic entrepreneurs especially in the firms: research networks and the scientification of busi-
humanities and the social sciences. This is for ness R&D. Int J Technol Manag. 2005;31(1/2):152–75.
Carayannis EG, Campbell DFJ. “Mode 3” and “Quadruple
the reason that based on their specialized knowl-
Helix”: toward a 21st century fractal innovation eco-
edge and know-how the academic entrepreneurs system. Int J Technol Manag. 2009;46(3/4):201–34.
will better be able to face the social and political Carayannis EG, Campbell DFJ. Triple helix, quadruple
challenges resulting from more and more crisis to helix and quintuple helix and how do knowledge, inno-
vation and the environment relate to each other?
be expected for the advanced societies. There will
A proposed framework for a trans-disciplinary analysis
always be good chances for creative enterprises of sustainable development and social ecology. Int
and academic entrepreneurship start-ups also in J Soc Ecol Sust Dev. 2010;1(1):41–69.
the fine arts and the cultural sciences. As conclu- D’Este P, Mahdi S, Neely A. Academic entrepreneurship:
what are the factors shaping the capacity of academic
sion, it can be said that academic entrepreneur-
researchers to identify and exploit entrepreneurial
ships should be supported more intensively in all opportunities? DRUID working paper no. 10-05,
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enterprise model should be further developed at Etzkowitz H, Leydesdorff L. The dynamics of innovation:
from national systems and “Mode 2” to a triple helix of
universities, and new career opportunities for
university-industry-government relations. Res Policy.
young university graduates, for example, based 2000;29:109–23.
on Ph.D. programs, should be offered. The spe- Gibbons M, Limoges C, Nowotny H, Schwartzman S,
cialized know-how of an academic entrepreneur Scott P, Trow M. The new production of knowledge.
The dynamics of science and research in contemporary
and the related expertise to utilize academic
societies. London: Sage; 1994.
knowledge for the commercial world has a huge Lacetera N. Academic entrepreneurship. Manage Decis
potential in the present as well as in the future. Econ. 2009;30:443–64.
Especially, this aspect makes the academic entre- Shane S. Academic entrepreneurship: university spinoffs
and wealth creation. New horizons in academic entre-
preneur a central actor for the production of
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the future. capital data, discussion paper no. 2992, Aug 2007.
Institute for the Study of Labor (IZA): Bonn; 2007,
p 1–43.
Cross-References
▶ Academic Entrepreneurship
▶ Academic Firm Academic Entrepreneurship
▶ Entrepreneur
▶ Mode 1, Mode 2, and Innovation Julie Ray
▶ Quadruple Helix Réseau de Recherche sur l’Innovation,
▶ Quintuple Innovation Helix and Global Dunkerque, France
Warming: Challenges and Opportunities for
Policy and Practice
▶ Start-up Synonyms
▶ Triple Helix of University-Industry-
Government Relations Scientist entrepreneurship; University
▶ University Research and Innovation entrepreneurship
Academic Entrepreneurship 9
Key Concepts Audretsch and Thurik (2001), we are now living

in a model of entrepreneurial economy. This
Commercialization, applied research, Science- model is the answer given to a knowledge-based A
based entrepreneurial firms (SBEFs) (Colombo economy and entrepreneurial capital. The entre-
et al. 2009), University (research) related start-up preneurial capital is the capacity to sign up an
venture/spin-off firms (Bathelt et al. 2010), High- entrepreneurial activity or to generate
tech companies; Technology-based academic it. Entrepreneurship is not limited to the creation
entrepreneurs, University technology transfer, of enterprise in the private sector. Indeed, it con-
Knowledge-based economic development. cerns all the existing organizations, whatever their
The scientific and technological potential gen- size and the stakeholders, including the public
erated by universities can be promoted and trans- sector, even if university becomes entrepreneurial
ferred through commercial application and be a (Etzkowitz and Leydesdorff 1996).
source of revenue. Academic entrepreneurship is Academic entrepreneurship could sound like a
a means of commercialization, which is the trans- paradox. In fact, the concept is linked to the
formation of knowledge into products, processes, university’s changing role over time and in partic-
and organization and their contribution to eco- ular to its increasing mission of commercializa-
nomic growth and innovation. In this way, a tion. This reflects the more active role that the
legal framework and institutional mechanisms universities have to take in promoting the direct
have been set up through policies promoting the transfer of academic research.
development of collaboration between industry Since the 1980s, following the example of the
and university. Facing territorial attractiveness Silicon Valley, public authorities have increas-
and competitiveness stakes in a knowledge- ingly encouraged universities to commercialize
based economy, politicians rely upon universities the outcomes of their research work by the crea-
to product marketable new knowledge. Academic tion of interfaces to enable their transfer to the
entrepreneurship is also a key concept, because of economic world. Commercialization is the pro-
its catalyzing role of the potential of universities to cess of transforming fundamental knowledge
contribute to local economic development and into innovative marketable products (applied
innovation through the transfer of the outcomes research) through the creation of an economic
of faculty research to economic application. Aca- activity within the university (intrapreneurship)
demic entrepreneurship has managerial and policy or outside (spin off). It consists in the transfer of
implications for the faculty members involved in the knowledge developed by public research
academic research and its commercialization, as through activities with an economic application
well as for all the economic actors of innovation: in the private sector (the market). Universities in
university, industry, State, and networks. Which industrial countries have to deal excessively with
activities, within the different stages of the aca- commercialization in addition to their traditional
demic entrepreneurship process, are the actors and missions of production and transmission of
key success factors associated with? knowledge. Those activities were previously
mostly realized through research and teaching.
This process of transferring public knowledge
Notions: Emerging of the Concept to industrial and private application may prove
essential for the durability of the universities in
Entrepreneurship grows on the motto of the eco- developing countries as well. Indeed, significant
nomic and social development worldwide. Entre- legislative reforms give emphasis to the commer-
preneurs are seen as the mainstays of the market cialization of the results of the public research all
economy: Their activities create value, jobs, and over the world. This evolution starts in the USA
many advantages for the consumers. According to with the signing of the Bayh Dole act in 1980. In
particular, it gives researchers the possibility to sense, laboratories produce factors of production
patent their invention and to receive royalties from and combine those “inputs” to create new, mar-
the selling of patents or licenses. The Bayh Dole ketable “outputs.”
act provides a mechanism by which the intellec- The paradigm of the knowledge in the industri-
tual property generated under federal research alized countries places more and more emphasis on
grants can become the property of the university the knowledge capital every economic actor has to
instead of the funding agency sponsoring the deal in economic activities. In this way, the inputs a
research. This legislation allows universities to laboratory will mobilize consist much more in
transfer intellectual property to the society and knowledge than labor and capital. To produce
encourages research laboratories to engage in new knowledge transferable on the market, a labo-
technology transfer and commercialization activ- ratory, as a collective of scientists, will identify and
ities. But university patents represent only one combine several and different kind of inputs:
mechanism of transfer of academic research resources and skills, knowledge and know-how,
results to the marketplace. Academic entrepre- investments and remarkable equipment.
neurship as a means of commercialization can The management of the human resources of a
take on several forms. laboratory is a critical point for commercialization
activities. The academic entrepreneur or entrepre-
Different Forms of Academic neurial scientist (Viale and Etzkowitz 2010) is a
Entrepreneurship faculty member, a staff member, or a student, who
Academic entrepreneurship enables to protect and creates an activity on the basis of the results of its
capitalize the results of basic research through research, with the purpose to commercialize it
activities such as collaborative research, contract within or outside the university.
research and consulting, as well as ad hoc advice, The academic entrepreneur is the innovator
networking with practitioners, and the generation archetypal as he will carry out the transformation
of spin-off. It also encompasses vocational train- of an invention to an innovation thanks to com-
ing, teaching, joint publication with industry, and mercialization activities. The innovation, defined
personnel-related learning activities such as staff by Van Hippel as “the successful exploitation of
exchange (transfer of people) and joint student an idea,” supposes entrepreneurship and creativity
supervision. External engagement is also some- to come to the market. One research faculty mem-
times referred to as an informal technology even ber might embrace academic entrepreneurship
though interactions are often formalized via con- process taking several roles in the different stages
tracts. Cooperation in product development and of the project. But the inventor can prefer to
consulting is one of the mechanisms that is mostly devote the entrepreneurial role to other stake-
used to transfer technology to the customer. holder within public/private partnerships.
The two main mechanisms to transfer
The Production of Knowledge in Research university’s potential innovations to a larger com-
Laboratories of Universities munity consist in the use of technology licensing
The mission given to universities to commercial- agreement (intellectual property) or via the launch
ize the results of scientific activities modifies the of a new venture/business commonly called
organization of the public research itself, but also “spin-off.” Technology licensing agreement facil-
the means of production of the research. Research itates commercialization by transferring a poten-
laboratories and public centers become economic tial innovation in return for a fixed fee or
actors, who have a substantial role to play in the continuing royalties’ payments.
innovation process. Innovation is to be seen as any University has also the possibility to commer-
invention discovered through university research cialize an innovation by her side through firm for-
and offering potential for commercial use. Inno- mation based on research. University spin-off
vations may have economic applications that firms, also termed university spin-outs or research-
could lead to entrepreneurial activity. In that related start-up ventures, can be defined as:
SBEFs (Science-based entrepreneurial firms): to be seen in the context of the strengthening of

Firms that are created with the aim to exploit the links between university and industry.
commercially the scientific knowledge developed A
in universities and other public research organiza-
tions (Colombo et al. 2009). Rationale for the Development of the
Synonyms: Academic start-up, New technol- Opening of Universities to Industry
ogy based firms, Academic spin-off, Spin-off
from public research (Colombo et al. 2009). Uni- Different factors made the university move of its
versity spin-off is a subcategory of research spin- position of “ivory tower” (mode 1) to an evolution
off. to the entrepreneurial paradigm (mode 2)
Spin-out companies are defined in two ways: (Etzkowitz and Leydesdorff 2000).
(1) the founder was a faculty member, staff mem- Since the 1980s, universities became progres-
ber, or student who left the university to start a sively a pivotal economic actor of the system of
company or who started the company while still innovation and regional development thanks to
affiliated with the university and/or (2) a technol- their assignment of producing knowledge, train-
ogy or technology-based idea developed within ing human resources and by creating spin-off as
the university. well. Public research, through the application of
According to Steffensen et al. (1999), a spin- results of basic research plays an important role
off is a new company that is formed (1) by indi- in the development of products, goods, services,
viduals who were former employees of the parent processes, in relation to state-of-the-heart tech-
organization and/or (2) a core technology that is nologies especially within high-opportunity
transferred from the parent organization. An technology platforms such as computer science,
entrepreneurial spin-off arises when an entrepre- molecular biology, and material science.
neur leaves an organization to start a firm of This evolution in the production of knowledge
her/his own. is an intrinsic part of the industrial development
The firm formation based on research as a initiated in nineteenth century. Today, in a
medium for scientific and technological develop- Knowledge-based economy, the technical and
ment is the most common way in USA to commer- scientific contents of all types of industrial pro-
cialization and innovation. This entrepreneurial duction are more and more complex: knowledge
science model tends to be developed in other parts is everywhere as a “joint product of every produc-
of the world, but in Europe for instance, the com- tion and consummation activity” (Foray 2001).
mercialization is much more investigated through Governmental organization as for instance the
patent and license assignment or collaborative Organization for Economic Co-operation and
research program. European government authori- Development recognized Knowledge as critical
ties incite to the firm creation in a top-down for economic growth in addition to physical cap-
approach with less success than in the USA where ital and labor. In this context, academic research
university entrepreneurship is born and represents a constitutes a way to feed the constant need of new
stage in the career of a faculty member. knowledge generated by the scientific progress
Science-based entrepreneurial firms (SBEFs) and technological development.
are acknowledged in the literature as one of the The speed of science development has also an
key drivers of economic changes and growth and impact on academic entrepreneurship and on the
of the rejuvenation of high-tech industries. In the intensifying collaboration between university and
mid-1980s, economists observed a significant industry. The delays for the development of trans-
increase of technological start-up created by fac- formation of knowledge based on basic research
ulty members in areas at the cutting edge of to concrete industrial application got considerably
technology like in the Silicon Valley in Califor- shortened. Thus, faculty members can make profit
nia, or the route 128 in Boston or in Cambridge from the results of their researches by themselves
(Viale and Etzkowitz 2010). This development is and appropriate some or all monetary benefits of
generated applications in the framework of a com- academic entrepreneurship is a recent “top-down”

mercial exploitation. phenomenon in response to the innovation gap
between the USA and Europe.
Factors Affecting the Development of The model of the triple helix emphasizes the
Academic Entrepreneurship influence of three key actors of the commerciali-
The government policies aimed at raising the eco- zation process: University, Industry, and Govern-
nomic return of publicly funded research. Conse- ment. This thesis states that the university can play
quently, universities have to find new sources of an enhanced role in innovation in knowledge-
academic research funding in a context of budget- based societies. The National System of Innova-
ary stringency. tion (NSI) approach (Lundvall, Nelson) considers
much more that the firm is leader in the innovation
Influence of the Legal Framework and Institutional process, while the Triangle Model of Sabato
Contexts (System Level) underlines the role of the State.
Legislative context regulates the status of Effectively, the relationships between State,
public faculty members to stimulate university University, and Industry have changed since the
technology-transfer and academic entrepreneur- restriction of military spending after the end of the
ship in several ways: mobility (spin-off), layoff “cold war.” Today the “new technologies” drive
during firm formation and development; substan- industrial sectors and nation States to a reorgani-
tial investment to an SBEF formation, incentives zation which places the university as a knowledge
to patent and license and to research contracting as producer at the center of the innovation process.
well. Indeed, university’s policies drew more and In reality, each of the three partners of the triple
more attention to academic entrepreneurship as helix is depending on the two others to play his
his role has been emphasized in regional eco- role in the innovation process.
nomic development and capitalization of knowl-
edge. The application of science to economy Contributing to Innovation: Compensate
highlights innovation as the main function of Mechanisms
growth and economic development. Innovation Policies and firm strategies foster the mission of
carries out the increasing development of techno university of direct contributions to industry
cities births since 30 years. Providing an interface focusing on academic entrepreneurship and
between industries and research, the mythical above all on creation of university spin-off firms.
model of the Californian Silicon Valley Stanford As a consequence, the role of universities has
University was spread out throughout the world. evolved in the direction of a new “mode” of pro-
Two main economic trends conceptualized this duction of knowledge. Before their commerciali-
entrepreneurial model, focusing on relationships zation assignment, faculty members were paid by
between actors of the economic development: The the State to produce academic research and make
Innovative Milieux (Freeman, Nelson and the science progress on the knowledge about fun-
GREMI) and the Triple Helix (Etzkowitz and damental laws. In the ancient system (mode 1), the
Leyersdorf). results of academic research were promoted by
Some studies suggest that the entrepreneurial publications and conferences and assessed by
model is strongly relying on the significant range peers. In the new model (mode 2) of commercial-
of specific assets in the regions and different ization, the scientific validity of the knowledge is
countries. Indeed, the support of regional/local still evaluated thanks to the academic promotion
institution and the legislative context terms are process, except that the diffusion of the results
determinant in the development of the commer- gains a commercial value as well. Consequently,
cialization process. But, the approaches are con- the scientific and technical progression of the
tingent on countries. For instance, the US public knowledge becomes appropriable by the
entrepreneurial university emerged “bottom-up” private sector, so knowledge is developed into
in contrast to Europe where the introduction of marketable. This evolution leads public
laboratories to engage partnerships with industry, fluent links between the actors of the triple helix.
giving priority to applied research as a way to The objective is to conduct the actors to converg-
finance their basic research and functioning costs. ing, developing synergies and cooperation, and A
Thus, in the mode 2, enterprises have to pay to building new ways to get out of path dependency.
exploit the results of the research which were free A cluster gathers on a given territory enterprises,
of access in the mode 1. In the other hand, firms research laboratories, training organization,
have also the opportunity to give an orientation to national and local public authorities, as well as
the works of research of public laboratories in associated services are handed out to the members
function of their own development strategy, of the cluster.
upon condition that they are able to pay the costs
for technology development. Internal Mechanisms in Universities
Strong policies to further academic entrepreneur-
Innovation, Entrepreneurship, and Risk ship and commercialization attempt to overcome
Technology-oriented spin-offs are at risk of devel- barriers to entry. Barriers to entry to SBEF is also
oping sophisticated technological products which decreasing, thanks to the development by univer-
are not market-oriented and so have greater sities of mechanisms in order to assist the process
chances of market failure. Indeed, the costs of in company formation and development, to
innovation present a considerable high level and accompany start-up and pass major difficulties
risk, mostly because they include non-recoverable facing spin-out companies. Studies show that the
costs especially at investment phase level (Death success of scientist ventures depends strongly on
Valley). So, the venture of a university spin-off the support that an academic entrepreneur will
can appear as hazardous for a scientist find on a consistent academic strategy (Clarysse
entrepreneur. et al. 2011).
In presence of a risk (Kenneth Arrow 1921) a Universities have developed Technology
competitive market will not necessary lead eco- Transfer Offices (TTO) as well as commercializa-
nomic agents to mobilize the optimal quantity of tion of university intellectual property and plat-
resources, all the more in a pre-recession context. forms (incubators) beyond the scope of
Besides, the value of an innovative project is facilitating the process of transfer of technologies.
unknown, and marketing studies often do not The TTO provide administrative technical and
guarantee the absorptive capacity of consumers, juridical assistance to scientist entrepreneurs in
in particular in the case of the small size of the the different steps of creation, implementation,
market. and development of their entrepreneurial activi-
At the same time, investors could find hard to ties. They secure the disclosure of university’s
select a project with high profit and innovative innovations and the security of intellectual prop-
potentials because of the complexity of a erty protection as well. The TTO have a challeng-
science-based project, which needs translation ing role in facilitating the transfer of the
for neophytes. Furthermore, banks, venture capi- university’s intellectual property to commerciali-
talists, or business angels ask for guarantees zation activities. TTO, as a mediator between the
before committing in the financing of the devel- inventor and the market, verifies the opportunity
opment of a start-up. At last, innovations may not to secure intellectual property, in reference to the
find directly their market for they do not necessar- budget and the axis of development of the
ily match with the short-term logics of share- university’s strategy. Indeed, patenting requires
holders (Return on Equity principle). efforts and time, and could result as really costly.
This is why the States compensate for market Consequently, the TTO have to ensure the poten-
imperfections by supporting correcting mecha- tial of the innovation. To achieve this target, it is
nisms favorable to the emergence of collaborative necessary to sort out a decisive element regarding
research and development activities. Mechanism the commercialization of an innovation, which
such as clusters aims at developing solid and consists in determining if pointing the transfer
policies to patenting or to the development of high as research fields will be extended thanks to
potential research giving innovation. All the more experimentation in commercialization.
so high-potential innovations are sometimes not Thus, the frontiers between academic and busi-
easy to detect at the first glance. The TTO staff ness worlds tend to reduce in an entrepreneurial
may not understand the possible application of the society, which states that everyone is able to
technology to a small market niche. It is really rare become an entrepreneur and just need to acquire
that the researcher chooses to further develop and skills in that field. Training needs might be corre-
test the commercial viability of the discovered lated with the more marked mission given to
technology without the support of the TTO. universities since the mid-1980s to prepare stu-
Incentives to develop innovations have been pro- dents to enter into the market labor. For instance,
posed to researchers to compensate those students have to apply academic knowledge
asymmetries. But they run up against a common within training periods in enterprises. At the
phenomenon in the academic world: Researchers same time, entrepreneurship as a scientific field
are more likely concerned by the publication of has been investigated and universities have devel-
their research outcomes rather than an economic oped entrepreneurial contents in academic courses
application. such as developing competencies in firm forma-
The effectiveness of TTO and policy implication or elaborate business plan.
tions to support academic entrepreneurship and
SBEF in particular were assessed all over the
world with unequal results. Economists agree to Growth and Challenges
establish a correlation with the development of
synergies between the stakeholders of the aca- Knowledge’s Production Change,
demic entrepreneurship process and success Capitalization of Knowledge, Partnerships
stories. The main difficulty consists in mediate and Networks
stakeholders around a project because they face In addition to the facilities given to researchers to
differently the stakes of commercialization commercialize, reforms of the academic system in
according to their position: researcher, industrial the direction of scientist entrepreneurship
and businessman, federal agent, TTO staff. There- (Aldridge and Audretsch 2011) make the profes-
fore, a key factor could lay in a common formu- sion deeply evolve. The knowledge creation in
lation and implementation of coherent and academic field is not an exception to the common
feasible technology transfer/commercialization new rule developed in other sectors of production
strategies. which gives the primacy to the network.
Studies attribute success stories to the behavior Thanks to its creation and transfer of knowl-
of key inventors as well and suggest that faculty edge duty, university is becoming a driving force
inventors have a critical role in the identification for a transition to knowledge-based economy:
of marketable technologies and disclosure of knowledge spillovers positively affect techno-
these technologies to university technology trans- logical change and economic growth. In its strat-
fer offices (Hoye and Pries 2009). Indeed, the egy definition, the entrepreneurial university will
policies and the management of human resources take into account the key factors of commercial-
within universities are essential to promote aca- ization (Laperche 2002). University, in this way,
demic entrepreneurship as a stage in an academic will take up with establishing close relationships
career or an alternative career. Therefore, with its entrepreneurial milieu by networking.
researchers will either follow traditional career The faculty member, therefore, fits his research
path or be interested in commercialization activi- activity into the scheme of the strategies of
ties. But is it possible to do both? The figure of his/her university. Knowledge management and
Janus to describe the entrepreneurial behavior of its capitalization are situated at the center of
some faculty member emerges as a dialectical knowledge transmission.
process: science-based commercializing activities But the existing knowledge might be not com-
may feed the academic research at the same time mercialized to its full content and go through to a
filter first. According to the economist expert of Conclusion and Future Directions.
knowledge Dominique Foray, knowledge transfer Contributing to Innovation: What is the
to society involves a codification to establish a Best Way? A
model. In this way, a codified knowledge comes
close to the characteristics of a good. The codifi- The selection of appropriate mechanism for
cation takes part of the knowledge capital that an transferring an innovation may depend on its
organization will mobilize to participate in the nature: theory discerns two main types of inno-
production of new knowledge. Today, all kind of vation, such as incremental or radical (Tidd et al.
organizations are led to association through part- 2005). An innovation is weather based on
nerships to combine skills and resources. Indeed, existing technology (incremental) or represents
the terms of access to a network are predicated on a radically new and unknown technology. The
the inputs and outputs that a system will be able to creation of a spin-off can appear as the best way
build up; as well as its learning capacity of new to innovation in case of a pioneer technology
knowledge. Managing knowledge in the sense with high development potentialities and sub-
here signifies to identify, to retain and to promote stantial economic returns. Moreover, in the eval-
cognitive resources, learning abilities and skills uation of transferability, the project leader will
one is holding. Knowledge diffusion requires a identify the field of the technology to transfer in
codification, because of its tacit nature in order to function of the scale “time to market.” Access to
let the complementary assets develop through venture capital is critical in the phase of devel-
academic entrepreneurship activities such as opment (the prototype creation stage needs cap-
spin-off. It is necessary to be able to rely on fluent ital), as well as spatial proximity with
transmission channels to set up a codification stakeholders, and convergence with regional
process and to rest upon actors who appropriate economic policies. Those environmental factors
the approach. influence more particularly a firm formation in
To hold a critical position in a system of inno- high tech.
vation means to insert in networks aiming at com- In any case, academic entrepreneurship and
mercialization activities in order to prove its (cap) its potentialities to lead to new ideas grows up
ability to contribute to innovation. One of the when taking benefit of all kind of formal and
challenges a firm has to take up in its research informal collaboration in research processes.
and development strategy is to cope with the Commercialization activities odds of success
necessity to reduce the transaction costs (Oliver depend at last on developing marketing activi-
Williamson 1932) in order to acquire new knowl- ties, key networks and distribution channels. To
edge with (public) research laboratory. In that build networks at the early stage of an academic
sense, universities have to deal with the preven- venture will permit to get more stakeholders
tion of industrials regarding academic entrepre- involved directly or indirectly in the ultimate
neurship and the difficulty to find a common commercialization stage. Field of transfer pos-
language concerning the commercialization pro- sibilities is increasing at the same time as it
cess and economic impact of potential innovation. provides new thematic for research, which
On the other hand, public research needs to be may lead to innovation enhancing well-being
sponsored and considers academic entrepreneur- for society.
ship as a source of revenue. This would lead
universities to the formation of partnerships with
entrepreneurs and business partners, looking for Cross-References
the qualified partners. Those partnerships are
challenging because they represent a consequent ▶ Academic Firm
key success factor for academic entrepreneurship, ▶ Business Incubator
although they require the universities to make the ▶ Clusters
academic culture evolve in the direction of eco- ▶ Entrepreneurship Policies
nomic application. ▶ Information Asymmetry and Business Creation
16 Academic Firm
▶ Innovation and Entrepreneurship Tidd J, Bessant J, Pavitt J. Managing innovation: integrat-

▶ Innovative Milieu as a Driving Force of Inno- ing technological, market and organizational change.
2nd ed. Wiley; 2005.
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▶ Knowledge Capital and Small Businesses A triple helix of university-industry-government. Chel-
▶ Knowledge Society, Knowledge-Based Econ- tenham: Edward Elgar; 2010.
omy, and Innovation
▶ Partnerships and Entrepreneurships
▶ Patents and Entrepreneurship
▶ Risk Academic Firm
▶ Risk, Uncertainty, and Business Creation
▶ Spin-Off David F. J. Campbell1,2,3,4, Elias G. Carayannis5
▶ University Research and Innovation and Wolfgang H. Güttel6
1
Department of Political Science, University of
2
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1999;15:93–111. ple Helix innovation systems
Academic Firm 17
The Conceptual Definition of the organizations, also for the academic firm, the pro-
Academic Firm cessing and advancement of nonlinear innovation
may imply the following: (1) firms (academic A
The “academic firm” represents a type of firm firms) engage simultaneously in different technol-
(firm-based organization) that focuses on encour- ogy life cycles at different levels of technology
aging, supporting, and advancing knowledge pro- maturity and (2) firms (academic firms) accept to a
duction (research, research and experimental certain extent, even encourage, cross-employment
development, R&D) and knowledge application of their employees with other institutions, for
(innovation). The academic firm is also inclined to example, academic institutions, such as universi-
generate profit (revenues), but follows here more ties or other higher education institutions (see
the logic of a “sustainability” in balance with also Campbell and Carayannis 2016a, b). Cross-
knowledge production and the principles of employment, as a concept, identifies forms and
knowledge production. The contrary concept to varieties of multi-employment, where an individ-
the academic firm would be the “commercial ual person is being simultaneously employed by
firm,” which is primarily being motivated and more than one organization (by at least two orga-
driven out of an interest of maximizing profit nizations): should those organizations also root
(revenues). Between these two conceptual poles in different sectors, then cross-employment dis-
of understanding, there are various possibilities of plays characteristics of a trans-sectoral network-
a gradual or also unconventional (radical) combi- building (Campbell 2011).
nation of principles for the empirical organization Academic firms express a particular interest to
of a concrete firm, its organizational manifesta- network with universities, other higher education
tion. The shortcut for a definition therefore is as institutions, university-related institutions, and all
follows: “The Commercial Firm concentrates on forms and manifestations of organizations that
maximizing or optimizing profit, whereas the conduct an academically based type of research
Academic Firm focuses on maximizing or opti- or basic research. Academic firms explore also
mizing knowledge and innovation” (Carayannis possibilities, options, and opportunities of net-
and Campbell 2012, p. 27). working with other firms (academic firms, but
Knowledge and innovation are crucial key also commercial firms). There always remains
drivers for the academic firm. Academic firms the challenge, how to balance and how to refer
can follow the logic of linear innovation but also to each other (out of the perspective of the firms)
the logic of nonlinear innovation. The model of with regard to cooperation and competition.
linear innovation often is being assigned to Furthermore, networks can integrate aspects of
Vannevar Bush (1945). This model assumes a cooperation and competition. The organizational
sequential “first-then” relationship, where there design of patterns of cooperation and competition
is first basic research at universities that gradually allows creativity and can also be captured and
diffuses out into society and economy and where described by the notion and concept of “co-
firms then translate the lines of basic research opetition” (Brandenburger and Nalebuff 1997)
into application and economic as well as commer- (see Fig. 1).
cial uses and profits. But nonlinear innovation Knowledge production in context of universi-
favors a different approach. Nonlinear innovation ties and the higher education system has
is interested in a more direct and parallel coupling been explained on the basis of the models of
of knowledge production and knowledge applica- “Mode 1” and “Mode 2” of knowledge produc-
tion, where there are mutual interferences and tion. Mode 1 emphasizes a traditional understand-
parallel as well as parallelized interactions being and refers to university basic research, with no
tween basic research and knowledge application. particular interest in knowledge application, and
The organization of nonlinear innovation encour- being organized in context of academic disciplines.
ages creative organizational designs (Campbell Here, the established peers of the academic disci-
and Carayannis 2012). In context of firm-based plines define and decide on quality (acceptance and
18 Academic Firm
Knowledge Application Knowledge Application

(Innovation) (Innovation)
Commercial
Firm
Networks:
Cooperation,
Competition,
Co-Opetition.
University-related
Institutions
Higher Education System, Academic Firm

Higher Education
Institutions (HEIs)
Knowledge Production Knowledge Production

(Research) (Research)
Academic Firm, Fig. 1 Knowledge production, linear institutions) (Source: Authors’ own conceptualization
and nonlinear innovation interaction between academic based on Carayannis and Campbell (2009, p. 211, 2012,
firms, commercial firms, and universities (higher education p. 25) and on Campbell and Carayannis (2013, p. 29))
rejection of work). Mode 2 already expresses a an entrepreneurial university, in the sense that
greater interest in knowledge application and is Mode 3 universities are still interested in focusing
characterized by the following principles: “knowl- on and in conducting basic research. But Mode
edge produced in the context of application,” 3 university does not assume an intrinsic contradic-
“transdisciplinarity,” “heterogeneity and organization between basic research and innovation (knowl-
tional diversity,” “social accountability and reflex- edge application): in fact, quite contrarily Mode 3
ivity,” and finally “quality control” (Gibbons et al. university sees benefits and opportunities in a par-
1994, pp. 3–8, 167; see furthermore Nowotny et al. allel (nonlinear) approach to knowledge production
2001, 2003, 2006). “Mode 3” universities or higher and knowledge application and to forms of combi-
education institutions are inclined to seek and to nations between basic research and innovation.
explore creative, novel, and innovative combina- Mode 3 universities (higher education institu-
tions of Mode 1 and Mode 2. One key interest of tions) have the opportunity of offering
Mode 3 is “basic research in the context of appli- and developing “Creative Knowledge Environ-
cation” (Campbell and Carayannis 2013, p. 34). ments” (on creative knowledge environments;
Mode 2 as well as Mode 3 universities clearly see Hemlin et al. 2004).
meet and fulfill some of the characteristics of the Mode 2 and Mode 3 higher education institu-
“entrepreneurial university.” However, it is impor- tions are the perfect organizational vis-à-vis of
tant to realize that a Mode 3 university is more than academic firms to engage in trans-sectoral
Academic Firm 19
networks and to perform good knowledge pro- imagination, or vision that this would always
duction. Here, a creative and innovative hybrid mean a whole firm. What the analysis presented
overlapping in regular frequency occurs or here however demonstrates that this would be an A
should possibly occur. This represents a coming artificially narrowing down of the concept and
together and networking on equal and fair idea of the academic firm. It is important to note
grounds. The universities (higher education insti- that the academic firm can address a whole firm,
tutions) should not adapt one sidedly to firms and or only specific organizational units (subunits),
their economic needs, but both sides should learn processes, or principles of a whole firm. In fact,
mutually from each other to the benefit of all this even would allow for hybrid combinations
involved parties, actors, and institutions. The and overlapping arrangements between the aca-
assertion is that “While the entrepreneurial demic firm (knowledge focused and knowledge
(Mode 2) university represents a partial exten- driven) and the commercial firm (profit driven).
sion of business elements to the world of acade- Currently it is difficult to assess how common or
mia, the academic firm could serve as an example uncommon academic firms or principles of the
for an extension of the world of academia to academic firm are in the world of contemporary
the world of business. Academic firms are business. The conventional wisdom would be
knowledge-oriented, interested in engaging in that the commercial firm represents (still repre-
networks with universities (the higher education sents) the dominant type of organizational repre-
sector), encourage ‘academic culture and values’ sentation for how to structure and how to develop
to motivate their employees, allow forms of aca- firms (companies). In metaphorical terms, this is
demic work (such as academic-style publishing), also the visualized image and picture in Fig. 1.
and support continuing education and life-long With the advancement of economy and knowl-
learning of and for their employees (flexible time edge economy in context of the knowledge soci-
schemes, honoring life-long learning and contin- ety (and knowledge democracy), it is plausible to
ued continuing education with internal career assume that expectations are justified that a dif-
promotion)” (Carayannis and Campbell 2012, fusion and spreading of academic firms appear to
p. 27). be reasonable. Academic firms have all the
In organizational terms, there are several pos- potential of substantially transforming (in a
sibilities, options, and opportunities on how the bottom-up mode and fashion) how the economy
academic firm can be realized and can be struc- and economic activity are being understood and
tured (Carayannis and Campbell 2012, p. 27): processed. The academic firm invites the intro-
duction of academic values, lifestyles, and work-
1. “A whole firm” ing methods into business, because the academic
2. “A subunit, subdivision, or branch of a ‘com- firm believes that academic research and the aca-
mercial’ firm” demic context to academic research are benefi-
3. “Certain characteristics or elements of a whole cial to the capacities and capabilities of firms
(commercial) firm” focusing on knowledge production (research)
and knowledge application (innovation). For
A whole firm can be organized and designed the academic firm, academic research is not
in accordance with principles of an academic external but is being conceptualized, remodeled,
firm. However, it is also possible only to organize and incorporated as an intrinsic process and an
subunits (branches) of a firm according to prin- intrinsic form of organization within the bound-
ciples of academic firms. Alternatively, the focus aries of a firm. Academic firms also engage in
may be placed primarily on certain principles of academic research, where research is linked
an academic firm, and these principles then can and interconnected with innovation. Academic
be applied to or across the whole (commercial) firms express and encourage a “limited
firm or at least to substantial divisions of the ‘scientification’ of business R&D” (Campbell
whole (commercial) firm. The term “academic and Güttel 2005, p. 170; see also Carayannis
firm” perhaps invites us to the belief, and Campbell 2009).
20 Academic Firm
Organizational Aspects of the perform either within an organization or within

Academic Firm a network of multiple organizations.
3. Network Absorptive Capacity: The develop-
In organizational terms, the following aspects ment of an integrative frame of reference
appear to be important for academic firms: between different specialized knowledge pro-
viders is a key requirement within networks.
1. Strategic Governance: Academic firms are Network partners need sufficient absorptive
characterized by employees with a high level capacity within the network to understand and
of background knowledge. Academic educa- to interlink the contributions of other network
tion and experience allow them (in principle) to partners. Joint development groups, strategic
make decisions based on their own judgment. meetings to align network partners, temporary
They are able to understand the firm’s strategy employee transfer, or joint project meetings
and to connect information from outside mean- serve to establish network-internal absorptive
ingfully to the firm’s existing knowledge base. capacity. If network-internal absorptive capacity
However, the firm’s strategy decides on wheth- is high, the entire network is able to profit from
er organizations can allow employees to make specialized network partners who are able to
decisions on their own or to restrict their absorb knowledge in their particular environ-
behavioral freedom by imposing structures. ment. Network-internal absorptive capacity
Also within an organization, decision-making serves as a means to circulate information
rights are distributed differently as some from various network partners internally.
domains require precision and efficiency,
sometimes even the R&D department, while
others profit from creativity and improvisation. Conclusion and Future Directions
Thus, academic firms either build upon at least
implicitly a control-based or on a commitment- In search for an ideal-typical portraying of the
based HRM (human resource management) academic firm and the concept of the academic
system to strategically govern their employee firm, the following characteristics and principles
behavior. Depending on the strategy, even aca- can be listed and again summarized:
demic firms have to make a decision on their
HRM system, that is, how to govern experi- 1. The academic firm is a type of firm (firm-
enced employees. Firms that need to combine based organization or institution) that is being
exploration and exploitation on a high level in driven by focusing on encouraging, supporting,
order to achieve ambidexterity have to devel- and advancing knowledge production (research,
op structures for either separation of control- research and experimental development, R&D)
and commitment-based HRM systems in the and knowledge application (innovation). The
form of an internal differentiation (structur- academic firm is also interested in generating
al ambidexterity) or integration based on a profits (revenues), but this should be a “sustain-
commitment-based HRM system (contextual able profit” in comprehensive terms and well in
ambidexterity). balance with the good principles of a good
2. Modularity: Specialization in academic firms knowledge production and knowledge applica-
often requires the development of highly tion (innovation). The academic firm operates in
sophisticated competencies on individual and a whole knowledge-based ecosystem.
on group level. Therefore, modularity provides 2. The academic firm is and behaves as knowl-
an organizational structure to allow specializa- edge based, knowledge oriented, knowledge
tion and integration concurrently. The devel- driven, knowledge producing, and knowledge
opment of linkages and the creation of a basic creating. The academic firm displays (often) an
understanding between specialized employees inclination for applying and following the
and groups are necessary in order to jointly logic of nonlinear innovation, by this
Academic Firm 21
demonstrating flexibility. The academic firm The academic firm has the potential of trans-
regards basic research in the context of appli- forming and changing the way how knowledge-
cation as an opportunity. based and knowledge-oriented economic work is A
3. The academic firm incorporates academic values being organized and performed.
to motivate its employees and to create bonds of However, does the academic firm represent
trust and of a good relationship between the primarily an ideal-typical concept, or does the
organization and the individual employees. The academic firm exist (do academic firms exist)
academic firm qualifies a disciplinary variety of also in real terms? The commercial firm appears
the background of its employees (and their com- to define the dominant and established norm in
petences) as a potential opportunity and asset to the world of contemporary business. The empir-
perform creatively in knowledge production and ical appropriateness or the proof of fitness for the
knowledge application. ideas of the academic firm perhaps still needs to
4. The academic firm has an interest to engage be demonstrated or verified. Academic firms are
in networks with universities (higher educa- or would be exposed to an economic environ-
tion institutions) or other academic research ment, where success often means to cope with
institutions, driven out of a desire to access and to profit from mechanisms and forces of
university knowledge (e.g., basic university severe competition in a continuously globalizing
research). In general, the academic firm values world. But the concept of “co-opetition”
engagement in diversified networks as a form (Brandenburger and Nalebuff 1997) suggests
for creating knowledge as well as benefitting also that success in competition means to
from opportunities. develop networks with overlapping patterns of
5. The academic firm allows and encourages aca- cooperation and competition. Between the two
demic research work (academic publications (conceptually) extreme poles of the academic
can act as incentives for employees to codify firm and the commercial firm, many and several
their tacit knowledge). in-between forms of organization or hybrid com-
6. The academic firm supports continuing educa- binations are possible. The academic firm repre-
tion, further education, and lifelong learning of sents a challenging proposition for current
its employees and has in principle a positive business; the academic firm, however, indicates
attitude in favor of a flexibility concerning the also routes and paths, for how next-stage
load of working hours and their flexible changes and future changes and future successes
adaptation for their employees and their needs in the world of business and the knowledge econ-
(full-time, part-time, perhaps shifting back- omy (in the knowledge economy) can be
and-forth), but also for partial absence or par- approached and achieved. The academic firm is
tial leave of its employees. Cross-benefitting interested in bringing together innovation and
cross-connections between careers and career entrepreneurship for development, more so for
schemes with continuing education are being sustainable development. The academic firm can
explored by the academic firm. also be regarded to support knowledge democ-
7. The academic firm accepts in principle, racy (Campbell et al. 2015; Carayannis and
in certain situations even promotes, split Campbell 2014).
employment or “cross-employment” (multi-
employment) of its employees with other
(academic) organizations or institutions, for Cross-References
example, universities or other higher education
institutions. ▶ Academic Entrepreneur, Academic
8. The academic firm is interested in creating Entrepreneurship
internally “Creative Knowledge Environ- ▶ Ambidexterity
ments” (Hemlin et al. 2004) within the internal ▶ Applied Design Thinking Lab and Creative
boundaries of its organization. Empowering of Interdisciplinary Teams
22 Academic Firm
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Accompaniment of Business Creation 23
J Innov Entrep. 2014;3(12):1–23. https://doi.org/ Accompaniment is an important topic, as the time

10.1186/s13731-014-0012-2. spent in an incubation structure makes it possible to
Gibbons M, Limoges C, Nowotny H, Schwartzman S,
Scott P, Trow M. The new production of knowledge. increase the survival rate of the businesses created A
The dynamics of science and research in contemporary (CSES 2002). However, although incubation struc-
societies. London: Sage; 1994. tures have been the focus of attention for
Hemlin S, Allwood CM, Martin BR. Creative knowledge researchers for many years (Smilor 1987), it is not
environments. The influences on creativity in
research and innovation. Cheltenham: Edward until recently that there has been any attempt to
Elgar; 2004. fully understand the reasons behind the perfor-
Nowotny H, Scott P, Gibbons M. Re-thinking science: mances of incubators (Hackett and Dilts 2004),
knowledge and the public in an age of uncertainty. by entering into the black box of the incubation
Cambridge: Polity Press; 2001.
Nowotny H, Scott P, Gibbons M. Mode 2 revisited: the new process (Hackett and Dilts 2008), to focus on the
production of knowledge. Minerva. 2003;41:179–94. relationship between the incubatee and his
Nowotny H, Scott P, Gibbons M. Re-thinking science: accompanier (Rice 2002). Analyzing the relation-
mode 2 in societal context. In: Carayannis EG, ship between the accompanier and the accompa-
DFG C, editors. Knowledge creation, diffusion, and
use in innovation networks and knowledge clusters. nied requires identification of its characteristics (1),
A comparative systems approach across the United common points, and divergences (2). On this basis,
States, Europe and Asia. Westport: Praeger; 2006. it is then possible to better understand the levers
p. 39–51. behind accompaniment performances (3).
The Accompanier-Accompanied
Academic Spin-Off Relationship: Characteristics
▶ Extrapreneurship Entrepreneurship literature often approaches
accompaniment as a technique (making up for
what is lacking at the legal, financial, organiza-
tional, etc. levels), more than a process. This then
Accompaniment results in the identification of types of functional
services, raising few questions at the human and
▶ Business Start-Up: From Emergence to temporal levels. It is necessary to borrow from
Development other fields such as social sciences or psychology
(Paul 2003) to try to appreciate accompaniment
from an overall point of view.
The debate on accompaniment continues with
Accompaniment of Business the wide variety of types of accompaniment avail-
Creation able. Accompaniment is not a single item, but
many. From accompaniment by peers to coaching,
Didier Chabaud1, Karim Messeghem2 and via mentoring, there are many forms, often cumu-
Sylvie Sammut2 lative as the entrepreneur can combine them.
1
Sorbonne Business School – Université Paris I Accompaniment must be understood as a non-
Panthéon Sorbonne, Paris, France linear entrepreneurial process, an entrepreneurial
2
University of Montpellier, Montpellier process that is not linear. It is a process inscribed
Management, Montpellier, France in time and in constructed interpersonal action. It
is subject both to hazards and to the intersubjec-
tivity of the key players involved.
Synonyms The accompaniment process is composed of
three dimensions: cognitive, structuring, and
Business support legitimizing.
24 Accompaniment of Business Creation
The cognitive dimension is based on the fact to the dialogical entrepreneur-organization (E, O)
that accompaniment increases the base of knowl- relationship.
edge of those who are accompanied. Accompani-
ment effectively allows entrepreneurs to open PAC ¼ f ½ðC S LÞ ðE, OÞ
themselves up to new, previously unsuspected,
and/or not mastered potentialities. The knowledge Characterizing the PAC is important because it
integrated is tested by experience. This process highlights the dimensions implemented in accom-
allows the entrepreneur to stand back on the one paniment and will make it possible to reveal the
hand from the action carried out and, on the other, performance elements. However, it is necessary to
from endogenized knowledge. This reflexive perceive the diversity to be found in the underly-
logic makes it possible to link learning and action ing forms of accompaniment behind the identifi-
and to potentially “break” the defensive routines cation of these dimensions.
that are harmful for change and thereby seize new
opportunities (Argyris and Schön 1978).
The structuring dimension implies that those Diversity in the Forms of
accompanied must organize and structure Accompaniment
(Giddens 1991) the knowledge learned. Those
accompanied must be able to rationalize their This is, without doubt, the specificity of accom-
knowledge in such a way as to use it to good paniment: to appear to be a process marked by a
effect, even if the problems encountered are high level of diversity, to the point where some
completely new. The knowledge is thus people highlight its nebulous nature (Paul 2004).
instrumentalized, or codified, by those who have While this has undoubtedly damaged any clear
it in order to become mastered. recognition of this theme in literature at the inter-
The legitimizing dimension refers to the “bur- national level, it can be noted that – in the French
den” of the youth of the newly created company. context – specialists from the field of education
The creator suffers from a lack of recognition sciences have asked questions about “what
(Stinchcombe 1965) in relation to companies pre- accompaniment means” on the one hand and the
sent on the market for longer. Accompaniment diversity to be found in accompaniment on the
allows the creator to give credibility to his actions other (Paul 2003, 2004). More recently, Segers
and to make it easier for him to integrate into the et al. (2011) have tried to take this into account –
environment. It is seen as an “antidote” for compa- in a closed context. This diversity – which appears
nies that have no past (Zimmerman and Zeitz 2002). as a diversity of forms, of what is available and
These three dimensions are designed on the also of the requests for accompaniment – thus
one hand for the entrepreneur and on the other results in a need for an in-depth analysis of the
hand for the organization of which he is in charge. levers of performance.
Entrepreneurs who choose to be accompanied
effectively do so not at the personal level but in Diversity of Forms Traditionally, five forms of
the context of their mission as an entrepreneur. accompaniment can be identified: coaching,
From there, the knowledge that they integrate, mentoring, counseling, peer accompaniment, and
organize into their reflection schema, and use in consultancy.
their daily actions is for both at the personal and
the organization level. Coaching implies a transfer of knowledge. It is
Finally, the process for accompanying creators also associated with the psychological dimension
(PAC) can be analyzed on the combined basis of designed to reinforce the creator’s confidence.
the three associated components (Sammut 2009): The accompaniment has a date and is paid for.
cognitive faculty (C), propensity for structuration As for mentoring, it implies a desire to “resem-
(S), and legitimation strategy (L). These three ble” the mentor, who acts as a model. The empha-
interactive () components (C, S, L) apply () sis is placed on the personality of the individuals
who recognize and appreciate each other, even with the relationship resulting in either payment
before they develop a relationship. This form is or not. Certain forms are thus based on volunteers,
not traditionally paid for. while others require payment for their services by A
Counseling is more based on understanding the the entrepreneur and/or public subsidies. The
personality, representations, lifestyle, and social wide range of key players and organizers of
roles of individuals. The psychological dimension accompaniment is thus significant: from consul-
is very much present. This type of practice implies tancies to networks of volunteer accompaniers,
payment. such as the “entreprendre” network in France or
Peer accompaniment, or tutoring, implies that the “M” network at the Entrepreneurship Founda-
each of the two key players is an entrepreneur and tion in Canada, via a very particular key player –
that an “exchange” of resources (knowledge, business incubators, within which the entrepre-
legitimacy, network, client lists, etc.) is possible neur’s project can in certain cases be deployed.
in the form of a gift for a gift. The concept of In this case, the entrepreneur has a fixed starting
sharing is essential and payment is prohibited. point which allows him to benefit from a range of
Finally, consultancy, in the sense of a service accompaniment services, which will be used
provided by a qualified person (the consultant), is depending on how much progress has been made
occasional, has a specific date, and covers a spe- in the project, the entrepreneur’s needs, expecta-
cific period. This period can however be renewed tions, and demands.
if the person being accompanied so requests. Con-
sultants act in the place of the creator and their aim Diversity of the Demand Finally, entrepreneurs
is limited to resolving the problem or problems committed to a project can make use of accompa-
identified. This is a commercial relationship. niment in different ways. Although it is possible
Paul (2004) proposed combining this diversity to imagine using different forms of accompani-
of forms by emphasizing the diversity to be found ment simultaneously, Verzat et al. (2010) showed
in their underlying relational registers (Fig. 1). how accompaniment needs differ in relation to the
Both the objective and the method or type of life phases of the entrepreneur, while Couteret
accompaniment diverge so as to accompany the (2010) underlines the importance of the nature of
entrepreneur in constructing his own autonomy. the commitment – voluntary or forced – in the
entrepreneurial act.
Diversity of the Offer The diversity to be found Diversity of forms, of the offer, and also of
in forms of accompaniment goes hand in hand what is demanded are all characteristic of accom-
with diversity in the offer of accompaniment, paniment. It is possible to imagine, beyond this
Accompaniment of Guide
Business Creation, Counselling Deliberation Mentoring
Fig. 1 Accompaniment Orientation
Development
registers (Paul 2004;
Deschamps et al. 2010) Awaken Watch over
ACCOMPANY
Lead Escort
Influence Protection
Conformity Construction
Training Education Repairtutoring
Consulting Monitor
Tutoring
Coaching
diversity, that there is a need to ask questions on Accompaniment of Business Creation,

how to identify what determines performance. Table 1 Performance indicators for evaluating incubators
(Messeghem et al. 2010)
Types of indicator Indicators
Performance in Accompaniment Indicators focused on Number of projects
results accompanied
Project completion rate
Evaluating the performances of incubators has
Jobs created by the new
given rise to a major, heterogeneous field of company
research in the literature (Greene and Storey Business survival rate
2004; Bergek and Norrman 2008). In the early Indicators focused on Incubatee satisfaction rate
1990s, Gibb (1992) affirmed the need to develop the incubatee Incubatee selection
a specific research field for evaluation that could Indicators focused on Access to financial resources
be used to provide conceptual information for financial resources Facilitated access to economic
public accompaniment policies. In almost and commercial partners
20 years, literature has developed (Lambrecht Decreased operating costs
Indicators focused on Identify the key players in the
and Pirnay 2005; Greene and Storey 2007) with-
networking network and the resources that
out fully succeeding in understanding “what must be mobilized
works and what does not” (Greene and Storey Integration of the incubatee
2007, 213). Many indicators have been developed into professional networks
to respond to these different objectives. While Indicators focused on Capacity of the structure to
some focus on the financiers, others focus on processes provide a tailored response
incubators or business creators. The following Mastery of the legislation
Active participation
table summarizes the main indicators proposed
Availability of tools
in the literature for six categories: results,
Services proposed
incubatees, resources, networks, processes, and
Indicators focused on Innovation and quality of the
management (Table 1). management incubator’s management
For Hackett and Dilts (2008), these indicators Information system adapted to
do not take sufficiently into account the incuba- the structure
tion processes that too often seem to be a black Exchange of good practices
box. To compensate for this limitation, the bal- Experience of the
anced scorecard method can be used (Messeghem accompaniers
et al. 2010). This method was devised by Kaplan In-house training for the
accompaniers
and Norton (1996) as a means of evaluating the
performances of organizations. It makes it possi-
ble to propose a multidimensional, contingent
approach and to associate management control bearers themselves be associated. Second, the bal-
and strategic vision. The connection between anced scorecard makes it possible to reconcile the
strategy and measurement of performances is two visions of management control described by
assessed by means of a strategy map, which is Simons (1995): diagnostic control, based on a
based on the causal relationships between four posteriori control of results and the implementa-
levers of performance: the financial axis, the client tion of well-thought-out strategies, and interactive
axis, the internal processes access, and the control, which is oriented toward organizational
learning-innovation axis. learning, searching for opportunities and the
There are three advantages to this model. First, emergence of new strategies. Third, the balanced
constructing a strategy map is a collaborative pro- scorecard retains a dialectic approach and thus
cess that can be open to all the parties involved. In makes it possible to combine different types of
the field of incubation, it is essential that finan- ago-antagonistic indicators: indicators of results
ciers, structure directors, and even the project and processes, financial and nonfinancial
indicators, qualitative and quantitative indicators, accompaniment activities. Each axis has been
and so on. divided into three subdimensions to which the
Messeghem et al. (2010) have already shown indicators are attached. A
that the different aspects of the balanced score- The approach based on the balanced scorecard
card can be used to evaluate the performances of makes it possible to retain a plural approach to
incubators. A qualitative study followed by a evaluation. On the one hand, it takes into account
quantitative study of 109 French incubators allo- the objectives of the various parties involved. On
wed the authors to specify the nature of these the other, it adopts a multidimensional reading by
four axes and to validate the indicators associ- cross-referencing indicators of different natures.
ated with them. Table 2 summarizes the four More broadly speaking, the approach proposed
axes of the balanced scorecard adapted to makes it possible to penetrate the very heart of
Accompaniment of Business Creation, Table 2 Evaluation grid for the performances of incubators (From
Messeghem et al. 2010)
Incubators Company – individual Financiers
Social and Number of collaborators designated for Development of the skills Spatial justice
economic incubation of the business creator Number of jobs generated
development Number of incubatees in the course of a Support for the mourning within the incubated
year of failed projects businesses
Number of effective business creations/ Business creator’s salary Durability rate of the
number of projects incubated Forecast turnover/actual incubated businesses
Incubator’s overall budget turnover
Return to employment
Incubatees Product/service attributes Relations Image
Availability of tools making it possible Satisfaction rate of the Using communication tools
to formalize services creator with regard to the Certification and/or
Explicit reference to financiers in the services labeling for the incubator
services Creator’s integration into Renown of the incubator
professional networks
Maintaining contact post-
creation
Incubation Operations management process Incubatee management Innovation process
process process
Ability to respect specifications Involvement in project Active participation in
Mastery of the legislation concerning Shared post-incubation collective reflection on
business creation review incubation methods
Use of accompaniment tools Incubator’s ability to Commitment to
Identification of the key players in the provide a tailored experimentation within the
network and the resources that need to response incubator
be mobilized Respect of confidentiality
Distance accompaniment Progressive validation of
Implementation of a quality approach the stages in the
incubation process
Learning Human capital Informational and Organizational capital
relational capital
Referentials or grids of skills of the Integration into networks Management in teams
incubator’s personnel Information systems Versatility of the personnel
Efforts in in-house training Information intelligence Specialization of the
Personnel’s past experience in Exchange of good personnel
incubation and/or business creation practices Formal or informal
Identification of the key players and Participation in events collaborative arrangements
resources with key skills Turnover
the black box of incubation and to better under- Gibb AA. Can academe achieve quality in small firms’
stand performance and its determinants. policy research? Entrep Reg Develop. 1992;2:127–44.
Giddens A. Modernity and self identity. Cambridge: Polity
Press; 1991.
Greene FG, Storey DJ. An assessment of a venture creation
programme: the case of Shell Live WIRE. Entrepre-
Conclusions and Future Directions neurship Reg Dev. 2004;16:145–159.
Greene FJ, Storey DJ. Issues in evaluation: the case of
Accompaniment is often seen as an amorphous shell livewire. In: Audretsch DB, Grilo I, Thurik
group of practices (Paul 2004). As a result, in RA, editors. Handbook of research on entrepreneur-
ship policy. Cheltenham: Edward Elgar; 2007.
entrepreneurial terms, the diversity of forms, p. 213–33.
what is on offer and what is being demanded by Hackett SM, Dilts DM. A systematic review of business
entrepreneurs, can reinforce this impression. incubation research. J Technol Transfer. 2004;29(1):
However, by penetrating the “black box,” it 55–82.
Hackett SM, Dilts DM. Inside the black box of business
seems to be possible to better characterize the incubation: study B- scale assessment, model refine-
accompaniment process as a means of identifying ment, and incubation outcomes. J Technol Transf.
the factors of performance. This is thus a new field 2008;33(5):439–71.
of research that is starting to emerge (Chabaud Kaplan RS, Norton DP. The balanced scorecard: translat-
ing strategy into action. Boston: Harvard Business
et al. 2010), the development of which is essential School Press; 1996.
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Actor-Network-Theory and Creativity Research 29
for pleasure. A creator only does what he abso-

Accountability lutely needs” (p. 135). It is also a necessity
because it is in the name of his/her creation that A
▶ Innovation in Interdisciplinarity: Four Different the creator may speak. In other words, the config-
Dimensions urations that he/she builds consequently entangle
and constitute him/her as a subject.
The study of creativity, therefore, is not only
the observation of specific moments when people
Active Play and Creative come up with new ideas, for example new prod-
Thinking ucts, new advertisement campaigns, technologies,
scientific theories, production processes or new
▶ Play for Creativity popular songs. It is rather the study of ongoing
practices by which participants continuously
establish relations with each other and with arti-
facts and thus create new configurations and con-
Actor-Network-Theory and stitute themselves as acting subjects. Such a
Creativity Research relational view of the world is common to a num-
ber of philosophers, including William James
Gerald Bartels1,2,3 and Nicolas Bencherki4 (1912), and it became popular in the realm of
1
Department of Communication Studies, social theory thanks to, among others, actor-
Université de Montréal, Montréal, QC, Canada network-theory.
2
Banff Centre for Arts and Creativity, Banff, AB,
Canada
3
Research and Innovation of Intervene Design, Actor-Network Theory
Toronto, ON, Canada
4
Center for the Sociology of Innovation, Mines One of the main vehicles of this relational
ParisTech University, Paris, France approach in sociology has been actor-network-
theory (ANT), also known as enrolment theory
or the sociology of translation, which was first
Synonyms formulated by Bruno Latour and Steve Woolgar
in their 1979 Laboratory Life, although the term
ANT; Sociology of Innovation; Sociology of actor-network was coined by another prominent
Translation ANT scholar, Michel Callon (1986a). This book,
and Latour’s 1987 Science in Action, are the two
works usually cited when referring to ANT. They
Introduction outline some of the theory’s basic features: its
anchoring in an ethnographic methodology and
Gilles Deleuze (1998) defines creation as the mak- in the study of everyday practice, its reliance on
ing of configurations – a position close to that, say, emic categories and the reflexivity of the partici-
of British philosopher Alfred N. Whitehead (see pants (the two first features being inherited from
for example Cloots 2001). Studying creativity, ethnomethodology; see Garfinkel 1967), and –
therefore, can be understood as the study of the this is its major innovation – its strong belief that
way new relations or connections are established the material dimension of practice is constitutive
between elements in order to make up new beings, of practice itself.
bodies, concepts, products, or things – in the ANT began as an approach to Science and
broadest sense of these words. For Deleuze, crea- Technology Studies (STS), and this may explain
tivity is not an optional activity; it is instead a the theory’s concern for sociotechnical processes,
necessity: “A creator is not someone who works that is to say the intertwining of the social and the
30 Actor-Network-Theory and Creativity Research
technical, of humans and artifacts. Indeed, Latour ANT allows revealing that they are coextensive
and Woolgar have powerfully shown, as Howard to the very constitution of society and collective
Becker did in the field of art (Becker 1974, 1982), action, through the relationship they establish.
that creation is not a solitary endeavor, and that the
invention (as a thing) is not the product of a single
inventor, but rather a contextual and sociocultural The Hybrid Character of Action
outcome of the stabilization of the relationships
between the interests of many actants (see below), ANT scholars have always been careful not to
humans and nonhumans. To describe and analyze embrace dualism, for example by pitting techno-
creative interaction and innovation processes, logical determinism against a vision of technol-
Madeline Akrich and Bruno Latour (1992) intro- ogy as a mere tool available to society (such
duce the key concept of the “program of actions” concerns have deep roots, see for example
(p. 260) that actants pursue and that combine by Heidegger 1977). For proponents of ANT, Plato’s
“translating” each other, thus creating a new pro- advice to “be determined to avoid the extremes
gram of action that is neither of each initial actant’s and choose the mean” (in Benjamin Jowett’s 1871
intended one. The process of translation is interac- translation, see Plato and Jowett (1946)) may be
tional and communicative, and as such is available read as a call for a theoretical model capable of
for observation – hence ANT’s regular designation exploring the blurred contours of such intermedi-
as the sociology of translation. The invention, as ate areas. One of ANT’s defining concepts is
the outcome of such observable interactions, hybridity, meaning that the social and action
“works” because it is able to translate the “wants” (s) are always the products of complex entangle-
of those actants. For example, Wiebe E. Bijker ments and never pertain to pure domains such as
(1995) discusses the case of the bicycle, which nature or culture. This entails that well-known and
obtained its current form because it could translate established models, which prefer either technical
both Victorian morals (especially regarding the (see McLuhan 1962; White 1962; Innis 1950,
possibility for women to ride them while preserv- 2008) or social (see Gehlen 1982; and Latour’s
ing discretion) and concerns over safety and speed. 1993, remarks in We have never been modern)
The theory then gradually moved away from explanation, are not suitable to explicate or even
STS as such and started claiming a broader appli- illustrate those configurations. To ANT, hybridity
cation, positioning itself as a different way of is not an axiom, but rather something anyone can
doing sociology, on the grounds that the work of witness when faithfully applying the theory’s
science is not fundamentally different from other motto, “to follow the actors themselves” (Latour
social activities and does not approve either social 2005, p. 12), as exemplified in Latour’s (1987)
or technical determinism (for ANT’s application study of scientists and engineers in action.
to the anthropology of law, see Latour 2002; to Echoing Alfred North Whitehead (1919/1964),
financial markets, MacKenzie 2008). The fact that the rejection of the empirically misleading “bifur-
ANT has been increasingly recognized can be cation” of nature and the social is made explicit in
attributed, among other things, to the rising prev- We have never been modern, Latour’s (1993)
alence of science in society. The growing role of manifesto for a “symmetrical anthropology” (see
science can be witnessed in human sciences liter- especially p. 105). The divide between nature and
ature, which is concerned with issues such as the society, or technology and culture, he points out,
increasing place of collaborative knowledge should be overcome, and either end of the spec-
(Faraj et al. 2011), the transition to a knowledge- trum should not call for a different form of expla-
intensive work (Alvesson 2011), and collective nation. As a consequence, we should
processes embedded in sociotechnical networks acknowledge that there are not, on the one hand,
(Holzer 2012). While many such studies have human subjects and, on the other, nonhuman
considered science, knowledge, creativity, and objects, but rather quasisubjects or quasiobjects,
innovation to take place within organization, hybrids of mixed ontology. If one single
contribution of actor-network theory should be translate each other’s program of action or risk
stressed, it would be its conceptualization of the seeing their collective undertaking fail.
actor as not merely being one singular and differ- A
entiable entity but rather as a network herself/
himself, an idea that could be summarized, in Building a Society by Moving Action
Latour’s (1996) words: “When one acts, others Through Time and Space
proceed to action” (p. 237). Action is not under-
stood as springing from the intentional will or the This view has important consequences as it allows
desire of an already-constituted subject, but rather objects to enter the social realm. Rather than
as the effect of the hybrid association of entities of thinking of nonhumans merely as the backdrop
various ontologies. Something new emerges, of the social or as a more or less constraining
which cannot simplistically be reduced to the “context,” ANT considers technical objects to be
added and activated elements cf. Latour 1999b). in fact participants to the constitution of collec-
In ANT’s version of action, humans and non- tives (see below). Our society, explains Latour
humans coalesce to achieve programs of action (1996), is different from that of apes not because
that cannot be reduced to the intention or design of theirs would be simple while ours is complex:
either party (Latour 2005). The necessity of pro- primatologists have shown that, among apes,
viding equal consideration for both human and sociability implies many sophisticated interac-
nonhuman participation in a collective involves tions. To stress what is different between simians’
three principles (Callon 1986b) upon which ANT “state of nature” and humans’ “today’s society,”
is based. These principles are: (a) agnosticism – Latour offers to distinguish between complex and
the impartial treatment of both human and non- complicated. While apes have no option but to
human factors, (b) generalized symmetry – the deal with whatever interactions occur and must
description of conflicting perspectives by using continually rebuild their social order through
the same terms through neutral vocabulary and them – their society is complex – humans have
abstracts so that neither one or the other factor is the option to treat interactions sequentially and to
accorded with a special explanation (c) free asso- fold the previous one into the next as a black box,
ciation – the elimination of all general proposi- thanks to technical objects – human societies are
tions on the distinctions between the complicated. In other words, artifacts allow the
technological and social. circumscription of interactions, their stabilization,
The associations are not the expression of any and the transportation of that stabilized form into
one party, whereas the others being are merely its other interactions. That is why, for example, once
tools or executives. Especially, nonhumans can- I have convinced the Department of Transport
not be understood as mere intermediaries, faith- examiner that I am able to drive, the driver’s
fully translating their human user’s desires. They license she/he hands out to me and my file in the
are rather what Latour (2005) calls mediators; in computer network allow me not to prove all over
other words, for the object to be able to carry the again, each time I meet a police officer, that I am
impulse it receives, it has to change it or – to return deemed capable and authorized to drive. Thanks
to a concept already introduced above – translate to the driver’s license, my interaction with the
it into something different albeit equivalent – Department of Transport examiner is black-
traduttore traditore (“translator, traitor,” as the boxed, that is taken for granted, and consequently,
Italian saying goes; see for example Latour the event between the police officer and I takes
1999b, chapter 2). Michel Callon (1986), in his places as expected.
ground-breaking study of a failed experiment to It is this ability of technical objects to carry
domesticate scallops, coined the term “sociology interaction that leads Cooren (2004; Cooren and
of translation” to highlight the fact that for any Fairhurst 2004, 2009) to speak of the dislocated
endeavor to be undertaken successfully, the character of interaction: an interaction always
parties – whatever their nature – must be able to involves events taking place in other places and
at other times, as it has been made present in the Creativity as a Shared and Relational
here and now by accounts, documents, and other Process
objects.
ANT does not locate action within an individual –
be it a human or not. Action is never the product of
Implications for Creativity a singular will, but rather the outcome of the
relationship between several entities – the actor-
This leads to a radically different way of studying network. This entails that an important element of
creativity and innovation. It should be mentioned the relationship of ANT to creativity and the pos-
that ANT was for the most part developed at the sibility for action, in general, is the notion of
Centre de sociologie de l’innovation (Center for configuration. Therefore, the study of how people
the sociology of innovation, CSI), in Paris, where and objects build such configurations (also called
Latour was a researcher until 2007 and where collectives, see below) amounts to the study of the
other influential ANT scholars such as Antoine programs of action they make possible or deter. In
Hennion or Madeleine Akrich are still working other words, people are not only involved in the
(Michel Callon recently retired; outside the CSI, process of building an environment or a setting for
we can mention John Law, Annemarie Mol, their actions, but also in building a world where
Peter-Paul Verbeek, Vincent Lépinay and many action is possible at all, for they act with the world
others). The key element to ANT’s vision of they build. Making new things possible is, hence,
innovation, as it should be made clear by now not only the effort of a mind that strives to have
and as is well illustrated by Antoine Hennion’s new ideas, but also the outcome of the ways in
work on music amateurs (Hennion 1983, 1989, which we interact with other people and with the
2010; Hennion and Gomart 1999), is that crea- artifacts that surround us. An example could be
tivity is far from being a solitary process (a point that of the painter who mixes his/her colors: in
also made, although differently, by Becker 1974; doing so, she/he is not only preparing an already-
Becker 1982; see also Deleuze 1998, for some planned action (although that may also be the
nuances). As Hennion (1983) notes in the case of case), but also discovering new possibilities of
popular music, not only has creative work action as new color blends appear and suggest
become distributed among a “creative collec- new combinations.
tive,” it also relies on methods, techniques and The transition from acknowledging the multi-
devices “which act as veritable mediators of pub- tude of beings, human or not, that populate the
lic taste while accomplishing a production job world and action can be conceptually achieved
which must also be technical, financial and com- through Greimas’ notion of narratology. The
mercial” (1983, p. 160). For example, Hennion French linguist (see Greimas 1987) has had an
explains that the song is not limited to the music important influence on the development of ANT,
per se, or even to the mixture of music and lyrics and provided it with a distinct analytical appara-
(understood as “3-min novels”); it also includes tus. Especially, Greimas’s approach suggests a
the way the music circulates, is transformed, and semiotics of action that can be used beyond the
“attaches” to its amateurs. What a particular study of texts proper. Greimas shows, among
piece of music is can therefore not be reduced other things, that as the “hero” moves through
to either the work of the artist composing it, or to the phases of his/her quest, she/he gradually
its reception by amateurs. Music implies “tech- acquires objects, competencies, and helpers that
niques, settings, devices, and collective carriers”, can be said to act as she/he acts (for a similar
but no one of these in particular produced it; argument see Eco 1965). Think, for example, of
indeed, “we need stop asking, temporarily at the poor peasant who becomes a knight after
least, about the sources of action. Questions being given a magic sword. The knight is an
such as ‘who acts?’ no longer work” (Hennion actor-network; it is the-peasant-with-a-magic-
and Gomart 1999, p. 221). sword that can kill the dragon. While each part
of the peasant/sword duo can claim or be attrib- more or less material “things” that populate our
uted the deed, none can do it without the other. For everyday work and life environments, including
Greimas, the mechanics of action can be described artifacts, machines, computers, software, A
and analyzed as a series of conjunctions and dis- whiteboards, documents, regulations, theories,
junctions, as objects of value (which can be and many other entities (or actants). This calls,
money, but also a princess, a mission, or self- according to ANT, for an ethnographic method,
respect) are circulated between actants. This inherited from ethnomethodology, for it is through
term, actant, designates for Greimas a position the minutia of participants’ work that the estab-
within a narrative, independently from the actual lishment of relationships can be witnessed. For
actor who fills it and independently from the example, it is in the detail of the way pedologists
actor’s ontology (for example, being the hero’s (who deal with the science of soils) sort samples in
helper is a role that can be “played” by a magician, a compartment box that they can accomplish a
a donkey, or a sword). Latour extends the term and continuity between on-site work in Amazonia
uses it as a replacement for sociology’s actor. The and laboratory analyses in France (Latour
actant, therefore, is not so much a person or an 1999a). The banality of those compartments may
object as it is a position within a network of deceive the casual observer: it is in fact those
relations. That is why conjunctions and disjunc- boxes that perform the attribution of each sample
tions transform the involved actants and provide to a specific site, and it is thanks to them that the
them with different subjective statuses with results of the analyses can then be plotted
respect to the actions in question. For example, on maps.
the conjunction of John with wealth makes John
rich: saying “John has a pot full of gold pieces” is
functionally equivalent to saying “John is rich” ANT as a Genuinely Organizational
(Greimas 1987, pp. 88–89). This is especially Perspective to Creativity
important to understand the connection of having
and being (two notions that, in fact, “express the ANT decenters the study of creativity from
same logical function,” see Greimas 1987, p. 88; humans and instead genuinely focuses on its col-
for a discussion on being as having see Tarde laborative character. Such a perspective, through
1893; see also Bencherki and Cooren 2011), that its emphasis on the constitution of collective
is to say the transformative potential or (re) action, connects the study of creativity while
configuration. addressing its anchoring in organizing processes
The study of creativity, then, can profit from (cf. Weick 1979). In that sense, and ANT perspec-
ANT’s externalist (with respect to psychology) tive collapses the distinction between creativity –
perspective: understanding creativity does not “the generation of a product that is judged to be
require access to individual minds, but is located novel and also to be appropriate, useful, or valu-
instead in the observation of the practices through able by a suitably knowledgeable social group”
which relationships are established (through (Sawyer 2012, p. 8) – and innovation, “the suc-
series of conjunctions and disjunctions), which cessful implementation of creative ideas within an
constitute the world in which we act and in organization” (p. 126).
which individuals are in their turn constituted. Working along the lines of ANT as applied to
This world – as an assemblage of heterogeneous organizational creativity and innovation,
entities – allows or impedes possible actions and Jacqueline Holzer (2012) emphasizes the
suggests new programs of actions, that is to say cocreation of meanings of interdisciplinary
even further relationships. It is therefore by fol- teams by shared artifacts during organizational
lowing “actors themselves” that we can observe routinized innovation processes. She stresses that
the deployment of creativity. We should not, how- in moments of crisis, complexity, and uncertainty,
ever, restrict actorhood to humans: we must on the actors and artifacts enter a sociotechnical network,
contrary extend our observations to the many which leads to emergent meanings and
consequently innovation. John K. Christiansen on Tumblr, Pinterest, Facebook, and Twitter, for
and Claus J. Varnes (2007), for their part, debunk example, allow several simultaneous relationships
another myth of innovation processes and man- to exist between those elements, which, while
agement, namely, the taken-for-granted assump- being singular, are included in several different
tion that decisions on innovation are located walls, blogs, or feeds. This leads to our second
primarily in meetings. Their ANT-inspired per- suggestion: the exploration of the constitution of
spective argues for the cocreative role of project subjectivities as creative individuals. The work of
managers and other nonhuman actors, a perspec- French communication theorist Fanny Georges
tive that allows to “map the dynamic micro pro- (see for example 2011) is interesting in this
cesses and understand how innovation is regard. She points out that online profiles,
constructed” (p. 283). inasmuch as they bring together a collection of
Keeping in mind Deleuze’s definition of crea- various elements (statuses, pictures, links, and so
tivity, as the making of configurations, we must on), constitute subjective positions from which
not merely follow the actors, hoping for a creative users speak and interact, which cannot be
moment to emerge or for a special event to occur reduced to the person’s “physical” identity. This
as a researcher, methodologically speaking, might observation can also be extended to “creative
not be able to capture in situ every single compo- workers,” for example to the digital artists stud-
nent of an emergent, creative process. Instead, we ied by Damien Charrieras (2011), whose very
should consider the work of creativity as constant, ability to exist as such depends on assemblages
for actants ceaselessly enter in conjunction with of heterogeneous elements, including technolo-
each other to make up new assemblages, includ- gies, venues, and people (see also Miettinen’s
ing social entities, groups, project teams – which (2006) idea of new emerging forms of distributed
are just as innovative as may be songs, paintings, creativity and the significance of artifact- and
or sculptures. internet-mediated communities, domains, or
practices). Finally, the last suggestion we would
like to make for future research consists in a call
Conclusion and Future Research for the study of banal creativity (also
cf. Weisberg 1993). In other words, we should
There are several directions in which future not suppose that creativity is limited to specific
research could benefit from (and extend) ANT’s people (artists, publicists or entrepreneurs, or
contribution to the study of creativity. The first we other so-called ingenious individuals). If creativ-
wish to suggest is the study of the way devices and ity is defined as the establishment of relations
technologies may contribute to creativity. As that allow new programs of action, then it is
social networks, cloud computing, and mobile pervasive and should be looked at as a process
phones are gradually becoming everyday work that takes place continually, rather than as an
and entertainment gears, and if we follow some isolated event. We may then realize that there is
of medium theory’s insights regarding their capac- much more creativity within and outside our
ity to extend our senses and cognitive capacities, organizations than we are willing to acknowl-
then it seems natural that their contribution to edge, and that a multitude of small revolutions
creativity should be an important focus of are occurring on a daily basis that change the way
research. This invitation should not be limited to we look at the world and the way in which we
the study of the creative user interacting with interact with it.
electronic devices, but should include the obser-
vation of the way those tools dynamically
reconfigure relations and change the connections Cross-References
that may be established between entities, ideas,
and people. The ways we share links and pictures ▶ Research on Creativity
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search engine. These creators did not make
something new, but their attitudes and past
Actors Management knowledge and experiences enabled them to
apply existing solutions to new problems, and
▶ Technological Entrepreneurship and the results changed the world (Kim 2016).
Asymmetries Innovation requires taking small steps to
connect the dots between existing ideas. This
piecemeal process may not seem glamorous,
but innovation results from synthesizing the
Adaptation essence of unrelated existing ideas or things.
For example, Apple created the iPhone by com-
▶ Conflict and Creativity bining dissimilar existing technologies in unique
ways. Samsung then analyzed and synthesized
the essence of the iPhone and transformed it into
their own version by improving some aspects of
Adaptive Creativity and it. Both are examples of innovation. Yet, based
Innovative Creativity on the degree of uniqueness, innovation ranges
from adaptive creativity to innovative creativity.
Kyung Hee Kim and Noël Williams Adaptive creativity is making something that
The College of William & Mary, already exists more useful by solving or refining
Williamsburg, VA, USA its current problems or practices. It is less unique
than innovative creativity, and it leads to more
incremental and evolutionary innovation. Inno-
Synonyms vative creativity is doing or making something
more unique than adaptive creativity. It leads to
Blend; Divergent thinking; New; Originality more radical and revolutionary innovation. In the
iPhone example, Samsung went through a more
adaptive creative process, whereas Apple went
Creativity and Innovation through a more innovative creative process.
Innovative creativity can change the world, or
Creativity is doing or making something unique an entire field, like how the iPhone changed the
and useful, and the end result of this process is whole phone industry, and arguably the way the
innovation. No innovation is truly new world interacts with technological devices (Kim
because everything created is an extension or 2016).
Adaptive Creativity and Innovative Creativity 37
Similarities Between Adaptive Creators climates (soil, sun, storm, and space) impact
and Innovative Creators how creators think and behave, which can either
encourage or discourage their creativity develop- A
Both adaptive creativity and innovative creativity ment. First, the soil climate provides creators with
require the initial spark of curiosity. Adaptive diverse resources and experiences; second, the
and innovative creators are both intensely curious sun climate inspires and encourages them; third,
and open to identifying new or solving existing the storm climate provides them with high expec-
problems. Neither types of creativity require high tations and challenges; and finally, the space
levels of intelligence, but creators must develop climate provides creators with the freedom to be
early and deep expertise in their curiosity, prefer- alone and unique, from which their unique ideas
ence, or interest. Expertise is the foundation of the spring.
creative process to innovation. Early expertise In order to apply creative thinking skills to
development contributes twice as much to inno- innovation, both adaptive and innovative creators
vation than IQ scores do. Innovation requires must experience all of the four climates which will
thorough knowledge of the subject matter, nurture their creative attitudes. Yet, innovative
but not necessarily formal education. Most emi- creators experience more space climate than adap-
nent creators did not achieve high levels of edu- tive creators. Adaptive creators often come from
cation. For example, Alexander Graham Bell more conventional and mainstream backgrounds
(1847–1922) was educated mostly at home by than innovative creators. Innovative creators often
his father; Thomas Edison had only 3 months of come from more unconventional and less tradi-
schooling and was taught by his mother at home; tional familial, educational, professional, eco-
Abraham Lincoln also had less than a year nomic, or cultural backgrounds than adaptive
of schooling; Benjamin Franklin’s (1706–1790) creators. They experience life as outsiders and
schooling ended when he was 10 years old; Isaac do not relate to the We identity of the mainstream
Newton (1642–1727) found school boring and society, which causes them to be more non-
never advanced beyond his bachelor’s degree; conforming and defiant than adaptive creators.
both Steve Jobs (1955–2011) and Steve Wozniak They are outsiders who experience two different
(1950–) dropped out of college. However, they norms or traditions. Their attempts to conform to
were all driven by their fierce desire to learn about the mainstream society cause them to suffer from
their subject of curiosity or interest. They devel- insecurity and self-doubt. However, their experi-
oped a strong love for reading and learning, which ence as an outsider is also what enables their
led them to continuously educate themselves. unique creative thinking. They are not necessarily
More importantly, high formal education often self-confident, but they compensate their outsider
institutionalizes and inhibits creative thinking. It status by developing their self-efficacy (true con-
especially limits uniqueness, and thus innovative fidence) in their subject and/or field. They are
creativity, by preventing creators from accepting willing to take great risks because they feel as
different ideas or looking at things in a different, though they have nothing to lose, and this facili-
rebellious light. tates the creative process for innovative creativity.
Further, innovative creativity deviates from the
norm or the tradition more than adaptive creativ-
Differences Between Adaptive Creators ity. In order to be useful, creativity is constructive,
and Innovative Creators and in order to be unique, it is also destructive.
Uniqueness is defiant in nature; therefore, the
The CATs model embodies the three steps that more unique a creation is, the more it engenders
lead to innovation: cultivate creative Climates; opposition or resentment. Innovative creators not
nurture creative Attitudes; and apply creative only take more risks, but they act more defiantly
Thinking skills. Creative climates are creators’ toward governing or controlling powers than
physical and psychological surroundings. The 4S adaptive creators.
38 Adaptive Creativity and Innovative Creativity
Adaptive creators often come from more includes higher-order thinking skills such as flu-
stable family backgrounds than innovative crea- ent, flexible, and original thinking. These skills
tors. Innovative creators come from more unstable are essential to generate unique ideas.
or less fortunate family backgrounds. They endure It is typical for creators to use either more
misfortunes, traumas, adversities, and/or hard- inbox thinking or outbox thinking. Adaptive cre-
ships in childhood or adolescence, such as a ators use more inbox thinking than outbox think-
family failure or economic instability or financial ing. They often get superior grades in school,
crisis, physical or mental disabilities, or the death which is indicative of their reliance on inbox
of close loved ones. They overcome their mis- thinking. Adaptive creators are persistent and
fortunes, traumas, adversities, or hardships by use logical and systematic thought processes.
embracing them as temporary challenges and This helps make their creations useful, but their
learning experiences and fully committing them- persistent mind lacks flexibility. Innovative crea-
selves to their goals. This outlook and commit- tors use more outbox thinking than inbox think-
ment enable them to complete their long and ing. They often get inferior grades in school,
bumpy creative process. While overcoming these which can be explained by their reliance on
obstacles in their storm climate, innovative crea- outbox thinking. They think spontaneously and
tors seek refuge in the space climate and partake use random and subconscious thoughts without
in the creative process and expression alone. giving much thought to practicality. This helps
They take the time to think about themselves and make their creations unique, but their flexible
their situations, but they also think about others mind lacks persistence. Adaptive creators who
and others’ situations. This nurtures their compas- only rely on inbox thinking become boring tech-
sion, leading them to empathize with others in nicians. Innovative creators who only use outbox
a meaningful way. Thinking in-depth about others thinking become frustrated dreamers. Neither of
and the worlds’ injustices also nurtures their these two types of creators will alone achieve
big-picture thinking, self-reflection, and even innovation because the creative process to inno-
daydreams. Their time in the space climates motivation requires newbox thinking, which combines
vates them to use their creative thinking skills elements of both inbox and outbox thinking.
to help the larger community, nation, and the Newbox thinking includes highest-order thinking
world, which leads to radical and revolutionary skills such as synthesis, transformation, and pro-
innovation. motion. Consequently, cross-pollination between
adaptive creators and innovative creators – with
different life experiences, strengths, and thought
Conclusions and Future Directions processes – will increase the chance of innovation.
Cross-pollination is formal and informal face-to-
Creative thinking skills consist of inbox, outbox, face interaction, networking, sound boarding,
and newbox (ION) thinking. Inbox thinking is collaboration, and collaborative competition.
narrow and deep (inside the box) to gain or eval- Through cross-pollination, adaptive creators and
uate knowledge and skills. Expertise is developed innovative creators share, generate, combine,
during inbox thinking using lower-order thinking adapt, and build on each other’s diverse
skills such as memorization, comprehension, and knowledge, skills, and experiences. By cross-
application. Inbox thinking also includes higher- pollinating, they can magnify their own and
order critical thinking skills such as analysis and others’ strengths by learning and growing from
evaluation, which are required to select useful each other’s expertise. Taking adaptive and inno-
information. Outbox thinking is quick and broad vative creators out of the equation, cross-
(outside the box) to imagine diverse possibilities. pollination can help all future creators connect
It helps creators take a broad field of view to ideas in ways they would never have imagined.
imagine many, diverse, and unique approaches Homes, schools, businesses, and society must
to a problem or opportunity. Outbox thinking recognize the value of cross-pollination.
Age and Creative Productivity 39
Cross-References ▶ Preparing a “Creative Revolution”: Arts and

▶ Creative Attitudes: The 4S (Soil, Sun, Storm, edge Economy A
and Space) Attitudes ▶ Social Design
▶ Creative Climates: Soil, Sun, Storm, and Space
Climates
▶ Creative Process: The Apple-Tree Creative
Process (ACP) Aesthetic Research
▶ Creative Thinking Skills: Inbox, Outbox, and
Newbox (ION) Thinking Skills ▶ Preparing a “Creative Revolution”: Arts and
▶ Reading for Creativity Universities of the Arts in the Creative Knowl-
edge Economy
References
Kim KH. The creativity challenge: how we can recapture Aesthetics

American innovation. Prometheus Books, Amherst,
New York; 2016.
▶ Arts, Research, Innovation, and Society: ARIS
ADD Affect
▶ Attention-Deficit/Hyperactivity Disorder and ▶ Creativity and Emotion
Creativity
▶ Creative, ADHD, or Both?
Age and Creative Productivity
Addition Dean Keith Simonton

Department of Psychology, University of
▶ Product Innovation, Process Innovation California, Davis, CA, USA
Synonyms
Adverse Selection Career trajectories in creative achievement
▶ Information Asymmetry and Business Creation

Introduction
Typically, creators exert impact through products.

Aesthetic Innovation Inventors devise inventions, scientists publish
articles in technical journals, poets write poems,
▶ Areas of Innovation in Arts: Innovation and composers create music, architects design build-
Where to Look for It ings, and so forth. Moreover, for most high-
▶ Communicating Invention, Creativity, Innova- impact creators, such productive activity is not a
tion, and Entrepreneurship one-shot affair. Although some creators may
40 Age and Creative Productivity
produce a single notable work during their entire social sciences. Since that time, one generaliza-
life span, many creative persons generate multiple tion has been replicated innumerable times: the
contributions across the course of a very long typical age curve (Lehman 1953; Simonton
career (Simonton 1997). This latter behavior 1988). Creative output usually starts around the
raises big questions of how creative output mid-20s and then increases rapidly until reaching
changes with age (Lehman 1953; Lindauer 2003; a peak somewhere in the late 30s or early 40s.
Simonton 1988). At what age does productivity Thereafter, the output gradually declines until
normally begin? At what age does the output rate about half the rate at the career peak by the time
usually attain a peak? And at what age does pro- the creator enters his or her 70s. This general
ductivity commonly end? What factors might description of the longitudinal changes has sev-
affect the answers to these questions? These ques- eral complications, however (Simonton 1997).
tions have more than scientific interest, for they These are six in number:
have potential practical implications besides.
Some countries still impose compulsory retire- • First, the specific shape of the age curve
ment of university scholars under the assumption depends on the domain of creativity. In some
that after an arbitrary age those scholars can no domains, like poetry and mathematics, the
longer be expected to maintain their creative pro- ascent is more rapid, so that the peak arrives
ductivity (Stroebe 2010). earlier, and the descent may be accordingly
To address these questions, researchers usually more rapid. In other domains, like novels and
adopt the same procedure (Simonton 1988). The the earth sciences, the rise is more gradual, the
investigation begins by collecting a sample of peak later, and the decline less conspicuous.
productive individuals in a particular domain of Indeed, in domains like history and philoso-
creative achievement. Sometimes these samples phy, it may not be possible to speak of a gen-
are confined to creative elites, such as Nobel lau- uine post-peak decline. Output just reaches a
reates. Other times the sample is more inclusive, plateau and then stays there well into the 70s.
such as a random sample of all Ph.D. recipients in • Second, the longitudinal trajectory of creative
a specific domain. The next step is to compile for productivity appears to be a function of career
each creator in the sample a list of their contribu- age, not chronological age. That is, the crucial
tions: patents, publications, poems, compositions, factor is when a creative person began his or
designs, and so forth, depending on the domain. her career. If someone starts later than normal,
Then for each creator these contributions are tal- he or she will exhibit a correspondingly later
lied into time series consisting of 1-year, 5-year, or peak. The latter situation often applies to those
10-year periods. Finally, the resulting data are who have started second creative careers. In a
subjected to a statistical analysis. Although the sense, the career switch resets the chronologi-
analyses can become rather intricate, the core cal clock.
idea is to fit a curve that specifies how output • Third, it is essential to distinguish between
changes over time. Inquiries using this basic quantity and quality of creative output. Quan-
methodology have produced a considerable num- tity represents everything a creator might pro-
ber of empirical findings as well as theoretical duce, whereas quality represents that small
interpretations. It is to these that shall be treated proportion that represents truly creative work.
in turn. Of course, the latter is the subset of the former.
More significantly, the productivity curves
across time tend to be the same for both total
Empirical Findings works and just major works. As a consequence,
the “hit rate,” or the ratio of high-impact works
The first scientific investigation devoted to the to total output tends to fluctuate over the course
age-productivity relation was published in 1835, of the career without exhibiting any significant
making it one of the oldest research topics in the trends. If a trend does appear, however, the hit
Age and Creative Productivity 41
rate tends to increase with age, a larger propor- 2014). It not only takes longer to master the
tion of the total productivity generating crea- domain-specific knowledge and skills but also it
tive contributions (Kozbelt 2014). may require more time to create and develop new A
• Fourth, of a creator’s high-impact contribu- ideas.
tions, three can be identified as career land-
marks: the first major contribution, the best
single contribution, and the last major contri- Theoretical Interpretations
bution. The first landmark usually appears
when the creator is around 30 years old, the Although researchers have reached a consensus
second around 40, and the third around 50, on the central empirical results, there is far more
albeit the specific placement will depend on disagreement regarding how these results would
the domain. In particular, those domains be explained. Of the numerous accounts, probably
where productivity attains an early peak will the following six explanations stand out
often have the middle career landmark; the best (Simonton 2012).
contribution appear earlier as well. Thus, the First, physical health can decline appreciably
best poem or mathematical theorem will in the final years, a decline that can cause a
appear at a younger age than the best novel or decrease in creative productivity. What this expla-
geological monograph. nation would suggest is that any age decrement
• Fifth, the foregoing statements about career toward the end of the career should have dimin-
landmarks are contingent on individual differ- ished in recent times. Not only have life expec-
ences in total lifetime output. The more prolific tancies increased but also creators can maintain
the creator, the earlier the first major work health later in old age. Although this first expla-
appears. Similarly, the more prolific the crea- nation no doubt has some grain of truth, it cannot
tor, the last major work appears. Yet the single explain the finer features of the phenomenon.
best work tends to appear at the same expected Certainly, it cannot account for why the produc-
age (for the domain) regardless of whether or tivity curves differ across creative domains.
not the creator is prolific. Greater physical vigor is required to travel on
• Sixth and last, all of the preceding statements geological excursions than to prove a mathemat-
represent statistical averages only. For exam- ics theorem.
ple, although the typical age curve is described Second, creative productivity may depend on
by a single-peaked function, some creators specific psychological variables that change over
may exhibit two or more peaks, or no peak at time. To illustrate, creativity is positively corre-
all. Likewise, although the single best work lated with openness to experience, divergent
tends to appear about midway between the thinking, and fluid intelligence. Scores on these
first major work and the last major work, three variables tend to decline with the age. For
exceptions can occur in certain rare cases. example, divergent thinking ability decreases
Hence, the creator’s best work might be either after age 40. One major drawback to this explana-
their very first major work or their very last tion is that it predicts that the age curve should be
major work. One source of exceptions is a a function of chronological rather than career age.
creator’s life span. If the person dies right Accordingly, someone whose creative career got a
after producing their best work to date, then late start would not be expected to attain a peak in
the best work will necessarily be the last work. the 50s or 60s.
Third, creative output over time may be a con-
It should be pointed out that some of these sequence of the process that sociologists call
findings may change over the course of history. “accumulative advantage” (Petersen et al. 2011).
As a case in point, as domains become more The basic idea is that the “rich get richer and the
developed, the peak of the productivity curve poor get poorer.” Those creators who are fortunate
may be shifted toward later ages (cf. Jones et al. to be rewarded early in their career – an early “first
42 Age and Creative Productivity
hit” – will receive more incentives and resources creative productivity. The main disadvantage of
than those creators who are not so lucky. Early this explanation is its complexity and abstrac-
success then leads to more successes and an tion, the whole theory being expressed as a math-
extended productive career, whereas the initial ematical model.
failures may eventually drop out of the competi- At present, no theoretical interpretation has
tion. According to accumulative advantage, all won universal acceptance. That lack of consensus
creators can be equal in ability and yet come out probably reflects the fact that the relation between
very unequal in achievement by the “luck of the age and creative productivity is an extremely
draw.” One objection to this explanation is that it complicated phenomenon that involves multiple
does not explain why the age-productivity relation causes. Perhaps all of the explanations operate
should differ across domains. Another objection is together, sometimes in opposition and other
that it does not provide an obvious explanation for times in collaboration.
the post-peak decline.
Fourth, economists tend to favor an interpre-
tation in terms of investment in “human capital.” Conclusion and Future Directions
Education and training in a particular domain
provides the basis for creative productivity, but Empirical research conducted over the years
this acquired expertise becomes “used up” as the since 1835 have produced a wealth of diverse
career progresses. Ideas become increasingly information about the relation between age and
obsolete or old fashioned, making it more diffi- creative productivity. Besides discovering the
cult to keep up with the “leading edge.” More- overall form of the longitudinal curve – the sin-
over, once the career begins, it becomes very gle-peaked function – researchers have learned
different to replenish that human capital. A how this curve is dependent on other factors.
mature creator cannot usually go back to school These factors include (a) individual differences
for a few years to retool his or her expertise. The in lifetime output and the age at career onset, (b)
decline then becomes inevitable. Unlike the pre- the domain of creative achievement, and (c) the
vious explanation, which cannot easily account distinction between quantity and quality of out-
for the post-peak decline, the human capital put. These factors enables researchers to differ-
explanation cannot readily explain the pre-peak entiate more finely various types of career
ascent. trajectory (e.g., McKay and Kaufman 2014).
Fifth, another theory argues that the age-pro- For example, some creators may be early bloo-
ductivity relation is a function of a two-stage mers who launch their careers at relatively young
combinatorial process by which creative ideas ages, and other creators may be late bloomers
are produced. The creator begins with a sample who only get their creative careers off the ground
of domain-specific ideas that generates idea- when they are far more mature.
tional combinations (Simonton 2010). This is Although the empirical findings are quite rich
the first stage. Then in the second stage, the and diversified, the theoretical interpretations are
resulting combinations are elaborated into fin- even more so. This means that there is a greater
ished products. The resulting mathematical need for the development of theory than the gen-
model then yields a single-peak function. In eration of more empirical results. If theoretical
addition, because the theory assumes that the models are developed that are more precise and
rates of ideation and elaboration are domain spe- comprehensive, they will then direct investigators
cific, it can account for domain differences in the to the most fruitful lines of inquiry. Especially
expected curves. The theory also allows for indi- valuable would be theories that provide the basis
vidual differences in the size of the ideational for critical tests that would enable researchers to
samples as well as the age at career onset. The weed out the possibilities. Those same theories
result is a complex model that can explain the might also provide better guidance about how to
principal features of the relation between age and apply the empirical findings. It is hoped that such
Agricultural Entrepreneurship 43
comprehensive and precise theories will emerge

sooner rather than later. Agency Dilemma
A
▶ Principal-Agent Model in Universities: Prob-
Cross-References lems and Solutions
▶ Creativity and Age

▶ Divergent Thinking
▶ Knowledge Capital and Small Businesses
Agglomeration Effect
▶ Scientific Creativity as Combinatorial Process
▶ Entrepreneurship in Creative Economy
References
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Why Agricultural Entrepreneurship?
Simonton DK. Creative productivity and aging: an age
decrement – or not? In: Whitbourne SK, Sliwinski M, Traditionally, agriculture is seen as a low-tech
editors. Handbook of developmental psychology: adult industry with limited dynamics dominated by
development and aging. New York: Wiley-Blackwell;
numerous small family firms which are mostly
2012. p. 477–96.
Stroebe W. The graying of academia: will it reduce scien- focused on doing things better rather than doing
tific productivity? Am Psychol. 2010;65:660–73. new things. Over the last decade, this situation has
changed dramatically due to economic liberaliza-
tion, a reduced protection of agricultural markets,
and a fast changing, more critical, society. Agri-
Age Zero Firm cultural companies increasingly have to adapt to
market changes (e.g., boycotts), changing con-
▶ Startup sumer habits (e.g., organic/local food), more strict
44 Agricultural Entrepreneurship
environmental regulations, food safety and prod- distinctive feature of entrepreneurship is the identi-
uct quality, biotechnology, big-data, value chain fication, evaluation, and pursuit of replace business
integration, sustainability, and so on. These by entrepreneurial opportunities (Shane and
changes have spurred new entrants, innovation, Venkataraman 2000). Entrepreneurial opportunities
and new cycles of entrepreneurship within differ from normal possibilities to optimize the
existing firms. It is recognized by politicians, prac- efficiency of existing products in the sense that
titioners, as well as scientists that farmers and the former involves new means-ends relationships
growers increasingly require entrepreneurship, (Shane and Venkataraman 2000). It means that the
besides sound management and craftsmanship, obtainment of a larger milk quota or the acquisition
to be sustainable in the future (McElwee 2008; of additional greenhouses which are already up and
Pyysiäinen et al. 2006). Recent studies show that running are not considered as true entrepreneurial
agricultural entrepreneurship is not only wishful opportunities. There are several arguments that can
thinking or a new hype: it has a profound impact be put forward why the opportunity definition as an
on business growth and survival (Lans et al. 2016; overarching definition is attractive for agricultural
Verhees et al. 2012). entrepreneurship.
1. It does not limit the study of agricultural entre-

What Is Agricultural Entrepreneurship? preneurship to specific situations such as new
venture creation (e.g., a large group of the
But what is exactly meant by agricultural entre- agricultural businesses are already in existence
preneurship? To start, there is no fixed definition for decades).
of entrepreneurship; a wide diversity of defini- 2. Learning and development are the heart of
tions can be found. In daily language, the term entrepreneurship: The fact that some farmers
“entrepreneur” is often interchangeably used with exploit entrepreneurial opportunities and
business owner, starter, someone who is self- others do not is not due to lack of certain
employed, sole-trader, or farmer, thereby confus- personality traits but due to (the lack) of spe-
ing status (a position in society) with role cific competence, experience, and network.
(behavior in a particular position) McClelland 3. It recognizes the importance of the broader
(1967). Agricultural literature is in this perspec- working environment the entrepreneur
tive not helpful since it provides a multitude of engages in. Interpretation, understanding, add
operational definitions of the agricultural entre- the term evaluation here and creativity, core
preneur. Definitions about entrepreneurship are processes in opportunity development process,
fueled by disciplinary inheritance, for instance, all do not happen in isolation, but are
building further on the classic economist influenced by, for instance, the farmer’s wife,
Schumpeter (1934), or departing from the per- employees, competitors, network, and chain
sonal psychologist McClelland (1967). partners or extension services.
Many attempts have been made to establish
some clarity in this semantic confusion in order In sum, a focus on the identification and pursuit
to provide the field of entrepreneurship its of opportunities as the core of agricultural entre-
own distinct signature. Definitions of entrepre- preneurship emphasizes the creative, alert, proac-
neurship have moved from a focus on in- tive, and networking aspects of entrepreneurial
dividual traits (e.g., local of control, need for activity (DeTienne and Chandler 2004). It enables
achievement), toward entrepreneurial behavior researchers to shift from the question “who is the
(e.g., entrepreneurial orientation), cognitions entrepreneur?” to the question “what does the
(e.g., decision making), and social capital (e.g., entrepreneur do?” (Gartner 1989), thus helping
networks). Over the last decade, there has to avoid the conceptual swamp of defining the
been a growing consensus that a fundamental, “true” entrepreneur.
Open-Ended Issues The Family Firm Agriculture is dominated by

small family farms (Gasson et al. 1988). The family
Is Agricultural Entrepreneurship Different farming culture and associated logic influences A
from “Normal” Entrepreneurship? agricultural entrepreneurship. Unlike general entre-
A classic question posed in debates about agricul- preneurs, farming families are less driven by ideas
tural entrepreneurship is whether agricultural of growth and profit maximization. Higher priority
entrepreneurship is different from entrepreneur- is given to survival, preserving family heritage,
ship in nonagricultural firms. The answer is yes autonomy, rural lifestyle, and passing through a
and no, depending on the type of research ques- healthy farm on to the next generation (Jervell
tion and research paradigm employed (Pindado 2011). Moreover, family farms are passed on
and Sánchez 2017). Certain elements of entrepre- through from father to son. This selection process
neurship seem to be relatively universal, context creates communities lacking heterogeneity with a
independent (Rauch et al. 2009) (e.g., the impor- strong tension toward conformity. The presence of
tance of opportunities, pro-activeness, risk taking, other generations in the farm, in combination with
and entrepreneurial self-efficacy), other elements a conservative mentality, does not particularly
are more dependent on the type and context of stimulate change and innovative thinking (Jervell
entrepreneurship (Lans et al. 2008) (e.g., entrepre- 2011). However, there are also examples of family
neurial learning). For studying agricultural entre- farms where an entrepreneurial way of thinking has
preneurship, the following characteristics have to been nurtured over the years, the existence of an
be taken into consideration: “entrepreneurial legacy,” defined as the sum of the
families past entrepreneurial behavior which
The Agricultural Sector Historically, the agri- shapes current views and motives of entrepreneur-
cultural working setting did not necessarily ship in the family firm (Jaskiewicz et al. 2015). See
educe entrepreneurial behavior. Over the last for a recent review on family-farming the work of
50 years, in many western countries, agriculture Suess-Reyes and Fuetsch (2016).
became a highly specialized domain focused on
efficiency and productivity (Van der Ploeg et al. Gender Farm women play an important role in
2002). For instance, in Europe, postwar agricul- agricultural entrepreneurship. Farm women are, in
tural modernization was very successful for its many cases, the ones who initiate and develop
original aims, to provide food security. However, new on-farm business activities (Bock 2004).
this system did not stimulate diversification and The initial entrepreneurial behaviors of farm
innovative entrepreneurship. Farmers were women are characterized by “fitting in and multi-
trained to be craftsmen, producing food and fibers. tasking.” Typically, farm women start by fitting
The development of an entrepreneurial identity, their new activities into the existing farm and
skills, and behavior are, consequently, not self- combine entrepreneurship with existing farm and
evident (Vesala et al. 2007). family duties (Bock 2004). However, farm
women change their strategy over time and
The Direct Farm Environment Farms are develop themselves as more expert entrepreneurs:
strongly regionally embedded: A convenient geo- investing in further development, taking risks and
graphical location is therefore an important factor identifying, and presenting themselves as entre-
for entrepreneurial opportunities. The opportuni- preneurs (Seuneke and Bock 2015).
ties to develop new activities are much bigger
when the family farm is located in an attractive
region with other businesses, close to urbanized Conclusion and Future Directions
areas (providing a market), with good infrastruc-
ture and a well-developed supporting network As the sections above show, agricultural entrepre-
(Wilson 2008). neurship shares many characteristics of “generic”
entrepreneurship, but also has its distinct features in a specific farming context. Drivers and conse-
due to the specific context of the agricultural sec- quences may include performance, goals, atti-
tor. A substantial body of literature on agricultural tudes, competencies, identities, but also specific
entrepreneurship has emerged, discussing several social capital and networks. Research among
aspects of agricultural entrepreneurship. How- farms and horticultural growers have indeed con-
ever, several avenues for research remain. firmed the positive relationship between EO and
Below, we will discuss three areas for future performance (e.g., Verhees et al. 2012), although
research in agricultural entrepreneurship. more specific research about underlying mecha-
nisms in different contexts is clearly needed (Lans
Entrepreneurial Behavior Departing from the et al. 2016).
perspective that farmers can take up different
roles in their work, some researchers have empha- Entrepreneurial Experience Another interest-
sized differences between farmers as purely ing research venue for agricultural entrepreneur-
craftsmen (highlighting technical competence) ship comes from expertise research, showing that
and more entrepreneurial farmers (emphasizes expert entrepreneurs differ from novices in terms
activities such scanning the environment, identi- of prior-expertise and the way they think and
fying opportunities). Although the scientific basis make decisions (Mitchell et al. 2002). Entrepre-
for typology research in entrepreneurship is con- neurs can be classified as nascent (thinking about
troversial (Woo et al. 1991), typologies help to it), novice (first time out), and expert (several
group and at the same time show the diversity in business, portfolio or serial) entrepreneurs. Con-
entrepreneurship. Moreover, typologies or config- sidering the first, largest, group, nascent, there is a
urations also have a strong basis in agricultural clear need for studies on the role of agricultural
research, for instance, in the concept of farming education as an enabler of developing non-
styles (Van der Ploeg 1994). In studying the ques- traditional, entrepreneurial intentions, competen-
tion of more or less entrepreneurial, entrepreneur- cies, identities, and entrepreneurial experiences
ial orientation (EO) (Lumpkin and Dess 2001) is a among young future farmers. Many agricultural
helpful, well-established construct, originally universities worldwide need to introduce the com-
from general entrepreneurship research (Miller ing decade pedagogies and curricula that lay the
1983) but increasingly used in agricultural entre- foundation for entrepreneurial thinking in agricul-
preneurship research. EO can be defined as a ture (Hulsink et al. 2014). A salient challenge
farmer’s “willingness to innovate to rejuvenate considering that important intellectual pillars of
market offerings, take risks to try out new and entrepreneurship education have their roots in
uncertain products, services and markets, and be agricultural extension (see also next research
more proactive than competitors towards new point) more than a century ago (Katz 2007).
marketplace opportunities” (Wiklund and Well-designed studies on the characteristics and
Shepherd 2005). The original entrepreneurial ori- impact of such programs are necessary. Consider-
entation construct combines three key elements of ing the second, novices, there is an interesting
entrepreneurial behavior, namely, innovativeness, group of so-called new entrances in agriculture
risk taking, and pro-activeness, originally on the who have very different human and social capital
firm level (Miller 1983). The EO elements backgrounds than traditional family farmers
together allow firms to identify and exploit oppor- (Pindado and Sánchez 2017). Examples include
tunities for organizational renewal and creating care farms developed from outside the agricultural
more customer value. Acknowledging that there sector (Hassink et al. 2016) and urban farms
are indeed differences in entrepreneurial behavior developed from the perspective of social goals
of farmers, the entrepreneurial orientation angle is such as citizen participation or inclusion rather
interesting to further detect drivers and conse- than maximizing yield or product quality
quences of farmers’ entrepreneurial orientation (Dieleman 2016). With regard to portfolio
entrepreneurship, the third category, pioneering become inadequate. This realization, coupled with
research was done by Carter (1999) who, as one the privatization of applied agricultural research
of the first, framed the development of new activ- institutes and agricultural extension services, has A
ities (e.g., multifunctionality) by farmers as port- induced major changes in innovation and entrepre-
folio entrepreneurship. Portfolio entrepreneurs neurship support in agriculture. Farmers are now
use their existing firm as a fertile basis to develop served by a pluralistic system of advisors (both
new businesses and are, hence, considered specialized and independent advisors, and those
advantaged compared to their nascent and novice connected to agricultural input supply such as
counterparts, who first have to acquire their seeds and fertilizers) (Klerkx and Jansen 2010).
resources (Westhead et al. 2005). Access to good Since addressing the heterogeneous support
resources alone is, however, not a guarantee for demands of farmers includes a shift from a mere
success. It all depends on the farmers’ entrepre- production-technical focus toward providing ser-
neurial abilities to access, see the potential of, and vices aimed at improving more generic business,
use the resources available (Alsos et al. 2011). The management, and entrepreneurial skills (Phillipson
angle of portfolio entrepreneurship has already et al. 2004), farmers need to access different kinds
proved to be an interesting venue for agricultural of advisors. In some cases, the formation of ade-
entrepreneurship (Seuneke et al. 2013). Nonethe- quate advisory networks which provide a comple-
less, more insight into antecedents, consequences, mentary set of both technical advice and advice in
as well as enablers of this specific, but important, support of entrepreneurship (management, strat-
type of agricultural entrepreneurship is needed. egy, finance) happens autonomously (Klerkx and
Proctor 2013). However, often farmers have diffi-
Agricultural Entrepreneurship Support Studies culties in finding their way around in this pluralistic
on different (emergent) types of agricultural entre- advisory system and need to be supported by an
preneurship also put direct attention to the neces- agency who acts as a broker (Phillipson et al.
sary support structures. The developing field of 2004). To this end, in recent years, several dedi-
dedicated agricultural entrepreneurship support is cated “innovation centers” or “business support
a third focus point for research. Traditionally, prob- centers” have emerged, which help farmers articu-
lem solving and innovation in the agricultural sec- late their entrepreneurial strategy and their entre-
tor was supported by so-called extension services, preneurship and innovation support needs, search
which were often funded and provided by the state suitable support providers and match these with
in line with food security and agricultural modern- farmers, and, if needed, facilitate their further col-
ization policies. These extension services often had laboration (Klerkx and Leeuwis 2009a). Further-
a supply-push orientation and worked within a more, initiatives have sprouted which stimulate
linear paradigm of innovation (innovations devel- informal networking among farmers, to share expe-
oped by agricultural research were uniformly dis- riences and learn on topics of joint interest. Some of
seminated to farmers by extension services), and these initiatives explicitly aim to stimulate entrepre-
the one-size-fits-all modernization agenda neurial learning by challenging farmers to pay more
neglected the heterogeneity of farming styles and attention to other topics than craftsmanship in crop
entrepreneurial styles of farmers (Van der Ploeg and animal management, offering, for example,
1994). Because of this changing structure of agri- master classes by successful entrepreneurs from
cultural markets and the agricultural sector (earlier nonagricultural sectors (Klerkx and Leeuwis
mentioned phenomena like multifunctionality, 2009b). Whereas many of these initiatives have
integration in production chains driven by con- sprouted in developed countries, also in developing
sumer demands, societal demands such as food countries, there is an increasing focus on what has
safety, animal welfare, and ecological sustainabil- been called “agripreneurship” and correspondingly
ity (Seuneke et al. 2013)), a one-size-fits-all model there has been an increase in focus on how support
of innovation and entrepreneurship support has structures can address this topic (Poulton et al. 2010;
Kilelu et al. 2017). As many of these initiatives are editors. The handbook of research on entrepreneurship
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Woo CY, Cooper AC, Dunkelberg WC. The development
and interpretation of entrepreneurial typologies. J Bus Dirk Ifenthaler
Venturing. 1991;6(2):93–114. Learning, Design and Technology, University of
Mannheim, Mannheim, Germany
Agricultural Innovation Synonyms
▶ Agricultural Entrepreneurship Online role-playing game; Serious game

50 Alternate Reality Games as Inventions
Key Concepts and Definition of Terms well (Ifenthaler et al. 2012; Ritterfeld et al.
2009). As to a specific definition of serious
Games are a universal part of human experience games, they generally can be characterized as
and are present in all cultures. Characteristics digital games with a curricular focus and are not
of a game include goals, rules, competition, and used just for entertainment purposes (de Freitas
interaction (Huizinga 1955; Ifenthaler et al. and Liarokapis 2011; Ritterfeld et al. 2009). The
2012). Serious games are entertaining and appeal and effectiveness of serious games reside
interactive learning environments including a in the power of the games to provide an escape
purposeful curricular focus (Ritterfeld et al. from the tedium of reality, as well as to feel
2009). Alternate reality games, or ARGs, rep- immersed in an activity and the world created
resent an innovative game genre that requires around it. Most importantly, a delicate balance
use of the Internet yet imports other media and must be struck to ensure that learning objectives
methods of communication to facilitate play are met without sacrificing the entertainment of
(Szulborski 2005). the game (de Freitas and Liarokapis 2011;
Ifenthaler et al. 2012).
Alternate reality games (ARGs) are interactive
Theoretical Background narratives that take place in real time and evolve
according to the learners’ responses (Klopfer and
Serious games have emerged as “a new form for Squire 2008). ARGs are best described by the
education and training” (de Freitas and Liarokapis “TINAG philosophy,” which stands for “T his I
2011, p. 9). In fact, the innovations of serious s N ot A G ame” (Szulborski 2005, p. 1). The
games have such great consequence that they innovation of an ARG is the lack of predefined
envision them to be capable of providing “a par- rules for game play, game space, and game mate-
adigm shift in how education and training are rials, in addition to the absence of specific
delivered in the twenty-first century” (de Freitas win/loss scenarios. This fact separates ARGs
and Liarokapis 2011, p. 9). Given the omnipres- from the constraints of serious games, thereby
ence of gaming in culture and society, and the facilitating implementation of the TINAG philos-
recent advances in technological capabilities, it ophy (see Fig. 1). The illusion, therefore, is of
is not surprising that gaming for learning and participating in reality, and not in fiction. Thus, it
instruction could hold such possible value as is important to note that ARGs are vastly different
Alternate Reality Games

as Inventions,
Fig. 1 Classification of
alternate reality games
Unstructured
Structured play
play
Recreational
Games
Assessment
Games Serious Alternate
Games
Reality
Game
Alternate Reality Games as Inventions 51
from simulations (Szulborski 2005). However, instructional benefits of the innovations pro-
ARGs are about participating in “alternate reali- vided by ARGs.
ties.” Accordingly, well-designed ARGs will A
allow users to feel as though their game participa-
tion flows out of real life, and is as natural as other Conclusion and Future Directions
features of daily living, especially within the con-
text of information and communication technol- Digital game-based technologies are nudging the
ogy (ICT). This is due in large part to the types of field to redefine what is meant by learning and
components utilized in ARGs. instruction. Proponents of game-based learning
Media such as websites, e-mail messages, argue that we should prepare the students to
videos, Internet blogs, phone calls, learning man- meet the demands of the twenty-first century by
agement systems, and even real-world interac- teaching them to be innovative, creative, and
tions can all be used to enable play in ARGs adaptable so that they can deal with the demands
(Szulborski 2005). More importantly, such of learning in domains that are complex and ill
media are likely to be used in players’ everyday structured (Gee 2003; Ifenthaler et al. 2012). On
lives. the other hand, opponents of games argue that
Some ARGs have served a marketing function; games are just another technological fad, which
others have educational objectives or focus on emphasize superficial learning. In addition, oppo-
social as well as economic issues (McGonigal nents argue that games cause increased violence,
2011). An innovation of ARGs is the story aggression, inactivity, and obesity while decreas-
which is revealed in pieces after a specific probing prosocial behaviors (Ifenthaler et al. 2012).
lem has been solved by the player (Szulborski As the border between game, play, learning,
2005). Finding out the ultimate goal of the ARG and instruction is getting blurry, we are once again
is an important feature which facilitates the faced with paradigm shifts in epistemology, learn-
immersion into the ARG, i.e., the feeling of ing theory, and instructional theory. However,
being deeply engaged where players enter a before we get excited and claim that alternate
make-believe world as if it is real. reality games will change education, we need to
Another innovation of ARGs is rabbit holes empirically study what it means for learning and
which function as the beginning of the game. instruction. A mature theory of game-based learn-
Rabbit holes represent an opening to another ing should take into account the underlying prin-
world (the alternate reality world). They are ciples by which they work as learning
realistic and intriguing and motivate the player environments. Despite the arguments for the
to proceed further into the alternate reality potential of digital game-based learning, the
world. The rabbit hole, e.g., an encrypted mes- empirical evidence for their effectiveness is scant
sage in an e-mail advertisement, leads to a (Eseryel et al. 2011).
series of websites including further informa- Important research questions arise from ana-
tion, e.g., about the characters involved in the lytics approaches for digital game-based technol-
ARG. The innovative learning objective of ogies. However, the collection of gameplay data
the ARG is the change of real-world behavior for game-based analytics necessitates careful
of the players. Yet, empirical research regard- planning due to the simultaneous transmission of
ing the effectiveness of ARG for learning and gaming (graphical) data, along with the gameplay
instruction is rare. An implementation of an data (Loh et al. 2015). Also related to analytics
experimental ARG curriculum showed signifi- is the issue of (performance) metrics. They can
cant gains on player’s achievement when com- be found across many different industries, cover-
pared to computer-based instruction (Warren ing the same grounds in learning, gaming and
et al. 2012). Still, further research is required business analytics, e.g., socio-demographics,
in order to provide empirical evidence for the time on task, number of mistakes, number of
52 Ambidexterity
self-corrections, time of access, or amount of Ritterfeld U, Cody MJ, Vorderer P, editors. Serious games:
learning (Loh et al. 2015). mechanisms and effects. New York: Routledge; 2009.
Szulborski D. This is not a game: a guide to alternate reality
To sum up, the need to systematically study gaming. Raleigh: Lulu Press; 2005.
which instructional design strategies and assess- Warren S, Dondlinger MJ, McLeod J, Bigenho C. Opening
ments work in game-based learning environments the door: an evaluation of the efficacy of a problem-based
to take full advantage of what these emerging learning game. Comput Educ. 2012;58(1):397–412.
https://doi.org/10.1016/j.compedu.2011.08.012.
technologies can offer for education and training
is evident. Toward this goal, a scientific attitude
with regard to the design of alternate reality games
requires validated measures of learning outcomes
and the associated assessment methods in order to Ambidexterity
determine which design elements work best,
when, and why (Ifenthaler et al. 2012). Christian Garaus1, Wolfgang H. Güttel2,
Stefan Konlechner2, Hubert Lackner2 and
Barbara Müller2
1
Cross-References WU (Vienna University of Economics and
Business), Institute for Strategy, Technology and
▶ Innovation Organization, Vienna, Austria
2
Institute of Human Resource and Change
Management, Johannes Kepler University, Linz,
References Upper Austria, Austria
de Freitas SI, Liarokapis F. Serious games: a new paradigm

for education? In: Ma M, Oikonomou A, Jain LC, Synonyms
editors. Serious games and edutainment applications.
New York: Springer; 2011. p. 9–23.
Eseryel D, Ifenthaler D, Ge X. Alternative assessment
Balanced organizational learning; Exploration-
strategies for complex problem solving in game-based exploitation balance; Innovation-Efficiency
learning environments. In: Ifenthaler D, Kinshuk IP,
Sampson DG, Spector JM, editors. Multiple perspec- The question how organizations survive and pros-
tives on problem solving and learning in the digital age.
per within changing environments is a central
Gee JP. What video games have to teach us about learning topic in contemporary management theory and
and literacy. New York: Palgrave-Macmillan; 2003. practice. In order to gain and sustain competitive
Huizinga J. Homo Ludens: a study of the play-element in advantage, organizations need to reconcile two
culture. Boston: Beacon; 1955.
Ifenthaler D, Eseryel D, Ge X. Assessment for game-based
seemingly incompatible learning capabilities
learning. In: Ifenthaler D, Eseryel D, Ge X, editors. simultaneously: exploration (i.e., building new
Assessment in game-based learning. Foundations, competencies) and exploitation (i.e., using and
innovations, and perspectives. New York: Springer; refining existing ones) (March 1991). The ten-
2012. p. 3–10.
sions between exploration and exploitation
Klopfer E, Squire K. Environmental detectives – the devel-
opment of an augmented reality platform for environ- emerge from their competition for scarce
mental simulations. Educ Technol Res Dev. resources and their self-reinforcing nature
2008;56(2):203–28. https://doi.org/10.1007/s11423- (Gupta et al. 2006). Most firms tend to over-
007-9037-6.
Loh CS, Sheng Y, Ifenthaler D. Serious games analytics:
emphasize exploitation because payoffs of exploi-
theoretical framework. In: Loh CS, Sheng Y, tation are more predictable and closer in time.
Ifenthaler D, editors. Serious games analytics. Method- Although firms focusing solely on exploitation
ologies for performance measurement, assessment, and may reap the short-term benefits of exploitation,
improvement. New York: Springer; 2015. p. 3–29.
McGonigal J. Reality is broken: why games make us better
they suffer from the lack of new ideas in the long
and how they can change the world. New York: Pen- run (“competency trap”). Likewise, focusing on
guin; 2011. exploration to the exclusion of exploitation results
Ambidexterity 53
in high costs of experimentation without mindsets, and subcultures (Benner and Tushman
harvesting its benefits (“failure trap”) (Levinthal 2003). Thus, structurally ambidextrous organiza-
and March 1993). tions separate their innovative activities from A
existing core business in order to prevent “cross-
contamination” (O’Reilly and Tushman 2004).
Ambidexterity Basically Refers to a In contrast, contextual ambidexterity refers to a
Firm’s Ability to Pursue Exploration and firm’s ability to resolve the tension between
Exploitation Simultaneously exploration and exploitation within the same unit
by establishing an organizational context that
Current definitions consider ambidexterity as the allows employees to switch between exploration
ability of an organization to both explore and and exploitation according to their own judgments
exploit (O’Reilly and Tushman 2013; Tushman (Gibson and Birkinshaw 2004). Such contextually
and O’Reilly 1996). Firms can command ambidextrous organizations need to establish a
resources (e.g., time, management attention, common frame of reference that enables individ-
human, and financial resources) to one of the uals to perform exploratory as well as exploitative
learning capabilities to either facilitate exploration activities (Güttel and Konlechner 2009).
or exploitation. In contrast to monodexterity (i.e., To create (structural or contextual) ambidex-
pursuing one learning capability to the exclusion terity, organizations do not only need to balance
of the other) and sequential approaches (i.e., punc- exploration and exploitation but also to link the
tuated equilibrium), ambidexterity is based on a two learning capabilities (Garaus et al. 2016).
continuous pursuit of both learning capabilities. Linking exploration and exploitation through
Current research on the performance implications knowledge flows allows for stimulating new
of ambidexterity shows that ambidexterity is pos- ideas (O’Reilly and Tushman 2011). Thus, ambi-
itively related to such diverse performance mea- dextrous firms seek cross-fertilization without
sures as survival, innovation, or sales growth. cross-contamination. Existing literature empha-
Moreover, scholars have investigated ambidexter- sizes the role of the top-management team and
ity in various fields with a remarkable variety of cross-functional teams to establish this links. In
involved theoretical approaches such as organiza- this vein, Tushman and O’Reilly (1996) stress the
tional learning, strategic management, innovation importance of a common vision and a corporate
management, marketing, organizational design, culture with broadly shared norms and values to
human resource management, knowledge man- maintain ambidexterity. Güttel et al. (2012)
agement, or even neuroscience (cf., e.g., Raisch emphasize the role of rules for maintaining explo-
and Birkinshaw (2008); Simsek et al. (2009); ration and exploitation concurrently and for inte-
Turner et al. 2013 and O’Reilly and Tushman grating both learning streams.
2013 for an overview). Existing ambidexterity research focuses on
Previous research suggests that there are two very diverse levels of analysis (e.g., network,
different ways of achieving ambidexterity: struc- organizational, subunit, group), leading to a
tural separation and contextual integration of the fragmented body of knowledge. By synthesizing
learning capabilities. Although structural arrange- prevailing “snapshots” from the ambidexterity
ments and organizational context always comple- literature, the following dynamic model of
ment each other in establishing organizational ambidexterity integrates diverse and sometimes
ambidexterity (Güttel et al. 2015), structural even contradictory findings by adopting a process
ambidexterity and contextual ambidexterity perspective along the pathway of organizational
represent two archetypical ways of combining development. The next section highlights (a) how
exploration and exploitation on the organizational ambidextrous organizations balance exploration
level. Structural ambidexterity builds on the and exploitation at different phases of develop-
assumption that exploration and exploitation ment or growth over time, (b) how they manage
require fundamentally different processes, the transition from one phase to another (strategic
54 Ambidexterity
decision points), and (c) how the top-management become ambidextrous through keeping their
teams role changes according to different devel- entrepreneurial spirit alongside the evolving core
opment phases (from “doing exploration and business. Within a simple organizational struc-
exploitation” to “balancing and linking explora- ture, firms can combine their exploratory mindset
tion and exploitation” and “orchestrating various with a focus on exploiting the current competen-
learning units”). cies. Employees contribute to exploration and
exploitation by judging whether to pursue explor-
atory or exploitative activities. Therefore, the
Ambidexterity Along the Pathway of organization needs to mitigate the decision how
Organizational Development to balance exploration and exploitation to the
individual level. Spatial proximity of the
Building upon a dynamic states perspective (i.e., a employees facilitates knowledge sharing, mutual
configuration of structures and processes to match learning, and thus the interaction of exploration
the organization with the external environment), and exploitation.
Levie and Lichtenstein (2010) allow capturing the Within contextually ambidextrous firms, the
evolutionary development of organizations and top-management teams’ (or founder’s) role is to
their learning capabilities. Although the definite create a context allowing the combination of
number of states for any organization cannot be exploration and exploitation and to establish guid-
predicted a priori, the model proposes that all ing principles that prevent individuals from
states can be categorized in three basic architec- drifting to only exploration or exploitation (e.g.,
tures of ambidexterity, indicating an abstract rep- via shared vision, target agreements). Particularly
resentation of common structural configurations in such small firms, the top management
and processes in the existing ambidexterity litera- (or founder) can communicate the integration of
ture (see Fig. 1): (1) contextual ambidexterity, exploration and exploitation by serving as a role
(2) structural ambidexterity, and (3) hybrid model (“doing exploration and exploitation”) (see
forms of ambidexterity where both previous “▶ Entrepreneurial Capability and Leadership”).
forms of ambidexterity coexist within one firm.
Critical Decision Point: Threat of Chaos
Architecture I: Contextual Ambidexterity Organizational growth makes it difficult to main-
Contextual ambidexterity allows for the manage- tain the simple organizational design (see
ment of exploration and exploitation within the “▶ Small Businesses and Sustainable Develop-
same organizational unit. Thus, for small firms ment”). Contextually ambidextrous firms may
that are just too small to structurally divide their deliberately choose to stay small enough to sus-
learning capabilities, contextual ambidexterity is tain the benefits of contextual ambidexterity such
the most appropriate choice (e.g., small architect as flexibility and market proximity. However, if
offices or consulting firms). In contrast to large they decide to grow, the increasing complexity
firms that need to break up organizational inertia requires new forms of organizing, such as groups
through new exploratory activities, small firms specializing on exploration or exploitation. As a
Ambidexterity, Hybrid Ambidexterity

Fig. 1 Basic ambidextrous
architectures
Structural Ambidexterity
Contextual Ambidexterity
Ambidexterity 55
result of this development, the firm needs to adapt to grow – has to renew its competencies and
a different architecture to support its learning pro- regain its entrepreneurial spirit, without losing
cesses: structural ambidexterity. the advantages of functional specialization. By A
blending structurally separated units with newly
Architecture II: Structural Ambidexterity established contextually ambidextrous units,
Structural ambidexterity refers to the creation of organizations can combine the advantages of
separate units, which generate their own subcul- both previous architectures.
ture and routines in order to ensure high special-
ization (i.e., to facilitate (mass-)production on the Architecture III: Hybrid Forms of
one hand and to support radical innovations on the Ambidexterity
other) (see ▶ “Joseph A. Schumpeter and Innova- Organizations employ hybrid ambidexterity by
tion”). Pharmaceutical companies may serve as combining structurally separated explorative,
examples of structurally ambidextrous firms with exploitative, and contextually ambidextrous
separated business units to research on radically units. Setting up new contextually ambidextrous
new products for serving future markets and to units serves as means to regain entrepreneurial
efficiently supply the current market with devel- spirit in large companies. Under such circum-
oped products. stances, the role of top-management teams changes
The structural separation of exploration and from managing the interface of exploration and
exploitation leads to two key challenges for the exploitation to orchestrating diverse units with dif-
organization. First, in contrast to contextual ferent tasks. Furthermore, top-management teams
ambidexterity, the top-management team needs can nourish continuous exploration at high level by
to balance exploration and exploitation by allo- creating or acquiring specialized explorative units
cating resources to exploratory and exploitative or by intensifying the search for new knowledge in
activities. Second, while knowledge flows in a strategic alliances and networks (see ▶ “Clusters,
way automatically in contextual ambidextrous Networks, and Entrepreneurship”).
organizations, organizations need to manage
knowledge flows more strategically in structur-
ally ambidextrous architectures. To combine Critical Decision Point: Threat of Disintegration
both learning capabilities, scholars emphasize Particularly complex ambidextrous firms need to
the integrative function of the top-management constantly communicate their shared vision and
team and the necessity of an overarching vision foster the corporate culture, as growing decentral-
and a corporate culture. Moreover, top- ization and differentiation leads to an increasing
management teams can foster knowledge flows call for autonomy from the business units.
between functionally separated units by As a response, many firms create separated and
implementing knowledge-management projects independent strategic business units operating in
or cross-functional teams. different areas/industries, often losing the advan-
tage of cross-fertilization of exploration and
Critical Decision Point: Threat of Inertia exploitation.
Further increasing firm size results in rigid hierar-
chies and slow decision-making processes, lead-
ing to a loss of flexibility. The structures and Conclusion and Future Directions
formalized systems, which were developed to
handle the increasing complexity, ultimately lead Increasing environmental uncertainty, speeding
to structural inertia. Additionally, the organiza- product life cycles, and growing worldwide com-
tion’s success in the short term is reflected in the petition raise the importance of persistently build-
shared expectations of the way “how we do things ing new capabilities while using and refining
around here,” leading to cultural inertia. Under existing ones. Ambidexterity refers to the organi-
such circumstances, an organization – still eager zational capability to simultaneously pursue the
56 Analogies and Analogical Reasoning in Invention
conflicting learning capabilities of exploration Güttel WH, Konlechner S, Trede JK. Standardized
and exploitation. Organizations can adopt three individuality versus individualized standardiza-
tion: the role of the context in structurally ambi-
basic architectures of ambidexterity: contextual, dextrous organizations. Rev Manag Sci. 2015;
structural, and hybrid forms of ambidexterity. 9(2):261–84.
While contextual ambidexterity is most appropri- Levie J, Lichtenstein BB. A terminal assessment of
ate for small firms and structural ambidexterity for stages theory: introducing a dynamic states approach
to entrepreneurship. Entrepreneurship Theory Pract.
more established companies, hybrid forms of 2010;34:217–350.
ambidexterity combine the advantages of both, Levinthal D, March J. The myopia of learning. Strateg
making it the most desirable option for large com- Manag J. 1993;14:95–112.
panies. Firms being able to balance and to link March JG. Exploration and exploitation in organizational
learning. Organ Sci. 1991;2:71–87.
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fertilization without cross-contamination) will not tion. Harv Bus Rev. 2004;82(4):74–81.
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outperform competitors in the long run. However, in action: how managers explore and exploit. Calif
Manag Rev. 2011;53(4):5–22.
more (qualitative) research is necessary to further O’Reilly CA, Tushman ML. Organizational ambidexterity:
develop the notion and the practice of ambidex- past, present, and future. The Acad Manage Perspect.
terity and to investigate the dynamics of ambidex- 2013;27(4):324–38.
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Cross-References aligning organizational ambidexterity’s conceptualiza-
tions, antecedents, and outcomes. J Manag Stud.
2009;46:864–94.
▶ Innovation and Ambidexterity Turner N, Swart J, Maylor H. Mechanisms for managing
▶ Mode 1, Mode 2, and Innovation ambidexterity: a review and research agenda. Int
▶ Organizational Capability J Manag Rev. 2013;15(3):317–32.
Tushman ML, O’Reilly CA. Ambidextrous organizations:
▶ Organizational Innovation managing evolutionary and revolutionary change. Calif
▶ Organizational Slack and Innovation Manag Rev. 1996;38:8–30.
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Synonyms
facts in their role as routine-re-creators. Schmalenbach
Bus Rev. 2012;64:187–203. Analogy; Creativity; Invention
Analogies and Analogical Reasoning in Invention 57
The Concepts “Analogy” and reasoner, to carefully examine the results, may it
“Invention” be for logical consistency or for empirical evi-
dence, before accepting them as part of the knowl- A
Analogy edge about the target domain.
An analogy is usually considered as a structural Analogies have been identified as a core
mapping between a source (base) and a target mechanism of human cognition. The recall of
domain. To establish an analogy, common sub- memories based on current impressions, the
structures of the two domains are identified and understanding of a new situation in terms of a
mapped to each other, resulting in an analogical familiar one, the creation of abstract concepts, or
relation. The establishment of an analogy is usu- the ability to learn from quite restricted sets of
ally governed by certain constraints, like examples is most likely based on analogy-
systematicity, structural consistency, or a one-to- making. Especially, analogical reasoning allows
one restriction on possible mappings, although for the introduction of new ideas into a domain
there is no general accepted set of such principles. and thereby provides an explanation of human
Analogy-making can also be regarded as the creativity.
establishment of a generalization, identifying an A wide variety of computational models for
abstract core that consists of the common struc- analogical thinking have been introduced, which
tures of both domains and ignores surface appear- differ in the way they represent knowledge; the
ance and domain peculiarities (cf. Fig. 1). analogy is based on and in the methods used to
Analogies are usually not judged right or wrong; establish the analogical relation and to realize the
rather, they can be more or less plausible, based on analogical transfer. On the symbolic side, the
the degree of structural coherence that they structure mapping theory (Gentner 1983) uses
exhibit, possibly depending on the context and graphs to represent the domains and computes
analogical conclusion they allow to draw. analogical relations by identifying maximal
Analogical reasoning uses an analogical rela- matching subgraphs. The logic-based heuristic-
tion to transfer structures, relational properties, or driven theory projection (Schmidt et al. 2014)
conceptions from the source to the target domain. represents domain theories by sets of axioms and
Parts of the source domain that have no correspon- generalizes matching subtheories. The copycat
dence on the target side are candidates for transfer model of Hofstadter’s fluid analogy group is
and can be fitted into the target by translating them based on the notion of conceptual slippage, and
based on the analogical mapping. Unlike other analogies are found by adjusting the representa-
inference mechanisms that basically make tion of source and target. The DUAL/AMBR
implicit knowledge about a domain explicit, ana- architecture (Kokinov and Petrov 2001) realizes
logical reasoning can import new conceptions into its memory as a network of micro-agents, in
the target domain. It is important to notice that an which analogies are found by a hybrid process of
analogical inference does not result in factual spreading activation and marker passing. There
knowledge, even when source and target domain are also models which are based on connectionist
consist of definite facts. It is the task of the and subsymbolic representations. Hummel and
Holyoak (2003) created a framework for Learning
and Inference with Schemas and Analogies
Generalization (G) (LISA) that is based on a neural network model
that uses temporally synchronized activation
between neurons to signify a mapping between
analogical source and target elements. Vector Symbolic
SOURCE (S) TARGET (T ) Architectures (VSAs) use high-dimensional vec-
relation
tors which can be accessed by simple mathemat-
Analogies and Analogical Reasoning in Invention, ical operations, to store, retrieve, or analogically
Fig. 1 Analogy via generalization reason about information.
serves as umbrella term subsuming several differ-

ent capacities – that is in different degrees
involved in any process of generating an inven-
tion, the concepts invention and innovation
describe properties of concrete products, services,
or ideas. From a more engineering- and business-
oriented perspective, an invention is usually con-
sidered as the manifestation of the creative mental
act, resulting in a new artifact (prototype), a new
Analogies and Analogical Reasoning in Invention, type of service, a new concept, or even the mental
Fig. 2 Analogy-based concept blending concretization of a conception. An innovation
requires standardly the acceptance of the inven-
tion by the market, where market is not exclu-
In the context of analogical reasoning in inven- sively restricted to business aspects. Therefore,
tion, concept blending – a combinatorial process there can be non-inventive innovations (e.g., a
joining familiar ideas in an unfamiliar way, by this product that has market success but is not
producing novel ideas – plays an important role. pioneering in any sense), non-innovative inven-
One version of concept blending, among others tions (e.g., a pioneering product that has no mar-
discussed by Besold et al. (2015), can be ket success), and also inventions that lead finally
described by the diagram in Fig. 2, where each to innovations (e.g., a pioneering product that has
node stands for a representation a creative agent market success) (Burki and Cavalluci 2011).
has of some concept or conceptual domain. The Inventions are also important milestones for
arrows stand for morphisms, that is, functions that progress in art, culture, and science. Inventions
preserve at least part of the internal structure of the in such fields are not necessarily coupled with
related conceptual spaces. The idea is that, given concrete products or services; rather, insights of
two conceptual spaces I1 and I2 as input, first an the artists or scientists cause the development of
analogy-based generalization G and then a blend new concepts and new ideas.
space B are constructed in such a way as to pre-
serve as many as possible structural alignments • Examples for scientific inventions are the dis-
between I1 and I2 established by the generaliza- covery of the complex plane in mathematics,
tion. This may involve taking the functions to B to enabling a geometric interpretation of algebra-
be partial, in that not all the structure from I1 and I2 ically defined complex numbers (Argand
might be mapped to B. Concept invention by 1813), Einstein’s theories of special and gen-
concept blending can then be thought of as the eral relativity, or Chomsky’s insight that natu-
following process: given two conceptual spaces I1 ral language can be described by a recursive
and I2, a joint generalization G is established mechanism (phrase structure grammar)
(covering the commonalities between I1 and I2), (Chomsky 1957). Although the term “discov-
and the blend B is constructed in a structure pre- ery” (instead of invention) is most often used in
serving way such that new – and ideally interest- the science context, it is not undisputed
ing – properties hold in B. whether scientific research discovers existing
entities (e.g., Platonic ideas) or just invents
Invention models that approximate and explain reality.
Creativity, innovation, and invention are three In this entry, the term “invention” is also used
abstract concepts that are strongly interrelated for the scientific domain.
and can be used for specifying the process of • Examples for artistic inventions are numerous.
how to generate new ideas, products, or solutions Not only the invention of new forms (types) of
to problems. Whereas creativity describes a gen- art, like, in the case of music, the form of a
eral cognitive capacity – or potentially even symphony starting in the seventeenth century
Correlation
Generic Problem Category / Operations Generic Solution Category /
Typical Problem
40 Principles of
Typical Solution A
Inventive Problem
Solving
Classification / Concretization /
Abstraction Specialization
Specific Solution /
Specific Problem
Creative Solution
Analogies and Analogical Reasoning in Invention, Fig. 3 The general TRIZ architecture of an inventive problem
solving process
or rock-and-roll music in the mid-twentieth this contradiction can be resolved by applying

century, but also many other types of inven- 40 principles of invention (mostly parameter set-
tions like the building of new instruments in tings in engineering problems) relative to an ideal
music, new techniques for painting, new system. The general architecture behind the solu-
methods to compose texts, etc., can be sub- tion process is depicted in Fig. 3.
sumed under invention. TRIZ explicitly lifts a given problem
(contradiction) to an abstract level, in order to
Creativity as the underlying cognitive ability to apply the principles of inventive problem solving.
produce inventions in science and art is, similar to The lifting process itself can be understood as an
the cases mentioned above, the necessary cogni- analogy-driven process, because similar problems
tive prerequisite for pioneering developments. need to be consulted to find the right generic
Nevertheless, the term “innovation,” although problem category (compare Fig. 1). In this sense,
obviously usable and important also in science TRIZ uses analogy-making in a nontrivial sense
and art, is only indirectly measurable contrary to for generating inventive solutions.
many business products and services. Also, computational methods for inventive
problem solving have been proposed. An example
is case-based reasoning (CBR) in artificial intelli-
The Role of Analogy in Invention gence. The idea of CBR is to build a new solution
for a given problem (domain) by using solutions
Invention in Engineering and Business of similar problems that are stored in a knowledge
Processes base. The algorithmic process is divided into four
An explicitly dedicated framework for a theory of steps: (1) retrieve and (2) reuse a similar solution
invention in the engineering and business domain stored in the knowledge base, (3) refine it to a new
is TRIZ, the Russian acronym for the Theory of solution, and finally (4) retain the new solution.
Inventive Problem Solving (“тeopия peшeния Although there are significant differences
изoбpeтaтeльcкиx зaдaч”). TRIZ was developed between the analogy concept specified above
in its original form by Genrich Altshuller (1984) and CBR (e.g., the highly constraint matching in
and is based on the idea that at the beginning of an CBR or the very rudimentary transfer process of
inventive problem solving process a technical or knowledge from source to target), both methods
physical contradiction arises. According to TRIZ, are related to each other, and CBR can be
interpreted as a strongly constrained form of and structures from biology and natural systems to
analogy-making. the engineering world. This transfer can be
described by an analogical projection of biologi-
Invention in Science and Mathematics cal structures to an engineering problem space.
Throughout history, analogies have been reported On the other hand, an improper analogy can
as a driving force for invention and scientific also hobble the development of an invention.
discovery. Holyoak and Thagard (1995) mention Schoen (1963) describes a developer team work-
that already in ancient times, the Roman engineer ing on synthetic fiber paintbrushes. The concep-
Vitruvius observed similarities between water tualization of painting as a smearing process and
waves and sound. Later in the seventeenth cen- the comparison to natural-bristle brushes based on
tury, an analogy between sound and light was this idea did not lead to satisfactory results.
established, giving rise to the wave theory of Finally, the comparison to a pumping process
light. Also, Rutherford’s atom model, based on and the analogous reconceptualization of the
an analogy to the solar system, although physi- problem paved the way to a solution. In general,
cally disproven, is still used in education, because the choice of an appropriate source domain can be
it is easy to conceptualize and appropriate for a considered a key issue of establishing a successful
first conception of a new domain. analogy and so an invention often is the end of a
Similarly, Georg Polya (1954) emphasizes the long series of different analogical interpretations
central role of analogies in the development of of a situation.
mathematical concepts and proofs. Based on lin-
guistic evidence, Lakoff and Núñez (2000) Invention in art
describe the development of mathematical ideas Invention has been defined as the manifestation of
as a long series of analogies (“conceptual meta- the creative mental act, resulting among others in
phors” in the terminology of the authors), starting a new artifact, concept, or the mental concretiza-
with grounding metaphors which relate basic tion of a conception. Each artistic act is closely
arithmetic operations to physical actions in the related to an inventive process: The artist rein-
world. From these basic notions, further linking vents a perception or emotion in terms of his
metaphors give rise to ever more abstract concepts respective chosen means of artistic expression.
like infinity, transfinite numbers, and the contin- The degree to which the inventive component of
uum via generalization and blending. In a case the artistic act becomes obvious can vary signifi-
study, Martinez et al. (2012) describe Argand’s cantly, featuring more prominently in a cubistic
invention of complex numbers interpreted as vec- portrait than in a landscape painting from Classi-
tors in the complex plane as a network of analog- cal Realism, and becoming easier perceivable in a
ical mappings and conceptual blend spaces Dadaistic poem than in a naturalistic play. None-
between arithmetic and geometric ideas. As for theless, in all cases, a unique creative mental act
the business processes and engineering problems, finds its manifestation in an external means of
Argand started with a contradiction: There was no representation, giving rise to a new piece of art,
possibility to give complex numbers an appropri- and thus fulfilling the defining criteria of
ate interpretation on the (real) number line. invention.
In engineering, new technical devices have Invention in art does not only play a role on the
often been introduced based on analogies to bio- microscopic scale of the individual artist, but is
logical and physical systems. Bell designed his also crucial on a more macroscopic level: The
telephone based on an analogy with the human beginning of new styles and epochs in arts always
ear. The Wright brothers got inspiration from coincides with major inventions and inventive
soaring birds when they developed aircraft and acts, sometimes triggered by developments out-
de Mestral invented the Velcro fastener by imitat- side of arts, occasionally arising from within arts
ing burdock burrs. The whole discipline of bionics itself. Newly available techniques and materials
is concerned with the creative transfer of methods allow for previously unknown means and ways of
manifesting art, and new theoretical paradigms, often references to scenes from Classical antiq-
ways of thinking, and ideologies provide the basis uity are made, providing contextual informa-
for new developments in arts. Examples are tion via the spectator’s knowledge about these A
numerous: the invention of the tracery marks at themes and legends.
the start of the Gothic age, the (re)invention of the
one-point perspective in the Renaissance Nonetheless, also on the macroscopic level,
(presumably by F. Brunelleschi) and the begin- mostly at turning points of the development
ning of modern painting, the invention of the within a certain branch of arts, analogical mecha-
modern piano by B. Cristofori resulting in new nisms may be at work. A prominent example is the
ways and forms of musical composition or the beginning of Cubism: In its initial phase,
invention of digital media and the advent of the P. Gauguin, H. Matisse, and P. Picasso drew inspi-
Internet and the World Wide Web allowing for ration from, among others, African, Micronesian,
online art and massively distributed, decentralized and Native American art by transferring perceived
art projects. Also, a considerable number of artists basic principles of these styles to a European arts
were at the same time active and recognized as context.
inventors, like R. B. Fuller, working as an author
and designer, also inventing the geodesic dome, or
C. Hoberman, architectural designer and inventor Implications for Theory and Practice
of folding toys and structures.
Concerning the role of analogy within the Computer-Aided Innovation
inventive process in arts, its impact seems more The development of software tools for the com-
frequent on the microscopic level of the individual putational support of design, e-learning,
artist. There, it mainly features in two ways, on a manufacturing processes, and the like is an
sublevel conveying meaning and contributing to industry in itself. A well-known example of
the overall impression from within the piece of art such support systems is computer-aided design
and on a supralevel working across several pieces (CAD) comprising a large number of different
of art, providing content via contextual and back- software systems. In comparison to such eco-
ground effects. nomically important and technically already
very advanced products, the research field of
• Within a piece of art, analogies may be used to computer-aided innovation (CAI) is still in a
provide meaning via codified metaphors and rather premature state, currently being rather an
symbolic elements grounded in the artist’s academic discipline without reaching yet a sub-
and audience’s environment and perception, stantial economic impact. Nevertheless, the cou-
or via free associations. Prominent examples pling of recent advances in the research of
for this use of analogy are the numerous sym- analogy-making with insights from cognitive
bolic and iconographic elements in paintings science about the cognitive foundations of inno-
like, e.g., J. van Eyck’s “Arnolfini Marriage,” vation processes and the inspiration of classical
with cherries on a tree possibly symbolizing creativity models and frameworks for innovative
love, or a single lit candle alluding to the pres- problem solving is a very promising approach for
ence of the Holy Ghost via an analogy to a the future. Such a merger of methodologies has
sanctuary lamp. the potential not only to achieve theoretically
• On the supralevel, quotations and references new insights but also to find practical applica-
within a new piece of art referring to already tions that will guide engineers and managers in
well- and widely known earlier artworks are developing new products and services. Due to
often to be found (providing additional infor- the fact that research in analogy-making is
mation and meaning via an analogy-based con- strongly driven by the development of computa-
textualization mechanism). Again using tional models, there is a convergence of method-
painting as an example, since the Renaissance ologies for CAI.
Computational Creativity simulating, or replicating human creativity using a

In the domain of applied computational creativity, computer. An illuminating example is McGraw
analogy and analogy-related inventions are rele- (1995), which is an attempt to implement a
vant and can find applications galore, supporting, model of the creative human act of artistic letter
enhancing, or even replacing human abilities design of the Roman alphabet. Although remark-
and activities. This can be done in two different able progress has been made, e.g., in the fields of
ways: Supporting the creative activity in a purely interactive automated storytelling or interactive
passive tool-like way, e.g., applying analogy- drama, or in creating creative answers to sequence
based mechanisms in search or retrieval tasks, or completion tasks, the results still fall short when
partly replacing human efforts in a more active being compared to real human performance.
collaborative way, for instance, using analogy in Closely connected to computational creativity
computing proposals for a problem solution or are the domains of computer-aided and computer-
interactively designing a shape. generated art. While computer-aided art normally
The use of so-called references (i.e., images of refers to an artistic process, where the computer is
artificial or natural forms) as visual analogs and only used as a tool, with the artwork being created
metaphors in architectural design gives an exam- by the artist, computer-generated art means the
ple where a computational analogy engine can creation of artworks by using autonomous pro-
provide support for a human user: Several data- cesses without direct human control. In both sub-
bases offer sample images for such a purpose. fields, analogy can play an important role: For
Unfortunately, the respective data sets are mostly computer-aided art, the situation is similar to a
indexed only with textual information describing, computational creativity support system like
e.g., the origin of the image or the architect, which sketched in the Drawing Analogies example
might not be directly relevant when searching for above. In the computer-generated art domain,
similar pictures to a given image. Here, systems analogy engines can find applications at the hour
like Drawing Analogies by Do and Gross (1995) of creating variations of a motive, or when com-
provide an integration of a search mechanism for puting the composition of a scenery provided an
analogous shapes to an already encountered overall topic or theme is given.
image or even to a shape provided by the user,
e.g., via a sketchpad.
The second important use of analogy-making Conclusions and Future Directions
in applied computational creativity are systems
directly getting involved in the creative act in a As invention is the manifestation of creative men-
computer-aided design process by introducing tal acts, an understanding of these mental pro-
new design variables. As described by Goel cesses is crucial to foster new inventions,
(1997), an example for such a system is DSSUA be it by human inventors or by artificial systems.
(Design Supporting System Using Analogy), Analogies provide an explanation of invention
which addresses mechanical design problems as the creative transfer of a solution to a
within the context of architectural design. new domain. A given problem constitutes the
DSSUA applies an analogy-based mechanism poorly understood target domain, which can be
using design prototypes, representing knowledge reconceptualized by establishing an analogy to a
about familiar designs, and is even able to conduct better-known source domain. Then, solution strat-
analogical transfer for introducing additional new egies can be developed by transferring concepts
variables into an initial solution to the design and ideas from the source to the target. Here, in
problem at hand. order to identify a suitable analogy, the choice of
So far of mostly academic interest is a second an appropriate source domain is essential. There
reading of the term computational creativity, in exists no general strategy to solve this task: Often
this case denominating the attempt of modeling, closely related problems are considered first, but
in many cases more dissimilar domains have Argand J-R. Philosophie mathématique. Essai sur une manière
proven to be the most valuable bases for analogy. de représenter les quantités imaginaires, dans les construc-
tions géométriques. Ann Mat Pura Appl. 1813;4:133–46.
However, of course, most domains do not lead to a Besold TR, Kühnberger K-U, Plaza E. Analogy, amal- A
sensible analogy at all, and also many analogies gams, and concept blending. In: Langley P, editor.
can be misleading in the search for a solution to a Proceedings of the Third Annual Conference on
given problem. At this point, the introduction of Advances in Cognitive Systems (ACS);
2015 May 28–31; Atlanta: CogSys.org. 2015; 23.
automated support systems is promising. An anal- Available from: http://www.cogsys.org/papers/ACS2015/
ogy engine, which operates on a knowledge base poster23.pdf. Accessed 29 Oct 2016.
containing a large collection of domains, could Burki L, Cavalluci D. Measuring the results of creative acts
propose analogies that exhibit a good structural in R & D: literature review and perspectives. In:
Cavalluci D, de Guio R, Cascini G, editors. Building
compatibility to the given problem domain and innovation pipelines through computer-aided innova-
would provide a solution to this problem. In par- tion, CAI 2011. Heidelberg: Springer; 2011. p. 163–77.
ticular, in the field of computer-aided innovation, Chomsky N. Syntactic structure. The Hague: Mouton;
the combination of computational techniques of 1957.
Do EY, Gross MD. Drawing analogies: finding visual
analogy-making and creative problem solving is a references by sketching. Proceedings, Association for
promising direction for future research. Similarly Computer Aided Design in Architecture, 1995 National
important for future applications, although more Conference; Seattle; 1995.
difficult due to the lack of a controlled underlying Gentner D. Structure-mapping: a theoretical framework for
analogy. Cogn Sci. 1983;7:155–70.
domain, is the usage of analogy engines in com- Goel AK. Design, analogy and creativity. IEEE Exp.
putational creativity, e.g., in order to autono- 1997;12(3):62–70.
mously generate art by programs or to support Holyoak KJ, Thagard P. Mental leaps: analogy in creative
artists through cocreative systems. thought. Cambridge, MA: MIT Press; 1995.
Hummel JE, Holyoak KJ. Relational reasoning in a
neurally-plausible cognitive architecture: an overview
of the LISA project. Cogn Stud Bull Jpn Cogn Sci
Soc. 2003;10:58–75.
Cross-References Kokinov B, Petrov AA. Integrating memory and reasoning
in analogy-making: the AMBR model. In: Gentner D,
▶ Adaptive Creativity and Innovative Creativity Holyoak KJ, Kokinov B, editors. The analogical mind:
▶ Cognition of Creativity perspectives from cognitive science. Cambridge, MA:
MIT Press; 2001. p. 59–124.
▶ Creativity and Innovation: What Is the
Lakoff G, Núñez R. Where mathematics comes from: how
Difference? the embodied mind brings mathematics into being.
▶ Creativity in Invention: Theories New York: Basic Books; 2000.
▶ In Search of Cognitive Foundations of Martinez M, Besold TR, Abdel-Fattah A, Gust H,
Creativity Schmidt M, Krumnack U, Kühnberger K-U. Theory
blending as a framework for creativity in systems for
▶ Invention and Innovation as Creative Problem- general intelligence. In: Wang P, Goertzel B, editors.
Solving Activities Theoretical foundations of artificial general intelli-
▶ Invention Versus Discovery gence. New York: Springer; 2012.
▶ Mathematical Discovery McGraw GE. Letter spirit (part one): emergent high-level
perception of grid letters using fluid concepts [PhD
▶ Mental Models and Creative Invention
thesis]. Indiana University; 1995.
▶ Metaphorical Reasoning and Design Creativ- Polya G. Mathematics and plausible reasoning: induction
ity: Consequences for Practice and Education and analogy in mathematics. Princeton University
▶ Models for Creative Inventions Press: Princeton; 1954.
Schmidt M, Krumnack U, Gust H, Kühnberger K-U.
Heuristic-driven theory projection: an overview. In:
Prade H, Richard G, editors. Computational
References approaches to analogical reasoning: current trends.
Berlin: Springer; 2014. p. 163–94.
Altshuller G. Creativity as an exact science. New York: Schoen D. Displacement of concepts. New York: Human-
Gordon & Breach; 1984. ities Press; 1963.
64 Analogy
return on investment, they invest in innovative

Analogy firms.
Delivering funding to a large (but unknown)
▶ Analogies and Analogical Reasoning in number of entrepreneurs, business angels are one
Invention of the most important but least understood players
in the entrepreneurial ecosystem (Van
Osnabrugge and Robinson 2000). Researches on
the angel market are linked with research on the
Angel Funding early stage equity financing of entrepreneurial
ventures.
▶ Entrepreneurship and Financial Markets The first studies focused on defining the con-
cept: behavior, motivation, and characteristics.
Then, studies evaluating the number of angel
investors and the market associated appear in the
Angel Investors late 1980s.
The fist studies on performance of angel
Hélène Perrin Boulonne investment, and method of exit appears in the
France Angels, Paris, France middle of the 2000 in the USA, and are still
unavailable in Europe.
Synonyms
Who Are Angel Investors?
Business angels; Informal venture capital
Angels Investors Are Part of Venture Capital
Venture capital refers to financial capital provided
Introduction to firm at their early stage. Venture capitals gen-
erally finance high potential start-ups and also are
An angel investor is a person who provides capi- high-risk investment.
tal, in the form of debt or equity, from his own Venture capital may be subdivided in: institu-
funds to a private business owned. But angel tional venture capital (venture capital fund) and
investors, also called business angels, are more informal venture capital (love money, friends and
than just investors. They also give nonmonetary family, and angel investors).
support to start-ups: due diligence, time, exper- Amount invested by venture capital fund is
tise, and network. well known, but the amount invested by the infor-
Angel investors are an important source of mal capital is difficult to estimate. Angel invest-
equity for small firms and start-ups with high ments are made by individual who do not
potential in their early stage of development constitute a homogeneous population. The infor-
before to become attractive for venture capital. mal capital is by definition hidden: Angel’s ser-
Most of the time they invest in seed stage, but vices are not listed in the yellow pages (Wiley
they also invest in later stage. Angel investors 1989) (Fig. 1).
may have been entrepreneurs themselves, and A more common subdivision of venture capital
invest in start-ups after several success stories. is linked to the stage of development of the com-
They have also an important place in the devel- pany. Usually angel investors, intervene after
opment of entrepreneurial spirit and activities. seed-investors (Friends and family and Love
They support a large range of innovation; they Money) and before Venture capital fund. They
invest locally and in all sectors of activity. They are one of the most important ways to feel the
do not only invest in technology intensive firms gap between seed money and the venture capital
or high growth firms. As they are concerned by fund. Generally, angel investors cover a broader
Angel Investors 65
Venture Capital
Formal Venture Informal A

Capital Venture Capital
Venture Capital Friends and

Love Money Angel Investors
Fund family
Angel Investors, Fig. 1 Venture capital. (Source: Author)
t0:Elaboration of the business

t1:Firm creation, starting up of t2:First turnover, First
plan, market studies, t3: Business growth
the activity custormers, forst sales
prospecting
Personal investment
3F : Family, Friends and Fool
Angel Investors
Venture Capital
Banks
Informal investors
Institutional investors
Angel Investors, Fig. 2 Stage of development and type of investment. (Source: Author)
range of business types than venture capital funds Angel Investors Are Individual’s Investors
(Fig. 2). There is no common definition for angel inves-
For small amount of capital, start-up used tors, but it’s largely admitted in literature that:
what is called “friends fool and families” (seed Angel’s investors are wealthy individuals who
money) or personal investment. The Angel invest their own money, along with their time
investors make investment from 100,000 up to and expertise. Business angels invest in all sectors
1 million dollars. The biggest, more than 1 mil- and all regions in a country.
lion dollars, projects are financing by venture More restrictive definition (Van Osnabrugge
capitalist. Angel’s investments cover the gap and Robinson 2000; Shane 2009) considers that
between seed money and venture capital. This the business has to be operated by someone else
gap is also called equity gap. who is neither a friend nor a family member.”
The most important differentiation with other Mason and Harrison (2008) defined angels inves-
type of capital is the face to face between entre- tors as “a high net-worth individual, acting alone
preneurs and investors. Angel investors face a or in a formal or informal syndicate who invests
high level of risk and make their own decision. his or her own money directly in an unquoted
Business angels even if they are in a network business in which there is no family connections
make their own due diligence, and take personal and who after making the investment, generally
decision to invest or not. takes an active involvement in the business.”
66 Angel Investors
Wetzel also contribute to establish the exis- They team up to find investment opportunities,
tence and role of private investors. Later studies share due diligence and expertise, pool their cap-
conducted by Freear, Sohl and Wetzel expanded ital, and negotiate together. Angels groups offer
on this beginning through the establishment of the advantages : reduce the due diligence cost, give
complimentary role of business angels and ven- the possibility to invest higher amount of money
ture capitalists and the characteristics of the latent in one project, training, access to a larger deal
angel population. flow, monitoring the start-up after the investment
The most common image is an entrepreneur who may be easier. But even acting in a network; a
has been successful and wants to invest in start-ups business angels make his own decision of
in the same sectors (that’s part of the Silicon Valley investing or not in a start-up. There is no evidence
myth). But a large part of angel investors are of differences between angels in networks and
wealthy individuals but not necessary entrepre- angels acting alone in terms of return on invest-
neurs. Part of business angels are regrouped in ment and profile. Angels in networks are more
networks or associations, where they benefit of visible and easier to reach for young
advice, access to a deal flow, and training. entrepreneurs.
The angel investment market is highly hetero-
geneous. Authors have developed typologies to How Many Angel Investors?
classify the angel investors according criteria: One challenge for the research on angel investors
investment motivation, personal experience, num- is the lack of data. For most countries the only
ber and amount of investments made, indepen- available data concern angels association and net-
dence or network appurtenance. Mason and works, which represents the “visible” market
Harrison (2000) point out the importance of divid- (Harrison and Mason 2010).
ing the angel investors in several categories. The first study paying attention to the number
Some countries’ legislation, also, define of angel investors was initiated by the Small Busi-
accredited investors (case in the USA, Regulation ness Investment Act in 1986. This study (Gaston
D under the securities act of 1933) as angel inves- and Bell 1988) on informal supply of capital
tors. This accredited investors benefit from fiscal shown that 500,000 angels’ investors invested
incentive aims to increase the number and the 60 billion dollars in early stage in the USA.
amount invested by angel investors. Even if the More recently, using the largest definition (Sohl
legislation does not define angel investors, most 2003) consider that between 300,000 and 350,000
countries in Europe have high fiscal incentive angels investors invest about 30 billion dollars
public policies to encourage angel’s investment. annually in about 50,000 firms in the USA.
Another survey conducted by the Small
Angel Investors Network, Group or Bureau of Advocacy (Shane and Heights 2008)
Association estimated that between 331,000 and 629,000
Angel’s investors are individual investors but part angels have invested between 12.7 billion and
of them, and particularly in Europe, join a network 36 billion dollars each year during the period
or an association. 2001–2003 in the USA.
Angels acting in a network, association or Angels Investors are less developed in
group are relatively well known. They are Europe. The only available data for Europe
represented by organization, like EBAN comes from European Business Angels Network
(European Business Angels Association) or (EBAN), and concern only the visible part of
ACA in the USA. The Angel Capital Association angel’s investment market. According to EBAN
in the USA gives the following definition: “Indi- there are approximately 75,000 business angels
viduals angels joining together with other angels in Europe investing 4 billion Euros in 2010.
to evaluate and invest in entrepreneurial ventures. OECD (2011) estimates that the visible market
The angel can pool their capital to make larger represents only 7% of the whole angels
investment” (ACA website). investment.
Angel Investors 67
The Rule of Angel Investors in Financing important but quiet unknown, due to difficulties to
Entrepreneurship access data.
The Center for Venture Research at the Uni- A
Address the Equity Gap versity of New Hampshire conducts a survey on
Fast-growing small businesses drive economic entrepreneurial ventures each year since 2003
growth. It is high-risk funding, from angels and (Sohl 2011). The study shows the importance of
institutional venture investors, that fuel these angel investors in terms of job growth with the
companies with the capital they need to grow. creation of 370,000 new jobs in the USA in 2010.
Venture capitalist firms are not able to face the Almost half of the investment returns nothing,
cost for the smallest projects: due diligence costs, but small parts of investment are highly profitable.
risk costs, moral hazard costs. Venture capitalists All studies come to the conclusion that in average
do not often invest in early stage, especially in angel’s investment are profitable.
Europe, where the rate of return on investment is
negative. Market Failure
Lack of finance for new firms and firms seek- The market of angel’s investment suffers of infor-
ing medium amounts of investment (between mation asymmetry.
100 dollars to 1 million dollars) may be solving “One of the most consistent findings in research on
by the angel investments. To reduce the equity business angels: the majority is unable to find suf-
gap, angel investors often coinvest with other ficient investment opportunities” (Mason 2009)
angel investors or venture capital funds.
It is difficult to reconcile the fact that the angel
The equity gap for early-growth-businesses is
investors are finding it difficult to invest their
still pregnant, in particular in Europe. It is widely capital at the same time entrepreneurs and public
admit that angels help to bridge this equity gap.
policy makers are decrying the lack of it.
Venture capitalist fund have move from early
The market in particular in Europe is still very
stage investment to larger and later stage deals. young. In one hand, the business angels complain
OECD has also initiated a work on the role of
of a lack of good projects and, in the other hand,
angel investors in financing high growth firms.
entrepreneurs often failed to find financing.
The study (OECD 2011) gives a large overview Angel’s network may contribute to solve this mar-
on angel investing across developing countries.
ket inefficiency.
According to OECD, the angel investment market
OECD recommends public policies in order to
has developed significantly in a number of coun- support angel investors.
tries throughout the world, particularly over the
past 5–10 years (Fig. 3). Public Policy Support
Public policy support is well developed in the
Economic Impact Still to be Measured
USA. In Europe, the public support is relatively
Studies (Shane and Heights 2008) indicate that recent (late 1990s). According to DeGennaro,
new firms with angel’s investment have been there are six types of public intervention:
important contributor to economic growth and
job creation. • Fiscal incentives
The place of the angels investors in the finan-
• Business angels networks
cial system of entrepreneurship is consider as very
• Securities legislation
Founder friends and Angel Investors Equity Gap Venture capital funds
family
25 K USD 500 K USD 1 million USD 5 millions
Angel Investors, Fig. 3 Source : Author

68 Angels Investors
• Capacity building entrepreneurs Freear J, Sohl JE, Wetzel WE. Angels: personal investors
• Capacity building investors in the venture capital market. Entrep Reg Dev.
1995;7:85–94.
• Government coinvestment vehicles Gaston RJ, Bell S. The informal supply of capital.
Washington, DC: US Small Business Administration;
Public policies to encourage angel investments 1988.
are well developed in many countries, and may be Harrison RT, Mason C. Annual report on the business
angels market in the United Kingdom. 2010.
a subject for further research. Public policies OECD. Financing high-growth firms, the role of angel
alone are not sufficient. A healthy entrepreneurial investors. Paris: OECD; 2011.
ecosystem is critical for successful angel investing Shane S, Heights S. The importance of angel
(OECD 2011). investing in financing the growth of entrepreneur-
ial ventures. Washington, DC: SBA Office of
Advocacy; 2008.
Sohl J. The angel investor market in 2010: a market on the
Conclusion and Future Directions rebound. Center for Venture Research; 2011.
Van Osnabrugge M, Robinson RJ. Angel investing:
Angel investors play an important role in early matching start-up funds with start-up companies. San
Francisco: Jossey Bass; 2000.
stage financing, but despite their importance for Wetzel WE. Angels and informal risk capital. Sloan Man-
entrepreneurship, angel investors have been less age Rev. 1983;24(4):23–34.
studied. There number, the amount of money
invested, the return on investment, and the eco-
nomic impact are still relatively unknown. More
researches are needed to understand the impact of
angel investment on economic growth, productiv- Angels Investors
ity, and job creation. Scope for research is still
largely open. Recently, encouraging by the ▶ Microfirms
Kauffman Foundation, the concept has received
more attention from researchers.
The angel market is in constant flux, and the
recent volatility of the private equity market has ANT
provided additional motivation to understand the
role of these critical early stage investors. ▶ Actor-Network-Theory and Creativity
Recently, Angel’s investors are also considered Research
as investment combining financial sustainability
with social and environmental impact.
Cross-References Antitechnology Movements:

Technological Versus Social
▶ Financing Entrepreneurship Innovation
▶ Informal Venture Capital
▶ Love Money Franz Seifert
Austrian Science Fund FWF (Funding
Organization), Vienna, Austria
References
ACA website. www.angelcapitalassociation.org

DeGennaro R. Angel investors: who they are and what they
Synonyms
do, can I be one, too? J Wealth Manag.
2010;13(2):55–60. Protest movements; Social controversy
Antitechnology Movements: Technological Versus Social Innovation 69
Introduction breakers spreading across southern England in the

early nineteenth century. In 1813, the insurgence
Public resistance against technological change is a was crushed by harsh repression resulting in mass A
recurrent factor in the history of technological trials, deportations and death penalties. In the eyes
innovation but, today, has become increasingly of posterity, the movement came to be seen as
important. Up to the mid twentieth century, grand adverse to technological innovation, its campaign
technological projects were the prerogative of pow- as futile rearguard battle against the inevitable
erful industrial and military programs that relied on dynamic of technological progress. Historiogra-
the public’s acquiescence. Today’s world has phy also largely ignored the Luddites, which Eric
become more complex and dynamic. Promoters Hobsbawm explained with the fact that the move-
of technological innovations seek to mobilize sup- ment was at odds with the dominant rival ideolo-
port from the public, governments, and capital and, gies of liberalism and socialism which both found
frequently, they also have to cope with public resis- common ground in their praise of technological
tance. Advocates of technological innovation usu- innovation. Yet, by the mid-twentieth century,
ally misread the ensuing controversies and regard historians came to appraise the Luddite’s organiza-
anti-technology movements as hurdles to progress. tional deeper causes and found them to be a well-
They overlook the fact that these controversies organized social movement that deliberately
carry both a democratic and an innovative potential attacked machinery, exacerbating ruinous work
in themselves as they oblige societies to negotiate conditions and craftsmen’s de-skilling in the textile
choices on socio-technological issues and seek industry. Their struggle revealed technology’s
alternative technologies, alternative forms of social social purpose – wage dumping, unrestricted com-
organization as well as new forms of democratic petition, efficiency maximization, and profit mak-
conflict resolution. This entry’s objective is three- ing at whatever social cost (Hobsbawm 1952).
fold: firstly, to shed light on the deeper causes and
rationales of resistance against technological inno- Technological Progress Disputed
vation; secondly, to suggest that social innovation The Luddite’s historical merit thus is to have been
can be seen as an alternative to technological inno- the first to effectively challenge the common view
vation; and thirdly, to highlight types of social according to which technology is a neutral tool to
innovation which are created by technological con- be put to either good or bad uses (Jongerden
troversies. These theses will be outlined using the 2006). Instead, they exposed technology as intrin-
examples of four technological controversies – the sically purposeful, reinforcing the prevailing
Luddites’ machine-smashing campaign in early socioeconomic power structures. Furthermore,
nineteenth-century England, the conflict over the Luddite movement, as far as it engaged in
nuclear power, the controversy over agro-food bio- machine wrecking for the purpose of bargaining
technology, and the debate about nanotechnology. better work conditions, can be seen as a primor-
dial form of unionism which, together with
Mechanization in Early Nineteenth-Century emerging cooperative and mutualist movements,
Textile Industry was to become a major social innovation of the
The term “Luddite” stands for radical action late nineteenth and early twentieth century.
against new technologies and – in common use –
for irrational technophobia. But in fact, the Nuclear Energy
nineteenth-century Luddites do not only present With the emergence of new social movements in
the paradigmatic case of an anti-technology the 1960s and 1970s, controversies over techno-
movement but also exemplify how the social logical innovation became more frequent. While
cause and meaning of such a movement might these movements are commonplace today, in those
be overlooked and misinterpreted for a long days, they emerged as a new political force. As
time. The Luddites were a movement of machine prominent as the civil rights, peace, and
70 Antitechnology Movements: Technological Versus Social Innovation
environmental movements was (and in some coun- twentieth century, is to have put scientific authority
tries, such as Germany, still is) the antinuclear into political perspective. Here and in many ensu-
movement. In the 1970s, oppositional movements ing conflicts over health, technology, and environ-
arrived on the scene in the USA and virtually all ment, scientific arbitration over contentious
Western European countries which embarked on technological and environmental issues proved to
the technology that promised to satisfy their be increasingly complex, contested, and often
steadily rising energy demands. The intensity, unworkable. The philosophers of science Silvio
timing, and impact of these national movements Funtowicz and Jerome Ravetz (1992) have
varied according to different national contexts suggested that in controversial situations such as
(Kitschelt 1986; Bauer 2015). The nuclear acci- these, when decisions of high political salience
dents of Three Mile Island (1979), Chernobyl have to be based on incomplete knowledge, sci-
(1986), and Fukushima (2011) gave further impe- ence cannot proceed in a “normal” manner, that is,
tus to the antinuclear movements and brought based on traditional peer review conducted by cer-
about a further diminishing of global nuclear tified, professionally accredited experts. Instead,
power plant construction. Today countries either “post-normal” science needs to find new
insist on their antinuclear stance, review their approaches, notably to open up its traditional bor-
nuclear policies, or have decided to phase out the ders and engage in “extended peer review,” allo-
technology which is increasingly regarded as wing science outsiders – stakeholders, civil society
uncontrollable catastrophic risk in the long term. actors, and policy makers – to participate in its
problem-solving process. While, to date, no single,
Wider Social Issues conclusive answer has been found as to how to deal
On the face of it, the antinuclear movement with the dilemmas of “post-normal science,” the
opposes the technology primarily for the risks it term captures a significant shift in the relationship
entails, both catastrophic risks due to accidents between the technology, the public, and the politi-
and long-term risks such as nuclear waste storage cal decision-making which is both a new challenge
or nuclear proliferation via illegal trade in and a stimulus for democracy.
enriched nuclear waste materials. Less obvious
are the movement’s underlying causes and impli- Agro-Food Biotechnology
cations. The antinuclear movement does not only The movement against modern biotechnology –
denounce nuclear risks but also the social institu- that is, the creation and use of genetically modi-
tions that manage these risks. Banking on its fied organisms (GMOs) by transferring genes
capacity to mobilize public support, the move- from one species to another – in agriculture and
ment promotes and prospers on popular distrust food set in the mid-1990s in Europe and, since
against the nuclear industry and governments then, grew to be the most influential and wide-
which simultaneously act as its promoters and ranging anti-technology movement since nuclear
regulators. In particular, it effectively challenges power, bringing about public controversies in
the authority of scientific experts who have Europe, Latin America, Africa, India, and East
assured the public so long that nuclear power is Asia. A controversial debate about biotechnology
safe. The widespread understanding that presti- began in the mid-1970s as first experiments pro-
gious experts often assist the nuclear industry in ved the technology’s viability but also prompted
bolstering the claim that nuclear energy is safe, the concerns over potential hazards. However, it was
deconstruction of their arguments by other experts not until the appearance of unlabelled GM foods
and the catastrophic falsification of their assur- in the European Union (EU) amidst a series of
ances by the great nuclear accidents contributed food crises that the anti-biotech movement began
to the devaluation of scientific authority. to build up momentum, pressuring national gov-
ernments to effectively block GMO cultivation. In
Scientific Authority Questioned several countries, the anti-biotech movement even
A legacy of the antinuclear movement, the first embarked on “Luddite” tactics and vandalized
grand anti-technology movement of the late GM fields. By the end of the 1990s, a group of
governments stepped in to block the authorization industrial advance. Biotechnology has been pre-
of GM products in the EU. The tightening of sented as key technology which no national econ-
regulations and the ongoing blockade of the GM omy could allow to disregard at risk of being left A
market in the EU led to trade tensions with the behind. In the EU, however, an alternative para-
USA and other American agro exporting coun- digm took hold. Firstly, European producers and
tries. As a result of the anti-biotech movement, consumers get along well without agro-biotech.
today, the EU and the USA constitute two funda- (With the exception of animal feed stuff which
mentally different social and regulatory environ- still contains quantities of imported GM materials.)
ments for agro-food biotechnology. In the EU, Secondly, GM-free agricultural production goes
only Spain engages in the commercial cultivation well with EU agricultural policy which is torn
of GM crops. In the rest of the EU, a restrictive between the conflicting goals of world market com-
regulatory system coupled with retailers’ exclu- petition, protectionism, and multifunctionality.
sionary marketing strategies and negative public European agricultural policy, struggling with over-
opinion practically keeps out GM food from the production and environmental degradation on the
human (though not the animal) consumption. In one hand, and competition by ascending agro-
the USA, by contrast, major cultivated food and producing world regions on the other, has increas-
animal feed crops are GM to a large extent and the ingly resorted to policies designed to curb produc-
population largely accepts unlabeled GM food. tion and, at least in some countries, keep
uncompetitive farming in business. Agricultural
Precautionary Regulation GMOs are production-enhancing technologies.
A further important difference between their reg- Besides their alleged environmental side effects
ulatory systems is that the scientific assessment of and health risks, this is the major criticism raised
physical risks, the heart piece of the GM product against GMOs: agro-biotech industry designed
authorization processes, follows different them to excel in capital-intensive, productivist agri-
approaches (Seifert 2005). Whereas the USA culture. It is argued that this dominant type of
requires that restrictions are based on scientifi- agriculture accounts for much of the environmental
cally proven risks, the EU embraces the precau- crisis and comes at high social cost as it forces small
tionary principle which concedes that GM farmers out of business while large-scale farming
products can be prohibited in the light of convinc- and agro-business reap the profits. Agro-biotech’s
ing arguments alone even though scientifically opponents argue that agriculture’s current ecologi-
unproven. These regulatory differences between cal and social challenges call for political and social
the USA and the EU do not only reflect deep- innovations rather than technical enhancement. If
reaching legal consequences of the anti-biotech agriculture is to become sustainable, it needs to
movement. They also highlight the fact that risks deplete less resource, to minimize loss of biodiver-
to human health and the environment, which con- sity and to offer income opportunities to a greater
stitute the regulatory bottlenecks of product inno- portion of the rural population. The EU region, due
vation, need to be understood as scientific and to its affluence and high level of political integra-
legal constructs rather than mere scientific facts. tion, has proved to be in a superior position to
Thus, the newly emerging precautionary principle develop such alternative social innovations.
also constitutes a case of social innovation in that Organic farming is a case in point. This pro-
it deals with dangers arising in the context of post- duction system is tailored to sustain human health
normal science, that is, high uncertainty and polit- and the intactness of ecosystems by relying on
ical stakes. natural processes and avoiding inputs with
adverse effects such as industrial fertilizers, her-
Alternatives to Productivist Agriculture bicides, or livestock. Organic farming is a social
The comprehensive European reaction also illus- innovation – resembling a preindustrial type of
trates another social innovation when looked at agriculture, its development dates to the
against the backdrop of the promissory predictions anthroposophy-inspired, biodynamic agriculture
that accompanied agro-food biotechnology’s movement in the 1920s. With the ecological
72 Antitechnology Movements: Technological Versus Social Innovation
movement of the 1970s, the social innovation Public Engagement

gained currency, and during the 1990s, it found What matters in this context is that, as a policy field,
wider recognition as an alternative production nanotechnology features specific social innovations
system and established itself as a market niche in which arguably mirror a changed relationship
several countries. For the most part, small- and between technology innovation and the
medium-sized farms engage in organic farming as public. More than earlier technology campaigns,
a niche strategy, while large farms tend to exploit this policy field features measures aimed at foster-
their comparative advantages. Organic farming ing interactive forms of science communication and
therefore constitutes an alternative to high- stakeholder and public involvement at an early
productivity agriculture. This is also a chief argu- stage of technology development. In the USA and
ment of the anti-biotech movement. In Europe, the the United Kingdom, for example, a series of con-
juxtaposition of agro-biotech versus organic farm- sensus conferences took place in which lay citizens
ing, of technical versus social innovation, came to were invited to deliberate on nanotechnology and
a head: since international statutes legally bind devise policy recommendations; in Germany, a
organic farmers to ban GMOs from their produc- high-level national commission on nanotechnology
tion processes, the hardly controllable risk of brought together stakeholders from industry, sci-
involuntary contamination became a major reason ence, and civil society; and in France, federal
to virtually ban agro-biotech in most of the EU authorities conducted a controversial nationwide
(Seifert 2006). public debate. It is an open question to what extent
It is evident that organic agriculture or other these new forms of public engagement have a bear-
forms of low-input, small-scale farming which, in ing on the policy process: yet there is no doubt that
Europe, are antagonistic to agro-biotech do not as a result of past controversies over technologies,
necessarily constitute a globally feasible social social innovations fostering participation, dialogue,
alternative to technologically enhanced intensive and idea of an early and more democratic engage-
agriculture in other parts of the world. European ment of the public have become part of nanotech-
agriculture, organic agriculture included, is subsi- nology governance.
dized and its high-end products target the well to
do middle classes. Yet, alternative social innova-
tions in agriculture are urgently needed, particu- Future Directions
larly in many developing countries where
small-scale farming often constitutes the bulk of This entry focused on the antagonistic side of the
agriculture and plays a vital role in the nation’s relationship between technological and social inno-
food supply and demographic balance and where vation. There is also a synergistic side. Indeed,
the socially destructive tendencies of intensive technological and social innovation often goes
agriculture are painfully felt. Thus, to a large hand in hand. The IT revolution is a case in point.
extent, the controversy over agro-biotech has Remarkably, the computer has not led to the for-
been played out in developing countries in Africa, mation of a “critical mass” of challengers to slow
South Asia, and Latin America (Schurman and down or even redirect its triumphant rise, which is
Munro 2010; Scoones 2008). These are the arenas surprising given the deep reaching social transfor-
where the search for social innovations in the key mation it has brought about. However, IT gener-
field of agriculture is most pressing. ated a wealth of social innovations, such as the
internet as market place, file-sharing networks,
Nanotechnology crowd sourcing, hacker communities, open-access
Nanotechnology is the manipulation of matter on science, social networks or, more generally, the
an atomic and molecular scale. At the turn of the global expansion, individualization, and accelera-
millennium, nanotechnology was identified as tion of the public sphere. Yet, while technological
key technology in the USA and became the object innovation lays the ground for social innovation, it
of substantial funding campaigns in most indus- might also create social problems or seal false
trialized countries of the world. solutions. Technologies might reinforce power
structures, further de-skill, impoverish, or exploit resistance, how we rise to the challenge, is the
the disadvantaged, burden future generations with key question” (Bauer 2015: 3). By coping with
incalculable risks, or be detrimental to the ecosys- resistance projects of technological innovation A
tem. This entry, therefore, highlighted the socially engage in public controversy, which, in turn, ful-
innovative function of movements opposing cer- fill an important societal function in that they cast
tain technologies, the public controversies they light on the blind spots of technological innova-
trigger, and the social innovations that emerge in tion and open the debate for alternative social
their wake. These innovations have cultural, insti- innovations. Besides exploring social innovations
tutional, political, and economic dimensions. On that emerge in synergy with technological evolu-
the cultural dimension, they show in an altered tion, future directions in social research and policy
understanding of technological change, dismissing making might also take more interest in those
the idea of technological innovation as progress social innovations that emerge as alternative to
and necessity and, instead, recognizing science and in constant argument with technological
and technology’s power to transform society, the innovation.
role of power and interests in their evolution, but
also their essentially political nature and thus their
amenability to be subjected to democratic deliber- Cross-References
ation; on the political dimension, technology con-
troversies might bring about new regulatory ▶ Agricultural Entrepreneurship
concepts such as the precautionary principle; insti- ▶ Green Enterprising and Green Entrepreneurs
tutionally and economically, they might bring ▶ Innovation and Democracy
about new modes of consumption, production, ▶ Innovations of Direct Democracy
and exchange better suited to meet socioeconomic ▶ Low-Tech Entrepreneurship
challenges. ▶ New Forms of Entrepreneurship in a Sustain-
As future direction for social analysis and policy able Knowledge-Based Service Economy
making, it is therefore important to recognize the ▶ Social Entrepreneurship
significance of social innovation given the general ▶ Social Innovation
tendency in corporate and political decision-making ▶ Techno-Globalization and Innovation
to favor technological over social problem solutions
which, in the end, might prove cheaper and more
effective (albeit less profitable). Thus, instead of References
purchasing diagnostic kits for detecting genetic pre-
dispositions for cardiovascular disease, it might be Bauer M. Atoms, bytes and genes. Public resistance and
more effective to monitor body weight and check techno-scientific responses. New York: Routledge;
2015.
for hypertension to determine individual risks; Funtowicz SO, Ravetz JR. Three types of risk assessment and
instead of taking vitamin supplements, a reasonable the emergence of post-normal science. In: Krimsky S,
diet rich in fruits and vegetables might do a better Golding D, editors. Social theories of risk. Westport:
job to prevent cancer; and instead of employing Praeger; 1992. p. 251–74.
Hobsbawm EJ. The machine breakers. Past Present.
technologies designed to boost agricultural output, 1952;1:57–70.
more sustainable production-consumption models Jongerden J. Luddits or the politics of technology. Tail
might be tried out. Biotechnol. 2006;2:63–7.
The quest for sociopolitical alternatives to Kitschelt HP. Political opportunity structures and political
protest: anti-nuclear movements in four democracies.
technological innovation often comes in the Br J Polit Sci. 1986;16:57–85.
guise of public resistance to and controversy Schurman R, Munro WA. Fighting for the future of food.
over technology. As Martin Bauer recently Activists versus agribusiness in the struggle over bio-
pointed out, resistance is not dysfunctional but a technology. Minneapolis: University of Minnesota
Press; 2010.
necessary response to techno-scientific move- Scoones I. Mobilizing against GM crops in India,
ments. “It is not the ‘resistance’ that needs an South Africa and Brazil. J Agrar Chang. 2008;8(2–3):
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74 Application
Seifert F. The transatlantic conflict over biotechnology and Introduction

the hegemony of physical risk. In: Bammé A,
Getzinger G, Wieser B, editors. Yearbook of the insti-
tute for advanced studies on science, technology & soci- Applied Design Thinking Lab (ADTL), Vienna
ety, München, Wien: Profil. vol. 47. 2005. p 367–388. The Applied Design Thinking Lab (ADTL),
Seifert F. Regional GM opposition as multilevel challenge? Vienna, is situated at the University of Applied
The case of Upper Austria. Tailoring Biotechnol. Arts in Vienna and was founded by the author in
2006;2(3):11–36.
2009. It might be understood as an application
model for universities, companies, and institu-
tions of all kind, as it can be considered as a
“hypothesis and action model.” Since 2004, the
Application author followed the vision of inter-/transdisciplin-
ary work with diverse institutions, universities,
▶ Innovation in Interdisciplinarity: Four Different
and companies (which will be described in
Dimensions
chapter “Preliminary Projects”), cooperation
instead of “single combat” was the strategy.
ADTL approaches inter-/transdisciplinary
topics with interdisciplinary teams from different
Applied Art departments of universities, institutions, and
companies. The aim of this lab is to facilitate
▶ Areas of Innovation in Arts: Innovation and
innovative solutions for complex problems
through interdisciplinary collaboration. Applying
▶ Communicating Invention, Creativity, Innova-
methods of Design Thinking strategies, the partic-
tion, and Entrepreneurship
ipants develop their own specific art/design work,
▶ Social Design
inspired by peers, and their own broad knowl-
edge, interest of various topics, and disciplines,
empowered with creativity. The participants
derive from the fields of arts, design, graphic,
Applied Design Thinking Lab
fashion, architecture, performance, mathematics,
and Creative Empowering of restoration, jurisprudence, strategic management,
Interdisciplinary Teams education, numismatic, transmedial art, educa-
tion, etc.
Ruth Mateus-Berr
A huge number of recent publications engage
Center for Didactics of Art and Interdisciplinary
in teamwork within health care, as the knowledge
Education, University of Applied Arts Vienna,
within health care is said to double in biennial
Vienna, Austria
steps; nonetheless, interdisciplinary approaches
will change the work of tomorrow. Therefore, it
is indispensable to integrate interdisciplinary
Synonyms
study experience within tertiary education curric-
ula. In 2003, James Patell, the father of the inter-
Art education; Artistic research; Creativity;
disciplinary seminar at Stanford University:
Design education; Entrepreneurship; Innovation;
“Center on Longevity Design Challenges,”
Innovation diplomacy; Invention; Social design;
describes the expertise of participant students as
Work in teams
“T”: the vertical line stands for disciplinary exper-
tise; the horizontal line stands for curiosity and
broad interest (Heinrich and Patell 2014, 157).
This metaphor serves well for the ADTL. The
Thanks to all my students and colleagues and especially my
daughter Iuna, grandchild Eléni, and my husband Tommy. vertical line is of crucial necessity. It was observed
Ruth Mateus-Berr. that students and staff from different study
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams 75
backgrounds as the arts believed that they could observed and structured form of how designers
constitute their dreams being an artist or designer. work in practice, and it is furthermore doubted
But this is a general contemporary misconceived that practical knowledge can be taught from the A
understanding of Joseph Beuys: “Everyone is an book or virtual crash course. For this reason, this
artist.” This was not meant to suggest that all paper stands as a playdoyer for Applied Design
people should or could be creators of art, rather Thinking strategies, led by artists and designers,
that creativity should not be a special realm of applied within interdisciplinary teams (IDT).
artists but that everyone should apply creative Applied design thinking combines both, as
thinking in their own area of specialization Schön described the “reflective practitioner”
(whether it be law, agriculture, anthropology, (Schön 1983). Knowledge embodied in art,
physics, education, etc.). Within the ADTL, each which has been analyzed as tacit, practical knowl-
participant must understand that she/he should edge, is cognitive, though nonconceptual
dedicate her/his “I” (vertical line) on knowledge (Borgdorff 2012, 49), and interconnects disci-
and methodology, work on translations for the plines. Also basic and applied research is
other team members, and invest “_” the horizontal intertwined at the ADTL (compare Carayannis
line in (curiosity) for the process (Mateus-Berr and Campbell 2009, 25). A good example is
2014, 221). Stokes’ (1997, 71–72) analysis of Louis Pasteur
At the ADTL, experts from various disciplines in the field of microbiology. Pasteur followed a
(mathematicians, fashion designers, strategic perfect synthesis of the aims of “understanding”
managers, IT experts, health, medical staff, etc. of the bacteriological process and the “use” of
regarding each topic) are invited to join the group, controlling these effects (Borgdorff 2012, 98).
reflect on their work, and discuss it. According to This approach (“mode 2”) “focuses on knowledge
Kristensen (2004, 89–96), many design problems application and a knowledge-based problem-solv-
arise because there is little integration between the ing that involves the following principles”: knowl-
environment, people, and technology. He recom- edge produced in the context of application,
mends that physical, virtual space, and a visual transdisciplinarity, heterogeneity, and organiza-
working methodology need to be interconnected tional diversity; social accountability and reflex-
in order to enhance a collaborative participation ivity and quality control (Carayannis and
and performance for dispersed teams. The ADTL Campbell 2009, 3; Gibbons et al. 1994). Today’s
is such a space and develops innovative and per- society even demands a “mode 3”: “top-down
formative transfer of design (and involved disci- government, university, and industry policies
plines) knowledge. Art- and design-based and practices, and bottom-up civil society and
research is biased scientifically and applied prac- grassroots movement initiatives and priorities to
tically at once. Developed innovative tools may interact and engage with each other toward a more
be transferred in the fields of educational subjects intelligent, effective and efficient synthesis”
(schools and universities), interdisciplinary (Carayannis and Campbell 2009, 3–5), a “knowl-
applied in technologies or unto the fields of the edge nugget” (Carayannis 2004) because it
creative industries, change mind-sets of compa- requires and supports practical and application-
nies, and enhance creativity of institutions. oriented decision-making with regard to knowl-
Design Thinking is a well-established term; a edge, knowledge optimization and especially
search on Google gives 1.310.000.000 hits. But through inter-/transdisciplinary habits, leveraging
the terminology thinking rather refers to of knowledge for other purposes” (Carayannis
Aristoteles épistêmê (intellectual knowledge) and Campbell 2009, 5). ADTL embodies under-
than making (poesis) and action (technê, praxis) standing and experimental applying. The twenty-
(Parry 2007). Further on, most design thinkers first-century academy organized itself firmly
derive from consulting or management, which around the concepts of disciplinary conceptual
does not equate with what practical experience structures, problems, and methods. In Austria,
teaches. Design Thinking is nothing else than an ministries of art, education, and science even
76 Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams
tend to regulate basic research for universities and • Learning a form of translation of own ques-
applied research for colleges (Fachhochschulen tions and solutions into the “language of other
[FH’s]; Pädagogische Hochschulen [PH’s]), gen- disciplines”.
erate divisions of theory and practice, and believe • Combining theory and practice as well as edu-
that universities should be relieved by vocational cation and dissemination in one seminar.
training institutions in a time where future work • Working research-based.
scenarios and necessities are discussed for jobs • Working reflexive.
that have still to be invented or have to arise. • Writing conference papers (combining own
There is not only an intersection between disci- artwork contextualized with contemporary ten-
plines but also a division in methods and orga- dencies and scientific insights).
nizational structures and between theory and • Presenting so-called interim results (there are
practical knowledge. Europe is considered to no results in life) by performative strategies at
take a second life through the “Bologna process” national and international conferences and
in setting intellectual standards for disciplines; discussing outcomes with an international
scholars are tuning the contours of “the disci- community.
plines” for the twenty-first century (Schneider • Exhibit art or design objects and presenting
2010, xv). In inter-/transdisciplinary work, prac- them in catalogues or books.
titioners must be able to cooperate with fellow • Collaboration between different expertise
team members and make referrals and offer edu- fields, institutions, and in case companies.
cational services (Klein 1990, 150). The • Developing a professional “habitus”.
National Research Council (NRC) of the USA
tracked series of research reports and announced At the ADTL theories, methods of Design
that most significant growth in knowledge pro- Thinking are applied, interdisciplinarity, con-
duction in recent decades was occurring due to structivism, and philosophy are applied, and
interdisciplinary design research (NRC report Walt Disney principles borrowed and combined
1986, 1990). Within curricula of universities in into rhizome-like action processes.
Austria, you will hardly find inter-/transdisci-
plinary elements. The University of Applied
Arts Vienna has unique academic programs Discipline, Interdisciplinarity,
such as transarts and social design. Studying Transdisciplinarity, and
transarts, you may decide your study elements Multidisciplinarity
depending on your interests; studying social
design, the teacher, the staff, and the students The terminologies of discipline, interdisciplin-
work in teams (IDT). arity, transdisciplinarity, and multi-
Reviewers of scientific submissions assess disciplinarity in contemporary science discourse
entries in their own disciplines; reviewers for and its discussions within the fields of art and
inter-/transdisciplinary calls and topics are rare design are relevant to innovation potential. Inno-
to find all over Europe, though, for example, in vation needs teams (Kelley and Littmann 2001,
the USA, interdisciplinary approach is considered 121). De Lange (2012, 212) describes in her arti-
as a key factor for submissions. cle discussions within that students came up
Objectives of the ADTL (Mateus-Berr 2014, against borders, where there were gaps of mean-
220) are: ings and understandings of other disciplines and
contemporary understanding was missing. All
• Collaboration between disciplines during the must learn to transcend the barriers between the
studies (regardless of study progress). multitude of interrogational disciplines and
• Participating by investing own disciplinary endeavour to design a well-argued, and meaning-
background (“I” – Heinrich and Patell 2014, ful framework within which methodology has
157). been clarified (De Lange 2009, 211). Klein
(2010, 17) considers interdisciplinarity in science documenting trends, traces of historical patterns,
discipline as a challenge “where almost all signif- and precedents across the sciences, social sci-
icant growth in knowledge production occurred at ences, and humanities, and Klein shows practical A
the borderlines between established fields.” advice for creating interdisciplinarity on campus
Within the fields of art and design, cultures (2010). Interdisciplinarity is considered
“interdiscipline” (Mitchell 1995, 541, 2009, 819) as a synthesis of two or more disciplines,
is rather used than “interdisciplinary work” and establishing a new method of discourse (Klein
interpreted as a challenge of “breakage or rupture, 1990, 66) with the need of disciplinary behavior,
when continuity is broken and the practice comes which might seem a paradox (Klein 1990, 106).
into question.” When interdisciplinarity is successful, it becomes
a discipline (e.g., electromagnetism, molecular
Definition of Discipline biology, installation art, visual culture, etc.).
The term discipline derives from the Latin word Borgdorff (2012, 92, 177) describes interdisci-
disciplina (“school, science, discipline, and order plinary research as “research operating within
regarding school” (Drosdowski et al. 1989, 131)); the frameworks defined by a particular discipline”
it is associated with pedagogy and “signifies the and understands artistic research as a border vio-
tools, methods, procedures, exempla, concepts lation. In “mode 2” production, interdisciplinary
and theories that account coherently for a set of and transdisciplinary research is put in the context
objects or subjects” (Klein 1990, 104); it brings of application (Gibbons et al. 1994). Sullivan
“access and boundaries, with associations of pro- (2010, 111) believes that “through an interdisci-
fession, elitism, and exclusivity” (Dalrymple and plinary investigation theories and practices are
Miller 2006, 29). The nature of disciplines teased apart and meanings disclose.” Maurice
includes in discussions words such as territory, DeWachter believes in the possibility that through
identity, belonging, and status. A discipline is interdisciplinary processes, disciplines are
considered as a “private property,” a “mother reinforced in their autonomy and describe the
lode”; specialists are locked in their “bastions of need of permanent translation; the solution does
medieval autonomy”; these specialists nurture not necessarily have to be interdisciplinary but
“academic nationalism,” keeping “departmental” can be derived monodisciplinarily (DeWachter
“turf jealousy protected” (Klein 1990, 77). 1976, 52–57). “Until there is willingness to
change one/s mind and translate conviction into
Definition of Interdisciplinarity a language the other will fully appreciate, no
The concept of interdisciplinarity and related con- interdisciplinary communication has taken
troversies over its meaning offers ground for inter- place” (DeWachter 1976, 53). Dalrymple and
esting discussions: 200 years ago, Immanuel Miller (2006, 31) believe that “interdisciplinarity
Kant warned against interdisciplinarity: “Es ist encourages ‘multilogical’ thinking – the ability to
nicht Vermehrung, sondern Verunstaltung der think accurately and fair-mindedly within oppos-
Wissenschaften, wenn man ihre Grenzen inein- ing points of view and contradictory frames of
ander laufen läßt” (Merging the spaces of the reference.” The interdisciplinary nature of many
disciplines is not enhancing but defacing the sci- art and design practices, their organizational
ences (Translation from Ruth Mateus-Berr; Kant diversity, their engagement with other life
1989, VIII–IX)). The father of cybernetics, domains, and their quality assessment procedures
Norbert Wiener (1968, 21), localized the “fertile highlight the importance of the key initiative for
areas” of science in a “no man’s land” in between an ADTL though art and design. The ADTL dis-
different established disciplines. Klein explains covers the “no man’s land” of various disciplines
and demystifies the nature of the interdisciplinar- involved in order to empower innovative solu-
ity that marked the twentieth-century scholarship tions through practical applied and reflected
and completed the first comprehensive bibliogra- research. Some of the most interesting research
phy of the interdisciplinary literature (1990) by is happening at the interfaces of disciplines and
between research and practice, projects that go designers that retained closeness to childhood
beyond discipline and subject boundaries engaging in playfulness can approach this topic
(Newbury 2011, 381–382). by fun and storytelling. At the conferences, the
audience should look over their shoulders and
Definition of Intradisciplinarity reconstruct idea development as well as innova-
Borgdorff (2012, 92) describes intradisciplinarity tive solutions. “We believe that there is room for
as “research, which is operating within the frame- innovation in every aspect of education, and that it
works defined by a particular discipline”: it is can be taught,” Stanford’s website reads (Crandall
therefore considered as “research in and on” a 2013). The team structure at ADTL has a large
discipline. part in the proceedings (see Fig. 1).
Definition of Transdisciplinarity
Klein (1990, 66) describes transdisciplinarity “as Methods, Rules, and Techniques
interconnectedness of all aspects of reality, trans-
cending the dynamic of a dialectical synthesis to Design Thinking emerged from different interests
grasp the total dynamics of reality as a whole.” and has various roots. When methods or tech-
Sullivan (2010, 111) believes that critical perspec- niques become successful, the fight starts with
tive, interrogation of systems, structures, and who invented them. Maybe the design community
practices provoke changes are considered as in general, design theorists, and considerably con-
transdisciplinary. sultants engaged with design and especially
designers through their practical approach, as far
Definition of Multidisciplinarity as they are “reflective practitioners” (Schön 1983;
“Interdisciplinarity” takes several forms, but the Lawson 2006) of design processes. Usually,
two most commonly discussed types are multi- designers talk and reflect about the products of
disciplinarity and transdisciplinarity. Multi- their designing, rather than the process, which led
disciplinarity signifies the juxtaposition of them to innovation. The moment of “eureka” as
disciplines. “It is essentially additive, not integra- described at Plutarch and Vitruvius, explaining
tive . . .” (Boradkar 2010, 18; Klein 1990, 56). the Archimedean principle, which led to an inno-
Borgdorff (2012, 158) observed that multi- vative solution for the product, seems to be more
disciplinarity between artists and scientists takes conscious to most of the designers than the pro-
place in two different forms, namely, science illu- cess of their thoughts and research. The philoso-
minates art or vice versa. pher Martin Heidegger believes that knowledge
derived “from doing and from the senses and
therefore the research in and through the arts”
The ADTL Obtains Various Role Types of (Mittelstraß 2011, 18; Frayling 1993/1994, 1–5)
Team Members in Accordance with represent the adequately methodology.
Lieshout, Belbin, and Raymond “Handlability,” the “praxical knowledge”
(Heidegger 1996, 65), meaning that knowledge
Each member at times might take a leadership role derives from doing and from the senses as well
in a personal style. “Role-playing” behaviors as experimental, action, and problem-based learn-
(Fig. 1) emerge in any team activity, depending ing, studio-based, and practical research, gener-
on personality and experience, and team members ates new ways of modeling meaning, knowledge,
have to be sensitive to each other’s preferences and social relations. Heidegger proposes to stop
(Cross 2011, 96). “staring at the hammer” but instead using it
For all presentations, various performative for- (Heidegger 1996, 65). “Recognition of the natural
mats (Peters 2011) were developed. Artists and course of development (. . .), always sets out with
-Translators, team … possess empathy, translate into other languages, try to solve misunderstandings, are
players friendly, listening, diplomatic, and are eager to reduce deficiencies (DeWachter 1976,
53). They understand “interdiscipline” as a challenge of “breakage or rupture, when
continuity is broken and the practice comes into question” (Mitchell 1995, 541; 2009, 819, A
262-277)
… are cooperative, mild, perceptive and diplomatic, listens, builds, averts friction (Belbin
2012)
-Innovators … are creative, intensely imaginative, solve difficult problems (Lieshout 1998; Matt
1999, 115), are responsible for the development of an innovation or the introduction of a
new idea (2.5 percentage of any overall group) (Raymond 2010, 18)
-Early adopters “are close friends or colleagues of the innovator, high degree of interconnectedness or
(Implementers) involvement with other groups, highly visible, are happy to be exposed to new ideas and
ways of doing things from an individual or group of people they trust and respect” (13,5
percentage of any overall group) (Raymond 2010, 18).
… are disciplined, reliable, conservative and efficient; turn ideas into practical actions
(Belbin 2012)
-Pioneers (Resource … are extrovert, enthusiastic, eloquent, research new facilities, develop contacts (Lieshout
investigators) 1998; Matt 1999, 115; Belbin 2012)
-Coordinator (chairman) … are trustfully, good chairman, explains aims, encourages decision making process,
delegates well (Lieshout 1998; Matt 1999, 115; Belbin 2012)
-Movers (Shapers) … are challenging, dynamic, exert pressure, have courage to overcome any difficulties
(Lieshout 1998; Matt 1999, 115; Belbin 2012)
-Observers (Monitor … are quiet, strategic, very perceptive, overviews all possibilities, judges exactly (Lieshout
evaluator) 1998; Matt 1999, 115; Belbin 2012)
-Converters … are rigorous, reliable and effective, putting ideas into practice, into action (Lieshout 1998;
Matt 1999, 115)
-Perfectionists … are diligently, conscientiously, detects errors, delivers on time (Lieshout 1998; Matt 1999,
(Completer finisher) 115; Belbin 2012)
-Specialists … are self-centered, engaged, delivers know-how which is hardly available (Lieshout 1998;
Matt 1999, 115; Belbin 2012)
-Idea Suppliers (Plant) … build upon the ideas of others. Creative, imaginative, unorthodox, solves difficult
problems (Belbin 2012)
-Secretary … documents, reports
-Moderator … plans, performs and evaluates the meetings
-Time manager … monitors the time schedule
-Organizer … organizes meetings, research papers, exhibitions, presentations in coordination with

the team
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 1 Team members at
ADTL, © Ruth Mateus-Berr, Graphic: Ruth Mateus-Berr
situations which involve learning by doing” a new arrangement of the living room furniture”
(Dewey 1916, 2001, 192). Polanyi (2009, 15) (Cross 2011, 3). Cross argues that expert
stresses “the bodily roots of all thought,” similar designers “exercise very developed forms of cer-
to Richard Sennet (2008), and believes that it is a tain tacit, deep-seated cognitive skills (. . .) and
fact that “we can know more than we can tell” that designing is one of the highest human intelli-
(2009, 4). Polanyi refers his research to the phi- gence” (Cross 2011, 8). Tim Brown, consultant
losopher Gilbert Ryle who differed between and CEO of IDEO (international design consul-
“knowing that” and “knowing how” (also com- tancy), describes Design Thinking is “(. . .) as a
pare Mareis 2010, 121–143). Polanyi (1966, 140– method of meeting people’s needs and desires in a
144; Ryle 1949) discovered the meaning of “tacit technologically feasible and strategically viable
knowledge” by describing a bicycle ride (Every- way and (. . .) as a discipline that uses the
one knows, but can one describe exactly the pro- designer’s sensibility and methods to match peo-
ceedings of the movements of the muscles?), and ple’s needs with what is technologically feasible
Collins quotes that even by knowing the formula and what a viable business strategy can convert
for bike balancing, our brains are not fast enough into customer value and market opportunity”
to apply (Collins 2010, 101). Nonaka and (Brown 2008). He believes that it was Thomas
Takeuchi (1997, 73) describe the difference in Edison who developed this method not only by
western and eastern organization of knowledge. developing the light bulb but also “by his ability to
They examined the western-based “explicit conceive of a fully developed marketplace”
knowledge” which uses repetitive proceedings (Brown 2008, 85). Edison approached problems
and the eastern-based “implicit knowledge” as a broad generalist and was very innovative;
which uses experience, metaphors, and analogies. therefore, he started the first industrial research
To employ both (western, eastern, left-right lab in 1876 (Brown 2009, 180; Edison 2012).
brain), complimentary is considered as a social Brown believes that innovation is powered by
process between human beings. Research on thorough understanding, through direct observa-
design processes will have to rely on tacit, tion of peoples’ needs in a complex world. Eliel
implicit, and explicit knowledge. Two-sided Saarinen (father of Eero Saarinen) suggested that
brain research of the 1980s (Sperry 1981) is still designing should always include considering a
recognized as state-of-the-art research, but larger context (a chair in a room, a room in a
recently, it was discovered by axial tomography house, a house in an environment) (Jones 2010;
(CAT scans) and FMRI that when the brain is Clarke 2011, 239). Today, approaches to joint
engaged in rational or highly creative tasks, both creative processes participation of the user are
halves are at work and both are speaking to each “state of the art,” though Huybrechts (2014,
other and to other parts of their hemisphere, in a 82–83) calls attention: “Participation is risky!”:
collaborative and interconnected manner (Kandel co-working with different disciplines demands
2006; Raymond 2010, 70). Trends in higher edu- getting out of comfort zones and might lead to
cation in art and design have combined to make unexpected and uncertain outcomes. Handing
the question of research of design processes over projects to a larger group of potential partic-
increasingly important. Therefore, design-based ipants that are not immediately involved might
research as research in (artists and designers provoke feelings of uncertainty about how this
research their art/design work) – and through – approach fits to their own defined goals. While
the arts (Frayling 1993/1994, 1–5) is one of the industrialization was driven by sweeping innova-
very interesting contemporary challenges. The tions in technology service, business awareness
design researcher Nigel Cross believes that was very slow. Professor of strategic manage-
Design Thinking “(. . .) is something inherent ment, Roger Martin, who believes that “innova-
within human cognition; it is a key part of what tion is about seeing the world not as it is, but as it
makes us human,” and he argues that “we all could be,” describes Design Thinking: “ (. . .) it
design when we plan something new to happen, focuses on accelerating the pace at which knowl-
whether that might be a new version of a recipe or edge advances from mystery (an unexplainable
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 2 Designrhizom,
© Ruth Mateus-Berr, Graphic: © Ruth Mateus-Berr
problem) to heuristic (a rule of thumb that guides Thinking methods, interdisciplinarity, the philos-
toward a solution) to algorithm (a replicable suc- ophy of constructivism, Walt Disney principles,
cess formula)” (Martin 2009, cover) and demands and rhizomes (see Fig. 2), which are inherent to
abductive reasoning (Peirce 1935–1966), which is the design process. Hence, there is a wide descrip-
rather “wondering,” “guessing” than observation tion of definitions of how the design process takes
(Martin 2009, 64). Design Thinking was recently place. Herbert Simon explains design as a process
arranged by Hasso Plattner, cofounder of SAP who “to devise action aimed at changing existing situ-
created the d.school (design school) of Design ations into preferred ones” (Simon 1969/2001,
Thinking at the Stanford University, CA, USA; by 111; Krippendorf 2006, 25). Simon’s point of
Tim Brown (Plattner et al. 2009); by Roger Martin, view could be interpreted for applied research
dean of the Rotman School of Management at the (versus basic research) and excluding experimen-
University of Toronto (2009); by Gavin Ambrose tal approach, but it also can be seen as process of
and Paul Harris (2010); by Thomas Lockwood, changing situations like in established arts, under-
president and member of the Design Management stood with Gibbons et al. and called “mode 2,”
Institute, visiting professor at the Pratt Institute, when the aim (Marx) is not just to interpret the
who is considered as an expert in the area of inno- world but to change it. Around 1984, “a new
vation and design leadership (Lockwood 2010); by conceptual orientation, a new methodological
Nigel Cross (2011); and many others. basis, and a new organizational identity for design
came into existence” (Krippendorf 2006, 2).
Design Skills, Disney, Rhizomes, and While some authors believe in the structure of
Abductive Perspectives a hierarchical tree (Chomsky 1959, 41), the “the-
ADTL works with methods of design skills ory of the rhizomes” (Deleuze and Guattari 2004,
(Kimbell et al. 2008, 154–166) as Design 20) which is process orientated and “mode 3”
(Carayannis and Campbell 2012, 3) seems to be product design (NPD) risk” (Maciver and
more enlightening (see Fig. 2). In the viewpoint of O’Driscoll 2010).
constructivist, the individual subject-related
hypothesis is of importance, and the rhizomes Design Criteria of Rhizomes
(n-1) may symbolize the design process with var- Gilles Deleuze and Felix Guattari define in their
ious ideas, approaches, and hypotheses, which book A Thousand Plateaus (1980, 2011) six
decide here and there to transfer onto different criteria of the “rhizome” (Deleuze and Guattari
plateaus within all different kinds of abductive 2004, 3–28): the principle of connection and het-
perspectives and fractal solutions (Carayannis erogeneity (1, 2), the principle of multiplicity (3),
2001, 169–170). Iterative phases of Applied the principle of signifying rupture (4), and the
Design Thinking might also be compared to the principle of cartography and decalcomania (5, 6).
Walt Disney principles: Dreamer, Critic, and Design slogans changed: Form follows func-
Realist (Dilts 1994). The Neuro-Linguistic Pro- tion (Louis Sullivan 1896), Form follows fear,
gramming (NLP) method uses methodologies fiction, and finance (Ellin 1999), and Design for
such as shaping a successful behavior, in this the real world (Victor Papanek 1973/2009).
case the designer Walt Disney, and applying the “Author-design,” where the designer believed to
lessons learnt from his applied creative process. know “what the world needs” (1980s), switched
The Dreamer phase is the time for “wild ideas” to user-design (human-centered design), where
and is a brainstorming process. “The Dreamer “looking for the needs of the users” finally
enabled new ideas and goals to be formed, the entered. But research and design (R&D) labs
Realist turns the dreamer’s ideas into reality, the that are in search of a product application as it is
Criticer is the one who will filter out any ideas that by a desire to satisfy established user needs (. . .)
are too ambitious” (Wake 2010, 65) or not realiz- involved a problem which is “absence of
able. Though Disney has to be critically examined research” (Veryzer and Borja de Mozota 2005).
because of his political ideology and consump- In Scandinavian IT (information technology)
tion-orientated Disneyzation (Bryman 2004) of product design, “cooperative design” was applied
the world, some of his strategies might have already in the 1970s. They developed “reflecting
influenced the evolution of design thinking, on the practices” and approaching the computer
because not only designers and design theorists system design with cooperative involvement of all
researched on factors of success but consultants, parties (Greenbaum and Kyng 1991). Empathic
too. Analyzing the derivation of Design Thinking design (Luotain Helsinki DR project 2002–2005;
with Disney, Deleuze and Guattari will show con- Koskinen et al., 2011 148–150) was followed by
flicts very quickly: on the one hand, advocates of participatory design (PD) (Martin and Hanington
neoliberalism, input-output accounts, structure, 2012, 128), and lead users, user-driven innova-
capitalism, success, and manipulation of desire tion, user-centered (Von Hippel 2005, 17, 19,
and, on the other hand, politics of desire, 107), and user created content: Web 2:0 (Bauer
empowering people for their own interests and 2011, 8) as user co-creation (Prahalad and
desires, “a theory which becomes an attempt to Ramaswamy 2004; Buxton et al. 2012) are design
‘think otherwise,’ to explore new kinds of terms, which are derived from North America.
thoughts and relations, new kinds of subjectivity The designer Krippendorff (2006, 135) argues
and society” (Goodchild 1996, 6), demand its “Design competence needs to be given away,
place. In former times, design research method delegated to users, and encouraged everywhere.”
was determined by a simple process of surveying At least since the Biennial Conference in Seattle
existing products in the marketplace including 1990, participatory design research was
cultural, cognitive, and symbolical factors associ- established. In participatory design, democratiz-
ated with product development. “Designers gen- ing design research (DR) took place. “(. . .)
erally work intuitively, while managers seek Human, effective, creative relationship between
systematic logic and minimisation of costly new those involved in technology’s design and its
use” (Schuler and Namioka 1993). Papanek situations. For this process, rules are defined: the
(1973/2009) desired to involve all stakeholders actors work in an equal team. No discipline is
at the very beginning whose interests were more or less respected. The process starts with A
touched. Interdisciplinarity at the dreamer phase “thinking out loud” one’s ideas and continues
also implicates a “cognitive diversity” (Stephan with associations of other persons and fields. For
2010, 97). ADTL is far more a time for personal example, the value of pattern recognition within
ideas and associations, which are shared within mathematics can be totally different as in medi-
the interdisciplinary team. The design process cine, but it might be awesome to reflect on simi-
starts with a problem, as good research does larities and differences and also it is important to
(Polanyi 2009, 21). Usually, design problems are translate knowledge for other team members into
ill-defined and have to be untackled (“Ill-defined their language. At this phase, errors are wel-
Brief: Design a glass.” Designer untackles with comed, stupid questions allowed, and on the con-
questions like: “For what kind of liquid? For what trary realistic, critical, and economical reasoning
kind of target group?” etc.). “The distinction forbidden. One of the major rules is to show or
between well-defined and ill-defined problems draw examples, prototypes, and being visual
has its origins in the specification of components (“Show, don’t tell,” Entmystification following
of a problem space (Hayes 1978), that is, the space Wittgenstein). Empathy must be used to under-
of possible move sequences given the context in stand the other’s interest, frames of each world-
which the problem is set and the information- view (Johnson and Lakoff 2011), and images of
processing limitations of the problem-solver” ideas (in the sense of zelem, eikon, imago as
(Ormerod 2005, 1). The distinction between total abstract nonmaterial images and in order to per-
and partial order planning can be observed ceive as constructivists the legendary pictures of
through approaches of novices (total) and experts Zeuxis). One must try to walk in the moccasins of
(partial) (Cross 2006, 26–27). Creative thinking the other and try to explain it in his or her “lan-
defined as a process of seeing or creating relations guage.” This process might be called Design
(Spearman 1930) and analogies (Ribot 1906) with Translation. Role types as translators are very
both as a conscious and subconscious process efficient at this stage, and they become a very
operating is facilitated in interdisciplinary groups important part in the team. When it is described
and team atmosphere, but also preconscious expe- as “building upon the ideas of others,” it is meant
riences, memories (Kubie 1958), cultural identifi- just in a way of gathering ideas, not stealing ideas.
cations, and social habitus (Bourdieu 1987, This thought might be explained with the example
97–121) are evident. “The Wallas process: of the “creative leap,” where one designer at the
(Wallas 1926) preparation, incubation, illumina- workshop in the Delft Design Protocol (Cross
tion, and revision, which was adapted by de Bono et al. 1996) suggested a specific design concept
(2005), Gordon (1961), Osborn (1948), Parnes “a little vacuum-formed tray” which influenced
(1962, 185–191), and Parnes, (Parnes et al. the whole design group profoundly. Success of
1977) Noller and Biondi (1977) and many others” accepted and applied rules and work at eye level
(Torrance 1993) can be used as definition for was proved at ADTL.
design processes in an iterative manner. Adelheid
Mers proposes creativity as a transparent process, Problem-Solving Methods
referring to SI (Situationist International) who Assemblage of ADTL problem-solving methods,
introduced the radical attitude of non-disciplinar- which are all iterative and circulating, attempts to
ity and believed to change society by penetrating provide an overview (see Fig. 3):
through art (Mers 2012, 260).
• (1,2 principle of rhizomes) heterogeneity, con-
Rules nections, each point can be connected with
The fruitfulness of the associations of an interdis- another/brainstorming, interdisciplinary, cross
ciplinary team can be endeavored in various lateral thinking, “thinking out loud,” and
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 3 Matrix of diverse
approaches, © Ruth Mateus-Berr, Graphic: Ruth Mateus-Berr
“stupid questions”: “a silly question” is a ques- Matrix of Diverse Approaches

tion which is usually not asked because the See Fig. 3.
person who would like to ask it worries about A
looking silly (lacking confidence). Question-
driven theory is that asking questions is central Previous Projects: Examples of Inter-/
to understanding (Morgan and Saxton 2006, Transdisciplinary Projects, ADTL
68–69). “Encourage wild ideas,” SI
(Situationist International): Soyez réalistes, Whenever students’ projects are described they
demandez l’impossible! “Be realistic, demand are co-authors of the texts.
the impossible!” (Gallo: Graffiti Paris 1968). Project “Montagmöbel” (2004) in collabora-
• (3 principle of rhizomes) multiplicity, tion with Volkshilfe Beschäftigungsinitiative,
sprawling widely, different points of view/ Dorotheum, company Wilhelm Schmidt Stahlbau
brainstorming, interdisciplinarity, “defer judg- and other institutions: Aim: Empowering long-
ments,” “building upon the ideas of others,” term unemployed by co- and redesigning old fur-
“reflect on similarities and differences,” niture in collaboration with art and design students.
“research in action,” “empathy,” cross lateral Project “I-Sinne” (2005–2006) in collabora-
thinking, and “handle different levels of tion with the Academy of Fine Arts Vienna, Univ.-
abstraction simultaneously” (Cross 2006, 37). Prof. Franz Pomassl and the University of Music
• (4 principle of rhizomes) a significant breaks/ and Performing Arts Vienna, Univ.-Prof. Igor
although the designer might decide for one Lintz-Maués.
solution, he continues and develops other sce- Project “Audible-Tangible Design” and “Go
narios for more solutions; the solutions gen- Snow” (2005–2006) with Univ.-Prof. James
erate from each other; “enable identification Skone; University of Music and Performing Arts
and recall of relevant knowledge” (Cross Vienna, Prof. Igor Lintz-Maués; Company
2006, 37); Optimized Decision-Making Edelweiser: Aim: Interdisciplinary approach for
(Kimbell et al. 2008, 154–166). Lateral trans- new solutions for interdisciplinary exhibitions
formations: creative shift to new solutions and concerts as well as in researching new move-
(Goel 1995), dialectics of sketching ments for new sport-tools.
(Goldschmidt 1991). Experts versus novices: Project “Maths Goes Design, Design Goes
EEG examinations (Göker 1997) assumed Maths” (2007–2010) with Univ.-Prof. James
that novices use the verbal abstract part of Skone, in collaboration with the University of
the brain during creative processes; experts Technology Vienna, Discrete Mathematics: Prof.
use the visual-spatial cerebral area. Experts Dr. Reinhard Winkler, Prof. Rudolf Taschner
must refer therefore to their experience (math.space), University of Vienna: Prof. Ilse
(Cross 2006, 90). Schrittesser, Dr. Eva Sattlberger, Dr. Eveline
• (5,6 principle of rhizomes) cartography, Christof: Aim: How can design make complex
decalcomania, not copying, but designing mathematic phenomena tangible? Developing
maps, open ended, using abductive logic educational tools with students of two different
which relies on wondering, guessing, not institutions and disciplines.
observation. Its goal is to “challenge accepted Project “The Way Polynomiography Things
explanations, and infer possible new worlds” Go. You real-eyes, what you in-habit” (2009).
(Martin 2009, 65). Prof. Bahman Kalantari developed a computer
program Polynomiography© in order to demon-
Design Rhizome, Visualizing of the Design strate the beauty of algebraic equations and reduce
Process at the ADTL the fear of mathematics. The ADTL researched
See Fig. 2. Polynomiography©, its creative potentials, and its
educational value. In 2009, the Applied Design of the world, and there is not one right solution,
Thinking Lab Vienna presented its outcomes at but various.
Rutgers University (USA, DIMACS Workshop Project “Math goes Design – Post It!” (2010)
on Algorithmic Mathematical Art: Special Cases Aim: The main questions were: How and what
and Their Application, May 2009.) Aim/Research could those two disciplines, maths and design,
question. The central question was, if, and how learn from each other? Therefore, students and
Polynomiography© stimulates creativity and teachers had to develop various ways of commu-
where it leads to. Interdisciplinary approaches nication and learn a new language. Dialogues
took place within the knowledge and associations through Applied Design Thinking methods might
of the participants (the polynomial pattern of a develop a new approach to mathematic education
butterfly, the symmetry of a baroque garden, (Fig. 5a, b). The result of the project was unfolded
etc.). The program itself is a beautiful metaphor throughout the method of the presentation (see
for Applied Design Thinking: to achieve a zero of Fig. 5c, d, e): art performance with Post-its
a complex polynomial function, you start from (Peran 2008). The aim was to create and provoke
any arbitrary point and approach the researched a space for reflection through questions and state-
points in iterative steps, similar to a design process ments about mathematics. Writing, talking,
(Fig. 4). Design Thinking strategies involve parts discussing, and postulating were expected in a
of the philosophy of the radical constructivism. determined chaos. By giving simple instructions
There are no objective conditions and viewpoints how to act (algorithm, equation), the results were
Applied Design Thinking Lab and Creative (Organizers: Bahman Kalantari, Helaman Ferguson Dirk
Empowering of Interdisciplinary Teams, Fig. 4 How Huylebrouck, Radmila Sazdanovic), And: ESSENCE
many paths lead to . . . solution? convergence points, © 2009, Museum of applied Arts. LINK: The Way Poly-
Walter Lunzer, Polynomiography© 2009. Graphic: Walter nomiography Things Go. http://www.youtube.com/
Lunzer, ADTL-Team 2009: Petra Ilias, Ruth Mateus-Berr, watch?v¼e8p161ylL48, http://dimacs.rutgers.edu/Work
Walter Lunzer, Presentation at DIMACS Workshop on shops/MathArt/Slides/slides.html, http://dimacs.rutgers.
Algorithmic Mathematical Art: Special Cases and Their edu/Workshops/MathArt/program.html, http://www.poly
Applications at the Rutgers University 2009, NJ, USA nomiography.com/, http://www.dieangewandte.at
Applied Design Thinking Lab and Creative statements developed during and after the project “Design
Empowering of Interdisciplinary Teams, Fig. 5 goes Maths. Text: Konrad Cernohous, Dominik Gross,
(a, b, c, d, e) Math goes design – Post-it!, Creative Walter Lunzer, Ruth Mateus-Berr. Grafikdesign: Walter
Empowering of Interdisciplinary Teams (Fig. 5 a, b © Lunzer. Presentation at the Bridges Conference in Pécs,
Walter Lunzer, Fig. 5 c, d, e ©Ruth Mateus-Berr). For the Hungary 2010: Konrad Cernohous, Jonathan Farley,
presentation, 3 M’s Post-its were used and all participants Dominik Gross, Walter Lunzer, Ruth Mateus-Berr.
became part of the performance, Dominik Gross, Jonathan LINKS: http://www.bridgesmathart.org/, http://www.
Farley, Walter Lunzer, Ruth Mateus-Berr. Thoughts and dieangewandte.at
put into the initial values of the equation (iteration) dynamic of the decision itself (Briggs and Peat
and developed chaos due to the determined initial 1999). This mathematical metaphor reassembles
conditions. An important role was played by bifur- decision-making in mind mappings and design pro-
cations, situations, where decisions had to be made. cesses. For the presentation, 3 M’s Post-its were
These situations might end with an overshoot-and- used, and all participants became part of the perfor-
collapse or order through bifurcation. In this situa- mance. Post-its appeared and disappeared and
tion, systems break locally through the structure of could be removed without traces. Post-its have
the system and temporarily through the periodical become an item for temporary improvisational
design in urban landscapes, where urbanites recover Project “Swedish Traces in Austria” (2010–
space for their needs (e.g., free running/parkour, 2011) in collaboration with the University of
barbecuing, playing golf with tin holes, etc.). They Vienna, Head of the Department of European
are a symbol and reaction in form of civil disobe- and Comparative Literature and Language Stud-
dience. Post-its were used as a metaphor for disobe- ies: Prof. Dr. Sven Rossel; Austrian-Swedish
dience in traditional mathematic education (see Society: President Dr. Ingela Bruner; Swedish
Fig. 5c, d, e). There is no space there for pupils’ Embassy; Aim: Research of Swedish traces in
needs concerning education, either. Austria by students from Scandinavian studies of
Project “Design with all Senses” (2010): in the University of Vienna and art and design stu-
collaboration with HöR-AKUSTiK DöBLiNG e. dents from the University of Applied Arts in
U., a small enterprise (SME) for acoustic and Vienna, development of educational tools of the
hearing aids in Vienna: Aim: Research Questions: results. Intercultural aspects as well as transfer of
How can this place of business be placed more diverse cultural understandings were part of the
prominently within the regional shopping street? research and solutions.
(Fig. 6). Project “PlayDecide for blind and elderly
people” (2010) in collaboration with Science
Center Netzwerk (PlayDecide EU-Microfund):
CEO Dr. Barbara Streicher, Austrian Association
in Support of the Blind and Visually Impaired:
Aim: How can PlayDecide for elderly people
who are blind or can hardly see be developed,
and how to connect scientific knowledge with
artistic activities?
Project “Polyphon Oikos” (2011–2012) in
collaboration with archdiocese of Vienna; Aim:
Design research and design of a reception hall.
Students from different departments as art and
design education and graphic design worked
together in the ADTL with P. Michael Schultes,
H. Exc. Aux. Bishop Dr. Franz Scharl, CEO of the
Categorical Pastoral Care of the Archdiocese
Mag. Martin Wiesauer and Office Director
for Construction DI Arch. Harald Gnilsen (see
Figs. 7 and 8) as well as Saskia Belem and Marina
Boulaxis.
Project “Design of Medical Communication
Processes INTERACCT” (2010–today) in col-
laboration with the University of Vienna: Faculty
of Informatics, Computer Science Didactics and
Learning Research: Univ.-Prof. Dr. Wilfried
Grossmann, Prof. Dr. Karl Anton Fröschl“ Sci-
ence Didactics and Learning Research: Lukács.
Applied Design Thinking Lab and Creative Foto: © Ruth Mateus-Berr. Thanks for support of
Empowering of Interdisciplinary Teams, the following: Karim Momen/OSRAM, Johnny
Fig. 6 Audible topics, communicated via Comics for Ragland/Bereil (CCRI), Dr. Anita Lawitschka,
communication of a shop in a shopping street, © Simon
Repp, Graphic: @ Simon Repp. Presentation: for the dis-
Dr. Barbara Brunnmair, T-Systems (a division of
trict chair and the SME CEO. LINK: http://simonrepp. Deutsche Telekom, systems integration, comput-
com/, http://www.hoer-akustik.com/ ing, and network services and e-business),
Applied Design Thinking Lab and Creative

Empowering of Interdisciplinary Teams,
Fig. 7 Mirror of the Dome. ©Peter Hausegger Concept:
erent departments as art and design education and graphic
design worked together in http://www.kathpress.at/site/
nachrichten/archiv/archive/47661, html?SWS¼b4c3caf60
60a155e0db583046c1ac9f2&ts¼0.704873001343133756,
http://religion.orf.at/projekt03/news/1206/ne120622_
engelslounge.html
children of the Austrian high school “Schulschiff Applied Design Thinking Lab and Creative
Bertha von Suttner”, Prof. Dr. Manuel Sprung, Fig. 8 Angel’s Lounge. Concept: © David Flattinger,
Faculty of Psychology, University of Vienna, Michael Adensamer, László Lukács. Foto: © Ruth
and Games4Resilence Lab Dr. Fares Kayali: Mateus-Berr. Thanks for support of the following: Karim
Aim: enhance interdisciplinary and participatory Momen/OSRAM, Johnny Ragland/Bereich Holz/
Angewandte, Doris Müllner/Angewandte, P. Michael
approaches in design and technology education; Schultes/Angewandte, Firma Finze GmbH., Art for Art,
case study is design of an interactive web-based Company OSRAM, Anita K., Christine Bärnthaler
communication platform for improving quality of OFROOM (http://www.ofroom.at/index.php?id¼499),
life of patients of the stem cell lab department and Innovation Agency. And to all participants from the
University of Applied Arts Vienna and the archdiocese of
(SCT-INTERACCT) and medical communication Vienna. Presentation: Radio Stephansdom. LINKS: http://
and education in outpatient care after pediatric www.kathpress.at/site/nachrichten/archiv/archive/47661.
hematopoietic stem cell transplantation (SCT); html?SWS¼b4c3caf6060a155e0db583046c1ac9f2%26ts
spin-off is the design of a serious game where ¼0.704873001343133756, http://religion.orf.at/projekt03/
news/1206/ne120622_engelslounge.html
healthy and sick children are participatorily
involved as well as the students of different teach-
ing subjects (informatics, art, and design educa- professional caricaturist, alumni from the Univer-
tion), the caring medical staff, and the industry sity of Applied Arts Vienna (see Fig. 14); devel-
partner (see Figs. 9a, b, 10, 11, 12a, b, and 13). oped video game concepts (see Fig. 9b); and
Students co-designed within interdisciplinary designed nonverbal communication sets.
teams different solutions, such as icons for the In 2013, the project INTERACCT was funded
app (see Figs. 14, 15) and interface design (see by the Austrian Research Promotion Agency
Figs. 16, 17); transferred the identification of the (https://www.ffg.at/en).
needs of the patient and touch points of commu- Hematopoietic stem cell transplantation
nication by a scratch animation (see Fig. 12); co- (HSCT) treats serious malignant and non-malig-
developed avatars with healthy children from the nant diseases (e.g., leukemia or sickle cell anemia)
Viennese Schulschiff Bertha von Suttner and a by destroying the patient’s ill immune system and
Applied Design Thinking Lab and Creative Video-Game Concept/Graphic: © Fares Kayali LINKS:
Empowering of Interdisciplinary Teams, Fig. 9 (a) http://www.ep.liu.se/ecp_home/index.en.aspx?issue¼073,
© ADTL 2010 Title: Apps Concept/Graphic: ADTL- http://www.dieangewandte.at/, http://homepage.univie.ac.
team 2010; Andrea Reithofer, Manuel Kofler ADTL- at/wilfried.grossmann/, http://homepage.univie.ac.at/Karl.
team 2010: Meryem Bozkurt, Stefan Breiteneder, Dominik Anton.Froeschl/#english, http://cs.univie.ac.at/ec-team/
Hagelkruys, Christoph Hecht, Yavuz Ilkay, Manuel Kofler, infpers/Helmut_Hlavacs/, http://www.csg.ethz.ch/people/
Sophia Mairer, Andrea Reithofer, Johannes Schenk, khummel, http://www.stanna.at/content.php?p¼36, http://
Erdogan Tugba Martin Krikl Presentation: at the PATT www.t-systems.at/, http://www.schulschiff.at/cms/front_
26 Conference, The Royal Institute of Technology, KTH, content.php, http://medienportal.univie.ac.at/uniview/pro
Stockholm W. Grossmann, R. Mateus-Berr, 2012, Applied fessuren/detailansicht/archiv/2011/october/artikel/univ-
Design Thinking LAB Vienna: INTERACCT. Interdisci- prof-mag-drmanuel-sprung/, http://www.wjh.harvard.edu/
plinary Technology Education in the 21st Century. The ~msprung/, http://igw.tuwien.ac.at/fares/Fares_Kayali/about.
PATT 26 Conference Stockholm Sweden 2012. Eds: html, http://fares.attacksyour.net, http://igw.tuwien.ac.at/
Thomas Ginner, Jonas Hallström, Magnus Hultén. seriousbeats, http://trans-techresearch.net/tef/vienna/, http://
Linköping: Electronic Conference Proceedings Nr. 73 gamingwithapurpose.com/
(p. 316–322) (b) © Fares Kayali Title: YourTurn! The
Applied Design Thinking Lab and Creative en.aspx?issue¼073, http://www.dieangewandte.at/, http://

Empowering of Interdisciplinary Teams, homepage.univie.ac.at/wilfried.grossmann/, http://home
Fig. 10 Evolution of an avatar. © Doris Schamp, Rebecca page.univie.ac.at/Karl.Anton.Froeschl/#english, http://cs.
Wölfle. Concept/Graphic: © Doris Schamp, Rebecca univie.ac.at/ec-team/infpers/Helmut_Hlavacs/, http://
Wölfle. Presentation: at the PATT 26 Conference, The www.ani.univie.ac.at/~hlavacs/index.php?item¼showcase,
Royal Institute of Technology, KTH, Stockholm. Applied http://www.csg.ethz.ch/people/khummel, http://www.stanna.
Design Thinking LAB Vienna: INTERACCT. Interdisci- at/content.php?p¼36, http://www.t-systems.at/, http://www.
plinary Technology Education in the 21st Century. The schulschiff.at/cms/front_content.php, http://medienportal.
PATT 26 Conference Stockholm Sweden 2012. Eds: univie.ac.at/uniview/professuren/detailansicht/archiv/2011/
Thomas Ginner, Jonas Hallström, Magnus Hultén. october/artikel/univ-prof-mag-dr-manuel-sprung/, http
Linköping: Electronic Conference Proceedings Nr. 73 (p. ://www.wjh.harvard.edu/~msprung/, http://igw.tuwien.ac.at/
316–322). LINKS: http://www.ep.liu.se/ecp_home/index. fares/Fares_Kayali/about.html, www.dorisschamp.at
replacing it with new, healthy stem cells. It is a specially focusing on juvenile HSCT patients in
lifesaving procedure for children and adults with aftercare.
cancer or blood diseases. However, the procedure INTERACCT is mainly meant to improve the
itself is still associated with considerable morbid- communication between patients and clinicians in
ity and high risk for mortality (approximately order to detect possibly life-threatening complica-
40%) due to infection, toxicity, and immunologic tions as soon as possible. In this context, compli-
complications. Over the past years, progress in ance of patients to follow the treatments as well
HSCT has significantly improved survival, but providing their health status to the clinicians is
mortality has been shifted into the long-term fol- one of the main factors for survival. INTERACCT
low-up. In this context, high quality aftercare is an specially focuses on supporting compliance by
essential part of the therapy, and in particular making the design as child friendly as possible.
prompt information is warranted to enhance This includes a fun and entertaining user interface,
early diagnosis and to deliver appropriate treat- as well as the provision of specific computer
ment. The project INTERACCT investigates the games inside an online world. Although we
design and development of an E-Health platform focus on juvenile HSCT patients, we think that
Applied Design Thinking Lab and Creative en.aspx?issue¼073, http://www.dieangewandte.at/, http://

Empowering of Interdisciplinary Teams, homepage.univie.ac.at/wilfried.grossmann/, http://homepage.
Fig. 11 Avatar interface. © Rebecca Wölfle, Doris univie.ac.at/Karl.Anton.Froeschl/#english, http://cs.univie.ac.
Schamp. Concept/Graphic: © Rebecca Wölfle, Doris at/ec-team/infpers/Helmut_Hlavacs/, http://www.csg.ethz.ch/
Schamp. Presentation: at the PATT 26 Conference, The people/khummel, http://www.stanna.at/content.php?p¼36,
Royal Institute of Technology, KTH, Stockholm. Applied http://www.t-systems.at/, http://www.schulschiff.at/cms/
Design Thinking LAB Vienna: INTERACCT. Interdisci- front_content.php, http://medienportal.univie.ac.at/uniview/
plinary Technology Education in the 21st Century. The professuren/detailansicht/archiv/2011/october/artikel/univ-
PATT 26 Conference Stockholm Sweden 2012. Eds: prof-mag-dr-manuel-sprung/, http://www.wjh.harvard.edu/
Thomas Ginner, Jonas Hallström, Magnus Hultén. ~msprung/, http://igw.tuwien.ac.at/fares/Fares_Kayali/about.
Linköping: Electronic Conference Proceedings Nr. 73 html, www.dorisschamp.at
(p. 316–322). LINKS: http://www.ep.liu.se/ecp_home/index.
our approach can be generalized to any child- improve long-term treatment adherence. In the
related chronic disease. The entertaining and play- long run, the use of INTERACCT could lead to
ful INTERACCT Web platform is developed in a earlier diagnosis and, thus, to a better quality of
multidisciplinary approach at the interface of clin- care after HSCT. INTERACCT therefore should
ical research, design thinking, and information have the look and feel of modern entertainment
communication technology (ICT). Augmented platforms, including various elements of enter-
clinician-patient communication may enable the tainment, challenges, games and social aspects,
clinician to early identify behavioral changes etc. Seen from the children’s perspective,
which precede manifest symptoms of diseases. INTERACCT delivers mainly entertainment,
Furthermore, the tool will be adaptive to develop- and is a source of challenges, competitions,
ing problems, e.g., enhanced “drinking games” if empowerment, and fun. The E-Health aspects of
fluid intake is decreasing. An entertaining user fostering compliance, communication, and treat-
interface specially designed for juvenile patients ment should be visible, but not dominating.
should foster interaction with the tool and INTERACCT does not require any newly created
Applied Design Thinking Lab and Creative Electronic Conference Proceedings Nr. 73 (p. 316–322).
Empowering of Interdisciplinary Teams, Fig. 12 (a, LINKS: http://www.ep.liu.se/ecp_home/index.en.aspx?
b) House. @ Anna Grossmann © Courtesy of Scratch. issue¼073, http://www.dieangewandte.at/, http://scratch.
ADTL-team 2010: Seyma Aksoy, Lisa Baumgartner, mit.edu/, http://homepage.univie.ac.at/wilfried.grossmann/,
Anna Grossmann, Esra Kacar, Andreas Roncat, Anna http://homepage.univie.ac.at/Karl.Anton.Froeschl/#english,
Hatice Özgan, Weninger, Desheng Wang, Katharina http://cs.univie.ac.at/ec-team/infpers/Helmut_Hlavacs/,
Weisssteiner. Title: Avatar with Scratch©. Presentation: at http://www.csg.ethz.ch/people/khummel, http://www.stann
the PATT 26 Conference, The Royal Institute of Technol- a.at/content.php?p¼36, http://www.t-systems.at/, http://
ogy, KTH, Stockholm. W. Grossmann, R. Mateus-Berr, www.schulschiff.at/cms/front_content.php, http://medien
Sophia Mairer, A. Reithofer 2012, Applied Design Think- portal.univie.ac.at/uniview/professuren/detailansicht/archiv/
ing LAB Vienna: INTERACCT. Interdisciplinary Technol- 2011/october/artikel/univ-prof-mag-dr-manuel-sprung/,
ogy Education in the 21st Century. The PATT 26 http://www.wjh.harvard.edu/~msprung/, http://igw.tuwien.
Conference Stockholm Sweden 2012. Eds: Thomas Gin- ac.at/fares/Fares_Kayali/about.html
ner, Jonas Hallström, Magnus Hultén. Linköping:
player performance data to help clinicians in

detecting worsening of a patient´s condition.
We did a crowdfunding project of story-telling
and avatar designing competition at German-
speaking schools all over the world: The book
Als die Welt zu tanzen begann is a “best of” all
stories for consolation of ill children, and the
avatars were integrated by the graphic designers
for the game.
The project was presented at the FFG Forum
2015 and Janssen Forum 2016. In 2016, the pro-
ject was awarded with the Occursus Award for
communication in oncology and with the Bank
Austria Award for social innovation in 2014. Sev-
eral media alerts have been published about the
developed project and academic papers dissemi-
nated (Hlavacs et al., Kayali et al., Mateus-Berr
et al., Peters et al.; homepage: https://www.
interacct.at/project/english.aspx).
The avatars and stories for the mini games have
been co-developed by healthy children through an
art competition all around the world by the
Applied Design Thinking Lab and Creative homepage http://www.interacct.at/troestgeschichten/
Empowering of Interdisciplinary Teams, Fig. 13 Als
die Welt zu tanzen begann. Ruth Mateus-Berr, Helmut and published by a book (see Fig. 14) (Mateus-Berr
Hlavacs, Anita Lawitschka, Konrad Peters (eds.), Graphic et al. 2015a).
Design: Pia Scharler und Gerhard Jordan GET USED TO
IT, 2015. LINK: http://www.interacct.at/troestgeschichten/ Project “Math Goes Fashion” (2010–2011)
book.aspx
Since 2010, the Applied Design Thinking Lab
Vienna concentrated on mathematics and fashion.
In Western Europe, the making of patterns in gar-
hardware devices. Unlike other E-Health projects, ments mainly comes from one tradition. So far, no
we do not aim at using special health sensor hard- one has yet thought about an approach based on
ware that automatically detects and sends health platonic solids (see Figs. 19, 20, and 24a, b, c) or
data. Data collection will only include information reformulated the traditional S, M, L, and XL sizes
as requested in the patient handbook like eating with a new mathematical interpretation, body-
and drinking behavior, bowel movement, obser- index-cloth (see Fig. 18). Various forms allow inno-
vation of pain, etc.). Any clinical examination will vative forms of clothes or new forms of play (see
only take place in the hospital during the regular Fig. 23a, b, c, d) or Moebius fashion (see Figs. 21
mandatory visits. Therefore, INTERACCT is a and 22). The lab covered a broad range of problem
pure software solution, but will integrate state- domains from pattern making to fashion for build-
of-the-art low-cost and off-the-shelf consumer ings with inflatable membranes (see Fig. 23a, b, c,
equipment like web cams, smart phones, or a d). Recent experiments revealed new perspectives
Kinect sensor to increase the fun factor for chil- for fashion and, additionally, brought up education-
dren and adolescents. Also, we do aim at using the ally fruitful methods for working with mathematical
Kinect or even Android-based smartphones as topics using a creative base.
input sensors for health data. The Kinect, for
instance, can be used to guide treatment games Project “4 Layers of Sari” (2011–2012) Clean
fostering movement. Also, we aim at analyzing water, free of bacteria, is implicitness in Austria
Applied Design Thinking

Lab and Creative
Empowering of
Interdisciplinary Teams, A
Fig. 14 Cat © Lena
Glieber, Schulschiff Bertha
von Suttner Vienna,
redesigned by © Jens
Kuczwara, University of
Applied Arts Vienna, 2016

Lab and Creative
Empowering of
Interdisciplinary Teams,
Fig. 15 Cat Avatar
© Daniel Martinek,
© Konrad Peters,
University of Vienna 2016
today. Water is an important resource for the beings. Until now, cholera is a life-threatening
development of a peaceful society. Globally, epidemic infection in developing countries. Chol-
clean water, free of bacteria, is a scarce resource. era provokes massive, life-threatening diarrhea
With improvements in methods, through careful attacks, intestinal cramps, and vomiting. Espe-
production, storage, use, and disposing of this cially the youngest children are particularly vul-
valuable element, one will succeed in making nerable of dehydration due to high loss of fluids.
clean hygienic water available to all human Untreated, up to two-thirds of children infected

Lab and Creative
Empowering of
Fig. 16 Map for the Game,
Island ©Jens Kuczwara,
University of Applied Arts
Vienna. Game co-designed
by Ruth Mateus-Berr, Fares
Kayali, Andrea Reithofer:
Vienna and Helmut
Hlavacs, Daniel Martinek,
Konrad Peters: University
of Vienna 2016

Lab and Creative
Empowering of
Fig. 17 Map for the Game,
Island ©Jens Kuczwara,
Vienna. Game co-designed
by Ruth Mateus-Berr, Fares
Kayali, Andrea Reithofer:
Vienna and Helmut
Hlavacs, Daniel Martinek,
Konrad Peters: University
of Vienna 2016
with cholera die, within a few days (Huq et al. cholera control (World Health Organization
1996). In 1973, Rita R. Colwell et al. described 2011). In 2007, the author won a prize for her
the symbiotic life of Vibrio cholerae with zoo- artwork on four layers of sari (Neptun Wasserpreis
plankton and copepods. Huq et al. (1996) 2007 – Verbund) (see Fig. 25), and since 2011, she
invented a simple method of filtration: four layers participates at the Earth Water Catalogue of Uwe
of sari filter out 99% of Vibrio cholerae. In May Laysiepen (Mateus-Berr 2007; Laysiepen (Ulay)
2011, the World Health Assembly recognized the 2011). It is planned to design an object or sellable
reemergence of cholera as a significant global product which expresses the scientific work of
public health problem and adopted resolution Rita Colwell through the label: “four layers of
WHA 64.15, calling for implementation of an sari” for rich target groups. Different innovative
integrated and comprehensive global approach to interpretations of material and saris are made. The
Applied Design Thinking Lab and Creative Coimbra, Portugal 2011. Presentation: Pecha Kucha
Empowering of Interdisciplinary Teams, Fig. 18 Night Vienna Design Week 2011. LINKS: Pecha Kucha
Attention: Body index cloth I. Concept/Design: © Jasmin Night Vienna Design Week 2011: http://www.youtube.
Schaitl. 83 50 30 cm. Fashion, 100% Cotton with com/watch?v.9z9g53kfzsI, http://www.bridgesmathart.
Satin ribbon. Foto: © Debora Däubl, Jasmin Schaitl. org/, http://etopia.sintlucas.be/3.14/Wiskunst/Speakers_
ADTLTeam: Konrad Cernohous, Dominik Gross, Petra Eng.htm, http://www.jasminschaitl.com/, http://www.
Ilias, Klaudia Kozma, Walter Lunzer, Ruth Mateus-Berr, jasminschaitl.com/jasminschaitl/bibliografie/art-exhibition-
Jasmin Schaitl; P. Michael Schultes. Presentation: catalog-2011/, http://gallery.bridgesmathart.org/exhibitions/
Wiskunst Conference, Sint Lucas University, Gent Con- 2011-bridges-conference/jasmin-schaitl
ference, Belgium 2011. Presentation: University of
students approach the project through research on meet, interact, and build clusters (Carayannis
the history as well as on “pattern language of and Campbell 2012, 4, 8–9). The collection
saris,” weaving with different fabrics to produce (suit, shoes), designed by László Lukács (see
layers, designing a didactic pattern which explains Figs. 31–35), and pattern, designed by Klaudia
the use of four layers by pattern recognition and Kozma (see Figs. 36–41), were co-developed
silk screening designs. Inspired by a scientific with manufacturing companies in Hungary. The
result, innovation and sustainable entrepreneur- briefing required an artistic interpretation or a
ship might serve as a solution within the opera- design object, which could be designed by the
tional framework of Open Innovation Diplomacy students. If an interesting result is created, a real-
(Carayannis and Campbell 2009), which “encom- ization might be planned, regarding the interests
passes the concept and practice of bridging dis- of the students.
tance and other divides (cultural, socioeconomic,
technological, etc.) with focused and properly Sari-Irás/Lukács László and Marie-Theres
targeted initiatives to connect ideas and solutions Wakonig
with markets and investors ready to appreciate The project uses the pun of the Hindi word “sari”
them and nurture them to their full potential” and the mirror writing “irás” which means letters.
(Carayannis and Campbell 2012, 2) or applied Experimenting (destructing, material processing)
through “mode 3” (Carayannis and Campbell with patterns (Figs. 26, 27 and 28) and fabrics led
2009), where people, culture, and technology to use of old patterns from Hungary and old

Fig. 19 Platonic solids. Paperjacket. Concept/Design: Applied Design Thinking Lab and Creative
© Walter Lunzer. Foto: © Walter Lunzer, Konrad Empowering of Interdisciplinary Teams,
Cernohous.ADTL-Team: Konrad Cernohous, Dominik Fig. 20 Platonic solids. Paperjacket. Concept/Design:
Gross, Petra Ilias, Klaudia Kozma, Walter Lunzer, Ruth © Walter Lunzer. Foto: © Walter Lunzer, Konrad
Mateus-Berr, Jasmin Schaitl; P. Michael Schultes. Presen- Cernohous.ADTL-Team: Konrad Cernohous, Dominik
tation:Wiskunst Conference, Sint Lucas University, Gent Gross, Petra Ilias, Klaudia Kozma, Walter Lunzer, Ruth
Conference, Belgium 2011. Presentation: University of Mateus-Berr, Jasmin Schaitl; P. Michael Schultes. Presen-
Coim-bra, Portugal 2011. Presentation: Pecha Kucha tation:Wiskunst Conference, Sint Lucas University, Gent
NightVienna Design Week 2011. LINKS: Pecha Conference, Belgium 2011. Presentation: University of
KuchaNight Vienna Design Week2011: http://www. Coim-bra, Portugal 2011. Presentation: Pecha Kucha
youtube.com/watch?v1/49z9g53kfzsI, http://www.bridge NightVienna Design Week 2011. LINKS: Pecha
smathart.org/, http://etopia.sintlucas.be/3.14/Wiskunst/ KuchaNight Vienna Design Week2011: http://www.
Speakers_Eng.htm, http://www.stitching-sessions.com youtube.com/watch?v1/49z9g53kfzsI, http://www.bridge
smathart.org/, http://etopia.sintlucas.be/3.14/Wiskunst/
Speakers_Eng.htm, http://www.stitching-sessions.com
fabrics and saris from Nepal (see Figs. 29 and 30)
to redesign them into a sustainable conscious Figs. 36, 37, and 38). The artwork has the same
haute couture. A suit made of four layers of saris size as an original sari (Figs. 39, 40, and 41). The
(Figs. 31, 33, 34, 35) and shoes (Fig. 32) were project was a collaboration between the students
designed in cooperation with Hungarian 1206 of textile workshops of the University of Applied
manufacturing SME. In a social business, the Arts Vienna and SMEs in Hungary.
products should be produced and sold by SMEs Project “Visuality and Mathematics: Experi-
in Bangladesh, Hungary, or elsewhere. ential Education of Mathematics Through
Visual Arts, Sciences and Playful Activities”
Pattern Didactics/Kozma Klaudia (2012–2016) VISMATH Training a new genera-
The project does not need language. The fabric is tion to accomplish the prerequisites established by
printed with designed patterns and four layers a knowledge-based competitive society and econ-
explain the important use without words (see omy is a significant goal to reach. This project
an interesting, appealing way. Although we have

had language for the last 200.000 years, 95% of
the evolution of our brain took place in a language A
called “mentalese” which works more like a com-
puter language and especially nonlinguistically,
and we still think mainly “mentalese” today
(Petty 2009, 8). Therefore, visualization of prob-
lems and solutions helps us to understand each
other in a more appropriate manner, according to
the LOTH: Language of Thought Theory. Future
work needs teamwork and has to be practiced
already at university level. Involving students
with their personal interest at this level should
also inspire them to use this in teamwork situa-
tions and classrooms. Interdisciplinary and
intercultural work facilitates innovative solutions.
The 24-month program which comprised two
summer schools and experience workshops is
Fig. 21 Moebius. Concept/Design: © Klaudia Kozma. constructed in a way that the subsidiary materials
Foto:© Thomas F. Berr Presentation: University of Coim- and tools used for education purposes are
bra, Portugal 2011. Performer: Daniel Aschwanden. www. involved from everyday life spiced up by artistic
dadax.org. Presentation: Pecha Kucha Night Vienna
techniques, which are very catchy for the youth.
Design Week 2011. Presentation: Presentation of the
Book: Best Spirit. Best Practice. Lehramt an österrei- Thus, this project uniquely combines mathematics
chischen Universitäten. Heiligenkreuzerhof Wien 2011. with art and other ordinary assets with the inten-
Presentation: Explorers Night Budapest 2011. ADTL- tion of attracting Serbian children to learn mathe-
team 2011: Konrad Cernohous, Dominik Gross, Petra
matics and inspiring them to improve their
Ilias, Klaudia Kozma, Walter Lunzer, Ruth Mateus-Berr,
Jasmin Schaitl; P. Michael Schultes. LINKS: Pecha Kucha achievement in sciences. This project has been
Night Vienna Design Week 2011: http://www.youtube. funded with support from the European Commis-
com/watch?v¼9z9g53kfzsI, http://www.bridgesmathart. sion, number 530394-TEMPUS-EU.
org/, http://etopia.sintlucas.be/3.14/Wiskunst/Speakers_Eng.
One of the main challenges and chances of
htm, http://www.klaudiakozma.com/, https://plus.google.
com/photos/110288139125029382508/albums?banner¼pwa TEMPUS EU project was the study visits of Ser-
bian students and their collaboration with Aus-
trian, Belgium, Finnish, and Hungarian students.
Intercultural and interdisciplinary exchange took
aimed to achieve this goal by supporting the place. Under the leadership of Univ.-Prof. Ruth
development of technology and the pragmatic Mateus-Berr, Applied Design Thinking methods
educational methods of the educational institu- were applied for the study visits in order to facil-
tions and their teachers and tutors in Serbia. The itate innovative ideas and interdisciplinary coop-
project also intended to raise students’ interest for eration. Students were able to expand their
mathematics and sciences and make these disci- personal and disciplinary potential and co-design
plines more appealing to the youth, invoking innovative solutions for education. Besides their
inter- and transdisciplinary instruments. The ulti- fruitful collaboration, they developed ideas for
mate purpose of this development project is to mathematics education, improved interdisciplin-
expand and modernize the tools’ system used in ary teamwork, and scientific writing skills. The
the field of mathematics and other sciences. aim of the interdisciplinary workshop at the Uni-
Above all, the methodology of the visual mathe- versity of Applied Arts Vienna was to develop
matics project offers a great possibility for educational tools for enhancing playful math edu-
teachers to present mathematics creatively and in cation through methods of arts and design. They
Applied Design Thinking Lab and Creative com/watch?v¼9z9g53kfzsI, Presentation: Bridges Confer-
Empowering of Interdisciplinary Teams, ence Coimbra 2011. http://www.bridgesmathart.org/. Pre-
Fig. 22 Moebius. Concept/Design: © Klaudia Kozma. sentation: Presentation of the Book: Best Spirit. Best
Performer: Sophia Eyb. Foto: © Klaudia Kozma. ADTL- Practice. Lehramt an österreichischen Universitäten.
team 2011: Konrad Cernohous, Dominik Gross, Petra Ilias, Heiligenkreuzerhof Wien 2011. Presentation: Explorers
Klaudia Kozma, Walter Lunzer, Ruth Mateus-Berr, Jasmin Night Budapest 2011. https://www.youtube.com/watch?
Schaitl; P. Michael Schultes. Presentation: Pecha Kucha v¼ohYjJ2LDtqo, https://www.youtube.com/watch?v¼oh
Night Vienna Design Week 2011 http://www.youtube. YjJ2LDtqo
applied methods of Applied Design Thinking in studies, and information technology, participated.
interdisciplinary teams from Serbia, Hungary, Input lectures about math visualizations and
Germany, and Austria and developed simple, eas- Design Thinking were precondition of work.
ily produced manufacture prototypes. In 2013, 16 Expert lectures were planned as well as discovering
students, 9 from Serbia and Croatia and 7 from Vienna through Urban Pilgrimage Vienna with the
Austria, Hungary, and Germany deriving from performative artist Angela Dorrer in 2013. In 2014,
disciplines as psychology; art and design educa- Georg Gläser gave two lectures and Prof. Dr.
tion; pedagogics, art history, and art education; Michael Schreiber as well; further the “House of
graphic design and math, computer science and Mathematic” (Dr. Georg Lindbichler) was visited.
electronic engineering; painting and graphic With methods of Applied Design Thinking (see
design; applied mathematics; financial mathemat- Fig. 42), they were obliged to develop an innova-
ics; theater (film), art history and visual arts, art tive educational tool in interdisciplinary teams.
history, and social design; information; and com- During their visit, they were able to visit various
munication technology, worked 1 month together recommended English lectures on architecture and
with the objective to develop innovative hands-on design as well as a lecture by Prof. Rudolf Taschner
prototypes as educational tools for the summer or visit various Viennese museums with a special
school in Eger (Hungary) or in schools in general. discount. They could participate at lectures for
In 2014, 13 students, 9 from Serbia, 1 from Mac- drawing and others, which were not part of the
edonia, and 4 from Austria, deriving from disci- entrance examinations clause.
plines such as art and design education, computer 2013: Results from approaches from the first
science, mathematics, telecommunications, inter- group were to raise understanding of geometrical
active media design, social design, arts as urban shapes and their impact on our daily lives through
innovation, electronic engineering, vocational a “play with proportions.” By exploring different
city floor plans and investigating proportions and

geometry, one group came up with a task that
would give students a chance and freedom to A
play with and explore geometrical shapes of cities,
which have their own sizes and proportions (see
Fig. 43a, b). The second group worked on visual-
ization of finance risk-taking. They considered
that the topic should be experimented by prob-
lem-solving through a “risk box” that would allow
you to decide the transparency of processes and
show the risk percentage by solving a puzzle
problem (see Fig. 44a, b, c). The third group
created a tool that would improve the understand-
ing of geometrical shapes by developing a con-
struction, the augmented reality drawing key,
ArtKey. As perspective construction has its roots
in the human visual system, added augmented
reality widens the activity range. In seeing, touch-
ing, moving, and listening, sustainable learning is
guaranteed by implementing all the senses (see
Fig. 45). The fourth group worked on patterns in
nature and a possible correlation of patterns in
numbers. Mathematical concepts such as Pascal’s
triangle, Fibonacci numbers, and golden ratio
were considered in an artistic mathematical dis-
course. With the help of an interactive model for
exploring ratios and visual relations in human
faces, the mathematical concept of Phi shall be
addressed (see Fig. 46). The fifth group had their
objectives in connecting arts, mathematics, and
telecommunication. Explaining how a mobile
phone works was considered as an interesting
topic for the youth. From physical disassembling
Applied Design Thinking Lab and Creative mobiles and looking for their antennas until
Empowering of Interdisciplinary Teams, Fig. 23 (a) designing individual mobile cases with fractal
The Giant Cloud, experimental workshop for children dur-
ing the Carnevale dei Ragazzi, Venice Biennale 2011. Foto
patterns, they developed hands-on tools (see
© air-shaped cloud group – dieAngewandte (Maria Fig. 47a, b, c). The sixth group worked on a new
Walcher, Elena Waclawiczek, Isis Várkonyi, Peter Michael musical notation dictionary, which should offer a
Schultes, Stefanie Pichler, Niki Passath, Kerstin Nowotny,
Klaudia Lässer, Dora Kuty, Carmen Fetz, Konrad ä
^
Cernohous, Clelia Baumgartner, Daniel Aschwanden,
Agnes Achola). The Giant Cloud by air-shaped cloud Applied Design Thinking Lab and Creative
group # dieAngewandte is licensed under a Creative Com- Empowering of Interdisciplinary Teams, Fig. 23
mons Attribution-Share Alike 3.0 Austria License. (b, c, d) (continued) Conference, Belgium 2011. Presentation: Uni-
Inflatable membrane wear. Concept/Design © Konrad versity of Coimbra, Portugal 2011. Presentation: Pecha
Cernohous, P. Michael Schultes. Foto 23 b, c, d © ADTL Kucha Night Vienna Design Week 2011. LINKS: Pecha
2011. ADTL-Team: Konrad Cernohous, Dominik Gross, Kucha Night Vienna Design Week 2011: http://www.
Petra Ilias, Klaudia Kozma, Walter Lunzer, Ruth Mateus- youtube.com/watch?v¼9z9g53kfzsI, http://www.bridge
Berr, Jasmin Schaitl; P. Michael Schultes. Presentation: smathart.org/, http://etopia.sintlucas.be/3.14/Wiskunst/
Wiskunst Conference, Sint Lucas University, Gent Speakers_Eng.htm, http://www.jasminschaitl.com/

Lab and Creative
Empowering of
Fig. 24 (a, b, c) Platonic
solids. Concept/Design:
© Walter Lunzer. Foto:
Figure a © Ruth Mateus-
Berr, Figure b, c © Walter
Lunzer. ADTL-team 2011:
Konrad Cernohous,
Dominik Gross, Petra Ilias,
Klaudia Kozma, Walter
Lunzer, Ruth Mateus-Berr,
Jasmin Schaitl; P. Michael
Schultes. Presentation:
Wiskunst Conference, Sint
Lucas University, Gent
Conference, Belgium 2011.
Presentation: University of
Coimbra, Portugal 2011.
Presentation: Pecha Kucha
Night Vienna Design Week
2011. LINKS: Pecha Kucha
Night Vienna Design Week
2011: http://www.youtube.
com/watch?v¼9z9g53kf
zsI, http://www.bridge
smathart.org/, http://etopia.
sintlucas.be/3.14/Wiskunst/
Speakers_Eng.htm, http://
www.stitching-sessions.
com

Lab and Creative
Empowering of
Fig. 25 4 Layers of Sari ©
Ruth Mateus-Berr
Applied Design Thinking Lab and Creative Applied Design Thinking Lab and Creative
Empowering of Interdisciplinary Teams, Fig. 26 Empowering of Interdisciplinary Teams, Fig. 28
Sari-Irás 2012. Concept/Design: © Lukács László. Foto: Sari-Irás 2012. Concept/Design: © Lukács László. Foto:
© Ruth Mateus-Berr. ADTL-team: Elisabeth Geymüller, © Ruth Mateus-Berr. ADTL-team: Elisabeth Geymüller,
Klaudia Kozma, László Lukács, Ruth Mateus-Berr, P. Klaudia Kozma, László Lukács, Ruth Mateus-Berr, P.
Michael Schultes, Marie-Theres Wakonig. Presentation at Michael Schultes, Marie-Theres Wakonig. Presentation at
ELIA Teachers’Conference Porto. PT 2012. LINK: www. ELIA Teachers’Conference Porto. PT 2012. LINK: www.
weloveomaa.blogspot.com, http://www.elia-artschools.org/ weloveomaa.blogspot.com, http://www.elia-artschools.org/
Activities/teachers-academy-2012-porto Activities/teachers-academy-2012-porto
VISMATH Students’ Works 2013

Group 1 Irina Nalis (AUT, Economic and Social
Psychology), Aleksandra Rastik (SRB, Architec-
ture and Urban Design), Andrea Reithofer (AUT,
Art and Design Education)
Group 2 Madlena Domazet (SRB, Graphic
Design), Nataša Dzaleta (CRO, Mathematics),
Christine Gobbi (AUT, Art History, Art and
Design Education)
Group 3 Dušan Tatic (SRB, Computer Sci-
ence), Stefan Wykydal (AUT, Visual Artist, Art
and Design Education)
Group 4 Milovan Ninkov (SRB, Applied
Applied Design Thinking Lab and Creative Mathematics), Elisabeth Stephan (GER, Social
Empowering of Interdisciplinary Teams, Fig. 27 Design, Arts as Urban Innovation), Jovana Vujcic
Sari-Irás 2012. Concept/Design: © Lukács László. Foto: (SRB, Applied Mathematics)
© Ruth Mateus-Berr. ADTL-team: Elisabeth Geymüller, Group 5 Milena Dordevic (SRB, ICT), Marie-
Klaudia Kozma, László Lukács, Ruth Mateus-Berr, P.
Michael Schultes, Marie-Theres Wakonig. Presentation at Theres Wakonig (AUT, Art and Design Educa-
ELIA Teachers’Conference Porto. PT 2012. LINK: www. tion), Marina Mišanovic (SRB, Applied
weloveomaa.blogspot.com, http://www.elia-artschools.org/ Mathematics)
Activities/teachers-academy-2012-porto Group 6 Klaudia Kozma (HU, Art and Textile
Education), Ivana Supic (SRB, Telecommunication)
new graphical visualization for music, where chil- 2014: Results from the approaches from the
dren have the opportunity to combine geometry first group were to work with the topic of decimal
with their own visual and acoustic experience (see numbers. By discussing the whole and the
Fig. 48a, b, c). divided, emotional aspects of dividing something
Applied Design Thinking Lab and Creative Mateus-Berr, P. Michael Schultes, Marie-Theres Wakonig.
Empowering of Interdisciplinary Teams, Fig. 29 Presentation at ELIATeachers’Conference Porto. PT 2012.
Sari-Irás 2012. Concept/Design: © Lukács László. Foto: LINK: www.weloveomaa.blogspot.com, http://www.elia-
© Marie-Theres Wakonig. ADTL-team: Elisabeth artschools.org/Activities/teachers-academy-2012-porto
Geymüller, Klaudia Kozma, László Lukács, Ruth
(organisms are often killed when divided, which

evokes often feelings of aggression), they decided
to design a puzzle out of a divided circle and to
create a ceramics project for a target group of 10–
11-year-old children in design and technology
education in schools (see Fig. 49). Further on,
this group developed an application, which uses
the capabilities of augmented reality technologies.
This was designed to show scholars step-by-step
solutions to specific mathematical problems with
decimal numbers. To enter this toolkit, a simple
QR marker could be placed in schoolbooks,
linking an augmented reality application (see
Fig. 50). The second group engaged in explaining
infinity to children. Infinity is one of the topics
very hard to explain and further more cannot be
proved by practical examples but explained by
imagination. Besides doing research in youth cul-
ture such as games and movies, they did a partic-
ipatory research in school and asked children to
draw infinity, then evaluated their definitions.
With all generated knowledge, they developed a
Empowering of Interdisciplinary Teams, Fig. 30
Sari-Irás 2012. Concept/Design: © Lukács László. Foto: card came, which includes historical input of
© Marie-Theres Wakonig. ADTL-team: Elisabeth mathematics as well as playful approaches (see
Geymüller, Klaudia Kozma, László Lukács, Ruth Fig. 51). The third group was interested in devel-
Mateus-Berr, P. Michael Schultes, Marie-Theres Wakonig.
oping a visual approach to the theory of functions,
Presentation at ELIATeachers’Conference Porto. PT 2012.
LINK: www.weloveomaa.blogspot.com, http://www.elia- within the theoretical content, detail graphic
artschools.org/Activities/teachers-academy-2012-porto examples created in GeoGebra package software

Title: Sari-Irás 2012. Concept/Design: © Lukács László.
Foto: © Marie-Theres Wakonig. ADTL-team: Elisabeth
Geymüller, Klaudia Kozma, László Lukács, Ruth
Mateus-Berr, P. Michael Schultes, Marie-Theres Wakonig.
LINK: www.weloveomaa.blogspot.com, http://www.elia-
artschools.org/Activities/teachers-academy-2012-porto
perpendicular net of lines, where the meshes are

situated on the crossing points. This fact makes it
possible to express mathematical thoughts in
crocheting patterns and also to experience basic
Applied Design Thinking Lab and Creative geometry as an educational tool. Since Daina
Sari-Irás 2012. Concept/Design: © Lukács László. Foto: Taimina (2009) wrote the book Crocheting
© Marie-Theres Wakonig. ADTL-team: Elisabeth Adventures which describes how to crochet a
Geymüller, Klaudia Kozma, László Lukács, Ruth model of a hyperbolic plane, crocheting settled
Mateus-Berr, P. Michael Schultes, Marie-Theres Wakonig. as an adequate medium to make mathematical
LINK: www.weloveomaa.blogspot.com, http://www.elia- thoughts not only visual but also tactile. The
artschools.org/Activities/teachers-academy-2012-porto developed webpage of group 5 can be used as an
introduction into this precious activity to build a
relationship to one of the participating disciplines
and meaningful use of new media tools. In order (see Fig. 54a, b). The aim of the project of group 6
to foster scholar’s motivation and attention, new was to overcome the difficulty of teaching math-
technologies and media were involved in way of ematics to schoolchildren in an understandable
creating mathematically significant images by and true-to-life way using interdisciplinary
light painting (see Fig. 52a, b, c). Following methods and developing knowledge. The goal
1 month of interdisciplinary work, the students was to find a simple and user-oriented way to
of group 4 conceptualized and designed a hands- teach mathematics in combination with music
on tool about the geometry of a circle that will and music theory principles. Following the guide-
enable the pupils to learn math while developing a lines and principles of an ordinary C major scale, a
sense for visual expression and understanding. By computer application was developed, where
tactile movement and visual experience, scholars mathematical formulas can be tipped in on a key-
may experience the geometry of a circle (see board simulation. Every key on the keyboard has
Fig. 53). Group 5 worked on the topic crocheting. its mathematical equivalent; therefore, if the
As well as a mathematical two-dimensional space, Pythagorean theorem a2 + b2 ¼ c2 is played
a simple crocheted plane consists of elements – correctly on an ordinary computer keyboard, a
called single meshes – which are situated in a triangle appears on the screen (see Fig. 55) .
Empowering of Interdisciplinary Teams, Fig. 33 Empowering of Interdisciplinary Teams, Fig. 34
Sari-Irás 2012. Concept/Design: © Lukács László. Foto: Sari-Irás 2012. Concept/Design: © Lukács László. Foto:
© Marie-Theres Wakonig. ADTL-team: Elisabeth © Marie-Theres Wakonig. ADTL-team: Elisabeth
Geymüller, Klaudia Kozma, László Lukács, Ruth Geymüller, Klaudia Kozma, László Lukács, Ruth
Mateus-Berr, P. Michael Schultes, Marie-Theres Wakonig. Mateus-Berr, P. Michael Schultes, Marie-Theres Wakonig.
Presentation at ELIATeachers’Conference Porto. PT 2012. Presentation at ELIATeachers’Conference Porto. PT 2012.
LINK: www.weloveomaa.blogspot.com, http://www.elia- LINK: www.weloveomaa.blogspot.com, http://www.elia-
artschools.org/Activities/teachers-academy-2012-porto artschools.org/Activities/teachers-academy-2012-porto
VISMATH Students’ Works 2014 Group 5 Vuk Vasic (SRB, IT), Lilian Wieser
Group 1 Dejan Todosijevic (SRB, Computer Sci- (AUT, Art and Textile Education)
ence), Djordje Manoilov (SRB, IT), Jelena Group 6: Filip Popovic (SRB, IT), Julian Gris
Krickovic (SRB, Telecommunication), Stefan (AUT, Art Education)
Wykydal (AUT, Visual Artist, Art and Design Project “Global Studio” (2013) In the winter
Education) semester of 2013, a student from the Department
Group 2 Ivan Maric (SRB, Telecommunica- of Design, Architecture, and Environment (sec-
tion, IT), Clemens-G. Göller (AUT, Design; Art ondary school teacher education), Agnes Czifra,
and Design Education): www.cggoeller.at and two students from the Department of Indus-
Group 3 Jovana Jezdimirovic (SRB, Mathe- trial Design (ID2), Max Salesse and Iuna Mateus
matics), Milan Licina (SRB, Media Designer/ from the University of Applied Arts in Vienna,
Artist) worked together on a virtual basis in connection
Group 4 Klelija Zhivkovikj (MKD, Social with the Global Studio (www.theglobalstudio.eu)
Design, Arts as Urban Innovation), Jovana on the theme of Re-Imagining Folklore together
Radenovic (SRB, Mathematics in Engineering) with students from the Loughborough Design

Lab and Creative
Empowering of
Fig. 35 Sari-Irás 2012.
Concept/Design: © Lukács
László. Foto: © Marie-
Theres Wakonig. ADTL-
team: Elisabeth Geymüller,
Klaudia Kozma, László
Lukács, Ruth Mateus-Berr,
P. Michael Schultes, Marie-
Theres Wakonig.
Presentation at ELIA
Teachers’Conference Porto.
PT 2012. LINK: www.
weloveomaa.blogspot.com,
http://www.elia-artschools.
org/Activities/teachers-
academy-2012-porto

Lab and Creative
Empowering of
Fig. 36 Pattern didactics
2012. Concept/Design:
© Klaudia Kozma. Foto: ©
Klaudia Kozma. ADTL-
Theres Wakonig.
PT 2012. LINK: http://
www.klaudiakozma.com/,
academy-2012-porto
School (UK) in collaboration with the following production, the rising costs, and the complexity of
universities: Hongik University (Korea), new product developments as well as the
UniRitter Laureate International Universities advances brought on by information and technol-
(Brazil), Université de Montréal (Canada), and ogy developments and manufacturing technolo-
Universidade Federal do Rio Grande do Sul (Bra- gies have, in recent years, led to organizations’
zil. As a result of economic developments in cooperative product development with partners in
recent decades, processes of manufacturing and virtual settings as a sort of “agile manufacturing.”
working that were in one place have moved far- This working approach is based on several main
ther away. The growing trend toward outsourcing principles: the benefit for the customer is
Applied Design Thinking Lab and Creative Ruth Mateus-Berr, P. Michael Schultes, Marie-Theres
Empowering of Interdisciplinary Teams, Wakonig. Presentation at ELIA Teachers’Conference
Fig. 37 Pattern didactics 2012. Concept/Design: Porto. PT 2012. LINK: http://www.klaudiakozma.com/,
© Klaudia Kozma. Foto: © ADTL 2012. ADTL-team: http://www.elia-artschools.org/Activities/teachers-academy-
Elisabeth Geymüller, Klaudia Kozma, László Lukács, 2012-porto

Lab and Creative
Empowering of
© Klaudia Kozma. Foto: ©
Klaudia Kozma. ADTL-
Theres Wakonig.
academy-2012-porto
foregrounded, there is a greater readiness for media, the use of various digital platforms, the
change, human knowledge and skills are valued, clear communication of product drawing (hand
and virtual partnerships created. drawing and drawing created by mean of digital
As part of “agile manufacturing” with students, drawing programs), material, target group and
further skills are promoted and practiced: the manufacturing assignment, reliability so as to be
exchange in a foreign language via digital able to solve problems and tasks by a set deadline

Lab and Creative
Empowering of
© Klaudia Kozma. Foto:
© Klaudia Kozma. ADTL-
Theres Wakonig.
academy-2012-porto

Lab and Creative
Empowering of
© Klaudia Kozma. Foto:
© Klaudia Kozma. ADTL-
Theres Wakonig.
academy-2012-porto
in various countries via Skype, empathy and inter- means and to give design students an opportunity
action with other cultures, with various target to develop network skills relating to forms of
groups and also country-specific product and communication as part of an international project.
material semantics. Cross-disciplinary and cross- Since 2007, more than 900 students from all over
institutional teaching and research enable new the world – from 13 different universities with 4
insights and the acquisition of competences. companies – have taken part in design projects
Intercultural competence is considered a key offered by Global Studio (www.theglobalstudio.eu).
experience in this project. The goal of Global Themes that have been addressed by Global Stu-
Studio is to overcome these distances by virtual dio since then are as follows: Re-Imaging Folklore
Applied Design Thinking Lab and Creative Klaudia Kozma, László Lukács, Ruth Mateus-Berr, P.
Empowering of Interdisciplinary Teams, Michael Schultes, Marie-Theres Wakonig. Presentation at
Fig. 41 Pattern didactics 2012. Concept/Design: ELIA Teachers’Conference Porto. PT 2012. LINK: http://
© Klaudia Kozma. Model: Marie-Theres Wakonig. Foto: www.klaudiakozma.com/, http://www.elia-artschools.org/
© Klaudia Kozma. ADTL-team: Elisabeth Geymüller, Activities/teachers-academy-2012-porto
Constructing Constructs 2007–2008, and Kitchen

Timer Project 2006–2007. The Global Studio
offers a large spectrum of options for the scientific
study of product development on an intercultural
and international level. Its main strength, how-
ever, is its practice-based approach, providing an
equivalent of artistic research, arts-based research
in the realm of design. Within a tight 4-month
timeframe (September–December), students
must research on the given theme – Re-Imaging
Folklore – and compile design briefings, Skype
with their colleagues from their international part-
ner universities on a weekly basis, and exchange
Applied Design Thinking Lab and Creative interim reports. From designing a logo for a given
Empowering of Interdisciplinary Teams, Fig. 42 country (see Fig. 59), an extensive study, to a user
Applied Design Thinking Workshop Foto: © Ruth scenario, etc., the students must implement all of
Mateus-Berr. LINK: http://vismath.ektf.hu/student_book_ the tasks that designers are entrusted with. A real
v2.0-online/cover.pdf
challenge for target group was adequate design
activity, the testing of designs from the partner
2013–2014, Festivals, Fairy- tales, and Myths university, and taking and giving constructive
2011–2012, The Gift 2010–2011, Entertainment feedback on the various ideas of others. Most
on the Go 2009–2010, On the Move 2 – Mobile challenging was being able to communicate
Computing Now 2009–2010, Global Health clearly in both drawing and language. In the par-
Local Solutions 2008–2009, On the Move 2007– ticipating countries, the professors of design
2008, Thinking Outside the Box 2007–2008, served as mentors, giving impulses on design
Applied Design Thinking seminar followed a free

brainstorming of associations with the notion of
“folklore” in which mainly folkloric dress, folk A
music, and customs were addressed. The students
from England studied the Austrian Fasching (car-
nival) with its perchtas and designed masks for the
project (see Fig. 62). These masks were then put
together by the Austrian students and tested by
them. Both groups filmed the final results in terms
of use and developed extensive feedback. Since
the students, even at the University of Applied
Arts Vienna, came from different departments,
they were able to support each other with different
types of know-how from teaching or design work.
The students of the University of Applied Arts
in Vienna developed their own idea on the
brownies: Giveaway Brownie – “helping hands”/
“making the world a better place with little foot-
steps” and “Brownie First Aid Box.” (see Fig. 61).
Students’ Works
Iuna Mateus
see Fig. 56, 57, 58, 62
https://www.studiomateus.com
Applied Design Thinking Lab and Creative Agnes Czifra

(a, b) Designing Floor Plans. Authors: © Irina Nalis, http://agnesczifra.com/
© Aleksandra Rastik, © Andrea Reithofer. LINK: http:// See Fig. 59abc, 62.
vismath.ektf.hu/student_book_v2.0-online/cover.pdf
Max Salesse
briefing, co-designing, design research, and other See Figs. 60 and 62.
methods that were necessary for all these tasks. Final results (see Figs. 62 and 63).
Each international team had its own website Cooperation University of Applied Arts
where it had to upload results on a regular basis. Vienna (AUT): Agnes Czifra, Iuna Mateus, Max
The project was evaluated both internationally Salesse and the University of Loughborough
and nationally. The Vienna group began with Design School (UK): Jagrut Mistry, James
extensive research at the Vienna Museum of Green, Chris Sargent.
Folk Life and Folk Art (Volkskundemuseum) Project: Campaign for Fashion Sustainabil-
and a lecture on Fasching (carnival) and its tradi- ity in Austria (2014) Students at the Department
tions in Austria. It compiled a report on this for of Social Design at the University of Applied Arts
English colleagues. They were given the assign- Vienna (Cornelia Bast, Nadia Brandstätter,
ment of working on the “English brownies” (see Antonia Eggeling) and from the University of
Figs. 57, 59). These are first and foremost myth- Economics and Business Vienna (Wolfgang
ological figures, who do mischief at night and, Sachsenhofer) focus on sustainable fashion and
like the “Heinzelmännchen” that are known in textiles in Austria. The aim of this project was to
Austria, clean up rooms. They like to leave behind research the quality of textile materials, advanced
traces and crumbs, and the brownie cookie may production techniques, sustainability, consumer
well have derived its name from this folk tale. An habits and mind-sets, ethical workplaces, textile
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 44 (a, b, c) Risk Box
Puzzle. Foto: © Ruth Mateus-Berr. LINK: http://vismath.ektf.hu/student_book_v2.0-online/cover.pdf
innovation, and other European trends such as up- individual approaches to the issue, expressed as
cycling and DIY. The interdisciplinary team of the design and artworks. While the research of con-
ADTL (Applied Design Thinking LAB Vienna) sciousness and habits in Austria was made by
has used desk research and arts-based research Nadia Brandstätter, deriving from marketing,
methods to develop solutions for a campaign in and Wolfgang Sachsenhofer, deriving from busi-
Austria. At the 2014 ITCCC (International Tex- ness, the artist Cornelia Bast and the designer
tiles and Costume Culture Congress) conference Antonia Eggeling developed art and design
held on October 24 and 25 in Jeonju, South Korea, projects. The results have to be regarded as a
they presented their findings and displayed their whole of an interdisciplinary process, which was
textile solutions for the campaign, aiming to performed at the conference in Jeonju.
actively contribute to changing attitudes toward
sustainability among the Austrian population. The Students’ Works
ADTL team Vienna researched the Austrian Tex-
tile Market and worked on possible strategic cam- Antonia Eggeling
paign ideas to address issues relating to the global Eggeling has designed a business model (BM)
textiles industry. After defining the target group of concept to help consumers resell their unwanted
youth aged 14–19, the team applied various fashion to interested parties. The novelty and
methods of Design Thinking to develop value-ad of the BM is its use of online and offline
media to present perfectly fitting and fashionable ownership and high-frequency fast-fashion shop-
clothes via pop-up events in stylish locations. This ping, similar to other business models such as
business model uses the contemporary trend of UBER (private cars becoming cheap taxis) or A
sharing/co-owning as a substitute to permanent Airbnb (private residences doubling as short-
term hotels). Customers are not only benefitting
from significantly lower prices, but they also have
the inert benefit of coupling consumption with
social interaction and social responsibility. Fur-
thermore, the life span of items is significantly
enhanced through their resale, becoming more
intensively used – reducing the need to continu-
ally purchase new fashion items. Overcoming the
key downside of the business model – secondhand
fashion looking cheap or poorly presented – is the
idea to use high-end photographers to take pic-
tures of owners and their clothes, to be presented
online on a dedicated platform supporting the
pop-up events. The owners are not only able to
present their clothes but also present themselves
in a positive light (see Fig. 64a, b).
Project SILENCE (2013–2019) Since some

years the University of Applied Arts Vienna
holds cooperation with the archdiocese of Vienna,
between 2013 and 2019, they collaborated with
the Akademikerhilfe in order to design two Rooms
of Silence for students’ homes. Students from the
Empowering of Interdisciplinary Teams, Fig. 45 departments of art and design education were
ARtKey Foto: © Ruth Mateus-Berr. LINK: http://vismath. invited as well as students from architecture.
ektf.hu/student_book_v2.0-online/cover.pdf They shared their experiences with students from

Lab and Creative
Empowering of
Fig. 46 Perception of Phi:
Patterns in Numbers. Foto:
© Group 4. LINK: http://
vismath.ektf.hu/student_
book_v2.0-online/cover.pdf

Lab and Creative
Empowering of
Fig. 47 (a, b, c) How does
a mobile work? Fractals.
Design for Mobile Cases.
Foto: © Ruth Mateus-Berr,
Group 5. LINK: http://
the University of Economics and Business and the project. They started to do individual research on
University of Natural Resources and Life Sci- the topic of silence and what it means to them
ences Vienna, for whom they were designed. (examples of first drafts, see Figs. 72a, b, 73e, 74,
and 78a). Only at a later time they were informed
Univ.-Prof. Anton Falkeis and Univ.-Prof. about the real two rooms they had to design. This
Ruth Mateus-Berr, assisted by Clelia facilitated a deep engagement with the topic with-
Baumgartner and Mag. a. Feng Lei, and Tanja out being too much focused on and blocked by the
Happel led the Applied Design Thinking LAB/ outcome. The whole project is documented in a
Applied Architecture Thinking LAB. Challenging book (see Fig. 71) and realized (see Fig. 72).
experience within these lectures was to relinquish
their individual ideas to work within always Students’ Work
changing team groups every semester, but aiming Clemens-G. Göller (See Figs. 65a, b, c, d, e, f, g)
for final solution designs. Students were not Elke Mayr (See Fig. 66)
informed that they would receive contract for Claudia Kragulj and Christine Gobbi (See
work and remuneration, not even about the real Fig. 67a, b)
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 48 (a, b, c) Musical
notation dictionary. Foto: © Group 6. LINK: http://vismath.ektf.hu/student_book_v2.0-online/cover.pdf
Christine Gobbi, Clemens Göller, Lucas Project Clean Tech Energies (2015) Fundamen-
Jankoschek, and Claudia Kragulj (See Fig. 68) tal innovations devised by universities and
Tanja Happel (See Fig. 69a, b, c) research institutes have changed the world – par-
Nadja Schreier (See Fig. 70a, b) ticularly so when collaboration between different

Fig. 49 Clay Spheres. Foto: © Stefan Wykydal. LINK:
http://vismath.ektf.hu/student_book_v2.0-online/cover.pdf
fields was involved. Innovation needs collabora-

tion and interdisciplinary research and work –
which despite their benefits is challenging. Partic-
ularly, in academia, we are faced with an incentive
system that rewards in-depth singularly focused
research and discourage people from leaving their
knowledge silos. In consequence, we have
established cooperation between the University
of Applied Arts Vienna and the Vienna University Applied Design Thinking Lab and Creative
of Economics and Business (Albrecht Karlusch, Empowering of Interdisciplinary Teams, Fig. 50 AR
Wolfgang Sachsenhofer) to help foster innovation Animations part of the app, this part shows a demo anima-
tion of solving a particular problem with decimals. Foto: ©
in one crucial area – and incubate sustainable Djordje Manoilov, Dejan Todosijevic. LINK: http://
energy (clean tech) start-up companies. Sixteen vismath.ektf.hu/student_book_v2.0-online/cover.pdf
students (10 male, 5 female) from Austria, Bul-
garia, Canada, Croatia, Germany, Italy, and of diverse departments of the University of Arts
Poland from the disciplines of industrial design, and Design. As fundamental benefit for arts and
social design, arts as urban innovation, art and design students, we observe faster and more
knowledge transfer, international management, immediate success in the implementation and
strategy, innovation, and management control consequently application of ideas in cooperation
and Erasmus incoming students from the business with entrepreneurship students. In particular, this
fields participated in this seminar (see Fig. 95). approach could be valid for students of arts and
design education. This project does not only out-
This project describes methods (Applied line the progress of an ongoing project but also
Design Thinking Methods (see Figs. 73, 97), com- focuses on the development of teams and the topic
bined with CANVAS (see Fig. 96)) of collabora- and argues for the need for students to gain
tion of students from the departments of strategic insights into applied work in their working
management and entrepreneurship with students context.
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 51 (continued)
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 51 (a, b, c) Game
Design. Foto: © Clemens-G. Göller. LINK: http://vismath.ektf.hu/student_book_v2.0-online/cover.pdf
Today’s understanding of the relationship Despite that, the majority of university semi-
between entrepreneurship and economic growth nars remains organized in monodisciplinary
was greatly shaped by Austrian economist Joseph silos, meaning attended only by students of one
Schumpeter. He described why innovation is the certain (sub-)specialization. Even when the rare
key element for growth in modern economies seminar encourages students to work collabora-
(Schumpeter 1934). Innovation needs teams tively across disciplines, usually, the setup does
(Kelley and Littmann 2001, 121) that are consti- not incentivize students to work across speciali-
tuted at the interface of disciplines and between zations. Students therefore are trained to think
research and practice, as some of the most inter- and work monodisciplinarily and search for solu-
esting research is happening there – and even tions mainly within their specialization. Critical
beyond discipline and subject boundaries abilities such as developing cross-specialized
(Newbury 2011, 381–382). languages, trust, relationships, and norms are
Applied Design Thinking Lab and Creative Licina, Jovana Jezdimirovic. LINK: http://vismath.ektf.hu/
Empowering of Interdisciplinary Teams, Fig. 52 student_book_v2.0-online/cover.pdf
(a, b, c) Light painting function example. Foto: © Milan
little emphasized and usually shrivel (Nahapiet

1998, Bourdieu 1983). Consequently, people
who have not learned to work interdisciplinary
will have difficulties reaping the outsized bene-
fits of collaboration across disciplines – as stu-
dents but also as teachers, artists, employees, or
entrepreneurs.
As previous research shows difficulties work-
ing in interdisciplinary teams (on students’, lec-
turers’, and organizational level; Donelle Ruwe
and James Leve 2001), we like to understand
how to make it work. Therefore, we posed the
question, how seminars can be designed and
implemented to increase benefits from interdisci-
plinarity learning and enhance students’ skills in
working in different disciplines.
Accordingly, we conducted a case study, for
Applied Design Thinking Lab and Creative which we have set up an interdisciplinary course
with students from a business university and an
Fig. 53 Circle. Foto: © Klelija Zhivkovikj, Jovana
Radenovic. LINK: http://vismath.ektf.hu/student_book_ arts and design university. The culture, norms,
v2.0-online/cover.pdf values, and language between those two
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 54 (a, b) Logo of the
Crazy Crochet Circle Machine. Foto: © Lilian Wieser. LINK: http://vismath.ektf.hu/student_book_v2.0-online/cover.pdf

Lab and Creative
Empowering of
Fig. 55 Cacharp Program
Foto: © Filip Popovic,
Julian Gris. LINK: http://
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 56 Project Logo
Austria © Iuna Mateus. LINK: www.theglobalstudio.eu
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 57 (a, b) Brownie
Ideation © Iuna Mateus. LINK: www.theglobalstudio.eu

Lab and Creative
Empowering of
Fig. 58 (a, b) Brownie
Ideation Solid Works ©
Iuna Mateus. LINK: www.
theglobalstudio.eu
universities highly differ, giving us an excellent He wants to learn more about alternative energies
opportunity to investigate interdisciplinary and to minimize energy use. He considers that an
learning. elevator can be adapted to reduce energy use.
IVAN believes that PHILIPP’s particular concern
Team 1: Philipp Mattha (Angewandte/Industrial lies in the realization of people to reduce energy to
Design), Ivan Paladin (WU/International feel that the society is somehow “just, equal.”
Management) (See Figs. 73–75) IVAN designed solutions as using steps instead
PHILIPP (m, 23, German) drew a super cable elevators, using cars for more people, driving to
machine as a clean tech solution. He collaborated the countryside with public transport. PHILIPP
with IVAN PALADIN (m, 28, Croatian) who liked the ideas. Further solutions were designed as
would dream of something similar then nuclear a super robot who controls human beings with
energy, which is not radioactive, produces no energy abuse. The prototype would need some
waste, and takes care of environment. Risk man- reduction of complexity. Evaluating the project,
agement and safety in the sense of pollution seems IVAN wanted to satisfy the needs of PHILIPP by
to be Ivans’ biggest concern. PHILIPP believes creating the prototype of a robot that would help
that IVAN needs a 100% safe replacement for to educate and connect people with their energy
radioactive fuel to feel exited. PHILIPP designed use. There remain some technical challenges.
several solutions as cool fusion reactors, nuclear
waste reactors using nuclear waste until it is not Team 2: Ventislav Dimitrov (WU/Strategy,
radioactive anymore, nonradioactive fuels, “free Innovation, Management Control), Iuna Mateus
energy,” and a “hamster wheel generator.” IVAN (Angewandte/Industrial Design), Greta zaia (WU/
liked the idea of the topic “nuclear waste” and the Strategy, Innovation, Management Control) (See
“hamster wheel.” Further ideas need to be Figs. 76, 77, 78, and 79)
rethought. PHILIPP designed an animal shelter VENTISLAV DIMITROV (m, 24, Bulgarian)
and considered to transfer the idea to human dreams of an interaction between natural
beings or animal shelters in general. IVAN liked resources and sunlight and solar panels for big
the playful idea and thinks that it need to be cities. He designed for IUNA (f, 24, Austrian)
rethought what kind of animals could be involved and described her needs as affordable, adaptable,
and wants to watch the movie “Mon Oncle” by and attractive (user-friendly) solutions. The aes-
Jaques Tati. Evaluating the project, PHILIPP thetics seem to be a very important impact for
stresses that it was problematic to find solutions IUNA, so affordable solutions must meet
because IVAN already had the solution, so he attraction.
could only integrate a different perspective. IUNA needs innovative design increasing effi-
IVAN PALADIN considered a big solar wheel ciency of operation/production to feel confident
as energy solution for houses. He designed for that her idea will spread. VENTISLAV designed
PHILIPP (m, 23, German). PHILIPP’s needs solutions for her as lightweight hollow materials,
seem to lie in the individualization of energy solar panels replacing regular roofs, subway con-
production and he wants an educational input. nections to cooler area to lead exchange, gym

Lab and Creative
Empowering of
Fig. 59 (a, b, c) The
brownie giveaway source
© Agnes Czifra. LINK:
www.theglobalstudio.eu

Lab and Creative
Empowering of
Fig. 60 (a, b, c) Brownie
packaging © Max Salesse.
LINK: www.
theglobalstudio.eu
equipment used for general electricity, and roof- liked his ideas, which fit her mind-set, and
top yard gardens. VENTISLAV did not con- believed that the model needs to be improved
sider his ideas as original. His idea for IUNA with the adoption of scale (stairs). Unanswered
was an office building that captures motion to questions such as feasibility (cost efficiency),
produce energy, built from lightweight mate- project attractiveness, and mass production
rials, where people move within the building, need to be solved.
since movement is used to produce power as a Evaluating the lab VENTISLAV stresses that
magic box. Evaluating the prototype IUNA this exercise helped him to make ideas more fluid;
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 61 (a, b) Functions
and brownie packaging © Max Salesse. LINK: www.theglobalstudio.eu
they were exchanged and from then on developed vehicle with no oil dependency, which can work
by focusing on abstract characteristics rather than in any place and needs no infrastructure and wants
concrete ones; they were not bound and were free the environment to remain clean. GRETA needs
to explore other solutions. independent energy solutions for a clean and
IUNA dreams of solar panels on favela roof- organized environment to feel in charge, safe,
tops and E-motos. She designed for GRETA organized, and good. Solutions for her could be
(f, 24, Italian) who considers it important to be water-driven cars with water vapor, backpacks
independent and to have something ready to use where you can charge phone on the way, and a
and with clean energy. She wants an emergency waste box for energy. Open issues would be
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 62 Functions and
brownie packaging © Agnes Czifra, © Iuna Mateus, © Max Salesse. LINK: www.theglobalstudio.eu
feasibility and question of water as resource. Then utilizes a resource. The concept should be applied
IUNA designed a totally new idea, a train with to a different environment and applied to a differ-
solar panels, which would use driving and waiting ent object, and weight needs to be considered. For
times for charging energy, which makes sense and IUNA, it was helpful to find out what other
Applied Design Thinking Lab and Creative Mistry, © James Green, © Chris Sargent, supervised by
Empowering of Interdisciplinary Teams, Prof. Erik Bohemia. LINK: www.theglobalstudio.eu
Fig. 63 Functions and brownie packaging © Jagrut
GRETA drew a solar-driven bike for transpor-

tation as ideal clean tech solution. She collabo-
rated with VENTISLAV (m, 24, Bulgarian).
Most important element for a clean tech solution
for Venci was defined as continuous increase in
efficiency of space (?) and raw material. Venci’s
hypothesis was that if you make assets more
expensive, it would benefit social affairs and envi-
ronment. As there is a lack of space in cities, not
used space needs to be acquired for living.
GRETA believes that VENCI needs a business
model that increases asset intensity (decrease
waste, increase efficiency) to feel that financial
performance of firms is done in a social responsi-
ble way. Solutions could be, e.g., moveable house
walls according to the need of space, more shared
rooms in buildings, and common children play
rooms, anything for rent. VENCI considered the
suggestions as feasible ideas. GRETA designed a
bed, which would rely on the five senses. Evalu-
ating the prototype, GRETA stressed that every
space, which is not needed, should not be used.
The idea of the bed should be transferred to other
rooms, and open issues as hygiene still need to be
solved. Reflection was made on price points, on
considerations of how big the housing segment is,
on what are the impacts of customer habits (cus-
tomer education), and on the relationship between
human and technology.
Team 3: Jan Phillip Ley (Angewandte/Social

Design), Johannes Simons (WU – Erasmus
Incoming) (See Figs. 80, 81, and 82).
JAN PHILLIP LEY dreams of a natural energy.
This should work in a similar way as the photo-
Applied Design Thinking Lab and Creative synthesis process. He has a vision of green sky-
Empowering of Interdisciplinary Teams, Fig. 64 scrapers in the city. He determines the most
(a, b) Campaign. Model: Jessica Blanc © Antonia important element for a clean tech solution for
Eggeling
JOHANNES (m, 24, German) as a renewable
energy, which improves life quality in the city.
aspects are important to people and to get to know JOHANNES would appreciate public train cards
different visions they have such as things they for free for scholars. He needs mobility with sus-
point out that one has never thought of. Even tainable energy for improving life quality. JAN
though it was a challenge for her, she thinks she draws solution as bike transport mobility or roller
acquired different ideas that she might not have blades which produce energy for mobile phones,
even thought of by herself. speaks in favor of sharing infrastructure and a city

Lab and Creative
Empowering of
Fig. 65 (a, b, c, d, e, f, g)
Raumkonzept Silence
© Clemens-G. Göller

Lab and Creative
Empowering of
Fig. 66 Silence © Elke
Mayr
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 67 (a, b)
Raumkonzept Silence Detail © Claudia Kragulj, Christine Gobbi

Lab and Creative
Empowering of
Fig. 68 Raumkonzept
Silence Detail © Christine
Gobbi, Clemens-G. Göller,
Lucas Jankoschek, Claudia
Kragulj
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 69 (a, b, c)
Raumkonzept Silence © Tanja Happel
without cars and moving cities. In his draft, con- might be a good start to give people an under-
cept scale should be improved, but the other solu- standing/a feeling for sustainable energy produc-
tions were appreciated. As totally new solution, tion and efficiency problem. He considers the
Jan designs a bike system of many tandems, which problem of distance and believes that a new per-
produce energy. People meet at the bike club to ception of distance (time/space) as an advantage at
meet friends and make energy and join the com- the same time is needed as a physical product to
munity. Open issues of his prototype were that a sell. Jan was affected with the reality that a city
city without cars will never exist because it dedi- without cars will never exist (“JOHANNES”) and
cates comfort to the people. Solutions have to be questions if this is the real core of Johannes needs.
found for elderly and drunk people. What could be To make a prototype, JAN would need more time
used is the bike system as transportation system. to find out needs.
Evaluating the whole process, JAN believes JOHANNES SIMONS dreams of a city with
that the social- and community-related aspect wind energy and cars, which do not produce

Lab and Creative
Empowering of
Fig. 70 (a, b)
Raumkonzept Silence
© Nadja Schreier

Lab and Creative
Empowering of
Fig. 71 Buchkonzept
Silence © Clemens-G.
Göller
exhaust gases. He designed for Jannes (m, 26, needs sustainable solutions that are attractive to a
German) who would like to work on smart ener- broad range of people for them to feel good
gies and safe resources for economic reason, to as a citizen. JOHANNES designed solutions for A
make the world a bit better. For JANNES, as a JANNES, which relate to supermarkets, which
very idealistic person, all has to have a benefit. He advise for energy savings as apps for energy sav-
ings at private houses. JOHANNES designs a
plant for JANNES, which inherits a positive edu-
cational aspect and needs more user interaction. It
could be a “Tamagotchi Plant.”
Evaluating the process, JOHANNES states
that he has problems of being creative under
time pressure but is happy with the result and is
happy to have met JANNES’ needs with educa-
tional aspects.
Team 4: Alexander Hirner (WU/Strategy,

Innovation, Management Control), Stephan
Lehner (WU/ Strategy, Innovation, Management
Control) (See Figs. 83, 84, and 85)
ALEX dreams of a drone, cleaning solar panels.
His interview partner is STEVE (m, 23, Austrian)
who is interested in energy tanks and transport-
able power. STEVE wants to be more independent
of energy in Europe. He needs freedom, auton-
omy, and self-determination to feel more under
control of his destiny. A design solution for
STEVE could be beaming instead of using energy
and different fuels like f.e. blue fuel cell for run-
ning on air, red fuel for . . ., green fuel for . . .
Empowering of Interdisciplinary Teams, cross-linked trees and woods with bio-reactors
Fig. 72 Realization of one Room © Anca Brad seem to be a good solution for STEVE, but

Lab and Creative
Empowering of
Fig. 73 Applied Design
Thinking LAB © Ruth
Mateus-Berr

Fig. 74 Applied Design Thinking LAB © Ruth Mateus-
Berr

Berr
Berr
Empowering of Interdisciplinary Teams, Empowering of Interdisciplinary Teams,
Fig. 76 Applied Design Thinking LAB © Ruth Mateus- Fig. 78 Applied Design Thinking LAB © Ruth Mateus-
Berr Berr
bioreactors stink and have to be rethought, he create some solutions, and a funny method was
wants to reuse earth for future times. A totally discovered, but also can be applied to the mini
new idea would be to use fitness places for energy aspects by changing the size. A
production. This idea was considered as great and STEPHAN LEHNER drew a supercomputer
original and could be further developed as a as ideal clean tech solution and dreamt of an
gamified app and applied for other energy trans- electric velocity. He empathized with ALEX
missions as, e.g., Jacuzzi. The problem is the (m, 31, Austrian) and described his need as an
feasibility. Evaluating the process, ALEX liked automatic clean tech building considering outside,
how the solution was described and that it could efficiency, and time. Solar panels should stay
be traced back to a bigger idea. The picture clean and that there should be a photovoltaic
meets needs, wishes, and aspirations. Political automation. As he himself does not like to clean
oppression and dependency lead to energy things, he considers this as a general topic.
autonomy. The solution with the beamer is not STEPHAN believes that ALEX needs automation
good because this would be as escaping prob- to feel convenient. STEPHAN designed some
lems, should be solved rather locally. Interest- mechanical solutions for automation of solar
ing observation: time pressure forced them to panels concerning movement and auto-clean sys-
tems. ALEX liked the idea of automatic house-
hold and believes that costs and demands need to
be rethought. The open questions as costs still
have to be clarified. STEPHAN designed an elec-
tric transportation vehicle that would have inte-
grated a solar Jacuzzi and that does shopping
delivery and a solar drone which can calculate
delivery time when sent and does automatic
cleaning of solar panels. ALEX liked the iterative
improvement STEPHAN designed for him, con-
siders feasibility as open question, and believes
that service and self-control need to be improved.
Evaluating the prototype, STEPHAN reflects that
it was an iterative process to find out what ALEX
Empowering of Interdisciplinary Teams, really wanted and that it would not fit with his
Fig. 79 Applied Design Thinking LAB © Ruth Mateus- solution but completely satisfies customer’s needs
Berr and is feasible to him.

Lab and Creative
Empowering of
Mateus-Berr
Empowering of Interdisciplinary Teams, Empowering of Interdisciplinary Teams,
Fig. 81 Applied Design Thinking LAB © Ruth Mateus- Fig. 84 Applied Design Thinking LAB © Ruth Mateus-
Berr Berr
Team 5: Tano Bojankin (Angewandte/Art and

Knowledge Transfer), Sarah Tang (WU/ Strategy,
Innovation, Management Control) (See Figs. 86,
87, and 88)
TANO BOJANKIN dreams of clean tech houses
and designed for SARAH (f, 24, Canadian) who
considers and needs a big data as a convenient
solution to feel comfortable. TANO designs
mentoring, sensory, and consumerist data pro-
cessing centers. Also the new solution is an inter-
active consumer data transfer system with sensory
Applied Design Thinking Lab and Creative aspects.
Empowering of Interdisciplinary Teams, SARAH TANG dreams of a natural water
Fig. 82 Applied Design Thinking LAB © Ruth Mateus- heat using energy model for energy need of
Berr
housing. She designed for TANO (m, 45, Aus-
trian) a house-processing heating. TANO con-
siders wasted resources, interconnectedness to
politics and other aspects sustainable living and
saving nature and diversity as extremely impor-
tant. He needs less waste to feel resourceful. She
designed solutions as leftover fuel is used for
home heating and a machine which tells us
when, where, and which energy is to be used
within a house and believes that interaction
between unused energies (also garbage) of a
“powerhouse” could be used and transferred to
other needs for heating houses.
Addressing issue of “wasted” energy to be
Empowering of Interdisciplinary Teams, used went well, and fixed cost and independent
Fig. 83 Applied Design Thinking LAB © Ruth Mateus- techniques were used to improve efficiency. Spe-
Berr cifics about what kind of “waste” should go into

Lab and Creative
Empowering of
Mateus-Berr

Berr
the system and what type of energy comes out

should be improved. Open issues are the effi-
ciency of having self-sustainable household gen-
eration as an integrated city system, and there
should be a research type of energy to operate
heat or electricity.
Evaluating the whole process, SARAH thinks
about household waste which would go into a
generator and “wasted” electricity or energy Fig. 87 Applied Design Thinking LAB © Ruth Mateus-
from appliance that goes into an energy con- Berr
server and is transformed to useful energy (in
form of heat, electricity, etc.) This useful energy Team 6: Johannes Engelhaupt (WU/ Strategy,
is distributed to other systems that require power Innovation, Management Control), Noor Fakhari
to operate. Ideally, 100% of energy that uses (WU/ Strategy, Innovation, Management Control)
power system is dispersed through systems. (See Figs. 89, 90, and 91)
Energy systems are designed for future JOHANNES ENGELHAUPT dreams of an
solutions. ecosystem that puts waste and dirt via filter into
new energy. He designed for NOOR (f,29, Cana-

dian) who dreams of solar panels for transporta-
tion and connecting existing technologies. She
loves environment and hates pollution and
believes that oil is a curse. NOOR wants to forego
oil, believes that cheaper trains to feel better about
political systems in the Middle East and the future
of developing countries. JOHANNES designed
solutions, where different existing energies com-
bine with each other as solar cells and wind
energy-driven housing or trains. She liked the
acoustic separation, the filter system, and the
Empowering of Interdisciplinary Teams, waste compressor, but it still needs to be
Fig. 88 Applied Design Thinking LAB © Ruth Mateus- researched especially on how the filter works
Berr and how this concerns health issues. JOHANNES
designs a train with solar cells for her, which also
uses wind energy. NOOR liked the solar cells and
suggests to use solar power not only for trains but
for cities in general, make feasibility studies, and
use friction of train movements. JOHANNES
considered the approach as a lot of fun, although
it was also stressful to design so many new ideas
and solutions. He developed an idea step by step
and considers talks to broaden his vision. Building
the prototype helped him to get ideas more
visually.
NOOR FAKHARI dreams of a solar grid, a
solar-powered train, a rail track that is connected
to solar grid. Noor designs for JOHANNES
Empowering of Interdisciplinary Teams, (m,24, German) and stresses that JOHANNES
Fig. 89 Applied Design Thinking LAB © Ruth Mateus- believes that the final product needs to be money
Berr saving for the end user. Johannes believes that

Lab and Creative
Empowering of
Mateus-Berr

Berr

Berr
panels on track, not on train and adaption of

technology to regional requirements and
resources. It could be improved to consider solar
cars and develop lighter trains, which would need
Applied Design Thinking Lab and Creative less energy. Noor’s totally new idea was a “gar-
Empowering of Interdisciplinary Teams, bage shoot pipe machine” which differentiates
Berr between glass and plastic and biowaste and
works with solar panels. The solution looked real-
istic, as open issues, market research, and a pro-
there must be an easier way for sustainable prod- totype of technical proceeding need to be
ucts and facilitation of the behaviour of outlined, as well as a feasibility study. An idea
consuments; sometimes people need to get forced could be to introduce an incentive system to sep-
because they throw bottles in the wrong place and arate waste. Evaluating the whole process, Noor
there is too much waste (personal waste needs to was impressed that just a small premature proto-
decrease) and there is a concern for wildlife. Noor type generated so many ideas for improvement.
believes that JOHANNES needs a feasibility
study for product performance, needs clean air Team 7: Stephan Trimmel (Angewandte/Social
and clean environment, and needs to see waste Design), Weronika Czarnecka (WU/ CEMS) (See
where it belongs to feel passionate about environ- Figs. 92, 93, and 94)
ment and wildlife. Noor designs a machine at the STEPHAN TRIMMEL dreams of a clean tech
public garbage places, which filters waste and solution using natural energies. He designed for
reusable waste in order to develop building mate- WERONIKA CZARNECKA (f, 23, Polish)
rial out of it, and they need to hire volunteers to who wants to have a green efficient future NOW,
separate waste there. Well went the idea of solar clean air, and a form that looks nice. She considers
a nice interesting form, with a good function immediately and is looking nice. The form should
which works immediately and could be a gadget follow efficiency to feel cozy and relaxed with the
accessory. She needs a function that works new means of energy (production, saving, etc.).
STEPHAN designs a watch, a window frame with
solar and wind energy, a moto-cycle, and a solar
wind flower. WERONIKA liked the flower and
the idea of the balcony, but it needs to be
improved and they need to find out ways on how
to improve immediately. STEPHAN designed a
window frame and then he could not go on
because his partner left.
Synthesis of Methods
We believe in the need for a synergistic model of
the business CANVAS method and the ADTL
method and have developed our art and design
canvas model (ADCanvas) (Mateus-Berr et al.
2015, pp. 127–136). It describes art and design
as starting point in the development of sustainable
business solutions and requires know-how, empa-
thy, and willingness to collaborate both disci-
plines. We think the learning opportunities for
the collaborators are fundamental – that analytics
and creativity are often ideal matches. Design
Thinking is not a service to be bought on the
open market at some point in the development of
the start-up (outsourcing). Design Thinking needs
to be a firm part of the development process from
start to finish to reap the described benefits.
Empowering of Interdisciplinary Teams, Going back to the logic of the business canvas,
Fig. 94 Applied Design Thinking LAB © Ruth Mateus- it has a critical flaw in its development phase,
Berr which practitioners and academics alike have
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 95 Workshop © Ruth
Mateus-Berr
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 96 Synthesis © Ruth
Mateus-Berr, Albrecht Karlusch, Wolfgang Sachsenhofer
been pointing out. The most crucial function in the

overall start-up creation is the first phase of devel-
oping the value proposition that needs to closely
mirror customer needs. Currently, ideas are often
developed past (real, sustainable) customer needs
due to inadequate tools to address this fundamen-
tal problem. We believe with the seminar we have
been able to synthesize the ADTL method as
engine of idea development and customer centric-
ity (empathy) with the rigor and implementation
focus of the business canvas.
Using Applied Design Thinking and Lean
Start-up Canvas methods as the methodological
underpinnings, the current case study shows how
seminars between universities can be designed to
train interdisciplinary abilities and skills. This
approach shows how higher educational compe-
tencies in art, design, and architecture can be
successfully transferred into the business context.
The results so far indicate that our seminar sup-
ports students of different fields to develop com-
petencies and skills that reduce the (perceived)
gap between disciplines. As this project shows, Applied Design Thinking Lab and Creative
having to agree on common codes/languages Empowering of Interdisciplinary Teams, Fig. 97 Sea
Sampler © Sarah Z Tang, Johannes Simons, Philip Mattha
reduces students’ natural tendency to mono-
disciplinary cooperation perspectives, thereby
decreasing overall cooperation efforts between that were taken to evaluate the persistence of the
heterogeneous groups. Thus, the case study pro- created skills in a long-term perspective.
vides interesting contributions to existing knowl- The start-up-pitch winning group of this sem-
edge how interdisciplinary approaches can be inar was invited to a start-up presentation
combined to realize common project aims. Fur- (Enpact#15) in Germany. Sarah Z Tang, Johannes
ther research should be conducted to be able to Simons, and Philip Mattha collaborated on a so-
generalize the presented assumptions, to evaluate, called sea sampler (see Fig. 97). Their vision was
and to rank the importance of the various actions to create a worldwide on demand service for sea
sampling by connecting sailors, who have own stay undecided because one is compulsively
boats and have idle time to ocean researchers concerned that one might miss out an opportunity
who are restricted by time, geographic location, or to make the wrong decision. Frightened of
and resources. The team consisted of students making a mistake is identified as the key cause
from the University of Applied Arts Vienna and of the anxiety-driven youth, which does not want
University of Economics and Business Vienna to position themselves. These attitudes were iden-
and marine biologists. This approach nurtured tified as elements of modern youth culture (zero
impressive results, including strategic partner- tolerance generation), and FOMO is considered to
ships, an expedition in the Mergui Archipelago be one of the “first social media diseases” as an
and winning a number of pitches and investments. inevitable by-product of the experience economy.
A large percent of youth is believed to be addicted
Project: “Designing FOMO – Fear of Missing for a permanent standby in cautious tightness as
Out” (2015) This project reports a seminar on a Bernhard Pörksen (2014), a media scientist at the
topic of youth culture, namely, “FOMO” – fear of University of Tübingen, described. Children in
missing out – or difficulties in decision-making, school as well as students at university are afraid
applying methods of applied design thinking. It to be disconnected with social media and addicted
describes different approaches of students from to be “always on.” Therefore, concentration and
interdisciplinary fields, but mainly from teacher presence are missing, permanent distraction
education for design education in secondary applied. Observations of inner retreat, “Bieder-
schools. Students were encouraged to approach meier,” versus “always on” – but in distance and
this topic by the materiality of objects. Under- with increasing lack of personal relationships –
standing the culture of objects presents itself as a are made. Although it is commonly known that
problem to be solved. This project explores the the phenomenon of FOMO is not limited to social
importance of critical analysis of objects, material media only (Pfister 2014), the usage of
associations, and documentation of workflow. It smartphones does widen the problem.
examines the importance of the role that material- Smartphones are highly addictive (Lill 2013)
ity plays in the personal association with a topic, and can lead to dependency. Basically, everybody
production, and consumption of meaning and in can suffer from FOMO, but the project aimed to
facilitating the experience of “FOMO” through find out which individuals are more likely to be
objects itself. This project proposes the impor- affected. A study carried out by the advertisement
tance of unfolding the process of production and agency JWT Intelligence (Adams and
engaging with a topic by means of critical reflec- Rademacher-Scheele 2012) shows 40% of the
tion, documentation by portfolio, and discussion respondents between the age of 13 and 67 years
as design-based research. Things became clear to stated that social media increased their “FOMO.”
the very characters of the students as experimental According to this study, male juveniles are in a
knowledge is derived. “Found Footage,” such as higher extent victims of FOMO than their female
objects of first associations as well as designed contemporaries. Affected people also show
objects, becomes narrative of own problem-solv- unsatisfied psychological needs such as being
ing strategies or empathizing with those of others. loved and respected. As a matter of fact, social
We suggest a further expansion of research pro- media does not only open up new ways of com-
jects that focus exclusively on the relationship munication but brings changes to systems in
between material culture experience and emotions places. Whatever somebody does in private or
as material culture is the product of and is embed- working life can be shared with the whole world
ded in “internal” experience. instantly and be commented within seconds. This
flood of information hardly allows time for ratio-
This project describes a design research project nality and self-reflection. In that way, egocentrism
on the topic “fear of missing out” (FOMO) which is positively sanctioned by society – communica-
represents a form of social anxiety to decide and tion seems to flow easily inside the system: social
networks convey a collective appearance with Theoretical Perspectives: The Meaning of Critical
individual content. Indeed, the individual is con- Analysis in Design Process
trolled by the system. “Theory can provide a structure for understanding A
Students at the department for design educa- problems and help generate methods for solving
tion in teachers training (2 men and 2 women) and them” (Doblin 1994, 6), and objects can be ana-
one student from MA Social Design (1 woman) lyzed as “mediators of human relations (. . .) and
engaged with design research on that topic assist (. . .) to understand the social and cultural
through own (“internal”) experience, critical impact of design activity” (Boradkar 2010, 25).
interpretation of things, literature research, and Two hypotheses have to be stressed: first post-
participatory research with design-thinking modernism today seems mixed with irrationality
methods, the following visions of art and design and overemphasis of the senses. These new man-
objects were developed. Designers and design ifestations are dangerous (known from historical
educators have found different approaches to experiences) to right parties; multiperspective her-
FOMO: meneutic is abused for political manipulation.
Joseph Grima’s design research collaborative Second, many designers, especially in times of
Space Caviar created a print magazine, a new “arts- and design-based research,” have confused
real time publishing algorithm, called “fear of practice with research (Friedman 2008, 154) and
missing out,” as an attempt to produce a physical seem to revert to “magical intuition,” which is
record of the fleeting bodies of physical interac- scientifically researched as experienced embodi-
tions and electronic debris generated by event ment in the meanwhile.
culture, which combines text produced using Applied design thinking is a human-centered
voice recognition technology with text and approach toward learning that encompasses active
images posted on social platforms like problem-solving by engaging with (Dewey 1920,
Instagram and Twitter; a FOMObile, a collaps- 159–160). S. Goldman et al. (2012, 19) believe
ible mobile publishing platform, should filter the that language is central to this view, because we
electronic dust cloud that surrounds events communicate and dialogue with others (Bakhtin
(Winston 2014) and make it accessible as a 1986), even by digital media. Therefore, this pro-
physical record. The students of the seminar ject shows an attempt to analyzing personal topics
FOMO researched for the best strategy to deal by material.
with the situation itself, to overcome being
addicted to social media at least for “some Michael Bakhtin claimed as Vygotsky, that our mind
time” or to map the process of one example of and consciousness mainly is shaped by semiotic
mediation in social space, by the use of signs.
everyday life decision-making. Bakhtin emphasized relations, and claimed that
The art project Space Caviar and the student everything is in dialog or in a relation to something
project (FOMObile, Student Projects FOMO), else. (. . .) Bakhtin claimed that we always are in
ephemeral situations, were frozen in both project dialog with our others and our physical and cul-
tural contexts. (Frisch 2013, 1987)
approaches through analogue culture: FOMObile
summarizes and publishes, e.g., tweets which usu-
ally are not reflected and read again and the stu- Student Marius Fischer: “What kind of Shoes
dent’s projects which were frozen to objects Should I Take?”
(prototypes) of personal FOMO experience and As the students were asked to reflect their own
reflections about it. Viewing design and applied decision-making, one of the students had chosen a
art objects as “concrete expressions of material trivial task, such as to buy shoes. He did not
culture” (Boradkar 2010, 8), this research investi- expect to find such cheap shoes and from then
gates how designers of different fields engage on started to research shoe production. Questions
with the world and its concrete challenges and arose like if it makes sense to buy cheap shoes
the importance of communication and reflection ignoring the production process, sustainable
of processes. methods, and working conditions. Test reports
published on the Internet proved that diligently

tanning of leather pollutants as Chrom VI are
trapped and might provoke allergies. People,
partly even children who produce this leather,
suffer very bad living and working conditions,
hazardous to health (Hansen 2015). The students
realized that by even buying expensive shoes,
high quality is not guaranteed. Therefore, the stu-
dent researched a shoe model that would show
transparent manufacturing conditions as base for
decision support.
One example was found at Terra Plana, which
minimizes the need for glue and which reduces
toxins. “All shoes are handmade in studios
employing Fair Trade principles [..]” (Huey and
Proctor 2007, 170). The student worked on a
visualization of his decision-making process by
an installation. A simple order should describe
important information as two pair of shoes (one
cheap, one expensive) in front of a plate of wet
clay. The observer should have the possibility to
decide between these pairs. The clay plate should
prove the impact of decision as an “ecological
footprint.” The installation (see Fig. 98a, b)
evoked strong reaction to his work. It was
discussed that the work was moralizing and pro-
Empowering of Interdisciplinary Teams, Fig. 98 (a,
voking and that it expelled from aesthetic consid- b) Installation – shoes © Marius Fischer
erations, which would be an important part of
decision-making processes. During the discus-
sion, the student suggested that the audience student, it was very interesting to deal with these
should be so kind and take off their shoes. Pur- predictions, and also she didn’t feel individually
chased decisions were shown at once and opened affected, because she grew up in the late 1970s.
up various chances for decision strategies for the Michael Winterhoff, book author and child psy-
observer. chiatrist, said that the problem of the children
nowadays is that parents and grandparents want
to be absolutely loved by the child, and this
Student Elke Mayr: “Brainstorming FOMO” causes a reverse power. The child is “above”
First researches began with a brainstorming about the adults. In the past, the job was save, no
FOMO. The student Elke Mayr found out that worries about the retirement, there was one step
besides FOMO is also YOLO (you only live after the other. Nowadays, it’s expected to be
once) and YOMO (joy of missing out). permanently available, all the news of the world
She read a few articles about the generation X come to our living room, and we’re permanently
and the aspects of the new “generation ego.” The informed of what’s going on. Everything has to
youth culture researcher Bernhard Heinzlmaier be done to be prepared for the big disaster. So
describes the new generation like consumed children nowadays act most of the time in a
zombies, which only think about their enjoyment passive way (Mayr 2014).
and without any attempt to do something for Another article about “the art of decision”
society (Nussmayr and Schwarz 2013). For the (Heinrich et al. 2011) was about an extraordinary
patient, who lost his ability to make any decision Then you choose the phrase that appears as the
after a tumor operation in his brain. When he had most powerful to you. If you’re not satisfied with
to choose between a black and a blue pen, he the result, play again till you’ll find your right A
couldn’t write anything. He lost his ability to answer. The “decision-maker” is a playful and
cope with daily life, because he lost his feelings. slightly ironic object. If you don’t know what to
Psychologists are talking about the torture of do, play with it and you’ll find phrases that will
choice. Nowadays, we can decide so many things hopefully help you. You have to know yourself
like never before, but it didn’t make us happier. and decide, which side you choose, because there
Psychologist Barry Schwartz explains if you have are no rules.
the choice between many possibilities, you After a first presentation in the seminar, further
always have the feeling you did something ideas with this object were discussed. One was to
wrong (Heinrich et al. 2011). ask friends, parents, or grandparents how they
The Harvard psychologist and decision make right decisions and to print this as “oral
researcher Daniel Gilbert (Heinrich et al. 2011) history” on the decision-maker. So you could get
found out that we luckily have a shield of protec- your private “council of the wise.”
tion after wrong decisions. We are masters of self- The other idea was to play with different sur-
deception and perceive the world in a pleasant faces: What would be the difference between a
way for us. We construct our own, synthetic fluffy surface and a hard glass? Or which colors
luck. The only thing that is difficult to cope with are connected with special emotions and feelings,
is the feeling to miss a chance. We regret no furthermore to play with patterns in combination
decisions than doing nothing. with colors. Which patterns are connected with
“anger” or “relaxation”?
“Stone as an Object for FOMO”
The student found an object, which would repre- Student Clemens-G. Göller: “An Attempt to Raise
sent her ways of decision-making or “FOMO,” a Awareness of the Authentic Space”
new stone (see Fig. 99a, b). She liked the different One of the students focused on the question
bulges on all sides and the aspect of rotating. “What kind of fear is FOMO?”. His research
Every side of the stone would stress new ways interest was to become an idea of the structure of
and possibilities. FOMO as a specific kind of fear. Building on that,
Elke Mayr started to experiment with the form the aim was to find a design solution in order to
of the stone and came to the decision that this make people who have FOMO aware of their
approach was too abstract. So the student started problem. The key question was how to initiate
again and thought about something people would individuation processes and changes in the
need to make a decision. The idea developed to affected person who is stuck in the system as
make a “decision-maker” (see Fig. 100a, b, c, d), countermeasure to get past the addiction. This
like tarot, a horoscope, or a pendulum – objects led to the examination what design can contribute
that are known of the esoteric world. The first idea to the process.
was to make a cube, but with only six ways of At the beginning of the examination of FOMO
possibilities, it was clear that there have to be was the question of the constitution of this fear.
more like that. This includes the question whether individuals
So the student decided for the form, icosidode- with a certain personality structure are more
cahedron, a uniform polyhedron with 32 sides and often affected by FOMO than other people.
possibilities. She made some research about phil- The German psychoanalyst Fritz Riemann
osophical quotes on making decisions and added researched for a psychological understanding of
some phrases like “take a break,” “maybe,” “yes,” different forms of fear. In 1961, he published a
“no,” and “go for it.” study concerning the basic forms of fear in which
The idea of the play is to focus on the question he introduced a model of four ways of “being-in-
you have and then roll the icosidodecahedron. the-world.” From these forms, he derived specific
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 99 (a) Stone 1 © Elke
Mayr. (b) Stone 2 © Elke Mayr
personality structures as partial aspects of an inte- will stay childlike in this specific field of psycho-
gral anthropology (Riemann 1992, 11–18). logical development.
Riemann (1992, 7) defined fear as reflection of On the basis of Riemann’s study, one can find
dependencies. Therefore, to overcome fear means parallels between FOMO and the symptoms of
to mature, to take a step in development in life, patients suffering from depression. It seems cru-
and to conquer boundaries. In the cases where cial that these people avoid the process of individ-
these boundaries can’t be crossed, the person uation – individuation means being different, so
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 100 (a, b, c, d)
Decision-maker © Elke Mayer
they go without it. They seek to minimize the The addiction to smartphones seems to increase
difference between “the self” and “the other” – that danger.
in other words: “the self” is other-directed.
Through social media, people virtually receive Why Don’t They Switch Ttheir Smartphone
instant feedback concerning their own existence. Off? For the affected person, it seems to be
This feedback culture looms to be a culture of helpful to reflect on one’s use of media and try
positivity as, for example, on Facebook, it is a “digital diet.” After the first step – which is to
only possible to “like” but not “dislike” some- recognize your extent of media use as problem-
one’s posts. However, according to Riemann atic – the second step would be to calculatedly
(1992, 70), healthy and skilled aggression would switch off notifications or even completely
be an important component of self-confidence. switch off the phone (Piegsa 2014). The question
There’s permanent modification in “the self” of is how to initiate that change considering the
the other-directed person. passiveness and limited ability to act of a depres-
The relation between depression and social sive person?
media was also content to the development of an However, the problem is not solved by going
app by the University of Bonn, which should cold turkey: a youth who is forbidden to use his or
detect addiction and in further consequence her phone by their parents will probably feel
depression of the user (Archut et al. 2014). socially outcast (Pickshaus 2013) – eventually
Even before there were social media, a depres- the “fear of missing out” is a “fear of missing
sive person was in danger of becoming isolated friends” (Zeinlinger 2014). To overcome addic-
and not getting to know oneself and the world. tions, it is crucial to detect the underlying fears
and to deal with them instead of getting stuck in usage of the phone: “A window on virtual” and
existing structures. giving up “the self” is being opened and closed
The fact that via smartphone a person can be consciously. The change between authentic expe-
connected with the whole world enables one to rience and symbolic experience takes place on the
operate in a kind of “public interspace” between surface of the protective cover.
real and virtual spaces (David and Junghans The SME (short message) service “WhatsApp”
2014). While a person is in that state, one can passed the mark of 700 million active users in
never be located exclusively in either real or vir- January 2015 (Schischka 2015) – so it seemed
tual space. Alongside real dangers like lack of standing to reason operate with the ideographs
concentration or higher risk of accidents while used by “WhatsApp,” the so-called emojis. The
using a smartphone in traffic, a semantic shift is outside of the closed flip cover could, for example,
looming: the virtualization of one’s life is charac- bear the photography of a sunrise (real-life situa-
terized by orientation toward symbolism. There is tion with, e.g., family, friends), while the inside of
legitimate criticism toward the fact that as oppo- the open cover might show the “emoji” of a sun-
site of “virtual,” the term “real” is used to describe rise. So the difference between the two worlds of
the world outside social media (Rittmann 2014). experiences by the authentic and the virtual world
Hereinafter, the term “authentic,” which seems is visualized through the user behavior each time
more appropriate, will be used. the phone is used (see Fig. 101).
It is not only the nonverbal communication, Depressed people are unable to cope with
which is replaced by a spectrum of small illustra- “multi-optionality” – they are powerless and
tions or winking smileys, also the concrete world, unable to take decisions. So they are not able to
nature, and environment are substituted by sym- act themselves and need someone else to act for
bols. There is no telling about the sensual experi- them. As Riemann explains, these people need
ence of a rising sun, but a small ideograph is sent. help to initiate changes concerning their fear.
Individual experiences become standardized. Since changes can only take place when there is
a basic willingness in the person concerned, the
Bringing FOMO to Awareness The project flip cover could be used as a personalized gift of
aims to encourage awareness of the authentic close friends or relatives. The project is aimed to
space in distinction from the virtual space and to create a process to help people close to a person
turn away from symbolism. Separating elements concerned to find suitable pictures and symbols
represent protective covers. They imply conscious for this kind of personalized flip cover. Therefore,

Lab and Creative
Empowering of
Fig. 101 Sketch of a
potential flip cover design
opened (left) and closed
(right) © Clemens-G.
Göller
the participatory method of “applied design think- Project: D.A.S. Dementia. Arts. Society (2016–
ing” was used to create a prototype of this process. 2019) “Artistic Research on Patterns of Percep-
tion and Action in the Context of an Aging A
Student Jessica Blanc: “Be kommod ®” Society”
Based on Roland Barthes´ (Barthes 1985, 23) Dementia
definition of privacy, which he understood as a This umbrella term describes a chronic disease
sphere of space and time where one is neither a of the brain in which a gradual deterioration of
picture nor an object, the student who carried out cognitive, emotional, and social skills occurs.
this project has studied the influence of digital Dementia usually arises in old age. Due to demo-
media on people’s social life and is referring to graphic developments in society, it has become a
phenomena which she has observed in the 15– critical health topic. People with dementia suffer
30 year olds called the generation Y. Her special from cognitive impairments such as forgetfulness,
interest focused on the constant availability of short-term memory loss, and the loss of language
digital media as a tool of communication, and and counting abilities, all of which lead to a need
she found out that generation Y manage their for professional care (Statistikportal. de 2018).
social life via social networks and messenger The World Alzheimer Report 2016 (Prince et al.
apps. Therefore, she interviewed other students 2016: VW) states that 47 million people are cur-
in her environment about their user behavior rently living with dementia worldwide, and esti-
with smartphones and activities on social net- mates that the number will increase to 131 million
works and messenger apps to find out how by 2025. Around ten million people live with
FOMO affects their daily life and if the fear of dementia in Europe and Austria alone. Cases of
missing out can be prevented. dementia are expected to double by 2050
To overcome the loss of privacy by FOMO, (Sütterlin et al. 2011; Höfler et al. 2015). People
the student developed an app called “kommod” with dementia also experience social stigma.
(see Fig. 102a, b, c, d, e) to give the FOMO- Ordinary tasks such as shopping and running
affected the chance to gradually reduce their errands, but also traveling to unknown places,
fear of missing out on something. The student usually become exceedingly difficult for people
understands her app as an “appetite suppres- with dementia. Memory loss is accompanied by
sant” to overcome the e-addiction and as a dig- visual and hearing impairment. This often leads to
ital diet. Both function and interface of a complete withdrawal from society so as to avoid
“kommod” are to discipline the user in a playful both rejection and embarrassment.
manner. When the app is activated, it indicates The Research Project
incoming calls and messages by signal sounds Dementia. Arts. Society.
and lights, ties them together to a closed report, Since 2009, the Austrian Science Fund (FWF)
and thereby prevents distractions caused by the has offered funding for artistic research in Austria
smartphone. Hence, the user can pursue his/her (PEEK). “Dementia. Arts. Society.” (D.A.S.) was
daily activities without interruptions and protect awarded funding in 2016 with the objective of
his/her privacy. In all, he/she does not have to instigating art and design strategies that could
fear to be an offense to his/her net community if positively change both the public perception of
he/she does not respond immediately because dementia and the individual circumstances of peo-
the app sends out a note of absence. This can be ple with dementia as well as their caregivers.
seen on the news window as soon as a message People who do not have dementia should be
arrived. It is also possible to set a timer to store enabled to empathize with people living with
the times when the contacted person is digitally dementia via changes to their own sensual percep-
absent. In addition, the app provides a feature to tions. Concepts for art works and design products,
store all favorites who can call or send text interactive social processes, performative inter-
messages via social networks or messenger ventions, and other creative tools are being devel-
apps at any time. oped to empower the autonomy and self-esteem of
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 102 (a, b, c, d, e) App
kommod © Jessica Blanc
people who have been diagnosed with dementia, design strategies; narrative drawing, photography,
offering support for their greater participation in video, and interventions via specific objects in
society. Wide-ranging methods and techniques public spaces, and much more. Art and design
are applied in workshops and research: observing, strategies offer new perspectives on dementia at
dwelling, interacting with people with dementia a time when social policy, therapy, care, and med-
as well as their caregivers; expert discussions and icine are reaching their limits. Overall, D.A.S.

Lab and Creative
Empowering of
Fig. 103 (a, b) Research
Sensory Workshop © Pia
Scharler

Lab and Creative
Empowering of
Fig. 104 Research
Sensory Workshop © Ruth
Mateus-Berr
proposes new and innovative forms of dealing people without dementia, and this creates empa-
with challenges that arise with dementia. The thy and awareness. Where social policies, thera-
research team engaged in interviews with people pies, care, and medicine reach their limits, art and
with mild dementia (see Figs. 104, 105). These design strategies aim to open up new perspectives
interviews were documented and individually for people living with dementia in regard to their
interpreted (see Fig. 103). own capabilities and their situation within the
Conclusion social environment. Workshops allow for diverse
Dementia. Arts.Society. offers various ways individual experiences; these are disseminated
for art and design to positively impact people and shared with caregivers, designers, family
living with dementia and those who are not. Peo- members, and engaged people and conference
ple with dementia share their resources with attendees, including those who are “simply
and/or doodle in a very short time their image of

confusion and its the opposite. These mental
images were collected from some hundred partic-
ipants in Austria, Germany, Switzerland, and Can-
ada. They were then morphed by the computer
program “Morph Age,” and evaluated by means
of artistic research according to similarities and
differences. They then provoked empathetic dis-
cussions concerning the mental states of confu-
sion by people with dementia. These drawings
were interpreted by the musicians Vlado
Micenko, Alexander and Konstantin Wladigeroff,
Hans Tschiritsch, Edda Breit, Lizandra Pereira,
and Fernanda Martinez Vieira into graphic nota-
tions during Vienna Design Week 2017, in public
spaces in the 15th district of Vienna, at the Ingrid
Leodolter Haus and at Art Festival Brno. They
played on various instruments: double bass, clar-
inet, saxophone, Orff-Instruments, invented
instruments. In the end, an audible Archive of
Confusion emerged. The artistic research led fur-
ther to the co-composition Confused Confusion
Applied Design Thinking Lab and Creative by Igor Lintz-Maues and others. At the workshop
Empowering of Interdisciplinary Teams, Familiar yet Strange, held during Vienna Design
Fig. 105 Research Sensory Workshop © Ruth Mateus-
Berr Week 2017, the disorientation of people who have
left their places of origin was discussed.
Confused Confusion | CONFUSÃO CON
curious.” Finally, it is important to remember that FUSO is the title of a real-time composition/
people’s capabilities and needs change over time interactive sound installation, performance, and
and their support strategies need to be adapted performative sound manifestation by Igor Lintz-
accordingly. Caregivers too need time for them- Maués, together with Ruth Mateus-Berr, Jasmin
selves, and our society needs to realize that we all Schaitl, Vlado Micenko, Alexander and
experience situations of confusion even without Konstantin Wladigeroff, Hans Tschiritsch; with
any illness being diagnosed: we all need empathy audio engineering by Wagner Felipe dos Santos
and respect in precarious situations. and Cori Maués.
„DEEWENZLMTEN. Urbane Herausfor- The starting point and inspiration for the com-
derungen für Menschen mit Demenz”, by Ruth position was the acoustic Archive of Confusion
Mateus-Berr. This text originally appeared in zoll by Ruth Mateus-Berr. Confused Confusion inter-
+, No. 32, June 2018 (see Fig. 106). prets the sound environment itself as sound and
Archive of Confusion through reproduction of this interpretation a new
We all have had the experience of being con- sound environment emerges, which is further
fused, of feeling that a situation is familiar or interpreted again by iteration (see Fig. 107).
foreign. At the beginning of the Perception Work- Sensual Fake
shops, experiences were documented and evalu- The series of objects called Sensual Fake were
ated in written texts. Ruth Mateus-Berr was created for the Vienna Design Week’s program
interested in visual documentation and evaluating “Stadtarbeit.” The concept created by the research
experiences. At the Archive of Confusions work- team led to designing objects of daily life, which,
shops (2016—2018), people were asked to draw because of slight differences from their normal
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 106 (continued)
design, would confuse people when they tried to Scharler, Christina Carli, and Antonia Eggeling
use them. In the first phase, ideas were sketched then brought several sketches to life: chairs,
without any feasibility restrictions in mind. Pia carafes, glassware, soup bowls, and cutlery. The
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 106 Sensual Fake ©
PiaScharler, Christina May Yan Carli Include below credits: © 106 abcdefg: Exhibition DAS. 106jk © Ruth Mateus-Berr
interventions took place at the site of our cannot be as the surface is at an angle, denying the
cooperating partner, Café Z, a small lunch café laws of physics. The waiter assures the customer
in the 15th district. Café Z’s customers that nothing is wrong with the glass of water.
represented a perfectly diverse audience who (Previously briefed, the waiters pretend that
over a week were confronted with different sce- everything is normal in all other scenarios as
narios. Scenario 1: A customer orders a cup of well).
coffee, which usually comes with a glass of water. Scenario 2: At first sight, it is a seemingly
When served, the customer is confronted with a ordinary coffee house chair, but when weight is
glass that seems to be filled with water but actually put upon it, it falls to the side as only three of its

Lab and Creative
Empowering of
Fig. 107 (a, b, c) Politics
of Fear (POF Collective)
© Ruth Mateus-Berr.
https://pofcollective.
wordpress.com,
pofcollective.org
four legs are stable. The customer is forced to use Scenario 6: A chair with soft padding looks
his or her own leg for stability. Scenario 3: A inviting enough to simply drop into it. When one
customer orders a meal which is served with cut- does so, one is startled by sinking deeper into the
lery made out of pasta dough. When used, the chair than expected.
cutlery bends and breaks making it ineffective Scenario 7: A customer orders a piece of cake.
for its intended use. The cake is fitted with a metal plate in between its
Scenario 4: A soup is served to a customer. The layers, which prevents the customer from con-
bottom of the soup bowl has been raised. When suming it.
dipped into with a spoon, the customer is startled Following these scenarios, conversations were
by the bowl only being a single centimeter deep. held about the experience of confusion and the
Scenario 5: A wine glass is fitted with a top that feelings of insecurity and doubt that arose, and
prevents the wine from being consumed. being unable to depend upon one’s senses. The
approach of the audience was to play along and Linz, 2017; All of these activities can be found
not become agitated. This reaction is similar to a at www.dementiaartssociety.com.
strategy of “facading,” which is common among This project is about integrating the potentials
people with dementia, and that allows them to of arts-based research into the ongoing efforts to
appear in control. meet the challenges which dementia brings to our
The project has been shown at the exhibitions societies. Some 10 million people in Europe are
suffering from dementia. By the year 2050, the
• 2016 Status Quo, Stilwerk | 5.10.2017–21.10. number of people with dementia is estimated to
2017 | Vienna (AT) double. People with dementia suffer from societal
• 2017 Sensual Fake, Vienna Design Week | stigmatization. Common tasks like shopping,
3.10.2017–6.10.2017 | Vienna (AT) financial agendas, and traveling to unknown
• 2017 Familiar and Foreign, Kunst Festival places can be difficult for them. To avoid rejection
Brno | 19.5.2017 | Brno (CZE) and embarrassment, they seclude themselves from
• 2017 Design Matters, WEI SRAUMforum | society.
9.1.2017–30.11.2017 | Innsbruck (AT) The principle hypothesis of this research pro-
• 2018 Understanding Art & Research, Dunedin ject is that specifically created art and design
School of Art, Otago Polytechnic, DSA Gal- interventions can change the societal approach to
lery, | 12.4.2018–11.5.2018 | Dunedin (NZ) dementia and improve the individual situation of
• 2018 Understanding Art & Research, School people with dementia and their caring persons.
of Art, Design & Media: Nanyang Technolog- On the societal level, this project aims to
ical University (NTU), ADM Gallery, 81 develop arts-based processes for changing the
Nanyang Drive Singapore 637458 | sensory perception of persons without dementia
19.11.2018–30.11. 2018 | Singapore (SG) and thereby raising the general societal awareness
• 2019 Dementia. Arts. Society, AIL (Applied for the situation of people with dementia. On the
Innovation LAB) | 9.1.2019–28.1.2019 | individual level, the project aims to develop con-
Vienna (AT) cepts for artworks, design products, interactive
• Understanding Art & Research, School of the creative social processes, performative interven-
Arts and Architecture, Art Sci Center (UCLA) | tions, or other creative tools to increase the indi-
4.4.2019–27.4.2019 | Los Angeles (USA) vidual self-determination and self-confidence of
• 2019 Museum of Applied Arts Vienna (MAK) people. This should support people with dementia
| 28.06.2019–28.07.2019 | Vienna (AT) to remain an active part of society for a longer
• 2019 Understanding Art & Research, Tokyo period of time (Fig. 110).
University of the Arts at Yuga gallery and Spending some time with people suffering
Rittaikobo | 8.11.2019–20.11.2019 | Tokyo from dementia, dialogues and interviews with
(JP) experts, workshops on design thinking, sensual
• 2020 Understanding Art & Research Shanghai, workshops narrative drawings, photographs,
Tongji University – College of Design and videos, artworks, and public performances will
Innovation | Autumn 2020 | Shanghai (CN) be the methods applied.
• 2020 Understanding Art & Research Prague, Where social politics, therapies, caregiving,
UMPRUM Academy of Arts, Architecture & and medicine come to their end, arts and design
Design | Autumn 2020 | Prague (CZ) strategies aim to open up new perspectives to
people with dementia concerning their own capa-
Interim results were presented at national and bilities and their situation within social environ-
international conferences: the 8th Annual Confer- ments. This is the particular approach to the
ence of the International Visual Literacy Associa- challenges caused by dementia.
tion (IVLA), Concordia University, Montreal, In 2016, this project was funded by the FWF
2016; European Regional Conference of INSEA, Programme for Arts-based Research (PEEK.
Vienna, 2016; Nichtwissen im Wissensraums, Homepage: http://www.dementiaartssociety.com/).
Project “Re-Negotiating Politics of Fear in Public Listening is understood as a political action

Spaces” (2016–2017) (Lacey 2013) and can be applied in artistic
research as a participatory praxis. Draper and A
Politics of Fear (POF Collective): (See Fig. Cunio (2013) describes the artistic research pro-
108a, b, c) Authors: Ruth Mateus-Berr, La cess by using the metaphor of an elephant
Schandre Coetzee, Martin Färber, Brigitte described from different perspectives of blind
Felderer, Michel Gölz, Peter Oroszlany, Milly men. The summary of descriptions in turn designs
Reid, Christina Schraml, Alessia Scuderi, Enrico an image of the potential object. In the same way,
Tomassini, Herwig Turk, Julia Wohlfahrt (Univer- collated descriptions of fear from different per-
sity of Applied Arts Vienna). spectives may indeed design the image of itself.
https://pofcollective.wordpress.com, pofcollec In this project, we discuss participatory design
tive.org. strategies that investigate fear in its rational and
In the realm of public space, both the ratio- irrational forms and its relativity to the current
nal and emotional are closely intertwined. The refugee situation. Fears left unspoken cannot be
so-called refugee crisis in Europe has been negotiated or contested. Fears that are outspoken
instrumentalized by fear of entrepreneurs (pol- and recorded are immediately becoming contribu-
iticians, media, etc.) who benefit from the cre- tions to a continuous debate that can generate a
ation of irrational fears among people. The wider discourse on the matters of concern.
project “Re-Negotiating Politics of Fear in Fear should become again a sincere emotion
Public Spaces” aims at inviting people of the and not a manipulated fiction, one that interfaces
city to discuss their personal notions of fear with reality and one that calls into question,
and hope for the future in general, with an “What kind of (urban) future do we want?”
additional focus on constructions of fear in
the context of the rise of right-wing parties in Project: Cash Engaging Senses – The Looming
Europe. Loss of a Medium
The project was initiated by Ruth Mateus-Berr. Authors: Mila Moschik and Ruth Mateus-Berr,
Exhibition at KUNST HAUS WIEN Vienna: Christiane Vogl, Julia Wohlfahrt, Jeannine Jesch,
No Hope-No Fear.19.05.-18.06.17 and Thesi Breuning.
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 108 (a, b) War on
Cash © Jeanine Jesch. https://ivla.org/conferences/ivla-conference-2016-montreal-canada/
It is believed that cash will be abolished. continuity, and future visions. For these reasons,
Therefore, the understanding of the social, cul- banknotes have no real intrinsic value, just a value
tural, and aesthetic dimensions of this medium is ascribed. Over the course of 200 years, a diversity
important. We are not aware of a lot of visual and of strategies have been tested and have undergone
haptical specialties of cash. We want to question a change in aesthetic standards. So far, cultural
this lack of sensual literacy in public. The missing sciences have only had limited engagement with
awareness finally leads to a loss of relationship iconographic analysis. In the battle for attention
and relatedness to financial agenda. and acceptance, the business card of nations (i.e.,
Articles on the “war on cash” have been pop- banknotes) has become significant instruments of
ping up throughout the Internet from The Wall power. Governments, municipalities, and banks
Street Journal to The Guardian and Bloomberg visualize their power and address the proudness
Review. The Wall Street Journal (N.N. 2016) of their citizens. However, the symbols on the
reports limits on cash transactions that have been Euro banknotes no longer show a connection to
spreading in Europe since the 2008 financial real historical figures or monuments but portray
panic; the European Central Bank would like to fictional architecture which aims to mime the cul-
ban €500 notes, and some American politicians tural connection among the nations. While the
demand that it’s time to abolish the $100 bill. iconography of money is always influx, safety
The next years the European Union plan to demise aesthetics remain consistent to international
cash to crack down on crime, tax avoidance, ter- standards.
rorism, human trafficking, and money laundering. Banknotes are not a medium of artistic devel-
But The Guardian warns: “poor people and small opment because their composition and features
businesses rely on cash. A contactless system will are subject to stringent requirements. The recog-
likely entrench poverty and pave the way for nition safety factors are pattern of the background,
terrifying levels of surveillance” (Frisby 2016). iris-color print, collective negative print, multi-
Governments and banks use arguments as a pre- colored Guilloche, etc. On closer inspection
text as, e.g., that cash causes serious illness. Such watermarks, fiber retention, dry embossment,
preconceptions of the material cash is made from hand numbering, and signatures can be identified.
were already known in cities of the 1830s; con- In the twentieth century, intaglio reliefs,
tamination through touch of things such as from reviewing ornaments, security patrols, micro-
poor people or money was a source of fear for the printing, latent images, and kinegrams were also
bourgeois citizens. Sigmund Freud reported about in use. The corporations appointed with the emis-
a government official who ironed out paper florins sion rights to banknotes are reluctant to analyze
before handing them to him because he believed their design products. Given the apparent dwin-
that “dangerous bacteria might do some harm to dling cash circulation, it is of particular interest to
the recipient” (Quoted in Classen, Stallybrass and examine the effects of the (still) tangible flux of
White 2005, 290). cash closer. This project aims at filtering out the
Nearly no medium is as emotionally hard stylistic features and the perceptual psychological
charged and present in society as banknotes. foundations of banknotes. Ethnological, sociolog-
Banknotes were the first reliable, visual, and tan- ical, historical, art historical, and cultural study
gible mass medium of industrial society. They are perspectives on the research topic of the “bill”
a design product that combines aesthetic and tech- are also being considered. Students from disci-
nical precision. A banknote’s elaborate design is a plines such as numerology, art and design educa-
compromise of its safety requirements and its tion, transmedia art, and social design. Arts as
need for recognition, consistency, appeal, and urban innovation collaborated with Applied
functionality. All these intentions are directed to Design Thinking strategies. Artworks as state-
a single goal: signal amplification of worth, ments were presented at the IVLA Conference at
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 109 War on Cash
© Virginia Lui (Gianna). https://ivla.org/conferences/ivla-conference-2016-montreal-canada/
Concordia University in Montreal/Canada in aims to make public the hidden problems of

autumn 2016 (see Figs. 109 and 110) (https:// women in Vietnam. It seeks to give an impulse
ivla.org/conferences/ivla-conference-2016-montr toward self-empowerment and solidarity between
eal-canada/). women, by creating and using motorcycling gar-
ments as a federating symbol and tool.
Project: SOIF/KHATVONG (2016) Two stu- The designs and symbols created and used in
dents of the Master’s program in Social Design. this work are inspired by research on the topic of
Arts as urban innovation at the University of hidden kitchen, gender inequality, and housework
Applied Arts Vienna collaborated interdisciplin- for women in Vietnam. While the initiative is
ary on an emancipatory project: Cosima Terrasse, focusing on Vietnam and its particular culture
a French Landscape architect, and Que Chi Trinh, around gender questions, the research was
a Vietnamese designer, developed the project extended to a transnational approach to feminism,
“Soif/KhátVọng.” Terasse for her Master thesis by examining general notions of food, care, and
engaged in a feminist project in Vietnam: “Soif/ sexuality in play in heteronormative relations.
KhátVọng.” (See Fig. 111). The arts-based fashion project leads from the
Authors: Cosima Terrasse. hidden kitchen to the open road, is for and by
“Soif/KhátVọng” is a French-Vietnamese par- women in Vietnam, and aims to problematize a
ticipative design initiative born in Vienna, which global gender issue.

Lab and Creative
Empowering of
Fig. 110 “Soif/KhátVọng
© Cosima Terrasse, Que
Chi Trinh
Conclusion and Future Directions for best results but on the same hand support each
other in all different activities. They are knowl-
It is evident that the vision of inter-/trans- edgeable, interactive techniques, and change their
disciplinarity unfolds throughout the ADTL, roles within the team if affordable or
regarding the feedback and workflow of the par- corresponding to a particular mood. They adapt
ticipating students. Working cooperatively, stu- that failures are important as well as part of action
dents still develop their own visions, concepts, and learning important as well as part of action
and designs. The multilevel and multimodal dis- and learning as key of constructivist thinking.
course between different students from different Entrepreneurship and a favorable democratic cli-
faculties and universities brighten up their world- mate within the lab empower them to design their
views and creativity. They work in competition own homepages, business cards, and portfolios
Project Year Universities

Austria
Universities
International
Companies
(SME,
Companies
(SME,
Institutions
Manufactures Manufactures
Others)
Austria
Others)
International
A
Montagmöbel 2004 x xxxx
I-Sinne 2005–2006 xxx
Audible-Tangible 2005–2006 xx x x x
Design” and “Go
Snow
Maths Goes 2007–2010 xxxx x x
Design, Design
Goes Maths
The Way 2009 x x
Polynomiography
Things Go. You
real-eyes, what you
in-habit
Math goes Design – 2010 x x
Post It!
Design with all 2010 x x
Senses
Swedish Traces in 2010-2011 xx xx
Austria
PlayDecide for 2010 x xxx
blind and elderly
people
Polyphon Oikos 2011-2012 x x x
Design of Medical 2010-today xxx x x xx
Communication
Processes, 2013-2016
INTERACCT
Math Goes Fashion 2010-2011 xx xxx xx
4 Layers of Sari 2011-2012 xxx x xxx

Visuality and 2012-2016
Mathematics:
Experiential
Education of
Mathematics
Through Visual
Arts, Sciences and
Playful Activities
VISMATH
Global Studio 2013 x xxxx
Campaign for 2014
Fashion
Sustainability in
Austria
SILENCE 2013–2019 xxx xx xx
Clean Tech 2015 xx
Energies
Designing FOMO – 2015 x x
Fear of Missing Out
D.A.S. Dementia. 2016–2019 xx xx x xxxx
Arts. Society
Re-Negotiating 2016 x
Politics of Fear in
Public Spaces
Cash Engaging 2016 x
Senses – The
Looming Loss of a
Medium
SOIF/KHATVONG 2016 x xx
Applied Design Thinking Lab and Creative Empowering of Interdisciplinary Teams, Fig. 111 Matrix of
collaboration. Graphic © Ruth Mateus-Berr
about their art for conferences where they present new possibilities, facilitating a public discussion
their work to an international community. about what should be presented at international
Implementing or leading successful workshops events and coproduce culturally desirable sustain-
with different target audiences (experts from dif- able products, which might become commercially
ferent disciplines, families, children, companies, viable. Recommendations and future directions
schools) and completely new forms of conveying are concerned; the praxis of the ADTL should be
knowledge were developed and should be the goal continued as an exceptional unit at universities
of education in general. Presentation of their and model for innovation diplomacy.
designs at exhibitions and international confer-
ences at international universities, students con-
sider them as an estimated goal and milestone in Cross-References
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sent equally with professors. Students who were ▶ Creative Problem Solving
part of the lab integrated interdisciplinary know- ▶ Healthcare and Innovation
how and inspirations in workshops with non- ▶ Innovation Diplomacy
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that they won a business for designing stage for an ▶ Polynomiography and Innovation
international theater play, and they had discovered ▶ Social Innovation
how to work socially responsible and successful ▶ Transdisciplinary Research (Transdisciplinarity)
in teams. They were invited to design an interna-
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170 Areas of Innovation in Arts: Innovation and Where to Look for It
immediate and obvious practical use, but can be However, there seems to be hardly any trace
enjoyed aesthetically. of references discussing innovations within the
greater field of arts itself. This problem was rec-
ognized by other researchers and is sometimes
Introduction being described as a “lack of any research on the
subject of innovation in the arts” (Fitzgibbon
The aim of this analysis is to provide a possible 2001, p. 2). Even in the rare occasions, when
basic conceptual working framework that future discussions about innovation in the arts are
researchers can use when researching or (re-) found, those are done from the point of organiza-
thinking innovation in the field of arts. It will try tional and managerial innovation or circumstan-
to point out that innovation can be associated with tial endeavor that drives innovation in the arts
different specific aspects of the art making and art themselves.
consuming process (areas) and as such can be Yet, as this entry will show on various exam-
clearly recognized, defined, and situated within ples, both classical and more contemporary ones,
future analysis. it can often be heard and read that a certain art
In order to try to ensure that the terms inno- practice or artist is associated with the notion
vative and innovation are not used imprecisely, of being innovative. Innovation thus becomes
when discussing arts and their manifestations, a blanket term applied on the entirety of an artist’s
and thus contribute to the future research on work or praxis. But in fact, innovation exists in
the topic, this explorative entry will try to only some aspects of such a whole spectrum.
show how the term is used in the discourse so The question that follows is: Where does inno-
far on a couple of widely known examples of art vation in pieces of art or artistic practice exist?
writing and furthermore propose specific areas to In order to try to grasp where to look for
look for innovation in the arts. In addition, this innovation in arts, we should first try to define
will raise questions for future research, as they what areas certain work of art is comprised of.
appear throughout the process of explorative These will be pointed out after introducing exam-
analysis. ples of art writing.
Where to look for innovation in the arts? It is worth taking note that as part of contem-
If one makes a search query of a term “inno- porary art is to constantly negotiate what art might
vation in arts” through Google Scholar, the output be, it may prove increasingly difficult to recognize
results at the moment of this text being written true innovation immediately upon its emergence.
will comprise of the various entries addressing As will be mentioned later on, innovation is usu-
certain uses of the arts, namely, their applicability ally traced only in hindsight for it eventually is
in bringing about innovation to the various becoming a convention. It could be argued that for
spheres of human existence and culture, such as innovation to be recognized as such, it has to
social change, education, and management, become a standardized convention in the vocabu-
among others. lary of the art and thus stop being innovative in its
By glancing at these, the first conclusion one application.
can infer is that the arts are perceived as one of the Thus, this analysis should in the very least offer
tools for fostering advancement in nonart fields, a guide to places, where innovation in the arts
through innovation. In the model of the “Quadru- could be looked for.
ple and Quintuple Helix Innovation Systems,”
e.g., there is an explicit reference to “arts, artistic
research and arts-based innovation,” postulating Three Areas of Innovation (“The 3Fs”)
and asserting that art can drive or co-drive inno-
vation in society, economy, and democracy The frame, which will be proposed further on in
(Carayannis and Campbell 2014; Campbell and this entry, will be denominated as “3Fs.” It will
Carayannis 2019; Campbell 2019). associate and look for innovation within three
areas of art making and art consuming process: of chance in it, which Robert W. Weisberg in his
facility, form, and format. What these areas are book on creativity describes as a “creative acci-
referring to will be presented through examining dent,” the unintentional creation of novelty A
examples of references to innovation in art (Weisberg 2006, p. 60).
writing. However, we can recognize that innovation is
The proposed framework (three Fs) is loosely intertwined in the both ways of representing
inspired by what the author Gillian Rose, when (forms) and technological advancement of the
discussing methodological tools to approach tools at hand. Yet, the term is applied to the
visual content, sees as “three sites at which the whole. This anomaly will be addressed further on.
meanings of an image are made: the site(s) of the For the time being, it can be concluded that
production of an image, the site of the image itself, the described innovation manifests itself in the
and the site(s) where it is seen by various audi- form (area of artwork itself) and technique (area
ences” (Rose 2002, p. 16). of production).
Where innovation is to be found within these The areas, in which innovation is discussed in
and what each stands for will follow. the example above, are about technique and
When discussing innovation in the plastic arts content. The former, which belongs to the realm
of Ancient Greece, in his classical text on art of the art production, will be further on called
history, E.W. Gombrich states that “the sculptors Facility, whereas the latter will be discussed as
in their workshops tried out new ideas and new Form, as it has to do with the content, the ideas
ways of representing the human figure, and each represented in the art work, and with their
innovation was eagerly taken up by others treatment.
who added their own discoveries” (Gombrich Another topic worth noting briefly for future
1951, p. 52). research is the aforementioned question of
In this example of art writing, we can see that chance. Is accidental advancement to be deemed
innovation is treated twofold. Gombrich discusses innovation? For Weisberg (2006, p. 60), novelty
new ideas and new ways of representing the only exists when intentionality is involved,
human figure. From this short passage and which, incidentally, for some authors also consti-
what follows, we can infer that “new ways of tutes a prerequisite for any creative activity to be
representing” are dealing with technical innova- considered to be art (Campbell 2013, p. 1718).
tions, as well as treatment of the topic, namely, Yet, some of the widely acclaimed innovations
its form. It is understandable that certain techno- were governed not by artistic aspirations but by
logical developments of the tools used immedi- a practical problem-solving necessity.
ately allow, if not dictate, how content is treated, Such is often times the case of film language.
namely, in a novel way, but that, as one of For both illustration and furthering of this entry’s
the following examples will show, is not always specific enquiry, another famous example from art
the case. Gombrich continues speculating about history will be investigated. Implementation of
sculptors, claiming that “one discovered how to the avant-garde jump cutting editing technique
chisel the trunk, another found out that a statue introduced in early Jean-Luc Godard’s films,
may look much more alive if the feet are not described as his most important and radical tech-
placed too firmly on the ground.” From what he nical editing procedure (Cook 2016, p. 354), was
reports, we cannot infer if the chisel was devel- a conscious decision, but it was a practical prob-
oped in a way that would allow for a certain lem solving that leads to this advancement of the
precision or specific stroke, governed by the con- medium.
crete idea that the sculptor had in mind, or it was To pull out the frames from the celluloid and
the act of perfecting the tool that led to innovation thus create estranging effects in the perception
in the form. It could have been a simultaneous of the film was a procedure consciously decided
development in a way that a certain idea fostered upon, but according to some sources (Raskin
perfecting the tool and vice versa, with an element 1998, p. 143), the primarily intent might not
have been to influence content but to secure that As mentioned earlier, technological innova-
the film sees the light of the day, as its duration tions can make the form innovative, but these
exceeded distribution standards. Other sources should be looked at separately. In any such
state that this was an attempt to sabotage his case, there are two innovation processes at
own film from being distributed, because of work. Nevertheless, they seem to be intertwined.
his discontent with the fact he had to compromise As the researcher Amy Ione points out,
his artistic freedom (Raskin 1998, p. 142). It is when describing, how scientific technologies
also stated that elliptic editing was used to conceal and visual models both informed artistic practice
technical defects (Cook 2016, pp. 354–355). in historical development, on the example of
It will not be discussed here, whether any such Renaissance: “oil paint and perspective, like
scenario constitutes for the recognition of an artis- the computer and the camera, challenged long-
tic innovation (perhaps the category of an acci- standing ideas about representation, perception
dental innovation should be introduced in the art and seeing. This is important to note since the
innovation studies), but we can again note that oil paint technology and perspective were both
presumable innovations in artistic content had to areas that Western artists began to develop in
do with the production aspect of the work at hand. tandem” (Ione, p. 181).
Again, there are two innovations at work: one Here, another dilemma shows up. Could it
in the realm of technique (production – area of be short-sighted to attribute innovation only to
Facility) and the other in the realm of content finished artifacts, products of art making? Is it
(treatment of the topic at hand – area of Form). not more that innovation is a process that
As mentioned before, it can be concluded that eventually leads to conventional breakthroughs?
areas of Facility and Form are intertwined but For some authors, this aspect seems to be the very
could be discursively addressed separately, with substance of innovation: “the crucial thing to
regard to innovation in the arts. understand is that innovation and creativity are
Conversely, we are coming back to Gombrich not things but rather processes. They don’t happen
who, when describing the Hellenistic period, pro- all at once, as the result of the coming together of
claims landscape painting as its greatest innova- an appropriate mix of the right ingredients in the
tion (Gombrich 1951, p. 77). But for Gombrich, it right proportions” (Becker 2013, p. xiv).
was about the use of the landscape as a valid topic, Opening up of this concern, as it will shortly be
rather than a “setting for scenes of human life or of shown, constitutes an optimal cue for the intro-
military campaigns,” as they were found in duction of the third area of innovation, the “third
Ancient Oriental art. Here, innovation is found F” innovation, wherein “F” stands for Format.
in the realm of the content and its treatment (area Format is the process of art making that belongs to
of Form), having little to do with the discussed the realm of the public. The main concern of this
technological aspect (area of Facility). Similar area is innovation in reception, namely, how the
examples would be the famous cases of Renais- art is experienced and received by the audience in
sance visual arts’ manner of localizing various a novel way. It is both place and time in which art
biblical scenes, situating them in the culture-spe- stops being an artists’ private endeavor and starts
cific settings. These are innovations in the con- being public, and to a certain extent belongs to
ventions of how a certain topic is being composed, what, as Rose reports, author John Fiske calls
which result in establishing new conventions in an “audiencing,” namely, “the process by which
the ways of representation. Discussed is an inno- a visual image has its meanings renegotiated, or
vation in the realm of content (area of Form). even rejected, by particular audiences watching in
In the aforementioned case of Godard, a tech- specific circumstances” (Rose 2002, p. 25). These
nological bypass allowed for the innovation in the specific circumstances are where innovation
content to emerge. In one that Gombrich should be looked for.
describes, there was no technological invention In other words, what is of our interest to be
that dictated innovation in the form. investigated is how the art is being disseminated
were previously not consciously addressed in the

format of cinema film screening.
The author labels these two new “formats,” A
which is precisely the term this entry, in its singu-
lar form, finds appropriate for discussing the
reception area of innovation in arts. Interestingly
enough, as author points out, neither of these
survived their novelty period, which brings
Areas of Innovation in Arts: Innovation and Where to about another question for the future research –
Look for It, Fig. 1 Tracing innovation in arts: crossing can a practice, which did not establish itself as a
point between artists and audience. (Source: Authors’ own
convention, be considered to be an innovation?
conceptualization)
The problem here is that innovation is usually
traced in hindsight, only when the process of
and received and what could be innovative about innovating has been completed and has
the ways that these are performed (Fig. 1). manifested itself in the artifacts produced or
Here, it is worth considering the following events performed. It can be argued that what is
concern: one could also argue that the innovative being discussed in the innovation polemics refers
way in which an object is produced and shown to outcomes of innovation, rather than the process
also influences the way the object is looked upon itself. The changes of value throughout time are
and is being perceived; and that “imaging innova- creating additional challenges, as “sometimes
tions visually informed how the viewer perceived a product is not valued when it is produced
the finished object” (Ione 2005, p. 181); and that but comes to be valued by later generations”
an innovation in form automatically fosters novel (Weisberg 2006, pp. 64–65). As a radical exam-
ways of perceiving and receiving. In addition, ple, the same author quotes Impressionist pain-
some writers “argue that technologies used in the ters, now among the most beloved and historically
making of an image determine its form, meaning important in all of painting, yet once ridiculed by
and effect” (Rose 2002, p. 17). For the interest of art critics, when their works were first put on
this entry, we will discuss specific experiences exhibit in Paris more than 100 years ago.
of arts, expanding the known (and expected) for- Innovation therefore has its duration. After this
mats, ones that address domains of lingual and period passes, innovation stops being effective
sensual intelligences; addressing of which was not innovation and becomes historical innovation.
associated with the format at hand before innova- On the other hand, from the example of
tion took place. Impressionists, it can be concluded that innova-
Consider phenomena such as “Aroma-Rama” tion can also not have immediate effects, but
and “Smell-O-Vision,” systems designed in rather commence its works as such after a certain
the 1950s, to let theater audiences smell, what time, e.g., once being rediscovered.
they saw on screen (Cook 2016, p. 333). Coming to alternative ways to interpret art and
“Aroma-Rama” pumped its scents through a innovations in it, another thought-provoking
theater’s existing air-conditioning system and example will be looked at. When discussing
removed them (not entirely successfully) with deliberate innovations of Albrecht Dürer,
electronic air filters. There we have a conscious Gombrich asserts that the artist saw himself as
decision to influence audience’s olfaction. These a reformer and innovator and has “reflected on
projects contributed to an expansion of the ways what he was doing and why he did it, he kept
to experience a medium, a notion that would records of his journeys and researches, and he
nowadays, without its commercial indication, in wrote books to teach his own generation”
a sense go under the umbrella of artistic research. (Gombrich 1951, p. 254). This is very much in
The innovation is here found in addressing sen- tune what the authors Carayannis and Campbell
sual intelligences that in historical development propose as a new understanding of art and,
subsequently, the innovation in it. Underscoring within the artistic process, with regard to a (tech-
that their understanding of art does not abolish its nological-organizational) method used to create
aesthetic dimension, they posit that “art and arts art itself, as innovation in the content of the
can also be understood (and re-invented) as a work, and as an innovation in the ways
manifestation of knowledge, knowledge produc- the created art communicates and how it is being
tion and knowledge creation” (Carayannis and disseminated. The instances of innovation could
Campbell 2015, p. 29). be summed up as the innovation in creation of arts
In this understanding, many activities (area of Facility), created art (area of Form), and
comprehended by the non-expert communities as consuming (experience) of arts (area of Format).
only supporting ones to the main processes of Clearly, there is a possibility to expand this
art making and art receiving, e.g., publishing rudimentary framework. Similarly, Rose is fur-
strategies and art writing, are becoming part of thering her proposed sites, where a meaning of
the art practice itself. This notion renders detecting visual image is made, a proposal on which this
and research of innovation even more complex. framework is loosely based on, to the so-called
Perhaps more interesting example with regard modalities she suggests to be implemented in the
to what was discussed above is the following: analysis for tackling complexities of the afore-
when describing the “0.10” suprematist exhibition mentioned sites. Technological, compositional,
organized in 1915 in Petrograd, as a relevant and social modalities are to be found within each
innovation, editor John E. Bowlt is quoting of these sites, and their respective processes,
Tatlin’s, who was one of the prominent partici- which suggest that the distinctions between them
pants, memorable “artistic method”: “not only are “less clear than her proposed subsections
was a whole room devoted to his reliefs, but a might imply” (Rose 2002, p. 17). As innovation
pamphlet on his reliefs and corner reliefs was in arts is yet to be properly tackled, for this stage
published simultaneously” (Bowlt 1976, p. of research and to make more clarification, the laid
xxxiii). out “3F” proposal is simplified, with the equation
Here, we are dealing with the creation of marks temporarily put between sites of production
a specific experience of art, one that expands and technological modality, sites of image and
from purely enjoying forms to offering critical compositional modality, and sites of audiencing
inputs and unexpected presentation setting. This and social modality.
whole package the author frames as an “artistic There is a need to classify innovation as it
method” associated with innovation. Innovation manifests in arts in an elaborate manner.
in this example is moving from the production So many different sets of innovation can be
(facility) of art to the audiencing (format), namely, looked at, to name a few, innovation in technique,
exhibition design and publishing strategies, which treatment of the topic at hand, means of produc-
are related to the aforementioned notion of art tion, reception, accidental innovation, reproduc-
understood as processual knowledge production ible innovation, etc. This is an enormous task that
apparatus, as being described by Carayannis and future research will have to tackle.
Campbell (2015, p. 29). One of the obstacles, which gets in the way of
All three examples are dealing with artistic researching innovation, is exactly the temporal
innovation within the area of Format. nature of innovations. It has often been the case
that, especially in the fast-paced development
of art in the first half of the twentieth century,
Conclusion and Future Directions innovations disappear soon after their arrival.
When talking about the Italian Neorealism move-
To sum up, innovation in the arts may be ment in cinema and its fast decline, David A.
perceived as being threefold: as an innovation Cook states that “is not at all unrespectable or
even unusual for an innovative movement in are emerging, it will become increasingly diffi-
cinema to dissipate its creative energies in a brief cult to detect and recognize real innovation.
span of time. Innovation in an art form whose New formats have new rules. Art itself has A
medium is photographic reproduction and whose transformed. In earlier times, art had had a hori-
influence literally travels with the speed of light zon of expectations, a frame within which it has
is bound to be short-lived (as innovation, that is) participated, within which it could have been
and to produce its own reaction rapidly” (Cook realized or even transcended, and it was pre-
2016, p. 285). cisely in this eventful transcendence, where
Some innovations may be contested, some innovation was found. Nowadays, art is relativ-
embraced, later on to become conventions. ized to an extent that it does not raise questions
Innovation in arts is perhaps easier tracked back- (for the better part of it), but rather discusses,
ward in time than immediately after it happens. what art is all about and what art can be, thus
Another problem is that innovation that survives often times becoming applied art even if it con-
its early days over time becomes overused. When siders itself to be fine art. That notion can be
describing violence as an innovative content in used to explain why there are many research
certain American films of the 1960s, Cook states entries discussing innovation in the context of
that such innovation is “a thing difficult to see the use of art, which was mentioned in the very
today, when slow-motion bloodletting has passed beginning of this entry, when the status of
from innovation to convention to cliché” (Cook research was addressed.
2016, p. 677). To every age its art, to every art its innovation,
Last but not least, how to judge innovation? to paraphrase a motto found above the door to the
Is it possible to say that a certain development is Vienna Secession. It is clear that innovation in
more or less innovative? When talking about the art is a category dealing with limited life span
evaluation of innovation, researcher Fitzgibbon and changeable rules to be judged against. It is
says that we must “recognize the impossibility a meta-category, fixed to a certain time and prone
of truly evaluating innovative achievement” to change.
(Fitzgibbon 2001, p. 4) and that a researcher The proposed “Three F” framework, as the
may have to accept the impossibility for making very innovation itself, is already becoming obso-
a definitive decision. Furthermore, she empha- lete. Still, it can provide some guidelines for any
sizes the particular elusiveness of the arts sec- innovation enthusiast. Perhaps the fourth F, now
tor that research about innovation in the arts is invisible, but soon too obvious not to be consid-
facing. She posits that its “creation or innovation ered, will be proposed by researchers in the near
is heavily wreathed in a mythology that has long future.
proved resistant to investigation” (Fitzgibbon
2001, p. 5). In a certain sense, innovation is
always connected to mythmaking, and myth- Cross-References
makers are usually wary that their myths are
deconstructed. That is precisely why this analysis ▶ Academic Firm
here is trying to establish a clear route that may be ▶ Applied Design Thinking Lab and Creative
taken as a starting point when researching inno- Empowering of Interdisciplinary Teams
vation in the arts. ▶ Artistic Research
In pre-twentieth century development of ▶ Arts, Research, Innovation, and Society: ARIS
arts, when formats were less crossover and ▶ Epistemic Governance and Epistemic Innova-
multi-, inter-, and trans-disciplinary, innovation tion Policy
was traced easier. As the vocabulary of contem- ▶ Genius
porary art is growing bigger and new formats ▶ Innovation and Democracy
176 ARIS
▶ Innovation in Interdisciplinarity: Four Different Encyclopedia of creativity, invention, innovation

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1718–1720
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▶ Quintuple Innovation Helix and Global Norton & Company; 2016. p. 285, 354–355, 677
Warming: Challenges and Opportunities for Fitzgibbon M. Managing innovation in the arts: making
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editors. Exploring creativity: evaluative practices in
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Bowlt JE. Introduction. In: Bowlt JE, editor. Russian art of
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Art of Innovation: A Model for Organizational Creativity 177
While organizations approach innovation in

Art many different ways depending on the charac-
teristics of the industry, the business environ- A
▶ Areas of Innovation in Arts: Innovation and ment, company history, leadership style, and
Where to Look for It much more, it is safe to say that the most inno-
▶ Communicating Invention, Creativity, Innova- vative organizations are deliberately innovative.
tion, and Entrepreneurship Innovation is part and parcel of carefully crafted
▶ Politics of Light: Innovative Look at How Non- strategies and structures, and innovation consti-
transparent Ideologies in Visible Light Influence tutes an important company value, not only in
Our Behavior words. And it is not only the stuff of start-ups.
▶ Social Design Even if the speed of innovation from new com-
▶ Speaking Pictures: Innovation in Fine Arts panies in recent years is little short of breathtak-
ing, in many cases, large established firms have
clear advantages over their smaller rivals in
delivering innovation.
Art Education
▶ Applied Design Thinking Lab and Creative The Art of Innovation

Empowering of Interdisciplinary Teams
The Art of Innovation (Michaelides 2007) is a
model to integrate innovation in the way of life
of organizations of all types: large and small,
Art of Innovation: A Model for young and old, public and private, agricultural
Organizational Creativity and industrial, consumer and business-to-
business, etc.
Dimis Michaelides It is based on the fact that it is possible to turn
Performa Consulting, Nicosia, Cyprus around uncreative organizations to make them
more innovative – as has been well documented
in Whirlpool, for example (Snyder and Duarte
Introduction 2003) – and that it is possible to make creative
organizations more so, as the turnaround of IBM
Innovation, the application of creativity to realize in the 1990s has shown to the world (Garr 2000).
new value, can be applied to products, services, The Art of Innovation model examines the factors
processes, business models, and more. It can be that drive innovation in an organizational context.
practiced systematically or selectively by individ- These innovation drivers – 12 in all – are elements
uals, teams, organizations, communities, cities, that organizational leaders must understand and
and societies. This entry is primarily concerned promote if they want their organization to fully
with innovation at the organizational level. achieve its creative potential.
That innovation comes in different shapes and In this model, innovation is not a matter con-
forms that is highlighted by the list of 50 most fined to the organization’s top brass nor to the elite
innovative companies published in Businessweek few in R&D or marketing or information technol-
for 2010 and compiled by the Boston Consulting ogy. There is an innovation “potential” in every
Group(1). Quite clearly, innovation in IBM is very nook and cranny of all organization. In many
different from that of Apple and Google (all in the organizations, much of this is untapped.
top ten), and Volkswagen, Toyota, BMW, Tata The Art of Innovation recognizes that innova-
Group, Coca Cola, the Virgin Group, and Procter tion in organizations is a multidimensional affair
& Gamble (all in the top 25) innovate in a wide whose achievement requires substantially engag-
variety of ways. ing the creativity of all the people of the
178 Art of Innovation: A Model for Organizational Creativity
organization, as well as designing formal strate- whom have creative competencies that can be
gies and processes. developed and extended. And it is recognized
The Art of Innovation is schematically summa- that people are different, with different styles and
rized by a triangle, a square, and a pentagon (see preferences in the deployment of their creative
Fig. 1). The cornerstones of each shape consist of faculties.
three, four, or five innovation drivers. The triangle Energy is the personal resources people devote
represents the “sources” of creativity (talent, to an issue that is open to creative exploration and
energy, method), the square represents the “struc- resolution. The definition of energy here is not
ture” required to deliver innovation (individual, Einsteinian nor is it metaphysical. Energy is a
team, target, system), and the pentagon represents function of the determination to achieve a certain
the “culture” that is appropriate to promote inno- outcome and time. It is highly personal, varying
vation (ideas, freedom, engagement, humor, risk). with what each individual is passionate about, and
The sources of creativity are the elements at the same time quite social, varying with the
required for any purposeful creative act. social context and the people involved.
Talent is the set of skills required to imagine Method is the purposeful approach to crea-
new things and make them happen. In this model, tively addressing challenges. It is the box that
talent does not take on the conventional meaning, gets us out of the box, a call for open imagination
that is, an extraordinary ability or an exceptional and design as well as a call for reason and judg-
“gift” in a particular area. In this definition, there ment. It involves destructuring and restructuring
is less concentration on Leonardos and Einsteins challenges to discover their essence and to see
and more on “ordinary” human beings all of problems from many different points of view. It
Art of Innovation: A TALENT

Model for
Organizational
Creativity, Fig. 1 The art
of innovation
S OU R C E S
METHOD ENERGY
SYSTEM INDIVIDUAL
S TRUCTURE TARGET TEAM
IDEAS
RISK FREEDOM
C U L T UR E HUMOR ENGAGEMENT
involves active idea generation and stretching the Amabile and Kramer (2011) and Mihaly
mind. And it requires regrouping and retrenching Czikszentmihalyi (1990) that creativity thrives
so that the best solutions can be appraised in depth when a person is intrinsically motivated by the A
and turned into concrete action plans. A number pleasure and challenge invested in a task or
of creative methods have been put forth over the responsibility he or she enjoys for itself. That is,
years, most importantly the Osborn-Parnes model what will most powerfully generate and maintain
which divides the problem-solving process into high levels of creative energy.
sequential stages and argues for the systematic Teamwork, in the context of innovation, is
practice of divergence (creative thinking) and more than a set of individuals working efficiently
convergence (critical thinking) at each stage together. Good teams work with trust, have the
(Parnes 1992; Osborn 1964). know-how to resolve conflicts, and are commit-
The structure of innovation is the organized ted, accountable, and centered on well-defined
context in which creativity happens (Fig. 2). goals. However, it is true that good teams may
The individual is the being distinct from all also indulge in efficient but repetitive behavior
others from which creative thinking and action with unspectacular outcomes. With the help of
emanates. It is most important to understand an innovative mind-set and creative method,
what drives individuals at work. While many fac- good teams can become innovative teams, that
tors are at play, it is quite clear from the work of is, groups of people that are outward looking and
Art of Innovation: A SOURCES The elements required for any purposeful creative act
Model for
Organizational
Talent The set of skills required to imagine new things and make them happen
Creativity, Fig. 2 The art
of innovation overview: Energy The attention or personal resources we devote to an issue
3 categories, 12 elements Method An efficient way to creatively confront challenges
STRUCTURE The organized context in which innovation happens
Individual A person separate from other persons and possessing his/her own
needs, goals and desires
Team A group of human beings interacting at a hidh level of maturity to

create novel and useful solution to challenging problems
Target Clearly defined organizational, team and individual objectives
System The mechanism by which new ideas are collected and exploited
CULTURE The behaviors, values and norms that favor the generation and
implementation of valuable new things in an organization
Ideas Thoughts, concepts, insights, new ways of understanding - the founda-

tion upon which creative cultures are built
Freedom Open debate, minimal rules and regulations, empowering jobs
Engagement The unwritten contract between the employer and employee to help
each other grow
Humor The magic ingredient which enables seeing things from different
viewpoints
Risk Encouraging action, accepting and learning from mistakes
180 Art of Innovation: A Model for Organizational Creativity
ready to invent new things, new ways of doing The culture of innovation is the set of values,
things, and even to reinvent themselves. behaviors, and norms that promote innovation in
Recognizing and effectively managing the organizations. Also referred to as “creative cli-
trade-offs and tensions that are inherently present mate,” those intangible factors promoting innova-
between individuality and teamplay is important. tion have been well researched notably by Teresa
An innovative team needs to work like a good Amabile (1996) and Goran Ekval (1996) in recent
team but must go a step beyond to encourage years. Culture is perhaps the hardest thing to
debate and dissent as opposed to conformism change, especially in old companies with a tradi-
and groupthink. It should also recognize the tion of success, and clearly leaders’ own attitudes,
value of alternating team creativity with stretches thoughts, and actions are crucial for setting cul-
of individual creative reflection. tural norms.
Target is the meaningful purpose given to inno- Ideas are the first cornerstone of culture. Quite
vation. Innovation lies on a continuum between simply, a creative culture is, above all, one that
radical, game-changing breakthroughs and small values new ideas, and simple lip service is not
but continuous improvements in well-known and enough. Often, novelty is a source of profound
tested processes. So, a key question people in discomfort, not only because new ideas take peo-
every organization engaged in innovation must ple away from familiar territory out of their com-
ask is what does innovation mean for our organi- fort zones but also because new ideas are often
zation? Where do we lie on the continuum? What irrational in their conception (Koestler 1964).
innovation efforts do we expect from our people – A good idea is always logical afterward. Before
from each department, team, and individual? And it is tested however, it may seem unfeasible or
what innovation outcomes do we expect to even absurd, and irrationality is not a good friend
achieve as an organization? The answers to these of the analytical business mind. Valuing and lov-
questions (which are not always easy ones) will ing new ideas means being comfortable with
determine an explicit incorporation of innovation ambiguity and accepting that for one good idea,
in the organization’s strategy and enable a dia- one needs many ideas.
logue on creativity that goes far beyond the oft- Freedom is also vital for creativity. This does
repeated (and often useless) exhortation “be more not mean that creativity can only thrive in envi-
creative.” And they will highlight the trade-offs ronments that are free of all constraints (indeed,
between operational excellence and innovation highly creative acts have been carried out in con-
for the future. dition of harsh repression too), and absolute free-
The final structural element is system – the dom also challenges the very concept of an
organized way by which ideas are collected, organized environment and of an organization
appraised, and implemented. Many different itself. It means that a reduced rule book cleansed
types of systems are being practiced in organiza- of absurd regulations and procedures, encourage-
tions today. Companies like 3M and Google ment of open debate, and job definitions that are
famously offer their employees time to think up open to be stretched all the time are more like to
new products. Toyota has a very well-run staff create conditions that are more fertile for innova-
suggestion scheme that achieves excellent results. tion to happen.
Some companies are reaching beyond organiza- Engagement is the unwritten contract between
tional boundaries to clients or suppliers and even the organization and the employee to help each
their families: such has been IBM’s Innovation other grow. It is a two-way pact. It need not
Jam – a global call for ideas – or Procter & guarantee lifetime employment, but it does
Gamble’s Connect and Develop, a sophisticated demand very high levels of trust, integrity, and
scheme for intelligent outsourcing and value gen- fairness and places responsibilities on both
eration for their R&D. parties. An employee seen as a partner is more
likely to be creative than an employee treated as a conceived and experienced in many very
contractor. different ways.
Humor has a funny relationship to creativity. The Art of Innovation provides a framework A
Lightheartedness and play are conducive to crea- for understanding and leading innovation at the
tivity and have been shown to be highly present in organizational level. It is valid for private as well
companies with high innovative outcomes as public organizations (Michaelides 2011). How-
(Koestler 1964). In a more profound way, humor ever, life in an organization is more complex than
has the same logic as creative discovery: it obliges any model can convey, and the 12 innovation
us to see things from new perspectives. drivers of The Art of Innovation model do not
Risk is the bad news and the last important driver manifest themselves in a tidy order. There is no
of innovation, which is rarely possible with zero risk. sequential “how to” for an organization trying to
Accepting risk does not mean creating a culture of become more innovative. Rather, it is the synthe-
death-defying stunts. Like freedom, risk must be sis of the elements of this model that makes an
taken in measured doses. There should be zero tol- organization innovative. As argued at the begin-
erance for risk when the results can possibly be ning, innovation is a multidimensional affair, and
devastating. In most business situations however, leaders must make sure that all the innovation
encouraging reasonable risks throughout the organi- drivers are addressed adequately.
zation is a good idea and the downside manageable. Many leadership challenges arise from this
This means coming to terms with mistakes and with model. Diagnosing the strengths and weaknesses
failure and making every positive effort to learn from of the organization on each innovation driver is a
mistakes and failures. Innovations have rarely come good starting point. Gauging the relative impor-
from environments in which people permanently tance of each innovation driver is then called for,
write memos to cover themselves. At long last, it because this may vary significantly depending on
seems that business orthodoxy is accepting that suc- the specific circumstances of the organization.
cess comes with the unavoidable company of many And the action plan, while taking into account
failures, and even the Harvard Business Review had the model and the diagnosis, will always be
an issue on failure this year (HBR 2011). unique to each organization.
Sources, structure, and culture are intimately By promoting understanding and dialogue
interrelated. In practice, it is often through work around the holistic nature of innovation and pro-
on sources and structure that a new culture will be viding a multiple-level approach to this important
shaped. A system that teaches creative method and subject, The Art of Innovation offers a pathway to
rewards individuals and teams for generating and developing organizational creativity in a
implementing new ideas and free, clear dialogues substantial way.
on innovation targets will go a long way to shap-
ing a creative culture.
Cross-References
Conclusions and Future Directions ▶ Business Creativity

▶ Corporate Creativity
Innovation in organizations should be seen as a ▶ Corporate Entrepreneurship
means to an end, not an end in itself. Innovation ▶ Creative Behavior
serves strategy, progress, competitiveness, sur- ▶ Creative Collaboration
vival, profitability, well-being, and the achieve- ▶ Creative Leadership
ment of so many other worthy goals, as innovative ▶ Creative Management
people add value by imagining and implementing ▶ Creativity and Innovation: What Is the
new things. Innovation in organizations can be Difference?
182 Artificial Intelligence
▶ Creativity Management Optimization

▶ Entrepreneurial Organizations Artistic Research
▶ Four Ps in Organizational Creativity
▶ Product Innovation, Process Innovation Alexander Damianisch
Support Art and Research, University of Applied
References
Amabile T. Creativity in context: update to the social Arts-based Research, Development of the Arts,
psychology of creativity. Boulder: Westview Press; Applied Arts, Expanded Research, Implicit Knowl-
1996. edge, Practice Based Research, Research in the
Amabile T, Kramer S. The progress principle: using small Arts, Research through the Arts, Research on the
wins to ignite joy, engagement, and creativity at work. Arts
Boston: Harvard Business Press; 2011.
Bloomberg Businessweek & Boston Consulting Group. The aim of this entry is to present basic thoughts
50 most innovative companies 2010, Apr 2011. regarding practices of artistic research with the
Czikszentmihalyi M. Flow: the psychology of optimal
experience. New York: Harper & Row; 1990.
objective to describe specific criteria pertaining
Ekval G. Organizational climate for creativity and innova- to this specific process of knowledge production.
tion. Eur J Work Org Psychol. 1996;5(1):105. References to considerations regarding the philos-
Garr D. IBM redux: Lou Gerstner and the business turn- ophy of science are possible, but not intended as a
around of the century. New York: Harper Paperbacks;
2000. demarcation to the further thoughts presented that
Harvard Business Review. The failure issue. Apr 2011. make up the central element of the entry. Central
Koestler A. The act of creation. London: Hutchinson; topics of artistic research are brought into focus,
1964. evaluated, and used to generate specific processes
Michaelides D. The art of innovation – integrating creativ-
ity in organizations. Performa Productions: Nicosia;
for knowledge development. After a brief the-
2007. matic introduction to the topic and an attempt to
Michaelides D. The art of innovation in the public sector. a “Mapping of Artistic Research,” specific aspects
Int J Innov Sci. 2011;3(3): 117–125. are described in the “Setting of Artistic Research,”
Osborn A. Applied imagination: principles and procedures
of creative problem solving. Creative Education Foun-
followed by the thoughts regarding concrete
dation: Buffalo; 1964. “Modes of Artistic Research,” and concluded
Parnes SJ, editor. Source book for creative problem solv- through execution in the form of a “Conclusion
ing: a fifty year digest of proven innovation processes. and Future Directions.”
Buffalo: Creative Education Foundation; 1992.
Snyder NT, Duarte DL. Strategic innovation: embedding
innovation as a core competency in your organization.
San Francisco: Jossey-Bass Business & Management;
2003.
Introducing
The following quotation by Cannonball Adderley,

introducing doctor honoris causa by Joe Zawinul,
offers a thematic initiation: “This piece of music is
Artificial Intelligence dedicated to Herbie Hancock in honour of his
alma mater having awarded him an honorary doc-
▶ State Space Paradox of Computational torate degree, which is some other kind of estab-
Research in Creativity lishment virtue when you dig it, you know, but. . .
Herbie excepted it so under the circumstances
who are we to question it. Yeah, his thing you
know. . . so what was this thing in Iowa. . . Grinell
Artificial Intelligence (AI) College. . . come on. . . Grinell college says that
Herbie Hancock was worthy of an award from
▶ Media and Innovation them by their standards so under this circumstance
Artistic Research 183
it must be cool. So this ones is called doctor reflection and therefore clarification of the percep-
honoris causa.” tion and subsequently implementation of the
This passage illustrates the open-ended stance research context to negotiate phenomena. As a A
of artistic context, in which insight-oriented theory of the research praxis, it is necessary for
actions can unfold, therefore be used in an aca- the respective team to develop a framework,
demic context (Adderley 2012). Standards are which subsequently formulates the context for
developed practically, which also goes for aca- further approach and understanding.
demic considerations and would, as a result, cre- Compared to an exclusive approach, an
ate scope for developments that often unfold eclectic-integrative approach is preferable. With
themselves if given the necessary disenthrallment. recourse to the segment of arts, one could attempt
This is also possible for the world of art itself. to embed artistic research in the framework of the
Thus, in the focus of the orientation of the productively understood aesthetic term. In rela-
dOCUMENTA (13) of 2012, which was, for tion with an epistemological access, which
example, stated in a text presented in the entrance pleases constructive openness, this would be a
hall of the Fridericianum in Kassel, it said: possibility for theoretical approaches. It is impor-
“dOCUMENTA (13) is dedicated to artistic tant not to develop something new with the aid of
research and forms of imagination that explore historical forms, but to introduce formally through
commitment, matter, things, embodiment, and radical paradigmatic and that in theoretical antic-
active living in connection with, yet not subordi- ipation. With this theoretical open-endedness, the
nated to, theory. These are terrains where politics compatibility within the parameters of artistic
are inseparable from a sensual, energetic, and approaches is even bigger as compared to the
worldly alliance between current research in var- parameters of classical research theories. The rea-
ious scientific and artistic fields and other knowl- son lies within the idea of disciplining which
edges, both ancient and contemporary. especially here brings upon motivation, to always
dOCUMENTA (13) is driven by a holistic and overcome this new fact, to work against a static
non-logocentric vision that is skeptical [!] of the consolidation of knowledge, because it all
persisting belief in economic growth. This vision depends on lively handling, accountability and
is shared with, and recognizes, the shapes and its description. Endeavors can be assigned to, if
practices of knowing of all the animate and inan- an academic approach is followed to the subjects
imate makers of the world, including people of arts and media, design, architecture, literature,
(C. Christov-Bakargiev)” (doCUMENTA music, or performing arts. This fact also high-
(13) 2012, p. 2). lights the importance of the preceded quote by
Adderley. Especially beautiful is the fact that
Herbie Hancock was not only honored but he
Mapping of Artistic Research honoured his college by accepting the price
through his doings and his artistic praxis. His
Every research practice unfolds itself systemati- standards have prestige, which caused experts
cally in front of a specific background. The clari- like Cannonball Adderley and Joe Zawinul to
fying of this plays an eminent role for the recognize this connection and – even though in
development of further steps. The number of pos- an ironic tone – made it a subject of their work.
sibilities of artistic practices – for example, in This shows that the establishment of disciplines
diverse aesthetics as individual theories of art – and their inner rules and recognition is a question
is unlimited, with it, the practice framework of of practical unfolding.
potential theory. That theory, per se, can be seen The next adequate step to proceed without
as a practice, and in many cases, it is understood maintaining a fixated order is expansion. Accord-
as such – theoretically as well as practically – ingly, the discipline is in the best case scenario –
which goes without saying. In the aforementioned as described from the perspective of OECD in the
context, theory is understood as the explicit Frascati Manual – only a reactive attempt to
184 Artistic Research
justify current developments, but is unable to set a insight; the reason for this presence is individual
trend-setting standard for concrete activities. That as is the aiming for insight. The formulation of a
also shows that since 2011, several actors support question is crucial for any kind of research, often
artistic research, which was however ignored in in conjunction with a concrete working hypothe-
the given portrayal. Artistic research is not men- sis, whereupon follow-up questions unfold
tioned as a discipline in the Frascati Manual and is dynamically. Using hypotheses and thereby antic-
explicitly excluded from section 6.3 of the “other ipating a direction can be a necessity, but also
humanities,” which states: “Other humanities poses a problem in the development of further
[philosophy (including the history of science and questions. Therefore, the importance and impact
technology), arts, history of art, art criticism, of the hypothesis orientation process should be
painting, sculpture, musicology, dramatic art dealt with sensibly. What is often referred to as
excluding artistic “research” of any kind, religion, “blue sky research” in other approaches is actually
theology, other fields and subjects pertaining to also the description for the approach of an artistic
the humanities, methodological, historical and method. Thereby, artistic research should also be
other S&T activities relating to the subjects in allocated to the range of basic research, or per-
this group]” (Frascati Manual 2002). haps, even in a more radical sense, as an anteced-
Artistic research in this sense has to be consid- ent to basic research. In this context, one could say
ered as undisciplined. Artistic work focuses that the talk is about applied arts, which also has
respectively only on the involved competencies the possibility in itself to develop in the direction
around existing boundaries. Everything else can of basic research as well as application-oriented
and must be developed as a means of a purpose. It research.
is noteworthy how classical methodological Initially, potential should not be restricted dur-
approaches in when considering new possibilities ing the development of the research question, in
shift their focus to take upon new liberties and which the selection or definition process narrows
radically shift from research to art. In this context, down the focus already. A way out of this defini-
sensitive points should be identified as the shifts tional narrowing could be not to look at the for-
are taking place. Robert Musil is the author of the mulation of the hypothesis of the research as a
epochal novel “The Man without Qualities.” After prefixed moment but as a part of the research
an excellent research carrier, he shifted to literary process. Therefore, the decision regarding the
work, which can be interpreted as an example for research question would be the subject of the
a consequent critique at research disciplines. research process making it a disputable step with
Not reflecting theoretical parameters before- the possibility of correction.
hand would bring upon the danger of making the In a subsequent step after the clarifying of the
operation of artistic research ambiguous; the work orientation related to the research question – on
cannot be understood productively. An effort the basis of an adequate theoretical foundation,
without detailed orientation would move the through the use of sufficient competencies and
framework of comprehension in a direction that skills, and under the recourse possibility using
was not intended, particularly when it comes to specific methods – a specific research design is
teamwork. As a matter of fact, such a fundamental developed. Art does not primarily represent the
theoretical positioning does not exclude the pos- research subject – even though it is possible – but
sibility for revision; on the contrary, it enables the it presents itself as an orientating factor of the
possibility to change the stance. research entity, which is necessary and is to be
understood as a definite.
This open-endedness is a prerequisite. It is obvi-
Setting of Artistic Research ously possible that a work of art turns out to be a
part in the research process. The implementation of
Artistic research continuously dedicates itself to a an artistic work in the research context is no requi-
present problem and emphasizes on gaining site for the aforementioned, but could be possibly
Artistic Research 185
necessary. References to such specific examples implemented in the artistic practice, can, through
must be done without. A good presentation – their follow-up strategies, develop the unclear,
including reflections of examples – is offered by thus primarily making the noticing of correlations A
Dombois et al. (2011), or also on the online plat- possible indirectly, and, through such an aporetic
form (http://www.researchcatalogue.net/), as well process, develop new possibilities.
as the project data bank of the FWF, an example of Similarly, the concept of Zen-Buddhism devel-
national promotional activity (http://www.fwf.ac. oped Kōan is a relevant example, especially in the
at/de/projects/projekt_datenbank.asp) or at the list research context: “Masagin juts forth!/Words are
of research projects supported by the University of intimate and the mind is even more intimate./He
applied Arts Vienna (http://www.dieangewandte. who speaks about right and wrong./Is a man of
at/jart/prj3/angewandte/main.jart?rel¼de&content- right and wrong” (Yamada 2004, p. 89). On the
id¼1354136817169&reservemode¼active). other hand, it could also be possible that artistic
In any case, the goal of artistic research is the work as a subject of a continuous enterprise is
development of possible forms of insight. This unfolded in the following steps. Artistic research
can be shown directly or indirectly. In the second should deal with its own historically developed
case, it is obviously not the direct formulated and freedom with caution. At the same time, it should
therefore transferable knowledge; in the first case, stay impartial and continue providing potential as
it is the explicable and, therefore, direct formu- a platform for knowledge.
lated knowledge. It is worth emphasizing that
through the knowledge process via artistic
research the input is general best described by Modes of Artistic Research
Novalis as “Idea Paradise.” Novalis writes: “In
every system – individual group of thoughts – The selection of the methods used for the practical
which may either be an aggregate or a product implementation of a specific purpose for artistic
etc. – One idea, one observation, or several such, research is determined by the actual practice,
have especially flourished and stifled the others – whereby the preparatory argument along with
or have remained over. We must now gather them the theoretical setting provides a strong pillar for
together in the system of spiritual Nature – the procedure. A research that understands and
granting each its own specific soil – climate – its defines itself artistically demands artistic methods
particular cultivation – its specific as a crucial component. The disciplinary proce-
neighbourhood – in order to form a paradise of dure is not defined by the subject of research, but
ideas – this is the true system. /Paradise is the ideal by the specific method that is applied. Accord-
of the earth” (Novalis 2007, p. 165). ingly, it is not the object, but the subject, that
It is important to always remember that artistic determines this allocation. When dealing with a
research does not stake out a claim to be in accor- research question that requires methods that are
dance with rules whose critique since no later than not exclusively artistic, it is questionable whether
Paul Feyerabend has become subject to continu- it can be considered artistic research, even if the
ous struggle in developing new room for knowl- research question was developed by an artist or for
edge. In a preventive manner, pseudo- or proto- an artist. But since there are no defined borders,
research preliminary tests should not be the development of artistic positions can integrate
constructed at the cost of artistic research. highly diverse practices in the unfolding of
Insight describes itself in extreme modesty as knowledge-oriented processes for artistic
the perception of correlations, which adjust research.
directly or indirectly. The determination of the It is preferable to use an indicative hierarchy as
degree how the correlation can be or should be a foundation. The perception of experts is the
made more explicit is a deciding factor, through central orientation point, which is subject to per-
which the distinctiveness of artistic research can manent adjustment. In short, those who are
be presented. Artistic processes, the way they are concerned understand best what to do and how
186 Artistic Research
to do it. However, it is possible for a new meth- subject but also the ongoing research should be
odological practice to develop itself so naturally viewed as subject matter. This may also be the
that it is understood as an artistic method instan- case in the so-called classical disciplines, but in
taneously. On the other hand, the artistic practice this particular scenario, it is either about special
can alter itself in a way that unrelated elements spectacular cases and not the rule or it is seen
advance into the practice, possibly developing a differently than in the arts as an unorthodox con-
special “career.” This inclusive and exclusive duct. The interaction between the research subject
open-endedness should always be a possibility. and the research object should be taken into
Other than the aforementioned terms, infra- account as it provides a fundamental necessity in
structural conditions also contribute to the config- the establishment of a knowledge-oriented
uration of the artistic process. It is possible to arrangement.
classify these into static and flexible factors. The core of the defining factors of an artistic
Under static factors, space, location, and time are practice, in addition to the existing resources,
to be considered; under flexible factors, financial comprises of further conditions. Generally, these
resources or material availability is to be consid- further contexts can be described as an interrelated
ered. Of more significance than infrastructural web that contains and surrounds the practice. It
conditions are actors for the development of spe- presents itself on one hand in the form of explicit
cific methods in the case of artistic research. Every cooperation and on the other hand, in the form of
actor involved brings forth specific possibilities in spontaneous external influences. The former more
a project. This circumstance is particularly rele- or less refers to anticipated relevant occurrences,
vant when it comes to taking into account indirect with the latter rather referring to surprising aspects
competencies. Competencies are a question of which could become relevant.
skills and abilities as well as a result of knowl-
edge, explicit and embodied (indirectly); albeit
the training in the field of arts is always closely Conclusion and Future Directions
related to overcoming the given factor through
skills or making ideal use of these given abilities, Failed research and art without art both can pro-
the development of skills through training in vide new possibilities through artistic research,
every field is of vital importance. Hence, people because it is about new approaches and open-
use their competencies as the key medium for the ended results. It is always necessary to use open-
generation of actual potential and therefore in the endedness through artistic methods in order to
development of knowledge beyond the antici- unfold creatively. Fact is that artistic research,
pated output. The question of corporeality with along with artistic methods, generates work of
regard to seeking out all competencies plays art; however, it is not obligatory to do so which
an important role. The development of practices is an essential differentiation. Just like in other
in this sense for artistic research is a central disciplines – in the same sense – failure is always
element, especially in comparison with other dis- and should be a possibility when it comes to
ciplines of research practices, highlighting a crit- conducting research, as this produces an opportu-
ical difference. nity to search for a solution in other disciplines.
Whoever is competent for a specific project This is therefore an open interplay between struc-
possesses adequate skills and abilities. The action ture and flexibility, in which any project is subject
on the basis of this competence is dependent on to artistic research, and this demands a procedure,
different abilities; it is noteworthy that constant which is oriented through flexibility and open-
objectification takes place and therefore crafting ness, always striving to reach new grounds to be
or being crafted can be synonymous. This also achieved in such a way that justifies the current
corresponds to the circumstance that in the pro- research question legitimately. This “legitimacy”
cess of artistic research, not only the research does not demand a response through virtuous
Art-Math 187
explicit developed answers, but it provides a hori- ▶ Communicating Invention, Creativity, Innova-
zon that never yields back providing unattainable tion, and Entrepreneurship
knowledge. Therefore, besides all competences ▶ Craftsman A
that can be learned through dexterity, the devel- ▶ Creative Collaboration
opment of open competences should be encour- ▶ Creative Knowledge Environments
aged; this is valid for actors as well as the entire ▶ Creative Management
associated framework. Artistic research is a ▶ Creativity and Innovation: What Is the
research practice, which integrates artistic compo- Difference?
nents as integral parts, taking up integrative com- ▶ Epistemic Governance and Epistemic Innova-
petences, and therefore broadens the horizons for tion Policy
insight-oriented praxis and also expands the sub- ▶ Interdisciplinarity and Innovation
jects in possible disciplines. On this subject, direct ▶ Interdisciplinary Research (Interdisciplinarity)
and indirect forms of knowledge play an equal ▶ Nature of Creativity
role, and unclear relations are used productively. ▶ Nonlinear Innovations
An exclusive approach cannot be an exit strategy ▶ Open Innovation and Entrepreneurship
or goal for artistic research practice. ▶ Preparing a “Creative Revolution”: Arts and
The understanding of the connection of art and Universities of the Arts in the Creative Knowl-
insight in the sense of artistic research as well as edge Economy
the explicit development of the relations makes it ▶ Research on Creativity
possible that the knowledge circumference cover- ▶ Role of Intuition in Creativity
ing the art and its application is followed by artis- ▶ Science of Creativity
tic research practice, and this can therefore serve ▶ Social Design
as the innovation for basic research. The innova- ▶ Speaking Pictures: Innovation in Fine Arts
tion lies therein that if the application is not ▶ Transdisciplinary Research (Transdisciplinarity)
thought along the lines of the product, art would ▶ Translational Research
be mode minus 2 and artistic research mode minus
1, whereby the innovation of artistic research
would also be associated to applied arts. This References
thereby provides an interface to be preserved in
its freedom and to be used creatively. It is not Adderley. vgl. http://en.wikipedia.org/wiki/Herbie_Hancock
#cite_ref-7. 2012.
about the development of products, designs, or
doCUMENTA (13). Das Begleitbuch/The Guidebook.
objects, but about effective matting in the broadest Katalog/Catalog 3/3. Ostfildern; 2012.
sense. In order for this to be possible, it needs a Dombois F, Bauer UM, Mareis C, Schwab M, editors.
special development of an epistemic governing Intellectual birdhouse: artistic practice as research.
London: Walther König; 2011.
structure also for artistic research. Shaping this
Novalis DWW. Notes for a Romantic encyclopaedia: Das
freedom in the sense of a creative present for Allgemeine Brouillon. Albany: Suny Press; 2007.
everyone’s purpose is dependent on the future. Organisation for Economic Co-operation and Develop-
ment. Frascati manual – proposed standard practice
for surveys on research and experimental development.
Paris: OECD; 2002.
Cross-References Yamada K. The gateless gate: the classic book of Zen
Koans. Boston: Wisdom Publications; 2004.
▶ Applied Design Thinking Lab and Creative
Where to Look for It Art-Math
▶ Cognition of Creativity ▶ Polynomiography and Innovation
188 Arts
Concept of ARIS: Arts, Research,

Arts Innovation, and Society
▶ Areas of Innovation in Arts: Innovation and Creativity in general and the arts in particular are
Where to Look for It increasingly being recognized as drivers of cul-
▶ Arts, Research, Innovation, and Society: ARIS tural, economic, political, social, and scientific
▶ Communicating Invention, Creativity, Innova- innovation, development, and progress. The
tion, and Entrepreneurship newly launched research initiative and book series
▶ Social Design of ARIS (Arts, Research, Innovation, and Soci-
ety), in cooperation with Springer publisher, aims
to provide further input for the international and
global discourses on those themes, topics, and
Arts, Research, Innovation, issues that define the intellectual core of the
and Society: ARIS ARIS project. ARIS is a book series (ARIS
Springer 2017). But ARIS is also a continuously
Elias G. Carayannis1, Gerald Bast2 and evolving research platform (ARIS Angewandte
David F. J. Campbell3,4,5,6 2017). Early 2015, the first ARIS book was
1
Department of Information Systems and released, with a title identical with the whole
Technology Management, European Union book series (Bast et al. 2015).
Research Center, GWU School of Business, In art and research, some of the principal ques-
The George Washington University, Washington, tions to be explored by the ARIS project, are:
DC, USA
2
Rector, University of Applied Arts Vienna, 1. Could and should artists be researchers?
Vienna, Austria 2. How are the systems of the arts and the sci-
3
Department of Political Science, University of ences connected and/or disconnected?
Vienna, Vienna, Austria 3. What is the position and status of the arts
4
Department for Continuing Education Research in defining the terms “progress” and
and Educational Technologies, Center for “development”?
Educational Management and Higher Education 4. What is the impact of the arts on and in societal
Development, Danube University Krems, Krems, development?
Austria 5. How are the arts interrelated with the mecha-
5
Unit for Quality Enhancement (UQE), nisms of generating social, scientific, and eco-
University of Applied Arts Vienna, Vienna, nomic innovation? What is, could be, and
Austria should be the nature, dynamics, and role of
6
Faculty for Interdisciplinary Studies (IFF), the arts in shaping the research and innovation
Department of Science Communication and theories, policies, and practices, such as the
Higher Education Research (WIHO), Alpen- New Growth Theory?
Adria-University Klagenfurt, Vienna, Austria 6. In the same context, what could and should be
new understanding of the support for funding
of the arts as a stand-alone pillar with its own
Synonyms merit, value, and potential along with research
and innovation of smart, sustainable, and
Aesthetics; ARIS; Artistic research; Arts; Cuisine; inclusive growth that is socially embedded
Culture; Creativity; Creative knowledge economy; and cohesive development and progress?
Democracy; Innovation; Knowledge; Nonlinear 7. What are the socioeconomic, sociopolitical,
innovation; Quadruple and Quintuple helix inno- sociotechnical implications for society from
vation systems; Quality of democracy; Research; the answers to any and all of these questions?
Social design; Societal transformation; Society For instance, what are the particular
Arts, Research, Innovation, and Society: ARIS 189
implications for sectors such as politics, edu- improvement, betterment, and learning. There is
cation, health, manufacturing, and others? economic innovation, but there is also social inno-
How can the New Growth Theory be under- vation, political innovation, innovation in democ- A
stood in the context of Creative Economies, racy, innovation in knowledge production, and
Societies, and Democracies? Are there limits “innovation in innovation,” and innovation in
to growth in the traditional economy and what the arts (Carayannis and Campbell 2014, 2015;
is the role of artistic research and arts-based Campbell and Carayannis 2012, 2016a, b; Dubina
innovations in redefining growth, develop- et al. 2012). Innovation depends on the input of
ment, and progress? creativity, and creativity is encouraged by diver-
8. What are the roles, interdependencies, and sity, heterogeneity, and pluralism. This appears to
dynamics of arts versus research versus inno- be necessary, so that innovation can evolve and so
vation versus society as catalysts, drivers, and that there is a sustainable evolution of innovation.
accelerators of smart, sustainable, and inclu-
sive growth?
9. What is the relationship of arts to “quality of Theme Two: Arts, Arts, and the Sciences,
democracy” in theory and practice? Interdisciplinary and Transdisciplinary
Knowledge Production and Research
Experimenting with content as well as form
(structure) will reveal the goal of the ARIS series, There exist several, also competing definitions of
namely to explore and to pioneer new grounds at arts. In a traditional understanding, aesthetics (the
and for the evolving frontier of knowledge, learn- beautiful, but also the ugly) plays an important
ing, and research across the disciplines. New role. A newer understanding of arts also empha-
knowledge should be created and produced in sizes the additional aspect to also interpret the arts
interdisciplinary, and in fact in transdisciplinary as a manifestation of knowledge production.
arrangements and networks (“agglomerations of Knowledge production (knowledge creation) in
knowledge”). The first ARIS book (Bast et al. the arts represents a form of research, creating
2015) outlines the following broader themes: artistic research, and by this moving the arts closer
(1) arts, innovation, and creativity; (2) arts, arts to research, also research in the sciences. Artistic
and the sciences, interdisciplinary and transdisci- research enables various and multifold linkages,
plinary knowledge production and research; and interlinkages and overlaps between research in the
(3) arts, economic growth, quality of democracy, arts and research in the sciences. Therefore, artis-
and the context of society. tic research contributes to the creation, formation,
and development of interdisciplinary and transdis-
ciplinary designs, architectures and networks
Theme One: Arts, Innovation, and (“clusters of clouds”) of research (knowledge pro-
Creativity duction) and innovation (knowledge application)
that integrate the whole spectrum of disciplines in
Innovation is important for economic activities. the sciences and arts (Carayannis and Campbell
However, innovation is a concept much broader 2014, 2015). Transdisciplinarity may be defined
than the economy and by this innovation clearly as interdisciplinarity in application or the context
transcends the boundaries of the economic system of application (Campbell and Carayannis 2013a,
(Bast 2013, 2015). Innovation, understood com- b, 2016a, b). Art represents a strategy that also
prehensively, will always acknowledge the con- aids the sciences in efforts of realizing a greater
text of society. Innovation combines the traits of amount of interdisciplinarity and trans-
change, “being new,” “being knowledge-based,” disciplinarity in their research activities. The
and with a progressive momentum. Innovation arts support unconventional synapses-building
provides for the change in human history (and in between different fields of knowledge and
the human future) with a potential for approaches to knowledge production. By this the
190 Arts, Research, Innovation, and Society: ARIS
arts allow for greater creativity and a wider spec- and of tomorrow. There is no sufficient innovation
trum of new, unconventional, disruptive, and for the economy, without innovation in society
innovative approaches to knowledge production (and democracy) that is not being determined by
and research, which are also essential for the economic considerations. Quality of democracy
sciences and research in the sciences. Here, the encourages a “democracy of knowledge” that sup-
arts act as a driver for the progress of research in ports pluralism in knowledge production and
the sciences. This demonstrates the “epistemic” innovation (Campbell and Carayannis 2013c,
qualities and potentials of arts for the further and 2014; Campbell et al. 2015). ARIS (Arts,
continued evolution of research, also of research Research, Innovation, and Society) reads as the
in the sciences (Campbell and Carayannis blueprint and vision for a new master-plan for
2013a, b, 2016a, b). Artistic research further- strategy and policy-making for the economy, but
more transforms the self-understanding of uni- also for society and democracy. The economy is
versities and other higher education institutions too important to be left to economists only.
of the arts. Artistic research connects arts uni-
versities to processes of research and redefines
arts universities as being crucial institutions for Conclusion and Future Directions: Art in
innovation systems (in the multilevel architec- Arise
ture of global, national and subnational, and the
local). The Critical Outlook and Perspective
Ever more people are realizing that the political
and economic systems as well as individual life
Theme three: Arts, Economic Growth, situations (e.g., jobs, family, social security struc-
Quality of Democracy, and the Context tures) are not developing anymore as positively as
of Society during the last decades. This applies not only to
the so-called “Western” world, where growth and
For the purpose of long-term economic progress well-being until recently increased the same, but
and economic opportunity, it appears necessary to also to emerging and developing countries.
emphasize more clearly the criteria of sustainable Exactly there a middle class prospered and the
development that bring economic growth in bal- desire to participate was realistic for a growing
ance with social, democratic, and ecological con- segment of society. This is no longer true.
siderations. Too much of a focus on short-term Knowledge society with its quantitative
economic efficiency may in fact destroy economic approach seems to have reached its limit, when
development. The interest in a longer perspective the number of academic publications cannot even
for economic prosperity requires the realization of be completely reviewed by experts. If digitaliza-
a broader basis of sustainable development that tion and robotics lead to the foreseeable loss of
recontextualizes economic progress into the frame jobs, and artificial intelligence and genetic engi-
of a coevolution of economy, society, and democ- neering even question the role of humans in their
racy (with the ecology) (Carayannis and governance capabilities of civilization, then sci-
Campbell 2009, 2010, 2012; Carayannis et al. entific skepticism may become replaced by forms
2012). Economic innovation must be accompa- of hostility against education. If the so-called
nied by innovations in society and democracy. “alternative facts” make ignorance socially
Here the perspective of ARIS is essential for acceptable, then this creates a consciousness-
exploring new routes to new models of economic helix that as a “self-fulfilling prophecy” can end
growth and economic progress. Arts, artistic in societal destruction. What is the role of art in
research and arts-based innovation aid in creating this scenario? Is art the “governor of Utopia”
a new vision, for how the economy, society and (T. W. Adorno)? Is art the mirror of society? Is
democracy may be interlinked in moving and for art the plaything of the “invisible hand” of the
moving toward the frontiers and horizons of today market?
Arts, Research, Innovation, and Society: ARIS 191
Will art, which lives from its association with ▶ Quality of Democracy and Innovation
doubt, discontinuity, and ambiguousness, receive ▶ Transdisciplinary Research (Transdisciplinarity)
new meaning beyond the traditional art markets in A
a society formed by these tendencies? Must art
interlink with the sciences in order to achieve
efficacy in an increasingly complex world? References
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1186/2192-5372-1-2 ▶ Conflict and Creativity
Attention-Deficit/Hyperactivity Disorder and Creativity 193
In addition, high-profile entrepreneurs have pub-

Attention Deficit Disorder licly credited their ADHD for their high creativity
and entrepreneurial success in major North Amer- A
▶ Attention-Deficit/Hyperactivity Disorder and ican media outlets such as The New York Times
Creativity and USA Today. Prominent examples have
▶ Creative, ADHD, or Both? included David Neeleman, founder of JetBlue
airlines, and Paul Orfalea, founder of Kinko’s
(now FedEx Office). However, there has not yet
been much empirical research to support these
Attention Deficit claims of concomitant creativity, and some prom-
Hyperactivity Disorder inent ADHD researchers fear that this is a detri-
mental romanticization of a serious disorder.
▶ Attention-Deficit/Hyperactivity Disorder and The purpose of this entry is to describe the state
Creativity of the research on the creativity of children and
adults with ADHD and to touch upon its potential
implications for personal creativity, workplace
innovation, and entrepreneurship. To understand
Attention-Deficit/ the context, this will be preceded by (1) a defini-
Hyperactivity Disorder and tion of ADHD and creativity, (2) a layout of the
Creativity heated debates that frame and influence the
research, and (3) the hypothetical parallels
Jean-Pierre Issa between ADHD and creativity that remain largely
International Center for Studies in Creativity, outside empirical investigation.
Buffalo State College, State University of
New York, Buffalo, NY, USA
Key Concepts and Definitions
Synonyms ADHD
Attention-deficit/hyperactivity disorder is a clas-
ADD; Attention deficit disorder; Attention deficit sification of the American Psychiatric Association
hyperactivity disorder; Hyperkinesis; Hyperki- (APA) published in its current Diagnostic and
netic disorders Statistical Manual of Mental Disorders
(DSM-IV-TR) (APA 2000) for a condition that
affects approximately 3–5% of the global popula-
Introduction tion, according to most estimates. To meet diag-
nostic criteria, there must be evidence since
Attention-deficit/hyperactivity disorder (ADHD) childhood of inattention and/or hyperactivity and
is a disorder marked by impairing levels of either impulsivity that is more frequent and severe than
(1) inattention, (2) hyperactivity and impulsivity, people of comparable age and background – to the
or (3) both combined. Despite these impairments, point that social, academic, or occupational func-
some clinicians and the authors of some of the tioning is significantly impaired. It is divided into
most popular ADHD self-help books have three subtypes: (1) primarily inattentive, (2) pri-
asserted that this disorder comes with high levels marily hyperactive-impulsive, or (3) both com-
of creativity. Similarly, giftedness specialists have bined. Symptoms must be observed before the
observed and written about high incidences of age of seven (though some clinicians point out
ADHD traits in the creatively gifted population. that sometimes impairments are not noticed until
194 Attention-Deficit/Hyperactivity Disorder and Creativity
adolescence, when more self-management is diagnosed with one of those disorders. This
expected). To meet diagnostic criteria, the traits can continue into adulthood, and some even
described above must be pervasive enough to estimate that about half of the US prison pop-
cause problems in at least two life settings such ulation struggles with this disorder.
as at work, play, school, or home. The following is • Combined inattentive ADHD and
a breakdown of the three ADHD subtypes. hyperactive-impulsive ADHD type is a combi-
nation of the two above types. It roughly cor-
• Predominantly inattentive ADHD type is still responds to what the World Health
commonly referred to as simply attention def- Organization (WHO) classifies as hyperkinetic
icit disorder (ADD), which was its formal clin- disorder (HKD). This is published in its Inter-
ical name until 1987. (Another point of national Classification of Disease (ICD-10),
confusion is that some clinicians and manuals which is more widely used outside North
still use ADD as an interchangeable umbrella America.
term for all three ADHD types.) Common
criteria of inattention in diagnostic manuals Because there is so much diversity in how the
include: often having trouble organizing activ- varieties of ADHD manifest, describing typical
ities and completing tasks, making mistakes at ADHD traits and behaviors can seem like an
work or school from not paying close attention exercise in contradictions. This sometimes poses
to detail, being forgetful in daily activities, difficulties both for conducting research and for
being easily distracted, having trouble sustain- public understanding and acceptance of the disor-
ing attention on tasks and following instruc- der. Compounding this challenge is the growing
tions, and often losing things. It is common for understanding that the primarily inattentive
people with this ADHD type to be called “day- ADHD type may be a different neurobiological
dreamers,” “absentminded professors,” or phenomenon altogether from the other two types.
even “space cadets” by others. Though the root causes of ADHD are still not
• Predominantly hyperactive-impulsive ADHD fully understood, the most common form of treat-
type includes as its criteria: excessive talking, ment is the administration of stimulant drugs that
often being “on the go” or acting as if “driven are thought to work by activating the executive
by a motor,” having trouble enjoying leisure functioning parts of the brain that regulate atten-
activities quietly, running or climbing about tion and control impulsive behavior. Therapy and
when not appropriate (or in adulthood, feeling coaching are also recommended in order to put in
very restless), fidgety hands or feet, and often place healthy coping habits and to deal with mal-
getting up when seating is expected (or in adaptive psychological and emotional patterns
adulthood, a feeling of inner jitteriness). that often accumulate before diagnosis. These
Impulsivity is described as often interrupting can run deep – until diagnosis, the chronic under-
or intruding on others (such as in conversations achievement and social rejection that is often
or games), having trouble waiting one’s turn, experienced by the sufferer is frequently attrib-
or blurting out answers before questions have uted by his or her social circles to low intelligence
been finished. As children, these individuals or to perceived moral failings such as laziness or
may have been seen as the “class clown,” intentional misbehavior. These perceptions are
often getting in trouble with teachers, parents, often internalized by the sufferer, leading to prob-
and peers because of their impulsive behaviors. lems of self-esteem.
These symptoms can lead to breaking rules at There is widespread misunderstanding of
school, at home, and among peers, and often ADHD due to its somewhat misleading name. It
they are seen as tactless in social interactions. is often said that ADHD is more accurately a
There is considerable overlap between problem of attention control or attention incon-
hyperactive-impulsive types and both conduct sistency than an attention deficit. People unfamil-
disorders and oppositional defiant disorders, iar with this disorder may be surprised to learn that
with up to half of these children also getting people with ADHD can usually pay great
attention to things that interest them. For this Creativity researcher Gregory Feist proposed an
reason, the APA’s diagnostic manual advises cli- operational definition that is in line with much of
nicians to be conscious of situational factors in the field of creativity by describing a creative A
making a diagnosis because ADHD symptoms person as one who has personality dispositions
worsen in situations that lack intrinsic appeal or that makes creative thought and behavior more
novelty, as well as those that require sustained likely.
attention or mental effort. On the other hand, One last concept to keep in mind when pon-
symptoms may decrease or disappear altogether dering creativity in ADHD is what Mark Runco
when engaged in especially interesting activities, and others have called pseudo-creativity,
in one-to-one situations, when under close super- described as potentially original behavior, but
vision, when frequently rewarded for appropriate arising mainly from lack of inhibition, luck, or
behavior, and when in novel settings. contrarianism for the sake of being different.
What may be especially significant here are the Although this may seem like creative behavior to
roles of intrinsic appeal and novelty – also found a casual observer, if this potentially original
to be important motivating factors for the highly behavior has no effectiveness in self-expression
creative. However, sustained attention and mental or problem solving, it cannot be called truly
effort are also important in following through on creative.
potentially creative ideas. A reduction in this
capacity – if present even in areas of intrinsic
interest or novelty – could be a factor that may Current Debate and Cultural Context
hamper creativity in those with ADHD.
Creative Because of ADHD
Creativity One side of the debate contends that most people
Though creativity is complex and difficult to with ADHD are highly creative largely because of
define, researchers have come to a consensus their ADHD. Clinicians and ADHD self-help
that for something to be considered creative, it book authors often see this high creativity as a
must have at least two essential elements: (1) orig- boon for strengths-based therapy – providing
inality (novelty, newness) and (2) effectiveness patients with increased self-esteem and hope.
(value, usefulness, meaningfulness). Despite an This notion entered mainstream awareness with
ongoing popular bias to associate it principally the bestselling 1994 publication of Driven to Dis-
with the arts, creativity – originality that has effec- traction: Recognizing and Coping with Attention
tiveness – can happen in every conceivable Deficit Disorder from Childhood Through Adult-
domain, whether it be in social interactions, hood by Harvard psychiatrists, Edward Hallowell
machinery design, starting a business, developing and John Ratey (1995). There has also been a
mathematical theorems, cooking, composing related concern since the 1970s that the mis-
music, or leading political movements, to name a diagnosis of creative people with ADHD and the
few diverse examples. ensuing treatment may hamper an inherent crea-
Studies of creativity are often classified as tivity. It is also common to hear speculation
either studies of creative person, creative pro- among giftedness specialists that many of
cess, creative product, or creative environment. humanity’s creative geniuses (e.g., Leonardo da
Because most claims of high creativity in people Vinci, Thomas Edison) might have met today’s
with ADHD fall under the first category of crea- diagnostic criteria for ADHD – and that we should
tive person, it is important to examine what this therefore be especially careful when diagnosing
means. Although everyone is capable of creative gifted children, many of whom tend to display
behavior, what usually earns someone the desig- ADHD characteristics.
nation of creative person both in and outside of
the field of creativity is a matter of degree, i.e., Creative Despite ADHD
significantly higher than average levels of crea- The other side of the debate contends that if some
tive behavior in frequency and/or in caliber. people with ADHD are creative, it is despite their
ADHD. Some ADHD researchers and clinicians, mode of thinking that absorbs relatively higher
most prominently Russell Barkley (see Barkley amounts of surrounding information (that
et al. 2008), oppose the notion that people with could be considered irrelevant to less creative
ADHD are inherently more creative for the fol- people). This is usually measured through tests
lowing reasons: (1) The notion that those with of latent inhibition, which is a healthy brain’s
ADHD are highly creative is based on potentially capacity to keep irrelevant stimuli out of con-
biased clinical observations. (2) Empirical scious awareness, preventing information
research on this topic has been historically incon- overload. This allows one’s attention to remain
clusive. (3) The idea that ADHD includes high focused on elements relevant to a task at hand.
creativity may discourage those who suffer from Highly creative people have been found to
ADHD from seeking treatment for their disorder, have a decrease in latent inhibition. It is
which many studies have shown can have devas- thought that this allows more information to
tating and even tragic effects if left untreated. be considered for recombination during the
(4) There is also concern that if the public believes formation of new ideas – leading to higher
that people with ADHD have an inherent creative rates of original ideas, and making creativity
advantage, it may discourage societal support for more statistically likely. This also seems to
therapeutic research funding as well as legislation allow one to not be as constrained by previous
for the academic and occupational accommoda- cognitive structures when generating new
tions that ADHD children and adults often need. ideas. Psychologists such as Hans Eysenck
and Colin Martindale have even described cre-
ativity as a cognitive and behavioral disinhibi-
Theoretical Parallels Between ADHD and tion syndrome. It has been thought that a
Creativity similarly decreased latent inhibition and wid-
ened attention could help account for the dis-
Most theoretical parallels that have been observed traction from internal and external stimuli
between highly creative people and the ADHD associated with ADHD and to the lowered
population fall under the categories of behavioral inhibitions associated with impul-
neurocognition, personality, and entrepreneurial sive ADHD behavior. Higher intelligence has
temperament. Though some of these suggest pos- been speculated to play a role in veering
sible overlapping etiologies – perhaps even at the decreased latent inhibition more towards crea-
gene level – there is almost no direct empirical tivity than disorder.
research comparing these parallels between the • Underarousal and Novelty Seeking.
two populations, except for budding research Decreased latent inhibition has been associated
that has begun to assess certain dimensions of with underarousal, characterized by decreased
personality. activity in the brain’s frontal lobe, which has
also been found both in ADHD and in highly
Neurocognitive Parallels creative individuals. This underarousal has
The three principal neurocognitive parallels have been theorized to be behind the motivation of
been related to (1) wide attention and decreased both populations to seek novelty – which is a
latent inhibition, (2) underarousal and novelty form of sensation-seeking that stimulates
seeking, and (3) atypical brain asymmetry. dopamine reward pathways and “awakens”
(These have also been found to have some paral- the frontal lobe. This propensity could be
lels with other disorders such as schizophrenia related to the high rates of addiction found
and bipolar disorder.) among both the highly creative and those
with ADHD. The highly creative have also
• Wide Attention and Decreased Latent Inhi- been observed to sometimes have an
bition. Highly creative people have been found addiction-like obsessive relationship to crea-
to have a wide attention or an overinclusive tive endeavors with long periods of
perseveration. In ADHD, perseveration is also describe those with ADHD and are often attrib-
common – however, it is usually seen as a uted to delayed brain maturation.
maladaptive repetition of certain inappropriate A
behaviors or cognitive patterns. Entrepreneurial Temperament Parallels
• Atypical Brain Asymmetry. Both the highly Although entrepreneurship and creativity are
creative and those with ADHD have been not the same thing, entrepreneurship does
shown to be atypical in their brain asymmetry require creativity. It is common to read in the
(also called lateralization). This refers to the popular ADHD self-help literature that those
specialization of the right and left hemi- with ADHD are inherently wired for entrepre-
spheres of the brain and how they interact neurship. Not only has this literature often
during certain modes of thinking. This is noted that many of the most successful entre-
related to popular lay notions of “right- preneurs seem to have ADHD, but it is even
brained thinking” – associated with creative, sometimes implied that entrepreneurship could
holistic, fantasy-based thinking, versus “left- be a wise career choice for those with ADHD to
brained thinking” – associated with logical, consider. Some of the characteristics of ADHD
analytical, and sequential thinking. Popular that are cited in this literature as providing an
literature often associates both ADHD and advantage for entrepreneurship – but that are
creativity to “right-brained thinking,” though not in official diagnostic manuals – are curios-
research is not yet clear on how their ity, big-picture thinking, high energy, intuitive-
asymmetries compare. Increased right hemi- ness, an ability to generate ideas, a propensity
sphere activity has been found among those for risk-taking, and an increased sensitivity to
who are good at generating new ideas – how- the environment and thus a higher ability to
ever, creativity is more complex than this, detect opportunities. These nonempirical
involving interactions between both hemi- observations parallel the characteristic of
spheres of the brain at various stages of the highly creative people found in the creativity
creative thinking process. research literature.
Personality Parallels
The apparent personality parallels have been the Empirical Studies That Have Directly
most written about, particularly in popular ADHD Assessed Creativity in the ADHD
self-help books and in the giftedness literature. In Population
the creativity literature, Gary Davis compiled
what are generally considered negative traits of Just over a dozen small studies have been
creative individuals found in the work of E. Paul conducted in the last couple of decades that
Torrance and other creativity scholars. Seven cat- directly assess creativity in the ADHD population.
egories emerged: egotistical, impulsive, argumen- Only one recent study by White and Shah (2011)
tative, childish, absentminded, neurotic, and has demonstrated higher levels of real-world cre-
hyperactive. Although the parallels to ADHD ativity. This was conducted among 30 ADHD
could be due to a number of reasons apart from a college students (matched against 30 non-ADHD
common etiology, many have found these kinds of controls) using Carson, Peterson, and Higgins’
similarities striking nevertheless. Impulsive, Creative Achievement Questionnaire, which mea-
absentminded (inattentive), and hyperactive are sures lifetime creative achievement across
the very descriptors of ADHD. Also, given the 10 domains. Real-world creative achievement is
high rates of oppositional defiant disorder – which often considered the gold standard of creativity
again is prevalent among those with hyperactive- assessment – other forms of assessment usually
impulsive ADHD – argumentative is a common measure elements related to various aspects of the
characteristic. And finally, childish immaturity creative process and creative potentials but not
and egotistical behavior are also often used to actual creativity.
Until this study, previous research had largely has been found that timed tests – as all of these
assessed creative levels through divergent think- were – produce less creative responses. This could
ing tests, which commonly ask participants to be especially salient given the fact that one of the
generate as many ideas or solutions as they can main academic accommodations given to ADHD
in response to open-ended questions (such as students is to allow more time to take tests at
finding alternative uses for common household school. Thus, it is possible that current divergent
objects) or to come up with as many solutions as thinking test administration procedures would
they can to problems, either through written have to be modified to be valid for the ADHD
words (verbal) or by drawing figures (figural). population.
The number of ideas generated, originality of A smaller line of research has examined the
responses, and flexibility of perspective usually creative cognitive style and personality of those
determines level of divergent thinking. One of the with ADHD (rather than their level of creativity).
earliest of such studies was conducted by Style is a personality dimension that deals with the
Cramond (1994). In addition to finding elevated way people process information and their prefer-
ADHD-related characteristics among highly cre- ences for certain modes of thinking and behaving.
ative children, she found higher scores among In creativity research, it is often described as
ADHD children on figural divergent thinking examining how people are creative versus how
tests using the classic Torrance Test of Creative creative they are. Two studies with practical
Thinking. Others, such as Healey and Rucklidge implications used assessments that are widely
(2005), conducted similar figural divergent think- used to manage creativity in organizations. The
ing studies but could not replicate these findings. first was part of the above-mentioned White and
On verbal divergent thinking tests, some studies Shah study using Puccio’s FourSight, an instru-
found higher scores among those with ADHD, but ment that identifies a person’s style preference
here too, others found no differences. among four categorized stages of the creative
It is hard to know what accounts for these problem-solving process: (1) clarification of the
mixed results, but a few potential issues come problem, (2) ideation of solutions through the
up. Though the legitimacy of using divergent generation of new ideas, (3) development and
thinking tests as measures of creativity has long refinement of solutions, and (4) implementation
been an issue of debate for many reasons – for of solutions. Adults with ADHD showed a higher
example, perhaps these tests attempt to assess a preference for ideation compared to controls. In a
general creative ability and would not detect second study, Issa (in press) also found a prefer-
domain-specific abilities such as musical creativ- ence for FourSight ideation among ADHD adults.
ity – divergent thinking has been generally In this study, they were also found to have a strong
accepted as an important area of assessment that innovator preference on the Kirton Adaption-
is strongly related to original thinking. However, Innovation Inventory (KAI). This assessment
some scholars, such as Howard Gruber, have places people on a continuum from adaptors,
reminded us that the most highly creative people who prefer to “do things better” within a pre-
rarely use divergent thinking. This could be a vailing paradigm, to innovators, who prefer to
potential blind spot for divergent thinking tests if “do things differently,” sometimes by radically
it turns out that the highly creative and those with stretching or disregarding the prevailing para-
ADHD share certain cognitive mechanisms in digm. The KAI has been used in hundreds of
relation to creativity. Second, divergent test studies, some of which have found that a strong
administration methods have been found to have innovator preference is a good identifier of people
an influence on scores. For example, if they are with entrepreneurial dispositions. A third study by
administered in a test-like manner rather than Alt (1999) used the Myers-Briggs Type Indicator
playfully – something that was not indicated in to assess how respondents make decisions and
most of these studies – this could lower scores and interact with the world. ADHD adults had a higher
account for discrepancies in the results. Finally, it preference for intuition (preferring the abstract
general meaning of information patterns over disadvantages for the effectiveness that would
more concrete detailed information gathered lead to full-fledged creativity. Understanding cre-
from the five senses) and perception (preferring ativity in this way could allow a person with only A
situations and environments that are more open- high originality to strategize how to best harness
ended, spontaneous, and flexible over those that their strength, possibly through collaboration with
are more structured). These two preferences have others who have high levels of effectiveness. It
most been associated with highly creative person- could also help in developing more effective edu-
alities in other studies. Finally, a study by a team at cational strategies for ADHD children.
Stanford (Simeonova et al. 2005) used the ADHD has clearly been shown to lead to neg-
Barron-Welch Art Scale. This is a well-established ative outcomes at work, both alone and in teams.
creativity assessment that is based on findings that Though understanding and working to one’s cre-
when highly creative people are shown various ative style would probably not eliminate the chal-
figures, they tend to dislike simple symmetrical lenges of ADHD (particularly in more severe
figures and prefer more complex asymmetrical cases), it could reduce problems. Some ADHD
figures. The study was intended to assess creativ- clinicians recommend choosing occupations that
ity in bipolar disorder (BD) families (whose chil- match one’s style, even as a parallel therapeutic
dren are sometimes found to have ADHD as a strategy for ADHD. Entrepreneurship seems a
precursor to BD). This assessment found higher potentially fruitful area of research to explore
preference for complexity and asymmetry in chil- such occupational matching for some ADHD
dren with ADHD (and even higher preference in types.
those with BD) compared to control children. Future studies will no doubt continue to stretch
In the area of entrepreneurship and ADHD, at beyond divergent thinking tests and give us a more
least one study provides interesting evidence. holistic look at creativity among those with
A team lead by Mannuzza et al. (1993) conducted ADHD. Neurocognitive and genetic sciences
a 20-year longitudinal study of 91 ADHD boys. In may soon advance enough that we can begin to
addition to higher rates of substance abuse and make quality comparisons between ADHD and
criminality than controls, a higher percentage creativity at these levels. All this could move the
(18%) had started their own businesses than non- heated public debates beyond a creative/not-
ADHD controls (5%). Though this can be seen a creative paradigm to a more nuanced and useful
propensity for entrepreneurship, it could also be understanding.
interpreted that those with ADHD are more likely
to start their own businesses because they have
trouble holding down a more conventional job Cross-References
that requires complying with expectations set by
employers. ▶ Adaptive Creativity and Innovative Creativity
▶ Creative Brain
▶ Creative Management
Conclusion and Future Directions ▶ Creative Mind: Myths and Facts
▶ Creative Personality
Regardless of whether future research will show ▶ Creative Styles
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it may continue to show associations between ▶ Creativity Optimization
ADHD and certain creative style tendencies. ▶ Creativity Tests
Becoming aware of style could benefit the crea- ▶ Creativity, Intelligence, and Culture
tivity of a person with ADHD and the ultimate ▶ Divergent Thinking
innovation of the groups or organizations in which ▶ Divergent Versus Convergent Thinking
he or she may work. For example, it could be that ▶ Entrepreneur
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200 Audit
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https://doi.org/10.1007/978-3-319-15347-6
202 Bidirectionality
would be a mistake to conflate creativity with

Bidirectionality promotion.
Merrotsy did identify what he felt were the ear-
▶ Creativity Journals liest references to the Big C and little c distinction.
One was Morris I. Stein’s (1987) chapter titled
“Creativity research at the crossroads.” The actual
terms used by Stein were “Creativity Big C” and
Big C Versus Little c Creativity “Creativity little c.” The second early reference to
the distinction, uncovered by Merrotsy, was actually
Mark A. Runco in a journal focused on industrial effectiveness, in an
University of Georgia, Athens, GA, USA article by Luckenbach from 1986. Luckenbach
Creativity Research and Programming, Southern pointed to “guts, imagination, determination, and
Oregon University, Ashland, OR, USA patience” as key for organizational entrepreneur-
American Institute for Behavioral Research and ship. He used the exact terms Big C and little c
Technology, Vista, California, USA creativity and even defined them:
“Big C” creativity is that which involves a big
breakthrough innovation, while “little c” creativity
The distinction between Big C creativity and little is innovative but has little impact.
c creativity is often used in the creativity research.
The former is taken to represent high-level crea- Merrotsy’s close reading suggested that
tivity and the creativity of famous creators. The Luckenbach was not the first to use these terms.
latter is taken to represent creativity displayed by He then surveyed creativity scholars, but got noth-
people who are not famous. Sometimes little c ing further. One useful suggestion was to look at
creativity is used in discussions of children’s cre- the research on culture, and sure enough he found
ativity, “personal creativity,” or everyday creativ- a number of references to “Culture with a Big C”
ity, a concept that is becoming increasingly and “culture with a small c.” It is possible that the
popular. distinction drifted from studies of culture to stud-
The origin of the Big C/little c dichotomy is ies of creativity. Such a drift is especially likely
uncertain. Peter Merrotsy explored the origin in because Big C Culture was used as shorthand for
detail in the 2012 Creativity Research Journal. music, literature, and the arts, or “Culture MLA,”
He reviewed 15 years of research, aided by while little c culture was used to indicate beliefs,
Advanced Google Search and other internet behaviors, and values, or “Culture BBV.” Cer-
resources, but he could not pinpoint the origin. tainly music, literature, and the arts require crea-
He did see a possible trend that may help explain tivity. This could facilitate a drift from the
the distinction. This trend was from the study of scholarship on culture to the research on
eminent creators to the study of more ordinary creativity.
and mundane forms of creativity and the people Importantly, Merrotsy concluded that the logic
who display it. Merrotsy reasoned that there was behind the Big C/little c creativity distinction was
a need to distinguish the different samples, the presented well before the “Big/little” shorthand
assumption being that the various samples may wording was used. He again cited Stein, who in
actually use different creative processes. That is 1953 went into great detail about the need to take
indeed an assumption. It is quite possible that into account frames of reference when judging
eminent creators use the same processes as creativity. Some creativity should only be judged
everyone else. Related to this is the possibility, with an internal frame of reference. The original
outlined in my own theory of personal creativity, self-expressions of a child, for example, are only
that the creative processes are identical in emi- creative relative to that child and not when com-
nent creators and everyone else, but eminent pared to larger norms. But the self-expression may
individuals go beyond creativity to promote be original and effective and thus fit the standard
and extrapolate their work. In this light it definition of creativity used throughout the
Big-Picture Thinking 203
creativity literature (see Runco and Jaeger 2012). creativity. The former was defined in terms of
Other creativity is original and effective with personal creativity (which they contrasted with
broader frames of reference. This may qualify as the everyday creativity of little c creativity) and
Big C creativity. Stein also referred to subjective the latter in terms of creativity that draws on exper-
and objective creativity, the former being personal tise. This four-category scheme is more realistic B
and the latter being socially recognized. This too than the simple dichotomy, but the most realistic
is a useful distinction that may have contributed to approach is probably to avoid shorthand and cate-
the formulation of the Big C/little c creativity gorizations completely and be more concrete when
distinction. labeling the different kinds of creative behavior.
It is useful to distinguish between different One option here is to avoid the noun creativity
frames of reference, but it can be misleading to and only use the adjective creative. This has the
use shorthand. It is much like thinking about benefit of requiring specificity: creative must be
straight “A” students and students who flunk out. used with a particular act or process or achieve-
Those are only two extremes, with many students ment, as in “creative potential,” “creative accom-
somewhere in between, and it is a generalization to plishment,” “creative product,” and so on. Or the
assume that all students with a particular GPA are thinking that seemed to have led to the Big C/little c
the same. Worse, it is possible for a student who distinction long ago might be revisited. Recall here
flunks a course or two to improve and even become that Stein referred to internal and external frames of
an A student. The possible bridge between little c reference, as well as to subjective and objective
creativity and Big C creativity should similarly be creativity. At least as useful are the terms “profes-
recognized. Indeed, this is why creativity enhance- sional creativity,” “personal creativity,” “eminent
ment efforts are all about fulfilling potential. Some- creativity,” and so on. The Big C/little c distinction
one with little c creativity can fulfill his or her is shorthand and ambiguous and as such probably
potentials and perform at a high level, hence grow- should be rarely if ever used.
ing from little c to Big C. The distinction is in this
light a kind of false dichotomy. The connection
between little c and Big C creativity should be Cross-References
appreciated, for otherwise it may not be obvious
that creative potentials can be fulfilled. ▶ Personal Creativity
Another issue relevant to the distinction is that
it may be misleading to view Big C creativity as
just creativity. That is because the label Big References
C creativity is usually given to eminent creators,
and they probably had an impact on the world Beghetto RA, Kaufman JC. Toward a broader conception
with more than creativity or maybe no creativity of creativity: a case for ‘mini-c’ creativity. Psychol
Aesthet Creat Arts. 2007;1:73–9.
at all. Research shows that eminent creators tend Merrotsy P. A note on Big C creativity and little c creativ-
to be persistent, intrinsically motivated, and often ity. Creat Res J. 2013;25:474.
they are self-promoters. These things contribute to Runco MA. “Big C, little c” creativity as a false dichotomy:
their eminence and yet have little if anything to do reality is not categorical. Creat Res J. 2012;26:131–2.
Stein MI. Creativity research at the crossroads: a 1985
with creativity. The point is that Big C creativity is
perspective. In: Isaksen SG, editor. Frontiers of crea-
an ambiguous label, and it may be more accurate tivity research: beyond the basics. Buffalo: Bearly;
to recognize the various things that contribute to 1987. p. 417–27.
their eminence, some of which are outside of the
realm of creativity. Perhaps the shorthand Big
C/little c distinction is best avoided.
One step in the right direction was offered by Big-Picture Thinking
Ronald Beghetto and James Kaufman. They
avoided the false dichotomy of Big and little c ▶ Creativity for Compassion and Compassion for
creativity by defining mini-c creativity and pro-C Creativity
204 Biologic Agents
Biologic Agents Bottom Up vs. Top Down
▶ Translational Medicine and the Transformation ▶ Topsy-Turvy: Innovation of Political

of the Drug Development Process Leadership
Black Belts Brain Science
▶ In Search of Cognitive Foundations of

▶ Six Sigma
Creativity
Blend Brainstorming
▶ Adaptive Creativity and Innovative Creativity ▶ Ideas and Ideation
Blind-Variation and Selective- Brainstorming and Invention

Retention Theories of
Aytac Gogus
Scientific Discovery
BAGEM, Center for Individual and Academic
Development, Sabanci University, Istanbul,
Turkey
Synonyms
Blockchain
Idea generation
▶ The Innovation of Tax: Epistemic Tax Policy
and Online Tax Accounts (Artificial-Intelligence-
Based Tax Accounts) Definitions
Brainstorming means using the brain to storm a

creative explanation for an issue (Gogus 2012).
Brainstorming is a method of generating ideas,
Boom and Bust
clarifications, and solutions; therefore, there is a
strong connection between brainstorming produc-
▶ Business Cycles
tivity and domain learning (Gogus 2012). Brain-
storming is a group activity to propose ideas and
then discuss them as a brainstorming session.
There are three kinds of brainstorming: verbal
Bootstrap Transaction brainstorming, nominal brainstorming, and elec-
tronic brainstorming. Verbal brainstorming refers
▶ Entrepreneurship and Financial Markets to brainstorming sessions where group members
Brainstorming and Invention 205
verbally express ideas one at a time. Nominal perform better than same number of individual
brainstorming refers to brainstorming sessions brainstormers who work alone on the same prob-
where group members generate ideas individually lem since face-to-face group should be able to
without communicating with other members of benefit from the diverse perspectives and abilities
the group. Electronic brainstorming refers to of their group members by cognitively stimulating B
brainstorming sessions where group members each other to generate many ideas (Baruah and
generate ideas simultaneously. An invention Paulus 2008; Osborn 1963). In addition, there are
means highly advanced creation of ideas utilizing social and cognitive factors that lead to increased
the principles of the domain subject. Brainstorm- production gains in group brainstorming such as
ing is one of the creativity techniques for idea increased accountability, competition, upward
generations and an invention such as a better comparison, and social and cognitive stimulation
product, a new process, or a useful cultural inno- (Baruah and Paulus 2008; Dugosh and Paulus
vation. A joint invention can be obtained through 2005).
brainstorming sessions. A joint invention is an
invention which is made cooperatively by two or Brainstorming as an Approach to Creative
more people who provided activities necessary to Idea Generation and Invention of Ideas
form the invention. Brainstorming is an approach to creative idea
generation and invention of ideas and technolo-
gies. On creative idea generation literature, idea
Theoretical Background and Open- quality is usually defined as a combination of
Ended Issues originality (new or unusual) and feasibility
(useful or practicability in implementation).
Brainstorming as a Method for Improving the Brainstorming allows generating ideas, sharing
Creativity of Groups ideas, and establishing connections between
According to Baruah and Paulus (2008), “the ideas by analyzing, synthesizing, and evaluating,
brainstorming technique was first popularized by and thus participating in formation of an inven-
Alex Osborn (1953, rev. 1957, rev. 1963), an tion. A joint invention can be obtained through
advertising executive, who suggested brainstorm- brainstorming sessions. Brainstorming groups
ing as a technique with the following four specific may form an invention by using objective aspects
components to creative ideas: of a joint invention through subjective engage-
ment among participants (Kageyama 2010).
1. Criticism is ruled out. Adverse judgment of
ideas must be withheld until later. Inventor and Formation of an Invention
2. “Free-wheeling” is welcomed. The wilder the The person who was involved in distinctive struc-
idea, the better; it is easier to tame down than to tural elements and contributed to either “establish-
think up. ment of a model” or “the conception based on a
3. Quantity is wanted. The greater the number of principle” should be recognized as the inventor
ideas, the more the likelihood of useful ideas (Kageyama 2010). The purpose of invention is
(generated). commonly referred to as the problem to be solved
4. Combination and improvement are sought. In and stages of formation of an invention are
addition to contributing ideas of their own, (Kageyama 2010):
participants should suggest how ideas of others
can be turned into better ideas; or how two or 1. Conception
more ideas can be joined into still another idea” 1.1 Mere intuition
(Osborn 1963, p.156). 1.2. Conception based on a principle
2. Embodiment of conception
Osborn (1963) claimed that face-to-face 2.1. Establishment of a model
groups that verbally exchange ideas should 2.2. Experiments/calculation
206 Brainstorming and Invention
2.3. Modification of model • An inadequate structure of the interaction

2.4. Completion by repeating process from (Isaksen and Gaulin 2005)
2.1 to 2.3
Two promising areas for overcoming the bar-
Invention as Knowledge Transformers riers include:
Some of the discoveries and inventions may be
explained in terms of knowledge transformers. • The use of technology such as Electronic Brain-
The knowledge transformers, like the knowl- storming (EBS), Group Support Systems (GSS),
edge generation transmutations, change the Group Decision Support Systems (GDSS)
logical content of the input knowledge through • The use of trained facilitator (Isaksen and
the inference process of deduction, induction, Gaulin 2005)
or analogy (Sim and Duffy 2004). Sim and
Duffy (2004) argued that it is reasonable to Electronic Brainstorming (EBS)
suggest that these knowledge transformers pro- Electronic brainstorming (EBS) has been proposed
vide the basis to model the types of learning in as an approach that promotes group synergy and
design. The seven pairs of knowledge trans- stimulation while facilitating the construction of
formers are: chains of thought to build on good ideas and to
think in novel directions, thus spurring new ideas
1. Abstraction/detailing and improving creativity and originality (Barki and
2. Association/disassociation Pinsonneault 2001). However, there is not strong
3. Derivations/reformulation/randomization empirical evidence supporting such a stimulation
4. Explanation/discovery effect on idea quality. The theoretical explanations
5. Group rationalization/or clustering/decompo- that suggest that EBS groups ought to generate
sition/ungroup ideas of higher quality than nominal brainstorming
6. Generalization/specialization groups have received mixed empirical support
7. Similarity comparison/dissimilarity comparison (Barki and Pinsonneault 2001). Barki and
Pinsonneault (2001) compared the effectiveness of
The investigation shows that there is some four small group brainstorming methods (nominal
evidence to show that the creative process can be brainstorming, verbal brainstorming, EBS-
explained through knowledge transformers (Sim anonymous, and EBS-non-anonymous) in terms
and Duffy 2004). of three indices of idea quality (total quality, mean
quality, and number of good ideas). The results
Nominal Brainstorming Versus Verbal indicated that nominal small group brainstorming
Brainstorming was found to be the most effective for total quality
Evidence from numerous studies in social psy- and for number of good ideas (Barki and
chology and group psychology has shown that Pinsonneault 2001). EBS groups were more pro-
groups generate better ideas and higher quality ductive and more satisfied with the interaction pro-
with nominal brainstorming than with verbal cess than FTF groups and large EBS groups
brainstorming (Barki and Pinsonneault 2001). outperformed nominal groups, whereas small nom-
Three major categories of barriers explain the inal groups outperformed EBS groups (Barki and
improved performance of nominal brainstorming Pinsonneault 2001). In addition, the three factors
groups over verbal brainstorming groups as manipulated in the experiment (i.e., Group History,
below: Contextual Cues, and Topic Sensitivity) did not
significantly improve the quality of the ideas gen-
• The emergence of judgments during erated by EBS groups (Barki and Pinsonneault
generation 2001). As a result, how to improve the efficiency
• Members giving up on the group and effectiveness of EBS is an issue to discover to
Brainstorming and Invention 207
be able to provide the most effective way to brain- 6. The time required for successful brainstorming
storm while EBS has important implications for should be kept remarkably short (Rossiter and
electronic collaboration and virtual teamwork in Lilien 1994, p. 61).
both academic and organizational settings.
Rossiter and Lilien (1994) suggest using the B
I-G-I (Individual-Group-Individual) procedure by
following six steps:
Implications for Theory, Policy, and
Practice 1. Chairperson announces the problem and gives
brainstorming instructions to five to seven
A cognitive perspective suggests that group brain-
individuals seated around a table in the same
storming can be an effective technique for gener-
room. (Rationale: This “silent groups” format
ating creative ideas:
preserves individuality but introduces a possi-
A cognitive perspective points to methods that can ble social facilitation effect from the presence
be used so that group exchange of ideas enhances of others.)
idea generation. Groups of individuals with diverse
sets of knowledge are most likely to benefit from the 2. Individuals, without talking, write down or key
social exchange of ideas. Although face-to-face into personal computers as many ideas as they
interaction is seen as a natural modality for group can in the specified time period, usually 15 min.
interaction, using writing or computers can enhance (Rationale: Immediate recording of ideas helps
the exchange of ideas. The interaction should be
structured to ensure careful attention to the shared to remove the “production blocking” problem
ideas. Alternating between individual and group whereby mental rehearsal of initial ideas blocks
ideation is helpful because it allows for careful the production of further ideas.)
reflection on and processing of shared ideas. 3. Chairperson records individuals’ ideas, in rota-
(Brown and Paulus 2002, p. 211).
tion, one idea for per person per rotation, on a
On the other hand, empirical findings gained group-visible flip chart or electronic screen.
from brainstorming research suggest that lose (Rationale: The rotation procedure removes
coordination and motivation in a team can hinder some of the anonymity of a “talk in any order”
the effectiveness of brainstorming (McGlynn group while at the same time producing a list of
et al. 2004). In addition, brainstorming in interdis- ideas that are recorded without authorship.)
ciplinary team and social interaction may not 4. Group clarifies and discusses ideas, combining
always assist the generation of creative ideas or refining them as it seems fit. Ideas are taken
(McGlynn et al. 2004). Rossiter and Lilien one at a time, and each individual is asked for
(1994) present six principles of high-quality crea- reasons of agreement or disagreement as well as
tive ideas by “brainstorming” as stated below: to make constructive suggestions for improve-
ment. (Rationale: Groups are efficient and usu-
1. Brainstorming instructions are essential and ally superior for combining and refining ideas.)
should emphasize, paradoxically, number and 5. The revised ideas are then recorded by the chair-
not quality of ideas. person in a group-visible final list. (Rationale:
2. A specific, difficult target should be set for the Memory reliance is again minimized and also a
number of ideas. degree of democratic anonymity is reinstated.)
3. Individuals, not groups, should generate the 6. Revised ideas are rated or ranked by individ-
initial ideas. uals privately, with no discussion. Best idea or
4. Groups should then be used to amalgamate and ideas chosen by pooled individual votes.
refine the ideas. (Rationale: Democratic voting increases com-
5. Individuals should provide the final ratings to mitment and pooled individuals’ judgments
select the best ideas, which will increase com- usually provide more accurate prediction.)
mitment to the ideas selected. (Rossiter and Lilien 1994, p. 67).
208 Brainstorming and Invention
Conclusion and Future Directions one idea-generating tool within the entire creative
problem solving process (Isaksen and Gaulin 2005;
During group brainstorming, group members Osborn 1953).
should generate many ideas, think of uncommon
ideas, combine, evaluate, and improve ideas, and
avoid from untimely and inappropriate criticism.
Cross-References
Learning may result from the brainstorming pro-
cess, as it provides a momentum to engage in
▶ Creative Problem Solving
constructing ideas and self-explanations. Osborn
(1953) provided detailed suggestions for best Difference?
practice before, during, and after a brainstorming
▶ Creativity in Invention: Theories
session as summarized below:
▶ Ideas and Ideation
▶ Invention and Innovation as Creative Problem-
• Before Brainstorming
Solving Activities
– Prepare the group
▶ Invention Versus Discovery
– Prepare the task ▶ Inventive Problem Solving (TRIZ), Theory
– Prepare the environment
▶ Levels of Invention
• During Brainstorming
▶ Models for Creative Inventions
– Dealing with judgment
– Maintaining group commitment
– Enhancing the process structure
References
• After Brainstorming
– Follow-through Barki H, Pinsonneault A. Small group brainstorming and
– Evaluation idea quality: is electronic brainstorming the most effec-
– Implementation tive approach? Small Group Res. 2001;32:158–205.
Baruah J, Paulus PB. Effects of training on idea-generation
in groups. Small Group Res. 2008;39:523–41.
As the best-known tool for group idea genera- Brown VR, Paulus PB. Making group brainstorming more
tion, brainstorming has become the most widely effective: recommendations from an associative memory
used method with creativity, productive thinking, perspective. Curr Dir Psychol Sci. 2002;11:208–12.
Dugosh KL, Paulus PB. Cognitive and social comparison
and creative problem solving abilities that are
processes in brainstorming. J Exp Soc Psychol.
stated goals of most programs designed for the 2005;41:313–20.
gifted and talented (Isaksen and Gaulin 2005). Gogus A. Brainstorming and learning. In: Seel NM, editor.
Brainstorming is widely taught in gifted and tal- Encyclopedia of the sciences of learning.
1st ed. Boston: Springer; 2012. p. 484–8.
ented programs (Isaksen and Gaulin 2005). Isaksen SG, Gaulin JP. A reexamination of brainstorming
There are three main concerns regarding the research: implications for research and practice. Gifted
previous researches. First, some previous research Child Q. 2005;49(4):315–29.
about the comparison between verbal brainstorm- Kageyama K. Formation of invention/joint invention and
recognition of inventor/joint inventor. J Intellect Prop
ing and nominal brainstorming had an unnecessary
Law Pract. 2010;5(10):699–712.
focus since individual and group idea-generating McGlynn RP, McGurk D, Effland VS, Johll NJ, Harding
approaches should not replace each other, but DJ. Brainstorming and task performance in groups
should supplement each other (Isaksen and Gaulin constrained by evidence. Organ Behav Hum Decis
Process. 2004;93:75–87.
2005; Osborn 1953). Second, the leadership role Osborn AF. Applied imagination: principles and proce-
and responsibilities of a trained facilitator is essen- dures of creative problem-solving. New York: Charles
tial for managing a successful brainstorming ses- Scribner’s Sons; 1953, rev. 1957, 1963
sion (Isaksen and Gaulin 2005; Osborn 1953). Rossiter JR, Lilien GL. New “brainstorming” principles.
Aust J Manag. 1994;19(1):61–72.
Third, brainstorming has not been treated as an
Sim SK, Duffy AHB. Knowledge transformers: a link
isolated event, rather than as a part of a larger between learning and creativity. Artif Intell Eng Des
process since brainstorming was introduced as Anal Manuf. 2004;18:271–9.
Business Climate and Entrepreneurialism 209
Brainstorming Teams Business Angels
▶ Conflict and Creativity ▶ Angel Investors

B
Brain-Writing Business Climate and

Entrepreneurialism
▶ Idea-Marathon System (IMS)
Dimitri Uzunidis
Research Unit on Industry and Innovation/
CLERSE–CNRS (UMR 8019), University of
Breakthrough Technology Lille Nord de France, Research Network on
Innovation, Dunkerque, France
▶ Innovation and Entrepreneurship
Political Economy, Research Unit on Industry and
Innovation University, University of Littoral Côte
Bridging Knowledge
Management to Wisdom
Management Synonyms
▶ Method for Creating Wisdom from Knowledge Business relations; Embeddedness; Entrepreneur-
ial opportunities; Externalities; Industrial atmo-
sphere; Organization; Territory
Brilliance The definition of the business climate is not sim-

ple and homogeneous. There exists no official
▶ Genius definition. We can distinguish three kinds of def-
inition. (1) The first is based on the opinion of
entrepreneurs over the short term. National sta-
tistical offices question, for example every
BtoBtoU 3 months, entrepreneurs to know their opinion
about the economic short-term period (evolution
▶ Co-Conception and Entrepreneurial Strategies of demand, of production, of stocks, of prices,
orders, their workforce, and so on). It is a qualita-
tive indicator based on the personal opinion of
domestic entrepreneurs. (2) The second definition
Business consists of measuring macroeconomic indica-
tors also for a short-term period. For example,
▶ Entrepreneur: Etymological Bases trend of the Gross Domestic Product (GDP), of
▶ Heroic Entrepreneur, Theories domestic consumption, of exports, of domestic
investments and of the public sector balance, and
so on. This information is intended for foreign
investors who have business projects in a given
Business Accelerator country. So for a short-term period, we have an
objective macroeconomic indicator. It is not based
▶ Business Incubator on entrepreneurs’ personal opinions, but on
210 Business Climate and Entrepreneurialism
objective information. In general, the national weight of the public sector is less important,
office for foreign investment is linked to the whereas market regulation is more developed;
department of foreign affairs. (3) The last defini- (3) for a short-term reason (and as a consequence
tion is the indicator developed by the World Bank, of the two previous reasons): the short-term eco-
“Doing business”, which provides measurements nomic situation is more and more unstable. Since
of business regulation for local firms. A large the 1990s, the number of economic crises is
range of indicators have been defined: starting a higher in developing and in developed economies
business, dealing with construction permits, the in a world context where the interdependencies
supply of electricity, registering property, between economies are more complex.
obtaining credit, prospecting investors, paying What are the resources and socioeconomic ele-
taxes, trading across borders, enforcing contracts, ments which have defined the business climate
and resolving insolvency. So to synthesize, we where individual entrepreneurs, enterprises, and
will define the business climate as follows: a set institutions function? How do business relations
of macroeconomic indicators which give informa- emerge from the business climate? And, (in a syn-
tion about the economy (rate of economic growth, ergic relation) how does the business climate build
demand, investment, and so on); social (evolution business relations? In the first part of this entry, we
of the workforce); and legal (ownership, business will show that for the entrepreneur the business
law,. . .) conditions in a given country, and finally climate is determined by his business relations
a set of individual entrepreneurs’ opinions about resulting from the nature of the business system
the economic and social situations over the in which he is integrated (Granovetter’s concept of
short term. embeddedness). In the second part, we will analyze
But, to be exhaustive, we have also to consider how the business climate promotes entrepreneur-
the nature of business networks between entrepre- ship. We have constructed our demonstration on a
neurs and businesses (large and small), and certain number of authors (economists, sociolo-
between entrepreneurs and a large range of insti- gists, and historians) that we consider as the key
tutions (units of research, departments, banks, writers on our subject: Marshall and Pigou (Pigou
administrations, and so on), because global or 2001) for the analysis of the territory; Coase and
qualitative indicators are inadequate for measur- Williamson for the analysis of the organization;
ing by themselves the business climate. These Menger and Simon for the analysis of the individ-
networks are constituted of financial and informa- ual entrepreneur; Braudel, Wallerstein, Nelson and
tion flows and also transfers of workforce (high- S. Winter (Nelson and Winter 1985) (for historical
skilled and low-skilled workers), on a national or analysis) and Granovetter (for the analysis of social
local level. They can be the product of a political networks).
decision, but also of informal practices over a long
time period. The main condition for the existence
of a social network is its stability in the short term, The Business Climate and Business
even if its composition can change in the Relations
long term.
The main characteristic of the business climate Business relations influence the creation of a busi-
today is its great instability, for three important ness climate which can be positive for business
reasons: (1) for a structural reason: the capitalist growth. These business relations are linked to
economy is based on permanent (technological, externalities which facilitate cooperation between
economic, and social) change (Schumpeter 1982, enterprises and public institutions, between banks
2008); (2) for a medium-term reason: since the and firms, and between these organizations and
1980s governments have developed policies of markets. These relations can be also highly com-
deregulation to encourage market synergies. The petitive when a new market appears as a result of
Business Climate and Entrepreneurialism, Table 1 Three levels of business relations

Business relations at the level of
the: Parameters Field of action and challenge
Territory (as a geographical area) Distance versus speed Transfer: flow
Relations of competition/ B
cooperation
Organization (intra- and inter- Hierarchy versus market Coordination strategies, actions,
organization) Intra-firm versus inter-firm routines
Vertical versus horizontal
Supervision versus contract
Individual (entrepreneur) Code versus contents Communication concept, ideas,
Context versus understanding (awareness + knowledge
interpretation)
Source: The author
creation of a new activity or following an innova- 3. Individual entrepreneur: The entrepreneur is

tion. Business relations are developed at three an economic and social performer. He takes
different levels (territory, organization, and insti- decisions according to a set of information
tution), and they are based on flows of informa- and resources to achieve a given objective
tion, learning, knowledge, technology, and so on (e.g., to develop a new business, to obtain a
(see Table 1). loan, to develop cooperation with another part-
ner, and so on). This individual entrepreneur
1. Business relations are developed at a territory plays his part in a given society which has
level, by definition according to geographic given values, roles, and codes of practice.
borders. The business relations in this geo- According to this social environment, he is a
graphic area have been built over a long-term rational individual. It means that he takes deci-
historical period (Braudel 1992; Wallestrein sions based on the information and resources
2004). This is the result of a long historical available to him. His rationality is limited,
tradition based on dialectical relations between though, because he takes decisions in a given
competition and cooperation. social context (Menger 2007; Simon 1997).
2. Business relations are also developed inside
an organization and between organizations: The concept of business relations is the result
In our case, an organization can be an enter- of new area of research in social sciences charac-
prise, a bank, a nonprofit organization, a unit of terized by the emergence of the concept of social
research, a ministry, and so on. To find capital (see the entry ▶ Social Capital). In a gen-
resources, enterprises develop relations with eral sense, social capital is a set of social relation-
other, different organizations and institutions ships owned by an individual, and which are
(banks, ministries, and so on). In a general valorized to give access to new resources. In this
sense, firms’ strategies are built on two types way, individuals can find a new job or a business
of model: the hierarchical model (organization) opportunity, apply for a loan, and so on. But the
or the horizontal model (market). According to theory (or the theories) of social capital has
the level of transaction costs (Coase 1937), the (or have) been developed in different ways. For
enterprise is structured on one or another our subject, according to Mark Granovetter
model: either the scheme of the large (and (1985) analysis is fundamental, because he
concentrated) firm, or of the small (and shows that business activities are supported by
decentralized) firm. both formal and informal social relations. The
212 Business Climate and Entrepreneurialism
Business Climate and Entrepreneurialism, Table 2 Business climate and business relations
Business climate
According to indicators:
Objective: Macroeconomic indicators and measurement by institutional indicators (as for example “Doing business”)
Subjective: Entrepreneurs’ personal opinions
Business relations
Territory Organizations Enterprises (interrelations/intra- Individual entrepreneur
(geographic) relations) Own resources of the entrepreneur
Business opportunities
Limited economic rationality
Source: The author
formal relationships are constituted by relations the territory on economic analysis, that there is an
with other enterprises and entrepreneurs, financial “industrial atmosphere” which influences the
institutions, departments, nonprofit enterprises, development of the local labor market. This phe-
and so on. On the other hand, informal relation- nomenon is linked with competencies and profes-
ships are formed by family, friends, neighbors, sional experience of workers, and also with the
etc. Thus, Granovetter shows that business rela- location of firms in a given territory. According to
tions (in other words market relations) are embed- Marshall, an “industrial district” merges skilled
ded in the social framework. In the Granovetter workers, a set of players (entrepreneurs, bankers,
analysis, the rational individual (in a traditional public authorities), and know-how belonging to
neoclassical sense) does not exist, because his the particular industrial district. Firms in this ter-
behavior is partly determined by the social context ritory have developed between them relations of
where he operates. The behavior of individuals is cooperation. Entrepreneurs have a long history in
determined by the social context. the territory where they live. They share the same
Business relations are inserted in the business values, codes, and social behavior. Business rela-
climate, which is defined objectively (macroeco- tions develop in this geographic area in both for-
nomic indicators and so on) and also by subjective mal and informal ways.
indicators (entrepreneurs’ personal opinions). The Marshallian analysis has given us a large
Business relations are developed simultaneously range of studies during the twentieth century, and
at three different levels: territory, organization, especially since the 1980s, with for example the
and individual entrepreneur (see Table 2). concept of “innovative milieu”. “Evolutionary
Economics” developed the concept of “path depen-
dency” to explain the interactions between firms,
Business Climate and Entrepreneurship institutions, and workforce which are the product
of an historical evolution. Braudel and Wallerstein
The key elements of the business climate are the underline the historical dimension of social and
business relations that are developed at three dif- economic evolution. The transformation of eco-
ferent levels (geographic area, organization, and nomic and social behavior is very slow. Routines
individual entrepreneurs). In this following part, map out a given path of evolution. These interac-
we will explain these three elements according to tions between enterprises, institutions, and work-
the given economic theories. Our objective is not force are the product of mutual synergies between
to do an exhaustive account, but to bring to light local players (public and private) over a long-term
some key authors, as we wrote above. period. These business relations are developed,
The territory was introduced into economic thanks to defined conditions: basic resources,
theory at the end of the nineteenth century by workforce skills, financial, technological, informa-
A. Marshall (and before that by Von Thünen). tion resources, and so on. The existence of com-
Marshall (1919) argues to show the influence of mon social values and social practices are the
engine that synergizes these resources. The inno- The traditional neoclassical theory argues that
vative capacity of the firm is not only influenced by entrepreneurs have to maximize their profit as a
its own resources, but also by its environment. function of their own resources and the market
A strong synergic relation is built up in this way price. Simon underlines that the entrepreneur, as
between local players, but if the path dependency is a given individual and rational player, does not B
very strong, firms which compose this innovative own all the information that he needs, and con-
milieu can collapse if they become too heavily sequently targets his objectives according to a set
dependent on these initial resources. of social factors. Thus, the entrepreneur is
Firms are located in the given territories. They influenced by the social and economic context
were attracted by different types of resources, as where he operates. In consequence, and
noted above. But the firm, as an organization, is according to Granovetter, the entrepreneur as an
not static. It changes according to its strategy, individual performer is embedded in a given
which is partly built under pressure due to the social context. Individuals define their objectives
competition. In the traditional neoclassical theory, (e.g., to set up a firm, develop an innovation, get
the market is always more efficient than the orga- a loan, find a better job, and so on), according to
nization. Coase shows that the market is not their own resources (financial, knowledge, infor-
always cheaper, because there are a number of mation) and their personal ambitions (to become
transaction costs entailed in using the market: for rich, to be an important person, to develop a
instance, costs of obtaining goods or information. social enterprise, and so on). They are embedded
Coase shows that firms will grow when they can in a given social context. So, there are differences
arrange to produce what they need internally and among individuals (and of course among entre-
somehow avoid these coats. Thus, firms can by preneurs). Everyone has not the same behavior in
their strategy transform the market and the terri- front of the market. Entrepreneurs play their part
tory where they function. Even information is not in business relations which create (and of which
free. The cost of information can be high, and the they are the product) trust, solidarity, competi-
entrepreneurial function is, according to (Kirzner tion, cooperation, cunningness (according to the
1997), to discover opportunities for investment or theory of opportunism of Williamson), and so on
profit based on information they already own. (Table 3).
Business Climate and Entrepreneurialism, Table 3 Business climate and entrepreneurship: a synthesis
Business relations Key authors Key concepts or ideas
Territory A. Marshall Industrial atmosphere
A. C. Pigou Externalities
Organization R. Coase Dialectical relation
O. Williamson Market/organization
Individual entrepreneur C. Menger Individualism, methodology
H. Simon Limited rationality
I. Kirzner Entrepreneurial opportunity
O. Williamson Opportunistic behavior
History F. Braudel Long-term period
I. Wallerstein Historical change
R. Nelson and S. Winter Path dependence
Social M. Granovetter Social network
Embeddedness
Formal/informal relations
Source: The author
214 Business Climate and Entrepreneurship
Conclusion and Future Directions ▶ Entrepreneurship Policies

▶ Entrepreneurship Policy
The business climate is defined by macroeco- ▶ Environmental Determinants of
nomic indicators and entrepreneurs’ individual Entrepreneurship
opinions over the short term. It is the product of ▶ Industrial Atmosphere
business relations which are developed in a syn- ▶ Innovation and Entrepreneurship
ergic process in a given territory or economic ▶ Network and Entrepreneurship
milieu geographically localized (which is defined
as a set of resources within given geographic
borders). Business relations are developed in a References
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given socioeconomic and geographical milieu, in Kirzner I. Entrepreneurial discovery and the competitive
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Marshall A. Industry and trade. London: Macmillan; 1919.
ment of information technologies, in an informa-
Menger C. Principles of economics. 1st ed. Auburn:
tional space, has become the background for the Ludwig von Mises Institute; 2007. 1871
development of new business relations. Nelson N, Winter S. An evolutionary theory of economic
Indeed, the systemic nature of the relationships change. Cambridge, MA: Belknap Press of Harvard
which characterize an economic and social milieu
Pigou AC. The economy of welfare. 1st ed. Piscataway:
explains what gives (or does not give) incentives to Transaction Publishers; 2001. 1920
business creation. However, ought we to reduce Schumpeter JA. The theory of economic development.
entrepreneurship and innovation, products of the 1st ed. Piscataway: Transaction Publishers; 1982. 1911
Schumpeter JA. Capitalism, socialism and democracy.
milieu, only to inter-individual exchanges, resulting
1st ed. New York: Harper Perennial Modern Classics;
in a new productive combination? Is entrepreneur- 2008. 1942
ship only the result of a specific organization of Simon H. Administrative behavior. A study of decision-
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1st ed. New York: The Free Press; 1997. 1947
account the fact that the business climate does not
Wallestrein I. World-systems analysis. An introduction.
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innovative and entrepreneurial behavior. In addi-
tion, institutions (such as State and local authorities)
play an important role in the organization and the Business Climate and
evolution of socioeconomic structures. In turn, the Entrepreneurship
business climate contributes to entrepreneurship,
thanks to the supply management of specific ▶ Socialized Entrepreneur, Theories
(cognitive, technological, financial, etc.) resources.
Cross-References Business Creation
▶ Clusters ▶ New Forms of Entrepreneurship in a Sustain-

▶ Entrepreneur able Knowledge-Based Service Economy
Business Creativity 215
“creative age.” From the second half of the twen-

Business Creativity tieth century, alongside with the shift from
“Fordist” to “post-Fordist” economies and the
Igor N. Dubina increasing role of creativity in business, the
The Faculty of Economics, Novosibirsk State “romantic” understanding of creativity as a man- B
University (NSU), Novosibirsk, Russia ifestation of individual genius has been replaced
The International Institute of Economics, by pragmatic understanding of creativity as an
Management, and Information Systems, Altai “everyday” and “everyone” natural phenomenon.
State University (ASU), Barnaul, Russia In the business context, creativity is under-
stood as a nonstandard problem-solving process,
the production of new and useful ideas, or gen-
Synonyms erating and developing new opportunities for
business. Any definition of business creativity
Corporate creativity; Everyday creativity; Organi- is based on the combination of novelty and effec-
zational creativity tiveness. For example, creativity, considered in
an organizational context, is often understood as
generating ideas which are simultaneously new
Definition and appropriate (potentially useful) for an orga-
nization. According to this point of view, crea-
Business creativity is (1) producing ideas which tivity is defined in a system with the following
are new and potentially useful for an organization, elements:
(2) solving nonstandard business problem,
(3) finding and developing new opportunities for • A creative employee(s) generating ideas and
business, and (4) a measurable resource that needs introducing variations
to be effectively organized and monitored. • A domain (a set of available ideas, rules, orga-
In the current literature, there are many dis- nizational routines, and patterns of behavior)
courses about business creativity as one of the • An expert(s) evaluating suggested ideas and
key factors of competitiveness in this dynamic selecting the variations
Business Creativity,
Fig. 1 Business creativity
in an innovation process
(Source: The author’s own
conceptualization)
216 Business Cycles
If an idea, suggested by the employee, is Introduction

deemed by the experts as new and useful, it is
then included in the set of rules, and the domain The first rigorous attempt to link the innovation
subsequently is changed. The “new rules” of the role of the “pioneering entrepreneur” with the
domain communicate back to the subject, and the boom and bust of business cycles was by Joseph
cycle continues. In other words, creativity may be Schumpeter in his two-volume Business Cycles
defined as engendering original solutions for non- (Schumpeter 1939). This linkage is fraught with
standard problems or more effective solutions for danger as it attempts to examine innovative entre-
existing problems, and these solutions (ways, preneurship – which occurs at the individual firm
methods, and techniques) are accepted in the orga- level – with the aggregate pattern on economic
nization as the rules of future activities. cycles at an economy-wide level. Much has been
Business creativity is a much broader concept researched and written since then in an effort to
than merely generating new ideas for future overcome the pitfalls of this dilemma, while pre-
invention and innovation (Fig. 1). Rather, creativ- serving the dynamic power of an endogenous
ity and innovation are more complementary than entrepreneurial-driven cyclical process. This
consecutive business phenomena. Consequently, entry will examine the various mechanisms that
managing creativity requires a broader conceptu- have been proposed on how the action of innova-
alization than merely managing the process of tive entrepreneurs can lead to prosperity and
generating new ideas for further implementation recession. The analysis begins with a first “sim-
into innovation. ple” approximation of the dynamics of entrepre-
neurs and cycles and builds dynamic complexity
with further steps into this explanation.
Cross-References
▶ Corporate Creativity Five Approximations to a Cycle

▶ Creativity and Innovation: What Is the The base proposition outlined by Schumpeter is
Difference? the static full employment system where the only
▶ Creativity Management Optimization business activity is being conducted under “com-
▶ Four Ps in Organizational Creativity petitive capitalism” by managers, and not entre-
▶ Simplexity Thinking and the Basadur Innova- preneurs, who merely compete using the existing
tion Profile Assessment technological knowledge. Schumpeter calls this
the “circular flow” mechanism, and it only applies
to a stationary state economy that has no macro-
economic cyclical activity. Once innovation is
introduced, a discontinuity occurs, leading to
Business Cycles cycles, with an array of mechanisms to explain
this dynamic. The first run-through of this discon-
Jerry Courvisanos tinuity can begin with Schumpeter’s 1928 hand-
Federation Business School, Federation book entry on the entrepreneur in which he alters
University Australia, Mt Helen Campus, Ballarat, the focus from the gifts of a few individuals at the
VIC, Australia fringes of the economy, to entrepreneurs
conducting selection processes and combining
production factors that situate them “at the heart
Synonyms of the market economy” (Becker and Knudsen
2003, p. 213). This necessitates the entrepreneur
Boom and bust; Fluctuations in economic activ- to be aware of actual and potential demand for
ity; Trade cycles “new combinations” and that these combinations
Business Cycles 217
come from learning through experience which over and above those generated by the movement
results from selecting and adapting ideas already of demand in the course of the cycle” (White
implemented in the field and then learning and 1999, p. 347), leading to a cumulative process of
further adapting from those selected. The failures cyclical growth. White (1999) identifies two rea-
and successes in this cumulative evolutionary pro- sons in Kalecki ([1968] 1991b) to account for this. B
cess determine eventually the result of innova- One of the reasons is increased productivity in the
tions. The aggregate outcome of this cumulative form of process innovation that incorporates tech-
innovative activity results in investment and pro- nical progress in new capital equipment, making
duction that produces business cycle patterns. It the previous capital stock technologically obso-
ensures that the innovation process in theory does lete and enabling market demand to be met more
not become locked into an “administrative” effectively. The other is product innovation com-
steady state, requiring some exogenous force to ing from the stimulus to investment arising from
release novelty into the dynamic real world. entrepreneurs wanting to be the “. . .first to avail
This dynamic role between entrepreneurship themselves of the technical novelties” and thus,
and the business cycle can be described as a adding a new level of demand (Kalecki [1968]
“kaleidic mechanism.” Shackle (1972, p. 433) 1991b, p. 442).
defines the kaleidic mechanism as an ephemeral The third approximation in the dynamics of
pseudo-equilibrium (or stationary state) based on entrepreneurs and the business cycle occurs at
accepted practices which are subject to sudden the point of the analysis where Keynes’s effective
readjustment. This leads to a new precarious demand is incorporated in the innovation process.
pseudo-equilibrium based on “delicately stacked” White (1999, 350) recognizes “. . .the stream of
conjectures which give way to these “sudden inventions underlying the process of innovation
landslides of readjustment.” Thus, the methodo- could be sufficiently erratic to provide the irregu-
logical shift is away from a deterministic method larity in economic behavior necessary to produce
in which history is based on a linear view of the deviations in demand and output from those antic-
past. Instead, the kaleidic mechanism is sensitive ipated by producers.” With the diffusion of suc-
to the short period agency behavioral relations that cessful innovations, Courvisanos (1996,
build up and break down over time with the pp. 114–39) shows that these deviations can be
innovation-investment decision-making processes. seen as triggers for cyclical investment turn-
With the role of the entrepreneur harnessing arounds in periods when commitment of orders
productive forces in innovation specified, the sec- to investment is highly vulnerable to sharp
ond step (or approximation) in this kaleidic mech- change, either as too high (overcommitment at
anism is to provide a clear conceptual notion of expansion peak) or too low (under-commitment
the induced endogenous novelty inherent in the at the contraction trough). There can be reinforce-
entrepreneur. Schumpeter’s productive forces of ment of this process by the inventory mechanism,
entrepreneurship are too coarse-grained to grasp a in which even a small upswing of an inventory
clear picture of the entrepreneur. There needs to be cycle at the trough of a business (or Juglar) cycle
some fine-tuning so that entrepreneurship as a provides a favorable climate for the spread of
concept can become realized within the macro- investment embodying innovation. This is partic-
economic picture of the business cycle. This can ularly helpful for explaining the most difficult
be achieved through the work of Michał Kalecki, aspect of any cycle, which is the rise out of a
when in Kalecki ([1968] 1991b) innovation is contraction. In this respect, bunching of invest-
specifically identified as endogenous to the investment occurs as per Kalecki, with the stimulus
ment process, thus integrating the cyclical short from clusters of “basic” innovations as per
period with the long-run growth trend. In this way, Schumpeter. Empirical work by Courvisanos and
the trend and cycle are not considered separately. Verspagen (2002) using long-run patent data sup-
In this model, inventions that are commercialized ports the bunching effect of investment (á la
through investment “. . .add to profit expectations Kalecki) while identifying the clustering of
218 Business Cycles
innovation (á la Schumpeter). All this cluster exposed to increasing risk and fundamental uncer-
cycle research is distinctly different from the neo- tainty. By raising external funds from loans or
classical real business cycle research agenda in equity for investment, Kalecki ([1954] 1991a,
which clusters occur only due to expectational pp. 277–81) argues that firms suffer from
errors as deviations from the natural “increasing risk,” which is the marginal risk that
(equilibrium) rate (see, for example, seminal increases with the amount of funds obtained exter-
paper by Kydland and Prescott 1982; and modern nally. External funding is a major issue when
approach to news shocks by Schmitt-Grohé and commercializing innovation as a start-up venture
Uribe 2012). Such real business cycle models with no prior profit reserves from the enterprise,
have been found to be empirically inadequate in thus often requiring venture capital equity
explaining business cycles (Zarnowitz 1985). funding. Also, for the existing firms, radical inno-
The fourth approximation relates to the situa- vation in corporate venturing would require large
tion in which when a trigger for expansion occurs, commitment to new means of production, thus
then the investment dynamics become the crucial requiring external funding on top of any retained
aspect of the diffusion of innovation. Kalecki earnings funding available.
identified three dynamics. The first dynamic refers From this financial perspective, Kalecki iden-
to the time lags in investment which are seen as tifies three forms of increasing risk: One is share
critical by Kalecki in the innovation process, an issue risk, when a large issue of new shares creates
aspect that Schumpeter rejects. There are two time the risk of reducing the proportion of the control-
lags. One is the ex ante decision (orders) lag, ling group’s shareholding, thus diluting its voting
which identifies the time taken to make the deci- power in relation to the existing and potential
sion to order the means of production (plant shareholders. Second form of increasing risk is
and/or equipment). This is due to the need to borrower’s risk. Increasing levels of borrowed
work out the actual design of the capital stock funds involve higher future interest payment com-
required and find sources for supplying this capi- mitments, which are negotiated on the basis of
tal stock. The other is the ex post implementation, regular payment irrespective of cyclical events
which identifies the gestation period for the and their effects on gross profits. The larger the
expenditure, or the time taken by the capital- amount a firm borrows, the greater the increasing
supplying industries to produce and deliver the cash flow problem that could arise. The final form
capital stock, and the time taken for the innovating is lenders’ risk which increases (in terms of higher
firm to learn how to operate the plant and equip- interest rate) as lenders extend more funds to a
ment in an efficient manner. firm, which leads to the increasing possibility of
The second dynamic relates to the two-sided the lender suffering bad debts from the borrowing
feedback loop between profits and investment, firm’s cash flow problems which may even lead to
which also was famously expounded by Joan bankruptcy.
Robinson in her “banana diagram.” Retained The role of uncertainty in Kalecki is an institu-
earnings out of profits provide the wherewithal tional factor that creates instability. Incomplete
to invest and also allow the firm to borrow for knowledge about future outcomes is significant
investment on the basis of the profits achieved. Of for innovations other than for merely new product
course, the original investment is made with the developments or “necessity entrepreneurship.”
expectation of future profits out of the innovation Such lack of knowledge leads to setting levels of
that underscores the investment decision. This is a desired excess capacity well above normal
very intimate two-sided relationship in which one engineering-based excess capacity requirements
loop supports the other. and to accepting increased transaction costs as
Here, Kalecki identifies the third dynamic the level of financing rises. In this way uncertainty
which undermines the strength of this two-sided is accounted for and managed in a pragmatic way.
loop. This is the inherent instability of capitalism It is for this reason that Kalecki rarely mentions
as firms’ innovation and investment decisions are uncertainty. As increasing risk originates from
Business Cycles 219
incomplete knowledge of the future outcomes of change. The uneven development here is skewed
investment, then uncertainty becomes institution- on the negative side. This leads to a decrease in
alized as an instability factor when such risk is innovative activity, which discourages investment
locked into rising transaction costs, or alterna- as well. This has a negative impact on aggregate
tively, to what is known in the finance literature demand, on GDP, and consequently on aggregate B
as “informational asymmetries.” Such efforts can profits. This is the negative “accelerationist”
mitigate risk, but not uncertainty. effect on investment flowing through lower eco-
As aggregate profits are the base for the nomic activity and the contraction phase of the
funding of innovation, the fifth approximation investment cycle. An endogenous innovation-
introduces the dynamics of the circular flow cre- based reinforcement of this vicious circle is the
ated by the two-sided feedback loop which decreased innovation intensity adding another fall
exhibits both virtuous and vicious circles. The in innovative activity to push the contraction
virtuous circle can be seen in aggregate when an phase further into a strong recession. This vicious
increase in aggregate profits supports knowledge circle exhibits innovation intensity that is very
capital through enhanced R&D investment as well weak, deriving from the mature industries of the
as large venture capital funding available to sup- long-established innovation effects of a monopoly
port invention by new start-up firms in industries controlled “old” technological paradigm and pre-
that have a successful track record (e.g., pharma- venting the expansion of new innovative firms
ceuticals, biotechnology, ICT), which encourages and industries.
expansion of investment. Success in this invest- The extent of the upswing in the next expan-
ment has a direct positive impact on aggregate sion phase of the business cycle depends on how
demand, pushing up the expansion path of the much it is dependent on the older more mature
business cycle and consequently even higher industries attempting to maintain their market
aggregate profits. This is the “accelerationist” power, compared to the ability of the new
effect of investment, flowing through greater eco- technology-based industries to take advantage of
nomic activity, higher profits, and even further any new opportunities that have arisen during the
investment in the same new innovations. This downturn and trough. As knowledge capital con-
builds the expansion phase of the investment tinues its endogenous innovation push, there is
cycle. An endogenous innovation-based rein- tension with the development of greater economic
forcement of this virtuous circle is the increased uncertainty for investment in “new” products and
innovation intensity through further R&D and processes. This is Schumpeter’s “creative destruc-
venture capital funding, pushing the expansion tion”, where new innovations take over from
phase further into a strong boom. This dynamic older established industries which have had strong
circle exhibits innovation intensity deriving from market (or monopoly) control, creating uneven
the growth industries of the endogenous innova- structural change as some industries shift techno-
tion effects of a powerful transformative technologically, while others remain old and mature.
logical paradigm. This results in strong economic Depending on the National Innovation System
development of successfully innovative firms/ that exists in the country, this problematic tension
industries/sectors/regions and provides the bul- to the next virtuous circle will appear as a negative
wark for cyclically rising gross domestic product influence at different intensities of the endogenous
(GDP). innovation-based expansion phase in the invest-
The vicious circle appears in the contraction ment cycle. The extent of this negative influence
phase of the investment cycle, when there is a affects the strength (or lack thereof) of the new
relatively low level of buildup in knowledge cap- expansion phase and the trajectory of the
ital through R&D and invention. Here replication long wave.
of the dominant technology takes place, with the The five steps of complexity in the dynamics of
emerging technologies at a too early life cycle entrepreneurship and business cycles outlined
stage for them to be contenders for structural above are based on the classic proposition of the
220 Business Cycles
dynamic investment model with innovation at its benefits (e.g., first mover advantage) is a separate
center. This comes from Schumpeter, who rea- business process, but it is crucial to recognize that
soned that the investment function responds to without the innovation, the investment decision
waves of optimism and pessimism that create would be purely a replacement (“circular flow”)
clusters of innovation outcomes and then investment decision based on rate of depreciation
“bunching” of investment. Schumpeter saw and past demand for the output. This limits con-
these two phenomena of innovation outcomes siderably the uncertainty attached to investment
and investment in such innovations as cyclically decision-making. Without innovation, uncertainty
linked, thus creating business cycles. Despite the is contained and the fluctuations of investment
empirical evidence described earlier, there is a would move around a constant trend growth line
logical flaw in this approach because one must with no economic growth.
question the origin of these waves of optimism Taking Kalecki’s investment approach and
and pessimism. These entrepreneurial waves limiting the analysis at this stage to industry-
would be influenced by aggregate economic activ- level investment cycles, Courvisanos (1996)
ity arising from business cycles in the first place. shows how this extended uncertainty is due to
Thus, a tautology exists if the linkage is tightly the commercializing of innovations. This results
held between clustering of innovation outcomes in significantly high levels of susceptibility that
(“clust-”) and bunching of investment (“-bun”) to leads to enhanced instability in investment cycles
commercialize them. Empirical evidence from a and the development of a trigger mechanism to
positivist methodology is unable to resolve this initiate fundamentally new innovations that pro-
tautology. duce structural change in the trend of “long wave”
Following the same classic proposition to implications, as basic innovations are diffused and
Schumpeter, Kalecki in his analysis diverges by adapted through incremental innovation, thereby
decoupling the linkage between clustering and producing a bunching effect. In his final attempt at
bunching. Kalecki sees bunching arising from modeling investment, Kalecki ([1968] 1991b)
investment decisions on commercializing innova- identifies that the cycle-trend pattern that innova-
tions as a distinct business process that reflects on tion has on the investment function is due to
uncertainty and susceptibility to cyclical volatil- higher profitability of more advanced means of
ity. This is distinct from the clustering that is production based on new innovations. Thus, the
shaped by the type and extent of innovation. intensity of innovation, in terms of the extent to
Rothbarth in his critique of Schumpeter’s closely which high profits from investment could poten-
tied “clust-bun effect” makes this distinction clear tially be generated, impacts on the amplitude of
as follows: investment cycles and shifts the trend path – or
Professor Schumpeter, in my view, is right in trajectory – of investment growth.
maintaining that there would be no trade cycle in a The intensity in investment of particular
system subject to small random shocks only. He is innovations that are significant enough to struc-
right in the sense that it would be unrealistic under turally change the operating innovation systems
those conditions to postulate such strong depen-
dence of investment on existing profits as would has “virtuous circle effect.” This occurs as inno-
produce a cycle. It does not follow at all that the vation intensity rises, increasing the amplitude
process of innovation needs to be cyclical to proof the upper turning point of the investment
duce the trade cycle. It suffices that innovation cycle and shifting the trend path upward. How-
brings about that uncertainty, that strong depen-
dence of investment on current profits on which ever, there is also the “vicious circle effect.” This
Mr. Kalecki, Mr. Kaldor, and Mr. Harrod rely. It occurs as investment decisions are made during
may well be that the process of innovation itself is cyclical contractions to shelf (or modify down-
cyclical, but the trade cycle would be explicable ward) the commercialization plans of any signif-
even if that were not so. (Rothbarth 1942, p. 226).
icantly new innovations and instead only invest
The investment decision to commercialize var- in new capital stock that is absolutely necessary
ious innovations that exist in the form of patents, due to depreciation and maintaining market
other intellectual property rights, and market-based position. This increases the amplitude of the
Business Cycles 221
lower turning point of the investment cycle and spreads of the two variances results in an aggre-
shifts the trend downward. Thus, the pace of gate business cycle.
innovation is a shift parameter in the Kaleckian Coming from the Austrian economics tradi-
investment function. tion, Schohl (1999) has a supply-driven philoso-
This shift parameter has been seen to evoke phy with demand only following the innovative B
structural change, with extensive economic his- agents along the cycle path. The role of effective
tory of swarm effects created by clustering of demand in the investment in implementing inno-
basic innovations and their sequential bunching vation is “hidden” in the “offer change.” What this
through investment as new innovation systems creates is an automatic deus ex machina, where
are diffused to maturity. Courvisanos and the turning points are symmetrical. The agent
Verspagen (2002), by identifying empirically model drives the cycle without any behavioral
the “clust-bun effect” and cycle-trend patterns, decisions of agents explained; it is merely a “num-
see investment in incremental innovation pro- bers game.” The more agents change to the variant
pelling the investment cycle during the diffusion activity, the closer the cycle comes to surmounting
of basic innovations through the industry and the turning point. This approach does not allow
then related industries. Success in activating for any examination of the dynamics at the trough
basic (or transformative) innovation provides to see if the lack of profit distribution and finance
the impetus for the initial investment in new fragility can be overcome by enough agents so as
technology or product configurations, followed to generate a strong enough variant activity. In the
by bunching of investment based around this Kaleckian approach, the profits variant is the
new technology. Thus, success in commercial- driver, but in the Great Depression, the lack of
izing of transformative innovation is the shift both profits and investing finance limited the num-
parameter for the trend line in industry invest- ber of agents switching to the variant activity. It is
ment cycles. in such cases that the government is needed to
Schohl (1999) adopts a disaggregative expla- change the dynamics of the turning point. This
nation of industry investment in implementing problem at the trough can be linked to what
innovation to macro business cycles, using the Rothbarth (1942) identifies as the Kaleckian
same kaleidic principle. Rather than aggregative ‘adaptation mechanism’, when the decline of
variance of investment in implementing innova- profits during the slump is also the stimulus for
tion used above, Schohl adopts a heterogeneous change for innovative agents. This stimulus can
agent model in which firms are “innovative” only translate into investment if the reduced sus-
agents all the time but at varying degrees of inten- ceptibility is unconstrained. The excess capacity
sity. Schohl never specifies what “innovative” constraint needs to be removed, the gearing ratio
means, yet it can be assumed that he is referring constraint needs to fall to low and manageable
to investment in implementing innovation when levels, and the strong demand in niche markets
he sets up the “variance of the offer changes.” need to be established (Courvisanos 1996). This is
A firm can only change the “offer” if investment the effective demand story missing in the Schohl
is made into producing the offer of a good or (1999) model.
service. The other variance is that of “the profit-
ability changes,” which provides the ability and
willingness to invest, a là Kalecki. As more agents Conclusion and Future Directions
“buck the system” and adopt the variant activity,
then in macroeconomic terms, the system gets Essentially, any discussion of business cycles in
closer to the turning point of the cycle. In this the context of entrepreneurship needs to distin-
way a discontinuity occurs at both the top and guish between basic transformative (or radical)
bottom turning points when the proportion that innovation and incremental innovation. The
adopts the variant activity becomes the majority. investment implications of commercializing inno-
Thus, Schohl devises a clear-cut spread model that vation are very different in both. Business cycles
shows how tightening and widening of the are greatly exacerbated with investment in basic
222 Business Discourse
innovation. The reason for this difference is the Kalecki M. Theory of economic dynamics. In: Osiatyński J,
effective demand story that is integrated into the editor. Collected works of Michał Kalecki, volume II
capitalism: economic dynamics. Oxford: Clarendon;
uncertainty of investment (from Kalecki), that is 1991a. p. 205–348. [Original book published 1954,
missing in the purely supply-side story (from London: George Allen and Unwin].
Schumpeter). The link between supply and Kalecki M. Trend and business cycle. In: Osiatyński J,
demand brought about by the distinct two-sided editor. Collected works of Michał Kalecki, volume II
capitalism: economic dynamics. Oxford: Clarendon
model of innovation and investment outlined in Press; 1991b. p. 435–50. [Original published 1968 as
this entry provides the only sound basis of Trend and business cycle reconsidered. Econ
researching the dynamics of entrepreneurship J. 1968;78(2): 263–76].
and business cycles. For a policy-oriented analy- Kydland FE, Prescott EC. Time to build and aggregate
fluctuations. Econometrica. 1982;50(6):1345–70.
sis using agent-based modeling incorporating Rothbarth E. Review of business cycles. In Schumpeter
both demand (Keynesian/Kaleckian) and supply JA, editor. Econ J. 1942;52(206/207):223–9.
(Schumpeterian), see Dosi et al. (2010). Schmitt-Grohé S, Uribe M. What’s news in business
Note: The concepts, appraisal, and some major cycles? Econometrica. 2012;80(6):2733–64.
Schohl F. A Schumpeterian heterogeneous agent
sections of the above entry are taken from a more model of the business cycle. Q J Aus Econ.
detailed account of these issues in Courvisanos 1999;2(1):1–20.
(2012). Schumpeter J. Business cycles: a theoretical, historical and
statistical analysis of the capitalist process, vol.
2. New York: McGraw-Hill; 1939.
Shackle G. Epistemics and economics: a critique of eco-
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Press; 1972.
▶ Bankruptcy White G. Rethinking Kalecki on the trend and cycle. Rev
Polit Econ. 1999;11(3):341–53.
▶ Business Climate and Entrepreneurship Zarnowitz V. Recent work on business cycles in historical
▶ Creative Destruction perspective: a review of theories and evidence. J Econ
▶ Financing Lit. 1985;23(2):523–80.
▶ Innovation
▶ Research and Development
▶ Risk
Business Discourse
References ▶ Linguistic Dimension of Creativity, Invention,

Innovation, and Entrepreneurship
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ture in Schumpeter’s work: Schumpeter’s 1928 hand-
book entry Entrepreneur. In: Koppl R, editor. Austrian
economics and entrepreneurial studies: advances in
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thesis. Cheltenham/Northampton: Edward Elgar; 2012. University of Grenoble IUT2-CERAG,
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Dosi G, Fagiolo G, Roventini A. Schumpeter meets Effectual decision making; Effectuation; Emerg-
Keynes: a policy-friendly model of endogenous growth
and business cycles. J Econ Dyn Control. ing organizations; Market creation; Opportunity
2010;34(9):1748–67. creation
Business Emergence 223
Definition emergence is particularly useful in those of

uncertainty.
An opportunity (product, organization, market) Opportunity emergence (creation), organiza-
can come to be in the absence of deliberate plan- tional emergence, and the conditions and princi-
ning. The Cambridge dictionary defines “emer- ples of emergence in uncertainty will be B
gence” as when “something becomes known or developed in this entry.
starts to exist.”
Pioneer strategic management scholars Opportunity as Social Construction
(Mintzberg and Waters 1985) and entrepreneur- Entrepreneurial opportunities can be seen as
ship scholars (Katz and Gartner 1988; Gartner objective realities that appear to alert entrepre-
1993) had identified the importance of neurs or are discovered through an asymmetry of
“emergentness” (Mintzberg and Waters 1985). information. They can also be seen as a social
Mintzberg and Waters set emergentness (when construction: They exist through the interpretation
the order, or consistency in action over time, of the individuals present. Each entrepreneurial
occurs in the absence of intention about it) and situation relies on distinct information processing
deliberateness (when the realized strategy, or capabilities. Opportunity discovery, according to
patterns in action, forms exactly as intended) on cognitive psychologists, implies the use of formal
the polar end of a continuum and propose a models or algorithms; information processing is
variety of types of strategies that fall along this characterized by information which shapes the
continuum. Gartner (1993, p. 232, from Webster representation of reality. Social construction of
1988) notes the definition “emerge” (1) to opportunity, according to social or cognitive or
become manifest; (2) to rise from or as if from social constructionists, will use interpretative or
an enveloping fluid: come out into view; (3) to heuristic models to construct their reality by using
rise from an obscure or inferior condition; and information from their environment (Vaghely and
(4) to come into being through evolution. He Julien 2010). Recent research shows that informa-
(Katz and Gartner 1988) identified the four char- tion processing models (analytical versus intui-
acteristics of emerging organizations, defined as tive) are not exclusive, and an individual can
“organizations-in-creation, that is, organizations rely on one or the other according to the context
at the stage in which all properties necessary to or phase of new venture formation.
be an organization come together” (1988, Wood and McKinley (2010) offer a multistage
p. 429). process theory in which they assume that oppor-
This entry reflects a second mind-set of entre- tunity creation implies several stages, including
preneurship. The entry ▶ “Business Project” is set the conceptualization of the idea by an individual,
in the paradigm where entrepreneurial opportuni- the objectification of the idea-opportunity, and the
ties, once found or discovered, lead to the analysis enactment of the opportunity into a new venture.
of the idea (business plan) and ultimately to new They note that not all ideas survive through enact-
venture creation via efforts of formal planning and ment and identify variables that may influence the
implementation. Business emergence stresses the passage (or not) from one stage to the next.
importance of the entrepreneurial process as a set
of actions or behaviors, where entrepreneurial Emerging Organizations
behaviors (“enactment”) lead to creation (“emer- Katz and Gartner (1988) identified a selection bias
gence”) of an organization (where the verb “orga- in most studies of the entrepreneurial phenome-
nize” means “to assemble ongoing interdependent non: Most research was (is) done on firms that had
actions into sensible sequences that generate sen- (have) come to be formal. This excludes from
sible outcomes” (Weick 1979, p. 3, cited by scientific study the phases of gestation, prebirth,
Gartner 1993). If the first mind-set, often seen as and birth – even though important decisions
dominant or historical, is a pertinent lens to ana- (including continuation or termination) are taken
lyze and act in stable environments, the idea of at this stage. In order to capture important
224 Business Emergence
information occurring during the phase of emer- Conditions and Principles of Emergence in
gence, he suggests qualifying an emerging orga- Uncertainty
nization according to four characteristics: The entrepreneurial logic, causal or effectual, is
intentionality, resources, boundary, and exchange: another domain where this distinction is salient.
“Effectuation processes take a set of means as
1. Organizational intentionality here refers to the given, and focus on selecting between possible
search for information of the potential entre- effects that can be created with that set of
preneur, in the aim of creating a new organiza- means” (Sarasvathy 2001, p. 245). Here, the indi-
tion and, reflecting the vision of the vidual (entrepreneur) will focus on the means
entrepreneur but also that of the various envi- he/she has at disposition and imagine the different
ronmental sectors (e.g., capital, technological, outcomes (opportunities). His/her actions will
and legal). It is to note that organizational give rise to the opportunity, or business. On the
intentionality is not synonymous with entre- opposite, “causation processes take a particular
preneurial intention. effect as given and focus on selecting between
2. Resources refer to the material components means to create that effect” (Sarasvathy 2001,
that combine to form an organization, for p. 245), where the new venture is the effect, and
example, human and financial capital, prop- focus is set on identifying the optimum means to
erty, credit, and social capital (see entry achieve that effect. On the individual level, the
▶ “Social Capital”). The ease and means of effectuator’s given set of means are the responses
marshaling such resources will strongly to three questions: “Who am I?” – my traits, tastes,
influence the future organization and its and abilities; “What do I know?” – my knowledge
strategy. corridors; and “Who do I know?” – my social
3. Boundary marks the passage from “individual networks. This has since come to be known as
as organization from individual as worker” – the “bird-in-hand” principle. The causation model
establishing a boundary establishes the organi- is static, assumes that the decision makers are
zation’s identity beyond that of the individual. independent, and focuses on analysis and predic-
Examples of organizational boundary- tion; effectuation takes place in a dynamic
identifying conditions include obtaining and decision-making environment, involves multiple
identifying symbols such as organization decision-makers, synthesis, and actions.
name, mailing address, Internet domain, tele- Both of these logics are viable, and they can
phone number, and tax identification or tax “occur simultaneously, overlapping and intertwining
exemption number. over different contexts of decisions and actions”
4. Exchange refers to cycles of transactions that (Sarasvathy 2001, p. 245).
are cyclic and repetitive. They can occur across Initially, effectual decision making had been
border of subsystems within an organization embodied in four principles:
and, across organizational boundaries with
individuals, the environment, or other organi- 1. Set affordable loss: the effectual entrepreneur
zations. Katz and Gartner (1988) notes that the will identify how much loss is affordable and
exchange should be beneficial to the organiza- will focus on experimenting as many strategies
tion (without exchange, the organization will as possible with the given limited set of means
cease to exist), yet they may be inefficient (as opposed to the model of maximization of
during the early stages (e.g., selling below potential returns in the causal model). Thus,
cost to establish market share). the idea of risk becomes irrelevant inasmuch
as the entrepreneur has accepted the worst pos-
Gartner’s properties of emerging organizations sible downside as being acceptable.
give indications on when to observe the entrepre- 2. Form strategic alliances or the “crazy quilt
neurial phenomenon; below are the conditions principle”: the effectuation model relies on stra-
and principles of emergence in uncertainty. tegic alliances and pre-commitments from
Business Emergence 225
stakeholders to reduce and/or eliminate uncer- feature so that it carries a lesser or greater emphasis
tainty (as opposed to detailed competitive anal- on a new and differentiated offering).
ysis). Each stakeholder will bring new means to Markets can also emerge in an effectual manner.
the venture, striving to bring only what he/she As noted previously, if causal decision making
considers as affordable loss and, allowing con- processes are more appropriate in stable markets, B
tingencies to influence the venture as possible effectual modes are more appropriate when the
sources of value. With self-selected stake- market does not yet exist: new markets are sur-
holders, no need to worry about trust and oppor- prises – highly improbable and thus difficult to
tunism, focus on the commitments they make. predict before they actually come to exist
3. Leverage contingencies or the “lemonade prin- (Sarasvathy and Dew 2005). Sarasvathy and
ciple”: effectuation is more appropriate when Venkatraman (2011) show as examples failed pre-
exploiting unexpected contingencies (when dictions (radio, “Gone with the Wind,” US market
life gives you lemons, make lemonade); for Japanese cars, computers, and personal com-
whereas when exploiting preexisting knowl- puters) and successful market creations (Starbucks,
edge (e.g., a new technology) causal models metal ploughs, the light bulb, uncollateralized
may be preferable. loans) (Sarasvathy and Venkatraman 2011,
4. Control an unpredictable future or the “pilot p. 119). They note that successful entrepreneurs
on the plane” principle: effectuation focuses on appear as visionaries after the fact, but a close
the controllable aspects of an unpredictable look at their early day stories shows the action of
future, and expresses the logic “To the extent pulling together “a variety of stakeholder commit-
that we can control the future, we do not need ments, in returns for a shot at shaping the vision;
to predict it”; whereas causation focuses on the co-creation of a vision that concurrently gets
predictable aspects of an uncertain future, embodied into the components of the new market
expressing the logic “To the extent that we emerging from the process that is the primary result
can predict the future, we can control it.” of the entrepreneurial process. Here, the familiar
story of uncommitted prospects haggling over a
Two other principle have been formalized mouthwatering pie is replaced by the reality of
since: the co-creation of the opportunity self-selected stakeholders actively engaged in
(Sarasvathy and Venkatraman 2011, p. 118), that shaping committed ingredients into unanticipated
is, the opportunity is the fruit of the actions of the new confections” (Sarasvathy and Venkatraman
effectuator and of his/her self-selected stake- 2011, p. 120).
holders, and the importance of failure as a learn-
ing experience.
In the effectual mindset, ideas can come from Conclusion and Future Directions
transforming situations into opportunities (Read
et al. 2011). The four most common transformation In times and/or economies of high uncertainty, the
types are deleting/supplementing (any form of (re)- causal, planning decision-making method is at
combination of elements related to the original odds to serve its intended purposes: reduce risk,
product or service, or from unrelated domains), exploit a preexisting opportunity, and maximize
composing/decomposing (reorganizing material returns. Research has linked effectuation to firm
that is already there, that is, taking stock in what performance (Read et al. 2009).
you have to offer and pulling it apart to recombine Entrepreneurship is still seeking its identity:
it in a new way), exaptation (employing existing Research has shown “mixed results” (Sarasvathy
technologies, products, services, or elements and Venkatraman 2011), and scholars evolve in
thereof for a use they were not intended to serve), micro-communities, for example, conceptions of
and reweighing (increasing and decreasing the rel- entrepreneurial processes, psychological charac-
ative emphasis of features or attributes of a product teristics of entrepreneurs, alertness-opportunity
or a market, that is, changing the emphasis of a creation-creative destruction, entrepreneurial
226 Business Environment
networks and resource accumulation, and corpo-

rate entrepreneurship and venturing, among Business Environment
others (Schildt et al. 2006; Gartner et al. 2006).
A new and exciting avenue of research consists of ▶ SME Growth and Influence of Internal and
viewing entrepreneurship not as a discipline, but External Environmental Factors
as a method (Sarasvathy and Venkatraman 2011),
where it can be opposed to the scientific method.
Business Incubator
Cross-References Karim Messeghem, Sylvie Sammut and
Chaffik Bakkali
▶ Business Project
University of Montpellier, Montpellier
▶ Social Capital
Management, Montpellier, France
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Gartner WB. Words lead to deeds: towards an organiza-
tional emergence vocabulary. J Bus Ventur. Business accelerator; Entrepreneurship support;
1993;8(3):231–40. New ventures; Start-up development
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me? The nature of community in entrepreneurship
scholarship. Entrep Theory Pract. 2006;30(3):321–31.
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Acad Manag Rev. 1988;13(3):429–41. oped in the United States in the late 1950s (Lewis
Mintzberg H, Waters JA. Of strategies, deliberate and 2002). It has become more widespread at the
emergent. Strateg Manag J. 1985;6(3):257–72. international level since the 1980s (Hackett and
Read S, Song M, Smit W. A meta-analytical view of
effectuation and firm performance. J Bus Ventur. Dilts 2004; Bergek and Norrman 2008). Entrepre-
2009;24:573–87. neurial accompaniment is an activity that tends to
Read S, Sarasvathy S, Dew N, Wiltbank R, Ohlsson develop when an entrepreneurial society emerges
AV. Effectual entrepreneurship. New York/Oxon: (Audretsch 2007). Support for entrepreneurial ini-
Routeledge; 2011.
Sarasvathy S. Causation and effectuation: toward a theoret- tiatives comes in the form of accompaniment
ical shift from economic inevitability to entrepreneurial structures promoted by the state, local groups,
contingency. Acad Manag Rev. 2001;26(2):243–63. businesses, or training and research organizations.
Sarasvathy S, Dew N. New market creation through trans- Although initially these structures were used to
formation. J Evol Econ. 2005;15:533–65.
Sarasvathy S, Venkatraman S. Entrepreneurship as support creators with restrictions, in a context of
method: open questions for an entrepreneurial future. deindustrialization, they rapidly transformed into
Entrepr Theory Pract. 2011;35:113–35. a springboard for ambitious, innovative projects
Schildt HA, Zahra SA, Sillanpää A. Scholarly communi- with high-added value. The practice of incubation
ties in entrepreneurship research: a co-citation analysis.
Entrepr Theory Pract. 2006;30:399–415. is therefore nothing new, but it is tending to
Vaghely IP, Julien PA. Are opportunities recognized or increase in specialization. This evolution has
constructed? An information perspective on entrepre- given rise to a wide variety of incubators.
neurial opportunity identification. J Bus Ventur. In parallel, abundant literature has developed
2010;25(2010):73–86.
Webster’s Ninth new collegiate dictionary. Springfield: to include a number of trends (Hackett and Dilts
Merriam-Webster Inc; 1988. 2004). However, as stressed by Hackett and Dilts
Weick K. The social psychology of organizing. (2004), “most of this research is atheoretical”
2nd ed. Reading: Addison Wesley; 1979. (p. 74). The research tends to be highly descriptive
Wood MS, McKinley W. The production of entrepreneurial
opportunity: a constructivist perspective. Strateg and normative, leaving to one side the incubation
Entrep J. 2010;4:66–84. process. It is thus necessary now to shed light on
Business Incubator 227
the “black box” that is the incubation process Table 1 presents finality, dominant activities,
(Hackett and Dilts 2008; Schwartz and Gothner objectives, and targets of the different groups of
2009). This chapter aims to do just that. The incubator.
specific aim is to develop a better understanding Economic development incubators are set up
of incubators and of their diversity. To do this, two locally and are thus not standardized. They are B
focuses will be made: one on the groups of incu- generally inserted into local economic develop-
bator and another on the skills required by the ment programs.
accompaniers. Academic and scientific incubators benefit
from state subsidies. They make technology trans-
fer easier and promote the development of busi-
Taxonomies of Incubator ness culture in universities. They are at the
crossroads of three cultures that have everything
There is a considerable amount of literature in to be gained from being preserved: academic,
English dealing with the concept of incubator scientific, and industrial.
(Aaboen 2009; Aernoudt 2004; Bergek and Social incubators have the particularity of gen-
Norrman 2008). erally pursuing a dual objective: developing eco-
According to these authors, business incuba- nomic activity while preserving social logic. They
tion has developed in a context that is favorable also benefit from local and/or national subsidies.
for entrepreneurship, offering a reassuring envi- Business incubators are set up in large compa-
ronment for people with projects, providing them nies, one of the ambitions of which is to develop
with a certain number of services (premises, their potential for innovation by giving the
advice, etc.), making it easier for them to make employees the opportunity to express their entre-
contact with other entrepreneurs, participating in preneurial talent.
the discovery process – taking advantage of Private investor incubators are the expression
opportunities, contributing to the development of of venture-capital companies or business angels.
their legitimation strategy and, of course, increas- By creating incubators, the latter aim to reduce the
ing their levels of knowledge and skill. Business distance separating them from the businesses they
incubators must therefore adopt an overall finance, thus reducing the asymmetry of informa-
approach, based on their environment, so as to tion that disadvantages them.
identify and make use of the resources available To illustrate these groups of incubator, Insert
locally (Autio and Klofsten 1998). 1 gives an example of a scientific incubator, the
As the needs of businesses today are heteroge- BIC in Montpellier, in the south of France.
neous, in addition to the general missions pre- Incubators are organizations which mobilize
sented above, the incubators try to specialize human resources to carry out their activities. The
(Grimaldi and Grandi 2005). Given this diversity, quality of the accompaniment service depends on
several authors have tried to classify accompani- the skills of the accompaniers (Hannon 2005).
ment structures by proposing taxonomies of incu- The second part of this chapter will be devoted
bator (Aernoudt 2004; Albert et al. 2003; von to this aspect.
Zedtwitz 2003). The term “incubator” is used in
the English sense, that is, including structures
whose support is targeted at the pre-creation Insert 1 Presentation of the BIC in
stage (“incubators” in the strictest sense of the Montpellier
term) and those whose support focuses on post-
creation follow-up (“incubator” in the looser The BIC (Business Innovation Centre) was set up
sense of the term). The taxonomy developed by in 1987 in the form of an ECEI. It accompanies
Albert et al. (2003) synthesizes all the main innovative business creators in the greater Mont-
groups of incubator. It is only necessary to add pellier area. It supports businesses with a consid-
social incubators identified by Aernoudt (2004). erable potential for development in the following
228 Business Incubator
Business Incubator, Table 1 The main characteristics of the different groups of incubator
Economic Academic
development and scientific Social Private investor
incubators incubators incubators Business incubators incubators
Finality Nonprofit Nonprofit Nonprofit Profit Profit
Dominant Generalist High tech Social High tech High tech
activities
Objectives Job creation Promotion of Job creation Development of the Profit through the resale
technologies business spirit among of shares from a portfolio
employees of businesses making it
possible to spread out
risks
Reconversion/ Development Economic Holding on to talents Cooperation between the
revitalization of the development businesses in the portfolio
business spirit
Economic Citizenship Creation of Intelligence
development social wealth
Support for Image Integration Access to new
specific of certain technologies and new
populations or social markets
industries categories
Development Financial Profits
of SMEs and resources
networks
(clusters)
Targets Small craft, Projects Projects of a Internal and external Technological start-ups
commercial, internal to highly social projects, in general in
or service institutions nature relation with the
companies prior to professions of the
creation business
In certain External
cases, high- projects
tech
businesses
Source: Adapted from Albert et al. (2003) and Aernoudt (2004)
sectors of excellence: health, biotechnology, The businesses are housed either within the
information and communication technology, and BIC itself, or in greater Montpellier. Within the
higher tertiary. In 2007, it received the prize for BIC, there are two sites that can be used: Cap
the best world incubator awarded by the NBIA Alpha (specialized in biopharmacy, biotechnol-
(National Business Incubation Association). ogy, and renewable energy) and Cap Omega
Three key missions have been developed: (specialized in information and communication
accompaniment, training, and accommodation. technologies). Regardless of the structure chosen
Out of a total of 12 employees, 6 use their (onsite or outside these two incubators but within
talents as project manager 50% of the time in Greater Montpellier), the BIC must be familiar
the pre-creation phase and 50% in the post- with all the activities of the businesses in order to
creation follow-up phase. These accompaniers better accompany them.
are highly qualified engineers or commercial The training courses proposed by the BIC are
specialists who master all the skills associated in line with the phases of development of the
with developing a business plan, financial engi- innovative business.
neering, marketing, and organizational In the pre-creation phase, the BIC proposes
management. three standard training courses:
• “Etincelle,” which makes it possible, over 2 h, This knowledge can be analyzed on the basis of
to raise awareness of the various stages in the the three phases in the model developed by Shane
business creation process thanks to accounts and Venkataraman (2000): detection, evaluation,
from creators themselves. and seizing opportunities. This knowledge first of
• “Trajectoire,” a 2-day training module, allows all concerns the phase upstream of the creation or B
participants to acquire the basics of methodol- detection of opportunity. Creativity methods and
ogy before actually creating their business. intellectual protection law are essential tools for
• “Création d’entreprise innovante” is an helping the creator develop new ideas and
extended training course over 20 days. It protect them.
allows participants to reflect in depth on the Following this phase of entrepreneurial maieu-
feasibility of their projects. tics, it is possible to start evaluating the opportu-
nity, in other words, analyzing the feasibility of
In the post-creation phase, two training the project, based on a concept such as the busi-
courses are proposed for business directors wish- ness model. Knowledge of this tool is essential for
ing to create their own businesses: helping the creator to develop a management sys-
tem that makes it possible to appropriate entrepre-
• “Focus,” which, on the basis of themed train- neurial income. Evaluating the opportunity also
ing courses (half day or one full day), allows supposes knowledge of the environment and, in
participants to reflect on the management particular, the specific sector of activity. The
issues involved in an innovative business. accompanier must be aware of the specificities
• “Décollage,” which makes exchanges easier of the sector, its perspectives for evolution, the
by organizing group or individual training rules of the competition game, the legal
courses on site – that is, within the newly restrictions, etc.
created business. The theme is defined ex In the exploitation phase, the accompanier
ante, and the accompaniment takes place over must be capable of providing assistance in putting
a period of 10 months. together the business creation dossier and in par-
ticular in developing the business plan. This
instrumental knowledge is a necessary condition
The Skills Required Within Incubators
but not sufficient for the success of the project.
The accompanier must also master the specific-
The theory set out in this chapter is that there are
ities of SMEs and, more precisely, the organiza-
two categories of skill. Generic skills are those
tional emergence process. It may be possible to
that all accompaniers (incubator managers) have,
understand this process by using grids such as the
regardless of the type of structure. There are also
Gartner model (1985), which focuses on system-
skills specific to each type of incubator.
atic and processual reading. The accompanier
must help the creator to manage the young com-
pany in its creation and post-creation phases. The
Generic Skills knowledge that needs to be mastered can be
approached via the key fields in management,
The trio of knowledge, know-how, and life skills such as strategy, marketing, finance, HR, account-
allows to analyze generic skills. Although this trio ing, law, and taxation.
has its own limitations, based essentially on the Incubators must provide business creators with
fact that the boundaries can seem rather blurred assistance to help them to immerse themselves in
between the three, it is nevertheless relatively business networks. Accompaniers must therefore
practical, and this explains why it is used so have excellent knowledge of the players liable to
widely. be of help, to provide advice or funding.
Knowledge is all that the project manager must Table 2 groups together all the different types
master, regardless of the project accompanied. of knowledge using the three phases in the model
Business Incubator, Table 2 The knowledge needed to accompany the entrepreneurial process
Phases Detecting/creating opportunity Evaluating the opportunity Seizing opportunity
Mobilized knowledge Creativity techniques Business model Management techniques
Propriety law Sectors of activity Business plan
Networking
Source: Authors (2011)
by Shane and Venkataraman (2000): detection, This skill requires in particular the transformation
evaluation, and seizing opportunity. of tacit knowledge into explicit knowledge and
The second aspect of generic skills is com- vice versa. These different forms of knowledge
posed of the accompanier’s know-how. In order can create dependency in decision-making,
to explain how incubators function, Aaboen which can prove to be detrimental, particularly
(2009) makes an analogy with businesses that in the post-creation phase. Making the creator
offer services for professionals. This type of busi- autonomous is thus an essential skill that the
ness deals with customer relation management accompanier must absolutely master (Sammut
processes that are based on qualified personnel 2003). It allows the creator to find solutions on
composed of “knowledge workers.” From this his own to any future problems that he may
analogy, two levels of know-how appear: in man- encounter as the director of a business. Finally,
agement of the structure and in management of the there are two other forms of know-how. The first
relations with those accompanied. is knowing how to respond to a particular prob-
The first level becomes essential from the pro- lem with a solution that is not generic but that
fessionalism perspective. An incubator is an orga- takes into consideration the specificities of the
nization that must use a management system. Its project – a made-to-measure response, in other
small size may lead it to prefer project logic. It is words. The second is the ability to bring the
vital that project management tools and tech- person with the project into contact with external
niques be mastered. Follow-up of a creation pro- partners in such a way as to make up for the lack
ject supposes that objectives be defined, that the of integration into networks that is so character-
different resources from the structure and its envi- istic of creators.
ronment be obtained, and that time be mastered. Life skills are the last aspect of this type of
Incubators rely more often than not on public skill. The concept is vaguer than the previous
funding. The managers of these structures must aspects and has been criticized given that it does
negotiate their budget and justify their choices. not correspond to a definition of the skill in its
They must guarantee the follow-up of their activ- context. It is nevertheless very much present in the
ities and can for this reason be called on to set up a skill referentials and is of interest from a manage-
system for evaluating their performances. It is rial point of view for this reason. Life skills can be
important for the running of their activities that a defined as a set of relational skills. Goleman
system also be set up to exchange good practices (2006) distinguishes two types of life skills: social
between accompaniers. This system can be conscience and social skill.
inspired by the principles of knowledge The accompanier’s empathy and open-
management. mindedness are the key elements in his social
The second level refers to the relationship with conscience. These two types of life skill were
the incubatees. When providing follow-up for a identified by Fayolle (2004) as skills that make
creator, mastery of accompaniment techniques, easier the relationship between the accompanied
such as interview techniques or coaching, is and the accompanier. They make it possible to
essential. The accompanier’s aptitude for transfer- reduce the distance between both parties’ mental
ring knowledge to the person with the project is representations. The accompanier’s involvement
also a key form of know-how (Sammut 2003). in the mission is another element that forms part of
this social conscience and is represented by con- Academic and Scientific Incubators and
siderable availability. Technological Skill
Social skills refer to the accompanier’s rela- The aim of academic incubators is to bring
tional qualities. These qualities allow the accom- together two universes that are sometimes unfa-
paniment to take place in good conditions. miliar with each other: academia and industry. B
Respecting decisions and psychological support This is because successful projects developed by
are the key elements. Respect effectively makes it incubatees will find an opening in the industrial
possible to obtain and conserve the creator’s trust, sphere. The accompanier must therefore have a
while psychological support helps the creator to scientific culture and good knowledge of the
go beyond his periods of doubt, thus preventing world of business. One major characteristic of
any deterioration in the accompaniment relation- these projects lies in the significance of the funds
ship. Pedagogy also makes it possible for the involved, implying that the accompanier must
accompanier to transmit knowledge more easily also have good knowledge of funding channels
to the person with the project (Fayolle 2004). (banks, business angels, venture-capital busi-
nesses, and so on). The accompanier must master
the various mechanisms associated with technol-
Specific Skills ogy transfer and the protection of intellectual
property.
Generic skills are the common foundation of the
accompaniment profession. The second category Social Incubators and Social Skill
of skills can be qualified as specific skills. Their By definition, social incubators support projects
specificity lies in the fact that they depend on the with a social vocation. These projects can be
nature of the accompaniment structure. On the trade-oriented or not and concern a wide variety
basis of the taxonomy of incubator presented in of sectors of activity in the field of social econ-
the first part of this chapter, five categories of omy, such as culture, sustainable development,
specific skills are identified. ecology, insertion, etc. Adherence to the field of
social economy is determined by certain charac-
Economic Development Incubators and teristics such as a particular status (e.g., a cooper-
Territorial Skill ative or association), as well as a dynamic based
The aim of economic development incubators is on solidarity and reciprocity with regard to the
to promote economic initiative in a given area by interface with the market, civil society, and the
creating conditions for the emergence and devel- state or its local representatives. Here, the specific
opment of new localized activities. Since the skill thus lies in perfect knowledge of social econ-
1980s, geographical areas have been committed omy, law, and the various statuses possible within
to a competitive dynamic by trying to reinforce a social economy (e.g., in France, the SCOP
their attractiveness. Incubators were designed to status – a worker’s cooperative).
encourage and attract new businesses, who were
in turn supposed to play a part in the creation of Business Incubators and Intrapreneurial Skill
value and job creation. The specificity of these Business incubators provide support for projects
incubators lies in the large number of key players developed by existing companies. This intrapreneur-
involved in their funding. The accompanier must ial mode of organization involves implementing
therefore be able to find his marks in this multi- autonomy factors so as to allow certain selected
dimensional area. To do so, it is necessary for the employees to bring their project to fruition thanks
accompanier to develop good understanding of to their entrepreneurial skills. Accompaniers in
the role played by each key player so as to be business incubators must enable and/or enhance
able to integrate into the local networks. Political (1) the creativity of the incubated intrapreneurs,
skills are also needed to negotiate with key players (2) their managerial capacities, and (3) their
with sometimes opposing forms of logic. socialization.
Private Investor Incubators and Financial Skill specific HR management model for each group
The last type of incubator corresponds to private of incubator. For example, specific model of
investor incubators. Venture-capital companies remuneration or specific model of recruitment
and business angels are often behind the creation could be envisaged.
and funding of this type of accompaniment struc-
ture. The typical activities of these private inves-
tors consist in financing projects that they Cross-References
consider to be potentially profitable. Private
investor incubators make it possible to reduce ▶ Accompaniment of Business Creation
the asymmetry that investors are subject to in ▶ Business Start-up: From Emergence to
their relationships with entrepreneurs. The latter Development
try in this way to benefit from physical proximity
with the businesses that they finance (Barrow
2001). This proximity thus allows them to detect References
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Business Model 233
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remaining two are operational challenges: “digi-
talization integration! and performing.”
Business Intelligence The Concept
▶ Information Monitoring and Business Creation During the financial bubble of 2000, a prolifera-
tion of the term “business model” as symbolized
by the “startups.com” first found its origins within
an accounting dissertation published by Bellman
Business Model in 1957. This up-until-recently forgotten or
orphaned notion is best characterized by its con-
Robert H. Desmarteau1, Anne-Laure Saives2 and spicuous absence within the classical literature or
W. David Holford2 as Teece (2010) stated: “The concept of Business
1
Department of Strategy, Social and Model has no established theoretical grounding in
Environmental Responsibilities, School of economics or in business studies.” In parallel to
Management Sciences (ESG), University of this epistemological vacuum, one single click on
Quebec at Montreal (UQAM), Montreal, QC, the Google search engine generates 300 million-
Canada plus listings. In short, one is faced with the fla-
2
Department of Management and Technology, grant academic obligation to examine both the
School of Management Sciences (ESG), significance and scope of the concept of business
University of Quebec at Montreal (UQAM), model. What utility does the concept provide?
Montreal, QC, Canada How does one represent the concept? What is its
relationship to business strategy?
According to Magretta (2002), a good business
Synonyms model is above all a good narrative tool (good
story) on how a firm functions (e.g., Walmart
Economic model; Strategic system founder Sam Walton, in his words “Put good
sized stores kind of into little one-horse towns
which every body else was ignoring! story from
Definition which one can then judge its capacity to respond
to Peter Drucker’s age-old questions (Magretta
A business model is the representation of a given 2002): (1) Who is the customer? (2) What does
firm’s market strategy which, in the image of a the customer value? (3) How does one make
sketch, specifies how the firm organizes its money in this activity? (4) What is the underlying
human, physical, and financial resources to create, economic reasoning that justifies the firm’s ability
capture, and deliver value relative to the choice of to provide value for its customers in a cost-
stakeholders made. As to the “how tos” and the effective manner? For many, it is the art of design
234 Business Model
or, again, the architecture as proposed by Teece environment (i.e. what is to be dominated), but
(2010) to describe the explicit or implicit concept also what is to be done to transform these ideas
of the business model: “Whenever a business into concrete arrangements”. [. . .] “The business
enterprise is established, it either explicitly or idea expresses the unifying principle of such a
implicitly employs a particular business model system”. [. . .] “A description of the business
that describes the design or architecture of the idea involves description of: the niche in the envi-
value creation, delivery, and capture mechanisms ronment dominated by the company, in other
it employs. [. . .] In essence, a business model words the company territory; the products of the
embodies nothing less than the organizational ’system’ that are supplied to the territory; the
and financial architecture of a business.” In other resources and internal conditions in the company
words, the “blueprint” image ingeniously pro- by means of which dominance is acquired”
posed by Osterwalder (2004) captures the essen- (Normann 1977, p. 34, 37 and 38).
tial concept of business model. Closely following the pronouncement of this
new paradigm, the tridimensional representation
of strategic practice took shape across the work of
A History of the Concept of Business Buzzell (1978) involving the definition of the
Models notion of the market, and materialized itself at
the level of the firm across Abell’s (1980) reflec-
Circumscribing the historical origins of the con- tions: “I shall make the working assumption that
cept of business models is an audacious exercise the market will be redefined in terms of customers
which emphasizes a filiation of principal ideas so groups, customers functions, and technologies as
as to generate new understandings across the pro- individual businesses are redefined in these
posal of sensible linkages which are more or less dimensions” (Abell 1980, p. 25). During the
expected. The first point of reference among the 1980s, the “function, client and technology” tridi-
historical foundations of business model concepts mensional representation of corporate strategy
can be revealed across Ansoff’s (1965) became an epistemological rallying point. As an
bidimensional conceptualization of corporate example, Thompson and Strickland’s (1983)
strategy whereby the product and the market are understanding can be mentioned: “The three
combined: “the product-market scope, the grow dimensions of defining “What Is Our Business?”
vector, and the competitive advantage – describes Derek Abell has expanded on the importance of a
the firm’s product-market path in the external customer-focused concept and suggests defining a
environment” (p. 99). This resolutely determinis- business in terms of three dimensions: (1) cus-
tic approach was to guide the development of tomers groups, or who is being satisfied, (2) cus-
several instruments to strategically “position” tomers needs, or what is being satisfied and
firms. Among the most well known are (1) “Port- (3) technologies, or how customer’s needs are
folio Analysis” from the Boston Consulting satisfied” (Thompson and Strickland 1983,
Group Perspective created by Bruce Henderson p. 62). Finally, in a convincing and concluding
in 1968; (2) “Profit Impact of Market Strategy manner, Ansoff, in 1987, recognizes the advan-
Project” ((PIMS) Schoeffler et al. 1974); (3) Mar- tage of the tridimensional model: “Instead of the
ket Attractiveness/Business Position Assessment two dimensions of the original matrix it is more
(Rothschild 1976); and General Electric’s Strate- realistic to describe the geographic growth vector
gic Business Unit (SBU) (1971, Hall 1978). The along the three dimensions which the firm can use
years which followed this effervescence led to define the thrust and the ultimate future scope of
toward a third dimension – of a voluntary nature – the business: dimension of the market need,
embodied within competencies related to organi- dimension of product technology, and the market
zational strategic practice. “We want a concept geography which defines the regions or nations
which includes not only ideas about the market states in which the firm intends to do business”
and the role of the company in the external (Ansoff 1987, p. 84). Since the beginning of the
Business Model 235
1980s, the conceptualization of corporate strate- (2) client relationships, (3) client segments,
gic practice has multiplied the tridimensional rep- (4) distribution channel, (5) revenues flows,
resentation. Examples such as Johnson et al.’s (6) key activities, (7) key resources, (8) partner
(2008b) SAD (strategic activity domain) and network and (9) cost structure” (Chesbrough
Allaire and Firsirotu’s (1993, 2004) “strategic 2010, p. 359). Within these two in vogue B
system” both combine the “market need, market modelization approaches, a better understanding
geography, technology” triad and, by integrating of the meaning and impact of the BM concept is in
the “value-network” dimension, pave the way itself required. Based on specific dominant contri-
toward the notion of business models. butions, a consensual thread emerges across
To materialize the transition from the tridimen- authors such as Magretta (Drucker) (2002),
sional vision of corporate strategic practice to the Chesbrough (2003, 2006), Morris et al. (2005),
representation of the business model concept, one Johnson and Christensen (2008), Bouwman et al.
must recognize two emblematic contributions: (2008), Al-Debei and Avison (2010), Casadesus-
Chesbrough (2003) and Osterwalder (2010). The Masanell and Ricart (2010), Dahan et al. (2010),
first one is Chesbrough’s (2003) representation of Demil and Lecocq (2010), Osterwalder (2010),
the concept of business model within a construct Teece (2010), Yunus et al. (2010), Zott and
which breaks down the value creation process into Amit. (2010), Porter and Kramer (2011), Amit
six key functions: (1) define a customer proposi- and Zott (2012), Chanal and Le Gall (2014), and
tion based on specific value-carrying benefits; Lambert and Schaeffer (2014). These authors
(2) identify a target market encompassing the integrate the definition of the business model
given customers; (3) define a value chain based within an exercise which eventually translates a
on necessary complementary assets; (4) describe firm’s strategic choices “into acts of creating, cap-
the revenue generating mechanisms based on cost turing and delivering value.” To fulfill this value
structure and anticipated production margins; trilogy, strategists from IBM’s “Institute for Cre-
(5) after having identified potential competitors, ation Value” (Giesen et al. 2009) defend the con-
specify the firm’s position within a value-network sensual notion of business model across the aid of
linking suppliers, customers, alliance, and collab- four elements which can didactically be associ-
oration partners; and (6) formulate a competitive ated to articulated and evolving logics: (1) “cus-
strategy which will allow the innovating firm to tomer” logic in which the firm conceives a
gain a competitive advantage over its rivals. In the value-laden proposal by exceeding their expecta-
ensuing years, the literature on business models tions within a framework of sustained relation-
provided an abundance of contributions whereby ships; (2) “expertise” logic, in which the firm
diverse epistemologies confronted one another in combines key necessary resources, processes,
their attempts at apprehending the object of study. and competencies to create/capture/deliver value;
The second emblematic contribution is (3) “network” logic which relies on a network
Osterwalder’s famous canvas introduced by of partners to seize upon conjoint opportunities
Chesbrough (2010, p. 359) as follows: “One of value creation and sharing by exploiting
promising approach is to construct maps of busi- Chesbrough’s notion of “Open Innovation:”
ness models, to clarify the processes underlying ’Open Innovation’ means that valuable ideas can
them, which then allows them to become a source come from inside or outside the company and can
of experiments considering alternate combina- go to market from inside or outside the company
tions of the processes. One example of this map- as well” (Chesbrough 2003, p. 43); and (4) a
ping approach has comes from Alex Osterwalder “revenue” and “economic value-added” logic
who, following his dissertation at Lausanne, has (Stewart 1991) whereby the firm conceives reve-
consulted and spoken widely on business models nue generating mechanisms as well as a cost
and business model innovation. His empirical structure of its resources by relying on capital
focus utilizes a 9 point decomposition that char- cost overruns. During the last 10 years, the multi-
acterizes a business model: (1) value proposition, plication and diversity of publications on the BM
236 Business Model
Continuum of ideological BM positions
Reciprocal construction
The business of between Homo oeconomicus The client comes first
Capitalism and stakeholders (Magretta 2002; The business of
(social) business
reinvention (Freeman 1984; Schafer 2005; Johnson et al. 2008a; business is business
is social (Porter and Kramer 2011) Teece 2010; (Friedman 1970)
Casadesus-Masanell and Ricart
(Yunus 2010) Osterwalder 2010)
2010; Chesbrough 2010; Demil and
Lecocq 2010; Zott and Amit 2010)
Business Model, Fig. 1 A continuum of ideological BM positions
concept revealed an inevitable truth: several truths challenges are also identified: one regarding the
coexist to guide value creation, value capturing, capacity of a firm to perform while constantly
value delivering, and even value sharing. Con- dialoging with its stakeholders and the other
cretely, depending on the choice of beneficiaries, (Reuvers and Haaker 2009; Allal-Chérif and
the four (4) logics of the BM (customer, expertise, Favier 2012; Verstraete 2015) regarding the chal-
network, and revenues) are ideologically shaped lenge of integrating the digitalization trend at the
in an ineluctable fashion by a transversal teleolog- service of the BM to create, capture, and deliver or
ical challenge that strategists must face so as to even share value-creating benefits.
give meaning to and reflect on the value of
their BM.
Among those ideological orientations, one can The Strategic Energizing of the Concept
identify on a continuum (see Fig. 1): on the
extreme right side, BM shaped by Friedman The market strategy energizes the business model
(1970)‘s credo “The business of business is busi- or more specifically its underpinning in action. In
ness”; on the extreme left side, BM as shaped by other words, the creating, the capturing, and the
Yunus et al. (2010) is dedicated to social business delivering of value are induced by the driving of
models; at the center stand three schools of one or of all of the logics across energizing prop-
thought; on the right, the school of Magretta erties related to innovation, inimitability, and
(2002), Teece (2010), and Osterwalder and renewal. Innovation implies access to market.
Pigneur (2010) for whom the client comes first; Starting from Schumpeter’s (1942) teachings,
and on the left, the ideal of capitalism reinvention Baumol (2002) distinguishes innovation from
with the notion of “shared value” coined by Porter invention in that innovation constitutes an oppor-
et Kramer (2011) and Bocken et al. (2013). In the tunity for change whereby all means and
center, approaches integrating the Stakeholder resources are implemented toward the successful
Theory (Freeman 1984) and the idea of social introduction of an invention to market. As for
reciprocity (Tocqueville 1840) with the works of periodic renewal, it rests on the firm’s capacity
Jouison and Verstraete (2008), Demil and Lecocq to change the dynamics of a business model, this,
(2010), Zott and Amit (2010), Boons and Ludeke- by reason of time’s irreparable erosion of any
Freund (2013), and finally Rhodes et al. (2014). given competitive advantage and on the need to
Among the five strategic challenges revealed concretize change so as to construct a lasting
by the literature (Desmarteau and Saives 2016), advantage and durability of the firm (Demil et
aside from the previous ideological one, two are Lecocq 2010). Finally, inimitability is based on
of a praxeological nature in which the BM the firm’s capacity to combine rare resources so as
becomes a canvas: (1) for innovation (creative to construct its distinct identity and on its capacity
inspiration) and (2) for building networks while to institutionally lock these same resources
the strategist thinks and articulates his BM by (Hamel 2002; Teece 2010) by means, among
combining the economic, environmental, and other things, of patents or again, distinctive
social dimensions. In addition, two operational partnerships.
Business Model 237
Conclusions and Future Directions ▶ Start-Up

▶ Strategic Thinking and Creative Invention
In summary, the concept of business model is the ▶ Venture Capital and Small Business
representation of a given firm’s markets strategy
which, in the image of a “blueprint” (Osterwalder B
2004), specifies how the firm organizes its human, References
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Business Project 239
Yunus M, Moingeon B, Lehmann-Ortega L. Building business project is the planned work intended to
social business models: lessons from the grameen expe- assess the pertinence of pursuing a business
rience. Long Range Plan. 2010;43(2–3):308–25.
Zook C, Allen J. The great repeatable business model. opportunity, the resources and means required to
Harv Bus Rev. 2011;89(11):106–14. do so, and how to get access to these means and
Zott C, Amit R. Business model design: an activity resources (business plan). More recently, entre- B
system perspective. Long Range Plan. 2010;43(2–3): preneurship and business practices have been
216–26.
adopted in the social sector (▶ “Social Entrepre-
neurship”: see other entries in this volume); a
business plan can be drafted in this case. More-
Business of Church over, pursuing an opportunity can be the aim of an
individual in an organizational setting: This is an
▶ Church and Entrepreneurship intrapreneurial project (related entries in this vol-
ume: ▶ “Corporate Entrepreneurship,” ▶ “Entre-
preneurial Organizations”).
Business Plan The Business Project as a Start-Up

When the opportunity is exploited by an individ-
▶ Business Project ual, or group of people brought together for the
specific purpose of exploiting the project, the pro-
ject will be ad hoc and be translated by the pro-
duction and diffusion of a business plan. The
Business Project entrepreneur (individual or team) has identified
an opportunity. The opportunity can be related to
Kathleen Randerson1 and Alain Fayolle2 business or to a social need: new product or ser-
1
University of Grenoble IUT2-CERAG, vice, a technological innovation, a novel applica-
Grenoble, France tion of a known technology, and a new means to
2
EM Lyon Business School, Grenoble, France create value (see entry “▶ Business Model”). To
exploit this opportunity, the entrepreneur must
round up resources such as people/competencies,
Synonyms funds, or physical assets in order to transform the
opportunity to reality.
Business plan; Corporate venture, internal; Intra- Drafting a business plan responds to several
preneurial project objectives. It is useful to support decision-making
(for the entrepreneur(s) and external stakeholders)
and to communicate the project. Different drafts
Definition of the plan will reflect the evolution of the project
and be addressed to a specific interlocutor for a
An identified opportunity can be pursued in a given request (potential partner, shareholder,
systematic, planned manner. bank, etc.). Above all, it is important that the
The Cambridge dictionary defines “project” as document reflects a fit between the opportunity,
“a piece of planned work or an activity which is the market, the entrepreneur(s), and the new
finished over a period of time and intended to organization.
achieve a particular aim” and business as “the Generally speaking, a business plan includes
activity of buying and selling goods and services, the following chapters:
or a particular company that does this, or work Executive summary: found directly after the
you do to earn money.” In a first acceptation, a title page, the executive summary should
240 Business Project
concisely resume the entire business plan in one will include the enterprise’s mission statement,
page or less. Essential information that should how it differentiates from existing firms, the qual-
clearly appear: what the entrepreneur wants ifiers of success and how they will be leveraged
(loan, buy-in, grant, etc.), the business concept, upon, and eventually further stages of develop-
financial information, current business position, ment. It should show the fit between the conclu-
and main achievements. It can also comprise a sions of the market study and the offer, the
description of: pertinence of the planned strategy.
Market strategies: first demonstrate that there
– The future enterprise (creation, development, is a solvable market to exploit the opportunity.
takeover) The data presented is generally collected through
– The top management team and their competen- a market study, leaning on reliable, operational,
cies in relation to the opportunity and prospective information. It is important to
– The opportunity itself and the strategy to show that the target and distribution channels are
exploit it clearly identified. The following items can be
– The market and its potential developed: the industry and its characteristics,
– The competitive advantages of the good or the segments targeted, how the goods or services
service will be introduced onto the market, the qualifiers
– The financial return and the interest for the compared to existing offers, the potential cus-
potential investor or partner tomers and their purchasing habits, and the per-
– The funding needed, what the enterprise can spectives of the market. A scan of the competition
give in exchange for that funding, and how the will cover identifying the main competitors, their
funds will be used or the aim of the partnership position, and their strategy.
Sales and marketing strategy: will define the
Team members: the names of the team mem- distribution circuits, how the price was deter-
bers and the specific resources (skills, competen- mined, and how the offer will be advertised, con-
cies, network, funding) they bring, in relation to sidering factors such as quality, accessibility,
the project. price, advertisement, and customer service. Data
Business description: first a landscape view can include a description of the duo product/mar-
(the industry), then a description of the target ket, sales forecast, prices and margins, previsions,
market, and finally a view of how future activity and communication.
will create value in this environment. The means and organization (design and
Business concept: will describe the goods or development): this section will describe how the
services, their uniqueness for the market, and the future organization will be operated, on the prac-
business model (see this word). The description tical and legal levels. The entrepreneur will show
of the offer will include the technical character- that he/she can manage the constraints inherent to
istics, eventually illustrated by a photography or production and describe the buildings, equipment
blueprint. The aim is to show how the offer or material required, the raw matter and its prov-
responds to a demand, the specific advantages enance, the possible extensions and evolutions.
of the offer, and possible further evolution, as The production process will be described in detail;
well as identified risks. The life cycle, the pro- the subcontracted phases will be described sepa-
tection of the idea (IP), and R&D activities rately and include the name of the subcontractor,
needed to renew the offer may be interesting to the conditions of the contract, and why this solu-
develop. tion has been adopted.
General strategy: this chapter should clearly Legal matters: include the legal structure of the
demonstrate that the suggested business is the enterprise but also IP matters, partnerships, tax,
response to pursue the identified opportunity. It and contracts (e.g., labor, rental, loans, insurance).
Business Project 241
The financial previsions: present an evaluation 4. The corporation must let the employee entre-
of the financial needs and their structure. The preneur who has earned his independence have
coherence between the financial previsions and it as well as the right to fail.
the rest of the business plan should appear clearly 5. To start a new venture, the would-be intrapre-
and include first a presentation of the main neur who has not built up “capital” must seek B
hypothesis that found the previsions but also the funding, present and defend a business plan,
financial projections over 3–5 years. Three docu- and agree on a method of sharing the venture’s
ments should be included: balance sheet, income profit.
statement, and cash flow statement, monthly for 6. After a number of players have built up siz-
the first year and quarterly for the following. It is able intra-capital, some may become “ven-
important that the reader identify easily the real- ture capitalists” within the corporation,
ism of the hypothesis and measure the level of investing in the projects of other employees
robustness of the financial structure facing the who cannot get corporate backing on agree-
risks. Including the exit options for investors able terms and who lack adequate intra-
will increase chances of buy-in. capital.
7. If a new product or service developed by an
The Business Project as a Corporate New intrapreneur cannot be sold advantageously to
Venture another division of the company, he should
When the opportunity is exploited for an organi- have the option of raising intra-capital from
zation, the undertaking will generally take the the venture capital committee and/or from
form of an intrapreneurial project. This entry other successful intrapreneurs, to manufacture
will draw the portrait of the intrapreneur, review and market the new product. The new venture
the types of intrapreneurial projects and the dif- could be organized as a new corporate division,
ferences with entrepreneurial projects, and finally or even as a new corporation largely owned by
exhibit the outcomes. These projects are often the the parent corporation.
means for organizations to bring innovations to 8. As the intrapreneurship system matures, intra-
market. preneurs will be found throughout the com-
Pinchot and Pinchot (1978) coined the expres- pany enthusiastically performing many
sion “intra-corporate entrepreneur” as “intrapre- services that are now performed in a less-
neur,” referring to an individual who pursues an efficient and inspired manner by corporate
identified opportunity in an organizational setting. employees.
He suggested eight principles that enable to iden-
tify an intrapreneur and his/her contract with the Currently, intrapreneurship refers to the intra-
organization: corporate entrepreneur (Pinchot and Pinchot
1978), or innovation initiated and implemented
1. To become an intrapreneur, an individual must by employees (Carrier 1996). Internal corporate
risk something of value to himself, for exam- venturing relates to the creation of new activities
ple, time or a delayed salary raise. inside an existing organization through product
2. The rewards of success in an intrapreneurial or market innovation (Block and McMillan
project must be shared between the corporation 1993), focusing on the exploitation of the firm’s
and the intrapreneur in a well-defined and talents and resources. Corporate entrepreneur-
equitable way. ship can be defined as a formal or informal activ-
3. The intrapreneur should have the opportunity ity aiming at the creation of new activities
to build up something akin to capital (e.g., a through product or process innovation and the
cash bonus, additional R&D funds, or “intra- development of new markets (Zahra 1991). The
capital”). outcomes are similar: innovation (product,
242 Business Project
market, process) and the development of new It has the same purpose as the intrapreneurial
markets (e.g., internationalization). platform, but it is autonomous. The employees
As suggested above, a business plan will usu- are involved in this activity full-time, and this
ally support the intrapreneurial effort to transform implication is reinforced through a specific system
the opportunity into organization; the same atten- of compensation/sanction.
tion will be devoted to communicate the fit
between the opportunity, the market, and the
new enterprise. Buy-in may be particularly diffi-
Conclusion and Future Directions
cult to gain in the corporate setting, as the
suggested innovation may perturb the corporate
The business project, be it in an organizational
strategy, well-engrained processes and habits, or
setting or not, is the act of planning a future
the organizational culture; the intrapreneur will
business. This can be supported by drafting the
need to double his/her efforts.
business plan, a document that will show that the
Innovation through intrapreneurship carries
proposed organization is a pertinent way to pursue
specific traits: The project finds its legitimacy
an identified opportunity, on a given market. The
through the process, funding is conditional and
document will also support decision making
uncertain, and the innovation can take place any-
(go or no-go) for the entrepreneur(s) as well as
where in the company and relies mainly on infor-
external shareholders (potential investors) or
mal networks and specific procedures. The
stakeholders (e.g., suppliers) and be a valuable
process is heavily dependent on the personality
communication tool. However, the predictive
of the intrapreneur, who will benefit strongly and
value of the business plan is controversed:
directly from the project’s success.
A business plan rarely correctly predicts the finan-
The intrapreneurial process can take several
cial return of the new business. In many cases, the
forms: platform, cell, division, or be spontaneous.
preponderance of the business plan (document)
Spontaneous intrapreneurship is the result of an
occults the importance of the project (process).
individual initiative that germed in an organiza-
In uncertain contexts, business emergence (see
tional context; in this case, the project will need to
entry ▶ “Business Emergence”) plays an ever
be sufficiently developed before the intrapreneur
increasing role.
will be able to officially take responsibility for
it. Intrapreneurial activity can also be induced by
the organization. Intrapreneurial units, or small
Cross-References
teams, can be appointed by the firm’s direction
to develop a specific opportunity. Named “task
▶ Business Model
force,” “team,” and “unit,” this group of people
▶ Corporate Entrepreneurship
is united for the specific project and will disband
▶ Entrepreneurial Organizations
once the project comes to term, returning to their ▶ Intellectual Property Rights
initial post or are affected to the newly created
▶ Social Entrepreneurship
activity. The intrapreneurial platform is a device,
▶ Start-Up
often sophisticated, set up by the firm to encour-
age, select, and implement intrapreneurial pro-
jects. This platform is not an entity per se, but a
References
set of systems and procedures aiming at encour-
aging a flow of intrapreneurial ideas. The Block Z, McMillan IC. Corporate venturing: creating new
employees involved in these platforms do this businesses within the firm. Boston: Harvard Business
activity in addition to their usual responsibilities. School Press; 1993.
Carrier C. Intrapreneurship in small businesses: an explor-
The intrapreneurial division is an independent
atory study. Entrepr Theory Pract. 1996;1:5–20.
unit with its own objectives; financial, human, Pinchot G, Pinchot E. Intra-corporate entrepreneurship
and technical resources; and management system. Tarrytown School for Entrepreneurs. 1978. http://
Business Start-Up: From Emergence to Development 243
www.intrapreneur.com/MainPages/History/IntraCorp. technologies, in activity parks, nurseries, clus-

html. Accessed 5 June 2012. ters, and so on.
Zahra SA. Predictors of financial outcomes of corporate
entrepreneurship: an exploratory study. J Bus Ventur. Ten years later, the emerging worldwide capi-
1991;6:259–85. talism, usually named “postindustrial,” also
“entrepreneurial” (Audretsch 2007), entailed a B
deep “reengineering” of economic activities,
implying to promote their own business creation
Business Relations by new generations. Some countries were
revealed to be more flexible and entrepreneurial,
▶ Business Climate and Entrepreneurialism as in North America, with a high rate of new
ventures (partly due to foreign newcomers). How-
ever, creation of small business firms appears
everywhere as a major trait of the new capitalism.
Business Start-Up: From Moreover, most part of creations is not registered,
Emergence to Development those organizations being embedded in either
black economy, or the nonprofit and social
Michel Marchesnay sectors.
ERFI, ISEM, Université de Montpellier, Another main feature of “neo managerial cap-
Montpelier, France italism” is its strategic propensity to replace inner
recruitment by outsourcing, leading to the devel-
opment of very small firms and even to self-
Synonyms managed units, occupying one or two persons
(for instance, a couple). Doing so, some manage-
Accompaniment; Creation; Growth ment problems of nascent micro-firms may be
paradoxically similar, whatever the nature and
Entrepreneurship, viewed as either an academic or level of skill, from one tiny stall of an African
a practical field, is primarily made up of three woman on her local market to one notorious coun-
interwoven mainstreams: selor in international finance!
During the last 30 years, academic literature
– “Individual traits” of entrepreneur, typified as relative to small business creation and creators
either a cautious owner-manager (J-B Say), or hugely expanded, as revealed by an increasing
an audacious risk-taker (Schumpeter 1943) amount of specialized reviews, books for the gen-
– Global “spirit of enterprising” of Society, typ- eral public, students and scholars, academic
ified as either a positive attitude toward risk papers, workshops, seminar, congresses, and so
and innovation (Drucker 1985) or a free market on. As a result, researchers are faced with a wide
ideology (Williamson 1985) span of theories about business creation, dealing
– Last but not least, business creation, start-up with every specific problem, such as entrepreneur
and development profile, management competences, organizational
resources, market opportunities, financial needs,
Academic research on this latter topic started innovation perspectives, etc. The topics of aca-
during the sixties. It sharply increased with the demic research are inspired, or even dictated by
industrial world crisis of the mid-seventies, “social demand,” as a need for accurate informa-
requiring new public policies. By supporting tion and tools for local development, counseling,
new firms, Governments tried to reduce unem- entrepreneurship training and education, and so
ployment of either salaried workers, fired from on. Furthermore, a lot of news magazines and
big industrial concerns, or “disabled minori- popular works deal, for instance, with “how to
ties” (Small Business Act). But they also make your creation successful,” “the heroes of
designed to promote and develop new economy.”
244 Business Start-Up: From Emergence to Development
Three Contrasted Models: Theoretical, of them firmly intend to work inside the group, and
Pragmatic, and Systemic to hold managerial responsibilities. Thus, the two
presidents have to choose between a managerial
The Life Cycle Model: A Theoretical Approach organization, governed by salaried executives,
The LCM is more deductive (logical, rational) and a family business structure. At the cross
than inductive (based on factual observations of roads, they decide to design a chart, in order to
sampled firms). This model is based on a biolog- maintain cohesion between heirs, and so avoid
ical analogy with living human and creature. The- stock sales to “intruders”.
oretically, every firm may be typified as getting The first French chocolate factory was created
over several stages, from birth and childhood to in 1814 in the South of France (near the Spanish
old age and death. The LCM deduces that, at each border), by Mr Cantaloup, who inspired the name
stages, the entrepreneur copes with specific man- of the firm, in 1884. The firm grew, after its buy –
agement problems, each ones requiring specific out in 1962, by Mr G. Poirrier. This entrepreneur
skills, as creativity (stage 1), risk taking (2), man- first used the brand Cantalou as a subcontractor
agerial skills (3), leadership (4), marketing (5), of big retailing. In 1982, he merged the firm
and so on. Some researchers designed until Cémoi, using that well known brand as an
many as 11 “hurdles” to be jumped during the umbrella. The two sons of Mr Poirrier are respec-
whole life of the firm! But the best known tively president of the group and general manager
model, published by Neil Churchill and Virginia of the subsidiary Sucralliance. In spite of risks,
Lewis (1983), comprises only five stages. they build factories in Africa (Ivory Coast 1996),
The LCM aims to describe what specialists on and in Spain (2008) in order to make stocking
management research and education call “success more secure. Nowadays, the Cémoi group
stories.” It intends to demonstrate that, during the employs 3000 people and corners 3% of the
early stages, the “boss” must behave as an entre- world production of cacao.
preneur (a risk-taker), but, during the following However, it is commonly said that “too simple
ones, as an organization man (a risk manager), in is wrong, but too complex is unusable.” If the
such a way that the founder is frequently replaced LCM is an appealing tool for early “management”
by a salaried person as top manager. He/she is teaching, it appears far from the actual problems
most often assumed to maximize growth, willing of new venturing, as taught in “entrepreneurship.”
to build an “empire” and what Schumpeter (1943) Indeed, new starting businesses are mostly micro-
called a “dynasty,” as described, among many firms, employing one or two people. Furthermore,
other “exemplary” cases, with those two follow- a host of inquiries (for instance, Sue Birley 1999)
ing groups. confirm that not only more than half of SME
In 1928, Joseph Rapp, both a craft carpenter entrepreneurs are unwilling to grow, but that
and a farmer, creates a small joiner workshop in a growth reluctance increases as the firms are
small village of Eastern France (Alsace), in order smaller. Besides the argument of a lack of
to craft and sell furniture. His two sons create, in resources and skills, SME entrepreneurs declare
1959, the first store, in the nearest city to prefer a “perennial” (and quiet) life, rather than
(Mulhouse), and, in 1964, the first super market suffer risks inherent in coping with growth uncer-
of furniture (Sumara, changed to Atlas in 1973). tainties. The above firm is a good example of
In 1978, they start the store chain Fly, and merged strategy of niche.
the chain Crozatier after its failure. In 2003, the The firm Minilamp, created in 1951, employing
two sons become co presidents. In 2010, this 28 people, is the world leader (one competitor in
family group is the fourth French furniture Europe, two in the United States) in the niche
retailer, with 261 stores. But they are now at the markets of both design and manufacturing incan-
cross roads, being faced with the third generation. descent lamps. They reinforced this, in 2001, by
Indeed, the two presidents have 20 thirty years’ acquiring a laboratory working on special lamps
old little children (and stock owners). Now, some used in research (10 employees). They achieved
small and overspecialised orders for 300 clients taken and forecasted. It refers to the so-called
in the world, mostly big companies working in the heuristic decision: assuming that the “solution”
transportation industries (railway, airway, and so is given, it “just” remains to detect how to resolve
on). some technical problems, by using the one best
way (for instance, in matter of finance, the “opti- B
The Business Model: A Pragmatic Approach mal” leverage ratio). Strategic choices are seen as
The “Business Model” is primarily a pragmatic deliberate, not emergent, as typified in the case of
tool, designed to help anyone willing to start big corporations. For instance, the applicant is
his/her own business to detect, expect, avoid, assumed to be able to forecast expected sales for
prevent, and deal with “common” problems in several years, workforce, current expenditures
the designing and achievement of their project. receipts, margins, future net cash positions, and
However, two different visions of the BM may so on. Thus, most of innovative creators are
be observed, focusing either on processes or on deterred from presenting their business models
procedures. to banks or financial institutions, due to the high
The “process approach” is primarily used by uncertainty prevailing for their expected busi-
counselors. They help applicant to identify the nesses. Fortunately, agencies in charge of those
nature and level of problems linked to his/her innovating ventures (for instance, hosting inside a
project. For instance, as seen later, he/she has to Nursery, an Innovation Center, or institutions allo-
precise motives (and motivation), expectations wing financial supports) use, inside their commit-
(economic, social), supports (family, friends, tees, a B.M. methodology close to the process
social networks), and so on. Most often, this first approach. Furthermore, more extensively, deci-
stage helps to reveal contradictory and unrealistic sion criteria take into account informal data,
designs, even some psychological refusals to take such as those collected during interviews with
obstacles into account. During the following applicants.
“constructivist” stage, the counselor helps the cre-
ator to build and develop his/her project, but in The “Seven W Model”: A Systemic Approach
such a way that it looks unfinished, as a sketch. Project evaluations encompass several “unavoid-
Indeed the “training process” ever requires more able” topics. Therefore, global appreciation, as a
precise, factual, and accurate information, more “systemic” approach, results from a “mix” of
realistic visions, and so on. That pragmatic formal and informal data. Each theme is below
approach is primarily aimed to help the creator identified by its initial W, knowing that it is
to “discover” key problems, rather than to apply embedded in a global evaluation of the whole
some “best,” unique, solutions. That methodology project, viewed as a system. That methodology
is based on uncertainty, inherent to strategic deci- implies several face-to-face encounters, dia-
sions, as underlined by Igor Ansoff (1988). For logues, trial and error processes, between the
instance, a lot of future events, often unpredictable applicant and every protagonist (counselor, col-
(as the arrival of competitors, disruptive innova- league, friend, stakeholders. . .). Of course, both
tions, etc.), may require a change in depth of the the following list and the content of themes are
whole structure of the business model. not limited.
The “procedural approach” is primarily used
by, and for institutions, banks and credit organi- 1. “Who?”
zations, public agencies, agreement committees, “Who” refers to identity of “nascent” entre-
and so on. Those institutions require formal infor- preneurs, including life story (origins, educa-
mation fitting into their own procedures. Thus, tion, career, family, etc.), traits of character
request for some credit must be made as if the (energy, adaptability, tenacity, open-
whole set of future decisions concerning resources mindedness, sociability, etc.). Academic
needs, market definition, technology-products research leaves questionable the link between
designs, and so on were definitively and precisely individual identity and entrepreneurial skills.
2. “Why?” project was promising enough to be further

“Why” first refers to the factual reasons supported by institutions and clients.
inducing an entrepreneur to create his/her 4. Where?
own business, such as being fired, willing to Location is the key factor of most of the
be his/her own boss, or seizing a technical or craft or retail shops, and, more generally, for
market opportunity. Moreover, it refers to more all businesses requiring some physical proxim-
deeply precise goals and intents. For instance, ity to clients, suppliers, and stakeholders.
is applicant primarily motivated by searching However, expected benefits due to the
for either a “survival income,” or a “satisfying so-called best site are frequently over-
return” on his/her investment, or, even more, estimated, due to the unexpected high cost of
“highest growth as possible”? Does he/she real estate, cut throat competition, imitation,
intend to stay on a long run in this expected retaliation, and so on. Furthermore, some busi-
job, or does he/she will sell his/her business to nesses primarily require immaterial relation-
a big company, or take another business, once ships, as website trade, so that the nascent
past the highest rate of growth of the targeted entrepreneur may choose more distant and
market? quiet spaces, as typified with the “lifestyle
3. “When?” entrepreneur.” Moreover, innovative entrepre-
It refers to the both forecasting and pro- neurs are hosted in activity parks, clusters,
gramming processes. Short seeing applicants nurseries, innovation centers, and so on.
prioritize building a business model in accor- The best location varies according to the
dance with data, ratios, values required by content of the “business”, and, consequently,
supporting institutions. They postpone the core competence. For instance, a generalist
underlying problems, hoping to solve them bookshop must be located in a busy street or a
later, once they have obtained agreements. commercial centre, while specialised, second-
Too often, those creators either create in a hand or rare bookshop preferably works in a
hurry, without training, or lack of learning in cheap and quiet place. The more the market is
matter of entrepreneurial skill. It primarily specialised, the more the shop must be, either
explains the high rate of failures during the near to clients (for instance, a scholar bookshop,
early years. near the university), or distant (for instance, use
Mr Coste, an engineer employed in a giant of website to trade in rare, ancient books with
computer company, is a good example of specialists and amateurs), or be located in a city
“opportunist entrepreneur”, as typified by in which all sorts of books and linked craft
Norman Smith (1983). Indeed, he noticed that activities are traded, as in a “cluster”, or a
French firms were absent on the worldwide “Marshallian” district (for example, the medie-
“niche” market of some overspecialized val town of Montoulieu, in South of France).
metrology equipment. He seized that opportu- 5. What?
nity to retire. He got agreements for financial The pronoun “What” deals with both nature
supports, added to his departure premium. and design of business. This one is defined in
Unfortunately, he says that he was “badly strategic management by the acronym “T-P-
counselled” during the 1st year. He had not M,” i.e., a “basket” of “technology,” “prod-
envisaged “classical” start-up problems, such uct,” and “market.” Every applicant has to
as the licensing problems, the cost and delay of deal with the prevailing question of “fit”
finding and acquiring business premises, the between those three grounding “pillars” of pro-
retaliating reaction of the two(American and ject feasibility. The main questions to, respec-
German) installed competitors, and so tively, ask, answer, and solve are:
on. Thus, he wasted the most part of his venture – What are the definitions and components of
capital during the 1st year. Fortunately, the the designed product? How is it different,
and, as much as possible, “better” than instance, family members, or venture capi-
those yet installed in the targeted market? talists. Consequently, in order to avoid con-
– What are the resources required to get the flicts, or “surprising decisions,” he/she must
core competencies to survive (core compe- carefully examine the content of firm stat-
tencies), and, better, prosper in the targeted utes, and forecast consequences of family B
market? troubles, as divorce, death. Decision power
– What are the tastes, behaviors, and expecta- concerning ownership (profit sharing) and
tions of the targeted users (consumers, management (financial policy) must be
firms, administrations, foreign markets)? defined, above all in case of comanagement
To what extent does the proposed “service” and ownership by associates or family
improves user’s satisfaction, and, more gen- members.
erally, that of stakeholders, including every- – Which people will trade with the firm
one concerned (for instance, more sensitive workers? It includes suppliers, retailers, cli-
to ecological problems)? ents, and colleagues. Some of them may
– What are the main expected trends of the create a “dependency effect,” for instance,
business market evolution? Does the prod- big retailers or unique suppliers.
uct stay with current mainstream, or is it – Which external people will be positively
disruptive, anticipative, and innovative? involved in the success of the project? The
For instance, the “hypo” – very small-group “first circle” is made of family, the second
(six societies, 35 employees) Sigma Méditerranée one of friends and community members, the
works on virtual intelligence. The firm is installed third one of institutions supporting such
in an activity park, near from the new computer projects, such as financial, promoting, and
cabled network. The president anticipated that counseling institutions.
Health Agencies will increasingly have to cope – Which external people or organizations are
with very old people living at home. The regional reluctant or hostile to the project? It primar-
rate of growth of old people is around 18% by ily concerns all firms threatened by new
year, and the “home solution” is highly promoted “intruders,” by business and even market
by Health Agencies. The firm markets “Logo Box innovations. “Intruder” may be even
TV, a “domotic” equipment (electronic for home rejected when the so-called invader is not
uses. Including TV and Internet, it gives a per- well embedded in the local environment.
manent link between old person at home, and The newcomer will have to learn more
Health and Assistance services. Indeed, it about local networks and habits.
appears to be promising market. 7. Whole
6. Which? Finally, “whole” deals with a global
Small business entrepreneurs are com- appraisal of all topics mentioned above.
monly viewed as being alone, with no support. Most often, projects are built by using an
In fact, all of them, as all people, are embedded analytic and procedural view. Thus, each
in numerous “social areas,” such as family, problem is dealt alone, as if it was insulated
neighbors, ethnical community, public or pro- from the other ones. Every choice actually
fessional institutions, and so on. It explains impacts on the whole system, thus requiring
why the creator has to list those various “stake- a global overview. Moreover, every scenario
holders,” i.e., every person or organization is unavoidably prisoner of future events, so
having some potential relationships and inter- that it implies adopting an “evolutionary”
est with the future entrepreneur and his/her attitude. Thus the creator has to pay attention
business. The prevailing questions are: to the successive steps – vision, intention,
– Which will govern? Indeed, the applicant start-up and development – as described
may be submitted to other owners, as for below.
The Genesis Process: From Vision to deaths) is thus explained by either a too high risk
Intention of unprofitability and failure, or a short life expec-
tancy of a fashionable business.
From Vision. . .
Vision is first of all a cognitive process. Some- – Both a short-sighted and broad-minded entre-
body, looking at the future, more or less clearly preneur is defined as an “adaptor” by Miles
and early, is induced to consider opportunities. and Snow.
A large number of researchers have studied to He/she focuses on one or several business
what extent more or less hidden motives, logics, features, such as technical process, consumer
norms, events, etc., primarily explain how vision or user needs, internal skills, and competen-
works. In fact, a lot of personal factors may be cies. He/she incrementally improves his/her
retained as hypothetical, so that the visionary pro- business, searching for mastering either a seg-
cess varies on a case by case basis. Thus, it jus- ment or even a niche of an existing market. It
tifies the need for counselors to have recourse to implies that his/she has both a good knowledge
individual “storytelling” with each applicant. of current business, and an accurate vision of
The well-known two-type dichotomy – “arti- its evolution, requiring incremental and adap-
san” versus “opportunist” entrepreneurs – by Nor- tive changes (often viewed as “innovations” by
man Smith is based on two opposite visionary those creators). A good deal of adaptive crea-
processes. The so-called artisan has a “limited” tors is previously well trained, as, for instance,
vision, as regards space (close environment), time an executive chief deciding to create his own
(near future), and business (weak or poor skills). restaurant. Other people seize opportunity to
He/she most often makes his/her decision in a transfer their knowledge (know-what or know-
hurry. Conversely, the so-called opportunist has how) to different markets. For instance, a well-
an “enlarged” vision, embracing not only stake- trained worker in electronics will apply his/her
holders, but every influential event other than skill to the home security market.
business ones. Thus, he/she waits until his/her – “Prospector,” according to the Miles and Snow
project is mature enough (as Mr Coste, described typology, may be defined as “narrow-minded,”
above). but “long-run seeing.”
A four type’s classification, inspired by the They concentrate on their special compe-
well-known typology by Miles and Snow tencies. Those are due to personal stories,
(1978), is gotten by crossing the two above including education, culture, learning, experi-
dimensions, named here “short or long-run ence, and so on. Moreover, he/she may be a
vision,” and “narrow or broad-minded,” It allows member of some specialized community, such
giving a more accurate description of the working as professional (craft guild), social (ethnic
of vision. group), local (regional specialty, cluster). The
“Short-sighted” and “narrow-minded” appli- prospector tries to discover opportunities. By
cant is typically a “follower,” according to the appraising the most probable evolutions, and
Miles and Snow typology. His/her vision is usu- even revolutions in customs, in products, in
ally focused on two quite different businesses: technology, in world economy and politic,
either traditional (for instance, small craft proxim- and so on, he/she searches for any develop-
ity units, service, or retail activities) or fashion- ments in existing or emerging markets, by
able (for instance, video games, snack foods). using his/her competences as a lever. The
Both entry and exit barriers are low, so that they case of Sigma Méditerranée, mentioned
cope with many competitors. The shortness of above, is a good example of prospector
vision may be justified, either by a lack of turbu- behavior.
lent events (traditional), or, at the opposite end, by – The fourth type is named “innovator.”
a larger number of unpredictable events (fashion). He/she is assumed to be both long-run
The exceedingly high rate of turnover (births and sighting and broad-minded, so that he/she is
opened to every “message” or “percept” put To Intention

forward in his/her enlarged environment. It Opinion polls show that, instead of an increas-
implies very peculiar abilities, so that the inno- ingly willingness to create their own business,
vator, for instance, will be the unique detector few of people carry out their “dream.” Pragmatic
of a business opportunity. Indeed, such inno- reasons explain that discrepancy, such as low B
vations may often reveal to be highly disrup- motivation, low entrepreneurial skill and culture,
tive. Innovators are described as attaching lack of venture capital, excessive risk, and so
most importance to future events. They try to on. Of course, there is a world of difference
encompass as many future contingencies as between, for example, a micro-firm created by a
possible, in every field. For instance, they prac- female worker, poor, unskilled and unemployed in
tice “serendipity,” i.e., the aptitude to find the suburbs of a African megalopolis, and a start-
opportunities by interpreting (correctly or not) up created by a small team of highly skilled
any “signals,” as described in semiology. The researchers, hosted in an innovation center, and
whole set of collected “signs” are drawn from benefiting from venture capital. However, one
an unlimited “bundle” (Tilton-Penrose 1959) similar explanation lies in the both psychological
of hypothetical resources. They actually and technical difficulties in achieving such a pro-
become “useful” resources as soon as the inno- ject and writing it in a business plan.
vator is able to “catch” them, and decides to Intent starts as soon as applicant explores ave-
create an innovative business. nues to create his own business. He/she visits
However, it must be kept in mind that the websites, looks for institutions in charge either
“pure” innovator, as defined here, is quite of administrative formalities or of counseling,
exceptional. Indeed, it first implies that the discusses with family members, friends, and col-
idea is quite original, “risen from nothing.” leagues. Countries aiming to promote entrepre-
But most researchers, following Kirzner neurship have drastically reduced registration
(1973), think that the innovator has just “dis- formalities (centralized in a unique office, and
covered,” “revealed” or “underlined” some available on the web). A host of information sys-
discrepancy between “supply” and “demand” tems about creation are nowadays easily avail-
in one market, and is able to find the “good able. Accompanying activity hugely expanded
way” to fill that gap. It further assumes that during the last two decades, as described in other
innovator must be willing to create his/her contributions to that encyclopedia.
business, to achieve a project and bear entre- The second stage of intention starts when an
preneurial risks. It requires that this person applicant contacts and meets expert people in
possesses, or is able to acquire several and order to gather information, and starts a review
different competencies. Thus, many of questionable topics, as described above with
researchers admit that entrepreneurs are the “seven W” model. As frequently observed,
“more or less” innovators, but that many inno- those early meetings are used for identifying
vators are “more or less” entrepreneurs by some key points, such as business (T-P-M) con-
creating and managing their own enterprise. tent, available and required resources (tangible
In fact, there is a large span of “innovative- and intangible), and, above all for new applicants,
ness,” so that even the less innovative creators information concerning nearby environment
contribute to modify the competitive scope in (market, competitors, public institutions, and so on).
their street or in the market place! Moreover, it Both content and development of the following
must be underlined that most of disruptive stages primarily depend upon many variables,
innovations are nowadays discovered in some of them implying a more advanced formal-
research laboratories of big companies, or ization, as applications for venture capital, for
bought from small innovative firms business center, for bank credit allowance, for
(as patents in genomics, or software, for counselor monitoring, for micro-credit valuation,
instance). and so on. Research shows that, the more the
applicant is accompanied during that period, the small firms), or venture capitalists (start-ups and
more he/she increases the probability of success, “gazelles”). Other ones are increasingly created
as revealed by cases and inquiries relative to the by one person or family governing a (very) small
failure causes of “young” enterprises (less than firms network (so-called “hypo group”, as seen
5 years). above, case “Sigma Méditerranée”). In those
An entrepreneurship program for a French three cases, the formal business file, meant for
public institution, entitled “Institute of Rural various institutions, will probably be built
Management and Economy” (in French: Institut accurately.
de Gestion et d’Economie Rurales), was formed The first meetings (“representation”) aim at
and practiced during the early Nineties. It was highlighting problems arising from the targeted
aimed to train local counsellors of around one project. The second set of meetings deals with
hundred Rural Management Centres, in order to the so-called “presentation”, namely, a formal
get accurate competences for creator’s accompa- file offering solutions, according to some basic
niment in rural areas. It comprised several stages, choices. Ultimately, the applicant must be able
from idea until actual start-up. During a first to build his/her twofold business plan. The first
informal meeting, untitled “representation”, the version, designed for institutional files, is mainly
applicant freely gives some “prima facie” based on definitive, deliberate, available and
description of his/her vision, primarily based on secure data, in order to convince the institution
subjective perceptions. The counsellor centres the that the applicant has a clear vision, a firm
“conversation” on the two crucial links between intent, and attainable objectives. The alternative
the “why?” and the “what?, the “competences” version is designed for the personal view of the
and the “market expectations”, as described applicant. It is mainly based on evolutionary,
above. At this time, counsellors conclude that emergent, random and unsecured data, in
new applicants are commonly used to focus order to hold strategic flexibility, and ability to
exceedingly on their hypothetical competitive face with unexpected events during the early
advantage. The most quoted are either technical years.
skills (“I work very well that product or service”),
or commercial competence (“I deeply know that
market”). Doing so, they (subconsciously or The Start-Up Process: From Birth to
deliberately?) avoid underlining or encountering Development
any other troublesome problems, or weaknesses,
may be expecting that they will be solved during The start-up period is defined by dated events, as
the start-up stage, as seen below. Conversely, first order by some client, first batch (for
mature applicants, those having previously manufactured product), official shop opening,
started one or more businesses, tend to be better and so on. However, the creator must have solved
trained, due to either trial and error learning before as many prior start-up problems as possi-
(including failures) or successful creation ble. Indeed, the early years are crucial and must be
(s) (including profitable resale). Inquiries confirm carefully prepared. Failures occurring during that
that, the more prior creations, the more clear period are primarily due to “classical” mistakes,
vision and intents. Financial institutions usually commonly summarized as “bad, or wrong, man-
upgrade a credit file when it reveals a high spirit agement” by both researchers and institutions.
of enterprising, and particularly a high resilience Observers and practitioners point to a dichotomy
capacity, i.e., an ability to start again, in spite of between two kinds of problems to be solved. The
previous troubles or failures. first ones deal with long-term (strategic) topics
Otherwise, it must be mentioned that a lot of being appraised and solved before effective start-
small business creations, seemingly made by a up. The second ones concern short-term
unique owner-manager, are in fact governed by (operational) problems, occurring more or less
either big concerns (outsourced or subcontracting sharply during early years.
Avoiding Strategic Troubles “widened” family, comprising “commu-

Strategic troubles may be analyzed primarily as nity” or “ethnic” members.
“misfits” concerning, respectively, coherence – The “managerial” logic.
between the logic of creation and the nature of The managerial entrepreneur is most
the business, the link between key competences often well educated and trained on manage- B
and targeted markets, and, ultimately, between rial principles and practices (for instance, as
ownership and management power. a prior executive). He is clearly searching
for both profit and growth, by targeting two
1. What logic of action ? business objectives: first, reduce costs and
The mainstream of literature on entrepre- increase productivity; second, enhance mar-
neurship defines the spirit of enterprising as a ket power, by internal growth and mergers,
mix of a search for both profit and growth. It by enlarging and diversifying the business
thus entails a typology made of four prevailing portfolio, and so on. Accordingly with the
logics of action. BCG matrix, the entrepreneur is searching
– The “survival” logic. for new promising, turbulent, and risky
The entrepreneur (for instance, a craft market, financed by earned profits in
worker, a small retailer), primarily expects mature, stable, and secure ones. Thus,
a “satisficing” income, similar to revenues he/she reveals a high propensity to
observed in his/her nearby environment. “nomadism.”
He/she desires a quiet life by targeting sta- – The “entrepreneurial” logic.
ble markets, with well-known habits of cli- Those entrepreneurs delight in venturing
ents, suppliers, and competitors. He/she businesses. Searching for opportunities to
expects no sharp changes. “Profit” is just achieve an innovative and risky business,
seen as a “normal” margin, as compared to they are unavoidably embedded in emer-
competitors, or a “cash surplus,” used for gent and unstable markets. Apart from the
his/her own (including family) case of R&D as a full-time activity, entre-
consumption. preneurial entrepreneurs are expecting, dur-
– The “family,” “community,” or “patrimo- ing the start-up, and most often the
nial” logic. “cruising stage,” to hardly need managerial
This entrepreneur aims to preserve and skills. It explains why a lot of them primar-
accumulate family capital, made of both ily hope that their firm will be acquired by
productive assets (net value of the busi- big companies, and that they will be
ness) and private capital (“stone and recruited unless they try again to find new
land,” financial portfolio). Profit is seen venturing opportunities. . .
as the best way to enhance patrimony, by 2. Who governs?
practicing self-financing. Internal or exter- Who actually has the decision power
nal growth appears as just a second best remains often an unsolved and sometimes
strategy, giving priority to patrimony max- avoided question. However, a distinction
imization. Family logic implies both must be made between two levels of decision,
“craft” expertise and market reputation and consequently, of governance.
on a long-range perspective. It most often – Governance linked to property rights.
requires a strong common culture between Apart from the case where the entrepre-
family members, including heirs. For neur is the unique owner, start-up capital is
instance, the heirs of the group Rapp (big usually brought and shared between several
retailers in the furniture market, men- people or institutions (including family
tioned above) are all fervent Catholics. members and friends, with “love capital”).
Besides the “nuclear” family, it must The entrepreneur must ensure that, what-
increasingly be taken into account a ever the future brings, he maintains his/her
decision power. Those events comprise, Solving Start-Up Troubles

besides economic or financial ones, social During the early years, the entrepreneur has to
situations, as for instance, personal (health) solve “classical” problems, as underlined by
and family (divorce) problems. Concerning both researchers and counselors. They may be
venture capital firms, they most often target classified according their link with strategic
the majority of rights to vote, while choices. Some of them require some
maintaining the creator as the boss. Another reexamination of prior choices, other ones just
“classical” problem frequently occurs when adaptive reactions. Those troubles are illustrated
the entrepreneur has just the commercial below by taking several cases of restaurateurs.
lease, entailing potential conflicts with the
reversionary owner. It is thus required to 1. Reconsidering strategic choices
carefully prepare legal clauses concerning The entrepreneur realizes a misfit between
who decides and pays for improvement or his/her expectations and the actual business.
repair investments. This creator was an appreciated salaried
– Governance linked to management power. chief in a high class restaurant located in the
Underlying problems are commonly due commercial street of a famous seaside resort.
to a lack of practical experience, either of He started his own restaurant in a cheaper
technical and organizational problems, or and more quiet place of that touristic town.
marketing and commercial ones. They He intended to benefit from his gastronomic
crop up when this weakness concerns the competences to attract clients willing to
“key function,” requiring core or even dis- taste his “innovative” recipes. But he quickly
tinctive competences. For instance, if the observed that clients were primarily
entrepreneur, previously a salaried execu- attracted by his previous recipes, simpler
tive, intends to create his/her business in a and cheaper; moreover, his wife calculated
craft activity, requiring special abilities, the that he would earn a higher margin than with
recruited foreman may acquire excessive the “innovative” ones. He rapidly changed
influence, until he opposes to decisions his mind, in order to cope with market expec-
taken by the boss, as described below. tations. But he was almost frustrated, and
Twenty years ago, an entrepreneur, Mr hoped to later convince his clients to
Berry, started his business IREB on an activ- taste his more original (and expensive. . .)
ity park, in the suburbs of a French southern recipes. . .
city. He manufactured, as a subcontractor, The entrepreneur seizes opportunities to
components for Hi Tech big companies, adapt the fit between his/her competences and
working mostly on French defence and market changes. But unforeseen disturbing
arms markets. Every order requiring origi- events may arise, requiring an in-depth strate-
nal specifications, he recruited highly skilled gic change.
workers, particularly the foreman. During Philippe sold his baker’s shop – at a good
the 2nd year, in order to get more cash, Mr price. He, and his wife, intended to start a less
Berry decided to install an entirely comput- tiring business in the snack food market. How-
erized machine, producing large batch ever, they had not foreseen the intrusion of so
pieces, such as screws, bolts, and so on, for many small shops in the snack market, in the
factories supplies. The foreman convinced best places, and the rise of the lease cost in
the team to refuse operating the machine, town centre. Finally, Philip found a place
thus putting down the reputations of both located in a passer-by road at the town exit.
workers and enterprise. After 6 months of Its attractiveness was enhanced by imminent
conflict, the entrepreneur resigned himself construction of a new tram line, planned to
to resell the machine. The firm has flourished pass nearby. But, once installed, he learned
until today. . . maybe thanks to this obstinate that people living along that street had pro-
foreman. tested, so that the city council had changed the
lay-out. Now, the tram line was constructed in viewed as “convivial” and interactive, and
its own street, with access only for inhabitants, other ones “centralized” and hierarchical.
pedestrians, or cyclists. They tried for 1 year to The organizational climate is made up of
start the business, in spite of those exceedingly several factors, extensively described in
disturbing public works, but they were obliged organizational literature, such as: ethics B
to stop. They just received a”symbolic” indem- and dominant values of entrepreneur
nity from the authorities. (including his own story); nature of tasks,
2. Reacting to start-up problems requiring or not interactions and coopera-
Scholars on start-up research agree on the tion; educative and psychological profile of
most frequent problems, including conflicts, members, and so on. It has been observed
arising during early years. For the sake of that, passed over a given number of
simplicity, in spite of their systemic impacts, employees (around seven people), mutual
they will be classified as “internal” and adjustment must be replaced by hierarchy,
“external.” the need of tasks differentiation becoming
• Internal problems solving more important than of human integration.
While organizing their tasks scheduling, For instance, the entrepreneur will have to
entrepreneurs must take in a hurry a lot of recruit a foreman for the workshop, or an
short sighting and time-consuming micro- assistant for the office. Inquiries show that
decisions. Thus, they complain of not having the entrepreneurs are inclined to recruit peo-
time enough to think about their deliberate ple in accordance with their own values,
strategy. An alternative strategy emerges, increasing the risk of encountering interper-
based on a host of incremental decisions. sonal and “clan” conflicts, routine, and so
This troublesome problem may become on. Thus, they must prove their ability to
more acute in case of dissent between asso- balance proximity (empathy) against dis-
ciates or stakeholders. tance (authority).
Organizational problems may also occur The introduction of machine or first
with the workforce. The entrepreneur must product lines also frequently reveal prob-
define precisely each profile of accurate lems, above all when the manufacturing
competences required for the various jobs. process is innovative. Moreover, the prod-
Some of them are seen to be crucial, either uct must be modified and adapted,
as a part of core competence, or even of according to both client reactions and
“singular,” distinctive ability. workers’ learning curves.
For instance, somebody who intends to • Reacting to external problems
start a pizzeria must primarily recruit a well The entrepreneur knows only the true
trained pizzaiolo, and offer him a high market of his product (good, service) when
wage, a “good” pizzaiolo being very early buyers use it and react. A whole set of
asked for. It explains why so many pizzerias critics and customers’ satisfactions contrib-
are family or community businesses, mem- ute to product improvement and market
bers being both trained to work the job, and targeting.
supported to create their own business, For instance, sweeties based on local
inside a “community” or family network. tradition were welcomed by early con-
In fact, most part of creations just com- sumers. However, they worried about the
prises a very few workers. Thus, according targeted people (local consumers, tourists,
to Mintzberg’s classification (1973), a small upper or middle class, and so on). The
organization (named “entrepreneurial”), is entrepreneur and her team rapidly solved
primarily organized by mutual adjustment. the problem by adapting packaging and
It requires that employees are well inte- prices, in order to better fit with each deliv-
grated, and adhere to the enterprise “cul- ery process (big retailing, sweetshop, tour-
ture,” knowing that some organizations are ism office, export, and so on).
Moreover, the entrepreneur may pressures, and banking credit cuts. Illi-
encounter hostile reactions, not only quidity is usually seen as the worst sig-
from installed competitors, but also from nal, because it implies other
nearby environment – for instance, if the management problems.
workshop is noisy or pollutes. In many – Human resources crisis, as the departure
cases, he must search for better local of a key worker, strike, conflict between
embeddedness, including social and com- associates, and so on.
munity relationships, in order to live in a – Environmental turbulences, due, for
fitting environment. instance, from external events (from
For instance an executive, working in health alerts, diseases attributed to the
Paris, decided to adopt the so-called “life product, ecological protests, and so on,
style entrepreneurship”. He resigned from to public changes concerning norms).
his job in Paris, and installed his upper res- – Changes in market structure, due to fash-
taurant in a village embedded in an under ions, tastes, sharp intrusions of big com-
populated area. However, in a first time, he petitors (including franchisees), and
neglected to contact inhabitants, entailing so on.
hostile reactions against “the stranger”. He – Technological changes requiring a quite
reacted by both meeting them and participat- different expertise (for instance, new
ing in the life of the village, to such a point materials in building industry, computer-
that he was later elected as the mayor. His ized machine tools).
restaurant, mentioned in gastronomic guides, It has been assumed that the start-up
flourishes. He added a hotel later. period was analogous to the life cycle
Other crucial troublesome problems fre- model. The nascent enterprise would
quently occur with stakeholders, namely, have to necessarily pass over a set of
client and suppliers. Entrepreneurs have successive crisis. However, empirical
usually to deal with hard bargaining relative observations underline the extreme spec-
to payments and credit conditions. It partic- ificity of each individual story.
ularly concerns transactions with either big
companies or their subsidiaries, including
lead times conditions. The entrepreneur The Development Process: From Growth
may encounter similar problems with to Networking
banks. It means that he/she must anticipate,
as much as possible, that situation by trying The slogan” the enterprise must grow or die” is
to get agreements before starting. On the one major pillar of managerial “doxa.” Thus, once
other hand, it has been observed that some the entrepreneur has stabilized his business, pub-
partners have some interest in helping the lic institutions encourage growth. Doing so, the
new enterprise, by offering better condi- small firm is assumed to increase not only its
tions. Partnership may even include finan- legitimacy, by creating direct employment, or
cial and other supports by public exporting, but also its competitiveness, by enlarg-
institutions. Of course, this problem is less ing its market and increasing its profits. Actually,
troublesome when the young firm is coming a lot of success stories, enlightened by Medias, are
from an incubator. based on growth strategies, as showed below with
To sum up, some researchers suggest the case of Pro Natura.
some “life cycle model,” underlining suc- Henri de Pazzis, founder of ProNatura, is the
cessive crisis that the nascent firm has to prime European example for the retailing of
pass over. The most often mentioned and biological fruits and vegetables. Thirty years
described are the following ones: ago, aged twenty, he starts his bio micro firm
– Cash flow crisis, due to clients falling with tomatoes. He creates his own brand in
behind the times or failing, suppliers 1987, working with specialized retailers. In
2003, he buys out Vita Bio, specialized in bio underline a weak of spirit of entrepreneur-
packaging, in order to work with big retailing. In ship in various countries or, better, commu-
2005, he enters into partnership with Activa nities. On the contrary, some communities
Capital, and buys out small firms working on promote entrepreneurial and risk taking
the bio market, located in France, Morocco and values. B
Africa, in order to enlarge his range of bio – Both competitiveness and legitimacy are
products. based on proximity links with stakeholders.
Moreover, some entrepreneurs, called Growth, entailing more distance would
“snatchers” by Hicks (mentioned in Penrose, require in-depth strategic changes. For
1959, note p. 40), primarily search for short-term instance, what is strength with a small size,
growth and quick profits in rising markets. Once as personal links with stakeholders, would
those ones reach maturity, they close their busi- become a weakness, with more “distant” rela-
ness, or sell it, and start again elsewhere. tionships with bureaucratic organizations.
However, studies show, as already mentioned, – Growth is viewed as a risky and uncertain
that small entrepreneurs are primarily reluctant to undertaking. Growth is first linked to
growth. In fact, a lot of them develop their busi- uncertainty, implying no expectable
ness by other ways than “homogeneous,” internal events. For instance, export strategy has
or external growth. Actually, small firms achieve to cope with various turbulences, such as
their development among a large span of strategic catastrophes, riots, revolutions, and so
choices, networking and alliances playing an on, called by Ansoff “strategic surprises.”
increasing role. Less dramatically, export needs a good
knowledge of habits, customs, laws,
“To Grow or Not to Grow, That Is the economy, and language of targeted coun-
Question” tries. Similarly, diversification by new
More precisely, the chosen development path products requires a deep knowledge of
depends upon the very nature of each small firm, both technological processes and market
empirically classified below, according to typical complexity. Most often, unpredictable
cases. events may always occur, such as sharp
innovations, or disturbing “accidents.”
1. Most of small firms are quite unable to grow. Moreover, the expected synergy of new
Those small entrepreneurs cannot acquire business portfolio may actually reveal to
needed resources, such as financial capital be dissynergies.
(equity, debt capacity), skills (knowledge,
learning), workers, social networks, and mar- For instance, a small entrepreneur specialized
kets. This primarily concerns micro-firms and in an upper regional food category (foie gras)
social entrepreneurship in the black economy. decided to diversify towards big retailing, with a
However, micro-credit banks may support lower margin. His brand image was thus dam-
promising businesses and entrepreneurs by aged, so that sales in luxury shops, and so profit-
allowing cheaper loans. ability, sharply decreased.
2. Many small entrepreneurs are unwilling More generally, the entrepreneur has to make a
to grow. trade-off between expected growth earnings and
Entrepreneurs usually give a lot of alterna- evaluated growth costs. Indeed, growth requires
tive arguments to refuse growth, as listed new resources, in order to build new capacities.
below. Those that are most often indivisible and irrevers-
– They make, more or less explicitly, a trade- ible (for instance, a new machine, or a skilled
off between work and leisure. Economists employee). So, they require more other invest-
describe that strategy in terms of a rational ments to work at full-time.
calculus of compared utility versus disutil- For instance, recruiting a skilled salesman
ity for a bigger size. Ethno sociologists implies that the productive capacity gives enough
products and sales to “make profitable” that maintenance, security) or high-tech units (as,
human investment. for instance, pharmaceutical research laborato-
As a result, the growth of the firm may spiral ries). If the former are outsourced as no con-
up, and thus be endangered, until a financial crisis tributing to profitability, the latter are
(cash shortage) and bankruptcy occurs. It explains outsourced as overspecialized and even singu-
why so many (too) high growth firms are failing or lar. Doing so, big companies build hierarchic
merged with competitors, bigger companies, or networks. They hold governance on a whole
venture capitalists. set of SME, either dependent on orders or
partially owned by strategic business units or
Alternative Ways for Development subsidiaries.
Two alternative strategies of small firm develop- Conversely, entrepreneurial literature points
ment may be underlined as representative of a new out interactive networking made of comple-
capitalism, sometimes called “entrepreneurial mentary micro and small firms working
capitalism.” together. Each one contributes by bringing its
distinctive competence, for instance, to
1. “Singularity” strategies achieve complex projects, requiring high
That strategy is based on the following pre- skills, from high-tech to art crafts (as in the
cept: “the more my business is singular, the performance markets). Thus, those enterprises
better it performs.” It means that the entrepre- flourish in spite of their reluctance to individual
neur tries to center on a quite different, origi- growth. This behavior is inspired by the
nal, specific business. It is based, jointly or so-called hypermodern attitude, based on the
alternatively, on three “views”: search for individual achievement, while being
– The RBV (“resource-based view”) suggests embedded in “nomad” networks.
that holding so-called idiosyncratic The entrepreneur, as an owner-manager,
(external) resources” contribute to singular- either alone or supported by his/her family, com-
ity. Those are defined as rare, requiring munity, or associates, creates new small firms by
“specific assets” (primarily knowledge), “layering,” as the “one best way” to develop and
valuable, nontransferable, inimitable. grow. Indeed, risks are minimized (in case of one
– The CBV (“competence-based view”) confirm failure, the whole group is safe) and the
centrates on (internal) skills, learning, owner(s) hold(s) governance. As already
knowledge, craft ability, and so on. Either described, those groups made of a network of
deliberately developed or incrementally smaller business firms are called “hypogroups.”
emerging inside the organization, those
“singular competences” must be developed,
protected, and deepened, as a basis of a Conclusion and Further Reading
permanent competitive advantage.
– The MBV (“market-based view”) defines As observed above, create his/her own business
“singularity” from the point of view of the has a long time been underlined as a too risky
latent or emerging demand for such busi- business. It explains why, in so many countries
ness. It concerns as well luxury consumer and communities, so many people are reluctant to
goods or services, such as hi-tech start and install their enterprise. Actually, inside
manufactured products. modern countries and societies, to be his/her own
2. Networking strategies “boss” is increasingly becoming a common way
Post-managerial doxa promotes outsourcing, to work, enhanced by network relationships.
as a strategic way of lean management. Doing However, ever more-deepening researches and
so, big companies have opened a host of oppor- accurate methodologies are required to improve
tunities for small firm creations. Outsourcing supports and practices concerning the whole cre-
refers to either low tech (as, for instance, ation process.
Business Support 257
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C
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Trajectory
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Causality
Career Trajectories in Creative
Achievement ▶ Parsimonious Creativity
▶ Age and Creative Productivity

Change Management

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Carve-Out
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▶ Spin-Off
▶ Model for Managing Intangibility of Organiza-
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Case-Based Reasoning Children’s Creativity and

Adults’ Creativity
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Research in Creativity ▶ Creativity and Age

https://doi.org/10.1007/978-3-319-15347-6
260 China’s National Innovation System
its future development. Following is a review of

China’s National Innovation China’s national innovation system from partici-
System pants and sub-systems in a Quintuple Helix model
theory, an analysis of problems and challenges
Hefa Song faced by China’s national innovation system,
Institute of Policy and Management, Chinese and some recommendations for reaching the
Academy of Sciences, Beijing, China 2020 goal.
Synonyms Definition of the National Innovation

System
National system of innovation
Friedrich List (1841) first introduced the concept
of a national system and analyzed how it
Introduction influenced one country’s economic development
and technological policies. Joseph Schumpeter
Innovation capacity is one of the fundamental (1911) first put forward the concept of innovation
sources of nation’s wealth (Antonelli et al. and defined it to be a procedure introducing a new
2006). China has made great progress in all fields production function. Christopher Freeman devel-
since the reform and opening-up, especially the oped the concept of a national innovation system
accession to the World Trade Organization to explain Japan’s economic success (Lundvall
(WTO). The economy has developed rapidly and 2010; Liu 2009). Many researchers have devel-
GDP per capita increased to more than 5,000 US oped the concept of a national innovation system.
dollars. The scientific and technological innova- Lundvall (1992), a well-known researcher of the
tion capacity is ranked 30th in the world. Science, national innovation system, defined it as the ele-
technology (briefly, S&T), and innovation now ments and relationships that interact in the pro-
play an increasingly important role in economic duction, diffusion, and use of new and
and social development. Their supporting and economically useful knowledge and that are either
leading roles in sustainable economic and social located within or rooted inside the borders of a
development are becoming increasingly essential. nation state. Nelson (1993) saw it as a set of
China has set forward the ambitious objective to institutions whose interactions determine the
be an innovative country in 2020. China’s national innovative performance of national firms. Patel
innovation system still has many deficiencies and and Pavitt (1994) defined it as the national insti-
problems to overcome, however, before reaching tutions, their incentive structures, and their com-
that goal. petencies, which determine the rate and direction
China is the largest developing country in of technological learning in a country. Freeman
terms of economy and also the largest country (1995) regarded a national innovation system
with regard to S&T and innovation. China’s future as the network of institutions in the public and
development will have an important influence on private sectors whose activities and interactions
the world. It is necessary to study the characteris- initiate, import, modify, and diffuse new technol-
tics of China’s national innovation system, espe- ogies. Metcalfe (1995) defined it as a system of
cially the successes, deficiencies, and problems, interconnected institutions to create, store, and
and appropriate recommendations are required for transfer the knowledge, skills, and artifacts that
define new technologies.
The national innovation system is considered a
Doctor Hefa, SONG is an associate professor of Institute of
comprehensive analysis framework. Edquist
policy and management, Chinese Academy of Sciences.
His research field is innovation policy and intellectual (2005) criticized the notion as diffuse and lacking
property right. theoretical foundation, but Lundvall et al. (2009)
China’s National Innovation System 261
stressed its theoretical elements to evolutionary and the major challenges they face in the future.
economics. From the above concepts, many Rowen (2008) found that China’s national inno-
researchers have studied the national innovation vation system originated from an underdeveloped
system in terms of learning by interacting top-down, centralized, and state-run system.
(Lundvall 1992), technology learning (Patel and Xielin Liu (2001) highlighted the role of govern-
Pavitt 1998), innovation policies (Caracostas ment in China’s national innovation system tran-
2008), and policy instruments (Metcalfe 2008). sition, noting that China’s innovation capability C
Although it is sometimes vague in theory, many has not increased quickly. Boeing and Sandner
recognize that the national innovation system has (2011) pointed out that China’s national innova-
become an important and useful tool for analysis tion system placed the creation of innovation at a
of a country’s innovation and development. lower value, with public research institutes
Based on models of knowledge production and playing a minor role and universities playing a
application and knowledge-based problem- central role; the universities’ strong collaborations
solving, Carayannis and Campbell (2006) put for- with the business sector resulted in high volumes
ward the concept and framework of knowledge of patent applications. Kroll et al. (2010) noted
production system “Mode 3,” which is an innova- that the outstanding features of China’s innova-
tion ecosystem. Mode 3 includes people, culture, tion system were the continuous importance of
and technology and consists of innovation public research, the weak position of domestic
networks and knowledge clusters focusing on enterprises in the innovation system, and little
and leveraging higher-order learning processes investment in research for new products and pro-
and dynamics that allow for both top-down and cesses. Chen and Guan (2011) pointed out that the
bottom-up systems of governments, universities, most important problem with China’s national
industry, civil society, and grassroots organiza- innovation system was the weak linkage among
tions to interact toward a more intelligent, effec- the actors. OECD (2008) suggested that China
tive, and efficient synthesis. Etzkowitz and should adopt more bottom-up decision making
Leydesdorff (2000) put forward the Triple Helix and help the private sector to play a more
model of the national innovation system, which important role.
includes academia/universities, industry, and
state/government. Based on it, Carayannis
and Campbell (2009) developed a Quadruple History and Development of China’s
Helix model, the fourth helix of which is media- National Innovation System
based and culture-based public and the civil soci-
ety. Furthermore, Carayannis and Campbell After the foundation of the new China, following
(2010) also developed the Quintuple Helix the development mode of the former Soviet
model, bringing in the fifth helix of the natural Union, China began to establish many kinds of
environments of society, and pointed out that the scientific research institutions, including the Chi-
Quintuple Helix model is adequate for creating nese academy of sciences, industrial institutes,
and supporting mid- and long-term sustainable and local institutes, and it issued the 12-year
development of society. national development plan for S&T. The period
Some researchers have studied China’s from 1950 to 1977 was the formation phase of the
national innovation system (Liu and White 2001; national innovation system. In 1978, China
OECD 2008). Xielin Liu and White (2001) stud- adopted policies of reform and opening-up and
ied the structure and dynamic of China’s national began to explode the development model of the
innovation system from R&D, implementation, national innovation system. China set forward a
end-use, education and linkage. Shulin Gu and series of national plans of S&T, such as the High-
Lundvall (2006) studied the current characteris- tech Research and Development Program (863),
tics of China’s production and innovation system, the Torch Program, the Spark Program, the Major
especially how they have been shaped by history Achievement Promote Program, the National
Natural Science Foundation, and the Climbing and industries, universities, and institutes could
Program. China also reformed the funding sys- be linked tightly, to construct a knowledge inno-
tem, developed technology markets, promoted vation system wherein scientific research and
the commercialization of S&T achievements, higher education could be combined together, to
and issued many innovation policies. In 1995, construct a national defense science and technol-
China began to deepen enterprise-centric reform. ogy innovation system where the military and
The national technology system of innovation civilian sectors could combine their work, to con-
developed quickly. China reformed the enterprise struct a regional innovation systems with respec-
system and the property rights system and empha- tive characteristics and advantages, and to
sized the innovation functions of enterprises. In construct an innovation intermediary service sys-
1996, China issued the Strategy of Invigorating tem with features of socialization and networking.
the Country through S&T and Education. The After more than 10 years of development and
Department of S&T began to formulate S&T pro- especially the entrance of the WTO, China’s
grams jointly with the Department of Economy. national innovation system developed quickly
The National Engineering Centers, including the and became primarily a system with characteris-
National Engineering Research Centers and tics and five sub-systems, which are the knowl-
National Engineering Technology Research Cen- edge innovation system, technology innovation
ters, and the Productivity Promotion Centers were system, regional innovation system, national
established. The Technological Innovation Pro- defense innovation system, and innovation inter-
ject was begun to enhance the innovation capacity mediate service systems.
of enterprises. During that time, many policies
were issued to accelerate the commercialization
of S&T achievements. Governmental Institutions and
The year 1998 was the formal starting point for Functions for Innovation
China to construct the national innovation system.
In December 1997, the Chinese Academy of Sci- Carayannis and Campbell’s Quintuple Helix
ences put forward a report which name was “wel- model is a useful tool for analysis of China’s
coming the era of knowledge economy and national innovation system. The Quadruple
constructing the national innovation system” to Helix model added the fourth helix to the Triple
the central government of China. On June 9, Helix model, which is the media-based and
1998, the central government approved the report culture-based public as well as civil society; the
and required the Chinese Academy of Sciences to Quintuple Helix model added the fifth helix,
implement the knowledge innovation project as a which is the context of environment for society.
pilot unit for construction of the national innova- In the Quadruple Helix model, the fourth helix
tion system. In 2006, China issued the National is very important, but this helix is not in the same
Medium and Long Term Plan for Science and dimension with the other three helices, and this
Technology Development (2006–2020) and put helix ignored another important element, the inno-
forward the guiding principles for S&T undertak- vation policy. The innovation policy has been
ings over the next 15 years, which were “indige- become an essential tool for promoting develop-
nous innovation (should be self-dominant ment of the national innovation system. In recent
innovation), leapfrogging in priority fields, years, many countries, such as the United States,
enabling development, and leading the future,” members of the EU, Japan, South Korea, China,
and the general objectives in 2020, which were and England, have issued innovation strategies or
to “noticeably enhance self-dominant innovation innovation policies in response to the financial
capability” and “join the ranks of innovative crisis and to revive their economy. This entry
countries.” In this period, China’s main tasks are will study China’s national innovation system,
to construct a technological innovation system mainly following Carayannis and Campbell’s
such that enterprises could be the main player Quadruple Helix model and the Quintuple Helix
model and also considering the element of inno- of Industry and Commerce, the Plant Variety
vation policy. Office of Ministry of Agriculture and that of the
State Forestry Office provide examination ser-
The Governmental Organizations of China’s vices for intellectual property rights such as pat-
National Innovation System ents, utility models, industrial design,
At present, China has adopted a unified and sep- topographies of integrated circuits, trademarks,
arated administration regime of S&T and innova- and plant varieties to protect and encourage C
tion. Under the leadership of the Leader Group of innovation.
S&T and Education of the State Council, the
National Development and Reform Commission Development of China’s National Innovation
is responsible for the macro plan and management System
for all S&T and innovation undertakings, espe- The knowledge innovation system of China has
cially planning and budgeting for S&T programs made great progress in the twenty-first century.
and projects and implementation of high-tech The Chinese Academy of Sciences now is the
industrialization projects, S&T infrastructure pro- highest national academic institution for natural
jects, basic operation expenses of research insti- science, the highest advisory body for science and
tutes, the knowledge innovation project, and so technology, and the R&D center for natural sci-
on. The Ministry of Finance handles budgeting for ences and high-tech. The Chinese Academy of
all S&T plans, programs, and projects and the Engineering is the highest honor and advisory
accounting of the implementation. The Ministry academic institution in the engineering and tech-
of S&T focused on execution of S&T programs nology field. In 2010, the Chinese Academy of
such as the Basic Research Program (973), the Sciences satisfactorily completed two pilot tasks.
High-tech Research and Development Program A number of major innovative achievements have
(863), and the S&T Support Program and Pro- been achieved in strategic high-tech, major
grams supporting small and medium enterprises, public-welfare innovation, and important basic
agriculture, and industrialization according the and cutting-edge research fields such as Godson
budgets. The National Natural Science Founda- processors, the Shuguang high-performance com-
tion committee supports science foundation pro- puter, manned spaceflight, coal-to-oil technology,
jects via a new mechanism, in particular, expert and so on, effectively lifting the support capability
peer review. The Ministry of Education is primar- of China’s S&T and innovation to economic and
ily in charge of cultivation of human resources social development, and its international compet-
and also supports cooperation between universi- itiveness and influence. In 2011, the Chinese
ties and business. The Ministry of Industry and Academy of Sciences began implementing the
Information and the Ministry of Agriculture are phase 3 knowledge innovation engineering. The
mainly in charge of innovation and development goal is to lead and drive China’s national system
of industry and agriculture. The Ministry of Com- of innovation into a new stage, encouraging
merce is committed to establishing a sound, uni- self-dominant innovation, original scientific inno-
fied, open, competitive, and orderly market vation, and systematic integration of key technol-
system to promote fair foreign and domestic ogies; upgrading the ability to solve key S&T
trade favoring innovation. It also strives to problems for current and future economic and
improve the structure and competitiveness of social development; heightening the ability to
China’s export products through a program provide the knowledge and technical base for
of S&T that promotes trade with the Ministry of implementing the “scientific development con-
S&T. The State Administration of Industry and cept”; and raising the ability to safeguard national
Commerce regulates the market and enforces anti- security and respond to the new world revolution
monopoly policies to create an innovative envi- in military affairs. Universities are gradually
ronment. The State Intellectual Property Office, becoming an important player in the implementa-
the Trademark Office of the State Administration tion of the knowledge innovation engineering
project. In 1995, China began to construct 100 key the net profit dividend right of the company
universities for the twenty-first century through implementing the service invention. On January
the “211 Project.” Currently, the number of the 6, 2010, the National Development and Reform
key universities has reached 112, and the amount Commission approved 16 cities, Dalian, Qingdao,
of investment is near 2.8 billion US dollars. In Xiamen, Shenyang, Xi’an, Guangzhou, Chengdu,
1998, China began implementing another project Nanjing, Hangzhou, Jinan, Hefei, Zhengzhou,
to promote Peking University, Tsinghua Univer- Changsha, Suzhou, Wuxi, and Yantai, as National
sity, and others to be world-class and high-level Innovative Cities. And on January 10, 2010, the
universities, and the number of the universities in Ministry of Science and Technology named Bei-
the “985 Project” has reached 39. jing (Haidian District), Tianjin (Binhai New
Enterprises have become the main player in the Area), Tangshan, Baotou, Harbin, Shanghai
technology innovation system. In 2007, R&D (Yangpu District), Nanjing, Ningbo, Jiaxing,
personnel in enterprise accounted for 68.36% of Hefei, Xiamen, Jinan, Luoyang, Wuhan, Chang-
the entire country’s R&D personnel. The R&D sha, Guangzhou, Chongqing (Shapingba Dis-
fund expenditure from enterprise accounted for trict), Chengdu, Xi’an, and Lanzhou as National
72.28% of the whole country’s R&D fund expen- Innovative Cities (districts). Both ministries sup-
diture. The proportion of the number of enter- port the regional innovation system by investment
prises that had science and technology agencies in innovation facilities, R&D projects, industrial
to the total number increased to 58.87%. The total innovation, and so on.
number of state-certified enterprise technology The civil-military integrated national defense
centers increased to 575, and that of the innovation system has made progress. Over
provincial-certified enterprise technology centers nearly 30 years of construction after the founda-
increased to 4,886. The number of service invention, China has established a relatively complete
tion patent applications from domestic enterprise national defense industry system. In 1978, with
accounted for 69.28% of the total service inven- the reform and opening-up, and later with the
tion patent applications. The contract amount national S&T system reform, China actively intro-
from enterprises as the seller accounted for 86% duced market mechanisms and promoted the mil-
of the national contract amount of the technology itary and civilian cooperation. A large number of
market traded. national defense enterprises began to produce
The regional innovation systems’ characteris- civil products or were changed to entirely civil
tics and advantages have formed gradually. On the enterprises. In 1992, China implemented the strat-
basis of regional development plans of the Yang- egy of “combining military and civilian, and inte-
tze River Delta and Pearl River Delta, China has grating the armed forces in civilian” efforts and
issued nearly 20 regional development plans to promoted the construction of the national defense
dates, and each plan has emphasized the innova- innovation system by comprehensive civil-
tion capacity construction and development of the military integration; the scientific and technolog-
regional innovation system. China has established ical strength of the national defense system has
54 national high-tech industrial development thus been lifted significantly. In 1998, the former
zones and many local high-tech industrial zones. National Defense Science, Technology and Indus-
Beginning in 2010, the Zhongguancun (Beijing), try Committee was incorporated into The Minis-
Zhangjiang (Shanghai), and East Lake (Wuhan) try of Industry and Information and became the
high-tech zones began to transformed into National Defense industrial Development Bureau
national self-dominant innovation demonstration of Science and Technology, which strongly sup-
zones. These three zones and the Hefei, Wuhu, ports the construction and development of China’s
and Bengbu self-dominant innovation compre- national innovation system.
hensive reform pilot areas were permitted to The innovation intermediary service system
adopt new policies, such as permitting the service also developed rapidly. Currently, there are four
inventor to own a percentage of stock outright and main kinds of organizations in China’s innovation
intermediary service system. The first includes enterprises and the whole society. The policies of
productivity promoting centers, engineering and investment in science and technology mainly
technology research centers, entrepreneurial ser- include six aspects. The first is to substantially
vice centers, including incubators and accelera- increase investment volume in S&T, both of pub-
tors, and R&D and design centers. They mainly lic and private. The second is to ensure steady
provide services for production. The second growth of the public financial investment in
includes information research centers, technology S&T. The annual growth rate of S&T investment C
consulting companies, technology transfer cen- volume shall not be less than that of the govern-
ters, technological training centers, and small ment financial expenditure. The third is to ear-
and medium enterprises (SME) services centers. nestly safeguard the smooth implementation of
They provide services for the whole society. The 16 Mega S&T Projects. The forth is to optimize
third is service entities, including high-tech zones, the structure of the financial S&T investment. The
science and technology parks, pioneer parks, and fifth is to play a leading role in providing financial
economic and technological development zones. funds to encourage enterprise’s self-dominant
The forth provides market services, including innovation. The sixth is to optimize the S&T
technology markets, talent markets, and so investment management mechanism.
on. China has made great efforts to improve the New tax laws and policies cancel the threshold
innovation service environment in the last of annual 10% growth rate of research and devel-
30 years. All 54 national-level high-tech industrial opment expenses and allow enterprises to deduct
zones have their own incubators or accelerators. their actual research and development expenses
China has established six national technology and amortize the intangible assets in corporate
transfer centers, including those in the Chinese taxable income at 150%. The actual research and
Academy of Sciences, Tsinghua University, and development expenses can be carried forward and
Peking University. The university parks, such as deducted in the following 5 years if they are
those at Tsinghua University and Peking Univer- shortfall deductable. The employee education
sity, are called National University Science Parks and training funds extracted in less than 2.5% of
and the number of them reaches to more than 80. the total taxable wages can be deducted before the
In 2010, along with the development of property corporate income taxation. Enterprises are allo-
exchanges of Guangzhou, Shanghai, and Beijing, wed to accelerate the depreciation of the instru-
China established the China Technology ments and equipment used in R&D activities.
Exchange in Beijing and the Tianjin Intellectual High-tech enterprises’ corporate income taxation
Property Right Trading Center. The number of rate was reduced to 15% from 25% since they had
state patent exhibition and trade centers reached a profitable year within 2 years after certification
42, the number of patent agencies was more than by the government.
1,000, and the number of the practicing patent Investment and financing policies regulate and
attorneys was 7,200. The number of entrepreneur- strengthen the financial support for self-dominant
ial investment enterprises in 2007 reached innovation, to lead commercial financial support
464, the investment volume in 2008 was 22.7 for self-dominant innovation, to improve the
billion US dollars, and the cumulative number of financial services for SMEs’ innovation, to accel-
investment projects was 6,796; the cumulative erate the development of venture capital, to estab-
investment volume was 12 billion US dollars. lish a multi-level capital market supporting for
self-dominant innovation, and to improve the
China’s Innovation Policies insurance services and foreign exchange manage-
In 2006, in order to put the National Medium and ment policies for high-tech enterprises.
Long Term Plan guideline for Science and Tech- Government procurement policies require to
nology Development into practice, China issued establish a self-dominant innovation product certi-
60 supplemental policies from 10 parts. The sup- fication system and a certified standard and evalu-
plemental policies were warmly welcomed by ation system, to improve government procurement
China’s National Innovation System, Table 1 Relationship between the 78 implementing rules and the 60 supple-
mental policies
Implementing Supplementary Implementing
Supplementary policies rules 2006 2007 policies rules 2006 2007
S&T Investment 6 6 0 Innovative Talent 13 6 7
Team
Tax Deduction 8 2 6 Education and 7 5 2
Science
Popularization
Investment and Finance 9 7 2 S&T Innovation 11 5 6
Support Base and
Infrastructure
Government 6 1 5 Co-Ordination 2 0 2
Procurement
Import, Digestion, and 3 2 1 Others 9 2 4
Absorption
Re-Innovation
Intellectual Property 4 3 1 Total 78 38 37
Right Creation and
Protection
Source: The center for innovation and development, Chinese Academy of Sciences
assessment method, to give preferential treatment relationship between the 78 rules and the 60 sup-
to the products of self-dominant innovation, to plemental policies are described in Table 1.
establish the first government purchase and order-
ing system to encourage innovation, to establish a
certification system for domestic goods and an Deficiencies and Problems of China’s
audit system to purchase foreign products, and to National Innovation System
play the role in national defense procurement to
support self-dominant innovation. China issued the Currently, although China has made great progress
concept and standard of the self-dominant innova- in construction of a national innovation system,
tion product in 2010 that it shall has intellectual there are still many deficiencies and problems chal-
property right (actually is patent) or using right lenging future development, especially innovative
licensed from abroad in China, and has trademark country construction. The first is that the allocation
right registered or using right licensed from abroad of government organizations and government
in China according to law. But China abandoned functions has not wholly met the demand of the
the government policies on self-dominant innova- national innovation system. Scientific research is
tion product in 2011 under international pressure. out of touch with education, and technology inno-
In addition, China issued other policies to vation is out of touch with the economy. There are
strengthen the import, digestion, absorption and many government departments responsible for
re-innovation, creation and protection of intel- innovation. Innovation policies come from many
lectual property right (IPR), cultivating and uti- departments and many people consider them too
lizing innovative talents, strengthening complicated. Innovation activity has mainly been
education and science popularization, and pro- dominated by government; the science and tech-
moting construction of S&T innovation bases nology community has limited impact on innova-
and infrastructures. tion activities. Some of the government functions
In order to implement the 60 supplemental pol- of innovation are overlapping, co-existing, or even
icies, the relevant departments of China’s central missing. For example, many departments have
government also formulated and issued 78 policy- nearly the same function of industrialization,
implementing rules beginning in 2006. The although they are called S&T achievement
industrialization, patent industrialization, high-tech more on industrial generic technologies or critical

industrialization, and industrial structure optimiza- and key technologies and less on new products
tion and upgrading. The government of innovation and technologies needed by enterprises. In the
management lacks supervision from the public, meantime, the government innovation resources
and the government’s innovation service functions are invested more in research institutions and uni-
are inadequate. versities and less in enterprises. The division of
The second is enterprises as the main player in the national innovation system into five sub- C
innovation in the national innovation system. systems is not optimal but is favorable for some
Although it can be said that enterprises have departments and institutions to acquire govern-
been the main player in innovation basing on ment innovation resources. This method of divi-
data such as R&D investment and patent applica- sion limits the ability of enterprises to be the main
tion number, it can be also found that enterprises player in the whole national innovation system.
are not the real main player from views of the The fourth is the management of the S&T and
decision-making around innovation themselves, innovation funding. The most important problem
major part of government innovation resource is lack of openness to the public and transparency.
allocation and high-end innovative talents includ- The expenditure of projects funds isn’t enough
ing those who has got master or doctor degree. open and fair. A majority of technology projects
The existence of the lucrative industries, low-cost, are required to apply for funding by sub-projects
rent-seeking behavior, and inadequate implemen- and compete against each other, and it is difficult
tation of the innovation policies, together with an to form a cohesive force for innovation. The
innovation culture has not been fully formed, decision-making, management, and supervision
influencing the enterprises that are not dynamic of S&T and innovation fund allocation are exe-
enough to undertake innovation. The investment cuted by only one department, affecting the effi-
policies, trade policies, and intellectual property ciency of the use of the fund. A small number of
protection policies are not coordinated enough administrative officials have the final say on the
with the innovation policies. The intellectual allocation of for S&T and innovation resources,
property policies place more stress on interna- and participation from expert groups and the pub-
tional rules and increasing application numbers lic is lack.
and less stress on quality and utilization. To date, The fifth is implementation of the innovation
the appropriate mode and effective measures of policies. To date, there have been no
commercialization of S&T achievements have not implementing regulations and supporting policies
been found. for the Scientific and Technological Progress Law
The third is the allocation of innovation and the Law on Promoting the Transformation of
resources. Investment in innovation infrastructure Scientific and Technological Achievement. Thus,
such as large scientific or engineering facilities, there are not detailed regulations for research
laboratories, engineering research databases, and institutions, technology transfer, S&T fund man-
data and information databases is inadequate. agement, and service and non-service invention.
Innovation resources, whether S&T infrastruc- The low technology transfer rate has been a seri-
ture, innovation bases, or R&D funds, are ous unresolved problem for a long time. The
deployed more to the eastern and coastal regions implementation of policies like statutory growth
and major cities and less to the medium-size cities of science and technology funding, deduction of
and west regions. The Chinese Academy of Sci- R&D expenses before corporate tax at 150%, and
ences is the largest in the world and its staff government procurement for self-dominant inno-
numbers is more than nearly 60,000. The propor- vation products still have encountered many dif-
tion for basic research of R&D funding has been ficulties, but there are less effective measures.
lower than 10% of the total R&D expenditure for There are not preferential value-added tax policies
many years. Because most R&D investment or business tax policies for self-dominant innova-
comes from government, many institutes focus tion and self-dominant intellectual property right
products. There are no quick examination policies division is one way to obtain government inno-
on intellectual property rights, which are essential vation resources. In construction of an innovative
to innovation such as small- and medium-sized country, in order to achieve the goal of a national
and high-tech enterprises. The condition and treat- innovation system, China not only needs to opti-
ment of enterprise talents are poor in household mize the three helix relationships of all the
registration, social security, and other aspects. The players but also to adopt some new innovation
implementation of innovative talent introduction, policies.
cultivation, and utilization planning and police The first is to optimize government organiza-
need to be improved. tions and the innovation functions. It is necessary
The sixth is the construction of the innovation to establish separated and cooperating govern-
culture. Notable progress has not been made in mental organizations for decision-making, imple-
construction of the innovation culture to date. The mentation, and supervision for S&T and
bureaucratic, counterfeiting, and impetuous cul- innovation. The decision-making function can be
tures suffocate, harm, and restrict innovation cul- undertaken by a commission and the supervision
ture construction. The scientific community is far function can be undertaken by an independent
from established, the development of scientific third party or even the public. As in other coun-
ethics lags behind, and the protection of intellec- tries, comprehensive departments combining edu-
tual property rights has a long way to go. Society cation with basic research, technology with
overall has only a weak awareness of innovation industry, and innovation and economy need to
culture. There are large gaps between the current be established. Similar government functions
creative talent nurturing model, curriculum should be integrated into one department. The
design, teacher configuration, and education con- excessive market behavior of universities and
ditions and the demand of innovative country. research institutes should be limited, and gather-
Investment and financing, especially venture cap- ing of innovation resources in enterprises should
ital, are also less developed. be encouraged. Supporting development of the
scientific community to support innovation
through self-regulation is a good choice.
Conclusion and Future Directions The second is to promote knowledge produc-
tion. To keep up with cutting-edge science around
Following the Quadruple Helix model and Quin- the world and to meet major national strategic
tuple Helix model and considering the elements demands, it is necessary to build up a number of
of innovation policy, this entry reviewed the his- high-level national research bases, research uni-
tory of China’s national innovation system and versities, and research institutes. Also necessary
found that China was gradually being trans- are coordination in deployment and accelerated
formed from a technology innovation system to construction of the laboratory system and building
a national innovation system. The entry also up a number of large scientific projects and
examined the roles and relationship among gov- research experimental bases. A sound modern
ernment, industry, and universities/institutes and scientific research institute system must be
found that China’s national innovation system established. In the meantime, it is necessary to
was still a top-down system, especially in the accelerate construction of key disciplines and
formulation of innovation policies that were S&T and innovation infrastructures focusing on
mainly promoted by the government. Enter- original innovation in the field of basic research
prises’ position as a main innovation player was and frontier technology research.
still low. China’s national innovation system was The third is to strengthen enterprises’ position
changing from a plan-oriented system to a as a main player in innovation. This can be
market-oriented system. But because of depart- achieved by supporting some leading enterprises
mental interests, it is still not a system that market to establish cutting-edge technology institutes and
functions completely. The sub-system method of to promote them to undertake the forefront
industrial and key technology research with uni- The sixth is to accelerate development of the
versities and research institutes as the leader. It is a S&T and innovation intermediary service organi-
task for government to guide enterprise with self- zations. It is necessary to issue laws or polices to
dominant intellectual property rights to actively regulate the development of S&T and innovation
participate in the formulation of international intermediary services in S&T Progress Law and
technical standards. The financial and tax policies the Law on Promoting the Transformation of S&T
shall be improved in favor of SMEs’ innovation. Achievement. It is necessary to transfer state- C
Another important policy is to promote technol- owned service originations to civilian ones, to
ogy development institutes transformed on spe- establish a vocational qualification and certifica-
cific technology development according to the tion system to avoid deceptive and dishonest
needs of enterprises. behaviors, and to decrease the value-added or
The fourth is to promote balanced development business tax rate for the innovation intermediary
of the regional innovation systems with distinctive servicers and to enhance their service capabilities.
characteristics and advantages. It is necessary to It is necessary to support a number of universities
deploy the construction of regional innovation sys- and research institutes to build technology transfer
tems, in which universities, research institutes, and offices and set up venture capital funds to promote
leading industries can be combined together geo- technology transfer. A number of high-level inno-
graphically. The national or provincial S&T pro- vation intermediary services introduced talents
jects, the industrialization projects, high-tech through all kinds of talent plans should be
zones, the innovative cities, and the national self- encouraged.
dominant innovation demonstration zones can inte- The seventh is to make great efforts to cultivate
grated to support emergence of a number of the innovation culture. One important measure is
regional innovation centers. The policies shall to reduce the administrative intervention on S&T
encourage the eastern regions and the regional and innovation, and most decisions shall be made
central cities to develop high-end industries and by scientific communities or enterprises them-
find an innovation-driven development model. selves. Another measure is to adopt law enforce-
They shall lead more innovation resources to flow ment accountability for local governments in IPR
to the central and western regions through con- laws and to crack down on counterfeiting activi-
struction of innovation facilities or infrastructures ties. A third measure is to construct innovation
and development of industries with characteristics culture facilities, especially propaganda facilities
and advantages than ever. The policies shall also such as film, television, websites, newspapers,
support construction of regional innovation and others. A fourth is to add the innovation and
resource sharing networks and promote rational intellectual property protection idea and method
and efficient resource allocation. into the national education system of primary and
The fifth is to promote the development of the high school. A final measure is to lift the public’s
military-civilian integrated national defense S&T scientific and cultural quality through S&T popu-
innovation system. The policies shall focus on larization and freely opening universities,
following points: strengthening the integration of research institutes, the S&T museum, and the
military and civilian technology innovation science bases to the public.
resources; establishing a sound S&T innovation
resource sharing and coordination mechanism
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Church and Entrepreneurship 271
and a framework of explanation. In: Archibugi D, sustainable business? Entrepreneurs are always
Michie J, editors. Trade, growth and technical change. looking for gaps or unmet needs they can satisfy
Cambridge: Cambridge University Press; 1998.
Rowen H. Introduction. In: Rowen H, Hancock MG, Hall with products or services. What is God’s unmet
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Brookings Institution; 2008. p. 931–81. or mission? How does He want to work through
Schumpeter J. Theorie der wirtschaftlichen Entwicklung. the business of the Church and in the Church to
Berlin; 1911.
achieve His purposes? How does He define value C
in business terms? To answer this question from
His perspective would be immensely valuable to
the Christian and non-Christian reader.
Chronesthesia The discussion will focus on (1) different con-
cepts regarding entrepreneurship and the Church
▶ Imagination
and on (2) how God reflects His nature through
the entrepreneurial talents of His people in and
through the Church.
Church and Entrepreneurship
Hector Ramos Definitions of Church and

Department of Educational Psychology, College Entrepreneurship from a Biblical
of Education and Human Development, Texas Perspective
A&M University, Bryan, TX, USA
The Church
According to the Biblical perspective, the inven-
Synonyms tor of the Church, Jesus Christ, gives a simple but
profound account about the nature of the Church
Biblical principles of business; Business of in the book of Matthew, Chapter 16:13:
church; Missions and business; Restoration theol- He asked His disciples, Who do people say that the
ogy and the church Son of Man is? And they answered, Some say John
the Baptist; others Elijah; and others Jeremiah or
one of the prophets. He said to them, But who do
you say I am? Simon Peter replied, You are the
Christ, the Son of the living God. Then Jesus
Topic and Definition answered him, Blessed are you, Simon Bar-Jonah,
For flesh and blood have not revealed this to you,
The symbiotic relationship between church and but My Father Who is in heaven. And I tell you, you
entrepreneurship can be viewed from two funda- are Peter, and on this rock I will build My church,
and the gates of Hades shall not overpower it.
mental perspectives. It is either men’s business of
religion or God’s business on the Earth. The ques- There are basically three main elements that
tion is, “what is man or God buying?” For exam- constitute the nature of the Church. These are
ple, men can purchase peace of mind (from men) essential to understand the activity and mecha-
or obtain the peace of God and from God (for nisms of the Church:
free). This entry focuses on how God and men in
the church and through the church can become (a) Jesus reveals His identity as the Christ
coworkers with God following His principles and (anointed One) through the revelation by
guidance. If it is God’s business, we need to find Simon Peter. Simon Peter received this reve-
out how He runs His business and whether it is a lation by the Father. Simon Peter is then also
multinational (from every tribe and race) or just a revealed as Peter (his spiritual identity).
family business. Is God into corporate social (b) This revelation of Jesus as the Christ is the
responsibility? And how? Is He interested in foundation (rock) of the Church. The Greek
272 Church and Entrepreneurship
word used here is Petra (huge rock) compared classes to know more about God. So the church
to Petros (rock) that is the name given to building can be a center of exchange where men
Simon. buy their peace of mind and some knowledge and
(c) Jesus is the builder and not men. It is a spir- help people on occasions. It has the potential to be
itual entity and not a building. And there will the center of man’s effort and man’s achievement
be a struggle between gates of Hades and the through whatever financial contribution they
Church but the latter will be victorious. make. It is like a spiritual club where members
can receive some self-help lessons about how God
We need to note that in this case, the declara- is going to bless them through their prayer, giving,
tion of that revelation by Simon Peter on Jesus’ and effort. From man’s perspective, the activity of
identity brings another revelation of Simon the church is constrained to a building but for
Peter’s true identity in Him. This means that the God’s perspective, it is His activity through His
symbol of the rock used to describe Jesus many people wherever they are.
times, the huge rock (Church), and small rock
(Peter) are all one. There is another simple prayer Entrepreneurship
that Jesus taught that receives its true meaning Four verses encapsulate the plan of God for
from this passage. Jesus taught the disciples to business:
pray “Father, Your Name be glorified, Your King-
dom come and Your Will be done on earth as it is • Deuteronomy 8:18 “But you shall remember
in heaven.” This translated in this context means the LORD your God: for it is he that gives you
let the Name of Your Son Jesus Christ be glorified power to get wealth, that he may establish his
through the work of the Church in the establish- covenant which he swore to your fathers, as it
ment of Your Kingdom (the realization of Your is this day.”
will, power, dominion, and influence on the • Jeremiah 29:11 “For I know the plans I have
earth). In short, “let Jesus build His Church.” for you,” declares the LORD, “plans to prosper
This entry is all the more important because you and not to harm you, plans to give you
both God and men have been at work in the hope and a future.”
Church from two very different perspectives and • 1 Corinthians 10:39 “Whatever you do, do it
approaches, and the biggest issue that has been at for the glory of God.”
stake is the entrepreneurial nature of the Church. • Ephesians 2:10 “For we are God’s workman-
From God’s perspective, He is the CEO of a great ship, created in Christ Jesus to do good works,
business and we are His coworkers. God wants to which God prepared in advance for us to do.”
redeem all things and reconcile all things to Him,
and one of them is business and entrepreneurship. In these four verses, we can understand God’s
It is of value to indicate that the first man, Adam, design. He made us with a purpose in mind. He
was given a job to take care of a garden and had a plan for us, works for us to do that would
orchard (gardener) and that Jesus also worked as glorify His Name. God has a redemptive purpose
a carpenter and did not consider it shameful. In for everyone’s activity on earth. And God also
fact, He called businessmen (fishermen) to enter provides the power or means to do it. If we look
into His business. From man’s perspective, a at the promised land promised by God to the
church has to be a building. It is mainly because people of Israel, we see “land of milk and
a physical building is something that man can honey.” This can also be translated as prosperous
build. And this building welcomes many financial business. Considering the life of Abraham, Isaac,
transactions: men give tithes (10% of their and Jacob, we see in many ways the financial
income) and offerings and also volunteer their blessing in business that follows the obedience
time and effort. In many cases, men go to church to the word of God. In the book of Genesis, we
to be encouraged, to listen to a message that will read how God gave Abraham the wisdom and
give them some comfort, and also attend Bible power to prosper in a dry land. He also gave
Church and Entrepreneurship 273
Isaac the wisdom to sow in a time of famine, to the production of Jesus’s stickers or Christian
Jacob the wisdom to help the sheep reproduce in a music.
way that was profitable to him, and to Joseph the 3. A business that glorifies God is run by His
wisdom to gather grain for a huge sale to the grace. This grace or divine favor is based on
nations. In only one book, we can see how God the revelation of His business principles
glorifies His name through the business success (excellence, integrity, compassion, providing
He gives to those who follow Him. a product or service that edifies according to C
However, entrepreneurship in the Church has biblical principles. . .) and divine enablement
also been understood in other different ways. for His children to do the work within that
Businessmen are those who provide finances framework.
for the church so that it can continue to run. They 4. A business that glorifies God is run by Chris-
pay the staff’s salaries so that people can be tian who can hear His voice and direction for
employed to run the church. For many pastors, the business, who overcome obstacles by com-
business is just something else that people do or “a plete faith and trust in His promises, and who
necessary evil” depending on how they perceive display a nature and character that reflects Him
business and money. who created, shaped, and redeemed them.
5. Christian entrepreneurship is conducted with
eternity in mind. Those who engage in it con-
The Implications of a Business World sider how their actions bless or hinder people
Run by God around them and become a vehicle where the
presence of God resides promoting His mes-
Regarding business and wealth, Jesus made it sage of reconciliation.
very clear when He challenged His followers 6. Christian entrepreneurship and business is
with this question, “what would give a man for only a vehicle for Him to do His will on earth
his soul? The entire world?” This is essentially as it is in heaven, to establish His Kingdom and
the business proposition that Satan had given see His Name be glorified.
Him in the dessert, “If you worship me I will
give you ALL these Kingdoms (the earth) and But how do we see the role of the Church in
their glory thereof.” Finally, Jesus got the best entrepreneurship or the development of the local
deal by paying the price through His death and economy?
when He proclaimed after His resurrection that Eldred (2005) gives a profile of kingdom
“ALL power and authority has been given to Me business along these lines that helps us under-
in heaven and on earth.” If this is really true, then stand the type of influence that the Church can
the implications are that Jesus is interested in have in the entrepreneurial world. He under-
everything that happens in a place (earth) that lines how kingdom business provides a model
belongs to Him. These implications for business for sustainable missions; brings technology,
and entrepreneurship can be summarized as expertise, and capital; provides access to
follows: many locations; and builds the local economy.
These companies not only act as funders of the
1. He wants to restore ALL things and redeem local church but promote the gospel through
ALL things according to His Father’s plans their words and deeds by getting involved in
including the motivation, purpose, and conse- local charity and meeting the needs of
quences of entrepreneurship and business. the poor.
2. A business that glorifies God is not necessarily Rundle and Steffen (2003) also give an account
a church or a Christian shop but a place where of what makes Great Commission Companies
God’s work and power is displayed through (GCC) (companies that do also the work of the
His people as part of His redeeming plan. Church) in their research with the following
Business activity speaks of Him more than findings:
274 Citizen Science in Health Domain
The most effective GCC are managed by pro- instance, Adams and Hughey (2010) report
fessionals including locals who have had experi- how small economies in the Fiji Islands have
enced in ministry, partner with local churches or been impacted by the Church and God’s pres-
ministries, and have an integrated view of work, ence. These directions could also take into con-
business, and ministry. sideration a broad definition of the Church to
Seebeck and Stoner (2009) go beyond strate- include businessmen that are trained and
gies in their analysis of mission companies work- anointed to minister in the marketplace through
ing in different countries to state three key truths their business. That type of research based on
for successful mission businesses. They are different assumptions will yield drastically dif-
interdependence as we realize how much we ferent results.
depend from each other in a global economy as
there is no isolated country. The second is reci-
procity as each part gives and receives. Finally, Cross-References
there is mutual respect and humility as we do not
impose cultural values from developed nations on ▶ Business Creativity
developing nations. ▶ Business Emergence
▶ Creativity and Church
▶ Nature of Creativity
Conclusions and Future Directions ▶ Self-Made Man
Entrepreneurship and business has been the bat-

tle ground for the church for a long time. The References
inability to hear God, to know His plans and
purposes, and to obey Him has led many people Adams W, Hughey R. Revival: its present relevance and
into a man-made and man-centered religion that coming role at the end of the age. Oasis House; 2010.
is void of the presence, purpose, or sanction from American King James Bible.
Eldred K. God is at work. In: Transforming people and
God. It is a safe place for man, a place that nations through business. Montrose: Manna Ventures
requires no faith or sacrifice. However, God is LLC; 2005.
building His Church, and this spiritual entity is Rundle S, Steffen T. Great commission companies.
also interested in doing business that glorifies Downers Grove: Intervarsity Press; 2003.
Seebeck D, Stoner T. My business, my mission. Partners
God. In terms of physical redefinition, the busi- Worldwide; 2009.
ness office or factory is also “the Church”
because that name defines God’s activity on
earth through Christians (His children). We are
about to see what God can do through His
Church, His Business on earth. Citizen Science in Health
The interaction between the Church and Domain
entrepreneurship not only needs more research
but also a different perspective that would con- Barbara Prainsack
sider the basic assumptions of Christianity. We Department of Political Science, University of
are in a world that God wants get involved in Vienna, Vienna, Austria
and help run through the beneficial influence of Department of Global Health and Social
the Church. The Church as representative of a Medicine, Kings College London, London, UK
triune God needs to reflect the characteristics of
that God in business through righteousness and
generosity. Therefore, future directions of Synonyms
research could look into cities and nations that
are being transformed by the gospel. For Open science
Citizen Science in Health Domain 275
What Is Citizen Science? As noted, the emergence of the contemporary

paradigm of citizen science – which is heavily
Democratization and Openness focused on the use of digital tools and distributed
In the last decade, many authors have argued that data collection – has been catalyzed by Internet
the separation between roles traditionally associ- platforms and social media such as Twitter,
ated with knowledge production on the one hand, Facebook, and Flickr. More recently, governmen-
and roles associated with utilizing and “consum- tal funding bodies and private organizations and C
ing” knowledge on the other, has become blurry companies have also started to support citizen
(Goodchild 2007; Nielsen 2011; Fischer et al. science projects. The increasing prominence of
2012; see also Gibbons et al. 1994; Nowotny citizen science has influenced understandings of
et al. 2001. For an overview see Riesch 2015). how, and by whom, knowledge should be created
While this is true in many fields of science in the health domain, and it has raised ethical and
(Goodchild 2007; Fischer et al. 2012), the health regulatory questions pertaining, for example, to
domain is a particularly illustrative example. how contributions from citizens should be attrib-
Patients have started to organize their own medi- uted in scientific publications; what kind of
cal studies and trials (Wicks et al. 2011); questions research ethics procedures should apply to studies
that professional scientists have been struggling that are self-organized by patients; and how
for years or even decades have been solved by new modes of citizen participation in medical
people playing computer games (e.g., Khatib et al. and bioscientific knowledge production and deci-
2011), and patients facing difficult treatment decision making can or should be integrated into
sions have put their medical information online to existing institutional structures (e.g., into existing
invite experts from all over the world to comment systems of healthcare delivery). They also raise
(e.g., Albanello 2011). The notion of the question of what can be done to minimize the
“crowdsourcing” has been applied by many risk that citizen science initiatives are “hijacked”
authors to discuss novel forms of collective by commercial interests. Moreover, professional
knowledge production and collective intelligence. researchers, scientists, and educators are also
Although the creation of knowledge in the discussing ways to ensure the quality and stan-
health domain, including the production of scien- dardization of data collected, generated, and pro-
tific knowledge, has always been, to some extent, cessed by nonprofessionals (e.g., Cohn 2008;
a collaborative endeavor, and nonprofessionally Wiggins et al. 2011; see also the important work
trained people have always played a role in the led by the Cornell Lab of Ornithology: http://
creation of medical knowledge, the advancement www.birds.cornell.edu/citscitoolkit/toolkit/steps).
and proliferation of digital technologies, smart This links to the overarching question of why, and
phones, and tablets has increased the range of under what circumstances, citizen science works
tasks that patients and other people can do (i.e., it produces “better” results than conventional
remotely. The shift we are witnessing goes science; either because the results are produced
beyond Ziman’s (1996) notion of postacademic faster, because they are more socially robust, or
science, where knowledge producers were still because they solve previously unresolved ques-
professional scientists, even if their science may tions) (Prainsack and Riesch 2016). There are
serve other than academic purposes primarily. It different approaches to answering these ques-
also goes beyond von Hippel’s (2005) diagnosis tions, many of which draw upon the literature on
that users are key drivers of innovation. In con- social networks (see also Shirky 2008). James
temporary citizen science initiatives, we see non- Surowiecki, in his book The Wisdom of Crowds
professionally trained people make substantial (2005), for example, suggested four criteria that
contributions not only to the applicaton of scien- need to be met for a crowd to make intelligent
tific findings to “the real world,” but they contrib- decisions: (1) independence of individual opin-
ute to knowledge production in basic research as ions from peer or other influences, (2) decentral-
well. ization of expertise in the crowd, (3) diversity of
opinion, and (4) aggregation (i.e., mechanisms of Citizen Science in Health Domain, Table 1 Citizen
turning individual opinions into a collective deci- science in health domain, criteria for the assessment of
citizen science projects (Source: Adapted from Prainsack
sion). This, of course, leaves open the question of 2014)
how aggregation should take place in order to
Coordination: Who has influence in
maximize the intelligence of the crowd. This is
1. Agenda setting
one of the questions that Nielsen starts to unpack
2. Determining the terms of the execution of the idea/
in his book on Reinventing Discovery (2011). For procedural aspects
him, for citizen science to work, initiatives need to 3. Deciding what results are (and what “good” results are)
provide instant feedback to participants; they need 4. Deciding what will be done with results
to be modular; and there needs to be some level of 5. Deciding on intellectual property questions
coordination. The question of how exactly coor- Participation: Who participates (demographic and social
dination takes place (e.g., “emerging” from bot- parameters of those who participate)? Why and how do
they participate?
tom-up or top-down), and how much coordination
6. How much special training or expertise is required to
is too little or too much, will hopefully be participate in this project?
answered on the basis of empirical studies of Evaluation
citizen science projects in the coming years. 7. How and by whom is it decided what good outcomes
Citizen science initiatives involve the partici- are?
pation of nonprofessional scientists at any or Openness
every stage of the trajectory of scientific knowl- 8. Do participants in the project have access to the core
edge production: at the stage of data collection/ datasets?
generation, data analysis, interpretation, applica- 9. Can participants in the project edit the core datasets?
10. Is the contribution of participants adequately
tion, dissemination, and evaluation. The follow-
acknowledged in published materials?
ing typological grid can help us in the assessment
11. Are datasets made publicly accessible (open source/
of how coordination and agency are distributed in a open access)?
particular citizen science project, how “open” it is, 12. Are main findings made publicly accessible (open
and what kind of entrepreneurial and innovative source/open access)?
potential it utilizes and/or fosters (see Table 1). Entrepreneurship
13. How is the project funded?
Citizen Science and Open Science 14. What is the role of for-profit entities in this project?
Are these small, medium-sized, or large entities, and
Many practices subsumed under the label of citi- where are they located?
zen science also fit the definition of open science 15. How are for-profit and other interests aligned in this
(e.g., Delfanti 2010). While these two concepts project (and/or do they conflict, and where?)
clearly overlap, their focus is different. Open sci-
ence, as we will see below, focuses on transpar-
ency and accessibility of data, results, and often rare, they do happen (the example of a group of
also research infrastructures. Citizen science, in patients organizing their own study via the plat-
turn, emphasizes the participation of people with- form Patients Like Me to explore whether lithium
out professional training in the activity they carbonate slows down the progress of motor neu-
engage in. In other words, citizen science signifies ron disease, as suggested by a clinical research
the production of authoritative knowledge by study, comes close to this “pure” citizen model;
“amateurs.” The term citizen science is rather see also Wicks et al. 2011). Other citizen science
inclusive with respect to different formats and projects were either conceived, designed, coordi-
designs of the participation of nonprofessional nated, or assessed by professional scientists (see,
experts. It is sometimes applied to projects that e.g., the platform for the crowdsourcing of data
are conceived, executed, and utilized (also in analysis Kaggle; www.kaggle.com). Other pro-
terms of intellectual property rights) by citizens jects assign clearly delineated tasks to citizens
in a bottom-up way, without any involvement of which do not require any particular experience,
professional scientists; although such projects are training, or familiarity with the subject; an early
example for this latter type of project was Pearl in term suggests, the main focus of the notion of
China; here, citizens used the infrared device on open science. A website devoted to open science
their mobile phones to record and transfer to a (Gezelter 2009) defined open science projects as
central platform data on human interaction pat- those meeting four sets of criteria: first, transpar-
terns in order to understand better how airborne ency in methodology, observation, and data col-
diseases spread. The project was based on the fact lection; second, public availability and reusability
that the range of the infrared device on people’s of scientific data; third, the public accessibility C
smart phones is the same as the range in which and transparency of scientific communication;
airborne diseases can be caught from an infected and fourth, the availability of Web-based tools to
person (for more details, see http://bioinfo.ict.ac. facilitate collaboration. In short, the more publicly
cn/pearl/, and Swan et al. 2010). In such distrib- accessible every stage of scientific knowledge
uted data collection projects, citizens have far less, production process is, the higher the “openness
if any influence in the designing of the project and score” (see Table 1) of a project. Whether the
the interpretation of the results. A contemporary project is carried out exclusively by professional
project where participants are mostly data pro- scientists, or whether it includes nonprofessional
viders – and in this case, also funders – is The participants, is not a decisive factor in this regard.
British Gut Project, which studies the microbes in A project which is carried out by one Nobel Lau-
the guts of volunteers (Del Savio et al. 2016). reate working entirely alone at her lab or at her
Projects where the role of citizens is limited to desk, yet who makes all her data, her lab journals
data collection have been criticized as using citi- or research notes, and the findings, publicly avail-
zens as “brain soldiers,” as part of a cognitariat able, could qualify as an open science project.
(Toffler 1983); they often volunteer their time to The idea of open science is also closely linked
carry out tasks that average human brains happen to the much older open access (OA) movement in
to do better than computers, namely, the filtering academic publishing. The term OA typically
out of “noise.” This “bottom-up score” of a citizen refers to a type of publishing where journals do
science project, which can be assessed on the not charge readers or their institutions for access.
basis of the criteria listed in Table 1, tells us In an academic context, OA publishing usually
something about the emancipatory and demo- refers to OA journals that are also peer-reviewed
cratic potential of a citizen science project (e.g., and include editorial quality control. In the last
Does the project draw primarily on the creativity decade, OA publishing has become increasingly
of people from outside the academic discipline? common in the scientific world. This is partly a
Does it empower people who would not normally result of funding agencies requiring research find-
engage with this field of science and who would ings being made publicly available, although they
normally have no, or very limited, access to typically allow a period of exclusive use of the
datasets?). It does not prejudice, however, how data by the researchers who generated them. In
“good” or successful a citizen project is: some 2008, it was estimated that about 20% of all peer-
projects in which citizens had very little influence reviewed articles worldwide were openly avail-
on project design, etc., led to important outcomes able (Björk et al. 2010), with that proportion
that had a significant impact on the science in their increasing further in the following years.
fields (Khatib et al. 2011). Thus, the overall assess-
ment of the success of a citizen science project will
always depend on what the main objective is: the Citizen Science: A Mixed Blessing?
“democratization” of science, the education of cit-
izens (e.g., Bonney et al. 2009), or the solution of a Commentators have been both enthusiastic and
pressing scientific problem. concerned about the emergence of citizen science.
An additional dimension according to which Many authors (e.g., Angrist 2010; Nielsen 2011)
citizen science projects can be assessed is the have welcomed citizen science especially also in
degree of their openness. Openness is, as the the health domain as a process of empowerment of
patients and citizens. Some people, however, are According to this more skeptical view of citi-
concerned that the replacing of professionally zen science initiatives, citizens contributing to
trained experts, such as clinicians and medical science in citizen science projects where they
researchers, by “regular” citizens who participate will not receive a share of the profits engage in
in the production of authoritative knowledge may value cocreation for the powers to be (Arvidsson
compromise the quality of both the science and 2008; Bonsu and Darmody 2008), whether these
the clinical applications emerging from them. are for-profit companies or traditional academic
Some authors have also been very skeptical with and scientific institutions who receive the main
regard to the political meaning of citizen science. credit for the discoveries made by citizens.
For example, it has been argued that models of However, it should not be automatically
participation in citizen science projects – espe- assumed that all citizens in projects where the
cially those which are run or coordinated by com- influence of participants in project design is very
panies, governmental organizations, or other limited are being exploited. For many, being part of
actors that are not primarily acting in their capac- something useful, being acknowledged publicly in
ity as nonprofessionals and citizens in the first publications, and/or learning about the scientific
place – bear strong resemblances with many area in question is enough of an incentive to par-
Web 2.0 enterprises. Google, for example, ticipate. While there certainly are initiatives that
famously combined the prioritization of user expe- aim at making profits on the basis of the unpaid
rience with reliance on user-generated information labor of people, not every instance of citizens par-
(Google’s algorithms draw on how many times ticipating in such projects can be automatically
users access particular websites) and now domi- read as an instance of “false consciousness.”
nates the market (Auletta 2009). The case of the
early online platform Napster (www.napster.com) Conclusion and Future Directions
demonstrated how user “participation,” and the There is an evident need for systematic empirical
reliance on user-generated content, was utilized and conceptual explorations of the circumstances
not only to generate revenue but also to breach under which citizen science projects generate
copyrights and change an entire industry: Napster good outcomes in the sense that outcomes are
launched in 1998 to allow users share music files academically or scientifically more accurate and
with each other in “real time,” and early users better, and more socially robust, than the results of
played crucial roles as codesigner of the service traditional ways of scientific knowledge produc-
and shapers of its content. Early adopters thus tion in health. Moreover, we should avoid the
assumed an important role in challenging the pre- fallacy of comparing the supposedly new and
vious dominance of elites – the music industry – as exciting citizen science against a caricature of
gatekeepers to information (music files; Robinson “traditional” science which is portrayed as unduly
and Halle 2002). A very similar argument could be homogenous. Also “traditional,” institutional sci-
made about the ways in which online genetic ence in many countries and contexts has included
testing companies involve their consumers in various forms of participation by people without
knowledge production facilitated by the company. professional training. We should also continue to
By creating facts on the ground – namely, by explore according to what criteria the results of
facilitating that thousands of people access genetic citizen science should be evaluated and assessed.
information online and allow the company to use This, in turn cannot meaningfully take place with-
their data for the purpose of disease research – the out making the goals of citizen science projects,
company is in a much stronger bargaining position and the goals of our own inquiry, explicit. For
vis-à-vis regulators who wish for medical profes- example, is citizen science supported and pro-
sionals to remain gatekeepers to these activi- moted to fill the void that the retreat of public
ties (Prainsack 2014). funders have left behind? Are unpaid “citizen
scientists” used to replace professional scientists the Kepler public archive data. Mon Not R Astron
in some contexts? Who benefits from the achieve- Soc. 2012;419:2900–11.
Gezelter D. What, exactly, is open science? 2009. http://
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280 Citizen Science: Different Scopes of Citizens’ Involvement in Research
while scientists have the lead over the scientific

Citizen Science: Different process and the knowledge creation, calling it
Scopes of Citizens’ “partnerships initiated by scientists that involve
Involvement in Research nonscientists in data collection” (Jordan et al.
2011). Scientists are understood as initiators and
Teresa Schaefer and Barbara Kieslinger directors of the scientific projects, designing spe-
Centre for Social Innovation (ZSI), Vienna, cific roles for citizen scientists, mainly field assis-
Austria tance for data collection and classification.
Over the last years, we can observe a shift
of focus in the definition of Citizen Science.
Synonyms The Oxford English dictionary describes Citizen
Science as “scientific work undertaken by mem-
Participatory science; Scientific crowdsourcing bers of the general public, often in collaboration
with or under the direction of professional scien-
tists and scientific institutions” (Oxford English
Definition and Origins of Citizen Science Dictionary 2016). The American Citizen Science
Association refers to Citizen Science as “the
Generally Citizen Science is understood as the involvement of the public in scientific research –
involvement of volunteers in authentic scientific whether community-driven research or global
research. Its tradition goes back to the eighteenth investigations” (Citizen Science Organisation
and nineteenth century and has its origin in areas 2016). Instead of a definition the European Citi-
like astronomy, ornithology, and meteorology. zen Science Association (ECSA) provides 10
While many experts mention the yearly Audubon principles of what constitutes good citizen science
Christmas Bird Count, which started in 1900 in (Robinson et. al 2018).
the USA, as the first example, the originals of The more recent definitions agree on the “sci-
Citizen Science can be found much earlier. A entific work or research” but leave it open when it
historical view on the development of science comes to defining the degree of involvement for
shows that the paid profession of scientist was the general public and the leadership in the scien-
only established in the late nineteenth century. tific process. Compared to earlier definitions, cit-
Until then, scientific engagement was mostly a izens are considered now to take a more active
voluntary undertaking of individuals with a scien- part in the research process. The definitions reflect
tific spirit and access to necessary resources. (1) a trend toward community-driven Citizen Sci-
With the upcoming of the Internet and related ence projects and (2) the different scale that Citi-
technologies that allow fast communication and zen Science activities can have, from local to
collaboration independent of time and location, global. In addition, the distinction between volun-
Citizen Science has gained a new momentum. teer scientists/nonscientist and professional scien-
In this new wave of public science participation, tists is avoided since the boundaries between
the actual term “Citizen Science” was coined in “professional” and “nonprofessional” activities
1995 and especially popularized by Alan Irwin are becoming blurred. The distinction can no lon-
and Rick Bonney (Irwin 2002). Despite the great ger solely be reduced to monetary aspects nor
interest and increasing number of Citizen Science scientific reputation as some citizen scientists
activities, or perhaps because of it, there has not receive monetary compensations for their scien-
been an agreement on a commonly accepted sin- tific engagement and contribute to publications,
gle definition. We rather see a series of definitions similar to professional scientists.
that evolve over time and reflect the evolutions in The variety of definitions and differences in
scale and scope that this approach is taking over interpretation of what Citizen Science encom-
the years (Eitzel 2017). Early definitions limited passes reflects the dynamics of the field. Citizen
the citizen’s role to selective, definable tasks, Science comprises a wide array of activities and
Citizen Science: Different Scopes of Citizens’ Involvement in Research 281
approaches that link the public with scientific between citizens and scientists, or projects are
research. Citizen scientists perform societally rel- even solely conducted by citizens.
evant as well as fundamental research activities, A matrix approach extends the perspective of
and projects mainly differ in the way and the existing typologies, explicitly integrating Citizen
intensity the public is involved. We see Citizen Science projects that are driven by citizens or civil
Science projects being developed completely society organizations and taking a closer look at
independently by individual volunteers’ initia- who is sitting in the driving seat (Schäfer and C
tives, next to collaborative transdisciplinary Kieslinger 2016). In this scheme two aspects of
work following formalized instructions and guid- differentiating instantiations of Citizens Science
ance provided by scientific facilities. The diver- are combined: (1) the locus of knowledge crea-
sity of Citizen Science cannot be reduced to a tion, moving along a continuum from projects
single exemplary project or proxy. The type of where knowledge creation is mainly in the hands
scientific work and geographic scale of participa- of researchers to those where citizens are the main
tion strongly shape the strategic path a project has knowledge producers and (2) the focus of project
to take to meet its goals. The range of types of activities – moving from research-driven projects
participation, social opportunities, technologies with a core aim of answering scientific questions
in use, approaches to data validation, ways to to projects that focus on supporting interventions
measure contribution, and project goals that we in socio-ecological systems (see Fig. 1).
encounter today in Citizen Science is impressive. In sector A we find projects that are closest to
To bring structure into this complexity, established forms of research. They are driven by
researchers started to define typologies of Citizen researchers and their desire to answer scientific
Science projects. questions, while citizens support certain phases of
the research process by executing well-defined
tasks (e.g., data collection). The overwhelming
Typologies of Citizen Science Activities majority of Citizen Science projects, especially
in the area of biodiversity, can be assigned to
First typologies clustered projects according to sector A. One of the best-known sector A projects
the intensity of public involvement in the research is Galaxy Zoo (www.galaxyzoo.org), where thou-
process and the quality of the performed tasks. sands of volunteers all around the world help to
Bonney et al. (2009) divide projects, for instance, classify millions of images of foreign galaxies.
into contributory projects that show the most basic The project is conducted online only, and tasks
form of collaboration where citizens are involved for participation are small and well-defined; the
in data collection only; collaborative projects definition of the scientific question, knowledge
where citizens are involved in at least two tasks, creation, and dissemination remains the responsi-
normally the collection and analysis of data; and bility of researchers. This cooperation resulted in
co-created projects, the most advanced form of more than 40 scientific publications and success-
collaboration, where citizens are engaged in all ful follow-up projects (status September 2016).
steps of the scientific process. Moving along the axes, the influence of socie-
A comparable approach is taken by Haklay tal partners increases: either as a driver of project
(2013) who defines four levels of engagement: goals (horizontal axis) or as a producer of knowl-
At the basic level 1, labelled Crowdsourcing, par- edge (vertical axis). Projects in sector B are still
ticipation of citizens is limited to the provision driven by a purely scientific aim. Citizens how-
of resources, which in the case of volunteer com- ever take on a more active role as scientists; they
puting refers to providing one’s computational define research questions and answer them rather
resources for scientific calculations; the cognitive autonomously, while the task of professional sci-
engagement is minimal; at level 4, labelled entists is mostly limited to the validation of the
Extreme Citizen Science, equal partnerships in newly created knowledge. Galaxy Zoo
all stages of the research process are established also developed activities that fall into Sector B.
Citizen Science: Different

Scopes of Citizens’
Involvement in Research,
Fig. 1 Clustering citizen
science projects
A group of citizens and hobby astronomers used spreadsheets to document their experiences from
the images of foreign galaxies to define and taking the lithium. The platform was used to dis-
answer their own genuine research questions cuss research details and practical issues, like how
reducing the scientists’ role to providing support to convince doctors to prescribe lithium. Both
and peer reviewing the citizens’ publications. study initiators died prior to the completion of
Moving from sector B to sector C, citizens stay the study, which was concluded after 8 months
in the driving seat, but the focus shifts toward and published in Nature Biotechnology. Its find-
supporting interventions in socio-ecological sys- ing that lithium had no effect was subsequently
tems. These projects are closely connected with confirmed by standard clinical trials.
civil society initiatives. Citizens are the main cre- Sector D projects focus on the support of civil
ators of new knowledge driven by societal needs. society interventions with the knowledge creation
Scientists support citizens’ initiatives in, e.g., the being in the hands of researchers. An exemplary
co-development of the research instruments. A project for Sector D is the “Flint Water Study”
highly controversially discussed example for (http://flintwaterstudy.org). In 2014, the city of
a sector C project comes from patient-initiated Flint, Michigan, switched its water supply to the
research (Frost et al. 2008). On the platform Flint River in an effort to save money. From this
PatientsLikeMe (https://www.patientslikeme. moment on, citizens complained about the smell,
com/), two patients with advanced stage of taste, and appearance of the water, but their com-
amyotrophic lateral sclerosis (ALS), a non-cur- plaints were ignored and marginalized by experts
able disease that leaves patients with a life expec- and local politicians. A group of students and
tancy of 2–5 years, launched a study with 149 researchers at Virginia Tech took up on that story
patients with ALS. The study participants took and provided residents with water test kits and
lithium in order to test the findings of a small worked with them on collecting, analyzing, and
earlier study from Italy into its effects on disease communicating the results, whereby they detected
progression and symptom alleviation. The initia- extremely high levels of lead contamination. Evi-
tors provided the community with information on dence of increased levels of lead was also found in
current research, as well as instructions and children’s blood tests. Based on these facts, the
state and the federal government were finally tak- system-wide evidence for these impacts. Evi-
ing action. President Obama signed an emergency dence exists in the form of scientific publications
declaration and ordered for federal aid for Flint in especially for Sector A projects. In addition,
2016. these projects frequently evaluate the impact on
In the middle of the matrix, sector E projects individual participants’ knowledge gains and
are characterized by a collaborative approach dur- subsequent changes in attitudes and behavior.
ing all project phases. Ideally, all actors work But when it comes to measuring the impact on C
together in an equal partnership during the whole socio-ecological systems and politics, a compre-
project. An example for the mutual partnership hensive summary of outcomes and longer-term
between science and society is a project that was impact assessment is still missing. Projects that
initiated by the Native American community of are driven by civil society concerns often share
Akwesasne. Interested in finding out about local their results via television, newspaper, radio, the
contamination and its impact on health, they Internet, or social media but fail to integrate in the
started collaboration with a university (Hoover scientific knowledge landscape.
2016). Professional researchers supported citizens Clearly, Citizen Science activities cannot reach
to bring evidence of the contamination by all benefits to the same degree: projects that strive
immersing themselves in the community and co- for solving a social problem and aim for the
developing the data collection instruments in empowerment of local participants might not
mutual partnerships. Every step was taken excel in opening a new research area; and projects
together, from the development of instruments to that successfully address fundamental research
the collection of data and their interpretation. The questions with the help of citizens’ cognitive
collaborative approach was important in order to resources might not stand out for fostering the
overcome any mistrust of the minority community capacity of local communities. A comprehensive
concerned with the handling of their blood sam- evaluation and impact assessment can therefore
ples and privacy of their data. The outcome of this show the specific strengths of the different Citizen
project was not only bringing evidence for the Science activities and stimulate the further evolu-
contamination; being a participant in the health tion and implementation of this collaborative
studies has given citizens the vocabulary to both research approach. A systemic impact assessment
understand and speak about environmental con- of the whole Citizen Science approach may also
tamination in a more informed and educated way. trigger constructive discussions on the value of a
Projects may also span across sectors. comprehensive involvement of volunteers in all
Depending on citizens’ interest and resources, a types of research. Is it advisable and justified that
Citizen Science project may attract various target certain research is still conducted solely by scien-
groups that act at different levels of engagement. tific facilities?
Potential Benefits of Citizen Science Citizen Science in Context
Citizen Science projects can be completely differ- Citizen Science as we experience it today has not
ent with regard to the engagement of their stake- developed in isolation. It has been unfolding in
holders and project foci. Depending on these close proximity to a shift toward openness and
differences, the benefits for each of the involved inclusion that is taking place in science and inno-
stakeholder groups vary in their degree of vation. Under the heading of Responsible
achievement as shown in Fig. 2. Research and Innovation, short RRI, awareness
Citizen Science raises expectations with for more inclusive, socially relevant and ethical
regard to the manifold benefits it holds for indi- research has started to come into play. Large
vidual participants, research, and society, but research funding programs, such as the European
what it still misses is a history of documented, Horizon 2020, commit to RRI in their funding
Citizen Science: Different

Scopes of Citizens’
Involvement in Research,
Fig. 2 Potential benefits of
Citizen Science
principles. Within RRI at least three of the six Conclusions and Further Directions
policy agendas relate to Citizen Science, namely,
public engagement, science education, and open The approach of volunteers being engaged in sci-
access. entific research took a long journey: It was the
Openness is often said to be one of the core dominant way of conducting research until the
principles of Citizen Science. Open access and late nineteenth century, when scientific engage-
sharing of data are included in the ten principles ment was mostly a voluntary undertaking of indi-
of Citizen Science defined by the European Cit- viduals. Since the professionalization of
izen Science Association. The shift toward par- scientists, volunteers continued to support sci-
ticipatory science is thus not only manifested in ence, now often in smaller, well-defined tasks
Citizen Science but closely related to the con- where projects in the field of meteorology, archae-
cepts of open digital science and open ology, ornithology, or astronomy reach back to
innovation. the eighteenth and nineteenth century. With the
In combination, the tendencies toward open- upcoming of innovative ICT tools, the science-
ness and participation that we see in its various society cooperation underwent a strong growth in
forms and from different motivations has led to a recent years. A rise of projects that were close to
paradigm shift, and policy-makers are responding the established form of doing research and came
to it by adapting their funding mechanisms and from the field of biology with a strong focus on
guidelines. We are currently observing first diversity and distribution of species could be
research funding programs dedicated specifically observed. But in times where calls for a
to Citizen Science or emphasizing the benefits of more open, participatory, and responsive science
volunteer engagement, such as OPAL for the UK are made, Citizen Science is increasingly under-
(https://www.opalexplorenature.org/aboutopal) stood as an instrument to empower citizens, rise
and the Top Citizen Science program in Austria a community’s capacity, and support concerns
(https://www.zentrumfuercitizenscience.at/en/top- of local residents in their socio-ecological envi-
citizen-science). ronments. Citizen Science is not just a tool that
serves science to collect and analyze data with a or finding solutions to the conflicting interest
wider scope and scale and open new research between bringing results back to the volunteer
areas, it is a research methodology in which the community quickly and the time-consuming pro-
distribution of power within the scientific process cess of publishing results in peer-reviewed
is gradually shifting from science toward society. journals to get scientific acceptance.
Citizen Science initiatives inform public interven- The impressive number of Citizen Science pro-
tions, improve decision-making, and/or stimulate jects demonstrates that there are answers and C
action and policy changes. At the same time, solutions to these open issues which are a basis
Citizen Science starts to take root in new areas, for mutual exchange and learning in the commu-
like health or social science. nity and will further shape with the increasing
While continuously exploring new forms and popularity and implementation of Citizen Sci-
outcomes of the science-society collaboration, ence. And, as the ALS study example shows,
Citizen Science players are still involved in forti- there are important ethical issues to consider
fying their basis and fundament. Structures of when Citizen Science starts to emerge in highly
cooperation and mutual exchange have been sensitive areas like health. Informed citizens may
established in recent years with, e.g., the estab- no longer wait for scientists to perform long-term
lishment of Citizen Science Associations in Aus- studies that might be guided by economic interests
tralia, Europe, and North America, and one can of, e.g., pharmaceutical industry. However,
observe the continuous emergence of Citizen patient-initiated research intentions run the risk
Science platforms on national level. The exchange of being abused by personal interests and of miss-
of scientific data and methodologies and the ing the required standards for reliability or credi-
knowledge on how to best conduct Citizen bility and the consideration of ethical guidelines
Science are current topics addressed in these asso- that clinical studies have to follow.
ciations, next to the collaborative development of While Citizen Science is developing toward an
tools, methods, protocols, interfaces, and stan- instrument for citizen empowerment, it is still
dards for activities throughout the whole scientific facing the challenge of being truly inclusive.
process. The profiles of volunteers are still dominated by
To harvest the full potentials of this participa- educated, older, white, middle, or upper socioeco-
tory research approach, Citizen Science players nomic class representatives. Therefore, at the
are challenged to consolidate the sometimes con- Citizen Science Conference 2016 organized by
tradictory interests of the involved stakeholder the American Citizen Science Organization, con-
groups. Critical points of discussion relate to the cerns were verbalized that without the engage-
potential conflicts between the demands for sci- ment of underrepresented communities in
entific rigor and the interest in obtaining socially science, existing inequalities may even be deep-
engaging and relevant outcomes. Examples of ened, and concerns and problems of those not
current challenges for the science-society cooper- involved in scientific research may be ignored
ation are finding regulations for data ownership, (Soleri et al. 2016). New ways of conducting
data access, and intellectual property; applying community-driven, bottom-up projects rather
credibility building mechanisms and procedures than science-driven investigations, as well as bi-
to guarantee scientific rigor; designing engage- directional approaches that recognize the local
ment concepts that foster and facilitate long-term knowledge and experience, are strongly called for.
cooperation and active involvement; evaluating Still, Citizen Science is struggling for broader
project outcomes for research, individual partici- acceptance as a research method among profes-
pants, and the socio-ecological system; integrat- sional scientists, as a recent discussion around an
ing data and knowledge from citizen-driven editorial in the nature (Rise of the citizen scientist
projects into established modes of scientific 2015) shows. The “objectivity” of science is put
research; adapting scientific appraisal systems to under question when control and power are
consider the social impact of scientific activities; shifting from professional scientists to volunteers.
286 CITUITA (Combined Innovation Technology Unification in the Advancement)
However, these critics tend to forget that science is Irwin A. Citizen science: A study of people, expertise and
never value free. By using suitable tools and sustainable development. Routledge: London, UK;
2002.
instruments, “lay” people are equally capable of Jordan RC, Gray SA, Howe DV, Brooks WR, Ehrenfeld
producing scientific insights and can considerably JG. Knowledge gain and behavioral change in citi-
contribute with the knowledge of their “lebens- zen-science programs. Conserv Biol. 2011;25
welt” (English: “living environment”) to science. (6):1148–54.
Oxford English Dictionary. Oxford: Clarendon Press;
The manifold scopes of Citizen Science allow for 2016. Citizen science. [cited 2016 June 8]. Available
the dynamic design and adaptation of the science- from: http://www.oxforddictionaries.com/definition/
society collaboration to different objectives and english/citizen-science
contexts. By staying open and flexible while Rise of the citizen scientist, [published: 2015 August 18,
cited: 2016 June 17]. Available under: http://www.
at the same time building a strong foundation, nature.com/news/rise-of-the-citizen-scientist-1.18192
Citizen Science may continue its journey, and Robinson LD, Cawthray JL, West SE, Bonn A,
even new forms and objectives are expected to Ansine J. Ten principles of citizen science. In S.
evolve in the future. Hecker, M. Haklay, A. Bowser, Z. Makuch, J.
Vogel, & A. Bonn. Citizen Science: Innovation in
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Press. 2018; 1–23.
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Cluster Innovation 287
between companies. Internal competitiveness

Clinical Research generates the need for continuous improvement.
At the same time, the proximity between the
▶ Translational Medicine and the Transformation members of the cluster allows the existence of
of the Drug Development Process formal and informal relationships. This favors
the learning and transfer of knowledge through
multiple channels. The knowledge is a source of C
innovation and leads to the growth of business
Clinical Trials productivity. In addition, the most innovative
companies usually obtain better profit margins
▶ Translational Medicine and the Transformation than the less innovative ones.
of the Drug Development Process Innovation is an activity that is strongly related
to business clusters. In fact, it is one of the main
activities that encourage the grouping of compa-
nies around a geographical location. Specifically,
Closed System the innovation has been related to the entry of new
companies into the clusters and the increase of the
▶ State Space Paradox of Computational productivity of the companies that are part of a
Research in Creativity cluster. One of the arguments supporting these
results suggests that, given the fact that there is a
part of the informal and uncoded composition,
this will be disseminated locally more easily. In
Cluster Innovation this way, geographical groupings of companies
will have greater opportunities to gain knowledge
Francisco Diez-Martin, Alicia Blanco-González and generate more innovation activities.
and Alberto Prado-Román In this context, it is understood that the term
Business Economics Department, King Juan cluster innovation refers to the innovation process
Carlos University, Móstoles, Madrid, Spain that occurs in a cluster of companies. That is,
“Clusters are geographic concentrations of
interconnected companies and institutions in a
Synonyms particular field” (Porter 1998), linked by com-
monalities and complementarities.
Innovative cluster; Innovative region;
Knowledge-based cluster; Regional innovation
system The Relationship Between Clusters and
Innovative Activity
Definition and Key Concepts The advantages offered by business clustering are
manifold (Baptista and Swann 1998). Belonging
One of the key issues in the study of enterprise to a cluster allows companies to enjoy a localized
clusters has been the accumulation and diffusion demand. Locating near customers improves the
of knowledge. The companies do not innovate in communication possibilities and facilitates the
isolation. They need external knowledge sources. consumers’ buying decisions. Although there are
For this reason, the companies that are within a competitors within the clusters, staying close to
cluster enjoy some advantages. Clusters of com- competitors can favor the increase in market
panies are characterized because they create con- share. Clients can be attracted to clusters because
nections that facilitate the exchange and diffusion they find more suppliers, more competition, and
of knowledge while maintaining the rivalry better services. Access to consumers is a key to
288 Cluster Innovation
innovation because they represent a source of When a company is part of a cluster, it

ideas. In addition, more sophisticated customers increases its opportunities to generate a network
are often part of clusters, and companies can of work where to support to develop and learn
exploit these information flows by establishing new technologies. This type of networks, which
communication mechanisms with consumers. are generated on direct social relationships, result
Something similar happens with suppliers. in a type of “social solidarity.” It facilitated the
Belonging to a cluster fosters the access to sup- access to knowledge and the solution of learning
pliers, which represent a source of key ideas for problems through the exchange of experiences. In
the innovation process. Close contact with sup- addition, members of these social networks often
plier infrastructures, inputs, and technologies can develop joint projects. This requires that compa-
lead to new innovative activities. Being close to nies have to interact with partners and allies,
the suppliers also allows a greater involvement exchanging knowledge to achieve common
with these during the process of innovation, goals. It is also observed that all companies are
which guarantees, to a greater extent, the adapta- not able to absorb all the technological knowledge
tion to the needs of the customers. that occurs in the cluster. This process requires the
Another feature of clusters is that they provide integration of external knowledge with internal
greater flexibility to companies so that they can knowledge. The acquisition of technological
innovate quickly. The networks of relationships knowledge also depends on each company’s
that occur among the members of the cluster allow absorptive capacity. In fact, some suggest that
companies to learn the technology of others faster. the integration of external knowledge entails
Through the ease of making site visits and fre- three processes (Kraaijenbrink and Wijnhoven
quent face-to-face contact between the members 2008). The first is to identify what is and where
of the cluster, it is favored that companies get to is the external knowledge relevant to the organi-
discover more quickly what is needed to imple- zation. The second is related to the acquisition of
ment an innovation. knowledge and consists of bridging the differ-
In some ways it seems paradoxical that the ences between internal and external knowledge.
greater the globalization, the greater the impact The last process would be to make the new knowl-
of geographical grouping of companies on the edge accessible so that it can be used by the
economy. The existence of a global market, with members of the organization.
greater and better transport and communication Companies should invest in their internal learn-
mechanisms, should reduce the need to group ing skills to improve absorptive capacity. Local
together to access technological knowledge. institutions and universities play a key role in
However, this is not always the case, because promoting collaboration and knowledge shared
part of the technological knowledge is tacit in among companies, disseminating new information
nature and cannot be codified through manuals and knowledge, developing intellectual capital
or scientific articles (Lima and Carpinetti 2012). among the clusters, and supporting business
This type of knowledge can only be learned innovation.
through everyday practice and use of technology Complex and poorly coded technologies
(learning-by-doing and learning-by-using). In this require greater direct contact for their acquisition,
case learning occurs when solving production which favors the geographic grouping of compa-
problems and meeting customers’ requirements. nies. On the contrary, simple and codified technol-
Therefore, their transfer requires direct contact. ogies do not require geographical concentration.
For example, if you think of a new technology However, the latter can generate the appearance of
that is in the early stages of its life cycle, you can new technologies. That is to say, the accumulation
see that it is generally more complex to under- of knowledge by the regions is the basis for the
stand, because it is constantly evolving and not emergence of a second round of innovations. The
codified. This leads to their learning which is ability to innovate is related to the amount of
carried out through personal contact. technological knowledge that is possessed. This
Cluster Innovation 289
circle of technological innovation rounds as a feed- that can be achieved in wages, taxes, and utility
back, which again implies the need for greater costs are very visible and easy to measure. How-
personal contact for its transference. ever, deciding the location of the business based
on the savings in inputs may hide some produc-
tivity problems such as the existence of deficient
Conclusion and Implications infrastructures, a reduced customer market,
the lack of suppliers with the most modern C
Business clusters play a key role in the exchange technologies, a little labor market, the low
of information and the diffusion of knowledge involvement of governments, or the lack of
(especially tacit knowledge). They provide a set R & D institutions.
of knowledge inputs that favor innovative activ- Companies that are outside the cluster tend to
ity. Among other reasons, they produce entrepre- have greater problems when developing innova-
neurial links that generate trust and favor the tive activities. These are faced with multiple chal-
transfer of knowledge (Eisingerich et al. 2010). lenges such as securing delivery or obtaining
These knowledge inputs can come through con- associated technical and service support. All of
sumers, competitors, suppliers, and other them represent factors that have an impact on the
research institutions such as universities. At the innovation process of companies. Therefore loca-
same time, the dissemination of knowledge tion decisions should be based not only on oper-
among the cluster members triggers an accumu- ational costs but also on the potential for
lation of technological knowledge that forms the innovation.
basis of future innovations. This is one of the The active relationships with cluster members
factors that generates the growth of clusters. are important to achieve greater access to
This accumulation of knowledge causes the resources and information, to learn early about
innovation capacity of the members belonging evolving technology, component and machinery
to a cluster, to be faster than the companies that availability, service and marketing concepts, and
are outside the cluster. In addition, the most so on. This requires personal relationships, site
innovative companies will try to be part of the visits, face-to-face contact, and a sense of com-
most innovative clusters in order to maintain and mon interest. However, some managers are afraid
improve their innovation process. that fostering these relationships will lead them to
Innovation is one of the fundamental advan- lose qualified clients or employees.
tages of membership in a cluster. However, com- The companies that form the cluster should be
panies should keep in mind that simply moving to working to improve and update the cluster. An up-
the cluster may not lead to technological knowl- to-date cluster maintains the potential for innova-
edge. Companies must not forget close links with tion for all its members. Also, it has been verified
buyers, suppliers, and other institutions. It is that the success of the members of a cluster is
important to create a network where knowledge related to the one of the cluster itself.
can be exchanged, because knowledge is a source Obstacles to productivity and growth can occur
of innovation. In fact, it would be advisable that in in clusters. These problems affect all cluster mem-
the development of its strategy, the companies bers, regardless of the type of activity they
evaluated four great aspects (Porter 1998): choos- develop. Cluster members should be associated
ing locations, engaging locally, upgrading the in order to solve common problems, foster the
cluster, and working collectively. activities of cluster members, work toward cluster
The choice of the location of the company improvement, lobby to involve public agencies, or
affects directly the costs of production and the attract R & D institutions. The development of an
potential for innovation. Some companies association of the members of the cluster
decide to locate their business in a geographical (multisector) allows working in local matters,
area focusing on operating costs. They look for unlike most sectoral associations whose activity
low wages, taxes, and utility costs. The savings is usually national.
290 Cluster Performance
Future Research Kraaijenbrink J, Wijnhoven F. Managing heterogeneous

knowledge: a theory of external knowledge integration.
Knowl Manag Res Pract. 2008;6(4):274–86.
The process and benefits of innovation for busi- Lima RHP, Carpinetti LCR. Analysis of the interplay
ness clusters are an issue of interest that has been between knowledge and performance management in
analyzed from multiple perspectives: economical industrial clusters. Knowl Manag Res Pract.
geography, entrepreneurial perspective, network 2012;10(4):368–79.
Porter ME. Clusters and the new economics of competi-
perspective, and management literature. These tion. Harv Bus Rev. 1998;76(6):77–90.
are complementary approaches that have not yet
been studied together. Innovation patterns have
also been analyzed in specific sectors or for spe-
cific clusters. Therefore, future studies could test
whether innovation patterns are replicated in other Cluster Performance
clusters and, beyond, in other countries. In this
line, it would be interesting to know how local Francisco Diez-Martin, Alicia Blanco-González
conditions can support the accumulation of tech- and Ana Cruz-Suárez
nological capabilities in the members of a cluster. Business Economics Department, King Juan
In relation to the types of innovation, very little is Carlos University, Móstoles, Madrid, Spain
known about the different types of innovations
which are generated by the different types of
clusters. Synonyms
Geographical cluster performance; Industrial

Cross-References cluster performance; Regional cluster perfor-
mance; Regional performance
▶ Business Emergence
▶ Cluster Performance Definition and Key Concepts
▶ Clusters, Networks, and Entrepreneurship
▶ Innovation and Entrepreneurship Cluster performance is a concept which refers to
▶ Innovation Economy a group of items, companies, organizations,
▶ Innovation Opportunities and Business Start-Up etc. that highly develop an activity. It is a term
▶ Innovations of and in Organizations of sociology, political science, and business eco-
▶ Institutional Entrepreneurship, Innovation nomics. More specifically, it has been a relevant
Systems, and Innovation Policy research topic since the early 1990s in the fields
▶ Knowledge-Capital and Innovation of regional studies, management decision, indus-
▶ Knowledge Economy trial policy, economic geography, and strategy
▶ National Innovation Systems (NIS) and business management. The complexity of
▶ Tacit Knowledge this concept lies in determining what a cluster
▶ Techno-globalization and Innovation is. Once the limits that define the cluster and its
members are known, the evaluation of their
activities will be possible.
References In business economics, “clusters are geo-
graphic concentrations of interconnected compa-
Baptista R, Swann P. Do firms in clusters innovate more? nies and institutions in a particular field” (Porter
Res Policy. 1998;27(5):525–40. 1998), where their members are linked by com-
Eisingerich AB, Bell SJ, Tracey P. How can clusters sustain
performance? The role of network strength, network
monalities and complementarities. Clusters are
openness, and environmental uncertainty. Res Policy. also labeled as industrial clusters, geographical
2010;39(2):239–53. clusters, regional clusters, hot spots, or hubs.
Cluster Performance 291
A cluster is composed of organizations, from Ubrique’s leather cluster in southern Spain, or

the same or different sectors, which maintain the irrigation equipment in Israel.
some type of linkage. For example, a cluster The importance of the clusters is that they
could consist of competing companies, including promote competition and cooperation. They are
suppliers of raw materials, machinery suppliers, composed of direct rivals who compete for the
service providers, infrastructure providers, dis- same customers. In addition, these rivals cooper-
tributors, advertisers, personnel providers, ate with suppliers and distributors. This double C
trainers, etc. Definitely, it is formed by all organi- circumstance of the clusters, where at the same
zations linked together. Thus, the companies of a time it cooperates and competes, is the key to
sector can be part of two different clusters. For determine the cluster performance. Without vig-
example, the software industry is connected to the orous competition and cooperation, the cluster
IT sector and to the medical devices sector will fail.
because they are software providers to the medical A cluster represents an organizational form
devices business. that offers advantages in efficiency, effectiveness,
It is difficult to define where the limits of a and flexibility, for all its members, regardless of
cluster are. In rare cases, they conform to the their size. This is achieved in three different ways:
known sectoral classification systems. These sys- increasing productivity among the cluster mem-
tems often do not take into account many impor- bers, showing the way to innovation, and stimu-
tant actors and relationships in competition. Thus, lating the establishment of new businesses.
it is understood that the limits of a cluster should There are several factors that cause the mem-
be limited to the linkages and complementarities bers of a cluster to increase their productivity
across industries and institutions that are the most (Porter 1998). First, they get better access to
important to competition. The academic literature employees, because a cluster reduces the risk of
suggests at least “seven types of relationships relocation for employees. Second, there is also
within the cluster which include up-stream link, better access to suppliers, as these are integrated
down-stream link, rival firms, professional service into the cluster. It minimizes the need for inven-
firms (transport, business, legal and other ser- tory and eliminates importing costs and delays.
vices), academic or research institutes , available Third, the access to information is more fluid
capital (banks, venture capital, and other financial between providers and buyers, because the trust
services), and other organizations (chamber of is established by personal relationships and
commerce) ” (Lei and Huang 2014). In this way, community ties.
it is not necessary that the clusters be located in the Complementarities are also the key to increas-
same region; they can also cross state, national or ing productivity and they come in many forms. It
regional borders. is an alternative way of organizing the value
One of the world’s best-known clusters is chain, for example, when in a tourist area a prod-
Hollywood which is dedicated to the entertain- uct (restaurant) complements another (shopping
ment industry, where producers, agencies of outlets). Also when a supplier is able to serve their
actors, specialists in digital cinema, suppliers of products very quickly is collaborating so that the
sound, etc. are located. They all form a cluster seller can meet the deliveries on time. Moreover,
located around Los Angeles. In this line, a sim- belonging to a cluster with a good reputation and
ilar cluster located in Bombay is known as legitimacy also favors the reputation and legiti-
Bollywood. There are clusters in multiple macy of its members, which results in better
domains: technology companies in Silicon Val- access to resources.
ley (south of San Francisco), medical device The productivity of a cluster can also be
companies in the Boston, fashion shoe compa- increased to the extent that it is easier to develop
nies in northern Italy, auto companies in southern benchmarking actions. If the competitors are in
Germany, financial Services in New York (Wall similar environments, it is easier to measure and
Street), Bordeaux’s wine cluster in France, compare performances. Finally, one of the great
292 Cluster Performance
motivating factors for companies is internal its study. The first factor is determining the bound-
rivalry. In the clusters, many rival companies aries of the cluster. Which are the companies that
come together and they all want to look like are inside the cluster? Some clusters do not have a
the best. clear boundaries and it is difficult to determine the
Innovation is a business activity that is usu- size of the population of the cluster performance.
ally associated with better performance. In this Moreover, with so many interrelationships, the
line, it seems that the innovation capacity of the size of the clusters is usually very large, which
companies that are part of some cluster is makes it difficult to collect enough data to obtain
greater. There are several reasons for this rela- reliable measurements.
tionship. First, the members of a cluster coexist There is no single way to measure cluster per-
directly with their competitors, which give them formance. For example, some scholars have con-
a better window on the market than isolated sidered cluster performance in terms of rates of
competitors. Second, the close relationships technology transfer, innovation, local wage
that occur between the members of the cluster growth, or employment growth. In some ways,
(easiness of making site visits and frequent face- the performance cluster measurement depends
to-face contact) allow companies to learn the on the interest of the evaluator. One way to mea-
technology of others faster. sure cluster performance is by taking into account
The advantages gained by cluster members its key metrics for most regional and national
make many companies want to belong to it, policy makers: job growth, new business growth,
rather than remaining isolated. This causes the and the overall increase in economic output.
growth of the cluster. One of the reasons for this Eisingerich et al. (2010) measure this as growth
is that suppliers want to be close to their cus- in the creation of new firms, jobs, and outputs in
tomers, so they try to locate within the cluster. each cluster, controlling for industry growth in
This also happens with new suppliers and buyers. each country:
Locating near customers improves communica-
tion possibilities for suppliers and facilitates con- X
sumers’ purchasing decisions. The cluster often CPc ¼ ðFcj fCj þ Jcj jCj þ Ocj oCjÞ:
presents a significant local market. In turn, within
the clusters appear gaps in products or services where:
around which new ventures can build businesses.
Getting the resources to plug these gaps is easier CPc weighted composite performance score for
within the cluster, where it is easier to find industrial cluster c
needed assets or qualified personnel. Financial Fcj percentage growth in new firms of industrial
institutions or investors, already familiar with the cluster c in country j
cluster, may require a lower risk premium on fCj overall percentage growth in new firms of
capital. industry C in country j
These conclusions have been reached mainly Jcj percentage growth in new jobs of industrial
through case study method, either studying the cluster c in country j
behavior and results of the members of a single jCj overall percentage growth in new jobs of
cluster or comparing results between two clusters. industry C in country j
There are few researches that have obtained their Ocj percentage growth in output of industrial
results by observing larger sample of clusters. cluster c in country j
oCj percentage growth in output of industry C in
country j
Measurement This is just one example of how to measure cluster
performance. Other measurement variables
Measuring cluster performance is not an easy could be used depending on the evaluator’s
question. There are many factors that influence interest.
Cluster Performance 293
Determinants of Cluster Performance above all, the improvement of existing clusters

that are having an impact on the economy, bearing
The existence of a global market, with greater and in mind that, across a region, the cluster diversifi-
better mechanisms of transportation and commu- cation may be more beneficial than diversification
nication, should diminish the role of location in in sectors. They should encourage links between
competition. However, corporate clusters are clusters, because clusters that relate to other clus-
playing a key role in the economy. Among other ters achieve better performance. C
reasons, they produce business links that generate In addition, the managers of the companies
confidence and favor the transference of knowl- should take into account that simply moving to
edge. Thus, the main elements that influence the the cluster may not lead to sustained competitive
performance cluster are economic efficiencies, advantage. It is important to create a network in
knowledge transference, and social networks. which to exchange knowledge. In fact, it would be
Spatial proximity allows to improve cluster advisable in the development of its strategy to
performance because it allows firms to take evaluate four major aspects (Porter 2003): choos-
advantage of scale and positive externalities such ing locations, engaging locally, upgrading the
as an abundance of highly skilled labor, special- cluster, and working collectively.
ized subcontractors, rapid flows of information,
and de-integration of value chains. The proximity
leads to improved efficiency and fast speed to
Future Research
market. It also allows the knowledge transfer.
The tacit knowledge is difficult to codify. Their
The problems of measurement of the clusters,
transference is executed mainly through personal
which are associated with the establishment of
contact, which is easier between members who are
the limits of the same, have caused the lack of a
close among themselves. All of this leads to
systematic approach for their measurement. This
knowledge creation and learning. In addition, the
is one of the shortcomings that could try to solve
characteristics of social networks also determine
future studies. New studies on cross-regional and
cluster performance. Strong networks tie and open
cross-national samples could be developed that
new networks to facilitate the transfer and assim-
could reach a high degree of reliability.
ilation of knowledge within clusters. They pro-
More research is needed to understand the rela-
vide to the cluster members the access to new
tionship between cluster performance, economic
knowledge and ways of operating.
efficiencies generated by spatial proximity,
There are also other variables that can moder-
knowledge transfer, and social networks, because
ate the relationship between the determinant vari-
the characteristics that define the structure of the
ables and the performance cluster. For example,
spatial proximity, the knowledge transfer, and
the relationships between network openness, net-
social networks may vary considerably.
work strength, and cluster performance vary
At the same time, it is convenient to research
according to environmental uncertainty.
what other variables, such as the environment,
have the capacity to moderate the performance
cluster. In this sense, cross-national studies can
Cluster Performance Implications for
clarify some questions.
Governments and Companies
In order to improve the performance of their clus-

ters, the governments should ensure the supply of Cross-References
high-quality inputs such as trained individuals or a
good infrastructure. Strengthen antitrust laws as ▶ Business Emergence
well as intellectual property. In addition, they ▶ Business Incubator
should promote the creation of clusters and, ▶ Cluster Innovation
294 Clusters
▶ Clusters resources that are complex, cumulative and, for

▶ Regional Cluster the most, still embryonic or difficult to access.
▶ Triple Helix of University-Industry- Considerable efforts must be also devoted for
Government Relations mobilizing and training of the manpower, acqui-
sition of new knowledge and know-how, and
informing employees about new technologies
References and services, as well as their market potential.
Equally important here is the need for a close
Eisingerich AB, Bell SJ, Tracey P. How can clusters sustain coordination among a great number of heteroge-
performance? The role of network strength, network
neous and geographically dispersed actors. The
openness, and environmental uncertainty. Res Policy.
2010;39(2):239–53. potential for innovation and the competitive
Lei H-S, Huang C-H. Geographic clustering, network rela- positioning of actors “depend increasingly on
tionships and competitive advantage. Manag Decis. their differentiated abilities to collaborate with a
2014;52(5):852–71.
wide range of partners – those with key comple-
Porter ME. Clusters and the new economics of competi-
tion. Harv Bus Rev. 1998;76(6):77–90. mentary competencies and significant specific
Porter M. The economic performance of regions. Reg Stud. resources, and/or those enjoying competitive
2003;37(6–7):549–78. advantages in terms of localization” (Depret
and Hamdouch 2011, pp. 249–250). Hence there
is a need for intense, more collective coordination
between many heterogeneous and geographically
Clusters dispersed actors. These collaborations are increas-
ingly structured in the form of coalitions and net-
▶ Diversity and Entrepreneurship works of a varied nature transcending geographical
borders. This coordination often goes through
forming of interest coalitions, vertical and horizon-
tal partnerships, interorganizational networks (as
well as entrepreneurial/social/political/cultural net-
Clusters, Networks, and works), clusters, etc. Only the geographical con-
Entrepreneurship centration of activities (spatial proximity),
combined with belonging to the same community
Marc-Hubert Depret1 and Abdelillah Hamdouch2 (organizational proximity) and the adoption of a
1
University of Poitiers, CRIEF, IRIAF, Poitiers shared “cognitive space” (cognitive proximity,
(campus of Niort), France either scientific or technological), allows entrepre-
2
Planning Department, Polytechnic School, neurs to amortize the high R&D, production, and
University of Tours, Tours, France commercialization costs they often have to engage
in. It is also under this condition entrepreneurs can
eventually overcome the various entry and mobility
Synonyms barriers blocking or slowing the growth of busi-
ness. Finally, these combined forms of proximity
District; Hub; Milieu; National system of innova- are the conditional “gate” that allow entrepreneurs
tion; Park; Regional innovation system to preempt and control knowledge, competencies,
and strategic resources increasingly complex,
Innovation processes often depend upon the avail- uncertain, and costly projects (Depret and
ability or constitution of a critical mass of knowl- Hamdouch 2009; Ferru et al. 2014).
edge, (multidisciplinary) competencies and These innovation clusters, as well as networks
(entrepreneurial, managerial, and human) and the dynamic role that entrepreneurs play,
Clusters, Networks, and Entrepreneurship 295
have a wide range of theoretical and empirical Key Concepts and Definition of Terms
studies in a variety of disciplines (economics,
sociology, geography, management). The core The common point of these different studies is to
idea at the heart of these studies is that it is the consider entrepreneurship as a territorial innova-
combination of agglomeration and proximity tion and entrepreneurial system (TIES) that is
logics founds in nowadays competitive, innova- characterized by Hamdouch and Moulaert
tive, and entrepreneurial dynamics in most (if not (2006): (i) the fundamental role of territorial prox- C
all) industries. More precisely, the available lit- imity and clustering dynamics; (ii) the multiplicity
erature focuses on the idea that the geography of and diversity of the actors (large companies,
innovation and entrepreneurship is being funda- SME, entrepreneurs, business angels, venture
mentally structured (or embedded) within clus- capital and private equity firms, layers, etc.); (iii)
ters (broadly speaking) and networks that the complex articulations between the multiple
encompass the collaborative, learning and institutional, spatial, temporal, and cognitive
knowledge spillover dynamics that are specific frameworks; (iv) the crucial importance of histor-
to certain territories and to innovation actors ical, social, cultural, and geographical dynamics
(notably the entrepreneurs) they involve (Depret in structuring these frameworks; (v) the diversity
and Hamdouch 2009; Hamdouch et al. 2012, of the forms taken by this system.
2013). In this context, TIES (as a cluster) is a spatial
The literature (especially empirical) offers a mode for the organization of entrepreneurship,
highly diversified range of approaches in terms innovation, and related activities (Depret and
of research aims and methodologies, in countries Hamdouch 2011). It “comprises an ensemble of
or regions or industries studied. They are also various organizations and institutions (a) that are
highly varied as regarding the hypotheses tested defined by respective geographic localizations
and the results yielded. Hence, the aim here is not occurring at varied spatial scales and within spe-
to provide a comprehensive survey of these stud- cific institutional environments, (b) that interact
ies. But rather to draw a first (tentative) typology formally and/or informally through inter-organi-
of the most important pieces of literature zational and/or interpersonal regular or more
according to approaches privileged and their spe- occasional relationships and networks, (c) and
cific focus (for more detailed surveys, see that contribute collectively to the achievement of
Hamdouch 2008, 2010; Depret and Hamdouch all kind of innovations within a given industry or
2009, 2011; Hamdouch and Depret 2009). In this domain of activity, i.e., within a domain defined
perspective, the remainder of the entry is orga- by specific fields of knowledge, competences and
nized as follows: the first section defines the technologies. This definition is rather flexible, as
notions of clusters and innovation networks (pre- it entails only that the three sets of conditions are
sented here, in a broader sense, under the generic being simultaneously verified. It could then cor-
term of territorial innovation and entrepreneur- respond to a large variety of spatial, institutional
ial systems or TIES); the second section shows and organizational concrete configurations of
that there exists at least eight differentiated views innovative dynamics. Moreover, it does not pre-
of TIES depending on the hypotheses of the judge of the spatial topography of the interacting
approaches privileged by the researchers. There actors, nor does it impose any constraint on the
also exists at least eight ways in defining the way they may interact (i.e., cooperate or com-
goals and the contents of policies (whatever pete)” (Hamdouch 2010, p. 43).
their spatial scope) that are aimed at promoting At the same time, a network is “a specific
or supporting or accompanying entrepreneurial modality for the structuring or coordination of
and innovation dynamics in a given territory and/ inter-organizational relationships among various
or sector. legally independent actors (firms, entrepreneurs,
296 Clusters, Networks, and Entrepreneurship
institutions, etc.) aiming at achieving a common The Traditional Approaches of Clusters and
project in a specific domain through the control, Networks
exchange or sharing of information, know-how, To analyze clusters and networks it is necessary to
knowledge, as well as products and/or capital open “the ‘black box’ of the TIES approach”
(. . .). The actors participating to a network may (Depret and Hamdouch 2009). In order to pro-
be co-located within the same cluster or belong to gress toward a better understanding of what
different clusters” (Depret and Hamdouch 2011, “TIES” are or might actually be, it is necessary
p. 232). to change the analytical framework and the man-
Unfortunately, the “understanding of the ner in which TIES are traditionally studied
mechanisms at work within the dynamics of (Hamdouch and Depret 2009). Indeed, within
the emergence, structuring, coordination and this framework TIES appear to be at the same
development of the phenomena of the cluster- time (see Fig. 1):
ing and networking of [entrepreneurship and]
innovation processes remains incomplete, dis- – “Geocentred” (i.e., localized or regionalized):
persed and (let’s admit it) fairly flimsy”
(Depret and Hamdouch 2011, p. 231). Almost In this case, most TIES is usually and generally
all the different approaches of TIES relate to defined as being very strongly (spatially) embed-
realities (semantic, topographical, and contex- ded in a territory (a district, a city, a region, a
tual) which differ depending on the authors, country) that is more or less extensive, but which
for different reasons (Hamdouch and Depret is still relatively well (spatially) defined (clusters,
2009). districts, parks, areas, milieux, cities, agglomera-
tions, regional or national innovation system, etc.)
(Hamdouch and Depret 2009).
Clusters and Networks in the In this perspective, the emphasis is placed, on
Entrepreneurship (and Innovation) one hand, on the decisive role played by
Literature colocation, geographical proximity (preemptive
access to knowledge, skills, resources, and strate-
In fact, it is believed that TIES’s literature is gic technologies; localized collective learning
mainly organized and structured around three effects; access to new outlets, etc.), and spatial
major overlapping dimensions (Fig. 1). These clustering effects (technological externalities of
dimensions refer respectively to the cultural and agglomeration). Yet on the other hand, emphasis
political territorial anchorage (“geocentric” or is placed on the importance of territorialized
“polycentric”) of TIES, to the degree to which (technological, institutional, and economic)
they are open to “the outside” and to the nature of dynamics (Depret and Hamdouch 2011). This
the interdependencies (“competitive” or “reticu- explains why entrepreneurs, in this theoretical
lar”) between the actors. The combination of framework, should start and develop their busi-
these three dimensions results in eight possible nesses within TIES where R&D centers of excel-
approaches of the notion of TIES that can be lence, large companies, funding institutions,
related to two bundles of works: the first gathers specialized business services, and other entrepre-
the traditional approaches which build on the neurs are located.
triple hypothesis of a strong territorial anchorage
of the actors, of a strict impermeability of the – “Centripetal” (i.e., territorially closed or
territory vis-à-vis other territories, and of rela- anchored or “autarkic”):
tionships among the actors mainly based on
transactions or contracts; the second relates to In this approach, the territorial bounding of
“evolutionary” approaches which postulate a TIES is relatively strict, insofar as the other spatial
spatially multiscalar, open, and networked view scales have a relatively secondary or marginal role
of the territory. (Gordon and McCann 2000), although they are
“Geocentric”, Formation of local TIES around
Localized source of
“Centripetal” and “indigenous” entrepreneurs, investors
competitive advantage
“Market” TIES and innovators
“Geocentric” and
“Centripetal” TIES
“Geocentric”, Network of actors Integration of local entrepreneurs and
“Centripetal” and spatially and socially innovators in various territorially embedded
“Network” TIES anchored social networks (clubs, associations, etc.)
“Geocentric” TIES
“Geocentric”, Favoring cooperation between local
“Centrifugal” and Hub entrepreneurs and innovators (and/or with
“Market” TIES actors belonging to rival TIES)
“Geocentric” and
“Centrifugal” TIES
Clusters, Networks, and Entrepreneurship
“Geocentric”, Integration of the local TIES (and of its

Neo-Marshallian
“Centrifugal” and entrepreneurs and innovators) within larger
network TIES/networks
“Network” TIES
Which Territorial Anchorage? Which openness? Which actors’

relations inside TIS? Nature of TIES Nature of entrepreneurial / innovation /
TIES [Geocentric vs. Polycentric [Centripetal vs. Centrifugal
[Market vs . Network territorial policies
perspective of TIES] perspective of TIES]
perspective of TIES]
“Polycentric”, Intra-and/or inter-firm Formation of cross border (across regions or

spatial organization of countries) TIES around local entrepreneurs
“Centripetal” and entrepreneurship and
“Market” TIES and innovators
“Polycentric” and innovation
“Centripetal” TIES
“Polycentric”, Integration of local entrepreneurs and
Multi-territorialized
“Centripetal” and innovators within cross border/ continental
network or global networked TIES
“Network” TIES
“Polycentric” TIES
“Polycentric”, System spatially Facilitate/ support cooperation of local
“Centrifugal” and distributed along a actors with entrepreneurs and innovators
“Polycentric” and “Market” TIES value chain originating from other TIES
“Centrifugal” TIS
“Polycentric”, Formation of global networks of TIES
“Centrifugal” and Multi-scaled network around local, cross border or global
“Network” TIES entrepreneurs and innovators
Clusters, Networks, and Entrepreneurship, Fig. 1 Drawing the “tree” of TIES approaches: a suggested three-dimensional typology (Source: Authors)
297
C
sometimes taken into account (Hamdouch and and co-operative interactions among the
Depret 2009). colocalized entrepreneurs and firms (Hamdouch
From this perspective, the authors focus on and Depret 2009; Hamdouch 2010). In other
only one territorial scale and therefore mainly words, they “represent a kind of new organiza-
(even exclusively) on the only actors of innova- tional form in between arm’s length markets on
tion that are to be found there. TIES therefore one hand, and hierarchies, or vertical integration,
appear here to be “closed” systems (Bell and on the other hand” (Porter 1998, p. 79). In this
Albu 1999), relatively closed to the outside way, the interorganizational and interindividual
(even autarkic) (Hamdouch and Depret 2009). relationships formed within TIES are generally
However, this doesn’t seem to be detrimental to seen from a contractual or transactional (market-
the territory’s competitiveness, and in view of the oriented) perspective (Cooke 2005). Cooperation
fact that, from this “centripetal” perspective, between the actors is only considered in logic of
knowledge and resources are mainly distributed “coopetition” (Gordon and McCann 2000). In this
within the territory (and in all cases are distributed perspective, the performance of TIES will depend
better than between the territories) (Jaffe et al. on the “right balance” between the intensity of
1993). competition and the heterogeneity (of actors)
The emphasis is therefore placed on the pres- within TIES (Bathelt and Taylor 2002; Malmberg
ence, within TIES, “pulling” or central actors and Maskell 2002). On one hand, the probability
socially embedded: star scientists, critical inter- of survival for the entrepreneurs will be weak if
faces, intermediate actors or gatekeepers, entre- the competitive pressure is too strong. Yet on the
preneurial investors, business leaders (or anchors) other hand, a too strong heterogeneity will trans-
or pioneer entrepreneurs, dense social networks, late into a greater number of surviving entrepre-
etc. (Hamdouch and Depret 2009; Depret and neurs, likely to be, on the average, less creative/
Hamdouch 2011). innovative and of smaller size.
From this perspective, extraterritorial relation- In the same logic, the relationships formed
ships are an exception or a “second best” option within TIES are generally seen from a purely trans-
(Audretsch and Stephan 1996) because the extra- actional, contractual, or market-oriented perspec-
local level “comes as a supplement to relation- tive (Cooke 2005; Depret and Hamdouch 2011).
ships and properties pertaining to the local level” Networks are often presented as fairly informal
(Lagendijk 2002, p. 84). (Grabher 2006), sometimes decontextualized
(Dicken and Malmberg 2001) – that is, without
– And/or “market-dominated” (i.e., exclusively any real (social, informational, or cognitive) con-
targeting economic competitiveness): siderations – and sometimes even seen from a static
(Garretsen and Martin 2010) or a-historical (Bathelt
In this case, competition and the externalities and Taylor 2002; Boschma and Frenken 2006)
of knowledge represent the two engines of com- viewpoint (Depret and Hamdouch 2011). In this
petitiveness of TIES (Hamdouch and Depret context, “nonmarket relationships” (either entre-
2009). They therefore contribute toward “organiz- preneurial, institutional, cultural, jurisdictional,
ing” relations between actors within TIES, by etc.) appear to be, in TIES, as mere pecuniary
favoring entrepreneurship and the distribution of positive externalities feeding economic growth
knowledge, and contribute by encouraging actors and creating jobs within the territory.
to invest in R&D. The emphasis is therefore placed on the (appar-
This approach thus presents TIES as a specific ently necessary) “critical size” of TIES (Porter
spatial industrial organization based on two main 1998; Orsenigo 2001; Folta et al. 2006; Trippl
dimensions: firstly, the links between actors in and Tödtling 2007). The performance of TIES is
terms of geographical proximity, of complemen- usually measured by the number of entrepreneurs,
tarities and of trustworthy relationship building firms, and institutions of innovation that are pre-
and secondly the existence of both competitive sent (or created) in the territory, and by their R&D
expenditure, the number of patents (or scientific infrastructures (property, transport, etc.), venture
articles), the number of employees, etc. capital, consulting and law firms have an impor-
(Audretsch and Feldman 1996; Suarez-Villa and tant position in TIES (Hamdouch and Depret
Walrod 1997; Orsenigo 2001; Prevezer 2001; Tri- 2009; Depret and Hamdouch 2011).
ppl and Tödtling 2007; Zucker and Darby 2007;
Aharonson et al. 2008). TIS therefore compete to
attract (or to retain) the most competitive actors in The Evolutionary Approaches of Clusters and C
their territory (Hamdouch and Depret 2009). Networks
Within this framework, the increasing integration When these three hypotheses (i.e., local anchor-
of innovation actors fosters interaction and new age, weak openness, and market-dominated
connections, creates new investment, entrepre- logics) are jointly (or, at least, by pairs) postulated,
neurial, and recruitment opportunities, helps to as is often the case, TIES appear to be strongly
develop supporting infrastructures and, in the anchored within the territory, with little room for
end, creates a “climate” that is a priori relatively openness toward the “outside” and based essen-
favorable to entrepreneurship and innovation tially on market-like relationships. This is the
(Baptista and Swann 1998). With time, spatial rationale explaining why various authors have
integration also increases the attractiveness attempted during the last few years to go beyond
(Bathelt 2005) of the territory and the perfor- this restrictive vision of TIES by adopting an
mance of its members through “increasing alternative approach (see Fig. 1) that is at the
agglomeration and proximity returns” (Depret same time:
and Hamdouch 2011) and increasing as well the
mimetic effects of a self-fulfilling and self- – More“polycentric” (or multiterritorialized or
strengthening reputation (Appold 2005). scattered or nested):
Other studies (Audretsch and Feldman 1996;
Dicken and Malmberg 2001; Kaiser and Prange This approach places the emphasis more on the
2004; Wolfe and Gertler 2004; Casper and logics of organizational or cognitive proximity
Murray 2005; Jong 2006; Trippl and Tödtling than on spatial proximity (Carrincazeaux et al.
2007; Waxell and Malmberg 2007) focus on the 2001; Boschma 2005). They consider it is no
central role played by the existence of a wide longer so much the colocalization of actors
and diverse (local) labor market, because it which matters, but more the nature and intensity
fosters the dissemination of knowledge and of their “connectivity” (Amin and Cohendet 2005;
facilitates interaction (Hamdouch and Depret Depret and Hamdouch 2011).
2009; Depret and Hamdouch 2011). Most of From this polycentric perspective, TIES has an
the contributions also emphasize the major anchorage that is either transversal or multi-
role of financial markets, investors, and busi- territorialized (Hamdouch and Depret 2009). In
ness angels (Kaiser and Prange 2004; Zucker the first case, TIES is part of a (sectoral or tech-
and Darby 2007). nological) system, community, world or mode of
Finally, they highlight the importance of a cer- production, or of a value chain. This “system”
tain number of key actors, who, by their sufficient transcends geographical boundaries (Depret and
presence within a TIES, will play a critical role as Hamdouch 2011). In the second case, TIES is very
coordinators, go-betweens, advisors, scrutinizers, clearly seen as being multianchored to several
and proselytes (Prevezer 2001; Wolfe and Gertler territories (more or less distant geographically)
2004; Hamdouch and Moulaert 2006; Trippl and (Coenen et al. 2004). In some cases, TIES is
Tödtling 2007; Waxell and Malmberg 2007; multispatialized when a network firm serves as a
Champenois 2008). This is why various “support node (Amin and Thrift 1992; Gertler and Levitte
stakeholders” (local institutions, business service 2005) between different spatial locations or scales
organizations, technology transfer institutions, (Hamdouch and Depret 2009, Hamdouch et al.
business incubators, think tanks, etc.), 2014).
– More centrifugal (or openness-based): As a matter of fact, most of the entrepreneurs

and other actors of innovation processes within
From this perspective, agglomeration dynam- TIES have often more (or stronger) ties with
ics are generally deployed under a constant ten- external than with internal actors of TIES (Depret
sion between, on one hand, to fulfill the need to and Hamdouch 2009). This is particularly the case
develop strong, cohesive relationships between when local entrepreneurs must look “elsewhere”
the local innovative actors, and, on the other for the knowledge, competences, or resources
hand, deployed to fulfill the need to preserve a they need but can’t find “locally” (Hussler and
certain “permeability” (Bathelt and Taylor 2002) Rondé 2005). In this way, the probability of inno-
vis-à-vis outside actors (including sometimes geo- vating is greater for firms benefiting from a favor-
graphically distant actors) in order to benefit from able “local milieu,” but also from close links with
complementary cognitive or financial inputs global networks of knowledge, capital, and people
(Lagendijk 2002; Wolfe and Gertler 2004; Depret (Gertler and Levitte 2005; Depret and Hamdouch
and Hamdouch 2009). The different spatial scales 2011; Hamdouch et al. 2012, 2013; Bernela et al.
therefore fit together (Depret and Hamdouch 2016). The dynamism of TIES also “depends on
2011; Ferru et al. 2015; Hamdouch et al. 2012, the capacity of their members to absorb knowl-
2013), one inside the other, while impacting on edge outside the territory and to subsequently
each other (Dicken et al. 2001; Wolfe and Gertler disseminate this within their own territory in
2004; Moodysson et al. 2008). In this way, order to “hybridize” them with the knowledge or
exchanges outside the TIS are often more favor- innovations” (Depret and Hamdouch 2011,
able to the transfer of knowledge than exchanges p. 250) developed locally (Bathelt and Taylor;
within such TIES. In fact, “local exchanges are 2002). Consequently, the entrepreneurship and
often based on weak or routine links that only innovation process can be seen as “a result of a
rarely (Bathelt et al. 2004) or insufficiently ‘combinaison’ of close and distant interactions”
(Asheim 2002) foster learning, knowledge trans- (Oinas 1999, p. 365). Some authors (Lagendijk
fer, and synergetic effects and, therefore, major 2002; Powell et al. 2002; Nachum and Keeble
innovations” (Depret and Hamdouch 2011, 2003; Saxenian and Li 2003) even show that the
p. 246). Actually, relatively distant actors at the openness of TIS “does not necessarily translate
geographical level can perfectly build and sustain into a reduction of the intensity and density of
over the long run “strong ties,” interact (physi- local links” (Depret and Hamdouch 2011,
cally and/or virtually) on a recurrent basis, and p. 247). In contrast, this openness may represent
exchange among them even tacit pieces of knowl- a factor in making (interorganizational) relation-
edge and competences (Breschi and Lissoni 2001; ships more viable and stronger (Powell et al.
Gertler 2003; Bathelt et al. 2004; Bresnahan et al. 2002; Owen-Smith and Powell 2004). This
2004; Amin and Cohendet 2005; Niosi and Zhegu appears to be the case including for entrepreneurs
2005; Torre 2006; Glückler 2007). Equally, sev- and small-medium enterprises that can tap in
eral researches show that, beyond a certain degree “external” sources of knowledge, competencies,
(even intrinsically), spatial proximity doesn’t or funding they cannot find (or not anymore)
impact (or insufficiently) on knowledge creation within their TIES. But in reality, these enterprises
or dissemination and on innovativeness within the are usually more developed (in terms of size),
territory (Grotz and Braun 1997; Suarez-Villa and more mature (in terms of organizational and stra-
Walrod 1997; Wever and Stam 1999). Lastly, sev- tegic experience), and positioned more down-
eral researchers point out the fact that spatial stream in R&D processes (i.e., more “close to
proximity may well generate negative agglomer- the market”) than the average innovating enter-
ation externalities that can be higher than the prises (Powell et al. 2002).
expected positive externalities of agglomeration Some authors stress the risk, for local stake-
and closeness (Nooteboom 2000; Boschma 2005; holders, of a progressive and often irreversible
Martin and Sunley 2006; Torre 2006). cognitive lock-in within TIES (Granovetter
1985; Uzzi 1997; Bathelt 2005), which is some- or less colocalized in one territory (and sometimes
times fatal (Camagni 1995). Worse, certain TIES in several territories). As a result, many
“contain the seeds of their own destruction and approaches in the literature come mostly under
may potentially disappear or die (. . .) if they the “market-oriented perspective” (see above).
[don’t] develop ways to access external markets, Indeed, in such approaches, networks are, roughly
adjust power relations in a fluid way and repro- speaking, supposed to yield positive effects on
duce [their] structures through ‘powerful’ institu- entrepreneurs’ performance (Baum et al. 2000). C
tions” (Bathelt and Taylor 2002, p. 106, authors’ Entrepreneurs’ relationships with large compa-
square brackets). nies, research institutions or universities are sup-
posed to attenuate the inherent uncertainties
– And more reticular: related to their “youth in business.” Accordingly,
their initial performance increases along with their
From this perspective, TIES and networks are more or less size of “alliance networks” with
inseparable from the logics of the spatial and stra- “institutionalized partners” (Baum et al. 2000),
tegic organization of innovation (Dicken et al. but also with the “diversity” of such networks
2001; Cooke 2005; Grabher 2006). Relationships and partners (Llobrera et al. 2000; Owen-Smith
among actors within (and sometimes between) et al. 2002). The “age” of the network is also
TIES are usually based on formal and informal decisive. Indeed, Stuart (2003) shows how entre-
ties that refer to a “coopetitive” or nonstrictly mar- preneurs have a greater probability to be funded
ket-oriented logic (i.e., a mix of competition and further by a potential investor if they have already
cooperation) rather than on formal (i.e., through formed alliances (the effect of trustworthiness)
legal contracts or agreements) market-oriented with previous funders/investors and if over time
thinking (Moulaert and Mehmood 2010). their first alliance has been long enough to nourish
Within this alternative framework, networks a “good reputation.” However, alliance networks
(and particularly interindividual “social net- are also “risky games”: they can be a source of
works,” in the original sense of local and physical vulnerability for “candidate entrepreneurs,” given
or concrete interplay among colocated people are the risks of opportunistic behavior from the “part-
part of the core explanation of the colocation of ners.” This being said, some researchers rest on the
innovation actors in some specific places, starting conviction that “reputation effects” (both related to
with “entrepreneurs,” i.e., researchers, potential entrepreneurs and potential funders or “allies”)
innovators, and business-project’s oriented actors. play, in most situations, a greater role than short-
Such social networks include connections thanks sighted opportunistic behavior (Owen-Smith and
to acquaintances or “go in between” people or Powell 2008; Hamdouch 2008).
whatever “bridge” role that some individuals, Moving further on, it is important to consider
sometimes unforeseen, can occasionally play) other researches that tend to show the importance
are the core explanation of the colocation of inno- of social networks and relationships, and of trust,
vation actors in some specific places, starting with reputation, altruism, friendship, leniency, forbear-
“entrepreneurs,” i.e., researchers, potential inno- ance, kindliness, integrity, social capital, habitus,
vators, and business-project’s oriented actors. culture, rules, conventions, routines, rites, sym-
Hence, the articulation of networks within and bols, taboos, beliefs, myths, or, more broadly,
across TIES appears to be a central component “extramarket” relationships (Castilla et al. 2000;
or conditional building block for a territorial Moulaert and Sekia 2003; Ter Wal and Boschma
(open) clustering dynamics. 2009).
This articulation of TIES and networks vary For some, however, this approach seems to be
however, depending on the authors (for a detailed locked into an overterritorialized view about the
analysis, see e.g.: Hamdouch and Depret 2009; embeddedness of TIES (Hess 2004). This is why
Depret and Hamdouch 2011). A minima, TIES can some advocate a more integrated (even coevolu-
be considered as simple networks of actors, more tionary) vision of TIS and networks. In this
network governance approach (Grabher 2006), of thought, one can say that, “while networks are
TIES is no longer (only) considered as geograph- embedded within territories, territories are, at the
ically “anchored” network, within which actors same time, embedded into networks” (Dicken et al.
are grouped ogether more or less on a 2001, p. 97), so that “the global economy is consti-
colocalization basis (Depret and Hamdouch 2011). tuted by ‘spaces of networks relations’” (ibid.) or, to
They appear more as combinations of “multiscaled put it differently, it builds on “multiscaled networks
networks,” both in terms of location and the variety of networks” (Hamdouch 2010).
of actors’ modes of interaction (Hamdouch 2010). TIES, as a cluster, is also “a complex networked
From this viewpoint, TIES and networks are inti- entity that is systemic, structured (around stake-
mately connected (Amin and Thrift 1992; Dicken et holders with highly varied organizational or insti-
al. 2001; Nachum and Keeble 2003; Coe et al. tutional profiles), polymorphic, dynamic (that is, it
2004; Phlippen and van der Knaap 2007). TIES is evolves over time and in space) and relatively open
seen as being juxtaposed and coevolving (see to the outside world (that is, ‘centrifugal’) or even
Fig. 2). The different spatial scales fit into this, ‘multiscalar’ (or polycentric)” (Depret and
one into the other, each having an impact on the Hamdouch 2011, p. 230). In this way, TIES is a
other (Wolfe and Gertler 2004). Following this line web of social networks comprising a potentially
Extra-local factors (both static and dynamic)
Endogenous local dynamics (Territory 3)


Geographical / Entrepreneurial /
Economical / Social / Cultural /
Historical territorial specific factors
Dynamic alignment,
coherence and
adaptability of
territorial innovative
“ingredients”
Networks of
entrepreneurs and
other actors of
Strategies and
innovation Policies
Clusters, Networks, and Entrepreneurship, Fig. 2 A schematic representation of TIES time-space evolution
dynamics (Source: Authors, inspired by Hamdouch and d’Ovidio (2009))
large variety of entrepreneurial and innovation (through the influence of external factors) and, as
stakeholders who interact (or coevolve) within the a result, they subject national and regional spaces
framework of occasional or regular relationships, to developments (entrepreneurial, scientific, tech-
both inter- and intraorganizational, and who con- nological, institutional, economic, strategic, and
tribute to the performance of activities in a partic- organizational) that are in part influenced by
ular area (ibid., p. 232). dynamics external to the territories, e.g.: strategies
Finally, research literature often puts forward of multinational firms, monetary and economic C
the colocation of innovation actors within TIES is developments at the global level, regional integra-
neither motivated by market-oriented purposes tion policies and their effects, free trade agree-
nor, intentionally, structured around networks. ments, etc. (see: Hamdouch and Moulaert 2006;
As highlighted by Markusen (1996) and Torre Depret and Hamdouch 2011; Depret et al. 2014;
(2006), colocation can sometimes be the result of Hamdouch et al. 2012, 2013).
diverse others factors (for example, attractive At the same time, the growing spatial interde-
property prices, tax breaks, the quality of the pendencies between actors of innovation – exac-
local employment market, the “critical size” of erbated on one hand by interregional integration
the outlets offered by the local market, and the processes, globalization of economies, interna-
reputation of TIES). It can even, in certain cases, tionalization and “networking” of firms, and yet,
be the result either of a “historical accident” or a on the other hand, by policies of devolution and
“nonchoice” (Champenois 2008), of purely sub- regionalization at the infranational level – tend to
jective individual factors (Autant-Bernard et al. redefine the space and the modalities of expres-
2007), or even of a “copycat effect” (Appold sion of their respective rationalities and of their
2005; Gertler and Levitte 2005) of “chain loca- modes of interaction. The result links different
tion” (Caplin and Leahy 1998). Certain works, spatial levels in the determination and evolution
some of which are quite “old,” have equally of institutional frameworks within which the pro-
shown that culture, well-being, diversity, “social cesses of territorial entrepreneurship and innova-
glue,” learning, social movements and “bottom- tion take place (cf. Hamdouch and Moulaert 2006;
up” socially creative initiatives, governance Depret and Hamdouch 2011).
modes, social conventions, ethical shared values It is in this context that the idea has been
or norms of behavior, “solidarity” among the developed within TIES (see above) that added
actors. . . can highly contribute (as much as eco- entrepreneurial opportunities, value, growth,
nomic and scientific, technological, business or and, ultimately, jobs, are created today. At the
financial networking processes) to the long-term same time, the comparative advantage of TIES is
territorial dynamics, and therefore to TIES devel- no longer exclusively depends on the simple
opment trajectories and socioeconomic “achieve- mobilization of the resources with which they
ments” (see Moulaert and Mehmood 2010). have been provided by “nature,” history, geogra-
Building on this three-dimensional analysis phy, institutions, or contingency. Competitiveness
(see Fig. 1), at least eight “manners” for conceiv- in markets, which have become global, requires
ing TIES can be envisaged. There are many varied the access to a wide range of (entrepreneurial,
ways to design policies aiming at promoting/ financial, and cognitive) resources and technolog-
supporting the development of entrepreneurship ical skills. “Hence the emphasis placed on greater
initiatives and successful outcomes. proximity and closer coordination between the
various ‘holders’ of resources and skills. In an
environment characterized by a redistribution of
Clusters, Networks, and spatial and sectoral ‘cards’ between” the different
Entrepreneurship Policies innovation “players” and entrepreneurs, “the
comparative advantage lies in the ability of rival
During the last three decades, geographical bor- yet complementary actors” (. . .) to manage
ders have tended to become more permeable increasingly close and structural” including
extramarket interdependencies within an the configurations they may underlie. In this con-
extremely wide range of clusters [TIES] and net- text, we propose an original “mixed method” for
works (Depret and Hamdouch 2011, p. 228, cluster analysis (Bernela et al. 2016). This mixed
authors’ square brackets). method can reconcile the two traditional methodo-
Indeed, governments (at all levels of territorial logical strategies (qualitative and quantitative) and
organization) are now multiplying (TIES’s) poli- can enrich both since the analysis of clusters’ struc-
tics which aim to place entrepreneurship and inno- ture requires quantitative methods whereas ques-
vation at the heart of their economic development tions about processes founding the construction
strategies (Hamdouch and Depret 2009; Depret and evolution of networks need qualitative
2014). These policies are differentiated across approaches (Edwards 2010). The second research
territories depending on how public authorities axis is essentially methodological and empirical. It
conceive existing TIES or how they might want relates both to the selection of efficient criteria and
to promote and develop (see Fig. 1). empirical methods (converging or complementary
ones if possible), and to the carrying out of in-depth
case studies on a comparative basis.
Entrepreneurship and innovation dynamics, as

Cross-References
related to specific territorial and institutional set-
tings and evolution paths, appear to be multiface-
ted phenomena. As illustrated in the literature
▶ Business Start-Up: From Emergence to
reviewed and the analytical typology presented,
Development
it is rather clear that there are very contrasted
▶ Entrepreneur
approaches to TIES, though the reality offers con-
▶ Entrepreneurial Opportunities
crete territorial dynamics that are probably lying
along a continuum of configurations rather than
▶ Entrepreneurship and Financial Markets
matching “discrete” models of TIES. Equally
▶ Entrepreneurship Policies
important is the intertwining of clustering and
networking phenomena in the shaping, deploy-
▶ Innovative Milieu as a Driving Force of Inno-
ment, and evolution of TIES. And it is this
vative Entrepreneurship
dynamic articulation between the two phenomena
▶ Innovator
that constitutes a robust argument for conceiving
TIES as multiscalar and rather “open” territorial ▶ Networking Entrepreneurship
settings that can best favor viable entrepreneur-
▶ Partnerships and Entrepreneurships
ship and innovation processes over the long run.
▶ Social Networks and Entrepreneurship
Finally, public policies appear to be capable of ▶ Territory and Entrepreneurship
influencing the shape and evolution of TIES;
they can influence, under the condition, however,
that these policies are dynamically aligned with References
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new forms of competition. Statistics from the
OECD countries show the growth of the service
economy (OCDE 2007) based on “service rela-
tion” (Gadrey 1996; du Tertre 2006), which
Co-citation brought clients and other stakeholders into the
creation of the solution at the point of its concep-
▶ Networks and Scientific Innovation tion, especially in the case of entrepreneurial strat-
egies, and even made them a source of creation of
new, innovative small and medium enterprises
(SMEs). The perception of value by the client
Co-Conception and during the co-conception process resides in exclu-
Entrepreneurial Strategies sive experiences while using the products or
experiencing the service that was co-conceived
Ingrid Vaileanu Paun together with the entrepreneur rather than in a
Institut de l’Evaluation Participative de la Valeur transactional relationship. The role of the client
Territoriale, Issy-les-Moulineaux, France will be discussed in the context of the evolution
(Boutillier and Matagne 2010) of the role of the
entrepreneur from the exclusive role of profit-
Synonyms maker to a role of shared-value co-creator with
client and stakeholders.
BtoBtoU; Collaborative work; Co-innovation;
Marketing
Definition and Process Description
Co-conception will be defined here in the context
of the recent evolution in entrepreneurial strate- The Co-Conception as a Consequence of the
gies that value creation in compatibility with sus- Evolution of the Economic Model: Context of
tainable development and that have also lead to the Concept Development
important changes in relations with clients (B to The context of the emergence and development
B) and with customers (B to C). The place of the of co-conception entrepreneurial strategies is
308 Co-Conception and Entrepreneurial Strategies
Périodisation de l’ évolution des stratégies des ENTREPRISES

Vers un découplage de la croissance économique
de la consommation des ressources
PERIODED IGNORANCE PERIODE CONTESTATION PERIODE DE CONCERTATION
MODÈLE FORDIEN CONTESTATION VERS UN MODÈLE

DU MODELE FORDIEN DE L ECONOMIE DE LA
FONCTIONNALITE
Les années ‘50 Les années ‘70 Les années ‘90 2010
1987 2009 Crise structurelle
Le rapport Brundtland 2005
« Notre avenir à tous » Entré en vigueur Protocole Kyoto
Croissance matérielle
Concept du D.D. 2000
1973, 1976 United Nations Global Compact
Chocs Pétroliers 1997
Application du Protocole Kyoto
1972 Agenda 21
Création de PNUE GRI
Rapport Club de Rome « Limits of Growth »
1996
La norme ISO 14000
Système de gestion de l’ environnement dans l’ entreprise
1992
Conférence de Rio Sommet de la Terre
Co-Conception and Entrepreneurial Strategies, Fig. 1 Time line of the evolution of firms’ strategies in the context
of the increased demand for compatibility with sustainable development. (Source: Vaileanu Paun 2010)
important, as the place of the client in the eco- the earlier stages of the economic process, during
nomic process has changed in the last 60 years, the conception and the production of a product, a
following the evolution (Figs. 1, 2, 3 and 4) of service, or a PSS (Mont 2002). Solutions of this
business models in modern societies towards type improve the performance of the result by
compatibility of economic growth with sustain- adapting it to specific multiple needs of the client.
able development solutions. For instance, the
Fordism socio-economic model during the period Actors of the Co-Conception
of the Glorious Thirty Years corresponds to a The actors in co-conception strategies are often
period that saw social injustices and the destruc- SMEs, which are capable of investing more
tion of resources, with multinational corporations resources in adapting offers to their clients, as
pushed to achieve productivity gains via product their economic model is not yet ready for mass
standardization and low production costs, in spite production, which is the case with multinationals
of the social and environmental impacts. This that are nevertheless experienced with the benefits
model imposes a “simple transactional relation,” of co-conception strategies, for instance, in the
with the client meeting the offer of the product case of software innovations such as the “lead-
exclusively on the market and ignoring the whole user method” (Hippel 1988). The co-conception
product life cycle (maintenance, repair, strategy offers opportunities for entrepreneurial
recycling). The “service economy,” developed in developments, as the client’s and stakeholders’
the 1970s, relies, in exchange, on the contributions represent free resources and capa-
co-conception of the solution with the client in bilities supporting ex ante the business
Registre « de la coopération »
La co-conception 1. Spécialisation des entreprises =

compatibililté co-conception et co-
Stratégies
production
multifonctionnelles
d’entreprise
2. « relation de coopération » - aux
Stratégies serviclelles
antipodes des stratégies fordiennes C
d’entreprise
3. La co-évaluation = démultiplication
des fonctions des produits et des
services
Stratégies fordiennes La co-production

d’entreprise
Proposition des typologies Clients en fonction du degré de

La co-évaluation coopération pour la création de valeurpar l’entreprise.
Co-Conception and Entrepreneurial Strategies, Fig. 2 Evolution of client relations toward collaborative work.
(Source: Vaileanu Paun 2009)
Evolution of the client relation following the evolution of

the economic model
MODÈLE FORDIEN CONTESTATION VERS UN MODÈLE

DU MODELE FORDIEN DE L’ ECONOMIE DE LA
FONCTIONNALITE
TRANSACTIONAL RELATION SERVICE RELATION COOPERATION RELATION
Co-Conception and Entrepreneurial Strategies, Fig. 3 Evolution of the client relation. (Source: Vaileanu Paun
2009)
development of a SME lacking the financial entrepreneurial business model (Vaileanu Paun
resources to invest ex post in marketing and pro- 2010).
motion but also in compliance with environmental
and social constraints. The input of clients and Impacts and Implications of Co-Conception
stakeholders, the consumer work (Dujarier 2008) The service economy approach brought the client
at an earlier stage of the economic process (Fig. 2) closer to the entrepreneur and encouraged the
of a SME could spare entrepreneurial investments creation of new SMEs based on this new, virtuous
and thus contribute to sustainable development by circle of performance-related sales of solutions.
adapted use of resources and by integrating nega- Thanks to the co-conception dynamic, entrepre-
tive and positive externalities within a sustainable neurs embraced a new position in society, not just
310 Co-Conception and Entrepreneurial Strategies
Evolution of the evaluation criteria of the firm’s value
MODÈLE FORDIEN CONTESTATION

DU MODELE FORDIEN VERS UN MODÈLE
DE L’ ECONOMIE DE LA
FONCTIONNALITE
MATERIAL VALUE FINANCIAL VALUE TERRITORIAL VALUE
Monetarization of the evaluation criteria Financiarization of the evaluation criteria (territorialization of the evaluation criteria)
Co-Conception and Entrepreneurial Strategies, Fig. 4 Evolution of the evaluation criteria of a firm’s value.
(Source: Vaileanu Paun 2009)
as a simple production point but as a “system” R&D process, which is more likely to be
(Vaileanu Paun 2009) of related stakeholders with accepted in SME and entrepreneurial business
different interests influencing its strategy towards environments (due to financial constraints and
the co-conception of offers capable of providing a lack of capabilities) than in multinational corpo-
coherence between economic, social, and envi- rations that are reluctant to share their knowledge
ronmental performance. The co-conception col- with clients and stakeholders. Co-conception
laborative work induces an évolution in the also implies a strategy of evaluating the contri-
management strategies efficiency évaluation bution of each of the actors involved in the
from the dichotomic approaches, either BtoB co-conception as well as the capacity to “reduce
(Business to Business) or BtoC (Business to Con- or compensate the different asymmetries” (Paun
sumer), towards an extended evaluation approach 2011) of the actors to favor co-innovation by
of whole system actors of BtoBtoC (Business to entrepreneurs.
Business to Consumer) or even BtoBtoU The impacts on the evaluation strategies are
(Business to Business to User) (Vaileanu Paun potentially important, considering the new
2009), according to the functional economy con- organizational structure of the economic pro-
cepts. Statistics in the OECD countries show the cess and especially the new boundaries of action
increase of the service economy (OCDE 2007) for the actors involved in this collaborative
based on “service relation” (Gadrey 1996; du relation.
Tertre 2006), leading clients (Fig. 3) and other The evolution of evaluation criteria (Fig. 4) of
stakeholders to contribute to the creation of a firm’s value from an evaluation of the material
the solution in the phase of its conception, value during Fordism was followed by the intro-
especially in the case of entrepreneurial strategies, duction of evaluation of the financial value during
and even to be the source of creation of new, the period of contestation of the Fordism. Today,
innovative SMEs. there is a need to integrate the extra-financial
This collaboration relation with the client and value (social and environmental impacts) of the
the stakeholders rather than a simple transaction firm. The evaluation methodology tends toward
relation assumes organizational changes in terms co-evaluation.
of corporate management, contractual tools, and Co-evaluation has been perceived by different
new competition forms. The co-conception strat- researchers as a collaborative process involving at
egy supposes the capacity and the decision to least two evaluators in direct contact with the
evolve in collaboration relations during the subject of the evaluation, representing more than
just an evaluation by peers and possibly in the spin-offs and an entrepreneurial hybridization
context of the changes of the post-modern revo- of market pull and technology push approaches
lution (top–bottom), legitimizing the multiple (Paun 2011) for value creation through
perspectives. innovations.
Co-evaluation, part of the territorialization ten-
dency (Vaileanu Paun and Boutillier 2012) of the
evolution criteria involving the stakeholders, is C
Cross-References
collaborative work and is a dimension of the
collaboration relation that allows the actors in
▶ Externalities
the value creation to find, through the
▶ Innovation
co-conception process, a new, virtuous circle by
constantly improving the solutions for better per-
formance in terms of better response to needs that
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de la fonctionnalité. Le cas de EDF, travaux de la Cognition
première thèse en économie de la fonctionnalité en
France, convention CIFRE chez EDF, Université Paris
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Synonyms
Co-creation
Cognition; Cognitive science; Divergent thinking;
▶ Creative Collaboration Information processing; Novelty; Originality
Key Concepts and Definition of Terms

Coevolution
Trying to understand creativity has produced a
▶ Areas of Innovation in Arts: Innovation and vast literature spanning psychology, anthropol-
Where to Look for It ogy, biology, archaeology, sociology, business,
▶ Communicating Invention, Creativity, Innova- literature, the arts, architecture, design, and sev-
tion, and Entrepreneurship eral other disciplines. Here is one definition from a
▶ Future Innovations in Next Centuries recent compendium on creativity: Creativity may
▶ Mode 3 Knowledge Production in Quadruple . . . be . . . thought of as the entire system by which
Helix Innovation Systems: Quintuple Helix and processes [conceptual combination, conceptual
Social Ecology expansion, metaphor, analogy, mental model con-
▶ Quality of Democracy and Innovation struction, etc.] operate on [psychological, social,
▶ Social Design and cultural] structures to produce outcomes that
▶ Social Ecology and Quintuple Helix Innovation are novel but, nevertheless, rooted in existing
Systems knowledge (Ward et al. 1997, p. 18). This brief
review of the information available will concen-
trate on a psychological perspective, but all van-
tage points add important dimensions to the
concept. Psychologists primarily study topics
Coffee from an individual’s point of view, but recent
work has begun to appreciate the larger contexts
▶ Innovations of Domestic Espresso Making
in which creativity occurs and their role in its
manifestation (Boden 1994). Nevertheless,
irrespective of the definitional and evaluative con-
text chosen to explore creativity, it ultimately
Coffee Making depends on the mental experience of individual
minds – both for its manifestation and apprecia-
▶ Innovations of Domestic Espresso Making tion (Gardner 1993).
Cognition of Creativity 313
From the current evidence, it appears that cre- modular homes are more creative due to their
ativity rarely if ever involves completely new or scarcity. Nonetheless, novelty enjoys a time-
original concepts or ideas. Instead, most creative honored distinction within most acts of creativity.
work efficiently integrates the existing informa-
tion into unusual syntheses or juxtapositions,
together with only incremental novelty. The Theoretical Background and
notion of an isolated genius with special powers Open-Ended Issues C
who consistently stuns the world with great
insights, inventions, or ideas – as if by magic – In general, two different perspectives broadly
has likewise not enjoyed much empirical support. characterize the various methods used to investi-
The bulk of the evidence points instead to the gate creativity. Researchers distinguish between
many influences that together produce the ability “mundane” and “exceptional” creativity. The for-
to build on past accomplishments; approach prob- mer is often studied under controlled laboratory
lems in novel ways; and entertain multiple, conditions, while the latter necessarily involves
ambiguous, and even conflicting alternatives. In studying individual examples of creativity within
this regard, Sir Isaac Newton once remarked, “If their historical or contemporary contexts (e.g.,
I have seen farther than other men [sic], it is Gardner 1993). Studies of “mundane” creativity
because I have stood on the shoulders of giants.” seek to understand the cognitive structures and
Although creativity can be incremental in rela- processes involved when anyone behaves in cre-
tion to its historical context or involve great leaps ative ways (e.g., Zabelina and Robinson 2010),
of imagination, it seems most often to be incre- while studies of “exceptional” creativity try to
mental. In fact, original ideas that jump too far determine if any unique features or attributes char-
beyond currently available conceptual frame- acterize outstanding, usually historical examples
works are typically ignored or even vilified. of creativity. Thankfully, the results from these
There is some controversy over whether popular- two approaches yield many areas of conceptual
ity alone can indicate evidence of creativity, or agreement.
whether expert knowledge and information must First, analogy and metaphor appear to play an
also be considered. At least it appears safe to say important role in creative behavior. Analogies and
that for something to be truly creative, it must metaphors relate things that on the surface do not
have both a source and an audience. Analogous appear to be similar, but understanding their use
to the oft noted mystery regarding sound without typically requires comparisons at higher levels of
anyone present to hear it, creativity must be appre- abstraction, thus allowing the similarities to be
ciated by someone to be considered creative. Oth- appreciated. For example, the observation,
erwise, it might be merely original or novel from “When Carl stepped to the lectern, he confronted
its producer’s perspective. a sea of faces,” implies a comparison between
However, novelty and originality figure prom- crowds of people and large bodies of water.
inently in many investigations of creativity. In From the simple definitions of “crowd” and
fact, some studies have evaluated “degree” of “sea” no immediate similarities exist. However,
creativeness specifically in terms of statistical or the analogy creates similarity at the level of “large,
actuarial rarity. Something being new or original undifferentiated or unitary expanses” and can then
certainly fits with most people’s conception of be easily understood. Both the use and
creativity, but a little more thought reveals that it deciphering of analogy and metaphor may depend
is an inadequate definition. For example, just on searching through associative networks under-
because there are more yellow cars than purple lying long-term semantic memory (cf. Zabelina
ones does not mean that purple is thus a more and Robinson 2010).
creative color for cars. No doubt there are more Studies have demonstrated that problem solv-
“stick” or stone/brick houses than trailers in most ing in general can be improved by the use of
countries, but few architects would argue that relevant analogies, similes, and metaphors. In
314 Cognition of Creativity
addition, much of the research evaluating out- describe imaginary animals, their attempts
standing historical instances of creative genius reflected many of the fundamental properties of
(e.g., Kepler, Galileo, Newton, Picasso, Leonardo species known to them. Essentially the same
da Vinci, Einstein, Michelangelo) has found that results have been reproduced in studies of adult
the comparison processes underlying metaphors subjects as well. An interesting implication from
and analogies figure prominently in the accom- this research is that in order to be creative in an
plishments of these luminaries (cf. Gardner 1993). influential way, new ideas must relate to existing
Second, the cognitive processes underlying knowledge structures and familiar concepts, or
“mundane” and “exceptional” creativity appear they may not be recognized or accepted as useful
to differ more in terms of quantity than quality. (Zabelina and Robinson 2010).
This is good news, because it means that everyone
can learn to be more creative. These underlying Metaphor
processes include (1) Conceptual Combination; The use of metaphor not only requires creativity
(2) Conceptual Expansion; (3) Metaphor; and on the part of the originator; it also can increase
(4) Analogy and Mental Modeling. There are the creative experience of those comprehending
obvious similarities among these creative behav- the metaphor. Metaphors can, thus, at the same
iors as already noted, but exploring examples of time be an example of creativity and also act as
each separately will aid discussion (Ward catalysts to spur further creative language. Meta-
et al. 1997). phors, like analogies, usually demand that a com-
parison between the related entities be made at a
Conceptual Combination higher conceptual level of abstraction for the
This involves the combining of concepts (usually implied similarity to be constructed. “You must
words) to form a completely new concept. For accept the thorns with the roses” suggests a com-
example, Darwin’s term “natural selection” built parison between life’s experiences and a rose
on the prevailing knowledge of artificial selection bush. While easily understood by most adults,
as used by breeders to influence subsequent gen- young children can get distracted by the surface
erations of animals or plants. His creative new definitions of the terms involved.
concept suggested that such an apparently inten- Interestingly, the myth that children tend natu-
tional process might also occur without design rally to be more creative than adults and are sub-
interference, hence “natural selection.” Popular sequently stifled by the rigid structure of the
culture often employs this approach as well, as educational system has not survived close scru-
in “asphalt jungle,” “quiet riot,” “quantum leap,” tiny. Both children and adults tend to be
etc. An important implication from findings in this influenced by their current conceptual knowledge
area involves the salience of diversity in experi- structures and reach beyond these constraints only
ences and abilities within and across individuals with difficulty. Again, the implication for business
in providing the fertile conditions necessary for leaders is that diverse, extensive prior experience
the occurrence of useful combinations. among one’s employees can foster creativity
within the organization. Much like the acquisition
Conceptual Expansion of expertise, it would appear there is no substitute
Children’s growing understanding of the world for accumulating vast amounts of knowledge in
and language through development provides the fostering creative breakthroughs (Winner 2000).
most obvious example of conceptual expansion.
However, anyone involved in learning something Analogy and Mental Modeling
new also participates in conceptual expansion. Lord Ernest Rutherford’s comparison of a hydro-
Interestingly, research evidence suggests severe gen atom to a planetary system (the nucleus as the
limitations on most people’s ability to jump very “Sun” surrounded by orbiting electrons) made use
far beyond their current knowledge framework. of analogy; many other examples of the creative
For example, when children were asked to draw or use of analogy could be given. Investigators of
creativity have distinguished between “near” and as content. Thus, being very familiar with trends
“far” analogies. An example of a “near” analogy in the larger society can improve creativity by
might be comparing Romeo and Juliet with West ensuring its relevance to an audience. Being cre-
Side Story, while an example of a “far” analogy ative can involve new insights about the recipients
could be Kepler’s comparisons between light of ideas as well as the ideas themselves being
from the Sun and the vis motrix (motive force; original or novel. Pursue sensitivity to the socio-
gravity was unknown at the time). Some investi- cultural milieu, providing this broader organiza- C
gators have argued that “far” analogies – those tional or institutional context for internal tasks,
comparing categories that are highly conceptually activities, and functions (cf. Ward et al. 1997).
distinct – are more important in creativity than Metaphors and analogies appear to be impor-
“near” analogies, but recent evidence suggests tant in the creative process. Their usefulness
this view may be too simplistic. depends not only on their novelty and originality,
Mental models could enhance creativity by but also on how cleverly they integrate with
providing a rich context in which novel words, existing knowledge structures and available infor-
terms, ideas, and concepts can be explored. More mation. Thus, creativity involves incremental
elaborate cognitive frameworks in which novel progress as much as surprising leaps of
ideas or objects could be embedded allow many logic. Exploring combinations of ideas as well as
more alternatives for their potential development ideas in isolation can be a useful strategy
or enhancement to be explored and compared. (cf. Casakin and Shulamith 2011).
There is recent evidence that groups of people, Creativity may be related to physical activity
who share a mental model of their task, and bodily experience; thus, a variety of behav-
outperform groups whose members do not. ioral pursuits and opportunities contribute to
Again, a variety of experiences and responsibili- being creative. This suggestion holds implications
ties seem to promote more extensive, detailed for education at all levels (e.g., the continuing
mental models, resulting in richer conceptual importance and usefulness of recess – unstruc-
structures stored in memory. tured play time – during the school day), but
may also improve the creative performance of
individuals, groups, and teams within different
Implications for Theory, Policy, and institutions and organizations, public or private.
Practice Creativity may depend on group interaction,
particularly to prevent less useful ideas from
Creativity usually comes from extensive, diverse being pursued. Individuals working alone quickly
knowledge rather than from eccentric or inher- manifest a vested interest in their ideas and a bias
ently gifted individuals with a bent toward bizarre toward confirming information. Collective contri-
imagery. Increasing the diversity of employees’ butions to creativity seem particularly important
cultural and ethnic backgrounds, their areas of when tasks are well-known and participants have
expertise, and using interdisciplinary, cross- a high degree of expertise. Explanations of crea-
functional teams should enhance creativity wher- tivity tend more and more to rely on the impor-
ever needed. To fully leverage their diversity and tance of the broader social context in which it
the opportunity for creative combinations and occurs. Diverse, autonomous, motivated, cohe-
synergies, such teams need a shared vision, missive groups with a collective purpose can result
sion, and goals. Other important factors to pro- in creative production in any organization
mote group syntheses include training the group (Sternberg 1999).
as a unit and explicitly sharing information about Conscious access to the process of creating
each group member’s particular area(s) of exper- appears to be lost soon after the realization of a
tise (cf. Ford and Gioia 1995). creative outcome or problem resolution. It might,
Creativity depends both on its production and thus, be important to provide high-quality tools to
its appreciation. Context can be just as important support collective cognition and collaboration
316 Cognition of Creativity
within schools, institutions, or corporate enter- boundaries, open sharing of knowledge and infor-
prises, thereby improving the quality of group/ mation across institutional or corporate entities
team interactions and capturing them while they may be very important. While competition for
are occurring. limited resources in some cases can be motivat-
Creativity may thrive on noticing how unlike ing, it also tends to promote the hoarding of ideas
things might be related. Only experienced indi- and lessons learned. Encouraging the wide shar-
viduals have an adequate understanding of multi- ing of best practices as well as mistakes within
ple organizational or institutional levels and universities, government entities, or companies
processes to leverage opportunities for creative can help to eliminate redundancies of effort and
synergy. Recruitment and retention of students, prevent the repetition of unproductive pursuits,
faculty members, executives or employees with while providing an atmosphere for synergy,
an extensive, diverse knowledge base – both remote reference, and the fertile interaction of
inside and outside of the relevant enterprise(s) – ideas. Recent evidence suggests that for speeding
can increase the likelihood of creativity. up the creative process, cycling between diver-
Although creativity may be modestly corre- gent (broad) and convergent (narrow) thinking
lated with intelligence up to IQs around 120 or may be very important; the exact timing and num-
125, extreme intelligence does not guarantee cre- ber of sequences for these activities depend on
ative ability – nor vice versa. However, creativity contextual factors, such as organizational/group
does seem to be related to certain personality culture, type of problem/topic (creative problem
characteristics. Some of these include indepen- solving [CPS] represents an entire sub-specialty
dence, nonconformity, being unconventional in creativity research), team diversity (ethnic/
(even Bohemian), being open to new experiences, nationality and disciplinary), team competencies,
having wide interests, having both cognitive and and motivational circumstances (Amabile and
behavioral flexibility (particularly, comfort with Kramer 2011; Ford and Gioia 1995; Sternberg
paradox), and a disposition toward risk-taking. 1999).
These findings have important implications for Initiating and maintaining creativity as an
the tendency among corporate executives to hire explicit corporate or institutional goal actually
and promote individuals who reflect those execu- involves an inherent conundrum: The origin of
tives’ opinions, preferences, and life-styles. “command and control” organizational struc-
Diversity – not conformity – is the watchword of tures hails from the industrial revolution when
creativity (Simonton 2000). Frederick Taylor – among others – conceived of
Creativity depends critically on the initiation social organizations that could be arranged so
and maintenance of effort – usually over extended that individual workers would mindlessly con-
periods of time. It is, thus, important for govern- tribute to abstract goals defined by executive
ment and corporate leaders to analyze carefully management and thus, collectively operate just
both the implicit and explicit incentive systems like a grand, glorious machine. Some evidence
currently operating within their institutions or indicates that true genius and creativity may
organizations. Do the intrinsic and extrinsic depend as much on superior innate abilities as
reward structures encourage creative, innovative on characteristics acquired through diligent
behaviors and taking risks? Or do they instead effort, and so to encourage creativity, corpora-
exert pressure toward the status quo, toward safe tions or institutions must intentionally identify,
havens of normal, ordinary conduct? Do these recruit, retain, and reward creative individuals
functional incentives adequately reward useful and teams; creativity cannot be process-
creativity while at the same time effectively prun- engineered (Sternberg 1999).
ing bizarreness for its own sake? (Amabile and Some evidence suggests that daydreaming and
Kramer 2011; Hennessey and Amabile 2010). fantasy may be related to creativity. Whether cre-
Since creativity often involves unusual associative people daydream more or daydreaming can
ations or novel integrations across conceptual make ordinary people more creative has not yet
been determined; however, it seems reasonable analogies, metaphors, and similar comparison
that to encourage creativity, some freedom from processes in creative thought, the meanings of
tight schedules and deadlines may be important. words and concepts depend in important ways
To increase the likelihood of creativity, the effec- on a historical foundation of actual bodily
tiveness and efficiency of repetition and “standard experience.
operating procedures” must be balanced with the For example, the term “comprehend,” a virtual
time and flexibility to explore and innovate for its synonym for “understand,” comes from the Latin C
own sake (Amabile and Kramer 2011; Hennessey comprehendere, which literally means “to seize”
and Amabile 2010). or “to grasp.” Recent theoretical and empirical
work suggests that many analogies and metaphors
create meaning by ultimately being grounded in
Conclusions and Future Directions actual bodily experience in this way. Consider the
statement, “I stand for affirmative action.”
An important remaining controversy pertains to Although most people readily accept an abstract
the degree of independence from concrete, phys- meaning for the term “stand” in this instance, such
ical experience that human conceptual behavior meaning may ultimately derive from situations
actually enjoys. B. F. Skinner and other behav- where people indicate their preferences by liter-
iorists have argued that language and thought are ally standing. The meanings of metaphors and
simply behaviors grounded in the evolutionary other creative expressions may in important
and personal past of individual people. In this respects be similarly embodied. If bodily experi-
view, concepts and the words that came to sym- ence relates to producing or understanding crea-
bolize them should reflect actual, bodily interactive expressions, then it might be useful to
tions with the environment. However, early encourage workers entrusted with acting crea-
work in cognitive psychology treated language tively to behave in a variety of ways while at
in general and the formation of concepts in par- work other than sitting down all day.
ticular as convenient abstractions in the mind, An additional attribute of creative endeavors
only arbitrarily related to perceptual and behav- involves their multifaceted and sometimes seren-
ioral interaction with the world. Language con- dipitous nature. Lucky juxtapositions sometimes
cepts that seem to lump arbitrary, dissimilar contribute to creative invention, but this usually
items together provide evidence for this perspec- occurs in an environment that systematically fos-
tive. For example, in one Australian aboriginal ters rigorous exploration, thorough investigation,
language, one category word includes women, and broad knowledge acquisition. In addition to
fire, and dangerous things. In-laws aside, most the role of accident in creation, research has not
people would not immediately apprehend the yet delineated each of the relevant structuring
perceptual similarities defining this classifica- forces on the creative process, nor exactly how
tion. Such illustrations seem to argue that con- these may interact. Other remaining questions
ceptual language can have derivative meaning in include, Can the process of creativity be usefully
the abstract – independent of any actual similar- studied separately from its consequences? How
ities among the objects symbolized (cf. Ward can the effort, persistence, and motivation neces-
et al. 1997). sary for maintaining creativity best be initiated
However, many other researchers insist that and sustained? Exactly how are completely new
such extreme examples constitute the exception ideas produced and comprehended? How can
rather than the rule, and that the majority of con- society optimally understand and overcome indi-
cepts do simply reflect distinctions inherently pre- vidual and collective conceptual inertias?
sent in the world of experience. Indeed, more (cf. Casakin and Shulamith 2011).
contemporary work has begun to resurrect and For the future, what roles do emergence (chaos
enlarge on the behaviorists’ views. According to theory) and change play in creativity? These areas
some current accounts of the usefulness of may indeed prove to be the most fruitful for future
318 Cognitive Competencies
inquiry since the explosive variety of creativity in References

the natural world appears to reflect fundamentally
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small wins to ignite joy, engagement, and creativity
comes from complex, adaptive systems. If com-
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endeavors, some of the influences on creativity MA: MIT Press; 1994.
Casakin H, Shulamith K. The cognitive profile of creativity
may involve higher levels of abstraction and
in design. Think Skills Creat. 2011;6(3):159–68.
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perhaps even groups of workers. How to charac- tions: ivory tower visions & real world voices. Thou-
terize – much less predict – these possible coa- sand Oaks: Sage; 1995.
Gardner H. Creating minds: an anatomy of creativity seen
lescing eddies of conceptual convergence and
through the lives of Freud, Einstein, Picasso, Stavinsky,
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Gioia 1995; Ward et al. 1997). Hennessey BA, Amabile TM. Creativity. Annu Rev
Psychol. 2010;61:569–98.
Finally, some intriguing “detective” work has
Simonton DK. Creativity: cognitive, personal, develop-
revealed that some of the most celebrated histor- mental, and social aspects. Am Psychol.
ical instances of creativity, such as Kekulé’s anal- 2000;55:151–8.
ogy to a snake swallowing its tail for the structure Sternberg RJ, editor. Handbook of creativity. New York:
Cambridge University Press; 1999.
of the benzene molecule – may have involved
Ward TB, Smith SM, Vaid J, editors. Creative thought: an
unintentional reconstructions after the fact. In investigation of conceptual structures and processes.
other words, creators may fabricate analogies Washington, DC: American Psychological Associa-
after arriving at their productive conclusions, tion; 1997.
Winner E. The origins and ends of giftedness. Am Psychol.
and then unwittingly remember the analogy as
2000;55:159–69.
formative of their ideas, when in fact it served Zabelina D, Robinson M. Creativity as flexible cognitive
primarily as a useful illustration a posteriori to control. Psychol Aesthet Creat Arts. 2010;4(3):
help others understand their discovery. Likewise 136–43.
for groups involved in the creative process: The
conceptual scaffolding so necessary and impor-
tant during group interaction only serves as a
temporary support structure for producing useful Cognitive Competencies
analogies. Most of the details of this process are
subsequently lost after the creative outcome is ▶ Knowledge Society, Knowledge-Based Econ-
obtained. omy, and Innovation
Cross-References
Cognitive Computing
▶ Creative Mind: Myths and Facts
▶ Divergent Thinking ▶ In Search of Cognitive Foundations of
▶ Divergent Versus Convergent Thinking Creativity
Creativity
▶ Metaphorical Reasoning and Design Creativ- Cognitive Conflict
ity: Consequences for Practice and Education
▶ Psychology of Creativity ▶ Model of Dialectical Learning
Cognitive Fixation and Creativity 319
predisposition to solve a problem in a certain

Cognitive Fixation and way, even though easier and more effective solu-
Creativity tions may be available. When repeatedly given
similar challenges or solving a problem the same
Hector Ramos way many times, people tend to get stuck to that
Department of Educational Psychology, College formula. However, when some underlying aspects
of Education and Human Development, Texas of the challenge change, people ignore the C
A&M University, Bryan, TX, USA changes and continue to use the formula instead
of trying to find other more effective solutions
(Dane 2010; Luchins 1942).
Synonyms Whether the cause of fixation is semantic,
priming, or expertise, all these aspects of cogni-
Mental blocks; Mental rigidity; Mental set tive cognition share the same elements. Those
elements are the inability to produce more than
one solution to a challenge due to mental blocks
Definition that prevent the exploration of alternatives.
There are several strategies that people may
Cognitive fixation is one of the phenomena most use to prevent cognitive fixation. Semantic fixa-
often studied with the field of creative cognition in tion can be prevented through the practice of
psychology. Cognitive fixation has been described exercises of creative thinking. For instance, the
with different terminologies such as functional purpose of the exercise of “putting to other uses”
fixedness, design fixation, and mental set. However, is to help participants think beyond obvious uses.
all these terms fall into three types of cognitive Thinking of 200 uses of a brick will force you to
fixation: semantic, priming, and expertise fixation. see the brick from different perspectives. Priming
When cognitive fixation is discussed with fixation may be overcome by asking the question
respect to the use of objects, it is commonly “what are the elements of this challenge? What am
referred to as functional fixedness. Functional I taking for granted?” The detailed study of the
fixedness occurs when a person is unable to use challenge at hand will provide insights on how the
an object in an original way to solve a problem but challenge itself and how it is phrased, or examples
continues to see it used only in its traditional way. given are priming us to come up with certain
This happens as we have preconceived notions in solution. Expertise fixation may be overcome by
the use of objects that hinder us from discovering making implicit process explicit. In this case the
nontraditional and creative uses. Since it is the experts need to describe step by step why and how
meaning of the object that causes fixation, this the solve problems and how that solution relates to
type of fixation may be labelled semantic fixation the challenge or reality they face. Finally, a strat-
(Perry et al. 2014; Adamson 1952). egy that may help people overcome all types of
Priming fixation may happen in the design fixation is to exercise mental flexibility through
process. When people were presented with a forced connections. Sometimes crazy ideas can
design challenge and flawed examples, they con- help you understand problems because they do
tinue to produce designs that incorporated the not fit in the assumed or automatic responses.
example’s design flaws instead of creating output
that solved the design challenge and eliminated
the flaws. The examples prime the participants to Cross-References
focus unconsciously on the flaws instead of
avoiding them (Smith et al. 1993). ▶ Cognition
Expertise fixation is often referred to as “men- ▶ Flexibility
tal set” in the business arena. It is a mental ▶ Problem-solving
320 Cognitive Informatics
References
Cognitive Science
Adamson RE. Functional fixedness as related to problem
solving: A repetition of three experiments. Journal of
▶ Cognition of Creativity
experimental psychology, 1952;44(4):288–291.
Dane E. Reconsidering the trade-off between expertise and
flexibility: A cognitive entrenchment perspective.
Academy of Management Review, 2010;35(4):579–
603.
Luchins AS. Mechanization in problem solving: The effect
Co-innovation
of Einstellung. Psychological monographs, 1942;54
(6):i. ▶ Co-Conception and Entrepreneurial Strategies
Perry GT, Fragoso SD, Cardoso E, Cattani A. Creativity
and problem solving: an experiment with Design
students. Blucher Design Proceedings, 2014;1
(4):1591–1602.
Smith SM, Ward TB, Schumacher JS. Constraining effects Collaboration
of examples in a creative generation task. Memory &
cognition, 1993;21(6):837–845.
Dimensions
Cognitive Informatics
▶ In Search of Cognitive Foundations of Collaborative Creativity

Creativity
▶ Creative Collaboration
Cognitive Integration
Collaborative Economy
▶ How Does Material Culture Extend the Mind?
Cognitive Mechanism
▶ Metaphorical Reasoning and Design Creativ- Collaborative Innovation

ity: Consequences for Practice and Education
Delphine Gallaud
CESAER UMR 1051 Agrosupdijon Inra, Dijon,
France
Cognitive Model Université Bourgogne Franche-Comté,
UMR1041, AgroSup Dijon, INRA CESAER,
▶ In Search of Cognitive Foundations of Dijon, France
Creativity
Synonyms
Cognitive Scaffolding Collective invention; Cooperation to innovate;

Distributed innovation process; Networks; Open
▶ How Does Material Culture Extend the Mind? innovation
Collaborative Innovation 321
Collaborative Innovation increased in all manufacturing sectors, as well as

in service sectors (Miotti and Sachwald 2003). In
• Collaborative innovation: process of innova- addition, cooperation enables firms to decrease
tion development involving all kinds of collab- the costs of innovation projects and to share the
oration between stakeholders, innovative firms risks. Such cooperation involves, by order of
and their value chains (suppliers, customers, importance, other firms of the same group, sup-
consultants, and competitors), end-consumers, pliers, customers, public research bodies, and C
research organizations, NGO, and public competitors (ibidem).
organizations. From the beginning of the 2000s, innovation in
cooperation also began to lose its momentum.
Collaborative innovation refers to two alternative Cooperation yields advantages for firms but also
paradigms of the production of innovation: the entails many difficulties and costs of coordination.
paradigm of the producer, a firm in most cases Additionally, beginning in the 1980s, the environ-
(paradigm 1), and the paradigm of the user (para- ment became more and more turbulent for firms
digm 2) (Baldwin and von Hippel 2011). due to rapid changes in clients’ needs. As clients
The paradigm of innovation as developed by ask for more customized products, firms are
the producer (paradigm 1): obliged more and more to adapt their innovative
This paradigm has become a dominant method products to these needs. The gap between the need
by which to analyze the process of production of of user and the development of innovation within
innovation since Schumpeter’s work (1934). firms leads many users to modify the products
Schumpeter describes the part played by large developed by firms themselves (Baldwin and
firms equipped with internal R&D labs working von Hippel 2011).
on a daily basis to develop new products and Chesbrough’s model of open innovation is an
processes. Private return is the incitation for inno- attempt to find a solution to the decline in the
vators to innovate. In this paradigm, the innova- effectiveness of innovation. He incites firms to
tive firm attempts to anticipate the needs of the systematize their use of external resources by
end-consumer, and the participation of end users increasing their use of the market for technology
in the process of innovation is limited. and by collaborating. In fact, Chesbrough incites
However, in the 1980s, the producer paradigm firms to innovate more by simultaneously using
lost its momentum because the resources needed all the means at their disposal in order to avoid the
in order to innovate, especially knowledge and “not invented here” syndrome.
skills, were shared among more and more firms. Open innovation covers four kinds of process
A single firm couldn’t possess all the resources of development of innovation (Dahlander and
necessary for innovation. Large firms were Gann 2010) (Table 1). They oppose “inbound”
induced to cooperate in order to access comple- innovation to “outbound” innovation for the first
mentary resources (Teece 1992). Cooperation criterion. The second criterion is the fact of
Collaborative Innovation, Table 1 Collaborative innovation and open innovation

“Inbound innovation” “Outbound innovation”
Pecuniary Case1: Acquire technology. Buy IP (patent license) Case2: Sell technology. Sell
compensation IP (patent license)
Use market for technology Use market for technology
Non-pecuniary Case4: Cooperation. Use external source of knowledge and Case3: Free revealing into
compensation projects in cooperation with external partners community of practices
Business model of the open
source software
Collaborative innovation Collaborative innovation
Source: Dahlander and Gann (2010) and author
322 Collaborative Innovation
providing pecuniary compensation or, not, for the is the basis of openness but should be
innovation. Firms should use jointly these four supplemented by other means.
processes to improve their ability to introduce Only cases 3 and 4 correspond to collaborative
innovation onto the market more regularly. innovation, and case 1 and case 2 are symmetric
Case 1: “Inbound innovation” with a pecuniary and correspond to the acquisition of technology
compensation. Firms can buy or acquire a patent produced by third party but without collaboration
license to be allowed to use an innovation devel- between the firm producer and the buyer. In cases
oped by third party. Intellectual property strategy, 3 and 4, firms produce technology, whereas in
here, leads to the question of how to exchange cases 1 and 2, they only acquire an existing tech-
technology on the market. To be allowed to par- nology developed by other organizations. So,
ticipate in the market of technology, firms should open innovation is broader than collaborative
own property rights, such as patents. As a conse- innovation because it does not focus on the same
quence, Chesbrough incites firms to file patents to problem. Open innovation concerns all the means
be able to exchange technology. that can be used by a firm to gain access to tech-
Case 2: “Outbound” innovation. The firm nology, whereas collaborative innovation focuses
develops an innovation, but it cannot exploit it on a way for firms to create a new technology and
by itself, so it sells a patent license to another artifact.
firm. Case 2 is symmetric to 1 from the intellectual The development of open innovation by col-
property point of view, only used to increase laborative innovation leads to any open-ended
firm’s revenue. issues: (1) the risks that collaborators become
Case 3: “Outbound” innovation without pecu- further competitors (Greer and Lei 2012), (2) the
niary compensation. Innovators develop a “free- risk that the growth of opening of the process of
revealing” process of theirs innovation. It charac- innovation undermines the internal creativity of
terizes, above all, software development in open the firm, and (3) the issue of property rights.
source models (Dahlander and Gann 2010). This
type of openness can include many degrees from a 1. Suppliers and customers can potentially
closed process to collective invention (such as the become further competitors in defining stan-
one described by Allen 1983) to newer behavior dards, setting product expectation, and even
of crowd sourcing. This case does not include capturing the rents generated by more open
pecuniary compensation because inventors volun- process of innovation.
tarily give up their rights on innovation, and they 2. Greer and Lei (2012) underline that collabora-
cannot appropriate privately the innovation. Free tive process, especially with customers, could
revealing brought competitors, in an industry, to a undermine the in-house R&D of the firms
positive circle of information and technical because technology-driven ideas would be
knowledge exchange allowing firms to develop neglected to the use of customers’ ideas.
regularly incremental innovation. Free revealing Indeed, it is clear that the opening of the inno-
leads firms to capture the innovative’s rent by vation process will cause a modification of the
developing complementary goods. But in prac- function of the internal R&D team. The R&D
tice, firms often use a strategic free-revealing staff should evolve toward function of gate-
behavior on the less valuable pieces of innovation, keepers and serve of links between the external
whereas they use private appropriation on the sources of innovation and the internal capabil-
more valuable innovation. ities of the firm.
Case 4: “Inbound” innovation without pecuni- 3. The property rights issue is the most important
ary compensation. This process is well known, brake, at the moment, toward an evolution to
because it characterizes the development of inno- more open process of innovation. In the pro-
vation in cooperation with other firms or organi- ducer paradigm, private returns on innovation
zations such as public research organizations. constitute the incitation to innovate (Arrow
Chesbrough (2003) underlines that cooperation 1962). Chesbrough focuses on the possibility
for firms to participate on the market of tech- innovation, however, has been eclipsed by an
nology (cases 1 and 2) and on the case of free increase in the number of engineers working in
revealing (case 3). One of the open-ended R&D laboratories of large firms, which has con-
issues of the open innovation model is the tributed to the specialization of the work of inno-
problem of intellectual property of the innova- vation. The production of innovation thus shifted
tion produced by open innovation. Indeed, from the artisanal model carried out by the user to
Chesbrough underestimates that problem an industrial model. But, the pioneering work of C
(Gallaud and Nayaradou 2012). In the cases 1 Von Hippel (1978) and Allen (1983) demon-
and 2, there is only one producer of the inno- strated that most innovations are produced by
vation: the firm and property rights are clearly users for their own use. For instance, in the
defined. Then, the firm can acquire or sell its scientific equipment sector, the majority of inno-
own rights to third parties. In case 3, of free vations have been produced by the scientists
revealing, innovators voluntarily give up their themselves.
property rights to diffuse the invention to their This area of research contrasts that of Arrow
community. (1962), for whom a firm, being motivated by
profit, is only motivated to innovate if it can take
As Chesbrough recognizes the importance of sufficient profit returns for an innovation. On the
cooperation (case 4) but focuses less on this kind other hand, in the model of innovation by users,
of process of open innovation, he deals very little researchers frequently observe a practice of free
with the fact that many producers can own the revealing of important information and even tech-
property rights on an innovation. However, such niques. Allen (1983) shows that in the nineteenth
cases have grown quickly since the 1980s, with century, firms working in the blast furnace sector
the development of co-patenting (many inven- shared their improvement techniques among each
tors can file a patent jointly) or patent pools (a other in such a way so as to improve the transfor-
consortium of at least two companies agreeing to mation process, which resulted in a system of
cross-license patents relating to a particular tech- continuous collective invention. Low-tech sectors
nology). The creation of a patent pool can save frequently resort to this process of collective
patentees and licensees’ time and money; in case invention because innovation is fundamentally
of blocking patents, it may also be the only incremental, and not divulging that carries the
method for making the invention available to risk of limiting sector growth. Firms thus have
the public. At last, the problem of property rights more of an interest in free revealing their innova-
is a major cause of failure or negative judgment tions than in protecting them. Such divulging also
of the participants in collaborative projects of exists, however, in more high-tech software
innovation. sectors.
To conclude on the producer model of innova- In this alternative paradigm, the user becomes
tion, the main stake remains the definition and the producer of an innovation that interests him
sharing of property rights between innovators. directly, whereas in the producer model, the end
That stake is a real brake to an increase of open- client was long portrayed as a passive agent, one
ness of firm. who simply expressed needs that the firm pro-
Besides this model focuses on the exchange of posed to satisfy. This new model thus grants sig-
technology and not on its process of production. nificant competency to users, which has lead
This focus reduces the part played by the end user. researchers to take an interest in how this compe-
The Paradigm of Innovation as Developed by tency develops and in the role of learning. They
the User (Paradigm 2). have demonstrated the important role of collective
Smith (1776) has emphasized that a signifi- and localized learning, in particular, within the
cant amount of innovation arises from workers framework of communities of practice.
working on machines in order to reduce the effort Communities of practice are (Amin and Rob-
or the intensity of the work. This approach to erts 2008):
324 Collaborative Innovation
groups of people sharing an interest or a common Researchers have long emphasized the neces-
goal who interact with respect to this goal and who sity for geographic proximity in carrying out
can be engaged in a common apprenticeship around
the resolution of their common problems. They can localized apprenticeships and for enabling the
be a group of engineers working on a specific tech- diffusion of tacit expertise. But virtual commu-
nology, a group of doctors, a collective of artists, or nities, whose members can never meet physi-
students. They must also have three characteristics: cally, question the necessity of geographic
The domain: they must share a common interest and proximity. Since the mid-2000s, they have
the members must be engaged in the domain. instead recognized that it is a combination of
They must share competencies that distinguish geographic proximity as well as other organized
them from non-members of the community. and institutional forms of proximity, even tem-
The community: In order for a community to exist,
there must be a visible engagement among porary proximity, that make it possible to create a
members in the activities or exchanges within social environment that is favorable to very
the community. Members of the community exploratory projects.
help each other and share information about New collaborative spaces have developed
knowledge and expertise.
The practice: It is not sufficient to share a common since the beginning of the year 2000 such as fab
interest (for cinema for example). There must be labs, collaborative platforms, and tech shops
a link to a practice that generates experience and (Berrebi Hofmman et al. 2015). They rely on the
individual and collective competencies. creation and mobilization of communities of prac-
tice. They are organized in varying degrees
The production of expertise and skills origi- around the principle of being open to the final
nates from individuals and from groups (Amin user-consumer, the do-it-yourself innovative pro-
and Roberts 2008). The authors distinguish four cess, and the principle of “free,” in particular, free
main types of communities of practice: craft or access to the expertise and production of these
task-based, professional, epistemic or creative, spaces. These spaces are sometimes considered
and finally virtual communities. They classify as third places, intermediaries between home and
these communities according to the nature of work (Oldenburg 1989). These collaborative
expertise and learning, the social interactions, spaces question the model of capitalist production
the organizational dynamic, and the type of inno- and innovation.
vations developed. All of these communities Fab labs originated from an MIT educational
innovate in a collaborative manner. Innovation program for students, allowing users or makers, to
is incremental in the first two types and more take up a proactive behavior with respect to pro-
radical in epistemic and virtual communities. duction and to learn by doing.
Virtual communities rely on technical web inno- The objective of this system’s creators is to
vations (web 2.0 and various collaborative user foster user creativity and increase innovation.
tools). Fab labs enable quick prototyping and production
The authors nevertheless point out the diffi- in small units (especially for use by SMEs) and
culty of making epistemic communities function even of single pieces (for use by SMEs and end
and even more so when they work on exploratory users) through the use of digital machines, i.e.,
projects that include a high degree of uncertainty tools for conception and cutting and sometimes
and are implemented for short-term projects that through 3D printers. MIT developed a chart with
bring together very autonomous individuals. The the goal of grouping together laboratories from all
success of a project thus rests on their capacity to over the world and facilitating the diffusion of
align the involvement of different participants by documents concerning developed prototypes to
making use of objects/intermediary artifacts pro- the network, which enables the diffusion of exper-
duced during the course of the project. How the tise linked to innovation and the development of
virtual community is organized strongly influ- new innovations on this basis (Suire 2016). Four
ences the production of expertise (Lelong and types of prototypes may be developed: draft pro-
Gayoso 2010). totypes, undocumented prototypes, documented
prototypes, and prototypes leading to the creation Conclusions and Directions for Future
of a business. Research
In 2015, about 500 fab labs existed across the
world, most of which were spread outside of the Most businesses follow their innovation strategy
USA, as two-thirds were European. Fab labs pro- within the paradigm centered on the producer. The
duce an average of 12 projects documented by main issue in the framework of cooperation is
prototypes per year and result in the creation of associated with the question of splitting intellectual C
an average of two new companies per year (ibi- property rights. The shortcoming of this model
dem). Fab labs that act as intermediaries of exper- leads them to mobilize more and more consumers.
tise between firms on the periphery of the In these cases, they do so in the context of a
economic system engaged in highly innovative relationship that is often asymmetrical or even
exploratory projects and the large established hierarchical and with little compensation of the
firms who are able to contribute to the rapid resources, however rare, that they use. For exam-
industrialization or commercialization of a project ple, most users who are engaged in informational
are the most productive in terms of the production communities of practice are not compensated at all
of documented prototypes and the creation of new or are symbolically compensated in the form of gift
companies. certificates, and compensation is provided neither
However, the model of the long-term eco- for their skills nor for the time that they devote to
nomic development of fab labs is currently still participating in tests (often over several weeks)
under question. In the majority of cases, they are (Lelong and Gayoso 2010). This model is currently
initiated with the help of public funds but rarely encountering another shortcoming, as firms seem
with permanent financing, which obliges them to to have more and more difficulty responding to the
quickly become self-sufficient, especially if they needs of society, especially social needs in the form
employ salaried workers. This leads most fab labs of educational or health services.
to anticipate selling their services. On the other On the other hand, the production of innova-
hand, a voluntary quasi-free model also exists. In tion by the user or the citizen still requires a
the same way, the link with the public often development model, which is to be expected
appears very anecdotal or temporary and this, since it constitutes a change in the innovation
while fab labs are considered to favor the produc- paradigm.
tion of expertise and of innovation by these users. The principal issues of the new paradigm of
In the living lab concept, the user becomes a production by the user are associated with the fact
co-producer among the other potential agents in that it concerns a relatively elitist model founded
innovation. The living lab therefore brings on skills associated with the mastery of abstrac-
together all of the parties in the community that tion and digital technologies. The user of commu-
have an interest in the innovation: nities of practice is described as an expert user
living lab is a virtual collaborative platform gather- endowed with skills and a high level of autonomy
ing all stakeholders of an innovative projects: firms (Lelong and Gayoso 2010). In order to use a tool
end users, public research bodies, NGO, from early in fab labs, one must know how to code and
stage of the project to increase radical innovation. understand the principles of the representation of
(van der Walt et al. 2006)
conceptual objects. However, Berrebi Hofmman
Fab labs, like living labs, are organizational et al. (2015) indicate that the time required to learn
innovations that have spread from research cen- these skills is relatively short. This mastery of
ters, universities, or scientific centers, which skills often requires that expert users transfer
explains why they remain within a model of dif- their skills to users who do not possess them.
fusion to users. Only a few fab labs are maintained There is a significant risk of division between
by associations of citizens, which would imply the producers of digital knowledge, often consid-
greater public involvement in the conception of ered the most radical, and producers of non-digital
innovations. knowledge, whose progress is more incremental
326 Collaborative Process
and thus often less valued. Users who do not production, pratiques makers culture du libre et lieux
participate in communities of practice will also du commun. Rech Sociol Anthropol. 2015;46:67–85.
Chesbrough H. Open innovation. Cambridge, MA: Har-
risk being excluded from the task of defining vard University Press; 2003.
satisfactory requirements, which would lead to Dahlander L, Gann D. How open is innovation? Res Pol-
an economic as well as a social problem regarding icy. 2010;39:699–709.
the inclusion of different agents and the choice of Gallaud D, Nayaradou M. Open innovation and co-opera-
tion: which choice of means of protection for innova-
innovation models to promote. tion. J Innov Econ. 2012;10(2):167–90.
In addition, this model of innovation concerns Greer CR, Lei D. Collaborative innovation with customers:
material production and can give the capability to a review of the literature and suggestion for further
fight against the planned obsolescence of real research. Int J Manag Rev. 2012;14:63–84.
Lelong B, Gayoso E. Innovation avec l’usager et plate
goods. In effect, fab labs may enable the creation forme collaborative. Réseaux numéro spécial Les nou-
of detachable pieces that allow for the repair of velles formes de collectif. 2010;6(164):97–126.
goods. In this sense, they could have a positive Miotti L, Sachwald F. Cooperative R&D: why and with
effect on consumers by reducing the tendency to whom? An integrated framework of analysis. Res Pol-
icy. 2003;32:1481–99.
throw away goods that are still usable. In contrast, Oldenburg R. the great good places, da capo press; 1989.
they only partially address the needs of social Smith A. Recherche sur la nature et les causes de la richesse
innovation, which are more and more valued by des nations 1776. http://classiques.uqac.ca/classiques/
citizens and concern not only access to material Smith_adam/richesse_des_nations/livre_4/richesse_des_
nations_4.pdf.
goods but to services or to social relationships of Suire R. La performance des lieux de co creation de
the highest quality. connaissances: le cas des fablab. WP, 2015–14. http:
crem.univ-rennes1.fr/wp/2015/201514.pdf. Accessed
June 2016.
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nizational arrangements for regime of rapid
techological progress. Journal of economic behaviour
▶ Business Creativity and organization. 1992;18:1–25.
▶ Decrease in Creativity van der Walt J, Buitendag AK, Zaaiman A, Jansen van
▶ Innovative Milieu as a Driving Force of Inno- Vuuren A. Community living labs as a collaborative
innovation. Environment, issues in informing informa-
vative Entrepreneurship tion science and technology. 2006;6:422–36.
▶ Intellectual Property, Creative Industries, and von Hippel E. A customer active paradigm for industrial
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▶ Partnerships and Entrepreneurships 240–266. https://dspace.mit.edu/bitstream/handle/
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gin=publication_detail.
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Allen RC. Collective invention. Journal of economic

behaviour and organization. 1983;4:12:1–24. Collaborative Process
Amin A, Roberts J. Knowing in action: beyond the com-
munity of practice. Res Policy. 2008;37:353–69.
Arrow JK. Economic welfare and the allocation of ▶ Technology Push and Market Pull
resource for inventions. In: The rate and direction of Entrepreneurship
inventive activity: economic and social factors
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Baldwin C, Von Hippel E. Modelling a paradigm shift:
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Collaborative Work
Berrebi Hofmman I, Bureau MC, Lallement M. Introduc-
tion au numéro spécial De nouveaux mondes de ▶ Co-Conception and Entrepreneurial Strategies
Communicating Invention, Creativity, Innovation, and Entrepreneurship 327
Collective Invention Communicating Invention,

Creativity, Innovation, and
▶ Collaborative Innovation Entrepreneurship
Magdalena Bielenia-Grajewska1,
Elias G. Carayannis2 and David F. J. Campbell3,4,5,6 C
1
Combined Radical and Intercultural Communication and
Incremental Innovation Neurolinguistics Laboratory, Department of
Translation Studies, Faculty of Languages,
▶ Innovation and Ambidexterity University of Gdansk, Gdansk, Poland
2
Department of Information Systems and
Technology Management, European Union
Research Center, GWU School of Business,
The George Washington University, Washington,
Commercial Firm DC, USA
3
▶ Academic Firm Vienna, Vienna, Austria
4
Department for Continuing Education Research
Educational Management and Higher Education
Commercialization Development, Danube University Krems, Krems,
Austria
5
▶ Innovation Audit: Measuring Innovation Man- Unit for Quality Enhancement (UQE),
agement Capabilities University of Applied Arts Vienna, Vienna,
Austria
6
Faculty for Interdisciplinary Studies (IFF),
Department of Science Communication and
Higher Education Research (WIHO), Alpen-
Committees Adria-University Klagenfurt, Vienna, Austria
▶ Innovation and Evolution of Parliamentary

Inquiries Synonyms
Aesthetic innovation; Academic firm; Applied art;

Art; Artistic research; Arts; Coevolution; Com-
munication; Cross-disciplinarity; Democracy;
Common Sense Theories Democratizing innovation; Development; Empir-
ical studies of the arts; Epistemic governance;
▶ Implicit Theories and Creativity
Fine arts; Graphic; Innovation in arts; Innovation
of democracy; Innovative democracy; Knowledge
democracy; Language; Media; Multi-
disciplinarity; Pictures; Quadruple helix; Quadru-
Commons ple helix innovation systems; Quadruple helix
structure of democracy; Quality of democracy;
▶ Public Health and the Commons Sustainable development
328 Communicating Invention, Creativity, Innovation, and Entrepreneurship
Introduction by the solution (or unpredictability), starting

point for further enquiries, closing of an
The organizations of the twenty-first century unresolved issue, aesthetic qualities” (p. 122).
should be creative, inventive, innovative, and Knowledge is also determined by prestige-
entrepreneurial if they want to be successful on seeking. “Prestige is a carrier of value that does
the modern market (Carayannis and Chanaron not fit easily into economic thinking. To have
2007). The mentioned organizational approach is great value it must be in short supply but great
shaped, performed, and sustained by communica- demand. It is both more elusive and more perish-
tion. As Bielenia-Grajewska (2017) discusses, it able than monetary value. It is real, however, and
is difficult to imagine individual or organizational an important vehicle in the arts, and perhaps sur-
performance without any communicative interac- prisingly, in the arena of knowledge. In earlier
tion since it determines the way people and com- eras, the very possession of knowledge-in partic-
panies operate on the local and global market. The ular magic knowledge-conveyed prestige. Learn-
growing role of communication in many spheres ing as such does not bring much distinction
of both private and professional life connected anymore. Prestige as scientific reputation attaches
with knowledge management (KM) has led to to priority in discovery, to the generation of new
the extensive research on how KM discourse is knowledge. Prestige is diluted as further contribu-
created and disseminated. There are different rea- tions are made, unless these enhance the insights
sons responsible for the linguistic turn in the stud- of a pioneering one. To build or keep a scientific
ies on invention, creativity, innovation, and reputation in essence requires a virtually continu-
entrepreneurship. One of them is the focus on ous stream of new contributions” (Andersson and
the human side of knowledge creation and dis- Beckmann 2009, p. 124). Apart from the societal
semination. As Jashapara states (2004), codifica- dimension, KM is important in the life of modern
tion strategies rely mainly on technology, such as organizations, being the determinant of their posi-
big databases, usually used to codify and store tion on the market and attractiveness for the
implicit knowledge. Personalization strategies, broadly understood stakeholders. Nowadays
on the other hand, are used to concentrate less on many employees opt for working in organizations
technology and more on personal contacts facili- that do not only offer profits but also possibilities
tating the processes of exchanging tacit knowl- of working in knowledge-driven organizations,
edge. Taking the growing importance of with self-development. Looking at the organiza-
localizing services and products into account, the tional KM through the prism of the broadly under-
communicative dimension of invention, creativ- stood stakeholders, knowledge created by
ity, innovation, and entrepreneurship is important, companies can also be judged by its prestige,
focusing simultaneously on human and non- often connected with its uniqueness, restricted
human factors in different stages of data access, or outstanding human or technological
management. capital.
Knowledge Management and KM Components

Stakeholders
Knowledge management is not a static phenome-
Knowledge management can be discussed by non, but it is of processual character, responding
focusing on its value to communities, understood to the changes in the inner and outer environment
in micro and macro ways. Taking into account the of data creation and dissemination. As Thorsby
latter, the role of knowledge in society can be (2001, p. 103) states, “the process by which the
estimated through the prism of its scientific idea is exchanged is a continuous one, such that in
worth. Andersson and Beckmann (2009) stress due course the idea has many owners (although
what distinguishes important knowledge from there was one originator). In this process of
the trivial one: “degree of surprise engendered exchange, consumers determine their individual
valuations of the cultural worth of the idea.” Thus, implies a capacity to find patterns in a seemingly
as a complex entity and the sum of its compo- chaotic world (2009, p. 10). The relation between
nents, knowledge management should be exam- knowledge and creativity is stressed by West
ined by taking into account its processual (1997) who underlines that creativity relies on
character, responding to diversified changes in associations, using knowledge from different
the inner and outer environment as well as the domains of science to create new and original
expectations and needs of stakeholders. Knowl- ideas. Creativity is only exclusively associated C
edge can be studied through the perspective of with certain groups of people; creativity is the
such components as creativity, invention, innova- feature of human beings since even solving every-
tion, and entrepreneurship. day problems demands creativity. Since creativity
encompasses the development of new ideas, inno-
vation is transferring these ideas into practice.
Invention
As Grant (2010, p. 298) states, “invention is the Innovation

creation of new products and processes through
the development of new knowledge or from new According to Barbaroux et al., “the innovation
combinations of existing knowledge.” In litera- capability of the firm derives from the manage-
ture, invention is often defined by comparing it ment of knowledge types and processes
with innovation. “Invention is about the genera- supporting the achievement of tasks and activities
tion of new ideas, whether by research or other relative to the diverse phases and stages of the
forms of creativity. Inventions are the culmina- innovation process” (2016, p. 19). West (1997)
tions of research activity and are ideas, sketches stresses that the main stimulus for innovation in
or models for a new product or process, that may organizations is the competitive challenge. Other
often be patented. But invention stops short of factors stimulating innovation listed by West
commercial use or exploitation. It is when the (1997) include checking product quality, effective
new idea is used in the market that we have methods of group work, communication and
innovation. Innovation is the commercial of cooperation between departments in a company,
invention” (Swann 2009, p. 25). Thus, invention communication and discussion between workers,
does not only create knowledge but also depends as well as active participation of workers. Bessant
on knowledge in the process of novel knowledge and Tidd (2015) stress that innovation is not
creation. exclusively linked with the commercial side of
markets and consumer needs. Social innovation
represented in providing health service or educa-
Creativity tion to those who have limited access to them is
very crucial.
Creativity is defined as a flow of ideas from an
individual or group of individuals, which is per-
ceived by relevant specialists to be new and at Entrepreneurship
least potentially useful for other creators, con-
sumers or producers (Andersson and Beckmann As far as the relation between knowledge and
2009, p. 9). Andersson and Beckmann stress the entrepreneurship is concerned, Hisrich (2014)
conceptual nature of creativity: Creativity is a draws our attention to key characteristics of entre-
process based on inherited and socially acquired preneurship, such as creating valuable things,
capacities. As a process it is dynamic, because devoting time and efforts, as well as dealing with
creativity always means the emergence of some- different risks. Another important notion of entre-
thing genuinely new. Discoveries of causal mech- preneurship is creative destruction, represented in
anisms and inventions based on these discoveries the need to substitute the current state with the new
are outcomes of creative processes. Discovery one in order to meet the changing needs and
expectations of stakeholders. As Ferreira et al. depends on the type of stakeholders engaged in

(2017) stress, with the appearance and popularity KM as well as types of knowledge to be dissem-
of the knowledge spillover theory of entrepreneur- inated. The sources of knowledge management
ship, the link between entrepreneurship and knowl- also change with the flow of time. For example,
edge started to be exemplified in different works. Helms et al. (2017) study the relation between
knowledge management and social media,
stressing the role of socialization in KM through
Communicating Knowledge and Access such tools as social networking, blogging, wikis,
to Knowledge social bookmarking, and media sharing. Tools
also vary depending on the type of knowledge
Communicating knowledge depends on a number processes. For example, West (1997) also lists
of factors, with the access to knowledge or the different types of measuring creativity, such as
lack of it being one of them. As Bielenia- Kirton Adaptation Inventory (KAI), Torrance
Grajewska (2015a) discusses, there are different Tests of Creative Thinking, or Catell’s 16PF.
types of knowledge poverty, such as scientific, Apart from tools understood in the direct way,
everyday, and professional. Scientific knowledge the way knowledge is created and disseminated
poverty is represented in the limited possibility of can be studied through the prism of verbal and
accessing knowledge resulting from research, nonverbal instruments. The role of language in
such as the one available in scientific articles and knowledge management is important for a num-
books. Everyday knowledge poverty is ber of reasons. First, our linguistic approach deter-
represented in limited data on ordinary life, mines how a given phenomenon will be described
whereas professional knowledge poverty is visible by us and understood by others. As Robbins
in limited occupational expertise. According to (2005) discusses, the way we describe something
Bielenia-Grajewska (2015a), language is an is determined by words. When we change words,
important determinant of knowledge poverty. we change the approach to the given phenome-
First, it can lead to cultural knowledge poverty non. It can be compared to the job of a photogra-
since one may not be able to understand a given pher since he or she also selects the way a given
culture without knowing the linguistic code they object will be pictured. It is similar to the way we
use. Linguistic knowledge poverty may be make decisions since the way we define a problem
connected with the lower position of minority influences the way it will be solved. Verbal tools
languages in a country or the lack of linguistic encompass both figurative and nonfigurative
skills, e.g., in a new working environment. meaning. Especially the symbolic dimension of
Another type of knowledge poverty discussed by communication serves different purposes in CIIE
Bielenia-Grajewska (2015a) is online knowledge communication. As McClosey (1985, p. 78)
poverty, represented in the limited access to data states, “the more austere the subject the more
published on the web, whereas offline knowledge fanciful the language.” Figurative language plays
poverty is connected with inadequate standard an important role in knowledge management,
sources of knowledge. Knowledge management being visible in the selection of metaphors that
is also governed by intellectual property right, accompany different stages of KM. As Bielenia-
protecting copyrights, patents, designs, trade- Grajewska (2015b) discusses, metaphors related
marks, and confidential information in organiza- to KM can be observed at organizational and
tions (Bielenia-Grajewska 2016). concept level. The organizational dimension is
connected with using metaphors to show knowl-
edge circulation through, e.g., the perspective of
Communicating Knowledge and Types hierarchy in a given organization. The concept
of Tools level is connected with using metaphorical
words and phrases to denote a given KM concept,
It is impossible to manage knowledge success- process, or idea. It should be stated that using
fully without any tools. The selection of them symbolic language in KM discourse demands
the engagement of all participants, both encoders the side of author; he or she must “concentrate”
and decoders. West (1997) states that creating new thinking into one drawing. Tools can also be per-
metaphors in speech and writing develops not ceived through their “size,” focusing on, e.g.,
only the creative thinking of metaphor authors, single words or pictures as well as texts or
but also among people around us. Using more books. Pfeffer and Sutton (2000) underline that
sophisticated language requires cognitive flexibil- it is very rarely taken into account that knowledge
ity not only from a speaker but also from listeners. is transferred by stories, gossip, and by observing C
In literature, we can come across different meta- others. All of them demand social interaction.
phors used to describe knowledge management. Moreover, informal channels of knowledge dis-
Investigating domains constituting KM, creativity semination offer not only information on the
is described in terms of “changing gear, not brak- knowledge per se but also how it was created,
ing” (Syrett and Lammiman 2002, p. 20). At the what problems and challenges encountered
more micro level, well-known domains help knowledge creators in the process of data creation.
understand the processes and products of manag- They also stress the linguistic dimension of indi-
ing knowledge. Bielenia-Grajewska (2015c) vidual knowledge dissemination; those who use
gives the example of the domain of gold used in proper vocabulary are perceived as reliable.
economic education, with such terms as golden
hello, golden umbrella, or golden coffin applied to
denote gratification offers for top managers. In Model Level
addition, Bielenia-Grajewska (2017) draws atten-
tion to the role of metaphors in disseminating There are different models applied to explain
knowledge, discussing their role in different knowledge management. Evans (2003) discusses
stages of KM, such as knowledge creation, the ASHEN model used to formulate questions.
knowledge categorization, knowledge acquisi- A stays for artifacts, such as procedures, books,
tion, application, and sharing. First, metaphors databases, and other places where knowledge is
are important in knowledge creation. They facili- stored. The aim is to eliminate doubling materials
tate the creation of terms for laymen relying on and making access available to all those who need
well-known associations offered by metaphors. it. S stands for skill, practical knowledge on a
Second, metaphors are crucial for knowledge cat- topic. H stands for heuristics, the ability to trace
egorization and systematization. This function is new facts and relations between them. E is expe-
visible in localizing products as well as codifying rience, encompassing gathered information on a
knowledge through figurative linguistic tools to given topic, gained by observation and life.
meet the needs and expectations of diversified N represents natural talent in something.
stakeholders. Third, symbolic communication in Holsapple et al. (2016) discuss the PAIR model,
knowledge acquisition may be treated as a double- stressing the role of productivity, agility, innova-
edge sword. As Bielenia-Grajewska (2018) con- tion, and reputation in KM.
tinues, metaphors, relying on well-known
domains, facilitate immediate connotations and
make a new concept better understood. However, Functions of Communication in KM
at the same time, metaphors may result in mis-
interpreting the real data since they rely on one’s As Bielenia-Grajewska et al. (2013) stress, each
subjective feelings and understanding. As far as domain of KM has its own distinctive features
nonverbal KM tools are concerned, De Bono that determine the selection of linguistic and non-
(1981) discusses the role of pictures in communi- linguistic tools. Thus, the choice of tools should be
cation, by proposing an atlas of drawings. First, connected with the domain in focus. At the same
information can be communicated quickly and time, it should be stressed that language functions
efficiently. Second, pictures bear the responsibil- as a bridge between various disciplines, stimulating
ity; it is not needed to beat about the bush. Illus- knowledge flows within disciplines and between
trations require the compatibility of thinking from them (Bielenia-Grajewska 2012). Several
functions of communication in knowledge man- A broader understanding of innovation

agement can be listed. Van de Ven (1986) draws requires to understand innovation also in the con-
one’s attention to physiological limitations of text of the models of the quadruple and quintuple
human beings, discussing the role of the manage- helix innovation systems. The quadruple helix
ment of attention. People are often likely to adapt to and quintuple helix regard themselves to be
situations and conditions that are not favorable for “human-centered” oriented. The way, how the
them and innovative ideas are not created, used, quadruple helix is being engineered, designed,
and implemented. In groups, conformity and iner- and “architected,” from that it is clear that there
tia are also found, with group members often cannot be a quadruple helix innovation system
accepting the path led by others. Thus, it becomes without democracy or a democratic context. The
crucial how to attract and sustain the attention of following attributes and components define the
others. In that case, again symbolic language can fourth helix in the quadruple helix: “media-based
be used. As Bielenia-Grajewska (2014) discusses, and culture-based public,” “civil society,” and
knowledge management is also connected with “arts, artistic research and arts-based innovation.”
attention crash. “Attention crash depends on indi- By this the fourth helix in the quadruple helix
vidual and social determinants because one’s atten- represents the perspective of the “dimension of
tion is shaped by biological, physical, sociological, democracy” or the “context of democracy” for
psychological, and cultural factors and conse- knowledge, knowledge production, and innova-
quently, people have different attention crash tion. This is particularly true when democracy is
thresholds. The most important factor responsible being understood to transcend the narrow under-
for attention crash is information overload” standing of being primarily based on or being
(Bielenia-Grajewska 2014, p. 89). Another impor- primarily rooted in government institutions.
tant feature is adaptation. As Carayannis and Civil society, culture-based public, quality of
Campbell (2009, p. 223) state, the competitiveness democracy, and sustainable development con-
and superiority of a knowledge system is highly vincingly demonstrate what the rationales and
determined by its adaptive capacity to combine and requirements are for conceptualizing democracy
integrate different knowledge and innovation broader (Campbell and Carayannis 2013). Politi-
modes via co-evolution, co-specialisation and cal pluralism in a democracy co-evolves with the
competition knowledge stock and flow dynamics. pluralism, diversity and heterogeneity of knowl-
edge, knowledge production and innovation
(“Democracy of Knowledge,” see Carayannis
Conclusion and Future Direction and Campbell 2009, 2012, p. 55, 2019). We pos-
tulate here a congruence of structures and pro-
Taking into account the rapid development in the cesses in democracy and in innovation systems.
sphere of CIIE, it can be predicted that new domains The quintuple helix extends the quadruple helix
will appear, leading to the studies on novel concepts by aspects of the “natural environments of society
connected with invention, innovation, creativity, and economy,” “social ecology,” and the “socio-
and entrepreneurship. In addition, different ecological transition.” “Also this environmental
disciplines and research methods rely on more context of society can be better addressed in a
sophisticated methods of R&D that leads to the democracy than in a non-democracy. The current
application of neuroscientific tools and develop- world appears to be challenged by a race between
ments from the field of artificial intelligence applied developing democracies versus emerging autoc-
in the communication-oriented research. In conclu- racies over knowledge production and innova-
sion, CIIE research, including its communicative tion” (Carayannis and Campbell 2014, p. 19,
dimension, will rely more on observing the brain 2019; Carayannis et al. 2018). Crucial for innova-
and the reactions of the neural system toward the tion is also to see “democracy as an innovation
presented concepts connected with creativity, inno- enabler” or “quality of democracy as an innova-
vation, invention, and entrepreneurship. tion enabler” (Campbell 2019).
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Complexity and Creative Problem Solving 335
Key Concepts and Definitions

Competitive Dynamics
The IBM 2010 Global CEO Study, Capitalising
▶ Technology Life Cycles on Complexity (IBM 2010), makes an explicit
connection between complexity and creativity
with these findings:
C
• The world’s private and public sector leaders
Competitive Intelligence
believe that a rapid escalation of “complexity”
▶ Information Monitoring and Business Creation is the biggest challenge confronting them.
They expect it to continue and to accelerate in
the coming years
• The study participants identify “creativity” as
the single most important leadership compe-
Competitiveness tency for enterprises seeking a path through
this complexity.
▶ Technology Push and Market Pull
Entrepreneurship The connection and importance of the com-
plexity and creativity connection is further
advanced by The Future of Jobs, a report by the
World Economic Forum (2016) that looks at
employment, skills, and workforce strategy. This
Complex Dynamics report states that the top three workplace abilities
in 2020 will be:
▶ N-Tuple of Helices
1. Complex problem solving
2. Critical thinking
3. Creativity
Complex Thinking
It logically follows that if complexity is the
▶ Dialogical Critical Thinking in Children: biggest challenge, then complex problem solving
Developmental Process will be the most important ability. It also follows
that critical and creative thinking skills will be
required as these competencies are the foundation
of problem solving. This work integrates these
considerations, using accelerating complexity as
Complexity and Creative the starting point and creative problem solving
Problem Solving (CPS) as the framework to apply critical and cre-
ative thinking in response to the challenges and
Russell Schneck opportunities created by complexity. Discussion
WorkingLessons, Kerhonkson, NY, USA of systems and systems thinking are also included
in recognition that the interconnections and inter-
dependencies that produce complexity are evi-
Synonyms dence that a system is at work; problems of
complexity are problems that need a systems
Creative problem solving thinking perspective.
336 Complexity and Creative Problem Solving
Complexity Systems thinking: A set of synergistic analytic

Complexity is characterized by interconnected skills used to improve the capability of identifying
and understanding systems, predicting their behav-
parts, a complicated or involved arrangement of iors, and devising modifications to them in order to
parts, or conditions that are hard to understand or produce desired effects. These skills work together
deal with (www.dictionary.com/browse/com as a system.
plex). The need for components to fit together
It is important to recognize how closely the
and function in a prescribed manner that is not
definition of a system includes the conditions
readily apparent or easily understood is a descrip-
that describe complexity.
tion of complexity.
Creative Problem Solving Theoretical Background

Creative problem solving arguably dates back to
the earliest toolmaking by man. For the purpose of Complexity in Organizations
this discussion, we will start the timeframe with Organizations are complex social systems. Marcy
Osborne (1953) which builds on his work in delib- and Mumford (2010) indicate that complexity
erate creativity to offer a process that has evolved arises from four conditions of social systems and
into creative problem solving process. Fox and the interactions that occur within social systems.
Fox (2004) define creative problem solving in
this manner: Condition 1: Multiple and Competing Goals
A broadly applicable process containing various com- Competing interests will always be present in the
ponents and stages to provide a framework for gener- polarity of individual versus group consider-
ating and developing new and useful outcomes or ations. It is also useful to consider the occurrences
actions for a broad range of situations (opportunities,
that cause multiple and competing goals to exist in
challenges, concerns, or problems). (p. 236)
the first place. It can be argued that multiple and
Systems and Systems Thinking competing goals are an inevitable result of
This article considers the principles, tools, and growth. When an organization grows large
methods of systems thinking as part of the body enough to establish distinct functional depart-
of knowledge utilized during creative problem ments or multiple reporting structures, competing
solving. The nature of complexity and complex interests are the result. Acquisitions and mergers
problems supports this perspective. Miller and produce this condition as well.
Page (2007) states, “Complexity is a deep prop-
erty of a system” (p. 9). Complexity is a condition Condition 2: Multiple Streams of Action and
that arises from interconnections and interdepen- Interaction
dencies. In other words, complexity is a condition This condition can be summarized by saying there
that indicates a system is present. The IBM CEO is a lot going on, and it includes connections
study (IBM 2010) not only links complexity and among various parts of the organization. What
creativity, it also makes the connection between we can see from this condition is that the volume
complexity and systems thinking: of activity and the existence of interconnections
We occupy a world that is connected on multiple
contribute to complexity.
dimensions and at a deep level a global system of
systems. That means, among other things, that it is Condition 3: Success Requires Interdependencies
subject to systems-level failures, which require and the External Demands
systems-level thinking ... (p. 3)
Not only are there connections, but the connec-
Arnold and Wade (2015) present definitions tions are necessary to accomplish required tasks.
for systems and systems thinking: Beyond the complexity produced by these
Systems: Groups or combinations of interrelated,
interdependencies, the individuals and groups
interdependent, or interacting elements forming that are interdependent are responding to factors
collective entities. beyond the awareness or understanding of each
Complexity and Creative Problem Solving 337
other. The circumstances that govern actions or Stage Step Purpose

decisions are not visible throughout the system. Ideate Explore Generate ideas that answer
Complexity is not only the result of necessary ideas the challenge questions
interdependencies, it is compounded because Develop Formulate To move from ideas to
these interdependent individuals or groups solutions solutions. Evaluate,
strengthen, and select
are experiencing influence and stresses different solutions for best “fit”
from and, in some instances, hidden from one Implement Formulate Explore acceptance and
C
another. a plan identify resources and
actions that will support
Condition 4: Interactions Occur in Dynamic implementation of the
selected solution(s)
Context
(http://www.creativeeducationfoundation.org/creative-
The final characteristic describes a situation that is problem-solving/the-cps-process/)
in a constant state of flux. There not only are a lot
of interconnected parts, but they are changing This view presents process as a framework that
often without consideration of the impact of the defines steps or phases. Process can also be the
change on other parts of the system. The need for cognitive and affective abilities that are applied to
the interdependence remains, but there are no creative problem solving. Puccio et al.
effective methods in place that will produce a (2007) articulate specific cognitive and affective
benefit from the interdependent relationship abilities associated with each process step and
when there is a change in the system. At best, describe openness to novelty, tolerance for ambi-
there will be a plan and process for these changes. guity, and tolerance for complexity as affective
But sometimes it is discovered in the course of skills that underlie all steps in the creative problem
what had been daily routine that what worked solving process.
yesterday would not work today, and another
unknown approach is required.
Systems Thinking
Creative Problem Solving Systems thinking uses multiple levels to offer a
The creative problem solving (CPS) process has view of reality. The following table presents the
evolved over six decades of research, theory, and levels, descriptions of each level, and the mode of
practice. Originating in the work of Alex Osborne action present in each level.
and Sid Parnes and the Creative Education Action
Foundation, CPS was once referred to as the Level Description mode
Osborne-Parnes model. The Creative Education Events Occurrences we encounter in Reactive
Foundation now presents an evolution of the our day-to-day activities
Osborn-Parnes model called the CPS Learner’s Patterns Trends or changes observed Adaptive
or measured over time
Model (Puccio et al. 2007; Miller et al. 2001;
Systemic Underlying causal drivers. Creative
Nielson and Thurber 2016). structures Responsible for generating
patterns and events
Stage Step Purpose
Mental Deeply held theories about Reflective
Clarify Explore Identify the goal, wish, or models how the world works
the vision challenge
Vision Desired future Generative
Gather Describe and generate data
data to enable a clear (Kim 1999)
understanding of the
challenge Effective problem solving must occur at the
Formulate Sharpen awareness of the structure level. Too often we see changes
challenges challenge and create
implemented only at the events level. Inevitably
challenge questions that
invite solutions these will result in unintended consequences that
(continued) over time will undermine the effort. The increased
338 Complexity and Creative Problem Solving
interconnectivity and interdependencies in stakeholders, and when complexity is present, it

today’s workplaces make the unintended conse- often means crossing departmental or organiza-
quences of events level interventions more likely tional boundaries.
and of greater impact. Systems thinking and its
tools such as causal loop diagrams, behavior over Process and Methods
time graphs, and systems archetypes are particu- Considering the four stages of the CPS Learner’s
larly well suited for complexity in that they are Model (clarify, ideate, develop, and implement),
intended to identify interdependencies and causal complexity brings increased emphasis on the clar-
relationships. ify stage. A problem cannot be solved, if we do
Introductory material on systems thinking not fully understand what the problem is, which
(Goodman et al. 1997; Kim 1999; Pegasus 2004) means looking at the situation from multiple
begins with a foundation of causal loop diagrams and points of view as well as understanding its root
behavior over time graphs. These basic, yet power- causes. Creative solutions, a vision for the future,
ful, tools form the foundation for the inquiry and depend on understanding of the systemic structure
diagnostic work that is a strength of systems thinking that underlies the problem we are trying to solve.
and necessary for the clarify stage of CPS. Causal Complexity produces ambiguity that may not
loop diagrams depict the interrelationships and influ- be eliminated by the clarify stage. The informa-
ences of the variables in a system, and behavior over tion gathered may be inconclusive, contradictory,
time graphs reveals trends and patterns. or incomplete. Controlled experiments can be
An important application of causal loop dia- used to address this during develop and imple-
grams is to define systems archetypes which are ment stages. This reflects an explicit understand-
common patterns of behavior in organizations that ing that even the process of implementation can be
are known to be the underlying cause of many iterative when complexity is present.
recurring issues (Kim and Lannon 1997). An under-
standing of systems archetypes builds an awareness Visualization Tools
of the unintended consequences that are produced Craig (2000) offers the following description of
by the archetypical behavior and allows for problem the purpose of diagrams: “to unravel and clarify
solving and corrective measures to be developed situations in a way that reduces complexity”
and implemented (Kim and Lannon 1997). The (p.11). This suggests that as complexity increases,
utility of systems archetypes to CPS is found in the need to apply a range of visual tools and the
how systems archetypes can effectively explain principles of visual thinking (Arnheim 1969;
the systemic structure of the problem. McKim 1972; Roam 2009) in CPS will continue
to increase as well.
Specific types of information can best, or
Implications of Complexity on Creative sometimes only, be conveyed visually. McCor-
Problem Solving mack (2011) articulates this concept and its
importance to problem solving in this way:
Stakeholder Involvement . . . many scientific and engineering problems sim-
As a result of interdependencies, circumstances ply cannot be described verbally, and VST (Visual/
arise such that no single entity owns the prob- Spatial Thinking) is essential to scientists as an aid
lem; therefore, no single entity can solve the to thinking, a means of problem formulation, and
the essence of problem solving. (p. 10)
problem. The most significant problem facing
one department may have its origin in another Systems are another example of this concept.
department or even with a resource outside the Defining and describing the interactions, interde-
company. There is not a single chain of authority pendencies, and consequences of a system require
that can address the situation. Effective the visual vocabulary of behavior over time
problem solving requires the involvement of all graphs and causal loop diagrams.
Computerized Testing 339
Conclusion and Future Directions IBM. Capitalising on complexity: insights from the global
chief executive officer survey. Portsmouth: IBM Cor-
poration; 2010.
Complexity is here to stay and creative problem Kim DH. Introduction to systems thinking. Waltham: Peg-
solving needs to continue to evolve to address the asus Communications; 1999.
challenges and opportunities that result from com- Kim DH, Lannon CP. Applying systems archetypes. Wal-
plexity. The importance of the clarify stage sug- tham: Pegasus Communications; 1997.
gests the potential for steps and tools directed
Marcy RT, Mumford MD. Leader cognition: improving
leader performance through causal analysis. Leadersh
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specifically at the issues inherent in the challenges Q. 2010;21(1):1–19.
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the dynamics of a system are at work. Incorporat- 2011;22(7):10–1.
McKim RH. Experiences in visual thinking. Monterey:
ing the principles, tools, and methods of systems Brooks/Cole Publishing Company; 1972.
thinking into the practice of CPS will be an asset Miller JH, Page SE. Complex adaptive systems. Princeton:
to this evolution. Princeton University Press; 2007.
Complexity creates conditions that are beyond Miller B, Vehar J, Firestien R. Creativity unbound: an
introduction to creative process. 3rd ed. Williamsville:
our ability to easily comprehend. With this under- Innovation Resources; 2001.
standing, we find the importance of learning in our Nielson D, Thurber S. The secret of the highly creative
problem solving methods. Complexity means the thinker: how to make connections others don’t. Amster-
problem solving is a process of learning. Com- dam: BIS Publishers; 2016.
plexity also increases the importance of the affec- of creative problem-solving. New York: Charles
tive skills (openness to novelty, tolerance for Scribner’s Sons; 1953.
ambiguity, and tolerance for complexity) that Pegasus, editor. Getting started with systems thinking:
underlie the entire creative problem solving pro- tools for organizational change. Waltham: Pegasus
Communications; 2004.
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seek ways to develop, encourage, and reinforce skills that drive change. Thousand Oaks: Sage Publica-
these skills. tions; 2007.
Roam D. The back of the napkin: solving problems and
selling ideas with pictures expanded ed. New York:
Portfolio; 2009.
Cross-References
▶ Complexity and Creative Problem Solving

▶ Creativity and Systems Thinking
Composition
▶ Creativity in Music Teaching and Learning

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340 Computerized Testing of Creative Potential
more than just calculate. She worked with Charles

Computerized Testing of Babbage’s “analytical engine,” a precursor to the
Creative Potential modern computer. The Lovelace Test requires that
a computer produce something that is truly crea-
▶ Creativity Testing tive, something it was not programmed to do or
produce. It must, in a word, create.
Given the prevalence of technology, in the
sciences and throughout everyday life, it is not
Computerized Testing of surprising that the creativity of computers is being
Creativity examined. Actually, computers and creativity
intersect in several ways. One is implied by the
Mark A. Runco
Lovelace Test. This is mostly a question for com-
University of Georgia, Athens, GA, USA
puter scientists, though there are implications
Creativity Research and Programming, Southern
for our understanding of human nature. The Love-
Oregon University, Ashland, OR, USA
lace test also leads direction to issues surrounding
American Institute for Behavioral Research and
how to best define creativity. Other practical ques-
Technology, Vista, California, USA
tions about computers and creativity are relevant
to creativity testing and assessment. Consider, for
example, how computers can help with the admin-
Synonyms istration of creativity tests. For decades, creativity
tests were given orally or, most often, via paper-
Associative networks; Divergent thinking;
and-pencil. This has worked well; a great deal has
Flexibility; Idea density; Originality; Semantic
been learned about creative potential. One thing
networks; Standardization
that has been learned many times over is that
creativity is best expressed under certain testing
For years, computer scientists pointed to the conditions. If creativity tests are administered just
Turing Test as a good way to assess the intelli- like academic tests (e.g., they are timed, called
gence of a computer. The Turing Test was protests, and things like spelling emphasized), many
posed by Alan Turing and requires a dialogue students do not actually express their creativity.
between a human and a computer. The human is Students who do well on academic tests also do
not privy to who or what is on the other side of the well on creativity tests if they are given like aca-
dialogue and is asked to determine if the dialogue demic tests, and students who do not do well on
involves a computer or a human. To do so, the academic tests also do not do well on creativity
human types questions, and the computer answers tests if they too are administered like academic
them. If the human cannot ascertain that the com- tests. They key points are that (a) testing condi-
puter is in fact a computer, it passes the test. The tions are quite important, and (b) students who are
computer (or software, to be precise) is attributed creative but not academically talented will not
with intelligence. The Turing Test was proposed show their creative talents if tests are given like
in 1950. Finally, in 2014, a chat box named academic exams. Computers can help, at least in
Eugene passed the Turning Test by fooling a the sense that they can insure that all students
human. receive the right kind of instructions, namely
Computer scientists were not satisfied. those that emphasize originality rather than cor-
They decided that there was a better way to rect answers. In testing theory, this is one part of
test computers and developed a new test. The standardization.
new test was named after the Countess of Love- Even more telling is the advent of computer-
lace, Augusta Ada King-Noel (1815–1852), a ized scoring for creativity tests. Consider in this
British mathematician who seems to have been regard divergent thinking tests. These are often
the first person to realize that computers could do used to estimate creative potential. They are open
Computerized Testing of Creativity 341
ended, which is what allows the divergent think- analyzed for several different kinds of flexibility.
ing. They are scored for fluency (how many ideas Research in 2016 by Kenes Beketayev and
are given), originality (how many rare or unusual myself, for example, described how semantic
ideas are given), and flexibility (how diverse the and associative networks can be used to determine
ideas are and how many conceptual categories are how many conceptual connections any given idea
tapped by the student when producing ideas). has and how much conceptual distance exists
Originality is sometimes determined by judges between any two consecutive ideas (consecutive C
who rate the ideas, but this is a labor intensive in the sense of being adjacent in the examinee’s
method and undesirable because it introduces sev- ideational output). In addition, the computer can
eral kinds of subjectivity. Objective scoring for determine the latencies that exist between adja-
originality requires pooling the ideas and counting cent ideas. Research in 2016 by Selcuk Acar and
how many are unusual (given by very few exam- myself demonstrated that latencies were just about
ines, perhaps 1% or 5%) and how many are 5 s longer when the person was flexible in his or
completely unique (given by only one examinee). her ideation. In other words, if the person moved
The more unusual and unique the ideational out- from one conceptual categories to another, which
put, the more originality. they must do when thinking in a flexible fashion,
Computer algorithms have been created the latencies were notably longer than when the
that take care of all divergent thinking indices. person simply stayed within any one conceptual
Fluency is easy: the computer can count how category. Interestingly, latencies were longer
many distinct ideas were given, especially if the when the examinee was working on a figural (or
test is prepared such that ideas are separated by the “visual”) divergent thinking task (rather than a
examinee (e.g., one idea per line of text, or sepa- verbal one). This makes a great deal of sense
rated by commas). Originality is also straightfor- from the perspective of theories of creative cog-
ward: the computer can compile ideas and then nition. Figural tests tend to elicit more original
keep track of how many examinees gave each. ideation, probably because the stimulus is less
Any new ideas are then compared to these norms familiar to the examinee. Figural stimuli in diver-
and scored accordingly (i.e., using the definition gent thinking tests are just abstract line drawings.
of originality above, looking at unusual or unique This is in contrast to verbal stimuli, which tend to
ideas). In fact, at least one battery of creativity be more familiar to examinees because people
tests, namely the Runco Creativity Assessment tend to have rich linguistic experiences. The
Battery (or rCAB), has developed dynamic most common verbal divergent thinking test is
norms for testing divergent thinking. These are probably Alternative Uses (or “Many Uses” in
dynamic in that the norms are updated while the rCAB). It asks examinees to “list as many
examinees take the tests. Any idea given is uses as you can for a chopstick,” or brick, or
not only scored for its originality but is also newspaper. Responses to questions like that may
immediately added to the norms. Incidentally, be rote, while ideation on figural divergent think-
any unusual spelling of an idea or unrecognized ing is probably more effortful and original, which
response is flagged and can be checked by a is consistent with the latency results.
human examiner. This is a rare occurrence. In sum, computers can be used not just to
Duplicate ideas given by any one examinee are standardize the administration of creativity tests
ignored; credit is only given for one of the ideas. but can also be used to score creativity tests, and
Flexibility plays an important role in many they actually offer new avenues for interpreting
kinds of creativity and can also be scored by ideational output and for related such output to
computer. This might even be the clearest advan- the underlying cognitive processes. As is proba-
tage of computerized testing. That is because bly obvious, computer administration and scoring
semantic and associative networks have been of creativity tests is also much more cost efficient
developed for studies of linguistics and concep- than manual and paper-and-pencil methods.
tual structures, and these allow ideas to be Computer creativity testing is not limited to
342 Computerized Testing of Creativity
divergent thinking tests. The method using idea In the Creativity Research Journal alone, Beth
density is one example of a new and different Hennessey examined the amount of constraint
approach to assessing ideation. imposed by working on a computer and its rela-
Idea density indicates how many ideas a person tionship with creativity; Mathias Benedek,
uses when writing an essay or producing some Andreas Fink, and Aljoscha C. Neubauer used
other verbal product. This means that idea density computers for creativity training; John J. Sosik,
does not require that an examination is adminis- Surinder S. Kahai, and Bruce J. Avolio reported
tered; the data may be found in the previous success with computer-mediated team work;
written works of the examinees (or other sam- Randy Howe used computers to uncover creative
ples). In one demonstration of this method, dimensions of design work; Jill Nemiro described
Burak Turkman, Selcuk Acar, Mohamad Nural, the benefits of virtual teams (for brainstorming
and I administered divergent thinking tests to a efforts); and Gerardus J. M. Lucas, Auke van
group of students. They were also asked to write der Wijst, Petru L. Curseu, and Wilhelmina M.
an essay, which was scored for its idea density. Looman explored creativity quotients that could
The calculation of idea density focuses on linguis- be calculated by computer, just to name a few
tic indicators of ideas. Indeed, the algorithm for recent efforts. These do not relate directly to com-
idea density was originally created in linguistic puterized creativity testing, but as is the case
studies, but the team just mentioned recognized throughout the creativity research, there is a pro-
how useful it would be for the study of creativity, ductive interplay between creativity measurement
given that ideas play such an important role in methods and creativity theory. Recall here the
creative work. Analyses indicated that idea den- Lovelace Test, which is not the kind of test used
sity was indeed correlated with divergent thinking in education or research but which will only be
scores. This implies that, some of the time, tests of passed with certainty when creativity can be
divergent thinking may need not be given. Exam- accurately assessed. It is no stretch to think
iners might rely instead on some sample of writing about creativity testing, computerized and other-
or text and will still be able to estimate the idea- wise, as playing a vital role in all creativity
tional capacities of examinees. This of course research and all applications of creativity theory.
means that ideational scores can be obtained Without reliable and valid tests of creativity, mea-
from a broad range of outputs. As a matter of surement would be worthless, and without accu-
fact, Runco et al. (2017) also transcribed rate measurement, efforts are speculative,
TED Talks and found a correlation between their wasteful, and often misguided. Creativity testing
idea densities and the number of times they had is therefore quite broadly important, and more and
been downloaded. The number of downloads was more of it now depends on computerized
taken to be indicative of the quality of the various methods.
TED Talks; from that perspective, the correlation
between idea density and downloads implies that
better TED Talks present more ideas or at least Cross-References
present more ideas per word. (The Idea Density
algorithm takes verbiage into account. Basically, ▶ Creativity Testing
it divides the number of ideas by the number of ▶ Divergent Thinking
words.) Idea densities were also correlated with ▶ Ideas and Ideation
the frequency of citations of published articles.
Here, citation was taken as an estimate of the
quality of the publications, which is a common References
point of view, and not surprisingly, higher quality
Beketayev K, Runco MA. Scoring divergent thinking tests
publications were high in idea density.
with a semantics-based algorithm. Eur J Psychol.
Computers are actually used in many ways 2016;12(2):210–20. https://doi.org/10.5964/ejop.v12i
in the creativity research and not just for testing. 2.1127.
Conflict and Creativity 343
Kenett YN, Anaki D, Faust M. Investigating the structure and in any case it did not hold up. Yet there are
of semantic networks in low and high creative persons. parallels between evolution and development,
Front Hum Neurosci. 2014. https://doi.org/10.3389/
fnhum.2014.00407. especially if you take the lifespan perspective.
Reiter-Palmon R, Forthmann B, Barbot B. Scoring diver- The most obvious may be that just as adaptation
gent thinking tests: a review and systematic framework. allows a species to evolve and survive so too do
Psychol Aesthet Creat Arts. 2019;13(2):144–52. learning and coping allow an individual to live an
https://doi.org/10.1037/aca0000227.
Runco MA, Turkman B, Acar S, Nural MV. Idea density effective life. Conflict of some sort plays a role in C
and the creativity of written works. J Genius Eminence. adaptation and coping, as well as creativity.
2017;2:26–31. Creativity, like learning, adaptability, and cop-
ing, helps individuals to lead an effective life.
In fact, creative talent may facilitate adaptability.
This is especially likely given that life is fraught
Concept Development with challenges. There are various ways to
describe the benefits of creativity – it adds to the
▶ Creativity Definitions: Approaches
quality of life, helps us to stay healthy, and con-
tributes to progress – and the most important
benefit may be that it does allow us to adapt and
cope and deal with conflict and challenges of
Conceptualization of many sorts. Life can be challenging, but creative
Democracy behavior makes it easy to keep up.
Much of this reasoning is theoretical, but there
are data showing that creativity is the result of
▶ Quality of Democracy and Innovation
challenges, conflict, and tension. These data can
be found in case studies and experimental research.
This entry will briefly review each. It covers all
perspectives on the relationship of conflict and
Conflict and Creativity creativity. It throws a wide net and looks at vari-
ous kinds of conflicts, some mild hassles, some
Mark A. Runco1,2,3 and Sureyya Yoruk4
1 major problems, some intrapersonal, and some
2 interpersonal. Data about the conflict-creativity
relationship are found in developmental, cogni-
3 tive, social, and organizational psychology.
4 Asynchrony
Marmara University, Istanbul, Turkey
As noted just above, there are several labels for
the challenges and conflicts in our lives, including
hassles and obstacles, but each is the result of
Synonyms
the human condition which includes both comfort
and relaxation and conflict and asynchrony. Many
Adaptation; Asynchrony; Brainstorming teams;
challenges contribute to stress, but some may
Cost of expertise; Marginality; Mindfulness;
actually benefit the individual.
Originality; Preference for complexity
Does this mean that we should seek challenges
and impose them on each other? Should parents,
There are quite a few parallels between the evolu- for example, satisfy all of the needs of their chil-
tion of Homo sapiens and the development of dren? More likely, good parents will allow their
individuals. Historically, the theory that ontogeny child to experience tension and conflict. Other-
recapitulates phylogeny was not used to describe wise the children may not develop the capacity
the entire lifespan, but only prenatal development, to tolerate tension nor learn the skills that will
344 Conflict and Creativity
allow lifelong adaption. More concretely, good moves from one profession to another. Again, the
parents do not provide environments that are per- individual is forced to think in a mindful fashion.
fectly aligned with their child’s abilities. Instead Individuals also have the benefit of using concepts
parents create a slight mismatch and then “scaf- or methods from the original profession in the new
fold.” The parents may speak to a child with a profession, which of course means that they may
sentence that has eight words, and seven of them do or see something that experts in the second
are in the child’s current receptive vocabulary, but field do not see. That kind of thing happens to
the meaning of that eighth word must be inferred. experts fairly regularly and for this reason has
The child must work, just a bit, to grasp the been labeled “the cost of expertise.” The benefits
meaning of the sentence. And as the child grows, of moving from one field to another are implied
so too do the mismatches. A good parent will keep by the insights of Darwin (geology to evolution-
just ahead of a child’s current abilities. That is ary biology), Jean Piaget (biology to cognitive
scaffolding. Its tie to asynchrony and growth is developmental psychology), and Sigmund Freud
especially clear for parenting, but we could might (physiology to psychiatry). Admittedly, it is pos-
explore parallels for teachers who intentionally sible that the same benefit occurs when an indi-
challenge students or managers and supervisors vidual is on the periphery of a field rather than
who challenge employees. moving from one field to another. Indeed, there is
Research shows that various challenges occur research suggesting that marginality, like asyn-
during childhood and apparently contribute to the chrony, has benefits for creativity. Note that
development of mindfulness and adaptability. In these benefits can be explained by the fact that
addition, case studies of creative individuals sug- being marginal or asynchronous challenges the
gest that many of them had huge challenges of individual to think in a mindful, and often origi-
all sorts (Runco 1994). Although these are retro- nal, fashion.
spective reports, the implication is that the chal- Conflict that leads to creative thinking some-
lenges contributed to the capacity for creativity. times involves different modes of thought. Con-
This makes sense if creative ability is a kind of vergent processes may lead to a solution to a
adaptability. problem, while, at the same time, divergent think-
In the most general terms, tension is likely to ing suggests alternatives. This situation may lead
result when there is an asynchrony or mismatch to what Arieti (1976) called the magic synthesis.
between the needs and capacities of the individual For Arieti, creativity results from a blend, or syn-
and what is available and supported by the envi- thesis, of different ideas and feelings. Interest-
ronment. The case studies mentioned just above ingly, he felt that these might come together
point to asynchronies that sometimes occur within in the corpus callosum, which is the neural
the family. They may be the result of a loss of a bridge between the two hemispheres of the
parent when the child is still quite young or the brain. A variety of other theories also view crea-
loss of a sibling, both of which are remarkably tivity as the blend of opposites. These create a
common among famous creators. Yet other ten- tension which the individual resolves using crea-
sions result from mismatches and asynchronies tive processes.
outside of the family. The tension is not necessarily only between
One kind of asynchrony occurs when an indi- cognitive modes of thought; it may also be
vidual moves from one culture to another. This between thinking and emotion. Not surprisingly,
may put individuals in a position where they feel there is a personality trait found in many highly
that they should process information mindfully creative individuals that may both result from but
rather than make assumptions. It is almost as if also in turn lead to these tensions between modes
they are forced to use the “question assumptions” of thought. Sometimes called the preference for
tactic that is so often recommended in programs complexity (Eisenman 1997), this trait not only
designed to enhance creative thinking. Another allows the individual to tolerate situations fraught
kind of asynchrony is likely when an individual with tension but also to seek it out. Individuals
Conflict and Creativity 345
high in preference for complexity seem to have They are the ones that will bring information and
learned that from tension comes the satisfaction of huge knowledge bases to the problem at hand.
creative insight. Barron’s (1963) work on “the They will evaluate and criticize and insure that
need for order and disorder” demonstrated that only practical ideas move forward, from the team
these individuals learn to prefer complexity, to the larger organization. Since assumptions are
even if there is a tension felt because of it. They to be avoided and diverse perspectives on prob-
know that the tension is indicative of the creative lems are useful, the experts in the groups should C
process and often leads in a fruitful direction. represent different points of view. One might be a
scientist, one could be an engineer, and one a
humanistic psychologist. The key is diversity.
Tension in Organizations and Teams This will insure that assumptions (within any
one field) are avoided, but it will probably lead
There are parallels in organizations and groups. to some tension and conflict. The experts may
Tension is, for instance, probably unavoidable in very well argue and debate. That is a good thing
teams and brainstorming groups. Some of the for creativity. It will allow ideas to be tested and
time, this works to the advantage of the group. evaluated and all relevant information to be
In fact, tension is one of the factors included in brought to bear.
descriptions of optimal teams and workgroups It may be counterintuitive, but it is quite pos-
(Rubenson and Runco 1995). According to one sible that the experts in a team will not have the
of the most detailed theories of optimal groups, a most creative insight. They will bring information
team should be composed of six to eight people. If and question assumptions, but the creative insight
there are more, there is too great a cost for any one is actually most likely to be found by an inexpe-
individual to take a risk and share a wild, and rienced member of the team! This is because, with
potentially original, idea. In fact, the least risk is experience comes rigidity or, in the vernacular of
in so-called nominal groups – someone working creativity theory, inflexibility. Experts have so
alone! This does not mean that nominal groups are much invested in their own fields and theories
optimal for creativity. In fact, there may be little and points of view that they tend to defend them
tension when a person works alone and too little and become increasingly rigid. This relates back
perspective. In addition, creativity is not synony- to the “cost of expertise.” But if the team is opti-
mous with originality. Creativity requires effec- mally composed, there will be novices as well as
tiveness as well as originality. This is especially experts, and just as the experts are inflexible, so
true in organizations, which very likely are inter- are the novices flexible. They will hear the con-
ested in innovation. That means that an idea must flict, the debate, and the exchange of information,
not be simply original; it must also work. It must and they are the ones who are flexible enough to
be practical. It should lead to implementation. It benefit from the conflict and team work and have a
would be good if it could sell. So although smaller useful insight.
groups are good for the risk-taking that allows An optimal team of this sort may produce a
originality, creativity requires more than that. creative idea. Then again, there is no guarantee.
Hence, a team should be composed of not too What the theory of an optimal group defines is a
many (when risk increases, originality drops) nor way of finding the conditions which should allow
too few (high originality but lacking the diverse the creative process to occur. You could say that
perspectives and experience that will insure that the optimal work group has the potential to be
some ideas are practical as well as original). In creative (see ▶ “Four Ps of Creativity,” this vol-
addition to an optimal size, a team should be ume). As a matter of fact, much the same must be
diverse. This is where the tension comes in. said about all of the different kinds of tensions and
Again citing the theory of optimal groups men- conflicts and asynchronies that are summarized
tioned above, it is probably best to have two to in this entry. None of them guarantees creativity.
three highly experienced individuals in a team. Conflict sometimes supports mindful thinking and
346 Conflict and Creativity
interactions that can lead to original and useful creativity by structuring experience or context.
ideation. But conflict can go different ways. It can Simply put, even if conflict was the most likely
be used productively, or it can become an issue in route to the development of creative thinking
and of itself, a distraction, and a block to creativ- skills (and more accurately, it is simply one route
ity. It is much like putting a deadline on a person. that sometimes works for some people), it would
Many people are challenged by deadlines and be unethical to impose undue conflict on individ-
respond by doing good work. But others are fro- uals! There is probably no need to impose conflict
zen by deadlines. The condition – the deadline – is anyway. Life throws challenges at us; we do not
the same, but interpretations of it differ. The impact have to go looking for them.
varies from person to person. This is the same This brings us to our last point. Much of the
with conflict and tension. It works for some peo- thinking in this entry implies that creativity can
ple, some of the time, but not everyone all of be stimulated by tension and conflict. That in
the time. turn may imply that creativity is a form of adap-
tation. This view can be refuted, however, since
some creative behaviors are maladaptive. Crea-
Conclusions and Future Directions tivity is sometimes associated with psychopa-
thology, for example, and sometimes it leads to
These last comments on conflict within teams such radical thinking that the individual creator
apply most obviously to industry and organiza- is alienated. Perhaps more convincing is that
tions. But then again, schools sometimes use creative thinking is sometimes proactive, while
brainstorming, and diversity could be utilized in adaptations are by definition reactive. In the evo-
student groups. Additionally, a beneficial tension lution of a species, for example, adaptations are
was suggested by Dean Keith Simonton when he not selected unless they correspond with (“fit”)
described how the best mentor-student relation- environmental pressures. This is not to say that
ship is not one of complete compatibility and they are directed or teleological. But creative
camaraderie. The ideal mentor-student relation- behavior is often self-expressive and indepen-
ship is instead one where there is some discrep- dent of environmental demand. Further, many
ancy. Certainly there must be enough compatibility of the most creative insights are not solutions to
for good communication; but some distance and a problem (solutions would be reactions) but are
dissimilarity are also good. Otherwise, the stu- instead a reflection of problem identification or
dent may merely imitate the mentor, and original problem finding. The point is that sometimes
insights are unlikely. creative insight is the result of self-expression,
Creative insights sometimes occur when there and there is no problem. Other times there is a
is no conflict and no tension. Indeed, this is the problem and perhaps tension. There are different
humanistic view, proposed by Carl Rogers. Crea- routes to creative insight. Given the importance
tivity is inextricable from the epitome of psycho- of creativity, future research should be directed
logical health, namely, self-actualization, and to determine exactly what kinds of conflict and
individuals self-actualize when they are in envi- tension are beneficial, for whom and in what
ronments which provide unconditional positive settings.
regard. Yet at the same time, there are logic and
numerous examples of tension leading to shifts of
perspective and creative insight. These two per- Cross-References
spectives are not really at odds with one another
if you keep in mind that much depends on the ▶ Four Ps of Creativity
interpretation of the individual. ▶ Freedom and Constraints in Creativity
At least as important is the caution that must be ▶ Ideas and Ideation
taken whenever an attempt is made to enhance ▶ Risk
Confrontation Techniques: Inspiration of Ideas by Unrelated Stimuli 347
References calculation. He worked intensively on the prob-

lem but came to no solution. For relaxation,
Arieti S. The magic synthesis. New York: Norton; 1976. he went to the bathhouse and sat with his
Barron F. The need for order and for disorder as motives in
plump body in a bathtub: Bath water
creative activity. In: Taylor CW, Barron F, editors.
Scientific creativity: its recognition and development. overflowed. At that moment, a solution shot
New York: Wiley; 1963. p. 153–60. through the head: Place the crown into a
Eisenman R. Creativity, preference for complexity, bowl of water filled to the brim, and pour the C
and physical and mental health. In: Runco MA,
overflowing water in a geometrically defined
Richards R, editors. Eminent creativity, everyday crea-
tivity, and health. Norwood: Ablex; 1997. p. 99–106. vessel. Then the volume of the spilled water can
Rubenson DL, Runco MA. The psychoeconomic view easily be calculated.
of creative work in groups and organizations. Creat After having realized this solution, Archimedes
Innov Manag. 1995;4:232–41.
ran naked into the street, waving the crown and
Runco MA. Creativity and its discontents. In: Runco MA,
Shaw M, editors. Creativity and affect. Norwood: cried incessantly: “Eureka, eureka!” (“I’ve got
Ablex; 1994. p. 102–23. it!”). The goldsmith was convicted of fraud.
Similar anecdotes are there for other
inventions or discoveries:
Conformity in Rural Creativity • Gravitation: Newton (an apple falling down)

• Significant development of the steam engine:
▶ Rural Creativity and Urban Creativity Watt (steam leaking out of a cooking pot)
• Velcro: de Mestral (burdock in dog fur)
These are examples of unplanned confronta-

Confrontation Techniques: tions. We know this phenomenon: We want
Inspiration of Ideas by to solve an everyday problem; few solutions imme-
Unrelated Stimuli diately come to mind; considering them, they
appear not appropriate or feasible. Next day, in a
Horst Geschka and Martina Schwarz-Geschka very different environment without contemplating
Geschka & Partner Unternehmensberatung, on the problem, a good solution pops
Darmstadt, Germany up. Sometimes such ideas come seemingly out of
nowhere, but often they show up in view of objects,
structures, and processes, which have no obvious
How Archimedes Solved a Problem connection with the problem.
This perception and transmission of
The anecdote of Archimedes may serve as principles, structures, and processes occur
an introduction to problem-solving through only when the problem seeker perceives a
confrontation: Archimedes, an all-round solution pressure or has a strong interest in
scientist, got the commission from the tyrant a topic. Archimedes had developed no volume
Hieron II, to check whether a delivered crown measurement concept, if he had not been
by a goldsmith was made of pure gold or under pressure to deliver the tyrant a solution
whether he detached some gold by some of the task.
measures. The specific weight of gold was The suggestions for new solutions by
known at that time, so the volume of the crown interpreting objects, operations, phenomena,
determined whether the crown corresponds to etc. emerge apparently not within the private
the specific gravity of pure gold. or professional area. The everyday environment
The crown was very artfully designed is hardly noticed; it is outworn. New impressions
so Archimedes could not make a geometric are recorded and analyzed; this is preferably
348 Confrontation Techniques: Inspiration of Ideas by Unrelated Stimuli
done in non-everyday surroundings or at unusual • The ideas of other participants should be

events. picked up and further developed.
We call this form of idea emergence intuitive
confrontation as opposed to systematic confronta- Other methods of this group apply to the
tion carried out as methods. It occurs occasionally same principles; they differ with respect to the
but more generally in highly creative minds when organization and course of the sessions: writing
elaborating new solutions. instead of speaking, group size, form of commu-
nication, time intervals, etc.
Methods of Idea Generation (Creativity Techniques of Structured Association

Techniques) The main difference of these creativity
techniques compared to the first group is that
Grouping of Creativity Techniques idea generation proceeds in defined steps:
In this short entry, common creativity techniques A moderator leads the problem solvers
are grouped in order to show the differences of through several stages of different lines of
the confrontation techniques in contrast to the thinking and contemplation – one after the other.
other creativity techniques (see Fig. 1). Here we These techniques allow coming up with
give only short explanations. positive and skeptical remarks as well as with
In the meantime, quite a number of creativity rational and emotional thoughts. Thus, the
techniques emerged (Geschka and Zirm 2011, Six Hats method (Geschka 1994) asks for quite
2013). We cluster them according to the idea different viewpoints and considerations.
inspiring principles.
Configuration Techniques
Techniques of Free Association These creativity techniques generate new solu-
The creativity techniques of this group are based tions by compiling solution elements in a new
on unrestricted thinking and cross-fertilization as way. This may be a new combination of
idea inspiring principles. elements either by omitting or adding elements.
The basic method in this group is brainstorm- These are quite systematic methods of idea
ing. The bases are these four rules: development.
• Many ideas should be generated. Imagination Techniques

• No criticism of ideas. The central elements of these techniques are
• Even crazy ideas are welcomed. pictorial imaginations occurring in one’s mind.
Confrontation 1. Techniques of Free Association 4. Imagination Techniques

Techniques: Inspiration • Brainstorming • Try-to-become-the-problem
of Ideas by Unrelated • Circulating-Cards-Technique • Take-a-picture-of-the-problem
Stimuli, Fig. 1 Grouping • Ring-Exchange-Technique • Fantasy Journeys
of creativity techniques • Mindmapping
1
2. Techniques of Structured 5. Confrontation Techniques
Association • Synectics Excursion
• Walt-Disney-Method • Stimulating-Word-Confrontation
• Six-Hats-Method • Confrontation with Picture
• Semantic Intuition Projections
• Picture-Cards-Brainwriting
3. Configuration Techniques 1 Only the typical ones
• Morphological Tableau
• Morphological Matrix
• Attribute Listing
• SIT (Systematic Inventive Thinking)
An in-depth understanding of the problem is this approach was tried out and was afterward
arising giving room for new solutions. The further developed in several variants of confron-
approach helps the problem solvers to come tation techniques by the Battelle group (Geschka
up with solutions triggered by purely mental 1994; Geschka et al. 1971).
constructs. The imagination techniques are not
very common in use.
Confrontation Techniques in Practice C
Confrontation Techniques
Confrontation techniques use functional and Some Introductory Notes
structural principles hidden in objects or Walking in a picturesque river landscape is
processes outside the problem field as stimuli certainly relaxing. It stimulates thinking, and it
for creative idea development. The process starts may happen that ideas come up in view of the
by leading the problem solvers out of the picturesque landscape. However, this is uncertain
problem area. Then the confrontation takes and not practicable as a systematic approach for
place by external impulses, which the participants companies to generate ideas.
transfer into bold ideas for the given task. We learn that confrontation with any objects
Comparing these groups of creativity tech- or actions is stimulating meaningful ideas.
niques, one can see and understand the quite However, this approach has to be operationalized
different approaches applied to stimulate ideas and exploited as methods or techniques. This
for new solutions. means:
How Confrontation Techniques Arose • An actual problem has to be solved; it is

In 1961 Koestler (1966) introduced the concept explained in detail, discussed, and
of “bisociation”: Two aspects merge into reformulated.
something new. Koestler, however, did not • Unrelated meaningful “objects” are brought in
create a method (procedure) for generating for confrontation.
ideas. Koestler’s insight found much later an • The idea generation should be performed in
implementation in the confrontation techniques. a group. Group size should not be too small
The synectics excursion played a pioneering (six to nine participants preferable to three to
role. Gordon (1961) developed this approach in four groups.)
the 1960s: Starting with a problem situation, • A moderator is leading through the process.
the group produces a chain of analogies. In a
procedure of four-step terms, concrete words As objects terms (words), pictures, or descrip-
emerge. Then the group derives solution ideas tion of events are used. The interpretation of
from these terms. the objects will be “forced” consequently. There-
The synectics excursion method caused a fore this process is called “force fit” or “forced
certain fascination; it was regarded as a particu- relationship.” It is the crux of the confrontation
larly exquisite method to develop highly creative techniques.
solutions. The method has, however, not been The procedure is unusual. The moderator
used widely due to its complicated procedure should first explain the thinking process. He
and the rather long time required. also demonstrates and cooperates in the early
In the early 1970s, a small group of researchers phases of the process. The course is in principle
at the Battelle Institute in Frankfurt (Germany) as follows: First, the problem is explained,
started a basic study on creativity techniques. even going into details. The participants must
The aim was to collect methods worldwide, understand the problem. Then a brainstorming
classify them, and apply them with problems phase of a few minutes follows to unload
from participating companies (90 firms). The ideas, which are well known or pop up right
synectics concept was recognized. Subsequently away. Afterward unrelated objects are analyzed
Confrontation Problem:
Techniques: Inspiration
of Ideas by Unrelated How to improve the Tipp-Ex-Bottle ?
Stimuli,
Fig. 2 Confrontation
Buzzword: Included items or Derived idea:
through terms ontatexample
functions:
Claps closure with

Lock
one-handed-operations
„Suitcase“ Separated slots, pockets, and Included second container

compartments with solvent
With wheels Spreads through a roller or

ball instead of a brush
Confrontation Problem:
Techniques: Inspiration
How to staple papers in new ways?
of Ideas by Unrelated
Stimuli,
Fig. 3 Confrontation Picture: Picture element: Derived idea:
through pictures
ationexample
„interleaved Interlink paper through
and toothed“ perforation
„houses hold Put paper through pressure

the hillside“ together
Put paper through wrinkles

„house edges“
together
in terms of specific functions, properties, Here we list those confrontation techniques

and inherently realized principles. These that we have applied in varying frequency or
interpretations trigger solution ideas. frequent users described them comprehensively:
To illustrate the confrontation concept, the
following figures show the essential inspiration • Synectics excursion
occurrence. In Fig. 2 a term is the confrontation • Stimulating-word-confrontation
object, while in Fig. 3, a picture is used for this • Picture-cards-brainwriting
purpose. • Confrontation with picture projections
• Provocative theses (de Bono)
Confrontation Techniques: An Overview • Confrontation with TRIZ invention principles
A range of creative techniques uses confronta- • Invention by selection and conversion
tions as core of idea generation. The individual • Outdoor confrontation
techniques differ in some aspects: what is the
overall course, how to find the confrontation Sometimes the confrontation approach is
objects, how works the confrontation procedure applied spontaneously in an innovation
in detail, how are ideas recorded, etc. workshop without following a fixed course.
Hereafter we demonstrate two of these these terms are not related to the problem
techniques in detail: “stimulating-word-confron- field (e.g., one participant starts with a concrete
tation” and “confrontation with picture projec- subject; the next participant has to pronounce
tions.” All other listed confrontation methods a word beginning with the last letter of the
are briefly described in a later section. predecessor’s word; etc.). Highly emotional
terms or abstract terms were not incorporated.
Stimulating-Word-Confrontation Six or seven words are sufficient. C
In stimulating-word-confrontation, terms are 3. Spontaneous solution finding (5 min)
used as confrontation objects (Geschka 1994). In a short brainstorming, ideas are unloaded
A description of the procedure follows (see also that are already in mind or adapted spontane-
Fig. 4). ously. After the first stoppage of suggestions
but at the latest after a flipchart fully written,
1. Problem description and clarification this step should be broken off. The minds of the
(10–20 min) participants are now empty and free for novel
The problem is thoroughly explained; ideas.
all questions are clarified. The task is restricted 4. Analysis of the first stimulus-word with
to the core problem and precisely defined. regard to structures, elements and operat-
The group gains a common understanding of ing principles etc. (5 min)
the problem. The final problem formulation Transcript of these characteristics on a
is clearly visible to all written on a flip chart. flipchart – one sheet as a maximum.
2. Establishing a list of 8-10 terms (5 min) 5. Development of ideas from the characteris-
Words are collected in a random process. tics of the first term (10–20 min)
The words should describe everyday objects When developing ideas, one should not
or operations. One should make sure that lose sight of the stimulus word.
Situation:
Garden furniture have a number of disadvantages: They weather rapidly, pillow and textile pads
are getting wet, they need large protected shelves: A manufacturer of garden furniture is looking
for practical solutions to eliminate these vulnerabilities entirely or partially.
Problem:
How to design garden furniture to reduce the disadvantages caused by rain and winter?
Stimulating words
Solution ideas
(random selection)
Furniture and furniture structure stability generated by high air pressure. After
Balloon
deflating the furniture can fold up into small units.
Extendable cover tarpaulins are integrated in the tables and chairs and can be
Chest of drawers pulled out and linked up, so that the furniture and smaller additional parts are
covered.
The furniture is designed in a way that they can be pushed into each other. Hooks
Bales of straw
and tie straps consolidate the stack. A matching tarpaulins can be pulled over.
Garden shed, which is adapted in style and function to the furniture. The garden
furniture can be inserted precisely on one side. There is room to store conventional
Mountain hut
garden equipment. The hut also fulfills functions for activities in the garden: folding
table, storage shelves, lighting, electrical connection.
Confrontation Techniques: Inspiration of Ideas by Unrelated Stimuli, Fig. 4 Stimulating-word-confrontation

atelyexample
6. Successively more stimulus-words are and allow different interpretations. Pictures

considered and processed in the same way may also be used for a short relaxation and
as in step 4 and 5 alienation phase.
If it turns out that stimulus-words are A presentation of the process of
unproductive, one should quickly move to the confrontation with picture projections follows
next word. (see also Figs. 5 and 6):
7. When six to seven stimulus-words are
analyzed the session should be terminated 1. Problem description and clarification
The moderator should cease if the group (10–20 Min)
does not develop new ideas anymore but at The problem owner explains the problem
the latest after 45 min of idea generation. to be solved. All comprehension questions
8. Spontaneous evaluation by sticking dots are clarified. The problem is narrowed down
The ideas written down have no appropriate and specified. The group gains a common
structure. Nevertheless, evaluation of the ideas understanding of the problem. The final
should follow immediately after idea generation. problem formulation is clearly visible to all
participants written on a flipchart.
2. Spontaneous solution finding (5 Min)
Comments
In a short brainstorming, solution ideas
• To avoid any suspicion of influencing the
that one already has in mind or that were
idea generation, one should generate the
quickly perceived are written on a flipchart
terms (words) in the meeting applying a
(not more than one sheet). The minds of the
procedure that ensures independency of the
participants are now free for developing of
problem field.
new ideas.
• A query of stimulus-words is not
3. Relaxation and alienation (5 Min)
recommended, since in this case conceptual
In a darkened room, relaxation pictures
modifications or more suggestions from
are projected, and appropriate background
the same area may come up. The collection
music is played. The participants relax.
of words should be a real random process.
4. Presentation of confrontation photos and
• After five, six, or maximum seven
derivation of solution ideas out of picture
confrontation-words have been analyzed,
elements (five to seven Images)
idea development should be terminated,
Quite different pictures are displayed.
since repetitions increase more and more. It
A few (preferable two) participants describe
makes sense to have some more words in
the pictures in their view. Then the group
reserve, if words turn out to be rather similar
members derive ideas out of a picture
or do not trigger ideas.
referring to single elements. A picture is
• The stimulating-words-confrontation requires
changed when the flow of ideas declines;
no special equipment besides a flipchart and a
no more than 10 min should be dedicated
pinboard. One can begin a session spontane-
to one picture.
ously, without preparation.
5. Spontaneous evaluation by sticking dots
• The meeting will take roughly 1 h; the moder-
The ideas written down have no
ator can extend it if the flow of uncommon
appropriate structure. Nevertheless, an
ideas keeps up.
evaluation should be done in the session
immediately after idea generation is over.
Confrontation with Picture Projections
A consideration was to use pictures as Comments
confrontation objects (Geschka 1994). Pictures • The alienation phase with relaxing images
are more informative compared to words; they should take only ca. 5 min. The music should
provide more single elements than words be non-dominating background music.
Phase I: Clarification and Definition of the Problem
Phase II: Relaxation and

Estrangement
Phase III: Idea Generation by Intuitive

Confrontation with Picture Elements
Traffic Light
1. Lights off/on
2. Sequential
3. Color Code
4. PC
Tire Switch
1. Continuous 1. Push Bottom for request
2. Tread Pattern 2. Simple handling
3. Pressure
4. Inflate
Confrontation Techniques: Inspiration of Ideas by Unrelated Stimuli, Fig. 5 Visual confrontation in the group
Search for Simple Aids after Earthquake Catastrophes
From shutters: Massive boards for From balcony railing (iron): crowbars of
different purposes: stretchers, different curvature and design; hooks that
supports, ramps, etc. claw each other.
From lantern
holder: Seesaw
assembled from
From gutter: crowbars and
Flexible hose that boards: people
can be driven into form a
the interior to counterweight to
supply the spilled raise large chunks
with water, a of rock or wall.
sensor, etc.
From bicycle: a bicycle to be attached to From awning: ropes and

equipment with a generator for emergency tarpaulins for fastening, pulling
power supply for first medical treatment, up, carrying away, etc.
lighting, etc.
Confrontation Techniques: Inspiration of Ideas by Unrelated Stimuli, Fig. 6 Visual confrontation in thexample
• The confrontation pictures should have unsuitable as well as highly emotionally

a slightly positive appeal. Pictures showing affecting depictions. Special knowledge is
poverty, misery, dirt, violence, etc. are not required for understanding the pictures.
• The contents of the pictures have to be • Presentation, intensive discussion, spontane-

quite different. The selection of pictures ous designation, and final definition of the
should not pay attention to the problem problem to be solved (four single steps)
worked on. • Generation of direct analogies from nature
• The moderator must lead intensively and • Personal identification with selected analogies
bring in comprehensible examples for • Symbolic analogies (fascinating abstractions)
participants not familiar with the • Confrontation with the preceding analogies
technique.
• The generated ideas vary considerably with One may recognize the complexity of the
respect to the level of detail and depth of method. It seems that this disadvantage leads to
solution. Occasionally demands or wishes are a low penetration of the method.
proposed; this is not the objective of the
task, and the moderator should break off Picture-Cards-Brainwriting
an upcoming discussion. Instead of projected pictures, one can use
• Of course the consideration arises to show pictures on cards (Geschka and Zirm 2011):
a video sequence, instead of presenting Picture cards with very interesting contents
individual pictures one after the other. are collected and brought in a handy format.
Experiments with this approach, however, The criteria for selecting pictures are the
have shown that this requires a back and same as for projected pictures. One needs about
forward operation, which leads to a “cut up” 25 to 30 pictures for an idea generation session
of the process. Single images can better with 6 to 7 participants.
be adapted to the observations and the The group works through the following
conceptual thinking of the participants. process:
• Presentation, discussion, and definition of

the task and unloading obvious ideas.
Abridged Description of some Further • Each participant receives four to six picture
Confrontation Approaches cards depending on the size of the group.
• The participants work on the cards individu-
There are some other methodological ally: What do I see? What functions and prin-
concepts applying the confrontation principle ciples are inherent? What can be transferred
for generating ideas. Following we present into an idea? They write the ideas on pin cards.
some of these approaches briefly. (Some of • One should think about one picture for 3 to
these methods are already mentioned in section 4 min; immediate rejection after a few seconds
“Confrontation Techniques – An Overview”) should not happen.
There are certainly more ways of applying • When a participant has worked through the
the confrontation principle; one may employ it picture cards, he should exchange them with
occasionally or by chance without using a the cards of group members.
special designation. • After some 20 min, the idea cards are passed
around for further associations.
Synectics Excursion • Finally, the group structures and evaluates all
We mention this method already in section ideas.
“How Confrontation Techniques Arose.”
Originally, it was applied when conventional One disadvantage of this method is the
procedures did not result in satisfactory low stimulation and exchange within the group.
solutions (Hays 2013). Compared to picture projections, less equipment
This is the core process: is required.
Confrontation with the TRIZ Invention approach is quite different to those described
Principles earlier. Essentially, he puts up rather unlikely
Altschuller (Möhrle et al. 2013) has identified statements about situations, functions, or opera-
40 principles for inventions. (In the meantime, tions. These statements are marked with the
some more principles ensued.) One can use these syllable “Po.” An example may explain it:
principles without a selection in the same way as
picture cards. • Po, in restaurants there are neither cutlery
C
A preselection of the TRIZ principles is nor dishes!
not recommended. Therefore time for the idea This Po statement is essentially already
generation meeting may last some time longer. the confrontation. The next step is the interpre-
All the invention principles describe techno- tation in form of realistic solutions. To give
logical functions. On cards, the principles another example:
should be clearly described, and a few examples • Po, police have four eyes!
of application should be given. In this case, it Solution ideas:
should be allowed to pass on those cards – Police officers always go in pairs side
that one absolutely does not understand. This by side. The one on the right observes
demonstrates that this approach should only the right side; the colleague on the other
be applied with participants having a profound side monitors the other side.
technical background. – Police officers have cameras built into
their helmets that are directed to the right,
Invention by Selection and Conversion to the left, and to the rear.
Patents describe inventions and are thus a – In the vehicles of the police, installed
source of technological knowledge. The video cameras cover all directions.
inherent principles laid down in patents may
also be used for other applications. Based on this The method of provocative theses appears
consideration, K. Spies (2013) designed a proce- unusual. However, there are no real obstacles
dure to derive from the technological core of in the method or its acceptance. Formulating
patents innovative concepts for other functional the “Po statement” requires bold future thinking.
applications. The basic steps are as follows: De Bono developed this method for individual
creative thinking. However, it is appropriate also
• Precise definition of the problem or application to carry it out with a small group.
field.
• Determining of the functions to be improved
or redeveloped. Outdoor Confrontation
• Identification of the patent classes where The innovation trainer H. Will developed the
technical solutions might be found. outdoor confrontation approach (Will 1994).
• Filtering those patents out which are out of A small group of three to four goes for a walk
question. through the city to search for solutions for a
• The remaining patents are intensively consid- given problem. Their slogan is “The ideas lay
ered and analyzed with regard to the task by a on the street!”
small group of specialists; each participant They walk slowly considering buildings,
goes through the selected patents checking shop windows, building entrances, scaffold-
the possibility of a transfer or a modification. ings, cars, bicycles, strollers, trams, etc.; the
perceived impressions are converted into
Provocative Theses ideas. The ideas are noted down on a notepad
De Bono (1996) developed a concept to come or into a notebook. The walk can also go
up with radical new solutions or concepts. His through a landscape.
356 Confucian Parenting Principles
This approach simultaneously contains a Koestler A. Der göttliche Funke. Bern/München/Wien:

relaxation and an alienation effect. Both are Scherz; 1966.
Möhrle MG, Walter L, Schumann S. Viele Wege führen
preconditions for developing original ideas. nach Rom – TRIZ-Methodik als Wegweiser vom
Problem zur Lösung. In: Innovationen durch
Wissenstransfer – mit Analogien schneller und
Summary kreativer Lösungen entwickeln. Wiesbaden:
Springer Gabler; 2013.
Spies K. Invention by selection and conversion.
There exists a whole range of approaches Personal discussions of Horst Geschka with the
and techniques applying the spontaneous developer. 2013.
analogy transmission as a direct stimulation Will H. From visual confrontation to outdoor association:
methods for creative idea generation. In: Creativity and
of the idea development. In the various methodo- innovation: the power of synergy. Darmstadt: Geschka
logical approaches, different confrontation & Partner; 1994. p. 159–65.
mechanisms are applied: words, pictures, impres-
sions on walks, etc. After the confrontation
and interpretation, the transfers to ideas/solutions
happen spontaneously without guidance. This is
the creative spark! Confucian Parenting
The confrontation techniques presented in this
Principles
entry show how the confrontation principle of
idea stimulation can be integrated in a flow: This ▶ Creativity and Confucian Parenting
is the method. Certainly, other approaches are
possible and perhaps somewhere applied.
Confucian Principles
References
▶ Creativity and Confucianism (Asian Culture)
De Bono E. Serious Creativity. Die Entwicklung neuer
Ideen durch die Kraft lateralen Denkens. Stuttgart:
Schäffer-Poeschel; 1996.
Geschka H. Visual confrontation – developing ideas
from pictures. In: Geschka H, Moger S, Rickards T,
editors. Creativity and innovation: the power of syn- Confucianism
ergy. Darmstadt: Geschka & Partner; 1994. p. 151–7.
Geschka H, Zirm A. Kreativitätstechniken. In: Albers S, ▶ Creativity and Confucianism (Asian Culture)
Gassmann O, editors. Handbuch Technologie- und
innovations management. 2nd ed. Wiesbaden: Gabler;
2011. p. 279–302.
Geschka H, Zirm A. Creativity techniques: use of
creativity techniques in innovation processes.
In: Carayannis E, editor. Encyclopedia of creativity, Considering Others
invention, innovation and entrepreneurship. Berlin/
Heidelberg: Springer; 2013. p. 461–72. ▶ Creativity for Compassion and Compassion for
Geschka H, Schaude G, Schlicksupp H. Methoden
und Organisation der Ideenfindung in der Industrie.
Creativity
Frankfurt: Bericht einer Multiklientenstudie des
Battelle-Instituts; 1971.
Gordon WJJ. Synectics. New York: Harper & Row; 1961.
Hays JM. The synectics creative problem solving
method. http://teaching.fec.anu.edu.au/MGMT7061/
Constructivism
here: Hays – Synectics CPS Method.pdf. Retrieved
29th Aug 2013. ▶ Parsimonious Creativity
Corporate Creativity 357
Consumer-Generated Media Corporate Creativity
▶ Social Media Crowdsourcing Sam Stern1 and Alan G. Robinson2

1
College of Education, Oregon State University,
Corvallis, OR, USA
2
Isenberg School of Management, University of C
Contextual Ambidexterity Massachusetts, Amherst, MA, USA
▶ Innovation and Ambidexterity

Introduction
When describing creativity at Pixar Animation

Contextual Determinants Studios, cofounder and CEO Ed Catmull (2008)
wrote, “A movie contains literally tens of thou-
▶ Environmental Determinants of Entrepreneurship
sands of ideas. They’re in the form of every sen-
tence; in the performance of each line; in the
design of characters, sets and backgrounds; in
the locations of the camera; in the colors, the
Continuity lighting, the pacing. The director and the other
creative leaders of a production do not come up
▶ Idea-Marathon System (IMS)
with all the ideas on their own; rather, every single
member of the 200–250 person production group
makes suggestions. Creativity must be present at
every level of every artistic and technical part of
Contractor the organization” (p. 66).
Creativity in a corporate setting, whether in the
▶ Crowdfunding and Entrepreneurship
private or public sector, a large or small organiza-
tion, and manufacturing or service industry, is
much more like Pixar than not. Creative ideas
can and actually do need to come from everyone
Convergent Thinking in the organization. Nobody can predict who will
be involved in them, what they will be, when they
will occur, or how they will happen. But rather
Newbox (ION) Thinking Skills
than mean that nothing can be done, the very
unpredictability of creativity leads to a greater
understanding of how organizations can increase
Cooperation to Innovate their creative performance. The unpredictability
of creativity is the reason why more individually
▶ Collaborative Innovation targeted strategies, such as attempts to hire espe-
cially creative people or training current
employees to be creative, have not been particu-
larly successful. As Curtis Carlson (2006),
Co-publication president and CEO of SRI International, put it,
“top-down innovation is orderly but dumb, while
▶ Networks and Scientific Innovation bottom-up innovation is chaotic but smart.”
358 Corporate Creativity
Corporate creativity differs from more individ- only at what they plan to do but also in ways
ual perspectives on creativity in that it recognizes they never expected. This is where creativity,
the collective and distributed nature of work in a both incremental improvement and breakthrough
corporate setting and the organization as the basis innovation, happens. Since both the situation and
for determining usefulness. As Cameron Ford the actions are unexpected, the greatest leverage
(1995) observed in his review of research on for increasing the capacity for creativity is in
creativity, most definitions of creativity involve creating an environment that is friendly to this
newness and usefulness but differ on the focus type of bottom-up creativity.
or reference point for the definition. This reflects Through research on creative acts in different
the early and substantial involvement of psychol- types of organizations in different countries, Rob-
ogists, many of whom have defined creativity in inson and Stern (1997) have identified six charac-
terms of a person and their characteristics, or have teristics of an environment that increase the
focused on processes associated with creativity. probability of creativity in a corporate setting.
In contrast with more individually based defi- Although no one can predict the specific creative
nitions of creativity, Robinson and Stern (1997) acts that will follow, the likelihood of their hap-
defined corporate creativity so as to emphasize pening will significantly increase when these six
the company’s role as the reference point for both elements are in place. “Managing” creativity is
newness and usefulness: about raising probabilities, and in this respect it
A company is creative when its employees do is similar to operating a casino. Even though casi-
something new and potentially useful without nos do not know how individual gamblers will
being directly shown or taught (Robinson and fare at any given table, they know very well that if
Stern 1997, p. 10). enough customers come and play for long enough
This definition builds on the work of Paul against the house odds, the casino will make a
Torrance who, very early in his career, conducted very predictable and stable profit. In much the
a multiyear research study with the US Air Force same way, although companies cannot know
to determine how it could prepare pilots and crews where specific creative acts will come from or
to survive the brutal experiences they would be what they will be, they can take action to increase
likely to face as prisoners of war in North Korea. the frequency with which creative acts occur. The
In the end, what he found surprised him: The thing specific six environmental characteristics that
that had proved most critical for survival was advance corporate creativity are alignment, self-
something that no training program taught – cre- initiated activity, unofficial activity, serendipity,
ativity. Torrance found that no matter how much diverse stimuli, and within-company communica-
training people had received, when faced with the tion (Robinson and Stern 1997).
real thing, they almost invariably had to cope with The first characteristic, alignment, is about
unexpected situations. Those who survived had ensuring that the interests and actions of all
combined elements of their training and life expe- employees are directed toward a company’s key
riences to create a completely new survival tech- goals, so that any employee is more likely to
nique, one they had not been taught (Torrance suggest and respond positively to an idea with
1959). This discovery fascinated Torrance and potential value for the company. On a hit-or-miss
led him on to a distinguished research career in basis, creative acts can happen in any company,
creativity, one that spanned more than 40 years. but they cannot occur consistently over time
Today, in an increasingly mobile, socially unless a company is well aligned. Companies
interconnected, and competitive world, the very can function with relatively poor alignment, but
survival of companies depends on their creativity. they cannot be consistently creative unless they
To survive and prosper, they must succeed not are strongly aligned. Alignment is often
Corporate Creativity 359
overlooked; it is intangible and elusive, and as far take become clear. A serendipitous discovery is
as corporate creativity is concerned, its effects are one made by fortunate accident in the presence of
readily visible only when a company is either sagacity (keenness of insight). Creativity often
extraordinarily well aligned or misaligned. In involves recombining or making connections
Built to Last, James Collins and Jerry Porras between things that may seem unconnected. The
(1994) identified alignment as the key difference more abstruse the connection, the greater the intel-
between their study’s “visionary” companies lectual distance that must be traversed to make it, C
(those select few that had steadily grown, sur- and the greater role for the unexpected.
vived, and prospered over a 100-year period) The fifth characteristic of corporate creativity
and the “also-ran” companies which had not. is diverse stimuli. A stimulus may provide fresh
The second characteristic is self-initiated activ- insight into something a person has already set out
ity, and no unplanned act of creativity can happen to do, or it may bump that person into something
without it. While companies can plan for new and different. One reason why no one can predict who
useful things, these take an organization in only will be involved in a creative act, what it will be,
directions it has already anticipated. People have a or when or how it will happen is that it is impos-
natural drive to explore and create, a drive that sible to know in advance what sort of stimulus
leads them to initiate new activity. One reason will lead a particular person to initiate one. It
why self-initiated activity figures so prominently could be anything from a casual conversation to
in corporate creativity is that it allows employees to a formal presentation or a seemingly unrelated
pick a problem that they are interested in and feel activity. And what serves as a powerful stimulus
able to solve, for whatever reason. This means that for one person may not even be noticed by some-
their intrinsic motivation is much higher than one else. This unpredictability means that efforts
would be the case if the project had been planned to expose people to prescribed stimuli will neces-
or picked for them by someone else. sarily have a low success rate. The real leverage
Unofficial activity, the third characteristic, lies in helping employees to get the stimuli and in
occurs in the absence of direct official support creating opportunities to bring these stimuli back
but with the intent of doing something new and into the organization where then can be put to use.
useful for the organization. So many instances of The sixth characteristic is within-company
corporate creativity, including the bar code, post-it communication. Every organization carries out
notes, and ink-jet printer, all began as unofficial planned activities and should establish the neces-
work by one person or a small group of people. sary lines of communication to support them. But
When an idea is new to an organization, it is often these official channels are of limited usefulness
resisted and opposed. Unofficial activity gives for corporate creativity, which goes beyond what
ideas a safe haven where they have the chance to is already done and planned for. Unanticipated
develop until they are strong enough to overcome within-company communication seems to happen
that resistance. Unless an organization makes more naturally at smaller companies but not so
some space for such activity, it leaves itself little naturally at larger ones. The larger the company,
room to be consistently creative – to bring along a the more likely it is that the components of crea-
stream of new and useful things without being tive acts are already present somewhere in the
shown or taught. company, but the less likely it is that they will be
The fourth characteristic, serendipity, is a brought together without some help. A company’s
widely used word, but few people are familiar creative potential increases with its size, but with-
with its history and original meaning. When this out systems in place to promote unanticipated
meaning is restored, the relationship to corporate exchanges of information, this potential is
creativity and specific actions that companies can unlikely to be realized.
360 Corporate Entrepreneurship

Corporate Entrepreneurship
Given the unpredictability of corporate creativity,
the greatest leverage for assuring ongoing crea- Céline Merlin-Brogniart
tivity is in nurturing an environment that CLERSE, Lille, France
increases the probability that creativity, both University of Lille–France, Villeneuve d’Ascq,
small and large, will occur with regularity. How- France
ever, the “borders” of any organization’s environ-
ment are becoming increasingly blurred by
globalization, social networking, and greater Synonyms
mobility and flexibility in the workforce. Increas-
ing capacity for corporate creativity will relate to Corporate entrepreneurship, internal; Corporate
the development of strategies that successfully venturing, internal; Independent entrepreneur-
engage ideas and actions of people inside the ship; Internal innovation; Internal venturing;
organization as well as all those stakeholders Intrapreneurship; Redefinition; Reorganization;
who interact with it. Revival; Strategic change; Strategic departure;
Strategic renewal; Transformation
Cross-References
Introduction
▶ Business Creativity
▶ Corporate Entrepreneurship Many innovative companies have progressively
▶ Creative Leadership lost their creativity over time due to increases in
▶ Organizational Creativity size, bureaucracy, and hierarchy associated with
their growth. To regain the entrepreneurial
dynamic they once had, some companies are
References choosing to invest in employee-generated innova-
tive projects linked to their core or closely related
Amabile TM. The social psychology of creativity. competencies. These types of initiatives can arise
New York: Springer; 1983.
spontaneously from within the company or, in
Carlson CR, Wilmot WW. Innovation: the five disciplines
for creating what customers want. New York: Crown cases when the organization does not possess the
Business; 2006. internal entrepreneurial talent, they can be
Catmull E. How Pixar fosters collective creativity. Harv implemented through a top-down approach as
Bus Rev. 2008;86(9):64–72.
managers instill an innovative work culture to
Collins JC, Porras JI. Built to last: successful habits of
visionary companies. New York: Harper Business; modify employee behaviors. These entrepreneur-
1994. ial initiatives are typically facilitated by the main
Ford CM. Creativity is a mystery. In: Ford CM, Gioia DA, organization and are managed from within the
editors. Creative actions in organizations. Thousand
firm or through an external entity.
Oaks: Sage; 1995. p. 12–49.
Pirola-Merlo A, Mann L. The relationship between indi-
vidual creativity and team creativity: aggregating
across people and time. J Organ Behav. Definitions: A Concept with Imprecise
2004;25(2):235–57.
Robinson AG, Stern S. Corporate creativity: how innova-
Semantic Boundaries
tion and improvement actually happen. San Francisco:
Berrett-Koehler; 1997. This brief summary explores several phenomena
Torrance PE. Surviving emergencies and extreme condi- that fall under the notion of corporate entre-
tions: a summary of six years of research (Unpublished
preneurship. Literature often classifies the
manuscript prepared for the survival training unit of the
Air Force Personnel and Training Research Center). different variations of this concept into four cate-
Washington, DC: U.S. Air Force; 1959. gories: corporate venturing, strategic renewal,
Corporate Entrepreneurship 361
intrapreneurship, and corporate entrepreneur- This definition highlights the fact that the com-
ship (Sharma and Chrisman 1999). Of this termi- panies themselves are subject to business reorga-
nology, corporate entrepreneurship encompasses nization or innovation. Many authors use
the widest range of definitions and will be used as Schumpeter’s broad definition to illustrate the
the keyword in this entry. broad range of potential changes stemming from
entrepreneurial behaviors. These changes do not
Corporate Venturing necessarily have innovation as the end goal; stra- C
The first set of definitions refers to the phenome- tegic renewal can also result from cost cutting or a
non of (internal) corporate venturing, the creation reallocation of resources, which may bring about
of new activities (or business) within an new business opportunities or innovation.
existing firm. This category encompasses what is sometimes
Block and Mac Millan “consider a project a venture called “Frame-breaking changes,” whereby
when it: Involves an activity new to the organiza- changes focus on the rules of competitive engage-
tion; Is initiated or conducted internally; Involves ment (e.g., creating new business models)
significantly higher risk of failure or large losses
than the organization’s base business; Is character- (Stopford and Baden-Fuller 1994).
ized by greater uncertainty than the base business;
Will be managed separately at some time during its Intrapreneurship
life; Is undertaken for the purpose of increasing A third perspective of corporate entrepreneurship
sales, profit, productivity, or quality” (1993, p. 14).
is represented by the term intrapreneurship. Firms
A corporate venture is typically characterized have genuine entrepreneurs among their person-
by the launch of a new (often risky) project, the nel. “Intrapreneurs” are creative and often auton-
relative autonomy of the project, and the fact that omous employees who try to implement
the project is being developed internally. innovative projects to improve the firm’s perfor-
This type of undertaking requires the company mance. Overseeing intrapreneurs’ projects is a
to develop new skills, knowledge, or processes, way to generate increased profits. Intrapreneurs
but such new skills are generally never far from detect opportunities, build ad hoc internal and
the firm’s original core competencies. The external networks, and shorten the duration of
resulting new initiatives or products have a signif- the innovation process (Bouchard 2009).
icant and lasting impact on the organization. Many companies try to encourage their staff to
Internal corporate entrepreneurship, internal adopt an “intrapreneur-like” mind-set and behav-
innovation, internal venturing, and sometimes ior. This model, therefore, analyzes the institu-
intrapreneurship all refer to the same tionalization of routines and the adoption of
phenomenon. entrepreneurial behaviors within existing
organizations.
Strategic Renewal The term “intrapreneurship,” a neologism cre-
The second group of definitions refers to the ated by combining “entrepreneurship” and “inter-
transformation or “renewal” of organizations. nal,” was popularized by Pinchot (1985) in the
We call this category “strategic renewal,” 1980s. In this school of thought, authors often cite
but the terms “organizational renewal,” “stra- the entrepreneurship literature since it is there that
tegic change,” “revival,” “transformation,” the entrepreneurial behavior is seen as a driving
“strategic departure,” “reorganization,” and force.
“redefinition” are also used to explain the same The authors differentiate “intrapreneurs” from
phenomenon. It is important to note that strate- “entrepreneurs” (Pinchot 1985) and “independent
gic renewal should not be confused with finan- entrepreneurship” from “corporate entrepreneur-
cial restructuring. ship” (Collins and Moore 1970; Sharma and
According to Zahra (1995, p. 227) “Renewal Chrisman 1999). According to Pinchot, an intra-
means revitalizing a company’s business through preneur is “Any of the ‘dreamers who do.’ Those
innovation and changing its competitive profile.” who take hands-on responsibility for creating
innovation of any kind within an organization. diversification through internal development.

The intrapreneur may be the creator or inventor Such diversification requires new resource com-
but is always the dreamer who figures out how to binations to extend the firm’s activities in areas
turn an idea into a profitable reality” (Pinchot unrelated, or marginally related, to its current
1985, p. iX). On the other hand, an entrepreneur domain of competence and corresponding oppor-
is “someone who fills the role of an intrapreneur tunity set.” (Burgelsman 1983, p. 1349).
outside the organization” (Pinchot 1985, p. iX).
The key distinguishing characteristic between
entrepreneurship and intrapreneurship, therefore, Theoritical Origins, Corporate
lies in whether the entrepreneurial activity has Entrepreneurship Practices, Innovation,
been developed internally or externally. and Intrapreneurs
Corporate Entrepreneurship The Field of Corporate Entrepreneurship Has

Guth and Ginsberg’s definition combines the first Two Theoritical Origins
two categories through the meaning of corporate First, management researchers have been inter-
entrepreneurship, the final category of definitions ested in the concept of corporate entrepreneur-
for discussion. “The topic of corporate entrepre- ship or corporate venturing since the end of the
neurship encompasses two types of phenomena 1960s. According to Bouchard (2009), the first
and the processes surrounding them: (1) the article dealing with this issue dates back to the
birth of new businesses within existing organiza- year 1969 (Wesfall 1969). Venturing is similar to
tions, i.e., internal innovation or venturing; and traditional entrepreneurship, but it occurs exclu-
(2) the transformation of organizations through sively within the bounds of the corporate organi-
renewal of the key ideas on which they are built, zation. The practice is undertaken to improve
i.e., strategic renewal” (Guth and Ginsberg 1990, sales, profits, productivity, or quality. Corporate
p. 5). This interpretation is widely accepted entrepreneurship also consists of fostering a ven-
because it encompasses many other definitions turesome environment to help the firm’s continu-
(Sharma and Chrisman 1999). ous development of new business opportunities or
While Guth and Ginsberg’s definition (1990) activities.
emphasizes the fact that corporate entrepreneur- Second, the concept of corporate entrepreneur-
ship can involve new businesses or initiate major ship has also been covered in various studies on
changes within the organization, other definitions entrepreneurship. Corporate entrepreneurship was
for this category also highlight the qualities of originally analyzed as a particular form of entre-
intrapreneurship (and consequently, encompass preneurship. Over time and especially with the
the three previous categories of definitions). emergence of “intrapreneurship” (Pinchot 1985)
According to Sharma and Chrisman, “Corporate as an established concept, it eventually evolved as
entrepreneurship is the process whereby an indian independent field of study.
vidual or a group of individuals, in association Management researchers are especially inter-
with an existing organization, create a new orga- ested in intrapreneur behaviors, but also in the
nization or instigate renewal or innovation within entrepreneurial practices implemented by firms.
that organization” (1999, p. 18). In this case, the
individual or collective dimensions of entrepre- Corporate Entrepreneurship and Innovation
neurship, as well as the partnership with the orga- The flexibilization and debureaucratization of the
nization, are the key to defining the concept of workplace since the 1970s has led to the increased
corporate entrepreneurship. popularity of corporate entrepreneurial practices.
Still other definitions stress the process and Most innovation models have come to be based on
resources required to foster corporate entrepre- planned and systematic innovations with well-
neurship. “Corporate entrepreneurship [. . .] established procedures. These models became
refers to the process whereby firms engage in too expensive and rigid because they were often
integrated within everyday operational routines. know-how of identifying stakeholders and mobi-
Such models did not bring about increased effi- lizing corporate networks to protect the project’s
ciency and only led to incremental innovations. autonomy and convince the senior management to
While traditional innovation processes, such as support the initiative (Bouchard 2009). In that
R&D, stem from organizational continuity, sense, an intrapreneur must possess strong mana-
intrapreneurship focuses on the role of human gerial and entrepreneurial skills.
continuity in the innovation process (Blanchot- According to Bouchard (2009), intrapreneurial C
Courtois and Ferrary 2009). According to this motivations have two origins. On the one hand,
interpretation, intrapreneurship leads to increased the altruist intrapreneur is persuaded to bring a
employee motivation and development. major project to the firm and is not directly
The place of corporate entrepreneurship within concerned with the potential financial rewards
firm’s innovation process changes over time and promotion that may come with the success
depending on the firm’s strategic policy and its of the idea.
cultural perception of innovation in the work- On the other hand, the ambitious intrapreneur
place. While some firms develop corporate entre- has a strong desire to reach his or her full poten-
preneurship externally, others integrate it within tial. The ambitious intrapreneur ultimately seeks
the company’s organizational processes. to improve his or her intellectual capabilities,
In the current climate of uncertainty, the adop- develop transversal skills, and frequently tries to
tion of innovative projects entails increased risk, free his or herself from the limitations of the firm’s
so companies tend to view entrepreneurship as a routines. Intrapreneurship can almost be seen as a
secondary activity or may simply choose to aban- second career path for an employee to improve
don these types of projects. social and professional status without following
the traditional stages of professional development
The Intrapreneur: Status, Motivations, and (Pinchot 1985).
Characteristics To provide an example of spontaneous
Intrapreneurial projects may be generated sponta- intrapreneurship, we can look to the case of Ian
neously by employees. The intrapreneur may Telford, an employee who worked at Dow Chem-
develop an independent project linked to the ical Company, and developed a project of
firm’s core competencies or to peripheral activi- e-commerce named “e-epoxy.com” (Chakravarthy
ties. Initially, the employee may need to conceal and Huber 2003). The goal of his project was to
the project from the management team until the reach small businesses and occasional customers
project has reached an acceptable level of devel- who are not typically reached through traditional
opment. Then, he or she will have to get approval commercial visits. This project was progressively
from the leadership to obtain financial support, accepted by the company, and Ian Telford managed
human capital, or logistical resources and be allo- it at each stage (from the project’s original concep-
wed time to continue working on the project. The tion to implementation) and chose his partners
management may dismiss the project if it does not (Bouchard 2009).
fit within the strategic goals of the company. This While employee drive plays a key role in the
type of corporate entrepreneurship is called success of a project, corporate entrepreneurship
“spontaneous intrapreneurship” as employees also depends on a company’s organizational
launch projects – often in spite of limited or non- context. Burgelsman (1983) explains that spon-
existent corporate support – that they consider taneous entrepreneurship occurs when the
important for the firm’s development. employee’s proposed project matches the firm’s
To complete the project successfully, the intra- opportunities and when the firm possesses a
preneur must possess numerous technical compe- wealth of financial and human resources. Pro-
tencies and motivational skills and also has to jects may fail due to a weak intrapreneurial cul-
build the project’s legitimacy within the firm. ture within the firm, especially during periods of
The intrapreneur must possess the political economic uncertainty.
Corporate Entrepreneurial Practices all companies that encourage this type of cor-
Various forms of corporate entrepreneurial prac- porate entrepreneurship. For example, Google
tices exist. In addition to spontaneous launched the idea of “a license to pursue your
intrapreneurship, three types of “induced dream” as part of their human resources pro-
intrapreneurship” practices have been identified: gram. The company’s engineers have the abil-
intrapreneurial units, intrapreneurial platform, and ity to use up to 20% of their time to develop
intrapreneurial division (Bouchard 2009). their own projects without having to receive
approval from upper levels of management.
• Induced intrapreneurship has led to the devel- Many of Google’s most significant innova-
opment of “intrapreneurial units” (called tions, such as Google News, have come from
“task forces,” “project teams,” or “entrepre- this entrepreneurial culture.
neurship cells”). Many companies evaluate • The goal of the intrapreneurial platform is to
their managers on their implementation of help intrapreneurs during the early stages of
projects and push them to take on intrapre- their projects. The activities can be very
neurial behaviors. diverse, but have to enhance the company’s
To control spontaneous intrapreneurship or growth and profits by reducing costs, improv-
to develop induced intrapreneurship, many ing quality or developing new products, com-
firms develop a special task force devoted to bining existing skills in new ways, or creating
project innovation to isolate high-risk projects new activities. Within this formula, intrapre-
from the rest of the organization. This busi- neurs can keep their job, which helps to reduce
ness model reduces costs and allows the com- the risk they are taking. Employees who want
pany to have the flexibility of stopping the to develop projects are supervised by a small
operations of these special units when a par- team of experts who can provide the necessary
ticular project is completed. In large compa- competencies and networks. This method con-
nies, many innovative projects have been tributes to decompartmentalizing the organiza-
developed with this type of intrapreneurial tion. To illustrate the intrapreneurial platform,
process. we can look to Ohio Bell and the program
An example of induced intrapreneurship “Enter-Prize” (Kanter and Richardson 1991).
can be found in the case of the French Postal Employees could submit project in order to
Service and its development of a new technol- improve the firm’s growth. Managers are lead-
ogy called Vigik – a nationwide access control ing the platform and have developed a network
system for residential buildings. The manager of experts (ex: innovation consultancy). If the
who spearheaded Vigik had his own indepen- project is selected, a time budget is granted to
dent team and resources throughout the devel- elaborate the project (Bouchard 2009).
opment of the project. Today, Vigik has • The intrapreneurial division is generally sepa-
become a registered trademark for products rate in order to avoid disturbing the company’s
that match specifications initially developed overall organization. It possesses its own finan-
by an entrepreneurial unit of the French Postal cial and human resources which enables it to
Service (Merlin-Brogniart 2011). dynamize the innovation process. Autonomy,
• Other companies choose to implement signifi- transversal skills, and risk-taking are pro-
cant intrapreneurship procedures. Two types of moted. This type of intrapreneurship is usually
intrapreneurship dynamics are identified: The developed to solve a malfunction in the
intrapreneurial platform, which fits within the existing organization (inadequate innovation
firm’s operational routines, and the intrapre- promotion, loss of innovation dynamic). It
neurial division, which is separate from the increases the number of challenging projects
organization. Both reflect the most extensive (finding new venture, developing new genera-
entrepreneurial culture. Google, Procter & tions of products or new technologies, and
Gamble, Apple, and Xerox Corporation are opening new markets).
Employees’s projects are evaluated at each as an oxymoron: The introduction of entrepre-

stage in order to keep the costs down, reduce neurship behaviors involving creativity, flexibil-
risks, and bring the innovations to market more ity, and reactivity may be incompatible with the
quickly. In that form of corporate entrepreneur- structure, routines, and planning that companies
ship, intrapreneurs may be allowed to return to have built so carefully over the years.
their previous position or may have to leave it Second, support for spontaneous intrapre-
altogether. neurship also raises problems within companies. C
For example, Procter & Gamble implemented While they can be an asset for the growth of the
“Corporate New Ventures” (CNV) to stimulate firm, intrapreneurs may generate mixed feelings
radical innovations (Amabile and Whitney among the other employees and managers. On one
1997). This entrepreneurial structure is small, hand, intrapreneurs help the company find com-
independent, and flexible so that it can set up petitive advantages, and on the other, employees
good practices and make better use of the and managers do not always appreciate intrapre-
company’s technologies. A team representing the neurs who are given autonomy and extra financial
various functional departments of the company or human resources. Tensions build up all the
was established. The team meets once a week at more as the success of the project is never assured.
the start of new projects. Project implementation Third, the process entails risk for the intrapre-
is subsequently transferred to operational neurs: They bear the full responsibility if the pro-
divisions. ject fails, and they can be rejected by the other
employees and isolated. Even in case of success,
The Role of Managers their previous position is not necessarily
In the three kinds of corporate entrepreneurship guaranteed and their chances for promotion
structures, managers play a key role in driving might be jeopardized because an intrapreneur is
innovation or corporate ventures. The involve- no longer part of the traditional system.
ment of middle level managers is crucial from an The company has to carefully balance the ben-
early stage. They support independent strategic efits of corporate entrepreneurship and its draw-
initiatives and bring together various capabilities backs before implementing it.
dispersed throughout the firm’s operating system
(Burgelsman 1983). Intrapreneurial structures can
be run by a manager, a small team of venture Conclusion and Future Directions
managers, or by a venture-group operating within
the corporation. “Corporate entrepreneurship” is still a fairly new
Top managers ensure that new business ideas concept, and the different definitions and terms
are generated and play an important role in strate- used to explain this phenomenon can be confus-
gic recognition. They try to match entrepreneurial ing. Particularly since the lines between the vari-
activities with their strategic vision, often retroac- ous definitions of corporate entrepreneurship are
tively. They balance diversity and order over time. frequently blurred, the theoretical and practical
mastery of this concept is not yet established and
Corporate Entrepreneurship: An Interesting demands further examination.
but Risky Process
The implementation of corporate entrepreneur-
ship practices involves many risks.
First, as corporate entrepreneurship units are Cross-References
often complementary to the organization, they
may conflict with the routines and units of the ▶ Academic Entrepreneurship
existing structure. These conflicts are a major ▶ Entrepreneurial Opportunity
source of project failure, which is why “Corpo- ▶ Entrepreneur’s “Resource Potential,” Innova-
rate” and “entrepreneurship” are sometimes seen tion and Networks
366 Corporate Entrepreneurship, Internal

▶ Innovation Opportunities and Business Start-up Corporate Entrepreneurship,
▶ Innovation Systems and Entrepreneurship Internal
▶ Innovations of and in Organizations
▶ Venture Capital and Small Business ▶ Corporate Entrepreneurship
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Corporate Foresight 367
trend analysis. The definition of factors which Concerning the function of foresight for inno-
shape the future development of technology, mar- vation, Rohrbeck and Gemünden (2011), for
ket, and society is a fundamental task of corporate instance, distinguish between three roles: With
foresight and thereby contribute to strategic, the strategist role, it is meant that companies can
innovation, and technology management of cor- identify new business fields. Thus, foresight pro-
porations. Identifying emerging and future oppor- vides insights to help identify and assess disrup-
tunities and risks is a key challenge for which tive new business models and alternative business C
foresight can deliver important information and logic and scout the competitors for possible
long-term perspectives. Finally, foresight activi- threats. With the initiator role foresight should
ties are used to develop and achieve a coherent trigger a specific innovation process which is
organizational vision of the future. done usually by a person involved in technologi-
cal developments which can create new ideas and
develop products. The opponent role requires to
Role and Use of Corporate Foresight question all the ideas generated, in order to
strengthen the ideas, prevail future mistakes
Corporate foresight should foster the strategic where the company will not be able to react or
development of firms and create capabilities take impact decisions if an important flaw is
which help to adapt to possible future environ- encountered.
mental changes. More specifically, it includes the Literature stresses that the task of foresight is
aims to identify effects of changes in society, not to predict the future but rather to understand
economy, policy, environment, business, and what factors drive the future and enable firms to
technology. Foresight activities emphasize the shape the future. Wilkinson and Kupers (2013),
systematic exploration of future dynamics and for instance, argue: “The value lies in how sce-
the importance of interaction between actors narios are embedded in and provide vital links
from different constituencies. Thus, companies between organizational processes such as strat-
aim to analyze and anticipate the business envi- egy making, innovation, risk management, public
ronment and competition. Further goals are to affairs, and leadership development”. The goal
analyze and assess risks and opportunities of has been to change the way people, especifically
changes or to anticipate specific treats. It has those in top management positions, think about
been stated that corporate foresight is able to the future. It is common and simple to extrapolate
develop, renew, or build competitive advantage, existing trends or believe that the own business is
new business fields, enhance innovation capacity, not threatened by environmental changes. Fore-
and technology management (Rohrbeck and sight should provoke this assumption and help to
Gemünden 2011). Additionally, some aims of generate alternative futures and build up adaptive
foresight activities can be summarized as “test capabilities.
and develop” by provoking strategic thinking, Adopting a foresight approach is characterized
testing existing strategies, as well as developing by a few specific features. According to Saritas
new strategies using scenario planning (e.g., and Öner (2004), for instance, the attempts to look
Hiltunen 2009). into the future must be systematic to be called
In the context of R&D management, the aims “foresight.” Foresight must be concerned with
of foresight activities have been defined as to the longer term, which is generally considered
support the selection, delivery, resourcing, and to be beyond normal planning horizons of
evaluation of R&D themes and projects (Barker 7–10 years. Finally, technology push orientation
and Smith 1995). In addition, foresight activities should be balanced with market pull approaches,
are initiated to foster and develop new product and hence foresight should not be dominated by
ideas which emerge during the process and can technology alone but should also integrate socio-
be exploited in the short-term horizon, too. economic factors that shape innovations.
368 Corporate Foresight
Important Selected Foresight Methods of published foresight projects often conducted by

public institutions or futurists.
In the last decade a number of foresight methods Some selected methods are presented next.
has been proposed which are rather quantitative or
qualitative by nature and reveal different levels of Environmental Scanning
participation. Most of the methods used in corpo- Traditionally, environmental scanning is consid-
rate foresight stem from the discipline of futures ered as an approach to acquire information in
studies and from technological forecasting. An order to keep track on events, emerging trends,
important distinction has to be made between and external factors that could influence or impact
exploratory and normative methods. Exploratory an organization. Environmental scanning is an
methods begin with the present as the starting essential background activity and first stage in
point and move forward to possible futures. any foresight exercise, sometimes considered as
They ask questions about the implications of pos- generating anticipatory intelligence. It is aimed at
sible developments or events that lie outside detecting “weak signals” in order to provide early
familiar trends. Normative methods start with a warning about important future changes. Weak
preliminary view of a possible or desirable future signals are understood as advanced, noisy, and
and then work backwards to see if the possible socially situated indicators of change in trends
future can stem from the present. and systems that constitute raw informational
Quantitative methods rely heavily on numeri- material for enabling anticipatory action.
cal representation of developments. Often these Setting up a formal scanning system implies a
methods are based on formal modelling. Qualita- commitment to a continuing process of monitor-
tive methods are used when there is lack of data or ing change, with an orientation toward longer-
the creativity of individuals should be exploited. term issues. This method allows to identify
However, qualitative methods may also rely on early signs of possible important future develop-
quantitative inputs or on tools that quantify the ments to gain as much time as possible to react to
views expressed. them.
Another distinction has to be made between There are various scanning techniques. Often it
methods that are based on examining and articu- is a matter of an individual or a small group of
lating the views of experts and those that are based individuals (so-called scouts) entrusted with the
rather on investigating the consequences of the task, and reporting regularly back to the organiza-
assumptions explaining future developments. tion (sometimes with talks by outside experts,
Experts-based methods include the delphi method videos, etc.). Material and information can be
which is one of the most known foresight tech- identified systematically by searching the web
niques and consists of a multi-round survey and on-line databases and through the scanning
among experts. of media and preparation of literature reviews.
Usually, within a foresight project, different Text mining, bibliometrics, or patent analyses
methods are combined depending on the specific are established tools to support environmental
aim and organizational setting. A generic process scanning.
consists typically of three consecutive tasks, (i) a Another approach to scanning the environ-
scanning exercise aiming to detect drivers for and ment for changes is the use of an expert panel.
signals of future change (e.g., weak signals anal- Participants in such a panel could be asked sys-
ysis), (ii) the interpretation of the drivers and tematically to provide observations and judg-
signals of change and the assessment of the impact ments about important developments that are
(e.g., scenario analysis), and (iii) the definition of underway or expected. The composition of the
strategies, plans, and measures to be prepared for panel could change over time through rotation,
the future (e.g., visioning, roadmaps). so as to encourage fresh views being brought into
In general, companies can organize foresight the process. The factors that need to be consid-
activities by themselves but can also exploit findings ered for environmental scanning are events,
trends, issues, and expectations of the different employ, must stand up to highly critical
interest groups. examination.
Based on the created scenarios companies can
Scenario Development then develop specific strategies and, for instance,
Scenario development is perhaps the most have to decide whether it should try to avoid the
emblematic foresight method. Scenarios are not scenario with the greatest risk or try to follow a
predictions about the future but a method of orga- strategy based on the most likely scenario. C
nizing many statements about the future (Ringland
1998). Scenario building helps to comprehend the Wild Cards
problems, challenges, and opportunities inherent Wild cards are high-impact events that are consid-
in future environments. The term “scenario” was ered very unlikely to happen. The objective is not
introduced by Herman Kahn in the 1950s in rela- to predict a wild card but to learn from the exercise
tion to military and strategic studies conducted by and to strengthen an organization’s ability to with-
the RAND Corporation. Kahn used the term for stand or exploit similar shocks. The anticipation
issues related to US public policy, international of sudden and disruptive events may constitute
development and defence. turning points in the evolution of a certain trend
In the first step of the scenario construction, or system. The method may be embedded in stan-
process drivers for the future development in dif- dard foresight projects and introduced into antic-
ferent areas (e.g., society, technology, economy, ipatory decision-making activities in order to
environment, and policy) are identified. Based on increase the ability of social groups to adapt to
a selected set of factors these are combined into unforeseen shocks or surprising incidents. The
plausible and possible pictures of the future, i.e. most common purpose for the use of wildcards
scenarios. Different techniques have been pro- is within scenario development. Wildcards
posed for the construction of the scenarios, such stretch, expand, and crack dominant “paradigms
as cross-impact analysis, morphological analysis, of thinking.”
or the success scenario method (see for instance
Hiltunen 2009). Delphi
Scenario building is typically used by deci- The term delphi originates from the “oracle of
sion-makers to stimulate the impact of different delphi.” The method is essentially based on the
decisions and is traditionally also considered as assumption that group judgments are more valid
important method for the strategic planning of than individual judgments. It was first developed
firms. The method helps managers to consider a within the RAND corporation and was originally
range of plausible futures, to articulate preferred used to forecast the impact of technology on war-
visions of the future, to use what is learned fare. The method entails a group of experts who
during the scenario construction process in the anonymously reply to questionnaires and subse-
formal decision-making process, and to foster quently receive feedback in the form of a statisti-
exceptional leadership. It also helps to stimulate cal representation of the “group response,” after
creativity and to break from the conventional which the process repeats itself. Delphi studies are
obsession with present and short-term prob- processes that include the preparation, a survey in
lems. Therefore, one of the purposes and uses several rounds, and the analysis when the survey
of scenarios is to help decision-makers acquire is finished. Based on a standardized survey, the
knowledge and to understand to anticipate the method makes use of intuitive available informa-
context in which they have to act. However, for tion of the participants, who are generally experts.
scenarios to be used effectively, the participants It delivers qualitative as well as quantitative
must be convinced of the soundness, relevance results and has beyond its explorative and predic-
and value of the process. This is essential as the tive also normative results. The delphi method is a
foundation on which scenarios are built, the tool that enables to achieve a consensus among
structure that they use, and the reasoning they the experts involved in the process.
In some sense, the delphi method is a controlled technology solutions to meet these goals. A
debate. The reasons for extreme opinions are made roadmap is an extended look at the future for a
explicit and more often than not, groups of experts chosen field of enquiry composed from the collec-
move toward consensus; but even when this does tive knowledge and imagination of the brightest
not occur, the reasons for disparate positions drivers of change in that field. Roadmapping is a
become clear. Because the number of respondents normative method, i.e., the desired future state
is usually small, delphi studies are not intended to is determined and serves as the actual starting
generate statistically significant results. The delphi point of the roadmap.
method, with all the input from experts to the topic, The development of roadmaps has three major
promotes foresight studies to go further into scenar- uses: (i) it helps to reach a consensus about a set of
ios by providing a variety of insights that reduce needs and the technologies required to satisfy
efforts to identify trends. those needs, (ii) it provides a mechanism to help
forecast technology developments, and (iii) it pro-
Visioning vides a framework to help plan and coordinate
Visioning, or vision building, is a technique that is technology developments (Phaal et al. 2001).
often used in foresight exercises that require a For the successful creation of a technology
participatory approach. While scanning of trends roadmap, it is pivotal that the scope and bound-
and scenario development help to think systemat- aries of the context for the development of the
ically about future possibilities, vision building roadmap are clearly specified.
processes address the ultimate questions facing
every individual, group, or organization in rela-
tion to the purpose, meaning, direction, and rea- Successful Implementation and
sons of their work. The practice of visioning can Adoption of Results
provide a compelling image of the preferred future
and can thus be used as an instrument to generate a While a large bulk of literature develops and inves-
sense of direction and the necessary commitment tigates different foresight methods, in the last
among the members of an organization or a decade, academics started to conduct more research
community. about how foresight is actually used (“practice of
Although many organizations have a vision, it foresight”) and which effects foresight has on the
may be blurred or has little meaning. If this is the ability to develop new technologies and company
case, the technique can make a strong contribution performance. Based on a meta-analysis (Pinter and
to recommitting the members to the vision. Leitner 2014), it is possible to provide some rec-
The creation of a shared vision is an important ommendations for the successful implementation
element for initiating or accelerating key changes. of foresight activities.
Visioning can be applied in many organizational The institutional structures and settings,
and community contexts and be organized in including the configuration of actors and institu-
many different ways using a variety of techniques tions and communication between them, are a key
(e.g., Ronis 2007). While there are no definite factor for the success of foresight activities. In
rules to organize this process, each community principle, foresight is conducted as single project
or organization needs to find their own pace, par- exercise, conducted on an irregular base, or is
ticipants, and techniques that work best for the institutionalized, e.g., by establishing a foresight
defined purpose. unit or think tank. The alignment of the foresight
activities with the strategic planning and manage-
Roadmapping ment process is crucial and needs to be assured. A
The term roadmapping refers to detailed projec- balanced use of methods has a positive impact on
tions of future possible technological develop- the acceptance of foresight results, too.
ments, products, or environments. Roadmaps From an organization point of view, research
match short-term and long-term goals with specific suggests that before starting to implement
foresight activities, it is vital to build a dedicated (maturity level, commercial potential, etc.) and
foresight unit that will steer the process as well as facilitating the commercialization of research
create the internal and external networks to sup- results.
port the foresight projects. It is stated that the When it comes to delivering the results of the
existence of the dedicated foresight unit influ- foresight project, empirical studies (for an over-
ences the efficacy and efficiency of the foresight view see Pinter and Leitner 2014) have shown that
activities (Battistella and De Toni 2012). The it is vital to be able to translate the long-term C
importance of project management and actors oriented outcomes into decision proposals rele-
like organizational champions for the success of vant for the current situation in the company.
foresight activities can be mentioned as well. The presentation should consist of the actual ben-
Foresight entails a participatory process. efits for the company (e.g., business cases) and the
Building the communication framework which initial profit calculations, if available. This will
encompasses all the stakeholders involved in the also make the results more credible in the eyes
foresight process is an essential factor for the of top managers.
successful implementation of corporate foresight.
Bringing on board all the interested parties and
stakeholders need to be complemented by the Conclusions and Future Directions
continuous sharing of relevant information and
interim results. This is closely linked with the In times of increased technological and market
need of having the opportunity to involve people dynamics and disruptive innovation, corporations
with different skills, knowledge, abilities, and are challenged to build up adaptive capabilities
motives in the foresight process. Internal net- and to develop long-term strategies. Corporate
works are required in order to identify the infor- foresight enables firms not only to adapt to envi-
mation needs in the company and encourage a ronmental change but to shape future develop-
continuous sharing of information between the ments by creating innovations, avoid risks, and
individuals. A strong external network is helpful explore new business opportunities.
for accessing restricted and exclusive sources of Corporate foresight supports strategic
information as well as involving various experts. research, innovation, and technology manage-
Moreover, a shared vision and a common ment by matching technological, market, and
understanding of planning and executing the societal trends. By adopting a foresight approach,
results should be established as well. This is an companies are prepared for the transformation of
important prerequisite, as the commitment of all industries and are better equipped to systemati-
stakeholders is a key factor in improving the deci- cally plan their future product portfolio.
sion-making process and the quality of the fore- The main function and role of foresight activ-
sight results as well as their adoption. ities is to (i) anticipate changes (e.g., political,
To ease the communication process, methods environmental, and economic developments), (ii)
and tools for collaborative information gathering, foster new ideas and products (e.g., identifying
sharing, and utilization are required. Software tools new businesses opportunities/markets), (iii) sup-
can help in engaging the stakeholders in various port communication (e.g., between different divi-
foresight activities as well as disseminating the sions), (iv) develop powerful visions (e.g., which
results. The support in the field of knowledge give orientation and mobilize organizational
transformation in the form of organizational plat- actors), (v) enhance strategic thinking (e.g., by
forms is crucial, as it will allow to develop and provocative scenarios), and (vi) create strategic
disseminate the results. Information platforms can value (e.g., first mover advantage with markets,
be helpful for several tasks at different stages of the products, or technology).
foresight process, such as identifying the research Corporate foresight is expected to contribute to
directions, evaluating the potential of the project the recognition of innovation opportunities and
and its interim results, technology assessment the initiation of innovation projects. In addition,
firms are also encouraged to use corporate fore- ▶ Joseph A. Schumpeter and Innovation
sight as a means to continuously monitor and ▶ Linguistic Dimension of Creativity, Invention,
challenge their ongoing innovation projects and Innovation, and Entrepreneurship
to support the identification of new promising ▶ Mode 1, Mode 2, and Innovation
innovation fields. Therefore, foresight can posi- ▶ Mode 3 Knowledge Production in Quadruple
tively influence the overall innovation capacity of Helix Innovation Systems: Quintuple Helix and
a company. Social Ecology
However, in the industrial practice, corpo- ▶ Multilevel Systems of Innovation
rate foresight activities are still often too ▶ National Innovation Systems (NIS)
fragmented and too uncoordinated to achieve ▶ Nonlinear Innovations
a higher impact. Foresight activities need to be ▶ Political Leadership and Innovation
better institutionalized within the company as ▶ Preparing a “Creative Revolution”: Arts and
they are often conducted on an irregular base. Universities of the Arts in the Creative Knowl-
Foresight activities ought to be aligned with edge Economy
strategic planning rather than only R&D deci- ▶ Quality of Democracy and Innovation
sion-making. Long-term thinking is necessary ▶ Quintuple Innovation Helix and Global
rather than just thinking in the current share- Warming: Challenges and Opportunities for
holder value, that’s why it is important that Policy and Practice
these activities are fully integrated with the ▶ Rigidity of Scientific Thought Hinders
corporate culture. Innovation
The research area of corporate foresight still ▶ Social Ecology and Quintuple Helix Innovation
lacks knowledge how to integrate different actors Systems
and methods into an organizational system to ▶ Speaking Pictures: Innovation in Fine Arts
successfully achieve a strategic capability with ▶ Systems Theory and Innovation
positive impacts on innovation and competitive ▶ Transdisciplinary Research (Transdisciplinarity)
advantage. ▶ Triple Helix of University-Industry-Government
Relations
▶ University Research and Innovation
Cross-References
▶ Academic Firm References

Empowering of Interdisciplinary Teams Barker D, Smith DJH. Technology foresight using
roadmaps. Long Range Plan. 1995;28:21–8.
▶ Artistic Research
Battistella C, De Toni A. Exploring the organizational
▶ Arts, Research, Innovation, and Society: ARIS design for resilience and foresight, Social Science
▶ Epistemic Governance and Epistemic Innova- Research Network, SSRN Scholarly Paper No. ID
tion Policy 2124947, Rochester; 2012.
Hiltunen E. Scenarios: process and outcome. J Futur Stud.
▶ Genius
2009;13(3):151–2.
▶ Innovation and Democracy Phaal R, Farrukh C, Probert D. Technology roadmapping:
▶ Innovation in Interdisciplinarity: Four Different linking technology resources to business objectives.
Dimensions Centre for Technology Management, Cambridge: Uni-
versity of Cambridge; 2001.
▶ Innovation Policies (Vis-à-Vis Practice and
Pinter D, Leitner K-H Making use of corporate foresight –
Theory) lessons learnt from industrial practice, XXV ISPIM
▶ Innovations in Presidential Elections: The Conference, 8–11 June, Dublin; 2014.
United States, France, and Austria in Ringland G. Scenario Planning. New York: Wiley; 1998.
Rohrbeck R, Gemünden HG. Corporate foresight: its
Comparison
three roles in enhancing the innovation capacity of
▶ Innovations of Direct Democracy a firm. Technol Forecast Soc Chang. 2011;78
▶ Interdisciplinary Research (Interdisciplinarity) (2):231–43.
Craft Companies 373
Ronis SR. Timelines into the future: strategic visioning

methods for government, business, and other organisa- Corporate Spin-Off
tions. Lanham: Hamilton Books; 2007.
Saritas O, Öner MA. Systemic analysis of UK foresight
results: joint application of integrated management ▶ Extrapreneurship
model and roadmapping. Technol Forecast Soc
Chang. 2004;71:27–65.
Wilkinson A, Kupers R. Living in the futures. Harvard
Business Review, May Issue; 2013;5:119–127.
C
Corporate Tax

and Online Tax Accounts (Artificial-Intelligence-
Corporate Future Research Based Tax Accounts)
▶ Corporate Foresight
Corporate Venture
Corporate Management ▶ Extrapreneurship
▶ Cyberentrepreneurship and Proximity

Relationships
Corporate Venture, Internal
▶ Business Project
Corporate Networking
▶ Online Corporate Social Networking

Corporate Venturing, Internal
▶ Corporate Entrepreneurship
Corporate Online
Communities
▶ Online Corporate Social Networking Corporation
▶ Spin-Off (A Different Approach)
Corporate Social Media
▶ Online Corporate Social Networking Cost of Expertise
▶ Conflict and Creativity
Corporate Social
Responsibility (CSR)
Craft Companies
▶ Responsible Research and Innovation (RRI): A
Critical Reflection Toward Evaluation Standards ▶ Craftsman
374 Craft Industry
symbolic and significant” (Symposium Manila,

Craft Industry October 1997).
However, is this a true picture or a stereotype
▶ Craftsman found in every country’s touristic representation?
Is it not the visible but economically and socially
least important side of the craft industry? In some
countries, builders and electricians are legally rec-
Craft Trade ognized as craftsmen.
In fact, there are as many variations, definitions
▶ Microfirms (if they exist that is), and ways of treating this type
of economical sector through companies and peo-
ple who work for them as there are countries!
Within the scope of this entry, different
Craftsman approaches used by different countries in different
continents will be seen in order to show this diver-
Claude Fournier sity. A look to the common roots will then explain
Réseau de Recherche sur I’Innovation (RRI), what the craft industry is in a modern economy
Laboratoire de recherche sur I’industrie et and what is expected from artisans. Finally, one
I’innovation (Lab.RII), Dunkerque, France will approach, as per Europe’s example, why it is
worth evolving toward a united status of the craft
industry.
Synonyms
Multiple Approaches to the Craft Industry and
Craft companies; Craft industry; Manual worker Craft Businesses
In Africa, more than anywhere else, the most
widely used definition of craft is referring to the
Key Concepts and Definition of Terms production of traditional decorative arts despite
the fact that manufacturing of miscellaneous
The most widespread meaning of the word “craft” goods and service offerings are developing along-
is the one that covers the economic sector of side the legal documents required to structure this
producing decorative objects, often manually, by sector of the economy. For example, the “Organi-
a local labor force using traditional tools and sation for the Harmonization of Business Law in
materials. Africa” (OHADA) is made up today of 16 African
As such, the definition adopted by UNESCO states: Benin, Burkina Faso, Cameroon, Central
(United Nations Educational, Scientific and Cul- African Republic, Chad, Comoros, Republic of
tural Organization) is as follows: “Artisanal prod- the Congo, Côte d’Ivoire, Equatorial Guinea,
ucts are those produced by artisans, either Gabon, Guinea, Guinea-Bissau, Mali, Niger, Sen-
completely by hand, or with the help of hand egal, Togo, Democratic Republic of Congo. This
tools or even mechanical means, as long as the organization is a system of business laws and
direct manual contribution of the artisan remains implementing institutions adopted by these
the most substantial component of the finished nations. The laws promulgated by OHADA are
product. These are produced without restriction exclusively business related. The OHADA treaty,
in terms of quantity and using raw materials from Uniform Act relating to General Commercial
sustainable resources. The special nature of arti- Law, amended on 15 December 2010 in Lomé,
sanal products derives from their distinctive fea- ensures uniformity and consistent legal interpre-
tures, which can be utilitarian, aesthetic, artistic, tations across the member countries. Article
creative, culturally attached, decorative, func- 2 shows the difference between the trader,
tional, traditional, religiously and socially “whose regular occupation is to carry out
Craftsman 375
commercial transactions” and entrepreneur: professional qualification. With regard to compa-

“physical person who carries out a professional nies, the decree 96–01 makes a distinction
activity which can be civil, commercial, artisanal between “handicraft businesses” and “businesses
or agricultural,” in line with the current Uniform producing goods and services.” The legal status of
Act. This entrepreneur status aimed at developing both is free within the scope of the commercial
individual initiatives is not linked with the number code. In the first case, there can be an unlimited
of employees (as it is in other countries such as number of employees, when in the second case, C
Algeria) but with the turnover generated over two the number is limited to ten. In both cases, the
consecutive accounting periods. This entry allows person in charge of the business does not neces-
the harmonization of all different approaches and sarily need to hold a qualification relevant to the
gives recognition to this type of business. business, as long as there is at least one qualified
Each country executes its own classification by person in charge of the technical side of things.
activity. For example in Niger, member of The economic sector is structured around cham-
OHADA, Article 5 of Ordinance No. 92–026 of ber of trades who act as consultative bodies
7 July 1992 sets out the main lines of the national between public authorities and craftsmen. These
policy for the crafts industry. It can be divided into also manage the craft and the outline of the craft
two groups: craft production (mining industry, trades register. An index managed by the national
processing of goods, including utilitarian use of trade chamber includes all this data.
craft as well as building trade and civil engineer- These examples show the wide legal status
ing) and craft services (transport, services to diversity between countries: some have detailed
households and businesses, small restaurants and legislations, other have legislatives tools under
catering businesses). With regard to the craft way, like in Morocco where the craft industry is
industry, one is talking of a micro or small busi- a strong element of social inclusion, particularly
ness (Article 6) or even a few craftsmen grouped with regard to women where craftwork is not
in a cooperative. There could be three different supported by any law but by economical develop-
types of businesses (Article 7): craft companies ment programs, and targeted block actions. Both
with storefront, craft companies with inadequate of these examples show the importance of the
premises and taking their trade to local markets, political significance granted to this economical
and the one with neither of these, which are there- sector, which is either already identified or part of
fore very difficult to identify. the “informal economy,” that is people’s daily
In Algeria, who is not a member of OHADA, activities and quite often their way of surviving
the definition of the craft industry is widely and therefore directly about the political stability
inspired of the French system. Since 10 January of the state.
1996, the crafts of the art and traditional handi- In America, there is not any law specific to the
craft are regulated by the 96/01 of 19 Chaâbane craft industry, whereas in Canada they are using
1416 law, which sets the conditions and rules for the term “handicraft business” or “handicraft
exercising handicraft activities in Algeria. The goods” whose parameters are described in detail
term “handicraft” covers any production, creation, in official documents such as memorandum
restoration, or maintenance activity as well as D10-15-13. These are generally work of art or
mainly manual service delivery carried on in the objects typical to the region or country from
following areas: decorative art, handicraft, “func- which they originate (fabric, pottery, jewelry). In
tional” craft (i.e., maintenance, repair, or restora- Mexico, the same thing applies (Boutillier and
tion work). An artisan is a manual worker who Castilla Ramos 2011). The USA does not have a
makes items that require some particular kind of particular definition of handicraft businesses but,
skilled work and is applied toward people occu- as early as 1953, they have set up a specific law for
pied in production of goods, including the running small businesses through the “Small Business
and management of the whole process. The arti- Act.” The legislative initiatives in Asia are the
san worker is an employee who holds a same. In China, for example, the craft business
376 Craftsman
relies on its know-how, manual labor, and tradi- In Italy, the Law n. 443 dated 8 August 1985,
tional processes; however, there is not any specific on artisanal business, regulates artisanal work in
law like in Africa or Europe to define the craft the same spirit as in Spain but in a more restrictive
industry. approach. The entrepreneur “must carry out prev-
Europe’s case is quite unique as the handicraft alently his personal manual labour in the
business is defined in ten countries (Germany, manufacturing process and retain the greater part
Austria, Belgium, Denmark, France, Spain, Lux- of the capital and of the deliberative powers.” One
embourg, Poland, Portugal, and Slovenia) but in of the downsides of this definition is that some
a different way in each (APCM, Assemblée legal status is prohibited (such as Limited Liabil-
Permanente des Chambres de Métiers). In Ger- ity Company (LLC) and Limited Company (SA)).
many, for example, there is the “Crafts Code,” The number of employees is limited depending on
which defines 125 craft trades and establishes the the trade – 18 as a rule, including apprentices
list in seven categories for jobs in this sector whose number should never exceed 9.
(Kari Embarek 2003; Sénat 1995): construction In France, according to the law of 5 July 1996
and installation (i.e., builder, painter); electricity relating to the development and promotion of
and metal (i.e., mechanic, electrician); wood trade and handicrafts, craft businesses are defined
(i.e., carpenter); textile, clothing, and leather irrespective of the craftsman who is himself
(i.e., upholsterer, tailor); food trade (i.e., baker, defined in the decree 98–247 dated 2 April 1998
butcher); health and dry-cleaning (i.e., hair- (Boutillier et al. 2009). A craft business should not
dresser, optician, dry-cleaners); glass, paper, have more than ten employees (however, under
ceramic, and other occupations (i.e., printer, certain conditions, companies that so desire may
postman, instrument maker). Business activities remain registered on the register of trades beyond
in the regulated skilled trades and crafts profes- the threshold of ten employees – this is called
sions principally require that the providing com- “droit de suite”) and exercise an independent pro-
pany is managed by a master craftsperson or fessional activity involving the “production,
equivalently qualified individual. There is no transformation, repair of handicrafts or handicraft
size criterion involved. The business concerned service provisions appearing on a list established
is entered in a register kept by the relevant by decree in Council of State.” Only those persons
Regional Chamber of Trade and Craft. Luxem- having the required qualification can claim to their
bourg and Austria also have this type of defini- customers to be a craftsman or a master craftsman.
tion based on the activity rather than the size of Since 1969, various governments have developed
the business (APCM 2007). In Luxembourg, for supporting policies in this economic sector
example, the Law of 28 December 1988 (Fournier 2006). In contrast, in the UK, there is
(regulating the access to the professions of crafts- not any status, regulation, or specific register to
man, salesman, as well as to some liberal pro- define the craft business.
fessions), impose a principle of prior
authorization by providing relevant qualification
documents for all activities covered by this law. Theoretical Background and Open-
In Spain, the handicraft businesses are defined in Ended Issues
the royal decree 1520/82, which limits the num-
ber of employees to ten on top of potential The Craft Businesses Role in Different Types of
apprentices and family members. The artisanal Economy
sector covers the manufacture, production, and This brief entry shows the diversity existing
repair of goods or service delivery achieved between the underlying social and economic real-
“through a process where personal intervention ity of the craft business. However, if the legal side
is a dominant factor. . ..” There are also lists of of the craft industry (and its definition alone) is
the concerned guilds. The business also has to be already problematic, these various schools of
registered with the “craftsman register.” thoughts are no better.
Craftsman 377
In the “Treatise on the craft industry and Julien in Canada and Marchesnay in France
SME” (“Traité de l’artisanat et de la petite describe the SMEs like a “man-made invention
entreprise,” Boutillier et al. 2009), S. Boutiller enabling them to adapt to the complexity of
studies in detail the role played by the craft changing environment.” In 1982, Jaeger dealt
industry in the development of economic think- directly with the craft industry in her publica-
ing from the eighteenth century until present. tion “Artisanat et Capitalisme, l’envers de la
Some of her most interesting examples will be roue de l’histoire” (craft. business and capital- C
used before investigating the craft business ism: turning back the wheels of history). In
research and development, especially in France. parallel to the main considerations regarding
According to all eighteenth century economists businesses, theories regarding entrepreneurs
(such as Smith, Quesnay), labor is a way of carry on evolving.
adding value – but which “labor” where they
referring to? Smith advocated industrialization
and division of labor. . . for the Physiocrats such Implications for Theory, Policy, and
as Quesnay, agricultural labor is the only produc- Practice
tive labor; all other services and other labors than
those of agriculture, including the craft, were During the 2000/2010 decade, theories and stud-
sterile. Turgot considers that the cultivator pro- ies were developed with regard to the craft busi-
duces not only his own wages, but, in addition, ness and the craftsman as company leaders.
“the revenue which serves to pay the whole class A network of specialist researchers was also cre-
of artisans and other stipendiaries. . .” (Turgot ated (Fournier 2007) and produced perspective
1997, page 166 as quoted by Boutillier). The and insights about the economic and social spec-
rest is history: industrialization, quest for profit, ificity of craftsmen and craft businesses. The the-
speculation, etc., have all led us to consider, for oretical approach can be categorized through the
numerous years, the craft industry as a relic of the “resource potential” concept developed by
past. In the nineteenth century, Marx also con- Boutillier and Uzunidis (Boutillier 2006;
sidered that economic progress was synonymous Boutillier and Uzunidis 2006) whose building
with large companies and that unlike the prole- blocks are as follows: knowledge, financial
tariat which was revolutionary by nature, the resources, and social relationships. From the
craft industry was reactionary, for it was trying beginning of the twenty-first century, craftsman
to “make the wheels of history turn backwards.” and craft businesses have become very popular
He specifies however that a craftsman does not among scientific and social areas of research. The
exploit the labor of other people but sells his role played by the craftsman in the innovation
work for his own profit. process and in the strengthening of social cohe-
Labor being a source of value creation, its sion is beginning to gain exposure and recognition
organization became a major issue, which (see section in the “Treatise on the craft industry
explains why companies, and especially big and SME” – “Traité de l’artisanat et de la petite
ones, became the focus of economists. During entreprise”).
the whole period there will be a dichotomy A definition rather different from the “official
between the worker who owns only his labor ones” touched upon in the first part of this entry is
and is paid in wages for the exercise of that starting to emerge from all these different publi-
labor; he does not own the products of his cations. Modern vision of a human society is now
labor, and has no right to any of the money as far from backward-looking as the one described
from the sale of these products. One will have by economical speculators and specialists for
to wait until the 70s with Schumacher (Small is who, to exaggerate a bit, companies are first and
beautiful) for the SMEs to regain their popular- foremost a number which one can fiddle with in
ity in terms of economic consideration. In order to increase business profit. The modern
France between 1980 and 1990, work from craftsman is more and more a well-educated man
378 Craftsman
or a woman who is perfectly integrated in the local the company into its territory through its social
community, well aware of innovation and able to responsibility.
picture his business’ growth not solely through the The ECA’s ambition is to show that a new
number of employees. He is aiming to control his business model is possible and would favor social
business and to live in an environment where he stability. This new model must gain support of
feels, rightly or not, free and independent. Practi- relevant public authorities by setting up appropri-
cally, the craftsman manages, consciously or not, ate flanking policies (like the Small Business Act
his areas of development depending on his in the USA).
resources, his trade, and his profession and puts Another factor, not frequently highlighted,
forward its characteristics and institutional and characterizes the craft business: it is both the
normative setup. These three factors of develop- large number of businesses and their geographi-
ment explain the limits of the craftsman’s “free- cal dispersion. This largely contributes to the role
dom” and the wide range of diversities of the craft industry in the community as well as
encountered in the field. its buffering role during an economic crisis:
when a business employing hundreds or thou-
sands of employees shuts down, it creates devas-
Conclusion and Future Directions tating economic and social effects in the area for
numerous years to come. When a small craft
Toward a Unified Characterization of the Craft business shuts down, unfortunately quite often
Industry nobody notices!
As seen previously, there is no definition of the At the beginning of the twenty-first century,
craft industry: there are as many definitions, as when the virtual economy has shown its limits,
there are countries, including within Europe. the craft industry by contrast could be assuring
However, looking at various studies about the the well-being of future generations, by using a
craft industry, it transpires that all these industries, “real” economy as a way of moving the commu-
men, and women share common characteristics nity forward through taking better account of the
and vision. For example, in Europe, the craft people and the environment. The craft industry
industry has now set up a European structure of is no longer then a “relic of the past” but one of
representation, the “Union Européenne de the cornerstones underpinning our society and
l’Artisanat et des Petites et Moyennes its evolution (Boutillier and Fournier 2006).
Entreprises” – UEAPME (European Association That, combined with heads of companies’
of Craft, Small and Medium Sized Enterprises), higher level of education (see above, as per
which represents 12 million companies and OHADA use of the term “entreprenant”), should
50 million people. This structure created a work- position the craft industry as a key player in any
ing group devoted to the culture of “craft enter- innovation process. That way, the professional
prises” (Entreprise à caractère Artisanal, ECA) representation’ renewal could also move for-
whose purpose is to define identification criterion ward and politicians would be able to give a
for this type of business throughout Europe in new meaning to craft industry policies which
order to establish a background for policy pro- was well and universally expressed in
posals and notably the EEC Commission. The Article 1 of the French law known as “Royer”
consensus would be based on four ECA charac- (Fournier 2006, p. 116): “They (trade and craft
teristics: production and processing of goods and industries) must contribute to improvement of
services by outstanding craftsmanship at the head the quality of life, awakening of the urban life as
of the company, fundamental role of the head of well as increase competitiveness of national
the company who assumes responsibility and economy.”
supervises the whole production process, acquisi- Vast programs which leave entreprenants a
tion, value building and knowledge capitalization, huge scope, should they be craftsmen,
especially via a learning plan and integration of researchers, or elected representatives.
Creative Attitudes: The 4S (Soil, Sun, Storm, and Space) Attitudes 379
Cross-References
Creation
▶ Business Model ▶ Business Start-Up: From Emergence to Devel-
▶ Entrepreneur opment
▶ Entrepreneurial Opportunities ▶ In Search of Cognitive Foundations of
▶ Entrepreneurial Organizations Creativity C
▶ Entrepreneurship and Business Growth
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Synonyms
Symposium. Crafts and the international market: trade and
customs codification, Manila; October 1997. Creative personality; Creators’ personality traits;
Turgot ARJ. Formation et distribution des richesses. Paris: Innovators’ characteristics
GF-Flammarion (première édition 1766); 1997.
Creative Climates, Attitudes, and

Thinking Skills: CATs
Craftsmanship
CATs identify the three steps that lead to innova-
▶ Microfirms tion: first, cultivate creative climates; second,
380 Creative Attitudes: The 4S (Soil, Sun, Storm, and Space) Attitudes
nurture creative attitudes; and third, apply crea- which have been categorized into the 4S creative
tive thinking skills. Creative climates include attitudes (five soil, six sun, eight storm, and eight
interpersonal relationships between creators and space attitudes). The 4S attitudes are mainly
their support figures, creators’ developmental influenced by the climates, and they can be
environments, and developmental processes. The learned and further developed through practice.
soil, sun, storm, and space (4S) climates impact Not every creative individual possesses all of the
how creators think and behave; these climates can twenty-seven attitudes, but the greatest creators
encourage or discourage their creativity develop- do. These attitudes predict innovation in all fields
ment. The soil climate provides creators with by enabling individuals’ creative thinking skills
diverse resources and experiences, allowing and their desire to use them. However, each atti-
them to accumulate a lot of raw materials to create tude can be perceived negatively by others, espe-
with; the sun climate inspires and encourages cially in anticreative climates (Kim 2016).
them to create; the storm climate provides them
with high expectations and challenges so that they The Soil Attitudes
are able to complete the long, bumpy creative The soil climate – providing diverse resources and
process; and the space climate provides them experiences – nurtures the soil attitudes, including
with freedom to be alone and unique so that they the open-minded, bicultural, mentored,
can develop unique ideas for creations (Kim complexity-seeking, and resourceful attitudes.
2016). The five soil attitudes are characterized by indi-
Creative attitudes are discussed below. Crea- viduals’ open and complex minds and their ability
tive attitudes enable individuals’ inbox, outbox, to utilize diverse resources. These attitudes form
and newbox (ION) creative thinking skills during the foundation for individuals’ sun, storm, and
the creative process. Inbox thinking is narrow, space attitudes. They nurture resourceful cross-
deep, and methodical (inside the box) for gaining pollinators who apply creative thinking (inbox
or evaluating knowledge and skills, including the and newbox thinking) skills for innovation.
development of expertise and critical thinking. Cross-pollination is sharing, adapting, and build-
Outbox thinking is spontaneous, fluid, and broad ing on each other’s diverse expertise across sub-
(outside the box) enabling individuals to envi- jects or fields through formal and informal face-
sion numerous, diverse possibilities. Outbox, or to-face interactions such as networking, sound
divergent thinking, is comprised of non- boarding (good listening and offering feedback),
conforming ideas. It generates fluent (many, collaboration, and collaborative competition
spontaneous), flexible (different angles or (which is more effective for innovation than
kinds), and original (novel) ideas. Newbox winner-take-all competition is) (Kim 2016).
thinking combines elements of inbox and outbox
thinking and transforms ideas into new creations 1. Open-minded (considering others’ views that
(new box) that need to be promoted so they can are different from one’s own): The open-
be valued by others and society as innovation minded attitude enables creators to consider
(Kim 2016). and respect a wealth of perspectives, philoso-
phies, and manners of being. It gives them a
broad basin of materials and thoughts from
Creative Attitudes: Soil, sun, Storm, and which to draw new concepts. Through contem-
Space Attitudes plating and analyzing multiple perspectives,
creators develop a capacity for critical thinking
Creative attitudes (the way individuals react to the that is integral to inbox thinking skills.
creative climates) are also necessary for innova- 2. Bicultural (embracing new cultures while
tion. Research has identified the twenty-seven maintaining one’s own cultural identity): The
creative attitudes and ways to nurture these atti- bicultural attitude leads creators to saturate
tudes that contribute to creative thinking skills, themselves in an array of cultural perspectives.
It gives them opportunities to synthesize ideas resourceful individuals might seem “opportunistic”
from across cultures. This enables them to (Kim 2016).
produce new ideas that monocultural creators
would be less likely to generate. It also enables The sun Attitudes
them to lay the groundwork for newbox think- The sun climate – providing inspiration and
ing skills. encouragement – nurtures the sun attitudes,
3. Mentored (being mutually interested in and including the optimistic, big-picture-thinking, C
taught by experts and their constructive criti- curious, spontaneous, playful, and energetic atti-
cism): After identifying their curiosity, prefer- tudes. The six sun attitudes are characterized by
ence, or interest, creators develop a mentored individuals’ optimism, self-inspiration, and curi-
attitude by receiving intensive tutelage from osity that sustain their energy. These attitudes
experts in their fields of curiosity or interest. nurture curious optimists who apply creative
Creators with the mentored attitude cultivate thinking (outbox and newbox thinking) skills for
expertise and mature complex perspectives innovation (Kim 2016).
that those without mentorship lack. Both crea-
tors and their mentors benefit from the 1. Optimistic (seeing positive outcomes regard-
mentoring relationship, as the debates, dia- less of existing circumstances): The optimistic
logue, and discussion that develop between attitude allows creators to look beyond bleak or
them sharpen both inbox and newbox thinking restrictive circumstances by envisioning posi-
skills. tive outcomes to difficult and challenging
4. Complexity-seeking (embracing equivocal problems. Optimistic creators are willing and
and conflicting views): The complexity- able to reframe difficult situations when solu-
seeking attitude develops as creators evolve tions seem impossible or out of reach, making
beyond simplistic worldviews and learn to them able to conceptualize opportunities that
contemplate multiple and intricate perspec- others cannot.
tives. It motivates them to seek out compli- 2. Big-picture thinking (being inspired by
cated and daunting situations, rather than run others’ words, deeds, or values and seeing the
away from them. It allows them to solve com- big picture beyond constraints): The big-
plex problems and opens up opportunities that picture-thinking attitude allows creators to pro-
more conventional or simplistic thinkers could ject their vision beyond the restraints and
not pursue. restrictions by thinking in distant and futuristic
5. Resourceful (finding and using all kinds of ways such as thinking away from me (people
resources or opportunities efficiently and effec- or things different from me), away from here
tively to accomplish goals): The resourceful (faraway problems), away from now (future
attitude allows creators to always look to uti- plans), and away from reality (unlikely or
lize everything or everyone to their advantage. imaginative things). It promotes outbox think-
This proclivity keeps both their inbox and ing, which enables them to recognize patterns
outbox thinking skills sharpened. Creators and relationships among the various parts of a
with the resourceful attitude are more likely context or system, leading to unique connec-
to overcome unforeseen setbacks and chal- tions between unrelated things, which pro-
lenges than those who lack this ability. motes newbox thinking.
3. Curious (thinking in a childlike manner and
Each of the soil attitudes can seem negative to insatiably seeking new information): The curi-
others depending on the climates: open-minded ous attitude infuses creators with a persistent
individuals might seem “distracted”; bicultural indi- thirst to understand more about their environ-
viduals might seem “rootless”; mentored individ- ment and interests. It leads them to stumble
uals might seem “channeled”; complexity-seeking upon opportunities and avenues for achieve-
individuals might seem “overcomplicated”; and ment that might remain obscured to more
conventional thinkers. It keeps them vigor- The Storm Attitudes

ously hunting for new ideas and information, The storm climate – setting high expectations and
which wards off stagnant thinking and, in providing challenges – nurtures the storm atti-
advanced ages, cognitive decline. tudes, including the independent, self-disciplined,
4. Spontaneous (being flexible and immediately diligent, self-efficacious, resilient, risk-taking,
acting on new ideas and opportunities): The persistent, and uncertainty-accepting attitudes.
spontaneous attitude enables creators to gener- The eight storm attitudes help individuals over-
ate and actualize ideas more quickly and with come challenges and pursue/strive for high goals.
greater fluidity than those with more rigid or These attitudes nurture resilient hard workers who
inflexible attitudes. It also allows them to fol- apply creative thinking (inbox and newbox think-
low intimidating or difficult opportunities that ing) skills for innovation (Kim 2016).
more conventional thinkers might not be will-
ing or able to pursue. 1. Independent (thinking and acting freely from
5. Playful (approaching situations in exploratory others’ influence, support, and control): The
ways and seeing the lighter side of challenges): independent attitude allows creators to make
The playful attitude allows creators to infuse choices and pursue objectives free of external
lightheartedness and good humor into difficult influences. It helps them develop critical think-
situations. It helps them maintain high spirits ing skills, as they do not accept ideas or plat-
and vigorous energy levels while turning their forms without questioning or evidence.
sense of humor on themselves and thus 2. Self-disciplined (motivating and controlling
counteracting arrogance or brashness. Creators oneself to accomplish goals): The self-
with the playful attitude to their work lay the disciplined attitude enables creators to eschew
foundation for outbox thinking skills, which distractions and indulgences that sidetrack or
allows them to approach problems from new thwart creators with unchecked desires or
and unconventional angles, promoting outbox appetites. It helps them remain goal oriented
thinking. and meet deadlines and expectations in a
6. Energetic (being motivated from within, highly reliable manner.
regardless of external circumstances 3. Diligent (exerting meticulous, steady attention
(by intense curiosity, self-inspiration, or other to build skills to accomplish clear goals): The
reasons)): The energetic attitude allows crea- diligent attitude allows creators to notice
tors to develop an intrinsic sense of motivation details and irregularities in data that others
for their passion that is independent of rewards. would be less likely to perceive. It helps them
It allows them to remain passionate about their produce superior work on a consistent basis,
interests for extended periods of time and which is necessary for the long creative process
throughout multiple challenges. It works syn- to reach their full creative potential.
ergistically with the playful and curious atti- 4. Self-efficacious (being confident to perform
tudes to sustain motivation and interest in the well on a specific task based on previous suc-
creative process over long periods of time. cessful experiences): The self-efficacious atti-
tude allows creators to be secure in their ability
Each of the sun attitudes can seem negative to meet specific challenges and deal with
to others depending on the climates: optimistic unknown and challenging situations. It helps
individuals might seem “unrealistic”; big-picture- them to be highly self-aware and have detailed
thinking individuals might seem “dreamy”; knowledge of their strengths and weaknesses,
curious individuals might seem “annoying”; which enables them to take calculated risks in
spontaneous individuals might seem “impulsive”; their creative process.
playful individuals might seem “mischievous”; 5. Resilient (recovering and thriving after chal-
and energetic individuals might seem “hyper” lenges or failures): The resilient attitude is
(Kim 2016). developed while creators meet with success
after enduring multiple setbacks and failures The Space Attitudes

through self-efficacy and commitment to well- The space climate – providing with freedom
defined goals. It helps them develop skills that to be alone and unique – nurtures space attitudes,
attenuate the impact of future setbacks and including the emotional, compassionate, self-
disappointments. It enables them cope and reflective, autonomous, daydreaming, non-
deal with failures and loss in their creative conforming, gender-bias-free, and defiant attitudes.
process. The eight space attitudes are characterized by indi- C
6. Risk taking (leaving secure situations to pur- viduals’ discovering and expressing or using their
sue uncertain rewards): The risk-taking atti- own uniqueness. These attitudes nurture defiant
tude empowers creators to embrace unknown dreamers who apply creative thinking (outbox and
situations and challenges in undertaking risky newbox thinking) skills for innovation. By com-
and creative endeavors. It helps them to be bining their sun and space attitudes (for unique-
willing to take social and emotional risks and ness) with their soil and storm attitudes (for
thus bear scorn and ridicule in their pursuit of usefulness), they make their creation both unique
new ideas. Greater risk-taking creators gener- and useful – innovation (Kim 2016).
ally achieve more than those who take smaller,
safer risks. 1. Emotional (recognizing, understanding, and
7. Persistent (continuously striving for goals expressing individuals’ own feelings): The
with commitment regardless of immediate emotional attitude allows creators to be in
rewards): The persistent attitude enables crea- touch with their personal and distinct emo-
tors to work through long, complicated, and tional states and express their feelings with
disparaging periods of the creative process. It clarity and conviction. It helps them recognize
allows them to be continuously committed to and empathize with the feelings of others,
their goal physically and mentally despite their which helps them become effective and inspir-
failures. ing communicators. As creativity is impacted
8. Uncertainty accepting (acting without com- by affective processes more than cognitive
plete information regardless of potential processes, creators with the emotional attitude
challenges or outcomes): The uncertainty- are able to tap into creative reservoirs that those
accepting attitude enables creators to work without the attitude cannot access.
competently and confidently on their new and 2. Compassionate (internally empathizing with
unknown creative process. It opens up a range others and externalizing it by helping them in
of possibilities to them that more conventional meaningful ways): The compassionate attitude
individuals would be unwilling or unable to allows creators to reflect on their place in the
pursue. It helps them achieve goals that were world and positive changes for the well-being
previously considered to be impossible or of others. It inspires them to assist and support
unattainable. others in unique and purposeful ways. As they
see the impact of their creative endeavor on
Each of the storm attitudes can seem negative others, they draw further inspiration for their
to others depending on the climates: independent creative process for bigger purposes.
individuals might seem “aloof”; self-disciplined 3. Self-reflective (enjoying solitude to under-
individuals might seem “compulsive”; diligent stand the essence of individuals’ own and
individuals might seem like “workaholics”; self- others’ experiences and views): The self-
efficacious individuals might seem “arrogant”; reflective attitude allows creators to derive
resilient individuals might seem “combative”; meaning from periods of seclusion; further-
“risk takers” might seem “reckless”; persistent more, it enhances their ability to objectively
individuals might seem “obsessive”; and and critically assess their own beliefs,
uncertainty-accepting individuals might seem thoughts, feelings, motives, behaviors, and
“fearless” (Kim 2016). work. It helps them focus on the demanding
creative process in the absence of distractions which promotes outbox and newbox thinking.
and maintain independence. This facilitates the It also enables their variety of thinking strate-
uniqueness of their creation by staying away gies and techniques beyond those prescribed
from negative social influences and for their own gender.
bulwarking their self-efficacy against others’ 8. Defiant (courageously rejecting or changing
doubt and skepticism. existing norms, values, traditions, hierarchies,
4. Autonomous (being independently and intrin- or authorities in order to pursue individuals’
sically motivated to pursue goals): The auton- goals): The defiant attitude enables creators’
omous attitude enables creators to work courage and conviction to resist governing or
seemingly obsessively for their passion or controlling powers that they recognize as dam-
goal, which incorporates their work into their aging, restrictive, unfair, or punitive to their
identity. Their extreme intensity and motiva- creative process. Creativity is doing or making
tion promote their energy to overcome obsta- something unique and useful, which requires
cles in their work and life, and they also both constructive (to be useful) skill and
enhance their outbox and newbox thinking destructive skill (to be unique). Uniqueness
and thus the uniqueness of their creation. requires destructing or deviating from the
5. Daydreaming (sustaining unrealistic but goal- norm or the tradition and requires outbox
oriented thoughts while awake): The thinking to go beyond current expertise.
daydreaming attitude enables creators to gen- Because uniqueness is defiant in nature, the
erate fantasies and suppositions by launching more unique a creation is, the more it engen-
their imaginations outside the parameters of ders opposition or resentment, so that creators
conventional knowledge or regulations. As must take risks and act defiantly toward the
they learn to draw aspects of these fantasies opposition or resentment.
and suppositions into the realm of practicality,
their outbox and newbox thinking skills are Each of the space attitudes can seem negative
further refined. to others depending on the climates: emoti-
6. Nonconforming (choosing to differ from onal individuals might seem “unstable”; compas-
mainstream patterns of thought and behavior): sionate individuals might seem “overreaching”;
The nonconforming attitude allows creators to self-reflective individuals might seem “with-
be comfortable with their own unique identi- drawn”; autonomous individuals might seem
ties. It frees their minds to look beyond the “uncontrolled”; daydreaming individuals
parameters of “acceptable” behavior and might seem “delusional”; nonconforming individ-
thought in their creative process. It helps uals might seem “wild”; gender-bias-free individ-
them break away from conventional manners uals might seem “gender free”; and defiant
of problem solving and goal formation in favor individuals might seem “rebellious” (Kim 2016).
of unique and untried approaches, which fuels
the development of outbox and newbox think-
ing skills. Conclusions and Future Directions
7. Gender-bias-free (rejecting stereotypes based
on gender): The gender-bias-free attitude Inbox thinking is enabled by the soil and storm
allows creators to conceptualize others based attitudes; outbox thinking is enabled by the sun
on their internal characteristics or merits. It and space attitudes; and newbox thinking is
removes limitations to their own gender enabled by all 4S attitudes. However, the 4S atti-
expressions. It helps them use both masculine tudes can sometimes seem negative, especially
and feminine attitudes and characteristics for anticreative climates. Individuals including par-
their creative process. By refusing to conform ents and educators must cultivate 4S climates
to and actively resisting the conventional gen- that nurture children’s 4S attitudes, and they
der norms, they become flexible and adaptable, must also see the positive aspects of the attitudes
Creative Behavior 385
and encourage them to use their attitudes for output or a solution to a challenge. Creative
applying ION thinking skills for innovation behavior is not confined solely to the domain of
(Kim 2016). cognition and thought but rather it is action that
yields output that is deemed original and useful
(Puccio and Cabra 2011). It is a behavior that
permits one to act unobstructed from self or
Cross-References externally imposed constraints in pursuit of C
self-expression, invention, discovery, design,
▶ Creative Climate Tests, Creative Attitudes
and problem solving.
Tests, and Creative Thinking Skills Tests The actions most often associated with creative
behavior can be drawn from Guilford’s explana-
Climates
tion and description of divergent thinking.
▶ Creative Process: The Apple-Tree Creative Guilford (1977) constructed a three-dimensional
Process (ACP)
model that he referred to as the Structure of Intel-
lect (SOI) theory. In other words, intellectual abil-
Newbox (ION) Thinking Skills ities are described as a type of operation (e.g.,
▶ Creative, ADHD, or Both?
divergent thinking, convergent thinking, memory,
▶ Creative, or A Behavior Problem?
evaluation, cognition), which is set in motion by a
kind of content stimuli (e.g., visual, auditory,
semantic, symbolic, behavioral) for the purpose
References of organizing information into meaningful prod-
ucts (e.g., units, classes, relations, systems, trans-
Kim KH. The creativity challenge: how we can recapture
American innovation. New Jersey: Prometheus Books; formations, implications).
2016. Torrance (1966), who was influenced by
Guilford’s work, conceptualized measures of
divergent thinking called the Torrance Tests of
Creative Thinking (TTCT). These measures intro-
Creative Behavior duce individuals with a number of open-ended
situations for which they are asked to provide
John F. Cabra1 and Diego Uribe-Larach2 either written or visual responses. The four pri-
1
International Center for Studies in Creativity, mary cognitive skills assessed through respon-
Buffalo State, Buffalo, NY, USA dents’ answers are fluency (the total number of
2
Universidad Adolfo Ibañez, Las Condes, germane responses), flexibility (the number of
Santiago, Chile categories associated with the germane
responses), originality (the number of uncommon
responses), and elaboration (the elaboration or
Synonyms extension of responses) (Millar 1995; Runco
1999; Torrance 1966). It is these four cognitive
Creative act; Creative being; Creative expression abilities that are most often associated with crea-
tive behavior. To the original four cognitive abil-
ities, Torrance (2000) included 14 indicators of
What Is Creative Behavior? creative behavior, namely, abstractedness of titles,
resistance to premature closure, emotional expres-
Definitions and Perspectives siveness, story articulateness, movement, expres-
Creative behavior has been viewed as the crea- siveness of titles, synthesis of ideas, unusual
tive act, or a set of acts, which is made explicit visualization, internal visualization, extending or
through behavior. Creative behavior is not sub- breaking boundaries, fantasy, humor, colorfulness
missive; it is action, which leads to a creative of imagery, and richness of imagery.
386 Creative Behavior
Creative behavior has also been described as a field for stimuli that is either external, internal, or
incorporating spontaneity, which at its core is a both. Then out of curiosity, the individual
reflection of freedom and incorporating sensitiv- explores the stimuli to gain understanding,
ity, which also involves a greater sensory percep- insight, and a point of view. From this point of
tion to one’s surroundings and to one’s own view, the individual experiments with new com-
feelings and thoughts (Klein 1972). Creative binations or engages in sense making by generat-
behavior also incorporates persistence and ing analogies and metaphors. Responses can vary
resilience. ranging from incubation, reflection, or more
What is most striking about these descriptions experiments that lead to discovery.
of creative behavior is its pattern. There is no
single definition of creative behavior (Klein
1972). Instead, several words are used in concert Using a “TRYCycle” Metaphor to
to describe behavior. For example, Torrance’s flu- Synthesize Attributes of Creative
ency, flexibility, and originality are pooled to Behavior
identify a behavioral pattern. Resilience, persis-
tence, and intra- and interpersonal awareness are The term “creative behavior” comprises a host of
used to describe a pattern that is demonstrated in terms that are applied collectively to describe
everyday life. And, uniqueness, divergence, and behavior. How then to organize and give physical
spontaneity are used to identify characteristics of a form to a working definition of creative behavior?
normal behavioral pattern. These aforementioned Toward a model to synthesize attributes most ger-
qualifiers look at creative behavior as an essential mane to creative behavior, a metaphor was iden-
life skill (Puccio et al. 2011). It is also worth tified, namely, the tricycle (see Fig. 1). The
noting that most of these descriptors speak to the tricycle is an iconic toy and a symbol of childhood
cognitive abilities related to creative thought play and adventure. This metaphor has a strong
rather than to a more holistic concept of exercising emphasis on trying things and experimenting as a
creative behavior. As elusive as the constructs for means to discover and learn; therefore, the word
creativity and creative thinking are to the layper- tricycle is adapted to include the word TRY. Addi-
son, the construct for creative behavior is even tionally, this metaphor rests on three core behav-
less developed, researched, and understood. iors (tri ! try) that fuel creative behavior and they
are experimenting (an iterative and hands-on
Creative Behavior Versus Creativity approach to exploration), reflecting (a process to
Creative behavior in its most primitive form is a make meaning of past experiences), and incubat-
subset of play behavior (Brown 2009). From a ing (a break from the energetic pursuit of a solu-
biological perspective, play behavior is regarded tion to a challenge or an experience) (Puccio et al.
as a form of exploration and adaptation. Con- 2011). These three core behaviors occur in ongo-
versely, creative behavior is also a form of explo- ing cycles until one’s curiosity is fulfilled. The
ration and adaption for the purpose of producing creative person then proceeds to the next thing
novel and useful outcomes. Creative behavior that peaks his curiosity; curiosity’s thirst is
allows us to explore ways to rearrange features quenched and then off to the next adventure,
of an experience into something that is joyfully which in turn reignites the ongoing Cycle. The
meaningful and novel (Uribe-Larach and Cabra TRYCycle’s three wheels represent these three
2011) – though creative behavior and creativity core behaviors.
are intimately related, there is a distinction; while Creative behavior is a form of play and,
creativity is commonly understood as the produc- as such, makes up an early and natural way of
tion of novel and useful ideas (outcome centric), discovering and making meaning of the world.
creative behavior relates to what we do to achieve Play is a state of mind that revolves around
such outcomes (attitude/behavior centric). First, an absorbing, apparently purposeless activity,
an individual engaged in creative behavior scans which provides enjoyment, and suspension of
Creative Behavior,
Fig. 1 “TRYCycle” model
of creative behavior. (From
Uribe-Larach and Cabra
(2012))
self-consciousness and time. Findings indicate openness to novelty (the ability to entertain ideas
that as in childhood, playfulness serves as a robust that at first seem outlandish and risky), tolerance
adaptive operation in adulthood (Magnuson for ambiguity (the ability to deal with uncertainty
2011). Play also provides individuals with more and avoid leaping to conclusions), and tolerance
cognitive resources from which they can manifest for complexity (the ability to stay open and per-
effective coping mechanisms while confronting severe without being overwhelmed by large
stressful situations (Magnuson 2011). The tricycle amounts of information, complex issues, and
seat therefore represents play since the seats serve competing perspectives) (Puccio et al. 2011).
as a mechanism for a child to fuss about and The TRYCycle metaphor serves as an organiz-
wiggle. In addition, sitting on a seat is the first ing framework to visualize a simple, holistic, and
behavior/action that is demonstrated, which par- coherent picture of what is involved in the com-
allels an early and natural way of discovering and plex phenomenon of creative behavior. This met-
making meaning of the world. Building on this aphor brings about an understanding of the
metaphor, play sets the stage for creative behavior interplay between the core behaviors of curiosity,
(experimenting, reflecting, and incubating). play, experimentation, reflection, and incubation
The pedals represent the attitude of a child as and the attitudes needed to sustain creative
shown through the child’s vigorous peddling and behavior.
metaphorically represent a sense of adventure,
risk taking, passion, and openness to experience.
The handlebars signal curiosity as the child scans Role of Creative Behavior in Creativity
for an attention-grabbing target and then manipu- and Innovation
lates the handlebars toward the target that captures
the child’s imagination. The child exhibits a Typically, groups do not personalize creativity
focused attention, then questions what is models to the fullest extent because they have
observed, wanting to know more about what too many steps and too much language for the
caught the eye’s attention, then seeks to explore models to be remembered. Despite the excitement
the object. Finally, the frame symbolizes a crea- creativity models can bring, the groups can appear
tive mindset essential to overcoming the con- enabled not necessarily empowered to want to
straints that get in the way of creative internalize creative behavior. Many models are
performance much like the frame keeps the tricy- results oriented. Instead, if creativity and innova-
cle together as it navigates bumps in the road. tion models were behavior centric, then the model
Specifically, the creative mindset operates three would serve as more effective prods to creative
affective skills that permits exploration, such as behavior. A behavior centric model offers easy
388 Creative Behavior
access to organizational members because it pro- sold for $4.00? Yet, Starbucks did not permit the
mpts individuals to do more of what comes natu- fallacy of a mature market, and the reaction it may
ral. Thus, the role that creative behavior can play have against the $4.00 coffee, to stop it from
is one of a sustained catalyst to creativity and revolutionizing the take-out coffee business).
innovation. If innovation is viewed as products, Implementation blocks comprise the inability
concepts, theories, and/or processes that are to act upon emotions and the data that is garnered
novel, useful, and successful (meaning that there via perceptions. In other words, implementation
is a high level of acceptance of the innovative blocks preclude the generation of new ideas and
qualities by a given domain), then creative behav- connections based on the insights that stem from
ior is essential to building innovation capabilities increased perceptions, knowledge, and sensitivity.
for any given social system (e.g., company/orga- Instead the creative person can see new ways to
nization, community, country). That is, the more use an object beyond its traditional use (e.g., See-
that creative behavior is seen within a social sys- ing other uses for baking soda such as baking-
tem, the greater the probability of producing novel soda deodorant, baking-soda toothpaste, and,
and useful outcomes and, conversely, the greater recently, baking-soda diapers). It is important to
the probability that one or more of these outcomes note here that implementation also requires over-
can result in successful innovations in their coming further self-imposed constraints that
respective domains. might inhibit people from moving their organiza-
From a person-centered perspective, Ackoff tions toward an innovative output.
and Vergara (1988) asserted that creativity is the Some people may have a fear of vulnerability
ability to overcome self-imposed constraints. that is attributed to change, which is an inevitable
Therefore, creative behavior, when made explicit collateral of pursuing creative results and innova-
and is applied, can overcome perceptual, affection. As a result, they may be inclined to go back
tive, and implementation blocks that get in the to past ways of doing things. In other circum-
way of creativity and innovation (Klein 1972). stances, other people are unable to flex. People
Perceptual blocks comprise inabilities to read may associate pain with new experiences, and as a
people, circumstances, and even oneself. Without consequence, they simply avoid them. Others may
these reads, one is denied access to a host of data subscribe to a belief that their span of control is
and knowledge useful for creative output. Instead, limited. This relates to people who do not go after
creative behavior sharpens one’s ability to new ideas because they believe they do not have
observe, hear, feel, smell, discriminate, touch, the influence, the resources, or the political power
and access tacit knowledge. It is the perceptive to make things happen. Here they play it safe
person who can feel shades and degrees of mean- because they are overly concerned with the nega-
ing based on what is being observed. It is the tive consequences that might come about if they
perceptive person who broadens their scanning try something new and fail.
field. For example, one day, someone is seen In summary, creative behavior shifts or
placing a small amount of baking soda in a refrig- removes behavioral boundaries and, as such,
erator and notices that it absorbed odors. aids in over coming self-imposed blocks, thus
Affective blocks comprise inabilities to dem- enhancing the probability of producing creative
onstrate empathy, formulate feelings based on outcomes and innovation. A person who behaves
observations, control emotions and one’s relation- creatively takes full advantage of options. They
ship with others. The creative person, who is free know they have a broad range of options and by
of these blocks, can both anticipate and plan emo- itself can overcome cognitive paralysis or emo-
tional reactions. They can see the point of view of tional hijackings. They realize that all things are
others. They can build relationship with others possible, and all are worth knowing, worth explor-
and are not necessarily affected by societal judging, and experiencing. Creative behavior searches
ments that hinder freedom of action (e.g., Who for freedom. People who exhibit creative behavior
would have thought that a cup of coffee could be feel comfortable and are free to define themselves
not through the eyes of others but rather through 2001), the greater the volume and degree of
their individual preferences. Creative behavior experimentation expected from individuals
involves deferment of judgment, taking responsi- and teams in an organization. Although the
bility for creativity, taking risks, and being open to above correlation is rational and logical, such
new experiences. a relationship has not been established empir-
ically. In other words, the dimensions identi-
fied in the literature for nurturing a creative C
Future Directions and Conclusions climate connect to the outcome of creativity
and not specifically to the behaviors involved
Given the importance of creative behavior as an in producing such outcomes. Moreover, it has
essential life skill for thriving in a complex world, been hardly established that these dimensions
future research and practice should focus on the have predictive validity in nurturing condi-
following lines of inquiry: tions that foster creative behavior. Therefore,
more and new research is needed to refine and
(a) Behavioral components and skills: The meta- unveil climate dimensions that correlate
phor described above offers a holistic under- directly to creative behavior. Such a climate
standing of core behaviors that contribute to model that is linked to creative behavior
creative behavior. However, the metaphor is would permit academics and practitioners to
short of offering a developmental framework design effective intervention plans for build-
that nurtures the core behaviors and skills as ing environments that trigger creative behav-
described in the model. How can individuals ior in teams and organizations.
be trained for curiosity, exploration, and play
in a manner that adopts a more experimental T. S. Eliot once asserted that we must not cease
hands-on approach to inquiry? In the same from exploration and at the end of all of our
way in which thinking skills have been made exploring will be to arrive where we begin and
explicit for optimizing creative thinking pro- to know the place for the first time. Understand-
cesses (Puccio et al. 2011), a deeper under- ably, behavioral psychologists paid little attention
standing of core behaviors and their to Eliot’s prose as creativity was deemed an elu-
embedded skills are needed to develop sive construct and as such they avoided studying
methods to assist individuals, teams, and it. There are good reasons of course to explain
organizations. their reticence. Myths and other misunderstand-
(b) Environmental conditions for creative behav- ings have served as cognitive and cultural blocks
ior: While there has been an abundance of to its study. Creativity suggested that only a few
research to identify psychological climate had it. And of those who had it, their creativity
dimensions supportive of organizational cre- could not be studied, as it would unveil its
ativity (Ekvall 1996; Amabile et al. 1996), magic. If only a few possessed this gift, then it
only loose connections can be drawn between would suggest that creativity was an endowment
these dimensions and the creative behaviors bestowed by the gods to those special few (Puccio
represented in the tricycle, namely, curiosity, et al. 2011). Although these myths have been
play, experimentation, reflection, and incuba- largely marginalized by today’s contemporary
tion. For example, Ekvall’s (1996) dimension research efforts to explore these multifaceted phe-
of play and humor can be directly connected nomena, the layperson continues to believe that
to the behavior of play, yet there is no climate creativity cannot be trained. It is precisely these
dimension that can be connected in such way kinds of constraints that lead scholars to assert that
to experimentation, incubation, and curiosity. a crucial ingredient to creative behavior is acting
It can be asserted that the stronger the climate freely from the many restraints society puts
dimension of risk taking, as measured by the around people and the self-imposed constraints
SOQ assessment instrument (Isaksen et al. people place on themselves.
390 Creative Behaviors
Creative behavior is an essential function of the and innovative managers. New York: McGraw-Hill
human experience. It is not something you turn on Book; 1988. p. 77–89.
Amabile TM, Conti R, Coon H, Herron M, Lazenby J.
and off like a water faucet. Instead, it is an ongo- Assessing the work environment for creativity. Acad
ing process of behaving in society, of engaging in Manag J. 1996;39(5):1154–84.
the vicissitudes of life. Creative behavior is a way Brown S. Play: how it shapes the brain, opens the imagi-
of viewing the world in the moment. Read how nation, and invigorates the soul. New York: Avery;
2009.
Hallmark poignantly described the experience Ekvall G. Organizational climate for creativity and inno-
outside its tricycle keepsake box. vation. Eur J Work Organ Psychol. 1996;5(1):
What could be more thrilling than your first set 105–23.
of wheels? From its finger-grip handlebars to the Guilford JP. Way beyond the IQ: guide to improving intelli-
gence. Buffalo: Creative Education Foundation; 1977.
ride-along platform, the little red tricycle inspires Isaksen SG, Lauer KJ, Ekvall G, Britz A. Perceptions of the
almost universal nostalgia. It’s easy to imagine the best and worst climates for creativity: preliminary val-
expression of surprise and joy on the face of its idation evidence for the Situational Outlook Question-
new owner. Not long afterward, with a rush of naire. Creat Res J. 2001;13:171–84.
Klein RD. Evolving creative behavior. An unpublished
independence, the rider pedals off down the side- doctoral thesis. Amherst: The University of Massachu-
walk and the adventure of a lifetime begins. setts; 1972.
It is through creative behavior that adventure is Magnuson CD. The playful advantage: how playfulness
experienced in the same manner in which a tricy- enhances coping with stress. An unpublished master’s
thesis. Urbana-Champaign: Graduate College of the
cle ride translates into self-expression, discovery, University of Illinois; 2011.
invention, design, and problem solving. Millar GW. E. Paul Torrance: the creativity man. Norwood:
Creative behavior is about manifesting full Ablex; 1995.
potential in a mad world of complexity, volatility, Puccio GJ, Cabra JF. Idea generation and idea evaluation:
cognitive skills and deliberate practice. In: Mumford’s
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role in shaping a life as free and determined as Puccio GJ, Mance M, Murdock MC. Creative leadership:
possible – if only we would invest half as much skills that drive change. 2nd ed. Thousand Oaks: Sage;
2011.
childlike effort attempting to capitalize on our Runco M. Divergent thinking. In: Runco MA, Pritzker S,
choices for behavior as we invest adult-like effort editors. Encyclopedia of creativity, vol. I. San Diego:
in restricting them (Klein 1972). Academic; 1999. p. 577–82.
Torrance EP. Torrance tests of creative thinking.
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B. Bensenville: Scholastic Testing Service; 2000.
Uribe-Larach D, Cabra JF. The opportunities and chal-
▶ Creative Mind: Myths and Facts lenges of technology driven collaborations. In:
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▶ Creative Styles vation: tools, techniques and applications. Hershey:
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Creative Brain 391
Theoretical Background and

Creative Being Open-Ended Issues
▶ Creative Behavior Contesting Views on Creativity and

Challenges
There has been a long-lasting discussion in sci-
ence concerning creativity and the interaction of C
“nature” (genes) and “nurture” (good education,
Creative Brain the accessibility of the domain for a researcher,
and societal encouragement).
Nina Slanevskaya As a rule, neuroscience does not include the
St. Petersburg Centre for Interdisciplinary wider social aspect of creativity and limits itself to
Neuroscience Ltd., St. Petersburg, Russia the study of neurophysiological processes in the
brain. But this narrower field has its own chal-
lenges: what is consciousness and what is the
Synonyms exact mechanism of transformation of neural fir-
ing into an abstract thought? Only after answering
Creative insight; Creativity in neuroscience, stud- these questions, we can reliably define what a
ies; Creative process in brain creative insight is and how to enhance human
creativity.
The creative insight is difficult to study with
Key Concepts and Definition of Terms the help of scanning in the laboratory conditions,
because the owner of such an insight never knows
The concept of “creativity” includes different when it will come to him/her. So neuroscientists
aspects, such as a human ability of a creative have to restrict themselves to the studies of neu-
insight, the product created by such a creative rophysiological characteristics of creative people
insight, and the appreciation of this product as and to scanning the brain during various tests on
something new and valuable by people. The creativity.
term “creative insight” implies a process The tests on creativity are usually on divergent
occurring in a flash but which brings some- thinking and consist mostly of verbal tasks. How-
thing very substantial and completely new, it ever, the creative people, who are tested, work in
differs from conscious production, it can hap- different spheres (literature, music, science) and
pen during sleep or in a dreamlike state, and can see an image or hear sounds as a creative
this process seems to be inspired (Andreasen solution without any words or conscious thinking.
2006). If a creative insight is a topic of inter- It means that, perhaps, their neuronal activation
est, the human brain and human psychology patterns in the creative process will differ and they
are studied. However, the psychological reac- are not what the test-designers suppose. And,
tion and brain work are inseparable from perhaps, a highly creative person might be unwill-
sociocultural context. To enhance creativity, ing to answer such irrelevant to his work a ques-
there must be knowledgeable experts to assess tion as: “How many uses can you think of for a
the product of creation, universities to teach brick?”
top-level science, and the field which wants a In other words, how do we know that the
created product. Thus, creativity can be con- existing tests on creativity identify the creativity,
sidered as a kind of interaction between a indeed? And what kind of level of a creative
person’s thoughts and sociocultural context person is studied by a neuroscientist: a clever
(Csikszentmihalyi 1997). original conversationalist, a creative person
392 Creative Brain
whose creativity is directed at himself, or a person controlling or control less, new neural circuits
who has changed the public culture and science start working, and creative associations are
(Csikszentmihalyi 1997)? Everyone is mainly formed
interested in the third phenomenon, but neurosci- – Neurophysiological importance of specific
entists never discriminate between these three cat- brain waves at specific brain areas for a crea-
egories of creative people, though it is clear that tive state
their brains will work differently.
There are also some technical and data Many neuroscientists also emphasize special
assessing challenges in neuroscience. The crea- traits of character of a highly creative person and
tive activity of the brain is scanned and usually a specific behavior: the courage of insisting on the
compared with a baseline, when the brain is con- nonconventional way of solving a problem, obsti-
sidered to be in a passive state. But the brain is nacy and “doggish pursuit” of the task, and the
never passive at all, and it is, perhaps, when the elimination of all irrelevant aspects of life which
person is not thinking consciously about the solu- distract the attention from a creative process.
tion of the problem that a creative insight takes
place due to the formation of uncontrollable
unconscious associations in the mind (Andreasen Implications for Theory, Policy, and
2006). Practice
The attention of neuroscientists has been
focused on the following questions in the study Creativity: Studies and Hypotheses in
of creativity: Neuroscience
– What are the properties of a creative brain? What Goes on in the Brain During a Creative
– What goes on in the brain during a creative Process?
process? There are four basic types of creative thinking
– How does a creative process influence the with distinctive neural circuits depending on the
brain itself? knowledge domain (emotional or cognitive) and
– How can we help the brain to be more creative? the processing mode (deliberate or spontaneous)
– How can we use the process of creativity (e.g., (Dietrich 2004). The first type operates in an emo-
in art therapy) for curing disease? tional field and has the deliberate processing (e.g.,
writing and rewriting a novel). The second type is
Various research methods have been used for based on the spontaneous processing in an emo-
answering these questions, and various hypothe- tional field (e.g., writing a poem). A cognitive
ses have been put forward: field with the deliberate processing (e.g., working,
planning, and experimenting in science) is the
– Anatomical importance of some brain struc- third type. A cognitive field with the spontaneous
tures with unusual characteristics (the phenom- processing is the fourth type (e.g., the solution of
enon of synesthesia) and, perhaps, the the problem comes quite on a sudden when the
thickness/thinness of the brain cortex at certain person is doing something else and stops thinking
places about the work). For this classification, it is impor-
– Inborn or acquired specific neurochemistry of tant to distinguish the function of the frontal lobe
the brain from three posterior cortices – the temporal, the
– Genetic predisposition (rather close to the occipital, and the parietal (TOP) (Dietrich 2004).
characteristics of schizophrenia) The frontal lobe does not get direct sensory infor-
– Specific functioning of neural circuits in the mation and does not have long-term memory
brain under certain circumstances (tiredness, unlike the TOP, but the frontal lobe is important
dream, beautiful landscape, a pleasant shock, for working memory and responsible for the
etc.), i.e., the controlling neural circuits stop deliberate focusing of attention, critical
Creative Brain 393
assessment, and flexibility of thinking that allows from the surrounding (outer cause). The more flex-
new combinations. In the TOP, there are mainly ible links are involved, the more original and crea-
neurons engaged in perception, because there are tive the solutions are.
primary sensory areas and associative areas. The Damasio emphasizes some requirements for
representation of the information received by the creativity, for example, the strong generation of
TOP goes to the frontal lobe and is present in the representative diversity (i.e., the ability to gener-
working memory. The deliberate mode in the cog- ate a lot of novel combinations of entities or parts C
nitive domain is supported by the prefrontal cor- of entities as images and bring these images to the
tex, which gets the necessary information from the conscious mind) (Damasio 2001). The images
TOP and other cognitive structures of the brain. demand the work of sensory cortices, but they
The deliberate mode in the emotional domain is are conducted and ordered from the prefrontal
supported by the frontal attentional neural net- cortex. Creativity demands also a large capacity
work and the structures of the brain responsible of working memory which permits to retrieve and
for emotions. The spontaneous mode in the emo- generate representations internally, to hold these
tional domain recruits the structures which pro- representations ready, and operate on them. The
cess emotional information spontaneously, and term “working memory” means not only the
this information gets into the working memory. retention of some information but also the manip-
The spontaneous mode in the cognitive domain ulation on it. Creativity needs the prefrontal cortex
starts in the TOP areas during the unconscious to recognize novel representations and to choose
thinking full of free associations. The more brain the best. The signals from the perceived surround-
structures are involved in the integrative brain ing first go to the primary cortices responsible for
process, the more new combinations are formed. auditory and visual perception. At this stage, the
Such a classification is an attempt to combine map of activated neurons is created. The areas of
knowledge, emotions, and deliberate and sponta- brain responsible for sensory perception are
neous modes involved in creative thinking. surrounded with associative areas where neurons
A creative person uses mostly one type of creating are polyfunctional. Here, the new representations
thinking out of four, but it does not mean that he are created out of the mapped information from
cannot use another type. sensory cortices. Damasio calls such representa-
Bekhtereva considers that creativity is a natural tions in the associative areas of the brain as dis-
process and any brain needs creativity for normal positional representations (Damasio 2001). Such
functioning because customary actions gradually dispositional representations preserve all mapped
become partly automatic reducing the activity of recordings of neural activities. From here, the
neural networks engaged in novelty and the brain representations can go back to the sensory areas,
stops working in the optimal regime (Bekhtereva and the person can see in his mind, for example,
2007). Creative thinking, according to Bekhtereva, the features of his friend’s face without seeing
is connected with the reorganization of neural him. It is in this backward process that the modi-
activity in the brain. There are fixed links and fication usually takes place and novelty appears. If
flexible links between some neural areas. The such memory, for example, of a friend’s face
fixed links work constantly, but flexible links have brings about some emotions, it means that the
a tendency of disappearing, with other ones prefrontal area participates in the process and the
appearing. The brain fights monotonous work representations are important for the whole organ-
done by a researcher with the help of the formation ism/body of the person. These above-mentioned
of new flexible links which, nevertheless, are dispositional representations correlate with the
engaged in the general task performed by a first state of the body when the event or object
researcher. Both fixed and flexible links continue was first mapped and produced an effect on the
working for the solution of the task. The appear- human body. Neurochemical responses in the
ance of new flexible links depends on both the brain change the functioning of neural circuits
monotonous work (inner cause) and the signals and influence the emotional state and creative
394 Creative Brain
abilities. For example, the level of creativity due Synesthesia is a neurological phenomenon. The
to the changed neurochemicals in the brain caused stimulation of one neural network (sensory per-
by depression is much lower; the hippocampus of ception or cognitive thinking) is accompanied
the brain, which is important for remembering, automatically by the activation of another net-
shrinks; and working memory becomes worse. work at the same time and which under the normal
conditions is not activated. For example, when a
What Are the Properties of a Creative Brain? man is looking at figures, he sees them in color, or
The relation between knowledge and creativity has when he listens to music, he sees it in color.
always been of great interest for scientists. It has Sometimes color, sound, and smell are combined.
been found that the ability for creative thinking does The concept of creativity has always been
not depend so much on the level of intelligence. If connected with the term “genius.” The behavior
the IQ is higher than 120, it does not correlate with of a genius, as it is generally noticed, is different
creative abilities anymore (Andreasen 2006). The from an ordinary person. The hypothesis of the
person can have a higher level than 120, but he/she connection between high creativity and mental
can be less creative than the other one who has a disorder (especially mild forms of schizophrenia)
lower IQ. Neuroscientists conducted scans of peo- was put forward long ago. According to this
ple to measure levels of N-acetylaspartic acid hypothesis, creativity has a genetic basis.
(NAA) to define the correlation between creativity Andreasen agrees with the hypothesis on the
and intelligence and made measurement of the whole but remarks that mental illness is not a
thickness of the cortex at certain places in the necessary requirement for creativity, besides she
brain where they thought a creative process took insists that one should discern extraordinary abil-
place (Jung et al. 2009a, b). The decrease of the ities for creativity from normal abilities for crea-
level of NAA indicates the dysfunction or the death tivity because different neural circuits are engaged
of neurons. Jung and colleagues arrived at the con- (Andreasen 2006). If we deal with extraordinary
clusion that their NAA tests confirmed the psycho- abilities, a subconscious mental process prevails.
logical studies that for creativity it is not necessary The brain of a genius works differently.
to have a high IQ and that after 120, the level of Andreasen finds similarity of the state of the
intelligence is not important for creativity (Jung brain in meditation (or the altered states described
et al. 2009a). As for the thickness of the cortex, by the great mystics) with the state of the brain of a
the thickness at some places had a positive correla- creating person (intense focus, dissociative state
tion with the level of creativity, but at other places, as though being in some transcendent and remote
there was a negative correlation (Jung et al. 2009b). place) (Andreasen 2006).
For example, the thicker the cingulate cortex is, the
better it is for creativity (a cingulate gyrus is respon- How Can We Help the Brain to Be More Creative?
sible for detecting a mistake), and the thinner the To answer this question, the hypothesis of the
cortex is in the area of a cuneus (Brodmann area enhanced creativity due to a hypnagogical effect
18, left hemisphere) or in the fusiform gyrus on the brain was proposed. Hypnagogia is the tran-
(Brodmann area 19, left hemisphere), the more sient state which happens when waking becomes
creative a person is. If to speak about the cortex of sleeping. In such a state, a person often has frag-
the brain, on the whole, the thinner the cortex is, the mentary thoughts and visual imagery. The
more creativity its owner shows. Jung explains it by hypnagogical state starts when the theta band
an easier and quicker possibility of forming asso- (6–7 Hz) amplitude becomes more pronounced
ciative connections by neurons, which is necessary than that of alpha (8–11 Hz) (Gruzelier and Egner
for creative thinking. 2004). With the help of electroencephalogram
There is also a hypothesis that creativity is (EEG) and neurofeedback training, it is possible to
connected with synesthesia because synesthesia enhance creativity in live performance. After alpha-
promotes metaphoric thinking, helpful for creativ- theta training, for example, conservatoire musicians
ity (Ramachandran and Hubbard 2001). demonstrated a higher level of performance and
Creative Brain 395
musicality by 12% on average and some of them into schools and universities to train a student to
even by 50% (Gruzelier and Egner 2004). bring about a creative trance at will?
Though the source of creative insight has
always been one of the most interesting for peo-
Conclusion and Future Directions ple, neuroscience is not ready yet for giving a
definite answer to all these questions.
Conclusion C
However elusive a creative process may be for
studying with the help of brain scanning, what Cross-References
makes things much worse is an unsolved mind-
brain problem. The ontological position on the ▶ Creative Behavior
nature of consciousness and hence on creativity ▶ Creative Personality
makes a neuroscientist choose a matching episte- ▶ Creativity, Experiential Theories
mological approach for his research. For example, ▶ Four Ps of Creativity
having chosen a materialist ontological position ▶ Genius
on brain and mind, Rex Jung studies the thickness ▶ Measurement of Creativity
of the cortex as a physical property of creative ▶ Nature of Creativity
thinking. The thinner (or thicker) the cortex is at ▶ Research on Creativity
certain places, the more creative ideas one will ▶ Role of Intuition in Creativity
produce. Meanwhile a non-materialist neurosci- ▶ Science of Creativity
entist would draw our attention to the neuroscien-
tific fact that the brain changes physically under
the pressure of non-material thoughts (Beauregard References
and O’Leary 2007). So the thickness of the cortex
can develop after practicing creative activities for Andreasen NC. The creative brain, the science of genius.
New York: A Plume Book; 2006.
a certain period of time (if thickness/thinness is
Beauregard M, O’Leary D. The spiritual brain.
important for creativity at all). A non-materialist A neuroscientist’s case for the existence of the soul.
neuroscientist would also say that such an episte- New York: HarperOne; 2007.
mological approach is wrong and it cannot show Bekhtereva NP. The magic of the brain and labyrinths of
life. Moscow/St. Petersburg: Sova; 2007.
the true nature of creativity, however well and
Csikszentmihalyi M. Creativity. Flow and the psychology
thoroughly Rex Jung might study the thickness of discovery and invention. New York: Harper Peren-
of the cortex. The thickness/thinness does not nial; 1997.
cause creativity, it follows it. A materialist neuro- Damasio A. Some notes on brain, imagination, and creativity.
In: Pfenninger K, Shubik V, editors. The origin of creativ-
scientist, on the contrary, would claim that any
ity. New York: Oxford University Press; 2001. p. 59–68.
thought arises after and on the basis of neural Dietrich A. The cognitive neuroscience of creativity.
firing, and so does creativity. However, none of Psychon Bull Rev. 2004;11(6):1011–26.
them has yet discovered the exact working mech- Gruzelier J, Egner T. Physiological self-regulation: bio-
feedback and neurofeedback. In: Williamon A, editor.
anism of interaction between a non-material
Musical excellence: strategies and techniques to
abstract thought and a material biological neuron. enhance performance. New York: Oxford University
Science comes into our life and its conclusions Press; 2004. p. 197–219.
influence social policy. Is it the brain whose neu- Jung RE, Gasparovic C, Chavez RS, Flores RA, Smith SM,
Caprihan A, Yeo RA. Biochemical support for the
rophysiology should be changed for better crea- “threshold” theory of creativity: a magnetic resonance
tivity? Must there be the change of sociocultural spectroscopy study. J Neurosci. 2009a;29:5319–25.
climate for the better interaction between a per- Jung RE, Segall JM, Bockholt HJ, Flores RA, Smith SM,
son’s thought and sociocultural context? Is crea- Chavez RS, Haier RJ. Neuroanatomy of creativity.
Hum Brain Mapp. 2009b;31:398–409.
tivity similar to a mystic state when a human mind
Ramachandran VS, Hubbard EM. Psychophysical investi-
freely travels to get the information from the Uni- gations into the neural basis of synesthesia. Proc R Soc
versal Mind? Should meditation be introduced Lond B. 2001;268:979–83.
396 Creative Business
of the millennium (2002; 2006). Generally,

Creative Business the creative class consists of professionals who
create new ideas, new technology, or new content.
▶ Creative Management This conception, which is closely connected
with the notion of “creative industries,” served
as a key component of the “creative profession
approach,” or “creative occupation approach”
Creative Cities to understanding and definition of the “creative
economy” (Dubina et al. 2012).
▶ Creative Industries As follows from the general definition,
“the creative class” is a wider conception than
“the creative industries” in term of the number
of considered workers. The creative class,
Creative Class according to R. Florida, includes “super-creative
core,” consisting of researchers, artist, designers,
Igor N. Dubina1,2 and David F. J. Campbell3,4,5,6 and other employees who “fully engaged in
1
The Faculty of Economics, Novosibirsk State the creative process” and “creative professionals”
University (NSU), Novosibirsk, Russia who are “knowledge workers,”, including doctors,
2
The International Institute of Economics, professors, lawyers, finance experts, etc. By the
Management, and Information Systems, Altai millennium, the creative class has already
State University (ASU), Barnaul, Russia represented about a third of the US labor force
3
Department of Political Science, University of (about 40 million employees) and the “super crea-
Vienna, Vienna, Austria tive core” represented 12% of all of the jobs in the
4
Department for Continuing Education Research United States. In some other countries, the creative
and Educational Technologies, Center for class even risen up to 50% (Florida 2002).
Educational Management and Higher Education The existing classifications of “creative
Development, Danube University Krems, Krems, occupations” widely differ in the breadth of
Austria the spectrum of industries and occupations
5
Unit for Quality Enhancement (UQE), included (Markusen et al. 2008). For example,
University of Applied Arts Vienna, Vienna, from a creative occupation perspective (CIE
Austria 2009), the total number of “creative employees”
6
Faculty for Interdisciplinary Studies (IFF), is calculated as the sum of:
Higher Education Research (WIHO), Alpen- • All workers employed in creative industries,
Adria-University Klagenfurt, Vienna, Austria whether or not creatively occupied (e.g., all
musicians, security guards, cleaners, accoun-
tants, managers, etc., working for a record
Synonyms company)
• All workers that are creatively occupied
Creative employees; Creative industries; and are not employed in creative industries
Creative occupations; Creative professionals; (for example, a piano teacher in a school)
Creative professions; Creative services; Creative (CIE 2009)
workers; Knowledge workers; Knowledge-based
workers As another example, the Australian Creative
Industries and Innovation (CCI) center developed
The conception of “the creative class” has been the Creative trident, an approach to estimate
introduced and developed by R. Florida at the turn the dynamics of creative workforce (CIE 2009):
Creative Class 397
• Specialist creatives (employed in creative Undoubtedly, these widely distributed terms

occupations in creative industries) accentuate sharply risen significance of creativity
• Support workers (employed in creative as an economic factor, but creativity is a normal
industries but in non-creative occupations) virtue of any normal person (Kirton 1987), and
• Embedded creatives (employed in creative creativity can take place anywhere in business,
occupations, but in industries that do not economic, and social life. Creativity should
produce creative products) not be seen as residing in a specific class of C
people or a specific industry or industrial
Like the notion of the “creative industries,” cluster. As B.A. Lundvall (2008) notes, the most
the idea of the “creative class” (“creative occupa- successful economies in the world are those
tions”) has been a subject for serious criticism. that engage ordinary workers in processes of
Thus, Montgomery (2005) and Nathan (2007) creative thinking, doing, and using. So, the less
identify serious problems and confusions in distinct “the creative class” is from the rest of
understanding and measuring “the creative society, the more successful the economy.
class,” as is being attempted in R. Florida’s The “creative class” also should be seen as
model. Those problems mainly relate to difficul- a social stratum contributing to knowledge
ties of identification of the “creative class mem- economy, knowledge society, and knowledge
ber,” that is “creative workers.” For instance, it democracy (Campbell 2019; Carayannis and
is easier to identify formally knowledge workers Campbell 2014).
(e.g., “who work with their heads, not hands,”
Drucker 1993) than creative workers, since
knowledge workers are not always “creative Cross-References
workers.”
The estimation of “creative class” employ- ▶ Creative Industries
ment is often confusing (e.g., machine opera- ▶ Creativity and Labor
tors might be seen as creative workers if they ▶ Creativity Economy Versus Creative Economy
are working for a printing press but not a sheet ▶ Creativity, Innovation, and Economic Crises
metal press). Many creative people operate ▶ Creativity, Knowledge, and Innovation: The
simultaneously in multiple roles and jobs, so Interactive Facets of the New Economy
estimating a creative component across all ▶ Quality of Democracy and Innovation
professions may result in significant double
counting. Or, as an example, a security guard
working for a music company would be References
classified as a creative employee. On the
other hand, the number of “creative class” Campbell DFJ. Global quality of democracy as innovation
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So, it is hard to say that the existing models Carayannis EG, Campbell DFJ. Developed democracies
can really register “creative” contributions to versus emerging autocracies: arts, democracy, and
innovation in Quadruple Helix Innovation Systems.
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398 Creative Climate
Drucker P. Post-capitalist society. Oxford: Butterworth Creative Climates, Creative Attitudes,

Heinemann; 1993. and Creative Thinking Skills
Dubina I, Carayannis E, Campbell D. Creativity economy
and a crisis of the economy. J Knowl Econ.
2012;3(1):1–24. Innovation requires the three distinct yet measur-
Florida R. The rise of the creative class and how it’s able steps, acronymed as CATs: cultivating
transforming work, leisure and everyday life. creative Climates (Step 1); nurturing creative Atti-
New York: Basic Books; 2002.
Florida R. The flight of the creative class: the new tudes (Step 2); and applying creative Thinking
global competition for talent. Lib Educ. 2006; skills (Step 3) (Kim 2016). These steps can be
92(3):22–9. measured by both non-testing and testing
Kirton MJ. Kirton Adaption-Innovation Inventory (KAI) methods. Non-testing methods usually involve
manual. 2nd ed. Hatfield: Occupational Research
Centre; 1987. a third-party review such as expert evaluation.
Lundvall BA. Innovation and creativity – the crisis Testing methods are developed across three
as opportunity for change (a working paper also areas: first, tests for creative climates such as
available at: http://www.slideshare.net/.../innovation- cultural climate, organizational climate, and fam-
and-creativity-the-crisis-as-opportunity-for-change).
2008. ily climate; second, tests for creative attitudes
Markusen A, Wassall G, DeNatale D, Cohen such as the Group Inventory for Finding Talent,
R. Defining the creative economy: industry and occu- the Group Inventory for Finding Interests, the
pational approaches. Econ Dev Q. 2008;22(1):24–45. Khatena-Torrance Creative Perception Inventory,
Montgomery J. Beware ‘the creative class’: creativity
and wealth creation revisited. Local Econ. What Kind of Person Are You? (WKPAY), Some-
2005;20(4):337–43. thing About Myself (SAM), and the Behavioral
Nathan M. Wrong in the right way? Creative class Characteristics of Superior Students; and finally,
theory and city economic performance in the tests for creative thinking such as the Wallach
UK. In: Lovink G, Rossiter N, editors. MyCreativity
reader: a critique of creative industries. Amsterdam: and Kogan Divergent Thinking Tasks, Thinking
Institute of Network Cultures; 2007. p. 125–42. Creatively with Action and Movement, and the
Torrance Tests of Creative Thinking Figural and
Verbal (TTCT).
Creative Climate Non-testing Methods
▶ Measuring Organizational Climate for Creativ- An example of a non-testing method is a judgment

ity and Innovation of actual products; Amabile’s Consensual Assess-
ment Technique (Amabile 1982) was developed
by which participants are given basic instructions
and materials for creating a product; thereafter, a
Creative Climate Tests, panel of experts rate the creativity of the products
Creative Attitudes Tests, and created in a variety of domains such as poems,
Creative Thinking Skills Tests stories, research designs, scientific experiments,
artistic products, musical, and other types of
Kyung Hee Kim and Yi Hao creations (Baer and McKool 2009).
The College of William & Mary, Expert evaluations are desirable and
Williamsburg, VA, USA recommended for evaluating creativity when
testing is not used. However, expert evaluations
can also raise certain problems because experts
Synonyms do have blind spots: experts may have a vested
interest in the status quo but may fail to recog-
Creativity tests; Divergent thinking tests; ION nize highly creative individuals and their latent
thinking tests; Outbox thinking tests potentials in one or more domains because of
Creative Climate Tests, Creative Attitudes Tests, and Creative Thinking Skills Tests 399
individuals’ lack of previous or current produc- (a) The resources questions calculate the
tion in the domain of their later success. Addi- amount of time and support which group
tionally, expert evaluations can be costly and members obtain for ideas and the extent of
comparatively hard to access in less developed organizational endorsement for involve-
locations (Cramond 1993). Therefore, the need ment in other activities and ventures.
for reliable and valid creativity tests is (b) The motivation questions gauge to what
apparent. degree the organizational climate displays C
dynamism, trust, and playfulness and how
it encourages constructive conflicts among
Testing Methods: Tests for Creative its members.
Climates (c) The exploration questions measure the
degree to which the organizational climate
Individuals are born with an innate capacity for shows freedom, debate, and risk-taking
creative attitudes and creative thinking skills. among group members.
Under what circumstances one was raised plays 3. Family climate: Family climate is measured
a vital role in expressions of creative attitudes, via biographical inventories that ask about
adding or lessening value of one’s ability to family backgrounds, childhood experiences,
express creatively. Innovation, therefore, does and activities relevant to creative climate. The
not depend on the amount of innate creativity Biographical Inventory Form U was based on
one possesses but more on the climates, which studies of scientists in military research cen-
embody characteristics of the surroundings ters, industrial organizations, and universities
(Kim 2016). (Taylor 1959). The Biographical Inventory
Creative climate tests measure psychological Creativity (BIC) is another instrument devel-
and physical conditions, such as home, school, oped specifically around physical characteris-
workplace, or social and cultural context and tics, family history, educational history, and
relevant biographical backgrounds. Creative cli- leisure-time activities (Schaefer 1967;
mates can be considered in (1) cultural climate, (2) Schaefer and Anastasi 1968).
organization climate, and (3) family climate.
1. Cultural climate: Cultural climate is mea- Testing Methods: Tests for Creative
sured by questionnaires that ask the degree to Attitudes
which individuals believe in certain cultural
norms and standards that are relevant to Creative attitudes are a different concept from
creative cultural climate. For example, Kim’s creative personality: the former is more fluid
Eastern-Western Perspective Scale (EWPS) and covers broader aspects than personalities.
(Kim 2004) to measure the extent of Confucian Creative attitudes come from what’s within indi-
ideals expressed in traditional East Asian cul- viduals but can be influenced and directed inten-
ture indicates a negative relationship between tionally by the individuals’ climates. Creative
traditional thoughts/beliefs and creativity attitudes allow individuals to digest raw materials
scores. undergrounding creative thinking, such as infor-
2. Organizational climate: Questionnaires are mation, knowledge, skills, emotions, and experi-
employed to measure organizational climate. ences, and also serve as a pathway to creative
The Creativity Climate Questionnaire (CCQ) ideas (Kim 2016).
is to assess whether certain group environ- Creative attitude tests include assessment on
ments and atmospheres encourage or discour- creative personality, creative motivation, and
age group members’ creativity and specifically creative interests, based on studies of the person-
about resources, motivation, and exploration alities, attitudes, and behaviors of eminent
(Ekvall et al. 1983). creators.
400 Creative Climate Tests, Creative Attitudes Tests, and Creative Thinking Skills Tests
The Group Inventory for Finding Talent could emerge to lure teachers’ attention. Thus,
(GIFT) was developed to measure individuals’ substance rather than appearance must be valued
creative attitudes and values contributing to crea- in interpreting creativity attitude tests from other
tivity (Rimm 1976). The Group Inventory for reported tests (Kim 2016).
Finding Interests (GIFFI) explores individuals’
creative attitudes and interests (Rimm and
Davis 1979). Testing Methods: Tests for Creative
The Khatena-Torrance Creative Perception Thinking
Inventory (KTCPI) is a self-reported measure
comprised of two subtests (Khatena and Torrance Creative thinking refers to the three distinct cog-
1976a, 1998) of the What Kind of Person Are nitive processes that are necessary for successful
You? (WKPAY) and Something About Myself creativity, ION (inbox, outbox, and newbox)
(SAM): the former consists of five factors of cre- thinking skills. The creative process is a collabo-
ative attitudes, including individuals’ imagina- ration and cooperation between ION thinking:
tion, inquisitiveness, self-confidence, acceptance outbox imagination skills generate original
of authority, and awareness of others; the latter ideas; inbox thinking skills decide whether the
measures individuals’ artistic inclinations, cogni- original ideas are valuable and worth pursuing;
tive abilities, unique characteristics, emotional and newbox synthesis skills translate the worth-
and aesthetic sensitivity, initiatives in creative while ideas into final works and useful products
activities, and ego strengths (Khatena and Tor- (Kim 2016).
rance 1998). Outbox (divergent) imagination tests fall
The Behavioral Characteristics of Superior under the broad umbrella of creative thinking
Students (SRBCSS), a ten-item creativity rating metrics, which allow participants to be free to
scale, is to assess individuals’ creative attitudes list or share ideas in response to open-ended
exhibited in curiosity, emotional and aesthetic questions or stimuli. Guilford’s theories
sensitivity, risk-taking, nonconformity, intellec- (Guilford 1967) espoused and founded several
tual playfulness and humor, fluency, and critical outbox imagination tests and creative thinking
evaluation of stimuli or situations (Renzulli et al. tests, including (1) the Wallach and Kogan
2002). Divergent Thinking Tasks, (2) Thinking Crea-
These examples show that children’s creative tively with Action and Movement, and (3) the
attitudes can be assessed not only by self-reports Torrance Tests of Creative Thinking Verbal and
(e.g., GIFT, GIFFI, and KTCPI) but also by par- Figural and others.
ents, teachers, and others who know the child
(e.g., SRBCSS). However, teachers’ evaluations 1. Wallach and Kogan Divergent Thinking
for children can be tricky sometimes: some Tasks
teachers are not able to identify creative attitudes, The Wallach and Kogan Divergent Think-
personalities, or characteristics in their students ing Tasks feature an un-timed and game-like
because creative students tend to be less likeable; environment for test-takers, aiming to create a
teachers tend to fail to draw the connection more relaxing condition, which reduces the
between creativity and students who seem over- influence of intelligence on the creativity
active, disruptive, or unconventional. Creative scores (Kim 2005). It is a series of five tests:
behaviors may also include thinking or dressing three verbal and two figural tests (Wallach and
oddly, ignoring rules and conventions, asking too Kogan 1965), with a sole scoring focus on
many questions, or performing poorly when not fluency and uniqueness. Fluency exhibits
interested, which are some commonality shared through the total number of ideas listed by
by highly creative individuals such as Steve Jobs test-takers, and uniqueness is measured by the
and Albert Einstein. When creative attitudes are number of ideas that are not given by other test-
prized by teachers, feigned creative attitudes takers in the testing group, meaning the smaller
the sample size, the higher uniqueness scores. associated with threats or fear. The TTCT has
Verbal tests include (Wallach and Kogan been translated into over 35 languages, and it’s
1965): the most widely used and the most researched
(a) Instances test: Ask test-takers to name all creativity test (Kim 2006b, 2007, 2008a,
the round things they can think of. 2011a, b, c; Torrance 2008): TTCT scores
(b) Alternate uses test: Ask test-takers to list as best predict creative achievements among all
many as possible of different ways they measures of creative thinking and divergent C
can use a common object in daily thinking (Kim 2008b), supported by longitudi-
interactions. nal results over 50 years (Runco et al. 2010;
(c) Similarities test: Ask test-takers to find as Torrance 2002).
many commonalities as possible between
two designated objects. Torrance Tests of Creative Thinking
Both figural tests use visual materials (Wal- (TTCT) Verbal. The TTCT Verbal consists of
lach and Kogan 1965) and ask test-takers to list six activities. It has two alternative forms: A and
possible meanings or interpretations of (a) B. The stimulus for each task starts with a picture,
eight abstract visual designs for pattern mean- and test-takers respond in writing to the picture.
ings test and (b) abstract stimuli and ambigu- An ambiguous picture is used for the first three
ous patterns for line meanings test. activities.
2. Thinking Creatively with Action and
Movement (a) Activity 1: Ask test-takers questions about the
Thinking Creatively with Action and given picture.
Movement (TCAM) was developed to mea- (b) Activity 2: Ask test-takers to guess causes of
sure fluency, originality, and imagination in the action in the picture.
children aging from 3 to 8 (Khatena and Tor- (c) Activity 3: Ask test-takers to guess conse-
rance 1976b). It was based on the theory that quences in immediate or long-term about the
kinesthetic modality is more appropriate for picture.
eliciting children’s creativity compared to ver- (d) Activity 4: Ask test-takers to improve or
bal modality. The TCAM is also used for chil- transform a toy to be more fun to play with.
dren with special needs such as emotionally (e) Activity 5: Ask test-takers alternative uses
impaired or deaf children (see Kim 2007 for for a common object.
more details). (f) Activity 6: Ask test-takers to imagine improb-
3. Torrance Tests of Creative Thinking able situations.
(TTCT)
Torrance (1966) designed tests to score Each activity takes roughly between 5 and
responses across Guilford’s four divergent 10 min. Scoring components contain fluency
thinking factors: fluency, flexibility, original- (the number of relevant ideas to pictures), origi-
ity, and elaboration. The TTCT has two nality (the unusualness of the ideas), and flexibil-
versions (see Kim 2006a for more details) of ity (the variety of the ideas).
verbal and figural, generating responses in two Torrance Tests of Creative Thinking
different modalities: written or oral responses (TTCT) Figural. The TTCT Figural also has
for the TTCT Verbal and drawn responses on two alternative forms: A and B. Each form con-
the TTCT Figural. The TTCT can be adminis- sists of three activities: picture construction, pic-
tered to any age and developmental stage ture completion, and repeated figures of lines or
beginning from kindergarten level, and it circles. The TTCT Figural is comprised of five
works with both individual and group settings. norm-referenced measures of fluency, originality,
Torrance (Torrance 1966; Kim 2006a) elaboration, abstractness of titles, and resistance
recommended the creation of a game-like and to premature closure. Hence, test-takers’ scores
fun atmosphere to avoid a testing situation are dependent on the larger norm group than
those from Wallach and Kogan Divergent Think- Innovation often starts by connecting elements
ing Tasks are. of existing ideas because innovation is built on
The TTCT Figural measures creative attitudes, existing knowledge/skills. Four skills of big-
outbox imagination, and newbox systhesis. picture-thinking, boundary-crossing, pattern-
Among the 4S attitudes (Kim 2016), the TTCT finding, and dot-connecting are used for
measures (1) open-minded, (2) emotional, (3) connection:
playful, (4) daydreaming, and (5) nonconforming (a) Big-picture-thinking skill allows one to
attitudes. present information in a larger context or
system rather than the details and thinking
1. The open-minded attitude involves consider- beyond what is seen, which is measured by
ing others’ views that are different from one’s the abstractness of titles subscale.
own, which is measured by the resistance to (b) Boundary-crossing skill pushes one to
premature closure subscale. go beyond a subject, or connect the most
2. The emotional attitude enables recognizing, dramatically different or irrelevant sub-
understanding, and expressing one’s own jects or fields, which is measured by the
feelings, which is measured by the emotional extending/breaking boundaries subscale of
expressiveness subscale of creative the 13 checklists of creative strengths.
strengths. (c) Pattern-finding skill is symbolizing com-
3. Possessing the playful attitude means plex ideas, images, or data without losing
approaching situations in exploratory ways the essence or distorting facts, which is
and staying positive in the face of challenges, measured by both of the synthesis of
which is measured by the humor subscale of lines/circles and the synthesis of incom-
creative strengths. plete figures subscales of creative
4. Having the daydreaming attitude means sus- strengths.
taining unrealistic but goal-oriented thoughts (d) Dot-connecting skill is seeing things as
while awake, which is measured by the fantasy a connected whole instead of many
subscale of creative strengths. unrelated pieces. It is facilitated, first, by
5. The nonconforming attitude refers to choosing metaphorical thinking; second, by nonver-
to differ from the mainstream of thoughts and bal thinking or communication skills such
behavior, which is measured by the extending/ as visualizing; third, by thinking with the
breaking boundaries subscale of creative five senses; and fourth, by thinking with
strengths. the body. It is measured by both of the
colorfulness of imagery and the move-
The TTCT measures outbox imagination skills ment/action subscales of creative
of (1) fluent, (2) flexible, and (3) original think- strengths.
ing, by the fluency subscale, the unusual visuali- 2. Refinement: Connected ideas must be refined
zation subscale, and the originality subscale, into a useful creation by elaboration, enrich-
respectively. ment, and simplification, via skills of (a) per-
The TTCT measures newbox systhesis skills sistent elaboration, (b) imaginative
of (1) connection, (2) refinement, and (3) enrichment, and (c) pursuit of simplicity.
promotion. (a) Persistent-elaboration skill is necessary
to work out the details, explain, expand,
1. Connection: Synthesis is to recombine things enrich, and conclude the lengthy transfor-
and information into a new coherent whole mation stage, which is measured by the
without losing the essence of each part. elaboration subscale.
(b) Imaginative-enrichment skill leads to highlight their strengths and weaknesses for
improvement or magnified uniqueness of potential creative development. Furthermore,
an idea or creation by experimenting unex- these results serve as personal landmarks for
pected variations, which is measured by creative individuals to team up with others with
the richness of imagery subscale of crea- complimentary thinking types for more and bet-
tive strengths. ter collaboration sparkles.
(c) Pursuit-of-simplicity skill is to transform C
complexity into simplicity enabled by a
thorough understanding of the complexity
and remove distracting or unessential ele-
Conclusions and Future Directions
ments to make the essence useful and
There are many ways to assess creative potential
accessible to others, which is measured
including non-testing and testing methods.
by the abstractness of titles subscale.
Creativity tests can measure three different
3. Promotion: The creation must be promoted
requirements of innovation: creative climates,
in the right place at the right time with promo-
attitudes, and thinking skills. Creativity tests
tion skills, which include (a) persuasion, (b)
are often more culturally fair than IQ tests are
naming, and (c) storytelling, in addition to the
(Cramond 1993; Torrance 1971, 1977; Torrance
use of metaphor and nonverbal communication.
and Torrance 1972). Creativity scores can predict
(a) Articulating features and benefits of a cre-
test-takers’ future creative achievements better
ation directly links to promotion so that
than IQs can (Kim 2008b).
the audience can understand, accept, and
A single measure, however, whether testing
desire the creation, which is measured by
or non-testing, may only entail a single façade of
the storytelling articulateness subscale of
creative potential. For more accurate and depend-
creative strengths.
able measurements of creative potential, multiple
(b) Developing a creation’s name or title that is
measures of creativity should be utilized, rather
catchy and attractive paves an easier way
than only one measure (Kim 2006b).
for the audience to remember and share
Early identification of highly creative individ-
with others, which is measured by the
uals is critical, especially in today’s world that
expressiveness of titles subscale.
needs immediate answers to many urgent prob-
(c) Developing a skill to craft and share com-
lems. Creative minds are the world’s greatest trea-
pelling and interesting stories also facili-
sure. They must not be allowed to go to waste, and
tates promotion, which is measured by the
close-mindedness must not stand in the way of
storytelling articulateness subscale of cre-
discovering them.
ative strengths.
The scores on the TTCT Figural and Verbal

are significantly related; yet the figural presents Cross-References
fairer results than the verbal does between differ-
ent genders. The TTCT Figural also shows a ▶ Creative Attitudes: The 4S (Soil, Sun, Storm,
more comprehensive overview of test-takers’ and Space) Attitudes
creative potential compared to other measure- ▶ Creative Climate Tests, Creative Attitudes
ments of creativity: not only do the results pro- Tests, and Creative Thinking Skills Tests
vide them with information of where their own ▶ Creative Climates: Soil, Sun, Storm, and Space
creative thinking skills and creative attitudes Climates
stand in their age and grade groups but also ▶ Decrease in Creativity
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Creative Climates: Soil, Sun, Storm, and Space Climates 405
narrow expertise within a wide range of experi-

Creative Climates: Soil, Sun, ences. The sun climate inspires and encourages
Storm, and Space Climates them to create, which helps creators become
inquisitive visionaries who expand their curiosity
Kyung Hee Kim1 and Robert A. Pierce2 in search of questions, hidden needs, and unique
1
The College of William & Mary, ideas. The storm climate posits high expectations
Williamsburg, VA, USA and challenges, which helps them become C
2
George Mason University, Fairfax, VA, USA courageoous rebels who develop expertise in
their subject of interest and face the unknown.
The space climate gives them the freedom to be
Synonyms alone and unique, which helps them become
comoassionate rebels who can find and use their
Creative culture; Creative environment own uniqueness within their expertise and
develop ideas or creations beyond others’
imagination.
Creative Climates, Attitudes, and Cultivating the 4S climates results in the posi-
Thinking Skills: CATs tive development of the 4S attitudes. The 4S atti-
tudes are characteristics, beliefs, visions, and
Creativity is the process of making something habits of previously successful innovators,
unique and useful, and this process can lead which enable their ION thinking skills. The 4S
to innovation. Today’s rapidly changing world, attitudes enable creators’ ION thinking skills dur-
individuals and a place encounter new circum- ing the creative process. First, creators build the
stances, problems, and opportunities every day, foundation of creative thinking, which is expertise
and individual and organizational successes in their specific subject of interest, for at least
depend on innovation. CATs is a research-based, 10 years, using inbox thinking. Inbox thinking is
comprehensive framework of creativity and narrow and deep (inside the box) to gain knowl-
how it develops into innovation (Kim 2016). It edge and skills. Second, based their expertise,
includes the three steps that lead to innovation: creators generate unique ideas using outbox imag-
first, cultivate the 4S (soil, sun, storm, and space ination. Outbox imagination is quick and broad
climates) Climates; second, nurture the 4S (soil, (outside the box), which pursues nonconforming
sun, storm, and space) Attitudes; and third, apply ideas and enables creators to envision numerous
ION (inbox, outbox, and newbox) Thinking and diverse possibilities. Third, creators make the
skills. unique ideas useful using inbox critical thinking,
Both creative underachievers and successful which selects the most useful ideas by analyzing
creators are shaped by their climates. The 4S and evaluating the ideas. Finally, creators connect
climates include interpersonal relationships, the ideas and refine them into a creation, which
developmental environments and processes, and they promote, using newbox synthesis skills, so
atmospheres and practices, which provide crea- that it can be recognized as innovation by society.
tors with the nourishment and support to reach
their maximum potential. The 4S climates are
similar to the type of environments that make How to Cultivate the Soil Climate
plants grow strong and productive: diverse soil,
bright sun, healthy storms, and free space. For When gardening, plants require space, sunshine,
creativity to flourish, these 4S climates are wind, and soil to grow. Diverse soil is vital as it
needed. The soil climate provides creators with provides nutrients for the plants to grow. The soil
diverse resources and experiences, which allows can be characterized by its location, hardness,
them to become complex cross-pollinators by porosity, salinity, and nutrient content. A place
maximizing their strengths and developing focusing only on profits frustrates creators by
406 Creative Climates: Soil, Sun, Storm, and Space Climates
insufficient resources and limit creative initia- backgrounds. This emits feelings of openness
tives. A place cultivating the soil climate recog- and nonconformity where all walks of life feel
nizes creators’ potential as its most valuable welcome, which enable them to use diverse per-
asset and strengthens it by investing sufficient spectives or ideas to their advantage to develop a
resources and services to empower them. It new product or service.
provides creators with a wide range of exposure
and access to all kinds of opportunities and Nurture Creators’ Bicultural Attitude by
resources including people, knowledge, and Encouraging Them to Embrace Others’
views, not just financial resources. It nurtures Cultures While Strengthening Their Own
creators’ open-minded, bicultural, mentored, Cultural Identities
complexity-seeking, and resourceful attitudes. A place nurturing creators’ bicultural attitude is
This results in resourceful cross-pollinators like cultural a salad bowl that mixes creators’
who maximize all kinds of diverse resources and firm cultural identities, instead of a melting pot
then find their specific subject of curiosity, pref- where creators lose own identities to conforming
erence, or interest (CPI) and develop expertise to the majority. The place encourages creators
on it. Cross-pollination is sharing, adapting, and to strengthen their own cultural identity by
building on each other’s diverse expertise across sharing their experiences and traditions with
subjects and/or fields. It illustrates how unique others. It supports multicultural workforces and
and useful connections, combinations, and syn- multicultural approaches to problem-solving
theses occur in a real world. For example, when by giving creators opportunities for exploring,
experts in two different subjects or fields drink experiencing, appreciating other cultures; promot-
a cup of tea together, they happen to share ing their inter-cultural dialogue to enhance deep
and combine ideas, which lead to a unique and understanding; and improving their multicultural
useful idea. Cross-pollination includes formal communication skills, including foreign language
and informal face-to-face interactions, network- skills and skills for living in diverse cultures. It
ing, sound boarding (good listening and offering also encourages creators to get involved in activ-
feedback), collaboration, and collaborative or ities that challenge racism, sexism, and other
mild competition. forms of prejudice.
Nurture Creators’ Open-Minded Attitude by Nurture Creators’ Mentored Attitude by

Providing Diverse Environments Welcoming Fostering Their Openness to Be Taught by
Outsiders Others for Developing Their Expertise
A place nurturing creators’ open-minded attitude A place nurturing creators’ mentored attitude
encourages them to be open to different ideas supports their CPI by recognizing their excite-
by introducing them to intellectually diverse and ments, likes, beliefs, values, hobbies, and
unusual activities and experiences. It celebrates people who they admire. It promotes mentorship
all kinds of diversity including different ideas, for creators in which mentors assess mentees’
languages, lifestyles, sexual orientation, religions, strengths and weaknesses to set their goals
and nationalities by decorating creators’ surround- and guide their career paths for the goals.
ings with diversity-representing objects and The place promotes creators’ openness to be
encouraging them to visit places where diversity taught including their continuous learning and
is celebrated such as live performances, open self-education, trust others, and practice self-dis-
markets, and ethnic or seasonal festivals. It also closure. It also promotes mentorship in which
encourages them to learn or do something that mentors intellectually and psychologically sup-
would not normally peak their interest; go to port mentees; advance mentees’ expertise
unfamiliar events, places, or movies showing with both positive and negative feedbacks; moti-
different ways people interact; or befriend people vate mentees to embrace new opportunities,
with dramatically different interests and to discover their own uniqueness, and to take
intellectual risks; and defy the crowd to use their growing from each other’s inspirations and pas-
uniqueness for a creation. sions. The place nurturing creators’ resourceful
attitude encourages them to develop expertise in
Nurture Creators’ Complexity-Seeking their own CPI first and then magnify their
Attitude by Reducing Their Oversimplifying strengths by cross-pollinating, rather than try to
Thoughts and Hierarchical Relationships improve their weaknesses. The place encourages
A place nurturing creators’ complexity-seeking creators to get involved in teamwork situations in C
attitude empowers chaotic and noisy interactions formal structures and/or informal arrangements.
where creators differ from or disagree with It also encourages them to give honest compli-
each other’s values, interests, and views. The ments by finding the best in others and acknowl-
place encourages creators to debate, disagree, edge others’ views and values, even when they
and challenge one another in a respectful and disagree, and teaches them respectful questioning
constructive manner yet in a nonhierarchical rela- and attentive listening skills such as letting others
tionship. Some degree of hierarchy invariably finish their sentence or listening without second-
exists in an organization, and its soil climate guessing or countering them. In contrast, an anti-
helps it aware limitations of hierarchy on creators’ creative place makes creators guard their plans
complexity-seeking attitude. A place nurturing and ideas with suspicion and not cross-pollinate,
complexity-seeking attitude promotes active which results in losing their true passion by focus-
arguments and questions that ask “how” rather ing on their defensive or competitive and
than those requires answers like “yes” or “no.” unproductive mental games.
It encourages creators to think in shades of gray,
instead of simple dualism like black-or-white,
right-or-wrong, and good-or-bad, and it discour- How to Cultivate the Sun Climate
ages them from oversimplifying situations or
thinking in absolutes like “always” or “never,” Once plants are rooted in diverse soil, they need
“all” or “nothing,” and “everyone” or “no one.” the bright sun to provide warmth and light for
growth. Likewise, once creators are in the diverse
Nurture Creators’ Resourceful Attitude by soil climate, they need sunbeam-like inspiration
Supporting Obtaining and Growing and warm encouragement so that they become
Resources and Cross-pollinating With Others hooked by someone or something and motivated
A place nurturing creators’ resourceful attitude to expand curiosity. A place cultivating the sun
promotes efficiency by helping them organize, climate provides creators with emotional safety
make plans in advance, and use time wisely. for unusual, challenging, foreign, or even outland-
It teaches them to maintain a balance between ish ideas and considers and validates all ideas by
the time they spend alone (in the space climate) remaining open and without judgment, which
and time with others (in the soil climate). It allows the ideas time to percolate. The place relies
also teaches creators to be flexible; how to search, relationships for both personal and task support
access, obtain, and grow new resources, instead by showing interest and making investments
of using what is only available; and how to in creators’ personal lives, which makes them
maintain and grow relationships. The place pro- feel completely accepted. The place fosters small
motes cross-pollination and sharing ideas and groups that display encouragement and support
resources among people, departments, networks, for trying out new ideas, where they take care of
disciplines, or cultures. Cross-pollination is most each other and keep and display their true identi-
effective when creators get together and under- ties and individualities and they open up and feel
stand each other’s work but have different exper- comfortable discussing their questions, concerns,
tise and backgrounds. This enables them to add or problems. In contrast, large group sizes force
or improve their ideas or creations by bouncing decision-making and record keeping to slow
ideas off each other; gaining insight from; and down, focusing on doing things correctly, and
members feel anonymous and receive less warmth their expertise in ways that benefit others, instead
and support but more stress, leading them to share of being success-driven. Their clear sense of pur-
less. The sun climate nurtures their sun optimistic, pose buoys their passion and energy and helps
big-picture thinking, curious, spontaneous, play- them persevere even when their path is uncertain.
ful, and energetic attitudes. The sun climate even- The place shows vested interests in creators’
tually nurtures curious optimists who are inspired personal passion so that they feel personally
to spontaneously and playfully find new possi- connected to the place, and it works with them to
bilities and opportunities and passionately pursue find how to apply their passion to benefiting
them. others. The place maintains or intensifies creators’
passion by encouraging them to discuss their
Nurture Creators’ Optimistic Attitude by habits and plans to achieve their goal or ambition
Increasing Their Positivity and Kindness and and to share related reading materials and benefi-
Reducing Negativity and Cynical cial hobbies. The place also provides creators with
Entertainment role models, idols, or heroes whom they can emu-
A place nurturing creators’ optimistic attitude late by inviting inspirational people to speak about
promotes maximum positivity and eliminates neg- the hurdles that they’ve overcome. Creators’
ativity by emphasizing little snapshots of kindness knowledge about the inspirational figure’s chal-
in the world; hosting events or programs that sup- lenges, failures, and triumphs motivate and ener-
port positive well-being including laughter; gize them and help them discover what they want
supporting their efforts toward goals and realistic to create, like a sunbeam that helps an eagle cut
attitudes toward setbacks; and discouraging media through the fog to guide it home, and focus on
and pessimistic entertainment that foster negativity. future potential, instead of what has gone on in the
Creators’ optimistic attitude drives them to contin- past. Finally, the place inspires creators’ develop-
uously expect and work toward the best possible ing ideas and creators by thinking in distant (prob-
outcomes; approach opportunities with flexible lems or ideas far away from them), futuristic
thinking by conditioning them to view mistakes (problems or ideas far away from the present),
and failures as educational experiences; remain and imaginative (problems or ideas far away
positive, hold their heads high, and imagine a from the reality) ways, which enables their
brighter future, even when they are wrong or face abstract reasoning, outbox thinking, and newbox
failures; and learn from their negative experiences thinking.
by improving and eventually succeeding.
Nurture Creators’ Curious Attitude by
Nurture Creators’ Big-Picture Thinking Supporting Their Questions and Further
Attitude by Inspiring Their Big Visions Inquiries Through Reading and Ongoing
An anti-creative place controls or intimidates Self-education
creators to get the job done in hierarchical rela- A place nurturing creators’ curious attitude pro-
tionships. But a place nurturing creators’ big-pic- vides them with warmth and optimistic world-
ture thinking attitude enthusiastically inspires views, which are sources of their curiosity, by
them to accomplish it. It promotes creators’ com- encouraging them to ask questions actively, with
mitment by articulating its shared, achievable a beginner’s mind, and sparking questions that
vision so that they believe and trust their vision breed more curiosity. The place emphasizes that
and unite with one another to achieve the common no one has all answers and that powerful answers
goal rather than compete for individual recogni- are found in the questions. It stimulates them to
tion. It inspires creators’ ambition and their purpose new questions of “why,” “what if,” and “why
suit of a bigger purpose, value, or mission, beyond not” to themselves and others and to keep asking
immediate rewards or narrow self-serving inter- questions even when they think they know every-
ests or goals and also inspires them to offer thing they need to know. The place does not rush
creators to make conclusions but moves them for- viewed as important factors for them to learn and
ward to make progress and teaches them search create – and an all-around good life practice. It
skills to find better answers. It supports creators’ also promotes laughter rather than formality, and
excitement by the simplest wonder, which laughter is a lubricant for comfort, sociability, and
broadens their perspectives and helps them take happiness. The place emphasizes that creative
risks to explore the unknown. Because curiosity expressions start with imperfect results and helps
promotes more curiosity and reading is a central creators laugh at mistakes and setbacks. It also C
activity to satisfy creators’ curiosity, the place fos- resists the work-play dichotomy and makes
ters the culture of reading by sharing what each one humor and lightheartedness an intrinsic part of
has read and feeding one another’s ongoing thirst the working process. It encourages creators to
for more knowledge. The place stresses the impor- play with their tasks and incorporate humor and
tance of lifelong learning for personal and career playful elements in their project or presentation.
development yet stresses more love of learning, The place might throw a costume party for crea-
rather than formal schooling. The place invests in tors to look like their favorite animal, idol, super-
creators’ ongoing education and ties their educa- hero, food, or literary character. It supports
tional opportunities to their personal interests and creators to work in a professional but relaxed
passions. It supports their own self-education and atmosphere; they laugh and joke easily with each
self-training in their passions and goals, including other and have fun while doing thorough, prompt,
things that seem completely unrelated. and unique work.
Nurture Creators’ Spontaneous Attitude by Nurture Creators’ Energetic Attitude by

Promoting Unpredictable and Sharing and Celebrating Passions and
Improvisational Changes and Behaviors Aspirations
A place nurturing creators’ spontaneous attitude In an anti-creative place, creators do not share
fosters warm and optimistic atmosphere while ideas, passions, or goals, and their primary goal
giving them a general structure so that creators is to achieve by following orders or to please
spontaneously follow their curiosity. This helps authority figures. The place resists new ideas or
them generate unique ideas because overplanning approaches and makes creators extremely cau-
can stifle their curiosity and unique ideas often tious, which extinguish innovation. By con-
serendipitously emerge. The place supports crea- trast, a place nurturing creators’ energetic
tors to trust their gut feelings and act on their attitude is free and celebrates creators’ passions
thoughts or ideas and try or improvise. It encour- and goals, which fuels their own and others’
ages them to make unpredictable and improvisa- enthusiasm and cooperation. It is where they
tional changes to their daily routines, especially if find joy and meaning in their work and share
the repetitive behaviors limit their interest or curi- the joys of their small creative accomplish-
osity. It also encourages them to do improvisa- ments and the enthusiasm about others’
tional approaches that lead to exciting stories, by achievements. The place acts as an agent of
starting small and slow, and to continuously change by stimulating creators’ high energy
experiment with new ways of doing something and empowering their initiatives. It encourages
to surprise others at the outcome while being creators’ healthy lifestyles including mental
sensitive to others’ needs. and physical health. It also encourages them to
focus their energy by concentrating on a project
Nurture Creators’ Playful Attitude by in a deliberate and persistent manner and
Fostering Relaxed Atmosphere and Making avoiding multitasking or scattering among
Work Fun many tasks. The place further fuels creators’
A place nurturing creators’ playful attitude fosters high energy by providing them with inspira-
environments where fun and playfulness are tional figures and events.
How to Cultivate the Storm Climate own ways, means, and styles of accomplishing
their goals, instead of depending on or following
Plants need the sun in order to flourish, but too others’ orders or directions. This sends them the
much of it in the absence of storms damages their message of trust and gives them the ownership for
buds, blossoms, or young fruits. Similarly, crea- the consequences.
tors need the bright sun climate before they are
exposed to the storm climate, but the storm is just Nurture Creators’ Self-disciplined Attitude by
as critical because too much sun turns them into Promoting Delayed Gratification to Invest in
frustrated dreamers. Fierce storms are vital for Long-Term Goals
providing water, thinning weak plants, and intro- A place nurturing creators’ self-disciplined atti-
ducing genetic variety that helps strong plants tude inspires clear visions, not fears, in them and
survive even greater adversity. The storm climate clarifies shared visions so that they are clearly
encourages creators to meet high expectations aware of how their interests are aligned with the
while dealing with challenges and setbacks, visions. This gives them strong reasons to be
which directly impacts the storm attitudes that active and proactive, rather than passive or reac-
they develop. The eight storm attitudes include tive. It motivates them to go the extra mile to
independent, self-disciplined, diligent, self-effica- further the visions, and they see their effort having
cious, resilient, risk-taking, persistent, and uncer- an effect on the visions. The place sets limitations
tainty-accepting attitudes. In the storm climate, and promotes delayed gratification to invest in
creators develop expertise in a subject, which long-term goals such as ethics, principles, ideals,
turns their curiosity or interest into a passion. and purposes. It emphasizes big-picture emotions
Only after they are truly good at something can like hope and pride that motivate long-term goals.
it become a passion; mastery is essential It motivates them to make their own luck by
to passion. A place cultivating the storm climate becoming the right person ahead of time. The
motivates creators to develop mastery by place encourages creators to remove distractions
supporting their independence and purposeful and addictions and develop their strengths for and
work. It does not protect them from every storm, focus on their goals. It is proactive and promotes
unlike “helicopter parents” overprotect their chil- logical discussions about important issues before
dren. Instead, the place gives creators brutally they arise. The place includes creators in decision-
honest negative feedback and nurtures hard and rule-making processes and guides them with
workers who embody the strengths and resilience thoughtful flexibility, giving them choices or
to overcome challenges and who are willing to options and discussions or questions, instead of
take risks and transform their expertise into a relying on rigid rules.
creation.
Nurture Creators’ Diligent and Self-efficacious
Nurture Creators’ Independent Attitude by Attitudes by Setting Clear, High Goals
Supporting Their Own Goals and Own Ways to A place nurturing creators’ diligent and self-effi-
Achieve Them cacious attitudes instills high expectations with
A place nurturing creators’ independent attitude clear directions for any tasks. The place encour-
reduces bureaucracy and promotes smaller ages creators to partake in the goal setting process
groups, which are more flexible. It also uses gen- (short-term, intermediate-term, and long-term
eral structure and organization; too little structure goals) and to display writings or photos of their
or organization wastes creative potential, but too goals and visualize achieving them. It also encour-
much structure or organization limits indepen- ages them to use timelines to self-monitor their
dence, risk taking, and creativity development. progress for their goals; to share their goals with
The place motivates creators to set and work others; and to ask others to check their progress.
toward their own goals; obtain resources own The place helps creators accurately assess their
their own, make own decisions; and develop strengths and weaknesses so that they can find
what endeavors to pursue and what difficulty never develop their skills to achieve innovation.
levels to start at. It also instills creators’ focus by Especially those with Type-T (Thrill-seeking) per-
teaching organization, time management, and pri- sonality need to be channeled into responsible
oritizing skills, and it provides sufficient resources risk-taking behaviors, and if they are denied
for them to develop such skills. The place helps these opportunities, they grow bored and dissatis-
creators understand that they already possess fied. A place nurturing creators’ risk-taking atti-
everything they need to succeed and concentrate tude helps them discover and express their C
their energy on things they can directly influence. creativity in a playful atmosphere without threats
This helps them develop true self-confidence and of immediate evaluation or final products. Yet, the
subsequent expertise on their specific strength. place is not afraid to put them into situations
where they are likely to fail. It removes red
Nurture Creators’ Resilient Attitude by tape; challenges them to go outside their
Providing Brutally Honest Feedback comfort zones; and encourages them to stand up
A place nurturing creators’ resilient attitude is for others. It discourages creators’ perfection and
unafraid to deliver negative feedback and does encourages them to jump on opportunities. It also
not treat creators as if they are too fragile. It discourages their inaction and indecisiveness
gives feedback on their weaknesses, mistakes, and encourages their action and those who are
and failures and not just on their strengths and unafraid to make a mistake or fail. The place
successes. The place gives them brutally honest helps creators recognize potential challenges,
but constructive feedback and teaches them how threats, and limitations; take the necessary steps
to accept and respond to critiques. It gives positive to manage them by planning in advance; outline
feedback to encourage their effort when creators ways they can mitigate the failure; prioritize what
start developing expertise. It gives negative feed- needs to be accomplished; be confident with
back after they develop expertise and commit- their plans; lead the search for new or potential
ment. This makes goals clear for creators; solutions; and apply the lessons they learn from it.
improves their specific skills; stimulates their
own ideas for improvement; helps them make Nurture Creators’ Persistent Attitude by
greater progress toward goals; and helps them Gradually Increasing Challenges and
set their own goals based on the feedback. Reinforcing Efforts
By giving consistent, deficit-specific feedback, A place nurturing creators’ persistent attitude
brutally honest advice, ruthless objections, and gives easy tasks or those that involve low-risk
ferocious criticisms, the place calibrates creators’ first and then gradually proceed to challenging
perception of reality; elicits their own ideas about ones. It also gradually increases the duration and
how the deficits can be resolved; nurtures their intensity of the tasks by breaking them into
pride in developing strengths and expertise; gives smaller, easier pieces, which helps them gain
them the tools they need to deal with setbacks skills and confidence by completing each of the
and failures; and prepares them for the tensions pieces, instead of tackling it all at once. The place
and isolation during their lengthy and bumpy cre- encourages creators to switch between two tasks,
ative process. The place also teaches creators not instead of quitting or getting distracted by net-
to fear failure and to use it as a motivator, so they surfing or chatting, and to examine the reasons
feel free to fail, to learn from their mistakes and that led to failure and try different ways, instead of
errors, and to get up on their own and try again. just doing the same thing again and expecting
different results. Accomplishing tasks that crea-
Nurture Creators’ Risk-Taking Attitude by tors originally thought they could not do rein-
Supporting Their Action and Willingness to forces their belief that they are physically and
Fail mentally able to do something. The place encour-
If a place exerts too much control over creators ages creators to turn disadvantages into advan-
to reduce the risk of their failure, they will tages by stepping back from the situation and
objectively looking at their errors and/or mistakes; directly impacts the space attitudes that they
and to use mistakes and/or failures positively for develop. The eight space attitudes include emo-
different purposes or better results. tional, compassionate, self-reflective, autonomous,
daydreaming, nonconforming, gender-bias-free,
Nurture Creators’ Uncertainty-Accepting and defiant attitudes. The space climate eventually
Attitude by Celebrating Changes and nurtures defiant dreamers who do not conform
Preparing for the Unknown to the status quo; achieve beyond what others can
A place nurturing creators’ uncertainty-accepting see; and transform their expertise into a unique
attitude encourages them to be excited about creation.
changes; prepares them for the unknown;
and helps them adapt to new situations and expe- Nurture Creators’ Emotional Attitude by
riences. It encourages them to attend events Encouraging Self-exploration and Self-
where all attendees are strangers; to experience expression of Their Emotions
unpredictability by traveling to new places; to Emotions influence creativity more than cognition
promote vague assignments/questions that don’t and allow creators to go further in generating
have a clear answer; to promote open-ended prob- unique ideas or products. A place nurturing crea-
lems and real-life questions that have multiple tors’ emotional attitude provides creators with
answers or no solution; and to welcome different room and time to recognize, understand, express,
ideas and ways of thinking. The place helps crea- and accept their emotions. It also helps them con-
tors believe in something greater and leave impor- trol emotional outbursts by developing skills to
tant questions unanswered and looming, which articulate their emotions verbally, artistically,
enables their ambiguity-embracement and bold and other ways. The place promotes freedom of
initiatives even in the face of great doubt and expression, encouraging creators to display both
risk. The place encourages them to consider all positive and negative feelings; communicate neg-
answers as incomplete or insufficient. The place ative feelings in positive ways: calmly explain
also teaches them that rules can have exceptions; how they feel when they are upset by writing
that some rules apply to different people at down, drawing, or making songs or body move-
different times and/or situations; and that they ment about situations that sparked emotion; and
should respect the rules but respectfully question find its origin and recognize their strengths and
them. limitations. The place encourages creators not to
want to feel loved by everyone and promotes
multiple different types their self-exploration and
How to Cultivate the Space Climate self-expression, rather than organization, clean
environments, or perfect results, and unorthodox
After plants are rooted in diverse soil, get bright or intense expressions of emotionality.
sun, and become strong by overcoming fierce
storms, they need their own free space – room Nurture Creators’ Compassionate Attitude by
and time – for them to grow. Similarly, after Helping Them Understand Others and Others’
diverse experiences, warm encouragement, and Needs
overcoming challenges, creators need their own Empathy is experiencing others’ emotions
space to be and find themselves. The fierce storm by imagining their perspective and situation.
climate is necessary, but too much of it in the Compassion goes further by taking action to
absence of the space climate creates boring tech- ensure positive outcomes. Compassion is exter-
nicians who don’t have their own unique skills. nally expressing internal empathy. A place nurtur-
The space climate provides creators with freedom ing creators’ compassionate attitude encourages
to be alone and unique and encourages them creators to be sensitive and self-reflective of their
to think differently and be their own unique own and others’ emotions and to consider and
selves for their aspirations and dreams, which understand others’ viewpoints, feelings, attitudes,
and motives through exercises like role-reversal them; and learn from and respect nature. It also
or role-play. It also motivates them to learn about encourages them to regularly visit rural areas;
others and recognize when others do something explore outdoors; and be connected to nature.
that’s worthy of recognition and promotion. It also
teaches communication and cooperation skills, Nurture Creators’ Autonomous Attitude by
and considering and incorporating others’ view- Creating Trusting and Trustworthy Climate for
points in their actions. The place actively partners Supporting Their Differences and Long-Term C
with local charities and community entities and Outcomes
promotes creators’ involvement with them. It also In an anti-space climate, every minute is sched-
promotes the discussions of tragedies in national uled, making it impossible for individuals to
and world history that were caused from insensi- think outside of directions and planned routines.
tivity, cruelty, prejudice, ethnocentrism, xenopho- A place nurturing creators’ autonomous attitude
bia, and racism, and the plans how to reduce such supports differences in creators. The place allows
tragedies. The place also encourages creators them to choose topics, schedules and routines, or
to expand their imaginations and extend their delivery modes for presentations of final products
empathy not only to other people but also to and to show and discuss their creation with others.
objects and events, such as nature, animals, The place is flexible; does not try to make them
things, and causes. take on others’ dreams; and encourages them to
find their own curiosity or interest and pursue it
Nurture Creators’ Self-reflective Attitude by by self-exploration and self-expression. With
Providing Space and Time for Deep Thoughts observation and respect for creators’ autonomy,
An anti-space climate overfeeds creators with the place allows them the time and space to under-
stimulating activities but denies them the time to stand their own skills and talents, strengths and
be alone and think – to digest and process what weaknesses, likes and dislikes, habits, biases,
they’ve experienced. In contrast, a place nurturing expectations, fears, and prejudices. It also demon-
self-reflective attitude supports creators’ slow and strates patience that allows them the time to find
deep self-reflection in solitude by avoiding dis- and express their thoughts and voice opinions,
tractions, controlling the electronics and noise explore new ideas and alternatives, think things
around them, and discouraging their multitasking. through, elaborate and refine new ideas, and dis-
The place helps creators spend time thinking and cuss and test suggestions. It also allows healthy
entertaining themselves by pondering, writing, breaks and rests to digest and incubate all
reading, building, or making something. It also the alternatives and help connect information.
promotes the long-term value of time and encour- The place also allows creators to construct their
agement for self-reflection and encourages them own specific structure by giving a task with a
to spend a period of time each day or week general structure, not a specific structure. It also
for their self-reflection, away from pressing promotes open communication and patient listen-
responsibilities. It encourages them to think ing skills to support, not control or closely moni-
about what happened on the day or in the week; tor, their expressions of ideas. The place creates an
remember beautiful things they have heard, seen, atmosphere of safety and leads creators to freely
read, said, or done; and spend time focusing on share information. It also promotes emotional sen-
one event and thinking how they feel about it sitivity and respect for others and creates oppor-
and why, letting go of negative feelings they tunities bonding among them through shared
hold, and writing down three things they’re grate- experiences and expectations. The place promotes
ful for. The place also teaches creators relaxation a deep sense of trust among creators by demon-
and anti-stress techniques and to be kind to them- strating commitment to their long-term outcomes
selves by sharing responsibility with others. It and giving credit where it is due based on fairness
also promotes natural settings where creators can and consistency. Its trusting climate allows crea-
smell wild flowers; admire the world around tors to trust their own potential in a long term so
that they don’t feel rushed into producing quick that don’t conform to society’s expectations and
outcomes; to play with ideas; to daydream; and their resisting societal pressures when their
to motivate to make a difference. expression of creativity runs counter to societal
norms. It also encourages them to be comfortable
Nurture Creators’ Daydreaming Attitude by with marginality and being an outsider and to
Encouraging Futuristic and Imaginative think dramatically different than their contempo-
Thoughts raries and peers. The place encourages creators to
A place nurturing daydreaming attitude encour- spend time being an observer without joining the
ages creators to physically and wildly play and group, just remaining an outsider, and discour-
actively interact with others or objects in new ages them from trying to be mainstream in their
scenarios (not passive activities like watching sexuality, profession, language, religion, life-
TV). The place promotes playing with wild and style, or diet. Instead, it encourages them to be
crazy ideas or approaching problems in fanciful unconventional and intellectual minorities and to
ways; imaginative word games like listing all join groups that are unfamiliar. The place pro-
imaginative ways to use common objects; and motes different ideas or behaviors like coloring
imaginative story-making and storytelling like outside the lines, having a backward day by
playing with improbabilities and abandoning log- doing things in reverse order, or valuing things
ical thoughts. It also promotes using dreams to that others throw away. It also motivates them to
think of what-ifs, hows, and whys; imaginative find their uniqueness by naming a favorite thing,
folklore like collecting and modifying myths person, animal, color, number, hobby, song,
or legends; and changing events around in books motto, or philosophy by which they live; and
or movies or adding in characters they made up or looking at the answers and themes and descrip-
from different books. It also promotes drawing tors of themselves to find how they’re different
or painting things that don’t exist; creating puppet from others and doing more of those things. The
shows; and playing make-believe or doing role- place encourages creators to find a like-minded
play like acting out dramatic plays. The place friend or an intellectual stimulator who can
promotes uniqueness of creations by motivating understand them; to view their imagination and
creators’ futuristic thoughts such as projecting individuality as strengths; and to turn their pas-
themselves into new worlds, different times, and sion and goals into unique future creations
improbable situations that explore or stimulate together.
fantasy and unique expressions; and seeing mir-
rors, pictures, TVs, or computer screens as gate- Nurture Creators’ Gender-Bias-Free Attitude
ways to the future. It also encourages them not to by Utilizing Strengths from All Genders
accept what they read or see as complete; to iden- A place nurturing creators’ gender-bias-free atti-
tify gaps in knowledge; to ask futuristic questions; tude rejects gender-biased roles, expectations, and
and to work on future scenarios in which stereotypes and encourages creators’ gender-bias-
they can identify underlying future problems and free interests. The place supports creators’ finding
solve them. their own comfort level regarding the gender and
sexuality spectrum and pursuing future dreams
Nurture Creators’ Nonconforming Attitude by regardless of their gender. The place allows them
Welcoming Disagreement and Misfits to make personal choices as if they were the other
A place nurturing creators’ nonconforming gender and not to live up to gender expectations.
attitude promotes two-way communication – It also encourages them to incorporate the oppo-
not only giving but also receiving feedback – site gender’s strength and learn from both males
that’s open, expressive, and logical. It also lets and females. The place promotes connecting
creators disagree and listens to their arguments. opposite characteristics, such as connecting tradi-
The place supports creators’ personal choices tional femininity with traditional masculinity, and
connecting artistic creators with their scientific them to ask others for help; to express their
hobbies. needs and/or desires; to challenge the beliefs
of stereotypes about the world; and to break
Nurture Creators’ Defiant Attitude by stereotypes.
Empowering Them to Change Norms and The space climate’s nonconformity and defi-
Rules ance, however, must balance with the storm cli-
In an anti-space climate, creators work within mate’s conformity and self-discipline. The space C
strict confines and rigid roles, following authori- and storm climates motivate creators’ productive
tarian patterns; communication is seen as a way of defiance, standing alone against the crowd or
maintaining hierarchical harmony; and the right to expectations but respecting others’ opinions and
speak and express creators’ opinion is governed learning the skills to compromise and negotiate or
by the hierarchy and power. The climate does not working with someone who has such skills. These
allow a room to freely and equally exchange climates encourage them to appreciate their
ideas, and creators are dependent on their author- strengths but to observe what they like in others’
itative figures like robots or zombies with no work, to constantly assess their own work to
passion or energy. They are cautious and hesitant, make it better, and to find their own style and
and fear making mistakes and taking risks, which evolving it over time.
keeps them silent and unwilling to try something
new. They socialize themselves to be psycholog-
ically dependent on belonging; contain their feel- Conclusions and Future Directions
ings to avoid conflicts and conform; avoid
standing out from the crowd not to appear differ- CATs shed light on the needs for changes in the
ent from others; and restrain themselves to main- way that the 4S climates to nurture creators’ 4S
tain group harmony. However, emphasis on attitudes so that they can apply ION thinking skills
hierarchy, rules, traditions, conformity, and uni- to achieve innovation. CATs can help academic
formity conflict with individuality, novelty, and achievers become innovators; help adults improve
creativity. their own creativity by finding and growing an
A place nurturing creators’ defiant attitude interest and turning it into a passion; and help a
supports creators’ resistance against inconsis- place be more capable of producing unique and
tent or unjust rules, norms, traditions, or hier- useful ideas, services, or products (Kim 2016).
archy. It also supports their challenging the
status quo or socially desirable behaviors to
achieve beyond what others can see. The place
encourages creators to ask questions about Cross-References
widely accepted knowledge; not automatically
accept rules, authorities, or paradigms; and ▶ Creative Attitudes: The 4S (Soil, Sun, Storm,
challenge them by asking why. The place moti- and Space) Attitudes
vates creators’ uniqueness and assertiveness ▶ Creative Climate Tests, Creative Attitudes
with their original ideas; be willing to do their Tests, and Creative Thinking Skills Tests
own thing for their own reasons; and not let ▶ Creative Thinking Skills: Inbox, Outbox, and
others tell them what to do. This starts with Newbox (ION) Thinking Skills
finding something small to firmly and politely
say “no” to or to create an opposite argument to
one of their strong personal beliefs and present References
it to an audience. The place encourages creators Kim KH. The creativity challenge: how we can recapture
to respectfully challenge others’ opinions and American innovation. Amherst, New York: Prometheus
responsibly break the rules. It also encourages Books; 2016.
416 Creative Clusters
ideas from deep in the unconscious such as writ-

Creative Clusters ing novels, poetry, art, or symphonic score.
For more significant projects, including those
▶ Creative Industries that arise from issues in our increasingly complex
world and hypercompetitive business environ-
ments, the creative ideas and execution would
demand a pool of talented people. The notion of
Creative Collaboration the lone genius, such as Steve Jobs or Thomas
Edison, is partly a myth because creative geniuses
Titus Yong depend on many other people in the team or
National University of Singapore, external organizations to bring their visions into
Singapore, Singapore fruition. Many significant discoveries that won
Nobel Prizes increasingly have been the result of
collaboration or sharing of information among
Synonyms two or more individuals. A case in point is the
discovery of the DNA – this is the result of a
Co-creation; Collaborative creativity; Group creative collaboration between a physicist Francis
genius; Innovative teamwork Crick and a biochemist James Watson; they relied
on data from Rosalind Franklin and the consid-
ered the ideas of Maurice Wilkins and Linus
Introduction Pauling.
A Northwestern University team of
Creative collaboration happens when a creative researchers, after having analyzed millions of
process is undertaken by two or more individuals, academic papers and patents from the past five
teams, entities, or organizations for a project or decades, found that the average team size has
challenge of common concern. Typically, the pro- increased by 20% each decade, and levels of
ject is too challenging to be undertaken alone; and teamwork have increased in over 95% of scientific
if done satisfactorily, the outcome is would be subfields (Wuchty et al. 2007). “Home-run
both novel and useful. Members can collaborate papers” – publications with over 100 citations –
either physically or remotely through electronic are 6 times more likely to be the result of creative
(online creative collaboration) or other means at collaboration of teams of scientists than the
all or different phases of the project. solo author. As research questions become
This entry explores the various conditions for increasingly more complex, and researchers and
creative collaboration to thrive. In social science experts become more specialized due to the limit
research, instead of relying on generalizations, the a mind can handle, this leads to a natural need
more useful approach is to study the conditions for collaboration – and more cross-disciplinary
upon which a desired outcome (typically a prod- explorations.
uct, service, process, solution, etc.) would likely
happen.
There have been debates surrounding the ques- The Process of Creative Collaboration
tion on whether creative individuals or groups are
more optimal for generating creativity. Judging The process of group creativity can be categorized
from historical outputs or successful outcomes, into four stages:
the creative tasks that lend well to being under-
taken by individuals include tasks that require 1. Identifying and clarifying the project/problem.
organizing and expressing ideas that are partially This involves scanning the external and internal
formed in one’s mind or those that involve the environment for problems and opportunities.
Creative Collaboration 417
The leadership needs to set the desired results his/her viewpoints, thereby stimulating more
clear for the group. ideas (fluency).
2. Creating the ideas (ideation), which involves The exposure to unfamiliar perspectives and dis-
generating and assessing the different ways cussions around initially disjointed ideas can lead to
to circumvent the problems and exploit the idea flexibility. This phenomenon is termed “break-
opportunities. This is typically perceived to ing set” – instead of going down familiar cognitive
be the diverging phase of the entire process pathways to generate the most obvious connections, C
where the members search for or contribute the team members instead go off tangentially to
many ideas. Two-time Nobel Prize winner explore novel idea connections. A related idea is
Linus Pauling was quoted: “The best way to Janusian thinking or the concept of paradox. Janus,
have a good idea is to have lots of ideas.” in Greek mythology, is a god with two faces looking
3. Developing the selected ideas. This stage in opposite directions, one eastward and the other
is the converging phase where the best westward. In Janusian thinking, the thinker holds
possible options are selected and further opposing views or images concurrently; this is the
elaborated upon. process of holding antithetical ideas and then trying
4. Implementing the solution(s). This is the stage to resolve them. In a group setting, this can be
where the detailed ideas are put into fruition. achieved when different team members come up
with the opposing ideas (debate) and then collec-
In terms of the assessment of creative outputs, tively iron out the plausible solution(s).
a commonly used criterion is the Torrance frame- The team members involved would typically
work, which forms the basis for the Torrance have preferences in one or more of the stages.
Creative Thinking tests. The four criteria include A good way to parcel out the tasks is to identify
fluency (number of ideas), flexibility (ideas from the stage or stages that each member has clear
different categories), originality, and elaboration. preferences in. The creative collaboration would
Fluency and flexibility during the ideation phase then have a clear path from problem identification
are desirable; hence, the psychological conditions to successful implementation.
of the team (team diversity) described below are Besides consideration on the stages, there are
helpful toward this aim. social, psychological, and physical conditions that
The second stage (ideation) is often associated affect the outcome of the creative collaboration.
with group brainstorming, and quantity and vari-
ety of ideas are useful. The term “brainstorming”
was created in the late 1940s by Alex Osborne, a Social and Organizational Conditions
partner in the advertisement firm BBDO. Among
the rules were the members of the team are There are many group norms and organizational
not allowed to criticize other people’s ideas. conditions that favor very successful creative
There have been research findings on brainstorm- collaborations (Bennis and Biederman 1998;
ing that suggest that this aspect of noncritical Edmondson 1999):
group ideation may not be very effective.
Charles Nemeth, at the University of California (a) People: Strong leader(s) and superb team
(Berkeley), found that groups given brainstorm- members who have a symbiotic relationship.
ing guidelines created more ideas than groups that The leaders love talented people and know
were not given any brainstorming guidelines; where to find them. The right person is
however, the most creative groups are the ones assigned the right job.
who debated and criticized each other’s ideas. (b) Mission: They think they have a divine mis-
Nemeth postulates that dissent forces team mem- sion and are able to remove distractions. The
bers to understand other team members’ ideas leaders provide them what they need and free
more fully and makes each team member reassess them from other commitments. They are like
418 Creative Collaboration
an island but still bridged to the mainland. The 1989 in their quest to find the ideal model of
intrinsic motivation of delivering the great group creativity, proposed a five-point scale
work or product in itself is the reward called the small world quotient (or Q, in
(Amabile 1996). short), which is a measure that quantifies the
(c) Optimism and risk-taking: They are not real- density of social connections from low to high
istic; they are optimistic. They identify for connectivity or familiarity from past collabo-
themselves an enemy target and also see them- rations. He found that musicals that were com-
selves as winning underdogs. The culture of mercial successes were three times more likely
risk-taking should be one where there is to be produced by teams with a Q score within
psychological safety. This is defined as the the range of 2.4–2.6 than teams with scores
“characterized by a shared belief that well- above 3.2 or below 1.4. The best creative out-
intentioned action will not lead to punishment comes come from networks of people with an
and rejection.” The risk-taking culture that intermediate level of social intimacy (between
leads to improved performance is the respon- a), i.e., a mixture of old friends and newbies
sibility of good team leadership. or strangers – which can be an injection of
unknown talent in an otherwise overly com-
Certain forms of collaborations lend them- fortable team that reverts to its former ideas.
selves better for scalability and are therefore For research-type roles, a moderate flow-
more powerful (Hagel et al. 2009): through of new members joining the collabo-
ration is helpful as they bring along with them
• Relational versus transactional collaboration: fresh ideas and perspectives which the original
Relational collaboration, the seekers and group would not have otherwise been exposed
solvers build relational capital for longer (Allen et al. 1988).
period of time, supports the creation and
exchange of tacit knowledge – hence, is more
likely to be scalable. Transactional collabora- Psychological Conditions
tion relies on companies putting forward spe-
cific problems and asking groups of people For collaboration to yield creative outcomes, the
to propose potential solutions such as the selection of team members can comprise people
case of InnoCentive – this is an example of with substantial knowledge of the field, different
crowdsourcing. cultures, and thinking styles. Thinking or cogni-
• Dynamic versus static collaboration: In static tive styles refer to the left-brain and right-brain
collaboration, participants contribute existing dichotomy. Although this is a simplified view
knowledge. For dynamic collaboration, new of the brain structure and function, it is a quick
knowledge and capabilities are formed classification that can be easily implemented
continually. through questionnaires. The left-brain thinking is
• Loosely coupled versus tightly coupled collab- characterized by an analytical, sequential, and
oration: Tightly coupled collaboration is a logical approach to problem-solving, while the
more hardwired approach in which the activi- right-brain thinking approach is more intuitive
ties or connections between the collaborating and nonlinear (Leonard and Strauss 1997). Inter-
parties need to be renegotiated each time there actions among people with different thinking
is a change in the activity or connection. More styles and preferences for the process stages
loosely coupled collaborations tend to be more described above may result in creative abrasion –
flexible; hence, this form of collaboration this term, coined by Jerry Hirshberg at Nissan
scales better. Design International, is defined by Xerox PARC
Brian Uzzi and Jarrett Spiro (2005), who leader John Seely Brown as “ideas that really rub
studied Broadway musicals from 1945 to against each other productively as opposed to
Creative Collaboration 419
destructively.” The team members with differing Recent Trends

thinking styles are deliberately chosen to maxi-
mize the diversity of the team. This diversity can One increasingly pervasive trend, due to the of
be helpful particularly during the ideating stage of process of globalization, is cross-cultural collab-
the collaboration. oration. For example, multinational organizations
Successful collaborations tend to exhibit sub- with offices in various countries often offer such
stantive conflict (i.e., conflict arising from differ- collaborative opportunities to their employees. C
ences in views regarding the ideas or substance of This kind of collaboration can be tricky due to
the project) instead of interpersonal conflict that is differing cultural norms that may not be overtly
more personal in nature (Eisenhardt et al. 1997). articulated. Metacognitive cultural intelligence
Diverse groups that can get over the initial chal- (cultural quotient, CQ) and affect-based trust
lenging periods where team members learn to turn out to be salient in such collaborations
adjust with each other would end up with ideas (Chua et al. 2012). Managers with lower CQ
or products that are more creative than those gen- tend to share fewer ideas in their intercultural
erated by homogeneous teams that have smoother ties but not intercultural ties. Affect-based trust,
interactions from the start (McLeod et al. 1996). arising from rapport or being on the same wave-
length, is built when one’s communication with
another person is felt to be clear, comfortable,
Physical Conditions and responsive. In contrast, cognition-based
trust, which is based on evidence-based and ratio-
The collaboration space should allow for internal assessments of the other’s ability and track
action and movement as teams move around to record, is less pivotal to intercultural creative
group and regroup. Smaller tables that accom- collaboration.
modate several people are preferable to large The other trend is global collaborative crea-
conference-style tables. Psychologist Ivan tivity resulting in cross-border patents. Although
Steiner found that actual productivity increases the number of inventors collaborating on cross-
for a while as the size increases, then reaches a border projects has increased exponentially, the
plateau, and then decreases as the group gets too number of cross-border patents has only grown
large; the optimal number is between four and linearly. Although the nature of collaborative
five people. creativity has become more globalized, this
A study of geographically dispersed teams form of collaboration has so far mainly concen-
(Leonard et al. 1998) found that, for complex trated in countries such as the USA, the UK,
tasks, the teams prefer face-to-face interactions France, Germany, and Canada (Huang
for optimal creative process. Face-to-face meet- et al. 2012).
ings afford the richest multichannel medium Another trend is the Creative Commons licens-
of communication, including body language. ing framework or Public Domain Mark, started
Researchers from Harvard Medical School, after by a nonprofit company by the same name
having perused 35,000 peer-reviewed papers, (web: creativecommons.org). Content owners
concurred with the above findings. The best can choose to grant limited permission (licenses)
research papers, i.e., those with high number of for their work to be used for noncommercial pur-
citations, were coauthored by people working poses or to be further built upon by others to create
within 10 m of each other. Papers written by derivative works, including by people unrelated to
coauthors working more than 1 km apart were the original content. Through this sharing frame-
the least cited (Lee et al. 2010). This suggests work, this new concept of creative collaboration
the need for the optimal design of architectural can result in a derivative work taking on a new
spaces that support spontaneous, regular, and life of its own, unrestricted by the boundaries of
face-to-face interactions. an intact team.
420 Creative Conditions
Online creative collaboration, as exemplified in creative collaboration. Organ Behav Hum Decis
by Wikipedia and open-source software (OSS) Process. 2012;118(2):116–31.
Edmondson A. Psychological safety and learning behavior
and even collaborative animated movies (also in work teams. Adm Sci Q. 1999;44:350–83.
known as collabs), have produced unexpected Eisenhardt K, et al. How management teams can have
successes that were not predicted initially. The a good fight. Harv Bus Rev. 1997.
success factor seems to stem from having leaders Hagel J III, Brown JS, Davison L. Introducing the collab-
oration curve. HBR Blog Netw. 2009.
with good reputation. For collabs, planning and Huang M-H, Dong H-R, Chen D-Z. Globalization of
structure seem to be more important, whereas collaborative creativity through cross-border patent
for OSS, self-organization and evolution of the activities. J Informetr. 2012;6(2):226–36.
idea seem to take higher precedence over the Lee K, Brownstein JS, Mills RG, Kohane IS. Does collo-
cation inform the impact of collaboration? PLoS One.
leader’s original vision (Luther et al. 2010). 2010;5(12):e14279.
Online creative collaboration can have many pos- Leonard D, Strauss S. Putting your whole company’s
itive benefits: 24/7 production cycles, ability to whole brain to work. Harv Bus Rev. 1997;75:110.
accommodate a wider range of communication Leonard DA, Brand PA, Edmonson A, Fenwick J. Virtual
teams: using communications technology to manage
and working styles, easier to pull in resources geographically dispersed development groups. In:
from other organizations or emergent forms of Bradley SP, Nolan RL, editors. Sense and respond:
on-demand labor such as Elance and Fiverr capturing value in the network era. Boston: Harvard
(Samuel 2015), and reduction of biases among Business School Press; 1998. p. 285–98.
Luther K, Caine K, Ziegler K, Bruckman A. Why it works
the collaborators, such as gender bias (Anand (when it works): success factors in online creative
and Hammond 2015). collaboration. 16th ACM International Conference on
Supporting Group Work, GROUP’ 10 – Sanibel Island,
FL, United States; 2010.
McLeod P, Lobel S, Cox T. Ethnic diversity and creativity
Cross-References in small groups. Small Group Res. 1996;27(2):248–64.
Samuel A. Collaborating online is sometimes better than
▶ Brainstorming and Invention face-to-face. Harv Bus Rev. 2015.
Uzzi B, Spiro J. Collaboration and creativity – the small
▶ Corporate Creativity world problem. Am J Sociol. 2005;111(2):447–504.
▶ Creative Behavior Wuchty S, Jones BF, Uzzi B. The Increasing Dominance of
▶ Creative Personality Teams in Production of Knowledge. Science. 2007.
▶ Divergent Versus Convergent Thinking
▶ Ideas and Ideation
▶ Interaction, Simulation, and Invention
Creative Conditions
References
▶ Creative Knowledge Environments
Allen T, Katz R, Grady JJ, Slavin N. Project team
aging and performance: the roles of project and
functional managers. R&D Manag. 1988;18(4):
295–308.
Amabile T. Creativity in context: the social psychology Creative Contexts
of creativity. Boulder: Westview Press; 1996.
Anand B, Hammond J. What Harvard Business School has ▶ Creative Knowledge Environments
learnt about online collaboration from HBX. Harv Bus
Rev. 2015. https://hbr.org/2015/04/what-harvard-busi
ness-school-has-learned-about-online-collaboration-
from-hbx.
Bennis WG, Biederman PW. Organizing genius: the Creative Culture
secrets of creative collaboration. Reading: Nicholas
Brealey Publishing; 1998.
Chua RYJ, Morris MW, Mor S. Collaborating across ▶ Creative Climates: Soil, Sun, Storm, and Space
cultures: cultural metacognition and affect-based trust Climates
Creative Destruction 421
financial structures. The intellectual roots of the

Creative Destruction term “creative destruction” can also be found in
Nietzsche’s Zarathustra (1883–1892) and in the
Faruk Ulgen Krieg und Kapitalismus (War and Capitalism,
Grenoble Faculty of Economics, University 1913) of German Marxist sociologist Werner
Grenoble Alpes-Centre de Recherche en Sombart (see Reinert and Reinert 2010).
Economie de Grenoble (CREG), Grenoble, C
France
Creative Destruction as an Evolutionary
Process of Economic Change
Synonyms
Economic Change
Economic dynamics; Entrepreneurial economy; After World War II, creative destruction has
Entrepreneurship financing; Innovation become identified with Joseph Schumpeter
(1883–1950) who used and popularized it as a
theory of economic change due to innovations
Intellectual Roots of the Concept framed and implemented by a specific class of
economic agents in a capitalist society, called
Creative destruction refers to the phenomenon of entrepreneurs. This approach gained analytical
economic change through the creation of new and political ground within neoliberal models of
ways of doing things that endogenously destroy free-market economics as a description of market
and replace the old ways. It is assumed that new dynamics resulting in the increase of the effi-
products and new processes are the main source of ciency of the economy through decentralized
the capitalist economy’s development. The term and self-interested private agents’ behavior.
“creative destruction” is usually used to empha- To date, known as The Prophet of Innovation
size the dynamic nature of the modern economic (McCraw 2010), Schumpeter states in his book
system and is more readily thought as a positive Capitalism, Socialism and Democracy (2000
evolutionary process. Thus it can be regarded as [1942]) that “The essential point to grasp is that
the conceptual roots of the modern innovation in dealing with capitalism we are dealing with an
economics. evolutionary process.” Then he adds that: “Capi-
Creative destruction is originally derived from talism, then, is by nature a form or method of
Marxist economic theory (The Communist Mani- economic change and not only never is but never
festo of Marx and Engels, 1848, Grundrisse of can be stationary.” This evolutionary character of
Marx, 1857, and Das Capital, 1863), which the capitalist process is due to the fundamental
brought to the forefront the capitalist processes impulse “that sets and keeps the capitalist engine
of destroying and reconfiguring previous eco- in motion which comes from the new consumers’
nomic structures. This approach argued that the goods, the new methods of production or trans-
capitalist evolution must ceaselessly devalue portation, the new markets, the new forms of
existing wealth (through war economic crises) in industrial organization that capitalist enterprise
order to prepare the environment for the creation creates” (p. 83). The opening up of new markets
of new wealth. In its most common sense, this or the creation of new production processes and
process points out the way in which capitalist organization incessantly revolutionizes the eco-
economic development goes through the destruc- nomic structure from within, “incessantly
tion of the prior economic order to create some destroying the old one, incessantly creating a
new alternatives. Such a process is usually new one. This process of Creative Destruction is
thought of as a progressive dialectic evolution the essential fact about capitalism. It is what cap-
towards better – though more complex – and italism consists of and what every capitalist con-
more efficient technological, organizational, and cern has got to live in” (p. 83). Therefore,
422 Creative Destruction
Schumpeter argues that the relevant problem is motion which revolutionizes the economic struc-
how capitalism creates and destroys existing ture. New combinations “appear discontinuously
structures. in groups or swarms.” As this process does not
This incessant change process is led by entre- only sweep away old structures but also calls for
preneurs who are at the heart of the economic new horizons to be widened, it is called creative.
system. The entrepreneurs – also called by Such a creative motion comes from novelty about
Schumpeter the “wild spirits” (Unternehmergeist, goods and services, new methods of production
German for entrepreneur-spirit, English for entre- and all related activities, new process of
preneurship, and French for entrepreneuriat) – implementing projects, new ways of organization,
drive capitalist dynamics through their expecta- new combinations of factors of production, and so
tions and decisions in the aim of obtaining some on. The field is large, limitless, depending on the
market power (dominant position, accumulation, imagination of Schumpeterian entrepreneurs. The
increasing profits, etc.) that would enable them to Schumpeterian entrepreneur is not a single phys-
create temporary monopolies. However, in his ical person and not a well-defined group of peo-
early work, Schumpeter believed that the innova- ple. The entrepreneur may be the capitalist, a
tion and technological change were due to individ- corporate manager, or a visionary who tries to
ual entrepreneurs who sought to realize novelties change the established economic structure in
for, first of all, the pleasure of changing the current order to create novelty. He or she is a novelty
state of things. From this perspective, innovative lover who is like an adventurer, a pioneer who is
entrepreneur was thought of as a socially positive incessantly searching for changes in his/her exis-
and “sympathetic” adventuresome figure. How- tence. In this picture, competition is a source of
ever, from World-War II, at Harvard, Schumpeter change through innovations that are destroying
changed his interpretation of the roots of economic and remaking the existing structures so positions
dynamics and asserted that the major changes in the of agents cannot rest on a pillow of previous
economy stem from big companies which have the situation. Therefore, such an incessant change
resources and capital to invest in research and must be studied as a vehicle for uncertainty
development. Whatever the vision about the char- which allows economic actors to adopt leapfrog-
acteristics of innovative entrepreneurship, it ging strategies in order to reshape market struc-
appears that in a capitalist economy the entrepre- tures following their expectations and own
neur or the enterprise, whatever its size, is the actor interests.
of the endogenous change – the process of indus- This approach offers a specific way of
trial mutation. The most important result of such an apprehending economic development through
approach is that the dynamic endogenous change the introduction of innovations onto the market
process – assumed to be mainly related to entrepre- that would disturb the existing economic environ-
neurial decisions – should replace the invisible ment and trigger overall structural change.
hand-competitive price theory of classical and Schumpeter identified entrepreneurial innova-
new classical economics. Therefore, in a creative tions as the major source of economic change. He
destruction picture, it is not anymore relevant to argued that economies revolve around entrepre-
study the working of market-related capitalist econ- neurial innovations that often create temporary
omies in terms of Pareto-optimal real equilibrium monopolies, allowing high profits that would
statics. soon be competed away by rivals and imitators.
Then he remarks that the creative destruction
Entrepreneurs’ Innovations as the Source of dynamics stand out most clearly in the case of
Creative Destruction sectors which at any time happen to embody the
In his Theory of Economic Development (1961 impact of new things and methods on the existing
[1934]), Schumpeter maintains that the creative industrial structure. In this vein, he argues that
destruction process is mainly due to entrepre- “The best way of getting a vivid and realistic
neurs’ innovations that create an endogenous idea of industrial strategy is indeed to visualize
the behavior of new concerns or industries that which is usually depending on scientific changes
introduce new commodities or processes or else which would affect our way of life.
reorganize a part or the whole of an industry” Innovation expresses the way that aims to
(2000 [1942], p. 89). Such concerns are assumed derive anticipated benefits from change and
to be aggressors by nature and wield the effective concerns new commercial uses that the decision-
weapon of competition. The meaning of competi- making unit perceives to be profitable in eco-
tion is therefore related to that kind of competition nomic terms. The innovation can be a new idea, C
which comes from new commodity, new technol- new practice, method, or process, product, or
ogy, new source of supply, and new type of orga- market opportunity.
nization that command a decisive cost or quality So the term “innovation” is a generic term of
advantage and “strike not at the margins of the all strategic economic and financial changes
profits and the outputs of the existing firms but at which may mean the developing of new services
their foundations and their very lives” (2000 (allowing to the product differentiation), new
[1942], p. 84). products (diversification and penetration of
In the same vein, but considering a global and new markets with new products and creating
continuously changing world of the twenty-first new needs and demand), new manufacturing pro-
century, David Audretsch (2007) argues that in cesses (reducing production costs or supplying
modern economies, there is a shift from the (old) better products), and new business processes.
managed economy to the emergence of an entre-
preneurial society where individuals and firms, as Research and Development as the Source of
well as groups and communities, try to proac- Modern Entrepreneurial Innovation
tively use the opportunities of the time. The con- Therefore, it is obvious that the innovative process
nections between entrepreneurship and growth, is related to research and development (R&D).
founded on the creative destruction schema, can The fundamental research produces new knowl-
be narrowed also to entrepreneurship’s stimula- edge (scientific-invention level of the process of
tion of developing economies as entrepreneurs change) while the applied research aims to lead to
can serve, according to Audretsch, as a conduit the acquisition of new knowledge for specific
for knowledge spillovers, improving competition purposes as the launch of new products and pro-
for new ideas and methods and increasing cesses including design, prototyping, testing, con-
diversity. struction of pilot plants, etc. It is usually assumed
that, given the financial and scientific requisites of
the R&D activities, the process must be found on
Innovation and Invention public and private structures cooperation.
There is no commonly accepted definition of
innovation within a business context. However, Forms of Innovation
in literature, invention and innovation are Innovations can take an incremental or radical
distinguished. form as regards their effects on existing economic
In the Theory of Economic Development, structures, as shown in Table 1.
Schumpeter distinguished between the inven- There is also a distinction between technical
tion and innovation. The invention is the discov- and nontechnical innovations. While product or
ery of a new technical knowledge and the process innovations represent technical innova-
innovation is its application to industry. The tions, product-service and organizational innova-
innovation, in its broader sense, is the introductions are assumed to be nontechnical innovations.
tion of new technical methods, new products, From this point of view, the second type of inno-
and new sources of supply and new forms of vation can be classed as commercial innovations
organization. because they concern the methods of commercial-
Invention is used in order to define a funda- ization, advertising and market searching,
mental technological change, the apparition of etc. Then the main types of innovation, following
Creative Destruction, Table 1 Effects of innovation order to offer customers more flexibility and
Incremental Minor change at the industry efficiency.
innovation level One can find in this category just-in-time con-
Radical innovation Major change at the industry cepts as applied by the Japanese firms in the
level 1970s. Organizational innovations are differenti-
Change in New industry and/or change at
ated into two types of innovation:
technological system the intersectoral level
Change in techno- New industry and/or change at
economic paradigm the intersectoral level with • Procedural organizational innovations which
heavy socioeconomic affect the routines and operations of a firm.
consequences They are aimed at increasing the speed and
flexibility of production.
• Structural organizational innovations change
FORMS OF INNOVATION responsibilities, accountability, and informa-
tion flows and affect therefore the divisional
structure of functions within the firm’s hierar-
Technical Non-technical chical framework.
Organizational innovations can occur within a

Process Process Organizational firm. Then, they are called intraorganizational
innovation innovation
innovations and affect the overall strategy of the
company as a whole. When they include new
Product Product Product-service organizational procedures beyond a firm’s border,
innovation innovation
they affect the firm’s environment throughout
R&D cooperation with customers or other firms,
Creative Destruction, Fig. 1 Conceptual and observa-
tional factors and they are called interorganizational
innovations.
Schumpeter, can be classified into three main cat-

egories: product innovation, process innovation, Relevant Examples and Issues
and commercial innovation. However, the schema
of Fig. 1 can be used to present different forms of Innovation at the Roots of Modern
innovation summarizing various conceptual and Economies’ Change
observational factors intervening in the design To date, innovation is at the top of the strategic
and implementation process of innovative agenda of corporations (Tzeng 2009). One can
activities. argue without exaggeration that in the wake of
In Fig. 1, the technical category, product inno- numerous technological and organizational
vation is defined as the development of new prod- changes that modern economies’ dynamics pro-
ucts or technologies supported by research and voke through new products, processes, and ser-
development activities of firms. Process innova- vices on industrial as well as on financial markets,
tion aims at finding new process technologies in the late twentieth and the early twenty-first centu-
order to reduce costs of production and time costs ries’ capitalism is certainly the age of Schumpeter.
and/or to increase quality. In modern economics, creative destruction is a
In the nontechnical category shown in Fig. 1, relevant way to study stability as it can explain
service-product innovation consists in offering the most of the dynamics of industrial change and the
customers new services such as maintenance or evolution of market structures from competition
operating services. Organizational innovation to oligopolistic/monopolistic markets. It consti-
comprises the development and implementation tutes also the main reference for endogenous
of new organizational structures and processes in growth theories (Aghion et al. 2013; Speight
2001) and “Neo–Schumpeterian” evolutionary perspective, Edgar Norton (1992) studies evi-
economics (Hanusch and Pyka 2007). dence of creative destruction in the US economy
to deal with this issue thorough the examination of
New Industrial Economics the role of merger and acquisition in the process of
In the new industrial economics (or the theory of creative destruction, firm growth, and firm
organizations), the Schumpeterian model of crea- decline. He shows that mergers and acquisitions
tive destruction is used as one of the main refer- were also major forces behind the exit of firms C
ences. This approach consists in considering the from the top 500 during the 1970s–1980s. He
behavior of new organizational forms which intro- states that the net impact of merger and acquisition
duce new process or products. This model allows activity on creative destruction and wealth con-
economists and market analysts to consider new centration is an empirical and a public policy
organizational forms which introduce new pro- question needing further study.
cess or products in a dynamic setting. The issue
of innovation in firms’ market strategies for which Innovations and Factors Affecting R&D
the first initiative comes from firms themselves, Activities
and not only due to given market structure, con- Various factors affect the R&D activities of firms
stitutes a relevant analytical purpose in order to and therefore the creative destruction process in
apprehend different market structures. Imper- an economy:
fectly competitive markets, monopolistic or oli-
gopolistic markets with dominant firms determine • The “technology push” factor: According to
the market’s conditions in the aim of dominating the available level and state of technology in
evolution of markets and prevent the entry of new a market, firms may try to use different oppor-
rival firms. tunities to develop new technologies. For
Adopting a game-theoretic model’s perspec- example, there seems to be more technological
tive that brings forth the role of strategic interac- opportunity today in the biotechnology than in
tions on markets, Spulber (2013) points to the the cloth manufacturing industries.
interplay among technology standards, competi- • The “demand pull” factor: It is the evolution of
tive conduct, and economic performance. He the demand in a given market that gives firms
argues that technology standards, the competitive the effective orientation of their market strate-
conduct of firms, and the economic performance gies. For example, when having a slim figure is
of innovative industries are endogenous and fashionable, some firms develop new technol-
jointly determined. ogies and slimming products.
• Profitability factor: Can firms appropriate the
Innovations, Merger, and Acquisition monetary returns to R&D? If the patent rights
In Capitalism, Socialism, and Democracy, putting are strong, firms should be able to capture the
the emphasis on the routinization of technical profits that could come from inventions and
innovation and the obsolescence of entrepreneurs’ innovations created during R&D. If not, either
creative activities, Schumpeter presents a pessi- (1) other firms copy the invention or innova-
mistic view of the future of capitalistic economies. tion, (2) other firms develop minor variations
If R&D becomes centered in large corporations of the new technology and capture parts of the
(financial needs of R&D activities may prevent market demand or (3) large firms with strong
little firms from undertaking innovative strate- investments in the technology can maintain
gies), by exercising their market power, the large dominance by having large numbers of patents
oligopolies would be able to use their market and copyrights, and by defending them legally,
power to blockade Schumpeter’s entrepreneurs’ so that new firms are kept out of the market.
dynamics. Therefore, large corporations will • Ability of firms to use the new technologies
come to dominate innovation; hence new entry developed in other firms or by academic
and creative destruction would decline. In this researches. This refers to the extent to which
a firm has the relevant R&D personnel and evolution. However, it is also obvious that if an
other resources needed to use efficiently the innovation comes from smaller firms, commer-
new technologies. cialization still takes a lot of effort for young
• Scale and scope factor: This is related to the firms which do not have expanded distribution
possibility for the firm to realize scale or scope networks or enough advertisement structures.
economies. When the firm is small, the scale of
production is usually low and then profitability Financing of Innovations
of the innovative activity (costs of develop- In the Schumpeterian economic development
ment, market analysis, advertisement, etc.) model, dynamics enter the picture with the inno-
may take more time than the case of larger vation decisions of entrepreneurs. Innovation is
firms, which may spread the costs of R&D the driving force of accumulation. Innovation
over the numbers of units produced and means to change deeply the economic status
distributed. quo. The subject of innovation is the entrepreneur
• Financing factor: Availability of the internal who tries to execute new combinations. But the
finance and conditions of the external finance sole presence of entrepreneurs is not sufficient to
(borrowing conditions in the financial markets) guarantee the system’s evolution. In order to inno-
for the R&D activities usually give more vate, to found a new firm, and to construct a new
advantages to the larger firms and can prevent plant and order new equipment from existing
the little firms’ innovative activities. firms, entrepreneurs need means of financing. As
the creation of novelty requires new ways of doing
Innovations and the Size of Firms things, the entrepreneur-explorer needs new ways
Some critical questions then arise: How does the of financing. If one presents the entrepreneur as
structure of an industry (the numerous character- the source of the creative destruction process and
istics of firms in a given market) affect R&D in the the innovations-new combinations as his or her
sector? Why might the bigger or the smaller firms objective, the way to reach the objective is related
tend to do more R&D? to the access of entrepreneurs to monetary means
Acs and Audretsch (1988) show that the pos- required to fund new plans and strategies. The
sibility of innovations from small firms, especially result of such an adventure will also determine
from new start-ups, is related to sector-specific the final performance of entrepreneurs.
conditions. If the industry is capital-intensive Consequently, the financing conditions of
and highly unionized, small firms have no access innovations are a real concern in the creative
to innovative activities. Larger firms tend to have destruction process of an economy but also
more capabilities than smaller firms to improve regarding its stability (Ülgen 2001 and 2014).
and streamline existing technologies. Previously Schumpeter argues in The Theory of Eco-
developed organizational skills, established com- nomic Development that the access to money
mercial and business networks, existing and well- (credit) is the power to command and to deter-
known brand and experience, available financial mine the level of economic change. Credit
tools, etc., could make the realization of innova- money becomes the critical variable which
tion projects easier for large firms. It is also worth authorizes an economic separation between
noting that large firms often pursue large numbers entrepreneurs-innovators and other agents. The
of minor improvements to products and financing of entrepreneurship has been assigned
manufacturing processes. In capital-intensive sec- logical priority in the process of economic devel-
tors, large firms can innovate more than small opment since innovations have to be supported
firms which do not have sufficient access to cap- by new funds beyond the existing ones. There-
ital markets, while in new sectors, with low bar- fore, the financing conditions of innovative
riers to entry and less capital-intensive, small activities and the evolution of banks and financial
firms can follow aggressive and innovative strat- markets play a crucial role in the creative destruc-
egies and can change the path of sector’s tion process (Ülgen 2013).
Creative Destruction, Creative Destruction :

Fig. 2 Creative destruction Evolutionary process of an
process entrepreneurial economy
Technology
Market Structure, Subject:
Market size, Entrepreneurs-
push,
Demand pull
C
Firm size innovators
(The explorer)
R&D
Financing New
conditions Combinations
Therefore, in Fig. 2, creative destruction pro- some destructive processes impeding “positive”
cess becomes a global issue in the analysis of economic development.
economic evolution. Whatever the theoretical position that one can
adopt in the analysis of economic change, it is
obvious that the creative destruction process
Conclusion and Future Directions depends on innovative behavior of market
actors. Therefore, the relevant question is related
The creative destruction is used to describe the to the issue of creating, improving, and, maybe,
evolution of a capitalist economy through its socially framing entrepreneurial dynamics to let
endogenous dynamics assumed to be mainly them reinforce positive changes which would be
founded on entrepreneurs’ decisions and strate- able to raise the welfare of society. Therefore the
gies. These strategies aim at strengthening domi- size of firms, measures, and mechanisms will
nant positions on markets in order to give firms give entrepreneurs incentives to innovate more
more profit and higher control on market’s and the adequate market structures and financing
development. rules and tools to accompany firms’ evolution to
Another interesting perspective is offered in gain importance in economic change. The
the work of Aghion et al. (2016) where the authors design and implementation of relevant and con-
point, among others, to two crucial findings with sistent industrial policies and their financial
regard to the effects of innovations on economic accompaniment will hence become a crucial
and social dynamics. On the one hand, innovation issue in the development of an entrepreneurial
is positively associated with social mobility. On economy.
the other hand, Aghion et al. document that there
exist positive and significant correlations between
measures of innovation and top income Cross-References
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Creative Ideas as a Starting Point for Innovations 429
However, in the course of the development pro-

Creative Expression cess, numerous other creative inputs are added.
These creative inputs for innovation can come
▶ Creative Behavior from entrepreneurs, managers, or employees in
R&D; they may arise in innovation units or in
other departments as a result of personal thinking.
These valuable creative contributions are not pre- C
Creative Goods dictable. As innovation processes in companies
nowadays are structured with respect to results
▶ Creative Industries and deadlines, specific tools are needed to help
generating ideas strategically and within a man-
ageable time frame. Creativity techniques comply
with these requirements. They serve as an impor-
Creative Ideas as a Starting tant tool in addition to the individual creative
Point for Innovations contributions of employees or proposals from
external sources (open innovation).
Horst Geschka1 and Andrea Zirm2
1
Geschka & Partner Unternehmensberatung,
Darmstadt, Germany Creativity Techniques
2
Hochschule für Angewandte Wissenschaften
(HAW), Wentorf, Hamburg, Germany Basis and Overview
Related to innovation creativity is understood as
the human ability to combine elements of knowl-
Basis of any innovation is a creative thought. It edge and experience from different areas in an
may be that, prior to the creative impulse, reflec- unconventional way, thus triggering new ideas
tions and analyses have been made to develop for products or services to solve problems or chal-
new products or services in a certain customer lenges. Thus, established structures and thought
segment or to solve identified problems or chal- patterns are overcome.
lenges. When a task or even a pressure to develop Creativity techniques support the genesis of
an innovation is imposed to individuals, very ideas. They consist of a set of thinking and behav-
often, concrete ideas are not emerging. ior rules, which stimulate as an overall effect a
A creative idea must arise in a motivated person’s group or an individual to generate ideas. The most
brain; then it must be formulated accurately, tech- practiced creativity techniques are designed for
nically developed, and finally launched as a new application in a group; there are only few tech-
product or new service to the market. niques designed to be applied by just one person.
A creative concept typically ignores common In heterogeneous groups, synergy effects take
solutions and structures. Instead, it relies on new place, resulting in an extension of the search
approaches. Usually after a creative concept has field, in a deepening of the search quality, and in
been generated, laborious work of verification, a cross-disciplinary exchange of solution
development, and implementation follows. approaches.
Looking at current real innovations, it is obvi- Concerning the rules of the individual tech-
ous that not only one single “brilliant” idea led to niques certain principles are specified, they are
the innovation, rather additional, more detailed, usually not recognized as such in the descriptions
and complementary ideas compliment the new of the techniques. These principles are primarily:
product development. Thus, multiple creative
inputs foster the whole formation process and • Idea-stimulating principles: association, com-
lead to an innovation. An innovation is of course bination, transfer of structures, analogy forma-
initiated by a fundamental creative impulse. tion, confrontation
430 Creative Ideas as a Starting Point for Innovations
• Keeping individual barriers down: no con- Description of Common Creativity Techniques

straints, no criticism, crazy ideas are welcome, The following brief descriptions follow the out-
anonymity of ideas written down, no names in line in Fig. 1.
the minutes
• Establishing a pleasant session atmosphere: Techniques of Free Association
stimulating physical environment, sensitive Idea generation in brainstorming sessions is
facilitators, informal behavior, encouragement mainly based on reciprocal-free associations of
of intuitive thinking, welcoming humor ideas within a group (Osborn 1953). All ideas
brought up should be adopted by other partici-
Meanwhile, there are many creativity tech- pants (cross-fertilization). The following basic
niques; worldwide one can collect over 100 tech- rules generally apply to all other creativity
niques. Quite often, some listed methods are very techniques:
similar; they differ only in details or are named
differently while following the same approach. • No criticism of the ideas is allowed.
Some creativity techniques can be used in all • Even crazy ideas coming to one’s mind should
areas that require creative inputs. On the other be expressed: they may stimulate other partic-
hand, there are methods especially suitable for ipants to realistic ideas.
certain applications (e.g., in advertising, for social • As many ideas as possible should be generated.
issues, for technical inventions). Furthermore, in The more ideas produced, the greater the prob-
certain regions based on regional, cultural habits, ability to find a few really good and original
specific creativity techniques are preferred (e.g., ideas.
brainwriting methods in Japan, visual stimuli in
China, less structured methods in the USA, con- A brainstorming session is practiced in a group
templative techniques in Germany). of five to eight participants and should take no
Creativity techniques can be distinguished longer than half an hour.
according to idea inspiring principles (see Brainstorming is normally considered to be a
Fig. 1). In Fig. 1, techniques are shown which simple method and is therefore very widely
have attained a certain dissemination in Europe. applied. However, experience has shown that the
The following brief descriptions are limited to the rules are not properly obeyed. The role of the
techniques listed in this figure. moderator is especially difficult; there is no
Creative Ideas as a Techniques of Free Association Confrontation Techniques

Starting Point for • Brainstorming • Synectics Excursion*
Innovations, • Circulating cards technique • Stimulating Word Analysis
Fig. 1 Grouping of
• Ring Exchange Technique • Visual-Confrontation-in-the-Group
creativity techniques
• Mindmapping • Picture Cards Brainwriting
• TRIZ Invention Principles
Techniques of Structured
Association Configuration Techniques
• Walt Disney Method • Morphological Tableau
• Six Hats Method • Morphological Matrix
• Semantic Intuition • Attribute Listing*
• SIT (Systematic Inventive Thinking)*
Imagination Techniques
• Try to become the problem* * Techniques that are less suited for
• Take a picture of the problem* application in innovation processes
• Fantasy Journeys* (see sect. “Less suitable Creativity
Techniques for Innovation Tasks”)
distinct structure in the process that supports the are recorded within about 30 min. Then, these
moderation. ideas will be screened down and further
In the brainwriting techniques, speaking is developed.
replaced by writing; the participants write the The technique was introduced under the name
ideas on sheets or cards. Apart from that, the “Method 635” by Rohrbach and further devel-
basic principles are the same as for brainstorming. oped by Geschka (1986).
The stimulation of the participants is achieved by The circulating cards technique (see Fig. 2) C
exchanging the described sheets or cards. The use uses the advantages of pin cards (Geschka et al.
of different page formats and exchange mecha- 1973). The ideas are written down on cards with
nisms caused in the course of time some thick markers. Each participant writes one idea
brainwriting variants. on a separate card and places the cards on the
In the ring-exchange technique, standard sta- right side to be picked up by the neighbor. The
tionary sheets are divided into three columns. neighbor picks them up when he or she wants
Each participant writes three ideas in the first further stimuli from others. All participants
line, one in each of the three columns. After pass their cards in the same direction. The
about 5 min, the sheets are passed on to the neigh- cards circulate around the table. In this phase,
bor in a defined direction. The neighbor tries to nobody should speak. After about 20 min, idea
further develop the ideas written in the first row generation may be stopped. A group of 6 partic-
and notes new ideas in the second line under the ipants generates normally 50–70 ideas. The
respective ideas of its predecessor. If no associa- idea cards are then clustered on a table; dupli-
tions come to their mind, the participants are of cates will be eliminated, and the selected idea
course free to write down any idea they have. This cards will then be finally pinned on a board. An
procedure is repeated five times. With 6 partici- initial evaluation of the ideas will follow via
pants and all sheets filled in completely, 108 ideas placing adhesive dots spontaneously on the
Creative Ideas as a Starting Point for Innovations, Fig. 2 Idea generation with circulating cards technique
cards. This approach reveals the most promis- The Six Hats method of de Bono (1985) leads
ing suggestions quickly. systematically to a change of perspective: Sym-
To overcome the linear and well-established bolized by hats in different colors, different modes
structures of thinking and writing, the concept of of thinking are consecutively conducted in a
mind mapping promotes an opening and widening group (see Fig. 3). All statements are put down
of thinking. All thoughts, ideas, and other relevant under the respective “hat.” A clear separation
issues are recorded in a treelike structure (Buzan between the “hats” is important. The reactions to
and Buzan 1986). In the drawn tree structure, the thinking hats should be spontaneous and
ideas and other aspects are characterized by quick. The method should take not longer than
terms, pictures, symbols, and colors. Through 30 min.
this structure and visualization, one receives a Many everyday objects and inventions have a
new insight of the solution field. Ideas emerge descriptive name; they are often composed of two
during developing the tree but also hereafter words. Examples are hair curler, heating pad,
when the designed overall structure is interpreted. corkscrew, and ignition key. The method semantic
intuition (Geschka et al. 1973) turns the parts of
Techniques of Structured Association the terms around: Any word combination formed
Applying the techniques of structured association, suggests a possible device or process; one has to
idea generation proceeds in defined steps: The interpret what the new word combination could
problem-solvers are guided through several stages mean. In this manner, ideas for new products or
of contemplation, and the group is led into differ- services arise (e.g., curled cork; pad screw).
ent lines of thinking – one after the other. This How to work through this method? Before
steered parallel thinking is more efficient then starting names of existing products related to a
controversial discussions. These techniques function or subject area are collected, nouns of
allow coming up with positive and skeptical objects are separated into their components (e.g.,
remarks as well as with rational and emotional corkscrew is divided into cork and screw). Addi-
thoughts. tionally, one can use object words from another
The Walt Disney method (Dilts et al. 1991) area (e.g., kitchen equipment for the search field
arose from the Walt Disney’s approach of devel- gardening equipment).
oping new projects. In a role-play, three thinking In small groups, unfamiliar two-word combi-
attitudes are taken sequentially on different chairs nations are formed spontaneously and systemati-
or in different rooms by a person or a group: The cally; based upon those combinations, new
dreamers consider future developments and goals product ideas are considered. The subgroups will
with no restrictions; it may be spun dreamed. In present their ideas to the other groups and develop
the second room, the implementation area and the them together.
visionary ideas are reviewed in relation to its
implementation, pursuing a positive attitude. In Configuration Techniques
the area of criticism, the suggestions are examined Configuration techniques are subsumed as crea-
in a constructive manner in order to overcome tivity techniques that generate new solutions by
resistance and obstacles. compiling solution elements (newly configured)
Creative Ideas as a
Starting Point for
Innovations, Fig. 3 Color
symbolism of the Six Hats
method
in a new way. This may be either a new combina- the same line. A combination of the new attributes
tion of elements or omitting or adding elements. will result in suggestions for new appearance or
The morphological tableau (morphological functional improvements. Such product variations
box) is the most known method of morphology are an appreciated input for product relaunches.
(Zwicky 1966). The underlying concept is to The morphological matrix relates the most
divide a complex problem into subproblems important parameters of a problem one to another
(parameters). These parameters must be indepen- in a systematic scheme. The matrix suggests C
dent from each other; a solution for one parameter establishing a relationship between the two
may not fit to solutions of other parameters. The parameter variations for any matrix field. This
parameters are put down in the first column of a may be a synergy, a problem, an opportunity, or
table. Regardless of the overall problem, possible any other creative interpretation. The morpholog-
solutions for each parameter are listed line by line. ical matrix is particularly useful when there are
By combining single solutions of each parameter, two important factors that need to be worked on
solutions for the overall problem are obtained (see systematically and intensively.
Fig. 4). The most important principle of the SIT meth-
The identification of the relevant parameters of odology (systematic inventive thinking) (Sickafus
the overall problem is crucial for the development 1996) is to develop new solutions, preferably
of a meaningful morphological tableau. One has without accessing to external resources within an
to sort out requirements, selection criteria, depen- existing framework (closed world). SIT operates
dent factors, and also parameter suggestions with five thinking tools: division, subtraction,
which indicate just modifications. The optimal multiplication, task unification, and attribute
number of parameters is six to eight. dependency. It begins with an existing product
In attribute listing, easily changeable features and modifies it according to these specific princi-
of a product in sale are chosen as parameters. In a ples until a new concept with additional benefit is
table, the actual states of these features are created. Another guideline is always go the paths
described and then innovative variations listed in of greatest resistance, in order to find really
Parameters Options, alternative solutions
Electic, Electic, Combustion

Drive Manual
power cord battery driven engine
Cutting
Single blade Several Cutting or
chains one or
Cutting unit (straight or scissors (like sawing disk
(revolving or several saw Cutting beam
curved) or rotating
back-and- blades
blades)
forth motion)
Folding Stationary Insert (add-a-
Carriage unit Telescope
structure carriage unit desing)
Guidance of Cross-span Optical guide With distance

Manual Rails Electronic
carriage unit adjuster beam control
Part of the
Range of action
hedge fron Complete Top of the Hedge fron Allround
of cutting unit
(not complete hedge front hedge plus top clipping
(single run)
height)
Combination I Combination II
Creative Ideas as a Starting Point for Innovations, Fig. 4 Example of morphological tableau for a hedge clipper
original ideas. This technique is especially useful innovative solutions, different analogies on the
when a company wants to simplify and reduce problem are formed in several stages. Confronting
costs of products. them with the problem enables the participants to
derive solutions (Gordon 1969).
Confrontation Techniques Stimulating word analysis (Geschka et al.
Confrontation techniques use functional and 1973) uses terms of things that are unrelated to
structural principles hidden in objects outside the the problem as confronting elements; they are
problem field as stimuli for creative idea develop- compiled randomly. The inherent principles,
ment. Before this process starts, the problem- structures, and functions of these terms are
solvers are led out of the problem area; then, the worked out and possibly transferred into solution
confrontation takes place by external impulses to ideas.
be transferred into bold ideas for the given task. In visual confrontation, pictures are presented
As a first step, a proper clarification of the as confrontation elements (Geschka 1993). The
problem should be done. In all variants of this images on cards or picture projections are ana-
approach, a short brainstorming on the defined lyzed and then ideas are derived. There are several
problem follows in order to get rid of familiar variants of this approach.
respectively. known solutions. This methodologi- The visual confrontation in the group is built
cal step helps to free the participants’ minds from on verbal confrontation with pictures and addi-
preconceived thoughts. Only now the confronta- tionally on mutual association by the participants
tion process starts: The participants are asked to (see Fig. 5). After the phase of purging of known
consider presented confrontation objects like pic- and obvious ideas, five to six soft pictures are
tures, words, or technically principles. projected to the participants for the sole purpose
The synectics excursion is an element of the to relax and get away from the problem; this
synectics problem-solving strategy. To develop process is supported by relaxation music. The
Phase I: Clarification and Definition of the Problem
Phase II: Relaxation and

Estrangement
Phase III: Idea Generation by Intuitive

Confrontation with Picture Elements
Traffic Light
1. Lights off/on
2. Sequential
3. Color Code
4. PC
Tire
1. Continuous
2. Tread Pattern Switch
3. Pressure
1. Press button for request
4. Inflate 2. Simple handling
Creative Ideas as a Starting Point for Innovations, Fig. 5 Flow of visual confrontation in the group
following pictures show tangible situations in dif- consciousness, which inspires them to develop
ferent areas of life; the participants are requested inner stories and images. These images are sup-
to develop solutions from picture elements. posed to stimulate problem-solving thoughts
Picture cards brainwriting works with picture (Martin and Henry 1991).
cards to stimulate new ideas. The participants
work individually with the cards; they should
study each picture intensively and try to derive The Innovation Process C
solution ideas from the identified principles in
picture elements. The ideas are written down on In the following, the question is considered on
pin cards. Seven to eight picture cards are worked how to utilize creativity techniques in the process
through in this manner. After about 20 min, the of innovation. Therefore, first, the innovation pro-
idea cards are passed around the table for further cess in companies is outlined.
associative idea generation. After all, the ideas are The process of innovation in firms can be
structured and scored. understood as a management process. Taking
The 40 TRIZ invention principles (Altschuller this into consideration, the process does not
1984) can be used as confrontation elements in begin with a sudden inspiration or an idea-finding
sessions aiming at innovative technical solutions. workshop. Preceding this process is a strategic
phase consisting of analyses and considerations
Imagination Techniques in order to determine the direction for the search
The central elements of imagination techniques of innovations. This strategic phase basically
are pictorial imaginations occurring in one’s exists, but its intensity differs among companies.
mind. These techniques help the problem-solver Both literature and practice offer different
to come up with solutions triggered by purely structures of the innovation process. Preferably,
mental constructs. An intuitive examination of a five-phase flow model comes into place, which
the problem area is assisted by these methods; an is based on significantly different blocks of tasks
in-depth understanding of the problem is arising (Geschka and Zirm 2011; Fig. 6).
and giving room for new solutions. The imagina- The five phases of product innovation can be
tion techniques are not very common. characterized as follows:
Applying the method try to become the prob-
lem (Van Gundy 1981), the problem-solver puts • Phase 1: Innovation Strategy. Based on
himself/herself in the problem situation and conducted analyses, directions, guidelines,
simultaneously becomes an element of the prob- search fields, and corridors for innovation
lem as follows: “What do I experience in the search are determined.
problem situation?”. Solution ideas will result • Phase 2: Concept Finding. Following the
from this “immersion” into the problem. requirements of the first phase, ideas are gen-
The technique take a picture of the problem erated and collected from internal and external
analyzes the problem in a way that can be com- sources. Usually, a large number of ideas can
pared with looking through the viewfinder of a be compiled; they need to be evaluated and
camera (Van Gundy 1981). Several problem ele- selected in a process of several stages based
ments are focused and observed from different on specific criteria. As a result of this idea
perspectives. The problem-solver’s “observations” management, quite a number of innovative
sharpen the understanding of the structure and the concepts are developed. A superior manage-
impacts of the problem situation, thus revealing ment committee decides which of the concepts
new approaches. should be realized; they are transferred to the
The guided fantasy journey helps to reduce R&D department for further evaluation.
stress, to open up an inner balance, and to promote • Phase 3: Innovation Development. This
imagination and creativity. A moderator guides phase includes product and process develop-
the participants through a stream of ment as well as the specification of all other
Creative Ideas as a
Starting Point for
Innovations, Fig. 6 The 1 2 3 4 5
phases of the product
innovation process Innovation Concept Innovation Getting
Market
Strategy Finding Development Ready for
Launch
the Market
Innovation Project
Innovation Process
functions or modules that directly or indirectly considered. The determined structures and pro-
become part of the new product. cesses are illustrated (often graphically) in a
• Phase 4: Getting Ready for the Market. In plan (blueprint).
this phase, the new product’s manufacturing • Phase 4 (Service Innovation Process): Get-
facilities are set up. Furthermore, all other ting Ready for Performance. The concept
functions necessary for a market launch have developed in phase 3 is implemented. A set of
to be conceptualized and prepared: contracting activities needs to be processed, for example,
of suppliers, installing of external and internal award of contracts (software, equipment, spe-
distribution logistics, implementation, testing cial technical facilities, etc.), cooperation
and integration of IT systems, training of the agreements, internal testing, training of staff,
marketing staff, and prelaunch activities (print testing with customers, and final adjustments.
orders, agency contracts, awards to designers, Particular attention is given to quality assur-
etc.). ance since services cannot be made undone,
• Phase 5: Market Launch. The new product is replaced, or repaired.
announced to potential customers by using
appropriate marketing actions. The logistics All five phases require creative inputs for the
have to be installed simultaneously in order to development and implementation of the product
ensure that the new product is available for or service as well as for subprocesses, optimiza-
customers. tion, and speeding up of processes and for mar-
Physical products and services are quite keting and sales measures. Thus, creative
different because of their inherent characteris- techniques can be applied in all phases. However,
tics. Concerning the innovation process itself, from the variety of techniques, not all are suitable
however, only the phases 3 and 4 differ clearly. for enterprises in respect to the creativity-
The phases 1, 2, and 5 of the service innovation stimulating approach and the frame conditions of
process basically have equal tasks and goals as application.
those of the product innovation process. Phases
3 and 4 are different; they are described as
follows: Creativity Techniques in the Innovation
• Phase 3 (Service Innovation Process): Process
Detailed Concept Development. The pro-
posed new service is analyzed in its sequence Less Suitable Creativity Techniques for
and differentiated into all details. The depen- Innovation Tasks
dencies of the partial steps of performance with For the development and implementation of inno-
each other and the frame conditions are vations, the skills of internal experts are of high
value and importance. Group work leads to syn- Guidelines and search fields for innovations
ergy effects which promote creative thinking; have to be found and set. In order to do so,
moreover, participants from different departments information about customer needs, market trends,
provide different knowledge and views on a given new technologies, etc., and determined goals have
problem. Individual techniques or techniques with to be considered. Identification and formulation of
strong individual parts without communication guidelines and search fields, however, require a
and exchange are less applicable for a specific creative exploration and treatment of this C
problem-solving task. Therefore, the imagination information.
techniques are not recommended for innovation Therefore, techniques aiming at spontaneous
processes. creativity are less applicable in this phase com-
The synectics excursion procedure is quite pared to structured and contemplative approaches.
complicated; an experienced moderator is The morphological matrix should preferably be
required for this technique. Since it also contains applied in the form of a search field matrix, as
a high proportion of individual thought processes, shown in Fig. 7. The matrix structure can also be
it is not recommendable for regular application in formed with quite different parameters.
innovation processes. Also, the Walt Disney method is to be
Creativity techniques that are intended for a recommended for this phase. It starts with broad
limited application barely come into consideration visions which of course are of a strategic character
for innovation activities. The techniques SIT and and proceeds in two further steps of evaluation,
attribute listing are not intended to be used in concretization, and critical analyses to innovation
development of innovations, as they focus on concepts. It is very well a starting method into the
product improvement, respectively, on relaunch innovation process.
of products. Circulating cards technique can be used in this
Brainstorming is the oldest and most common phase, too. It is well suited to collect perspective
creativity technique and should be particularly ideas as well as to combine and to further develop
considered. In combination with professional them; this technique offers time to think about
moderation and motivated participants, it is a business and innovation strategies without
powerful technique. However, other techniques distraction.
with special focus in application are superior to
it. Concerning most of the tasks within the inno- Creativity Techniques for the Concept-Finding
vation process, brainstorming can always be Phase
viewed as an alternative method when by any In the concept-finding phase, ideas for new prod-
reason specific techniques should not be used; ucts or services are to be found based on the
however, it is not a preferred technique in the guidelines and requirements of the innovation
innovation process. strategy. Workshops are the proper approach for
Hence, there remain a comprehensive number this task. Several (two to three) creativity tech-
of creativity techniques that can be assigned to the niques are applied successively. One should start
phases of the innovation process. In Fig. 1, the with a broad collection of ideas; for this step, the
less suited creativity techniques are marked with circulating cards technique is especially suited.
an asterisk (). After an evaluation and a preselection, certain
ideas or solution directions are immersed and
Creativity Techniques in the Phases of the further developed by applying confrontation tech-
Innovation Process niques. Especially, stimulating word analyses,
visual confrontation in the group, and picture
Creativity Techniques for Strategic Orientation cards brainwriting may be applied in this stage.
As discussed in the section The Innovation Pro- In case of a broad search field with open defi-
cess in the phase strategic orientation, analyses nitions of functional requirements and technol-
and perspective considerations are undertaken. ogy, semantic intuition is an interesting
Example: Development of innovation fields for

a supplier of metal processing
Core capabilities
Solutions for detachable
Handling and packaging

Mech. solution with little
Die cutting of accurate

demand on floorspace
Automatic assembling
Mass production of
of mass products
innovation fields
Potential new
of small parts
Solutions for
connections
small parts
small parts
Market
fastening
segments
1 Sports l1 Σ l1
2 Domestic home -
3 Communication l3 l3 Σ l3
4 Events l4 l4 l4 Σ l4
5 Private security -
6 Do it Yourself l6 l6 Σ l6
7 Garden -
Working with the matrix should be line wise ( => line by line)
Creative Ideas as a Starting Point for Innovations, Fig. 7 Morphological matrix for innovation fields
alternative. This technique can be recommended they are determined by the different technologies
especially when searching for new consumer and final applications: design methodology in
goods or new personal services. engineering and related industries, software
Part of concept finding is idea selection, which development principles in IT-related companies,
should be done in three to four steps. First, a broad and chemical engineering in corresponding sec-
screening is recommended. In the second or third tors. Overall, the creativity techniques morpho-
selection step, when there are only few ideas logical tableau and the TRIZ invention
remaining and have already taken shape, a principles can be applied in order to support and
detailed consideration and consolidation is an complete the development work.
adequate next step. Six Hats method is a helpful In this phase, usually, discussions in small
technique in this situation. It creates revealing groups of developers and experts take place to
insights, extensions and complements are recog- develop solution ideas and concepts which show
nized, and the innovation concept gets tuned. characteristics of brainstorming without being
formally named so.
Creativity Techniques for Innovation
Development Creativity Techniques for Getting Ready for the
During the development phase, the designed con- Market Respectively Getting Ready for
cept is elaborated functionally and technically and Performance Phase
is made ready for production. The approaches In focus in this phase is the setup of the production
within the various industries differ considerably; process, respectively, the final arrangements of the
service process (including testing and training). For the development of slogans, the ring-
Also, the prerequisites of market introduction exchange technique has evolved as an appropriate
have to be established. However, creating design method.
ideas is no longer necessary in this stage, as the
entire creative design work was done in the pre-
ceding phase of development. Problems occurring Conclusions and Future Directions
due to lack of consideration or unexpected alter- C
ations (e.g., suppliers cannot deliver in time, new A creative idea is the starting point for inno-
requirements of important customers, new legis- vations. The sources for those ideas are
lative regulations) may happen in this stage. For diverse. Creativity is a precondition for gener-
these ad hoc problems, it is suitable to carry out ating new ideas. Creativity is basically under-
brainstorming sessions to find solutions. As these stood as the human ability to combine elements
problems can be of various kinds, a specific tech- of knowledge and experience from different
nique is not recommended. areas in an unconventional way. Creativity
Many activities in this phase run in parallel and techniques support the genesis of ideas. They
are interconnected. To provide an overview and to consist of a set of thinking and behavior rules,
avoid disruptions, a mind map may be drawn for which stimulate as an overall effect a group or
the entire process of implementation; it should an individual to generate ideas. Meanwhile,
also include alternative and backup solutions. many creativity techniques have been devel-
This can be interpreted as a creative preventive oped and proven successful in terms of differ-
contemplation. The created mind map also helps ent application. Quite often, some methods are
to guide the processes and to coordinate the very similar; they differ only in details or are
activities. named differently while following the same
approach.
Creativity Techniques for Market Launch Some creativity techniques can be used in all
The market launch marks the completion of the areas that require creative inputs. On the other
innovation process. The conceptual and prepa- hand, there are methods which are particularly
ratory activities already begin during the pre- suitable for specific applications, such as idea
ceding phase. These activities may be generation within an innovation process. This
considered as one flow of actions up to being entry comprises on the one hand some basic,
effective in the market: A whole bunch of mea- most often used and proven successful creativ-
sures is to design with each measure in turn ity techniques and on the other hand those tech-
opening a wide range of refinements. In order niques which are especially useful for finding
to obtain creative input, companies make sub- solutions within the different phases of the
stantially use of external marketing agencies innovation process, for example, to collect
(e.g., communication designer, writers, photog- ideas in the early stage of an innovation process
raphers). These specialists often work individ- or later on, that is, during the market launch
ually or in small teams without support of phase.
creativity techniques. As for the future development, a challenge
In case the concepts and measures are devel- can be seen in finding the appropriate techniques
oped by the company itself (partially or entirely), to support the idea generation for value-added
a combined application of the circulating cards services. Additionally, the application for the
technique and visual confrontation in the group or online use of creativity techniques within the
the stimulating word analysis in workshop set- world of social networks needs to be further
tings is recommended. explored.
440 Creative Industries
Cross-References
Creative Industries
▶ Brainstorming and Invention
▶ Corporate Creativity Igor N. Dubina1,2 and David F. J. Campbell3,4,5,6
▶ Creative Behavior 1
The Faculty of Economics, Novosibirsk State
▶ Creativity and Innovation: What is the University (NSU), Novosibirsk, Russia
2
Difference? The International Institute of Economics,
▶ Creativity from Design and Innovation Management, and Information Systems, Altai
Perspectives State University (ASU), Barnaul, Russia
▶ Divergent Thinking 3
▶ Divergent Versus Convergent Thinking Vienna, Vienna, Austria
▶ Ideas and Ideation 4
▶ Invention and Innovation as Creative Problem- and Educational Technologies, Center for
Solving Activities Educational Management and Higher Education
Development, Danube University Krems, Krems,
Austria
5
References Unit for Quality Enhancement (UQE),
University of Applied Arts Vienna, Vienna,
Altschuller GS. Erfinden – Wege zur Lösung technischer Austria
Probleme. Berlin: VEB Verlag Technik; 1984. 6
Buzan T, Buzan B. Kopftraining. Anleitung zum kreativen
Denken. 3rd ed. München: Goldmann; 1986. Department of Science Communication and
De Bono E. Six thinking hats. Toronto: Key Porter; 1985. Higher Education Research (WIHO), Alpen-
Dilts RB, Epstein D, Dilts RW. Tools for dreamers. Strat- Adria-University Klagenfurt, Vienna, Austria
egies for creativity and the structure of innovation.
Capitola: Meta Publications; 1991.
Geschka H. Kreativitätstechniken. In: Staudt E,
editor. Management von innovationen. Frankfurt: Synonyms
FAZ-Verlag; 1986. p. 147–60.
Geschka H. Visual confrontation. Developing ideas from
pictures. In: Geschka H, Moger S, Richards T, editors.
Creative cities; Creative class; Creative
Creativity and innovation. The power of synergy. clusters; Creative economy; Creative employees;
Darmstadt: Geschka & Partner; 1993. p. 151–7. Creative goods; Creative occupations;
Geschka H, Zirm A. Kreativitätstechniken. In: Albers S, Creative professionals; Creative professions;
Gassmann O, editors. Handbuch Technologie- und
Creative services; Cultural industries; Culture
innovations management. 2nd ed. Wiesbaden: Gabler;
2011. p. 279–302. industries
Geschka H, Schaude G, Schlicksupp H. Modern tech-
niques for solving problems. Chem Eng.
1973;80(18):15–63. Creative industries are usually understood
Gordon WJJ. Synectics. New York: Harper & Row; 1969.
Martin JNT, Henry J. Problem solving by manipulation of
as economic sectors in which creativity and
imagery. In: Rickards T, et al., editors. Creativity and creative contributions are most significant.
innovation. Learning from practice. Delft: TNO; 1991. This conception serve as an “industrial
p. 183–8. approach” to understanding and definition
Osborn AF. Applied imagination. 3rd ed. New York:
of the “creative economy” (Dubina et al. 2012).
Charles Scribner’s Sons; 1953.
Sickafus EN. Structured inventive thinking. A conceptual Historically, the notion of creative industries is
approach to real-world problems. Ind Phys. strongly connected with the concept of “culture
1996;2(3):18–20. industries” or “cultural industries” (T. Adorno
Van Gundy AB. Techniques of structured problem solving. and M. Horkheimer), introduced and developed
New York: Van Nostrand Reinhold; 1981.
in the 1940s and 1950s (Adorno and Rabinbach
Zwicky F. Entdecken, Erfinden, Forschen
im Morphologischen Weltbild. München: 1975; Adorno and Horkheimer 1979). Over
Droemer-Knaur; 1966. 50,000 papers with this term were published
Creative Industries 441
during the last 50 years and are registered in • Core industries (advertising, film, Internet,
international bibliometric databases. Another con- music, publishing, television and radio, and
cept, “culture economy,” was introduced in the video and computer games)
late 1970s to characterize the involvement of cul- • Peripheral industries (creative arts)
tural products into economic and market relations • Borderline industries (consumer electronics,
(over 2,000 papers are registered in databases). fashion software, sport)
The first discussion of “creative industries” C
appeared in the early 1990s (over 2,000 publica- In the concentric circles model (UNSTAD
tions related to this term have been published for 2008), there are four levels:
the last 20 years).
There is no single classification of economic • Core creative arts (literature, music,
activities on which the creative industries are performing arts, and visual arts)
based; however, there is still the stable idea • Other core cultural industries (film, museums,
that “creative industries” mostly relate to “cul- and libraries)
ture economy,” media, and art-business (Caves • Wider cultural industries (heritage services,
2000). Preliminarily defined, the “creative indus- publishing, sound recording, television and
tries” are at the crossroads of the arts, culture, radio, and video and computer games)
business, and technology. They comprise the • Related industries (advertising, architecture,
cycle of creation, production, and distribution design, and fashion)
of goods and services that use creativity and
intellectual capital as their primary input According to such approaches, a set of
(UNSTAD 2008). Today’s creative industries the “creative industries” with several levels of
involve the interplay of traditional, technology- “creativity inputs” forms “creative economy”
intensive, and service-oriented subsectors. (Fig. 1). In that sense, the “creative industries”
A number of different models have been put are also connected with the arts, and by this
forward, over recent years, as a means of provid- contribute to the Quadruple and Quintuple Helix
ing a systematic understanding of the structural Innovation Systems (Carayannis and Campbell
characteristics of the “creative industries” (CIE 2014; Campbell 2019). However, there are no
2009; Lovink and Rossiter 2007; UNSTAD objective criteria for such delineation or for
2008). measuring and evaluating creative contributions
One of the historically first models of in those industries. It represents just a
creative industries was suggested by the UK stereotyped convention to consider one industry
Department of Culture, Media, and Sport in to be more “creative” than another, and such
the late 1990s (see DCMS 2001; UNSTAD
2008). “Creative industries” are defined as
those requiring creativity, skill, and talent, with Peripheral
potential for wealth and job creation through industries
the exploitation of their intellectual property.
This model includes 13 industries, such as
Related
advertising, architecture, art and antiques mar-
industries Core
ket, crafts, design, fashion, film and video,
music, performing arts, publishing, software,
television and radio, and video and computer
Borderline
games. industries
Different levels of the “creative industries”
are specified in some models. For example, in
the symbolic text model, there are three clusters Creative Industries, Fig. 1 Levels of “creative econ-
(Hesmondhalgh 2002; UNSTAD 2008): omy”. (Source: Dubina et al. 2012)
442 Creative Industries
a stereotype provokes a question: Should we of the “creative industries” understanding,

consider industries unlisted in a “creative indus- since they accent and value knowledge and
tries” classification (e.g., electronics, pharmaceu- “smart” technologies than creativity per se.
tical, etc.) to be “uncreative”? The existing models of the “creative indus-
The World Intellectual Property Organization tries” represent different ways of interpreting the
(WIPO) also suggested a classification of “crea- structural characteristics of “creative production”
tive industries” (see UNSTAD 2008) which where creativity and creative contribution are
considers industries producing copyrighted seemingly most significant. These structural
products and services: models are widely used now since they give a
way to quantitatively estimating the scale and
• Core copyright industries (advertising, film dynamics of “creative economy” in different
and video, music, performing arts, publishing, regions and countries, and to identify places
software, television and radio, and visual and with high concentrations of creative activities.
graphic art) Accordingly, there is an opportunity for charac-
• Partial copyright industries (architecture, terizing the creative economy with quite tradi-
clothing, footwear, design, fashion, household tional economic indexes (percentage of GDP,
goods, and toys) employment and wages, export and import, etc.).
• Interdependent copyright industries (blank At the same time, the reference to the “creative
recording material, consumer electronics, industries” appears rather problematic, since all
musical instruments, paper, photocopiers, and of the “creative industries,” like all other eco-
photographic equipment) nomic sectors, are not based only on new ideas
and creativity and they involve both creative
An expanded variant of an approach for and imitative activities (i.e., applying standard
classifying creative industries is the UNCTAD operations, procedures, materials, and technolo-
model. It relies on enlarging the concept of “cre- gies). For example, very few architectural or
ativity” from activities having a strong artistic design companies are “constantly creative”; they
component to “any economic activity producing mostly offer quite standard projects requiring
symbolic products with a heavy reliance on standard materials and technologies. As the
intellectual property and for as wide a market as famous architect and designer Frederick Kiesler
possible.” UNCTAD makes a distinction between remarked, only 5–15% of architectural works
“upstream activities” (traditional cultural activi- were creative, the rest were imitative.
ties such as performing arts or visual arts) and On the other side, most of the economic
“downstream activities” (much closer to the activities include creativity to a certain extent
market, such as advertising, publishing, or today. Creativity is not concentrated just in
media related activities) and argues that the “creative” (mainly and stereotypically “arts-
second group derives its commercial value from related”) industries, products, or services;
low reproduction costs and easy transfer to creativity penetrates the most of spheres of the
other economic domains. From this perspective, modern economy.
cultural industries make up a subset of the
creative industries. The model includes 236 -
positions corresponding to “creative goods and Cross-References
services” in areas of design, visual art, publishing,
music, audio and video recording, advertising ▶ Creative Class
and marketing, architecture, etc. (UNSTAD ▶ Creativity and Labor
2008). So, we can say that the WIPO and ▶ Creativity Economy Versus Creative Economy
UNSTAD models reflect some sort of evolution ▶ Creativity, Innovation, and Economic Crises
Creative Knowledge Environments 443
▶ Creativity, Knowledge, and Innovation: The

Interactive Facets of the New Economy Creative Insight
▶ Creative Brain
References
C
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Carayannis EG, Campbell DFJ. Developed democracies
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1
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Department of Psychology, School of Business,
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Connect and the Creative Industries Innovation
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DCMS. Creative industries mapping document 2001.
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SAGE; 2002.
Lovink G, Rossiter N (eds). MyCreativity Reader: a cri-
tique of creative industries. Institute of Network Cul- Definition
tures, Amsterdam; 2007.
UNSTAD. Creative economy report 2008. 2008.
www.unctad.org/creative-economy. Creative Knowledge Environments (CKEs) are
those environments, contexts and surroundings,
the characteristics of which are such that they
exert a positive influence on human beings
Creative Innovation engaged in creative work aiming to produce new
Overproduction knowledge or innovations, whether they work
individually or in teams, within a single organiza-
▶ Creativity and Labor tion or in collaboration with others (Hemlin et al.
▶ Creativity, Innovation, and Economic Crises 2004, p. 1).
444 Creative Knowledge Environments
CKEs promote the production of new creative product cannot be evaluated. Traditionally, a cre-
knowledge and can best be understood by taking ative product is defined as a product that is new,
a holistic multi-perspective, interdisciplinary useful, and of good quality. A well-known prob-
approach. One important aspect following from lem in this context is to find robust criteria for
the definition of CKEs is that they need to be judging the quality of a product, be it knowledge
understood at different micro-, meso-, and or an innovation. Quality criteria are likely to
macro-levels, from the environment surrounding change over time and to have a relational charac-
the individual knowledge worker to the more ter, and an important issue is when in the product’s
global level surrounding organizations. Indeed, life cycle, the quality evaluation should be made –
CKEs can be viewed as nested layers of environ- i.e., early, middle, or late in the cycle.
mental factors influencing the unit undertaking Examples of features that hinder the efficient
the knowledge and innovation-producing activi- functioning of CKEs are low individual competence
ties. Examples of important dimensions and levels, unclear objectives and badly coordinated
aspects of creative knowledge environments team workers, lack of a genuine research-promoting
(with brief explanations and more specific exam- culture, poor group/organizational climate, hierar-
ples in parentheses) include task characteristics chical and formal organizational structure, inability
(simple/complex, routine/novel), discipline of group members to influence the direction of
(type of disciplinary field), individuals (e.g., group work, poor internal and external communi-
knowledge profile, skill profile, abilities, cogni- cation, lack of encouragement and basic resources
tive style, motivation, and career plans), group for staff, homogeneous groups with respect to dis-
characteristics (leadership, size, degree of inte- ciplinary/subdisciplinary background and skills,
gration, inward/outward looking, degree of het- externally and weakly motivated members, poorly
erogeneity, degree of group tension, knowledge managed staff selection, poor leadership lacking
mix, skill mix, ability mix, and common/ vision and useful external contacts, and excessive
contested beliefs), general work situation for or intrusive quality control.
individuals (work tasks, time available for
research, degree of freedom in goal setting, and
quality of IT available), physical environment
(facilities, architecture, location, and equip- Cross-References
ment), organization (economic situation, organi-
zational structure, reward profile, managerial ▶ Creative Leadership
style, and degree of organizational harmony), ▶ Creativity and Innovation: What Is the
and extra-organizational environment (size of Difference?
economy and whether expanding/declining, ▶ Creativity from Design and Innovation
degree of market openness and outreach, reward Perspectives
profile, information access, job opportunities and ▶ Creativity in Invention: Theories
mobility, and cultural features). ▶ Organizational Creativity
The unit undertaking the knowledge and ▶ Psychology of Creativity
innovation-producing activities can be conceptu-
alized at different levels from individuals to
groups, to a research laboratory or institution,
and to whole nations or associations of nations. References
In order to understand the factors that help pro-
Hemlin S, Allwood CM, Martin BR. What is a creative
duce CKEs, one needs to have a clear conception
knowledge environment? In: Hemlin S, Allwood CM,
of what is meant by creativity; otherwise, the Martin BR, editors. Creative knowledge environments.
degree of creativity of the resulting knowledge Cheltenham: Edward Elgar; 2004. p. 1–28.
Creative Leadership 445
Creative leadership (ideal leadership, absolute

Creative Leadership leadership), as a fundamental form of leadership,
reveals itself in other types of leadership. Thus, it
Andrei G. Aleinikov and David A. Smarsh is useful to review the well-known styles of
International Academy of Genius, Montery, CA, leadership.
USA
C
Traditional Types of Leadership
Synonyms
Most people would agree that a good general
Absolute leadership; Idea leadership; Ideal definition of leadership is “the process of influenc-
leadership ing others toward a common goal” (see other
definitions in Bennis 1985; Burns 1978; Yukl
1981, etc.).
Definition For the majority of researchers, leadership is
personified by great people and is carried out in
Creative leadership is the process of accelerated historically great events. Thus, the leadership typ-
advancing organization. ically analyzed and discussed in literature is based
on either traits or behaviors. The well-known
classifications include:
Introduction: New Type of Leadership
• Autocratic versus charismatic (Avollo and
Creative leadership, as a type of leadership, is Bass 1988; Kuhnert and Lewis 1987)
rarely understood properly, but it is so fundamen- • Formal (leadership of position) versus infor-
tal that its ultimate form can be called ideal lead- mal (a leader controls the group without
ership or absolute leadership. being in a leadership position)
In traditional terms, “good” leadership (and • Transactional versus transformational (the
good leadership is always creative leadership) leader changes the circumstances of events)
means having the “right ideas” and “doing the (Bass 1998)
right thing” which includes having the “right behav- • Exclusive versus inclusive (the leader
ior,” knowing when and how to ask the “right embraces the opinions of the group and
questions,” then taking the “right action,” and pro- includes the group in the process of decision
ducing the “right results.” A good leader commu- making)
nicates, that is, creates and sends positive messages • Authoritarian versus servant (the leader
(nonverbal and verbal) that clearly depict the vision accepts the goal of serving the group and its
(new organization of the future world) and inspire interests) (Greenleaf 2002)
people to do their best to achieve the vision. A good
leader can use these processes in multiple situations Characteristics (Traits) of a Leader
to lead people or organizations successfully, effec- Since the main emphasis in leadership research is
tively, and with efficiency. A good leader can solve placed on the behavioral characteristics, the
complex problems – and the more creative the majority of researchers go straight to the basic
solutions are, the more successful the organization, characteristics of a leader. In numerous resources,
civilian, or military will be. Moreover, any good you will find from three to 50 basic traits that
leader (a creative leader) projects creativity to sub- successful leaders must have (see, e.g., Maxwell
ordinates, and their collective (united, combined) 2007; Smith 1986; Taylor and Rosenbach 1984).
creativity becomes unbeatable. These key qualities of a leader include strong
446 Creative Leadership
character, charisma, commitment, communica- The concept of ideal is used here as it is under-
tion, competence, courage, focus, vision, stood and explained in the works of Altshuller, the
etc. However, even the authors who identify the author (see TRIZ, ▶ “Inventive Problem Solving
21 qualities of a leader do not mention creativity. (TRIZ), Theory”) who introduced the so-called
They mention problem-solving ability, but not ideal final result (IFR) as achieving a goal with
creativity. minimal effort and minimal material expenses
(Altshuller 1986).
The Leadership of Idea (Empirical Proof) Another life example that required no other
As a counterexample of all “trait theories,” there traits of leadership except creativity is given
are instances when a person does not have all of below.
these traits, does not say anything to the group, but
functions as a leader nonetheless. Case 2 During WWII, airplanes were built and
repaired in hangars. Imagine winter time in
Case 1 During a raging flood, a group of people Russia. Working on airplanes in the open air was
became trapped on the roof of a house. The water impossible. There was frost, snow, winds, and
was rising rapidly, and there was no way to blizzards. So the obvious question was how to
escape. As the waters rose, inflated tires from a put more aircraft into one hangar so as to do the
nearby garage began to wash up onto the roof. repairing faster. People were not a problem: there
One woman saw the tires, grabbed one, sat in the were lots of mechanics. Space was a problem. All
middle of it, and jumped into the river, using it as the specialists from the Constructor General to the
an inner tube. The floodwaters carried her to a entry-level engineers were thinking of the prob-
nearby hill where she jumped off to safety. The lem. The Constructor General visited the hangars
other people trapped on the roof watched her do and talked to workers. A stunningly simple idea
this and followed her example. As a result, all of came from an older mechanic. He suggested low-
the people were saved. ering the pressure in all the left (or all the right)
tires of the chassis. The airplanes would lean to
In this case, without saying a word, simply by one side, and their wings would not interfere with
acting correctly and achieving the desired result, those of other airplanes. The same hangar could
the woman was able to lead the people to safety. accommodate nearly twice as many airplanes.
That is leadership by example some researchers Here was a creative idea-creative solution to the
would state, but notice that the woman’s leader- problem. The Constructor General was happy
ship began with an idea (“right idea”), went with the idea, he called Stalin, Stalin gave an
through to the action stage (“right action”), and order to the aviation industry, and all airplane
finished also with an idea (“right idea”) in the production plants and maintenance facilities
minds of the other people. There was no coordi- followed the suggested idea. As a result, literally
nation, no communication, and no charisma. The overnight, the air force repair industry nearly dou-
woman created an idea – a connection between bled its production (adapted from Altshuller
earlier nonconnected entities (situation, danger of 1986).
drowning; goal, safety; means, inflated, floating
tires) that led to saving her life and the lives of In this specific case, an older mechanic was the
other people. This was certainly an act of creative creative idea generator or idea leader. It was his
leadership: (a) a creative act – she generated a idea that the Constructor General, then Stalin,
creative idea and (b) a leadership act, by her then ministers, then plant directors, and finally
example, she led people out of danger. It was engineers followed. This is a clear case where no
also “ideal leadership”: (a) idea based and (b) the other traits of traditional leadership come into
best in the situation (ideal) – it required no radio, play, only creativity. Moreover, this case is an
no helicopters, no rescue workers, no explana- example of “ideal leadership”: no construction of
tions, and no instructions. It was simply ideal. new hangars, no cutting of wings, no special
platforms, and no lifting mechanisms were Emotions and feelings may exist without lan-
needed. Minimal energy was exerted to reach the guage. Ideas (thoughts, concepts, conclusions)
goal. Thus, this case is very close to an ideal need language in order to exist. People think in
leadership solution. words. Leadership, therefore, is communication,
These cases illustrate one aspect that has been verbal or nonverbal.
missed by most leadership theories: it is not the
person who is leading. It is the idea(s) that this Theoretical Analysis: Paradigm Shift C
person generates or perceives and then makes Language is the main tool whereby ideas are
available to people. The existing theories of lead- manifested. Language communication is the
ership either did not see this kind of leadership, or domain where people exchange ideas coded in
they were unable to explain it. A new theory was words, sentences, or statements. That is why lin-
needed. guistics – the science of speech and language –
has to be taken into account in order to deal with
the manifestation (expression) of ideas. As a
New Concept and New Vision of Creative response to the need, creative linguistics, intro-
(Ideal and Absolute) Leadership duced in 1988, developed the tools for analyzing
the creative aspects of speech and proved that any
The concept of creative leadership can have both a speech act is a creative act (see ▶ “Creative Lin-
narrow and a broad meaning. If creative leader- guistics,” Aleinikov 1988, 1992). This develop-
ship is understood as leadership in a creative area, ment led to the explanation of creative leadership
then its meaning is narrow. If creative leadership and eventually to a new science of leadership –
is understood as training leaders to solve problems agogics.
creatively, then its meaning is also narrow. How- As shown in cases 1 and 2, an idea (a correct,
ever, if creative leadership is understood as lead- useful, and problem-solving new idea) can lead
ership by creative ideas, then this is a broad the positional and even the autocratic leader.
meaning. A creative idea can advance the group (society)
When creative leadership is understood as to a better (more efficient) organization of its
leadership by idea (no matter who the author of activities and resources.
this idea is), the scope of the leadership concept is In any communicative act, whether at work or
widened, and the volume of the concept is at home, people listen to each other in search of
increased. new ideas. In contrast, imagine that some individ-
For example, from the religious point of view, ual mumbles one and the same thing all the time.
God leads people by ideas (absolute leadership), This person will be of no interest to anyone. But a
so God’s leadership is included in the concept of person with lots of new ideas is listened to. People
creative leadership. In secular life, a genius who listen to those individuals who have ideas. In any
develops a breakthrough idea and is then led by problem situation, people listen to a person for at
this idea is encompassed by the new concept as least a short period of time and then decide
well. A great explorer led by the dream to conquer whether or not to use this person’s idea as a part
the North Pole is included. Any person following of the common solution. If they decide yes, they
an idea is led. As Lord Byron stated, “And when continue to follow the idea (so the idea is still
we think we lead, we are most led.” “leading”). If not, they listen to someone else
Ideas, however, are immaterial. They cannot be with a more creative idea or offer their own idea.
touched, seen, or heard until they are manifested. Obviously, the person who offers the best (most
They may be articulated in speech (utterances, creative) idea becomes an idea leader without any
monologues, dialogs, presentations, etc.) or in additional or special effort. This is creative lead-
writing (notes, letters, reports, articles, books, or ership (ideal leadership) at its best.
even covenants carved in stone). In any case, the From the theoretical point of view, this creative
process of manifestation of ideas is present. leadership can be viewed as the best possible
version of leadership or as “ideal.” To combine A new theoretical approach states that if crea-
these two meanings (ideal 1 because it stems from tivity, in traditional terms, is a new combination of
an idea and ideal 2 because it is the best), a special known elements, then people who speak engage
spelling of the term IdeaLeadership© was intro- in creativity all the time. In every statement, peo-
duced (Aleinikov 1999b). ple take the known elements of language and
In contrast to the traditional view that a leader combine them in a unique manner – suitable in
is required to have certain characteristics of a this particular moment for solving this particular
leader (often described in a lengthy list), the communication problem. The degree (rate) of cre-
broad vision of creative leadership includes the ativity in a statement may vary: one statement
possibility that any person who produces an idea – with a low degree of creativity will be forgotten
a useful idea – becomes a leader in a given situa- in a second, while another – with high degree of
tion. Such an individual can be in the lowest creativity – will be remembered for centuries, like
possible position in an organizational or social Shakespeare’s “to be or not to be” speech. In
hierarchy. Such an individual may have no tradi- leadership terms, one statement “leads” people’s
tional leadership traits at all. This does not matter. minds (and behavior) for a very short period of
The idea producer becomes an instant leader time, and another “leads” people’s minds (and
because the idea leads other people. The life epi- behavior) for hundreds of years. Nevertheless,
sodes described in the cases above are examples any statement is a result of creative thinking,
of a useful idea leading. Such situations happen in and any created utterance in turn creates a new
the family life when a useful idea comes from a communicative situation and causes other people
child, at work, school, etc. to create their responses too.
Now, it is easy to see how creative leadership To illustrate this understanding, creative lin-
shapes the basis for all other types of leadership: guistics offers the theoretical model of sign, lan-
guage, language consciousness, and speech act
• Even the most autocratic leaders (despots, dic- that also reflects a heuristic act (the act of discov-
tators) rule mostly with words, and words ery, invention, or art creation – all leading by
merely manifest their ideas. ideas). That is why the model is called universal.
• The charismatic leaders also lead or rule by This three-dimensional model allowed
communicating ideas. Even those with the researchers to represent the creative act graphi-
sweetest of personalities have to have ideas to cally in relation to the society (Aleinikov 1999a).
wrap them up into charismatically delivered This vision (Fig. 1) of speech act and creative
verbal or nonverbal message. (heuristic) act shows an individual (a) as creating
• Transformational, inclusive, and servant ideas about the world (d), coding them into lan-
leaders have to have ideas in order to lead. guage tools (c), and communicating them to the
They themselves may be very intelligent and society (b), thus expanding the available domain
creative generating ideas on their own, or they of culture that includes knowledge, traditions, etc.
may solicit and use the ideas of the others Such a graphic representation allows researchers
(as inclusive leaders do), but having ideas is a to make the next step (Fig. 2) and to visualize the
must. Good leaders both generate ideas and are creativity of a genius whose creative acts
open to the ideas from the followers. (breakthrough discoveries or art masterpieces)
expand the domain of culture in the most acceler-
A person in charge – in a leadership or man- ated manner and lead the society for a long time
agement position at any level – has to generate (see ▶ “Genius”).
(create) an idea before that idea can be commu- Geniuses are the most powerful leaders. Their
nicated to followers, subordinates, employees, ideas lead all of the humanity (not simply one
etc. The idea must come first; communication country) for centuries. Moreover, their leadership
and the manner of communication come does not need armed forces, police, or any other
second. enforcement. Their leadership needs no other
Culture domain
B
p Old
A New Society
p Old B
A New
Individual
Individual
Society C
“House”
C
Symbolic system
D World(Reality) C
Symbolic System D World (Reality)
Creative Leadership, Fig. 1 Universal model of sign, language, speech act, and heuristic act (left) and how it expands
the culture domain (right)
Creative Leadership, Individual creative acts

Fig. 2 Genius creative Genius creative act expanding culture
leadership (leading into the
future)
Culture domain
Society
Individual creative acts

expanding culture
means except learning about their ideas. People forms after Röntgen discovered this type of short-
read their books, learn their ideas, and follow their wave rays. People use thousands of things and
explanations. Geniuses are the most prominent processes, including language that is renewed
representatives of IdeaLeadership: they are and recreated in every statement. Somewhere
IdeaLeaders that people follow (Aleinikov 2002). back in our history, there was a discoverer, an
For example, since early in our human history, inventor, a creator, and an author of an idea.
people have been using the game-changing inven- For more examples of creative leadership, see
tion, the wheel. People have been using calcula- “Modern Applications” below.
tion since somebody created it. People have been With this new concept of creative leadership
using logic since Aristotle described it. People that spans from a single speech act to the books
have been using x-ray technology in various that attract thousands of researchers and millions
of comments, such as the Bible, and movies that Entrepreneurship is another powerful step to pop-
attract millions of viewers in a matter of months, ularizing the field of creativity and innovation,
the general concept of leadership expands as well. which is now being examined on the scientific
In addition to traditionally construed political, level.
military, business, and education leadership, lead-
ership now includes scientific, technological, Limits of the Concept
artistic, cultural, athletic, and media leadership, Where are the limits of the creative leadership
as well as leadership in all other spheres of social concept? Below is a graphic representation of
life. This is leadership by creativity and leadership two fields – creativity and leadership – as well as
by creative act. the two sciences that reflect them and overlap
A society that leads other societies into the (Fig. 3).
future (e.g., a democracy) safeguards intellectual As the model shows, the bulk of leadership is
property in scientific research (certificates of dis- creative leadership, but there are two domains that
coveries), technological development (patents), border the limits of the concept: non-leading cre-
literature (copyright), and other forms of protec- ativity and noncreative leadership:
tion, which allows people to create freely and to
implement their creative solutions rapidly. This is • Non-leading creativity occurs when someone
acceleration in development, and this accelerated creates alone and never shows the works to
advancing organization is the creation of the public. In such a case, the works do not
new world organization by creative leadership. “lead” (attract, entertain, fascinate, enthuse,
With this rapid advancement, such fields as inspire) anybody, so there is no leadership at
creative education (Creative Education Founda- all. The person might be a founder of a new
tion, Buffalo, NY), the search for creativity- style of art or a discoverer of new scientific
enhancing techniques, and the most powerful laws, but since no one even knows about these
idea-generation methodologies and teaching inno- works, no one is led by them.
vations all become a priority. The reason is obvi- • Noncreative leadership happens when destruc-
ous: the more efficient the process of generating tive methods are used to rule, govern, or con-
new ideas, the more successful the society (group) trol somebody’s behavior (as in slavery). Such
that employs it will be. Even this encyclopedia is a leadership style does not create anything and
an example of attention to the sphere of creativity actually destroys the subordinates. The final
and innovation. The first Encyclopedia of Crea- result is that a leader who practices such lead-
tivity was published in 1999, and this Encyclope- ership style (a despot, a dictator) is usually
dia of Creativity, Innovation, Invention, and destroyed as well.
Creativity studied by the science of Leadership studied by the science of

creativity–Sozidonics or Creatology leadership – Agogics
Creative Leadership
Non-leading creativity (passive, Non-creative leadership (ruling by

isolated, no action, no innovation) force, enforcement)
Creative Leadership, Fig. 3 Creative leadership domain

Creative leadership, as opposed to both This science of leadership is called agogics.

“trait” and “event” leadership, does not have This name is coined from the Greek agogos,
time and space limitations and is much more which means “leader.” This root is seen in the
enduring. For instance, past military or political second part of modern terms like pedagogy and
leaders are still remembered, honored, studied, andragogy which are translated as leading child
and followed. It means creative leadership as a and leading adults. The traditional suffix -ics is
concept is broader than an individual leader’s added to follow the model of the names of other C
life, features, and behaviors. If events, such as sciences: physics, mathematics, linguistics,
wars, battles, revolutions, and the victors of etc. This new science, agogics, explains both the
these encounters, are still studied by students, material and ideal worlds of leadership while
then creative leadership as a concept is broader dealing exactly with its essence – advancing
than the event leadership. organization.
People are led by ideas – ideas from the past
(people study history), ideas from the present New Definition of Leadership
(people watch TV, listen to the radio, read news- The concept of leadership in general should
papers), and ideas from the future (people dream include all types and styles of leadership. As we
and have goals). Education and training as a have seen in the earlier example, the woman in
whole are nothing more than learning about the the flood managed to find the right organization
ideas developed in history for solving problems. of materials, means, and movements that
For example, Socrates became a great intellec- advanced her and the other people to the “right”
tual leader not because of his ability to motivate solution – survival and safety. Political, scien-
groups of people to do something but because of tific, and social leaders do it all the time. They
his ideas. Socrates continues to lead centuries shape the future – they lead the society to a new
after his death because his ideas remained valu- organization of the world. This new organiza-
able. He is still remembered and considered a tion of the world created by the leader, expressed
genius. The Socratic method of teaching in language, and called vision, attracts followers,
(an educational idea) is a viable methodology. and they begin to help leaders to achieve this new
Genius ideas is exactly what John F. Kennedy organization.
meant when he said, “A person may die, nations The new definition of leadership that takes into
may rise and fall, but an idea lives on. Ideas have account all types of leadership is as follows:
endurance without death.” “Leadership is the process of advancing
organization.”
New Science of Leadership
Despite numerous attempts to develop some sci- New Classification of Leadership
entific theories of leadership, “. . .leadership theo- Clearly, there are two polar types of leadership:
ries are, at this point, sets of empirical
generalizations and have not developed into sci- • Material leadership (coercion/physically push-
entifically testable theories” (Johnson 1990). Such ing/pulling – the most primitive)
situations are typical in the history of science – it • Ideal leadership (communicating/transferring
takes time to move from recognizing and describ- an idea/inspiring/motivating by idea/convinc-
ing the phenomena to distilling the essence. ing that the idea is “right”)
The research into creative leadership and find-
ing the ultimate forms of leadership (ideal leader- The scale below graphically depicts the types of
ship, absolute leadership) helps shape a new leadership, with the darkest shading representing
science of leadership that is growing out of material leadership and the lightest representing
descriptions and stand-alone theories. The ideal leadership.
research is moving from phenomena to the Ideal leadership, on one side of the spectrum, is
essence and from separate theories to science. the most powerful. It is the first to start and the
Creative Leadership, Material Traditionally studied types Ideal

Fig. 4 Leadership types
spectrum
longest to live, instant and eternal (at least as long In any case, since an idea is the creation of the
as there is one follower). Creative leadership mind, it is already created and it is creative. The
would be the closest to the ideal depicted on the question is how creative an idea is?
chart (Fig. 4).
Note that all types of leadership can be classi- What Is a Creative Idea?
fied according to the degree of ideality. The less An idea is often understood as a very new idea,
effort and enforcement a type of leadership needs, but, sometimes, an idea is a known pattern applied
the higher the level of leadership. The more effort to a new situation. In this case, the amount of
and enforcement a type of leadership needs, the newness is different. A world chess champion,
lower the level. This is a scientific, energy-based for example, recognizes moves and strategies
criterion of leadership. It is objective and that have been used by others and has a store of
measurable. winning tricks and combinations. The champion
From this point of view, the dictator type of may apply an existing idea or a combination of
leadership (dark on Fig. 4), which requires police, ideas to a particular chess game. However, true
military, terror, prisons, and other enforcement champions may also create new ideas even under
activities, turns out to be at a much lower level the pressure of a world championship match.
than a democratic type of leadership where There are thousands of attempts to define crea-
“majority rules” and ideas are freely discussed tivity (see details in Aleinikov et al. 2000). For
or, for instance, a charismatic type of leadership example, Stanley Gryskiewicz, Center for Creative
that works by inspiration. Leadership, defines creativity as novelty that is
useful (Gryskiewicz 1999). More often, creativity
What Is an Idea? is understood as the ability and the process of
An idea, whether it takes the form of thought, generating new ideas, an ability to find not previ-
notion, concept, conception, image, decision, or ously seen combinations of existing concepts.
association, is the product of mental activity, the The scientific definition of creativity states that
creation of the human mind. It can be a reflection creativity is the process of accelerating organiza-
of the material world (an image), but it can also be tion (see ▶ “Creativity Definitions:
the reflection of reflection (an idea about the Approaches”). Since creativity is the process of
image, a concept of the concept). Ideas are capa- accelerating organization and leadership is the
ble of multiplying without regard to the material process of advancing organization, then creative
world. leadership is the process of accelerated advanc-
Such is the power of ideation. Ideation can ing organization.
bring the images of the future world, and the
current material world can be reorganized to Born or Made?
fit this image. Architects and inventors engage There are debates on whether leaders are born or
in this kind of imaginative activity all made. In the same manner, people debate whether
the time. creativity is innate or can be taught and whether
It is certainly better for humanity if our scien- genius is born or nurtured. The right answer to this
tific ideas reflect the world realistically with min- debate is to delete “or” and use “and” instead.
imal fantasy, but when it comes to technology, Creativity characteristics, genius features, and
literature, arts, theater, and movies, there are no leader traits are both genetic and nurtured. If in
limits to ideation. the natural world survival of the fittest occurs,
then in the human world, the strongest and the • Creators of new technologies, such as Apple,
most creative will have advantages as well. The Microsoft, and World Wide Web, are vivid
strongest individuals may become champions and examples of creative leadership. They create
leaders in sports. The most creative individuals the ubiquitous technologies, thus leading to
find solutions, survive, and endure. Strength, cre- free communication among human populations.
ativity, and leadership are trainable and teachable. • Movie makers and movie industries are among
Thus, a trained person can be stronger, more cre- the leaders in the creative leadership domain. C
ative (to the level of MegaCreativity and higher – Their products move masses to the desired
Aleinikov 2002), and a better leader. organization of the world by creating images
No wonder that organizations like Center for and phrases that indelibly influence the minds
Creative Leadership (Greensboro, NC) are in of viewers.
demand and so successful – they adequately
reflect the essence of the issue: leadership must
be creative, and creativity (by generating win- Implementation of Creative Leadership
ning ideas) leads to success! Creative leadership Ideas
(idea leadership, IdeaLeadership) is more power-
ful and definitely much more spread than non- Many countries promote creative leadership prin-
creative leadership. ciples through organizations and educational
institutions.
For example, the Creative Education Foundation
Applications to the History and Modern (Amherst, Massachusetts, USA), one of the first in
World of Leadership the world, since its inception in 1954 in Buffalo,
NY, has offered creativity education to all sectors of
The world’s religions – Judaism, Christianity, the population, including military and business
Islam, Buddhism, and Hinduism – all are the leaders. Their unique programs, such as Creative
ideas that have led masses of people throughout Problem Solving Institute (CPSI), offer weeklong
history. In the best cases, no enforcement was conferences where creativity specialists from
needed. On the other hand, under political doc- around the world get together to share their ideas
trines like Marxism, Leninism, or fascism, the and teaching methodologies. They also teach chil-
enforcement was horrific and led to enormous dren – future leaders – to think creatively.
loss of human lives. The wars of ideas often led The Center for Creative Leadership (Greensboro,
to actual wars between the countries and coali- NC) since 1970 has led the trend in creativity by
tions (WWI and WWII) as well as between the teaching leaders in the United States and now glob-
groups of people within single countries (civil ally in the Americas, Europe, the Middle East,
wars). Wars of ideas are the fight for the domi- Africa, the Asia-Pacific region, Russia, and other
nance of a particular idea in the world of the countries. Creativity-oriented and customized pro-
future. Ideas (through people they lead) are fight- grams are geared to all levels of leadership, from the
ing for the future organization of the world entry level to the top executives in business, educa-
(Hamel and Prahalad 1996). Creative ideas are tion, healthcare, law, the nonprofit sector, pharma-
accelerating this advancement. ceuticals, and government.
Some examples of this advancement are as The American Creativity Association has for
follows: over 20 years supported global creativity and
innovation initiatives through local chapters in
• Creators of religions are next to geniuses in the United States and with international affiliates
creative leadership power. Their ideas lead in Australia, Canada, Chile, China, Singapore,
masses of the world’s population and have and Taiwan.
succeeded in doing so over the centuries and Creative leadership organizations and individ-
across the borders of numerous countries. ual companies for training leaders exist in Europe,
Africa, Asia, and Australia. They train leaders via precisely, this concept has become a subject of
conferences, live programs, and consulting. study for the new science of leadership, agogics.
One of the strongest and most consistent orga- The new science offers a new definition of lead-
nizations promoting creative leadership principles ership and a new classification of leadership and
and innovation initiatives is located in puts forward new models for studying leadership.
South Africa. The South African Creativity Foun- The ultimate versions of creative leadership are
dation, founded and headed by Dr. Kobus ideal leadership (IdeaLeadership©) and absolute
Neethling, has been advancing the country and leadership, where leading occurs without enforce-
region for about two decades. In addition to pub- ment, without extra effort, or without resources
lishing research papers and literature on creativity and where the idea is so good that the manifesta-
and creative education, the foundation organizes tion (communication or demonstration) of the
unique conferences and teaches political, busi- idea is sufficient to motivate people to follow it.
ness, and educational leaders to lead creatively. The struggle of ideas (creative or destructive) is
The South African Creativity Foundation pro- as old as ideation itself. The winners in this struggle
duces a TV show on creativity and sponsors TV are people with the better ideas or a better ability to
contests for the most creative man in Africa. Its produce (generate, create) winning ideas. The
leader, Dr. Kobus Neethling, together with the power of ideas created by individuals determines
author of this entry, holds the Guinness World the power of the social entity because they shape the
Record in publishing for the fastest written, future. If leadership in general is defined as advanc-
printed, and published book in 2001. ing organization, then creative leadership is
Some forward-looking universities and col- defined as accelerated advancing organization.
leges have begun to introduce new programs on If there is value in ideas, then any forward-
creativity. For example, Buffalo State College, looking society should be in search of the best
State University of New York, pioneered a Mas- (fastest) methods and techniques to generate inno-
ter’s Degree in Creativity Studies in the 1940s. vative ideas. Moreover, the more efficiently these
The International Center for Studies in Creativity methods work, the faster they lead to creative
(1967), established in the college, also educates ideas, and so the higher is the probability that the
researchers and creative education practitioners subject (person, group, organization) will become
from all over the world. a leader. This is where the efficiency of idea gen-
At present, there are some attempts to create eration comes into play and methodologies lead-
Ph.D. Programs for Studies in Creativity (e.g., ing to top-level creative efficiency, like
Saybrook University, San Francisco, California, MegaCreativity (see ▶ “Science of Creativity”),
and other universities). These institutions are the become necessary for succeeding in the future.
places where the new concepts of creative leader- These are the directions of future research and
ship will be researched and developed further. development as well as broad implementation to
industrial, educational (see ▶ “Creative Peda-
gogy”), social, and political life.
Leadership is a phenomenon that is not and must Cross-References

not be limited by behaviors, traits, events, or
material activity. Leadership by ideas, creative ▶ Creative Linguistics
leadership, forms the foundation of any human ▶ Creative Pedagogy
leadership. Creative leadership, therefore, must ▶ Creativity Definitions: Approaches
be included in the concept of leadership, thus ▶ Genius
expanding the traditional view. Now that the vol- ▶ Innovation in Business: Six Honest Questions
ume of the concept of leadership is defined ▶ Inventive Problem Solving (TRIZ), Theory
Creative Linguistics 455
▶ Model for Managing Intangibility of Organiza- Maxwell JC. The 21 indispensable qualities of a leader:
tional Creativity: Management Innovation becoming the person others will want to follow.
2nd ed. Nashville: Thomas Nelson Publishing; 2007.
Index Smith PM. Taking charge. A practical guide for leaders.
▶ Political Leadership and Innovation Washington, DC: National Defense University Press;
▶ Science of Creativity 1986.
Taylor RL, Rosenbach WE, editors. Contemporary issues
in leadership. Boulder: Westview Press; 1984.
Yukl GA. Leadership in organizations. Prentice Hall:
C
References Englewood Cliffs; 1981.
Aleinikov AG. Creative linguistics (foundations, problems

and perspectives). In: Language awareness: stereotypes
and creativity. Moscow: Institute of Linguistics, USSR
Academy of Sciences (russ. Креативная лингвистика Creative Linguistics
(обоснование, проблемы, перспективы). Языковое
сознание: стереотипы и творчество. Институт Andrei G. Aleinikov
языкознания, Академии Наук СССР, Москва;
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Aleinikov AG. Theoretical foundations of creative linguis- CA, USA
tics. (russ. Теоретические основания креативной
лингвистики). Unpublished Doctor of Sciences disser-
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Aleinikov A. Humane creativity. In: Runco MA, Pritzker Synonyms
SR, editors. The encyclopedia of creativity, vol. 1. San
Diego: Academic; 1999a. p. 837–44. Sozidolinguistics
Aleinikov AG. Mega-creator: from creativity to mega-,
giga-, and infi-creativity. Montgomery: MIMII;
1999b.
Aleinikov A. MegaCreativity: five steps to thinking like a Definition
genius. Cincinnati: Walking Stick Press; 2002.
Aleinikov A, Kackmeister S, Koenig R, editors. Creating Creative linguistics is a subscience of linguistics
creativity: 101 definitions (what Webster never told
you). Midland: Alden B. Dow Creativity Center that studies creative aspects of language/speech
Press; 2000. and language aspects of creativity.
Altshuller GS. To find an idea. Novosibirsk: Nauka; 1986.
Avollo BJ, Bass BM. Transformational leadership: cha-
risma and beyond. In: Hunt J, Baliga B, Dachler H,
Shriesheim C, editors. Emerging leadership vistas. Introduction
Toronto: Lexington Books; 1988.
Bass BM. Transformational leadership: industrial, military Creative linguistics (sozidolinguistics) is a study
and educational impact. L. Erlbaum Associates: of the domain common for language/speech and
Mahwah; 1998.
Bennis SW. Leaders. New York: Harper and Row; 1985.
creativity (Aleinikov 1988a, 1992b, 1994).
Burns JM. Leadership. New York: Harper and Row; 1978. Sozidolinguistics selects in any communication
Greenleaf RK. Servant leadership: a journey into the nature event only those factors that deal with the gener-
of legitimate power and greatness, 25th anniversary. ation of newness, that is, with the creative aspect
New York: Paulist Press; 2002. of language and speech. On the other hand, both
Gryskiewicz SS. Positive turbulence. San Francisco:
Jossey-Bass; 1999. creative thinking and creative behavior, as it is
Hamel G, Prahalad CK. Competing for the future. Boston: well known, are based on and/or are wrapped
Harvard Business School Press; 1996. into the language (including music and visual
Johnson DE. Leadership: some thoughts after twenty arts), and thus sozidonics, as the science of
years. In: Concepts for air force leadership. Maxwell creativity (see ▶ “Science of Creativity”), just
AFB: Air University; 1990. p. 352–7.
Kuhnert KW, Lewis P. Transactional and transformational cannot ignore the language as a colossal machine
leadership: a constructive/developmental analysis. generating more and more of the new products.
Acad Manag J. 1987;12:648–57. Neither linguistics nor sozidonics separately can
456 Creative Linguistics
understand and explain how language and crea- sections of sciences, and creative linguistics
tivity coexist and interact. That is why there grew (sozidolinguistics) is one of them. Just as
a need for creative linguistics as a combined objectively there is creativity in language and
field of research. That is why it appeared, just as there is language in creativity, the science of
1 day in the past, there appeared mathematical creativity and linguistics creates a cross section
linguistics, pragmalinguistics, psycholinguistics, to reflect this interaction. Certainly, in life, for
sociolinguistics, etc. example, sociolinguistics phenomena are inter-
related with pragmalinguistics phenomena
(Labov 2001), as well as psycholinguistics phe-
Definition and Differentiation from nomena are interrelated with sozidolinguistics
Psycholinguistics, Sociolinguistics, and phenomena, so the corresponding circles could
Pragmalinguistics be overlapping, but this simplified graph is
used just to visualize the basic relationship
Creative linguistics, as a field of linguistics that with other sciences when they emerge as
studies creativity in language and language in subsciences.
creativity, emerged at the cross section of two There are some other fields like the ones
sciences. depicted in Fig. 1, for example, mathematical
Graphically speaking, if two circles, linguistics, computational linguistics, neurolin-
representing two domains, partially overlay each guistics, a cross section of neuroscience and
other and make a cross section, then this section brain research with language research (Luria
belongs to both domains. Here is how the cross 1975), etc.
sections of fields mentioned above look on the The main difference in the process of develop-
graph. ing creative linguistics was the fact that there was
As Fig. 1 illustrates, there are subsciences or no established science of creativity at that time. It
emerging fields of research on the cross was a growing field of research, but not a science
Creative Linguistics,
Fig. 1 Subsciences at the
cross sections of sciences
Sociology Pragmatics
Sociolinguistics Pragmalinguistics
Linguistics
Psycholinguistics Sozidolinguistics
Sozidonics,
Psychology the Science of
Creativity
yet. So the founder of creative linguistics

(sozidolinguistics) had to either foresee (predict)
the formation of the new science or to create
it. That is why sozidonics, the science of creativity Creative Linguistics
(see ▶ “Science of Creativity”), was being devel- (Sozidolinguistics)
oped at the same time, and both sciences benefited
from this symbiosis. C
On its way to recognition, creative linguistics
had some differentiation problems. Some authors,
probably far from the field of linguistics, made an
attempt to apply this term to the field of
constructing artificial languages. In addition to the Interlinguistics
website on creative linguistics that dealt with arti-
ficial languages, there were some articles that asso-
ciated creative linguistics with constructed
languages (Spencer 2012). Moreover, there was
even an unsuccessful attempt to create a Wikipedia
Creative Linguistics, Fig. 2 Creative linguistics
page named “Creative Linguistics” for describing
(sozidolinguistics) and interlinguistics
constructed languages. The latter was absolutely
correctly redirected by Wiki editors to the article
“Constructed Languages” because creative linguis- The second difference between creative lin-
tics is different. It should be differentiated guistics and the other fields is the fact that creative
(disambiguated) from the field of constructed lan- linguistics was designed consciously and
guages. As a field of research that deals with crea- published first in a series of articles and then
tivity and creative acts in the language domain, described in a doctor of sciences dissertation.
sozidolinguistics certainly includes the acts of cre- That is why creative linguistics has its own
ating new languages, such as Esperanto and over name, sozidolinguistics, its own well-defined sub-
1,000 other projects, but it is not limited to such acts ject of study, as well as its own methods, models,
and cannot be attached to them exclusively. There and research results (achievements). For compar-
is a special field that deals with constructed lan- ison, shaping psycholinguistics took about
guages. It is called interlinguistics (Kuznetsov 60 years and the efforts of many outstanding
1987; Schubert 1989). It studies the international researchers such as Wilhelm Wundt, Noam
auxiliary languages, also called “constructed” and Chomsky, Dan Slobin, Judith Greene in the
“planned” languages, as opposed to the natural West, and Aleksey A. Leontyev, the “father of
languages developing spontaneously. The term the Soviet school of psycholinguistics,” with his
interlinguistics itself goes back to 1911 and was followers in the East.
greatly popularized by the famous Danish linguist
Otto Jespersen (1931).
Creative linguistics, as opposed to interlinguistics, Theoretical Foundations: Cross
is 77 years younger (1988 vs. 1911) but much Section of Creativity Research and
broader in its subject of study (see “New Subject of Language Research (Linguistics)
Research: All Language Innovations” below). If
depicted graphically, interlinguistics may be seen as As a new field of research, designed scientifically,
a part of creative linguistics. creative linguistics had formidable tasks to
As Fig. 2 illustrates, the field of interlinguistics accomplish. The outline of research included:
is only a part of creative linguistics, and, therefore,
it should not be confused with it, as any part 1. The ontological and gnosiological foundations
cannot be confused with the whole. of Creative Linguistics
1. Ontological (empirical) level of research. 2. Gnosiology of newness – the sublanguage

Facts of interaction between creativity and of creativity
language. Domain of study 3. Sozidonics and Novology
1. Creativity in general and communicative 1. Newness. Explication of the concept
component in it 2. Units and methods of Novology
2. Creativity in communication (language 3. Units and methods of Sozidonics
and speech) 4. The model of Sozidonics’ act as the act of
3. Field of study speech and languages creation. Heuristic
2. Gnosiological level of research capabilities of the model in the research of
1. Mentioning of the language in the crea- language structures generation
tivity research 1. Generation of language consciousness
2. Mentioning of creativity in the linguistic 2. Forming of Sozidolinguistics units
research 5. Analytical power of the model. Classifica-
3. Subject of study tion experience
3. Hypothesis, stages, and projected results of 6. The main techniques and methods of gen-
research erating newness by linguistic means.
2. Designing the basic models of research Lingua-heuristics and Lingua-design
1. Modeling. Creative Modeling 4. Applications of research
2. Main concepts, theories, and models of 1. Application of Creative Linguistics to edu-
creativity. Approaches to research in cation (Creative Pedagogy)
creativity. The suggested concept and 1. Designing theoretical discipline pro-
model grams with creative orientation
1. Main concepts and theories of creativity. 2. Designing foreign language acquisition
Available definitions and approaches to programs with creative orientation
its study 3. Designing faculty development pro-
1. Creativity phenomenon limits grams (Creative MetaPedagogy)
(volume of the concept) 2. Application of Creative Linguistics to trans-
2. Essence of creativity (contents of the lation and interpretation
concept). Paradoxes of being 1. Creative translation: Fundamentals of
undefinable creative theory of translation
2. Solving the paradoxes. Offered concept 2. Methodologies of teaching interpreters
of creativity. New approach to the study with the Creative Linguistics model
of creativity phenomenon 3. Application of Creative Linguistics ideas to
3. Models of creativity and the suggested management, positioning, and media
new model 1. Creative Linguistics in creative
3. Main concepts, theories, and models of lin- management
guistics (semiotic) objects. The suggested 2. Creative Linguistics in positioning
concept and model 3. Creative Linguistics in media
1. Sign. Four-side essence. Universal crea- 5. The perspectives of further theoretic develop-
tivity model ment and practical testing of the theory (list
2. Language awareness and its modeling. includes 18 types of practical applications)
Models of consciousness as functional
organ and the place of language con- The dissertation (Aleinikov 1992b), completed
sciousness in it and approved for defense, due to dramatic
3. The basic concepts and methods of Creative changes in the life of the author, has never been
Linguistics (Sozidolinguistics) published. Some compressed data from this
1. Modern speech innovations and the need research appeared in various publications and
for special tool for their research can be viewed below.
Sociocultural Background (Need) • Slang stepped out of the “thieves’ cant,” out of
By the eighteenth/nineteenth century, it became the suburbs, onto the movie screens, and then
obvious that languages change faster and faster. to ordinary life.
Wilhelm von Humboldt mentioned that language • Jargon in any professional field, like megabyte,
is energeia (Greek energeιa), which means the gigabyte, and thumb drive, filled the world of
language is creating and recreating itself in every- communication, business, and everyday
day speech act (Humboldt 1987). Historical and speech. C
comparative linguistics described thousands of • Dialectal pronunciation and grammar, like
lexical, grammatical, and phonetic changes in y’all or I ain’t got n’ting – ridiculed but still
the history of any language. When F. de Saussure multiplied by media – spread far beyond the
differentiated chronological (historical) and syn- geographical location of the dialects.
chronic research, the latter was understood as a • Finally, the Internet and global connectivity
contemporary cut, but even a contemporary cut completed the breakthrough to totally unlim-
has some duration. In abstract, it can be a momen- ited language creativity. New domain names,
tous cut, but any real research takes time; there- new programs, new acronyms, and abbrevia-
fore, it is not really a moment. So the question is tions are being added constantly. Now, any-
what happens if during that interval, called “cut,” thing goes. If a phrase or an abbreviation,
something new appears in the language. How to accidentally or intentionally misspelled word,
research this newness? Also, within the historical brings a giggle, if it shortens the message, and
trend, the question is not only which sounds, if it shocks somebody, it is cool. Lol. Authors
words, and constructions change but also why of successful phrases even copyright them.
there appeared new forms and new words and
how they appear. Thus, both chronological and Language purists, who have been fighting for
synchronic linguistics have to deal with the issue the clear, grammatically, and phonetically correct
of newness – the issue of constantly flowing lan- language, had to give up. Language changes are
guage innovations. so massive that they may seem overwhelming to
Globalization brought so much international some people. Newness, verbal newness, is ubiq-
and intercultural interaction that borrowing uitous. General research in classical linguistics
words, concepts, and even grammar patterns could not explain this process.
became the norm. English vocabulary grew to On the other hand, researchers of creativity
over 1,000,000 words. Neologisms. . . after neo- saw the language as a powerful mechanism gen-
logisms. . . after neologisms. Some examples can erating more and more of the new products in
illustrate the issue: literature, science, patents, and even music and
visual arts, but they did not have the tools to
• Coined words, like nylon, Coca-Cola, Pepsi- analyze and describe these language innovations.
Cola, iPhone, and iPad, appeared in the lan- For example, synectics (Gordon 1961) offers a set
guage, thanks to new products on the market: of methods united by the name “symbolic anal-
new products had to have new names. ogy.” One of the methods is called “book title”
• Words with slightly changed spelling, like where participants of the group have to imagine
Kwik Printshop (for quick) or Kollege (for they are writing a book about some subject and
college), became a traditional marketing trick. then make up new titles for the book that have to
• Contracted words or word combinations, like consist of two contradictory words. Obviously,
StoRoom, BlanKids, SteriCycle, or even Toys Я participants work with the language, and creative
Us (with the reversed letter R that stands for are ideas are coming from the language source. The
in Toys “R” Us), created by the marketers to results of these and other language-based creativ-
attract customers’ minds and multiplied by the ity boosting methodologies had to be evaluated,
advertising, movies, and media, added to this and perhaps, even better, they had to be scientif-
avalanche of verbal newness. ically evaluated. There was no such a thing.
A special field of research that could explain translation, however, only from one point of
how and why it is done was needed. view – the point of view of generating (and gen-
That is why creative linguistics came into erated) newness.
being. The volume of study, therefore, includes every
act from the smallest (the creation of the meaning-
ful speech sound by a baby) to the largest (like the
Origin and History of Development (Historical
creation of greatest literature masterpieces or the
Sketch)
creation of an artificial language, human, or
Creative linguistics researched the history of cre-
machine). Creative linguistics certainly studies the
ativity (see ▶ “Science of Creativity”) to find out
creation of new sounds, new words (neologisms)
that the concept of creativity changed dramati-
and word combinations (logos, symbols), new
cally in volume and contents. First, at the dawn
grammar patterns, new figures of speech, new
of civilization, it was applied only to God the
styles, etc. Thus, creative linguistics studies all the
Creator, and the only true creation was “creation
traditional language/speech units from a new per-
from nothing.” Then, much later, poetry and poets
spective. It also gives linguists new tools to see the
were considered creative (they seemingly create
creative aspect of each unit functioning in the flow
their poems from nothing). Then slowly, creativ-
of language communication.
ity concept grew to its contemporary understand-
Simply put, all language innovations make for
ing which states that every human is creative.
a subject of study for sozidolinguistics: any new-
Note that the second step after God was poetry,
ness in the form, meaning, or use of the language
that is, a language activity. As opposed to poets,
units, any newness the language brings to the
fine artists were considered just imitators of the
society, and any newness caused by societal or
nature, and the concept of creativity did not apply
individual changes make subjects of study for
to them. Thus, poetry, the creativity in the lan-
sozidolinguistics. The field of research is vast,
guage forms and the creativity of the language,
and, therefore, it opens new horizons for the new
was the first human activity recognized as crea-
researchers to explore.
tive. Poets were the most prolific newness pro-
Creation of the artificial international lan-
ducers. Shakespeare, for example, introduced
guages is only a little part of it, no matter how
1,700 new words. It makes about 10% of the
visible and romantic it is.
17,000 words that he used in all his works. It
Here is the array of units that the subject of
means he “made up” every tenth word he used.
study includes.
When creativity studies appeared (see the list
of outstanding researchers in ▶ “Science of Crea- Entity Example
tivity”), the knowledge of creativity processes New artificial Like Esperanto, Ido,
could be applied to language studies and language (constructed) languages Volapuk. . .
training, thus leading to the birth of a new field of for human communication
research – creative linguistics (sozidolinguistics) New fictional languages Like Tolken. . .
and then creatively oriented education (see New programming Like Java, HTML. . .
languages (machine
▶ “Creative Pedagogy”). communication)
New special languages Like Braille for the blind
or sign language for the
New Subject of Research: All Language deaf
Innovations New Creole languages Like Chinese Pidgin
Just as traditional linguistics, creative linguistics (mix of developed English, Swenglish. . .
studies all levels and aspects of the language language like English and
local languages)
starting from nonverbal communication and para-
New dialects Like Ebonics. . .
language factors and ending with phonetics, lexi-
New sociolects Like gender or age group
cology, grammar (traditional, structural grammar, dialect. . .
functional grammar), stylistics, and even (continued)
Entity Example Journal of Creative Behavior and Encyclopedia

New professionalisms Like RAM, bit, byte, CPU, of Creativity in the USA (Aleinikov 1994, 1999).
(jargon) thumb drive, flash drive The most well-known models of that time
New colloquialisms Like y’all, gonna, wanna, included:
raining cats and dogs
New slang Like Cool! G to G (Good • One-side sign model: the sign is the sound or
to go). . .
letter (Solntsev 1977) C
New alphabets, new letters Like transition from
Cyrillic to Latin for some • Two-side sign model (an oval divided in two):
languages. Also, letter ё the signifier and the signified (Saussure 1916,
was introduced to the 1977)
Russian Cyrillic alphabet
• Three-side sign model (a triangle of refer-
in 1797 to reflect the sound
[yo] as opposed to letter ence): symbol, referent (object), and thought
e [ye] on the one hand and or reference (Ogden and Richards 1923; Frege
letter o [o] on the other 1892)
hand
• Four-side sign model (a square): world or ref-
New texts New poetic forms, new
prose forms. . .
erent, writer’s thought, symbol or word, and
New syntax structures As Toys are us, Toys “R” reader’s thought (Searle 1975)
(sentences configurations, Us (Toys Я Us) instead of
phrases) We are toys, We sell toys Despite the fact that the introduction of each of
New words (neologisms) Like nylon, quark, these models was a big step forward and the
cyberspace, blog, discussion of their pros and cons lasted for
webinar. . .
decades, all these models had some common defi-
New meanings Like the meaning of green
in green movement. . . ciencies because none of them:
New morphemes
New phonemes • Portrayed the communication situation (the
New abbreviations and Like LOL (Laughing out only environment a true sign really lives in)
acronyms (abbreviations loud) or ROFL (Rolling on in full
pronounced as words) the floor laughing) in
• Took into consideration the speech versus lan-
chatting. . .
guage asymmetry
New intonations As in robot-like speech. . .
New sounds (new Like in personal speech, in
• Reflected the syntagm/paradigm dichotomy of
pronunciation) second language speech/language
communication. . . • Allowed the application of the systems
New signs Like road signs, logos. . . approach
New symbols Like in Toys Я us (with the • Depicted the layers of coding/decoding
reversed letter R that
• Permitted the analysis of newness
stands for are), as well as
Wingdings and Webdings • Could be used for real analysis of speech sam-
on the computer. . . ples (they were more philosophical than
New. . . linguistic)
• Had heuristic power (proved to discover
something)
Universal Model of Sign, Speech Act,
Language Consciousness, and Heuristic Act In other words, a new type of model was
The new model of sign was developed in 1977 in needed. Linguistics had been developing for so
Baku, Azerbaijan. It was first presented at the many years after F. de Saussure, and all gathered
conference and mentioned in publishing in 1979. knowledge had to be implemented into the sign
In 1988, it was published by the Institute of Lin- and language model. In addition to the require-
guistics, Soviet Academy of Sciences, Moscow, ment to be more specific, the model should be also
Russia (Aleinikov 1988c), and then by the more general (or even universal) because both the
reflected reality (D). These are the invariant

B elements of every communication situation
Society
and, therefore, of the sign and of the language.
A • Speech (AB) flows from individual (A) to soci-
ety (B). Speech is now shown not as a one
Individual point object (word), as in the previous models,
but linear, as it is in actual life. It is either a
spoken message with one sound after another
“House” in line or a written message with letters one
C
after another – also in line. Language (ABCD)
Symbolic system on the contrary is shown as a volume. Linguists
D World (Reality) often noted the asymmetric relationship
between speech and language. The model pro-
Creative Linguistics, Fig. 3 Universal model of sign,
language, speech, and heuristic act vides simple visual corroboration: line
(speech) is one dimensional, while volume
(language) is three dimensional. The model
act of communication and the act of modeling unites and separates them. Language is the
have heuristic power (Aleinikov 1988b). organization (ABCD) that allows speech
The offered model was a four-side model, but it (AB) to fulfill its function.
became a 3D model. Here is how the universal • The model shows that it is not the mere symbol
model of sign, language, speech act, and heuristic (word, statement) that has the meaning – it is
act looks (Fig. 3). somebody’s speech directed to the society that
In general, as Fig. 3 shows, an individual (A) is includes the symbol (word, statement) which
the person who creates a vision of the world (D), can be interpreted by the society. Symbols,
expresses it in symbols of the system (C), and pronounced or written, do not have meanings
sends it to the society (B). Society (or its repre- by themselves. Their meanings exist in
sentative) is any person speaking the same lan- the minds of the users (A and B), and, by the
guage or using the same semiotic system, system way, the depth of the model demonstrates the
of signs. The message (AB) is received by the depth of understanding by the individual
society (B), decoded, evaluated, and appreciated and the society.
or not appreciated. If answered, the speaker gets • The depth of the language model allows
into position A, and the listener becomes the researchers to visualize and reflect the paradig-
society B. matic relations (AC, AD, BC, BD, and any
The size and the depth of the message can be perpendicular to AB lines) as contrasted to
easily reflected by the size and the depth of the syntagmatic relations (AB) existing in speech.
model. That is why some messages would be Paradigmatic (“either or”) relations, as
ordinary (low on the creative scale) and quickly opposed to syntagmatic (“and”) ones, form
forgotten, while the others – deep and original the foundation of any language – if there are
(highly creative) – would be remembered (¼ val- no paradigms, there is no language.
ued) for centuries. • The volume (ABCD) presentation of the lan-
The newness of the model lies in the following: guage also allows researchers to visualize four
constituting surfaces (planes): reflecting sym-
• The essence of every sign is represented by bolic system (ABC), reflecting the reality sys-
four absolutely necessary and interrelated ele- tem or the system of meanings (ABD),
ments that form a tetrahedron of language reflecting the society (BCD), and reflecting
functioning: individual (A) creating the mes- the individual (ACD). The internal organiza-
sage, society (B) or its representative receiving tion of all these reflections makes the skeleton
the message, symbolic system (C), and of the language.
• The tetrahedron configuration of the language paradigmatic options exist in all layers of cod-
model explains its strength and flexibility at the ing/decoding shown in Fig. 4. When society or
same time. It also exemplifies one of the Catas- its representative (B) receives the message, it has
trophe Theory statements that the organized to do the decoding process in the back order: from
matter can go into unorganized (chaos) only the sounds reflected by the phonetics (ABC) to the
by the sharp end. Language model has four meaning reflected by semantics (ABD) or, in case
tops – all sharp – and the tetrahedron, one of of written speech, from the letters reflected by C
the basic archetype world structures, is truly graphemics (ABC) to the meaning reflected by
one of the most stable forms. That is why semantics (ABD).
languages, despite the everyday change, are Further interpretation:
stable enough to survive and grow.
• If the line (AB) represents speaking by A and • Now, when the model has a volume as seen in
listening by B, then the opposite to the speech Fig. 3, researchers can apply the systems
line (CD) represents coding/decoding process. approach (Bertalanffy 1968) to the sign and
This is the process connecting the meanings language analysis. The systems approach
(reality reflections, D) with symbols (symbolic offers to see any object (process) as a system
reflections, C). The coding/decoding layers with its function, elements, and structure.
and fields of research studying them can be Mariam Karaeva suggested that these aspects
presented like this: should be viewed as three interconnected and
interdependent levels: the levels of function,
As it is seen in Fig. 4, the mind of the individ- substance, and structure (Karaeva 1972).
ual (A) has to do the coding from images of the These levels, when applied to the model, can
reality (D), reflected by the plane ABD be visualized as follows: functional level
(semantics) in syntactic configurations (AnDB); (ABefgh), substance level (efghijkl), and struc-
then fill them with lexical units, words (AmnB); tural level (CDijkl).
then shape the morphological units, like prefixes,
roots, and suffixes (AmCB); and then express this As it is illustrated by Fig. 5, the functional level
all in sounds of the symbolic system (C) reflected (ABefgh), as most superficial and most change-
by the plane ABC (phonetics). Note that the cod- able, lies close to the speech message AB (on top),
ing layers illustrate how language as a paradig- while the structural level (CDijkl), as the deepest
matic volume (ABCD) gives individual (A) some and least changeable, lies far from the speech.
options to create the message (AB), and these The next step in building the model:
B
Society
A B
Individual
Society
A
f
Individual
Phonetics g
e
“House” Semantics h
i j
Symbol C
m k
Morphology n “House” i
D Reality Symbol C
Lexicology
Syntax
D Reality
Creative Linguistics, Fig. 4 Layers of coding/decoding
in the model Creative Linguistics, Fig. 5 System levels in the model
sense and it stops. In real life, if the person

B delivers too little newness in communication (for
p Old
A New Society instance, repeats oneself all the time), people stop
Individual communicating with that person or limit the time
of communication because it is boring. However,
even the most boring communicative act is still an
act: it delivers the fact that the individual A is still
“House”
alive and communicating. This moment is fre-
Symbolic C quently emphasized in the movies where a hero
D is shouting to the dying friend, “Stay with me!
(Reality) Talk to me!” Here, the newness of the message is
nearly equal to the fact that message is available.
Creative Linguistics, Fig. 6 The new/old plane in the
model
If every message delivers newness, then it is a
creative act (big or small – this is another issue). If
traditional creativity approach states that creativ-
• Finally, the new model gave an opportunity to ity is the process of combining existing ideas into
introduce and to show one more cutting plane: new combinations, then a communicator does it in
the plane of new/old, CDp. This plane shows every speech act. A communicator (individual A)
that there is old (part) and new (part) in every takes known elements of the language (nouns,
message, text, statement, and phrase, in every verbs, adjectives, etc.) and combines them into a
communicative act. new message to solve the communicational prob-
lem. Every situation is unique (time is irrevers-
As Fig. 6 shows, every message of speech ible), and every message is unique because none
(AB) carries a part that is known to the society of these can be repeated or reversed.
(B) that should recognize it in decoding (BCDp) If a discovery or invention is tested on the
and then the new part (ACDp) that the individual model, then every discovery or invention has a
speaker (A) delivers as one’s input. The amount of unique (new) vision of the world (D), developed
this new may vary in volume – the plane is flexible by individual (A) and expressed in the symbolic
and movable. system (C) to be delivered to society (B) for eval-
The presence of new/old in every speech act uation and implementation. It may be in the form
was researched by the Prague Linguistic Circle of an article or patent application, but it is still a
and Functional Grammar as theme (topic) and message containing some old information (what
rheme (comment, focus) dichotomy. They was before) and some new information (what it is
showed how the word order and intonation influ- now in the opinion of individual A). So the model
ence the presentation of theme (old) and rheme reflects a speech act and a heuristic act equally
(new) in every speech act. For example, in the well. That is why it is called a universal model.
simplest case, the phrase stress (as opposed to The final model that unites all the previous
word stress) emphasizes the new (rhematic infor- divisions looks as follows:
mation). One sentence “students arrived later” can As Fig. 7 shows, the newness plane (CDp) cuts
be stressed differently: (1) Students (not teachers) all the coding/decoding layers shown in Fig. 4, as
arrived later. (2) Students arrived (not departed) well as all the systems levels shown in Fig. 5.
later. (3) Students arrived later (not earlier).
What creative linguistics has proven is that • The final model allows researchers to see the
every message exists to add newness and to inner volumes or the outer surfaces of the fields
deliver newness to the communicator (society to study. Having this instrument, a linguist or
B). Therefore, there is newness in every message. any other researcher will never “miss” a field.
It may be significant or insignificant, but it is Many of the planes and volumes have already
available. Otherwise, communication has no been discovered by linguists – the model only
Creative Linguistics,
Fig. 7 Complete model of
sign (language) B
p Society
A
f
Individual q
g
e s C
j
Phonetics u h
i w x
K
V
“House” I Semantics
Symbol C
m
n
Morphology
Lexicology D Reality
Syntax
placed them visually and corroborated their patterns of the language knowledge. That is
existence. However, not all of them. In a case, why foreign language learning takes so much
when the model points at some unknown field effort: it is not only words but also the WAY it
of research, the model becomes a heuristic is said.
instrument. In some cases, the change is nom- • Graphically, the superficial knowledge of the
inal: for example, the plane (ACD) “looking” language may be depicted by a shallow model.
at the individual (A) could be named On the contrary, profound knowledge of the
competentics because it reflects the individ- language with its structural richness, substance
ual’s competence, the command of language, fullness, and functional fluidity may be
or the proficiency, as educators call it. This depicted by a deep model. The model, there-
plane is also reflected by such a well-known fore, can serve as a visual diagnostic tool.
science as psycholinguistics. • The main achievement of the model is the
• The side opposed to competentics (ACD) and visualization of the necessity for the creative
represented by the field BCD that “looks” at linguistics represented by the volume ACDp.
the society (B) reflects the overall language The science of new words called neology takes
knowledge of the speaking community (or its only the volume Amnp, thus totally skipping
representatives). In commonly accepted lin- the grammatical coding changes (AnDB, syn-
guistics, this plane is reflected by pragmatics tax; and AmCB – morphology). So, the model
(pragmalinguistics) and sociolinguistics. Crea- “pointed” in the direction of new research and,
tive linguistics gives it a general name therefore, proved its heuristic value.
gnosionics, from Latin gnosis – knowledge.
The units of gnosionics may be called The development of the model and its extrap-
gnosemes (like the units of phonetics are called olation to the other fields continues till today. This
phonemes and the units of morphology are model turned out a universal model of language
called morphemes). When somebody says, and language consciousness (1988), sign, speech
“You can’t say so!” or “People do not speak situation, and speech act. The model shows and
like that!” or “Usually, we say it differently!” explained things that have never been explained
they state a discrepancy between what they by any other sign models in linguistics. It is simple
know from their language experience and heuristically powerful at the same time. Most
(gnosionics) and what they hear. This general- importantly, though, it also gave the basis for
ized language experience forms gnosemes – introducing a structural plane between the old
and the new. By doing this, in addition to all speech products. Some speech products are trivial
previous extrapolations, the model became a (low volume of newness); the others are original
model of innovative act as well as a model of and interesting (high volume of newness).
directions for future innovations. It is this model Geniuses create the top volume of newness in
that determines what one needs in order to make their works. That is why the creative act of a
an innovation. It is the model that shows the genius, illustrated by the model, looks different
directions to the future research, including the from the creative act of an ordinary person (see
research of genius (see ▶ “Genius”), education ▶ “Genius”).
(see ▶ “Creative Pedagogy”), and leadership The new measurement methods were intro-
(see ▶ “Creative Leadership”). duced thanks to paradigmatic analysis used by
creative linguistics (see ▶ “Novology”).
New Methods and Results of Research
The model described above, in addition to its
general philosophical and linguistic value as a Applying Creative Linguistics to
universal model of sign, language, speech act, Education and Training
and creative act, becomes a practical everyday
tool for creative linguistics research. The model The first applications of creative linguistics were
helps: in the field of education. There were three direc-
tions: teaching theoretical disciplines, teaching
1. To describe the newness in unified terms. practical disciplines (both belong to creative ped-
2. To figure out the location of the newness: agogy), and then teaching teachers of both theo-
whether it belongs to semantics (D), phonetics, retical and practical disciplines how to teach
graphemics, or, in general, symbolics (C), creatively (creative metapedagogy).
pragmatics (B), or competentics (A). The first article on creative pedagogy was
3. To find out the depth of newness: whether it published in 1989 (Aleinikov 1989b) and on cre-
belongs to the functional level (superficial), ative metapedagogy in 1990–1992 (Aleinikov
substance level (intermediate), or structural 1990c, 1992a).
level (deep).
4. To place the newness to the coding layer Creative Orientation of Theoretical Programs
(syntax, lexicology, morphology). Creative linguistics was first introduced and tested
5. To visualize and describe the exact unique on the theoretical studies of English grammar
profile of particular newness as a combination and history of English. The results of the appli-
of all points. Measuring the profile in quantity cation were unusually positive: students, who
units makes the comparison of the created var- were involved in the creation of their own
iants more objective (not as I like it or I do not props, posters, and plays and finally wrote a
like it, which is subjective). It means, for book, called it the best course in their lives.
instance, that the marketing efforts (creating Students began (voluntarily) to apply new
new ads) can be more precise and less methods of learning to practical courses, like
expensive. speech practice. The leadership of the Military
Institute saw it as a new potential, a new direction
In short, the main advantage of this model is in education. The author was awarded the first in
that it allows researchers to formalize and visual- the Soviet Union 3-year “doctorantura” fellow-
ize the amount of newness – usually so vague or ship (usually it was for 2 years) with the task to
refined that for centuries it seemed impossible to describe the new teaching system. A new book
measure. titled Созидание грамматики и грамматика
New type of analysis, the sozidolinguistical созидания/Grammar Creation and Creation
analysis, analysis of the newness presented, is Grammar became the first in the Soviet Union
introduced as a new method of analyzing the “creatively oriented” program (Aleinikov
1990a). A methodology manual for creative ori- managers) visited the class after 7 days of learn-
entation in teaching and learning theoretical dis- ing. When they saw their parents (without any
ciplines was published the same year (Aleinikov previous knowledge of the language) communi-
1990b). cating in English and doing it with fun, they
Creative pedagogy principles were applied to declared that they were not going back to tradi-
the theoretical courses of military translation, the- tional school where they had been studying
ory of translation, lexicology, and other disci- English for 3–5 years but could not speak at all. C
plines at the Military Institute, Moscow. They wanted to join the experimental group.
In the USA, creative orientation was applied After success in Perm, where the new method-
to: ological approach was first exposed to public, the
author of the program was invited to teach and
• Word Origins and Usage (ENG2210), license this program with certification and
1994–2006 recertification of the teachers for the Center “Pro-
• History of Russia (HIS335, 535, 336, 536), fessional” (Moscow) offering classes in
1995–1996 40 languages.
• Psychology of Creativity (PSY3390), Later, the elements of the Hyper Efficient Lan-
2001–2006 (see ▶ “Psychology of Creativity”) guage Program (First HELP +2000) were used in
India for the Indian Navy officers and Russian
The latter became the third program in the specialists (1990–1991). At present, the elements
USA offered at the university level and the first of this program are used for the immersion pro-
in the southeast. gram of the Defense Language Institute Foreign
Language Center, Monterey, California
Creative Orientation of Practical Disciplines: (2008–2012).
Hyper Efficient Language Program (HELP In the USA, Creative Orientation of Practical
+2000) Disciplines was applied to:
Creative linguistics was also applied to the prac-
tical foreign language studies – to the acquisition • Russian (all levels) at Auburn University,
of English and Russian as foreign languages Montgomery, Alabama
(Aleinikov 1989a, c). • Effective Communication (COM1110) at Troy
Since the new definition of creativity states that University, Montgomery, Alabama
creativity is a human activity of accelerating
organization and/or deceleration disorganiza- Creative Metapedagogy: Teaching Managers
tion (see ▶ “Creativity Definitions: Approaches” and Teachers
and ▶ “Science of Creativity”), the main task was The next natural step after the creation of creative
to create a system of the fastest (most accelerated) pedagogy was to check whether methodologies of
course of foreign language acquisition from level creative teaching are teachable. Creative meta-
0 (zero). pedagogy – the science and art of teaching
Such a program was designed and tested in teachers how to teach creatively – appeared
Perm, Russia. The experimental program was and was reported in 1990–1992 (Aleinikov
named Hyper Efficient Language Program (First 1990c, 1992a).
HELP +2000) because the students acquired over Within 2 years, three professional development
2,000 words and phrases in 40 h of learning centers tested the new creative pedagogy method-
(Aleinikov 1995b). A new methodology allowed ologies – all with success:
participants to learn the basic dialogs and under-
stand simple conversations needed for traveling to • Russian Academy of Sciences Center for Cre-
England. An episode that happened on the sev- ativity Research (Moscow)
enth day of studying can offer some illustration. • Russian Academy of Sciences Center ILAN
Children of the adult students (CEO and (Moscow)
• Center for Pedagogical Innovations • School education (New Challenge School,

(Krasnodar) Montgomery, Alabama; Franklin Junior High
School, Franklin, Ohio; Jiemin Primary
The Russian Academy of Sciences Center for School, Singapore; etc.)
Creativity Research (Moscow) and Russian Acad- • Postsecondary education (five colleges in
emy of Sciences Center ILAN (Moscow) used it Russia, higher education institutions, like Mil-
for creative management programs to teach man- itary Institute, Moscow; Air War College,
agers. Thus, after the collapse of the Soviet Union, USAF University, Maxwell AFB, Alabama;
creative linguistics and creative pedagogy were Troy and Auburn Universities, Montgomery
immediately applied as new tools for changing Alabama; Defense Language Institute, Monte-
the methods of leadership and management in rey, California)
Russia (Aleinikov 1991). The Center for Creative • Teacher and professor professional develop-
Research (Moscow) offered training to military ment (the University of Cincinnati, Ohio;
and civilian leaders and then published a five- United States Air Force Junior Reserve Officer
volume book titled Creative Management – a Training Corps (USAF JROTC) Instructors,
totally revolutionary concept for the country Garmisch, Germany, and Maxwell AFB,
under totalitarian regime for over 70 years. The Montgomery, Alabama; Davis and Elkins Col-
book included the translation of the most famous lege, Elkins, West Virginia; Ohio State Univer-
Western authors on creativity as well as an article sity; Teachers Centers in Bangkok, Thailand;
on how to use creative linguistics for the new Karachi and Islamabad, Pakistan; principal
realities (for details on the innovative vision of education in Pretoria and Johannesburg,
leadership developed thanks to creative linguis- South Africa; as well as universities, colleges,
tics, see ▶ “Creative Leadership”). schools, and officials of the Ministry for Edu-
The Center for Pedagogical Innovations cation, Singapore)
(Krasnodar) took it to educators. The center spon-
sored the development of the creativity test The results of applying creative pedagogy to
(Aleinikov 1990d) that could be used for individ- real education problems are more than positive. In
ual and group creativity and then organized crea- Singapore, for example, the Jiemin Primary
tive metapedagogy training for professors of five School officials selected 13 sixth graders (out of
colleges. 1,200 students) who were labeled “incorrigible
The concept of creative pedagogy immediately and doomed to fail.” After 2.5 days of pedagogi-
became popular and got into the encyclopedia cal intervention, all students proved to be “ideal
editions (Popov 1995). learners,” and 7 months later (without any follow-
In the USA, creative management training in up), they passed all four state exams (math, sci-
the form of creative problem solving was offered ence, English, mother tongue) and proceeded to
to a number of Fortune 500 companies, such as the next level of academic education, thus leading
3M, Alabama Power, Georgia Power, Mississippi to 100% success of the program. Teachers and
Power, Procter and Gamble, Schlumberger, etc. parents called it a “miracle” (Aleinikov 2003).
Creative metapedagogy for the first time in the At present, the term creative pedagogy is well
world was offered for the graduates as the course spread. It is used for monograph titles and pro-
titled Foundations of Creative Education grams names. The concept is studied and taught at
(EDU6625) at Troy University. the university level. Some of the methods have
By 2010, creative pedagogy and creative meta- already been considered “classic” (see ▶ “Crea-
pedagogy in the form of numerous programs for tive Pedagogy”). Finally, a new Encyclopedic
teachers, managers, and educational and business Reference Dictionary titled Creative Pedagogy
leaders spread from the USA to Pakistan, Singa- (Popov V.V. – editor) is being published in Russia.
pore, South Africa, and Thailand. It has been This is how creative linguistics contributed to
successfully applied to: solving world educational problems.
Applying Creative Linguistics Research development of concepts of creative leadership,

to Science ideal leadership, and IdeaLeadership© that broad-
ened the classification of types of leadership and
The application of creative linguistics helped to define the field of agogics (see ▶ “Cre-
(sozidolinguistics) research to education led to ative Leadership”).
the development of new field of research like In the same manner, new concepts like ideal
creative pedagogy, creative andragogy, and learner, ideal teacher, and ideal education model C
creagogy as a combination of both. Creative ped- have been introduced to pedagogy, thus
agogy led to creation of Genius Education Meth- expanding the field of education.
odology, the fastest method of human mind This is how new concepts, models, theories,
orientation to genius development (see ▶ “Crea- and definitions that have been developed by crea-
tive Pedagogy”). tive linguistics influenced the scientific vision of
Studying the thinking methodologies of genius the world.
led to the discovery of the methodology of dis-
covery. As a result, a group of California scientists
discovered 11 new laws of conservation Disseminating Creative Linguistics:
(Aleinikov and Smarsh 2010). Dissertations and Conferences
The application of creative linguistics research
to the field of creativity, as a giveback, contributed The process of dissemination of creative linguis-
to the development of the science of creativity, tics concepts and achievements was going in a
whether called sozidonics or creatology (see traditional pattern: from one country and one lan-
▶ “Science of Creativity” and Magyari-Beck guage to the other countries and other languages
1999). (Armenian, Azeri, and Georgian in thesis) and
Introduction of the new measuring units and then via English (published first in India) to inter-
ways to measure creative output by creative lin- national recognition. The process was slowed
guistics led to the development of the fastest down by the dramatic events in the life of the
methods and techniques boosting creativity to founder (transition from the Soviet Union to the
the level of megacreativity (see ▶ “Genius” and USA) but still was going on. Despite the fact that
Aleinikov 2002a). the main work on creative linguistics (Doctor of
The application of experience on how to create Sciences Dissertation titled Theoretic Founda-
a new science like creative linguistics tions of Creative Linguistics) has never been
(sozidolinguistics) led to founding new sciences: published, the applications of creative linguistics
to education, creativity research, leadership and
• Geniusology, the science of genius (see management field, advertising and publishing, as
▶ “Genius”) well as science in general, as corroborated by the
• Novology, the science of newness (see author’s national and international awards, includ-
▶ “Novology”) ing a Guinness World Record in publishing, are
• Organizology, the science of organization (see impressive.
▶ “Science of Creativity”) The pioneering role of the author in the crea-
• Agogics, the science of leadership (see ▶ “Cre- tion of the new trend of research was directly
ative Leadership”) stated about 20 years later after the publication
• Generagogy, the general science of teaching of the first article on creative linguistics by
that unites pedagogy and andragogy (see V.I. Karasik, who wrote:
▶ “Creative Pedagogy”)
In the contents aspect, this category [routine
vs. creative aspects of communication], as far as
In addition to new sciences, the application of I know, has never been the subject of linguistic
creative linguistics (sozidolinguistics) research to research, except the publications of
the leadership and management field led to the A.G. Aleinikov, who stated the need to develop
Creative Linguistics. . .. (Aleinikov 1988a; Karasik the problem of communication just as an inventor
2008) or engineer solves a technical problem. This sim-
Creative linguistics continues to benefit both ple proof is so significant because it eliminates the
the linguistics field and the creativity field. As a dichotomy creative or not creative. If the person
relatively new trend in linguistics, it continues to can speak, the person is creative. The question
attract new researchers. For example, the creative now is how creative or how much newness the
potential of linguistic units is studied in the dis- person is delivering in his/her messages. This can
sertation of Remchukova (2005). On the other be taught, and people who get through training in
hand, the term creative linguistics is also used as creativity begin to deliver much more creative
a generic term for creative thinking techniques results. This is how creative linguistics paved the
that employ the language heuristic power for find- way to creative pedagogy (that got into encyclo-
ing new ideas (Vagin 2010). pedia nearly immediately) and creative meta-
Moreover, after over 20 years in existence, pedagogy, both of which received wide
which had been predicted by the founding article international recognition for their innovative
(Aleinikov 1988a), creative linguistics became teaching methodologies, new vision of innovative
the theme of scientific conferences (Gridina education (Aleinikov 1995a), and impressive edu-
2008). cational results.
Finally, with the spread of the Internet, the term Creative linguistics also contributed signifi-
creative linguistics becomes a kind of commonly cantly to the science in general by founding
used word combination, and people apply it, for seven new sciences and three subsciences, new
example, to create new logos and trademarks models, new theories, and new concepts (see, e.g.,
(Retrieved from http://www.multitran.ru/c/m. Aleinikov 2002b).
exe?a¼4&MessNum¼5522&l1¼23&l2¼2) or In the creativity field, creative linguistics led to
just to have fun in creating new combinations of a new (scientific) vision of creativity (see ▶ “Cre-
words and statements. Some authors even call ativity Definitions: Approaches”) and served a
creative linguistics “a consultant’s marketing catalyst for shaping a new science of creativity
tool in the new world order” (Binneman 2011). (see ▶ “Science of Creativity”). Creative linguis-
So the popularization stage of the term creative tics, with its well-structured approach, developed
linguistics is going on. the way to measure creative output, thus leading
to the development of the most powerful methods
boosting creativity to megacreativity and more
Conclusion and Future Directions (Aleinikov 2002a).
Combining creative pedagogy methodologies
Creative linguistics (sozidolinguistics) that and megacreativity concept led to the design of
appeared on the cross section of creativity domain the unique educational system “Genius” and
and linguistics domain studies the creativity brought the author worldwide recognition in the
aspects in language and the language aspects in form of best seller, invitations for keynote
creativity. As a branch of linguistics, sozidolin- speeches at the international creativity and educa-
guistics selects in any event having a sign nature tion conferences, numerous international awards,
the factors dealing with the generation of new- and even, as some creativity experts think, the title
ness, that is, with the creative aspect of language of “the most creative man in the world” (Ramos
and speech. 2006).
Creative linguistics was the first to prove that When applied to business, creative linguistics
every speech act is a creative act because, by using worked its way to training managers of the For-
the known elements of the language, a person tune 500 companies and showed the fastest results
creates a message (speech act) that is unique in publishing confirmed by the unbeatable Guin-
(will never be repeated) and, by doing so, solves ness World Record in publishing.
Since the main research on creative linguistics моделирования. Языковое сознание: стереотипы
has not been published, the author’s main task is и творчество.
Aleinikov AG. Sign. A four-side essence. Universal crea-
to publish the work that brought so much to tive model. In: Sorokin YA, Tarasov EF, Ufimtseva NV,
humanity but still remains hidden. Therefore, the editors. Language awareness: stereotypes and creativ-
task of translating creative linguistics from ity. Moscow: Institute of linguistics, Academy of Sci-
Russian to English and publishing it is one of the ences; 1988c. p. 89–115. russ. Алейников А.Г. Знак.
Четырехсторонняя сущность. Универсальная
main directions of work. креативная модель. Языковое сознание:
C
Applying creative linguistics methods and стереотипы и творчество.
models to business, advertising, marketing, Aleinikov AG. Creativity and language acquisition. In:
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Creative Management 473
1984 (Kuhn 1985), and the third conference was

Creative Management held June 2–3, 1987, in Pittsburgh at the Graduate
School of Industrial Administration, Carnegie-
Fangqi Xu Mellon University (Ijiri and Kuhn 1988). All
The Institute for Creative Management and three conferences were sponsored by the IC2 Insti-
Innovation, Kindai University, Higashi-Osaka, tute at the University of Texas at Austin. The
Osaka, Japan conference proceedings were published by C
Ballinger Publishing Company in 1984, 1985,
and 1988. Such conferences have an influence
Synonyms on academic circles and the industrial world in
the United States.
Creative business; Creativity in business; Innova- In the United Kingdom, the Open University
tive management Business School offered a course called “Creative
Management” for MBA candidates in 1991
(Henry 1991). The course is now called “Sustain-
Definition
able Creative Management” and is still held at the
school.
Creative management is the study and practice of
In China, Changzhou University established
management, drawing on the theories of creative
the Institute for Creative Management in 2005. It
processes and their individual, group, and organi-
is the first institute on this research area in China.
zational application.
In 2010, the Institute for Creative Management
and Innovation was launched at Kindai University
Origin of the Concept in Japan. It is the first institute on this research area
in Japan.
Creative management has its origin in two aca-
Research on creative management has been
demic research spheres: one is management stud-
developing from North America to Europe and
ies and the other is creativity research. The former
Asia, and the level of research has become higher
has a history that is longer than a century, and the
with the development from conferences to MBA
latter is more 80 years old. Management studies
courses and research institutes. Thus, creative
paid more attention to a person than a thing, and
management has become a promising research
creativity research has been developing applicable
area for the future.
ranges since the 1980s; creative management was
born as an inevitable result (Xu and Rickards
2007).
Research Subjects
There are two primary research subjects in crea-

Research Activities in the Main Countries tive management: the creative company and the
creative manager (Xu 2005).
Research on creative management began in the
United States in the early 1980s, although one can Creative Company
find terms like “corporate creativity,” “organiza- In assessment of a creative company, two aspects
tional creativity,” and “creative business” in some are observed: creative behavior and creative
books and academic journals prior to that time. environment.
In 1982, the First Conference on Creative and
Innovative Management was held October 5–6 at Creative Behavior
the RGK Foundation in Austin, Texas (Charnes A creative company is an enterprise that has won
and Cooper 1984). The second conference was intense competition with creative behavior. For a
held at the University of Miami November 7–9, company, creative behavior has three layers:
474 Creative Management
individual creativity, team creativity, and organi- Sony was unable to find a maker to do it without
zational creativity. Individual creativity is the Okano.
foundation of team and organizational creativity.
Because corporative competition in the market is Creative Manager
not an individual play, it is an all-out play; a The creative manager is a creative person who
company must pull together individuals’ creativ- possesses a creative personality and has the abil-
ity to become team creativity and organizational ities of creative thinking, creative decision mak-
creativity. ing, and creative leadership. A creative
personality is a psychological characteristic. It
Creative Environment refers to an individual’s overall constitution and
A created environment includes both physical capacity to be creative.
environment and social environment. The former
means facilities, materials, literature, and so Creative Personality
on. The latter includes human relations, organiza- Personality is a psychological concept. It consists
tional atmosphere, and corporate culture. In short, of a person’s make-up and interactions with the
hard (physical) environment and soft (social) environment. A person’s behavior is prescribed
environment come together at the same time. In by his/her personality. Independence, impulse,
this environment, employees can do their best and curiosity are characteristics of creative
creative work. personalities.
Canon is a high-technology maker of cameras
and printers, and had about 194,000 employees Creative Thinking
and ¥3707 billion (US$46.5 billion) of revenue Creative thinking is an original function of the
in the 2010 fiscal year. It is a creative company brain that is related to problem solving. Creative
not just because of its share of the market but thinking is not a gift but can be formed through
because it owns 80,000 patents and its achieve- training. The premise of creative thinking is to do
ment in new product development (Tanaka away with common sense. If one sticks only to
2004). Other creative companies from the For- common sense, he/she never thinks creatively. It
tune 500 include Apple, Samsung, Sony, requires bravery to do away with common sense
Lenovo, and Haier. because of the potential risks – failure, loss of
However, creative companies are not only position or job. Therefore, it is necessary rational
large corporations. Some smaller companies thinking – hypothesis, reasoning, verification, and
have distinctive competitive power in the world. so on – is also included.
For example, Okano Industrial Co., Ltd. is a small
company in Japan with only six employees, Creative Decision Making
including the president. However, its revenue is Decision making is the ability to decide some-
¥600 million (about US$7.8 million) (Okano thing by one’s self. It is a necessary ability for a
2003). On the average, one person’s revenue is CEO to judge the conditions and future when
¥100 million (about US$1.3 million)! In general, he/she wants to take action. But it is impossible
average revenue for a small company is only to know whether all decisions will be correct.
¥10 15 million, and even for a big company A CEO has to do such decision making every
the average revenue is ¥20 25 million in Japan. day. If a CEO’s decision has brought about huge
Why is this company so successful? Because they profit, one can consider that he/she has a capac-
have some original techniques and developed sev- ity for creative decision making. Tadashi Yanai,
eral unique products. They invented a needle so the chairman, president, and CEO of Fast
that patients never feel pain at injection. Sony Retailing, has said, “1 win and 9 defeats
asked the company to make the case for the lith- (Yanai 2003).” This means that, although he
ium ion battery for its mobile phones, because of had failed many times in his business life, if
Creative Management 475
only one time was successful, the business will started by his father into the number one retailer
be sustainable. of clothes in Japan and created the worldwide
UNIQLO brand due to his creativity and manage-
Creative Leadership ment innovation.
Leadership is an ability to manage a company. Zhong Qinghou is the founder of the Wahaha
A CEO should lead the company with a broad Group, the largest maker of soft drinks in China.
view of things and does not need to be involved in Under Zhong’s creative leadership, the company C
daily operations. A creative manager can make the competes with foreign giants such as Coca Cola,
best of the subordinates’ creativity and lead them Pepsi, and Danone and has been developing rap-
to solve the short-term problems and deal with idly. Zhong was named as the number one billion-
longer-term research. Because leadership has an aire in Mainland China by Forbes in 2010 (March
abstract character, it is difficult to assess from the 29, 2010).
outside. Therefore, creative managers often use Fig. 1 provides a summary of the elements of
their own words to explain it. For example, Liu creative management that are explained above.
Chuanzhi, the founder of Lenovo, subdivided
leadership into three concrete abilities: the ability
to make a managerial team, the ability to enact Creativity in Business
strategy, and the ability to pull together subordi-
nates (Xu 2007). The history of creativity research in business goes
The late Steve Jobs, founder of Apple, was one back to the 1930s in America. It began in product
of the most creative managers in the world. Some- development and advertising and explored aspects
times he was seen as an uncommon man by the of people and organization within the development
people around him because of his strong creative of management. “Brainstorming,” the famous cre-
personality. His abilities of creative thinking, creative thinking method, was born at an advertising
ative decision making, and creative leadership company, BBDO, in 1938 (Osborn 1953).
were better than any manager in the industrial Later, other fields related to management identi-
world. Apple became one of the most creative fied the significance of creativity. For example, idea
companies in the world because of his leadership creation, product development, design innovation,
(Isaacson 2011). acquisition of knowledge capital, enforcement of
Tadashi Yanai is a creative manager in Japan. spin-off, marketing development, cost control,
He transformed a small clothes shop that was human resource development, and competition
Creative Management, individual creativity

Fig. 1 The elements of Creative behavior
creative management team creativity
Creative company organizational creativity
physical environment
Creative environment
social environment
creative thinking
Creative ability creative decision making
creative leadership
Creative manager
independence
Creative personality impulse
curiosity
476 Creative Management
have acknowledged potential for creativity and its The Developmental Principle
stimulation. Courses related to creativity and busi- Potential creativity will become actual creativity
ness are offered at many colleges and universities under suitable developmental conditions. Con-
(Xu et al. 2005). For example, Harvard Business versely, actual creativity will decline if the person
School has a course called “Managing for Creativ- is restricted in opportunities to display his/her crea-
ity”; Columbia Business School offered an MBA tivity. Creativity is not a fixed attribute; it must be
course called “Entrepreneurial Creativity”; DePaul changing and developing. In most cases, develop-
University’s MBA program includes the required ment is the main characteristic. Development has
course “Creativity in Business”; Indiana University two sides: outside and inside. Suggestion systems,
offered an MBA course entitled “Creativity and group action, and project teams are outside. On-the-
Innovation: Generating New Venture Ideas”; job training (OJT), self-education, and self-
Northwood University has a course “Creativity development are inside. Because employees’ poten-
and Business”; Stanford Business School has two tial creativity will gradually become actual creativ-
courses entitled “Creativity in Business” and “Per- ity through development, a CEO should offer
sonal Creativity in Business”; Hass School of Busi- opportunities to apply actual creativity. For exam-
ness at University of California, Berkeley, offered ple, offering work that provides someone with a
an MBA elective course entitled “Creativity in sense of purpose or higher responsibility.
Business”; Michigan Business School’s course is It is possible that someone’s creative talent
called “Managing Creativity” as is HBS’s; and Uni- changes from one domain to another. For exam-
versity of Southern Maine’s business school offered ple, a sports champion may become a manufac-
an MBA course called “Change and Creativity”. turer’s CEO, a carpenter may become a famous
These courses started in 1980s and 1990s. painter, and so on.
The Environmental Principle

Principles of Creative Management Environmental features influence the develop-
ment and manifestation of creativity (the devel-
The Universality Principle opmental principle). Research will increasingly
Creativity is an inherent potential of all human shed light on the mechanisms through which
beings. This appears to be contested by theories contextual features limit or enhance creativity.
concentrating exclusively on extraordinary crea- There is gathering consensus that creativity is
tive talents in arts, science, and even in business. supported through features encouraging “owner-
However, the universality principal is more ship,” participation, and the enhanced sense of
widely accepted in the educational domain, well-being through self-actualization. Generally
where intelligence is regarded as universal, speaking, a good environment stimulates crea-
although some people display evidence of having tivity. For a researcher, “good” means both hard
superior levels of intelligence than others. environment and soft environment. The hard
This principle is related to corporate behavior. environment includes having research funding,
If a CEO believes everyone has creativity, he/she research assistants, laboratory, materials, and so
will do something for the all employees, not only on. And the soft environment includes human
for a few experts. For example, Canon, a Japanese relationships, flextime, evaluation and encour-
maker of cameras and printers, gives a promotion agement, and so on. A bad environment
opportunity to everyone every year. If someone represses creativity. For example, dirtiness,
passes the promotion test, he/she will be promoted noise, small space, lack of funds and equipment,
(Mitarai 2001). Haier, a Chinese maker of home tense atmosphere in office, arbitrary boss,
electric appliances, invites public applications in unfaithful colleagues, and so on, will repress
the company when an administrative post creativity. However, some people are successful
becomes vacant (Xu 2006). Canon and Haier con- in a bad environment. In these cases, it is neces-
sider everyone as a creative person. sary to have the strong spiritual power.
Creative Mind: Myths and Facts 477
Creating a good environment in order to make Xu F. A proposal for establishment of creative manage-
the best of employees’ creativity is important ment (in Japanese). J Jpn Creativity
Soc. 2005;9:111–23.
work for a CEO. Xu F. Comparative study between Japanese and Chinese
enterprises (in Japanese). Kyoto: Nakanishiya
Shuppan; 2006.
Conclusion and Future Directions Xu F. Liu Chuanzhi: the founder of Lenovo (in Japanese).
Kyoto: Nakanishiya Shuppan; 2007.
Xu F, McDonnell G, Nash WR. A survey of creativity
C
Creative management has a history of 30 years. It courses at universities in principal countries.
began in the United States and has influence in J Creative Behav. 2005;39(2):75–88. Second Quarter
Europe and Asia. Creative management, because 2005.
Xu F, Rickards T. Creativity management: a predicted
of a lack of theoretical research and interpretation, development from research into creativity and manage-
has not yet gained a significant academic position. ment. J Creat Innov Manage. 2007;16(3):216–28.
Research on creative companies is scarce, and Yanai T. 1 win and 9 defeats (in Japanese). Tokyo:
more theoretical research, interpretation and case Shinchosha Publishing Company; 2003.
studies are needed in the future.
Cross-References Creative Mind: Myths and

Facts
Norbert M. Seel
▶ Creative Behavior Department of Education, University of Freiburg,
Freiburg, Germany
▶ Creativity Management Optimization
▶ Organizational Creativity
Synonyms
Creative thinking; Inventive creativity; Produc-

tive thinking
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innovative management. Cambridge, MA: Ballinger create something new through imaginative skills.
Publishing Company; 1988. The product may refer to a new solution to a
Isaacson W. Stave jobs: the biography (in Japanese) (trans:
problem, a new method or device, or a new artistic
Inokuchi K). Tokyo: Kodansha; 2011.
Kuhn RL, editor. Frontiers in creative and innovative man- object or form. In general, the term creativity
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Mitarai F. Lifetime employment is competitiveness
(in Japanese). Nikkei Sangyo Shinbun, March 6, 2001.
ment of ideas or particular fields of application.
Okano M. I make it (in Japanese). Tokyo: Chukei Publish- Up to now, the concept of creativity has not
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Osborn AF. Applied imagination. Buffalo: Creative Edu- attracted many researchers and practitioners for
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Tanaka Y. Invention of corporation and its value assess-
centuries. In consequence, creativity has many
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478 Creative Mind: Myths and Facts
In the course of the twentieth century – and espe- scientific domains, psychologists of the twentieth
cially as a result of the “Sputnik shock” – psy- century emphasized the versatility of creativity.
chologists began to focus on creativity and its Evidently, there are as many forms of creativity
nature, components, and variants. Nowadays, cre- as there are human activities, and there are as
ativity has an ambiguous connotation, which many aspects of creativity as human nature is
ranges from the hype of the zeitgeist and a whole- capable of producing. Creativity can be found at
hearted emphasis of creative domains to a dismis- all ages and in all cultures. An absolute creativity
sive attitude toward other domains (e.g., creativity does not exist. Rather, its various forms and
in business). aspects differ in degree and level. For the indus-
Creativity can be understood as a construct trial manager, the art historian, and the scientist,
composed in accordance with many references to creativity appears in the creative product; for the
different fields of interest, such as fine arts, adver- psychotherapist and many artists, creativity
tising, design, innovation, and invention. means a process; whereas educators and psycho-
analysts focus on the creative personality and its
characteristics because they are interested in the
Theoretical Background predictability (and training) of creativity. Accord-
ingly, a distinction should be made between the
Creativity is a natural human capability for the creative personality, the creative product, and the
creation of and dedication to options. The idea of creative process. Innovation and invention refer to
creativity is probably as old as humankind, and for the creative personality, but invention also refers
centuries and in all cultures, it has been under- to the creative product and process.
stood as imagination and ingenuity. This holds Although creativity is no longer considered a
true with regard to the production of tools, the capability of extraordinary and ingenious individ-
fine arts (e.g., during the Renaissance), or eccen- uals, it is still associated with a hint of mysticism
tric inventions. Usually, creativity ranges from and some enduring myths (Boden 2004; Weisberg
necessary auxiliary means of survival to a form 1986).
of expression of inventive geniuses. Some prom-
inent examples from history are the lithic tools of
primitive times, cave paintings, the invention of Myths About Creativity
the wheel, metal tools of the Bronze and Iron Age,
the telephone, battery, train, automobile, light There are many age-old myths and legends about
bulb, and many other inventions of modern creativity. In most cases, these myths may be put
times (Brockman 2000). down to a lack of knowledge or hindsight. How-
ever, they intentionally cultivate the idea that cre-
Processes and Products of Creativity ativity should be considered as an inexplicable
For centuries, creativity was usually considered as phenomenon that only a few chosen people pos-
a divine gift. Creative people were believed to be sess (Anderson 1992).
inspired by God. In medieval times, the idea of Some myths are very old and go back to
genius resulted from this original conception of ancient times, while other myths are new. Most
divine creativity. The concept of illumination as recently, for example, one can find the insistent
the creative moment of enlightenment and insight myth that creativity can be traced back to hemi-
(the so-called eureka moment) became the leading spheric specializations of the human brain. It is
conception. It took some time for creativity to be consistently maintained that the right hemisphere
transferred to fields other than the arts, and the of the brain is the creative one. The truth is that
idea of genius lost its attraction once people began current research on brain functions does not sup-
to attribute creativity to common people. Contrary port such a functional specialization but rather the
to earlier argumentations that focused on the pre- observation that the human brain is a very com-
ternaturalness of exceptional people in artistic and plex organ that has the capability of adaptation
and compensation (Stephan et al. 2007). How- nonconformist in their thoughts and actions.
ever, in the past two decades research on neuro- Equally important is mastery of a particular
physiological correlates of creativity has domain – that is, a sphere of activity or knowl-
produced contradicting results. Although some edge that requires a high level of ability.
studies support the assumption of a right hemi- • Creative individuals are social outliers.
sphere dominance in creative thinking, there are Indeed, some creative individuals behave in a
also studies that report a left hemisphere domi- nonconformist manner, and sometimes they C
nance. Furthermore, research indicates that people have emotional or mental problems. However,
who have access to only one hemisphere due to an this holds true with regard to less creative
accident or surgery develop cognitive capacities persons, too (Amabile 1983). Creative individ-
similar to those of “normal” people. Most uals may occasionally exhibit a high degree of
recently, Mihov et al. (2010) performed a meta- self-assurance. Some possess an exceptionally
analysis of studies in order to test the assumption deep, broad, and flexible awareness of them-
of a relative hemispheric dominance. Their mod- selves. Others are shown to be intellectual
erator analyses did not show any predominant leaders with a great sensitivity to problems
right-hemispheric activation in any of a variety (Fleming et al. 2007).
of cognitive tasks. • Creativity emerges from chaos (Abraham et al.
Other myths about creativity are as follows: 2001). The fact is that the desired openness and
playful handling of issues do not imply that
• Creativity is innate. The fact is that research creative people are chaotic. Certainly, some
has long shown that creativity is not innate but creative individuals may be challenged by
rather learned, i.e., it can be advanced and asymmetry and chaos, but there are also many
developed by the environment. Earlier theories creative persons who are disciplined, well-
have stated that creative people have often organized, and concentrative. The unconven-
emerged from conflicted families. However, tionality of thought that is sometimes attributed
Csikszentmihalyi (1996) shows that these indi- to creativity is not an expression of chaos but
viduals usually experienced normal childhoods rather a resistance to acculturation.
and grew up in families that provided them A nonconformist lifestyle is not essential to
with a stable social background and a solid creativity; indeed, many creative individuals
set of values. One difference between them live quite ordinary lives but express their
and most other people, however, was that a autonomy and independence in unconven-
number of them had suffered parental loss, tional ideas.
particularly the loss of a father. In such cases, • Experts are barely creative. Actually, experts
most were influenced and inspired by other are made. However, this does not exclude the
supportive adults. Csikszentmihalyi’s work possibility that experts are creative because
culminates in the identification of a really dis- success breeds success. Gabora (2011) has
tinctive characteristic of creative people: the pointed out that the standard view that creativ-
capacity to experience “flow.” This is defined ity entails both originality and appropriateness
as the timeless and complete involvement of often leads to the paradox conclusion that
individuals in an activity. Persons experiencing experts who converge on an optimal solution
a flow have a sense that their abilities are only to a problem are considered less creative than
equal to the challenges at hand, and they nonexperts who are involved in divergent
become caught up in the creative process in thinking which leads to manifold original solu-
order to achieve their goal. In addition, a num- tions. Accordingly, it is maintained that experts
ber of personality characteristics have been are too prejudiced with regard to new ideas. It
shown to be associated with creative produc- is not easy to understand this argumentation
tivity. One of these is autonomy: creative indi- because it is a fact that novices are often highly
viduals tend to be independent and prejudiced and do not understand a given
480 Creative Mind: Myths and Facts
problem. This can be demonstrated through the characteristic of creative people is their indi-
example of politics, when people casually dis- vidualism and introversion (Goncalo and Staw
cuss proposals for better policy making over 2005). However, this does not imply a lack of
drinks. Most proposals made in such situations social skills but rather a strong tendency to be
are neither realizable nor creative. True mas- reflective and thoughtful. Although creative
tery in most domains requires a considerable people rely strongly on their intuition, they
investment in education, training, apprentice- also respond to interactions with others and
ship, and practice (Ericsson 1999). However, their attitudes and behaviors. Actually, interac-
the time and resources required to master a tions with other people may improve the crea-
particular domain preclude most people from tivity of the group as well as its members.
excelling in other domains of interest. Addi- Collecting ideas within a group may facilitate
tionally, creative people may not have equally creative solutions. The extent to which social
strong gifts across the spectrum of all possible groups are creative has wide implications for
domains or the capabilities to master them their overall performance, including the quality
effectively. A notable exception was Leonardo of their problem solutions, judgments, and
da Vinci, whose achievements in the visual decisions. Bechtholdt et al. (2010), for exam-
arts, mechanics, and engineering disclosed the ple, report that groups produce more ideas
talents of a creative polymath. Another true when their members are characterized by high
polymath was Herbert A. Simon (Seel 2012). epistemic motivation as well as prosocial moti-
• Creativity is independent of intelligence. In the vation. In accordance with the social norms of
literature, a sharp distinction is often made a group, the ideas produced are more original,
between creativity and intelligence. This dis- appropriate, or feasible.
tinction has historical reasons because research • Children and adolescents are more creative
on creativity emerged from criticism of tradi- than old people. Traditionally, creativity was
tional research on intelligence (Getzels and considered a specific characteristic of children
Jackson 1962). The fact is that creativity is and adolescents. This assumption is a correlate
not the opposite of intelligence but rather its of the aforementioned myth that experts are not
complement. If we suppose a hierarchy of creative. Accordingly, older people are not
intellectual abilities, creativity can be consid- considered to be creative. Actually, Smolucha
ered the highest level of this hierarchy. Numer- and Smolucha (1985) reported that the devel-
ous studies have shown that an extreme general opment of creativity follows a nonlinear path;
intelligence does not necessarily imply high they describe this developmental path as a
levels of creativity. The results of these studies J-shaped pattern with a small peak at age
as well as of meta-analyses (e.g., Kim 2005) 6 and a higher peak in the twenties. It is cer-
support a “threshold” model of intelligence and tainly true that children and adolescents are
creativity, which claims that, above a certain more open and adventurous than old people,
level, intelligence shows little correlation with but this does not rule out creativity in old age.
creativity. That is, a very intelligent person Nevertheless, most studies reveal age differ-
may not be as highly creative. It seems that ences in creativity to the disadvantage of the
intelligence sets the limits on information pro- old (Ruth and Birren 1985; Wu et al. 2007). An
cessing, while creativity provides the flexibil- age-related reduced speed in information pro-
ity necessary for producing of innovative ideas cessing, a lower level of complexity, and a
(Preckel et al. 2006). Both convergent and decreased willingness to risk original solutions
divergent thinking seem necessary for creative are offered as explanations. Most recently,
performance. Jones and Weinberg (2011) analyzed data on
• Creativity is idiosyncratic and, therefore, does Nobel Laureates which shows that the age–
not emerge in social groups. Indeed, a creativity relationship varies substantially
more over time than across fields. Evidently, degree of how a creative product may change
there are fundamental shifts in the life cycle of the world. A product is all the more creative
research productivity. depending on its breadth of applicability. Here,
• Creativity is connected with spontaneity, which two levels can be distinguished. The first level
combines curiosity and problem seeking. Cre- causes new insights that fundamentally change
ative individuals seem to have a need to seek a given world and culture; the second level
novelty and an ability to pose unique ques- only extends to existing insights. Ideas and C
tions. A study on the relationship among products deemed worthy by the field are incor-
spontaneity, impulsivity, and creativity by porated into the domain, and only then is the
Kipper et al. (2010) shows a positive relation- originator considered creative. In some cases,
ship between spontaneity and creativity, con- the field can be defined as the world at large as
sistent with Moreno’s (1953) “canon of it adopts the product of the creative process –
spontaneity-creativity,” but a negative rela- be it an idea, a product, or a solution to a
tionship between spontaneity and impulsivity. problem.
Creativity is very often, if not regularly, the
result of an extended cognitive confrontation
with a complex problem. A number of other
personality characteristics have been shown
Explaining creativity requires abandoning the var-
to be associated with creative productivity.
ious creativity myths. For a long time, they told us
One of these is autonomy: creative individ-
that creative inventions are a burst of spontaneous
uals tend to be independent and nonconform-
inspiration from a lone genius, that a person work-
ist in their thoughts and actions. Equally
ing alone is always more creative than a group,
important is cognitive mastery of a particular
and that social conventions and expectations
domain – that is, a sphere of activity or knowl-
always interfere with creative invention and
edge that requires a high level of ability. An
innovation.
individual may therefore possess creative
As Sawyer (2006) states, “the myths quickly
thinking abilities and exhibit a creative per-
fall apart when we examine the lived reality of
sonality but fail to produce works that are
creativity” (p. 259). Psychological studies show
valued and influential because he or she has
that explaining creativity presupposes an action
not developed any specializations.
theory that explains how the process of creative
• Creativity needs no techniques. Creativity
invention results in a creative product. Usually,
techniques are not a panacea. Their ultimate
there is not a moment of spontaneous insight into
goal is only to provide a person with the best
a solution to a problem, but rather creative inven-
conditions for divergent thinking and breaking
tion is “hard work peppered with mini-insight,
a blockade of thinking. The leading thought
and . . . these mini-insights don’t seem that mys-
and the creative idea cannot be forced, but
terious in the context of the preceding hard work”
rather, thoroughgoing reflection always is nec-
(Sawyer 2006, p. 259). Creativity is mostly the
essary. However, creativity techniques may
result of collaborative work.
produce an open atmosphere which supports
the emergence of creative ideas (Fasko 2000/
2001; Ferrari et al. 2009).
• The novelty of a product is the criterion and Cross-References
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is usually differentiated in accordance with the ▶ Freedom and Constraints in Creativity
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Creative Pedagogy 483
and the extra study material includes the descrip-

Creative Pedagogy tion and demonstration of the heuristic methods
and techniques (Aleinikov 1989).
Andrei G. Aleinikov The first work on creative pedagogy was
International Academy of Genius, Montery, published in the Bulletin of Higher Education
CA, USA (Moscow, Russia), got noticed, and cited by
numerous educators and innovative editions. The C
authors of Encyclopedic Dictionary not only
Synonyms included an article on creative pedagogy but also
made some comments on its unusual form – the
Creative teaching methodologies; System of cre- formula of invention (Popov 1995).
ative teaching In its distilled methodological essence, as
opposed to other pedagogies, creative pedagogy
creates a creative learner who begins to create
Definition individual knowledge (learning techniques and
methodologies), creative abilities (creativity tech-
Creative pedagogy is the science and art of crea- niques and methodologies, see ▶ “Creativity
tive teaching. Techniques”), and finally innovative abilities
(innovation techniques and methodologies), thus
laying the foundations for life success.
Introduction The description of creative pedagogy includes
its comparison with and contrast to the neighbor-
If pedagogy in general is defined as the study of ing concepts, then discussion of the background,
the process of teaching, then creative pedagogy is origins, and development of the concept, and
defined as the science and art of creative teaching lastly the statement of some theoretical and prac-
(Aleinikov 1989). Creative pedagogy is a branch tical achievements.
of pedagogy that emphasizes the leading role of
creativity for successful learning. In its essence,
creative pedagogy teaches learners how to learn Differentiating Creative Pedagogy from
creatively and become creators of themselves and Creative Education and Creative
creators of their future. Teaching
The functional definition of creative pedagogy
is longer and more complex. The founding work The concept of creative pedagogy, on one hand,
on creative pedagogy gives a definition in the differs from the concept of creative education that
form of a formula of invention – a strict word is usually associated with teaching creativity as a
pattern used to describe inventions for patenting: subject. A very good example for this is the efforts
Creative pedagogy that includes educational of the Creative Education Foundation, Buffalo,
influence on the learner for acquisition of certain NY that serves to helping individuals, organiza-
study material (subject) [as pedagogy in general] tions, and communities transform themselves as
and differing from the above by the fact that in they confront real-world challenges. Through
order to achieve higher efficiency of learning, the well-organized efforts of this organization, crea-
pedagogical influence is provided on the back- tive education (education in creativity) is being
ground of centrifugal above-the-criticism mutual spread around the world. As opposed to creative
activity in which the learner is raised from the education in this particular sense, creative peda-
object of [pedagogical] influence to the rank of a gogy (and creative andragogy) is specifically
creative person, while the traditional (basic) study designed for teachers, professors, and education
material is transformed from the subject to learn administrators. It aims at modifying the teaching
into the means of achieving some creative goal, process of any subject, whether it is arts,
484 Creative Pedagogy
language, math, science, technology, and even the When Malcolm Knowles introduced the term
process of teaching creativity itself. andragogy (andr-, man; courageous + agogos,
On the other hand, creative pedagogy as a leader) and defined it as the art and science of
concept is different from the concept of creative teaching adults, the term pedagogy stepped
teaching that is usually emphasized in every good down from the generic term to the complementary
school. Creative teaching is actually the practice term, and there appeared a need in a new term – a
of teaching/learning that is more creative than generic term for “the art and science of teaching”
traditional. As opposed to creative teaching, crea- (see below).
tive pedagogy is a philosophy, theory, and meth- Note: For the etymological analysis of the
odology with a theoretically predetermined word creativity, see ▶ “Creativity.”
sequence of activities that leads to the accelerated
child’s (or adult’s) creative development – not just Historical (Sociocultural) Roots
the teacher’s own creative practice in the class- Different societies treat creativity differently
room. When this methodology is applied to any (Ramos 2005), but whether named so or not,
subject, it dramatically changes the process of tolerated or not, it was still present in every new
teaching/learning and the results. invention in technology, discovery in science, and
The concept of creative pedagogy has both methodology in education.
historical (sociocultural) and etymological roots. Creative pedagogy origins and ideas can be
traced far back throughout history. Socrates, for
example, instead of giving youth a one-time “wise
Historical and Etymological Roots advice” (as most wise men of the past and many
teachers of all times do), asked engaging ques-
Etymological Analysis tions that led his interlocutors to profound
The term creative pedagogy consists of two con- answers. Actually, he was developing his contem-
cepts. The word pedagogy derived from the Greek poraries to the point that they could create their
paιdagogeo (paidagōgeō) is combined of two own answer. Now it is called the Socratic method.
roots: Just as this early prototype, creative pedagogy
teaches students to create their own learning pro-
1. paῖB (país, genitive paιdóB, paidos) that means cesses for continuous success in their lives.
“child” – actually “boy” Certain periods of history required certain ped-
2. άgo (ágō, agogos) that means “to lead.” So agogies. History of education shows that the type
literally it means “to lead a boy (a child).” of pedagogy usually depends on the needs of the
society.
Historically, in Ancient Greece, paιdagogóB
was a slave (that could be a philosopher captured • Society of the ancient times needed followers.
as a prisoner of war) who supervised the instruc- So the training expressed in the phrases, “Do
tion of his master’s son. This instruction could after me! Do as I do!”, worked best. This pre-
include taking the boy (girls received no public pedagogy produced hunters, fishermen, gath-
education) to school or gym, looking after him, erers, warriors, etc. Nowadays, it is known as
carrying his musical instruments, and directing his “on-the-job training.”
behavior. • In Ancient Greece, speakers were needed.
In English and other languages, the term “ped- Speakers were trained in rhetoric classes, in
agogue” means a teacher who follows certain public discussions. Speech training pedagogies
pedagogy, and pedagogy is used to refer to were used.
instructive theory. Pedagogy is studied at the uni- • Early capitalist society needed craftsmen and
versities by student teachers. Institutions that edu- then workers. Technical schools were orga-
cate and train future teachers are called nized, and they employed training methodolo-
pedagogical institutes. gies for technical teaching.
• Developed capitalism needed more knowl- thinking is opposed to critical thinking. While
edgeable professionals, like engineers, doctors, critical pedagogy calls for criticism (Giroux
and teachers. As a response to this need, ped- 2010) and actually aims at growing the number
agogy of knowledge acquisition and testing of political radicals (Searle 1990), creative peda-
spread to schools, colleges, and universities. gogy offers the philosophy, theory, and method-
• The twentieth century put forward the need in ology of constructive (creative) development for
problem solvers. Naturally, there appeared individual and society. C
problem-oriented education as well as schools The twentieth century brought the creativity
for creative problem solving. Creative peda- research to prominence, and it began to extrapo-
gogy grew out of them to reflect and explain late to the other domains. Creative pedagogy is the
the trend. result of extrapolating creativity research to the
domain of education that includes pedagogy
All these types of pedagogy can be dominant at (teaching children) and andragogy (teaching
a certain time, but they do exist and coexist in adults, Knowles 1950, 1968). These concepts
contemporary education as well. This century, can be illustrated by the following picture.
however, has been many times called the century Figure 1 illustrates how the field of creativity
of creativity and innovation, so as society research and the field of education, divided into
matures, there are more and more creative people, pedagogy and andragogy, makes a cross section
and the need in educating such people is becom- named creative pedagogy and creative andragogy.
ing more vivid. The emergence and growth of the Historically, creative pedagogy appeared in
creative class (Florida 2003) is a reality. That is 1989 (Aleinikov 1989) – a year after creative
why there appeared creative pedagogy as peda- linguistics (Aleinikov 1988a). Creative pedagogy
gogy aiming at the upbringing of a creator was so successful that later its principles and
(a creative person) capable of meeting the con- practices were applied to adult education thus
stantly growing complexity and accelerating giving birth to creative andragogy. Creative ped-
development of the society (Aleinikov 1999b). agogy and creative andragogy together were gen-
In the field of education, creative pedagogy is eralized into creagogy (Aleinikov 1998) which is
opposed to critical pedagogy, just as creative also depicted on Fig. 1.
Creative Pedagogy, Creative Pedagogy Field

Fig. 1 Creativity research
and education domains Creativity research
(Sozidonics or Creatology) Creative Pedagogy
Pedagogy
Creative Andragogy
Andragogy
Theoretical Foundations achievements in the creativity research field

If creative pedagogy could be seen as a structure, (G. Wallas, A. Osborn, J. P. Guilford, S. Parnes,
then as any structure it stands on some E. P. Torrance, etc.) and applying them to the
cornerstones. processes of teaching – the field already devel-
oped by the best educators of the past like Jan
• E. Paul Torrance and Torrance Tests of Crea- Amos Komensky, Johann Heinrich Pestalozzi,
tive Thinking Tests (TTCT) Rudolf Steiner, Lev Vygotsky, Maria Montessori,
The first cornerstone for the building of Anton Makarenko, etc.
creative pedagogy was the theoretical separa- Creative pedagogy then matured with further
tion of creative thinking as opposed to critical discovery of the universal formula of creativity
thinking and then practical designing of Tor- development (Aleinikova and Aleinikov 1991),
rance Tests of Creative Thinking (Torrance ideal education, ideal learner, and ideal teacher
1974, see also ▶ “Creativity Tests”). The con- models, thus contributing to the solutions of
cept of critical thinking earlier gave birth to numerous educational problems.
critical pedagogy (Giroux 2010; Searle 1990),
while the concept of creative thinking paved
the way for creative pedagogy. The Main Components of Creative
• S. Parnes and Creative Problem Solving (CPS) Pedagogy
The second cornerstone for the structure of
creative pedagogy is creative problem solving The main components of creative pedagogy
(Parnes 1992) that developed and advanced the include philosophy, theory, and methodology of
methods and techniques for a deliberate crea- creative teaching.
tivity in technology and social life. Creative
pedagogy applied it for teaching. Philosophy of Creative Pedagogy
• G. S. Altshuller and TRIZ For the humanistic trend: Every human being is
The third cornerstone for the building of creative, but the rate (see ▶ “Measurement of
creative pedagogy was the development of Creativity”), the domain, and style of creativity
Algorithm and Theory of Inventive Problem (see ▶ “Creative Styles”) may differ. Nature
Solving (ARIZ/TRIZ) by G. Altshuller and generates newness on all levels, so the phenom-
many of his followers, including Azerbaijan enon of creativity existing at the psychological
Institute of Inventive Creativity (see ▶ “Inven- level of newness generation is natural. Creativ-
tive Problem Solving (TRIZ), Theory”). Their ity accelerates the natural newness generation
concepts (discussed below) and vision of the process results which become greatly appreci-
genius life strategies were fundamental for the ated and valued by the social level (society).
growth of the creative pedagogy (Altshuller Therefore, research of this phenomenon by sci-
and Vertkin 1994). ence (sozidonics or creatology, see ▶ “Science
• V. A. Moliako and Creativity Activation of Creativity”) and utilizing this research for the
Methods accelerated development of society is the trend
The fourth cornerstone in the foundation of in social life, while accelerated development of
creative pedagogy was laid by Dr. V. A. creative ability in humans (creative education
Moliako who offered the description of the and creative pedagogy) is the next trend in edu-
methods aiming at the activation of the per- cation for the century of creativity and innova-
son’s creative thinking (Moliako 1985). tion or the next step to ideal education
(Aleinikov 1999b).
Summarizing the stated above, creative For the religious trend: God is the creator, and
pedagogy is the result of generalizing the new he created humans in his image. Therefore, people
Creative Pedagogy, The simplified vision of ideal person

Fig. 2 Ideal person model
Innovation (patenting, implementing, publishing...)
C
Creativity (combining, synthesizing, designing...)
Knowledge, Gnosis (memorizing)
Skills (doing under mind control)
Habits (doing automatically)
are designed and destined to be creative. People creation of ideal person and ideal education
are the creators of the new world around them; model (Aleinikov 1999a).
thus, they can create new objects, new processes,
and certainly they can create new educational Ideal Person Model
systems, including new methodologies for devel- To avoid complex graphs, this article offers a
oping creativity to the higher levels. God is the simplified vision of an ideal person.
ideal, so striving for this ideal is the human The model on Fig. 2 illustrates that a child
being’s mission. The more creative, the closer to (baby, toddler, teen, adult) learns:
the ideal!
• Habits (looking, crawling, walking, etc.), then
Theory of Creative Pedagogy based on them
The first and foremost achievement of creative • Skills (playing toys, reading, writing,
pedagogy is the determination of the core feature counting), then based on them
or the main link in the success of any education – • Facts and theories (studying, testing, etc.), then
interest – and development of the steps to main- based on them
tain this interest till it becomes the internal (self) • Combining and synthesizing patterns and
motivation of the person. For this purpose, crea- models (problem solving, designing, model-
tive pedagogy employs the universal formula of ing), then based on them
creativity development (Aleinikov and • Presentation methods and techniques for deliv-
Aleinikova 1990, 1991) and introduces the ering newness to the society
models of ideal learner and ideal teacher that
participate in the process of ideal education The teaching methodologies for these five
(Aleinikov 1999a). The formula and models are levels are different. The first in the pyramid level
based on the universal model of sign, language, (habit) requires 100–1,000 repetitions. When
speech act, and heuristic act (Aleinikov 1988b, applied to adults, it is called a drill, even more
see ▶ “Creative Linguistics”) that led to the negatively, a rot. The second level (skills) requires
10–100 repetitions. It is usually referred to as The Structure of Educational Science

training. The third level (knowledge) requires
1–10 repetitions. Some students can remember Innovagogy
things after one-time presentation; some others
need more. The next level up (creativity or crea-
tive act) occurs only once – there is no such a thing Creagogy
as creating the same thing by the same person for
the second time. Teaching creativity is teaching
how to make these one-time creative acts more Gnosiagogy
often or at will. The teaching methodologies for
this level are discussed below. Finally, innovation
is an act of transferring the result of creativity to Skillagogy
the society in a real-life situation.
Habitagogy
Ideal Education Model
So the activity of leading (agogos) human beings
through these stages is an education process. For Pedagogy Andragogy
the childhood period, there is pedagogy to explain Generagogy

this process. For adult education, all ages after
Creative Pedagogy, Fig. 3 Educational science model
childhood, there is andragogy to explain the pro-
cess. When andragogy split from pedagogy and
proved its right for existence, it became obvious of G. S. Altshuller who offered the Algorithm of
that from the logical point of view a generic term Inventive Problem Solving (ARIZ) and then the
is needed to include these two branches. That is Theory of Inventive Problem Solving (TRIZ) –
why the term generagogy (generalis, common + for details, see ▶ “Inventive Problem Solving
agogos, leading) was offered to embrace both (TRIZ), Theory.” The IFR method proved to be
(Aleinikov 1998). a powerful approach in solving technical prob-
Now, based on the above model of ideal person lems (Altshuller 1986).
(Fig. 2), the simplified vision of education domain In technology, the idea of perpetual motion
looks like the following: machine is one of the most famous IFRs. Though
As you see from the model on Fig. 3, pedagogy such a machine has never been built, so many
and andragogy (split since 1950s) are united back outstanding technical discoveries were made and
by the generic science of education – generagogy physical processes described in the attempts to
(below). In the same manner, creative pedagogy make it that this example alone can corroborate
and creative andragogy are united into the generic the value of the quest for the “impossible” (ideal).
science of creative teaching – creagogy (fourth Similarly, in ethics and ideology, religion is
from below). still one of the most powerful IFRs. With some
vision of the “ideal” (or divine) in their minds,
IdeaLearner 5 Ideal Final Result in Education people strive for it, and though not a single one of
The concept of ideal person, shown above on them can become equal to their ideal, the results
Fig. 2 (above), requires progressing through the achieved trying to obtain the ideal can be
steps of development via education. This progres- powerful.
sion naturally leads to the concept of an ideal If the results of employing IFR are so impres-
learner (or IdeaLearner©). sive in technology and ethics, why not use the
All terms that include the term “ideal” are same idea or concept in education? Creative ped-
derived from the concept of ideal final result agogy does employ this method by empirically
(IFR), which is widely mentioned in the works (in classes with teachers and education
Creative Pedagogy,
Fig. 4 Ideal learner
(IdeaLearner) model
rk
Int en-m
dreaming
wo
inventive,
op
Creative,
er
y
ud
es ind
r to
st
ted ed
Ac to
C
ge
t ng
En ive &
&
Ea
i
thu sir
sia
stic De ing
ten ly
Insp Lis ntive
Insp
ired
a atte
iring nd ble of
Capa hending
re
comp
ble
Polite & affa Joyful, sm
iling,
inker optimistic
o s it ive th
P Bo
d
ate co ld, f
m otiv mp re
lf - ng lex e o
Se tro Ca es f
i n gs rin
v s g
Ha pose
r
pu
IdeaLearner
administrators) collecting and selecting the char- voting because if the learners are creative, they are
acteristics of an IdeaLearner. interested and open-minded, active, enthusiastic,
Prioritizing these characteristics helped edu- inspired, eager to work, etc. On the other hand, if
cators to understand that the basic feature deter- they are “bold and free of complexes” but destruc-
mining the others is creativity. If a person is tive (instead of being creative), they might be a
creative, he/she is interested, listening, active, trouble for the class and the school.
self-driven, joyful, open-minded, and eager to
work. Creativity is not only the basic feature Ideal Teacher
but also the moving force of gaining knowledge. The question, where the ideal learner comes from,
True creators are enormously laborious learners. leads to the answer – from an ideal teacher. Col-
Thomas Edison, Marie Curie, Johann Goethe, lection and selection of characteristics of ideal
Ludwig van Beethoven, Albert Einstein, teacher, to the surprise of many teachers, gave
Wolfgang Amadeus Mozart, etc., have been the same features as ideal learner plus only two
learners for their entire lives because they needed features: experience and knowledge. A model of
more and more knowledge for their creations. the ideal teacher can be seen on Fig. 5.
The variant picture of an IdeaLearner is shown The ideal teacher model depicted on Fig. 5
on Fig. 4. shows characteristics empirically gathered by a
The ideal learner model depicted on Fig. 4 different group of teachers and ascribed to the
shows the empirically gathered characteristics best teacher possible. The prioritizing and putting
that teachers under training ascribed to the best the features like “knowledgeable” and “experi-
learner possible. The prioritizing and putting the enced” to the top of the list as features differenti-
features like “creative/inventive” to the top of the ating a teacher from learner has been done
list has been done after elaborated discussion and unanimously.
Creative Pedagogy,
Fig. 5 Ideal teacher model ble Experi
d gea enced
no wle
K
Int en-m
rk
op
inventive,
wo
dreaming
Creative,
ere in
y
ud
r to
st
ste ded
Ac to
ge
d&
En tive ng
Ea
i
thu & sir
sia De ing
sti ten ly
Inspir
c Lis ntive
ed an a t t e
Inspir d
ing le of
Capab hending
re
comp
e
Polite & affabl Joyful, s
mil
inker optimisti ing
ive th c
Posit Bo
d
ate co ld,
m otiv mp fre
lf- ng lex e o
Se tro Ca es f
i n gs rin
v s g
Ha pose
pur
Ideal Teacher
When compared, these two lists of characteris- Methodologies of Creative Pedagogy

tics coincide with all groups trained. When pre- Since encyclopedia article is limited in space and
sented in the form of the table, they look like that should avoid detailed descriptions, this article
(Table 1). addresses three layers of methods as they are
Very naturally, the teachers under training explained to teachers in metapedagogy (teacher
come to the conclusion that in order to have training):
ideal students in the classroom, they themselves
have to be ideal teachers! If they are, then the • Methods that teach a learner work with an
ideal teaching/learning process becomes the pro- object (process). They are called object-
cess of creation. The ideal final result of ideal oriented methods. The majority of them was
teaching/learning is to make another individual a taken from creative problem-solving tech-
creator of one’s knowledge, of one’s surround- niques (see ▶ “Creativity Techniques”) and
ing, a creator of one’s own life, and a creator of then adjusted for any subject.
new reality of the future. This is an exciting, • Methods that teach a teacher to influence the
joyful process of active, interested participation learner, to open the mind, to activate the mind,
in transferring knowledge, skills, and habits with and to make the person interested. They are
the purpose of making a self-learner, a doer called subject (individual)-oriented methods.
(maker), and a creator. The process creates an The majority of them was borrowed from the
ideal learner and the bright future for this ideal work of Moliako and then developed further.
learner – the path to the ideal person These methods are open – it means in the
achievements. process of learning, a teacher can explain
After creating this theoretically “ideal” picture what happened in the classroom and how the
of education, creative pedagogy can be put into process influenced the learner. The learner
practice by using its methodologies. actually learns these methods.
Creative Pedagogy, Table 1 The comparison of ideal (see ▶ “Creativity Techniques”) but also devel-
learner and ideal teacher characteristics oped by the author methods like BAMMA, lead-
Ideal learner Ideal teacher ing to MegaCreativity (Aleinikov 2002). The
Interested and open- Interested and open- group of methods in the second layer (SOM-o)
minded minded includes not only techniques designed and
Active, ready to take Active, ready to take described by Moliako but also new methods like
knowledge, and initiative knowledge, and initiative
paradox pedagogic inversion (teaching from dif- C
Desiring to study Desiring to study (and
teach) ficult to easy, from complex to simple which con-
Listening attentively Listening attentively tradicts all educational principles). Finally, all
Capable of Capable of methods of the third layer (SOM-c) constitute
comprehending material comprehending material the unique innovative contribution of creative
Joyful, smiling, optimistic Joyful, smiling, optimistic pedagogy to the field of pedagogy. The power of
Eager to work Eager to work these methods is so high that they form the foun-
Inspired and inspiring the Inspired and inspiring the dation of Genius Education Methodology (see
others (charismatic) others (charismatic)
▶ “Genius”). For more detailed description of
Polite, socially positive, Polite, socially positive,
affable, communicable affable, communicable these methods, please see Teaching for Success,
Self-driven or self- Self-driven or self- an online magazine for professors, which
motivated motivated published and republished (as “classics”) the
Having strong purposes Having strong purposes most powerful of these methods (Aleinikov
Creative, inventive, and Creative, inventive, and 2007, 2008).
capable of dreaming capable of dreaming
Bold and free from Bold and free from
psychological complexes psychological complexes
Caring about the others Caring about the others Practical Applications
(loving) (loving)
Positive thinker (deep Positive thinker (deep As The Encyclopedia of Creativity article on
thinker, true believer) thinker, true believer)
Humane Creativity states, “Creative Pedagogy,
Capable of kindling the Capable of kindling the
light light as a trend in science, generalizes and explains
– Knowledgeable everything from music and art classes to crea-
– Experienced tively oriented courses so thoroughly gathered
and precisely described by Alex Osborn.” Crea-
tive pedagogy generalizes:
• Methods that are also subject (individual) ori-
• Art (creativity) classes
ented, but they are taught only to teachers in
• Technical creativity
Creative MetaPedagogy (Aleinikov 1992).
• Psychology of creativity (see ▶ “Psychology
of Creativity”)
Figure 6 illustrates the methodology as it is
• Creative problem solving (CPS)
presented to teachers. It illustrates the levels of
• Creatively oriented courses (so thoroughly col-
influence and the arsenal of the teacher. All
lected by A. Osborn) (Aleinikov 1999b)
methods, except closed ones, are revealed to stu-
dents. Some of the methods in the methodology
are developed by predecessors of creative peda- The Spread of the Term and Perspectives
gogy; the others are designed within creative
pedagogy. Since 1990s, after the first publications in India
The first layer of methods shown on Fig. 6 (Aleinikov 1990), creative pedagogy and then
among object-oriented methods (OOM) includes creative metapedagogy (teaching teachers how
not only well-known creativity boosting tech- to teach creatively) have spread around the
niques such as brainstorming and focal object world.
Creative Pedagogy,
Fig. 6 Creative pedagogy
methodologies
Some examples of the first creative pedagogy Singapore, South Africa, and Thailand. It has
applications include: been successfully applied to:
• Creatively oriented Linguistics, Military Insti- • School education (e.g., New Challenge
tute, Moscow, Russia, 1984–1992 School, Montgomery, Alabama; Franklin
• Creative Management, Center for Creative Junior High School, Franklin, Ohio; Jiemin
Research, Russian Academy of Sciences, Mos- Primary School, Singapore, etc.)
cow, Russia, 1990–1992 • Postsecondary education (five colleges in
• Word Origins and Usage (ENG2210), Effec- Russia, higher education institutions, like Mil-
tive Communication (COM1110), Psychology itary Institute, Moscow; Troy and Auburn Uni-
of Creativity (PSY3390), Foundations of Cre- versities, Montgomery, Alabama; Defense
ative Education (EDU6625), Troy University, Language Institute, Monterey, California)
Montgomery, Alabama, 1994–2006 • Teacher and professor professional develop-
ment (The University of Cincinnati, Ohio;
By 2010, creative pedagogy and creative meta- United States Air Force Junior Reserve Officer
pedagogy in the form of numerous programs for Training Corps (USAF JROTC) Instructors,
teachers, managers, and educational and business Garmisch, Germany, and Maxwell AFB,
leaders spread from the USA to Pakistan, Montgomery, Alabama; Davis and Elkins
College, Elkins, West Virginia; Teachers’ Cen- Since creative pedagogy provides the philoso-
ters in Bangkok, Thailand; Karachi and Islam- phy, theory, and methodology of creative teach-
abad, Pakistan; Principal education in Pretoria ing, it is also becoming an educational movement
and Johannesburg, South Africa; as well as for positive change in schools.
universities, colleges, schools, and officials of
the Ministry for Education, Singapore).
Conclusion and Future Directions C
The results of applying creative pedagogy to
real education problems are more than positive. In Creative pedagogy that appeared on the cross
Singapore, for example, the Jiemin Primary section of creativity domain and education
School officials selected 13 sixth graders (out of domain is defined as the science and art of cre-
1200 students) who were labeled “incorrigible ative teaching. As a branch of pedagogy, it
and doomed to fail.” After 2.5 days of pedagogi- emphasizes the leading role of creativity for
cal intervention, all students proved to be what successful learning. It teaches learners how to
creative pedagogy calls “ideal learners,” and learn creatively become creators of themselves
7 months later (without any follow-up), they and creators of their future. In over 20 years of
passed all four state exams (math, science, existence, creative pedagogy with its specific
english, mother tongue) and proceeded to the philosophy and methodology of creative teach-
next level of academic education, thus leading to ing, its own models of ideal learner, ideal
100% success of the program. Teachers and par- teacher, and ideal learning/teaching process led
ents called it a “miracle” (Aleinikov 2003). to solving numerous educational problems and
In Russia, where the description of creative experienced a widespread to a number of educa-
pedagogy was developed, it turned most “boring” tional institutions from kindergartens to univer-
university programs into outstanding ones as well sities in many countries. The most remarkable
as moved some colleges from the bottom of the impact is not only changing pupils (students) but
list to the top of the list. also igniting the creative spark in teachers and
The term creative pedagogy that was so new in principals (creative metapedagogy) which
late 1980s has become popular. Now it is used for quickly leads to the change of atmosphere and
educational conferences and monograph titles. institutional improvement. Since creative peda-
Creative pedagogy received further development gogy provides a sound theoretical and practical
as “collective creative pedagogy” by I. P. Ivanov. foundation for change at school, it is also
The methodologies of creative pedagogy are becoming an educational movement for positive
taught and studied at the university level change in schools.
(Kruglov 2002; Morozov and Chernilevsky The future directions of development
2004). include the continuous spread of the ideas and
B. Zlotin and A. Zusman, the TRIZ specialists, values that creative pedagogy already contrib-
state, “Creative pedagogy is an attempt to replace uted to the field of education to new communi-
the battle between the teacher and students with ties and new countries (see ▶ “Creativity
the child’s struggle for self-perfection. The Across Cultures”). The future directions of
teacher is the child’s assistant and ally in this research include collection of empirical data
struggle” (Zlotin and Zusman 2005). from international sources, evaluation of gen-
At present, a new electronic Encyclopedic Ref- eral impact on the global scale, comparison of
erence Dictionary on creative pedagogy (russ. the generalized data to the established theoret-
Энциклопедический словарь-справочник ical model, review and modification of the the-
“Креативная педагогика”) is being developed oretical model, and finally the publication of
by a group of researchers headed by V.V. Popov the overall results for education researchers
in Russia (retrieved from http://www.thisisme.ru/ as well as popularized version for general
Aug 25, 2012). population.
Cross-References Aleinikov AG. New horizons in creative & innovative

education: genius education methodology helps
creating a nation of geniuses. Human dignity and
▶ Creative Linguistics humiliation studies; 2003. Retrieved June 2012, from
▶ Creative Styles http://www.humiliationstudies.org/news-old/archives/
▶ Creativity Across Cultures 000039.html
▶ Creativity Definitions: Approaches Aleinikov AG. Openness – it’s that simple. Republished by
teaching for success (TFS) as “The TFS Classic” 2007;
▶ Creativity Techniques 8 (5) and (6), p. 15. First published in 1997.
▶ Creativity Tests Aleinikov AG. How GEGA (Genius expectations – genius
▶ Genius achievements) supercharges learning. Teach Success.
▶ Inventive Problem Solving (TRIZ), Theory 2008;19(4):1–2.
Aleinikov AG, Aleinikova EN. Forming creativity:
▶ Measurement of Creativity psycho-pedagogic and creative linguistics aspects. In:
▶ Psychology of Creativity Sorokin YA, Tarasov EF, Ufimtseva NV, editors. Struc-
▶ Science of Creativity tures of language awareness. Moscow: USSR Acad-
emy of Sciences, Institute of Linguistics; 1990.
p. 70–96. russ. Алейникова ЕН, Алейников АГ.
Формирование творческой активности: псих-
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Creative Personality 495
А.В. Чернилевский Д.В. Креативная педагогика и great as Newton, creativity only springs forth
психология, Академический проект. from things already in existence. Personality is
Parnes SJ, editor. Source book for creative problem solv-
ing. Buffalo: Creative Education Foundation; 1992. one of those conditions that makes creative and
Popov VV. Creative pedagogy. In: Polovinkin AI, Popov VV, innovative thought and behavior more likely in
editors. Encyclopedic dictionary “Technical creativity: some people and less likely in others.
theory, methodology, practice”. Moscow: Logos; 1995. Creativity comes in many different forms,
p. 165–7. russ. Попов В.В. Креативная педагогика. В
энциклопедическом словаре "Техническое shades, and hues. First, the creativity of great C
творчество: теория, методология, практика". Под artists and scientists is what attracts most atten-
ред. А.И. Половинкина, В.В. Попова. tion, and for good reason. These enterprises are
Ramos SJ. Cross-cultural studies of implicit theories of cornerstones of culture and provide mileposts of
creativity: a comparative analysis between the United
States and the main ethnic groups in Singapore. our cultural development and progress. And yet,
Unpublished master’s thesis. New York: State Univer- not everyone who is an artist or scientist is equally
sity; 2005. creative and nor are all creative people either
Searle J. The storm over the University. The New York artists or scientists. Some are creative in business,
Review of Books, 6 Dec 1990.
Torrance EP. Torrance tests of creative thinking. in their understanding of other people, or simply
Bensenville: Scholastic Testing Service; 1974. in living. In short, creativity’s qualities that are
Zlotin B, Zusman A. TRIZ and pedagogy. Southfield: both fascinating and yet frustrating are its com-
Ideation International; 2005. plexity and variability. In this chapter, Feist
reviews the current (last 15 years of) research on
personality and creativity that mostly support but
sometimes modifications in the model he pro-
Creative Performance posed in both qualitative and quantitative reviews
(Feist 1998).
▶ Effects of Intuition, Positive Affect, and
Training on Creative Problem Solving
Personality and Creativity Defined
Many people assume, especially artists, that crea-

Creative Personality tivity is inherently unknowable, mysterious, and
immeasurable. Hence, the argument continues,
Gregory J. Feist
that researchers can’t agree even on what creativ-
Department of Psychology, San Jose State
ity means. It may be true that creativity is difficult
University, San Jose, CA, USA
to measure and to quantify, but it’s not impossible
and it is false to say no consensual definition has
emerged on how to define it. In fact, creativity
Synonyms researchers have for the last 60 years been nearly
unanimous in their definition of the concept (e.g.,
Innovation; Temperament
Simonton 2008): Creative thought or behavior
must be both novel/original and meaningful/use-
Does creativity stem from nothing? Of course not. ful. It is easy to see why originality per se is not
All new ideas, products, art and music pieces, and sufficient – there would be no way to distinguish
works of literature owe their origin to ideas or eccentric or schizophrenic thought from creative.
products already in existence. Often these previous To be classified as creative, thought or behavior
ideas and art forms directly inspire the future crea- must also be socially meaningful or useful to other
tor and innovator. Newton’s well-known adage that people.
he was “standing on the shoulders of giants” was What about personality? How do we define
not simply false humility. Even for someone as that? When psychologists use the term
496 Creative Personality
personality, they are referring to the unique and inhibition, negative priming. Hence, this review
relatively enduring set of behaviors, feelings, will give more weight to these components than
thoughts, and motives that characterize an indi- the others.
vidual. There are two key components to this Feist’s functional model builds ties between
definition. First, personality is what distinguishes biology and personality variability and argues
us from one another and makes us unique. Sec- for the causal primacy of biological factors in
ond, personality is relatively enduring, or consis- personality, in general, and the creative personal-
tent. In sum, personality is the relatively enduring ity, in particular. To be clear, the updated model of
unique ways that individuals think, act, and feel. the creative personality includes main latent vari-
As it turns out, recent research has begun to dem- ables, in order of causal priority:
onstrate that unique and consistent different styles
of behaving (i.e., personalities) are found within • Genetic and epigenetic influences on
many different species of animal, from octopus personality
and mice to birds and horses. Personality is not • Brain Qualities
just a trait of humans, but of most mammals and • Cognitive Personality Traits
some birds, reptiles, and fish. • Social Personality Traits
• Motivational-Affective Personality Traits
• Clinical Personality Traits
Functional Model of Personality and
Creativity By combining the biological and the function
of traits arguments, Feist presents in Fig. 1 an
There are numerous psychological factors that updated model for the paths from specific bio-
make creativity more likely in some people – logical processes and mechanisms to psycholog-
biological, developmental, cognitive, ical dispositions to creative thought and
environmental-social (Karwowski and Lebuda behavior. The basic idea is that causal influence
2015; Selby et al. 2005). But as Feist proposed flows from left to right, with genetic and epige-
in the late 1990s, personality traits also influence netic influences having a causal effect on brain
creative thought and behavior by lowering influences. Brain-based influences in turn caus-
behavioral thresholds. In his model, genetic dif- ally influence the four categories of personality
ferences influence brain structures and tempera- influence: cognitive, social, motivational, and
mental differences, which lead to personality clinical. These traits individually and collec-
variability (social, cognitive, and motivational- tively lower thresholds for creative thought and
affective, and now clinical traits), which finally behavior making each more likely in those indi-
effect creative thought and behavior. The idea viduals who posses that cluster of traits. For sake
was and still is that a particular constellation of of space, however, in this chapter, the focus here
personality traits function to lower the thresh- is only on the psychological traits and the inter-
olds of creative behavior, making it more rather ested reader may find the biological details else-
than less likely. The part of the model that has where (Feist 2010).
been most intensively investigated over the last
decade since the model was first proposed is
biological foundations component, especially Personality Influences on Creativity
genetic and neuroscientific. However, one com-
ponent of the model is completely new, In fact, the causal nature of brain influences is
reflecting even greater growth in research, precisely what the model of creativity assumes.
namely the clinical personality traits of These brain differences function to make creative
psychoticism, schizotypal personality, latent traits more or less likely, which in turn make
Cognitive
Traits
C
Social Traits
Genetic- Creative
Brain
Epigenetic Characteristics Thought or
Influences Behavior
Motivational-
Affective Traits
Clinical Traits
Creative Personality, Fig. 1 Functional model of the creative personality (From Feist (2010) Reprinted with permis-
sion from Cambridge University Press)
creative thought and behavior more or less likely. how people habitually process information, solve
So, personality traits mediate the relationship problems, and respond to new situations. Chief
between brain and creative thought and behavior. among the cognitive personality traits is “open-
By having genetic dispositions that create CNS ness to experience” (Agnoli et al. 2015; Ivcevic
differences that facilitate creative thinking, and Brackett 2015; Karwowski and Leduba 2015;
highly creative people also develop a set of per- Kaufman et al. 2015; Tang and Kaufman 2015;
sonality traits consistent with their biological van Tilburg et al. 2015). Open people tend to be
dispositions. imaginative and curious, and so it is not surprising
Building upon the qualitative and quantitative that open people are more creative. This is not just
reviews of personality and creativity (Feist 1998; a theoretical connection but an empirical one. In
Karwowski and Lebuda 2015), the personality addition to the large empirical literature
traits most consistently connected to creativity supporting this claim up until the mid 1990s,
are clustered into cognitive, social, motivational- much recent research continues to build the case
affective, and clinical groups. Clinical traits are for the association between openness and
new to the model and therefore will get more creativity.
attention than the other three classic trait A recent representative study of personality
dimensions. and creativity was conducted with college stu-
dents. It examined the Big Five personality
Cognitive Personality Traits Feist classified par- dimensions and their relation to creativity. The
ticular traits as “cognitive” because they deal with participants are told that an artist started the
drawing and they are asked to “continue with this Rubinstein found strong negative relationships
drawing. You are allowed to draw anything you between creativity and authoritarianism as well
wish” (Dollinger et al. 2004, p. 38). Results as a linear relationship between career choice
showed that none of the personality dimensions, (major) and authoritarianism. Law students
with the exception of Openness, consistently were more authoritarian than behavioral science
correlated with the creative personality scales, students who were more authoritarian than
creative behavior, and the creative drawing design students. Others have reported that the
task. The only other personality dimension that more politically conservative students were less
had some reliable association with creative pro- likely to have reported creative hobbies or
duction, behavior, and personality was accomplishments, and their photo essays and
Extraversion. drawings were judged as less creative than the
liberal students. Highly creative people doubt,
Social Personality Traits Social traits of person- question, and often reject norms, traditions, and
ality involve first and foremost behaviors and conservative ideology. Indeed, one could argue
attitudes that concern one’s relationships to other these findings validate both constructs, for crea-
people, such as questioning or accepting what tivity concerns producing novel and unusual
authority figures say, being comfortable or ideas and conservatism/authoritarianism values
uncomfortable around strangers and large groups tradition.
of people, being warm or hostile toward others,
and believing one is better or worse than others. Motivational-Affective Personality Traits Moti-
The trait terms that summarize these tendencies vational traits are defined by a person’s desire
are norm-doubting, nonconformity, indepen- to persist in activities and to be successful in
dence, extraversion-introversion, aloofness, hos- his or her activities. Trait terms characteristic
tility, coldness, and dominance/self-confidence/ of motivation are persistent, driven, ambi-
arrogance. tious, and impulsive. That some people are
As Feist made clear with the meta-analysis driven to be creative is both undeniable and
on personality and creativity, the general factor perplexing. Why do people want to create?
of extraversion does not quite reflect its accu- Some people are willing to forgo social rela-
rate relationship with creativity. When one tionships and economic well-being to create
splits extraversion, however, into two of its lasting works.
main components, sociability-gregariousness If those who have a desire to produce works
and confidence-assertiveness, a clearer associ- that leave a mark on the world are to succeed, they
ation emerges. Highly creative people are gen- also need to be driven, focused, and ambitious.
erally not sociable and outgoing, but they are They are not the kind of person who gives up
independent, confident, and assertive. The easily in the face of hindrances and roadblocks.
recent angle on confidence and assertiveness And that is generally what the research on drive
has morphed into research on self-efficacy and and creativity continues to show: creative artists,
creativity. businesspeople, and scientists are driven, ambi-
Conservatism and conformity continue to tious, and persistent (e.g., Batey and Furnham
conflict with creativity. Conservatism is the 2006).
opposite pole of norm-doubting and reflects a But what kinds of things motivate them? Need
tendency to value tradition and authority. Rubin- to know? Self-Expression? Success? Recogni-
stein (2003), for instance, examined authoritari- tion? Money? Joy from the process? It could be
anism and creativity in Israeli college students each of these depending on the nature of the
(design, behavioral science, and law). creative task. Scientists are probably driven
more by the need to know and artists more by the important as the drive and ambition to create
need for self-expression. And both are often something new and worthwhile.
driven by the pleasure the process of discovery
or expression brings, otherwise known as intrin- Clinical Personality Traits One of the biggest
sic motivation. Indeed, intrinsic motivation is changes in the field of personality and creativity
often associated with highly creative thought or over the last 10 years – besides the steady rise in
behavior, and quite a body of research supports neuroscientific studies – is the tremendous growth C
this idea (e.g., Amabile 1996). That is, when the in research on personality disorders, mental
drive and energy for carrying out a task is plea- health, and creative thought and behavior. The
sure and excitement, then the end product often is evidence for the connection between clinical per-
more creative than if the drive is lacking or sonality traits and creativity is stronger in the arts
extrinsic. Amabile’s classic work on motivation than in the sciences (e.g., Ludwig 1995).
and creativity has reported that often extrinsic Eysenck’s well-known model of personality
motivation (reward, surveillance, or recognition) proposed psychoticism to be the third of the
has a detrimental effect on creative achievement. three super-factors of personality. People high
Experimentally, this effect has been demon- in psychoticism are cold, aloof, eccentric, hos-
strated by offering people rewards for a creative tile, impulsive, and egocentric. Moreover,
task and comparing the creativity of the outcome Eysenck argued that psychoticism was the per-
to those not offered rewards for doing the task. sonality dimension most closely aligned with
The typical finding is the nonrewarded group creative thought and behavior (Eysenck 1995).
produces products judged to be more creative Empirical investigations continue to provide
than the rewarded group. Similarly, positive support for Eysenck’s general theoretical
affect (feeling good) seems to facilitate creative model linking psychoticism to creative thought
thinking. and behavior.
Yet, positive affect and intrinsic motivation Consistent with Eysenck theory, Martindale
do not always facilitate creative thinking, just as (2007) theorized the thread that ties schizotypal
extrinsic motivation does not always hinder it. personality disorder and creativity together is
Other researchers, for example, have argued that loose semantic processing of information in the
reward, which leads to positive affective, is right hemisphere. Therefore, ideas are associated
unconnected to creativity. Eisenberger and colin global and holistic manner rather than in a
leagues have conducted much of this research narrow and analytic way. The idea, consistent
and when they inform participants in a reward with a lot of the research on heightened right
condition that they will be not just rewarded but hemispheric activity in highly creative people, is
rewarded for producing a creative product, then that there is a relative weakening of the left hemi-
reward does increase rather than decrease the sphere and strengthening of right hemisphere pro-
creative performance. So, reward is not reward. cessing. Moreover, latent inhibition and
If told explicitly that they are being rewarded for primordial thinking are commonly found ele-
producing something creative, reward can ments both in creative thought and schizotypal
apparently facilitate creative thinking. Given personality. Latent inhibition is the ability to
the complex nature of the findings on intrinsic selectively attend to only the most relevant sen-
and extrinsic motivation and creativity, it is sory experience and tune out the irrelevant.
probably safest to conclude that it is drive and Highly creative people are often less able to tune
ambition that matter most and whether the out the irrelevant information. In this sense, fail-
reward is internal (pleasure) or external ure to screen out irrelevant sensory experiences
(reward, money or recognition) is not as and ideas might enrich one’s source for ideas,
which would explain the greater ideational flu- levels with professionals being next followed by
ency of creative people. hobbyists.
Recently, some researchers have begun to ques-
tion the validity of Eysenck’s psychoticism dimen-
sion, especially as it relates to pathology and Conclusions and Future Directions
instead have turned their attention to a more spe-
cific (and narrower) clinical personality dimen- The research and theory on the connection
sion – schizotypy or schizotypal personality between personality and creativity remains a
disorder. A person with schizotypal personality vital topic of investigation for psychological sci-
disorder is isolated and asocial, but, in addition, entists. The basic conclusions from 10 years still
has very odd or magical thoughts and beliefs. For hold and yet two areas of research have grown so
instance, the famed inventor/technologist Nikola drastically that they deserve being added to the
Tesla had various unusual phobias (pigeons, functional model in Fig. 1. These two areas are
germs, and round objects) and yet he had a com- brain influences and clinical traits. The model
pulsive love of the dark (Pickover 1998). The proposes that genetic, epigenetic factors create
inventor of the transistor radio and Nobel laureate, conditions in the central nervous system that
William Shockley, was a hoarder (Shurkin 2006). make particular personality traits more likely.
Wertheim (2011) has gathered many insightful These personality traits cluster into cognitive,
examples of “fringe” or “quack” science at the social, motivational-affective, and clinical groups.
periphery of physics that claim to explain basic Being high or low in certain personality disposi-
physical phenomena such as matter, energy, and tions make creative thought and behavior more or
gravity without using any current standard models less likely.
of physics. Many fringe scientists may well The literature on the genetic and brain influ-
be on the borders of schizophrenia as well ences has expanded as well as the clinical traits of
(i.e., schizotypic). psychoticism and schizotypy. The main conclu-
Although a growing body of empirical litera- sions from neuroscience research demonstrate the
ture is revealing a connection between importance of frontal lobe functioning, greater neu-
schizotypy and creativity, this finding seems to ral complexity, and increased right-hemisphere
hold more for artistic than for scientific creativ- activity in highly creative people or during creative
ity (Acar and Sen 2013; Batey and Furnham problem solving. These biological markers in turn
2008; Nettle 2006). That is not to say there is make personality traits more likely. The cognitive
no relationship between schizoptypy and scien- traits (openness and cognitive flexibility), social
tific creativity, but rather overall the association traits (norm-doubting, nonconformity, indepen-
is not a large one (Ko and Kim 2008; Nasar dence, extraversion-introversion, aloofness, hostil-
1998; Pickover 1998). ity, coldness, dominance, and self-confidence/
During the last decade or so, many researchers arrogance), motivational-affective traits (drive, per-
have examined the connection between sistence, intrinsic motivation, and positive affect),
schizotypal personality disorder and creativity. and clinical traits (psychoticism, latent inhibition,
Creative artists, more than scientists, tend to and schizotypy) all function to make creative
have elevated schizotypy scores. For example, thought, behavior, and achievement more
poets and visual artists are higher on schizotypy probable.
dimensions of unusual experiences, cognitive dis- One methodology that will be of most help to
organization, and impulsive nonconformity than future researchers is true longitudinal designs
nonartists. Moreover, there is a curvilinear rela- whereby large groups of young children are
tionship with degree of involvement in poetry and assessed at regular points in their development
visuals arts. Serious amateurs show the highest up through early to mid adulthood, much like the
well-known Terman studies of the intellectually Batey M, Furnham A. The relationship between measures
gifted. The question of cause and effect – is per- of creativity and schizotypy. Personal Individ Differ.
2008;45:816–21.
sonality a cause or an effect of creative thought Dollinger SJ, Urban KK, James TA. Creativity and open-
and behavior? – can only be answered with lon- ness: further validation of two creative product mea-
gitudinal evidence. sures. Creat Res J. 2004;16:35–47.
Perhaps one of the biggest unanswered ques- Eysenck HJ. Genius: the natural history of creativity.
tions is the direction of causal influence between
New York: Cambridge University Press; 1995.
Feist GJ. A meta-analysis of the impact of personality on
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personality and creativity. Do these personality scientific and artistic creativity. Personal Soc Psychol
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nature and nurture of the creative personality. In: Kauf-
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likely, is there some kind of complex, bidirec- creativity. New York: Cambridge University Press;
tional relationship between personality and crea- 2010. p. 113–30.
tivity in which personality lowers thresholds but Ivcevic Z, Brackett MA. Predicting creativity: interactive
effects of openness to experience and emotion regula-
then with over the course of a creative career, tion ability. Psychol Aesthet Creat Arts.
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Aesthet Creat Arts. 2015; https://doi.org/10.1037/
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Ludwig AM. The price of greatness. New York: Guilford
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Nettle D. Schizotypy and mental health amongst poets,
visual artists, and mathematicians. J Res Pers.
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ship between creativity and schizotypy. Psychol Rubinstein G. Authoritarianism and its relation to creativ-
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Wertheim M. Physics on the Fringe: Smoke Rings, Creative Process: The
Circlons, and Alternative Theories. London: Walker
Books; 2011.
Apple-Tree Creative Process
(ACP)
Kyung Hee Kim1 and Robert Pierce2

1
The College of William & Mary, Williamsburg,
Creative Potential
VA, USA
2
George Mason University, Fairfax, VA, USA
▶ Personal Creativity
Synonyms
Creative thinking process; Innovation stages

Creative Problem Solving
▶ Complexity and Creative Problem Solving The Apple-Tree Creative Process

▶ Promoting Student Creativity and Inventive-
ness in Science and Engineering Creativity is making or doing something unique
and useful. The successful result of this process is
innovation. In this entry, individuals who are in
the creative process or who have already
achieved innovation are called innovators.
Creative Problem Solving Apple-tree creative process (ACP) is an eight-
Training stage process analogous to the seasonal growth
cycle of apple trees. Each stage represents activ-
▶ Creative Thinking Training
ities or interactions that creators must do or have
to achieve innovation. ACP begins with winter
(Stage 1, expertise development, and Stage 2,
needs identification), then becomes spring
Creative Problem-Solving (Stage 3, idea generation; Stage 4, subconscious
processing; and Stage 5, idea evaluation), then
▶ Creative Styles becomes summer (Stage 6, synthesis, and Stage
7, transformation), and finally becomes autumn
(Stage 8, promotion). Within the ACP, applying
all creative thinking of inbox, outbox, and
Creative Process newbox thinking (ION) facilitates innovation:
first, developing expertise; then generating ideas
▶ Creative Styles based on the expertise; after taking a break, eval-
▶ Creativity and Innovation: What Is the Differ- uating the generated ideas; then connecting and
ence? synthesizing previously unrelated ideas; and then
▶ Four Ps of Creativity and Recent Updates refining, transforming, and promoting them as
▶ Personal Creativity something unique and useful. This process
Creative Process: The Apple-Tree Creative Process (ACP) 503
produces innovation that defies traditional cate- miss, and their sensitivity to inconsistencies,
gorization (Kim 2016). problems, gaps, or missing information makes
them curious. Because their curiosity tension has
been piqued, they passionately explore the prob-
ION Thinking Within the Apple-Tree lems or issues further. They develop further exper-
Creative Process tise. However, to meet the underlying need
requires outbox thinking to imagine potential C
Creative thinking consists of inbox, outbox, and solutions and then, with their expertise (inbox
newbox (ION) thinking during the creative pro- thinking), determine criteria for the solutions
cess. Inbox thinking is narrow, deep, and method- (Kim 2016).
ical (inside the box) for gaining or evaluating
knowledge and skills, including the development
of expertise and critical thinking. Outbox thinking Spring ACP
is spontaneous, fluid, and broad (outside the box)
enabling individuals to envision numerous, Stage 3 (Early Spring): Idea Generation
diverse possibilities. Outbox, or divergent think- Just as cross-pollination is critical for apple trees
ing, is comprised of nonconforming ideas. It gen- to bear fruit, cross-pollination is critical for crea-
erates fluent (many, spontaneous), flexible tors’ idea-generation stage to generate unique
(different angles or kinds), and original (novel) ideas. Cross-pollination is sharing, generating,
ideas. Newbox thinking combines elements of combining, adapting, and building on each other’s
inbox and outbox thinking and transforms ideas diverse knowledge, skills, and experiences.
into new creations (new box). So that new crea- The goal of the idea-generation stage is to
tions can be valued by others and society, they generate and capture unique ideas. Creators must
need to be promoted (Kim 2016). use outbox thinking skills for idea generation.
Outbox thinking is higher order and requires flu-
ency, flexibility, and originality. Fluent thinking is
Winter ACP the skill to generate spontaneously numerous
ideas. More idea generation leads to better and
Stage 1 (Long Winter): Expertise Development unique ideas. Fluent thinking is the foundation
Apple trees seem dead in the winter, but they are of both flexibility and originality. Flexible think-
actually growing and preparing for the spring. ing is the skill to generate different kinds of ideas
Although the long winter of creators’ developing from different angles. It better predicts innovation
expertise is not obvious to others, their expertise is than fluent thinking because flexible thinkers con-
growing. Expertise is a complete and in-depth sider multiple options and perceive common
understanding of a topic, subject, or field. To objects or situations in different ways. Finally,
develop expertise, creators must use inbox think- original thinking is the skill to generate new or
ing skills of memorization (memorizing knowl- unusual ideas. Thus, originality predicts innova-
edge and skills) and comprehension (changing tion better than flexibility. Based on both fluency
them into personally meaningful forms). They and flexibility, originality is the most critical ele-
must also apply their knowledge to solve real- ment of creative thinking (Kim 2016).
world situations or problems. Expertise provides
the foundation of outbox and newbox thinking Stage 4 (Spring Break): Subconscious
(Kim 2016). Processing
Gardeners take a break to wait for the entire tree to
Stage 2 (Late Winter): Needs Identification bloom before blossom and fruit pruning. Like-
With expertise-based sensitivity, creators identify wise, once creators have successfully generated
hidden or underlying needs or problems. Their many unique ideas, they take a break from stren-
expert knowledge alerts them to details that others uous, conscious thinking. They break for three
504 Creative Process: The Apple-Tree Creative Process (ACP)
reasons. First, they step back to develop a big- Synthesis uses big-picture-thinking, boundary-
picture mind-set about the entire problem and all crossing, pattern-finding, and dot-connecting
of the ideas. Second, they let their subconscious skills. Each skill provides opportunities to connect
mind process, incubate, and percolate the different aspects of unrelated ideas. Big-picture-
ideas. Finally, they rest their conscious mind in thinking skills allow understanding of information
preparation for the strenuous process of critically in a larger context or system rather than the details.
evaluating ideas (the idea-evaluation stage). Sub- Big-picture thinkers think beyond what is seen.
conscious processing is like a search engine in a The boundary-crossing skill is going beyond a
creator’s mind. Within their wide range of subject and connecting dramatically different or
expertise, subconscious processing sifts through irrelevant subjects or fields. This skill benefits
memory, comparing and understanding unsorted from individuals who develop diverse expertise
information, and then connecting unrelated and passions, like earning degrees from very dif-
thoughts to generate new ideas. Creators’ use of ferent fields (arts and sciences) or experiencing
productive subconscious processing is facilitated significant career changes. The pattern-finding
by their goal-oriented daydreaming, where the skill is symbolizing complex ideas, images, or
mind conducts outbox thinking at a very low data without losing the essence or distorting facts.
threshold of concentration (Kim 2016). It identifies patterns by disregarding irrelevant or
superficial information and bringing essential ele-
Stage 5 (Late Spring): Idea Evaluation ments or attributes forward (Kim 2016).
For a potential innovation to be accepted by soci- The dot-connecting skill is seeing things as a
ety as an innovation, it must have meaning and connected whole instead of many unrelated pieces.
value. Critical thinking requires the high-order It is recognizing an entire tree instead of separate
inbox skills of analyzing and evaluating ideas to branches or a whole chain instead of separate links.
determine meaning and value. In the creative pro- The dot-connecting skill is facilitated by the meta-
cess, it mostly occurs after ideas have been gen- phorical thinking that helps form analogies and
erated during outbox thinking. Analysis and bridge conceptual gaps. Metaphors are easy to
evaluation draw on the years of development of understand and create vivid images in audiences’
expertise both in subject matter and the methods mind. The dot-connecting skill uses nonverbal
of the field. Analysis and evaluation are like an thinking or communication such as visualizing or
inbox zoom lens that zero in on the details of ideas thinking in pictures. Dot connecting is facilitated
that were generated during outbox thinking. Eval- by thinking with the five senses, such as using and
uating the particulars ensures usefulness of an making, as appropriate, combinations of sight,
idea or a creation (Kim 2016). sound, touch, smell, and taste to illustrate ideas or
make new connections between irrelevant ideas.
Finally, it uses body thinking such as thinking
Summer ACP and communicating ideas in physical, lively, and
emotionally vivid ways that is also effective for the
Stage 6 (Early Summer): Synthesis promotion skill (Kim 2016).
Young fruits are uniquely formed inside the
selected blossoms or fruits after pruning. Like- Stage 7 (Long Summer): Transformation
wise, creators uniquely synthesize essential ele- Apples slowly, gradually transform, becoming big-
ments and attributes of the selected ideas. ger and sweeter, changing color, and ripening until
Synthesis is recombining things and information they become edible (useful). A long apple transfor-
into a new coherent whole without losing the mation is complete when an apple is ready to be
essence of each part. Because innovation is an picked and eaten. Similarly, creators must trans-
extension of existing knowledge and skills, crea- form their synthesized ideas into a useful creation
tors often start by synthesizing elements of by elaborating, refining, and simplifying them,
existing ideas (Kim 2016). which takes a long time. To transform apples into
Creative Process: The Apple-Tree Creative Process (ACP) 505
the best quality, gardeners provide the right amount audience is able to understand, accept, and desire
of fertilizer and water while controlling weeds and the creation. Articulation helps create meaning.
pests. Too much fertilizer causes many leaves and That is, articulation provides a way for people to
shoots but fewer and smaller fruits. Similarly, when see and understand the value of the innovation.
transforming ideas into their maximum usefulness Developing a creation’s name or title that grabs
by elaborating, refining, and simplifying them, cre- others’ attention is necessary so that the audience
ators must find the perfect balance between elabo- can remember it and convey it to others. Devel- C
ration and simplicity (Kim 2016). oping the skill of crafting and sharing compelling
The skills for transformation are persistent elab- and interesting stories is necessary for promotion.
oration, imaginative refinement, and pursuit of sim- The audience remembers storytelling better and
plicity. The persistent-elaboration skill is necessary longer than factual lists. Storytelling communi-
to complete the transformation stage by working cates in a simple, yet more persuasive way by
out the details, explaining, expanding, and showing the appeal of the creation instead of
enriching ideas. Imagining a story is different explaining it by appealing to the audiences’ emo-
than writing the story; creativity is more than just tions and creating mental images (Kim 2016).
coming up with an idea; it requires diligent and
persistent attitudes to produce a final product.
Then, the imaginative-refinement skill is necessary
to improve or magnify uniqueness of the idea or the
creation by experimenting with unexpected varia-
ION thinking and ACP are frameworks for pre-
tions, after elaborating the synthesized ideas with
paring and accomplishing innovation. They can
details. Then based on others’ perspectives or crit-
be implemented by anyone and tailored according
icism, further refinement is made to make a good
to one’s own desired creation, regardless of how
creation better. The pursuit-of-simplicity skill is to
amateur or advanced. Applying all inbox, outbox,
transform complexity into simplicity by having a
and newbox thinking at appropriate times facili-
thorough understanding of a complex topic and
tates innovation, which is essential for the future
then removing distracting or unessential elements
success of the human species (Kim 2016).
to make the essence useful to others (Kim 2016).
Stage 8 (Short Autumn): Promotion

Gardeners know good timing is imperative when
Cross-References
planning, harvesting, and selling the fruits of their
▶ Creative Attitudes: The 4S (Soil, Sun, Storm,
labor. When gardeners sell fruits, they must sell as
and Space) Attitudes
quickly as possible (during the short autumn)
before they go bad. Also, location is critical
Tests, and Creative Thinking Skills Tests
because they might have to be transported a long
distance. The creation must be promoted in the
Climates
right place at the right time. The right place is one
that is receptive to their creation—often big mul-
ticultural cities – which value nonconformity and
▶ Creative, or a Behavior Problem?
welcome outsiders from diverse nationalities, eth-
▶ Decrease in Creativity
nicities, religions, and sexual orientations. Being
in these cities increases the likelihood of success-
ful promotion (Kim 2016).
In addition to the using metaphors and nonver-
References
bal communication, promotion skills include Kim KH. The creativity challenge: how we can recapture
articulation, naming, and storytelling. By articu- American innovation. Amherst: Prometheus Books;
lating the features and benefits of a creation, the 2016.
506 Creative Products
Definition
Creative Products
Creative styles are individual preferences or
▶ Four Ps of Creativity and Recent Updates approaches in which people are creative, solve
problems, and make decisions.
Creative Professionals
A Preamble
▶ Creative Class
There are many varying approaches for under-
▶ Creative Industries
standing individual differences in creative per-
sons. Some of them seek to understand
differences in levels of creativity (“to what extent
Creative Professions is this person creative?”), while other approaches
focus on differences of how individuals show
▶ Creative Class their creativity. These “how is this person crea-
▶ Creative Industries tive?” models incorporate the assumption of
differences in approaches to creative problem-
solving, or creative styles. People differ in the
cognitive styles in which they are creative, solve
Creative Scientific Enquiry problems, and make decisions. An approach to
cognitive style is that each person expresses a
▶ Scientific Inventive Thinking Skills in Children preference for processing information and making
decisions based on psychological patterns (Fox
and Fox 2004). There are several well-known
Creative Services theories and corresponding instruments directly
related for assessing creative cognitive styles.
▶ Creative Class Three of them which got the most popularity and
▶ Creative Industries strongest reputation among scholars and practi-
tioners for the last three decades are briefly
described in this entry.
Creative Styles Kirton Theory of Adaptive and Innovative

Styles
Igor N. Dubina According to Kirton adaption-innovation theory
The Faculty of Economics, Novosibirsk State (Kirton 1999), all individuals have some prefer-
University (NSU), Novosibirsk, Russia ences for an adaptive or innovative style of
The International Institute of Economics, problem-solving, decision-making, and creativ-
Management, and Information Systems, Altai ity. The adaptive style is characterized by work-
State University (ASU), Barnaul, Russia ing within the given paradigm: structure of a
problem, precision, reliability, and conformity.
The innovative style is characterized by
Synonyms approaching tasks from unsuspected angles, not
to be limited by the boundaries of the paradigm,
Creative behavior; Creative problem-solving; and been seen as undisciplined. These style
Creative process; Creativity differences, which lie on a normally distributed
Creative Styles 507
continuum, range from high adaption to high inno- may increase the performance of a team and
vation. The more adaptive people prefer their prob- organization. Managers should ensure that a cre-
lems to be associated with more structure, while the ative team is optimal for (i.e., suits) the organi-
more innovative people prefer solving problems zation’s goal, job requirements, and problem
with less structure and are less concerned about a type. For example, what is needed by the orga-
consensually agreed structure. Adaptors seek to nization, stability or flexibility? In which direc-
solve problems by introducing change that sup- tion is the company heading, upward or C
ports the current system. Adaptors develop novelty downward? If the company needs a fast retreat
within the existing system and expect to succeed by or repositioning in the marketplace, a flexible
using the rules. Adaptors strive to provide “better” individual should make the best in such a situa-
solutions rather than “different” solutions. They tion. An innovator would be the best choice.
tend to stay within the current paradigm too long, However, if the company is in a position of
while innovators tend to abandon the current para- steady and continuous growth, in the process of
digm too soon. consolidation, and harvests steady profits, then
The value of adaptors is obvious: they pro- the stable personality of an adaptor would make a
vide stability for an organization. Innovators better managerial choice. One of the most critical
more readily perceive the radical views and tasks for corporations is to match the skills of
solutions, although that involves more risks. people with the demands of a job. Creative styles
The value of innovators for an organization is may be particularly important in certain areas of
also obvious: they provide new opportunities. a business. For example, if the main focus of the
No organization can survive long without adap- business concentrates on the development of new
tors, and no organization can effectively develop products necessary for long-term survival, a
without innovators. It is very important to note company needs innovative problem solvers at
that adaptors and innovators can be equally cre- the top levels of management who enjoy the
ative by level, they can be equally good or bad at task of creating and developing novel solutions
problem-solving, and they just do so differently and ideas that progress to new products. Adap-
(Kirton 1987). tors are better suited for administering existing
The key point of this theory is that those dif- product lines, improving existing production and
ferences behave stable and no life experience delivery systems, developing ideas into prod-
(becoming more mature, knowledgeable, or ucts, and “keeping things running” through
senior) will change them. Each of the mentioned administration and maintenance (Fox and Fox
styles has its own strengths and weaknesses, so 2004).
the whole range is essential for solving the wide As a practical realization of his theory, Kirton
diversity of problems that face the organization or designed an instrument for measuring creative
group over a long time, although these differences styles (not creative capacity), the Kirton
are less useful on particular problems that obvi- adaption-innovation inventory (KAI). KAI is a
ously require mostly adaptive or innovative solu- popular, well-known, and practically used instru-
tions. Therefore, a diversity of problems requires a ment. At least 78 theses and 210 articles have been
diverse team, and one of the goals of optimally written about the KAI for two decades since 1978
managing creativity is to build an appropriate (i.e., (Puccio and Murdock 1999, p. 511).
optimal) creative team.
The organization’s goals, problems, and Basadur Model of Creative Styles
objectives vary constantly. How can a corpora- Basadur developed a concept of creative per-
tion manage creative people best? One way is by sonal styles based on the stages of the creative
understanding and using the insights gained by problem-solving process. He characterizes crea-
the study of styles. Identifying creative styles tive problem-solving as “a continuous circular
508 Creative Styles
process involving two opposite ways of getting • Generating many varied and original ideas to
knowledge and two opposite ways of using resolve the problem
knowledge.” Based on this idea, Basadur iden- • Selecting, strengthening, evaluating, and refin-
tified eight steps for the creative problem- ing promising ideas into workable solutions
solving process and creative problem solving • Developing a plan of action that builds on
profile (Basadur and Finkbeiner 1985; Basadur sources of assistance and overcomes potential
et al. 1990). sources of resistance
For an organizational team, which wants to be
effective in creative problem-solving, all four The Foursight has 37 questions which are
styles are needed. Generators, who are especially designed to measure with which “sections” of the
sensitive to the situational environment, are CPS model a person is most comfortable with.
needed for picking up data and suggesting possi- These may be single preferences or a combination
ble opportunities for change and improvement. of two or more preferences. Each preference has its
Conceptualizers are needed to pull together the strengths and its potential weaknesses. Therefore, a
facts and ideas from the generation phase into balanced creative team depends on the diversity of
well-defined problems and challenges and more styles. Single preferences are called clarifier,
clearly developed ideas and concepts for further ideator, developer, and implementer.
evaluation. Optimizers are needed to find a best Clarifiers like to spend time on clarifying the
solution from a practical point of view. Implemen- problem, because they want to be sure that the
ters are needed for effectively realizing practical right problem is being addressed. They gather
solutions and plans. For identifying creative information to understand the situation and are
styles, a particular instrument, the Basadur Sim- inclined to look at the details. They may have a
plex, was developed (Basadur 1997). tendency to analyze to the extreme and keep the
process from moving forward. Clarifiers are
Puccio Conception of Creative Styles focused, orderly, serious, methodical, deliberate,
Puccio developed another model and instrument and organized. In order to be effective, they need
for assessing creative styles to help individuals to have order, to get the facts of the problem
and/or teams for understanding better how they situation, have an understanding of the history of
approach solving problems. His instrument, the the situation, and appreciate ready access to
Foursight, is designed to improve collaboration of information.
individuals, teams, groups, and organizations in Ideators like to look at the “big picture.” They
problem-solving situations (Puccio 2002). The enjoy switching ideas and possibilities by
Foursight is based on the creative problem solving stretching imagination. When solving problems,
(CPS) model. The CPS model has a history of ideators take a more intuitive approach to
more than 50 years of development and is being problem-solving. They enjoy thinking in more
considered as one of the most widely used and global and abstract terms. This may cause a ten-
best researched about creative thinking models dency to overlook the details. Ideators are social,
worldwide. The six stages of the CPS model are flexible, independent, imaginative, and adaptable.
as follows: Ideators need constant stimulation, variety, and
change to be most effective.
• Identifying a goal, wish, or challenge that Developers like to put together workable solu-
requires creative thinking tions. They enjoy thinking and planning about
• Gathering information about the goal, wish, or the steps of implementing an idea. They analyze
challenge very well and compare potential solutions and
• Clarifying the problem by identifying the spe- like to examine the strengths and weaknesses of
cific issues that need to be resolved an idea. Developers might get stuck in trying to
Creative Teaching Methodologies 509
develop the perfect solution. Developers are can build balanced, creative teams and enhance
reflective, cautious, pragmatic, structured, and organizational effectiveness.
very planning oriented. To be effective, they
need time to consider the options and develop
their ideas. Cross-References
Implementers like to see things happen. They
enjoy focusing on ideas and solutions, which, as ▶ Adaptive Creativity and Innovative Creativity C
they feel, are workable. One potential drawback to ▶ Creative Behavior
this preference is that the person may leap to ▶ Creative Personality
action too quickly. Implementers are persistent, ▶ Creative Problem Solving
decisive, determined, assertive, and very action ▶ Creative Thinking Training
oriented. They are the most effective when they ▶ Creativity Tests
feel that others in their group are moving just as ▶ Divergent Versus Convergent Thinking
quickly as they are. They need a sense of control ▶ Four Ps of Creativity
and need to receive timely responses to their ideas. ▶ Measurement of Creativity
Committing too soon to one idea may leave other ▶ Psychology of Creativity
more powerful ideas undiscovered (Puccio 2002; ▶ Simplexity Thinking and the Basadur Innova-
Fox and Fox 2004). tion Profile Assessment
Conclusion and Future Directions References
It is important to note that all of the three concep- Basadur M. Basadur simplex manual. Center for Research
in Applied Creativity: Ontario; 1997.
tions and instruments, described above, identify
Basadur M, Finkbeiner CT. Measuring preference for ide-
and measure only preferences, and they do not ation in creative problem-solving training. J Appl
measure abilities. Testing these instruments with Behav Sci. 1985;21:37–49.
hundreds and thousands of people indicates that Basadur M, Graen G, Wakabayashi M. Identifying indi-
vidual differences in creative problem solving style.
the instruments have a good reliability and valid-
J Creat Behav. 1990;24:111–31.
ity. They provide a method for understanding how Fox JM, Fox RL. Exploring the nature of creativity.
people of different inclinations in the creative 2nd ed. Kendall/Hunt: Dubuque; 2004.
process can work together and may be organized Kirton MJ. Kirton adaption-innovation inventory (KAI)
manual. 2nd ed. Occupational Research Centre:
in a balanced team to complement each other to
Hatfield; 1987.
initiate, develop, and implement new and poten- Kirton MJ. Adaptors and innovators: a description and
tially useful ideas. Understanding and measuring measure. In: Puccio GJ, Murdock MC, editors. Crea-
creative styles may help a manager and team tivity assessment: readings and resources. Buffalo: Cre-
ative Education Foundation Press; 1999. p. 121–32.
members to identify the team’s strengths and
Puccio GJ, Murdock MC, editors. Creativity assessment:
weaknesses in problem-solving, as well as to readings and resources. Buffalo: Creative Education
select and use training programs and techniques Foundation Press; 1999.
in accordance to the problem, they want to solve, Puccio GJ. Foursight manual. International Center for
Studies in Creativity: Buffalo; 2002.
and the contingent of participants in terms of their
creative styles. Therefore, these instruments may
support a manager in understanding how to orga-
nize a team for increased creativity by synergizing Creative Teaching
the team members’ similarities and differences. Methodologies
By recognizing the potential contributions of all
of the creative personality styles, organizations ▶ Creative Pedagogy
510 Creative Thinking
Academic Achievement, Intelligence,

Creative Thinking and Creative Thinking
▶ Creative Mind: Myths and Facts Creativity is the process that leads to innova-
▶ Creative Thinking Skills: Inbox, Outbox, and tion. Creativity does not happen by chance,
Newbox (ION) Thinking Skills luck, or divine intervention. Expanding on the
▶ Creativity and Innovation: What Is the Differ- research from Guilford and Torrance, creativity
ence? results from right and left brain thought pro-
▶ Method for Creating Wisdom from Knowledge cesses. All individuals have the potential to
▶ Personal Creativity think creatively, but most indicators of future
academic potential only measure the lowest
level of creative thinking and intelligence.
There is a weak correlation between intelli-
gence and creativity, suggesting norm-
Creative Thinking Education referenced tests like the SAT, GRE, GMAT,
MCAT, and LSAT that institutions use for
▶ Creative Thinking Training admissions do not measure creative thinking.
In reality, institutions for learning are admitting
individuals that are high academic achievers
and fit under the bell curve. There is no indica-
tion that these high achievers are able to think
Creative Thinking in Music
creatively which is a necessary skill to combat
future world problems. Torrance discovered
▶ Creativity in Music Teaching and Learning
when IQ scales were used to identify individ-
uals as gifted, 70% of future innovators were
excluded, and Kim found the number to be
as high as 80% (Kim 2017). Creative thinking
Creative Thinking Process can be achieved by using the elements of
inbox, outbox, and newbox (ION) thinking
▶ Creative Process: The Apple-Tree Creative (see Fig. 1).
Process (ACP)
Creative Thinking Skills:

Inbox, Outbox, and Newbox
(ION) Thinking Skills
Kyung Hee Kim and Noël Williams

The College of William & Mary,
Williamsburg, VA, USA
Synonyms
Creative Thinking Skills: Inbox, Outbox, and Newbox
(ION) Thinking Skills, Fig. 1 Creative-Thinking Skills:
Convergent thinking; Creative thinking; Inbox, Outbox, and Newbox Thinking Skills.
Divergent thinking; ION thinking (Source: Kim 2017).
Creative Thinking Skills: Inbox, Outbox, and Newbox (ION) Thinking Skills 511
Creative-Thinking Skills skills. It functions like the wide-angle lens of a

camera by panning out and seeing beyond what is
Inbox Thinking directly in view to imagine novel approaches to a
Inbox thinking is the first step in the creative problem or an opportunity. This ensures the
thinking process and provides the foundation for uniqueness of an idea or a creation. Outbox imag-
outbox and newbox thinking. It is narrow and ination breaks the rules, challenges assumptions,
deep (inside the box) and used to gain or evaluate and reframes ideas or information in chaotic and C
knowledge and skills. It acts like the zoom lens of spontaneous ways. Outbox imagination benefits
a camera by focusing on the details of a topic. This from a large and obtainable supply of expertise
pointed thinking uses conventional techniques for attained during inbox thinking (Kim 2017).
accomplishing activities and determining the cor-
rect answer. It requires a persistent and systemic 1. Fluent Thinking
process to obtain the necessary knowledge and Fluent thinking is a skill used to spon-
skills for expertise development. Inbox thinking taneously generate numerous ideas. More
uses the left brain and includes both (1) develop- idea generation leads to more unique and
ing expertise and (2) critical thinking (Kim 2017). better ideas, and thus fluent thinking is the
foundation of both flexible and original
1. Inbox Expertise thinking.
Expertise is a complete and in-depth under- 2. Flexible Thinking
standing of a topic, subject, or field. To develop Flexible thinking is a skill used to generate
expertise, individuals first use lower-order both different kinds of ideas and from different
skills such as memorization and comprehen- angles. It is an even better predictor of
sion. To achieve inbox expertise, individuals innovation than fluent thinking is because it is
must also use application skills to take what a skill that considers multiple options and
they have learned and apply it to solve real perceives common objects or situations in dif-
world situations or problems. Inbox expertise ferent ways.
provides the foundation of outbox and newbox 3. Original Thinking
thinking. Original thinking is a skill used to generate
2. Inbox Critical Thinking new or unusual ideas, which makes it an
Inbox expertise is essential also for even better predictor of innovation than flexi-
inbox critical thinking. Inbox critical thinking ble thinking. It is one of the most critical ele-
requires the high-order skills of evaluating and ments of creative thinking and is based on both
analyzing ideas, and it mostly occurs after fluent and flexible thinking.
ideas have been generated during outbox imag-
ination. The inbox zoom lens helps individuals Newbox Synthesis
zero in on the details of knowledge and skills At the top of pyramid, supported by both
so they can be evaluated. Evaluating the par- inbox and outbox thinking is newbox synthesis.
ticulars ensures usefulness of an idea or a Newbox synthesis combines elements of inbox
creation. and outbox thinking, which requires use of both
sides of the brain. It synthesize sideas into a
Outbox Imagination new creation (new box) using the (1) connection,
Outbox imagination is quick, broad, and used (2) refinement, and (3) promotion skills. It uses
to devise a wide variety of possibilities and non- both the zoom and wide-angle lenses to first
conforming ideas (outside the box). It is also uniquely connect and combine previously
called divergent or outside-the-box thinking. unrelated ideas; then usefully refine the connected
It uses the right side of the brain and includes (1) ideas into a new creation by elaborating,
fluent (many, spontaneous), (2) flexible (different enriching, and simplifying, which ensures both
angles or kinds), and (3) original (novel) thinking uniqueness and usefulness of the creation; and
512 Creative Thinking Skills: Inbox, Outbox, and Newbox (ION) Thinking Skills
then finally, promotes the creation in a way that it create vivid images in the audience’s
can be recognized as an innovation by others and mind. Second, the dot-connecting skill
the society by persuading, naming, and storytell- uses nonverbal thinking or communication
ing. All three ways of thinking, inbox, outbox, and such as visualizing or thinking in pictures.
newbox thinking skills are required to think crea- Third, it is facilitated by thinking with the
tively and achieve innovation (Kim 2017). five senses, such as using and/or combin-
ing sight, sound, touch, smell, and/or taste
1. Connection to illustrate ideas or make new connections
Synthesis is recombining things and between irrelevant ideas. Finally, it uses
information into a new coherent whole without body thinking such as thinking and com-
losing the essence of each part. Innova- municating ideas in physical, lively, and
tion often starts by connecting elements emotionally vivid ways that is also effec-
of existing ideas because innovation is tive for the promotion skill.
an extension of existing knowledge/ 2. Refinement
skills. Connection uses (a) big-picture-think- Connected ideas must be refined into a use-
ing, (b) boundary-crossing, (c) pattern-finding, ful creation by elaborating, enriching, and sim-
and (d) dot-connecting skills. Each synthesis plifying them. When refining ideas into their
skill is an opportunity to connect different maximum usefulness, the perfect balance
aspects of unrelated ideas. between elaboration/enrichment and simplicity
(a) The big-picture-thinking skill is presenting is critical. The (a) persistent-elaboration, (b)
information in a larger context or system imaginative-enrichment, and (c) pursuit-of-
rather than the details. It requires thinking simplicity skills are used for refinement.
beyond what is seen. (a) The persistent-elaboration skill is neces-
(b) The boundary-crossing skill is going sary to complete the refinement stage by
beyond a subject and connecting dramati- working out the details, explaining and
cally different or irrelevant subjects or expanding ideas. Imagining a story is dif-
fields. This skill benefits from individuals ferent than writing the story; creativity is
who develop diverse expertise and more than just coming up with an idea; it
passions, like earning degrees from very requires diligent and persistent attitudes to
different fields (arts and sciences) or produce a final product.
experiencing significant career changes. (b) The imaginative-enrichment skill is
(c) The pattern-finding skill is symbolizing necessary to improve or magnify unique-
complex ideas, images, or data without ness of the idea or the creation by
losing the essence or distorting facts. experimenting with unexpected variations,
It identifies patterns by disregarding irrele- after elaborating the synthesized ideas
vant or superficial information and with details. Then based on others’ per-
bringing essential elements or attributes spectives or criticism, further refinement
forward. is made to make a good creation better.
(d) The dot-connecting skill is seeing things (c) The pursuit-of-simplicity skill is to trans-
as a connected whole instead of many form complexity into simplicity by having
unrelated pieces. It is recognizing an entire a thorough understanding of a complex
tree instead of separate branches or a whole topic, and then removing distracting or
chain instead of separate links. The dot- unessential elements to make the essence
connecting skill is facilitated, first, by useful to others.
the metaphorical-thinking that helps form 3. Promotion
analogies and bridge conceptual gaps. The creation must be promoted in the
Metaphors are easy to understand and right place at the right time. The right place
Creative Thinking Techniques 513
is one that is receptive to their creation – often standardized tests that are designed to find who
big multicultural cities, which value non- is smart, smarter, and smartest, pushes individuals
conformity and welcome outsiders from to perform well only on the contents of those tests,
diverse nationalities, ethnicities, religions, and it decreases creative thinking skills in individ-
and sexual orientations. Being in these cities uals. Because these test scores reflect test-takers’
increases the likelihood of successful promo- family income, the wasteful pursuit to identify
tion. In addition to the using metaphors who is smart, smarter, and smartest mutates into C
and nonverbal communication, promotion a contest to identify who is rich, richer, or richest,
skills include (a) persuasion, (b) naming, and which is counterproductive to the goals of testing
(c) storytelling. and innovation (Kim 2017).
(a) By articulating the features and benefits Most of the greatest innovators in history were
of a creation, the audience is able to under- never good at memorization or rote learning.
stand, accept, and desire the creation. Innovation requires complex cross-pollinators,
(b) Developing a creation’s name or title that inquisitive visionaries, courageous persisters,
grabs others’ attention is necessary so that and compassionate rebels who apply ION-think-
the audience can remember it and convey it ing skills, which requires a defiant spirit – not test-
to others. taking skill. The world needs creative thinkers
(c) Developing the skill of crafting and sharing who are capable of combating future economic,
compelling and interesting stories is neces- societal, national, and international challenges
sary for promotion. The audience remem- (Kim 2017).
bers storytelling better and longer than
factual lists. Storytelling communicates in
a simple, yet more persuasive way by Cross-References
showing the appeal of the creation instead
of explaining it by appealing to the audi- ▶ Creative Attitudes: The 4S (Soil, Sun, Storm,
ences’ emotions and creating mental and Space) Attitudes
images. ▶ Creative Climate Tests, Creative Attitudes
Conclusions and Future Directions Climates
Applying all inbox, outbox, and newbox thinking Process (ACP)
at appropriate times facilitates innovation, ▶ Creative, or a Behavior Problem?
which is essential for the future success of the ▶ Decrease in Creativity
human species. Inbox thinking, the backbone of
creative thinking, requires both application and
critical thinking skills, but these skills are not References
measured by most standardized tests – such as
state-mandated tests (by No Child Left Behind Kim KH. The creativity challenge: how we can recapture
Act and recently by the Every Student Succeeds American innovation. Amherst: Prometheus Books;
Act), gifted-identification measures, the SAT, or 2017.
the ACT (Kim 2017).
Outbox imagination is necessary to generate
unique ideas. Most young individuals are capable
of outbox imagination, but it progressively Creative Thinking Techniques
decreases if find themselves in anti-creative cli-
mates – especially test-centric climates. Using ▶ Creativity Training in Design Education
514 Creative Thinking Training
the components of the course as well as various

Creative Thinking Training aspects of the entire program both quantitatively
and qualitatively. As additional anecdotal evi-
Blair Miller1, Jonathan Vehar2, Roger Firestien3 dence, the authors also regularly receive feedback
and Robert P. Eckert4 from participants about the aspects of courses that
1
Blair Miller Innovation, Evanston, IL, USA they find to be particularly impactful. This feed-
2
Center for Creative Leadership, Greensboro, NC, back takes the form of conversations, phone calls,
USA emails, and letters. All of these items are used to
3
Innovation Resources Inc., Buffalo, NY, USA address a common research question that has been
4
New & Improved, LLC, Paul Smiths, NY, USA under discussion for as long as the authors have
been working together which is, “how might
instructional designers and trainers improve the
Synonyms stickability of our training?” In other words, how
might trainers increase the likelihood that the par-
Creative problem solving training; Creative think- ticipants will remember and apply what they have
ing education; Innovation training learned?
Individually and collectively, the authors have
worked with hundreds of organizations ranging
Introduction from the largest corporations (according to For-
tune’s list), to fast-moving growth companies, to
Kirkpatrick (1967) noted four levels of evaluation small family-owned enterprises, to not-for-profit
of training: organizations and governmental departments and
agencies. They have worked with most of their
• Level 1: Reaction. How well did the partici- clients multiple times, and so have had the oppor-
pants like the program? tunity to refine and develop their programs for
• Level 2: Learning. What principles, facts, and each organization. Since each organization has
techniques were learned? unique strengths and challenges, the authors
• Level 3: Behavior. What changes in job behav- engage in some degree of customization of the
ior resulted from the program? training programs to meet their needs. Having
• Level 4: Results. What were the tangible noted that, there are common elements that show
results of the program in terms of reduced up in almost all of their creative thinking
cost, improved quality, improved quantity, programs.
etc.? The authors have undertaken regular discus-
sions over the past 15 years, both formal and
Impact research focused on creative thinking informal explorations of the fundamental prin-
and creative problem solving (CPS) programs ciples of their work. While working together and
details levels two and three, plus less common separately, they have come to a shared conclu-
level four, evaluation (Firestien 1990; Firestien sion that there are four key principles responsi-
and McCowan 1988; Keller-Mathers 1990; Miller ble for most of the value of a training program in
1992; Neilson 1990; Puccio et al. 2006; Reid creative thinking, whether that course lasts for
1997; Vehar 1994; Vehar et al. 2000). In addition an hour, a day, a week, or a semester. The pur-
to published research, there are unpublished propose of this entry is to discuss these four princi-
prietary impact studies for companies ranging ples and to provide examples of their impact in
from large publishing companies to large consult- various organizations. This is not meant to be an
ing firms. exhaustive study of impact, but rather reflects
In the majority of courses delivered by the the culmination of years of working with indi-
authors, feedback forms are administered asking viduals and groups to help them think more
participants to provide a level one evaluation of creatively.
Creative Thinking Training 515
The Four Key Principles of Creative Examples of possible questions include the
Thinking following:
Here are the four key principles. While there are • How to obtain sponsorship?
many elements of a creative thinking training • How might we lower the cost?
program, the authors often begin and end a pro- • In what ways might we reduce spending?
gram by focusing on these four: • What might be all the ways to get money? C
1. Phrase problems as questions, using statement

starters, or what Parnes (1981) called, “invita- Success Stories: Phrasing Problems as
tional stems,” such as, “How to. . .,” “How Questions
might. . .,” “In what ways might. . .,” and
“What might be all the. . ..” At a large consumer products company, two
2. To get good ideas, generate a lot of ideas. direct-reports walked into the manager’s office
3. Evaluate all ideas positively with Praise First: and explained that because there was not enough
POINt. money, the research that had been planned to have
4. Take personal responsibility for your own consumers taste and provide feedback on a partic-
creativity. ular product needed to be canceled. The senior
manager listened to the assistant brand managers
In the pages that follow, each of these four and applied the principle of phrasing problems as
principles will be explained in more depth, along question by asking them, “How might we make
with anecdotal stories that reflect their application sampling a reality?” Her two assistant brand man-
in the workplace. agers stared blankly back at her and repeated that
the vendor’s price was too high making the sam-
pling impossible. So she rephrased her question
Phrase Problems as Questions as, “In what ways might we make the sampling a
reality?”
The first of the core principles is a key compo- This time, the managers understood what they
nent of the “Clarify the Problem” or “Problem- were being asked. With the reframing of the chal-
finding” stage of Osborn-Parnes Creative lenge the managers began to see a new course of
Problem Solving (CPS) and its many variations action. In minutes, the three had generated ideas
(Miller et al. 2004; Parnes 1981, 1992). What is a for a solution that was ultimately successful with
slight, yet specific, use of language in CPS – no increase in budget. What unlocked this situa-
phrasing a problem or obstacle in the form of a tion for the senior manager was her ability to step
question – in practice beyond the process back from the situation, to keep the overall objec-
becomes a fundamental shift in the way in tive in mind, and to start phrasing the problem
which people approach challenges. More than with questions that invited solutions.
just a technique, it operates in a way that requires In another notable example, a chemist at
people to shift from viewing something as a another consumer products company solved a
limitation, or something that cannot be done, vexing 77-year-old consumer problem by using
into an inquiry in how something might be the same approach. For more than seven decades
done (Eckert and Vehar 2007; Miller et al. scientists in the R&D department had tried and
2004; Osborn 1948). failed to fix a glitch that generated more than 50%
Using this technique, one would take a prob- of all consumer complaints on a popular product.
lem such as “I don’t have any money,” and turn it The scientists and some colleagues spent more
into a question starting with one of four statement than a man-year trying to find their own solu-
starters: “How to. . .,” “How might. . .,” “In what tions – until the chemist decided to apply a lesson
ways might. . .,” or “What might be all the. . ..” learned in a creative thinking training session and
challenge the accepted problem statement. In manager noted that, “We made our money back on
15 min, he set up a crude experiment which the first day!”
2 weeks later validated his answer to the problem In another situation, the Director of Consumer
that the company had worked on for so long. Promotions at a consumer products company was
assigned by her Vice President to structure a
division-wide brainstorming session for 300 peo-
To Generate Good Ideas, Generate a Lot ple that would deliver millions of dollars in sav-
of Ideas ings during the remaining months of 1998 and
throughout 1999. Rather than sequester the cost
One of the major contributions to the study of cutting to the offices of a few high-level directors,
creative thinking made by Alex Osborn was an the division took a vastly different approach. The
emphasis on generating a large number of ideas director set up a day on which 29 teams generated
before selecting the best one to move forward, ideas on the challenge. The thousands of ideas
thus separating the generation from the evaluation went through a feasibility screen manned by
phase of idea generation (Osborn 1993). His four director-level managers whose job was to “reality
guidelines for brainstorming, or divergent think- check them.” Even after a critical screening, the
ing, emphasize a focus on quantity to generate ideas totaled up to millions of dollars in potential
quality. The research of Firestien and McCowan savings. Unfortunately, the group fell short of its
(1988) demonstrated the value of generating year-end target for the current year since there was
many ideas as a strategy to generate high quality not enough time left in the year to implement
ideas, along with the positive improvements in the them. But the following year cost cuts were a
communication behaviors of the participants. different story. The group more than doubled the
Most famously, Linus Pauling, the chemist who targeted amount for the following year. Not only
earned two Nobel prizes is quoted as saying, “If did the participants generate thousands of ideas,
you want to have good ideas you must have many but the division, in 1 day, pocketed ideas worth
ideas” (cited in Crick 1995). millions of dollars in potential savings.
During training programs, the authors empha-
size many tools and techniques to help develop
the skill of seeking a large quantity of ideas. The Evaluate Ideas Positively with PRAISE
authors emphasize the point that Pauling made, First: POINt
and encourage participants to take this on not only
as a deliberate technique, but also as an approach The third key principle is that of evaluating all
to generating solutions for the challenges ideas positively. The authors specifically recom-
they face. mend a tool called Praise First: POINt (Miller
et al. 2004). POINt is an acronym that represents
the four specific aspects that should be examined
Success Stories: Generate a Lot of Ideas in each idea that is being evaluated:
A Training Project Manager at a large daily news- • Pluses: What is good about the idea right now?
paper facilitated a creative thinking session • Opportunities: What are the good things that
focused on how to develop a system to check the might result if the idea were to be
paper for accuracy before printing. That after- implemented?
noon, after generating hundreds of ideas, the pro- • Issues: What are some of the issues, concerns,
duction team went back to the composing room or things that need to be improved about the
and refined the ideas down to a comprehensive idea?
checklist. By using the list that very night, the • New thinking: For each of the significant
team caught an error in a full page color adver- issues, what are some new ideas that will over-
tisement that would have cost $22,000 to fix. The come the issues identified?
While the concept of examining the advan- with the idea. Finally, after noticing this pattern
tages and disadvantages of an idea is hardly new, among his team members, he made a subtle
it was Synectics (1979) that identified Itemized intervention by asking the team to first look for
Response as a systematic approach for evaluating the pluses. His peers agreed, and rather than
ideas, and the work of Foucar-Szocki, Firestien, killing the idea, worked through a process of
and Shephard who first coined PPC (Pluses, searching for pluses, then opportunities and
Potentials, and Concerns), an earlier version of next identified issues, before turning it back to C
Praise First: POINt (Firestien 1996; Miller the team to fix the issues and then implement the
et al. 2004). solution. The idea was one that could save 3 days
on drug development for any drug that made it to
the 3-year mark in development, which equates
Success Stories: Evaluate Ideas to about $3 million on each drug in develop-
Positively with Praise First: POINt ment. One person interviewed said that without
the use of the Praise First: POINt technique, this
An international consumer products company solution was headed where all the other ideas
required a group of plant managers to attend a headed: a binder on the shelf never to be
2-day creativity training. After the first day, the implemented.
participants were given homework: to apply
POINt to a work situation before coming to class
the next morning. One seasoned plant manager Take Personal Responsibility for Your
shook her head saying, “I am not paid to be Own Creativity
creative. My job is to run the plant efficiently
and keep my workers safe.” She went on, “I Trainers regularly hear people leave training pro-
don’t like new ideas. It’s just more work for grams saying something like, “these are good
me.” But she dutifully took on the homework tools and methods, but my boss/peers/direct-
assignment, and called a worker who was always reports/etc., won’t let me be creative.” Or later
offering new ideas. During their conversation, the participants would say, “that was a good course,
plant manager forced herself to first reflect the but no one’s using it on my team.” The authors
positive aspects of the worker’s new idea and interpreted this to mean that there was a lack of
articulate what positive outcomes might happen responsibility being taken for implementing the
if the idea was implemented. The next morning, course learnings, in spite of the fact that the orga-
she reported back to the class. “That idea is going nization, and in some cases the participants them-
to save my plant $5,000 a week!” She further selves, were paying good money for, and
admitted that if she hadn’t used POINt, she spending valuable time in, the training. The prin-
would never have had the patience to hear the ciple of taking personal responsibility for creativ-
idea through. ity is an invitation to people not to wait around,
In another application, a peer in a meeting – but rather to make it happen on their own at
not a manager or facilitator – shifted the way a whatever level they can manage.
group was evaluating ideas worth millions of Frankl (1984) pointed out the importance of
dollars. A large pharmaceutical company cre- choosing one’s own attitude to make a difference,
ated a governance committee to evaluate pro- and this is what participants are directly asked to
posals from teams challenged to look for ways do. Neilson (1990) and Keller-Mathers (1990)
to speed both drug development or promising pointed out the need for this in their impact
compounds and the decisions to stop develop- research, and Vehar (1994) pointed in this direc-
ment earlier on dead-end projects. A member of tion as well. The authors were confident that their
the committee noticed that his peers on the gov- courses could change the way that an organization
ernance committee were reacting to each pro- works, and had also heard from people through
posal by looking for what was wrong or weak the years that the course and the content changed
their lives. What was notable about those whose company changing and improving their diversity
lives were changed is that they took the responsi- efforts in order to be more competitive.
bility to implement what they had learned.
Recommendations
Success Stories: Take Personal
Responsibility for Your Own Creativity The authors are strong advocates of helping peo-
ple remember these four items by repeating them
At a large multinational corporation’s R&D often in their programs, by using posters that
facility, a mid-level member of the organization focus on these items, by giving away reminder
took on the responsibility to share these key cards that people can keep handy, and by
principles with other members of her team who reinforcing the principles in follow-up
had not attended the training. She specifically newsletters.
mentioned the need to take personal responsibil- Focusing on these four principles, rather than
ity for improving the climate for innovation and on every page in the manual, allows for the most
communication on the team, which fostered effective transfer of learning. While other items in
excitement and numerous conversations about the course build on and enable the principles, the
ideas for implementation, many of which were four key principles are the foundation on which
subsequently implemented. To keep these con- the courses – and their ultimate impact – are
versations energized, she created an ongoing based.
support group that sent out weekly reminders As people who enjoy generating ideas and are
of the tools and mental attitudes to drive always finding new things to add to their presen-
innovation. tations, the authors regularly have to remind each
A large publishing organization conducted a other that, “less is more.” That is why they focus
week-long executive leadership program that on the four key principles that after a half, full, or
focused on having participants craft real solu- 2-day training program are critical that people
tions to difficult organizational challenges. One remember and apply. These things will create the
participant, an assistant corporate counsel, was most value, and are worth remembering.
charged with working on organizational diver-
sity. During dinner early in the week, he confided
to one of the trainers a grave concern: that if, at Conclusion and Future Directions
the end of the week, he presented to the Chair-
man of the company what he really needed to While these four key principles seem fairly basic,
hear, it might spell the end of his career. The they are quite profound. In the words of Etienne
participant and trainer discussed the need for Verber, the former President of Nutra-Sweet, “a
personal responsibility around creativity. The lot of this stuff seems basic, but the fact is, when
next day, the participant reported that he was you apply the principles again and again, the
going to tell the Chairman the difficult news results are amazing” (Schoen 2000). In the collec-
and propose the challenging solutions that tive experience of the authors, they believe the
needed to be heard. Plus, he had already called four keys reflect the Pareto principle that: 80%
the Chairman to tell him who else among the of the value comes from 20% of the course
executive team needed to attend his presentation (Retrieved April 8 2008 http://www.gassner.co.
at the end of the week. The participant was sub- il/pareto/), which is not to say that the other 80%
sequently promoted in the organization, and of the course is worthless, but in fact reinforces the
2 weeks after the presentation, on the front page four key principles. Effective creative thinking
of the Wall Street Journal, the Chairman was course content serves to provide additional tools
quoted talking about the importance of the and techniques that aid these four principles such
as: (1) ways to help determine what are other References

questions that frame the problem, (2) tools for
generating more ideas, (3) techniques for Crick F. The impact of Linus Pauling on molecular biology.
http://oregonstate.edu/dept/Special_Collections/subpa
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ges/ahp/1995symposium/crick.html (1995). Retrieved
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Improved; 2007.
implementable. They do not require additional
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context. These are all suggestions that can be Res. 1990;21(4):507–21.
applied in all types of situations, from the second Firestien RL. Leading on the creative edge: gaining com-
petitive advantage through the power of creative prob-
that the course is over to many years down the
lem solving. Colorado Springs: Pinon; 1996.
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harder to apply. Is it possible to teach these prin- J. 1988;1:106–14.
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Simon & Schuster; 1984.
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understanding to habitual practice. This is the training on participants’ personal and professional
challenge on which the authors and the field in lives: a replication and extension. Unpublished masters
project. Buffalo: Center for Studies in Creativity, State
general are still working.
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LR, editors. Training and development handbook.
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▶ Creative Leadership Education Foundation; 1981.
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▶ Divergent Versus Convergent Thinking focus on workplace issues. Creat Innov Manag.
▶ Ideas and Ideation 2006;15:19–33.
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520 Creative Workers
Retrieved 8 Apr 2008. http://www.gassner.co.il/pareto/ “often fails to give close attention to details
Schoen R. Winning the race to market: a case for creativity or makes careless mistakes in schoolwork, at
coaching. Unpublished manuscript. Evanston: THinc
Communications; 2000. work, or during other activities,” “often does
Synectics. Innovative teamwork program: course work- not seem to listen when spoken to directly,”
book. Cambridge, MA: Synectics; 1979. “often has difficulty organizing tasks and
Vehar JR. An impact study to improve a five-day course in activities,” and “ often loses things necessary for
facilitating creative problem solving. Unpublished
masters project. Buffalo: Center for Studies in Creativ- tasks and activities” (American Psychiatric
ity, State University College at Buffalo; 1994. Association 2013). Alternatively, six or more
Vehar JR, Doebler C, Eckert RP. Innovation training as of the nine criteria for hyperactivity can be met
profit center? Yes! A 750% return on investment. to secure a diagnosis, including “often fidgets
Unpublished manuscript; 2000. Available at: http://
www.newandimproved.com/roi/. Accessed 8 Oct 2012 with or taps hands and feet or squirms in seat,”
“often unable to play or engage in leisure
activities quietly,” and “often talks excessively”
(American Psychiatric Association 2013).
Creative Workers
▶ Creative Class Thinking Skills (CATs)
CATs embodies the three steps that lead to

innovation: first, cultivate creative climates;
second, nurture creative attitudes; and third,
Creative, ADHD, or Both? apply creative thinking skills. Creators’ climates
are the most influential part of the CATs model
Kyung Hee Kim1 and Clayton V. Martin2 because climates refer to creators’ surroundings,
1
The College of William & Mary, including any of their relationships, environ-
Williamsburg, VA, USA ments, and developmental processes. The soil,
2
Alvernia University, Reading, PA, USA sun, storm, and space (4S) climates impact how
creators think and behave, and each climate
can either encourage their creativity
Synonyms development or discourage it. The soil climate
provides creators with diverse resources and
ADD; Attention deficit disorder; Hyper experiences, allowing them to mentally
accumulate a lot of raw materials to create
with; the sun climate inspires and encourages
Diagnosis of ADHD (Attention Deficit/ them to be motivated to create; the storm
Hyperactivity Disorder) climate provides creators with high expectations
and challenges, enabling them to complete
According to the Diagnostic and Statistical the long, bumpy creative process; and the space
Manual of Mental Disorders (DSM), attention climate provides creators with the freedom to
deficit/hyperactivity disorder (ADHD) is a be alone and unique so that they can develop
“persistent pattern of inattention and/or unique ideas for innovation (Kim 2016).
hyperactivity that interferes with functioning or Exposure to the 4S climates promote the
development” (American Psychiatric Association development of creative attitudes or 4S (soil,
2013). The DSM includes ten criteria for the sun, storm, and space) attitudes, which are
presence of inattention and requires that six creators’ characteristics, beliefs, and visions.
or more be present for a proper diagnosis of The 27 creative attitudes enable creators’
ADHD. Some of these symptoms include creative-thinking skills, and they are greatly
Creative, ADHD, or Both? 521
influenced by their creative, uncreative, or is unacceptable to most adults; however, it

anti-creative climates. Although the diagnosis helps creators be less self-conscious and generate
of ADHD is grounded in negative language, ideas more spontaneously and even subcon-
some of the descriptions are associated with sciously, which promote creative thinking.
creative attitudes and thinking skills. Both creators and individuals with ADHD exhibit
Individuals with ADHD often display spontane- this spontaneous attitude (Kim 2016).
ous, energetic, risk-taking, emotional, and The energetic attitude comes from being C
daydreaming qualities, which are essential for motivated from within, regardless of external
creative attitudes (Kim 2016). These attitudes circumstances. Innovators are tremendously
are related to two neurological features of energetic, because they’re curious about or
individuals with ADHD: strong novelty seeking inspired by something and feel compelled to
and weak latent inhibition. examine it further. Their energy starts as they
discover a curiosity, a preference or an interest;
it accelerates as they develop expertise; and
Novelty Seeking and Creativity when their curiosity or interest ignites into a
passion, they devote obsessive energy to
Creativity is making or doing something accomplish their goal. Both creators and
unique and useful (Kim 2016). Therefore, it is individuals with ADHD exhibit this energetic
rooted in the ability to conceptualize and exe- attitude (Kim 2016).
cute novel ideas. Strong novelty-seeking ten- Having the risk-taking attitude means leaving
dencies occur when uncommon features in the secure situations to pursue uncertain rewards.
brain’s reward system intensify the drive to seek Creators are optimistically confident to
novel, stimulating experiences, and it is associ- venture into uncertain and risky creative end-
ated with creativity (Carson 2014; De Dreu et al. eavors. They are adventurous, jump on opportu-
2015). It is also associated with several creative nities, and dare to explore, instead of being
attitudes, such as the spontaneous/impulsive, pessimistic and finding fault with opportunities.
energetic/hyper, risk-taking/reckless, and emo- They take social or emotional risks, like embar-
tional/unstable attitudes. These attitudes are rassment or loss of respect, and intellectual risks
associated with the diagnostic criteria for by presenting new or different ideas. This invites
ADHD (Kim 2016; Carson 2014; Abraham resistance because new or different ideas often
et al. 2007; Donfrancesco et al. 2015; Honos- conflict with the interests of authority figures or
Webb 2010), which both creators and individ- the status quo, and successful creators must be
uals with ADHD display (Kim 2016; Abraham willing to risk negative feelings, failure, and
et al. 2007; Cramond 1995). Individuals with ridicule in pursuit of their goals. Creators who
ADHD often exhibit inclination toward flexible take high risks are more successful than those
working conditions, entrepreneurship or entre- who take low risks. Both creators and individ-
preneurial risk-taking, creative thinking, and uals with ADHD exhibit this risk-taking attitude
real-world creative achievements, partly due to (Kim 2016).
their strong novelty-seeking tendency (Verheul Having the emotional attitude means
et al. 2015). recognizing, understanding, and expressing
Having the spontaneous attitude means being individuals’ own feelings. Creators experience
flexible and immediately acting on new ideas deep emotions and are sensitive to the
and opportunities. Creators prefer a flexible, environment. They’re emotionally expressive
spontaneous way of life to a set path. They are and can be over-reactive or oversensitive to
willing to uproot a stable life at any moment stimulation physiologically, intellectually,
to follow an opportunity whenever it comes sensually, or through their imaginations. Both
up. An exuberant focus on fulfilling immediate creators and individuals with ADHD exhibit
desires is considered a childlike behavior and this emotional attitude (Kim 2016).
522 Creative, ADHD, or Both?
Latent Inhibition and Creativity Healey and Rucklidge 2007; Lubow et al. 2007,
2014).
Latent inhibition is a mental filtering process
that screens stimuli that have been previously
experienced as distracting or irrelevant from Conclusions and Future Directions
consciousness (Carson 2014). To illustrate the
process, consider the act of changing a tire Creative attitudes can seem negative to others:
on the side of a highway off-ramp. During this the spontaneous attitude can seem impulsive;
activity, the latent inhibition process would the energetic attitude can see hyper, the risk-taking
normally filter out stimuli that are not related attitude can seem reckless, emotional attitude can
to the task at hand, such as the smell of the seem unstable; and the daydreaming attitude can
asphalt, the sound of trucks shifting on the seem delusional to others, especially in uncreative
expressway, or the colors of the sunset. or anti-creative climates. Despite the positive rela-
However, creative individuals are often over- tionships between some of the characteristics of
sensitive to stimuli, such as people, noise, ADHD and the creative attitudes and thought pro-
stress, temperature, or rewards; these traits make cesses, the diagnosis of ADHD has been concep-
them distractible and poor at filtering out tualized through a strictly negative lens (Stearns
irrelevant inputs. This trait is called over-inclusion 2015). Unsurprisingly, teachers prefer students
or weak latent inhibition, which both creators who are achievers and teacher-pleasers, rather
and individuals with ADHD display. Weak latent than disruptive or unconventional creative stu-
inhibition and some creative attitudes, such as dents. Creative students often display characteris-
the daydreaming attitude, are associated with tics disliked by teachers such as hyperactivity,
the diagnostic criteria for ADHD. Having the argumentativeness, selfishness, stubbornness, and
daydreaming attitude means sustaining independence. Teachers perceive such attitudes
unrealistic but goal-oriented thoughts while and behaviors as negative. This disconnection
awake. Both individuals with ADHD and between teachers’ preferences and creative stu-
frequent daydreamers have difficulty paying dents leads to a discrepancy between classroom
attention and experience daydreaming-related expectations and creative students’ educational
disruptions. They are exposed to an abundance needs. Furthermore, school climates that are
of seemingly irrelevant data while problem only focused on testing encourage teachers to iden-
solving. They are poor at consciously drawing tify creative students as “troublemakers” rather
distinctions between relevant and irrelevant than future creators. Because educators are more
stimuli, which is described as “inattention” in the prepared to find students’ problems than their cre-
diagnostic criteria for ADHD (e.g., American ative potential, misidentifying a student with
Psychiatric Association 2013; Carson 2011; ADHD as creative is less likely than mislabeling
Carson et al. 2003). However, their inattention a creative student with ADHD (Cramond 1995).
and their ability to quickly divert attention to Teachers can frequently mistake a highly creative
process the extraneous information are beneficial student who is energetic and unconventional as
for creative thinking. They are able to interpret having ADHD; in fact, the misdiagnosis of creative
and organize this excessive data in a way that students as possessing ADHD is increasing along
generates unique ideas or thoughts (Kim 2016; with the prevalence of prescribing medication that
Carson et al. 2003). Thus, distractibility and diminishes creativity (Black et al. 2012;
oversensitivity are correlated with increased Krautkramer 2006). This trend of overdiagnosing
creativity (Amabile 1986; Martindale 1999), and overprescribing ADHD medications shackles
and individuals with ADHD tend to be more future creators in misguided attempts to control
creative than others partly due to weak latent their seemingly delinquent attitudes and behaviors.
inhibition (Kim 2016; Abraham et al. 2007; This leads them to become jaded with the
Creative, ADHD, or Both? 523
educational system and mistrustful of authority. Carson S. Creativity and psychopathology: a shared vul-
Diagnosing ADHD in individuals creates stigma, nerability model. Canadian J Psychiat. 2011;56(3):144.
https://doi.org/10.1017/CBO9781139128902.017.
which leads to their poor self-concept and their lack Carson S. Leveraging the mad genius debate: why we
of feeling responsible for self-regulation. Medicat- need a neuroscience of creativity and psychopathology.
ing them not only stifles their creative attitudes but Front Hum Neurosci. 2014;8:1–4. https://doi.org/
also tragically makes them believe that they are 10.3389/fnhum.2014.00771.
neither allowed nor able to harness their own
Carson S, Peterson J, Higgins D. Decreased latent
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Cramond B. The coincidence of attention deficit
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attitudes, and apply their creative-thinking skills The National Research Center on the Gifted and
to realize their full creative potential (Kim 2016; Talented [University of Connecticut]; 1995. http://
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De Dreu CKW, Baas M, Boot NC. Oxytocin enables
novelty seeking and creative performance through
upregulated approach: evidence and avenues for
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Verheul I, Block J, Burmeister-Lamp K, Thurik R,
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015-9642-4. tive or destructive purposes, and thus can take on
negative qualities without appropriate support and
structure. The attitudes can be considered nega-
tive especially in anti-creative climates, and some
Creative, or a Behavior of them might seem inherently negative to author-
Problem? ity figures or conventional thinkers. A cactus
exemplifies a creative individual’s attitude and
Kyung Hee Kim1 and Clayton V. Martin2 how she or he seems to others. People often
1
The College of William & Mary, Williamsburg, admire both the cactus’s ability to thrive in a
VA, USA desert and its flowers’ vibrant colors. But they
2
Alvernia University, Reading, PA, USA often do not want to be near the cactus because
its thorns are painful to touch although they are
necessary for its survival. Similarly, most people
Synonyms admire a creative individual’s achievement, but
they often do not love her or him because her or
Creativity and behavior problems; Negative his attitude seems negative in uncreative or anti-
creativity creative climates. However, “troublemakers” or
individuals with “negative” attitudes can become
innovators through focusing on and magnifying
Positive and Negative Creative Attitudes the positive aspects of the attitudes (Kim 2016).
The three required steps for innovation – creative The Soil Attitudes
CATs (Climates, Attitudes, and Thinking skills) – The soil climate – providing diverse resources and
include: first, cultivate creative Climates; second, experiences – nurtures the soil attitudes. The five
nurture creative Attitudes; and third, apply crea- soil attitudes are characterized by individuals’
tive Thinking skills (Kim 2016). open and complex minds that best utilize
Creative attitudes are necessary for individuals’ resources. The soil attitudes form the foundation
creativity to grow strong and flourish, which for individuals’ other sun, storm, and space atti-
include soil, sun, storm, and space (4S) attitudes. tudes (Kim 2016):
The five soil attitudes help them become resource-
ful cross-pollinators; the six sun attitudes help 1. The open-minded attitude involves consider-
them become curious optimists; the eight storm ing others’ views that are different from one’s
attitudes help them become resilient hard workers; own, which is developed by early diverse
and the eight space attitudes help them become experiences including exposure to other
defiant dreamers who apply creative-thinking cultures.
skills for innovation. By combining their sun and 2. Having the bicultural attitude means embrac-
space attitudes (for uniqueness) with their soil and ing new cultures while maintaining one’s own
storm attitudes (for usefulness), they make their cultural identity, which is developed by learn-
creation both unique and useful, which is the ing from other cultures. It matures by seeking
essence of innovation (Kim 2016). Each attitude diverse mentors.
can be learned and further developed through prac- 3. The mentored attitude comes from being mutu-
tice. Not every creative individual possesses all of ally interested in and taught by experts and
the 27 attitudes, but the most creative individuals their constructive criticism, which is developed
Creative, or a Behavior Problem? 525
by trusting others and being teachable. Men- curiosity or interest and friendships with people
torship and bicultural experiences help who share that curiosity or interest (Kim 2016).
mentees understand complex views.
4. The complexity-seeking attitude is character- The Sun Attitudes
ized by embracing equivocal and conflicting The sun climate – providing inspiration and
views. It is refined by dealing with or solving encouragement – nurtures the sun attitudes. The
increasingly complex situations/problems six sun attitudes are characterized by individuals’ C
and helps find and analyze unique optimism, self-inspiration, and curiosity that sus-
opportunities. tain energy (Kim 2016):
5. Having the resourceful attitude means finding
and using all kinds of resources/opportunities 1. Having the optimistic attitude means seeing
efficiently and effectively to accomplish goals. positive outcomes regardless of existing cir-
It is developed by one’s learning to prepare for cumstances. It starts with positive attachment
or overcome financial, physical, or cultural to others, which helps individuals confidently
challenges. expand their world.
2. The big-picture-thinking attitude comes from
Each of the soil attitudes, however, can seem being inspired by others’ words, deeds, or
negative to others: open-minded individuals values and seeing the big picture beyond con-
might seem “distracted”; bicultural individuals straints. It draws individuals out of limited
might seem “rootless”; mentored individuals situations to pursue unlimited possibilities.
might seem “channeled”; complexity-seeking Their optimistic and big-picture-thinking atti-
individuals might seem “overcomplicated”; and tudes direct curiosity out toward the big world.
resourceful individuals might seem “opportunis- 3. Having the curious attitude means thinking in a
tic.” Individuals must see the long-term positive childlike manner and insatiably seeking new
aspects of these attitudes to magnify the under- information. It leads individuals to unexpected
lying positive soil attitudes (Kim 2016). opportunities and instills a desire to pursue them.
Individuals must structure activities that 4. Having the spontaneous attitude means being
expose themselves to diverse resources and flexible and immediately acting on new ideas
ideas. They can benefit from: attending unfamiliar and opportunities. It starts with open-
events that show different ways that families and mindedness and curiosity and leads to playful
friends interact, such as different ceremonies or approaches to experiences.
religious practices, or foreign movies; identifying 5. Having a playful attitude means approaching
free events such as music concerts, lectures, clas- situations in exploratory ways and seeing the
ses, extracurricular activities, and after-school/ lighter side of challenges. This helps sustain
work clubs; learning to do something that they individuals’ energy over time.
do not know about such as taking a class, eating a 6. An energetic attitude comes from being moti-
new food, or reading a book they aren’t initially vated from within, regardless of external circum-
interested in; learning activities that push the stances (by intense curiosity, self-inspiration, or
limits of their comfort zone such as walking back- other reasons). It starts with optimistic curiosity
ward through their whole house or trying a back and sustains individuals’ enthusiasm over time.
flip or hand stand; and learning to be open-
minded/unfocused or focused depending on the Each of the sun attitudes, however, can seem
specific stage of the creative process. For exam- negative to others: optimistic individuals might
ple, generating ideas requires a more open- seem “unrealistic”; big-picture-thinking individ-
minded/unfocused mind while evaluating the uals might seem “dreamy”; curious individuals
ideas requires a more focused mind. Once they might seem “annoying”; spontaneous individ-
have begun to identify new curiosity or interest, uals might seem “impulsive”; playful individuals
they must further pursue experiences for the might seem “mischievous”; and energetic
individuals might seem “hyper.” Individuals doing things alone and helps individuals con-
must see the long-term positive aspects of these trol their own behaviors.
attitudes to magnify the underlying positive sun 2. The self-disciplined attitude comes from indi-
attitudes (Kim 2016). viduals’ motivating and controlling themselves
Spontaneity and novelty-seeking (a drive to to accomplish goals. It starts by adapting to
experience exciting, unfamiliar stimuli and experi- existing expectations/limitations and develops
ences and a compulsion to seize opportunities) by structuring their own situations while
benefit creative expression but can make an indi- avoiding distractions and addictions.
vidual vulnerable to temperamental, impulsive, 3. Having the diligent attitude means exerting
and compulsive behaviors (Carson 2011; meticulous, steady attention to build skills to
Donfrancesco et al. 2015). With support and struc- accomplish clear goals. It starts with self-
ture, however, impulsive individuals can maximize discipline and results in skills necessary to
the positive aspects of their compulsion while pursue the goals.
restraining its negative influences. They can benefit 4. The self-efficacious attitude comes from being
from learning to live in the here-and-now while confident to perform well on a specific task
learning to organize and plan; and practicing how based on previous successful experiences.
to think through their actions while identifying and Self-efficacy (true confidence) across multiple
respecting the boundaries and the rights of others. areas builds individuals’ resilience.
When they have a desire to do something sponta- 5. The resilient attitude comes from recovering
neous or impulsive, they should plan it out before- and thriving after challenges or failures. It
hand and execute it in a way that facilitates starts with self-efficacy and dedication to
learning. For example, they could plan out a way clear goals and helps develop skills that mini-
to re-sculpt shrubs along the family home in a mize the impact of setbacks or risks.
creative design and then journal about the experi- 6. Having the risk-taking attitude means leaving
ence; also, they could learn to play a musical secure situations in pursuit of uncertain
instrument while agreeing to practice for a set rewards. It starts with optimistic self-efficacy
amount of time; furthermore, they could make a and develops as individuals plan for various
list of their daily routines and explore variations on outcomes, which helps them keep trying.
those themes in a safe and structured manner. By 7. Having the persistent attitude means continu-
planning out and committing to these activities, ously striving for goals with commitment
impulsive individuals can explore their spontane- regardless of immediate rewards. It starts with
ous nature in a way that simultaneously encourages individuals’ self-efficacy and resilience and
discipline. Lastly, it is crucial to eat at least one strengthens as they make progress toward their
meal a day as a family, and spend time cooking, goals.
playing, talking, walking, singing, dancing, or 8. Having the uncertainty-accepting attitude
doing art together (Kim 2016). means acting without complete information
regardless of potential challenges or outcomes,
The Storm Attitudes which helps one dare to attempt the impossible.
The storm climate – setting high expectations and
providing challenges – nurtures the storm atti- Each of the storm attitudes, however, can seem
tudes. The eight storm attitudes are characterized negative to others: independent individuals might
by individuals’ overcoming challenges while pur- seem “aloof”; self-disciplined individuals
suing and striving for high goals (Kim 2016): might seem “compulsive”; diligent individuals
might seem like “workaholics”; self-efficacious
1. Having the independent attitude means think- individuals might seem “arrogant”; resilient indi-
ing and acting freely from others’ influence, viduals might seem “combative”; risk-taking
support, and control. It starts with thinking and individuals might seem “reckless”; persistent
Creative, or a Behavior Problem? 527
individuals might seem “obsessive”; and 1. Having the emotional attitude means recogniz-
uncertainty-accepting individuals might seem ing, understanding, and expressing individuals’
“fearless.” Individuals must see the long-term pos- own feelings. It helps them communicate their
itive aspects of these attitudes to magnify the own state of mind and develops empathy for
underlying positive storm attitudes (Kim 2016). others.
The focus and determination that are necessary 2. Having the compassionate attitude means inter-
to overcome challenges and setbacks can also nally empathizing with others and externalizing C
produce arrogant, brash individuals who alienate it by helping them in meaningful ways. It starts
and frustrate collaborators. They must learn to with understanding others and their situations
give time and consideration for other important and seeing the big picture. It helps individuals
matters; learn social skills to prevent misunder- self-reflect about others’ experiences and the big
standings and hostility; learn how to recognize the world.
needs, feelings, and thoughts of others; and be 3. Having the self-reflective attitude means
vigilant about their confidence before it snowballs enjoying solitude to understand the essence of
into a more arrogant form. They must have a individuals’ own and others’ experiences and
balanced level of structure and discipline. Too views. It starts with enjoying time alone to
much structure stunts the growth of creative atti- work on goals and is facilitated by connecting
tudes and thinking skills, leaving them like bonsai with nature. It helps them be objective about
plants that will be unable to reach their full poten- their feelings and make their own choices
tial. Too little structure and discipline, however, autonomously.
allows for them to become like weeds that are 4. Having the autonomous attitude means being
undisciplined and incapable. They must learn independently and intrinsically motivated to
rules and structure while simultaneously having pursue goals. It starts when individuals set
choices and options, and be allowed to question their own goals and matures as they enjoy
and discuss the validity of the rules. They must achieving them.
escape rigid or controlling environments and 5. Having the daydreaming attitude means sus-
opportunities to take intellectual risks – with containing unrealistic but goal-oriented thoughts
sequences – to find better or new ways of doing while awake. It helps individuals disregard
things. They must learn how to make calculated existing norms in their extemporaneous
risks, and learn that excellence is a healthy goal thoughts but capture useable aspects of the
but perfection is not. They must learn boundaries thoughts.
through punishment and criticism, with under- 6. Having the nonconforming attitude means
standing how these efforts will serve to keep choosing to differ from mainstream patterns
them safe. When they fail to meet expectations, of thought and behavior. It develops by feeling
they must learn the clear reasons and justifications comfortable being an outsider and helps indi-
for these expectations with their will for improve- viduals reach their uniqueness beyond existing
ment. Aggressive behavior must be immediately norms.
and consistently stopped in order to extinguish it 7. Having the defiant attitude means coura-
while paying attention to the one that was under geously rejecting or changing existing norms,
assault, only giving attention to the aggressor’s values, traditions, hierarchies, or authorities in
appropriate behaviors (Kim 2016). order to pursue individuals’ goals. Their defi-
ance breaks the existing constraints, which
The Space Attitudes enables them to see/do what others cannot.
The space climate nurtures space attitudes. The 8. Having the gender-bias-free attitude means
eight space attitudes are characterized by individ- rejecting stereotypes based on gender. It
uals’ discovering and expressing and using their develops by using views and strengths from
own uniqueness (Kim 2016): different genders, which opens the door to
intellectual defiance across physical, financial, and individually; by engaging in independent

professional, and ethnic biases. study or work and self-reflection time; by having
plans and assignments tailored to their interests,
Each of the Space attitudes, however, can seem by learning communication and social skills to
negative to others: emotional individuals might avoid misunderstandings from others, and learn-
seem “unstable”; compassionate individuals ing self-management and emotional regulation
might seem “overreaching”; self-reflective individ- skills (Kim 2016).
uals might seem “withdrawn”; autonomous indi-
viduals might seem “uncontrolled”; daydreaming
individuals might seem “delusional”; non- Conclusions and Future Directions
conforming individuals might seem “wild”;
gender-bias-free individuals might seem “gender- All individuals are born with creative potential.
free”; and defiant individuals might seem “rebel- Successful creativity depends not on the amount
lious.” Creativity is a gift, but it can be a curse in of creative potential certain individuals are born
anti-creative climates especially for those who dis- with but on how much of their creativity the
play the space attitudes. They are scolded or world they grow up in allows them to keep and
punished for their space attitudes, which many what is left over after their creative attitudes and
people see as negative. For example, even for thinking skills are stifled or bonsaied by their
some of those who believe they value creativity, climates. Their creativity is bonsaied by home cli-
in fact their actions are found to devalue it because mates first, by school climates next, by work
they see a conforming attitude as indicative of climates next, and the like, which are the most
creativity, and the nonconforming attitude or the critical climates for individuals’ creativity develop-
defiant attitude as negative. Individuals must see ment. While others were staring only at a cactus’
the long-term positive aspects of these attitudes to thorns, parents, teachers, and mentors of innovators
magnify the underlying positive space attitudes saw the cactus for its strength, uniqueness, and
(Kim 2016). buds for potentially colorful blossom. They culti-
Nonconformity and defiance are crucial to crea- vated creative climates and saw the positive aspects
tive expression. In their efforts to assert themselves of the young innovators 4S attitudes. They encour-
in pursuit of matters of truth, individuals must ques- aged them to use these attitudes for applying
tion authority, assert themselves freely, show dis- creative-thinking skills for innovation, which even-
obedience and resistance, and refuse to conform to tually changed history (Kim 2016).
moral compromises that they feel are harmful or Creativity has the power to transform the good
damaging. They should not accept the efforts of to the best. History has shown that it only takes a
others to make them feel “deviant” or “wrong.” few individuals to make striking advances for
However, they must also learn to operate within humankind. The three practical steps of cultivating
the parameters of the law; understand that their creative climates, nurturing creative attitudes, and
actions have consequences; consider the basic prin- applying creative-thinking skills – rather than fos-
ciples that underlie the foundations of conventional tering anti-creative climates and attitudes that bon-
knowledge; understand and respect the boundaries sai individuals’ creative potential – will help
of others; and learn how to disagree with and chal- individuals increase future innovation (Kim 2016).
lenge others without being disrespectful or hostile
(Kim 2016).
Nonconforming or defiant individuals are Cross-References
often under-stimulated and unchallenged in
school or at work, which can lead them to drop ▶ Creative Attitudes: The 4S (Soil, Sun, Storm,
out or quit prematurely and limit their options and Space) Attitudes
later in life. They must be stimulated and chal- ▶ Creative Climate Tests, Creative Attitudes
lenged by being allowed to work both in groups Tests, and Creative Thinking Skills Tests
Creativity Across Cultures 529
▶ Creative Climates: Soil, Sun, Storm, and Space ▶ Invention and Modification of New Tool-Use
Climates Behavior
▶ Creative, or a Behavior Problem? ▶ Systems Theory and Innovation
Process (ACP)
Newbox (ION) Thinking Skills C
▶ Decrease in Creativity Creativity Across Cultures
Igor N. Dubina1,2 and Suzanna J. Ramos3

1
References The Faculty of Economics, Novosibirsk State
University (NSU), Novosibirsk, Russia
Carson S. Creativity and psychopathology: a shared vulner- 2
The International Institute of Economics,
ability model. Can J Psychiat [Internet]. 2011;56(3):144.
Management, and Information Systems, Altai
Available from: https://doi.org/10.1017/CBO9781139
128902.017 [cited 2016 May 13] State University (ASU), Barnaul, Russia
3
Donfrancesco R, Di Trani M, Porfirio MC, Giana G, College of Education and Human Development,
Miano S, Andriola E. Might the temperament be a Texas A&M University, College Station,
bias in clinical study on attention-deficit hyperactivity
TX, USA
disorder (ADHD)?: novelty seeking dimension as a
core feature of ADHD. Psychiat Res [Internet].
2015;227(2–3):333–8. Available from: https://doi.org/
10.1016/j.psychres.2015.02.014 [cited 2016 May 13] Synonyms
Kim K-H. The creativity challenge: how we can recapture
American innovation. Amherst/New York: Prometheus
Books; 2016. Cross-cultural creativity
Creativity and Culture: A Preamble
Creativity Creativity is a multifaceted phenomenon. This

phenomenon can be illustrated by diverse
▶ Analogies and Analogical Reasoning in Inven- research studies in the field of creativity. One
tion view is that creativity is an attribute of individuals
▶ Applied Design Thinking Lab and Creative (e.g., Davis 1989). Other studies include the anal-
Empowering of Interdisciplinary Teams ysis of creative production (e.g., Besemer and
▶ Arts, Research, Innovation, and Society: ARIS Treffinger 1981) as well as creativity as a cogni-
▶ Creative Styles tive process (e.g., Ward et al. 1999). Apart from
▶ Creativity from Design and Innovation Per- the people, product, and process, creativity is also
spectives understood within a social context (Mayer 1999).
▶ Creativity Training in Design Education This suggests that the concept of creativity is
▶ Creativity, Experiential Theories inextricably linked with the social, cultural, and
▶ Experiential Learning and Creativity in Entre- historical milieu.
preneurship One controversy in the creativity literature
▶ Gender and Innovation concerns whether the concept of creativity has a
▶ In Search of Cognitive Foundations of Creativ- universal meaning or is perceived differently in
ity various cultures. For example, some researchers
▶ Innovation System of India believe that there is a universal understanding of
▶ Interaction, Simulation, and Invention the concept of creativity, while another group
▶ Invention and Innovation as Creative Problem- suggests that people in different cultures perceive
Solving Activities creativity differently.
530 Creativity Across Cultures
There seems to be a major breakthrough where country that is not East Asian, and that is India.
theories of creativity have been established based These mentioned countries possess general simi-
on the latter point of view. Although the funda- larities in terms of the social and cultural aspects
mental idea of creativeness seems to be deeply distinct from “Western” countries. One of these
rooted in all cultures, definitions and attributes of similarities is the tradition that traces its origin
creativity, the level of creative activity, and the from Asian thought like Buddhism, Confucian-
domains in which creativity is promoted vary ism, Taoism, and Hinduism. The term “Western,”
across cultures. Culture plays a fundamental role although can be used broadly, usually refers to the
in defining creativity. Creativity is not only USA, Canada, Western Europe, Australia, and
influenced by organizational factors (i.e., organi- New Zealand (Weiner 2000). This conception
zational culture) but also greatly depends on the has a long association with ancient Greece and
surrounding (societal) culture as a whole (Weiner the ideas of Judaism, Christianity, capitalism, and
2000). rationality (Weiner 2000). In the next sections, the
Arieti (1976) was one of the first to suggest that “Western” and “Eastern” views on creativity are
potentially creative persons and creativogenic cul- outlined as described in the literature.
tures are essential facets of creativity. He intro-
duced the term “creativogenic society” to describe Differences in the Understanding and
a type of society that enhances creativity. These Definitions of Creativity and Inventiveness
sociocultural factors are (1) availability of cultural In the 1960s and 1970s, the conceptual 4-P model
means (i.e., an elite that has access to materials, of creativity (“person,” “process,” “product,”
equipment, etc.); (2) openness to cultural stimuli “press”) was suggested and developed (Rhodes
(cultural stimuli are not only present, but 1961). However, all of these four aspects of crea-
requested, desired, or made available); (3) stress tivity actually accent, as the most important fea-
on becoming and not simply on being; (4) free ture of this phenomenon, the link to an observable
access to cultural media; (5) freedom (or even product, which can be assessed by an appropriate
retention of moderate discrimination after severe group or judges, either peers or experts. For exam-
oppression); (6) exposure to different and ple, when creativity is considered in the “person”
contrasting cultural stimuli; (7) tolerance for and perspective, it is defined as the ability to produce
interest in differing views; (8) interaction of sig- work (object or product) that is novel and appro-
nificant persons; and (9) promotion of incentives priate (useful, applicable, etc.). If creativity is
and awards. considered in the “process” perspective, the
corresponding definitions also refer to a product
in the end.
The Dichotomy of “the West” and “the The product-centered conception of creativity
East” prevails in “the West.” This conception fits with
the “Western” perspective on cosmic creation
From the literature, the dichotomy of “the West” (Lubart and Georgsdottir 2004; Raina 1999),
and “the East” is one of the most popular which involves a linear movement toward a new
approaches in the characterization (at a surface point and the assessment of what was created:
level) of differences in understanding and defin- God created something and God saw that the
ing creativity. However, it is not obvious what created thing was good. Thus, the “Western” con-
these terms exactly mean, and these terms are ception of creativity stems from Judaic and Greek
sometimes used rather stereotypically. The term views of producing the universe by an uncreated
“East” usually refers to East Asian countries like being who brings order to the formless void
China and other countries influenced by its culture (Raina 1999).
like Japan or Korea. Most published works on Creativity as it is understood in “the West” is
cross-cultural studies involve this group. Some rather a state of doing, not a state of being. During
researchers include in this group another Asian the last decades, creativity is considered to be a
Creativity Across Cultures 531
normal ability which is inherent to all normally “the West.” Anything new, an idea, product, or
functioning people. It is an essential life skill technique, that provided a kingdom an advantage
which includes specific cognitive, metacognitive, over a neighboring rival was rewarded and recog-
and affective skills. Creative skills can be taught nized. On the other hand, Japanese innovation
and enhanced through training and can be mea- refers to the application and refinement of an
sured, in at least to some degree. Undoubtedly, idea. By not having nearby rivals, cooperation,
creativity is considered one of the most important not competition, was espoused in Japan. Cooper- C
and principal “Western” values of an enriched life. ation and conformity were crucial components to
In “the East,” a product-centered creativity is ensure the survival of Japanese society.
less valued than a process-centered creativity
(Raina 1999). The typical “Eastern” conception Philosophical, Religious, and Ethical
of creativity is more focused on the process than Fundamentals
on the result. Creativity is a personal state of being One of the themes in the context of cross-cultural
rather than an output, a connection to a primordial creativity is the comparison of Socratic and Con-
realm, or the expression of the inner essence of fucian philosophical traditions and intellectual
ultimate reality. Creativity is attributed less to and moral paradigms. Kǒng Fūzǐ (Confucius is a
personal factors but rather to spiritual or social Latinized variant of his name) and Socrates
forces. Such an understanding of creativity was imparted practical wisdom for their followers
also proper for ancient Greece (for instance, and founded the traditions which have often
“mania” or “enthusiasm” in Plato’s sense) and, been considered as a basis to understand the dif-
partially, for Medieval Europe but was suspended ferences between the “East” and “West.”
with more individualistic conceptions during the “Western” thought is based on Socrates’ ideas
Renaissance. that the sole function of knowledge is self-
In contrast to “the West,” tradition is not the knowledge (individualistic cognitivism), and
antithesis of creativity. “The Eastern” creativity such knowledge is the basis for a person’s intel-
may take the form of intellectual or aesthetic lectual, ethical, and spiritual growth. Rationality,
modification, adaptation, renovation, reinterpreta- research exploration, cross-examination, public
tion, revision, reconfiguration, etc., rather than a debate, and factual information are much valued
dramatic break with tradition. For example, in (Herbig and Jacobs 1996). On the other hand,
“the East,” artists fully respect the traditions in Confucius taught that the stability of society is
striving to establish their own styles, and their based on unequal status relationships between
creativity is expressed in a form of reinterpretation people - the family is the prototype of all social
of the past (Leung et al. 2004). This conception of organizations. A person is not primarily an indi-
creativity fits with the “Eastern” view on cosmo- vidual but rather a member of a family. Children
logical process, which is characterized as an ongo- should learn to restrain themselves, to overcome
ing, developing, or unfolding process. their individuality, and to maintain harmony in a
The dramatically different (although some family and society. Values like trying to acquire
exaggerated) visions of creativity in two poles, skills and education, working hard, not spending
“West” and “East,” have attracted the attention more than necessary, as well as patience, perse-
of many scholars who explain them by referring verance, and persistence, closely fit this principle.
to some philosophical fundamentals of “Western” Another philosophical tradition, Zen Bud-
and “Eastern” cultures. Comparing American and dhism, is clearly imprinted in Japanese creativity
Japanese approaches to creativity, Herbig and and inventiveness. This philosophy does not place
Jacobs (1996) connect these differences with a considerable value on rational thought. Instead, it
historical and geographical context. The “West- emphasizes spiritual enlightenment and intuitive
ern” view of creativity refers to the generation of understanding. The emphasis on intuitive under-
new or novel ideas as a result of the competitive standing partly explains Japan’s weakness in basic
spirit driven by a long history of rival empires in scientific research where logical reasoning and
532 Creativity Across Cultures
systematic thinking play important roles. As a values related to creativity – individual freedom,
result, Japan’s base of scientific knowledge and less conformity, and self-reliance individuality –
research methods has not been fully realized, are rewarded and expected. As a result of culti-
compared to the “West.” This has led to entirely vating such values, a “Western” individual
different meanings of enlightenment and discover attempts to be open, original, and innovative.
in the two cultures. “Eureka (West) refers to the “Western” societies are more likely to produce
discovery of rational scientific principles while individuals who are oriented toward newness.
satori (East) means personal enlightenment” The principal “Eastern” values related to crea-
(Herbig and Jacobs 1996, p. 68). tivity are social order, cooperation, duty, and accep-
tance of an in-group authority like family, its norms
Differences in Attributing Creativity and and obligations; hard work and a strong knowledge
Inventiveness base; consensus which is valued more than differ-
In the context of what has been discussed so far, ence; fear of making mistakes and “losing face.”
creativity in the “West” is associated with break- As a result of cultivating such values, the tendency
ing or rejecting traditions; it is considered a dis- to delay creativity development can appear. How-
continuous, revolutionary, relatively rapid, and ever, the tendency of delayed creativity develop-
insightful process. Creativity is based on and ment and putting strong emphasis on knowledge
involves individual traits; it is expressive, emo- and skills acquisition does not necessarily imply
tional, and somewhat spontaneous. Creativity is that creativity is not valued. “Eastern” societies are
often understood as creative thinking, which more likely to produce individuals who are ori-
should be task and method focused. Creativity is ented toward improvement.
contextually pragmatic in the area of problem Neither the cultures in the West nor the East
solving, and it often tends to look outward toward are totally homogeneous in nature. Cultural
“progress.” influence can also differ between subgroups
Creativity in the “East” is associated with within the same culture. For example, Singapore,
respecting traditions and does not run contrary to an Asian city, comprises three main ethnic
them. It is considered to be a continuous, evolu- groups - Chinese, Malays, and Indians. These
tionary, and slow process requiring much effort, groups, within an Eastern national culture,
hard work, repetition, attention, and a strong exhibit differing conceptions of what creativity
knowledge base. Creativity is based on and entails (Ramos 2005).
involves collective effort and a more structured,
team-oriented approach. Creativity is understood
to be socially utilitarian since the aspects of social Conclusions and Future Directions
influence on creativity are most important – crea-
tivity should help society, improve society, and Concluding this entry, the following are the key
contribute to society. For example, the Chinese postulates and conclusions. No one model or
prefer a more practical, utilitarian conception of approach to creativity may fit all cultures. Differ-
creativity, and, as a consequence, politicians are ent cultures place emphasis on different aspects of
considered the most common examples of crea- creativity. The capability of a country to create
tive individuals in China (Leung et al. 2004). and innovate is related to its culture. There are
different culturally conditioned styles of creativity
Differences in Valuing Creativity and and innovation. However, the relationship
Inventiveness between cultural values and creativity is complex
In addition to diverse understanding of creativity, as the impact of culture on creativity interplays
cultures value various creativity aspects differ- with historical, political, and economic factors.
ently. Creativity characteristics as defined in “the Culture is important, but culture alone does not
West” are less valued and encouraged in “the serve as a guarantee for a high level of creativity,
East” and vice versa. The principal “Western” inventiveness, and innovativeness. It is noted that
Creativity and Age 533
most of the research in this field is speculative [unpublished master’s thesis] Buffalo: State University
since there are not enough significant statistical of New York; 2005.
Rhodes M. An analysis of creativity. The Phi Delta
bases for such types of studies thus far. A future Kappan. 1961;42(7):305–10.
research area would be to systematically examine Ward TB, Smith SM, Finke RA. Creative cognition. In:
culture, creativity, and inventiveness in their Sternberg RJ, editor. Handbook of creativity.
dynamics by empirically investigating the rela- New York: Cambridge University Press; 1999.
tionship between changes in values and changes
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C
in rates of inventiveness. sity of New York Press; 2000.
Cross-References
▶ Creativity and Confucianism (Asian Culture) Creativity and Age

▶ Creativity, Experiential Theories Kyung Hee Kim1 and Clayton V. Martin2
1
▶ Creativity, Intelligence, and Culture The College of William & Mary,
▶ Creativity: Cultural Capital in Mathematics Williamsburg, VA, USA
2
Education Alvernia University, Reading, PA, USA
▶ Four Ps of Creativity
▶ Multiple Models of Creativity
▶ National Culture Synonyms
▶ Research on Creativity Children’s creativity and adults’ creativity;
Relationships between creativity and age
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Davis JS. Testing for creative potential. Contemp Educ that lead to innovation: first, cultivate creative
Psychol. 1989;14:257–74. Climates; second, nurture creative Attitudes; and
Herbig P, Jacobs L. Creative problem-solving styles in the third, apply creative Thinking skills. Climates
USA and Japan. Int Mark Rev. 1996;13(2):63–71.
refer to creators’ surroundings, including their
Leung K, Au A, Leung BWC. Creativity and innovation:
east-west comparisons with an emphasis on Chinese relationships with others and their developmental
societies. In: Lau S, Hui ANN, Ng GYC, editors. Cre- environments. These factors impact how creators
ativity: when east meets west. Singapore: World Scien- think and behave, which either encourages or
tific; 2004. p. 113–35.
discourages the development of creativity. The
Lubart TI, Georgsdottir A. Creativity: developmental and
cross-cultural issues. In: Lau S, Hui ANN, Ng GYC, ways in which creators react to the different cli-
editors. Creativity: when east meets west. Singapore: mates formulate creative attitudes, which include
World Scientific; 2004. p. 23–54. creators’ characteristics, beliefs, and visions. The
Mayer RE. Fifty years of creativity research. In: Sternberg
27 creative attitudes enable creators’ creative
RJ, editor. Handbook of creativity. New York: Cam-
bridge University Press; 1999. p. 35–61. thinking skills, and they are greatly influenced
Raina MK. Cross-cultural differences. In: Runco MA, by their climates. The end result of the creative
Pritzker SR, editors. Encyclopedia of creativity, vol. process is innovation, which is a collaboration and
1. San Diego: Academic; 1999. p. 453–64.
cooperation between ION (inbox, outbox, and
Ramos SJ. Cross-cultural studies of implicit theories of
creativity: a comparative analysis between the United newbox) thinking. Inbox thinking is narrow and
States and the main ethnic groups in Singapore deep (inside the box) and includes both (1)
534 Creativity and Age
inbox expertise (a complete and in-depth mastery chance of innovation. Cross-pollination is shar-
of a subject and the foundation of ION) and (2) ing, adapting, and building on each other’s diverse
inbox critical thinking (evaluating and analyzing expertise across subjects or fields through formal
the ideas generated from outbox imagination). and informal face-to-face interactions such as
Outbox imagination is quick and broad (outside networking, sound-boarding (good listening and
the box), and includes (1) fluent (many, spontane- offering feedback), collaboration, and collabo-
ous), (2) flexible (different angles or kinds), and rative competition (which is more effective for
(3) original (novel) thinking skills, which benefits innovation than winner-take-all competition)
from a large supply of expertise. Newbox synthe- (Kim 2016).
sis combines elements of inbox and outbox think-
ing and refines ideas into new creations (newbox) Decrease in Outbox Imagination in Children
and then into innovation, using (1) connection Children are born with outbox imagination, which
(connecting different aspects of unrelated ideas), increases or decreases throughout early ages,
(2) refinement (elaborating, enriching, and simpli- depending on their home climates. Their curiosity
fying creations), and (3) promotion (selling crea- and outbox imagination dramatically decrease
tions to be recognized as innovation) skills (Kim between ages 9 and 11, and this trend has been
2016). inching back toward age 9 for two decades. The
decreases might occur when children are con-
fronted with peer pressure and demands for con-
Relationship Between Creativity and formity in the classroom (Kim 2011). They might
Age also occur when children are more concerned
about representational accuracy than their creative
Creativity in Age-Based Hierarchical Versus expressions (Rosenblatt and Winner 2008). The
Equal Relationships decreases are seen in other cultures including var-
Westerners often value youth, whereas Easters ious subcultures in the USA and other countries
often value wisdom. Asian culture (Confucian- (Kim 2011).
ism) assumes that people are wiser as they get
older, and age is also related to respect and Creative Thinking in Children Versus Adults
power. So, the more senior individual in a rela- Children’s outbox imagination is more intense
tionship has more power and authority. The and emotionally exciting than that of adults. How-
expectation of respect for elders is so strong that ever, they cannot achieve innovation yet for three
younger individuals are to accept all advice and reasons: First, their imagination is related to con-
demands from adults without question and with crete and superficial reality, which is based only
total submissiveness. Although respecting elders’ on their limited knowledge and experience both in
wisdom can be conducive to inbox thinking, it quality and quantity. Second, the creative process
often clashes with creative attitudes such as the requires outbox imagination to be combined with
nonconforming and defiant attitudes. It teaches inbox critical thinking, which means that imagi-
younger individuals to passively accept knowl- native thinking must be combined with logical
edge uncritically and inflicts rigidity and inequal- and evaluative thinking. But the critical thinking
ity, which stifles creative attitudes and thinking skills of young children are underdeveloped, and
skills (Kim 2016). thus they can’t yet turn their outbox imagination
Creators thrive under the influence of parents into newbox synthesis. Inbox critical thinking
and educators who believe in equal relationships. develops in adolescence, which enables creators
Creators are independent thinkers who are to combine their outbox imagination with inbox
free from the control or influence of others. critical thinking to generate newbox synthesis for
Their communication style is two-way, flexible, innovation. Third, creative thinking requires hard
open, complex, and expressive. Cross-pollination work for a long time to build a body of knowledge
with others in equal relationships increases the and expertise from which creative thinking can
spring. Inbox expertise is understanding available was also his mentor, was one of the greatest
knowledge and skills, applying it to a particular teachers in the field of music. Mozart was also
situation, and learning from the outcomes of the extremely driven, and he worked incredibly hard
applications through experiences, mistakes, suc- for about 36 years until the strenuous effort finally
cesses, and understanding other experts’ success killed him. His life was often painful, but after he
and failures. Sometimes, novel insights, dreamed died, his work was recognized and celebrated. His
images, or flashes of inspiration occur during the success was due to his self-discipline, diligence, C
subconscious processing stage of the creative pro- self-efficacy (true confidence), resilience, persis-
cess. But these follow only after immersion and tence, endurance, and commitment to the entire
saturation within one specific domain of interests. stages of the creative process that begin with the
Because there is not much difference in memory slow and lengthy development of expertise. No
ability or mental capacity between experts and magic quality as a prodigy determined his later
novices, conscious self-training and education, innovation (Kim 2016).
preparation, deliberation, and hard work are
most of what results in innovation. The 10-year Innovators’ Age for Nobel Prizes
rule indicates that innovators need about 10 years The times over the lifespan during which creators
of intensive training and practice in their fields to are the most productive vary in different fields and
get enough deep knowledge, information, and industries (Simonton 1994). Mean ages of the
skills stored in their long-term memories to Nobel laureates in different prize categories vary.
become masters at their work. A period of deep The Nobel laureates in economics are the oldest,
immersion and dedication is required to acquire whereas the Nobel laureates in physics are the
virtuoso knowledge and skills within a specific youngest between 1901 and 2013 (Nobel Prize
domain. This effort builds a body of knowledge Facts 2014). The field of physics has romanticized
from which creative thinking can emerge, after the importance of youth and vigor to creative
learning, practicing, making mistakes, fixing mis- productivity (Jones and Weinberg 2011). The
takes, continuing education, and learning even mean age of the Nobel laureates between 1901
more, persistently for 10 years. The greater the and 2013 is 55 for physics, 58 for both chemistry
knowledge base of a domain, the more formal and physiology/medicine, 62 for peace, 65 for
knowledge is required for innovation within it. literature, and 67 for economics (Nobel Prize
Precocious children, therefore, are not experts, Facts 2014). For non-Nobel innovators, political
so they cannot achieve innovation. Even among innovators often make their best contributions
the few childhood prodigies like Wolfgang later in their careers than other innovators.
Amadeus Mozart (1756–1791), who goes on to Revolutionary leaders, however, are often youn-
innovate, there is a distinction between their child- ger and remain in control for shorter periods than
hood works and their later adult achievements. diplomatic leaders or status quo politicians who
Mozart’s earlier works were imitations of the have more opportunities for innovation later in
prevalent style employed by other Austrian com- life. Poets often make their best contributions
posers of that time. Mozart, like anyone else who earlier in their careers than novelists do (Simonton
achieved innovation, worked hard on developing 1994).
his inbox expertise first. Then, through meticu- The mean age of all of the Nobel laureates
lously developing his outbox imagination and between 1901 and 2013 during the year they
inbox critical thinking skills and, later, by synthe- were awarded their Nobel Prize is 59. The most
sizing the two sets of skills of inbox and outbox frequent age bracket is ages between 60 and 64.
thinking, he was able to use newbox synthesis The percentage of all of the Nobel laureates in
skills. Newbox imagination such as imaginative different age brackets is as follows: 0.1% between
or unique connection cannot occur without ages 25 and 29; 1.6% between ages 30 and 34;
inbox expertise, outbox imagination, or inbox crit- 4.0% between ages 35 and 39; 6.3% between ages
ical thinking. Additionally, Mozart’s father, who 40 and 44; 12.0% between ages 45 and 49; 12.2%
536 Creativity and Age
between ages 50 and 54; 13.9% between ages 55 2001 and 2010; and 65 between 2011 and 2013
and 59; 17.2% between ages 60 and 64; 10.8% (Nobel Prize Facts 2014).
between ages 65 and 69; 10.2% between ages 70 The trend of higher mean age of the Nobel
and 74; 6.9% between ages 75 and 79; 3.1% laureates can be explained by the fact that devel-
between ages 80 and 84; 1.5% between ages 85 oping expertise before developing outbox think-
and 89; and 0.1% between ages 90 and 94. The ing skills (fluent, flexible, and original thinking) is
Nobel Prize in physics in 1915 was awarded necessary for later newbox thinking skills (Kim
jointly to Sir William Henry Bragg and his son, 2016). The development of expertise takes longer
William Lawrence Bragg, “for their services in the as the knowledge base of a given discipline
analysis of crystal structure by means of X-rays.” expands. In other words, as a field advances, the
At that time, Lawrence Bragg was only 26 years scope of foundational learning that is necessary
old. The Nobel Prize in economics in 2007 was to produce further innovation in the discipline
awarded jointly to Leonid Hurwicz, Eric Maskin, expands accordingly. Therefore, creators spend
and Roger Myerson “for having laid the founda- more time immersed in formal training, gathering
tions of mechanism design theory.” At that time, expert knowledge, and delaying the onset of cre-
Leonid Hurwicz was 90 years old (Nobel Prize ative productivity. Additionally, 4-year degrees
Facts 2014). become increasingly common and therefore less
Nobel Prizes were awarded twice to Nobel advantageous. The pursuit of advanced degrees
Laureates posthumously before 1974: Erik Axel then becomes imperative, which prolongs the
Karlfeldt was awarded the Nobel Prize in litera- time future innovators spend in formal training
ture in 1931 posthumously for his poetry, and and postpones the onset of creative productivity
Dag Hammarskjöld was awarded the Nobel (Jones 2010).
Prize in Peace 1961 posthumously. Since 1974,
the Statutes of the Nobel Foundation stipulate Older Adults’ Innovation
that a Nobel Prize cannot be awarded posthu- The creative productivity of innovators does not
mously, unless death has occurred after the decrease with age. Moreover, training increases
announcement of the Nobel Prize. Three days the scope of their knowledge, and their mental
before the Nobel Prize in physiology/medicine functioning can even increase well into later in
was announced in 2011, one of the Nobel laure- life. The creative productivity of an innovator
ates in physiology/medicine, Ralph Steinman, often depends on when her or his career began.
passed away. The Board of the Nobel Foundation The length of time that an innovator is actively
concluded that he should win the Nobel Prize engaged in a specific creative domain is more
because the Nobel Assembly had announced it important for creative productivity than chrono-
without knowing of his death (Nobel Prize Facts logical age is. In addition, age of decline varies
2014). by domain, and career changes tend to rejuvenate
The mean age at which innovation is achieved innovators’ creative productivity (Simonton
has trended upward by about 5 or 6 years per 1994). Individuals lose neurons with age, and
century since 1873, and the trend has increased the risk of Alzheimer’s increases with age. Some
to about 8 years by the close of the twentieth suggest that creativity begins to decrease after age
century (Jones 2010). Mean age of the Nobel 60 (Jones 2010). But the brain’s ability to adapt
laureates for each decade during the past century and rewire itself in accordance with environmen-
is getting higher, and the mean age is 59 between tal influences can continue well into later adult-
1901 and 1910; 52 between 1911 and 1920; 54 hood. A well-trained brain is very resilient and
between 1921 and 1930; 52 between 1931 and shows fewer functional signs of aging than
1940; 58 between 1941 and 1950; 54 between the heart, the joints, and the vascular system.
1951 and 1960; 57 between 1961 and 1970; 59 Thus, many innovators were productive later
between 1971 and 1980; 61 between 1981 and in life (Simonton 1994): Benjamin Franklin
1990; 63 between 1991 and 2000; 66 between (1706–1790) developed the bifocal lens at his
age 78 and helped to frame the US Constitution at ▶ Creative Thinking Skills: Inbox, Outbox, and
his age 80; Johann Wolfgang von Goethe (1749– Newbox (ION) Thinking Skills
1832) wrote Faust in his 80s; Thomas Edison ▶ Creativity and Confucianism (Asian Culture)
(1847–1931) worked in his laboratory until he
was 84; Titian (Tiziano Vecelli: 1488–1576)
painted his masterpieces at his age 98; and Michel References
Chevreul (1786–1889) conducted gerontological C
research in his 90s, and his last paper was written Cheng ST, Chow P. Delaying cognitive decline in nursing
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when he was 102 years old.
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Palliat Care. 2011 [cited Aug 1, 2016];1(1):95.
Freedman M, Alladi S, Chertkow H, Biaystock E,
Conclusions and Future Directions Craik FIM, Phillips N, et al. Delaying onset of
dementia: are two languages enough? Behav Neurol
[Internet]. 2014 [cited 2016 Aug 1];2014:1–8. https://
Several interventions are effective for protecting doi.org/10.1155/2014/808137.
against the decline of mental functioning and thus Hazzouri ZA, Newman AB, Simonsick E, Sink KM, Sut-
against the decline of creative thinking skills, for ton-Tyrrell K, Watson N. Pulse wave velocity and cog-
nitive decline in elders: the health, aging, and body
example, learning and practicing other languages composition study. Stroke [Internet]. 2013 [cited
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promote cardiovascular health (arterial stiffness is STROKEAHA.112.673533.
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as Mahjong (a Chinese, Korean, and Japanese tivity. Proc Natl Acad Sci USA [Internet]. 2011 Nov
[cited Aug 1, 2016];108(47):18910–4. www.pnas.org/
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ing activities such as reading new books; learning Thinking. Creat Res J. 2011;23(4):285–95.
new skills, hobbies, and games; and visiting American innovation. Amherst: Prometheus Books; 2016.
museums and art galleries (Wilson 2011). Long- “Nobel Prize Facts”. Nobelprize.org. Nobel Media AB
term memory training programs can improve 2014. Web. 2 Aug 2016. http://www.nobelprize.org/
cognitive functioning in older adults, which is nobel_prizes/facts/
Rabipour S, Raz A. Training the brain: fact and fad in
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grams for exercising working memory and cogni- https://doi.org/10.1016/j.bandc.2012.02.006.
Rosenblatt E, Winner E. The art of children’s drawings. J
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and Space) Attitudes Yukutake T, Yamada M, Fukutani N, Nishiguchi S, Kayama
▶ Creative Climates: Soil, Sun, Storm, and Space H, Tanigawa T, et al. Arterial stiffness predicts cognitive
decline in Japanese community-dwelling elderly sub-
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538 Creativity and Behavior Problems
practice. For example, from this religious perspec-

Creativity and Behavior tive, the Church is merely a building where people
Problems meet for events, instead of a group of people
called out by God to represent Him, His nature,
▶ Creative, or a Behavior Problem? and His power.
Definitions of Church and Creativity

from a Biblical Perspective
Creativity and Church
From a biblical perspective, Creativity is first seen
Hector Ramos
as God’s activity in a vacuum. There is a creation
Department of Educational Psychology, Texas
stage where God speaks and whatever He wills
A&M University, Bryan, TX, USA
happens. It is that will of God and His voice or
Word which are at the origin of God’s creativity.
For instance, in Genesis, we hear Him speak “Let
Synonyms
there be light” and something happens “there was
light.” In a survey of God’s miracles and creative
Ecclesia; Innovation
acts, we can see them as a result of His word as His
starting point. When those who hear that word
Creativity God’s way is seen as an expression of obey what it says, creative acts happen: from
His nature through His creation. Creativity with- Abraham’s miracle son Isaac (Genesis 15) to
out God is not meaningless as it still reflects Him Naaman’s (2 Kings 5) miraculous healing dipping
since man was made in God’s creative image. If himself in the Jordan river seven times through the
man can achieve such high creative acts such as deliverance of the Canaanite’s daughter (Matthew
visiting the Moon, how much more will the 15) or the centurion’s servant (Matthew 8) by a
Church be able to achieve as a coworker with word spoken by Jesus to a fig tree that withers it is
God, the Moon’s creator. However, the creative always by a word that originates from God (Mark
purpose of the Church may differ in its outcome to 11). At the center of God’s creativity, we see His
that of man. The Church’s purpose has been Will carried out through the power of His Word.
established to restore a relationship with Him. For instance, Psalm 36:6 indicates that by His
God is furthermore interested in restoring all Word, God created the heavens, and in Isaiah
things to His purpose: a place of His peace and 45 He is established as the creator of the heavens
abundance and a place devoid of poverty, greed, and the Earth.
or sickness. This is because Creativity God’s way God’s partnership with men is also seen by the
and through the Church will always reflect His creative power of His Word in man’s mouth. In
nature, His love, and His power. But God’s crea- Genesis, Adam is instructed to name animals to
tivity style is bound to surprise or offend us. A declare their nature. In the same way that God
case in point is that Jesus Christ’s death on the spoke “Let there be light,” God commissions
cross was God’s creative act of salvation for man- Moses to speak a similar powerful word “Let
kind. Though God has shown Himself highly My people go,” which resulted in a miraculous
creative, the Church has not always followed deliverance. All through the Old Testament,
suit. The main reason has been a misunderstand- prophets speak words of restoration, judgment,
ing of how God works through the Church. healing, and miracles as they are led by God to
Instead much of the Church’s work has involved speak those creative words. In the New Testa-
our own efforts on His behalf. Man’s creative ment, we also find that apostles have received
result has been the development of a religious that creative power. In Acts 3, Peter and John
Creativity and Church 539
speak a word of healing to a lame person who is organization. It may be the most impressive archi-
begging. The say that they do not have money but tectural feat of the century, but that building,
that what they have (creative power to heal) they according to Scripture (Matthew 6), cannot be,
can give to him. God’s Word of healing results by definition, the biblical Church. Even though
again in an astonishing miracle. all that talent may be created or inspired by God,
God’s perspective on creativity as it relates to the building will never replace the biblical
the Church is therefore not only unilateral, but He Church: a group of born again (by His Word) C
seeks those who are willing by faith to engage them believers that have faith in God, His power, and
so that He can express His creative power through a His way of creating. Those members of God’s
Church that bears His Name. The origins of the Church have been born in Heaven. They belong
word Church come from the word Ecclesia mean- to a different world and are strangers and pilgrims
ing the ones who have been called out. The Church on Earth where they are agents of God’s love and
is called out from a system ruled by the desires and restoration. That is why they exhibit the creative
motives of men and submits herself to the desires characters and motivation of God. On the one
and motives of God acting under the same princi- hand, it is God’s love, the ability to love the
ples and dynamics that God has used before the destitute and the enemy, and on the other hand,
Church started. The Church is then a foreign body the ability to express God’s power through God’s
in society: a group of creative people that emanate creative acts: healings, deliverance, miracles, and
the nature and power of God. God shows repeat- wonders.
edly that it is by His power that we do His Will: the What is then the Church’s false creativity
spiritual and physical battle that His Church fights about? It is everything that has been achieved
belongs to Him, and He gives victory not by human with man’s motive, purpose, and resources, with
wisdom but by His Spirit (Zechariah 4.6, 2 Chron- man’s ability, or for man’s glory. A group of
icles 20). The Church is in itself a creative act by people that have invested large amounts of
God who said “I will build my Church” (Matthew money for a wonderful building where they have
16), a group of people that have received and programs in the name of a God they do not know
continue to receive divine life by God to demon- personally. It is trying to please God with human
strate Him on Earth and do His will by demonstrat- efforts instead of the ability and power that He
ing His power. freely provides. The heart of the religious person
That is the creative purpose of the Church. is full of false creativity (from God’s perspective);
Dedmon and Johnson (2012) provide a similar man wants to achieve great things for God: gather
definition based on God’s design when they state many people in one place, build big buildings,
that “embracing our creative design (originated at have big programs, and communicate to millions
the heart of God) gives us the freedom to super- of viewers over Christian TV. They have been
naturally use that creativity to transform the lives deceived into believing that they are blessed as
of those around us.” they equate blessings to material possessions.
However, God is interested in a different crea-
tivity. He wants to anoint and empower human’s
Creativity and the Church: False talents and efforts so that men can do exploits.
Creativity and a False Church from a Exploits are creative acts that can only be
Biblical Perspective explained accepting God’s intervention. In the
book of Acts, we see the birth of the Church
History shows that as the Church lost influence through many miracles and a completely changed
and relevance in society, it was relegated to people behavior of those who follow Jesus. The purpose
meeting in a building. Nowadays, when people of that group of people was to bring a message to
declare that they “go” to Church, or belong to “a” the nations, a message characterized by a demon-
Church, they refer to a building or an stration of power and the Holy Spirit (2 Cor. 4).
540 Creativity and Church
The Church’s Great Creative Challenge: God. The name of the child Ishmael was not
Corporate Faith accepted by God as His answer to Abraham’s
desire. God’s creative act was fulfilled in Abra-
How can the Church connect with the power of ham’s and Sarah through a miracle baby
God to express His creativity? Johnson (2016) Isaac. This process of humility is God’s process
suggests that the answer is desire according to of restoration (2 Chronicles 7) for healing as in
Proverbs 13.12. He points out that “hope deferred Naaman’s case (2 Kings 5).
makes the heart sick, but when the desire comes, it 2. Receiving revelation from the Word of God by
is a tree of life.” These desires come from com- the Holy Spirit. We can understand how God
munion with God and His Word. Since this life speaks by seeing how God has spoken through
must be His life, it will reveal His creativity. In the His Word. A basic perusal of the word reveals a
words of Jesus, this is the fruit that the Father common pattern: man’s tendency to understand
provides and glorifies Him (John 15). God using the filter of his own limitations and
In His own wisdom, He has refrained Himself failings. For instance, a greedy mind-set as in
from creating through the Church unless there is a Gehazi’s example (2 Kings 5) cannot under-
faith on Earth that correspond to the word that stand or accept the creative provision of God.
comes from Heaven. Faith in this sense is the Peter’s warring nature leads him to cut a sol-
ability to receive the revelation of that creative dier’s ear (John 18) working against the purpose
word, trust in its power, and obey it to see its of God to bring restoration through the sacrifice
miraculous results. One of the Bible’s main of Jesus on the cross. This is also called a carnal
assumptions is that those who have faith can do mind-set that always works against God. That is
exploits, for nothing is impossible for him who why in order to receive the creative revelation of
believes (Mark 9). The Church’s challenge is to God through the Church, the humility of con-
find and grow that faith to carry out God’s creative fession and repentance is needed.
will on Earth. For instance, God shows as His 3. Obedience to the Word of God. If we under-
promises of His Word that there is no soul that stand what God has spoken to us, we know
God does not want to save (2 Peter 3) and no what is our part in that creative process. God
illness He does not want to heal (Isaiah 53). is looking for people who agree to what He is
Therefore, the Church’s ability to make a break- speaking by the way they think, the way they
through in faith will bring a flood of God’s crea- speak, and the way they act. This action could
tive acts on Earth to achieve that purpose. How be something sensible or ridiculous, some-
can the Church access that faith? thing that costs us nothing or everything.
These actions are God’s creative acts to
1. If the Church positions Itself in a place of humil- shape us into who He wants us to become.
ity, then It will have access to the revelation of God calls Elisha through Elijah in 1 Kings 19.
His Word. This in itself needs an additional God wants to shape a prophet to fulfill a pur-
uncovering of truth: our present naked and des- pose: deal with the spiritual challenge of Jez-
titute position, the fact that we can do absolutely ebel in the nation. Elisha obeys in the
nothing without Him of eternal value. Fasting following way: he sacrifices the oxen and
and prayer should lead to true repentance and farming tools saying to God “this is the end
confession of a particular sin: doing a creative of my life as a farmer, I will follow you from
work on our own strength that requires no faith now on.” Elisha does not request from God to
or power from God, a creative work that is use a sword to put an end to Jezebel but lives
greatly valued by men but despised by God. step-by-step in obedience to God’s creative
For instance, Abraham had an idea to answer power and finally sends Jehu to speak a
God’s promise by having a child with an Egyp- word that brings to an end that oppressive
tian woman (Hagar) instead of Sarah, chosen by regime. Note that Jehu speaks a word and
Creativity and Confucian Parenting 541
that other distant people execute those orders where people can receive a revelation of His
to execute Jezebel. Nature and His Power.
These three points can be summarized as fol- There is no systematic study of God’s creative
lows: our walk of humility allows God to show us work through the Church. An obvious obstacle is
the revelation of His will and pour His grace on us that a Godless Church has already achieved many
to obey whatever is required no matter the cost. creative works that have impressed men. It is C
This is God’s strategy to make His creative acts incumbent on the members of the Church to
known in the Church and through the Church. study and document God’s creative acts in society
Other key strategies can help the Church to that go beyond personal healing, deliverance, and
become again the vehicle of God’s creativity: provision to societal value change that is willing
to lay down a human value system for God’s
1. Become a place of discipleship where genuine purposes and ways.
spiritual relationships are built (Barna 1999).
2. Become a place of miracles, healing and deliv-
erance (demonstration of God’s power). Cross-References
3. Become a sending place to touch and transform
nations creatively (McLaren 1998). ▶ Church and Entrepreneurship
4. Become a place that welcomes the destitute and
takes care of the poor (as in the book of Acts).
5. Become a place that believes and receives References
God’s provision by faith.
6. Become a place of reconciliation: the end of American Bible Society. The Holy Bible, King James
version. New York: American Bible Society; 1999.
age, gender, ethnic group, cultural and any
Bartleby.com, 2000.
other type of discrimination. Barna G. The habits of highly effective churches. Ventura:
7. Become a place for the manifestation of the Regal books; 1999.
will and the love of God. Dedmon T, Johnson B. Born to create: stepping into your
supernatural destiny. Shippensburg: Destiny Image;
2012.
Johnson B. Dreaming with God. Shippensburg: Destiny
Conclusion and Future Directions Image; 2016.
McLaren B. Reinventing your church. Grand Rapids:
Zondervan Publishing House; 1998.
The Future of Creativity in the Church: The Pro-
phetic and Apostolic Challenge. The Church will
continue to create and prosper: it is God’s creative
design. However, this will take two different shapes:
Creativity and Confucian
(a) A Church will continue to grow that exalts Parenting
everything that impresses man: greater build-
ings, greater numbers of people, greater Kyung Hee Kim and Yi Hua
finances, and greater popularity. The College of William & Mary,
(b) Another Church will continue to emerge. Williamsburg, VA, USA
A humble unknown group of people doing
exploits where God is seen everywhere, full
of God’s power that transforms mind-sets and Synonyms
therefore media, art, business, education, and
the way society works. This is a Church that Confucian parenting principles; Creativity in
will be the channel of God’s blessing and Confucian children
542 Creativity and Confucian Parenting
Parenting Styles and Creativity encountering difficult tasks, therefore, frustration

is a common problem for them. These children
Parenting refers to the parents-children daily tend to lack social competence, self-reliance,
interactions that are influenced by parents’ child- impulse control, and maturity (Kim 2016).
rearing beliefs, values, and attitudes, which is Neglectful parents demand little, respond little,
culturally shaped. There are four parenting styles, and communicate little, and they are detached
and each of the four parenting styles develops from their children. They are not involved in
children’s creativity differently (Kim 2016). their children’s lives, neither monitor nor guide
them. They neither support their children nor
• Controlling (authoritarian) relate to them with warmth. They are busy with
• Guiding (authoritative) their own problems and shrug off or do not think
• Permissive (permissive) about their responsibilities as parents. Neglectful
• Neglectful (indifferent) parents’ children perceive their own ability as
low and thus not try hard, which lead to their
Controlling parents keep authority and main- low academic achievement (Glasgow et al. 1997).
tain control. They are strict and demanding and Controlling parents dictate how children
dictate how their children should behave. They behave while showing little warmth. Guiding
show little warmth towards their children but are parents set high behavioral expectations for chil-
very controlling in their behavioral expectations. dren while showing warmth. Permissive parents
Their children are often successful in school, exert little control over children’s behavior while
achieving especially high scores in core courses, showing warmth. Neglectful parents demand lit-
possibly due to their parents’ emphasis on these tle and are detached from children. The guiding
courses. However, overemphasis on parental con- parenting style is the most conducive to chil-
trol is negatively associated with children’s own dren’s creativity development. Western parents
mastery skills, and it reduces children’s motiva- are often more guiding than Confucian parents
tion and thus autonomy (Kim 2016). are, and Confucian (Eastern) parents are often
Guiding parents set clear, high behavioral more controlling than Western parents are (Kim
expectations to children while showing warmth 2016).
and affection and respecting children’s autonomy.
Guiding parents are demanding, but they are will-
ing to listen to their children’s questions. They are Four Confucian Parenting Principles and
respectful of the unusual questions children ask Their Relationship with Children’s
and the unusual ideas and solutions they provide. Creativity
They show children that their ideas have value by
listening to and considering their opinions. They Parenting is culturally shaped through people’s
encourage children to test their ideas by using expectations and understanding of parenting.
them and communicating them to others. Guiding One cannot examine parenting styles without
parents are more successful in promoting chil- looking at their cultural climates. Parenting in
dren’s long-term academic achievement than con- Confucian-heritage cultures has its distinctions
trolling or permissive parents (Kim 2016). imprinted by the influence of Confucianism.
Permissive parents show affection to their chil- Confucian parenting and its relationship with
dren, but they have a hands-off approach to set- children’s creativity in Eastern cultures are dras-
ting rules. They are accepting, supportive, loving, tically different those from Western counter-
and warm, but they exert little control over their parts. Four Confucian parenting principles
children’s behavior – giving free rein to their include first, harmony and conformity; second,
children’s impulses and desires. Permissive par- hierarchical relationship; third, academic dili-
ents’ children often show poor academic perfor- gence and achievement; and finally, filial piety
mances and lack persistence, especially when (Kim 2016).
Harmony and Conformity highly value. Confucian parents adopt restrictive

Western parents emphasize individualistic values parenting practices toward such a goal. Some
of independence and personal choice, whereas of their practices are considered as punitive by
Confucian parents emphasize to children the Westerners, but Confucian parents perceive them
value of harmonious relationship and how to as supportive and as bettering their children’s
maintain a good relationship with others and lives. While Western parents consider parental
how to be liked by others (McCollum and Chen control dominant and negative, Confucian chil- C
2001). Thus, their children are overly concerned dren accept parental control as an expression of
with parents’ and others’ views. They are also their parents’ care and love, which they consider
taught to avoid conflicts and confrontation warm and supportive. Confucian cultures accept
for the sake of harmony and conformity. Those that parents teach their children’s self-discipline
who are considered ideal children according to and hard work for children’s own good and suc-
Confucian cultures often become dogmatic con- cess. Thus, Confucian children perceive that lov-
formists, and they lack independence and auton- ing parents are to be controlling and demanding.
omy in decision-making process and in life. The However, the parenting style that is less control-
nonconforming and defiant attitudes are necessary ling and more equalitarian is more conducive to
for creative attitudes that enable creative thinking. creativity. Guiding parenting, which is often not
Additionally, living in complex and stimulating displayed by Confucian parents, leads to chil-
environments facilitate children’s developing dren’s creativity development (Kim 2016).
complex-seeking attitude that is necessary for
creative attitudes that enable creative thinking. Academic Diligence and Achievement
Children who are raised in a family where parental In Confucian cultures, scholars and teachers
or family disagreement are often more creative who are at the top of the social pyramid hierarchy
than those who are raised in a harmonic family are respected – with better pay and incentives –
(Kim 2016). much more than they are in America. This pro-
motes competition for teaching positions, which
Hierarchical Relationship results in a highly qualified body of teachers in
Confucian cultures expect individuals to fulfill Confucian cultures. Confucian parents instill in
their obligations and responsibilities associated children the importance of education and respect
with their hierarchical positions in social relation- for teachers. In Confucian educational systems,
ships to achieve peace and harmony in the family mutually respectful and helpful relationships
and the society. Confucian parents consider paren- between parents and teachers provide united
tal control contributes to family’s harmonious support for children. This nurtures children’s
functioning. They consider their role as a control- mentored attitude that is necessary for creative
ler who teaches and trains children in a hierar- attitudes that enable creative thinking (Kim
chical relationship, whereas Western parents 2016).
consider their role as a facilitator who supports Confucian parents emphasize parent-
and collaborates with children in an equal rela- child interdependence to intend to ensure
tionship. Confucian parents practice high levels of their children’s well-being and thus keep them
parental involvement and sacrifice while impos- achievement-oriented. They believe that chil-
ing high expectations on children. They empha- dren’s academic achievement is the key to future
size children’s self-discipline and hard work, and success. They emphasize children’s academic
they demand their obedience. If the children dis- achievement much more than their social and
obey parents or question parental authority, they physical development, which they emphasize
are considered family disgrace. much more than Western parents do. Thus,
Their relationships with children are unequal, Confucian children’s everyday lives are much
and they do not value open and two-way commu- more focused on academic learning than Western
nications with children, which Western parents peers’ are (Schneider and Lee 1990).
544 Creativity and Confucian Parenting
Confucian children’s learning model is based (Schneider and Lee 1990). However, devaluing
on effort and diligence, whereas Western chil- play, imagination, and self-expression limits
dren’s is based on inborn ability. Confucian children’s playful, emotional, autonomous, and
parents believe that success in academic achieve- daydreaming attitudes that is necessary for crea-
ment is dependent on children’s diligence and tivity attitudes and thinking (Kim 2016).
persistence, whereas Western parents tend to Confucian children spend much more time on
associate achievement with inborn ability and intense social competition through reading, math-
talent (Schneider and Lee 1990). Confucian par- ematics, arts lessons, and language acquisition,
ents’ focus on diligence and persistence can foster while spending much less time on collaboration,
children’s self-disciplined, diligent, resilient, than Western children do. But, cross-pollination
persistent attitudes that enable creative thinking. (see below) including collaboration, is necessary
However, Confucian parents’ overemphasis and for creativity development (Kim 2016).
narrow focus on academic achievement under-
mine the opportunities for other useful and valu- Filial Piety
able experiences, such as exploring world outside Confucian parents emphasize filial piety much
the school. This inhibits the development of crea- more than Western parents do. Filial piety in
tive thinking skills such as fluent, flexible, and familial relationships and loyalty in social rela-
original thinking that are not tested in school tionships are the cornerstone of Confucian cul-
assessments. Exposing children to diverse values, tures. Filial piety is respect and obedience from
beliefs, customs, cultures, and other experiences child towards parents and older people. It assigns
foster their creative attitudes and creative think- Confucian children obligation to support their
ing. Although Confucian children have academic parents and honor the family through academic
advantage, the high pressure from academic and occupational success. Thus, the relationships
achievement results in high levels or rates of chil- between Confucian parents and children are recip-
dren’s anxiety, self-doubt, even suicide, which rocal in the sense that children respect and obey
stifle creativity development (Kim 2016). parents, while parents are responsible to help
Confucian parents and children consider that children build their academic success. Confucian
artistic performances are also resulted from dili- parents show their affection by doing their best
gence and persistence. Thus, Confucian children for their children’s academic achievement, from
spend much longer time on artistic skill practices which their children feel secure and close to the
than Western children do (Comeau et al. 2015). parents. However, Confucian children are more
Due to high cultural values on persistence and extrinsically motivated to achieve academic suc-
strict disciplinary practices, Confucian children cess than Western children are. They are moti-
display higher tolerance of stress and higher vated to please their parents and teachers. High
resilience than Western children do (Ho and Hau familial pressure for filial piety and children’s
2010). However, Confucian parents focus only on extrinsic motivation for learning stifle intrinsic
children’s skill building for art lessons through motivation and autonomy to explore their own
self-discipline and drill, while ignoring the impor- curiosity, preference, and interest that can lead
tance of enjoyment or self-expression through into their expertise development, and eventually,
the arts, which Western parents greatly value successful creativity (Kim 2016).
(Comeau et al. 2015). Confucian children learn filial piety through
Confucian parents value diligence and strict discipline, and their parents are encouraged
persistence so much that they consider play and to use physical punishment if necessary. Parents’
imagination unproductive and worthless, whereas physical punishment to control children’s behav-
Western parents tend to consider work and play ior is one of the biggest differences between
equally important for personal development. Confucian and Western parenting. Confucian
Thus, Confucian children spend much less time children are more submissive to their parents
on recreational activities than Western children do than Western children are, and they feel more
comfortable following parents’ instructions than worthwhile ideas into the final unique and useful
Western children are. They often become finan- creation (Kim 2016).
cially and emotionally dependent on parents. Each child is born with an innate capacity for
Consequently, tightly bonded familial relation- creative attitudes and creative thinking. Under
ships and thus filial piety inhibit children’s what climates a child is raised plays a vital role
independent and autonomous attitudes that are in expressions of their creative attitudes, adding or
necessary for creative attitudes that enable crea- lessening value of the child’s creative potential C
tive thinking (Kim 2016). Furthermore, Confu- to express creatively. Confucian parents’ over-
cian parents feel disappointed, anxious, and emphasis on harmony and conformity – instead
embarrassed about their children’s academic fail- of on children’s individuality and uniqueness, and
ure, and children feel anxiety, shame, and/or guilt thus development of their full creative potential –
about their lack of diligence and persistence for turns children into human bonsai trees. (Bonsai
the failure (Wang 2014), which results in trees are ornamentally shaped trees that are
Confucian children’s lack of self-efficacy, risk- artificially pruned and wired, preventing them
taking, and nonconforming attitudes that are from reaching their full size.) Overemphasis on
favorable to creative thinking (Kim 2016). academic diligence and achievement fosters
Confucian children’s self-disciplined, diligent,
resilient, and persistent attitudes, and lower-
Conclusions and Future Directions order inbox thinking skills (memorization and
comprehension skills), which are conducive to
Successful creativity requires the three distinct their creativity development. However, it narrows
steps, acronymed as CATs: cultivating creative their educational and life scope, which stifles
climates (Step 1), nurturing creative attitudes children’s open-minded, bicultural, mentored,
(Step 2), and applying creative thinking skills complexity-seeking, and resourceful attitudes.
(Step 3). Creative climates are psychological Overemphasis on academic achievement also
and physical conditions, such as home, school, devalues the importance of play and curiosity,
workplace, or social and cultural context, which which stifles children’s curious, spontaneous,
either encourage or discourage children’s crea- playful, and energetic attitudes. Parents’ control-
tivity development. Creative attitudes come from ling parenting style, which is attributed to the
what’s within individuals but are also influenced Confucian hierarchical familial relationship,
by their climates. Creative attitudes allow chil- and emphasis on filial piety with children’s obe-
dren’s creative thinking skills (inbox, outbox, dience and dependence stifle children’s inde-
and newbox: ION) that are necessary for the pendent, risk-taking, uncertainty-accepting, and
creative process. The creative process is a col- big-picture-thinking attitudes. All of these Confu-
laboration or a cooperation among ION thinking: cian parenting principles stifle children’s applica-
inbox thinking skills of memorization, compre- tion skills and higher-order inbox thinking skills
hension, and application are necessary for devel- of analysis and evaluation, and outbox and
oping expertise – the foundation of creative newbox thinking skills, which limit children’s
thinking and the creative process – in children’s creativity development (Kim 2016).
own curiosity, preference, or interest. Decide Children’s creativity is bonsaied by home cli-
whether the original ideas are valuable and mates first, and then by school climates next,
worth pursuing; outbox thinking skills of fluent, which are the most critical climates for children’s
flexible, and original thinking generate original creativity development. Creativity depends not on
ideas; again, inbox thinking skills of analysis the amount of innate creative potential a child is
and evaluation critical thinking decide whether born with, but more on the climates – how much
the original ideas are valuable and worth of the creative potential she or he retains as grow-
pursuing; and newbox thinking skills of synthe- ing up and how much the climates she or he grows
sis, transformation, and promotion translate the up in allow her or him to keep the creative
546 Creativity and Confucianism (Asian Culture)
potential. Confucian children’s creativity depends Schneider B, Lee Y. A model for academic success: the
on what is left over after their creative attitudes school and home environment of East Asian students.
Anthropol Educ Q. 1990;21:358–77.
and thinking skills are stifled or bonsaied by Wang YC. In search of the Confucian family interviews
Confucian parenting. Following the CATs with parents and their middle school children in
model, Confucian parents must cultivate creative Guangzhou, China. J Adolesc Res. 2014;29:
climates of soil, sun, storm, and space (4S) for 765–82.
their children. Only children who experience the
diverse soil climate (diverse resources and expe-
riences), the bright sun climate (inspiration and
encouragement), the fierce storm climate (high Creativity and Confucianism
expectations and challenges), and the free space (Asian Culture)
climate (freedom to be alone and unique) can
realize her or his own full creative potential Kyung Hee Kim and Yi Hua
(Kim 2016). The College of William & Mary, Williamsburg,
VA, USA
Cross-References
Synonyms
and Space) Attitudes Confucian principles; Confucianism; East Asian
▶ Creative Climate Tests, Creative Attitudes culture; Eastern Creativity
Climates Confucianism
Process (ACP) Confucianism refers to a system of principles and
▶ Creative Thinking Skills: Inbox, Outbox, and values founded on Confucius’s philosophy and
Newbox (ION) Thinking Skills ideas. It is not considered a religion, and Confu-
▶ Creativity and Confucianism (Asian Culture) cius is not considered a Lord or Savior for those
who follow his philosophies. Confucianism is the
major cultural influence in Asian countries includ-
References ing Mainland China, North and South Korea,
Hong Kong, Macau, Japan, Mongolia, and Tai-
Comeau G, Huta V, Liu Y. Work ethic, motivation, and wan and some of Southeast Asian countries such
parental influences in Chinese and North American as Malaysia, Singapore, and Vietnam. Although
children learning to play the piano. Int J Music each of these countries has its own unique history,
Educ. 2015;33:181–94.
Glasgow KL, Dornbusch SM, Troyer L, Steinberg L,
their people share a common culture that derives
Ritter PL. Parenting styles, adolescents’ attributions, from the teachings of Confucianism, Taoism, and
and educational outcomes in nine heterogeneous high Buddhism. Of these three schools of thought,
schools. Child Dev. 1997;68:507–29. Confucianism poses the most powerful unifying
Ho IT, Hau KT. Consequences of the Confucian culture:
high achievement but negative psychological attri-
influence within these countries. These countries’
butes? Learn Individ Differ. 2010;20:571–3. focus on economic development and moderniza-
Kim KH. The creativity challenge: how we can recapture tion has weakened the influence of Confucianism
American innovation. Amherst: Prometheus Books; in the last century. In spite of that, Confucianism
2016.
McCollum JA, Chen YJ. Maternal roles and social compe-
is still served as the ethical, moral, social, and
tence: parent–infant interactions in two cultures. Early political foundations for these Asian countries
Child Dev Care. 2001;166:119–33. (Kim 2016).
Creativity and Confucianism (Asian Culture) 547
Confucius husband/wife, sibling/sibling, and friend/friend

(Kim 2004, 2016).
Confucius was born in China and lived from Confucius’ ideas were reinterpreted and
551 until 479 B.C. “Confucius” is the Westernized reconstructed by successive scholars and schools
name given by Jesuit missionaries to the man of thought. Several centuries after Confucius’
referred to as Kong Fuzi or Master Kong by his death, his teachings became the official creed of
followers. Confucius was the only son of an aged the governing elite in China, which was retained C
military officer from a noble family. Because the until the late nineteenth century. During Mao
marriage between Confucius’ father and his first Zedong’s Cultural Revolution (1966–1976) in
wife had produced only daughters, his father mar- China, Confucianism was criticized as a road-
ried a 16-year-old bride and was desperately seek- block to modernizing China. Its influence within
ing to have a son with his new wife (Confucius’ school systems decreased as the government tried
mother). His father died when Confucius was only to modernize education through math, science,
3 years old, and he lived with his mother in pov- and Western methods of learning. However, Con-
erty, but his mother was determined to have her fucian principles have been deeply rooted in Chi-
son educated. Confucius was a diligent student. nese society so that they still subtly influence
He was tall, with rather uninviting physical qual- modern China’s culture and people. Moreover,
ities, which compelled him to study harder as he people have reaffirmed the significant values of
chose to study over socialization and retreated Confucianism in today’s China, especially in edu-
from friends. His mother died when he was cation. Confucianism shapes East Asian people’s
17 years old. He began teaching in rural villages business and social interactions, thinking styles,
when he was 23 years old. Later, more disciples behavior patterns, and family structures even now,
followed him and learned from him. It was not more than 2000 years after Confucius’ death.
until 51 that he started his political career serving Especially in South Korea, a succession of presi-
as a city governor. His effective governing dents throughout its modern history has
brought his home state (Lu State) stability and reinforced Confucianism due to the political
prosperity. However, 4 years later, due to his power of the aristocrats who support Confucian-
dispute in politics with the state governor, he left ism, which made South Korea become the most
Lu State with frustration and traveled to the other Confucian country in the world (Kim 2016; Park
states in China with his disciples, sharing his and Chesla 2007).
philosophies and ideas. During his 14-year trav-
eling, he experienced many difficulties and did
not hold an important position. When he was Four Principles of Confucianism and
68 years old, Confucius was invited to return to their Relationship with Creativity
Lu State. He devoted the rest of his life to educa-
tion, compiling and editing ancient literature, and Western values emphasize natural sciences and
teaching disciples until his death at 72. His philo- objective knowledge and attitude, whereas Con-
sophical and educational ideas were recorded by fucian values emphasize self-development and
his disciples and collected in the book of Analects. subjective knowledge and attitude. The four Con-
One hundred years after Confucius’ death, his fucian principles include first, harmony and col-
disciples, who had learned them by rote, compiled lectivism; second, hierarchical relationship; third,
The Analects of Confucius, which are the main academic diligence and achievement; and fourth,
books of Confucianism and comprised 20 books. filial piety and loyalty (Kim 2004, 2016).
These books emphasize moral development
through virtues such as harmony, courtesy, and Principle 1: Harmony and Collectivism
filial piety throughout the following five types of Confucianism requires individuals to understand
human relationships: ruler/servant, parent/child, and share a system of values and social norms to
maintain harmonious interpersonal relationship one is older and/or wiser than the other, so the
with others. Confucianism defines “self” as an other must obey. For example, younger siblings
individual’s familial and social relationships should consistently respect and conform to older
along with the obligations and feelings of the siblings, and Confucian wives should consistently
relationship, where an individual exists only in respect and conform to their husbands. In these
relation to others, especially to families and hierarchical relationships, individuals are to fulfill
in-group members. Western cultures focus on their obligations and responsibilities associated
autonomous individualism, whereas people in with their positions in order to achieve peace and
Confucian cultures feel good about being a part harmony in the family and the society. The rela-
of a group more than Western people do. Due to tionships are also reciprocal. For example, a
the overemphasis on harmonious relationships, leader has the responsibility to protect and dem-
Confucian communication patterns are indirect onstrate concern for followers, while the fol-
and listener-centered, which value one-way com- lowers should show their loyalty and
munications (instead of open and two-way com- commitment to the leader. Furthermore, in Con-
munications) and listening (instead of expressing fucian hierarchal relationships, age is a mark of
opinions or discussing alternatives). All of these personal prestige and wisdom, and thus the older
reject individuality and individuals’ self-assertion generation has the right to exercise discipline and
in order to maintain harmony with others (Kim control over the young. Besides, Confucian hier-
2004, 2016). archy also considers knowledge as hierarchical.
Influence of harmony and collectivism on The most valuable knowledge is ethics, morality,
creativity. Confucianism teaches individuals to and virtues. The five basic virtues that individuals
follow indirect communication and formality must pursue are ren (harmony), yi (uprightness), li
and to avoid disagreement and conflict to save (rite or respectfulness), zhi (moral understanding),
face. This forces individuals to be overly and xin (trustworthiness); the second-rated knowl-
concerned with others’ views and how to be edge is nonethical and practical knowledge,
liked by others. Overemphasis on the value of which is tangible knowledge of literature and
harmonious relationship stifles individuals’ non- writing; and the least significant knowledge is
conforming attitude, which results in their lack laborious knowledge based on physical move-
of self-expressions and autonomy in decision- ment (Kim 2004, 2016; Park and Chesla 2007).
making process. Additionally, overemphasis on Influence of hierarchical relationship on
the value on formality based on collectivism con- creativity. Respecting elders’ wisdom can con-
siders playfulness and humor flippant and inap- tribute to creative thinking such as developing
propriate, but the playful attitude is necessary for expertise. However, verbal and behavioral restric-
creative attitudes that enable creative thinking. tions in hierarchical relationships force individ-
Confucianism’s value on humility and conformity uals to accept and memorize – without critical
for the sake of harmony and collectivism sacri- thoughts – what’s taught by those above in hier-
fices individuals’ self-efficacy and uniqueness. archy. Confucian hierarchy discourages individ-
Cultures that encourage individuality and individuals’ nonconforming and defiant attitudes that are
uals’ risk-taking and self-efficacious attitudes as conducive to creative thinking. It instills obedi-
well as conflict and diversity (diverse perspec- ence and dependence in individuals, but individ-
tives, resources, and views) are necessary for indi- uals’ independent and autonomous attitudes are
viduals’ creativity development (Kim 2016). necessary for creative thinking. Traditional Con-
fucian hierarchy also instills obedience in females
Principle 2: Hierarchical Relationship even more than in males. A woman is expected to
The stability of society is based on five unequal be obedient to her parents when she is a child, to
relationships between leader and follower, parent her husband when she is married, and to her son in
and child, husband and wife, older sibling and her older age. Confucian bias against women and
younger sibling, and friend and friend – where women’s education forces them into submissive
roles, which limits women’s creative potential self-enhancing biases. When they receive nega-
and their professional careers. However, the tive feedback, individuals in Confucian cultures
gender-bias-free attitude is necessary for creative work hard to improve themselves by correcting
attitudes and is more prone to encourage creative their weaknesses according to the negative infor-
thinking, not only in women but also in men mation. They consider that negative feedback
(Kim 2004, 2016). helps themselves identify their shortcomings or
deficits, which helps them not only pay attention C
Principle 3: Academic Diligence and to negative feedback but also take it very seri-
Achievement ously. In contrast, because individuals in Western
On the Confucian social pyramid hierarchy, cultures often consider their tasks are performed
scholars and aristocrats are at the top; second, by their inborn ability, when they receive negative
farmers; third, artisans and craftsmen; fourth, mer- feedback, they feel offended or threatened
chants; and finally slaves are at the bottom. This because they see the negative information is on
hierarchy indicates the importance of academic themselves, not on their tasks. This causes them to
achievement in Confucian cultures. Scholars are not only see negative feedback as unfavorable,
traditionally regarded as the highest social class. inaccurate, or personal attack but also be less
Good education, academic diligence, and self- persistent in their tasks. However, individuals in
discipline are essential to becoming a scholar. Confucian cultures seek negative feedback
Confucianism emphasizes the pursuit of knowl- instead of avoiding it. While individuals in Con-
edge as a moral virtue for self-development. The fucian cultures focus on improving their work,
purpose of being highly educated people is to those in Western cultures focus on recovering
honor the family and become successful leaders. their self-esteem by thinking about positive infor-
Education is the primary path to meet family mation or past successes or consoling themselves
expectations and the requirements of self- with the thought that they are at least better than
development and life success (Kim 2016; Park average. All of these serve their self-serving
and Chesla 2007). biases, inflated self-esteem, and thus inaccurate
Pursuit of knowledge in Confucian cultures is self-efficacy (true confidence). Westerners’ belief
based on effort, diligence, concentration, and per- in their inborn ability stifles the self-disciplined,
sistence, whereas pursuit of knowledge in West- diligent, self-efficacious, resilient, and persistent
ern cultures is based on inborn ability. attitudes, which prevents them from striving
Confucianism instills a hard work ethic and will- toward fulfilling even greater creative potential
power in individuals instead of reliance on an (Kim 2016).
inborn ability, gift, or talent. This nurtures indi- Influence of diligence and achievement on
vidual’s diligent and persistent attitudes that are creativity. Societal respect for scholars – with
instrumental in developing creative thinking. The their rote learning – and disrespect for artisans
miracle of the Asian Five Dragons – surprising and craftsman in the Confucian social hierarchy
economic growth in Japan, South Korea, Taiwan, contributed to the late development of science and
Hong Kong, and Singapore – in the 1980s was modern technology in Confucian cultures. Mer-
due to hard work, thrift, persistence, and pursuing chants in the hierarchy also fall toward the bottom
diplomas and higher degrees. The Confucian prin- because buying and selling things for a profit is
ciple that contributed to that growth is also vital to considered deceptive, but promotion is one of the
developing expertise, which is the foundation most important creative thinking skills for inno-
of creative thinking (Kim 2004, 2016; Li 2002; vation (Kim 2016).
Stevenson and Stigler 1992). Overemphasis on only academic achievement
Compared to Westerners’ belief in inborn narrows individuals’ scope and experience, and
ability and inflating their self-esteem, individuals diverse experiences are required for creativity
in Confucian cultures often exhibit more development. More importantly, Confucianism
self-criticism for self-development and thus less forces individuals to memorize others’ written
words in “exam hell” to pass exams – instead of and demand obedience and self-discipline from
exploring, questioning assumptions, or discussing their children. Parents maintain high involvement
their own ideas. To prepare for the college in their children’s education and show their affec-
entrance exam or job entrance exams, individuals tion by sacrificing or doing their best for their
endlessly memorize textbook information and children’s academic achievement. In return, chil-
increase their memorization and comprehension dren are expected to obey their parents and repay
skills that are measured by their exams – while them by being academically and occupationally
ignoring application skills and critical thinking successful and then financially supporting their
skills that are not measured by the exams – aging parents. Filial piety is a prototype behavior
which limits their creative thinking skills. They in the entire Confucian society, which extends to
are pushed into tutoring sessions and exam prep- loyalty at work and social organizations where
aration courses, which restrict their independent subordination, unquestioned authority, and pater-
thinking and time for self-reflection. Sufficient nalistic leadership are expected. This contributed
time and space for nurturing the independent, to the Asian Five Dragons’ economic miracle
autonomous, and self-reflective attitudes are nec- through social paradigms such as lifelong com-
essary for developing creative thinking. mitment to one’s job (Kim 2004, 2016).
The origin of an exam hell dates back to Influence of filial piety and loyalty on crea-
China’s civil service examination system in the tivity. Overemphasis on filial piety forces individ-
600 s. It was when millions of men from the uals to become passive and uncritical, which
middle class were allowed to rise to the upper eventually makes them become authoritarian and
class by passing the exams. Passing the exams dogmatic conformists who cannot think crea-
brought them many advantages such as financial tively. To repay the debt they owe to their parents’
rewards, prestige, and power. The exam system sacrifice, children’s goals become wealth and high
stabilized the social hierarchy and status quo. To family status, which further stifles the big-picture
pass the 3-year cycle exams, candidates sought thinking attitude that is necessary for creative
and purchased previously successful exam essays attitudes that enable creative thinking. Also, indi-
based on Confucius classics, which they memo- viduals with strong filial piety attitudes often
rized by rote. Due to the extremely high rewards expect more support from their children, and
from passing the exams, many teenagers started they report lower life satisfaction than those with-
taking the exams and kept trying every 3 years out strong filial piety (Kim 2016).
until they died. Some of them did nothing but Overemphasis on filial piety at home and loy-
preparing for the exams in their lives and in alty at work and social organizations instills an in-
some cases led to extreme test anxiety and suicide. group-only mentality in individuals, which leads
Even after the exam system ended officially in to the rejection of ideas from the out-group and
1905, exam-induced suicides in the exam hell unquestioned allegiance to authority. The sharp
are still found in today’s Confucian countries distinction between in-group and out-group mem-
while fostering anti-creative climates. Addition- bers is also caused by the importance of similarity
ally, in this exam hell, play or fun is unproductive and blood relationships in Confucian cultures.
and worthless, but the playful, spontaneous, and Individuals’ in-group-only mentality makes the
daydreaming attitudes are favorable to creative world an arena of endless competition against
thinking (Kim 2016). non-family or out-group members. With this men-
tality, individuals work hard to beat their peers and
Principle 4: Filial Piety and Loyalty rank first, which sorts humanity into only winners
Confucianism instills filial piety – parents’ and losers. However, cross-pollination with
unquestioned authority – in individuals. It’s the others, especially out-group members, increases
most essential value in Confucian minds. Filial a chance of innovation. Cross-pollination is shar-
piety entitles parents to strongly influence their ing, adapting, and building on each other’s diverse
children’s decisions and set high expectations expertise across subjects or fields through formal
and informal face-to-face interactions such as net- Confucianism’s influence has been attenuated by
working, sound-boarding (good listening and internationalization and globalization, Confucian-
offering feedback), collaboration, and collabora- ism still significantly affects Asian individuals’
tive competition (which is more effective for inno- beliefs and values and thus their creativity devel-
vation than winner-take-all competition is) (Kim opment. Confucianism’s third principle of aca-
2016). demic diligence and achievement cultivates storm
Confucianism encourages individuals to copy climate for individuals in Confucian cultures, C
others’ work, and plagiarism is a serious issue which nurtures their self-disciplined, diligent, resil-
among Asian individuals in their countries and ient, and persistent storm attitudes that are neces-
overseas. Since the beginning of the civil service sary for creative attitudes that enable creative
exam system in the 600 s, plagiarism for the thinking skills. However, overemphasis on this
exams has continuously occurred due to extreme principle and on all the other principles of harmony
competition. Confucian individuals’ plagiarism and collectivism, hierarchical relationship, and fil-
often arises from their fear of failure and extreme ial piety and loyalty stifle the soil, sun, and space
pressure to do well for their family. Individuals climates in Asian cultures, which stifle Asian indi-
with Confucian backgrounds who feel more filial viduals’ creativity development. Cultivating crea-
obligation to excel cheat more willingly than tive climates in Asian cultures is the first step
those who feel less so. But, copying or plagiarism toward creativity development and eventual inno-
is not conducive to creative thinking unless the vation (Kim 2016).
original work is improved or transformed in some
way (Kim 2016).
Cross-References
Conclusions and Future Directions ▶ Creative Attitudes: The 4S (Soil, Sun, Storm,
CATs identify the three steps that lead to innova- ▶ Creative Climates: Soil, Sun, Storm, and Space
tion: first, cultivate creative Climates; second, Climates
nurture creative Attitude; and third, apply creative ▶ Creative Process: The Apple-Tree Creative
Thinking skills (Kim 2016). Climates and espe- Process (ACP)
cially cultural climates significantly influence ▶ Creative Thinking Skills: Inbox, Outbox, and
individuals’ creativity development. Creative cli- Newbox (ION) Thinking Skills
mates are categorized as the soil, sun, storm, and ▶ Creativity and Confucian Parenting
space (4S) climates, which impact how individ-
uals think and behave, by either encouraging or
discouraging their creativity development. The References
soil climate provides individuals with diverse
resources and experiences so that they accumulate Kim KH. Cultural influence on creativity: the relationship
between creativity and Confucianism (Doctor’s disser-
a lot of raw materials to create with; the sun
tation). Athens: University of Georgia; 2004.
climate inspires and encourages them to be moti- Kim KH. The creativity challenge: how we can recapture
vated to create; the storm climate provides them American innovation. New York: Prometheus Books;
with high expectations and challenges so that they 2016.
Li J. Learning models in different cultures. New Directions
can complete the long, bumpy creative process; for Child Adol Dev. 2002;96:45–64.
and the space climate provides them with the Park M, Chesla C. Revisiting Confucianism as a concep-
freedom to be alone and unique so that they can tual framework for Asian family study. J Fam Nursing.
develop unique ideas for innovation (Kim 2016). 2007;13:293–311.
Stevenson HW, Stigler JW. The learning gap: why
Confucianism has influenced Asian countries
our schools are failing and what can we learn from
for more than 2,000 years. Although these coun- Japanese and Chinese education. New York: Summit
tries have experienced great changes, and although Books; 1992.
552 Creativity and Emotion
operation lies within the moral domain. Thus, for

Creativity and Emotion example, the creation of a new method in mathe-
matics is considered useful, and the creation of an
Carol R. Aldous artistic work is meaningful.
School of Education, Flinders University, The term emotion is derived from the Latin
Adelaide, SA, Australia emovere “to move, to excite, to stir up, or to
agitate” and is often used to describe any of a
number of subjectively experienced affect states.
Synonyms In this sense, the term emotion in scholarly writing
is used in much the same way as that in popular
Affect; Feeling; Mood; Novelty writing. However, in everyday language, emo-
tions are often equated with feeling, whereas in
psychological literature, emotions are considered
Key Concepts and Definition of Terms to encompass much more than feeling. While not
all feeling originates in emotion, all emotions
While the field of study concerning the relation- generate feeling. Emotions are acute, relatively
ship between creativity and emotion is compara- short-lived affective episodes that are accompa-
tively small, the fields of creativity and emotion as nied by high levels of arousal and momentary
distinct areas of research are vast. Each area is desires to act. They arise in response to informa-
replete with theory abounding in differing per- tion perceived in both the internal and external
spectives and orientation. Consequently, the num- environments of the body. The emotions of hap-
ber of definitions for each term is large, many of piness, sadness, fear, disgust, surprise, and anger
which may only be deeply understood in the light are said to be “universal,” “primary,” or “basic”
of theoretical orientation from which the defini- since these emotions are evidenced in infants soon
tion is derived. This is particularly the case for the after birth and have been observed by anthropol-
term emotion, whose definitional efforts have his- ogists among people in remote cultures. Other
torically been elusive, despite its frequency of use. emotions, such as those of shame and embar-
For the purposes of shared understanding and rassment which involve breaking a social or
this entry however, the terms creativity and emo- moral code, are considered to be culturally deter-
tion are defined as follows:- mined and are therefore called “social,” “self-
The term creativity is derived from the Latin conscious,” or “secondary” emotions. Needless
creatus “to make or produce” and in more recent to say, emotions are complex, multifaceted phe-
canon is defined as “the production of effective nomena characterized (but not exhaustively so) by
novelty.” It is used in scholarly writing of psy- subjective experience (e.g., feeling), expressive
chology in much the same way as in popular reactions (e.g., smiling, frowning), physiological
writing but with some refinement. The word “pro- reactions (e.g., increased heart rate, flushed face,
duction” implies that some act or action is perspiring hands), responsive behaviors (e.g.,
required. Thus, within the cognitive orientation, fleeing, fighting, laughing), and various kinds of
the act of creation or the “creative process” is cognition (e.g., altered attention and thought)
studied. However, within other orientations such (Cornelius 1996).
as the personality perspective of individual differ- Given the complex multifaceted nature of emo-
ences, the “creative person” is studied, while tion, it is not uncommon to find disagreement
within the psychosocial perspective, the press of arising among proponents concerning the relative
the environment or the “creative environment” is importance of a given aspect. Taking the aspect of
studied and within the psychometric perspective, subjective experience and “feeling” as a case in
the “creative product” is studied. Central to each point, the relative importance ranges from “not at
orientation is the assumption that the novelty pro- all important” to “highly important,” depending
duced is both useful and meaningful and that its on perspective. This range of perspective reflects
Creativity and Emotion 553
well the different theoretical orientations within Further, recent technological development has
the field of emotion. Among these are the Darwin- allowed the advancement of other orientations
ian orientation that emphasizes the universal and particularly from within the fields of neurosci-
adaptive function of emotions, the James-Lange ence, medicine, and brain imaging research. The
orientation that focuses largely on the bodily hypothesized relationship of mirror neurons to
responses, the cognitive orientation that investi- social and emotional behavior is one such case.
gates the cognitive processes of mental appraisal, C
and the social constructivist orientation that
weighs the influence of social and environmental Theoretical Background and
interactions. Considering the broad set of repre- Open-Ended Issues
sentations surrounding the concept of emotion,
together with confusion created by its use in Advances in understanding about the relationship
everyday language, the more expansive term between creativity and emotion have, by compar-
“affect” is often times preferred. ison with other fields of research, been relatively
slow and the field itself comparatively new. The
Mapping the Four Ps of Creativity onto reasons for this are complex and require an under-
Emotion Research standing of the way in which creativity, thinking,
There are some interesting relationships to be and emotion have been framed throughout his-
established when the four Ps of creativity tory. During the industrial age of the late eigh-
(namely, person, product, process, and press of teenth and nineteenth centuries, explanations of
the environment) are over laid onto the field of human functioning drew inspiration from analo-
emotion research. The Darwinian orientation gies with power-driven machinery. Questions
which describes emotion as a trait of adaptive such as “what is the ‘power’ and what is the
advantage is consistent with the person approach ‘machine’?” were asked. Utilizing the notion of
to creativity that seeks to identify trait charac- the instinctive drive, emotions were conceptual-
teristics of the creative personality. The James- ized as “power” and intelligence or reason as
Lange orientation that describes emotion as a “machine.” Thus, this mechanist conception
bodily response (or outcome) is consistent with meant that the emotionally actuated human,
the product approach to creativity that frames needed to be instrumented by reason. Indeed, in
creativity in terms of an original output or the decision-making arena, information obtained
response. Not surprisingly, the terms “emotional through reasoning, rather than feeling, was to be
expression,” “emotional competency,” and believed.
“emotional output” are found. In the cognitive With the advent of the information age in the
tradition, emotion is framed in terms of cogni- latter half of the twentieth century and on into the
tive processing which is consistent with the pro- twenty-first century, and a burgeoning knowledge
cess approach to creativity that describes economy, the machine metaphor continued. This
creativity as involving a set of cognitive pro- time, models of “information processing” devel-
cesses that take time. Here emotion is presented oped, drawing as they did so on mental represen-
as a so-called intelligence, and the terms “emo- tations inspired by analogy with computer
tional intelligence” and “noncognitive capabil- technology. Terms such as “brain power” and
ity” are found. Finally, the social construction “processing speed” were used, and in more recent
approach to research in emotion may be likened history, emotion is represented as “data” and
to the press of the environment in studies of “output.”
creativity. Within this orientation, terms such Nevertheless, there have been many people in
as “emotional capital” and “emotional stresses” history who rejected the “mechanist” perspective
are found highlighting the interaction that takes and the separation of thinking from emotion. One
place between the individual and the social such person was Graham Wallas (1926), who,
environment. working early last century, became well known
for distinguishing four stages of control in the Affect and the Creative Person
process of creative problem solving. These stages Many of the initial studies into creativity
were preparation, incubation, illumination, and attempted to identify the creative person through
verification. However, what appears to be lesser an analysis of personality traits. However, no sin-
known was that Wallas also described a substage gle differentiated personality profile common to
called intimation associated with the stage of illu- all highly creative people has been found capable
mination. Intimation was defined as awareness, of distinguishing them as a group from less crea-
infused with affect, presenting itself in the form tive people. Some personality traits identified are
of a feeling or intuition that preceded and/or tolerance of ambiguity, perseverance, openness to
accompanied the “flash” of illumination. new experiences, a preference for challenge and
According to Wallas, if illumination were to be complexity, willingness to take risks, and courage
controlled, then intimation or feeling would need of one’s own conviction. In particular, the trait of
to be attended to. Just as an idea may call up an “openness to new experience” was regarded as the
emotion, an emotion could call up an idea. strongest predictor of creativity (Feist 1999). Not
However, the semi-recognition of intimation as only did the trait involve a willingness to try out
a mere substage within the creative process meant and explore new ideas, it also predicated the qual-
that its significance was over looked together with ities of aesthetic sensitivity and an awareness of
the affective dimension of creativity research. one’s own inner feelings.
This begs the question “Is emotion (or affect) Within the psychoanalytic tradition, the per-
important to creativity?” and if so “How is emo- sonality trait “openness to experience” is associ-
tion (or affect) involved in the creative process?” ated with preparedness to access emotion-laden
thoughts and primary process thinking (Russ
1993). Primary process was conceived as being a
Implications for Theory, Policy, and primitive form of thinking that was heavily laden
Practice with affect, unconstrained by logic and largely
unconscious. However, expression of primary
With the dropping of the atomic bomb and the process appears to be more conducive to males
unleashing of uncontrolled power in the mid last than females. Interestingly, access to affect-laden
century, interest in the concept of creativity grew thoughts is related to divergent production and
as nations, particularly in the west, competed for transformation abilities. Transformation ability
technological advantage in the ensuing cold war involves the mental flexibility to break from old
that followed. However, the association of emo- ways of thinking and to see new patterns and
tion with power that arose out of the industrial age configurations (i.e., to break mental set). Affect-
meant that research in the information age would laden thinking, it is theorized, activates nodes in
target its more respectable cognitive aspects. memory that assist in the search process enabling
Using the “four P” approach as a framework, a wide range of associations to occur. In these
what follows is a brief overview of research representations, emotion and affect are seen as
pertaining to creativity and emotion. In some antecedents and accompaniments of creativity.
instances, emotion and feeling appear as the One emotional resonance model of creativity
antecedents of creativity, in others as the medi- postulates the existence of endocepts, emotions
ators and accompaniments of creativity, while attached to concepts or images in memory.
in still others as the products of creativity. The These emotional memories play a role in generat-
former representation predisposes the notion ing creative metaphors by resonating endocepts
that emotion fuels cognition, the latter case initiating associations between attached images
that emotion is the product of cognition, while and concepts. Further, the presence of resonance
in the center case that emotion and cognition detection thresholds influences whether a
interact. resonance-activated endocept or concept enters
Creativity and Emotion 555
conscious working memory (Lubart and Getz mood through the deployment of psychosocial
1997). and environmental factors. Specific affect states
Another trait related to the expression of crea- may be induced, for example, by involving par-
tivity and systems of affect particularly as it per- ticipants in an enjoyable activity, watching a
tains to motivation is that of perseverance. Early movie, or recounting happy or sad memories. In
historiometric work found that many eminent these experiments, emotion is seen as an anteced-
individuals such as Newton, Galileo, and Darwin ent to the creativity. Interestingly, in a study inves- C
were not only highly intelligent but also extremely tigating creative problem solving, positive mood
perseverant. Central to the attribute of persever- resulted in more creative solutions when com-
ance is the concept of intrinsic motivation. Intrin- pared with control groups (Isen et al. 1987). As
sic motivation is defined as the motivation arising with the previous discussion related to personality
from a personal desire to participate in an activity traits, positive affect was thought to cue positive
for its own sake, be it enjoyment, challenge, or memories and a large amount of cognitive and
interest. Amabile (1996) and her coworkers have affective material resulting in a defocused state
done much to highlight the importance of this of attention. Consequently, the cueing of cogni-
kind of motivation in the generation of creativity. tive content enabled a wider range of associated
Intrinsic motivation is accompanied by positive ideas to occur.
affect and the love of the task. Extrinsic motiva- Recent research in business organizations has
tion on the other hand is the motivation which also supported the view that creativity emerges
arises within an individual from the desire to from positive affect. Studies of induced positive
meet some external reward, be it a praise, prize, mood lead to higher creativity, while studies of
or fame. Early studies have found that individuals induced negative mood lead to lower creativity.
who perform a task for a reward were less creative When creative work contributed to a positive
than those who receive no reward or a reward that mood, a self-reinforcing cycle of creativity and
is not associated with the task. However, the find- positive affect was initiated. While the above
ings of more recent studies have been mixed and description would at first glance appear relatively
may relate to the stage of the creative process at straight forward, a recent large-scale meta-
which the extrinsic motivators are applied. When analysis of mood-creativity research reveals
interpreting the research literature however, due (Baas et al. 2008) that the field is in fact highly
consideration needs to be given to the manner in complex. The interested reader is directed to that
which creativity is measured (e.g., whether by account.
consensual assessment or by tests of divergent
production), the type of participants under study, Affect and the Creative Product
as well as the specificity of the domain in which The field of affect and the creative product is
the research is conducted. perhaps best represented by those domains of
activity in which the person and the creative prod-
Affect and the Creative Environment uct intersect. Actors, dancers, and mime artists,
Another line of research into the relationship for example, are both simultaneously the creative
between creativity and emotion has involved the person and the creative product. In the execution
investigation of various affect states induced by of their role, actors, for example, need to under-
stimuli, both internal and external to the individ- stand, interpret, and express emotion. Learning to
ual. In particular, the rapid expansion of business act such that a smile is not forced but appears
and industry into a global market place in the final natural is not simple, as Ekman’s research on
decades of the twentieth century has generated a emotion affirms. While some performers act the
plethora of research seeking to optimize the crea- expression of an emotion, other performers will
tive environment. Many of these studies have live the emotion in an authentic response of their
involved the induction of positive or negative craft. The capacity to emotionally engage an
audience requires a great deal of energy and cre- elaboration and creative synthesis (i.e., outcome)
ativity. Thus, emotions may not only be mediators stages. Shaw labeled cycling between elabora-
of the creative process but they may also be the tion and the outcome the communication loop.
product of the creative process. In this sense, Many such loops operating simultaneously and
emotions themselves are the product. Another successively were proposed to exist and whose
example of emotions as creative product is to be occurrences are consistent with neural network
found in individuals with the ability to manage models of the brain. Thus, emotion as
emotion such that different emotions may be com- represented in this model may be seen as both a
bined and expressed in unusual ways. To do so mediator and accompaniment of creativity.
requires a great deal of improvisation and However, recent advances in neuroscience, on
creativity. the role of feeling and emotion in human reason-
Clearly, the expression of emotion as a creative ing and consciousness, would seem to indicate
product either through acting or through bodily that emotion is much more than a mediator and
movement would seem to contraindicate emotion an accompaniment of creativity. Working with
and cognition operating as separate systems. brain damaged patients, Damasio (1994) found
individuals presenting with normal IQ, language
Affect and the Creative Process ability and learning capacity, being unable to
Building on Wallas’s classic four-stage model, solve problems, due to impairment of the feeling
there have been a number of process models of function within the brain. Indeed feeling, it was
creativity. Some of these process models have found, was needed to successfully move through a
expanded upon the number of stages given in decision-making space. Three kinds of feelings,
the classic model, while others collapse them notably feelings of basic universal emotions, feel-
into broader categories preferring instead to ings of subtle universal emotions as well as back-
describe a wider range of substages or processes. ground feelings, were identified. These feelings
However, few of them address the affective arising from the complex interplay of the brain
dimension in the creative process. One model to core (namely, hindbrain, mid brain, and limbic
have done so was that proposed by Shaw (1989) systems) and the cerebral cortex provide a win-
who, working with a group of scientists and dow on the body’s internal state justapositioned
engineers, mapped a set of affect states both with information received about the external one.
positive and negative to a series of feedback According to Damasio, emotion and cognition
loops arising between each phase of the classic were inextricably linked and that feelings were
model. A unipolar positive set of emotions (e.g., essential to human survival and consciousness.
happy, euphoric) were identified at the illumina- The traditional mechanist perspective that feeling
tion stage and again at the validation stage (e.g., interfered with an individual’s ability to solve
elation) if the creative work received collective problems failed to take cognizance of the fact
acceptance. However, a unipolar negative set of that in the absence of feeling, an individual was
emotions (e.g., sadness, shame) were identified if unlikely to solve the problem at all.
the creative work were not. Further, a bipolar set At this point, it is perhaps useful to recall
of emotions ranging from the positive (e.g., Wallas’s view, propounded over 80 years ago,
excited) to negative (e.g., frustrated) were iden- that better thinking meant attending to intimation
tified during the preparation and incubation and its associated affect. It is interesting, there-
phases with movement back and forth between fore, to note the finding of a much more recent
these stages apparent. Shaw labeled cycling large-scale study, which found that students who
between preparation and incubation the Areti attended to a feeling approach to reasoning were
loop. Another set of bipolar affect states ranging more likely to be successful in solving a novel
from positive (e.g., exuberant) to negative (e.g., mathematics problem than those who did not
burned out) were also identified between the (Aldous 2009).
Creativity and Environment 557
Conclusion and Future Directions Cross-References
Discussion in this entry began with the question ▶ Creative Brain

“Is emotion (or affect) important to creativity?” ▶ Creative Personality
This was followed with the question “How is ▶ Effects of Intuition, Positive Affect, and Train-
emotion (or affect) involved in the creative ing on Creative Problem Solving
process?” In light of the evidence presented ▶ In Search of Cognitive Foundations of C
above, the answer to the first question must Creativity
surely be “yes.” With respect to the second
question, the answer may very well be “in
almost every way.” Emotion is not just an ante- References
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experience in science and engineering. Creat Res
related) have impacted human decision making
J. 1989;2:286–98.
particularly under uncertainty. For Wallas, inti- Wallas G. The art of thought. London: Jonathan Cape;
mation was the moment, to use Kahneman’s 1926.
language, when the interactions of system one
and system two were about to reach conscious-
ness. Consequently, when arriving at an intima-
tion concerning creativity and emotion, it
behooves the researcher to check for biases, Creativity and Environment
both affective and cognitive, be they important
or not. ▶ Social Psychology of Creativity
558 Creativity and Innovation: What Is the Difference?
many definitions builds from the research of

Creativity and Innovation: Barron (1955), who noted that a creative product
What Is the Difference? must be (1) “original” and (2) “adaptive to reality”
or, in other words, useful or valuable. Stein (1974)
Jonathan Vehar summed it up by saying that “creativity is a pro-
Center for Creative Leadership, Greensboro, cess that results in a novel work that is accepted as
NC, USA useful by a significant group of people at some
point in time.” This entry will build on this defi-
nition later to summarize innovation.
Synonyms Stein’s definition agrees with MacKinnon’s
(1978) notion that “the starting point, indeed the
Creative process; Creative thinking; Innovative bedrock of all studies of creativity, is an analysis
thinking; Innovativeness; Invention of creative products, a determination of what it is
that makes them different from more mundane
products” (p. 187). Rickards (1996) boldly stated,
Introduction “most creativity researchers would find no strong
objections to a definition of creativity which con-
Innovation is again the buzzword du jour (Kanter siders the process to be one in which new and
2006). As such, many well-meaning practitioners valued ideas are generated” (p. 24). Add to the
use the words creative process, creativity, and mix Ackoff and Vergara’s (1981) definition which
innovation interchangeably, which sews the focuses on a personal ability to overcome self-
seeds of confusion and does not help the field imposed constraints, and the researcher begins to
flourish. There is a need for rigor in language, a see the structure that Amabile (1996) points out in
need to be clear about what it is that people lead, her review of definitions of creativity where she
research, seek, teach, and facilitate. As practi- notes that there are definitions which focus on
tioners and researchers march down the path of (a) process and (b) product in addition to
making the study of creative thinking, creativity, (c) person. MacKinnon (1978), however, adds
and innovation more deliberate, repeatable, use- one more aspect to Amabile’s list by pointing
ful, and accepted, mixing words that have differ- out (d) the creative situation.
ent meanings creates confusion which makes it This begins to sound rather like the classic
more difficult to fully understand the topic at definition by Rhodes (1961), in which he
hand. When one presents research on “innova- conducted a meta-study of definitions in order to
tion,” when they really mean a “creative process,” conclude with a definition of creativity as follows:
it jeopardizes the acceptance of both by causing
The word “creativity” is a noun naming the phe-
furrowed brows and making it easier to raise nomenon in which a person communicates a new
objections that derail the presentation and uptake concept (which is the product). Mental activity
of learning. (or mental process) is implicit in the definition,
and of course no one could conceive of a person
living or operating in a vacuum, so the term press is
implicit. The definition begs the questions as to how
What Is Creativity? new the concept must be and to whom it must be
new. (p. 305)
So what does “innovation” really mean? And how
is it different than creativity? First, it is important
to define terms, starting with creativity. The Four Ps and “Teaching Creativity”
The definitions of creativity are many and
focus on many different areas depending upon He refers to this as the “four Ps of creativity,”
the context and need of the research and which include (1) person, (2) product, (3) process,
researcher. A common and popular theme in and (4) press. While the shorthand is useful as a
Creativity and Innovation: What Is the Difference? 559
teaching practice or as a way to focus efforts knowledge according to the pertinence thereof to
designed to enhance creativity in organizations, either person, process, press or product. I submit
that the time has come for more precision in defini-
what is often missed is the fact that creativity is a tion and usage, that only when the field is analyzed
“noun naming the phenomenon. . .” If one teaches and organized – when the listener can be sure he
creativity, then by definition, one teaches a phe- knows what the speaker is talking about – will the
nomenon. While one can certainly teach about the pseudo aspect of the subject of creativity disappear.
phenomenon of creativity, what is true is that
(p. 310)
C
those who teach about it are really teaching a The author believes that thanks to the many
creative process to people in a press so that they researchers who have been turning over this ques-
can create new products. One does not teach cretion since J.P. Guilford’s call to arms for the delib-
ativity; one teaches a creative process. erate study of creativity in his 1950 address to the
Those people that study the phenomenon of American Psychological Association, this is much
creativity and teach about the research and theory less true today of creativity (Guilford 1950). How-
can certainly be said to teach creativity, but teach- ever, by substituting the word “innovation” for
ing a phenomenon is not what is happening in the “creativity,” one discovers that Rhodes provides
creative thinking classes, courses, and confer- a place to start with innovation:
ences that abound. The author would propose
that “creative thinking” is a subset of Rhodes’s Granted, the word innovation has been over-
worked. And it is used loosely. Students of innova-
definition focusing on the “mental activity tion have not yet taken the time to distinguish the
(or mental process),” in other words, the process strands of the phenomenon and then carefully to
that is necessary for the phenomenon to occur, or classify new knowledge according to the pertinence
as MacKinnon (1978) said it, “the creative process thereof to either person, process, press or product.
I submit that the time has come for more precision
or processes are those that result in creative prod- in definition and usage, that only when the field is
ucts” (p. 187). Certainly there is much evidence analyzed and organized – when the listener can be
that this mental process can be defined by creative sure he knows what the speaker is talking about –
problem solving, TRIZ, Synectics, six hats, or will the pseudo aspect of the subject of innovation
disappear.
other methods (Altshuller 1994; De Bono 1985;
Gordon 1972; Osborn 1953; Parnes 1992; Prince Given the proliferation of books on innovation,
1968), yet that is beyond the scope of this entry. from the well researched to the opinion pieces that
It is also not the purpose here to propose yet clog the bookshelves, it is important to help break
another definition of creativity but rather to further down the barriers to a common understanding of
promote Rhodes’ definition as one sufficiently what innovation is all about.
robust and relatively concise that encapsulates
the necessary elements for fully understanding
the phenomenon. A bonus is that at the time of Are Creativity and Innovation
publication, it was novel, and in practice, it is Synonymous?
useful, which links nicely to Stein’s 1974
definition. The definition of creativity is useful for under-
standing innovation, because the former yields
the latter. A traditional view of the relationship
Why Is It Important to Define between creativity and innovation is to say that
Innovation? “creativity is getting the idea, and innovation is
doing something about it (Firestien 1996, p. 16)”.
In his article, Rhodes (1961) stated that: Indeed, Davila et al. (2006) note that the words
creativity and innovation are regularly used as
Granted, the word creativity has been overworked.
synonyms, and they strike a blow for rigor by
And it is used loosely. Students of creativity have
not yet taken the time to distinguish the strands of noting that they are distinct. They describe inno-
the phenomenon and then carefully to classify new vation as a combination of creativity and
commercialization, indicating that innovation is • Value

bringing to life creative ideas. Puccio et al. • Improvement
(2007) also note that “the creative product is the • Invention
starting point for business innovation” (p. 24). • Climate
Kaufman (1993) goes a step further, noting that • Introduction
the criteria for creativity are novelty and usefulness • Process
(he used the term “validity” rather than usefulness) • Renewal
and that innovation adds an additional two to those • Design
criteria: increment (an addition to existing knowl- • Acceptance
edge) and realization (made up of subcomponents • Renewal
of adoption, implementation, and diffusion). • Product-focused
Rickards (1996) noted that “The implicit • Recombinations
assumptions in much of the literature suggest • New:
that innovation is a process which begins with a – Idea
creative idea and ends when that idea is – Approach
implemented” (p. 14). He also defined innovation – Practice
as “a social problem-solving process of a non- – Object
routine kind” (Rickards 1991, p. 105). And – Method
indeed, Amabile et al. (1996) said that “All inno- – Device
vation begins with creative ideas. . .In this view, – Service
creativity by individuals. . .is a starting point for – Program
innovation; the first is necessary but not a suffi- – Technique
cient condition for the second” (p. 39). – Technology
Creativity Does Not Equal Innovation What is notable is that while there are over-
So while there are those that would use the two laps among these words and definitions of cre-
words interchangeably, they are in fact very differ- ativity, there are some elements that are
ent. This then requires a definition of innovation different.
and a desire to be more robust with the definition. An additional analysis of the definitions pro-
Rhodes, in his research, reviewed 40 definitions vided the following words that were offered as
of creativity (and 16 of imagination) to distill his synonyms to innovation:
own definition. Similarly, the author reviewed a
similar number of definitions of innovation by • Renewal
those authors, thinkers, scholars, and bloggers • Invention
who had the rigor to define their terms. Given that • Creativity
the number of books on innovation has been • Entrepreneurship
skyrocketing every year with a total of 2425 • Improvements
published books alone on the subject through mid- • Brand new
2007 (Smith 2007), it may not be possible to find • Paradigm-breaking
them all. However, this represents the best efforts of • (Creative) destruction
two researchers to find definitions that are in use, in • Change
the press, and that are public. Reviewing them • Experiment
required a qualitative analysis process. This process • Take risks
involved reviewing all of the definitions for emer- • Origination
gent themes and then synthesizing them and build- • Different
ing a single definition (Murdock 1994). Out of this • Growth
process emerged the following themes: • Value creation
Based on this analysis, and using the frame- new to the observer. And like Rhodes’ definition
work set forth by Rhodes, the following robust of creativity, this definition begs the question as to
and bulky definition of innovation emerged: how new the concept must be and to whom it must
Innovation is a noun that describes the phenomenon be new. After all, creativity, like beauty, is in the
of the introduction of a new product that adds value. eye of the beholder. Product is used here to refer
Implicit in this definition is engaging in a creative not just to tangible objects but also intangibles
thinking process to develop new concepts and such as services. In other words, they are the C
implementation strategies, which requires a multi-
tude of skill-sets, and thus, usually, a team. Also output, results, or artifacts of the creative process.
required for successful implementation is aware- Adds Value: Similar to the notions of useful-
ness of the internal and external press. ness and value in the definitions of creative prod-
ucts, whether value is defined monetarily,
qualitatively (i.e., quality of life), or through util-
Core Components of the Definition ity, a key element of innovation is that it must add
value through its introduction to the world.
Introduction: A common theme in most defini- Creative Thinking Process: For newness to
tions was that innovation was characterized by the happen requires a process whereby new ideas can
fact that a creative product was brought forth and be generated, thus a creative thinking process.
made available to some part of the world Whether that process is creative problem solving,
(however one defines the “world” given the con- TRIZ, six hats, Synectics, summoning the muse
text of the product). It could be consumers, cli- through dance, or any other is up to the innovator.
ents, readers, patrons, a community, etc. This is Implementation Strategies: Implementation
what Kaufman referred to as “realization,” in his is easy to observe in its completed state, yet for
definition of innovation (1993). Rather than many organizations, it is the strategies that bring
merely fashioning a creative product, what distin- forth the successful introduction that is a chal-
guishes innovation from creativity is the notion of lenge. In most cases, implementation does not
introducing or launching or getting it out to the happen on its own and in fact requires a deliberate
social system at large. According to this explana- strategy for it to occur. In the case of innovations,
tion, a prototype of (the proverbial) new widget is typically it requires many applications of creative
a creative product, but it is not yet an innovation process to result in a successful launch. This may
until the means have been devised to launch it to be observed at each step of the pathway to launch.
the marketplace. There is a focus on commercial- Not just at the front end of the process but also in
ization, as Puccio et al. (2007) note when they the development, production, distribution, mar-
stated that “innovation occurs when an organiza- keting, and sales stages of an introduction.
tion has successfully commercialized a new prod- Multitude of Skill-Sets: The introduction of
uct or implemented a new program or service” something new requires many skills that are
(p. 24). Perhaps this explains why business required to move from idea into the marketplace.
focuses on “innovation” in their taglines rather These skills can be viewed functionally (research,
than promoting their “creativity.” Roberts (1988) operations, manufacturing, sales, etc.) from a con-
defined innovation using the word “exploitation” tent perspective (form, formulation, user, compe-
to connote this concept of introduction of the tition, geography etc.), a disciplinary perspective
creative product, but in usage, one finds that this (psychology, education, engineering, anthropol-
word has emotional baggage that blocks under- ogy, etc), or any other differentiating framework.
standing of the concept. What makes them stand out is the vast range of
New Product: Equally important in determin- areas that are required for success. Typically, cre-
ing what is innovative or not is the notion of a new ativity is much more narrowly focused on one
product. While introductions of products happen particular area or function. And while creative
every day, the innovative ones are those that are thinking methodologies frequently involve a
group (either heterogeneous or homogeneous), Creativity and Innovation: What Is the Difference?,
the actual creative thinking comes from a connec- Table 1 Comparison of key components of the defini-
tions of “creativity” and “innovation”
tion (spark, “aha,” eureka moment, or satori) that
occurs within one brain (like Ackoff and Vergara’s Creativity Innovation
(1981) definition of creativity), while the process Person People (i.e., a team)
of introducing an innovation usually requires Process Repeated creative thinking processes
Product Product introduction
many brains, thus a team of individuals with dif-
Implementation strategies
ferent skills.
Press Internal press of creation
Internal Press: As Rhodes (1961) stated, “of
External press of the marketplace
course no one could conceive of a person living or
operating in a vacuum, so the term press is
implicit” (p. 305) for the development of an inno- including research, concept development, refine-
vation. The internal press refers to the environment, production, marketing, sales, distribution,
ment in which the innovation takes shape, where and more. Another way to think about it is that
the team engages in the process and creates new innovation is a combination of creative ideas. So
value-creating concepts. what sets creativity apart from innovation?
External Press: Is relevant since the product In comparing the definitions of creativity and
must enter the world in order to be launched. And innovation, the reader will notice overlaps and
for the innovation to be successfully launched, it differences among the key components (Table 1).
must fit a need for an audience generally not Where the creative idea can come from one
involved in the creation process. Whether it is person (and of course from a team), an innovation
through “customer-centered design,” “audience typically requires people working together to
analysis,” “consumer research,” “stakeholder make it happen from different places in an orga-
analysis,” or any other way of gauging the needs nization or throughout its value chain (e.g., in the
to be satisfied by the concept, knowledge of the case of a consumer product: consumer research,
external environment, or press, is critical for suc- product development, marketing, manufacturing,
cessful innovation. sales, distribution, service, etc.).
And while both require a creative thinking
process, the innovation requires multiple applica-
Creativity Versus Innovation tions of creative thinking processes to guide it to
launch. While creativity is about sparking a crea-
Functionally, creative thinking is a critical part of tive product, the innovation requires the introduc-
the innovation process, likely with more than one tion of it frequently in multiple copies, and in
occurrence. In fact, an innovation requires multi- order for that to occur, that requires strategies to
ple rounds of creative thinking throughout the get the innovation out to the world. Creativity
process leading to introduction. Rickards (1996) takes place not in a vacuum, rather in a
suggested that the traditional model of creativity constrained press, and the implementation does
and innovation trap creativity in the “front end” of as well. Plus it must exist in the broader external
the innovation process, and he argued that crea- press of the marketplace that determines its suc-
tivity is needed throughout the innovation process or failure.
cess. He further “makes the case for a long-
needed break with this assumption. . .Ideas and
actions occur and interact as long as innovation Concise Definition
is being pursued. Creativity continues as long as
action continues” (Rickards 1996, p. 24). The act Given the bulkiness of the definition, the author has
of introducing or launching a product may require found it useful to build on the Stein (1974) defini-
creativity at all stages of the development process tion of creativity to define innovation this way:
Introducing something new that adds value, which References

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564 Creativity and Labor
Immersion 360 Conference, Scottsdale; 2007. Avail- transmission of information, or a kind of social
able at: http://www.modelbenders.com/papers/RSmith_ activity, etc. The heterogeneity of this concept
InnovationImmersion.pdf
Stein MI. Stimulating creativity. New York: Academic; reflects the fact that, firstly, the various disciplines
1974. studying various aspects of labor category, and,
secondly, labor activity manifests itself differently
in different historical, social, and economic
conditions.
Creativity and Labor However, none of the definitions of labor indi-
cates the involvement of creativity or some crea-
Igor N. Dubina1,2 and David F. J. Campbell3,4,5,6 tive elements in labor process. Moreover, most
1
The Faculty of Economics, Novosibirsk State of the classical and modern research firmly
University (NSU), Novosibirsk, Russia oppose the phenomena of labor and creativity
2
The International Institute of Economics, (that is no less a problematic category than
Management, and Information Systems, Altai labor) (Inozemtsev 1998). Such a contradiction
State University (ASU), Barnaul, Russia is reflected even by the etymology of the words
3
Department of Political Science, University of “labor” (English), “arbei” (German), “arbas”
Vienna, Vienna, Austria (Gothic), “trabail” (French), “labor” (Latin), and
4
Department for Continuing Education Research “trud” (Russian). In all of these as well as
and Educational Technologies, Center for many other Indo-European languages, this
Educational Management and Higher Education word originally relates to the following means:
Development, Danube University Krems, Krems, “exertion of the body; trouble, difficulty, hardship,
Austria tribulation, suffering, toil, pain, fatigue, physical
5
Unit for Quality Enhancement (UQE), exertions of childbirth, keep busy, take pains,
University of Applied Arts Vienna, Vienna, strive, have difficulty, be afflicted, be in distress
Austria or difficulty, be burdened (with trouble), to stay
6
Faculty for Interdisciplinary Studies (IFF), without their parents, to be doomed to need, a hard
Department of Science Communication and existence, anguish, hardship, anxiety, slave
Higher Education Research (WIHO), Alpen- (forced labor) (Online Etymology dictionary;
Adria-University Klagenfurt, Vienna, Austria Michailova 1998; Hornby 1984). So, the very
original meanings of the word “labor” emphasizes
some kind of coercion as a priority and thus
Synonyms opposes creativity that primarily associated with
free will and action. This tradition is entrenched in
Creative class; Creative destruction; Creative the Western culture and has led to a specific
economy; Creative industries; Creative innova- understanding of labor and its “natural” opposi-
tion overproduction; Creative occupation; Crea- tion of creativity, which also reflected in the
tivity economy; Creativity economy; Creativity contradiction of labor and creativity in philosoph-
management; Innovation economy; Innovation ical, sociological, and economic studies of these
economy; Knowledge economy phenomena.
However, we think this attitude is not indisput-
The category of labor is included as a basic able, and in this chapter, we attempt to trace
concept in the terminological system of many the outline of the history of this opposition and
humanitarian and socioeconomic disciplines. to show that in the present conditions of the “new
Philosophy, Economics, Sociology, Psychology, economy,” labor and creativity can be compatible
Anthropology, and others define this term in a (although not reducible to each other).
wide semantic range, e.g., labor is defined in Up to the eighteenth century, labor has not
terms of energy expenditure, or physical effort to been a subject of a serious philosophical and
overcome natural resistance, or processing and scientific reflection. A unified and completed
Creativity and Labor 565
concept of labor did not exist; there were just for forming a new type of economic relations in
some notions of labor integrated into various phil- the Western Europe: capitalist production and
osophical and economic conceptual systems. As competition.
Drucker (1993) noted, there is still no history In the Enlightenment period of the eighteenth
of labor up to this day, and labor should be an century, labor has started commonly understood
important subject of study in the next hundred as not only physical, but also intellectual and
years. emotional activities. Moreover, ideas of the inad- C
In ancient philosophy and culture, which are missibility of idleness and a beneficial effect of
characterized by contemplation and priorities of labor have widely spread in the public conscious-
theory over practice, physical labor was considered ness. This understanding of labor has been cate-
humiliating occupation. Chanting of peasant labor gorically presented in Hegel’s philosophy. In his
in Hesiod poem “Works and Days” and Virgil’s philosophical system, labor is considered as a
“Georgiki” (“Poem of agriculture”) is rather a sym- “universal substance of the human being,” a way
bol, like a symbolic touch of the Chinese emperor to implement a form of personal consciousness
to the plow once a year, on the feast day of rice and self-realization. In other words, labor may
planting. Labor in the ancient culture is, generally, manifest in all possible forms of human activity,
an employment of slaves, unworthy of the attention from routine production to creative activities in art
of free citizens (Dubina 2002). or science. Thus, Hegel’s system removed the
In the medieval theocentric Western philoso- opposition of labor and creative activity for the
phy, labor was seen as a consequence and mani- first time in the history of philosophy. At the same
festation of human imperfection and the first fall time, Hegel’s globalist approach universalizes
(Adam and Eve did not work the Paradise, but creativity and presents it as a necessary condition
after the fall, they were forced to labor as the and the principle of development of the world,
punishment). Labor was understood not only as thereby masking the specificity of creativity as a
a necessary mean to earn one’s living but as a phenomenon of human activity (Dubina 2002).
divine prescription, a way of prevention and However, this opposition has not disappeared
atonement of sins by “exiling idleness” and “curb- in the economic theory of that time. Starting from
ing lust” (Michailova 1998). the seventeenth century, i.e., since the emergence
In the Renaissance, new shades have become of mechanized production, labor has started to
in the understanding of labor. Labor was consid- be analyzed on the basis of economic and social
ered in opposition not with creativity but with relations. For example, in Petty’s theory of value,
inaction and indolence. Labor has started to be the value of a commodity is determined by the
understood not just as a natural human need but quantity of labor spent on its production. Devel-
also as a way to self-improvement of an individual oping this theory, Adam Smith (2015) designated
and social prosperity. The Renaissance, for the labor as a main economic category. However, in
first time in the history, allowed the assumption the works of Smith, who was not only a classic of
of possible creative elements (as free activities) in European political economics, but also a professor
labor (including physical labor) (Dubina 2002). of moral philosophy, one can trace a tendency to
Protestantism emerged in the sixteenth century regard a category of labor in relation to also non-
during the Reformation, additionally enriched economic (social, psychological) aspects of the
understanding of labor and lifted its value in work (e.g., moral standards, motives of behavior,
the European culture because a success in work traditions, etc.).
became the sign of “blessing.” This idea also A transition to mass production made possible
related to even commercial business and trade, a phenomenon of labor exploitation and led to a
which, according to the Catholic philosophy, special issue of the fundamental objectives of
have the purpose of enrichment and were labor. The classical economists answered this
therefore almost obscene. This circumstance, as question quite clearly in the spirit of the already
Weber et al. (2002) has shown, became a basis established tradition: people do not work for the
sake of work, but because of the money they become independent on the human wills and
receive for their labor. plans. Therefore, workers regard their own labor
So, the concept of homo economicus rises: an as something alien, not belonging to them. Alien-
“economic man,” a rational actor, is seeking to ated labor is linked to human alienation from
obtain the maximum benefit through his labor. On themselves as creative beings from other people,
this basis, an idea of the global mercantilism from all over the world, which is perceived
emerged: labor activity is considered to be moti- as alien and hostile. Alienated labor destroys
vated by solely utilitarian, no other interest. human creative ability (which can and should
A consequence of such an idea was the first theory be presented in labor); thereby it destroys person-
of wages: workers should not receive more than ality and transforms a person into a thing. The
the living minimum; otherwise they will lose concept of alienated labor reflects Marx’s criti-
interest in work. The obvious conclusion seemed cism of contemporary political economics, built
to be that a person cannot be satisfied by work on abstraction of homo economicus that reduces
itself (and this was indeed the case to some extent creative nature of a person to the need for money
in terms of mass introduction of machinery in as the only need. As a result, a person becomes
factories). a slave of inhuman, unnatural, and contrived
Thus, the work was not seen as a form of desires. The poorer an individual as personality,
personal self-perfection but predominantly as a the greater individual needs for money, con-
livelihood. In these circumstances, it seemed sumption, and possession which become the
indisputable that labor and creativity are incom- meaning of his life.
patible. This very basic concept has led to the Indeed, the system of work incentives, pre-
crisis of European classical political economics, vailing in Marx’s time, based on the Adam
clearly marked with the representatives of the Smith’ position that workers and employers are
utopian socialism, which not only recognized guided only by material interests (workers want to
labor as a priority source of wealth, but also pro- receive as much as possible and the employers
posed measures for the reorganization of labor want to give possibly less). In fact, a capitalist
and property relations (Dubina 2002). For exam- production and distribution system, criticized
ple, Charles Fourier in his work on the future of by Marx, did not leave the place of creativity in
the society (1971) pointed out (albeit implicitly) labor. In order to improve work performance, a
the need to remove the dilemma of labor and worker had to work longer or more intensely.
creativity: economic differences between mental In other philosophical systems of the nine-
and physical labor should be removed, individual teenth century, like the philosophy of romanticism
and collective economic interests should be (Schelling, Schleiermacher) and the philosophy
combined and integrated, and this frees labor of life (Nietzsche, Dilthey, Bergson), as well as
from coercion and makes labor a pleasure, it com- in existentialism and personalism of the twentieth
plies with human inclinations and abilities. century, a contrast between labor (as utilitarian
Marx, heavily influenced by Hegel, not only and practical work) and creativity as free personal
assumed a creative character of labor but also manifestation become stronger again. For exam-
considered it an important moment in forming ple, Mounier distinguished labor from “activities
man and society. Labor is defined by Marx as in general” and creativity in particular, “the most
a purposeful activity of converting or adapting spiritual form of any activity” (cited in Michailova
the nature and a way of creating a new world 1998). Labor, in his opinion, is a necessary but
and a new man. However, the established capital- lowly condition of human existence, “natural, but
ist system of production and income distribution, difficult, aimed at the production of a useful prod-
according to Marx, results in the alienation uct taming the stubborn matter” with no elements
of labor that loses expression of human creative of spirituality and creativity. So, labor was treated
powers and transforms itself into just sustenance; as something quite opposite to a generic nature
products and process of alienated labor itself of a human being.
According to L. Mumford, an American Sony used their employees’ creativity as an eco-

philosopher, labor brings a person to an animal nomic resource and effectively applied a “contin-
state because a human, producing tools of labor, uous creativity” strategy (Carr 1994; Ford 1999;
likes an animal, while a true human was a creator Rickards 1999). Firms using their employees’
of images, a dreamer, and an artist before he creativity had been shown to have conclusive
became a producer of labor tools (see Michailova advantages over those who neglect this factor
1998). (Carayannis and Gonzales 2003). Therefore, C
In sum, creativity did not represent a signifi- more and more companies participated in the
cant factor of economic production, mainly sym- race of creating new products, new markets, and
bolized by the conveyor system, and, thus, labor new ways of promotion. Thus, the companies
and creativity predominantly considered as the that do so increase the velocity of the transforma-
opposite phenomena until the mid of the twentieth tion of creative ideas into innovations, adding
century. pressure to the competition.
In the second half of the twentieth century, So, creativity started to be considered as a
work motivation has significantly changed and component of labor. Ideas about the development
the role of creativity in economic development of employee creativity to enable successful busi-
has clearly increased. Since the 1950s, business ness practices have widely distributed by the end
has started demonstrating a keen interest in crea- of the 1990s and early 2000s. In the literature
tivity. Social, economic, and technological condi- of those years there were many discourses of
tions of production, business, and management business creativity as one of the key factors of
began to change very quickly; a great number of competitiveness in the “creative age” (Bentley
new problems, not corresponding to known clas- 2000). R. Florida (2002, 2004, 2006), a professor
ses of typical problems and solutions, have been of Public Policy at George Mason University,
continuously increasing. The dynamism and tur- states there is a rise of a whole new class
bulence of a real business environment demanded of workers in the US and the world: the creative
a more flexible and rapid response from manage- class, whose economic function is to create
ment and staff. In such circumstances, it was new ideas, new technology, or new content.
necessary to quickly find new solutions, but According to his research, the creative sector of
well-known organizational structures with a rigid the US economy employs more than 30% of
hierarchy were unsuitable. There was a need in the the workforce (more than all of manufacturing)
mobile structural units. Further development of and accounts for nearly half of all wage and
the production has not been possible without salary income (some $2 trillion). If technicians
the decentralization and fragmentation. The are included in his analysis, the creative class
decision-making and responsibilities were trans- rises up to 47% in some countries (Florida
ferred to the lower levels of the organization, 2004). Managing this new class of workers
which required employees’ greater freedom and demands specific methods and approaches. How-
the realization of their creative abilities. The work ever, there remains little consensus on how
in the new economic conditions started to require to define, mobilize, facilitate, and manage
not only accurate performance but also creativity, this important and unique resource (Banks
i.e., the creation of new principles and methods et al. 2003).
of activity (Dubina 2005, 2006, 2007, 2009, Thus, from the second half of the twentieth
2013). century, alongside with the shift from “Fordist”
All of these factors resulted in understanding to “post-Fordist” economies and the increasing
creativity as a key factor of the economic success role of creativity in business, “romantic”
of organizations interested in long-term competi- approaches to creativity as the manifestation of
tive development. Companies such as 3M, individual genius have been replaced with
General Electric, IBM, Johnson and Johnson, more pragmatic approaches to “everyday” crea-
Merck, Motorola, Proctor and Gamble, and tivity (De Bono 1992; Boden 1994). These
approaches are based on the understanding of because employees do not know how to be crea-
creativity as a non-standard problem solving pro- tive, and/or managers do not know how to lead
cess or generating and developing new opportu- and motivate employees to contribute creatively
nities for business. For example, creativity, towards the organisational goals and objectives.”
considered in an organizational context, is often In a number of our works, we discussed the prob-
understood as the generation of ideas which are lems of optimally managing creativity in order
simultaneously new and appropriate (potentially to develop and use creativity as an element
useful) for an organization (Csikzentmihalyi of employees’ labor process in more effective
1988, 1999; Boden 1994; Ford and Gioia 1996; ways (Dubina 2005, 2006, 2007, 2009, 2013).
El-Murad and West 2004). According to this The apparent increase in these trends, espe-
point of view, creativity can be defined in the cially in work motivation, according to postclas-
system of the following elements: sical sociologists, psychologists, and economists,
indicates a decrease of utilitarian interest in work
• A creative employee generating ideas and and the replacement of materialistic orientation
introducing variations with “post-materialist” motivation. Workers were
• A domain (a set of available ideas, rules, orga- gradually turning from seeking funds to seeking
nizational routines, and patterns of behavior) new experiences and new competences, personal
• Experts evaluating suggested ideas and growth, participation in decision-making, etc. By
selecting the variations (Dubina 2005, 2006). analyzing these trends, Vladislav Inozemtsev,
a Russian economist, come to the conclusion
If an idea suggested by the employee is deemed that labor exploitation in the classical understand-
by the experts as new and useful, it is then ing of this phenomenon is not possible in
included in the set of rules and the domain is the modern economy (Inozemtsev 1998). More-
subsequently changed. In other words, creativity over, those trends characterizing the change in the
may be defined as engendering original and useful entire system of economy led many modern
ideas (solutions, methods, and techniques) which scholars to talk about the formation of the “post-
are accepted in the organization as the rules of economic” (“post-capitalist,”, “post-consumer,”
future activities (Dubina 2006). “post-industrial”) society the “displacement
As a result of an increased interest of business of labor,” “overcoming labor with creativity,”
in creativity, the management of creativity “shift from labor to creativity,” “transformation of
appeared as a special theoretical and practical labor” (Inozemtsev 1998). Paradoxically, these
discipline in the late 1980s–early 1990s (Dubina modern conceptions support the traditional oppo-
2005, 2006, 2007, 2009, 2013). Creativity man- sition of labor (as a necessary and extremely
agement has been developing on theoretical and financially stimulated activity) and creativity
methodological bases of such disciplines as (as a free non-economic motivated activity).
Research and Development (R&D) management, Presently, we have many concepts characteriz-
creativity psychology, organizational behavior, ing the “new economy.” Our study (Dubina
and innovation management. Despite the fact et al. 2012) shows that “knowledge economy”
that a distinct and universally recognized notion is the most used concept. There are also other
about the specific subject, role, methods, and popular concepts: “learning economy,” “innova-
place of creativity management still does not tion economy,” or “innovative economy,”
exist, the term “creativity management” is not “e-economy,” etc. “Creative economy” has also
metaphorical, but claims a scientific status (Ford become one of the most discussed concepts of the
and Gioia 1996; Proctor 1995). Employee crea- modern global economy for the last 10 years. This
tivity is often misused or used inefficiently and concept is also understood as a paradigm for
insufficiently due to a lack of adequate manage- the future economy and the future society as
ment systems. As G. Tan (1998) declares, “Some- a whole, and creativity in combination with
times, organisations are not creative simply knowledge is being considered the most important
economic resource in the world with increasing Working values in the modern economy have
population and decreasing natural resources. The really changed for the last decades and profit
widely distributed term “creative economy” maximization is not the main priority for many
accentuates sharply risen significance of creativity workers indeed, but this does not mean that crea-
as an economic factor and also characterizes a tivity substitutes labor. We can talk about
qualitative transition of the modern economy to expanding the presence of creative elements in
a new level (Dubina et al. 2012). labor but not about overcoming labor by creativ- C
Also the context of society matters increas- ity. Answering a question on the interrelation of
ingly for the relationship of creativity and labor. labor and creativity and managing them, we
The further development of a creative knowledge should ground our answer on the principle of
economy is also dependent on a co-evolution with labor and creativity compatibility in the sense
a creative knowledge society and a creative that labor includes to some extent both routine
knowledge democracy (Carayannis and Campbell and creative elements. So, it seems unproductive
2014). “Democracy as innovation enabler” or to keep contradicting creativity and labor as dif-
quality of democracy as an innovation enabler ferent resources influencing on work performance
are here contributing factors, providing further and economic growth, since resources may over-
input for creativity and labor and their progress lap in all sectors of economy, not just in “creative”
(Campbell 2019). industries or occupations.
It is impossible to carry out stable and reliable People do not stop to labor in all and any
distinction and even contradiction between labor economies. But their labor is based and driven
and creativity based on motivational criteria, by different drivers (for example, conveyer, infor-
“occupational” or “industrial” criteria, criteria of mation, knowledge, and creativity). So their labor
personal attitude to performed work, as well as has different character in different economies.
other criteria. Certainly, labor and creativity And, obviously, saying about the future of labor,
are not identical phenomena. Labor is a purpose- it will have more and more creative character.
ful activity aimed at creating spiritual and material
values, providing and securing spiritual and mate-
rial needs of a human being. A special feature Cross-References
of creativity is the creation of new and significant
(valuable, useful) products, forms, and models ▶ Creative Class
of the future activity, including working activity. ▶ Creative Destruction
The more creative (new and meaningful) elements ▶ Creative Industries
are involved in a labor process, the more this ▶ Creativity and Labor
process becomes creative. ▶ Creativity Economy Versus Creative Economy
Presently, in the sphere of both practical man- ▶ Creativity Management Optimization
agement and management scholarship, there is ▶ Creativity, Knowledge, and Innovation:
consensus about creativity as a valuable and inex- The Interactive Facets of the New Economy
haustible business and economic resource. So this ▶ Quality of Democracy and Innovation
resource should be correspondingly managed like
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Creativity and Systems Thinking 571
Definition Some examples of these relationships are as

follows:
Creativity can be viewed from many different
perspectives. They are interconnected in a system (a) Cognitive creative abilities are used to gener-
that reinforces each of them (Fig. 1). A definition ate creative output. This could be facilitated
of these perspectives is: by a creative method.
(b) Creative methodologies help sharpen creative C
1. Creative cognitive and emotional profile. The abilities (i.e., increased fluency in idea gener-
innate and nurtured cognitive and emotional ation through the use of thinking tools).
abilities that help generate creative ideas or (c) Creative outputs are better designed through a
products. These could be boldness, risk-taking, methodology that identifies societal market
or flexibility in idea production. needs at a certain time. For instance, people
2. Creative methodology. It can be a tool, a mech- who appreciate small light products
anism, a roadmap, or a process that helps a containing many songs would favor the iPod
person generate, evaluate, or implement crea- machine over a Walkman cassette player.
tive ideas and solutions. (d) The behavioral and cultural norms in a certain
3. Creative output. The characteristics of any pro- society will determine what type of novel
duction including ideas that add novelty or output is accepted.
usefulness in a certain societal context.
4. Creative psychological or physical milieu Systems thinking, as a process to understand
where creativity happens. For instance, a com- how parts interact with the whole, provides how-
pany that fosters and supports new ideas. ever far more value to the field of creativity
5. Society and time context of the creative through a synergistic relationship (Fig. 2). Sys-
endeavor. The ability of the society as a tems thinking helps creativity to understand the
whole to accept and appreciate that novelty. “why” question of the creative endeavor. As
Creative Cognitive and

Emotional profile
Creative
Methodology
Creative Output
Creative Psychological
or physical milieu
Society and Time of

creative endeavor
Creativity and Systems Thinking, Fig. 1 Creativity: an evolving system

572 Creativity as a Phenomenon of Social Communications and Interactions
The interaction between creativity and systems

thinking goes far beyond: through the systemic
analysis of a complex context, the creative person
can find multiple points of leverage. This in turn
Creativity Systems will help that person to enhance his creative abil-
Thinking ity to analyze and understand problems from dif-
ferent perspectives, which has long been
considered a creative thinking ability.
Creativity and Systems Thinking, Fig. 2 The synergy Cross-References

between creativity and systems thinking
▶ Creative Collaboration
▶ Innovation Systems and Entrepreneurship
▶ Product Innovation, Process Innovation
Positive Sales
Word of Performance
Mouth
Creativity as a Phenomenon
of Social Communications and
Interactions
Customer Gerald Bartels1,2,3 and Igor N. Dubina4,5
Satisfaction 1
Department of Communication Studies,
Creativity and Systems Thinking, Fig. 3 A reinforcing Université de Montréal, Montréal, QC, Canada
2
loop to find the real issue affecting sales Banff Centre for Arts and Creativity, Banff, AB,
Canada
3
creativity is increasingly required to solve com- Research and Innovation of Intervene Design,
plex problems, there is also a great need for Toronto, ON, Canada
4
greater clarification and understanding of those The Faculty of Economics, Novosibirsk State
systems where creativity will be applied. University (NSU), Novosibirsk, Russia
5
One of the simplest ways to look at this rela- The International Institute of Economics,
tionship is through the systems thinking concept Management, and Information Systems, Altai
of reinforcing loops. They establish a relation- State University (ASU), Barnaul, Russia
ship and direction of movement that creates a
system.
For instance, should a company wish to gener- Introduction
ate creative ideas to increase sales, a systematic
understanding of the company’s operation (Fig. 3) A historical and systematic review of the three
would be useful instead of just increasing adver- waves of creativity research (Isaksen, Puccio,
tising expenditure. Figure 3 shows that as satisfied and Treffinger 1993) reveals that there are no
customers increase, so does positive word of single and universal identifiable criteria to define
mouth that in turn generates increased sales. On creativity or to describe and explain creative
the assumption that positive word of mouth causes processes and activities (Sawyer 2007, 2012).
90% of the sales, then an effort to increase adver- In this day and age, the notion of creativity is
tising could shift to finding ways to increase sat- predominantly understood as sociocultural activ-
isfied customers. ity and usually defined as the capacity to generate
Creativity as a Phenomenon of Social Communications and Interactions 573
novel and appropriate ideas, processes, products, realized interconnected and interdependent
or solutions (Amabile 1996; Ford and Gioia (Boutellier et al. 2008; Welfens et al. 1999).
1996; Shalley 1991). Over the last two decades, As a result, the requirements for innovations
it has indeed become one of the buzzwords of the have changed dramatically and also the conditions
twentieth century with a substantial increase of for and forms of innovation undergo a fundamen-
publications. Academic journals as well as feuil- tal transformation. Typically, novelty or the crea-
letons of international newspapers and maga- tion of something new, in the fields considered C
zines state the urge for and importance of a far- above, depends on complex research designs and
reaching understanding of the phenomenon of an interdisciplinary/multidisciplinary perspective.
creativity, its features, and processual character Research and development departments of major
if we want to solve, for example, the major global innovative organizations utilize the advantages of
environmental problems challenging our planet. teamwork (Caloghirou et al. 2004). At the same
Sustainable development, ethical business time, development of novelties also involves the
endeavors, and a respectful relationship between application of comprehensive technical appara-
human beings and their natural-social environ- tuses and infrastructure, for example, machines
ments define today’s political discourses world- for the development, planning, construction, and
wide. Already in 1992, the summary of the procession, as well as customized solution con-
program “Agenda 21” of the United Nations cepts based on computer programs and simula-
and its corresponding call for problem-solving, tions. And to the extent that those technical
technological innovations confronting a worsen- apparatuses cannot be characterized merely as
ing of poverty, hunger, ill health, and illiteracy, tools within creative processes but rather carry
and the continuing deterioration of the ecosys- out development activities and creatively play a
tems, on which we depend for our well-being part in the constitution of the new, which could not
(see the Preamble of the UN’s Agenda 21 decla- be accomplished by human agency alone, tech-
ration), illustrate the need for an in-depth knowl- nologies and instruments are thus given an almost
edge of creativity. Creativity and the equal status throughout the process of creativity
implementation of socially beneficial and eco- and innovation. Particularly with regard to the
nomically viable ideas (also called innovation possibility of technological precision and quality,
in the field of innovation and creativity research) modern technologies cannot be regarded as purely
seem to function as the final glimmer for hope, additions, but rather as sovereign, innovation rel-
considering so many environmental problems evant actors/contributors/actants (cf. Latour 2005
and social confrontations. for an overview of the term actant[s]). Computer
The environmental and social challenges application, software developments, multiagent
acknowledged by international programs such as systems, expert systems, and the latest outcomes
Agenda 21 and other social-policy debates, which of artificial intelligence research (Alquézar et al.
require collaboration and working arrangements on 2010; Berlatsky 2011) highlight their autonomy
various organizational and social levels, but also and creative potential of technological induced
complex and fundamental technological achieve- operations.
ments, for instance, the progressive development By implication, creativity is a phenomenon that
of the Internet or any other technological achieve- combines psychological, biogenetical, historical,
ment in the area of global telecommunication and cultural, social, and many other aspects. In this
distribution of knowledge, indicate the need for entry we present, characterize, and discuss different
creative organizations. New cooperation schemes conceptions and conceptual models of creativity as
and organizational structures (e.g., virtual enter- an integral and complex phenomenon of an individ-
prises, network companies, or new and/or adapted ual communicative behavior in social, organiza-
communicative and interactive approaches to col- tional, sociocultural technical, and cultural
laboration) have been developed accordingly and contexts. We argue that creativity is not just a
many former local competencies, various stages of characteristic of specific activities and products but
project planning and processes are more and more also a characteristic of social relations and
communications. In particular, this entry is based on (Oates 1973). One more “creativity myth” is
a social-communicative approach to creativity based on “the uncritical and almost hysterical
understanding developed by Dubina (2000). idea of an unappreciated genius: the genius who
not only expresses the spirit of his time but who
actually is ‘ahead of his time’; a leader who is
Creativity as a Complex Individual and normally misunderstood by all his contempo-
Social Phenomenon raries except a few ‘advanced’ connoisseurs
(Popper 1992, p. 70). Creativity mystification
Different but closely related aspects are designated may express in giving a creative status (“gluing”
by the same term, “creativity.” In particular, this social labels of “creativity”) to uncreative activ-
term relates to both individual (subjective, per- ities, for example, in cases of reproduction and
sonal) (Lindqvist 2003; Ponomarev 2008; imitation of socially recognized creative patterns
Vygotsky 2004) and sociocultural (organizational, in art, science, technology, and other spheres.
professional, gender, historical, religion) (Boden There are many “schemes of creativity,” or “cre-
1996; Csikszentmihalyi 1996; Dubina 2000; ative stamps,” and an artist or a researcher often
Lotman 2009) contexts of creativity. Both phenom- follow them, because the scheme is convenient:
ena are described in the semantic fields of two it has already been tested, developed, recognized
categories, which conditionally can be designated and its use protects against accidents and ensures
as “generative” and “selective,” or “novelty” and success with the public, because this pattern and
“importance.” One of them includes the concepts this decision is generally recognized as “crea-
of novelty, originality, uniqueness, while the other tive” at the moment.
is filled with personal-social-historical-cultural There are some attempts of terminological sep-
criteria (value, recognition, relevance, importance, aration of personal and sociocultural aspects of
usefulness, standards, traditions, etc.). Creativity creativity presented in the literature. For example,
can be explained and understood only in these Margaret Boden (1994) highlighted two aspects
two polar semantic fields, and a breakup of this of creativity, P-creativity (psychological/personal
field can be resulted in mystification and creativity) and H-creativity (historical creativity).
mythologization of the phenomenon of creativity Many creativity researchers, in order to avoid
(Dubina 2000). Creativity mystification is ambiguity in creativity definitions, use the con-
expressed in the processes of linking creativity cept of “Big-C – Creativity” (with a upper case
with its uncharacteristic contexts. For example, “C”) to refer to a social context of creativity
the myth of the supernatural nature of creativity is (“eminent creativity”) and “little-c – creativity”
one of the oldest myths, and it can be revealed in (with a lower case “c”) to relate to “internal”
the mythology of almost all ancient cultures, in (personal, everyday) creativity (Kaufman and
many philosophical concepts (e.g., Plato’s dia- Beghetto 2009).
logues about creativity where he used such terms We consider creativity as a complex personal
like enthoysiasis, enthoysiasmos (that literally and social interaction, a phenomenon that appears
mean “the spirit of God within,” “inspired by in the process of human activity in a sociocultural
God”), mania (“madness,” “ecstasy”), spoken lan- system and makes a transformative impact on a
guage (“an idea has dawned on me,” “descended system’s paradigm (knowledge, values, attitudes,
ideas,” scientific terminology (e.g., “inspiration”). norms, modes of action, and so on), or according to
Sources of creativity are seeking outside personal the terminology of Margaret Boden (1994) a “con-
and social activities, beyond the personal and social ceptual space” of possible solutions, or
interactions, for example, in God and Space, thus “conceptual spaces of thought and action”
creativity is alienated from the “man and society” (Shchedrovitsky 1987), or new discourses
relations. Another popular, “holiest” and difficulty (Foucault 1998). In such a context, creativity can
destroyable “creativity myths” are ideas of “iso- be defined as the creation of new opportunities for a
lated and independent artist” and “pure art” sociocultural system where a creative subject acts.
Creativity is creating new social and cultural forms. Creativity is closely related to awareness,
Creativity is not just generating new discourses but adoption, and evaluation of new ideas by certain
also canonizing them in a social system. social groups. Therefore, creativity is not just a
psychological but also a sociological, historical,
and cultural phenomenon.
Creativity in a Context of Social For creativity, processes of transformation of
Evaluation newness and uniqueness in something translatable C
and canonized are extremely important.
Most creative interactions occur in a complex A “creative” pattern should consolidate itself in a
context. As pointed out above, many creative social context to get a creative one and become a
accomplishments are not grounded on solitary reality for the social system. Consequently, creativ-
endeavors but rather on humans working together. ity is co-creation (co-creativity), it is impossible
The social aspect of creativity has been the guid- without reciprocity and co-involvement of a creative
ing principle Theresa M. Amabile (1994, 1996) person with other people, cultures, societies, without
utilizes for the study of social-psychological attri- communication and co-reference of the individual
butes to an understanding of creativity. Her com- and a social group.
ponent theory considers the influence of potential A social system (a cultural group, a business
cognitive, personal, motivational, and social attri- team, etc.) means social relations, interactions,
butes on the specific phases of the creative pro- and communications. This way, we arrive at a
cess. Amabile stresses an individual’s knowledge, conception of creativity as a phenomenon of
skills, and talents related to a specific task or field social communications. Such a concept pre-
of activity. Amabile also informed the sociocul- assumes the presence and relations with others,
tural approach to creativity with their work in and changing/transforming the others. Hence, an
Creativity in Context (1983) by identifying the attribute of “creativity” can be assigned to human
subjective element within any evaluation of the activities only post factum, after the moment of
social appropriateness and novelty of a creative some degree of social transformation.
“new” idea, product, and artwork. The experts of a Creativity researchers of the sociocultural
specific field of work (arts, science, music, etc.) approach have addressed the importance of inter-
assess whether or not one could speak of creativity action for a comprehensive understanding of cre-
and their affirmative judgment allows a product, ativity; nevertheless, most accounts neglect to
idea, or art piece to enter a specific creative provide a detailed description of the element of
domain. interaction in their conceptualizations and there-
Whereas Amabile’s framework is based on a fore cannot do justice to the role of communica-
sociopsychological perspective, Mihály tion as argued at this point. Two approaches have
Csíkszentmihályi (1988, 1996) as well as been promising to inform a nuanced understand-
Feldman et al. (1994) further developed the socio- ing of creativity as a co-creative and communica-
cultural approach towards a systemic understand- tive phenomenon.
ing of creativity. Csíkszentmihályi’s work (1996)
defines three key elements of creativity:
Contribution Framework by Paulus and
• A domain (a particular set of rules or Nijstad
standards).
• Activity and its products beyond the existing In Group Creativity Paulus and Nijstad (2003)
framework in a particular domain. present a concept in order to explore prospectively
• Assessment of activities and results of a group of the potential and actual productivity of a group.
people who are familiar with the rules in this The concept depicts a reference system compris-
domain, which can make a judgment about nov- ing four fields of action organizing group creativ-
elty and importance of creative suggestions. ity. These four action fields are the creative
potential principle, the effective sharing principle, emphasizes the significance of members sharing
the accessibility principle, and the effective con- their information effectively, leading to informa-
vergence principle. The various resources of a tion processing. Creative groups are able to acti-
group needs to be combined in a beneficial way vate the ideas that were previously mentioned and
to let creativity strive, and so Paulus and Nijstad collected by the group members. Paulus and
argue for a combination of contributions, which Nijstad stress the importance of this kind of
will provide a natural framework to understand group memory, which also depends on a specific
group creativity. The creative process is described social context of a group. For instance, the open-
in the following way: ness to utter and consequently share thoughts
constitute the group environment, contextualizing
Each group member brings knowledge, skills, and
abilities to the group. Using these sources, the mem- also the group climate. Finally, the effective con-
ber can generate ideas or find problem solutions. vergence principle is essential as here the group
These individual outputs can then be shared with “will be only creative when they eventually con-
other group members. They are contributed to what
verge on their best ideas” (p. 172). Agreement has
we call the group processing space. Once contrib-
uted, an item of information (e.g., an idea) is in to be reached on which idea the group will con-
principle available to the other members. Informa- tinue to work towards further innovation. Conse-
tion contributed by the others can have various quently, Paulus and Nijstad argue for the vital
effects on group members: A contributed idea may
prominence of an effectively selection process.
lead to the generation of a problem solution. Even-
tually, the group must come to some kind of collec- Paulus and Nijstad’s theoretical concept,
tive response, such as a decision about which which they also call “generic model of group
creative ideas to implement or a proposed solution creativity” (p. 334) entertains the idea of pro-
to a problem that can next be tested for effective- cessual idea generating. It speaks in favor of the
ness. To summarize: Individual group members
contribute information to the group and individual here predicated understanding of an integrated,
contribution must SOMEHOW (our emphasis) be collaborative process of creation. The three
combined to produce a group response that can vary major components of their concept, namely,
in creativity (e.g., in originality and usefulness).
group members, group processes, and group con-
(p. 164)
text have informed already organizational creativ-
Within the category of the creative potential ity research and can work as stimuli towards my
Paulus and Nijstad attribute central importance to planned research project. Nonetheless, there is
the heterogeneity of a group. With regard to a one significant question that still needs to be
creative solution, the individual group members addressed in order to empirically apply Paulus
need to exhibit extensive knowledge of a specific and Nijstad’s theoretical concept, namely: How
domain and need to be skilled in different areas. exactly does the group-level process of combining
But they also mention the danger of too much of a the individual ideas take place? The concept is
heterogenic group composition, depending on a more or less based on an individual-psychological
group’s specific cultural and organizational envi- perspective, neglecting unfortunately the Eigen-
ronment. The effective sharing principle takes into dynamik of a group. This dynamic, however, is
account the importance to establish a culture of exceedingly important for the combination possi-
informational exchange, an openness and willing- bilities, emergence, and unfolding of creativity.
ness to share ideas, preferences, solution, and Otherwise any concept of creativity will result in
knowledge to other group members. But also a mainly additive construct of creative processes,
here, Paulus and Nijstad see group creativity emphasizing the individual resources of group
endangered if information flow and processing members and overlooking the group-level, collab-
disturb the phases of individual reflection and orative and communicative phenomenon of
further idea development. (The readers will creativity.
acknowledge the individualist perspective that Apart from the theoretical complexity of their
also sneaked into Paulus and Nijstad concept of conceptualization of group creativity, it is quite
Group Creativity.) The accessibility principle baffling why Paulus and Nijstad have not tested or
applied – neither quantitatively nor qualitatively – improvisational interaction (2003, p. 76 et seq.)

their theoretical deliberations in a group environ- for the indexical nature of group creativity. Index-
ment. Some of the arguments are taken from ical semiotic refers to the circumstance that
Paulus’s (1993) previous experiences and publi- indexicality should not be restricted to words,
cations, taking into account well-known assump- sentences or any other semiotic – more or less
tions of Amabile (1983) and the exploratory study materialized – symbol but rather allows for an
of Kevin Dunbar (1995) on scientists’ reasoning interactional apprehension of improvisations. C
at real-life microbiological labs. In a similar way, One could understand Sawyer’s approach as an
Keith Sawyer’s exploratory study of performance attempt to transform the concept of indexicality to
groups resulted in significant viewpoints on crea- a generating and coordinating principle of indi-
tivity and provides a methodological approach for vidual improvisations and performance acts. And
exploring the collaborative and communicative his graphical illustration (Sawyer 2003, p. 89)
events of creative groups. seems to be in congruence with our communica-
tive conceptualization of creativity. Every single
act of a proceeding performance depends on mul-
The Micro-interactional Model by Keith tiple interactional factors. So what starts to emerge
Sawyer at the time t(1) influences in from of an indexical
premise an actor A(1), who is stimulated by the
Social psychology, small group research, semiot- current emergent E(x) and further refine/enhance
ics, and creativity research are at the core of Keith something new, which again influences in an
Sawyer’s micro-interactional model. The concept indexical, interactive manner what happens to
of indexicality by Charles Sanders Peirce (see become a temporary E(2). One can assume that
Liszka 1996) and its further refinement through the further development and refinement of a per-
the work of Jakobsen and Silverstein take a prom- formance will lead by definition to a continuously
inent position in Sawyer’s (2003) theory design. recreated – although I do not like to name it that
His approach to group creativity mainly investi- way – new emergent niveau, transformed and
gates the multifaceted situations of improvising transferred to be transformed. Sawyer coins this
groups, especially improve theatre and groups and process “semiotic mediation in interaction”
jazz ensembles/combos. The groups do not fea- (2003) and describes the process as follows:
ture either a group or improvisation leader nor are
there any normative guidelines or instructions The emergent is structured but ephemeral, changes
with each performance act. It is an emergent social
throughout a performance. Sawyer reflects on fact; it is not determined by any single performer,
the proceedings of the creative groups instead of and only partially constrained by the genre defini-
the creative product, although he elaborates – tion. For the interaction to continue as an intersub-
based on the philosophical notions of creativity jective shared activity, the performers must work
together in creating the emergent. (p. 89–90).
in the arts (Collingwood 1938; Dewey 1934) – on
the importance of the product as a processual The indexical performance is characterized by
result of creation. In accordance with (small) (a) an openness and uncertainly regards to the
group research, Sawyer argues for a qualitative various contribution of the other group members,
difference between research focusing on individ- (b) a nonreductiveness of any act or emergent to
ual members of a group and a dynamic under- the contribution of an individual participant, (c) a
standing of groups, which consequently calls for complex communication system nurturing nego-
altered approach to the exploration of a creative tiation and interpretation of what has been created
group as a social phenomenon. It is precisely hitherto, and (d) a high creative potential of all
the interactional feature of group creativity that group members (which resembles any psycholog-
differentiates it from an additional methodology ical approach to creativity research). Interesting is
to group decision-making. Sawyer suggests that what has been agreed upon before, namely an
to comprehend interaction via a semiotics of emergent E(x) requires a minimal coherence
between E(x-1) and also E(x + 1), etc. Sawyer situation and the social factors that impinge on a
sees here a problem as this property of any particular interaction ignores a group’s process of
E(x) will result in a restricted E(xr) per se. He co-construction. The collaborative nature of crea-
does differentiate between more loosely defined tivity within an environment, as described above,
coherent emergent E(x) and possible variations could be called the creative sphere (cf. Bartels
restricting, coherence-oriented emergent E(xr). 2010), which echoes Jürgen Habermas’s (1962,
Every E(x) can be changed, restricted, and even 1989) communicative concept of a free area of
abandoned throughout a performance. critical public debate. Similar to the overlapping
Sawyer’s micro-interactional model of group character of the pieces of a kaleidoscope, the
creativity certainly advances our concept of crea- interactions within the creative sphere provide
tivity towards a communicative understanding of colorful interrelations between its social elements.
creativity that is envisioned in this text. It is also – Although one can look at the particular colored
as far as we know – except from Häußling’s pieces of the kaleidoscope individually, it only
(2007) more quantitative network approach – exploits its full potential when moving it around
one of the most detailed theoretical approaches. and observing the pieces as they interact.
Based on numerous empirical case studies, his According to this perspective, creativity refers to
model is informed by a differentiation between a contextual capability for meaningful novelty or
individual and group creativity but at the same novel ideas, which emerge from interaction
time pays attention to the subtleties of both (cf. also Bartels 2010).
aspects of individual and group communication; For instance, the initial process of ideation can
but the question remains open if Sawyer’s notion occur during a dialogue of a creative team or small
of improvisation exhibits theoretical and unfortu- group. The development of that creative thought,
nately empirical restrictions, as in this particular however, relies on the expression of ideas and the
model he equates improvisation with creation. intellectual exchange of creative humans within a
specific, creativity-promoting environment. This
correlation defines the emergent process of crea-
Creativity as a Collaborative and tivity within a creative sphere.
Communicative Phenomenon Thus, we suggest that communication is the
key to an understanding of any creative sphere;
Whereas research speaks of individual, group, and communication that can be thought of as the ani-
team creativity, contemplating in each case on a mating spirit or, in other terminology, as the
specific social system or unit of analysis, we “dynamis,” a phenomenon that Paul Weiss
would like to emphasize our deliberations on the (1992) calls the “primary pulsating ground”
collaborative aspect of creativity. Sonnenburg (p. 4), which humans exploit for their creative
(2007) defines collaborative creativity as “the endeavors.
contextual potential for meaningful novelty”
(p. 89), which develops throughout situational
cooperation. The situation of creative interaction Conclusion
draws our attention again to Csíkszentmihályi’s
(1990) considerations of the social aspect of cre- Creativity is not just an act or an action; it is some
ativity. He emphasizes the correlation between kind of social relation and interaction. Creativity
individuals, their fields, and domains, respec- is communicatively focused on others. As Albert
tively; however, we consider the social dimension Camus said in his Nobel Prize Acceptance speech
of creativity to be more than just individuals’ (1957), “Every man, and for stronger reasons,
interrelations with their environment. Collabora- every artist, wants to be recognized. . . . And
tive creativity cannot be simply reduced to a situ- often he who has chosen the fate of the artist
ational incidence of working together towards a because he felt himself to be different soon real-
common goal. Focusing only on the creative izes that he can maintain neither his art nor his
difference unless he admits that he is like the Csíkszentmihályi M. Flow: the psychology of optimal
others. The artist forges himself to the others, experience. New York: Harper & Row; 1990.
Csikszentmihalyi M. Creativity: flow and the psychology
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ally original, they say that this person is “crea-
tive.” However, when one tries to describe what
“creative” means in order to teach others to be
creative or to research the phenomenon, it
Creativity Assessment becomes difficult. The reason of the difficulty is
that creativity surfaces in so many ways. Addi-
▶ Measurement of Creativity tionally, creativity is psychological. This is a
challenge in itself because creativity is a complex
multifaceted phenomenon. No wonder,
Parkhurst noted “the confusion and lack of con-
sensus” in the issue of defining creativity (see
Creativity Challenge
Parkhurst 1999). This entry is a summary of
various approaches in defining creativity that
finally leads to a universally applicable scientific
definition.
People often think that creativity was always
understood as it is today. This is simply not the
Creativity Crisis case. The evolution of the concept reflecting the
understanding of creativity is amazing in and of
▶ Decrease in Creativity itself. The views on creativity and definitions of
creativity have changed dramatically. They range
from only God’s ability for “Creatio ex nihili” –
“Creation from nothing” – to considering poets
Creativity Definitions: (first only poets) creative, then artists, and in
Approaches modern views also scientists, engineers, and all
people too, which is expressed in the slogan, “We
Andrei G. Aleinikov are all creative!” (see “Creativity Definitions,
International Academy of Genius, Montery, Approaches”).
CA, USA This entry, however, presents the conceptual
analysis of creativity on the way to forging a
scientific view rather than chronological or his-
Synonyms torical analysis (see ▶ “Science of Creativity”).
While doing this, as opposed to the article titled
Concept development; Trends “Definitions of Creativity” in the comprehensive
Creativity Definitions: Approaches 581
Encyclopedia of Creativity which dwells on the creativity is a short-lived and very space-limited
elements, phases, and aspects of creativity but phenomenon. Such a point of view may be called
does not offer a single definition of creativity, mini-creationism.
except the paraphrased “Creativity is 1% inspi- All variations between these two polar points
ration, 99% perspiration” (Cropley 1999), this of view, maxi- and mini-creationism, may be con-
entry operates with real names and real defini- ditionally called opti-creationism, where the task
tions. Clearly, out of hundreds of definitions of the researcher is to optimize the understanding C
available in literature (Aleinikov et al. 2000; of creativity to make it realistic, thus avoiding
Treffinger 1995), thousands of definitions absolutism on both sides.
published on the web, and probably millions of A very common understanding of creativity
unpublished definitions (e.g., students in creativ- achieved by this level is the following: creativity
ity classes create a few definitions each), this is an ability and process of producing something
entry deals only with a small number of these new and useful.
definitions. Nevertheless, it shows tendencies or At first sight, it looks like a good definition
approaches to defining creativity that can be until you try to use it. A spider, for example,
found in the field, thus helping readers to gain a produces a web – new and useful. Is this creativ-
general understanding of the difficulties on the ity? A very able person (assume that tests showed
way to scientific definition. it; see ▶ “Creativity Tests”) just sits in the corner,
daydreams (produces new and useful ideas), but
does nothing to make them real. In this case, can
Traditional and Modern Views on anyone prove his/her creativity? Another person
Creativity is always in the process of doing something new
but then immediately destroys it. Is this creativity?
Theoretically, the volume of the notion (the set of The third person “produces” children – all new
phenomena conceived in the concept) “creativity” and useful. Is this creativity? The fourth person
could be maximized, minimized, or optimized. produces ways of self-entertainment – new and
When maximized, it approaches infinity; when useful for oneself only. Is this creativity? Ques-
minimized, it approaches zero. tions of this type could go on and on. It is doubtful
Maximizing the notion of creativity volume that the answers to all these questions would be
leads to omitting the aspect of originality and “yes,” but they all fit the given definition of crea-
equalizing the terms create ¼ creative. It may tivity. Obviously, something must be wrong with
sound like this: “God created this world, so God this definition. Either it does not include all nec-
is creative. Nature creates plants, animals, and essary features of creativity or it needs to be more
people, so nature is creative too. People create specific because the features mentioned are not
their homes, products, etc., so they are creative. sufficient. It may also be missing the essence of
A mouse creates stores of grain for the winter, so a creativity.
mouse is creative too. Trees create leaves and Within opti-creationism, there are three major
fruit, so they are creative as well. Therefore, approaches to defining creativity:
everything creates everything, everything is crea-
tive, and creativity is everywhere.” Such a point of • Dictionary approach – explaining the phenom-
view may be called pancreationism or maxi- enon in simpler (understandable, known) terms
creationism. • Metaphoric approach – describing the phe-
On the contrary, when minimized in volume, nomenon by analogies, by images, by poetic
the notion of creativity can be related only to a forms
very specific moment of mental activity in pro- • Intuitive, common sense, or neighboring
ducing new ideas. For instance, a person gener- notion approach – describing the phenomenon
ated a new idea. Creativity was present only at this by concepts that are neither higher nor lower in
moment. From this restricted point of view, the ladder of abstraction
582 Creativity Definitions: Approaches
It is useful to analyze these before applying the deeper, singing in my own key, shaking hands
scientific approach. with tomorrow”(Dr. E. Paul Torrance, "The
Creativity Man,” author of Torrance Tests of
Dictionary Approach Creative Thinking)
In the majority of dictionaries, readers find that • “Creativity is the process of mining the mind”
creativity is “the quality of being creative; the (John Sedgwick, President of Managing Imag-
ability to create.” So the reader is sent to the inations, Inc.)
adjective “creative” or to the verb “create.” As • “Creativity. . .the febricity of the soul becom-
the reader goes on to the word “creative,” the ing reality” (Eleanor Pierre, Professor, Sheri-
article might say, “marked by the ability or dan College, Trafalgar Campus, Ontario,
power to create; of creation.” So the reader is Canada)
sent to the verb “create” and the noun “creation.” • “Creativity occurs when we tilt the jelly dish in
And finally in the definition of “create, creat- a different direction and force the water
ing,” the reader may find, “to do something (information) to flow into new channels and
creative or constructive,” while in the article make new connections” (Michael Michalko,
for “creation” – something like “the act of cre- the author of Thinkertoys, A Handbook of
ating.” Thus, the reader is sent back to the adjec- Business Creativity and Cracking Creativity,
tive “creative” and the verb “create.” The Secrets of Creative Genius)
Dictionaries often make such “circles” by defin- • “The defeat of habit by originality” (George
ing concepts via each other. Stanislav Lem, a Lois)
famous science fiction writer, once described • “Creativity is the song that sings itself” (Jeff
the dictionary, where the term “sepulka” sends Pokorney, inventor, Minneapolis, MN).
the reader to “Sepulkowate,” which sends to
“sepulkarium,” which, in its turn, sends back to (All definitions from Aleinikov et al. 2000).
sepulka, giving practically no definition of Such definitions do not pretend to be scientific;
the term. they are poetic. These definitions are metaphors.
They poeticize creativity rather than describe
Metaphorical (Poetic, Artistic) Approach it. These definitions explain very little but bring
Creativity can have an unlimited number of met- good feelings and inspiration. This is what meta-
aphorical definitions: phors are supposed to do.
Actually, within this approach, creativity can
• “Creativity is jazz without the music” (Jack be defined through nearly every noun. For
Allday, Professor, Northwood University, Dal- instance, one of the exercises in teaching creativ-
las, Texas) ity is to define creativity via any noun. The model
• “Creativity is the river that runs through our of such a metaphoric definition is N1
human spirit. When we hear its running waters, (creativity) ¼ N2 (any noun) + its characteristics.
we are reminded who we are.” (John Osborn,
Senior Vice-President BBDO, NY, NY, the Intuitive (Common Sense or Neighboring
grandson of Alex Osborn who coined the Notion) Approach
term brainstorming and founded Creative Edu- As opposed to metaphoric (poetic, artistic)
cation Foundation, Buffalo, NY) approach, there exists a more philosophical or
• “Creativity is the child in me, screaming to get common sense approach, where authors attempt
out” (David Whalen, EDS Mod-Michigan to define creativity through the notions and con-
Solution Centre) cepts found in the neighboring domains.
• “Creativity is. . . wanting to know, listening to Researchers and consultants may call such defini-
a cat, crossing out mistakes, getting in deep tions “working definitions, research definitions,
water, getting out from behind a locked door, temporary definitions, or personal definitions.”
cutting corners, plugging in the sun, digging Examples of such definitions include:
• “Creativity is a continuous process of finding Example 1 “Creativity is an internal dialog for

good problems to solve, and finding and generating new ideas.” Seemingly, this is not a
implementing good solutions to these prob- bad definition. But dialog itself is a complex
lems” (Min Bassadur, Founder of the Center essence too. There are quite a few thick books
for Research in Applied Creativity, Simplex on dialog. Furthermore, “internal dialog” is even
Worldwide©) more complicated and less vivid. Finally, dialog
• “The production of novel, appropriate ideas” itself can be defined through the notion of crea- C
(Teresa M. Amabile, Ph.D., Professor of Busi- tivity: dialog is communicative creativity.
ness Administration, Harvard Business Therefore, the question arises, “What defines
School, Boston, MA) what?”
• “We define creativity as the ability to make
useful, novel associations” (S.S. Gryskievicz, Example 2 “Creativity is the combining of ear-
Center for Creative Leadership, Greensboro, lier nonrelated ideas.” At first glance, this defini-
NC) tion looks good too. However, the word “idea”
• “Creativity is the art of self-expression” requires definition. Moreover, the word “non-
(Jennifer Page, at 17, the graduate of School related” in the phrase “nonrelated ideas” is very
of Geniuses, 1996) weak. It is logical to ask how these ideas were
produced in the first place. One has first to create
(All definitions from Aleinikov et al. 2000). something in order to relate it to something else
The main concepts employed to define crea- and to combine it later. So should the phrase
tivity, as instruments or tools of defining, logi- “generating ideas” be added to the definition?
cally are supposed to be higher in the level of Why then the word “combining” is needed at all?
abstraction. But many of them are not. For
example, in the first definition, creativity is The history of research counts numerous
defined as a process, but it is broader than a attempts of explaining creativity in neighboring
process. In the second definition, it is defined notions and concepts. As G. Davis states in his
as production, but it is broader than production. book Creativity is Forever (Davis 1981), creativ-
In the third definition, it is defined as ability, but ity has been explained in terms of:
it is more than ability. In the fourth definition, it
is defined as art, but it is more than art. Four • Psychoanalysis (Freud 1925)
definitions placed together also demonstrate the • Neo-psychoanalysis (Kubie 1958)
insufficiency of each. They may work for some • Gestalt (Wertheimer 1959)
cases but not for all the domain of creativity. The • Associations (Locke 1968)
selection of the main category that creativity • Humanism (Maslow 1968)
falls into is extremely important. It has to be • Factor analysis (Guilford 1968)
able to encompass the phenomenon in all its
variety. Definitions of this type may look appropriate
The situation can be illustrated by analogy. for some training purposes; however, they define
Imagine a tool like a chisel made of clay. It is creativity by the notions taken from the same or
weaker or more fragile than the object it is lower level of abstraction. When placed together,
supposed to affect. So it will break at the such definitions demonstrate the multifaceted
first strike. Another example: a pot made of character of the phenomenon, but they also cor-
plastic with a melting temperature lower than roborate the abovementioned conclusion that the
the temperature of boiling water. In this case, issue of instrument (tool) becomes critical.
when a person tries to boil some water, the pot
will melt before the water begins to boil. The Scientific Approach
same dangers exist for the process of defining The scientific approach traditionally compresses
creativity. things to their essences in order to free the brain
from excessive information (compression, every, never, forever, etc., when they are not
though, is not equal to reduction!). The search supported by evidence may lead to logical
for the essence (definition) can be hard and errors.
exhaustive, but discovering the essence is the So while defining creativity, researchers get
same as discovering the formula of gravity by into logical paradoxes as well:
Newton: it explains in one manner the entire
world from a falling apple to the stars and galaxies
• Paradox 1. Creativity is (nearly) everywhere.
moving in far space. Defining things and concepts
It means you can define creativity through
exemplifies the principle of economy of force in
everything (as in metaphoric and intuitive
science. A scientific definition is a must for
approaches above), and you can also define
establishing a science of creativity.
everything through creativity. It looks to be
While developing such a definition, one has to
limitless. So while trying to define creativity
use the terms and methods of the established
(i.e., to limit, to find the finite features), people
natural sciences like physics, chemistry, and biol-
try to limit this phenomenon, which suppos-
ogy, as well as mathematics and logic, the key
edly has no limits. It is a paradox.
attributes of any science.
• Paradox 2. In order to define something in
logic, one must go higher in the hierarchy of
Logic and Paradoxes of Creativity Nondefiniteness
notions. For example, a table is a piece of
While using logic, one has to know the difference
furniture; a rooster is a bird, etc. In language,
between formal logic, dialectical logic, mathemat-
some words are more abstract, and some are
ical logic, modal logic, deontic logic, etc. For
less. So while defining creativity, one can say
example, if a researcher stays within one type of
creativity is an ability, but in reality, creativity
logic, let it be formal logic, it is easy to fall into the
is more than an ability. One can say creativity is
trap of paradoxes.
a process, but creativity is more than a process.
Paradoxes are logical traps or loops that cannot
Some people say creativity is originality, but it
be solved within the same type of logic. A typical
is more than originality. Seemingly, there is no
one is the paradox of a liar. Suppose you come to
term that will logically embrace creativity
an island and the first person you meet at the shore
because these concepts are not rising to the
says that all inhabitants of the island are liars. Is he
next level of abstraction. It is the same as the
telling the truth? If he is saying the truth, then all
word about a word is a word too. In mathemat-
the inhabitants are liars. But he is an inhabitant
ics, Bertrand Russell was the first to show this
too. So he is lying. Therefore, he is saying the
type of paradox when he asked whether the set
truth and lying at the same time. Contradiction!
of sets belongs to the set it includes as its
Try to approach the statement from the other side.
components.
If he is telling lies, then the inhabitants are not
• Paradox 3. Here is how Dr. E. Paul Torrance
liars – they are truth tellers. But he is an inhabitant
describes one paradoxical situation:
too, so he must be telling the truth. Again, a
contradiction! It does not matter whether he is Many definitions have been offered and none is
lying or he is telling the truth; you are in a paradox considered precise, yet almost all of them seem to
situation. It is the formal logic that leads to a mean essentially the same thing. I think that
paradox. Aleinikov (1999b) accurately summarizes where
we are with regard to defining creativity. He relates
In reality (reflected by dialectical logic – the an incident that occurred at a creativity conference
logic that accepts contradictions as part of life), in Russia. A presenter reported that he had found
a person may lie in one case and tell the truth in 1,000 definitions of creativity and that it was time to
some other case. Moreover, it would be very stop defining it. The speaker went on to say, ‘Noth-
ing principally new can be invented.’ Thus, he
wrong to say that all inhabitants are liars. Some offered what he thought was a final definition.
of them may be liars, but the others are not. Aleinikov inadvertently laughed. The presenter
The use of “absolutizers” like all, everyone, felt embarrassed and asked why. The explanation
was simple. ‘You suggest that producing definitions Another plus is the attempt to use mathematics
must be stopped after 1,000; why do you offer the (or at least the symbolic expressions) to reflect a
1,001st?’ Trying to stop further defining is the same
as banning creativity because creation of a defini- very complex phenomenon. However, there are
tion is creativity too, Aleinikov explained. some questionable issues in such a definition as
Aleinikov went on to relate that the presenter well.
came up to him afterwards. He then bet the pre-
senter that he could give him at least two definitions
that had no parallels in the presenter’s collection. 1. The term function is as complex as creativity. C
The presenter lost his bet. Since the time it was coined by Gottfried
Leibnitz in 1673, it too has acquired multiple
Then Dr. Torrance makes a conclusion, meanings.
“Definitions will continue endlessly, but peo- 2. The word creativity inside of the definition is
ple will learn not to be disturbed by it and used to define creativity as the defined concept.
continue finding out more about creativity” This is a tautology.
(Torrance 2002). 3. The formula contains commas. They are not
• Paradox 4. The definition, which is supposed symbols of mathematical operations (like
to define, very often undefines the concept. For for multiplication, + for addition, for sub-
example, the definition offered by the traction, etc.). So the constituents of crea-
abovementioned presenter included 17 terms tivity – K(nowledge), I(magination), and
which were vague and needed to be defined in E(valuation) – are not functionally connected
their own right. by any mathematical operations.
4. The term “interpersonal” is not represented in
Paradoxes are neither good nor bad, but they the formula at all.
obviously show the limitations of formal logic and 5. The terms “beneficial” and “positive” are sub-
thus remind researchers of the necessity to make a jective. They express an opinion of a person.
leap to some other logic. Paradoxes indicate the
availability of a deeper level in the paradox situ- Analysis, therefore, suggests that it is not a
ation, and it is wise to be aware of them while mathematical formula; this is rather a symbolic
working with definitions. representation for Noller’s understanding of crea-
tivity, some kind of abbreviation. The trend, nev-
Mathematics ertheless, is obvious: researchers begin to employ
Ruth Noller, Distinguished Service Professor mathematical means in search of scientific
Emeritus of Creative Studies at Buffalo State Col- definitions.
lege, once offered the following equation for cre- Since logic and mathematics alone do not con-
ativity: C ¼ fa(K, I, E), where: stitute the scientific approach, the search for a
scientific definition is still needed.
• C is creativity
• K is knowledge Scientific Terms
• I is imagination (see ▶ “Imagination”) The fact is that well-established sciences do not
• E is evaluation use the terms like “idea” that is commonplace for
dictionary and intuitive definitions. They use the
As Isaksen, Dorval, and Treffinger explained, terms “time, space, speed, acceleration,”
“she suggested that creativity is a function of an etc. Science also avoids such subjective terms as
interpersonal attitude toward the beneficial and “useful/useless” because something that is totally
positive use of creativity in combination with useless now may be useful in the future or some-
three factors: knowledge, imagination and evalu- thing completely useless for one person may be
ation” (Isaksen et al. 2011). useful for another. Finally, sciences exclude any
The strength of such a definition is its sym- emotionally charged vocabulary so abundantly
bolic form: it is easier to recall and visualize. present in metaphoric definitions.
With this in mind, applying the terms from creativity as search of search from the elemen-
established sciences can make the creativity defi- tary search for food and search for partners,
nitions more scientific. which hardly may be considered creative activ-
As a case in point, Dean K. Simonton made an ity (see the “creative” mouse example in maxi-
attempt to define creativity and genius in terms of creationism).
Darwin theory (Simonton 1999). Numerous 3. The other terms in the definition are physics-
authors state that physical, or better called physi- and psychology-based which make them sci-
ological, activity affects creative output. These are entific rather than metaphoric or any of the
the samples of employing biological level terms previous types.
for explaining creativity. Some researchers inves-
tigate the brain chemistry, as well as the chemical The physical part of this definition deals with
substances affecting creativity, including alcohol, the term ectropy. The term ectropy (coined by
drugs, etc. (Pritzker 1999; Plucker and Dana mathematician and philosopher Willard Van
1999). These are obviously the samples of chem- Orman Quine) denotes the trend toward harmony.
ical level notions employed for the explanation of It was introduced as an antonym to the term
creative output. There is also research and equip- entropy coined in 1875 by a German physicist
ment employing electromagnetic fields affecting Rudolf Clausius. Entropy, as opposed to ectropy,
creativity (see, for instance, the Functional States is the trend to chaos (second law of
Corrector by S.V. Koltsov). This is the level of thermodynamics).
physics. All these three levels are below the crea- There are only two trends in nature: to
tivity level – the level of psychology – but psy- harmony (organization) and to chaos (disorgani-
chology cannot exist without them: its existence zation). They coexist as the opposites. On the
depends on the existence of physical bodies and physical level, they exist as accumulation of orga-
chemical reactions and biological processes. nization (ectropy) versus loss of organization
The scientific research of the phenomenon of (entropy). On the chemical level, they exist as
creativity is growing fast, and therefore, the need composing new substances versus decomposing
of a scientific definition of creativity itself is existing substances. On the biological level, these
becoming more and more obvious. two tendencies exist as birth, growth, and devel-
A preliminary definition that would employ a opment versus withering and death. On the level
paradox (logic), mathematics, and scientific terms of psychology, they function as personal develop-
may look like this: “Creativity is the search of ment versus destruction (self-destruction). On
search activity on the psychosocial level of the level of social life, peace versus war and
nature's ectropy trend” (Aleinikov 1994, 1999b). collaboration versus competition represent these
two tendencies.
1. The word “search” reflects the essence of cre- Using the term ectropy allows researchers to
ativity because people who are creative are in find the most general term for the phenomenon
search of solutions. Moreover, they like the that embraces creativity as a whole, not just a part
process of search (problem solving) so much of it. Logically, therefore, creativity is first placed
that they are in search of problem to be solved into a higher rank of abstraction (concept, notion)
(see Bassadur’s definition above). and then is restricted by the psychosocial level of
2. The phrase “search of search” is using the basic this ectropy trend of nature. It means creativity, as
biological term (not available on the level of a phenomenon, does not appear until psychology
chemistry) but also making it a paradox, so the (reflecting and self-reflecting live beings) comes
paradox logical situation explained above (like into existence. In other words, stars, planets, trees,
“the word of word”) is included. This phrase, worms, birds, etc., do not create – they exist, live,
on the one hand, relates creativity to natural and reproduce.
biological search which is common for all liv- After placing the phenomenon of creativity
ing beings but, on the other hand, separates into a higher rank level and limiting it to the
psychosocial level, its essence is further described (individual) level is a natural process. Actually,
by the phrase “search of search activity.” The new feelings, emotions, images, memories,
notion of “activity” contrasts creativity to passive thoughts, associations, as well as new movements
fantasizing and cuts off the cases of sitting in the and actions, are all natural phenomena every day
corner and doing nothing but daydreaming. In occurring in intellectual beings. While constantly
such a case, creativity is not seen, and therefore, reflecting the newness produced by nature, human
its existence cannot be proven. Creativity should mind/intellect first learns how to produce newness C
be expressed in order to be seen. by itself and then how to do it faster than nature.
The complex term “search of search” also cor- This accelerated process of human-produced new-
responds to a mathematical expression of squar- ness that advances civilization (society, social
ing (self-multiplication, or degree, or to the power level in general) is conceptualized as creativity.
of) that on the conceptual level signals of another Since the results of creativity accelerate the devel-
concept. When creativity is defined as “search of opment processes of a society over the natural
search” (Aleinikov 1994), it is understood as speeds, the society begins to value creativity
squared search activity (search2). This under- more and more until it becomes “highly
standing is based on the following. What is tradi- regarded.”
tionally expressed in mathematics as 22, 32, Thus, in scientific terms, creativity is not just
42. . .n2 may be translated into language as “two ectropy but an ectropy accelerator and/or entropy
of twos” (2 2), “three of threes” (3 3), “four of decelerator. In other words, it is a human activity,
fours” (4 4), and finally, as “n of ns.” When this not just ability and/or skill, of accelerating the
regularity is applied to seemingly non- natural process of organization (ectropy) and
mathematical essences, like concepts, it gives decelerating the natural process of disorganization
“father of father” ¼ grandfather, “child of (entropy). The fact that accelerated ectropy is the
child” ¼ grandchild, etc. Some other notions process of accelerated (over natural) newness pro-
(not all) can be self-multiplied, too. However, duction is understood. The types, kinds, levels,
what is most interesting for the language is that layers, ranks, and amounts of newness are studied
such a “squared notion,” as a rule, gets another by novology, the science of newness (Aleinikov
name as a concept of the next level of abstraction. 2002; see also ▶ “Novology”).
So the first attempt, the first definition of crea- So if the complicated expression “search of
tivity is quite scientific. This definition is good for search activity on the psychosocial level” is
practical applications, especially for educators changed to a simpler expression “human activ-
because it points precisely at what to teach and ity” and the high level of abstraction physical
train for success in learning – search abilities. terms “ectropy/entropy” are changed into more
The next step in developing a scientific defini- understandable to public terms “organization/
tion of creativity is to find a more common name disorganization,” then the new definition of cre-
for the “search of search activity on the psycho- ativity might read as follows: Creativity is a
social level.” human activity of accelerating the natural
A closer look at the creativity phenomenon process of organization and/or decelerating
shows that creativity is a complex and highly the natural process of disorganization, or
regarded ability, skill, and practical activity of even shorter, creativity is a human activity of
producing new (original, innovative) ideas, prod- accelerating organization and/or decelerating
ucts, and problem solutions. Creativity is newness disorganization (see “Creativity Definitions,
production on the psychological level, while inno- Approaches”).
vation is newness consumption on the social level. Figure 1 illustrates the essence of creativity.
Ontologically, since ever-changing nature pro- Note: See how Fig. 1 shows that at a certain
duces newness on all its levels (physical, chemi- moment of time (T1 or T2), the organization level
cal, biological, psychological, and social), O1 (accelerated development) is higher than O2
producing newness on the psychological (natural speed development), and the organization
Organization
Creativity is a human activity
of accelerating organization
and decelerating disorganization
O1
Peak
Creative act of decelerating

O2 the natural process of disorganization
O3
Creative act of accelerating

the natural process of organization Decline (process of
O4 organization decrease)
Development (process
of organization growth)
0 Birth T1 T2 Death Time
Creativity Definitions: Approaches, Fig. 1 The essence of creativity
level of O3 (restoration, repairing to decelerate the Such a definition may look good until it is tested.
decline) is higher than O4 (natural speed decline). A stool is not a chair, but it is a piece of furniture to
Gnoseologically, it is a simpler, clearer, and sit on, so it fits the definition. A sofa is a piece of
therefore, better definition. It looks like distilled furniture to sit on, so it fits the definition too.
essence. These counterexamples show that the given defi-
If assumed that both organization and acceler- nition of the chair is not specified enough.
ation can be positive and negative (as in disorga- The counterexample of the spider “producing
nization and deceleration), then the new essence new and useful things” and fitting some discussed
can be expressed even shorter: Creativity is orga- above definitions of creativity is a book case.
nization accelerator. Therefore, from the theoretical point of view, it
is necessary to check whether some other notions
Testing Theory (New Scientific Definition) by or concepts fit the new scientific definition of
Theory creativity.
In theory, ideally, there must be one definition for Maybe the concept of intellect fits it? Is intel-
one object (process). If some definition fits several lect accelerating organization? Intellect is
objects, then it does not define the one under reflecting things, finding the organization of
analysis. This seemingly simple requirement is things, the connections and relations between
seldom observed in the prescientific practice. them, but it is only creativity that produces new
Many people say, “A chair is a piece of furniture organization vision, and then intellect implements
to sit on.” Seemingly, it is not a bad definition: it. So the concept of intellect does not fit the
first, the defined notion is generalized – it is sent to definition.
a higher abstraction level (“piece of furniture”), Maybe the concept of fantasy fits the defini-
and then it is specified by function (“sitting”). tion? Is fantasy accelerating organization?
Fantasy is probing different organization, com- development (as compared to the noncreative,
bining earlier noncombined elements. However, nonaccelerated ¼ natural animal world devel-
they need to be selected, developed, verified, opment). Scientists also work on preserving
tested, evaluated, and implemented until they the available resources and restoring the
become a new organization. This is what creativ- depleting ones: this is deceleration of
ity does – it accelerates organization. Fantasy may disorganization.
be the start of creativity or the basic component of • In technology, inventors and engineers acceler- C
creativity but not creativity, so it does not fit the ate the human world organization by new tools
definition. (the computer and the Internet are just a couple
Maybe some other notions, like production or of examples). Inventors also work on decelerat-
reproduction, would fit the new definition? Is ing disorganization – preservation and restora-
reproduction accelerating organization? Repro- tion of old planes; buildings, like the Tower of
duction is totally natural, so it goes with natural Pisa; and the millions of artifacts in museums.
speed. No acceleration. So, no fit. Is production
accelerating organization? Those who created Obviously the new definition works.
new machines for the new processes were crea- The preliminary (experimental) definition must
tive, but after the machines are done, they actually be tested as well:
reproduce the idea of the creator. Therefore, the
concepts of production and reproduction do not fit • Some people become artists to seek new
the definition of creativity. images, new colors, new ways of self-
There is a need to try something totally differ- expression, and new understanding of them-
ent. Is God accelerating organization? Maybe. . . selves as well as the environment.
Not proven by science, so the term “human activ- • Some people become programmers to seek the
ity” excludes God as well as machines or aliens best computer solutions.
(not proven by science yet). • Some people become actors to seek the perfor-
Thus, the new definition of creativity fits only mance situations, etc.
creativity and not other phenomena. So testing
theory by theory is successful. Creative people are hungry for search. They
practically lead themselves into search activities,
Testing Theory (New Scientific Definition) by and they enjoy these activities. It is the “search of
Practice search” that keeps them creative.
Any definition should be tested by practice, that This definition also works.
is, by applying it to reality and seeing whether it By the way, as a corroboration of the correct
works properly. Here is how this testing works for direction this definition offers, all five steps in the
the final definition. original Osborn-Parnes model of creativity are
expressed through a search-related word: fact-
• In arts (considered creative activities), artists, finding, problem-finding, idea-finding, solution-
sculptors, actors, writers, poets, etc., develop finding, and acceptance-finding (Parnes 1992).
their works much faster than nature could by
just random typing, random coloring, carving, Applying New Definitions to Real World
burning, etc. They accelerate the harmoniza- The new scientific definitions of creativity taken
tion (organization) of the world and decelerate to real-world practice have proven their ability to
the disorganization by restoring old paintings, improve it (or in new terms “to accelerate its
churches, sculptures, etc. organization”) in science, technology, business,
• In science, the researchers by discovering the education, etc. The new scientific understanding
laws of nature accelerate the human world of creativity led to:
• The new science of creativity, as well as five ▶ “Genius,” ▶ “Novology,” and ▶ “Science of
more new sciences and three new fields of Creativity.”
research, like creative linguistics (see ▶ “Cre-
ative Linguistics”) and creative pedagogy (see
▶ “Creative Pedagogy”) in Aleinikov 1988, Conclusion and Future Directions
1992, 1999a – faster than anyone in the world
(top result for comparison: Wilhelm von Helm- Approaches to creativity definitions (see ▶ “Cre-
holtz – 3) ativity”) depend on the historical background, the
• Eleven new laws of conservation – faster than general level of science development, and subjec-
anyone in the world (top result for comparison: tive preferences. To reduce the influence of the
Johannes Kepler – 2; see also ▶ “Creative past (etymology, myths), to minimize the factor of
Leadership”) subjectivity, thus increasing the objectivity of the
• Six new creativity-enhancing techniques that definitions, a scientific approach is becoming a
accelerated the process many times, including necessity, and scientific definitions are being
to the level of megacreativity, over 1,000,000 developed. These scientific definitions are consci-
ideas/min (Aleinikov 1999b, 2002) – faster entiously built with scientific terms, logic, and
than anyone in the world (the most famous mathematics – the key attributes of any science.
result for comparison: Brainstorming – With such an approach, creativity is defined as “a
1 idea/min; see ▶ “Creativity Techniques”) human activity of accelerating organization
• New measurement units for measuring objective and/or decelerating disorganization.” This
and subjective newness, quantitative and quali- new definition works equally well for all fields of
tative newness, as well as the efficiency of cre- human activities from art to science, from technol-
ative output (Aleinikov 1999b; see also ogy to education, and from military to civilian,
▶ “Measurement of Creativity,” ▶ “Novology”) economic, social, and political life, thus proving
• New tools of research, such as, a universal its universal applicability, as a true scientific defini-
model of creative act (Aleinikov 1988, 1992; tion, and laying the foundation for the science of
see ▶ “Creative Linguistics”) creativity. The discovery of these new sciences and
• New educational methodologies, including the research fields, new laws, models, techniques, units,
Genius Education Methodology (GEM) with teaching methodologies not only corroborates the
37 min to make an ideal learner, 3 days for process of acceleration in science, technology,
mind setting to genius development (see business and education development but also
▶ “Creative Pedagogy”) – faster than anyone clearly illustrates a direct giveback from the new
in the world science of creativity to the creativity of science.
• New business organization processes, Just as any theoretical breakthroughs in any
including the Guinness World Record in pub- field open new horizons for future researchers
lishing (the book Making the Impossible and technology specialists, the new scientific def-
Possible was written, printed, and published inition of creativity and new science of creativity
in 15 h and 46 min – accelerated over (see ▶ “Science of Creativity”) will lead to new
300,000 times). investigations in theoretical and applied research.
Future directions of research include applying the
For detailed description on how the new under- generic definition to all particular fields to specify
standing of creativity accelerates the organization its work in all human activities. New mathemati-
of the world in science, technology, business, and cal tools will be applied to measuring creative
education, see ▶ “Creative Leadership,” ▶ “Cre- output as accelerating organization. Business and
ative Linguistics,” ▶ “Creative Pedagogy,” education will recognize creativity as the most
Creativity Economy 591
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creativity as accelerating organization also Pritzker SR, editors. The encyclopedia of creativity,
vol. 1. San Diego: Academic; 1999. p. 511–24.
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zation itself, so the development and further pub- 1981.
lications on the new sciences of organizology and Freud S. Creativity and the unconscious. New York:
intensiology are in the plans. Harper; 1925.
Guilford J. Intelligence, creativity, and their educational
implications. San Diego: Knapp; 1968.
C
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▶ Creative Pedagogy rence: University of Kansas; 1958.
▶ Creativity Locke EA. Toward a theory of task motivation and incen-
▶ Creativity Models tives. Organ Behav Hum Performan.
1968;3(2):157–89.
▶ Creativity Techniques Maslow AH. Towards a psychology of being.
▶ Creativity Tests 2nd ed. New York: D. Van Nostrand Company; 1968.
▶ Genius Parkhurst HB. Confusion, lack of consensus, and the def-
▶ Imagination inition of creativity as a construct. J Creat Behav.
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▶ Novology ing. Buffalo: Creative Education Foundation Press;
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Plucker JA, Dana RQ. Drugs and creativity. In: Runco MA,
Pritzker SR, editors. The encyclopedia of creativity,
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Creativity Economy
giga-, and infi-creativity. Montgomery: MIMII; 1999b.
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592 Creativity Economy Versus Creative Economy
A problem of creativity economy definition

Creativity Economy Versus is related, first of all, to the mythologized and
Creative Economy stereotyped understanding of creativity. In the
common mind, there is still a strong connection
Igor N. Dubina1,2 and David F. J. Campbell3,4,5,6 of creativity with certain spheres, like arts, for
1
The Faculty of Economics, Novosibirsk State example. In the literature, there is a great variety
University (NSU), Novosibirsk, Russia of unconsensual definitions, classifications,
2
The International Institute of Economics, and conditionally stereotyped agreements what
Management, and Information Systems, Altai “creative economy” is.
State University (ASU), Barnaul, Russia The most popular approach to the “creative
3
Department of Political Science, University of economy” understanding is an “industry
Vienna, Vienna, Austria approach” (Markusen et al. 2008), which is
4
Department for Continuing Education Research based on the identification of “creative industries”
and Educational Technologies, Center for or “sectors” in which creativity and creative
Educational Management and Higher Education contributions are seemingly most significant,
Development, Danube University Krems, Krems, e.g., arts, architecture, advertisement, etc. Histor-
Austria ically, this approach is strongly connected with the
5
Unit for Quality Enhancement (UQE), concepts of “culture industries” (or “cultural
University of Applied Arts Vienna, Vienna, industries”) and “culture economy” introduced
Austria in the 1950–1970s in order to characterize the
6
Faculty for Interdisciplinary Studies (IFF), involvement of cultural products into economic
Department of Science Communication and and market relations. The first discussion of “cre-
Higher Education Research (WIHO), Alpen- ative industries” appeared in the early 1990s and
Adria-University Klagenfurt, Vienna, Austria first definitions of “creative economy” on this
basis were suggested in the early 2000s (Coy
2000; Howkins 2001).
Synonyms According to the “creative industries”
approach, “creative economy” is understood as
Creative class; Creative economy; Creative a set of the “creative industries.” However,
industries; Creativity economy; Creativity society; there are no objective criteria for defining,
Creativity-based economy; Cultural economy measuring, or evaluating creative contributions
in industries. It represents just a stereotyped
“Creativity economy” and “creative economy” convention to consider one industry to be more
are two of a great many of modern concepts “creative” than another.
characterizing the “new economy” (e.g., includ- Nevertheless, various classifications of the
ing “knowledge economy,” “innovation econ- “creative industries” (Dubina et al. 2012) are
omy,” “virtual economy,” “digital economy,” widely used now since they give a way to
and so on). All of these many concepts are quantitatively estimating the scale and dynamics
also understood as paradigms for the future of “creative economy” in different regions and
economy and the future society as a whole. countries with quite canonical economic indexes
In this chapter, we conceptually define the “cre- (employment and wages in the “creative indus-
ativity economy” that surpasses an earlier concept of tries,” export and import of “creative goods and
the “creative economy” based, in turn, on the con- services,” percentage of GDP, etc.). Accordingly,
cepts of “creative industries” and “creative occupa- there is an opportunity to identify and quantita-
tions”; we also discuss the boundaries of the tively characterize places with high concentra-
traditional understanding of “creative economy” tions of “creative activities”: “creative cities” or
based on the industrial and occupational approaches. “creative clusters.”
Creativity Economy Versus Creative Economy 593
At the same time, the reference to the “creative Scientific creativity

industries” appears rather problematic in a certain
sense for the analysis of “creative economy,”
since all of the “creative industries” are not Cultural creativity
based only on creativity and, like other
economic sectors, can develop on the basis
of both creative and imitative activities (i.e., Business creativity Technological creativity C
applying standard procedures, technologies,
etc.). Moreover, as some research demonstrates Creativity Economy Versus Creative Economy,
(Hailey et al. 2010), creativity, per se, is less Fig. 1 Creativity in today’s economy. (Source: Dubina
et al. 2012)
valued by some “creative industries” than knowl-
edge in reference to innovation processes.
The concept of “creative economy” based new technologies, or new content. However, it is
on stereotypical classifications of “creative indus- not easy to formally identify “creative workers”
tries” appears incorrect, since most of the recent or (“creative occupations,” “creative profes-
economic activities include creativity to a certain sionals,” etc.), so this approach has also rooted
extent. Creativity is not something new for the econ- in some stereotypes on creativity.
omy, “creative” products and services have been The existing classifications of “creative
always included in economic relations, and eco- industries” and “creative occupations” widely
nomic development has always been based on new differ in the breadth of the spectrum of
ideas. Economic contributions depending on crea- industries and occupations included (Markusen
tivity have become especially remarkable for the last et al. 2008), but none of the models can really
decades, since new ideas and knowledge based on register “creative” contributions to the economy.
creativity constantly supersede traditional economic Moreover, in the modern economy, the meanings
resources (Dubina et al. 2012). of GDP, productivity, value added, employment,
As J. Howkins (2005), one of the creators wages, export, import, etc. are already not so clear,
of the concept of “creative economy,” notes: and so the traditional indexes already are insuffi-
“The phrase ‘creative industry’ has never really cient and cannot adequately characterize the “crea-
struck a chord with the public. It is jargon; it does tive economy.” For example, conventional trade
not fit common sense. . . . [This definition] measures focus on the flow of material goods, but
excludes most of business creativity and almost many “creative” products and services are immate-
all scientific creativity. . . . Creativity can take rial. New parameters, including “non-economic”
place anywhere” (p. 125). factors, are needed for estimating and characterizing
Really, while the “creative industries” are the “creative economy” in general and creative
mainly defined as “arts-related,” creativity and capital and its productivity in particular. At
innovation are vital to the success of all spheres the same time, some indexes suggested for
of today’s economy, creativity penetrates all of characterizing “the new economy” dynamics
the modern economy. All spheres of creativity (patents, inventions, R&D publications, etc.) are
are inter-related and inter-impacted and all often difficultly recorded or not quite reliable
of them may be economically significant (Tellis et al. 2009).
today (Fig. 1). The idea of the “creative economy” based on
Another attempt of understanding, defining, the industry and occupation approaches has been
and analyzing the creativity economy refers to a subject for serious criticism (Lovink and
the “occupation approach” based on the theory Rossiter 2007). Wilson (2010), in his critique of
of “the creative class” (Florida 2002, 2006). the conception of “creative economy,” also makes
The economic function of “the creative class” an accent on its stereotyped character, namely,
workers is to create new ideas, new knowledge, “a deep-seated belief that creativity is something
594 Creativity Economy Versus Creative Economy
(only) talented and artistic individuals do. This or mixes of ethnic groups, which, as he argues,
individualistic conception of creativity extends is indicative for high levels of technologically
to the framing of the creative industries and the based industry in the United States. Second is
creative economy, where creativity is treated as the Gay Index, which proposes that homosexuals
either a quasi-commodity or the preserve of the as a group are more inclined to be tolerant
so-called creative class” (p. 367). He suggests of others. The next one is the Bohemian Index,
that at this time of the economic, social, and measuring the numbers of “creative people” in a
environmental “melt-down”, “there is a need to city. The final index, Good Lifestyles, refers to
re-claim creativity as a social phenomenon, places of long-established artistic pedigree,
often resulting from human interaction across and the good life of entertainment, etc. In his
boundaries (e.g., across nation states, professions, critique of this approach, Montgomery (2005)
industries, organisations, disciplines, social and ironically concludes that “creative entrepreneurs
cultural groupings, methods, epistemologies and tend to be attracted to cities where it is possible
rationalities).” to enjoy the arts, entertainment and good food.”
So, there is an obvious lack of agreement Montgomery (2005) and Nathan (2007) identify
about definitions of the “creative industries” serious problems and confusions in understanding
and “creative occupations.” Choices about the “creative economy” by measuring “creative
which industries, firms, and occupations are to cities” and “creative clusters,” as is being
be included affect the resulting size and content attempted in R. Florida’s creative class model.
of the “creative economy.” Markusen and her Other researchers suggest more complex and
colleagues (2008) compare several classifica- integrative indicators, for example, an Economic
tions of “creative industries” and show, for Creativity Index (Warner 2000) and a Composite
example, that the Boston area’s “creative econ- Indicator of the Creative Economy (Bowen et al.
omy” varies in size from less than 1% to 49%, 2008), which is a summary measure of an entity’s
although most cultural definitions range from 1% (e.g., a region’s) creative capacity or capability
to 4%. in three key dimensions: innovation, entrepre-
Researchers and academic institutions neurship, and openness.
develop and use different models, classifications, In our opinion, the main defect of the industry
and indexes for “creative economy” in different and occupation approaches is that creativity is
countries and regions and the obtained results considered to relate to some professions, not
are hardly commensurable (Dubina et al. 2012). to people. These approaches reflect the structural
Different systems of national statistics, insuffi- economic transformation at the turn of the millen-
ciency of statistical data (a significant proportion nium but not the qualitative shift in the current
of the “creative economy” is not registered in economy which depends on and is driven by
trade or economic statistics), and the absence new ideas in all sectors (“mass and constant”
of reliable measures of creative contributions creativity). The mass and constant creativity has
to the output of industries also limit the analysis become the main resource and driver for a new
of the creativity economy. epoch in the economic development, a “creativity
As an attempt to overcome some barriers economy” that equals neither with the “creative
of the industry and occupation approaches to industries” or “creative economy.”
understanding of the “creative economy,” From the perspective of the “main resource
researchers have suggested a number of other and driver” approach (Dubina et al. 2012), we
models and indexes. For example, Florida define creativity economy as a creativity-
(2002), with his “3 T’s of economic development” based and driven economy that is a new
(Technology, Talent, and Tolerance), was one stage in economic development primarily
of the first who proposed quite unorthodox based on and driven by a flow of constant
indexes to evaluate the “creative economy.” and mass creativity that produces new ideas
The first of these is The Melting Pot index, and problem solutions.
Creativity for Compassion and Compassion for Creativity 595
In closing, the role of creativity as an economic Florida R. The rise of the creative class and how it’s
resource is quite obvious today, but there are transforming work, leisure and everyday life.
New York: Basic Books; 2002.
still open questions about definitions and the Florida R. The flight of the creative class: the new global
analysis of the creativity-based economy. Defini- competition for talent. Lib Educ. 2006;92(3):22–9.
tions of “creative economy,” “creative industries,” Hailey D, Cox M, Loader E. Relationship between
and “creative occupations” are grounded too innovation and professional communication in the
“creative” economy. J Tech Writ Commun.
much on stereotypes. Creativity should not be 2010;40(2):125–41.
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seen as residing in a specific class of people Howkins J. The creative economy: how people make
or a specific industry or an industrial cluster. money from ideas. London: The Penguin Press; 2001.
Creativity can take place anywhere in business, Howkins J. The mayor’s commissions on creative industry.
In: Hartley J, editor. Creative industries. Malden:
economic, and social life and thus it forms the Blackwell; 2005. p. 117–25.
creativity economy. The concept of “democracy Lovink G, Rossiter N, editors. My creativity reader: a
as an innovation enabler” emphasizes that democ- critique of creative industries. Amsterdam: Institute of
racy encourages creativity, and by this also con- Network Cultures; 2007.
Markusen A, Wassall G, DeNatale D, Cohen R. Defining
tributes to innovations in economy and society the creative economy: industry and occupational
(Campbell 2019; Carayannis and Campbell approaches. Econ Dev Q. 2008;22(1):24–45.
2014). Montgomery J. Beware ‘the creative class’. Creativity and
wealth creation revisited. Local Econ.
2005;20(4):337–43.
Nathan M. Wrong in the right way? Creative class
Cross-References theory and city economic performance in the
UK. In: Lovink G, Rossiter N, editors. MyCreativity
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Institute of Network Cultures; 2007. p. 125–42.
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▶ Creativity and Labor across nations: the preeminence of corporate culture.
▶ Creativity, Innovation, and Economic Crises J Mark. 2009;73:3–23.
▶ Creativity, Knowledge, and Innovation: The The Recession and the Arts. New York: Alliance for
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▶ Quality of Democracy and Innovation Warner AM. Economic creativity. The global competitive-
ness report 2000. New York, Oxford: Oxford Univer-
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Wilson N. Social creativity: re-qualifying the creative
Bowen H, Moesen W, Sleuwaegen L. A composite economy. Int J Cult Policy. 2010;16(3):367–81.
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Palgrave Macmillan; 2019. (https://link.springer.com/ Creativity for Compassion and
book/10.1007/978-3-319-72529-1 and (https://www.
palgrave.com/de/book/9783319725284)
Compassion for Creativity
versus emerging autocracies: arts, democracy, and Kyung Hee Kim and Joshua Wilson
innovation in Quadruple Helix Innovation Systems. The College of William & Mary,
J Innov Entrep. 2014;3:12. (http://www.innovation-
entrepreneurship.com/content/pdf/s13731-014-0012-
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Coy P. The creative economy. BusinessWeek, 08/21/2000. Synonyms
2000;(3696):76–82.
and a crisis of the economy. J Knowl Econ. Big-picture thinking; Considering others;
2012;3(1):1–24. Empathy
596 Creativity for Compassion and Compassion for Creativity
Creative Climates, Attitudes, and perspective and situation. It allows for under-
Thinking Skills standing and sharing with another person without
needing to agree with the emotion of the person
CATs embodies the three steps that lead to inno- (Kim 2016; Allemand et al. 2014). It is different
vation: first, cultivating creative climates; second, from sympathy in that a person displaying sym-
nurturing creative attitudes; and third, applying pathetic behavior acknowledges the situation of
creative-thinking skills. It is an acronym that another person but does not alleviate the pain felt
stands for climates, attitudes, and thinking skills. by the person. High levels of empathy are associ-
Climates refer to a creators’ physical and psycho- ated with various positive outcomes including
logical environments. The 4S climates (soil, sun, increased social interaction, maturity, successful
storm, and space) impact how creators’ think and relationships, life satisfaction, and physical and
behave, which either encourages or discourages emotional healing (Kim 2016; Bayne et al. 2013;
the development of their creativity. The ways in Gottman 1998; Ayele et al. 2014; O’Brien et al.
which creators react to the different climates are 2009; Vachon et al. 2013).
their creative attitudes, which include creators’ Empathy enables creators to imagine the
characteristics, beliefs, and visions. The 27 crea- perspectives of others rather than a single narrow
tive attitudes enable creators’ creative-thinking vision. It allows creators to contemplate viewpoints
skills, and they are greatly influenced by their that differ from their own, which gives them the
climates. Among these creative attitudes, the com- opportunity to consider the thoughts and sentiments
passionate attitude is essential and facilitates or is of others. It also helps them reduce bias by thinking
facilitated by the emotional, self-reflective, and broadly and finding the value in diverse opinions
big-picture thinking attitudes (Kim 2016). and ideas from a wide array of individuals. Instead
of rejecting diverse opinions, creators’ empathy
enables them to incorporate different perceptions
Emotions for Creativity into their own understanding and helps them exam-
ine their own relationship to society as a whole.
Emotions affect creativity more often than cogni- Understanding a larger view helps creators learn
tive or other rational factors. Creativity requires from their own and others’ experiences and adjust
empathy and expressiveness to touch and move their skills and thoughts to new developments in a
the emotions of others. Creativity evokes emo- variety of public and personal forums. Empathy
tions both within the creator and the audience in fosters their self-reflective skills and communica-
which the creator seeks to find meaning within the tion practices which are integral to developing cre-
world as applicable to both themselves and others. ative thinking. Empathy also allows creators to be
Creators are attentive and sensitive to the needs of effective in achieving their individual passions and
others. Creators are able to experience deep emo- goals by meeting and learning from unique people
tions and are sensitive to stimulation and the envi- and bonding with mentors. It also helps them
ronment. They learn to recognize and understand understand verbal and nonverbal cues for effective
the inner feelings of themselves and others, and negotiations and problem-solving. This allows
then they develop skills to articulate their own them to recognize and understand what their audi-
emotions and thoughts by expressing their sentience or customers really want and need when
ments (Kim 2016). developing an idea, product, or service (Kim
2016; Gellat 1995; Moore 2005; Kohut 1984).
Empathy and Compassion for Creativity From Empathy to Compassion

Compassion extends beyond empathy by actively
Empathy seeking positive outcomes and externally
Empathy is experiencing the emotions, feelings, expressing internal empathy. Compassionate cre-
and thoughts of others by imagining their ators empathize with others who are suffering
Creativity for Compassion and Compassion for Creativity 597
while simultaneously displaying a desire to alle- fluent, flexible, original thinking skills, which
viate the pain of the sufferer (Kim 2016; Lee helps them present information in a larger context
and Dow 2011). Creators use early inspirations by recognizing patterns and relationships among
to inspire the world later. Their inspiration sparks the various parts. This creates a framework for
energy that shines brightly throughout their lives. unique synthesis to occur, which is a newbox
They are also more curious than those without thinking skill. Big-picture thinking allows crea-
compassion, and the combination of both com- tors recognize their larger place in the world and C
passion and inquisitiveness drives their creative sustain their optimistic view of how their creation
endeavors (Kim 2016). may benefit the greater good of the community,
the nation, or the world (Kim 2016).
Compassion and Big-Picture Thinking

for Creativity Compassion and Creativity
Compassion Enhancing Big-Picture Thinking Among the 4S climates of the CATs model, storm
Compassion helps creators remain optimistic, be and space climates are essential for nurturing
self-inspired, externally grow, and improve the empathetic and compassionate creators. Creators
world with their passion. Curiosity and compassion who overcome challenges and adversities in
enable creators to develop big-picture thinking, the storm climate and experience the freedom to
which include thoughts that are inspired by others’ be alone and unique in the space climate often
words, deeds, or values. These two traits assist cre- develop empathy and express compassionate
ators in seeing the broad conceptual ideas beyond behavior (Kim 2016; Lim and DeSteno 2016;
traditional constraints (Kim 2016; Neff et al. 2007). Shlafer et al. 2009). They develop resilience and
Big-picture thinking is being engrossed in ideas that compassion by overcoming their challenges and
are holistic, distant, futuristic, and imaginative. It is adversities including family failures or financial
thinking away from me (people or things different crises, physical or mental disabilities, or even the
from me), away from here (far-away problems), death of a loved one. Their resilience enables them
away from now (future problems or plans), and to overcome challenges in their long creative pro-
away from reality (unlikely or imaginative things). cess and their compassion enables them to accom-
These different methods of reflection allow creators modate for life’s uncertainties. Their compassion
to think with an abstract mindset, beyond biases, extends beyond personal sentiments to the larger
assumptions, or other constraints, which opens the world, which allows them to use their creative-
mind to uncertainties, possibilities, and opportuni- thinking skills to benefit the larger community,
ties and therefore leads to greater creative thinking nation, and the world (Kim 2016; Gellat 1995;
(Polman and Emich 2011). Arnot et al. 2009; Ellerbock and Kiefer 2010).
Their passion to create is strengthened by their
Big-Picture Thinking Enhancing Compassion compassion and perspectives of others and their
Big-picture thinking facilitates creators’ compas- needs. By incorporating outside perspectives,
sion by exposing them to a broad world, which they develop their own sense of purpose and
allows them to have various experiences and understand that their role in society as merely a
find the lessons in every experience. Engaging in part of the larger world (Grant 2008). It allows
multiple experiences increases creators’ scope of them to consider the wide range of human person-
attention and directs their interest outwards to the alities and how their actions have the ability to
wider world instead of narrowly focusing on impact society as a whole. Their compassion
minute details. Big-picture thinking helps creators helps them examine the lives of others, alleviate
learn unique ideas, build relationships, and gain the suffering of those in pain, assist those in need,
insight by seeking input from diverse sources. It and find fulfillment and meaning in helping others
allows them to unfetter their mind and increase (Malin et al. 2014).
598 Creativity for Compassion and Compassion for Creativity
Compassion leads creators to strive to help or distraction and recognize the validity of their
others which furthers their own creativity and emotions within the greater world. Third, creators
results in taking bigger risks and impacting more must engage exercise compassionate behaviors
people. Conforming to the status quo is often in both real and imaginary situations with the
easier than taking risks and sacrificing one’s con- opportunities to consider how others may feel in
ventional life. Yet, the compassion of creators both situations. Creators must practice how to
combined with their values, principles, ideals, appropriately respond to similar situations while
and beliefs, are powerful sources of internal cour- providing others with positive solutions or alter-
age. They believe in order to achieve their goal, native views to help themselves. Fourth, creators
risks are worth taking. They push limits, do things must work on collective or independent projects
differently, or develop something new. They are in which they incorporate and/or respectfully dis-
willing to face rejection and directly confront agree with others’ ideas (Chappell et al. 2012).
adversity to transform their wild dreams into real- Fifth, facilitated by an instructor, creators should
ity (Kim 2016). be encouraged to post writings and subsequent
responses on a secure website that considers
their own and/or others’ alternative views which
Conclusions and Future Directions they can elaborate on further (Ducate and
Lomicka 2008); imagining themselves as histori-
Both compassion and creative-thinking have cal figures (Allemand et al. 2014); and connecting
declined among young people today in the USA. their online behaviors to larger school and local
More young people are encouraged to succeed communities, the nation, and the world (Arnot
in academic, athletic, or artistic competitions et al. 2009).
with their peers than to express their compassion
for others. They are often rewarded when they
suppress or abandon compassionate behaviors Cross-References
in favor of victories. In contrast to sentiments
expressed during the 1970s and 1980s, today’s ▶ Creative Attitudes: The 4S (Soil, Sun, Storm,
young people are self-centered and consider and Space) Attitudes
themselves and their lives to be of utmost impor- ▶ Creative Climates: Soil, Sun, Storm, and Space
tance (Nicholl et al. 2013). Only less than 30% Climates
of young people between the ages of 18 and ▶ Creative Thinking Skills: Inbox, Outbox, and
25 believe life’s purpose should be to offer assis- Newbox (ION) Thinking Skills
tance to society. Yet, over 64% of the same age ▶ Decrease in Creativity
group believe that wealth is the most important
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roles, shifting priorities, and creating pathways. J Res this literature, the concept of innovation is often
Adolesc. 2014;24(1):186–99.
Moore DA. Myopic biases in strategic social prediction: associated with novelty and the added value pro-
why deadlines put everyone under more pressure than vided by new products, processes, or services to
everyone else. Personal Soc Psychol Bull. 2005;31(5): groups or individuals. This viewpoint is clearly
668–79. present in the third edition of the Oslo Manual
Neff KD, Rude SS, Kirkpatrick KL. An examination of
self-compassion in relation to positive psychological (2005) which defines innovation as “the imple-
functioning and personality traits. J Res Pers. 2007; mentation of a new or significantly improved
41(4):908–16. product (good or service), or process; a new mar-
Nicholl B, Flutter J, Hosking I, Clarkson PJ. Joining up keting method, or a new organizational method in
the DOTs: authentic teaching and learning in design
and technology education. Camb J Educ. 2013;43(4): business practices, workplace organization or
435–50. external relations.” Elsewhere the same reference
O’Brien TB, DeLongis A, Pomaki G, Puterman E, to novelty is used to describe creativity, “the cre-
Zwicker A. Couples coping with stress: the role of ative process is seen as the sequence of thoughts
empathetic responding. Eur Psychol. 2009;14(1):
18–28. and actions that leads to a novel, adaptive produc-
Polman E, Emich KJ. Decisions for others are more creation” (Lubart 2010). This type of ambiguity and
tive than decisions for the self. Personal Soc Psychol confusion in the definitions of the two concepts is
Bull. 2011;37(4):492–501. often encountered in many related works.
Shlafer RJ, Poehlmann J, Coffino B, Hanneman A.
Mentoring children with incarcerated parents: implica- The confusion is further maintained by the fact
tions for research, practice, and policy. Fam Relat. that research in the fields of creativity and inno-
2009;58(5):507–19. vation addresses similar questions. For example,
Vachon DD, Lynam DR, Johnson JA. The (non)relation
between empathy and aggression: surprising results
the Organisation for Economic Co-operation and
from a meta-analysis. Psychol Bull. 2013;140(3): Development (OECD) definition of innovation
751–73. defines three levels of “new”: new to the world,
600 Creativity from Design and Innovation Perspectives
new to a nation, and new to the firm. Thus, this Creativity as a Process
raises the question of whether a product or
process that is new to a particular nation, geo- Interest in research linked to the field of creativity
graphic, or political region can be considered began to grow in the 1950s. In 1950, Guilford
innovative in the same manner as a product or emphasized the scarcity of research on creativity:
process that is new to the world and therefore less than 0.25% (only 183 among 121,000
obviously innovative (Holbrook and Hughes abstracts) of the entries in Psychological Abstracts
2003). Such a question is also considered to for the preceding 23 years dealt with the subject of
be central in creativity research focusing on creativity (Guilford 1950). He then went on to
the analysis of creative products (MacKinnon underline the social importance of creativity and
1978) and on the challenge of comparing two invited his colleagues to develop research on the
novel ideas to show which one is the most topic.
creative (Boden 1996). Moreover, the ambigu- Since then theories on creativity have focused
ity between the concepts of creativity and inno- on a variety of aspects. Rhodes was the first, in
vation is accentuated as they seem to 1961, to note that there are four fundamental areas
correspond to distinct processes, the first of inquiry in creativity research. He called these
being the starting point of the latter (Amabile areas the four Ps of creativity, referring to person,
et al. 1996). product, place, and process.
In an attempt to clarify the notions of creativ- The first one focuses on the characteristics of
ity and innovation, the design process can be the creative person which, related research shows,
considered as the central process of innovation tends to have such characteristics as risk taking,
as claimed by Kline and Rosenberg, “the central autonomy, humor, open-mindedness, tolerance of
process of innovation is not science but design” ambiguity, curiosity, etc. Researchers have also
(Kline and Rosenberg 1986). Multiple recent studied creativity aspects linked to the creative
studies confirm Kline and Rosenberg’s statement product, “the starting point, indeed the bedrock
by providing pragmatic evidence that design of all studies of creativity, is an analysis of crea-
plays a major role in innovation. For instance, a tive products, a determination of what makes them
recent survey of Swedish companies shows that different from more mundane products”
firms that use design activities geared toward (MacKinnon 1978, p. 187). The focus on place
innovation as a strategic driver are five times considers the best circumstances which nurture
more likely to develop new products as com- creativity; these include degrees of autonomy,
pared to firms that do not (Swedish Industrial access to resources, and the nature of gatekeepers.
Design Foundation 2008; European Commission The final P, process, examines the thinking stages
2009). Moreover, these firms increase their occurring when people behave in a creative man-
chances of developing radical innovation (Irish ner; this aspect has been principally studied in
Center for Design Innovation 2007; Tether psychology and cognitive science. To consider
2009). creativity as a process means adhering to a tradi-
This entry aims to explore the relationship tion of thought that diverges from the myth of
between creativity, design, and innovation. To creativity being a matter of divine inspiration
this end, the first part develops a short state of (Sternberg and Lubart 2005).
the art review of creativity and the point of view of A way of considering creativity as a process is
creativity as a process. Then, design is presented through a widely accepted model which was intro-
as a process and considered in its creative charac- duced by Wallas and Smith (1926) initially in the
ter. In the third part, the link between creativity form of four stages:
and design is made through the notion of
ingenium. Finally, the entry introduces a new 1. Preparation to a problem: Focuses the mind of
manner of considering creativity from a design- individuals and explores the problem’s
centered perspective. dimensions.
2. Incubation: The problem is internalized into been proposed by Finke et al. (1992). This model
the unconscious mind; nothing appears to be decomposes this loosely organized process into
happening externally. generative and exploratory subprocesses. The gen-
3. Intimation: The creative person has a “feeling” erative subprocess includes knowledge retrieval,
that a solution is coming. idea association, synthesis, transformation, and
4. Illumination: Eurêka! The creative idea bursts analogical transformation. The exploratory sub-
forth from preconscious processing into con- process includes interpretation of reinventive struc- C
scious awareness. tures, hypothesis testing, and searching for
limitations. These different subprocesses are com-
This initial model was later completed with a bined together in the form of iterative cycles lead-
fifth stage: ing to creative results. The relationships between
the phases and subprocesses of the creative process
1. Verification: The idea is verified and elaborated are complex because they operate almost always
and starts toward an application. simultaneously.
The necessity of analyzing the creative process
Further developments include Guilford’s from different viewpoints and perspectives is also
model which underlined the distinction between emphasized by Sternberg and Lubart (2005,
convergent and divergent thinking (Guilford p. 12). They note that “unidisciplinary approaches
1967) and Amabile et al. (1996) who suggested have tended to view a part of the phenomenon
that it is important to distinguish a problem- (e.g., the cognitive processes of creativity, the
finding or problem-formulation phase, in which personality traits of creative persons) as the
relevant information is gathered and preliminary whole phenomenon; often resulting in what we
ideas are proposed, from the preparatory phase. believe is a narrow, unsatisfying vision of creativ-
Other authors have also considered that more ity.” Considering creativity from a multi-
detailed subprocesses are involved in creativity dimensional perspective leads to a better
such as perception and information encoding understanding of the creative process and to a
using heuristics as well as the process of forgetting more complete picture of its dynamic. In order to
which has been found to play a role in overcoming push forward this initial state of the art, the further
initial mental fixations. The process of sections focus the design process and later its
reorganizing information as part of creative think- interdependence with the creative process.
ing has also been considered.
Furthermore, according to Mumford et al.
(1991), the phases introduced by Guilford and Design as a Process
Amabile occur in a certain kind of approximately
organized sequence. In the case of problem formu- Defining design from its results makes little sense
lation, they involve the stages of problem construc- as designed artifacts have varied characteristics.
tion, search for relevant information, information They can be produced in varying numbers (from
retrieval and encoding, specification of best fitting unique large structures to mass-produced goods),
categories of information, combination and reorga- vary in terms of user perception (be surprising or
nization of category of information to generate new commonplace), be tangible or intangible (goods
solutions, idea evaluation, implementation of vs. software), be produced on varying scales
ideas, and monitoring. According to the same (from nanoparticles to macroscopic-level environ-
authors, this fuzzy organization explains, to a ments), act passively or actively, bring positive or
great extent, the variance in the creative perfor- negative additions to life, etc. This list of traits of
mance during problem-solving tasks related to the existing artifacts is, of course, easily expandable
study domains; these included advertising, mana- but such a list is useless unless one wants to create
gerial, and public policy. A model sharing numer- an exhaustive typology or taxonomy of a set of
ous commonalities with the model of Mumford has artifacts. If design cannot be defined purely from
its outcome, there is nevertheless a converging 2. Preliminary reflection: This stage aims to
vision of design seen as a process (Design Council understand and clarify the need, in other
1995; Love 2002; European Commission 2009). words, to define the problem and the design
The starting point of this process is a need environment. This involves setting up a func-
(Simon 1997) that cannot be satisfied immediately tional analysis process for the new product in
by taking resources from nature, by buying or by order to list the different functions to be
applying traditional routines (Micaelli and Forest fulfilled.
2003). In other words, in order to understand what 3. Feasibility study (preliminary project study):
an artifact is, one should first understand its pur- This stage looks for possible solutions for
pose, “what is it made for?” Indeed, a specific each of the functions listed as needing to be
feature of designed artifacts is that their essential fulfilled and evaluates some of the possible
purpose is to be used and to serve users. The first combinations.
attribute of an artifact is therefore its function rather 4. Search for a global solution by assembling
than its organic composition or its concrete struc- solutions to each function: This stage involves
ture. The adaptation criterion is the adjustment some dimensioning of the product.
level to a need, defined as an “external constraint.” 5. Final design: The objective is the production
As a consequence, a designer’s main assignment and verification of a final design.
does not consist in producing perfect artifacts or
artifacts that copy nature as closely as possible; it The design process is an integrative process
resides in producing functional artifacts that prop- considering and merging together multiple expec-
erly fit particular needs (Coatanéa 2005). To sum tations such as the functionalities, the aesthetic,
up, a function is seen as a connection made security, and environmental aspects as well as,
between the “inner environment” of the artifact from an architectural point of view, multiple com-
and its “outer environment” by way of “interfaces” ponents or subsystems. Due to its complexity and
(Simon 1997). The verification of the functions of to time and resource constraints, the design activ-
the artifact is made by the analysis of its behavior. ity is seldom a process involving an isolated actor.
The artifact has to fulfill an expected behavior. It relies, on the contrary, most of the time on the
For designers, this implies the use of deduction cooperation of numerous designers with different
in order to select the adequate principles and avoid expertise and competences. Design is a process
non-desired effects associated with physical prin- where creativity plays a central role; the following
ciples. The justification of the design decisions section dwells on this aspect.
related to artifacts has to be supported by a ratio-
nal analysis. This rational approach has been
developed and explored in the 1980s by the Sys- The Creative Nature of Design: Ingenium
tematic Design School (Pahl and Beitz 1984) and
in a certain extent by the Value Analysis School One of the essential properties of design is its
(Gage 1967) in the 1950s and 1960s. This explo- creative nature; this aspect has been clearly
ration has produced guidelines structuring the marked by several authors (Medyna et al. 2009):
design process. These guidelines are now largely “Design involves (. . .) the presence of a creative
used in industry. Commonly these guidelines sep- step” (Archer 1984); “all designing is iterative,
arate the design process into five key phases: using creativity and compromise to move from a
field of possibilities to one unique solution” (Roy
1. Evaluation and selection of ideas: The objec- and Wield 1986); “Design is a structured creative
tive of this first stage is to use the firm’s knowl- process” (UK Department of Trade and Industry
edge of its market to identify a promising idea 2005); “Design is a creative activity whose aim is
and to insert this new product idea into the to establish the multi-faceted qualities of objects,
firm’s “strategic objectives and business sec- processes, services and their systems in whole life
tor” (Perrin 2001, p. 117). cycles” (ICSID 2009). Considering the creative
nature of design leads to the rehabilitation of a relationships between creativity, design, and inno-
kind of reason Western tradition seems to have vation need to be clarified in new terms. This
forgotten (Faucheux and Forest 2011). It was rec- perspective modifies, for example, the viewpoint
ognized by Vico through his notion of ingenium proposed by Swann and Birke (2005). In their
and similar to a form of thinking the Greeks called interactive model (Fig. 1), creativity and design
metis. are linked to innovation as the first contributes to
In De Nostri Temporis Studiorum Ratione the expansion of available ideas, and the second C
(1709), Vico defines ingenium as the ability to increases the chances of successfully commercial-
understand the relationships that exist between izing these ideas. Furthermore, in the same model,
separate elements of reality, therefore establishing creativity directly influences design and appears
relationships between disparate things or concepts. to be a prerequisite for it, while design similarly
It can be defined as the ability to associate in an directly influences innovation.
effective way scattered items (concepts, things, Recognizing ingenium as the creative rational-
technologies, knowledge domains, etc.). As such, ity involved in design shows, however, that design
it is the faculty to bring together different perspec- can no longer be described as a process linking
tives, to make distinct domains closer, and to find creativity to innovation channeling ideas for com-
and explore relations that none have previously mercial advantage. Creativity becomes a funda-
made. Creativity as a whole does not necessarily mental component of a more global process – the
equate to ingenium. Ingenium is a way of thinking a design process – which is itself the central process
kind of rationality, involved in design. According of the innovation process.
to Vico himself, ingenium explains how the main More precisely, different creative episodes
Western inventions of the end of the Middle Ages occur during the design process that could be
and the Renaissance (e.g., Brunelleschi’s works) considered as sub-creative processes. The nature
were created. Contemporary researchers in innova- of the relationships built during the successive
tion (Nonaka 1994; Maskell 2001; Antonelli 2006; steps of the design process leads to the conclusion
Nooteboom et al. 2007) consider knowledge com- that ingenium is a way of thinking which is used
bination, close to the notion of ingenium, as the during the different phases of the design process
very origin of innovation. creating the link between the firm’s knowledge
and a market during the first phase of the design
process and then establishing links between the
Contribution of a Design-Centered future product and its outer physical environment,
Perspective for Understanding directly concerning functions. A third type of
Creativity from a Holistic Point of View links is established mainly during the third phase
where physical structures have to be imagined for
If creativity and the notion of ingenium are con- fulfilling functions and steadily linked to those
sidered as attributes of the design process, the functions by the application of some form of
Creativity from Design

and Innovation R&D Innovation Productivity
Perspectives,
Fig. 1 Interactive model of
the design process (Swann
and Birke 2005)
Design
Creativity Creative Business

climate Performance
deduction. In the fourth phase, the assembly of function modeling is often not immediately per-
components is a form of ingenium. Finally, during ceived by practitioners. It is often considered
the entire design process, and specifically during more efficient and more immediately rewarding
the last phase, problems have to be regularly to quickly represent a solution in a 3D CAD
considered using creative problem-solving appro- software tool, instead of taking time to abstract
aches (Choulier and Weite 2011). the solution in the form of a function model.
Additionally, the function models when devel-
oped can quickly explode and become difficult
Two Schools for the Design Activity: to manage; function modeling is often seen as a
Model-Based Design and Design source of wasted time.
Thinking The tension existing in engineering design, to
produce tangible solutions in a limited amount of
Several schools of design are existing. They are time under fixed resources, is source of trade-off
mainly differentiating themselves from the point between deep modeling and modern simulation
of view of their relations with models in general. tools favoring creativity and innovation such as
Design thinking, in particular, is relying system- the DACM platform (Dimensional Analysis Con-
atically on prototyping when system engineering ceptual Modeling) (Coatanéa et al. 2016) and fast
or traditional engineering design is relying on prototyping allowing incremental design innova-
another form of modeling, a more formal form tion and improvements.
of modeling. This formal form of modeling is This tension doesn’t have to be eliminated. It is
probably more adapted to the design of complex inherent to the design activity in general. Modern
systems when the Design Thinking approach best modeling and simulation approaches that can be
efficiency can be obtained for rather limited prob- used at early design stages when problems are still
lems in scopes. It appears from this initial analysis poorly understood and described can fruitfully
that perhaps function modeling better grasps the integrate those design’s needs without limiting
overall picture of a complex problem. Neverthe- innovation and creativity.
less, its utility is not perceived as so visible in A creativity and innovation process relying on
more limited or specific design problems. Why analysis of weaknesses present in previous design
so different practices in design? Why in particular solutions is favored because incremental innova-
so little usage of the concept of function in design tion is more frequent and common in engineering
thinking and so intensive usage in system design. Disruptive innovations are often based on
engineering? resolving weaknesses of previous design
Function modeling is an attempt to abstract and solutions.
formalize design problems to understand the As described in the FBS model (Gero 1990),
nature of the problem better, but at the same the present section claims that an innovative
time, there is a need especially because of the design process is requiring an interplay between
nature of design to provide solutions for pro- solutions and abstractions, the starting point being
totyping and simulating in order to implement most of the time an existing solution.
solutions in form of structures. How to combine
the need for abstraction, especially in complex
design projects, and the specific design require- Conclusions and Future Directions
ment to implement concrete solutions?
The design activity is always balancing The previous analysis highlights the complex
between those two requirements. As mentioned links between the notions of design, creativity,
by Tomiyama and his colleagues in “Making and innovation. Creativity cannot be considered
function modeling practically usable” as separate from design, but rather it must be
(Tomiyama et al. 2013), the added value of considered as part of the processes of design and
innovation. The form of creativity involved dur- References

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Creativity in Invention: Theories 607
accumulation. The view that creativity is more the human behavior, clearly promote different crea-
result of an enduring process has led to many tive ideas in different contexts resulting in differ-
attempts to identify phases of creative thinking ent standards regarding what is to be considered
(Funke 2009). Today, however, phases or stage relevant creativity and what is not.
models of the creative process seem dated. Over the past two decades, creativity research
Instead, the focus is on multiple subprocesses of has become more refined regarding the different
creativity such as problem finding, problem for- domains in which it is studied, and it is clear that C
mulation, problem redefinition, generation of we need to also take into account the specific
alternative ideas (divergent thinking), combining contexts and institutions that determine creativity
information, synthesis work, perception, and in invention as understood in the domain of inno-
information encoding. In addition, it seems as if vation and entrepreneurship. Thus, we here
multiple subprocesses may be combined in differ- assume that differences between tasks lead to at
ent ways in order to lead to creative paths (Lubart least some differences in the creative process and
2000–2001). that creativity to some extent is domain
The problems of defining the concept of inven- specific. When specifically dealing with creativity
tion have been stressed by many researchers, an in invention such as new devices, methods, or
insight that has caused still more of them to refrain processes developed from study and experimen-
from it altogether (e.g., Gilfillan 1935). Here, the tation, as well as in innovation, that is, the imple-
definition of invention will be the broadest possi- mentation of a new or significantly improved
ble and thus assumed to signify anything made product (good or service) or process, a new mar-
different from everything already existing, any keting method, or a new organizational method in
thought, practice, or material manifestation that business practices, workplace organization, or
is new because it is qualitatively different from external relations, the applicable institutions
existing or historical forms. Note that some inven- reward creativity leading to potential realization,
tions may remain as mental organizations exclu- business opportunities, and commercialization.
sively because of their nature, whereas others may It has correctly been pointed out that inven-
be materialized. Likewise, this definition does not tions may be abundant in a specific culture with-
limit inventions to technical novelties. Instead, out ever being developed into innovations. One
any type of novelty introduced to any type of often cited example is ancient China where a lot of
practice such as literature or art may be called an techniques such as paper, gunpowder, and print-
invention. Inventions as defined here may also ing were invented but more seldom implemented
well include ideas, explanations, and theories, as on a broader scale. Thus, it is possible to have
well as social institutions and organizations. inventions in abundance and still lack innova-
In order to be called an invention, however, it tions. Nevertheless, inventions are a necessary
needs to be genuinely and globally new. It does precondition for innovations. From this perspec-
not suffice to create something already existing tive, creativity in invention that never ever leads to
but unknown to the inventor through so-called products or services with possibilities of being
personal creativity. For inventions, the so-called commercialized is thought to be of lesser value
historical creativity is the more relevant form, than that which does. The theories reviewed in
leading to new and hitherto nonexistent entities this entry have all been selected because of their
(Csíkszentmihályi 1996). Departing from this relevance from this specific perspective and thus
narrower definition of creativity, it is likewise only constitute a small subset of theories of
important to point out that creativity is sought creativity.
for and acclaimed in many different contexts, The concept of innovation usually denotes the
from the world of sports to literature and science. process that takes place when a new product or a
Although it has been claimed that creativity in new process is developed, from idea to market,
science and art is one and the same, different while the concept of invention only denotes the
institutions, that is, social mechanisms that govern process that takes place when new ideas or
608 Creativity in Invention: Theories
solutions are generated per se (Tidd et al. 2001). realization and commercialization. Thus, creativ-
Thus, invention is assumed to precede innovation, ity in all types of invention to some extent needs to
which in its turn is assumed to precede implemen- take into account the calculated consequences of
tation, that is, the process that takes place when a the realization of the invention in question, some-
product or a process is adjusted and further devel- thing not always the case when discussing crea-
oped to fit market conditions. Although invention tivity in other areas such as art or literature. This is
is thought of occurring early in the context of even more the case for creativity in innovation and
innovation and entrepreneurship, creativity, entrepreneurship. So even if the concept of inven-
departing from the broad definition used here, tion is defined in broadest possible way, the scope
occurs throughout the whole area of invention, of creativity in invention can be narrowed down
innovation, and entrepreneurship activities. The and classified according to explanations of the
causal linearity between these entities is more of emergence of inventions. Most commonly, theo-
a historical construct than an empirical observa- ries propose that (technical) inventions occur in
tion (Godin 2006). the context of problem-solving as in neoclassical
In the literature, it is moreover common to economic theory. Other theories point out individ-
introduce distinctions between different types of ual creativity that can be spurred by organizational
inventions such as radical versus conservative and social conditions.
(incremental) or independent versus routine,
both regarding perceived extent of change
(Abernathy and Clark 1985). Here, the former Perspectives, Theories, and Models
denotes inventions leading to radically new
forms of systems and behavior with examples as Creativity in invention from the perspective of
the telephone or the automobile, and the latter innovation and entrepreneurship can appear in
denotes inventions or innovations that in one many different forms. It can, for instance, be a
way or another improve existing systems and novel combination to solve an old problem such
behavior. Another common distinction is often as Samuel Langley’s use of aerodynamics and
made between product and process inventions power engines to construct a flying machine for
(or innovations) regarding what is changed. humans rather than mimicking natural flight with
Here, product inventions are seen as a new thing muscle power as pursued by different nonhuman
or service, while process inventions are seen as organisms. Or it can include the novel application
changes in the ways in which they are created, of customer skills as in flat-pack furniture to
produced, and delivered (Tidd et al. 2001, p. 8). achieve lower prices and avoid bulky packages
An important tendency regarding this distinction as developed by IKEA.
is that it seems as if the rate of product innovations Theories of creativity in invention range from
is high and the rate of process innovations is low the very broad to the very individual. At the
in the early phases of a new industrial sector or broadest end, domain-general cultural theories
product class. Later though, it seems as if this is are found such as anthropologist Cavalli-Sforza
reversed so that product innovations become less (2001) that cultures where the transfer of infor-
frequent and process innovations more so mation predominantly takes place between
(Utterback and Abernathy 1975). (Another cate- people in the same generation – horizontal or
gory sometimes added on to these two is organi- intragenerational – which tend to be dynamic
zational invention (and innovations), which is and changeable compared to cultures where the
then considered likely to be more frequent after information is disseminated between generations,
the rationalizing of both product and process.) vertical or intergenerational, which tend to be
When discussing creativity in invention, how- preserved and to be less prone to change since
ever, we seem to deal even more frequently with older generations teaching the younger ones tend
uncertain ideas that have yet to be tested and to conserve traditions and customs. This idea can
evaluated from the perspective of potential be expanded with the insight that some basic
knowledge should probably be transferred verti- pinpoint views on creativity in invention, more
cally in order to form the basis for a more accurate specifically (Rosenberg 1982).
and effective exchange of knowledge, for In common, however, is the idea of periodic
instance, reading and writing. crises of commercial activities leading to destruc-
In the context of creativity in invention, impli- tion of capital, production, and productive forces
cations are even less clear, and it is an open issue followed by creativity in invention generated by
whether intergenerational transfer of knowledge exploitation of new markets and new forces of C
about creativity promotes invention or not. In fact, production. Joseph Schumpeter (1942) for one
theories of cultural determinism can be interpreted made use of the notion of temporality in inventive
as implying little or no room at all for creativity in activities when popularizing the concept of crea-
invention (McGee 1995). In conjunction with tive destruction and pointing out the entrepreneur
Cavalli-Sforza’s theory of information transfer as the force behind the transformation of inven-
are ideas of creative inspiration generated by tions into innovations paving the way to further
changes in the external environment, for instance, creative destruction and new inventions.
through migration to new physical and ecological Institutional conditions for inventive activities
environments or encounters with other cultures. are often assumed to be more specifically defined
The same may be true for material artifacts and in theories of creativity in invention. A widely
systems that are transferred from one social con- accepted idea is that market conditions, that is,
text to another and in the process generate crea- competition between inventions, with their inher-
tivity in the new setting. ent profit motives almost guarantee a drive for
Theories of somewhat lesser scope involve creativity leading to new inventions. Demand
institutional environments. Karl Marx, for generates powerful economic incentives for the
instance, argues that capitalists invent because development of new technologies – whether it
they are forced to do so by competition and they solves a problem of such a scale that the invention
are able to innovate because they can draw on a is likely to sell itself or needs commercials to be
stock of inventions and on science (Elster 1983). put on the market – a notion often summed up
Marx also introduces the concepts of forces of under the concept of neoclassical economic the-
production and relations of production arguing ory. And if a technology fails to emerge, it can
that forces of production (often interpreted as always be explained by the too high investments
science and technology) over time always depart needed to realize it, for example, time machines or
from being in correspondence with the relations of until recently space tourism. Thus, demand is a
production. This process implies that forces of necessary but not sufficient condition for the real-
production sooner or later will become in contra- ization of an invention in neoclassical economic
diction to the relations of production. These con- theory.
tradictions may take many forms such as crisis or Economist Ester Boserup (1965) has pre-
lead to too many restrictions on changes in the sented a variant of this idea stressing the demo-
forces of production. The general problem for graphic environment when analyzing new
those interested in Marx’ theory of invention is technologies of agriculture. She claims that new
that the factors behind the changes in forces of methods and technologies for growing provi-
production are described differently in different sions are invented only under pressure of lacking
texts. In some, it is claimed that contradiction resources, which occur when the population
between forces and relations of production only grows to such an extent that existing methods
appears when all productive forces for which and technologies do not suffice to supply the
there is room (within a set of relations) have food needed using the land at hand. Boserup’s
been developed. In other texts, innovative activi- originality lies in her view of the necessity of an
ties are regarded as springing from the inner indi- imperative force stronger than demand to explain
vidual sources. Marxian theory comes in many invention, in the case of agrarian technologies,
different shapes and colors, making it hard to demographic pressure.
Departing from the economic environment, seen as genetic variation with or without involv-
economic historian Nathan Rosenberg has ing creativity, whereas the mechanisms of deci-
pointed out certain features that both promote sion made on a market as well as the institutions
and constrain creativity such as the existing surrounding it correspond to selection pressure
technologies and its institutions. In reaction to exercised by the environment in natural selection
neoclassical theories where scientific and techno- acting blindly on a set of inventions. Inventions
logical change is entirely endogenous to eco- are continuously tried in an existing environment
nomic forces (Schmookler 1966), he stressed and the one that on the whole is most efficient for
their exogenous character (Rosenberg 1974). To the time being is adopted until the environment is
some extent, scientific and technological changes changed to favor some other invention or new
are endogenous to economic factors, not the least alternatives emerge that prove more efficient
in a world where new technologies and scientific again.
results to a large degree depend on material A more sophisticated version is represented by
resources such as laboratory equipment. On the evolutionary economic theories where a company
other hand, Rosenberg argues, economic demand is viewed as a phenotype that is fitted to a chang-
does not entirely decide what knowledge is ing economic environment where fitness now is
acquired and what is not. There is an independent defined as profitability. And if the firm corre-
and non-negligible supply side of science and sponds to the phenotype, then routines within
technology changing along lines determined by the firm corresponds to the genotype of a particu-
other factors than economic that “imposes signif- lar firm (Nelson 1995). In most evolutionary
icant constraints or presents unique opportunities models, the company employs scientific methods
which materially shape the direction and the and information, as well as other means to make
timing of the inventive process” (Rosenberg processes and products fit existing (market) con-
1974, p. 95). Similarly, it has been claimed that ditions better. In evolutionary economic theories,
market incentives leave room for scientific the firm may adjust their fitness (profitability)
research carried out without motives of rent seek- consciously and according to carefully planned
ing, although the value of research is always cre- strategies and tactics.
ated through endogenous processes (Romer These ideas of creativity and invention as
1990). responses to problems and critical situations can
A more domain-specific feature of existing be contrasted by the concept of path dependence
technologies that, in combination with market (David 1988, 2007). Technological change is path
forces, may create enormous pressure for inven- dependent in the sense that inventions are pro-
tive creativity is reverse salients or bottlenecks duced in a historical context that severely limits
(Hughes 1992). No matter how the idea is the alternatives available for solving a specific
labeled, the common denominator is the notion problem or developing an idea for any other rea-
of a crucial problem that, if solved, will generate son, no matter how strong (market and other)
profit with high certainty. Hughes points out that incentives may be. The emergence of an invention
technology always exists in relation to other can only be understood through an analysis of the
technologies in systems that only work as well existing pool of knowledge, its possibilities, and
as its weakest link. If a link of a system seems to its limitations. From this perspective, existing
functionally lag behind other parts, there will be technologies to a large extent determine what
very high (demand-driven) incentives to will come, both in defining the problems that are
improve or replace it with something that con- to be solved and in supplying the solutions possi-
tinues to match the output of other parts of the ble and in this way severely constrain creativity. It
system. is hardly bold to conclude that the concept of path
An often-used metaphor for market economy dependence works well when trying to explain the
as stipulated by neoclassic theory is that of natural dynamics behind conservative inventions but usu-
selection. Here, inventions are metaphorically ally is less satisfactory when explaining radical
inventions relying on larger measures of such as firms, individuals, public authorities, and
creativity. special interest groups and that creativity under-
A different way of understanding creativity lying inventions more often than not emerge in the
and invention is supplied by actor-network theory intersection between different organizations and
where it is claimed that a problem is best seen as a fields of knowledge (Godin 2009). It should per-
resource to promote an invention. Finding a prob- haps be added that these ideas most effectively
lem that the potential invention may solve creates describe invention and innovation of capital C
an argument and engages more resources for its goods, where it is often essential for a producer
realization. Here, it is stressed how inventions to cooperate closely with a customer, often a state
need engagement from different actors such as agency.
individuals and organizations and even artifacts, Another concept used in order to illustrate the
named actants, that cannot speak for themselves importance of institutional and networks as con-
and therefore need spokespersons in order to be ditions for invention and innovation is develop-
realized. The more resources that can be mobi- ment blocks. They are constituted by the factors
lized, the better are the possibilities to go from linked to a specific industrial activity. The growth
idea to invention. In the end, success is depending of a development block depends on the comple-
on the engagement that can be mobilized; this is mentary investments made in other fields related
where the creativity is needed more than any other to it. As a result, imbalances and structural ten-
place. sions may appear within the development block,
Another concept mirroring institutional forces which may cause further changes and invention
behind invention and innovation different from creativity. Imbalances may arise for different rea-
economic factors is technopolitical regimes sons, either by market signals through a drive for
(Hecht 1998). Under technopolitical regimes, cre- efficiency or by changes in network relations
ativity may be driven by a strive for satisfying between firms and other organizations. They
some culturally defined demand valued in the may be the result of activities within a single
regime, for example, an internationally unique firm or of cooperation between numbers of actors.
solution to how nuclear power can be exploited Moving down to more specific contexts, the
in order to produce both electricity and plutonium notion of collective invention departs from the
for weapons. The main point is that concepts such observation that invention takes place in nonprofit
as efficiency and functionality are extremely con- institutions such as universities, in profit-seeking
text dependent. Socially and culturally condi- firms, and in the mind of individual inventors. As
tioned demand decides which inventions and the proponents of the model hypothesize, a col-
innovations are created and realized even if cal- lection of agents may produce collective inven-
culated, and economically motivated demand tions characterized by exchange and free
points in other directions. Functionality of an circulation of knowledge and information among
invention does not necessarily have anything to themselves creating positive feedback allowing
do with consumer demand or market decisions. for high innovation rates and fast knowledge
Instead, group identity or trust may be just as accumulation (Cowan and Jonard 2003). More
important promoters of creativity in invention. specifically, the componential theory of organiza-
An alternative theoretical approach to inven- tional environment on creativity highlights the
tions and innovations is the notion of systems of organizational motivation, resources, and man-
innovation. These come in different shapes, are agement practices of organizations to promote
most commonly defined by geographical scope or creativity in the work environment and the indi-
industrial branch, and thus are usually national, vidual expertise, creative thinking (depending on
regional, or sectorial. But no matter of attribute, independence, self-discipline, risk-taking, ambi-
this is in essence an institutional perspective guity tolerance, perseverance), and intrinsic or
stressing both the interdependence between dif- extrinsic task motivation to promote individual
ferent actors involved in innovation activities creativity (Amabile 1997). Individual and
organizational creativity with these components actors and processes generated by the interaction
are likely to promote each other. of individuals is not absolute. Many theories
Theories regarding innovative organizations blend components from both categories. One clas-
like these tend to list features of firms and other sic model bridging culture and individual creativ-
types of organizations that promote creativity and ity with the help of Gestalt psychology is Usher’s
inventiveness. Such features may include special- (1929) four-stage model with the recognition of
ization, professionalism, and knowledge demand reviews of existing cultural elements,
resources as shown in an analysis of determinants critical revision of them, and creative insight of
for organizational innovation (Damanpour 1991). invention. However, it is striking how often the
In addition to the sheer listing of determinants, scope of a theory of invention mainly falls within
conclusions regarding organizational invention one of the two categories.
may also include different importance of different The results emanating from historical studies
determinants observed in different types of orga- of individual inventors point to the importance of
nization or for different types of inventions. For systematic searches for both problems and poten-
the purposes here, though, it is enough to note that tial solutions in the invention process. Systematic
the determinants analyzed can with only a few searches of problems almost automatically lead to
exceptions be decided upon internally within the specialization in order to be efficient and thus
firm, for example, through recruiting policies, individual or collective expertise. The problems
decision-making processes, and external may be acquired from journals or patent statistics,
relations. while the solutions may come from scientific find-
The strong focus on internally decided deter- ings communicated through journals or a highly
minants makes the theories on organizational cre- skilled staff assigned to keep track of scientific
ativity in invention resemble theories of developments. In addition, Hughes has stressed
individual invention as, for instance, laid out by the ability to reason metaphorically, that is, to
Hatfield (1933), where determinants listed as hav- understand the similarities that are necessary to
ing positive influence on creativity and capacity to take into account and the dissimilarities that can
invent are often seen as acquired by the individ- be ignored (Hughes 1985). This is similar to the
ual. In this sense, both theories of individual idea of inventors having abilities for remote asso-
inventors and theories regarding innovative orga- ciations. A feature making the individual inventor
nizations are internalist in relation to their respec- more inclined to radical or independent inventions
tive object. Another similarity between theories of in comparison to larger organizations with a large
individual inventors and theories regarding inno- number of employees which typically have rou-
vative organizations is the focus on the individual tinized the innovation process is the lack of
and organizational qualities that promote rather restricting hierarchies directing inventive thinking
than prevent innovation. In the analysis of deter- to certain well-known problems promising high
minants for organizational innovation mentioned profits for a patented solution.
above, 10 out of 13 determinants were considered Another idea that has been presented as a com-
positive for the ability to innovate or adopt inno- mon feature among successful individual inven-
vations in an organization (Damanpour 1991). tors is their exclusive combination of knowledge
When considering theories of individual in one specific field that proves to hold some
inventors, the stress on positive qualities is even interesting clues to the solution of an important
stronger. Traditionally, the individual’s abilities problem in another field. Many individual inven-
have often been stressed, especially in theories tors testify of the efficiency of such an advantage.
developed in romantic contexts stressing the In the development of plastics, for example, the
importance of the individual when explaining cul- chemist Leo Baekeland had learned of the key
tural change. These types of theories are still com- problems, problem-solving methods, goals, theo-
mon. The distinction between theories of ries, and tacit knowledge of a so-called techno-
processes going on inside the heads of individual logical frame, that is, a set of the issues and
knowledge in common for a relevant social group the individual. Such intrinsic motives have also
and structuring the interactions between the indi- been claimed to result in higher creativity in com-
viduals of that group (Bijker 1995). When he then parison to when incentives are external.
equipped with one technological frame became a In conclusion, theories of creativity in inven-
member of another relevant social group tion tend to list qualities that promote creativity
connected to another technological frame, it rather than qualities that restrict it irrespective of
turned out that his experiences could be used in the object of the theory: cultures, institutional C
order to solve problems of the new technological contexts, organizations, groups, or individuals.
frame using insights he had already acquired else- In addition, theories in this area are seldom
where. The same type of ideas has also been explicit about what qualities are to be viewed as
proposed to be valid on a cognitive level where necessary or sufficient or both (or none) in order
the ability to invent to some extent also depends for the individual or the organization to actually
on genetic inheritance (Findlay and Lumsden be creative enough to produce inventions. In this
1988). More broadly, it is often also claimed that simple sense, theories of creativity in invention
creativity materialized in inventions emerges tend to be constructive rather than restrictive. In
when individuals in new ways combine their ear- addition, theories of individual and organizational
lier insights and experiences from different creativity in invention tend to list correlations
frames, analogical transfer, regardless of if the between specific internally chosen determinants
combination appears within the mind of one indi- rather than external conditions such as education
vidual or in the interaction between several indi- and practical training or the access to resources.
viduals with different but complimentary To sum up, theories within these fields seem to
experiences. On a larger scale, the same ideas aim at supplying sets of qualities and routines for
appear when inventive cultures or civilizations successful inventing and innovation management
are discussed as above. more than anything else.
In addition to these ideas regarding individ-
uals’ abilities to invent, there are a vast number
of psychological theories of how the mind can be Conclusions and Future Directions
set to generate new ideas. One pick of these ideas
may include Edward de Bono’s (1970) claim that Theories of creativity in invention are often clas-
creativity stems from the ability to recognize pat- sified according to how they explain the emer-
terns and arguing for lateral thinking in order to gence of creativity leading to inventions.
boost creativity. Other usually includes the impor- Traditionally, psychological capabilities in indi-
tance for the individual to depart from a challenge viduals underpinning creativity have often been
or a problem, to document the ideas that pop up, pointed out. Theories have to a large degree also
and to work on ideas that are within the realm of proposed that problem-solving activities under
one’s competence. Yet another set of theories certain circumstances and in certain contexts gen-
come in the form of tool kits with specific strate- erate creativity and (technical) inventions. Both
gies for the individual or the organization that individual and contextual perspectives can be
wants to be inventive. These have in common connected to organizational and social conditions.
the notion that generation of creative inventions The distinction between theories of processes
can be systematized on an individual or organiza- going on inside the heads of individuals and pro-
tional level. cesses generated by the interaction of individuals
In contrast to these ideas are listings of differ- is not an absolute one. Theories also blend com-
ent individual motives to invent including recog- ponents from both categories. It is, however, strik-
nition and financial gains. Most intriguing and ing how often the scope of theories of invention
elusive of these are the so-called intrinsic motives, mainly falls within one of the two categories.
that is, those where the drive to invent cannot be Another dividing principle that can be used in
identified as coming from phenomena external to order to characterize theories of invention is
Creativity in Invention: Individual qualities

Theories,
Fig. 1 Dichotomized pairs
of theoretical principles
arranged to span a plane
where theories of creativity Problem-Solving Resource-Access
in invention can be plotted. (Pull) (Push)
(Original graph made by
author)
Environment
whether invention is assumed to be mainly a proof problems or access to resources. A challenge for
cess of problem-solving or if the focus is on access the future is of course to determine if it is possible
to resources. In the first case, systematic methods to develop such theories and, if so, what alternative
and analytical approaches are generally stressed, theoretical principles they could rely on? (Fig. 1).
while the other usually points out the importance It can be claimed that this analysis of theories
of different resources such as technical equipment of creativity in invention mirrors a historical
and knowledge of relevant natural phenomena. In development. Since it is often assumed that inven-
this context, it is important to stress that the dis- tions tend to be more and more dependent on both
tinctions made here are theoretic, not empirical. systematically produced knowledge and different
This means that in each single case, an invention resources, material as well as personal, for
may be accounted for by stressing problem- instance, proposed by Gilfillan (1935), the graph
solving activities as well as the resources at presented in Fig. 1 below, a historical trend, could
hand. In addition, the individual efforts involved presumably be represented by a line from the
may be studied in conjunction with the social above left corner toward the lower right of the
environments in which they occur. Thus, graph. Such a line would at least doubtlessly rep-
irrespective of the data used, the perspectives resent the development of theories of creativity in
outlined here can usually be found in the empirical invention.
material studied. There are no inventions without
individual efforts or social environment. There are
no inventions without resources or problems to be Cross-References
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p. 99–121. mance, analysis, and listening.
Creativity in Music Teaching and Learning 617
Theoretical Background One way to think about learning activities in

music that involve creative thinking as defined
Creativity in music teaching and learning is per- above is to consider two broad dimensions. There
haps the most important area of study for both are creating learning activity types that (1) deal
researchers and practitioners alike in the field of directly with the making of music itself. There are
music education at the start of this new millen- four subgroupings: (a) playing the composed
nium. These sentiments can be felt in the area of music of others (performing), (b) improvising C
the general study of creativity as well (Sawyer (either using a style or in free form),
2006/2012). Creative thinking in music is at the (c) composing original music and/or arranging
heart of creativity in music education, as all of the music, and (d) music listening. Each of these four
many ways that humans can be creative with involve an active role in the creation of music as art
music start and end with creative thinking. and involve creative thinking in complex ways that
Researchers have explored this very complex con- extend traditional views of creativity in relation to
struct in the field of music and music education just composition and improvisation as defined his-
research over the past 40 years. There are patterns torically. To this we add a large second dimension:
in the foci of such research efforts over that time (2) the study of music as art in terms of nonmusical
period that are important to note as this topic will dimensions. This dimension is rarely considered to
likely continue to be studied in the coming involve creative thinking, yet there are rich possi-
decades. Adding to the complexity of creativity bilities for researchers and practitioners in consid-
in this domain is the surge of new technologies ering this dimension in coming years. There are
that are sure to transform both research and prac- three parts to this: (a) music’s technical construc-
tice as they relate to the multiple ways that creation (music theory, aural skills, physical represen-
tivity is manifest in music teaching and learning. tation in the air) (b) music’s relation to other art
forms, (c) music’s relation to the context in which it
is created.
Creative Thinking in Music As a conceptual frame for this broader view of
creativity, consider the model by Webster
Historically, music teachers have considered the (2004) in Fig. 1. This descriptive model is based
word “creativity” to relate to a constellation of on a view that “creativity” in music education is
abilities of students to produce products related best approached by considering the notion of cre-
to composition or, in more limited ways, impro- ative thinking in music. This model begins with
visation. Some of the earliest research on creative- product intentions and ends with a demonstrated
ness can be traced back to observational research product. It has music listening, composition, and
by Pond in 1940s (1981) that noted the ability of improvisation as important parts of the model and
children to improvise and to early work by accounts for the role of social context.
Paynter and Aston (1970) and Schafer (1979) Finally, an emphasis on the role of collabora-
that featured ideas about music composition in tion in creativity has emerged in recent years in
the schools. The study of children’s creative abil- the general literature on explaining creativity
ity with composition and improvisation continues (Sawyer 2012). Individualist theories of creativity
today (Kaschub and Smith 2009) and remains a that have dominated the popular thinking about
major part of the National Standards for Arts creativeness are now tempered with careful con-
Education (2004) movement in the United States. sideration for the role of society in framing crea-
Newer conceptions of creativity in music teach- tive output. This effects how music teachers might
ing and learning are emerging, inspired in part by a address the teaching of creative thinking in class-
belief that creative thinking in music occurs in rooms, rehearsal halls, and studios. Such an
many ways in music, not just in composition and emphasis works well with constructivist views of
improvisation (Reimer 2003; Webster in press). music learning (Webster 2011) – an approach that
618 Creativity in Music Teaching and Learning
Product Intention
Compose Perform Music Listen Repeatedly Listen Once Improvise
of Others
Thinking Process
Divergent Thinking
Time Away Enabling Conditions

Personal
Enabling Skills Subconscious Imagery
Preparation Working Through
Aptitudes Exploration Revising Motivation
Conceptual Understanding Primitive Gesturals Editing Personality
Craftsmanship Planning Forming New ldeas Social/Cultural
Aesthetic Sensitivity
Verification Context
Rehearsal Task
Polishing Peer Influence
Past Experience
Convergent Thinking
Creative Products
Composed Music Recorded Written Mental Representations Recorded

Scores/Recordings Performances Analysis of the Music Heard Improvisations
Webster, P.(2002). Creative thinking in music: Advancing a model.

In T. Sullivan, & L.Willingham, (Eds.), Creativity and music education (pp. 16–33).
Edmonton, AB: Canadian Music Educators’ Association. (revised 2004)
Creativity in Music Teaching and Learning, Fig. 1 Conceptual model of creative thinking in music
has not been prevalent in music teaching behav- ways. Just as there are numerous ways to be
iors to date but is growing in interest among intelligent (Gardner 1983/1993/2011), there are
younger practitioners. An important part of this numerous ways to be musical. Reimer, based on
developing pedagogy is the use of technology in the work of Gardner, named the different divi-
the music-making enterprise in schools as noted in sions of musicality, “musical intelligences”
the Encyclopedia of the Sciences of Learning (2003, p. 219). By aligning his theory closely to
elsewhere online (Webster 2012). Gardner’s, Reimer called for a balanced music
education curriculum, one that provided students’
opportunities to be musical in all of the musical
Modes of Musicianship intelligence areas. To not offer adequate instruc-
tion in any of the “musical intelligences” would be
Theorists in music education have explored the to underserve some members of society who
notion that musicality is manifested in multiple might thrive if given the opportunity to exercise
their specific musical intelligence strength. These not as the lone composer, working on creating a
divisions might also be named “modes of musi- masterwork in isolation, as many of the myths
cianship.” This designation places musicianship surrounding creativity would assume. Rather,
as the beginning, middle, and end of the matter, she suggests that there are multiple creativities in
something that can be grouped, regrouped, and music that must exist in real-world contexts, in
transformed to account for any “mode” or specific practices. The particular creativities that
“modes” that exist or might exist in the future. she proposes are (1) individual creativity, (2) col- C
Just as there are numerous ways to be musical, laborative (or group) creativity, (3) communal cre-
there must therefore be numerous ways to be ativity, (4) empathic creativity, (5) intercultural
musically creative. Since being creative with creativity, (6) performance creativity in music,
music begins at the level of creative thinking, (7) symbolic creativity in music, (8) computa-
any individual could be musically creative by tional creativity, and (9) collective creativity
way of any of the modes of musicianship previ- (pp. 15–16). She has written a book, titled, Musi-
ously mentioned. Listening, performing, singing, cal Creativities in Real World Practice, that
analyzing, improvising, composing, arranging, details what she means by each of these musical
and describing are all modes of musicianship. creativities as they exist in the “real
Each mode of musicianship involves doers world” (2012).
(people who would like to be musical – the per- So, be it different modes of musicianship, or
son), some sort of doing (the act of being musical – the notion of multiple creativities in music, the
the process), something done (the result of the domain of music education seems to acknowledge
musical exchange – the product), and the context that there must be multiple ways of operatio-
in which all of this takes place (some authors call nalizing the act of music making, and therefore,
this “press” to keep with the “p” theme). One there must be multiple ways of being musically
might think of all of these previously mentioned creative.
components of music making as being mediated
by the rationale for doing – a philosophy of sorts –
that both feeds the desire to make music and is fed Past, Present, and Future: Research on
by that same desire (see Fig. 2). One’s philosophy Creativity in Music Teaching and
of music is wrapped up in inter-sonic (musical) as Learning
well as delineated (nonmusical) meanings. And,
of course, philosophies of music naturally lead to Multiple lenses have been employed by
philosophies of music education. researchers in psychology to try to understand
Burnard suggests that the music education pro- the complex construct of creativity. Guilford’s
fession conceive of musical creativity differently, Structure of Intellect Model seemed to open the
Creativity in Music
Teaching and Learning, Rationale for Doing
Fig. 2 Conceptual model
of creative music making Context
Creative
Things
Doers Thinking
Done
in Music
Context
Rationale for Doing

door for researchers to study creativity as a multi- Torrance explored this idea with his Tests of
dimensional construct. In order to better under- Creative Thinking (1974), a measure of general
stand this topic, researchers have used multiple creativity, specifically divergent thinking. Test
methodological lenses to go about their business. takers took both a verbal and figural portion of
In recent years, some methodologies have been the test and were measured on their ability to
used more than others. In order to better under- generate responses to open-ended tasks that dem-
stand this topic, researchers have contributed to onstrated fluency, flexibility, and originality. The
three primary areas of understanding; these areas Torrance tests are still widely used today, although
are, according to Webster, theoretical, practical some question the construct validity of such
application, and empirical (2009). It is possible assessments. If one takes the position that it is
to think of these three areas as being articulated by possible to discover benefits to using each of the
way of specific methodologies: psychometric, lenses available to the researcher, then there are
experimental, biographical, psychodynamic, bio- potential utilities for such tests as tools for identi-
logical, computational, and contextual. A brief fying differences in individuals with regard to
review of the major accomplishments of creativity for the purpose of research.
researchers in music and music education in Personality tests are another manifestation of
some of these areas is helpful. The specific areas the psychometric movement to better understand
of psychometric, experimental, biographical, and the creative person. These tests have been devised
contextual are detailed here. to measure both personality traits and personality
types or “temperaments.” Traits can be viewed as
Psychometric the “smallest units of individual variation that are
Humankind has been exploring the assessment consistent, reliable, and valid” (Sawyer 2012,
of individual differences from as early as p. 63). Certain personality traits are more or less
2200 B.C. (China). This long history must associated with creative individuals.
reflect a basic human desire to sort people by Donald MacKinnon founded the Institute for
differences. Researchers in general psychology Personality Assessment and Research (IPAR) at
in the twentieth century helped to lay the the University of California at Berkeley in 1949.
groundwork for all of the research that would MacKinnon (1978) reported that researchers at
follow in music education, by assessing various Berkeley found that various personality traits
creative “traits” and personality characteristics were common to most highly creative individuals.
of creative individuals. The push, of course, These traits included the following:
following Guilford’s 1950 address to the Amer-
ican Psychological Association (APA), was to Above-average intelligence
identify gifted and talented students so that they Discernment, observance, and alertness
could be channeled into careers in math and Openness to experience
science, as a way of keeping the United States Balanced personalities
even with the Soviets in the space race. The A relative absence of repression and suppression
major accomplishment of this early psychomet- mechanisms that control impulse and imagery
ric work, however, was the exploration of the Pleasant and materially comfortable childhoods,
notion that there are individual differences, although they recall their childhoods as being
traits, or personality qualities, among all who not particularly happy
would desire to be creative. These personal dif- A preference for complexity
ferences were considered independent of con-
text and culture and were realized to be unique From the beginning, researchers have observed
to all individuals. This strand of thought is the that tests of this nature cannot account for all that
“nature” side of the “nature versus nurture” influences personality or creativity. MacKinnon
dichotomy. Both contribute to one’s potential writes that creativity must be a “multifaceted phe-
to be a successful human. nomenon” (1978, p. 46). There is not a test,
neither the ones that MacKinnon and his col- Scoring was based largely on the Torrance tests,
leagues at IPAR developed nor any of the other which is a strategy that both Gorder (1976) and
tests mentioned in this text that get it “all right” Webster (1977, 1994) would also utilize in the
that fully describe all that makes a person creative. development of their measures.
The construct is simply too complex to be exam- Gorder in his Measure of Musical Divergent
ined via one particular lens. Production (MMDP) (1976, 1980) asked sub-
Personality types or temperaments, somewhat jects, junior and high school band students, to C
different constructs than personality traits, are improvise in four tasks either using their primary
proposed to be a finite number of possible catego- instruments, their voice, or by whistling. They
ries that can be used to sort people. The idea of were given skeletal versions of melodies to impro-
temperaments can be traced back to Hippocrates vise around. Their improvisations were evaluated
as early as 370 B.C. and most notably to the work by using a music content checklist that included
of Carl Jung and his development of archetypes. identifying qualities of melody, rhythm, tempo,
Jung coined the term “function types” and “psy- style, dynamics, timbre, expressive devices, and
chological types” to describe his idea regarding form. Then, the four tasks were scored based on
fundamental differences in people. The two most fluency, flexibility, elaboration, originality, and
widely used personality type indicators are the quality. Gorder interpreted the areas of divergent
Myers-Briggs Type Indicator and the Revised thinking in student improvised phrases as follows:
NEO Personality Inventory (NEO-PI-R). The (1) fluency, number of phrases produced; (2) flex-
Myers-Briggs Type Indicator consists of items ibility, the number of shifts of content character
that have test takers choose from four pairs of employed; (3) elaboration, the extent of the use of
alternatives, including: (1) E-Extroverted or content character over that which was necessary
I-Introverted, (2) S-Sensory or N-Intuitive, to produce a varied phrase; (4) originality, the use
(3) T-Thinking or F-Feeling, and (4) J-Judging of rarely used content items as determined by
or P-Perceiving. In the end, every test taker has a frequency count; (5) and musical quality (Gorder
combination of four letters that represent their 1980, p. 36).
“personality type” according to the measure. Wang’s Measure of Creativity in Sound and
There are a total of 16 different combinations of Music has been used by researchers in the tradi-
the letters that comprise the various “personality tion of using measures of divergent thinking in
types.” The Revised NEO Personality Inventory music to assess musical creativity. Four musical
measured qualities of neuroticism, extraversion, tasks provided researchers with data regarding
openness to experience, agreeableness, and con- musical fluency and musical imagination. Except
scientiousness. Scores on the NEO-PI-R were for the work of Baltzer, the measure has received
shown to remain constant over a period of little attention in the decades since being
6 years. Developers of the NEO-PI-R believe developed.
that it is the only measure of its kind to address Webster’s Measure of Creative Thinking in
all five of the factors identified as contributing to Music II (MCTM-II) marks the most significant
personality. attempt to measure divergent thinking in music
Vaughan (1977) can be attributed to taking the (1994). Similar to Gorder (1976, 1980), Webster’s
first step toward developing a musical measure of measure was built, in part, on the work of
creative thinking. Vaughan, during the time period Guilford, Torrance (1974), Vaughan (1977), and
of 1969–1976, asked children to improvise the on his dissertation (Webster 1977). The measure
following: rhythm patterns in response to both a was developed for use with children ages 6–10
stimulus and an ostinato, melody patterns in a and includes tasks that involve three sets of instru-
similar manner, and a musical selection based on ments: a roundball, approximately 400 in diameter,
how the subject might feel during a thunderstorm. which is used for playing tone clusters on a piano,
Criterion measures were (1) fluency, (2) rhythmic a microphone that is attached to an amplifier and
security, (3) ideation, (4) synthesis, and (5) total. speaker, and a set of five wooden resonator
blocks. After a period of warm-up, participants are take up the cause. The work of Swanwick and
asked to complete 10 tasks that represent three Tillman (1986) and Kratus marked the continua-
divisions: (1) exploration, (2) application, and tion of a period of about 15 years, where the study
(3) synthesis. All tasks take approximately of children’s compositional processes and prod-
25 min to complete and are scored at a later time ucts seemed to intensify (Hickey 2001; Kratus
on four individual factors: (1) musical extensive- 1989).
ness, (2) musical flexibility, (3) musical original- Future work in this area might explore younger
ity, and (4) musical syntax. Exploration tasks ages as they interact with improvisation and older
include the musical parameters of high and low, ages as they interact with both composition and
loud and soft, and fast and slow and involve improvisation. Furthermore, the strategies for
images of rain in a water bucket, magical eleva- measuring the various components of composi-
tors, and the sounds of trucks. These parameters tional processes and products (Kratus 1989;
are then employed in the application section, Hickey 2001) might be explored with all of the
where students engage with the tester in a musical other various modes of musicianship. For exam-
dialogue through the use of each instrument indi- ple, music listening on a mobile listening device
vidually. They make “frog” music with the ball on might be measured over a period of 10 min, as
the piano and make the sounds of a robot singing Kratus did in his 1989 study, to explore how
in the shower. In the synthesis section, students students interact creatively with their
are asked to engage all of the instruments in more music. Practicing musicians might be examined
open-ended tasks that include creating a space over a period of time to determine qualities of
story told in sounds and creating a composition their divergent and convergent thinking pro-
that has a beginning, a middle, and an end. cesses. Musical products might be assessed by
Psychometric studies of creativity in music way of Amabile’s Consensual Assessment Tech-
education seem to have declined in the decades nique (1996), as Hickey (2001) did in her work.
following the development of these measures. The future is promising for work that addresses
This trend seems to have coincided with a shift other modes of musicianship from the perspective
in the general focus of research in musical crea- of musical creativity as it has been defined in the
tivity from individual perspectives to more socio- previous literature in music education.
cultural perspectives. In the decades following
this publication, the profession might benefit Biographical
from a more balanced approach to the study of Pam Burnard’s latest book, Musical Creativities
musical creativity in music and music education in Practice, includes short biographies of 19 musi-
that accounts for both individual and sociocultural cians whose creative work exemplifies Burnard’s
perspectives. notion of how musical creativities are expressed
in the everyday modern world. This work is sure
Experimental to become important to the music education pro-
While it is known that musical creativity can be fession in the next few decades of the twenty-first
manifest by way of multiple modes of musician- century.
ship, compositional and improvisational creativ-
ity have received the most attention. These Contextual
experimental studies in music and music educa- Since this research paradigm started to gain
tion can be categorized into research on processes momentum in the 1980s and 1990s, some
and products. Webster’s dissertation (1977) was a researchers have chosen to focus more on the
seminal start to the movement of examining musi- study of creativity in real-world educational con-
cal creativity empirically in music education. His texts (Barrett 2006; Burnard 2000, 2002) and
work led other researchers in music education to specifically on the sociology of musical creativity.
This movement seems to have coincided with employed various quantitative techniques to com-
Csikszentmihalyi’s detailing of his Systems Per- pare what he calls creative identity among pre-
spective for the Study of Creativity, where creativ- service music teachers in the United States and
ity he says should not be viewed “exclusively as a England (Randles and Smith 2012) and the United
mental process” but rather as an interplay of psy- States and Finland (Randles and Muhonen 2015).
chological and sociological factors (1999, p. 313). He discovered that future music teachers in
Csikszentmihalyi asserts that the momentum for a England report being able to compose their own C
shift in the research paradigm to include sociolog- original music to a greater extent than their coun-
ical components has been building in the past few terparts in the United States and report signifi-
decades. There seems to be a growing concern for cantly higher perceptions of their ability to teach
examining the cultures, including parents, peer music composition in the schools than future
groups, and teachers, the individuals that surround music teachers in the United States (in press).
students and facilitate their creative work. Randles cites primary and secondary socialization
Ruthmann (2008) discovered through qualitative as a possible cause for the differences. In another
case study evidence for the existence of a complex study, Randles used exploratory factor analysis to
interplay among teacher feedback, learner agency, uncover four latent variables that contribute to
and students’ compositional intent and suggested what he called “creative identity” (in press). The
that teachers take these factors into account when factors were (1) creative music self-efficacy,
they design opportunities for students to compose. (2) value of creative music making in the context
In a related study, Randles (2009) discovered of the school curriculum, (3) willingness to allow
some evidence to suggest that teachers who com- time for creativity in the curriculum, and (4) value
pose or arrange music for their ensembles may of popular music performing and listening in the
foster creative cultures where students desire to school curriculum. He found significant differ-
pursue composition and arranging themselves. In ences favoring the Finnish future music teachers
another study, where the creative cultures of par- with all factors except Factor 3 (willingness to
ticipants of an Honors Composition Competition allow time for creativity in the curriculum).
in Michigan, United States, were examined, These results suggest that teachers in the United
Randles (2009b) found that teachers played the States were willing to include activities that
largest role in students’ development of a creative included improvisation and composition, if they
identity, more than parents or peer groups. were allowed to develop these skills in their
At the same time that Ruthmann and Randles socialization as a music teacher, in their experi-
were doing their work in the United States, ences in the school music system, as well as in
researchers in England and Spain were examining their experiences in music teacher preparation.
teachers’ perceptions of creativity as a way of These findings are supported by the work of
understanding how to foster creativity in their Odena and Welch (2007). This branch of the lit-
countries’ national curricula (Odena and Welch erature is still emerging. Future work in this area is
2007; Odena et al. 2005). The results of this certainly warranted.
work suggest that teachers must have experiences
composing and improvising, and engaging with
multiple musical genres, if they are to be success- Conclusions and Future Directions
ful teaching musical creativity in their jobs as
future music teachers. Conceptions of creativity in music teaching and
Although much of the work related to the learning are changing as music, social contexts,
sociocultural side of musical creativity in music and the students themselves change. Teacher edu-
education has primarily been qualitative, Randles, cation programs are changing, albeit very slowly,
in conjunction with Smith and Muhonen, has to embrace experiences that better prepare young
professionals to teach a wider varieties of music References

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Educ. 1986;3(3):305–40. Synonyms
Torrance EP. Torrance tests of creative thinking: norms-
technical manual. Personnel Press/Ginn: Princeton; Design; Eureka!; Expert; Façade design; Frame of
1974.
Webster P. A factor of intellect approach to creative think- reference; Musical composition; Mutilated
ing in music [unpublished doctoral dissertation]. Roch- Checkerboard Puzzle; Nine-Dot Puzzle; Novel;
ester, NY: Eastman School of Music, University of Novice; Periodic table of elements; Puzzle; Sci-
Rochester; 1977. entific invention; Sudden mental insight; Valu-
Webster P. Measure of creative thinking in music-II:
administrative guidelines [unpublished manuscript]. able; Writing
Evanston: Northwestern University; 1994.
Webster P. Creative thinking in music: advancing a model.
In: Sullivan T, Willingham L, editors. Creativity and Introduction: Key Concepts and
music education. Edmonton: Canadian Music Educa-
tors’ Association; 2002. p. 16–33. Definition of Terms
Webster P. Children as creative thinkers in music:
focus on composition. In: Hallam L, Cross I, There are many definitions of creativity. Here, one
Thaut M, editors. The Oxford handbook of music based on commonly held beliefs about creativity
psychology. New York: Oxford University Press;
2009. p. 421–8. and observations from studies designed to unravel
Webster P. Constructivism and music learning. In: its secrets will be used (Akin and Akin 1996).
Colwell R, Webster P, editors. MENC handbook of Creativity is the act of producing novel and valu-
research on music learning, vol. 1. New York: Oxford able things. A creative product is different from
University Press; 2011. p. 35–83.
Webster P. Technology in music instruction and learning. existing ones on account of one or more features
In: Seel NM, editor. Encyclopedia of the sciences of and adds exceptional value to human purposes.
learning; 2012. Retrieved from http://www. Creativity is readily associated with artistic prod-
springerlink.com/content/j6qk79t23373w541/fulltext. ucts. Carravaggio’s realism, Joyce’s imagination,
html
Webster P. Music composition intelligence and creative and Wright’s abduction are just a few exceptional
thinking in music. In: Kaschub M, Smith J, editors. examples that prove the point. In the annals of
Composing our future: preparing music educators to human civilization, some of the most valued
teach composition. New York: Oxford University human creations include the artistic as well as
Press; 2013. p. 19–32.
scientific ones.
Developing a unifying theory of the creative
process is at best an idealistic goal. This essay will
identify a common denominator based on human
Creativity in Neuroscience, cognition and its pre- and postconditions that
Studies appear to be responsible for the creative act in
three domains: puzzles, scientific discoveries,
▶ Creative Brain and architectural design. This broad survey of
626 Creativity in Puzzles, Inventions, and Designs: The Sudden Mental Insight Phenomenon
what is known about creativity, inventions, and mind constructs are modeled as structural repre-
design will at once tie all three concepts together sentations of a real-world or imaginary situation
and in the process elevate the phenomenon com- and manipulates this structure in order to reach
monly known as the Eureka Moment from the creative discoveries.
realm of the passe to the realm of the plausible. Once again, we observe the prominent role of
In accomplishing this end, several key sources the so-called Eureka Moment in moving scientific
that examine the connection between cognition discovery and invention research into a new realm:
and artificial intelligence, abductive reasoning, abductive reasoning. Proponents of the abduction
analogical reasoning, model-based reasoning, approach propose discovery as a prominent “what-
alternating between creative viewpoints, and if” construct as opposed to mere heuristics. “In this
imagery as a vehicle for creativity will be review, discovery is primarily a process of explaining
visited. anomalies or surprising, astonishing phenomena.”
This approach is not without its distractors, either:
abductive inferences are not considered logical,
Theoretical Background and Open- they are too permissive, and they do not explain
Ended Issues: Understanding Creativity the act of a hypothesis that is central to the act of
starting the exploration that leads to discovery
Early work on creativity focused on general (Schickore 2014).
behavioral tendencies of individuals (MacKinnon Analogy, which is understood as a process of
1967). While these point to probable correlations bringing ideas that are well understood in one
between personality traits and creative people, domain to bear on a new domain, is seen as
they offer little about creativity as an act. What another prominent venue for exploring the under-
cognitive capabilities underlie the behavior that is lying mechanisms of creative acts of discovery
commonly known as creativity? How can one (Mitchell 1993). For instance, “Kekulé’s seeing
measure it and predict the consequences of this benzene’s carbon ring structure as a snake biting
metric? Leddy, in two seminal articles on creativ- its tail,” or Faraday’s seeing the universe as pat-
ity (1990), talks about how the mechanisms terned by “lines of force,” which led to the electric
underlying inspiration, a common explanation motor (Koestler 1964). Analogy plays an impor-
found in traditional creativity literature, has been tant role in creative process in fiction writing as
replaced by the ordinary mechanisms of human well, which attempts to create a nonreflective
cognition. While proponents of this approach mode that typically involves a fictionworld creat-
including Simon (Newell and Simon 1972) con- ing analogic references to viewpoints different
sider this a laudable effort that explains the mar- from the writer’s own.
velous through the mundane processes of human However limited, research on expertise in a
cognition, others lament its “reductionist” number of domains, including chess, music,
outcome. painting, and poetry, addresses some of these
One of the effects of the cognitive explanations questions. Hayes’ work on musical composition
led to a proliferation of applications in Artificial (Hayes 1989), linking cognition and creativity,
Intelligence literature (Boden 1994). For example, highlights the importance of cognition as the driv-
Lenat’s system called Cyc demonstrates sufficient ing force for understanding creativity. He con-
intelligence to derive higher order concepts and firms that the Time at Task Hypothesis that sets
operations from lower order ones owing largely to the high-bar for one’s task of mastery at 10 years
the codification of massive amounts of everyday holds even for musical prodigies like Mozart and
knowledge and knowhow. Tchaikovsky among 40 other grand-masters of
One of the instruments of computation that has Western Classical music. Studies in the areas of
been used to effectively explain and demonstrate painting poetry and architecture have also shown
“creative behavior” has been the modeling how indispensable cognitive processes are for
approach (Langley et al. 1987). In this approach, task mastery.
The Creative Nature of Writing The Creative Nature of Puzzles

Human intelligence and creativity have developed
to high levels due to their ability to encode ideas in The Mutilated Checkerboard Puzzle
stories and narratives. Cognition in verbal com- The Mutilated Checkerboard Puzzle (MCP)
position has been studied extensively with the employs a standard 8 8 checkerboard (Fig. 1),
goal of improving writing skills. Writers’ initial two of whose diagonally opposite corners have
task representations are as important for success, been removed (Kaplan and Simon 1990). C
as they would be in puzzles or scientific discover- Imagine placing dominos on the board so that one
ies. Hayes and Nash (1996) discuss the “nature of domino covers two horizontally or vertically (but
the planning activity” in writing. They point out not diagonally) adjacent squares. The problem is
that writers interleave planning and writing tasks either to show how 31 dominos would cover the
62 remaining squares, or to prove logically that a
in an effort to balance their global and local goals. complete covering is impossible.
This kind of approach to writing has many prac-
tical benefits including the assisting of memory
during the execution of complex plans and dis- The MCP is difficult to solve and the solution
covery of new tasks or the consolidation of mul- usually involves the sudden onset of the idea
tiple tasks into one. about the proof upon realizing the Parity Princi-
In calibrating the quality of the writing tasks ple. This principle states that each domino piece
performed by both experienced and inexperienced needs to cover a pair of black and white squares
writers, Hayes and Nash found that the amount of regardless of where it is placed while the mutilated
abstract planning positively correlated with board has an unequal number of black (32) and
quality. white (30) squares.
Kaplan and Simon (1990) systematically delin-
eate and classify the clues, found in the problem
The Creative Nature of Musical Mastery
Some of the most memorable accounts of creativ- context or in the subjects’ long term memory, as
well as the hints provided by the experimenters,
ity include statements directly from universally
which help induce the recognition of the Parity
accepted creative individuals, like Tchaikovsky:
Principle. They go on to describe the cognitive
Generally speaking the germ of a future composi-
tion comes suddenly and unexpectedly. If the soil is
ready – that is to say, if the disposition for work is
there – it takes root with extraordinary force and
rapidity, and shoots up through the earth, puts forth
branches, leaves and, finally, blossoms.
ALLOWED
Tchaikovsky reveals something about that

which arrives in the mind and how it reaches
ALLOWED
fruition. He implies that what arises so suddenly
does so due to substantial cognitive preparation
that anticipates and evokes the idea in the first
place. There is no doubt that the soil upon which
Tchaikovsky’s sudden realization of a creative ED
LOW
idea has blossomed has been properly and pains- AL
T
NO
takingly cultivated.
This phenomenon observed in many cognitive
task domains is commonly known as the Aha!-
response, Eureka Moment, or Sudden Mental
Insight (SMI). Puzzles are one of the most ele-
Creativity in Puzzles, Inventions, and Designs: The
mentary forms of complex cognitive activity Sudden Mental Insight Phenomenon, Fig. 1 The
exhibiting the SMI response. Mutilated Checkerboard Puzzle. (Source: Akin 1989)
components needed to develop the solution: (1) SMI literature. This makes the solution impossi-
the sudden onset of the Parity Principle; (2) the ble to attain since two intersection points in the
three sources of information: puzzle features, rel- solution have to lie outside of the square. Typi-
evant knowledge, and hints about the colors of cally, subjects solving this puzzle fall into three
missing squares; (3) the development of a new categories: (1) those who solve it without help
problem space; and (4) a new problem space (Table 1, Type A); (2) those solve it after assis-
based on the invariant features of the puzzle. tance is given to help them lift the FoR – usually in
the form of an instruction: “you may go outside of
The Nine-Dot Puzzle the field of dots” (Table 1, Type B); and (3) those
The Nine-Dot (N-DP) is another puzzle that uti- who cannot solve the puzzle even with this
lizes the SMI event (Akin and Akin 1996; Newell instruction (Table 1, Type C). Hence, solving the
and Simon 1972). It involves graphic manipula- N-DP requires more than just removing the FoR:
tions on a sheet of paper based on nine regularly operations that enable drawing lines outside of the
spaced dots on a 3 3 grid (Fig. 2a). The goal is to FoR (Fig. 2c) and aligning the vertices (Fig. 2d).
draw four straight lines that are connected end to Those who solve the puzzle on their own do so by
end so that each dot has a line going through it satisfying all three conditions (Table 1, Type A or
(Fig. 2b). In order to successfully solve the prob- Type B). Those who are given the hint to go
lem, subjects must realize that they should extend outside of the FoR solve the puzzle by achieving
a line beyond the square shaped field formed by the remaining two conditions (Table 1, Type B).
the nine-dots (Fig. 2b, shaded area). This is often Those who are not able to solve the puzzle despite
the moment when a subject exclaims “Aha!” the the hint proved (Table 1, Type C).
tell-tale sign of the Eureka Moment. For both puzzles (MCP and N-DP), it is possi-
However, most subjects attempting to solve ble to solve them only after removing their FoRs,
this puzzle restrict themselves to the square field, and more importantly defining the requisite prob-
which is called the Frame of Reference (FoR) in lem structure for the solution state without the
Creativity in Puzzles, Inventions, and Designs: The Sudden Mental Insight Phenomenon, Fig. 2 The Nine-Dot
Puzzle. (Source: Akin 1989)
Creativity in Puzzles, Inventions, and Designs: The Sudden Mental Insight Phenomenon, Table 1 Cognitive
thresholds to solve the Nine-Dot Puzzle. (Source: Akin 1989)
Operations
Subject Removing the Removing the FoR Drawing lines Aligning vertices of Puzzle
category FoR (self) (by hint) outside the FoR the lines solved
Type A √ n.a. √ √ √
Type B x √ √ √ √
Type C x √ x x x
restricting FoR. The development of the new suite containing five rooms: reception, secretary,
problem structure is an example of the cognitive conference, staff engineers, and chief engineer
dimensions of creative behavior. The obstacle in (Fig. 3). The restricting FoRs in this task are
applying these findings to the larger domains of shown in the lower part of the figure and involve
human creativity is to be able to scale them up to five categories: size, proportion-location of win-
other domains like scientific discovery and design dows, number of stories, and wall construction
(Akin and Akin 1996; Newell and Simon 1972). and floor height(s). The Expert Designer arrives C
at SMIs following a variety of conditions:
Creative Nature of Architectural Design exhausting all alternative solutions within the
Other fields that have adopted design as a central given FoR; trying heuristic rules to leap out of
vehicle for creativity include graphics, industrial the existing solution cycle (such as inverting the
products, architecture, landscape architecture, orientation and value of design elements),
engineering, urban and regional planning. redefining the FoR based on specific domain
Attempts at understanding and describing the knowledge by balancing the elements of a com-
design process and the underlying structure of position, or coming up with design insights
the architect’s creativity by way of expertise go resulting from these conditions.
back to the early 1970s (Eastman 1969). Subse- Through this process, the Expert Designer
quently direct evidence about the relationship of breaks out of six FoRs (Fig. 4). The first FoR
expertise and creativity in architectural design has from which the subject breaks out is the regula-
been provided by Akin (1986). More recently, rity of the windows. She refers to the existing
important steps have been taken towards model- window geometry as “repetitive” and “deaden-
ing creativity in engineering design and assessing ing” (Table 2, FR1-1). She also speaks of specific
the role of metaphors and analogies in inducing design operations to fix this problem: infusing
the SMI response (Casakin 2007). variety, hierarchy, and other grouping strategies.
A study specifically directed at the SMI phe- In achieving this break-out, she also relies on a
nomenon in architectural design and advances the well-known principle of composition, namely,
field of research in this area compares cognitive bookend that achieves the accentuation of the
processes of expert architects and novices (Akin windows at the two extreme positions of the linear
and Akin 1996). In an architectural design prob- façade layout. This principle has the effect of
lem devised by the authors, subjects were asked to freeing her to experiment with patterns that are
design a façade for a given floor plan of an office not necessarily in conformance with the floor plan
Creativity in Puzzles,
Inventions, and Designs:
The Sudden Mental
Insight Phenomenon,
Fig. 3 Plan (above) and
FoR-facade (below).
(Source: Akin)
The Sudden Mental
Insight Phenomenon,
Fig. 4 Façade designs by
an Expert Designer.
(Source: Akin 1989)
Creativity in Puzzles, Inventions, and Designs: The Sudden Mental Insight Phenomenon, Table 2 Break out
from Frames of Reference (FoRs) by Expert Designer. (Source: Akin 1989)
FoR FoRs in subject’s own Source of the Break-out from FoR Source of break-out
category words FoRs moves moves
Window FR1-1: “(these are) External: plan Vary end-conditions of Recall: composition
Geometry repeated windows” view façade layout principles
Ceiling FR1-2: “(assume) 120 Recall: building Show functional allocation Recall: spatial design
Height ceiling heights” standards by ceiling height variation principles
Ground FR1-3.1: “(locate) on Recall: general Assume ground floor –
Floor ground floor” assumption location
Location
Single Story FR1-3.2: “(locate) on Recall: general Assume single story –
Building ground floor” assumption building
Relief in FR1-4: “. . .some relief External: plan Create projecting shading Recall: Subject-1’s
Building (is needed)” view devices earlier designs
Façade
Façade FR1-5: “(give) texture, Recall: Use a variety of building Recall: composition
Construct’n contrast to materials” knowledge of materials and construction in
construction tandem
(Fig. 4). This approach is also evident in some of construction against the heavy, earthy textures of
the other design features, such as roof form, mate- the brick wall presents an attractive material
rials, and solar shading devices. selection.
By balancing the asymmetrical roof forms on In the case of the Novice Designer (Table 3), a
the opposing ends of the façade, the Expert small number of FoRs are observed and an even
Designer re-emphasizes the ending positions of smaller number are broken out of. Her solution
the façade. The eyebrow-like features placed (Fig. 5) is the same as the normative solution
above the middle windows as shading devices (Fig. 3, façade). The window patterns are the very
(Fig. 4) also help place the differences between first FoRs from which the Novice Designer tries to
middle and end windows at an even keel. Jux- break-out. She remarks “I mean if you’re looking
taposition of the shading devices’ metal in, I don’t know that I would necessarily see
Creativity in Puzzles, Inventions, and Designs: The Sudden Mental Insight Phenomenon, Table 3 Break out
from Frames of Reference (FoRs) by Novice Designer. (Source: Akin 1989)
Source of
FoR FoRs in subject’s own break-out
category words Source of the FoRs Break-out move move
Window FR2-1: “want to make External: plan view & Lower the assumed Recall: general
Geometry (these) window(s) bigger” assumption of normal sill window sills height heuristic
height C
Main FR2-2: “. . .don’t see any External: absence of None Not applicable
Access doors” information
Ceiling FR2-3: “nice big curvy External: absence of Place hipped roof Recall: typical
Form ceiling like roof” information gable “house” image
Construct’n FR2-4: “maybe (the wall) Recall: general assumption Place brick on the Recall: typical
Materials could be brick” façade “house” image
The Sudden Mental
Insight Phenomenon,
Fig. 5 Façade designs by a
Novice Designer. (Source:
Akin 1989)
anything. If I stand outside, all I pretty much see is procedural knowledge with which to implement
windows. . . right?” However, the features used to each break-out. The Novice Designer, due to a
achieve this break-out are standard features found lack of training in architectural design, does not
in normalized house images. In this case, the roof is have the technical background and experience that
a simple gable, the walls are brick, and the win- enables the Expert Designer with the requisite skills
dows are regularly proportioned and spaced. The to assemble façade compositions, spatial composi-
only two pieces missing from the standard image tions, sun shading devices, and construction details.
are the entrance (Table 3, FR2.2) and the chimney.
The two materials, brick and shingles, are selected The Creative Nature of Scientific Discovery
in conformance with the standard house image to History of science is full of accounts of brilliant
which she refers in the protocol as part of a child- discoveries that have changed the course of society,
hood model building activity. such as Fleming’s discovery of Penicillin, Salk’s
These differences between the two subjects point discovery of the Polio vaccine, Mendeleev’s formu-
to the same phenomenon observed in puzzles. Rec- lation of the Periodic Table of Elements, Newton’s
ognizing the need to break-out of FoRs is not suffi- formulation of the General Law of Gravitation, or
cient to reach creative solutions. One also needs the Einstein’s Law of Relativity. While these novel
formulations of knowledge have proven to be of solving. In addition, an indispensable factor in the

enormous value to mankind, there should be little creative process appears to be a shift in the struc-
doubt that these are also creative acts exhibiting ture of the task at hand, called the SMI. Observa-
superior cognitive processing. tions in puzzles, scientific discoveries, and design
Kedrov’s meticulous study (1966–1967) of the show that new constructs consisting of both a
circumstances around Mendeleev’s formulation specific problem representation and operations
of the Periodic Table of the Elements helps applicable in the domain of this representation
unravel the conditions that give rise to the SMI must be created.
in the sciences. In 1868, Mendeleev was busy The fact that the creative process requires the
with constructing the table of contents of the sec- discovery of a new problem space necessitates
ond volume of his new text books on chemistry. that the creative individual must have skills not
He had already covered the halogens and the just for problem solving but also for defining new
alkaline metals in the first two chapters. It was problems. This latter skill has been described in
not clear as to which group of elements should be various contexts. Problem seeking, puzzle making
covered next. problem restructuring, and problem formulation
Medeleev’s exploration began with a search for are some of the related concepts that have recently
a pattern that could be applied to all known ele- appeared in expertise and creativity literature.
ments. First, he compared the atomic weights of One of the most important aspects of the
the elements. While this was a good start, there process of searching for new problem spaces
were two big obstacles: the number of compari- has to do with domain knowledge. As observed
sons with all pairs of atomic weights was far too in puzzles, inventions, and designs, the knowl-
numerous to undertake exhaustively; and the edge of the creative agent plays a key role in
chemical elements not yet discovered at the time their creative achievements. In the case of the
created gaps and made it difficult to see the global architectural design problem, it is evident that
pattern in the data. Next, Mendeleev compared the Novice Designer does not possess this skill
groups of elements based on their atomic proper- while the Expert Designer does. Finally, it is
ties and ordered them according to their atomic important to underscore that the important role
weights. His second breakthrough came when he of the SMI or Aha!-response is a related but
made a modification in his representation. He inessential manifestation of creative acts. It
decided to use playing cards to represent elements seems that cognitive psychology of creativity is
ordered in a two dimensional matrix space, with more important for the socio-psychological
one dimension representing the ordering of aspects of discoveries and creative inventions.
atomic weights and the other general chemical Hence, several important areas of research are
properties of the elements. Kedrov speculates indicated by this review of research in puzzles,
that this analogy, marking an SMI moment for inventions, and design:
Mendeleev, presented itself because he was an
avid fan of the card game Patience. 1. Do creative acts always involve the SMI or the
“Aha!” response?
2. Is the SMI relevant only in the initial act of
Conclusions and Implications for Theory creative revelation?
and Practice 3. If the moment of discovery filled with surprise
lacks all requisite aspects of the SMI, should it
One of the first things that can be stated regarding still be considered the start of a creative act?
the creative process is its kinship to most other 4. Since the differences between novices and
cognitive processes. The evidence considered in experts seem to correlate with the SMI condi-
this essay suggests that cognition of creativity tion, can people learn to seek the SMI?
shares a great deal with ordinary cognitive acts 5. Is expertise a necessary and a sufficient condi-
such as heuristic search, recognition, and problem tion for creativity?
Creativity in Research 633
6. Since it is culturally regarded as a mysterious Koestler, A. The act of creation. London: Hutchinson &
process, is there a tautological impediment to Co; 1964.
Langley PW, Simon HA, Bradshaw G, Zytkow JM. Com-
uncovering the secrets of creativity? (see “Par- putational explorations of the creative process. Cam-
adox of Creativity Research”) bridge, MA: MIT Press; 1987.
Leddy T. Is the creative process in art a form of puzzle
solving? J Aesthet Educ. 1990;24(3):83–97.
Cross-References
MacKinnon DW. Creativity and the expression of possi-
bilities. In: Kagan J, editor. Creativity and learning.
C
Boston: Houghton Mifflin; 1967.
▶ Analogies and Analogical Reasoning in Mitchell, WJ. “A computational view of design creativ-
ity,”. In Gero JS, Maher ML, editor. Modeling creativ-
Invention ity and knowledge-based creative design. Hillsdale, NJ:
▶ Applied Design Thinking Lab and Creative Erlbaum Press; 1993;25–42.
Empowering of Interdisciplinary Teams Newell A, Simon HA. Human information processing.
▶ Cognition of Creativity Englewood Cliffs: Prentice Hall; 1972.
Schickore, J. “Scientific Discovery” In Edward N. Zalta
▶ Creative Behavior editor. The stanford encyclopedia of philosophy.
▶ Creativity and Innovation: What Is the Bloomington: Indiana University; 2014.
Difference?
▶ Creativity from Design and Innovation
Perspectives
▶ In Search of Cognitive Foundations of Creativity Creativity in Research
▶ Invention and Innovation as Creative Problem-
Solving Activities Kevin Byron
▶ Science of Creativity Queen Mary, University of London, London, UK
References What Is Research?
Akin, Ö. Psychology of architectural design. London: Research is a form of enquiry that aims to find
Architecture & Design Science, Pion Ltd; 1986. answers to questions that would fill a gap in an
Akin Ö. Psychology of architectural design. London: Pion
Ltd; 1989.
existing knowledge base, resolve anomalies in
Akin Ö, Akin C. Frames of reference in architectural that knowledge base, or add to the existing stock
design: analyzing the hyper-acclamation: “a-h-a-!”. of the knowledge base. Here the knowledge refers
Des Stud. 1996;17(4):341–61. to any subject or discipline or combination
Boden, M. A. Dimensions of creativity, Bradford Books,
Boston, MA: MIT Press; 1994.
thereof.
Casakin H. Metaphors in design problem-solving: impli- Depending on the stage of the research enquiry,
cations for creativity. Int J Des. 2007;1(2):23–35. different types of questions are asked, and
Eastman C. Cognitive processes and ill-defined problems: answers sought through different actions. Some
a case study of design. In: Walker D, Norton LM,
editors. IJCAI’69, international joint conference on
of these questions require a greater emphasis on
artificial intelligence. San Mateo: Kaufmann; 1969. the critical appraisal of existing knowledge and
p. 669–90. observations, and data. Many other questions are
Hayes JR. The complete problem solver. 2nd ed. Hillsdale: speculative and open ended, requiring a more
Lawrence Erlbaum and Associates; 1989.
Hayes JR, Nash JG. On the nature of planning in writing.
creative approach to address them. All stages
In: Levy CM, Ransdell S, editors. The science of writ- however require some measure of both types of
ing: theories, methods, individual differences, and thinking (see Appendix 1: Creative Behavior).
applications. Mahwah: Erlbaum; 1996. p. 29–55. The various stages in the research cycle are
Kaplan CA, Simon HA. In search of insight. Cogn Psychol.
1990;22:374–419.
shown schematically in Fig. 1 below (Harwood
Kedrov BM. On the question of the psychology of scien- et al. 2004). This is based on the views of a
tific creativity. Sov Psychol. 1966–1967;5(2):16–37. number of scientists who were asked how they
634 Creativity in Research
Creativity in Research, The Enquiry Wheel

Fig. 1 The enquiry wheel
The Scientific
(Harwood et al. 2004) Observing
Community
Communicating Defining the

the Finding Problem
Society
Reflecting on Forming the

the Findings Questions Question
Interpreting the Investigating

Results the Known
Carrying out Articulating the

the Study Expectation
thought research is conducted. This is a much critical thinking and knowledge, creativity is
more pragmatic and flexible view of research notoriously difficult to define unambiguously,
than that described by historians and philosophers and the role played by creative thinking in
of science as “The Scientific Method.” Some if research is not always clear at least in the way it
not all of the stages of Fig. 1 map on to research is communicated and perceived by the public.
methods in other disciplines such as the social Most academic research describing new ideas
sciences and humanities. that contribute to knowledge and understanding is
In addition to noting from Fig. 1 that research reported through publications in the form of
is not a linear activity, it can start at different papers in journals, monographs, theses, and pre-
points on The Enquiry Wheel, and it may be sentations at conferences. Other forms of research
necessary to jump back across the wheel at times output are patents, installations, designs, and
to re-appraise earlier assumptions and hypotheses, practice-based work, though in common with
redesign the research methods, etc. Questions are publications, all such works generally referred to
at the hub of this wheel and progress can be helped as “intellectual property” are required to be
or hindered by the way the questions are framed. approved by an anonymous peer review process
While The Enquiry Wheel describes the main before they can be made publicly available. The
activity of doing research, and creative and critical main criterion of acceptance in the peer review
thinking are at the heart of progress in this frame- process is that the research output contains origi-
work, it is important to note that being a good nal results or ideas. Given that one of the more
researcher requires the development of a much enduring definitions of creativity is: “Ideas that
broader range of skills and knowledge. These are original and of potential value,” it is clear that
have been detailed by the organization Vitae in creativity is at the heart of doing research.
their Researcher Development Framework (RDF) This underpinning of creative thinking in
(Vitae 2009) shown in Fig. 2 below. research however is not clear to see to the lay
person or research novice (e.g., a PhD student).
Reported accounts of research in a particular field
Where Is the Creativity? over the previous decade or so are summarized in
published reviews in academic journals or books.
Creativity is shown as one of the sub-domains of These publications give an impression of seam-
the “Knowledge and Intellectual abilities” domain less and continuous progress in the research field
in the RDF in Fig. 2. However, in contrast with by the researchers who appear to know exactly
Collegiality
Team working Subject knowledge
People management Research methods: theoretical knowledge
Supervision Research methods: practical application
Mentoring Information seeking
Information literacy and management
Influence and leadership
languages
Collaboration
Equality and diversity
Academic literacy and numeracy C
ers Kno
h oth wled
it ge
ing w ) (A1) base
Work (D1 Analysing
Communication methods
a nd C
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Creativity in Research, Fig. 2 The Vitae researcher development framework (RDF) (Vitae 2009)
what they are doing, and where the research is offered by the pioneering rocket scientist Wernher
headed. The false-starts, wrong or null hypothe- von Braun when he said: “Research is what I’m
ses, unsuccessful experimental design, and all the doing, when I don’t know what I’m doing.”
reworking that is so much a part of doing research To add to this earlier impression, researchers
are not reported. Given that one of the hallmarks are often portrayed in the media as mainly logical
of creative behavior is risk-taking, there is a high thinkers who painstakingly analyze huge amounts
probability that many research ideas at various of data from which they can infer clear conclu-
stages of The Enquiry Wheel will not work out sions through the application of critical thinking.
when put to the test. If the reader has no sense of This data is often the outcome of months of metic-
these setbacks, it can make research look like it is ulous, and often, repetitive work. Depending on
a very well-structured process that progresses the discipline, it may be gathered through hun-
unhindered. A more accurate picture of what it is dreds of very similar experimental measurements,
like doing research (at least some of the time) was months of computer modeling time, dozens of
interviews with sample populations, months of funding bodies that the research could lead to
“field work” or spread-sheets filled with records something useful.
acquired from volumes of archive material. The 2. Rapid development: Here the new ideas,
problem here is that researchers are often methods, theories etc have started to gain
discussing what they did in retrospect, not how acceptance, similar results have been obtained
they got the ideas to do it in the first place. elsewhere, and as a result of published work,
Another reason that reported research appears to progress accelerates. Funding is now easier to
lack creativity is that the discipline of academic obtain because the chances of success are
writing demands an objective style describing much higher. The territory into which the new
only the facts without any mention of the human underpinning theory, model or methodology
drama that is an integral part of any research can be applied successfully is expanded during
venture. this phase, but ultimately because there is no
theory of everything, new anomalies will start
to appear where the new theory cannot be
How Research Progresses applied.
3. Maturity: At this final stage, these new anom-
Support for the aforementioned notion of contin- alies or gaps in knowledge start to be more
uous progression in research can be found in the widely recognized. This launches a new trajec-
publication: “The History and Present State of tory of basic research that aims to accommo-
Electricity with Original Experiments published date these new anomalies, etc. The older model
in 1767” written by the scientist and theologian is no longer driving the new research field.
Joseph Priestley (1767). Here he describes the That does not mean to say it or even the earlier
progress of the new electrical technology as theories were wrong, but rather that they can-
follows: not be generalized to all situations. An example
The History of Electricity is a field full of pleasing of this in science would be the transition from
objects, . . .Scenes like these in which we see a classical mechanics to quantum mechanics at
gradual rise and progress in things, always exhibit the turn of the twentieth century. The classical
a pleasing spectacle to the human mind. . . For an Newtonian mechanics remains intact where it
object in which we see perpetual progress and
improvement is, as it were, continually rising in its applies, but it was not able to explain effects at
magnitude: and moreover, when we see an actual very small scales of size.
increase in a long period of time past, we cannot
help forming an idea of an unlimited increase in During the transition between the previous
futurity
and the next development curve in many fields
This alleged continuity of research progress of research, there is usually much controversy
can be described with reference to the smoothly between competing models or theories. The gap
rising “sigmoid” (or “S”) curve shown in Fig. 3 between these two curves represents a large
below (Byron 2009). It is represented as showing discontinuity that requires researchers make a
a smooth transition through the three stages of creative shift in their thinking. These transitions
growth described below: do not have to represent paradigm shifts that
signal revolutions in knowledge and under-
1. Infancy: This is when a new line of enquiry or standing, they could represent new research
field of research opens up. It is often referred to directions. More importantly, these transitions
as “basic” or “blue skies” research. Progress is are not the only places where the creativity of
usually slow because the ideas may be specu- the researcher is needed. If just one small part of
lative, there will be little evidence supporting the alleged smooth curve of Fig. 3 is magnified,
the theory, and relatively few people will be many more discontinuities that contribute to
engaged in the work at this early stage. There is progress can be seen as illustrated in Fig. 4
also some inertia to overcome in convincing (Byron 2009).
The upward steps in Fig. 4 represent the orig- obvious to someone “skilled in the art.” Without
inal contributions to progress. They are discontin- an inventive step, a patent cannot be filed. The
uous because such insights or mini-breakthroughs other features on the inset portion of the curve in
are not predictable from the knowledge available Fig. 4 are also worth discussing here because they
at the time. In patent law used to protect inven- do relate to creativity, particularly the horizontal
tions, they are defined as “inventive steps” and arrow defined as a “delay.”
this is described as something that would not be Research is a pretty inefficient business in C
terms of the time and effort put in, and the afore-
mentioned delays stem from two sources. Firstly,
there is the innovation aspect of the research in
terms of how well the project is managed. Here
Next
Development delays can be due to various factors such as allo-
cation of resources, equipment, support, develop-
ment and training time, other demands on the
Research Progress
researcher, etc. These are all external factors in

terms of the person doing the research, but the
Maturity
other contribution to the delay concerns the
researchers’ own thinking time. This is partly
due to the study necessary to understand the rele-
vant concepts, to keep abreast of the published
Rapid
Development work, etc., but there is another important delay
that is often unaccounted for and this concerns
creative insights.
Infancy Generally speaking, new ideas do not occur at
the time that a research problem or challenge has
Effort (Time) been identified, and four stages have been identi-
Creativity in Research, Fig. 3 The sigmoid curve of
fied in the process of creative thinking. These
research progress were defined by Graham Wallas in 1926 (Wallas
Next Creative Steps

Development
Delays
Research Progress
Setbacks
Effort (Time)
Creativity in Research, Fig. 4 A magnified portion of the sigmoid curve

1926) and are listed below with a brief description effectively?” and this open up new possibilities
of their application in the context of research. that would not be found by looking at existing
websites such the use of blogs or Facebook, or
1. Preparation – This refers to the assessment and perhaps authorship of a booklet or other publi-
clarification of a research challenge that cation, or maybe an invited meeting of key
requires both creative and critical thinking. stakeholders and so on.
This is often neglected and can lead to delays In summary, research can be made more
when underlying assumptions have not first efficient by shaping a challenge first before
been identified. Sometimes a challenge can be diving into finding ideas for its current formu-
too ambitious or general and needs to be honed lation. All too often in research after a particu-
down to a set of smaller challenges that repre- lar challenge has been set without examining
sent specific instances of these larger general- assumptions or shaping it, a few days later in a
ities. For example, the challenge statement in casual conversation, someone might be heard
educational research: “How might improve- saying: “What we are really trying to do
ment be made on the evaluation of students’ is. . .. . .!”. When a research challenge has
knowledge other than by written examina- been properly prepared so that it is ready for
tions?” contains assumptions (e.g., to what new creative solutions and no immediate reso-
extent do written examinations fail to provide lution has been reached, the next phase of
an adequate evaluation of students’ knowl- incubation comes into play.
edge?), and is not specific enough. Other ques- 2. Incubation – This is an alleged period of
tions related to this would need to be answered unconscious activity facilitated by conscious
first, and then included in the challenge state- disengagement from the challenge.
ment, (e.g., which group of students are See Appendix 1 also.
involved? what subjects? when does this 3. Insight – This refers to the “Eureka” moment
occur? and so on). where a breakthrough idea emerges into con-
On the other hand, if a challenge is too scious awareness. This often occurs away from
specific, it can inhibit creativity, resulting in the place where the challenge was identified
solutions that are routine. An example here and can even occur in a dream.
might be the research challenge: “How might 4. Elaboration – The commencement of “Inno-
a better website be designed?” The “adaptive” vation” where the original idea is refined,
approach would be to look at existing websites, shaped, communicated, and put into practice.
and incorporate ideas that improve the existing
website design, and eliminate ideas that are Apart from the first recorded “Eureka” moment
regarded in other websites as bad design. The of Archimedes, there are many other examples of
result would be a step-wise improvement in the other great insight stories in the history of the
design of the website. However, if instead of sciences and the arts. Such famous names as Des-
following this line of enquiry, the challenge is cartes, Mozart, Wagner, Coleridge, Max Ernst,
broadened out by abstraction, new creative Poincare, Einstein, Hamilton, Nikolai Tesla,
possibilities arise. Denis Gabor, Otto Loewi, and Cary Mullis all
Abstraction is facilitated by asking “why?” reported “Eureka” insights at times when they
and transforming the answer into a bigger chal- were away from the office, studio, laboratory,
lenge. So in this case this leads to: “Why is it workplace, etc. Of course, not all original ideas
necessary to design a better website?” and the arise in this way and many do take place while
answer to this might be: “In order to commu- doing research without requiring a long incuba-
nicate the content of the website more effec- tion period. These are sometimes precipitated by a
tively.” If this is transformed into a new timely clue. For example, it took Sir Alex Jeffries
challenge it becomes: “How might the content only 30 min after examining an X-Ray film of a
of the website be communicated more DNA sample to realize its potential for a unique
form of fingerprinting. This is also a good exam- by the person proposing them in that they may
ple of someone who makes a creative connection appear crazy in the eyes of others. Apart from
between their highly specialized field and another the risks in dealing with criticism from others,
completely different field (forensics). more benignly, this concerns allowing oneself
to leave the security of existing habits of
thought.
Discoveries Another way in which creativity can be nur- C
tured is in the development of a tolerance to ambi-
It is important to discriminate between original guity. This concerns the ability to be comfortable
ideas inspired by the researchers themselves, and with unresolved issues, problems, or challenges
discoveries which are in some sense independent for longer periods. It is relatively easy to take the
of the researcher even though they represent “adaptive” step-by-step approach described ear-
originality. lier to find resolution to such challenges – how-
Discoveries appear in different ways and are ever, this does not tend to lead to new ideas or
never planned or predictable from the knowledge open up interesting new lines of enquiry, and is
available at the time, and as such are not the direct often only a temporary fix.
result of any individuals’ creative thought or The more creative approach requires the
action. However, someone has to witness such researcher to be in the mess of an unresolved
events. When Alexander Fleming said: “Chance problem for longer. This can be practiced
favours the prepared mind” he was referring to (provided deadlines are not compromised) by
certain characteristic of a creative mind, that withdrawing from the specific problem at times
include curiosity, open-mindedness, a willingness and trusting in the incubation process described
to suspend judgment and challenge assumptions, earlier.
and an ability to take risks. Given that it is not Intuition is defined as a form of knowledge or
likely when a discovery is made that the experience unaccompanied by conscious, rea-
researcher will have previously been looking for soned thinking. Conscious thought draws on
what they observed, or what the observation could rationality as a guide and deals with tasks in a
mean, the requirement for a creative mind-set in linear, sequential way. The hidden, intuitive mind
doing research is clear. has two main influences that determine how it
processes thoughts – or rather what become
thoughts in the conscious mind. The first process
is association which is a pattern-matching pro-
Nurturing Creativity cess, and the second one is based on heuristics
or innate and learned rules of thumb that are
Creativity is associated with the appropriate use of
shortcuts through repeated association (see, for
the imagination and though it is not difficult to
example, Kahnemann 2012).
imagine the impossible, research is more
Intuition is developed by new knowledge,
concerned with “The art of the soluble” to quote
action, and experience but it is not infallible and
the great zoologist Sir Peter Medawar (1967). On
shortcuts applied inappropriately can lead to mis-
the other hand, it was the scientist and writer
perceptions or illusory thinking. This is constantly
Arthur C Clarke who said (Clarke 1973): “Every
experienced in doing research and many new
revolutionary idea evokes the following three
ideas appear to be counterintuitive until new
stages of reaction”:
knowledge is acquired (Byron 2008).
“It’s completely impossible – don’t waste my time”; The mismatch between what is sometimes seen
“It’s possible, but it’s not worth doing”; to be intuitively correct and what turns out to be
“I said it was a good idea all along.”
true calls again on the need for a more flexible
Revolutions apart, creative ideas do some- creative attitude to solving problems. This is facil-
times require a certain amount of risk-taking itated by checking assumptions, even reversing
them, or trying a number of different approaches SCAMPER stand for Substitute, Combine,
and suspending judgment until other options have Adapt, Modify (i.e., Magnify, Minify, Multiply),
been explored. Put to other uses, Eliminate, and Reverse. Each
transformation is prefaced by examining the chal-
lenge and asking “What if we. . .. . ...?” This tool
Finding Ideas can be applied to any discipline or activity in
which there is change. Examples from the world
New ideas in research can be seen as transforming of technology are given below (Byron and Adams
the existing knowledge base and understanding of 2011).
the subject, and this is driven much of the time by SUBSTITUTE: Copper cable for Optical
published work in peer-reviewed journals and fiber – This revolutionized the telecom business.
conference presentations. A brief look at the his- COMBINE: The telecommunication company
tory of any area of research will soon reveal that “Agilent” Combined planar optical waveguides
much of the time new ideas simply build on what with an Adaptation of ink jet technology to pro-
is already there. This is the basis of what was duce an optical switch.
defined earlier as “adaptive” research. Certain ADAPT: The microwave oven was an adapta-
transformations however can also lead to big tion of magnetrons used in radar systems.
insights that revolutionize research fields. For MODIFY (Magnify/Minify): Alastair
example, many of the developments in the early Pilkington Magnified the phenomenon arising
history of microscopy can be seen as adaptive from surface tension of flat oil drops floating on
improvements on the first microscope of Anton water. He substituted the materials for liquid glass
Van Leeuwenhoek in the seventeenth century floating on liquid tin and this was how float glass
(e.g., better lenses, better illumination, better was developed.
specimen holder, etc.). However, when Max PUT TO OTHER USES: Velcro was invented
Knoll and Ernst Ruska came up with the idea of when the attachment mechanism of cockle-burrs
substituting photons for electrons with the inven- was put to another use (after substitution for
tion of the electron microscope in 1931, this another material.)
represented a major creative transformation of ELIMINATE: The computer industry has been
microscopy (Byron to be published). driven by the need to eliminate space on silicon
When two different disciplines coalesce, chips by reducing the size of logic elements in
another form of transformation takes place order to increase their density and hence their
where ideas are combined. Examples of this in processing power. Wireless technologies elimi-
recent years are bio-informatics, evolutionary nate electrical cables.
psychology, neuro-ethics, social philosophy each REVERSE: By creating artificial opals
of which now has one or more specialized aca- (closely packed silica spheres) and in-filling the
demic journals associated with the new research gaps then dissolving the spheres we are left with
field. an inverted Opal. This has potential application
The study of new ideas in different disciplines for photonic circuits (Circuits using light instead
reveals that there are only seven kinds of transfor- of electricity).
mation that lead to progress (Byron 2009). It is Creative tools like SCAMPER enable the
held that by deliberately applying these transfor- researcher not so much to find new ideas, but
mations to a challenge, many more ideas emerge to ask more questions relating to a particular
than would be found by random associative challenge that could then lead them to finding
thinking. new ideas. Having available the full range of
The seven kinds of transformation have been possible transformative “What If?” questions
summarized in a memorable way with the acro- can also help a researcher to break habitual
nym SCAMPER. This tool was first developed by habits of idea generation and seek more
Bob Eberle in the 1950s and the letters of possibilities.
Conclusion and Future Directions tacit skills can be accelerated through attendance
at specialized workshops focused entirely on
At a time of unprecedented challenges arising these topics (e.g., Creative Problem Solving),
from the impact of global warming and population and the researchers can gain confidence more
growth on the sustainability of the environment, quickly through working more closely with their
food supplies, and health provision, the need for peers.
productive research and big new ideas has never While creativity cannot be taught directly, it C
been greater. To quote the futurist Gaston Berger: can be “caught” by working in an environment
“We must no longer wait for tomorrow, it has to be where it is more openly acknowledged and under-
invented.” stood as an important part of research activity,
Creativity is the engine that drives progress in rather than being regarded as potential that will
research, yet it is largely taken for granted in the make its appearance as a tacit skill over an
recruitment of new researchers that people who extended period of time.
have demonstrated a high level of knowledge and In conclusion, it is proposed that to comple-
understanding of a particular discipline (e.g., ment the conventional 1:1 supervision process for
achieving a high grade in a bachelors’ degree) researchers, the deliberate development of crea-
will be productive researchers. Although, knowl- tive skills in new researchers through workshops
edge and understanding are necessary for doing and courses in research institutes is a key require-
good research, they are not sufficient. Creative ment for the next generation of researchers seek-
skills, unlike critical thinking skills, are less well ing the big ideas needed to address global
defined, and in a sense, not directly teachable. challenges. To achieve this, considerable effort
Furthermore, the capacity to exercise innate crea- will be needed by those who develop researchers
tivity varies considerably from person to person to fully understand the creative tools and tech-
irrespective of their knowledge or indeed niques that really work for researchers, and to
intelligence. develop effective development interventions
The traditional way in which these skills are illustrated with relevant subject-specific case
acquired is through immersion for at least a year studies. In this respect, the transformative idea
or so in doing research, working with other generation tool described here is one example of
researchers and the research community, and a technique that can enable the researcher to find
through a great deal of critical study of existing more ideas to meet a research challenge, and to
publications. Eventually patterns begin to emerge help develop their own creative skills.
through these studies that enable a researcher to
identify gaps in knowledge, and having familiar-
ized themselves with the entire cycle of research, Appendix 1: Creative Behavior
albeit under guidance, they begin to acquire the
confidence to find creative solutions themselves to In the context of the skills for doing research in
fill these gaps. From initially being an apprentice, any field, it is useful to refer to a spectrum of
the researcher through hard-earned tacit skills and creative behaviors. At one end of the spectrum is
knowledge eventually becomes an autonomous an everyday form of unconscious creative behav-
researcher with barely a mention of the word ior that would include the ability to form the next
“creativity.” The rate of progress however is few words to be expressed verbally. Another
very varied, and is highly dependent on the quan- example might be when a solution is sought for
tity and quality of guidance received from the an existing problem in a routine way by drawing
supervisor or manager through this process. on memories of earlier solutions (e.g., stabilizing
Transferable skill training programs in a table by placing a folded beer mat under one of
research institutes can help researchers acquire the legs). At the other end of the spectrum are the
these essential skills in a more efficient and effec- big insights or “Eureka” moments that lead to
tive way. Here the acquisition of slowly learned breakthroughs and possibly progress in research.
The former end of the spectrum may be • When working with others to find ideas (e.g.,
defined as small “c” creativity and the other as in a group brainstorm or in an academic
large “C” creativity. “c” creativity in the first argument)
example cited earlier is the continuous genera- • When creative tools and techniques are applied
tion of relatively small ideas (words and phras- in a deliberate way (e.g., SCAMPER, Forced
ing) about something that is required to be Connections, TRIZ) to find ideas
communicated, and these ideas are coupled to
syntax and other cognitive, noncognitive, and Consistent with the extremes of the aforemen-
physical mechanisms that make communication tioned spectrum of creative behavior, deliberate
possible. All of these small ideas are in them- creative thinking (the default process of which is
selves unoriginal, but collectively they constitute thinking by association) is an unconscious activity
a unique event in the sense of something being but the difference here is that the researcher is
spoken by a certain person at a certain time, and consciously aware of the questions that are asked
in a certain place. at the same time ideas to answer them are being
“C” refers to big ideas or discontinuities in sought.
current thinking and the temporal relationship to With the possible exception of the “Eureka”
other measurable processes taking place in paral- end of this spectrum, it is important to note that
lel is quite different. “C” creativity in the example creative thinking does not exist in isolation but has
cited earlier occurs mostly (but not always) at a symbiotic relationship with a cluster of other
unusual times, and in unusual places often away cognitive abilities generally referred to as critical
from the environment (e.g., the laboratory, the thinking (e.g., analyzing, rationalizing, synthesiz-
studio, the library, the office, etc.) in which the ing, evaluating, inferring, judging, deciding, etc.).
original challenge that led to the insight was first This symbiosis is driven by a certain degree of
articulated. These “Eureka” moments appear to emotion that provides the motivation to solve
arise unbidden and without conscious effort, and problems in whatever form they take.
are a delayed (sometimes after a period of years) Strictly speaking, the processes of critical
response to an earlier unresolved challenge or thinking cannot be separated from creative think-
problem. ing – ideas emerge from questions posed in both
Though it has not been verified experimentally, these modes of thought – but there are times when
the general consensus is that these ideas arise after seeking new ideas, it is beneficial to temporarily
a period of prolonged unconscious incubation. suspend the critical faculties and let the imagina-
That is to say at the time the idea arises in con- tion take the driving seat.
scious awareness, the person – though not aware
of any earlier effort being expended on seeking
the idea – is working away on solving it in the References
background as it were. It is difficult to prove
whether or not the incubation process is actually Byron KC. Counterintuition. The Institute for Cultural
Research. Monograph series no 53; 2008.
taking place because some random reminder of
Byron KC. The creative researcher. 2009. http://www.
the problem or challenge may equally have stim- vitae.ac.uk/policy-practice/1393-189241/The-creative-
ulated the idea instantaneously. researcher.html
Occupying the region in between these two Byron KC. Creativity in research. In: Greenfield T, editor.
Research methods for postgraduates. To be published.
extremes on the spectrum are forms of deliberate
Byron KC, Adams JD. Effective learning in the life sci-
creative behavior and examples of this occur on ences: how students can achieve their full potential’.
the following occasions: Wiley on-line Library. 2011.
Clarke CA. Profiles of the future: an enquiry into the limits
of the possible. New York: Harper & Row; 1973.
• When the focus of attention is on a specific
Harwood WS, Reiff R, Phillipson T. Voices from the front-
problem or challenge, and ideas are sought in line: scientists’ conceptions of scientific inquiry.
real time to solve it J Chem Educ. 2004.
Creativity Journals 643
Kahnemann D. Thinking, fast and slow. London: Penguin; the causes). Any parent who loses sleep after
2012. having a baby understands that children cause
Medawar P. The art of the soluble: creativity and originality
in science. London: Methuen; 1967. many changes! In the case of creativity,
Preistley J. The history and present state of electricity with bidirectionality works very broadly. Take eco-
original experiments. 1767. nomics: Businesses thrive when they support the
Vitae is the UK organisation championing the personal, pro- creativity of their employees because creativity
fessional and career development of doctoral researchers
and research staff in higher education institutions and leads to innovation and a competitive advantage. C
research institutes. http://www.vitae.ac.uk/policy-practice/ From the other direction, resources are necessary
1397/About-Vitae.html. More information on the RDF is for creativity, and if a company has a competitive
available at: http://www.vitae.ac.uk/researchers/428241/ advantage, they are likely to have resources that
Researcher-Development-Framework.html
Wallas G. The art of thought. New York: Harcourt, Brace; can be invested in creativity. So business creativ-
1926. ity is both a cause and a result. Importantly, the
resources may not be financial. Economic theory
describes all sorts of resources and not just money.
The economic example of bidirectionality is
apt in the present presentation because there is
Creativity Journals
research from that field that describes academic
journals, which is the topic at hand. This eco-
Mark A. Runco
nomic research suggests that new journals are
introduced when there is a supply of available
reports and articles to publish. Once those journals
are introduced (and issues in print and online), a
demand is created and increases dramatically, and
in response the number of researchers increases,
as does the number of articles to publish. This is
of course a clear example of supply and demand
Synonyms
as applied to academic journals. It is also another
instance of bidirectionality. This situation accu-
Creativity Research Journal; Bidirectionality;
rately describes the journals that all have been
Innovation
introduced to publish the research on creativity.
Creativity is currently being studied from quite

varied disciplinary perspectives. A creativity Brief Overview
textbook from 2014 devoted one chapter to devel-
opmental, cognitive, biological, organizational, The Creative Education Foundation introduced the
clinical, philosophical, political, historical, educa- Journal of Creative Behavior 1967. The JCB has
tional, and economic perspectives on creativity. certainly contributed to advances in our under-
Interestingly, in each chapter, there was discus- standing of creativity. Its scientific rigor did fluctu-
sion of bidirectionality. This is the label given ate, especially early on, but that actually opened the
to things that are both causes and effects. The door for other journals. Indeed, the clear need for a
direction of causality goes away from them, uniformly rigorous journal devoted to creativity led
when they are the cause, and it goes toward to an enormous step forward in 1988 with the
them, when they are effects. Bidirectionality is introduction of the Creativity Research Journal.
often used in the research on families because The supply and demand dynamic mentioned
there is evidence that children are influenced by above is especially apparent looking at the CRJ.
their parents (in which case the children are That is because the CRJ was founded with a single
affected by parents) but, just as clearly, children mission of publishing rigorous research on creativ-
influence parents (in which case the children are ity. The JCB had published some rigorous research,
644 Creativity Journals
but it also published speculative pieces and intro- Research Journal, but other journals also contrib-
spections and various less-than-rigorous articles, uted to the demand and thus the supply of
especially in the first 15–20 years. The rigor that research. One journal that first appeared in 1976
was a part of the CRJ mission created a demand but stopped in 1991 (volume 16) was the Creative
which has escalated ever since. As you would Child and Adult Quarterly. It was published
expect, the supply of articles responded. At present by the National Association for Creative Children
it is difficult to keep up; there is so much research and Adults. Publication was a bit inconsistent,
published. It is published in a range of journals, but some of the articles were quite good.
most of which have been introduced after the year Torrance’s “Creativity of the Older Adult”
2000. This article reviews all of the journals (1977), “Healing Qualities of Creativity” (1978),
devoted to creativity. and “Are Children Becoming More Creative?”
(1986) were all released in the CCAQ. The last
of these is intriguing because exactly the opposite
Journal of Creative Behavior has been reported by Kim (2011) in the CRJ. My
own article on the “Threshold of Intelligence”
Several relevant points about the JCB were already (which is necessary for creativity) appeared in
mentioned: It was founded by the Creative Educa- CCAQ, as well.
tion Foundation and started in 1967. It was the only The CCAQ seems to have focused on educa-
journal devoted to creativity for over 10 years. Dur- tion and development, with special attention
ing those early years, it contained papers by all of given to creativity in the arts. Anne Isaacs is
the key figures, including Sidney Parnes, Alex the only editor of CCAQ mentioned online. Not
Osborne, Paul Torrance, J. P. Guilford, and Frank surprisingly, given that it stopped in 1991, not
Barron, just to mention a few. Early on it published much information about CCAQ can be found,
highly speculative articles and pieces by practicing even online. Google does have snippet views
artists and innovators – not really “research” or at of a handful of issues. Google also lists “common
least sans experimental control and generalizability. terms and phrases” associated with CCAQ: ability
Through the years it has become more and more academic achievement activities, behavior,
academic and rigorous. It still welcomes “all brain, college students, color composition, crea-
approaches” to creativity and is indeed interdisci- tive potential, creative process, creative product,
plinary. Not all journals consider qualitative creative thinking, divergent thinking, drawing,
research, but the JCB still does. It also published gifted children, gifted education, giftedness
single-subject research. Authors must “situate their grade groups, Haiku, hemisphere, intuition, learn-
work in the existing creative studies literature and ing styles, mentoring, personal creativity,
make a significant contribution to that literature.” problem solving, teacher, teaching, students, uni-
Interestingly, the JCB website points out that versity, values, and writers (from https://
even the covers are creative – and indeed they are. books.google.com/books?id¼IDxLAAAAYAAJ
This is especially true in that the cover changes &source¼gbs_book_other_versions). Note the
with each issue, so given that the JCB terms devoted to giftedness and gifted children.
has published 50 issues, four times each year, it Much of the research published in CCAQ was tied
has also published over 200 creative covers. creativity to giftedness. That was a general ten-
Wiley/Blackwell recently took over the actual dency of creativity research in some of the 1970s
production of the JCB. and 1980s. This is no longer true. There is overlap
but clear separation as well.
Creative Child and Adult Quarterly Creativity Research Journal

The CRJ was first published in 1988, but only
The most notable jump in rigorous research one issue came out that year. This issue and
resulted from the introduction of the Creativity those from 1989 were published in La Habra,
California. Only after these two volumes did a changed to “Comments and Corrections” about
major publisher take on the CRJ. This was ten years ago, largely in response to the increased
Ablex, a smaller publishing house but owned by number of publications in the field that failed to do
Walter Johnson, famous for starting Academic their homework. More specifically, ties to previ-
Press and several other notable houses. The CRJ ous publications were often superficial and inad-
moved to Lawrence Erlbaum Associates 5 years equate. This may reflect the size of the literature,
later, but all of LEA was then sold to Taylor and but that is not really an excuse, given that schol- C
Francis, a subsidiary of Routledge, one of the five arship should be thorough. I once raised the pos-
largest publishers in the world. sibility that superficial citations (poor integration)
The CRJ has published Festschrifts for reflected an originality bias among certain crea-
Howard Gruber (2003), Arthur Cropley (2015, tivity researchers. After all, creativity researchers
guest edited by David Cropley), and E. Paul Tor- clearly value creativity, and they know that orig-
rance (2006, guest edited by James Kaufman and inality is crucial, so perhaps they hesitate to cite
John Baer), as well as an issue “Commemorating relevant work, fearing that it will make their own
J. P. Guilford,” which was published in 2001, the work look less original and creative. On this topic
contributions having been written 50 years after of originality, the inaugural editorial of the CRJ
Guilford’s seminal and hugely influential article pointed to three criteria for the acceptance of
in the American Psychologist. The CRJ has also manuscripts for publication, namely originality,
published special (topically focused) issues on usefulness (of the research), and integration, the
“Creativity in the Moral Domain” (1993, guest last of these included because science is a social
edited by Howard Gruber and Doris Wallace), endeavor. New research builds on previous
“Creativity and Discovery” (1994, guest edited research, which should be acknowledged and
by William O’Reilly and Frederic Holmes), cited.
“Interdisciplinarity, Art, and Creativity” (1998, One last point: The only real difference in the
guest edited by Martin Lindauer), “Health and CRJ, back in 1988 and 1989, and the AP, format-
Creativity” (a double issue guest edited by wise, was the cover. The CRJ did have a more
Ruth Richards), the “Schizophrenia Spectrum” creative cover than the AP. Recall that the JCB
(guest edited by Louis Sass and Ruth Richards), also expresses creativity on each cover. In the case
“Play, Imagination, and Vygotsky” (1992), and of the CRJ, the editor’s brother was a Disney artist
“Divergent Thinking” (2006). The last two of (an “Imagineer”) for 40 years, and he was kind
these I edited (though not as a guest). Signifi- enough to design the logo which is still on each
cantly, the special issue focused on creativity and cover of the CRJ. The editor’s mother picked the
discovery contained articles by several Nobel vibrant color of the CRJ cover. These design
Laureates. issues are not important academically speaking,
The CRJ was modeled after the American but the topic at hand is creativity, so they are
Psychologist, at least in format and presentation. relevant tidbits.
The title pages were nearly identical when the
CRJ first appeared, and it was perfect bound, Creativity and Innovation Management
8.5 11 in., with the two column page format CAIM is in volume 26 and, like the JCB, is cur-
(except the abstract). This was intentional: The rently published by Wiley/Blackwell. It is tied to
American Psychologist has been highly respected both the Continuous Innovation Network and the
for decades, and when the CRJ started, it was the Product Development and Management Associa-
premiere psychological journal. The CRJ was tion, though these ties were not part of the original
inaugurated to offer creativity research a rigorous publishing initiative. As the title suggests, CAIM
outlet, so the AP was an obvious choice for is quite focused on innovation. It will of course
modeling the format. publish strongly related articles, such as those
The CRJ also publishes Comments at the end dealing with entrepreneurship. CAIM is a practi-
of most issues, just like the AP. These were cal journal in that every article explores
implications, usually for management. The Beyond the Generation of Ideas: Virtual Idea
website notes that CAIM attempts to bridge the Campaigns to Spur Creativity and Innovation.
gap between scientific research and business Elerud-Tryde, Anne; Hooge, Sophie (2014)
practice. Exploring Relationships among Proactiveness,
The aims and scope of CAIM state that it will Risk-Taking and Innovation Output in
publish articles on the following: Family and Non-Family Firms. Craig, Justin
B.; Pohjola, Mikko; Kraus, Sascha; Jensen,
Leadership for creativity and innovation, the behav- Soren H. (2014)
ioral side of innovation management
Embedded (Lead) Users as Catalysts to Product
Organizational structures and processes to support
creativity and innovation, interconnecting crea- Diffusion. Schweisfurth, Tim G.; Herstatt,
tive and innovative processes Cornelius (2015)
Creativity, motivation, work environment/creative Lessons from Ideation: Where Does User
climate and organizational behavior, and crea-
tive and innovative entrepreneurship
Involvement Lead Us?. Schweitzer, Fiona;
Deliberate development of creative and innovative Gassmann, Oliver; Rau, Christiane (2014)
skills including the use of a variety of tools such These most cited articles offer a good indication of
as TRIZ or CPS the coverage of CAIM.
Creative professions and personalities, creative
products, the relationship between creativity
and humor, arts and amp, and humanities side Psychology of Art, Creativity, and Aesthetics
of creativity PACA started out as the newsletter for the
American Psychological Association’s Division
Not all journals reviewed here have websites 10, which is devoted to the same – arts, creativity,
that give their most cited articles, but CAIM does. and aesthetics. It made the transition to a quarterly
Here are the most cited from CAIM for 2014– late in 2006. Interestingly, creativity was
2015: not always an explicit part of Division 10. There
were discussions, mostly in the 1990s, about
The Antecedents of Creativity Revisited: A Pro- including creativity, and eventually the division
cess Perspective. Caniels, Marjolein C. J.; De did change its name to what it is now.
Stobbeleir, Katleen; De Clippeleer, Inge There was one issue of PACA in 2006, but
(2014) the numbering system (volume 1, number 1)
Living Lab: A Methodology between User- restarted in 2007 with a special issue and a shift
Centred Design and Participatory Design. to quarterly production. The first issue was
Dell’Era, Claudio; Landoni, Paolo (2014) devoted to the work of Rudolf Arnheim and
Creativity and Innovation in Haute Cuisine: deservedly so. His impact on the field of experi-
Towards a Systemic Model. Stierand, Marc; mental aesthetics is still apparent. His book Visual
Doerfler, Viktor; MacBryde, Jillian (2014) Thinking is a classic.
The Role of Dedicated Innovation Functions for It may come as a surprise but PACA does
Innovation Process Control and Performance – publish articles on innovation. These may contain
An Empirical Study among Hospitals. little if anything about art and aesthetics. Thus
Labitzke, Giso; Svoboda, Sven; Schultz, articles in PACA can focus on art, creativity, or
Carsten (2014) aesthetics and need not address all three. Creativ-
A Structural Equations Model of Leaders’ Social ity is required for innovation, so innovation is fair
Intelligence and Creative Performance. Rahim, game. It really is a matter of emphasis, which is
M. Afzalur (2014) true of all creativity journals. They all appreciate
Knowledge Sharing and Innovative Work connections between creativity, innovation,
Behaviour in Healthcare: A Micro-Level aesthetics, and so on, so you might find an article
Investigation of Direct and Indirect Effects. on any one of those in just about any of the
Radaelli, Giovanni; Lettieri, Emanuele; Mura, creativity journals. The exception may be Crea-
Matteo; Spiller, Nicola (2014) tivity and Innovation Management. It only
publishes papers that are explicitly about innova- A Commentary on the Social Perspective on
tion. A paper on art or aesthetics will not find its Creativity by Runco, Mark A.
way into CAIM pages unless it does into some Comparison of Competing Theories about
detail about innovation or management. Still, Ideation and Creativity by O’Neal, Ivonne
there is a huge amount of overlap among the Chand, Paek, Sue Hyeon and Runco, Mark A.
creativity and innovation journals in terms of Commentary on The Psychology of Creativity: A
topics. Critical Reading by Hui, Anna N. N. C
Development of the Creative Self-Concept
Creativity: Theories, Research, Application by Karwowski, Maciej
CTRA started in 2014. It is published twice each The Big Question in Creativity Research: The
year by de Gruyter, in Warsaw, Poland. The Transcendental Source of Creativity by
stated mission is as follows: “The journal aims Kharkhurin, Anatoliy V.
to provide a forum for the discussion of human Note that commentaries (e.g., about previous
creativity in all of its complexity – its recogni- articles) are published in CTRA, as is qualita-
tion, correlates, determinants, possibilities for tive research (according to the mission
its encouragement and development – analyzed statement).
from the point of view of education, psychol-
ogy, sociology, aesthetics, etc. Moreover, the Thinking Skills and Creativity
journal will discuss issues of creative potential The first issue in the first volume (2006) of TSC
as well as actual creative achievements (every- opens with an editorial. It states immediately that
day and eminent creativity). It will also consider the mission focus is on education: “Re-structuring
methodological and statistical issues regarding of education to include much greater focus on
quantitative and qualitative creativity studies in developing critical and creative skills is happen-
various countries. The journal is a platform for ing across the world, reflecting a widely shared
positive confrontation of the various ways of view that creativity and general thinking skills are
perceiving and investigating creative and key to success within the emerging global knowl-
encouraging the interparadigmatic and edge economy.” The mention of the knowledge
interdiscursive dialogue of the representatives economy is interesting – in part because there
of distinct theoretical and methodological is now a view that the knowledge economy has
options” (from https://www.degruyter.com/ been replaced by the creative (and innovative)
view/j/ctra). economy – and in fact there is one journal with
The coverage of creativity in CTRA is broad. the creative economy as its primary focus. That is
That is apparent from the top 10 downloaded Business Creativity and the Creative Economy,
articles (as of April 2016): which is reviewed below.
TSC is an important journal, given that educa-
The Psychology of Creativity: A Discussion tion is perhaps the most important means by
Between Creative Potential and Its Realization which to support creativity for the future. Jerome
by Gralewski, Jacek Bruner said this decades ago and argued that
Notes on Creative Potential and Its Measurement1 teachers “must prepare our children for the
by Karwowski, Maciej unforeseeable future.” This implies that creativity
Comment on “The Psychology of Creativity: A is the most important educational goal, an idea
Critical Reading” by Vlad Petre Glaveanu by that is even more true today than when Bruner
Hennessey, Beth A. made his claim. Creativity is the only educational
Has Creativity Research Become a Trivial goal that will continue to benefit students even
Pursuit? by Lubart, Todd and Caroff, Xavier as societal and technological changes occur, at
Ideational Pathways: Toward a New Approach for a faster and faster pace.
Studying the Life of Ideas by Tanggaard, Lene The inaugural TSC editorial throws a broad net
and Beghetto, Ronald A. in terms of disciplines, including those
traditionally involved in education, but also some BCCE is one of the newer journals, so there is
that bring a new perspective, such as sociology less to report about it. It does have a more
and neuroscience. That editorial underscores the focused mission that most of the journals
TSC commitment to research but desires to pub- reviewed in this article, though, again, not all
lish material with obvious value to educators, BCCE articles are about the creative economy.
administrators, and policy makers. Some are about business creativity, the assump-
In addition to fairly traditional articles, TSC tion being that innovation and other aspects of
publishes material in its forum that is intended to business creativity and innovation contribute to
facilitate “communication and debate supporting the creative economy.
the growing global community of researchers and
educationalists interested in thinking skills and The International Journal of Creativity and
creativity.” The TSC forum includes research Problem Solving
notes, keynote papers, responses to previous pub- The International Journal of Creativity and
lications, and book reviews. Problem Solving was first called the Korean
Journal of Thinking and Problem Solving. It
Business Creativity and the Creative Economy changed its name to IJCPS in 2009 with volume
BCCE was introduced in 2015, along with 19.
its sister academic journal, the Journal of IJCPS is published twice each year by the
Genius and Eminence. Both were published by Korean Association for Thinking Development
the International Center for Creative Studies in (KATD).
Buffalo, New York until 2018. Then Tinkr, an The IJCPS mission is to publish “original
innovation firm in Norway, took over (in 2019). empirical and theoretical work on human higher-
The journals went to an online only format at that order cognition, with a particular emphasis on
time. BCCE is published twice each year, but that creativity. Whilst the primary focus of the Journal
seems to be temporary: It will eventually be a is on empirical/experimental research, the journal
quarterly. will also consider reviews that analyze, critique,
The title of BCCE points clearly to the focus or synthesize existing literature or papers that
on the creative economy. This is obviously express new theoretical ideas. The journal will
related to creative industries and nearly as clearly emphasize a wide variety of topic areas, such as
related to innovation, entrepreneurship, and critical thinking, problem solving, and decision-
geographic investigations of creativity. Indeed, making, as well as all facets of creativity. New
one article in the inaugural issue questioned methods or advances in creativity assessment are
the distribution of the “creative class” around of particular interest, and we strongly encourage
the United States. The hypothesis was that pre- submissions from those in psychology, education,
vious demonstrations of distributions of the cre- and business.”
ative class focused on professional levels of Very importantly, the mission also underscores
creativity. These differ from many other kinds an expectation that empirical research submitted
of creativity, including creative potential, per- will “have a solid statistical foundation.” This
sonal creativity, and everyday creativity. The implies something about the rigor of IJCPS.
investigation in the inaugural issue found some Also noteworthy is that articles may, according
overlap with previous geographic distributions, to the mission statement above, focus on critical
but mostly differences. Some cities and states thinking and problem solving. The last of these is
that are high on rankings of the creative class sometimes a kind of creativity, but not all creativ-
(and therefore do have a large proportion of the ity is problem solving, and not all problem solving
population working in an idea-generating pro- is creative.
fession) are not outstanding in terms of the One of the most recent issues was a special
unprofessional (but important) kinds of creativ- “Creativity in Engineering Education.” The con-
ity just listed (e.g., everyday creativity). tents were:
The Dark Side of Engineering Creativity Certainly, when other journals publish the work of
Creating a Place to Bore Or a Place to Explore? their own editors, an action editor is assigned to
Investigating Possibilities. . . avoid any conflict of interest. Creative Studies is
Remote Experiment and Creativity probably alone in completely precluding the work
Designing Circuit Warz: Enhancing Teachers’ of its own editors.
And Students’ Creativ. . . In some ways Creative Studies is different
Creativity Versus Adaption: A Paradox in Higher from the other journals, but they each have their C
Engineering Education idiosyncrasies. Creative Studies is the only jour-
Ingenuity or the Emergence of Creativity: Some nal reviewed here that is entirely open access.
Theoretical Remarks Although there are concerns about biased impact
Building Creativity into Engineering Education: factors associated with open access (e.g.,
Practical Strategies Brischoux and Angelier 2015; Lakhotia 2010), it
might be a good thing to have one open-access
Creative Studies outlet in the set of journals devoted to creativity.
Creative Studies is published by Taylor and Creativity research often shows that diversity is a
Francis. It is currently in volume 9 and, impor- good thing.
tantly, is an open-access journal. Thus authors
pay to have their articles published, and in return Creativity and Human Development
anyone can access all articles, without a subscrip- CHD is different from all of the other journals
tion. Creative Studies does not emphasize empir- listed above. Its website describes it as “an excit-
ical articles to the degree that the other Taylor ing magazine style journal which breaks the
and Francis journal (i.e., the CRJ) does and boundaries of tradition.” It is partly open access,
has in its mission a statement about supporting but partly not, and its contents are both research-
“communication within the creative society.” It based and journalistic/magazine style presenta-
may have more emphasis on information and tions. It is colorful and a nonprofit endeavor of
communication sciences than any of the other the Creativity Centre Educational Trust in
creativity journals. It also publishes “descriptions the United Kingdom. It is certainly an interna-
of academic events in this area” (quoted from tional journal. In fact, even the contents are inter-
http://www.tandfonline.com/action/journalInform national. The four issues highlighted on the
ation?show¼aimsScope&journalCode¼tlim22). current website are “Creativity around the
The peer review process for Creative Studies is World,” “Creativity in Japan,” and “Creativity in
slightly atypical. Again quoting the website: Romania,” as well as “Creativity Exploded.” It
publishes book reviews and interviews as well
The Editor-in-Chief and the Managing Editor as research and journalistic articles. It also
together decide who could be a reviewer. shares news and events.
One reviewer is the member of the editorial board,
another one is outside the Editorial Board or
both reviewers are outside the Editorial Board.
In the case of one negative peer-review, the Editor- Conclusions
in-Chief and the Managing Editor engage third
reviewer.
Additionally, the Editor-in-Chief and the Managing
Admittedly, the review above is not uniform.
Editor have no possibility to publish their papers Some of the journals could be reviewed in detail,
in the journal Creative Studies. while others provided less information and thus
were reviewed in less detail. At least two journals
It is not all that unusual to rely on two reviews, (CRJ and TSC) had very useful inaugural
though that is certainly minimal. It is typical for an editorials that explicitly stated aims, scope,
editor to obtain input from board members as well approaches, format, and so on. Several of the
as ad hoc reviewers. The last point about preclud- websites contains lists of the most commonly
ing the work of the editors in the journal is odd. cited articles, but some did not. These lists, when
650 Creativity Machine® Paradigm
available, should clearly indicate what kind of Lakhotia SC. ‘Impact factor’ and ‘we also ran’ syndrome.
research is published in that particular journal. Curr Sci. 2010;99(4):411.
Kim KH. The creativity crisis: The decrease in creative
All journals reviewed herein focus on creativ- thinking scores on the Torrance Tests of Creative
ity. Some have more particular foci. The JCB and Thinking. Creat Res J 2011;23:285–295.
the CRJ both throw a wide net and publish
on innovation, as well as art, entrepreneurship,
as well as self-expression. The CRJ maintains
interdisciplinarity as part of its mission. The
Psychology of Aesthetics, Creativity, and the Creativity Machine ® Paradigm
Arts is true to its name and clearly leans toward
art and aesthetics. CAIM is also focused, and Stephen Thaler
again it is clear from the title: it focuses on inno- Imagination Engines, Inc., St. Charles, MO, USA
vation and business creativity. Business Creativity
and the Creative Economy also emphasizes busi-
ness, but it also publishes quite a bit on Synonyms
geographic distributions of creativity, societal fac-
tors, creative industries, and of course the creative Device for the autonomous bootstrapping of
economy. CTRA lists art as its primary subject, unified sentience (DABUS); Device for the auton-
but that may be the result of online formatting omous bootstrapping of useful information
on the journal’s website. The publisher may have (DABUI); Device for the autonomous generation
categorized the journal using art, an existing of useful information (DAGUI); Imagination
category. engine; Perceptron-imagitron pairs
Even with a nice range of good creativity and
innovation journals, a number of relevant arti-
cles find their way to other outlets. Several Introduction
open-access journals publish articles on creativ-
ity and innovation. They seem to have very Although the definition of the term “creativity”
quick reviews and production, but it comes at a widely varies, recent developments in the field
cost: They are not nearly as selective as most of artificial neural networks (ANNs) lend a
journals reviewed above, especially compared highly comprehensive model to all accounts of
to the CRJ and PACA. Still, good research is this highly prized cognitive process. From this
published there. There is no shortage of good bottom-up, computational perspective, seminal
research on creativity, and the demand just idea formation results from a noise-driven brain
keeps growing. storming session between at least two neural
assemblies. Ongoing disturbances both to and
within such nets serve to drive a sequence of
neuron activation patterns that is tantamount to
Cross-References
stream of consciousness. At sufficiently intense
disturbance levels, memories and their interrela-
▶ Creativity Testing
tionships degrade into false memories or confab-
▶ Parsimonious Creativity
ulations, any of which could be of potential utility
or appeal. Delegating certain ANNs within these
neural assemblies the task of making value judg-
ments about such confabulations, we form an
References
inventive neural architecture called a “Creativity
Brischoux F, Angelier F. Academia’s never-ending
Machine” (US Patents 5,659,666, 7,454,388, and
selection for productivity. Scientometrics. 2015;103: related US divisional and foreign filings). Within
333–6. these contemplative computational systems, critic
Creativity Machine® Paradigm 651
nets govern the statistical placements and magni- memories activated within the brain in
tudes of disturbances injected into other nets, to response to the entities or scenarios observed
induce the highest turnover of potentially useful by it.
or meaningful confabulations. • Exemplars – raw numerical patterns, typically
According to this simple, elegant, and working consisting of input and output components,
model, creativity occurs due to the failure of bio- that are presented to a perceptron as it adapts
logical neural networks to reconstruct memories its connection weights to capture the intrinsic C
of direct experience when exposed to nature’s mapping between such input-output pattern
ubiquitous disordering effects, as other “wetware” pairings.
opportunistically exploits such mistakes and prag- • Environment – in the case of a perceptron, the
matically perfects the underlying network flaws. body of all potential input patterns tantamount
to the brain’s observable universe.
• Synapse – for an ANN, a numerical value, here
Fundamental Concepts in Creativity synonymous with the term connection weight,
Machine Theory used as a mathematical multiplier of raw sig-
nals communicated between artificial neurons,
Neural Network thus emulating short- and long-term potentia-
For the purposes of this discussion, the term tion within the electrochemical synapses of
“neural network” refers to any collection of the brain.
switching elements, either real or computer- • Pattern completion – the neural network pro-
simulated, that wire themselves together to write cess wherein missing components of incom-
arbitrarily complex input-output programs called plete or corrupted environmental patterns are
mappings. In a process called training, the filled in based upon learned relationships
wiring strengths between such switches, known stored within the network’s synaptic connec-
as connection weights, self-organize to decom- tion weights. In effect, this process is tanta-
pose the entire body of input patterns into their mount, for example, to our staring at clouds
statistically dominant features. Other connection and imagining animal or human forms (i.e.,
weights within these nets similarly self-organize pareidolia), or perceiving meaningful patterns
to absorb the inherent statistical relationships within random data (i.e., apophenia).
between such extracted features and the output • Associative memory – usually an artificial neu-
patterns with which they correlate. ral net that is trained by example to replicate
Concepts central to this notion of a neural whatever input patterns are applied to it. By
network appear below, sparing mathematical making such autoassociative networks recur-
details and connecting more with introspective rent, constantly recycling the generated output
analogies to human cognition: patterns back to the input layer, the network
is able to accept incomplete data patterns as
• Artificial neural network – either a neural “clues” to the information sought, thereby
network implemented from hardware-based, enabling the reconstruction of sought knowl-
parallel processing units and physical intercon- edge through successive cycles of pattern com-
nects, or simulations thereof implemented on pletion. Such recursion is tantamount to the
digital computers. time evolution of a biological neural net as it
• Perceptron – a particular kind of artificial settles into a persistent and stable activation
neural network that emulates the non- state we regard as a memory.
contemplative and reflexive aspects of percep-
tion wherein raw numerical input patterns, Creativity Machines
tantamount to electromagnetic, acoustic, and Neural network practitioners often build so-called
other contact sensations, are mapped to associ- hierarchical cascades in which one or more pre-
ated patterns that represent the resultant liminary networks accept input patterns from the
Creativity Machine ®
Paradigm, Fig. 1 A
simple Creativity
Machine ®, US Patents
5,659,666 and 7,454,388.
Transient synaptic
disturbances (red weights)
within a neural net called an
“imagitron” drive
confabulatory patterns that
pass to an evaluating
network called a
“perceptron.” Feedback
effects between both
networks accelerate
convergence toward useful
solution patterns that are
oftentimes absorbed into
both networks’ cumulative
learning
environment, relaying their output patterns in turn these cascades that associate a pattern-based fig-
to downstream networks that carry out subsequent ure of merit with each of these confabulatory
pattern-based computations. Similarly, Creativity patterns, and using such perceived worth to fur-
Machines consist of such cascades, the simplest of ther control the disturbances applied to upstream
which appears in Fig. 1. Within these neural sys- nets, new and often useful concepts spontane-
tems, the patterns initiating the propagation of ously emerge.
information through them do not necessarily orig- Figure 2 emphasizes the role of environmental
inate in the external environment. Instead, these inputs to the Creativity Machine architecture.
“seed” patterns have either a complete or a partial When both networks of this simple cascade are
genesis within the internal architecture of the cas- quiescent (left), the imagitron can serve as a nov-
cade, nucleated by all manner of entropic distur- elty filter, detecting anomalous environmental
bances to the neurons and synaptic interconnects patterns (E-novelties) through comparison with
therein. In effect, such random or chaotic pertur- its stored memories, subsequently recruiting the
bations drive the turnover of memories as if actual perceptron to detect any such patterns offering
environmental stimuli are being presented to the utility or value. As the mean synaptic disturbance
neural system’s sensory input layers (Thaler level increases (center), weight fluctuations
1995a, b). Appropriately tuned, such disturbances within the imagitron serve to “juggle” alternative
succeed in morphing tokenized entities and rela- interpretations of any applied environmental pat-
tionships into plausible to semiplausible notions tern (E-interpretations), until the perceptron
the cascade has never directly experienced. The judges one such interpretation as contextually
phantom experience, originating within these consistent, thus allowing the system to fulfill a
internally perturbed nets, coined imagitrons, emu- sense making or disambiguation role. Finally, at
late a broad range of virtual, cognitive experi- sufficient levels of perturbation (right), any inter-
ences, ranging from hallucinatory effects to the nal noise swamps out the influence of environ-
parade of memories and ideas we commonly mental patterns, allowing the system to carry out
regard as stream of consciousness. By using “eyes-shut” invention or discovery processes
downstream networks (i.e., perceptrons) within (Thaler 2016a).
increasing synaptic noise
E E E
imagitron imagitron imagitron
noise injection / learning

E-novelties E-interpretations pure imaginings
perceptron perceptron perceptron
figure of merit figure of merit figure of merit
Creativity Machine ® Paradigm, Fig. 2 Growing “attention deficit,” first forming alternative interpretations
insensitivity to environmental input, E, with increasing to environmental stimuli and then becoming aloof to the
synaptic noise. As the perceptron injects increasing levels surroundings as it freely imagines, drawing only upon its
of synaptic noise (red weights), the system becomes internally generated memories and confabulations
Creativity Machine accomplishments over the these systems. Terms germane to this discussion
last 27 years have spanned areas of creative inter- include:
pretation, concept generation, and adaptive con-
trol (Table 1). Often consisting of numerous • Imagitron (a.k.a., imagination engine ®) – a
neural modules, they may combine patterns from neural architecture involving one or more
distinct conceptual spaces into compound discov- perceptrons that is perturbed by any form of
eries and inventions. The individual neural assem- random, semi-random, or systematic distur-
blies therein have automatically wired themselves bances so as to drive the generation of potential
into complex topologies, subjecting each other to ideas.
noise levels sufficient to generate a succession of • Perceptron – in the context of the Creativity
promising juxtapositional concepts or strategies. Machine, one or more neural nets that generate
Equipped with both sensor and actuators suites, consequence patterns in response to ideational
such synthetic brains have served as improvisa- patterns output by imagitrons. Multiple neural
tional control systems for various types of military nets may link their memories into a sequence
and space flight robots that must often ad lib of anticipated consequences in response to a
behaviors to deal with unexpected challenges candidate idea to form what has been coined an
(Clinton et al. 2007). “associative gestalt.” Such memory chains are
Because of the diversity of Creativity effectively emotional responses whose activa-
Machine types, objectives, and ties with human tion topologies control perturbation level
cognition, an extensive vocabulary has arisen to within the generative imagitron modules
describe both the architecture and function of (Thaler 2016b).
Creativity Machine ® Paradigm, Table 1 Some Nota- completion, instead generating novel patterns
ble Creativity Machine Accomplishments that could potentially qualify as ideas (Thaler
Accomplishment Year 2014, 2016b).
Generation of alternative Christmas carols 1989 • Perceptron-imagitron pairs – the permanent
Generation of 11,000 musical hooks 1995 or transient combination of a generative
Design of new personal hygiene products 1996 imagitron and an evaluating perceptron that
Prediction of new ultrahard, supermagnetic, and 1996 forms the basic structure of a Creativity
superconducting materials
Machine. In complex cascades consisting of
Invention of novel and useful neural 1997
architectures that became patents multiple perceptrons and imagitrons, a subset
Autonomous control of communications 1997 of the perceptrons (i.e., a compound
satellites perceptron) may briefly lock on to notions
Autonomous generation of hypothetical facial 1997 emerging from some subset of the imagitrons
portraits (i.e., a compound imagitron) similarly forming a
Autonomous writing of computer code for data 1998 transient, albeit complex coaltion of perceptrons
compression
and imagitrons.
Generation of two million new potential English 1999
words • Thalamocortical loop – a representative exam-
Semantic interpretation of Web content 2000 ple of Creativity Machine Paradigm in neuro-
Military resource allocation and logistics 2000 biology wherein the thalamus is attentive to
Complex hexapod robots invent their own 2001 novel, noise-seeded notions generated within
behaviors and ad lib responses to novel cortex. Putatively, reentrant connections to
scenarios cortex as well as global neurotransmitter
Creative, communal intelligence for robotic 2002 release following an associative gestalt (see
swarms
perceptron definition) provide the feedback
Autonomous recruitment of neural network 2002
modules to grow complex synthetic brains for connection equivalent to that depicted in
robotic control Fig. 1.
Album of original musical compositions 2006 • Creativity Machine – a neural architecture
Growing of brain-like neural pathways for 2006 involving at least one neural module, sub-
automotive machine vision applications jected to all manner of random or systematic
Autonomous rendezvous and docking of space 2007 disturbances to produce activation patterns
vehicles
representing potential ideas and/or plans of
Hardening of spacecraft hull designs to 2011
hypervelocity impact action, such notions then communicated to an
Generation of fantasy imagery from a dreaming, 2013 algorithm of any kind that evaluates these can-
ten billion neuron Creativity Machine didate concepts for novelty, utility, value, or
appeal. In the preferred embodiment used in
pedagogical discussions (Fig. 1), the cascade
• Perturbation – a mathematically describable takes the form of one synaptically perturbed
disturbance to any element of a connectionist perceptron, monitored and oftentimes con-
architecture, alternately referred to herein as trolled by the response of another perceptron.
“noise” or “disturbance.” • DAGUI – an acronym standing for “Device for
• Cavitation – a term that has been applied to the Autonomous Generation of Useful Infor-
the “hole” formation occurring within quasi- mation,” a nonlearning Creativity Machine.
continuous field of synaptic perturbations • DABUI – an acronym standing for “Device for
within a neural net. Typically novel pattern the Autonomous Bootstrapping of Useful
formation occurs when approximately half the Information,” an adaptive Creativity Machine
neurons within a neural system are encounter- capable of learning from the effectiveness of
ing such holes, with the other half pinned by any of its generated ideas or strategies.
perturbations. At this disturbance level, the • DABUS – an acronym standing for “Device
neural system begins to fail at pattern for the Autonomous Bootstrapping of Unified
Sentience” wherein critic functions generate network output novel lyrics that clearly revealed
chaining topologies, rather than strictly numer- their pedigree in the training exemplars, such as
ical patterns, to determine the merit of output “In the end all men go to good earth in one
patterns from one or more imagitrons. In eternal silent night,” or “Deck the halls with last
effect, these systems generate a unified “feel- year’s follies.” In effect, the network had learned
ing” or sentience via associative gestalts in the implicit grammar behind such prose, at the
response to notions collectively encoded granularity of letters and words. Thereafter it C
within perturbation-induced ideational chains. was able to interchange frequently encountered
• General theory of creativity – a model of mind entities in a way that formed coherent statements
proposing that various chemical and physical of potential intrigue to human perception. Early
disturbances within cortex interfere with the published papers (such as Thaler 1995b) dealt
normal pattern completion process that gener- largely with the role of synaptic damage in gener-
ates memories, thus driving the formation of ating so-called “phantom inputs” to a trained neu-
false memories (i.e., confabulations) that are ral net. The first mention of the practical use of
evaluated for their novelty, utility, or value by such confabulatory neural nets monitored by eval-
other attentive cortical nets (Thaler 1997, uation algorithms appeared in 1997 with both a
2013). These latter nets govern global neuro- paper on computational creativity (Thaler 1997)
transmitter release to control both novel pattern and the relevant patent, US 5,659,666.
production and the selective retention of the From the outset, it became quite evident that
more salient or meritorious of these notions. the same system, namely, a synaptically per-
This theory also suggests that excessive swings turbed neural network, could provide creative
in such volume neurotransmitter release lead to possibilities within any conceptual space. Thus,
various psychopathologies commonly associ- an associative memory cumulatively exposed to
ated with creativity (Thaler 2016a). valid chemical formulas produced both novel
and plausible theoretical chemistries (Thaler
Historical and Theoretical Background 1998). A perturbed perceptron shown numerous
Early Creativity Machine research (1974–1985) design specifications for consumer products gen-
focused primarily upon damage mechanisms erated plausible new merchandise concepts
within associative memories that generated inter- (Plotkin 2009). An internally perturbed associa-
esting or unusual notions. The first published tive memory that had witnessed the kinematics
work dealt with near-death simulations using of a complex robot generated new and physically
trained artificial neural networks wherein the net- realizable movement strategies to improvise new
work degradation involved progressively increas- behaviors to deal with unanticipated scenarios
ing levels of simulated cell death (apoptosis) that (Clinton et. al. 2007). In short, in just a few
effectively nullified synaptic connection weights moments, a neural network could quickly absorb
(Thaler 1995a). In summary, all NDE simulations a conceptual space and with the addition of syn-
generated similar results, no matter how large or aptic noise, generate a stream of potential ideas
complex the synaptic organization of the neural applicable to that realm. A monitoring perceptron,
network: In the early stages of network degrada- trained by example to recognize useful or appeal-
tion, the net activated into intact memories of its ing confabulations, could mine a perturbed neural
training exemplars in a manner reminiscent of life net’s ideational stream for potential ideas. In order
review. At advanced stages of network destruc- to accelerate the process, the perceptrons modu-
tion, the neural assembly output whimsical and lated the intensity of perturbations applied to the
often plausible patterns, oftentimes creating note- synapses of the imagitron, allowing the combined
worthy information, as in one classic experiment networks to self-optimize the turnover rate of
in which a perceptron-based associative memory useful ideas. As these nets equilibrated, they typ-
had absorbed the lyrics of numerous Christmas ically selected synaptic perturbation levels near
carols. At confabulatory levels of destruction, the the phase boundary, <Dw>c of Fig. 3, at the
Creativity Machine ®
Paradigm, Fig. 3 The memories memories + confabulations
phase boundary between
1
memory and
confabulation generation 0.9
induced by synaptic 0.8
perturbation within an 0.7
imagitron. The plot depicts
0.6
the fall off in the probability
Pmem
of rote memory generation, 0.5
Pmem, as mean connection 0.4
weight disturbance, <Dw>,
0.3
increases within a <Δw>c
representative associative 0.2
memory. Useful 0.1
confabulatory patterns 0
typically emerge near 0 0.05 0.1 0.15 0.2
<Dw>c
<Dw>
onset of novel pattern generation within the complex notions that then initiated the chaining
imagitron. The idea-generating efficiency near of associative gestalts to induce the equivalent of
this transition is characteristic of what Partridge an emotional response. Certain neural modules
and Rowe (1993) have called multistage search, within these affective chains served as “trip
the “holy grail” of computational creativity. points,” triggering the computational injection of
Within this regime, conceptual patterns generated synaptic perturbations into the entire system of
represent a balance between a rigid search as neural modules, thus emulating volume neuro-
through a preprogrammed decision tree (i.e., transmitter release within cortex to either stimu-
Neo-Lamarckian search) and unconstrained pat- late new ideas or selectively reinforce those
tern production (i.e., Neo-Darwinian search) as in offering novelty, utility, or value. It therefore
a genetic algorithm. became necessary to detect novel pattern forma-
In 1998, adaptive neural nets served as tion within a “sea” of myriad neuronal activation
the building blocks of Creativity Machines so that these notions and their affective responses
resulting in dramatically faster convergence could be isolated for further analysis by computa-
toward useful ideas and strategies. In this scheme, tional critics. Chief among the affordances used
such systems were able to test their generated to isolate such novel pattern formation were
concepts and strategies on either the environment the characteristic low frequencies and fractal
or themselves through a variety of sensing and dimensions associated with the activation streams
actuator schemes, enabling them to reinforce the containing them. In particular, a fractal dimension
memories of notions associated with success, of 1/2 or lower appeared to be the boundary
while weakening the recollection of those deemed between rote memory recall and idea formation
less useful. Through successive cycles of idea within all Creativity Machines (Thaler 2014,
generation, evaluation, and reinforcement learn- 2016b).
ing, such self-bootstrapping Creativity Machines
(DABUI, US Patent 7,454,388) running on per- Correspondence with High-Level Models of
sonal computers were able to arrive at solution Creativity and Innovation
patterns within unprecedentedly large conceptual A useful nomenclature for describing not only
spaces having tens of millions of attributes in just Creativity Machine architectures but also human
minutes. creativity appeared in 1996 (Thaler 1996). Within
Development efforts in 2010 focused on the this descriptive framework, the vector E repre-
patent pending DABUS architecture in which sents an environmental pattern serving as an
numerous neural modules interconnected into input pattern to the neural system, and the letter
O represents a perceptron monitoring the output levels characteristic of the U regime (Thaler
of one or more imagitrons. The letters U, V, or 2014, 2016a).
W denote the level of synaptic perturbation within A perceptron observing multiple U-mode
each of these imagitrons: imagitrons jointly activating into a novel concate-
nation of memories (a U1U2. . .UN-O process)
• U-mode – Generally, U represents an models the blending of information from multiple
imagitron into which minimal noise has been conceptual spaces into juxtapositional inventions C
introduced so that <Dw> < <Dw>c (referring and discoveries. Similarly, some imagitrons within
to Fig. 3), thus driving it to visit a series of this juxtapositional string may be operative
memories that have been drawn from the net- within the V regime, allowing for the injection
work’s previous training experience, its uni- of hypothetical entities and scenarios into the
verse, so to speak. composite pattern, leading, for example, to
• V-mode – Imagitrons operating at the critical U1U2. . .UM. . .V1V2. . .VN-O discovery. In many
noise level, near <Dw>c, are depicted as V, respects, such conceptual chains may very well rep-
suggesting that they are producing virtual resent the high-level concept of bisociation
memories of potential things and scenarios (Koestler 1964) wherein facts from entirely differ-
that could be part of the net’s external environ- ent frames of reference combine to provide pro-
ment, but hitherto have not been directly expe- mising syllogisms, scientific theories, artistic
rienced by it through training. creations, or jokes, with the significance of any of
• W-mode – W denotes an imagitron driven by a these conceptual blends surmised through the input-
noise level far in excess of that injected in the output mappings of perceptrons.
critical regime, so that <Dw> >> <Dw>c. Overall, the Creativity Machine Paradigm falls
As a result, most of the constraint relation- into correspondence with many high-level, intro-
ships characteristic of the conceptual space spective models of seminal cognition, while pos-
and stored in the net’s connection weights sibly expanding the definition of creativity itself.
have been destroyed leading to the generation If seminal cognition results from a noise-driven
of predominantly meaningless noise, in a brainstorming session between generative and
mode reminiscent of the blind watchmaker perceiving neural modules within a given brain,
allegory. then the same process may extend as well to
opinion-forming neural modules within other
Connecting with this formalism, the process brains. Indeed, the fruits of so-called H-creativity
of incubation, the temporary break from problem (Boden 2004) are significant from a historical
solving that can result in insight (Smith and perspective wherein many weakly coupled,
Blakenship 1991), can be explained on the basis sense-making Creativity Machines (i.e., society
of the general diffusional release of neurotrans- as a whole) come to a supportive, perception-
mitters and neurohormones within the brain that based consensus regarding the originality and
serve to cyclically transition imagitrons from utility of a given concept. In contrast, so-called
U to V, and possibly W mode. At V and personal or P-creativity, the blind rediscovery of
W levels of perturbation, new concepts form the familiar, remains largely ignored by the same
and strengthen at a “subconscious” level, outside societal network.
the attentional focus of perceptrons that are them- The fact that many mental activities occur
selves “distracted” by their own internal noise. outside of either personal or social awareness
Following the hiatus from intense imaginative suggests yet another category of creativity. For
ideation, the concentration of such perturbative instance, as the brain subconsciously devises a
agents recede, leaving the perceptrons in a more succession of eyeball movements to inspect its
tranquil and lucid state, allowing them to recog- environment, it is effectively devising new and
nize the utility of such freshly created and mem- evolving strategies. Owing to the fact that memo-
orized concepts now reactivated by disturbance ries of where we have previously looked are
effectively decaying and being rediscovered ▶ Ideas and Ideation

through synaptic noise and relearning within cor- ▶ Imagination
tical networks, we could regard such reflexive ▶ Implicit Theories and Creativity
neural activity as somewhat creative. Also ▶ In Search of Cognitive Foundations of
included within this class of minimal creativity, Creativity
coined visceral- or V-creativity, would be the pro- ▶ Models for Creative Inventions
cess by which we involuntarily attach subjective ▶ Nature of Creativity
significance (i.e., pattern associations) to the sum ▶ Role of Intuition in Creativity
total of neural activity within our brains in a ▶ Strategic Thinking and Creative Invention
process we call consciousness.
References
Conclusions
Boden MA. The creative mind: myths and mechanisms.
London: Routledge; 2004. ISBN: 0415314526 hbk,
The main conceptual barrier to understanding and
ISBN 0415314534 pbk
appreciating the Creativity Machine principle is that Clinton PM, Thaler SL, Chavis KS. Demonstration of self-
numerical patterns may represent any object or training autonomous neural networks in space vehicle
activity in the world. The reason the neural activa- docking simulations. 2007 IEEE aerospace conference
proceedings, IEEEAC paper #1409, March 2007
tion patterns within the brain seem so much like the
Koestler A. The act of creation. New York: Penguin Books;
entities and scenarios from the environmental, and 1964. ISBN:9780140191912
not like numbers, is that the neural networks therein Plotkin R. The genie in the machine. Stanford: Stanford
have habituated to each other, rapidly decrypting University Press; 2009. ISBN:0804756996
9780804756990
and intuitively recognizing these token representa-
Rowe J, Partridge G. Creativity: a survey of AI approaches.
tions of the world as equivalent to the “real” thing. Artif Intell Rev. 1993;7:43–70.
When random fluctuations occur within these sys- Smith SM, Blakenship SE. Incubation and the persistence
tems, in particular to the synaptic connections, they of fixation in problem solving. Am J Psychol.
1991;104(1):61–87.
generate false memories that can either modify or
Thaler SL. Death of a gedanken creature. J Near Death
blend these token entities and/or their interrelation- Stud. 1995a;13(3):149–66.
ships to produce stable patterns of activation previ- Thaler SL. “Virtual input” phenomena within the death
ously unknown to the net. These novel, ideational of a simple pattern associator. Neural Netw.
1995b;8(1):55–65.
patterns, deemed useful by other nets, span the
Thaler, SL. A proposed symbolism for network-
range of all things considered creative, whether implemented discovery processes. Proceedings of the
the conceptualization of a sculpture, a musical com- world congress on neural networks 1996. Mahwah:
position, a poem, or the clever interpretation of a Lawrence Erlbaum & Associates; 1996. p. 1265–8.
Thaler SL. A quantitative model of seminal cognition: the
painting or book. In the same way, fundamental
creativity machine paradigm (US Patent 5,659,666).
analogies, bound within neural assemblies, may Dublin: Mind II Conference; 1997.
transiently interconnect themselves into new theo- Thaler SL. Predicting ultra-hard binary compounds via
ries and logical conclusions. These systems may be cascaded auto- and hetero-associative neural networks.
J Alloys Compd. 1998;279(1):47–59.
convergent, stopping when they are satisfied with a Thaler SL. The creativity machine paradigm. In:
given novel pattern, or be divergent, amassing any Carayannis EG, editor. Encyclopedia of creativity,
number of such ideations. invention, innovation, and entrepreneurship.
New York: Springer Science+Business Media, LLC;
2013. p. 447–56.
Thaler SL. Synaptic perturbation and consciousness.
Cross-References IJMC. 2014;6(2):75–107.
Thaler SL. Cycles of insanity and creativity within
contemplative neural systems. Med Hypotheses.
▶ Cognition of Creativity 2016a;94:138–47.
▶ Creative Brain Thaler SL. Pattern turnover in synaptically perturbed neu-
▶ Divergent Thinking ral systems. Procedia Comput Sci. 2016b;88:21–6.
Creativity Management Optimization 659
management” has been used constantly for the

Creativity Management last two decades, and significant experience has
been accumulated in this field, but there is no
▶ Creativity and Labor theoretical or practical consensus on a definite
▶ Intellectual Property, Creative Industries, and understanding of goals, functions, and methods
Entrepreneurial Strategies of creativity management yet.
A definition of creativity management may be C
specified by allocating its main objectives and
functions (Dubina 2006, 2007):
Creativity Management • Development of techniques for the production

Optimization and evaluation of new ideas
• Support, facilitation, and development of
Igor N. Dubina employee creativity
The Faculty of Economics, Novosibirsk State • Encouraging and fostering employee creativity
University (NSU), Novosibirsk, Russia • Assessment of employee creative styles
The International Institute of Economics, • Creative team building
Management, and Information Systems, Altai • Organizing, monitoring, and directing
State University (ASU), Barnaul, Russia employee creativity
• Assessment of the effectiveness of different
programs for employee creativity development
Synonyms • Assessment of creative climate in a company
• Construction of an optimal environment for
Creative management; Creativity optimization; creativity
Innovation management; Managing creativity • Elimination of constraints against creativity
The comparison of the mentioned functions

Definition with the main function of R&D management
(organizing basic and applied research, inventing
Creativity management is a system of principles, and developing inventions into working proto-
methods, techniques, practices, and instruments types, testing and modifying products) demon-
for managing employee creativity in order to get strates overlaps in the field of organizing the
the maximum effect for the organization process of generating and evaluating new ideas.
according to its goals, objectives, employee con- Comparing the major functions of innovation
tingent, and available resources. management (facilitating a company’s innovative
culture, assessing the prospective efficiency of
new ideas and inventions, work planning, project
Functions and a Special Status of scheduling, estimating and assigning resources)
Creativity Management delineates the intersection in the field of organizing
a supporting climate for generating and developing
As a result of increased interest of business in new ideas. But in general, creativity management,
creativity, the management of creativity appeared R&D management, and innovation management
as a special theoretical and practical discipline in are complementary management approaches; they
the end of the 1980s. This interdisciplinary move- have their own status according to their own
ment partially grounds on creativity psychology, objects, objectives, and functions. Understanding
HR management, organizational psychology, creativity management only as an initial compo-
R&D management, innovation management, and nent of R&D or innovation management narrows
other adjacent disciplines. The term “creativity down the field of a manager’s view on creativity
660 Creativity Management Optimization
potentials and limits the possibilities of mobilizing organizing, and optimizing in conjunction with
employee creativity in all business processes. creativity sound like something of a paradox.
It is an obvious and almost trivial postulate that
the efficient development of actual business sys-
Optimally Integrating Approaches to tems is currently precluded without creativity and
Managing Creativity change. However, creativity is opposed to the
cyclical repetitions and actions in a business sys-
The research conducted by Banks et al. (2003) tem, because creativity presumes the violation of
demonstrates significant variations in managers’ routine repetition and the introduction of new
understanding of creativity management. Based elements; creativity is disruptive in its very nature.
on this research and other works, it is possible to In the case of repetitive activity, an employee
allocate five different approaches to creativity operates within the rules established by the regu-
management (or five groups of managers who lation system, and in the case of creative activity,
cultivate such approaches) (Dubina 2006). he or she transforms the existing standards, com-
The first group rejects and even suppresses cre- bines the assigned rules, and creates new ones,
ativity as a useless factor in business. Many man- thus changing the status and level of the managed
agers often decry creativity as unpredictable and system. Uncontrolled creativity of employees
uncontrollable, like the weather. Therefore, they do may be detrimental for a company, if employee
not want to invest in creativity development pro- creativity is not adequately engaged in the orga-
grams; they do not want their employees exhibiting nizational context. Therefore, the assessment of
creativity, because, in their opinion, employees must the level of probable change and, consequently,
follow instructions to complete their work on time the evaluation of the level of admissible creativity
and within budget. are required. This is the rationalization behind
Managers of the second group consider creativ- setting up the questions of searching for the opti-
ity as rather important, but not a crucial factor or a mal range of employee creativity, as well as an
primary determinant of competitive advantages. optimal program for creativity development and
They also understand creativity as something that actualization: What programs for creativity devel-
cannot be managed; therefore, it demands no spe- opment and creative climate improvement should
cial attention or nurturing. The main principle of be carried out, which resources should be invested
this approach is nonintervention. in that program, and what results will be obtained?
The third group accents creativity facilitation Intuitive decisions and qualitative analysis are
by providing appropriate workplace conditions. often not successful, especially for medium and
The fourth group focuses on intensive fostering large business structures requiring more reliable
and developing creative skills. These two and effective tools for decision making in this
approaches are most popular among managers field.
and are often associated with the whole system Managers often consider creativity as an
of creativity management. instrument for problem solving. Hence, they
The fifth group emphasizes the need to direct often turn to employee creativity when confronted
and control employee creativity; this is not, cer- with a problem. De Bono (1993) characterizes
tainly, an overall control and prescriptive proce- such an approach to creativity as “a huge waste
dure but a form of “soft” organizing, focusing, and of thinking capacity,” because ”the most progress
directing. These managers acknowledge the comes from thinking about things that are not
necessity of creativity harmless for business pro- problems.” Creativity focused on solving current
cesses; therefore, it must be monitored and con- problems can ensure survival for a company,
trolled and sometimes even constrained to ensure while creativity focused on searching for new
realization of the company’s objectives. This opportunities can ensure successful development.
point of view is rarely recognized or acknowl- Managers should encourage their employees to
edged, because such words as controlling, think creatively not only to solve a problem, but
Creativity Management Optimization 661
also to seek out new opportunities for the work- Therefore, assessments of the level of probable
place, the department, or the company. change and, consequently, the evaluation of the
It is not uncommon, as Tan (1998) notes, to find level of admissible creativity are required. This
managers working hard to ensure that their organi- represents the rationale for setting up questions
zations have a nurturing environment to encourage of searching for the optimal range of employee
creativity. But even if creativity management is creativity as well as optimal programs for crea-
carried out in a company, it is often implemented tivity development and actualization: Which pro- C
in a nonsystematic way: Managers may occasion- gram for creativity development and creative
ally organize some training or workshops on crea- climate improvement should be carried out,
tive decision making for the employees or which resources should be invested in that pro-
supervisors, conduct creativity sessions to find a gram, and which results will be obtained?
solution for some business problem, make some In practice, such speculations are realized, for
changes in the reward system to encourage creative instance, in the context of building a balanced
suggestions, and so on. Therefore, managers very creative team which includes people with differ-
often pay attention to some single approach, for ent creative styles, for example, adaptive styles
example, creativity training or creativity motiva- which are targeted at improving the existing par-
tion system improvement, and fail to take into adigm, and innovative styles which are disruptive
consideration other aspects and approaches of cre- for the paradigm.
ativity management, such as creativity evaluation, So, the first basic idea of optimizing creativity
creativity outcome control, assessing the work management is based on the statement that the
environment for creativity, or searching for an opti- successful and efficient development of actual
mal strategy for creativity mobilization. business systems implies both repetitive and cre-
ative functions in the working activities of
employees. The paradox (and the problem)
A Conception of Optimally Managing focuses on the opposition of creativity versus the
Creativity cyclical repetition of some actions and results in
the function of a business system, because crea-
The idea of “optimally managing creativity” fol- tivity displays a disruptive nature and supposes
lows from the conception of a balance between the alteration (violation) of routine repetitions and
stability and development (Dubina 2005). It the introduction of new elements into the system.
resembles an obvious and almost trivial postulate At the same time, the prolonged development of
that the efficient development of actual business any business system is not possible without crea-
systems is currently precluded without creativity tivity and change.
and change. However, creativity opposes the The second idea of optimally managing crea-
cyclical repetitions and actions in a business tivity associates the costs of creativity develop-
system, because creativity presumes the viola- ment with the obtained results. If an employer
tion of routine repetition and the introduction of implements activities for the employee’s creativ-
new elements; creativity is disruptive in its very ity development (e.g., tailored training programs,
nature. In the case of repetitive activity, an purchasing special software for creative decision
employee operates within the rules established support, changing an organizational climate to
by the regulation system, and in the case of encourage employees to submit new ideas), he
creative activity, he or she transforms the or she may increase the employee’s performance
existing standards, combines the assigned rules, with the same wage level, because the employee’s
and creates new ones, thus changing the status creativity is being leveraged. However, this
and level of the managed system. Uncontrolled approach requires additional resources, so the
creativity of employees may be detrimental for a problem of the effectiveness of the investment in
company, if employee creativity is not ade- creativity arises. It is obvious that this investment
quately engaged in the organizational context. should be less than performance augmentation to
662 Creativity Management Optimization
ensure the profitability of the implemented crea- workplace environment, management structure,
tivity program. reward system, etc.), mutually support one
Therefore, the problem of optimally managing another in order to develop and use creativity
creativity may be phrased in the following resources most effectively. In practice, the princi-
questions: ples of optimizing creativity management are real-
ized in team building, creativity training, and
• How (in what way) to use and mobilize improving organizational climate (Dubina 2007).
employees’ creativity to ensure the best result
for this company?
• Which interventions in employees’ creativity Conclusions and Future Directions
and organizational climate, and to what extent,
are required to maximize the positive effect of Presently, in the sphere of both practical manage-
these activities for this company? ment and management scholarship, there is con-
• What is the range and effectiveness of different sensus about creativity as a valuable and
interventions and programs that can develop inexhaustible business and economic resource.
creativity and improve creative climate All business processes of a company should
(taking into account the specificity of a involve creativity, but, at the same time, employee
company)? creativity needs to be properly organized and mon-
• What is the range of influence of employee itored. A too narrow understanding of creativity
creativity and creative climate characteristics management (only as an improvement and devel-
on work performance? opment) predominates in the management theory
and practice, but effective creativity management
It would be naive to expect universal and gen- should not only support, develop, and encourage
eral answers to these questions. However, the employee creativity but also assess, organize, and
recent amount and quality of research on direct it. The management of creativity refers not
assessing creativity and creative climate, as well only to creativity development but addresses also
as accumulated management experience in the aspects of assessment and optimization.
fields of creativity training and improvement of This entry argues for the necessity of optimizing
the work environment, assume that these ques- creativity management in a company/organization
tions may be solved. in order to mobilize the resource of creativity more
An optimizing creativity management repre- effectively. Optimizing creativity management is
sents not a mechanistic approach to precisely pre- considered as an evolutionary stage and component
dicting and regulating creative activities. The of the development of the “total system approach”
main principle of optimizing creativity manage- proclaimed by Tan (1998) to holistically manage
ment can be formulated as follows: Even if it is not creativity in a company. A company needs creativ-
possible to predict exact results from interventions ity management optimization in order to mobilize
for facilitating and fostering creativity, it is possi- the resources of creativity more effectively. Opti-
ble to select and implement the interventions mizing creativity management presumes effec-
which provide the best results for a given com- tively organizing resources and interventions for
pany in a present situation (Dubina 2006, 2007). developing creativity and improving the work
An approach of optimizing creativity manage- environment for creativity.
ment is an element of the realization of a “total One of comparatively new approaches to opti-
system approach” to the management of creativity mally manage creativity is the application of
as being proclaimed by Tan (1998) for holistically mathematical optimization models to the systems
managing creativity in a company. The system and processes of organizing and stimulating crea-
approach should ensure that all organizational tive and innovative activities. In particular, such a
rules, routines, and procedures, as well as the research direction is developed in Dubina (2012)
organization subsystems (organizational culture, on the methodological basis of game theory.
Creativity Spillovers 663
The approach of optimally managing crea- and catalyzing innovation. Westport: Praeger; 2007.
tivity indicates prospective directions both for p. 143–69.
Tan G. Managing creativity in organizations: a total system
theoretical investigations and practical tech- approach. Creat Innov Manag. 1998;7(1):23–31.
niques to manage employee creativity more sys-
tematically, methodically, and relevantly to the
specificity of an organization, its goals, and
resources. Creativity Measurement C
▶ Creativity Testing
Cross-References
▶ Corporate Creativity Creativity Models
▶ Creative Styles ▶ Multiple Models of Creativity
Difference?
▶ Four Ps in Organizational Creativity
▶ Measuring Organizational Climate for Creativ- Creativity Optimization
ity and Innovation
▶ Model for Managing Intangibility of Organiza- ▶ Creativity Management Optimization
tional Creativity: Management Innovation
Index
▶ Simplexity Thinking and the Basadur Innova-
tion Profile Assessment
Creativity Research
References ▶ Psychology of Creativity

Banks M, Eliott M, Owen J. Managing creativity and
competitive advantage in SMEs: examining creative,
new media firms. In: Jones O, Tilley F, editors. Com-
petitive advantage in SMEs: organizing for innovation
and change. Hoboken: Wiley; 2003. p. 120–34. Creativity Research Journal
De Bono E. Sur/petition: creating value monopolies when
everyone else is merely competing. New York: Harper ▶ Creativity Journals
Business; 1993.
Dubina IN. Game-theoretic models and methods of the
organization of creative and innovative activities.
Dissertation of habil. Dr. of Sci. in Economics.
Novosibirsk: Novosibirsk State University; 2012
(in Russian). Creativity Society
Dubina IN. Managing creativity: theoretical approaches to
employees’ creativity regulation. Int J Manag Concept ▶ Creativity Economy Versus Creative Economy
Philos. 2005;1(4):334–49.
Dubina IN. Optimising creativity management: problems
and principles. Int J Manag Decis Mak.
2006;7(6):677–91.
Dubina IN. Optimally managing creativity in organiza-
tions. In: Carayannis EG, Chanaron JJ, editors. Man-
Creativity Spillovers
aging creative and innovative people: the art, science
and craft of fostering creativity, triggering invention ▶ Entrepreneurship in Creative Economy
664 Creativity Techniques
assessment covers everything there is to

Creativity Techniques creativity.
To understand creativity testing and the con-
▶ Creativity in Invention: Theories cept of measurement error, something must be
▶ Strategic Thinking and Creative Invention said about reliability and validity, and a definition
of creativity must be proffered. Reliability and
validity are, like representative sampling and
measurement error, well-established concepts in
psychometrics, which is the field devoted to the
Creativity Testing measurement of human behavior. Each of these
concepts is explained below, and each is related to
Mark A. Runco
the definition of creativity. (An extensive discus-
sion of these same concepts applied to creativity is
available in the psychometrics chapter of the new
creativity textbook [Runco, in press].) The stan-
dard definition of creativity is presented and
explained, as well, along with its limitations.
Most important here may be that, because creativ-
ity is a complex and is not unitary, it makes no
Synonyms sense to think about any one test being universally
useful. A single test is only reasonable when there
Computerized testing; Computerized testing
is one thing being measured, and that certainly is
of creative potential; Creativity measurement;
not true of creativity.
Divergent thinking; Measurement error;
The standard definition of creativity points
Psychometrics; Reliability; Standard definition
to two things: originality and effectiveness. Thus
of creativity; Validity
all creative ideas, solutions, insights, and actions
must be both original and effective. Both original-
There are a number of reliable tests that provide ity and effectiveness can be operationalized in
reliable estimates of the potential for creativity. more than one way. Originality may be apparent
There is, however, no such thing as a test in novelty, or unconventionality, or uniqueness;
of creativity. That is because tests are by definition effectiveness may take the form of fit, or appro-
samples of behavior. Good tests sample a repre- priateness when the creativity is expressed in
sentative amount of behavior and thus can be some expressive or artistic domain, effectiveness
useful to estimate subsequent behavior in the may be aesthetic appeal. When creativity is being
same domain. Creativity is, however, not an easy used for some sort of problem-solving, then effec-
thing to sample. This is in part because it is often tiveness is apparent when the problem is in fact
spontaneous and may depend on intrinsic inter- solved – but solved in an original fashion. Origi-
ests, and it is always original. Originality is a nality is not sufficient for creativity. Some original
prerequisite for creativity, and by definition, orig- things are just bizarre, useless, or irrelevant. There
inal things are difficult to predict. They are often is a bit of debate about the best definition of
surprising, unexpected, and not connected to what creativity, and other dimensions have been pro-
came before in any linear fashion. This all makes posed (e.g., authenticity, surprise), but the stan-
it very difficult to obtain a representative sample dard definition is widely used and not often
for a test. Additionally, creativity tests suffer from questioned. It is a good working definition.
measurement error. This is true of all tests! That is Then there are the domain differences in creativ-
why tests must be considered estimates of behav- ity. These must be recognized when testing. These
ior. Then there is the fact that creativity is not also suggest clearly that no one test could possibly
unitary but is instead a complex. Any one facet be adequate for creativity. Domain differences have
of the complex could be assessed, but no one been recognized since the 1930s, when Catherine
Creativity Testing 665
Patrick published a series of reports on scientists, theory of personality, where traits contribute to
poets, and other professional groups. Domains were behavior but depend on “states” (i.e., the immedi-
also found and clarified in the seminal work at the ate setting). This interaction makes it somewhat
Institute for Personality Research and Assessment difficult to measure creativity. Personality assess-
in the 1960s and 1970s. Researchers there closely ments can provide useful information, but results
examined architects, writers, and various other pro- must be interpreted in the light of a possible
fessional groups. Today, there are a number of dependence on immediate states or settings. C
recognized domains, though the most common list Some of the more common personality measures
includes language, music, mathematics, bodily kin- include the California Psychological Inventory
esthetic talent, and perhaps technology and social and the Adjective Check List, and there are sev-
skill or leadership. There is some debate about the eral measures of the Big Five.
exact number of domains and the best way to define Research on and assessments of settings
them. Still, rarely is the notion of domains and cultures and other “place” variables are quite
questioned, and tests of creativity very frequently important. That is in part because creativity
take domain into account. does flourish when it is supported by the environ-
The range of possible targets for testing is ment, and it can be stifled in the wrong settings.
fairly well explained by the 4P framework offered Businesses are particularly interested in assess-
by Melvin Rhodes in 1962 and widely used (with ments of settings, because it is so obvious that
some extensions) ever since. Indeed, sometimes creativity is a prerequisite to innovation, and inno-
the interest is on the personality traits that contrib- vation gives them a competitive advantage. That
ute to creative behavior, but other times the focus being said, there are tools to assess the home
is on the cognitive contributions or even the end environment and schools, in addition to assess-
result of the creative process. Rhodes described ments for businesses. These tools tend to depend
creative personality, creative processes, creative on ratings which are given by employees (in the
products, and the creative place. The last of these case of businesses), students or teachers (in the
represents environmental influences on creativity. case of schools), or children or parents (when
The more recent descriptions of the 4Ps tend to the home environment is being assessed). The
label this category creative place instead of press. dimensions along which the environments are
All of the best measures of the creative place rated are parallel in all settings and include
assess both environmental supports and barriers resources, valuation of creativity and originality,
to creativity. Many of these were designed to autonomy, and flexibility, with evaluation, criti-
assess organizational settings, though there are cism, micromanagement, and constraint all nega-
also measures of the home or the school as poten- tive indicators on the measure. As an aside, it
tially creative places. is good for rating instruments to contain both
Much of the older work on creativity focused indicative (or positive) and contraindicative (or
on personality. This research quickly identified a negative) indicators. This way a respondent can-
group of traits or “core characteristics” of creativ- not just infer what is being measured and then stop
ity, including autonomy, openness, independence, reading the individual items. If items are in both
intrinsic motivation, and flexibility, but not sur- positive (e.g., support for creativity) and negative
prisingly it also quickly discovered variations (e.g., inhibit creativity) directions, a respondent
from domain to domain. Creative mathematicians needs to carefully consider each individual item.
differed from architects, for example, and both This too is a part of psychometric theory.
differed from musicians. Additionally, all person- It may come as a surprise the products are often
ality research was slowed by evidence that behav- measured, but such assessments do have one enor-
ior is not very stable. People may have tendencies mous advantage: products can be counted and
(e.g., towards introversion or extroversion), but lead to highly objective measurement. The draw-
these vary from setting to setting. A person can back is that products may not say much about
be introverted in one setting but extroverted in the people or processes used to create them.
another. That evidence led to the State X Trait There are lessons to be learned from assessments
666 Creativity Testing
of products, and several methodologies have been some design work (by students) but also captured
proposed and refined for use with products. The the steps (or preliminary designs) as the product
Consensual Assessment Technique (CAT) is the was under construction. Hennessey found strong
best known example. It asks appropriate judges correlations among ratings of the end product and
(e.g., people with experience in the same field as the process (or intermediate steps) and concluded
the products being evaluated) to rate the products, that the CAT can be used to evaluate process.
usually using creativity, technical skill, and aes- Interestingly, Dean Keith Simonton, in a 2007
thetic appeal (or likeableness) as dimensions. article in the Creativity Research Journal, used a
Judges are not given a definition of creativity, similar method to investigate the preliminary
the assumption being that there is no need to drawings of Picasso, done for the famous paint-
articulate a definition, especially when the judges ing, Guernica. His interest was in comparing a
are experts in the field in question (e.g., profes- monotonic progression of steps, which would
sional artists). Judges must rate the products imply that Picasso was headed in one particular
independently of one another, and they should direction with his painting, with a nonmonotonic
compare all products in any one sample to one or random progression. A nonmonotonic progres-
another. Judges should not compare a product sion through the steps would imply that there
(e.g., a collage) from one group of art students was more experimentation and that not every
with collages from any other groups. There are, step was towards the final product. Indeed, ratings
then, no absolute standards to be used in the obtained by Simonton supported the non-
ratings. Interestingly, the CAT, developed by monotonic process.
Teresa Amabile, was designed to evaluate condi- The third example of research assessing pro-
tions (e.g., a setting where people are allowed to cess is that of Gudmund Smith, from the 1990
follow their own intrinsic interests vs. a setting Creativity Research Journal. Smith was interested
where all efforts are evaluated and directed). Its in how interpretations are constructed. Various
intent was not to assess individual differ- lines of work, including my own (see “Personal
ences. CAT research is often misguided, at least Creativity” in this volume) indicate that creative
when it focused on individual differences and products may start with exactly this, an original
compares individuals. The primary concern with interpretation. Smith displayed images to the par-
the CAT may be that several investigations have ticipants in his research, but at first they were
uncovered differences between groups of judges partial and incomplete. They gradually become
who were asked to rate one sample of products. more and more complete. As expected, the more
This raises the possibility that ratings from any creative participants constructed interpretations of
one group of judges may not say much about what the objects earlier than the other participants.
other groups think about the same products. Smith was able to reliably assess one creative
Of the 4Ps, the process perspective on creativ- process, but admittedly the assessment methodol-
ity has received the least amount of psychometric ogy is not something that could be used outside of
research. That is no doubt because of the inherent an experimental laboratory.
difficulties. After all, any process is dynamic There are other ways to categorize tests and
rather than static. Any attempt to measure it may assessments of creativity. Hocevar and Bachelor
require that a sample of the process be used for (1989), for instance, reviewed in excess of
the assessment, but obviously if there is just one 100 tests and measures and divided them into
sample, it is not an assessment of process at all. eight categories: (a) divergent thinking tests, (b)
That being said, there are a handful of efforts to personality inventories, (c) attitude and interest
assess process. Beth Hennessey, for example, in inventories, (d) ratings by teachers, supervisors,
an investigation reported in the 1994 Creativity or peers, (e) eminence, (f) judgments about prod-
Research Journal, modified the CAT so it could be ucts, (g) self-reports of creative activities and
used with process. Simplifying some, she used achievements, and (h) biographical inventories.
software that captured not just the end result of Clearly they were not interested just in tests but
Creativity Testing 667
included all measurement options, including emi- memory, or honesty. Most of the older research
nence. They reviewed some of the personality on CAACs relied on quantity scales, which sim-
research summarized above (e.g., on architects at ply indicated how frequently a person was
IPAR) under this category, which follows from the involved in the various creative activities (e.g.,
fact that those architects were indeed unambigu- “How often have you written a short story?”
ously creative, as evidenced by their productivity “. . .painted a picture?” “. . .designed a website?”
and reputations. Other work on eminence focuses “. . .designed an item of clothing?” “. . .cooked an C
on historical data. Often the number of lines original dish?”), but recent research has added a
devoted to any one individual in a Who’s Who quality of creative activity and accomplishment
volume or an Encyclopedia is taken as an index of scale. The quality scale asks specifically about
eminence. While this is a kind of measurement, socially recognized examples of the various activ-
it is not dependent on a test. The same thing can ities and accomplishments. One finding that
be said about biographical inventories: they pro- stands out in the research using CAACs is that
vide data and thus involve measurement but do again and again students have been found to
not involve testing. A distinction can be made express more creativity when they are outside of
between the measurement of actual performance school, in contrast to what they express when they
and the measurement of creativity relying on are in school.
inferences drawn from biographical data or pro- Then there are the tests of divergent thinking
ductivity (eminence). A test of divergent thinking, (DT), also mentioned in that review from 1989. It
such as Alternative Uses, which asks that an indi- may sound odd that DT tests represent one entire
vidual generate original ideas in response to an category when only seven other categories were
open-ended task (“list alternative uses for a defined, but DT tests are probably the most com-
spoon”) exemplifies a test in the strict meaning monly used measure of creative potential. There
of the word. Another important distinction is are tests that, like DT tests, focus on actual per-
between measures that rely on ratings or observa- formance. These all give the examinee a task,
tions and tests that are given to one particular usually a problem, and the examinee must solve
examinee. Again divergent thinking tasks can be the problem or generate options and ideas. This
used as an example of a test, while data provided kind of performance measure is quite different
by teachers or peers or supervisors exemplify from, say, a CAAC or a personality inventory,
measurement relying on ratings. Inference is each of which is probably retrospective and may
required for all measurement based on ratings, have either a True/False format or a Likert format.
and care must be taken because they tend to be DT tests require that examinees solve problems
open to errors representing halo effects, memory, and produce ideas. The examinee is not merely
socially desirable responding, and deception. reporting on the frequency of particular behavior
One last point about the framework offered by or the probability of displaying some trait.
Hocevar and Bachelor (1989): They concluded DT tests are open-ended, which is what aligns
that creative activity and accomplishment check them with the theory of DT. In this theory, ideas
lists (CAACs) may provide the most useful data of might result from convergent processes or diver-
all possible tests and measures. CAACs certainly gent processes. The former are useful when there
have advantages: They cover multiple domains, is one correct or conventional ideas or solution.
for example, and they can be used with almost any Convergent thinking would useful with a question
population, with the possible exception of prelit- like, “What is the largest ocean in the world?” But
erate children. They are reliable, and there is some the real world often presents more open-ended
evidence of validity. Ratings by students of their tasks and problems where there is more than one
own creativity have, for example, been found to possible approach. Think about problems at
agree with ratings given independently by their home, school, or work. These are usually less
mothers. This implies that the ratings are not well-defined and more open-ended. It is usually
inflated or overly biased by halo effects, or a good idea to think divergently, at least at first, in
668 Creativity Testing
order to determine what options exist. In addition, categories. Computers use semantic and associa-
DT is very useful for creativity because originality tive networks when calculating flexibility scores.
(a prerequisite for creativity) usually takes time. Divergent thinking is not synonymous with
When presented with a problem, the first ideas a creative thinking, but DT tests do offer reliable
person considers are usually rote, from memory, and useful information. One 50-year longitudinal
and not original. After those are depleted, and study found that DT tests given as early as 1958
time passes, the person starts to think of new and provided scores that were predictive of certain
original options. A good amount of research has forms of creative activity and accomplishment –
supported this view of “remote associates.” 50 years later. Another study found that when all
DT tests sometimes contain realistic tasks. DT three indices of DT are taken into account, crea-
tests for students may ask about options when tive activity and accomplishment is quite accu-
homework is forgotten, for example, or options rately predicted. The IQ and GPA might have
when another student is distracting. Many DT negligible correlations with creative activity
tests are simpler and merely ask about alternative and accomplishment, usually below 0.30, but
uses of some object (e.g., “list as many uses for a DT tests have predictive validity coefficients as
rubber band as you can”), instances of some cat- high as 0.55. That being said, DT is probably best
egory (e.g., “list all of the strong things you can treated as one aspect of creativity. This of course
think of”), similarities (e.g., “how are a tomato fits entirely with the view presented earlier in this
and an apple alike?”), or improvements on some entry, namely that there is no one test of
product (“how can a chair be improved?”). Some creativity.
DT tests are figural or visual and the examinee is
given an abstract line drawing and asked to list all
of the things that figure could represent. There are Conclusions
quite a number of different DT tests. All of them
require that examinees give multiple ideas, and There are many tests and assessments of creativ-
this must be part of their instructions. Scoring ity – too many to examine exhaustively in a short
recognizes the multitude of ideas in that there are entry. The present entry does cover personality,
three typical scores. One is ideational fluency, attitude, and divergent thinking tests, as well as
which is calculated by simply counting how creative activity and accomplishment check
many ideas are given. A second is ideational orig- lists, measures of products, places, and pro-
inality and is calculated by determining the rarity cesses. Conventional psychometric standards
of each idea. This is actually one huge advantage were mentioned, including reliability and valid-
of DT tests: originality can be determined objec- ity. Various concerns relevant to testing were
tively, without judges. It can even be calculated by also mentioned, including bias, halo effects,
software that complies all ideas given by any one and representation and generalization of the
sample and determines which are the rare (and results. The different tests and assessment vary
therefore original) ones. Computers can also in terms of the degree to which they satisfy the
determine the third DT score, which is ideational requirements for reliability and validity and the
flexibility and determined by calculating how degree to which they avoid the problems, such as
many different conceptual categories is used by bias. The range of tests and measures reviewed
the examinee when answering any one question. herein, although not comprehensive, no doubt
An young examinee might say “Superwoman, shows that there is no one objective for all cre-
Superman, Spiderman, and the Hulk” when ativity tests and that the many expressions of
asked to “list strong things,” but all of those fall creativity require a sizable arsenal of measure-
into one category, Superheroes. Another person ment options. To paraphrase Frank Barron, from
might answer the same question by listing “Super- his 1995 book No Rootless Flower, the measure-
woman, superglue, gravity, and ants,” and earn a ment of creativity itself requires creativity on the
flexibility score of four, for the four different part of the examiner.
Creativity Training in Design Education 669
Cross-References the 1950s and Ellis P. Torrance in the 1970s,

respectively. Early empirical research suggested
▶ Computerized Testing of Creativity that creativity training is effective to help students
▶ Divergent Thinking to produce quantity and quality of creative ideas.
▶ Ideas and Ideation Despite the fact that some researchers have
▶ Measurement of Creativity questioned the effectiveness of creativity training
for enhancing students’ creativity, most have C
highlighted the important role of creativity train-
Suggested Readings ing in releasing students’ creative potential. In
view of the creativity training in design education,
Barron F. No rootless flower. Cresskill, NJ: Hampton design students are required to develop strong
Press. Runco, M. A. (in press). Creativity: Theories
creative thinking skills, techniques, and methods
and themes: Research, development, and practice
(rev. ed.). San Diego, CA: Academic Press; 1995. to solve problems innovatively. Therefore, the
Hocevar D, Bachelor P (1989). A taxonomy and critique of underlying principle of creativity training in
measurements used in the study of creativity. In Glover, design education is to equip design students with
J. A. & Ronning, R. R. & Reynolds, C. R. (Eds).
diverse thinking skills as well as the creative
Handbook of creativity. Perspectives on individual dif-
ferences. (pp. 53–75). New York, NY, US: Plenum design process in order to release and/or enhance
Press. their creative potentials. Furthermore, as Stern-
berg (2003) pointed out, students are able to
develop five underlying learning behaviors
through creativity training: (1) willingness to
Creativity Tests redefine problems, (2) willingness to take risks,
(3) willingness to accept criticism, (4) willingness
▶ Creative Climate Tests, Creative Attitudes to value others’ creative ideas, and (5) believing
Tests, and Creative Thinking Skills Tests everyone has potential to be creative.
Creativity training is an essential component of
facilitating creative design processes in design
education. However, it is important to note that
the diversity of interpretations of creativity among
Creativity Training in Design design institutes hinders the effective implemen-
Education tation of such pedagogy. Creativity training is,
indeed, not concerned with design students’ crea-
Kung Wong Lau tivity but with helping them to develop their
Institute of Textiles and Clothing, The Hong Kong diverse intellectual abilities, such as problem
Polytechnic University, Kowloon, Hong Kong identification skill, critical thinking, risk taking,
and curiosity, which eventually lead them to be
able to generate creative ideas and solutions to
Synonyms problems.
Creative thinking techniques; Creativity; Design

education; Training methods The Role of Creativity Training in Design
Education
Main Text (Creativity Training Between A very simple definition for design is problem
Design Education and Other Disciplines) solving, and each solution is indeed unique and
creative. Prior research on creative design studies
The classical creativity training model and has identified the linkage between design and the
approach were established by Alex F. Osborn in development of creative thinking. Design is
670 Creativity Training in Design Education
indeed concerned with creating novelty for should be designed and arranged deliberately in
people to experience. One of the well-known creativity training subjects in design education in
classifications of creativity is from Margaret order to release the students’ creative potential.
Boden in her book called The Creative Mind: An effective curriculum design for creativity
Myths and Mechanisms in 2004. She introduced training should consider six factors: (1) under-
the categories of H-creativity (historical creativ- standing and identifying design students’ thinking
ity) and P-creativity (psychological creativity). habits, (2) facilitating and developing their intrin-
H-creativity is regarded as creating and/or sic motivation by fun activities, (3) encouraging
designing original solutions resulting in new and developing positive and forward thinking,
and novel ideas. Comparatively speaking, (4) enhancing and building up their self-
P-creativity is only regarded as some creative determination and confidence, (5) acknowledging
notions for personal satisfaction. In design his- and managing their emotions, and (6) removing
tory, there are numerous original and creative obstacles to their creativity.
examples that are regarded as classics with time- Nonetheless, to develop creativity training in
less qualities. These classic designs are often design education is not only about giving students
drawn on as cases for teaching and learning classical examples but also providing them with
purposes in creativity training in design educa- integrated thinking skills, creative thinking tech-
tion. In this case, if the main purpose of design is niques, and creative thinking/design processes as
creative novelty, then studying classical exam- well as good learning behaviors consisting of risk
ples in design education may be the “dilemma of taking, having fun and being open to unexpected
creativity” (Kneller 1965). Similarly, some solutions.
researchers also argued that, giving good exam-
ples to students can obstruct their motivation to
explore new possibilities and creative ideas. In The Development of Creativity Training
other words, design students will be over- in Design Education
influenced by classical examples if they are
keen on researching prior successful design To understand the creativity training in design
cases. This hinders their creative thinking, in education, it is necessary to review the early
particular to seeking new and novel solutions. developments in art and craft education. This
Of course designers should continuously doubt, field of education began in the British technical
criticize, and evaluate past results scientifically schools in the 1880s. The objectives of these early
in order to solve problems confidently and fore- art and craft subjects emphasized practical train-
see future needs of society. ing for art careers instead of the development of
Knowledge and experience are equally essen- concepts and creativity. Otto Salmon, one of the
tial to enhance students’ creativity in design edu- pioneers in the early development of design edu-
cation. Creative thinking is nurtured by the prior cation in the 1890s, listed the objectives of craft
internal and external experiences of design stu- education by dividing the learning focus into
dents. Therefore, the essence of good design edu- (1) the formative focus and (2) the utilitarian
cation is a balance between fostering students’ focus. The formative focus emphasized develop-
creative thinking processes for novelty and guiding students’ independence, sense of forms, and
ing them to enrich their experiences. As Green self-reliance in order to develop physical abilities
(1974) stated, earlier design education needs to in craftsmanship, while the utilitarian focus aimed
develop students’ critical minds to understand to giving students proficiency in the use of tools.
human needs and human experiences. This revolutionary concept of developing stu-
Numerous research studies have supported the dents’ intrinsic competencies in art and craft
significant role of design activities in facilitating brought the education into a new era of conceptual
students’ creative thinking skills. Creative learn- development. It was followed later by some craft
ing activities and/or creative thinking techniques teachers who developed more intellectual
methods of using and exploring the application of caused the establishment of the Bauhaus School
materials and tools. in Germany in 1919. The curriculum of German
A remarkable early movement of curriculum Bauhaus School demonstrated a perfect combina-
reform began in the 1960s. The Nuffield Founda- tion of intellectual and practical development for
tion and School Councils in the United Kingdom students to balance creativity and skills. This cur-
started to evaluate the existing curriculum and the riculum also provided later design schools with
role of craft education in schools, which caused references for pedagogical frameworks and struc- C
the development of a new subject domain, Design tures. In the 1930s, Moholy-Nagy, with the help of
Education. This great change has raised argu- Charles Morris, a philosopher from the University
ments and discussions about the use of materials of Chicago, developed a revolutionary curriculum
in creative problem solving as well as the need to in design education which focused on enriching
clarify the concept of the design process. None- the design students’ sense and knowledge of art,
theless, art and craft teachers have put effort into science, and technology. The intellectual develop-
exploring the new knowledge of design education ment of design education dominated the tradi-
and introduced a new set of theoretical domains in tional skill-based art and craft education. All in
art and design, namely creativity, initiative, and all, based on the numerous revolutionary reforms
adaptability. The Design and Craft Education Pro- in design education since 1880, the curriculum
ject, introduced by the University of Keele in the and pedagogical structure of design education
late 1960s and early 1970s, was an influential had changed from crafts training to design educa-
project providing a clear framework for the further tion. Creativity training became a major domain in
intellectual or creative developments in design developing design students’ competencies for the
education. The emphasis of this framework is design profession.
that design subjects should be constructed by the Furthermore, the Bauhaus School was one of
combination of intellectual and practical activi- the pioneers encouraging design students to pay
ties. Design education in Britain underwent a tre- attention to the creative thinking and design pro-
mendous change after this project, from focusing cess instead of the design outcome. Be specific,
on students’ practical skills to intellectual devel- the Bauhaus emphasized the sound development
opment. This was followed by various British of the creative and design process leading to
universities making revisions to their design sub- develop their concepts of simplicity and purity
ject curricula, including Goldsmiths’ College of forms. Despite the criticism concerning Bau-
(1969–1972), Exeter University (1968–1973), haus’ pedagogical approach, that it was too aca-
Loughborough College of Education demic and therefore hindered the students’
(1967–1972), and the Royal College of Art explorations of fundamental design, the Bauhaus
(1973–1975). These actions triggered the entire shaped the entire design education from skill-
development of design education in the early based craft training to a higher intellectual explo-
1970s and shaped the skeleton of design educa- ration of art and design by enriching the students’
tion by focusing on the integration of theoretical creative thinking and design process.
knowledge and practical skills. Creativity training
became one of the key focuses in developing
students’ theoretical and intellectual knowledge. The Creative Design Process and
Indeed, the creativity training in professional Creativity Training
design education (within institutes aiming at train-
ing professional designers) was developed even Numerous studies have been applied to study the
earlier in Europe and America in the 1910s. Some design process and creativity of professional
design educators, namely Moholy-Nagy, Klee, designers or design-related professions. Based
and Kandinsky, insisted that design education on these studies, some creativity and design think-
should be a combination of artistic exploration ing methodologies have been developed. Eggle-
and practical function. This notion eventually ston (1976) outlined some major features of the
design process: (1) the decision-making process (4) implementation. Clearly, in summary, the cre-
emphasizing the development of new ideas and ative process consists of diverse stages such as
modification of old ones; (2) the interplay of problem identification, conceptual combination,
understanding and knowledge by comparing and and idea generation.
evaluating ideas; (3) the needs of the social con- Again, the creative design process is crucial to
text of human behavior by studying societies, design education, and creativity training is
cultures, and clients; and (4) the meaningful way undoubtedly one of the key components of train-
of using various skills in design. ing design students in sound creative design pro-
The importance of the design process is cesses. However, it is important to note that
encouraging students to make things in different diverse design domains have their own discipline
ways. In this sense, design education emphasizes specifics and exclusive design processes, in spite
the creative design process highly in order to of some argument that there must be some similar
generate appropriate design solutions. In other mechanisms for conducting creative design pro-
words, design education is a means of teaching cesses in diverse design disciplines. Indeed, all
the design process for seeking appropriate solu- experts have their own domain specifics, thus
tions to problem-solving activities. The creative continuously creating a diversity of thinking and
design process is essential in helping designers to working processes. Nonetheless, while the design
understand the articulation between creative process might be in different forms based on
notions and actual design outcomes. This should domain specifics, the creative thinking process is
also be the concern of creativity training in design the common mechanism throughout all creative
education. Design students should be able to han- disciplines. In other words, the creative thinking
dle a sound creative design process by preparing process is one of the commonalities in the design
problem materials, research, idea development, process for all design disciplines. In this sense,
implementation, and evaluation. These stages are creativity training in foundation design education
the actual articulation between creative notions should be more or less similar without domain
and final design outcome. specifics.
Further details about the creative thinking pro-
cess arose from the earlier creativity research. For
example, Wallas (1926) structured the creative Creativity Training Techniques for
thinking process into four stages: (1) preparation – Design Education
identifying the problem and relevant data,
(2) incubation – isolating the problem by allowing There is hitherto limited research on studying the
the individual to sink into his/her unconscious classification of creativity training techniques for
mind, (3) illumination – finding new relationships design education. Bulter and Kline’s (1998) study
and generating ideas, and (4) verification – eval- was possibly the earliest to categorize creativity
uating the possibilities of executing ideas to solve techniques for creativity training. They classified
a problem. Similarly, Stein (1967) divided the various creative thinking techniques into three
creative process into three phases: (1) hypothesis groups, namely (1) brainstorming skill, (2) hierar-
formation, (2) hypothesis testing, and (3) commu- chical techniques, and (3) skills for changing per-
nication. These three phases were more or less spectives. Although Bulter and Kline had not
similar to the four stages described by Wallas. intended to study creative thinking techniques
Some similar descriptions of the creative thinking for facilitating design education, their research
process were proposed by other researchers. By has helped design educators to understand and
comparing diverse creative thinking processes, design their students’ creativity training in a sys-
Lau and his colleagues (2009) proposed four key tematic manner.
stages for arranging the learning process for There have been thousands of existing creative
creativity training in design education: (1) prepa- thinking skills and procedures applied in
ration, (2) incubation, (3) evaluation, and diverse educational situations, namely foundation
education, business, product development, and imagination, and invention tests that were
advertising. Whatever the domain is, it is a must designed by Binet, Henri, and Whipple around
to select and arrange appropriate techniques care- the 1900s. The psychometric approach of
fully, to consolidate comprehensive creativity assessing human creativity became important
training in design education. Lau and his col- post 1950. Guilford made a significant distinction
leagues (2009) classified various creative thinking in human thinking between convergent and diver-
techniques into five main categories: (1) identify- gent thinking modes. According to Guilford, con- C
ing and mapping attributes, (2) making possibili- vergent thinking focuses on finding a single best
ties, (3) changing and shifting perspectives, and correct answer, while divergent thinking seeks
(4) making associations and analogical thinking, novel and unexpected answers. Based on this,
and (5) probing emotions and the subconscious. some creativity tests such as the Tests of Divergent
This categorization was intended neither to com- Production (TDP) and Creative Behavior Inven-
pare the various techniques nor to find out the best tory (CBI) were introduced between the 1960s and
technique. A systematic classification of various 1970s. However, it is important to note that some
thinking techniques does provide design educators subsequent researchers argued that human diver-
with a framework for course design. The classifi- gent thinking is not similar to creativity since it can
cation facilitates the curriculum design of creativ- be affected by structural and motivational factors.
ity training for design education by understanding Some researchers criticized that these tests could
and gathering diverse functions of creative think- only assess human abilities in general but not the
ing techniques. Table 1 shows the details of this diverse abilities that an individual needs to inte-
classification of creative thinking techniques. grate for creative thinking. Nonetheless, any crea-
In addition, currently the Theory of Inventive tive and mental test tries to standardize the
Problem Solving (in Russian the acronym for this conditions, and all these standard tests are inher-
is TRIZ) has become one of the key thinking tools ently fail to assess human creativity. Creativity has
for facilitating students’ creative thinking skills. no standard measurement criteria at all. This is true
TRIZ is based on various principles of problem in design education; students from the fashion
solving such as logic, data, and research. In view design domain are more focused on artistic and
of design education, TRIZ helps students to orga- cultural exploration for generating creative ideas,
nize creative thoughts and structure their creative whereas those from the advertising design domain
thinking processes in a systematic manner. emphasize strategic and market-driven solutions.
All in all, creative thinking is a process of Any standardization of assessment tool inherently
thinking instead of having an idea from nowhere. fails to assess students’ creativity in design
This means, therefore, that creativity training in education.
design education involves a deliberate arrange- It is always difficult to develop a generic assess-
ment of learning activities and creative thinking ment tool for design students’ creativity and
techniques. Certainly the design educator is problem-solving skills as well as their creative out-
always playing an important role in designing comes due to the diverse content specifics in design
teaching and learning strategies. education. Design education is a form of education
rather than pure creativity enhancement. It involves
a systemic creative thinking process to generate
Measuring Creativity in Design solutions for problems. Therefore, design education
Education focuses on assessing students’ learning processes
and outcomes in creativity training subjects instead
Francis Galton published the “Inquiries into of human creativity. Criterion-Referenced Assess-
Human Faculty” in 1883, which raised the con- ment (CRA) is one of the useful assessment tools
cerns about assessing human creativity, and this for measuring students’ learning outcomes. CRA
publication has inspired relevant studies in subse- helps designs students to realize their strength and
quent decades, for instance, the divergent thinking, weakness in creativity training subjects.
Creativity Training in Design Education, Table 1 The five categories of creative thinking techniques
Genre Description Existing techniques
Identifying and mapping attributes This type of creative thinking Mind mapping technique
technique works as a cognitive Concept map
organizational tool for defining Hierarchical method,
the problem nature and relevant Algorithm of inventive
factors by either mapping notes or Problem-solving techniques
critical analysis Analysis of interactive decision areas
Attribute listing technique
Boundary examination technique
Card story boards skill
Critical path diagrams
Hexagon modeling
Progressive hurdles technique,
etc.
Making possibilities This type of creative thinking Brainstorming technique
technique helps students to Random access technique
generate numerous ideas and BrainSketching technique
possibilities which may or may Brutethink technique
not result as solutions. This kind Collective notebook technique
of tool is not going to solve a Heuristic ideation technique
problem directly but can generate Ideal final result
more alternatives for further Imaginary brainstorming technique
consideration Paraphrasing key words technique
Pictures as idea triggers technique
Random stimuli technique
Trigger method
Think tank technique
Wishing technique,
etc.
Changing and shifting perspectives This type of creative thinking Six thinking hats
technique seeks diverse Empathizing and dynamization
perspectives in tackling a Alternative scenarios technique
problem. Divergent thinking is an Concept fan technique
essential skill for solving a False faces technique
problem creatively, thus these Fresh eye technique
tools mainly provide divergent Help-hinder technique
views for students in generating RoleStorming technique,
ideas and solutions etc.
Making association and analogical This type of creative thinking SCAMPER procedure
thinking technique helps students to lateral thinking technique
associate with more possibilities Analogy and speculative imagination
and work for Eureka. Making circle of opportunity Technique
stimulations from cultural and escape thinking technique
current issues is also significant in Exaggeration technique
facilitating students’ associations Force-fit game
and imaginations paired comparison technique
Similarities and differences technique
Talking pictures technique,
etc.
Probing emotions and the This type of creative thinking Hunch and intuition
subconscious technique makes use of the power Doodling technique
of the subconscious and emotions Lucid dreaming technique
in creating possible ideas as well Controlling imagery technique
as making creative decisions Focusing technique
Keeping a dream diary technique
Neuro-linguistic programming,
etc.
Creativity, Discourses 675
Conclusion Kneller GF. The art and science of creativity. New York:
Holt, Rinehart and Winson; 1965.
Lau KW, Ng MCF, Lee PY. Re-thinking the creativity
There is no subjective judgment regarding good or training in design education: a study of creative think-
bad taste in design outcomes, since it is always ing tools for facilitating creativity development of
about appropriate or inappropriate solutions to design students. Art, Des Commun High
design problems (Green 1974). Therefore, it is Educ. 2009;8(1):71–84.
essential for a professional designer to use effec-
Stein MI. Creativity and culture. In: Mooney RL & Razik
TA editors. Explorations in Creativity. New York:
C
tive design thinking processes to obtain appropri- Harper; 1967. pp. 57–64.
ate design solutions to a specific problem. In this Sternberg RJ. Teaching for successful intelligence: princi-
case, creativity training in design education is ples, practices, and outcomes. Educ Child Psychol.
2003;20(2):6.
crucial in developing students’ creative compe- Wallas G. The art of thought. New York: Harcourt Brace;
tencies for making sound creative design 1926.
processes.
Creativity cannot be taught, however creative
thinking techniques and process can be. This is the
underlying principle of designing creativity train-
Creativity Versus Intelligence
ing in design education. Creativity training in
design education is a systematic arrangement of
▶ Divergent Versus Convergent Thinking
teaching and learning diverse thinking skills and
creative thinking processes as well as developing
students’ learning behaviors with respect to crea-
tive thinking. It is, therefore, quite clear that cre-
ativity training is essential in design education. Creativity, Discourses
Adele L. Schmidt
School of Education and Professional Studies,
Cross-References Griffith University, Brisbane, QLD, Australia
▶ Big C Versus Little c Creativity
▶ Brainstorming and Invention
Synonyms
▶ Complexity and Creative Problem Solving
▶ Creative Brain
Education, discourses; Scientific creativity,
discourses
▶ Creative Thinking Training
Introduction
The importance of sociocultural influences in con-
textualizing and contemporizing approaches to
creativity is a recurrent theme in all areas of edu-
References cation, enterprise, and research. To understand,
and analyze, how sociocultural factors direct and
Butler DL, Kline MA. Good versus creative solutions: a
comparison of brainstorming, hierarchical, and inform our perceptions of what it is, and what it
perspective-changing heuristics. Creat Res means, to be creative, it is useful to deploy the
J. 1998;11:325–31. concept of discourses as ideoethical constructs
Eggleston J. Developments in design education. London:
Open Books; 1976.
that we use to identify and articulate our emo-
Green P. Design education: problem solving and visual tional and intellectual relationship to others and
experience. London: B T Batsford Ltd.; 1974. other ways of being.
676 Creativity, Discourses
Creativity Theory Teaching, Learning

& Management
Praxis
Developmental
Person
Individuation
Pedagogy
Psychometric Socialization
Process
Policy
Sociocultural Administration
Product
Profit
Enterpreneurial Commercialization
Creativity, Discourses, Fig. 1 Discourses of creativity. (Modified from Schmidt (2011) © SciRes)
Application of discourse analysis allows iden- In a developmental discourse, differences in

tification of four distinct, but overlapping, dis- creative ability are primarily attributed to differ-
courses of creativity that draw upon, and ences in cognitive development, and it is assumed
influence, various aspects of teaching, learning, that the capacity for creative output exists in all
and management theory (Fig. 1). individuals who reach the formal operations stage.
The developmental discourse is supported by
The Developmental Discourse empirical studies that show positive correlations
Developmental discourses of creativity operate between post-formal cognition and divergent
on an assumption that all individuals are capable thinking and readily translates to education and
of at least some form of creative output. This training programs based on practices that empha-
perception draws upon classical, Piagetian size personal or individualized learning outcomes
notions of cognitive development as a linear (Fig. 1).
process mediated via the complementary func- The most significant limitations of develop-
tions of accommodation (interpretation of new mental approaches discourse arise from evidence
experiences in relation to existing mental sche- that, while the neurobiological structures and pro-
mata) and assimilation (modifying existing men- cesses that determine cognitive capacity (and
tal schema to include new information). Within therefore creativity) are, to at least some extent,
this framework, individuals pass through four genetically determined, individuals who generate
primary developmental stages: beginning with creative output also display complex, and highly
an ability to coordinate sensory input with variable combinations of social, psychological,
motor responses (sensorimotor stage) and culmi- and intellectual traits/characteristics. A lack of
nating in a capacity for extrapolation of concepts attention to affective and environmental factors
and ideas to unfamiliar situations (formal opera- therefore means that developmental discourses
tions stage). are unable to adequately account for the subtle,
Creativity, Discourses 677
but crucial interplay of personal and social factors the potential to generate or perpetuate social and
that enable or impede creativity in individual economic inequity. In an educational context, the
cases. movement has its genesis in the early-to-mid
twentieth century work of John Dewey, but its
The Psychometric Discourse relevance and utility is enhanced (rather than
Psychometric discourses frame creativity in terms diminished) in contemporary societies, where
of internal and external networks of traits, charac- global forces drive recurrent cycles of growth C
teristics, and events that can be measured, manip- and recession, leaving individuals vulnerable to
ulated, or exploited to predict/calculate or control recurrent periods of unemployment and in need of
(to a greater or lesser extent) an individual’s like- recurrent retraining.
lihood of generating creative output. This view of In terms of practical application, however,
creativity as a function of interactions between sociocultural discourses are generally focused on
social, psychological, and intellectual traits/char- problematization to such an extent that they rarely
acteristics tends to dominate in settings where give rise to strategies or practices that can facili-
actualization of creativity is dependent on interac- tate or enable creativity per se.
tions between individuals.
The psychometric approach focuses on inter- The Entrepreneurial Discourse
play of four intrapersonal domains: (a) a genetic Organizations and individuals that operate within
domain composed of what one is biologically entrepreneurial discourses of creativity emphasize
capable of doing well or poorly; (b) a domain of the products of creation. The entrepreneurial ideal
momentary, sensory memory, or experience; (c) a is establishment and maintenance of policies and
skillscape, in which the individual interprets and practices that identify and reward those that gen-
reacts to the events they are experiencing; and erate the most, or most valuable, creative output.
(d) a wordscape formed from the ability to articu- In purely commercial settings, entrepreneurial
late and share understanding of events and systems are self-regulating; in that overt discrim-
experiences. ination against any particular sociocultural group
For individuals and organizations wanting to is untenable because it constrains market size and
engineer environments that are conducive to cre- limits profit. In these environments, the entrepre-
ativity, this has practical relevance, but weak- neurial approach can be implemented in ways that
nesses of the psychometric approach include a emphasize constructive, rather than competitive,
tendency to facilitate output only from individuals social interactions.
that represent extremes of social/intellectual vari- In other settings, such as education and train-
ation and a lack of relevance and/or practicality in ing, where the value of various products and prac-
creative products. tices cannot be represented in financial terms,
however, an entrepreneurial approach can lead to
The Sociocultural Discourse arbitrary imposition of subjective, rather than
Where those operating within developmental and objective, measures of creative output. This
psychometric discourses tend to be motivated by a occurs because emphasis on production rather
desire to develop practices and create environ- than creation leads to a focus on competitive
ments that facilitate creative output of individuals attainment, which in turn leads to breakdown of
and groups, sociocultural discourses are moral and ethical frameworks.
concerned with the interaction of social, cultural,
and economic factors that stimulates, refines, and
sustains interest in creativity in the first instance. Conclusion and Future Directions
This approach is not confined to the field of
creativity studies, but extends across all or most Determining which conceptualization of creativ-
fields of human endeavor and offers an important ity has greatest relevance and utility in any given
line of defense against policies and practices with setting is not straightforward. Insistence that
678 Creativity, Experiential Theories
creativity is an ephemeral, nebulous trait person- Sigelman CK. Life-span human development.
ified in a relatively small subset of élite individ- 3rd ed. Boston: Brooks/Cole Publishing Company;
1999.
uals is dysfunctional at a societal level because Simonton DK. Scientific creativity as constrained sto-
there is not, and cannot be, delineation of single chastic behavior: the integration of product, person,
creative archetype. Creativity in any domain of and process perspectives. Psychol Bull. 2003;129(4):
human endeavor correlates with a wide range of 475.
Simonton DK. Creativity as blind-variation and
personal traits and characteristics, and its actuali- selective-retention: Constrained combinatorial
zation is the product of complex, dynamic inter- models of exceptional creativity. Phys Life Rev.
play between personal and societal factors. 2010;7:156–79.
Translation of theories of creativity into praxis in
any given domain of human activity should there-
fore be based upon a dynamic, flexible combina-
tion of developmental, psychometric,
sociocultural, and entrepreneurial perspectives. Creativity, Experiential
Theories
Cross-References Bence Nanay

Centre for Philosophical Psychology, University
▶ Adaptive Creativity and Innovative Creativity of Antwerp, Antwerp, Belgium
▶ Age and Creative Productivity Peterhouse University of Cambridge, Cambridge,
▶ Cognition of Creativity UK
▶ Creative Pedagogy Synonyms
▶ Creative Potential Creativity
▶ Creative Process
▶ Creativity from Design and Innovation Introduction
Perspectives
▶ Four Ps of Creativity Most theories of creativity focus on the distinc-
▶ Psychology of Creativity tive functional/computational mechanism that
▶ Research on Creativity accounts for what makes creative mental pro-
▶ Science of Creativity cesses creative. They disagree about what this
▶ Scientific Creativity as Combinatorial Process functional/computational mechanism is sup-
posed to be (whether it is the recombination of
old ideas or the transformation of one’s concep-
References tual space, etc.) but they are in agreement about
the kind of explanation to be offered – a func-
Claxton G. Thinking at the edge: developing soft creativity. tional/computational one. Experiential theories
Camb J Educ. 2006;36(3):351–62.
of creativity question this assumption that what
Clegg P. Creativity and critical thinking in the
globalised university. Innov Educ Teach Int. 2008; makes creative mental processes creative is a
45(3):219. distinctive functional/computational mecha-
Dewey J. Chapter 23: vocational aspects of education. In: nism. According to these theories, creativity of
Democracy and education. New York: The Free Press;
1916.
creative mental processes is to be explained with
Schmidt AL. Creativity in science: tensions between per- reference to the way in which this mental process
ception and practice. Creat Educ. 2011;2(5):435–45. is experienced.
Creativity, Experiential Theories 679
Creativity Versus Originality there is also a creative way of solving it. If you
manage to solve it in the creative manner, your
Creativity and originality are often used as syno- mental process is creative (it is not mechanical),
nyms. Arguably, this is a mistake. Being original but the product of this mental process is not orig-
is usually contrasted with being derivative: An inal at all: All the other students in your class solve
idea, for example, is original if it is not derived the very same math problem, after all.
from someone else’s idea. A scientific discovery It is often claimed that novelty is a necessary C
or an artwork is original if it is not derivative. feature of creativity. The contrast between crea-
Whether a scientific discovery or artwork is orig- tivity and originality is supposed to highlight that
inal says relatively little about the nature of the there may be no need to accept this as an unques-
mental process of the person who produced tionable assumption. The concept of novelty is
it. Originality is a property of normally publicly indeed very important for characterizing creativ-
observable entities (not just of physical objects, ity, but in a less straightforward way than it is
but also of styles, utterances, and behavior). normally assumed. In contrast, novelty is clearly
Creativity, in contrast, is not normally publicly necessary for originality.
observable. It is a feature of mental processes. The distinction between creativity and origi-
Being creative is not contrasted with being deriv- nality could be thought to be a version of Ian
ative, but with being mechanical (see, for exam- Jarvie’s distinction between subjective and objec-
ple, Gaut 2003, pp. 150–151). Whether a mental tive creativity (Jarvie 1981, p. 117). Similarly, Ian
process is creative says nothing about what kind Jarvie talks about subjective and objective crea-
of entities (if any) it produces. Some artists’ and tivity: subjective creativity, as he puts it, is “a
scientists’ mental processes are creative, but so are property of persons or their minds,” whereas
many of those who are solving crossword puzzles objective creativity is “a property [. . .] of created
or killing time at the airport with a difficult works” (Jarvie 1981, p. 117). But it is important to
sudoku. note that while Jarvie claims that subjective crea-
There is no simple connection between these tivity is “of no interest” in and of itself (Jarvie
two notions. Creativity is neither necessary, nor 1981, p. 117), much of the literature on creativity
sufficient for originality. A scientific discovery in the last three decades has been trying to under-
can be original and still be the product of a purely stand the difference between (subjectively) crea-
mechanical mental process, which is, by definitive and noncreative mental processes.
tion, not creative. Goodyear’s often quoted dis- Creativity, in this sense, is quite a banal phe-
covery of vulcanization is a possible example. nomenon: It is not to be restricted to the mental
Another example is the following. If you write a processes of a select few: Beethoven, Einstein,
letter of recommendation for a student and and the like. It is something much more common
emphasize how original her work is, you do not and much less mysterious. Originality, in contrast,
thereby also comment on her mental processes. is much rarer. There are many fascinating ques-
You do not know much about the functional/com- tions about originality that are usually discussed
putational structure of her mental processes, but as questions about creativity (Carroll 2003), but
you do know their outcome: that her research is for the purposes of this entry, these will be left on
very original. the side.
Conversely, the products of a creative mental
process can be completely banal and derivative.
Suppose that you are in high school and you are The Experiential Theories
trying to solve a math problem. There is a
mechanical way to solve it: You have to try out There are two influential strategies to talk about
all the natural numbers between 1 and 999 one by the difference between creative and noncreative
one, and one of them will be the solution. But mental processes. The first one is to claim that this
difference is a functional/computational differ- but not a functional/computational one. In short,

ence. Say, creative mental processes are those this difference is constituted by the way these
types of mental processes that transform one’s mental processes are experienced.
conceptual space, whereas noncreative ones are Thus, experiential theories of creativity make
the ones that do not (Boden 1992, 1994 – note that a negative and a positive claim. The negative
this is Boden’s account of radical creativity, not of claim is that what is distinctive about creativity
creativity per se). Or, creative mental processes is unlikely to be a functional/computational pro-
are bisociative ones and only these mental process type. The positive claim is that what is
cesses are bisociative (Koestler 1975). It is impor- distinctive about creativity is still something psy-
tant to note that these explanations explain a chological: the way these mental processes are
mental process-type (creative mental processes) experienced.
in terms of a functional/computational process The negative claim of the experiential theories
type (bisociation, transformation of conceptual of creativity is that what is distinctive about crea-
space, recombination, etc.) and this functional/ tivity is unlikely to be a functional/computational
computational process is supposed to be the one process type (Weisberg 1993 argues for a version
that is causally responsible for the emergence of of this claim). A simple fact to notice is that no
the creative idea/thought. functional/computational account proposed so far
The second strategy is to deny that any psy- is without counterexamples. Here are two of the
chological explanation is possible. There are most influential such theories. Margaret Boden’s
many versions of this claim (Feyerabend 1987; account, according to which (radical) creativity
Jarvie 1981). It has been argued that the difference implies the transformation of one’s conceptual
between creativity and noncreative mental pro- space, has been criticized for not covering some
cesses cannot be explained at all, maybe because clear cases of creativity (Novitz 1999, pp. 68–70).
creativity is a one-off phenomenon, where every Novitz’s account, according to which creativity
token of creativity is different, and therefore, no implies the mere recombination of old ideas
mental process type that would be responsible for (Novitz 1999), in turn, also fails to cover all
creativity can be identified (Jarvie 1981). Another, cases of creativity (including the ones Boden
old and influential, version of this view is that was focusing on).
although this difference can be explained, it is The experiential theories of creativity favor a
not a psychological difference: It is not a matter more pluralist approach. Creative mental pro-
of what the subject does, but either a result of cesses can be implemented by more than one
divine intervention (as Plato claims) or of the functional/computational process. Boden is
mysterious subconscious (as Freud does). In (partly) right: Her functional/computational
other words, even if there is an explanation for explanation for the emergence of creative ideas
creativity (say, divine intervention), this explana- is the right kind of functional/computational in
tion is not a psychological one. some cases of creative mental processes. But
An advantage of, and the main inspiration for, Novitz is also (partly) right: His account identifies
the functional/computational account is that it the right way to explain some other cases of
would make it possible to build creative com- creative mental processes. But neither account is
puters. If creativity is a matter of instantiating a satisfactory as a general account of the difference
functional/computational process, then computers between creative and noncreative mental
can do it as much as humans can. And, conversely, processes.
some of the claims about the impossibility of a Not all mental phenomena form a functional/
psychological account of creativity are fuelled by computational natural kind. Being in love, for
doubts about computer creativity. example, is unlikely to be a functional/computa-
Experiential theories of creativity claim that tional natural kind. The same goes for being
the difference between creative and noncreative happy. The claim is that creativity is also unlikely
mental processes is a psychological difference, to be a functional/computational natural kind.
Creativity, Experiential Theories 681
What is in common between the diverse mental Robert Musil’s Experiential Theory of
processes that are taken to be creative is not some- Creativity
thing functional/computational, but something Robert Musil was not a philosopher, but a novel-
experiential. ist, although he did have a Ph.D. in philosophy.
It is important that the experiential theories of This is the account he gives of creative mental
creativity are not denying that for each token processes in his classic and very philosophical
creative process, there is (or at least can be) a novel, The Man without Qualities: C
functional/computational process that implements The solution of intellectual problems comes about
this creative process. What the experiential theo- in a way not very different from what happens when
ries of creativity deny is that there is anything a dog carrying a stick in its mouth tries to get
interesting in common between these token pro- through a narrow door: it will go on turning its
head left and right until the stick slips through. We
cesses (besides the fact that they all implement do pretty much the same [. . .] the slipping through
creative processes). Creativity comes in different comes as a surprise, is something that just suddenly
(functional/computational) forms: Some creative happens; and one can quite distinctly perceive in
mental processes involve a mere recombination of oneself a faintly nonplussed feeling that one’s
thoughts have created themselves. (Musil 1930/
old ideas. Some others involve a radical transfor- 1979, p. 128)
mation of one’s conceptual space. The functional/
computational level is not the right level of anal- This is clearly a version of the experiential
ysis if the aim is to explain the difference between theory of creativity. What makes creative mental
creative and noncreative processes. processes creative is the element of surprise – an
Does this make creativity miraculous? Defi- experience. What makes them creative is not the
nitely not. Each token creative mental process is functional/computational mechanism that under-
realized by a token series of neuron firings. So are lies these creative mental processes but the way
token instances of happiness or of being in love. they are experienced. Musil does not elaborate on
The point is that what is in common between these what this experience is like – besides noting that
neural events is unlikely to be captured in func- the experience of surprise, of “a faintly non-
tional/computational terms. But, like in the case of plussed feeling” is a crucial element of this
happiness and being in love, it can be captured in experience.
experiential terms.
A functional/computational and an experien- Bence Nanay’s Experiential Theory of
tial explanation of a creative mental process are Creativity
not exclusive of one another. A full explanation of A more recent exploration of the experiential
creative mental processes would presumably approach to creativity is Bence Nanay’s account
require both. But the main claim of the experien- (Nanay 2012). The starting point of Nanay’s
tial theories of creativity is that the experiential version of the experiential theory of creativity is
description captures something about creative Margaret Boden’s concept of radical creativity.
processes in general, whereas the functional/com- Boden argues that an idea is (radically) creative
putational description does not. And many impor- only if “the person in whose mind it arises could
tant features of creativity can be explained by the not (in the relevant sense of ‘could not’) have had
experiential explanations (rather than the func- it before” (Boden 1994, p. 76). There are notable
tional/computational ones). difficulties spelling out what is meant by the
Many thinkers have toyed with ideas about “relevant sense of could not” and there may be
creativity that could be taken to belong to the some questions about whether this account could
experiential approach. Here two such thinkers apply in the case of all instances of (radical)
will be discussed in detail (but note that they by creativity (see Novitz 1999, pp. 68–70). But
no means exhaust the logical space of the exper- Nanay rephrases Boden’s definition in the fol-
imental theories of creativity): Robert Musil and lowing manner: An idea is creative only if the
Bence Nanay. person in whose mind it arises experiences it as
something she has not taken to be possible creativity is not the functional/computational
before. level, but the experiential one.
So the claim is that it is a necessary feature for
creative mental processes that their outcome is Experiential Theories Versus Functional/
experienced in a certain way: that one experiences Computational Theories of Creativity
the outcome of the mental process as something It can be argued that experiential accounts have
one has not taken to be possible before. But what greater explanatory power in explaining some of
does it mean to say that an experience represents a the crucial features of creativity than the func-
mental process as something the agent has not tional/computational ones – given that the most
taken to be possible before? At time t, the agent salient features of creativity are experiential ones,
considered a number of possibilities. Later, at time this claim should not come as a surprise.
t, she comes up with a possibility that she expe- I will briefly mention three features of creativ-
riences as something that is different from all the ity that are taken to be important enough so that
possibilities she considered at time t. any comprehensive theory of creativity must be
Nanay’s aim is to give a necessary condition able to explain (or at least say something about)
for creative mental processes. His claim is that them. There may, of course, be many more such
the most that can be said about the necessary features. But these three have played an important
condition for creative mental processes is that role in shaping the widespread conception of
they are experienced as something one have not creativity.
taken to be possible before. It is important that
this is a necessary and not a sufficient condition. (a) A theory of creativity needs to be able to
But if a couple of further conditions are added, it explain why it is a tempting intuition that
may be possible to give (or at least come close to suggests that creativity is something that hap-
giving) a necessary and sufficient condition for pens to us, rather than something that the
creativity. subject does.
You can experience an idea as something you (b) A theory of creativity needs to be able to
have not taken to be possible before, but you may explain why the experience of the apprecia-
be wrong: Experiences can misrepresent. You tion of other people’s creativity can seem sim-
may experience an idea as creative: as something ilar to the experience of one’s own creativity.
you have not taken to be possible before, but (c) A theory of creativity needs to be able to
maybe you had taken it to be possible before, explain why creative actions are taken to be
but you forgot that you had. Thus, if the aim is genuine actions and not mere bodily
to give a (close to) sufficient condition for crea- movements.
tivity, it would need to be added that the experi-
ence that defines creative mental processes has to It can be argued that all these three features of
be veridical: The idea in question really needs to creativity are better explained in the experiential
be something you have not taken to be possible than in the functional/computational framework
before – it is not enough if you experience it (see Nanay 2012). If this is so, then there are good
as such. reasons to explore the experiential theories of
There may be some further conditions that creativity.
need to be added in order to arrive at a genuine
necessary and sufficient condition for creativity.
But the aim of the experiential theories of creativ- Conclusion and Future Directions
ity is not to argue for some strict necessary and
sufficient condition for creativity. The aim of the It is important to note that the aim of the experi-
experiential theories of creativity is to argue that ential theories of creativity is not to give a neces-
the right level for the characterization of (and for sary and sufficient condition for creativity –
giving a necessary and sufficient condition for) creativity is an ordinary language concept and it
Creativity, Innovation, and Economic Crises 683
may be difficult to capture its meaning with strict Jarvie IC. The rationality of creativity. In: Dutton D,
necessary and sufficient conditions. The aim of Krausz M, editors. The concept of creativity in science
and art. Dordrecht: Martinus Nijhoff; 1981. p. 109–28.
the experiential theories of creativity is to argue Koestler A. The act of creation. London: Picador; 1975.
that the right kind of analysis for the concept of Musil R. The man without qualities (trans: Wilkins E,
creativity should be about experiences (rather than Kaiser E). London: Picador; 1930/1979.
functional/computational mechanisms). Nanay B. An experiential account of creativity. In: Paul E,
Further, even if a necessary and sufficient
Kaufman SB, editors. The philosophy of creativity.
Oxford: Oxford University Press; 2012.
C
condition for creativity could be given in terms Novitz D. Creativity and constraint. Aust J Philos.
of experiences, this does not mean that these 1999;77:67–82.
experiences are causally responsible for the Weisberg R. Creativity: beyond the myth of genius.
New York: Freeman; 1993.
emergence of creative ideas. It is neural pro-
cesses that are causally responsible for the emer-
gence of creative ideas. The claim is that in order
to capture some of the crucial features of creative
processes, they need to be analyzed on the expe- Creativity, Innovation, and
riential level. Economic Crises
One important future direction in research for
experiential theories of creativity would be to fill Igor N. Dubina1,2 and David F. J. Campbell3,4,5,6
1
in the details of what these experiences are sup- The Faculty of Economics, Novosibirsk State
posed to be in the same degree of specificity as the University (NSU), Novosibirsk, Russia
2
functional/computational theories do. The International Institute of Economics,
State University (ASU), Barnaul, Russia
3
Cross-References Department of Political Science, University of
▶ Cognition of Creativity 4
▶ Creativity Definitions: Approaches and Educational Technologies, Center for
▶ Creativity in Puzzles, Inventions, and Designs: Educational Management and Higher Education
The Sudden Mental Insight Phenomenon Development, Danube University Krems, Krems,
▶ In Search of Cognitive Foundations of Austria
5
Creativity Unit for Quality Enhancement (UQE),
▶ Mental Models and Creative Invention University of Applied Arts Vienna, Vienna,
Austria
6
References Department of Science Communication and
Boden M. The creative mind: myths and mechanisms. Adria-University Klagenfurt, Vienna, Austria
Reading: Cardinal; 1992.
Boden M. What is creativity? In: Boden M, editor. Dimen-
sions of creativity. Cambridge, MA: The MIT Press;
1994. p. 75–118. Synonyms
Carroll N. Art, creativity, and tradition. In: Gaut B,
Livingstone P, editors. The creation of art. New essays
in philosophical aesthetics. Cambridge: Cambridge Creative destruction; Creative innovation
University Press; 2003. p. 208–34. overproduction; Creativity economy;
Feyerabend P. Creativity – a dangerous myth. Crit Inq. Innovation economy
1987;13:700–11.
Gaut B. Creativity and imagination. In: Gaut B,
Livingstone P, editors. The creation of art. New essays
In this chapter, we discuss patterns of a complex
in philosophical aesthetics. Cambridge: Cambridge dialectic and cyclical interaction between
University Press; 2003. p. 148–73. phenomena of an economic crisis and creative
684 Creativity, Innovation, and Economic Crises
and innovation activities. Generally, we proceed and 19% in architectural and design services).
from the following assumption (Dubina et al. The proportion of the world GDP generated
2012). Economic growth stimulates investments by the “creative sectors” exceeded the GDP
in innovation that drive creativity and innovation, proportion generated by manufacturing food,
consequently resulting in further economic beverages, and tobacco taken together. In the
growth. However, if there is too much innovation, OECD countries, annual growth of the “creative
then this creates challenges in the sense of industries” during this period was two times
questioning the established structures, finally cre- higher than in services and four times higher
ating a need for developing new structures. Orga- than in production. This positive trend occurred
nizations, societies, economies, or systems can be for all groups of creative products and in all
more or less successful in doing so. regions of the world (UNSTAD 2008).
Actually, we often hear about positive crisis The economic crisis and recession of 2008
potentials for the development of creativity impacted on all spheres of economic activity
and innovation economies. Such an idea can be in the most of the national economies, resulting
formulated, for instance, like this: “Recession is in unemployment growth, enterprises bankruptcy,
the mother of invention” (Florida 2009). Indeed, production volume decrease, etc. Undoubtedly,
one can assume that a crisis recovers and stimu- the “creative industries” were also hit by the crisis.
lates creativity and suppresses routine thinking. Optimistic forecasts before the last recession
During a crisis period, when old approaches assumed a growth in employment by 46% and
do not work, creative decisions are being of incomes by 136% in the creative economy
accepted faster, new ideas are not stuck in industries until 2015 (Holden 2007). There are
routine processes, and people are ready to take no such high-growth trends for the moment, as
more risks. A crisis pressures systems to change. we see. A minimum employment reduction of
Joseph Schumpeter (1950) argued already long 3.5–5% is being expected in all spheres of the
ago that crises were seedbeds for innovation creative economy until the recession has been
and entrepreneurship. Innovations developed settled. At the end of 2008, the greatest
during periods of crisis generate bursts of a workplace reductions in the creative industries
“creative destruction” that launch new technolo- were in advertising and electronic publishing
gies, remake existing industries, and give birth business.
to entirely new ones – setting in motion new The “creative industries,” like other economic
rounds of economic growth. sectors, depend on demand. People need “creative
Let us see whether creativity and innovation goods” no less than food, power resources, etc.,
are always incited by a crisis, or these phenomena but as against other spheres of the economy,
are involved in more complex interrelations. creative economy products are created “from
We will start our analysis by revealing nothing,” their basic resource is creativity, crea-
some tendencies of the crisis impact on the tive energy, “grey substance.” On the other hand,
“creative industries.” Based on the UNCTAD many “creative industries” (industrial design,
classification of “creative industries,” it can be advertising, etc.) “serve” for other economic
shown that during 10 precrisis years those indus- sectors. If, for example, car industry declines,
tries represented one of the most dynamic then the car manufacturers also reduce their
sectors in the world trade, and developed to a demand for “creative services.” Research demon-
high-growth value-added sector of the world strates that those creative industries focusing
economy (UNSTAD 2008). Over that period, the on business (advertising, design, software, archi-
“creative industries” demonstrated an annual tecture, etc.) suffered more severely during
average growth of 8.8% (that almost exceeded the crisis than the creative industries focusing
twofold average growth of the world GDP), on the consumers (publishing, films, video and
while the growth in exports of many creative computer games, etc.). For example, advertising
services was even higher (e.g., 22% in advertising companies’ profits decreased by 10% in 2001;
export of goods and services in the design only to be unleashed as economic conditions
sector halved by 2003; software companies’ are restored (see Florida 2009). Based on such
workplaces decreased by 7% in 2002. In the last findings, we proposed the following hypotheses-
quarter of 2008, marketing research companies’ based model (although metaphorical) of creative
revenues decreased; architectural companies energy accumulation during crisis (Dubina et al.
suffered from the real-estate market delay; more 2012). Investments in innovation are commonly
and more companies referred to free-of-charge reduced during periods of a crisis and recession, C
and open source software that influenced the and innovation activities generally go down, but
incomes of companies that developed commercial new ideas and inventions still are accumulated,
software (Wright et al. 2009). and they burst forth when economic conditions
Consumer-oriented “creative industries” were are improving again (Fig. 1).
also impacted by the crisis, but to a lesser extent. Florida (2009) focused his research on patent
Main problems for them were in the reduction activity that demonstrates clear spikes during the
of purchasing capacity and sponsorship support. Long Depression of the 1870–1880s (when, e.g., a
Two-fifth of UK companies interviewed thought steam turbine, transformer, incandescent light,
that the economic downturn will negatively and radio were invented) and the Great Depres-
impact their arts sponsorship activities (Wright sion of the 1930s (magnetic record, the helicopter,
et al. 2009). In Australia, the majority (73%) of a ball pen, etc.). These findings indirectly confirm
businesses with more than $500,000 invested in the idea about creative energy accumulation
artistic relationships and more than half (55%) in a crisis period, where inventions are patented
of businesses with less than $50,000 invested, during a crisis and transformed into innovations
but expected to decrease expenditure over the when the economy again recovers.
next 12 months (CIE 2009). The Recession and However, obviously, the quantity of patents
Arts Survey (2009) demonstrates that of the is not the most reliable parameter for
100 noncommercial art and culture organizations creative and innovation activities. It is known,
from New York City, 78% indicate that they have for example, that many ideas and inventions
reduced their budgets (by 30–50%) or plan doing leading to key innovations were not patented,
so; 50% plan to lay off employees; 69% will defer and many of the patented inventions (up to 80%)
new hires and 45% plan to cancel or postpone are actually invention-imitations, sometimes
programs within the next year. even simply ridiculous or useless suggestions.
Some experts believe that the negative impact Moreover, the innovation flow increasing over
of the crisis on the creative industries appeared time and the innovation diffusion may overlap,
to be less severe than for other spheres of the
economy, since “creative products and services”
(newspapers, radio, TV, computer and software, level of creative /
Internet, videogames, etc.) are being constantly innovation activities
consumed everywhere, and that this consumption
will hardly decrease essentially (Wright et al.
2009). However, no expert asserted a generally
positive influence of the crisis on the “creative
industries.”
Now, let us move from a particular case
of the “creative industries” to a general view crisis period
of innovation development. The economists crisis period time
G. Mensch and C. Freeman examined the histor-
ical timing of innovations and argued that the
Creativity, Innovation, and Economic Crises,
pace of innovations actually is relatively Fig. 1 An “innovation burst” after a crisis. (Source:
constant: innovations bunch up during crises, Dubina et al. 2012)
686 Creativity, Innovation, and Economic Crises
thus complicating the identification of such the other hand, there is also a problem in the case of
spikes, also complicating the dating of “the an “overproduction of non-creative innovation”
waves” in economic or innovation activities, fur- toward the end of a technological regime or business
ther complicating correlation attempts (Perez cycle.
2002). A crisis may also be related to an inefficient
Nevertheless, the studies on patent activity investment distribution or diversification, carried
do not easily support the assertion of a cause- out on the basis of previous growth tendencies
and-effect relationship between inventiveness and some form of “innovation euphoria.” First of
and periods of crisis. Even when we want to all, the rapid growth of innovation activity in
assume that inventive and innovation activities high-tech, biotechnologies and other new and
can be represented by patent quantity, we may “creative” industries before the last crisis
indicate patterns of correlation between periods inclined many economists to predict a further
of crisis and innovations, but this does not rapid rise of these sectors, that, in turn, provoked
automatically prove cause-and-effect relation- investments into these industries that resulted in
ships. Moreover, although paradoxically, we also an overestimation of the shares of corresponding
could assume quite the opposite that means that businesses and capital transitions from “real econ-
a too rapid growth of creative and innovative omy” to the “creative economy.” Secondly, the
activity may provoke a crisis. The high growth forecasts of American economic growth, also
rates of the creative industries during the due to the rise of innovation and innovative
precrisis period could indirectly support such technologies, lead some Americans to consump-
an assumption. tion increases on credit, since they assumed
Business Week’s chief economist M. Mandel a continued growth of their future incomes.
argued that the economic crisis of 2008 was Thirdly, businesses in creative-innovative indus-
partly the result of America’s failure to generate tries also actively applied for more credits
high-impact commercial innovations (Florida to develop “potential” technologies, hoping
2009). Following this hypothesis, we can assume for their “magic” growth which was not always
that a crisis may not be a cause, but a consequence justified. Definitely, the last crises of the 1990s
of innovation activity reductions or inabilities and 2000s were more financial and less “innova-
to support innovations on a sufficiently high tional.” However, too euphoric expectations
level. So, one particular reason of a crisis may about innovations may also, at least partially,
be an organizational or social inability to effec- contribute to an economic crisis. More obviously,
tively adopt and manage new ideas and innova- the IT-crisis of 2000 was also preceded by an
tions, when organizations and whole economies euphoria caused by prompt growth rates of new
are “stuck in innovations.” We could call this a information technologies. From February until
“creative innovation overproduction.” If there July 1999, Internet-related businesses shares
is “too” much innovation, then this may create grew by 475% (Negreponti-Delivanis 2002),
challenges in the sense of questioning the but the recession drama started shortly afterward,
established structures, creating in parallel a and perhaps this was one of the most recent
demand for developing new structures that and most prominent examples of a crisis of the
have the capability of effectively handling “creativity,” “knowledge,” and “innovation”
and applying a “surplus” of innovation and economy. This was not a crisis of creativity,
creativity. Organizations, societies, economies, but rather a crisis of
or systems can be more or less successful
in doing so. This situation may relate to the “destruc- (a) Some “creative industries,” like as another
tive creation” mode of Schumpeterian firm evolu- example the video game crash of 1983
tion dynamics (Schumpeter 1950; Carayannis (b) Some established innovation-creativity trajec-
2009). If this is the case, then we have, in metaphor- tories that are not new anymore
ical terms, an “overproduction” of “creative innova- (c) The saturation effects of technology life
tion” or “creative knowledge-based innovation.” On cycles as they always occur in the “creative
destruction” mode (Schumpeter 1950; level of economic

Carayannis 2009) development
time
Studies on creativity, innovation, and compe-
tition demonstrate their dialectic interrelation
(Ford 1999): a successfully realized innovation
recession
strengthens the position of a company in the mar- C
ket. Competitors are compelled to answer with
a “creative counterattack” that increases the
competitive pressures in this market sector as a
whole. Firms can react with new “creativity
emissions,” and the cycle repeats or continues.
External factors (e.g., information technologies
or world-wide globalization) accelerate and
complicate these processes. Innovations are
level of creative / innovation activities
necessary for survival and development under
hyper-competitive conditions, so competition Creativity, Innovation, and Economic Crises,
stimulates innovations, but innovations again Fig. 2 Dialectical dynamics of innovation and a crisis.
amplify the competitive pressures. (Source: Dubina et al. 2012)
Based on such considerations, additionally
referring to conceptions of “creative destruction” activities at the level of organizations (micro),
(Schumpeter 1950), the theory of long economic industries (meso), and regional or national econ-
cycles (Kondratieff 1984) and its modern modifi- omies (macro). Therefore, a challenge for man-
cations (Šmihula 2009), and theory of economic agers and innovation policy makers lies in
growth based on technological progress (Solow defining and supporting a corresponding level of
2008), we proposed the following hypotheses- creativity and innovation, that is creativity and
based model of a dialectic interrelationship of innovation optimization (Dubina 2006, 2007;
innovation and economic crisis (Dubina et al. Baniak and Dubina 2012).
2012): creative and innovative activities are A number of practical ways for creativity and
provoked and stimulated by a crisis, but, in turn, innovation optimization can be suggested, and
they are also linked with recurrences of crisis, one of them is the “reasonable containment,”
generating a coiling spiral that (likely) decreases which might appear strange in the context of
over time (Fig. 2). Economic growth stimulates a “creativity and innovation euphoria,” of the
innovation investments and drives creativity level of creativity and innovation in some
and innovation. Consequently, the rise of creative spheres and their stimulation in other spheres,
and innovative activities often results in further i.e., diversification of investments into a wider
economic growth. However, at a certain level spectrum of “creativity and innovation spheres,”
the “normal” functioning of an economic system not just for those technologies or technology fields
(economic cycle) perhaps peaks, and the economy that are given a high (top) “priority” today.
may slow down again. These “circles,” or cycles, At present, the optimization of creative and
are not necessarily periodic and the intervals innovation activities represents more a theoretical
between “circles” may shorten over time (see than a practical problem. An attempt of solving
Šmihula 2009), but more research is necessary such a problem (a challenge) is closely related
to clarify and validate this hypothetical to the development of indexes and models of
“three”-dimensional model (economic develop- analysis about the creativity, knowledge, and
ment, innovation activity, and time). innovation economy. Such an optimization
Such considerations add plausibility to the methodology may offer new ways in preventing
need for additional research about the optimal or mitigating crises or crisis patterns in the new
level (or optimal range) of creative and innovation economy. The concepts and models of the
688 Creativity, Intelligence, and Culture
Quadruple and Quintuple Helix innovation Dubina I, Carayannis E, Campbell D. Creativity economy
systems (Carayannis and Campbell 2014) and of and a crisis of the economy. J Knowl Econ.
2012;3(1):1–24.
“democracy as an innovation enabler” (Campbell Florida R. Innovation and economic crises, in creative
2019) provide further approaches, ways, and class blog archive. 2009. www.creativeclass.com.
possibilities, how creativity and innovation Ford CM. Business strategy. In: Runco MA, Pritzker SR,
can contribute to economic growth and editors. Encyclopedia of creativity. San Diego:
Academic Press; 1999. p. 236.
economic development. Holden J. Publicly funded culture and the creative
industries. London: Demos; 2007.
Kondratieff N. The long wave cycle. New York:
Richardson & Snyder; 1984.
Cross-References Negreponti-Delivanis M. Mondalisation Conspiratrice.
Paris: L’Harmattan; 2002. (in French)
Perez C. Technological revolutions and financial capital:
▶ Creative Class the dynamics of bubbles and golden ages. Cheltenham/
▶ Creative Destruction Northampton: Edward Elgar Publishing; 2002.
▶ Creative Industries Schumpeter JA. Capitalism, socialism and democracy.
New York: Harper; 1950.
▶ Creativity and Labor
Šmihula D. The waves of the technological innovations of
▶ Creativity Economy Versus Creative Economy the modern age and the present crisis as the end of the
▶ Creativity Management Optimization wave of the informational technological revolution.
▶ Creativity, Knowledge, and Innovation: Studia Politica Slovaca. 2009;2(1):32–47. www.ceeol.
com.
The Interactive Facets of the New Economy
Solow RM. Technical change and the aggregate
▶ Joseph A. Schumpeter and Innovation production function. In: The economic theory of
▶ Quality of Democracy and Innovation invention and innovation. Cheltenham: Edward Elgar;
2008. p. 18–26.
UNSTAD. Creative Economy Report 2008. 2008.
www.unctad.org/creative-economy.
References Wright S, Newbigin J, Kieffer J, Holden J, Bewick T (Eds).
After the crunch. Edinburgh: MLG; 2009. http://www.
Baniak A, Dubina I. Innovation analysis and game creative-economy.org.uk.
theory: a review, innovation: management. Policy
Prac. 2012;14(1):178–91.
Palgrave Macmillan; 2019. (https://link.springer.com/
book/10.1007/978-3-319-72529-1 and (https://www. Creativity, Intelligence, and
palgrave.com/de/book/9783319725284) Culture
Carayannis EG. Firm evolution dynamics. Int J Innov Reg
Dev. 2009;1(3):235–54. James C. Kaufman1 and Winter Meyer2
Carayannis EG, Campbell DFJ. Developed democracies 1
versus emerging autocracies: arts, democracy, and Department of Psychology, Learning Research
innovation in Quadruple Helix Innovation Systems. Institute, California State University at San
J Innov Entrep. 2014;3:12. (http://www.innovation- Bernardino, San Bernardino, CA, USA
entrepreneurship.com/content/pdf/s13731-014-0012- 2
Learning Research Institute, California State
2.pdf and http://www.innovation-entrepreneurship.
com/content/3/1/12) University at San Bernardino, San Bernardino,
CIE. Analysis final report 2009, prepared for Enterprise CA, USA
Connect and the Creative Industries Innovation Centre
(CIIC), Centre for International Economics (CIE),
Canberra and Sydney. 2009.
Dubina IN. Optimising creativity management: Before discussing how creativity and intelligence
problems and principles. Int J Manag Decis Mak. are impacted by culture, the basic question of how
2006;7(6):677–91. the two constructs are related must be addressed.
Dubina IN. Optimally managing creativity in organiza- Sternberg and O’Hara (1999) argued for five pos-
tions. In: Carayannis EG, editor. Managing creative
and innovative people: the art, science and craft of sible relationships: Creativity could be a subset of
fostering creativity, triggering invention and catalyzing intelligence; intelligence could be a subset of cre-
innovation. Westport: Praeger; 2007. p. 143–70. ativity; or the constructs of creativity and
Creativity, Intelligence, and Culture 689
intelligence could be overlapping, coincident, or used an individually administered IQ test and a

simply disjointed. creative invention task (in which people would
use shapes to create a possible object, and then
name and describe their invention). Sligh et al.
Creativity and Intelligence found that Gc showed the same moderate and
positive relationship to creativity as in past stud-
Most work, however, assumes a connection; as ies. In contrast, Gf was more related to creativity C
Plucker and Renzulli (1999) concluded, the key in people with higher IQs. This finding implies
question is not whether but how the two are that those who receive high Gf scores may be
related. Although creativity and intelligence are more likely to be creative than those who receive
clearly related, the exact nature of this relationship high Gc scores.
is still being explored by research. Scholars have
generally found that paper-and-pencil measures of
creativity (such as divergent thinking tests) are Intelligence and Culture
significantly associated with psychometric mea-
sures of intelligence. Traditional wisdom has One notable area where creativity and intelligence
argued for a “threshold effect,” in which creative diverge is how they are associated with culture. As
potential and psychometric intelligence are posi- it is measured, intelligence tends to show signifi-
tively correlated at low levels of IQ and continue cant discrepancies by culture. Within American
to be positively correlated through IQs of approx- culture, African Americans and Hispanic Ameri-
imately 120. Across many of these studies cans tend to receive lower scores of measures of
(conducted on both children and adults), in people intelligence than do Caucasians and Asian Amer-
with higher IQs, the two constructs have been icans; standardized tests such as the SATs, ACT,
reputed to show little relationship. Graduate Record Exams (GREs), and Advanced
More recently, however, this theory has come Placement (AP) exams have shown similar pat-
under fire. Kim (2005) conducted an extensive terns of discrepancy among ethnic groups.
meta-analysis of 21 studies containing 45,000 Although some researchers argue that these mea-
participants and using multiple measures of IQ sures reflect actual differences, this view is not a
and creativity. She found virtually no support for commonly accepted one. Some scholars, for
the threshold theory, showing very small positive example, point to the discrepancy between socio-
correlations (mean correlation of 0.174) between economic status and opportunities across ethnici-
measures of cognitive ability (designed to mea- ties, whereas others argue that differences are a
sure g) and measures of creativity and divergent result of implicit biases in the measures of intelli-
thinking. gence that are used. Another perspective is that
Most of these studies use intelligence measures current ability measures do not incorporate
that primarily have been designed to measure g, or enough aspects of intelligence to truly reflect a
a general factor of intelligence. Most theories of person’s “global” ability (Kaufman 2010).
intelligence, however, are more complex than Across cultures, Asians and Europeans tend to
simply g. One example is crystallized and fluid receive higher scores, whereas Africans receive
intelligence, as proposed by Raymond Cattell and lower scores; more notable, however, are the dif-
John Horn. Fluid intelligence (Gf ) is the ability to ferent values and implicit beliefs about intelli-
apply a variety of mental operations to solve novel gence. Asians often see effort as a component of
problems, ones that do not benefit from past learn- intellectual ability, for example, and Africans tend
ing or experience. Crystallized intelligence (Gc) is to emphasize practical abilities. It is difficult to
the breadth and depth of a person’s accumulated draw larger conclusions about intelligence across
knowledge of a culture and the ability to use that cultures given that the vast majority of tests used
knowledge to solve problems. One study that are translated Western tests. Many scholars argue
examined crystallized versus fluid intelligence that any differences that emerge are due to test
and creativity, conducted by Sligh et al. (2005), bias (Sternberg and Kaufman 2011).
690 Creativity, Intelligence, and Culture
Creativity, Culture, and Ethnicity was judged by both Chinese and American
judges. There were no significant differences
Within creativity, however, such differences by between cultures from either set of judges. The
ethnicities and culture are typically slight or non- only differences found were that art students
existent. As reviewed by Kaufman (2010), most (regardless of ethnicity) received higher ratings
studies of ethnic differences in creativity have used for their artwork than did non-art students.
divergent thinking tests; others have used actual
creative performance as rated by experts or self-
assessments. There tend to be very few differences Practical Applications
between African-Americans and Caucasians.
Those that have been found favor African- Kaufman (2010) argued that the discrepancy
Americans. Hispanic Americans are outperformed between ethnic differences on creativity measures
by Caucasians on verbal divergent thinking mea- versus intelligence/achievement tests could offer
sures (likely because of language discrepancies), an opportunity for more equitable admissions
but there are no differences on nonverbal measures criteria. There are two ways that standardized
(or, curiously, verbal measures of creative perfor- tests are criticized for being potentially biased.
mance). Some studies have indicated that the bilin- A common layperson’s approach to criticizing
gual students may have an advantage in creative tests as biased is to point to significant differences
abilities. Bilinguals have been proposed to be more that occur between males and females and among
cognitively flexible, allowing them to see problems ethnic groups on various tests of aptitude or ability.
from multiple perspectives. Researchers who advocate psychometric
An example of a study that looked at multiple approaches to bias in testing take a more sophis-
ethnicities and gender is Price-Williams and ticated view of the problem and do not accept the
Ramirez (1977). They found an interesting eth- notion that just because two groups perform dif-
nicity by gender interaction. African-American ferently on a mental test, therefore, the test itself
males and Hispanic American males must be in error or biased. Current approaches
outperformed Caucasian males on a divergent evaluate content statistically to identify specific
thinking test. However, the results were reversed items that are inappropriate because they unfairly
for females. Caucasians outperformed African favor one group over another. Methods are com-
Americans and Hispanic Americans on fluency. monly applied as well to determine whether dif-
There have been few other studies that have found ferent constructs are measured across nominal
this type of interaction; the vast majority of the groups by the same test; a test may measure verbal
studies that examine gender differences either find ability in Caucasians, for example, but may be
no significant differences or mixed results. measuring something quite different (such as
There are many studies on differences in exposure to American culture) in a Hispanic
Asians and Europeans or Asians and Americans. American population. These are only a few of
Generally, Asians or Asian Americans outperform the recent, more sophisticated, methods of consid-
Europeans or Caucasians on measures of analytic ering bias assessment (Reynolds 2000). When a
ability but score lower on measures of divergent test measures something different from what it
thinking. Studies that look at actual creative per- was intended to measure for specific groups,
formance find either no differences or slight dif- then it may be considered a biased instrument
ferences favoring Americans/Caucasians. In one against those groups. A measure is fair to the
such study, Rostan et al. (2002) studied Chinese extent that the score only includes (a) variables
American and Caucasian students’ artwork, with associated with the construct being measured, and
two groups in each culture: students with addi- (b) random variance from error. In other words, a
tional art training and classes, and students with measure is fair to the extent that it minimizes
no such classes. Each group’s artwork (one draw- systematic error in true score estimation as a func-
ing from life and one drawing from imagination) tion of group membership. If a test systematically
Creativity, Intelligence, and Culture 691
assigns certain groups lower scores than their Conclusions and Future Directions
“true” score, then the test should be considered
biased. Although there are differences in scores on ability
Creativity assessment can reduce bias from and achievement measures across cultures and
both the layperson and psychometric approaches. ethnicities, these differences are reduced, elimi-
If creativity is used to create a fuller picture of an nated, or reversed on most creativity measures.
applicant, and if creativity is an unmeasured com- Indeed, including creativity tests as part of a C
ponent of ability, then these measures might also global ability or achievement measure would
help minimize errors in decision-making regard- also likely reduce ethnic differences. Although
ing such students (many conceptions of intelli- the psychometric definition of biased assessment
gence, as mentioned earlier, include creativity as is the most relevant for an academic audience,
a core component). This possibility for reduction creativity tests can also increase people’s percep-
in error can be conceptualized in two very differ- tions of bias in admission assessments.
ent and complementary ways. Assume one is try-
ing to understand a person’s overall cognitive
abilities, but only a narrow range of relevant abil- Cross-References
ities (e.g., those measured by traditional IQ tests)
are being assessed. Even if these abilities are ▶ Cognition of Creativity
being assessed fairly, the ability of the examiner ▶ Creativity Across Cultures
to understand the person’s cognitive functioning ▶ Techno-Globalization and Innovation
may be limited. This limitation may be different
for different groups. If, for example, some abilities
are more relevant in some cultural settings than References
others, then the unmeasured abilities may have a
differential impact on understanding people’s Kaufman JC. Using creativity to reduce ethnic bias in
college admissions. Rev Gen Psychol.
abilities based on their culture. Such a discrepancy
2010;14:189–203.
would create bias in the assessment process. To Kim KH. Can only intelligent people be creative? J Second
use a cross-discipline example, imagine a test of Gift Edu. 2005;16:57–66.
visual artistic ability that only looked at sketching. Plucker JA, Renzulli JS. Psychometric approaches to the
study of human creativity. In: Sternberg RJ, editor.
The artistry test would miss many other core com-
Handbook of creativity. New York: Cambridge Univer-
ponents (such as watercoloring or drawing), and sity Press; 1999. p. 35–60.
would over-reward people who were especially Price-Williams DR, Ramirez M III. Divergent thinking,
good at sketching. In doing so the test would cultural differences, and bilingualism. J Soc Psychol.
1977;103:3–11.
have an implicit bias against people who were
Reynolds CR. Methods for detecting and evaluating cul-
color-blind. tural bias in neuropsychological tests. In: Fletcher-
In addition, consider a college admissions pro- Janzen E, Strickland TL, Reynolds CR, editors. Hand-
gram (or a clinical test examiner) trying to assess a book of cross-cultural neuropsychology. New York:
Plenum; 2000. p. 249–85.
limited range of a person’s cognitive abilities (e.g.,
Rostan SM, Pariser D, Gruber HE. A cross-cultural study
IQ). If the available tests are believed to be biased, of the development of artistic talent, creativity, and
it may be possible to correct some of the systematic giftedness. High Abil Stud. 2002;13:125–56.
error present if other cognitive abilities are tested, Sligh AC, Conners FA, Roskos-Ewoldsen B. Relation of
creativity to fluid and crystallized intelligence. J Creat
as long as these abilities are believed to influence
Behav. 2005;39:123–36.
scores adversely on other tests in the examination. Sternberg RJ, Kaufman SB, editors. Cambridge handbook
If, for example, scores on a valid and reliable test of of intelligence. New York: Cambridge University
creativity could be shown to correlate with some Press; 2011.
Sternberg RJ, O’Hara LA. Creativity and intelligence. In:
systematic ethnic bias of IQ tests, then perhaps the
Sternberg RJ, editor. Handbook of creativity.
creativity test scores could be used to attenuate any New York: Cambridge University Press; 1999.
systematic error on the IQ tests. p. 251–72.
692 Creativity, Invention, Innovation, and Entrepreneurship, Discourse
society,” “knowledge society,” and many

Creativity, Invention, other terms are deemed as new stages or new
Innovation, and aspects of our civilization, economy, and soci-
Entrepreneurship, Discourse ety development (Dubina et al. 2012). How-
ever, it is a still unclear question, if these
▶ Linguistic Dimension of Creativity, Invention, terms should be treated as really different
Innovation, and Entrepreneurship stages or different aspects and how they differ
from each other then, or, if not, how they relate
to each other. For example, according to the
Nomura Research Institute (Japan), the main
stages of human civilization are: agricultural,
Creativity, Knowledge, and industrial, informational, and creative. Just as
Innovation: The Interactive the industrial revolution replaced agriculture as
Facets of the New Economy the dominant economic activity, “creativity
age” is replacing the “information age” as the
Igor N. Dubina1,2 and David F. J. Campbell3,4,5,6 next dominant global economic focus (see Kao
1
The Faculty of Economics, Novosibirsk State 1996, p. 4).
University (NSU), Novosibirsk, Russia Carayannis and Sipp (2006) reviewed the
2
The International Institute of Economics, economies of several nations within a spectrum
Management, and Information Systems, Altai of possible states of development and related
State University (ASU), Barnaul, Russia those to developmental pathways:
3
Vienna, Vienna, Austria (a) Subsistent-focused: Where survival is the
4
Department for Continuing Education Research issue
and Educational Technologies, Center for (b) Commodity based: Where commodities are
Educational Management and Higher Education the dominant means and goals of economic
Development, Danube University Krems, Krems, production and exchange, ranging from
Austria barter-based economies up to some
5
Unit for Quality Enhancement (UQE), transitioning economies
University of Applied Arts Vienna, Vienna, (c) Knowledge-based: Knowledge is one of
Austria the key means and goals of economic produc-
6
Faculty for Interdisciplinary Studies (IFF), tion and exchange, representing a key eco-
Department of Science Communication and nomic resource with a high degree of
Higher Education Research (WIHO), Alpen- utilization and sharing
Adria-University Klagenfurt, Vienna, Austria (d) Knowledge-driven: Where knowledge is
the major means and goal of economic pro-
duction and exchange, and the most valuable
Synonyms economic resource under continual renewal,
sharing, and utilization
Creative economy; Creativity economy;
Creativity-based society; Innovation economy; Based on such a classification, and referring
Knowledge economy; Knowledge-based to the famous Maslow’s theory of the hierarchies
society of needs, we consider the economic development
stages as those that correspond to societal needs
Presently, “creativity economy,” “knowledge (Fig. 1).
economy,” “innovation economy,” “creative Following this analogy, we assume that
Creativity, Knowledge, and Innovation: The Interactive Facets of the New Economy 693
Societal needs Economy development

⎧ creativity ⎫
⎪ ⎪ economy
⎨innovation ⎬
self- ⎪ ⎪
actualization ⎩knowledge⎭
communication
information C
economy
safety and commodity industry economy
basic needs agriculture economy
Creativity, Knowledge, and Innovation: The Interac- pyramid). (Source: authors’ own elaboration based on
tive Facets of the New Economy, Fig. 1 Societal needs (Dubina et al. 2012))
and economy transformation (an analogy with Maslow’s
1. The “new economy” trends to be based Based on the “main resource and driver”
substantially on social and personal values approach (Dubina et al. 2012), we defined the
(cooperation, trust, etc.), not only economic components of the new economy as follows:
values (such as revenue, profit, GDP, etc.).
2. The “new economy” is an economy, based • Knowledge economy is a knowledge-based
on creativity, knowledge, and innovation. and driven economy.
• Innovation economy is an innovation-
In fact, in the modern economy, creativity based and driven economy.
and knowledge, based on creativity (“creative • Creativity economy is a creativity-based
knowledge” (Carayannis and Campbell 2009), and driven economy.
constantly supersede traditional economic
resources and the proportion of tangible to intan- These definitions, although somewhat
gible assets has changed dramatically over the tautological, can characterize a new stage in eco-
past 50 years. Thus, tangible assets accounted nomic development and help to illustrate the inter-
for nearly 80% of the value of the nonfinancial relations of creativity, knowledge, and innovation
businesses in 1955; by 2005, that proportion economies (Fig. 2, Table 1). Similarly to the def-
had fallen to 50%. The value of intangibles had inition of the knowledge-based and knowledge-
trebled over the past 30 years. In 2005, 78% of driven economy (Carayannis and Sipp 2006), we
the market value of the Fortune 500, and 35% of define creativity economies as those that are
the market value of all listed companies world- directly based on mass and constant creativity
wide, was intangible (Wright et al. 2009). “For involvement in the production and distribution
countries in the vanguard of the world economy of new knowledge, new technologies, and new
the balance between creativity, knowledge and contents, and those economies with mass and
traditional resources has shifted and creativity constant creativity play the predominant part in
and knowledge have become the most important the creation of wealth. Although the term
factor determining the standard of living – more of “creativity economy” is being rarely used
than land, than tools, than labor” (Carayannis and in the literature when compared with “creative
Sipp 2006). economy,” we consider creativity economy to
694 Creativity, Knowledge, and Innovation: The Interactive Facets of the New Economy
Creativity, Knowledge,
Creativity
and Innovation: The
Interactive Facets of the economy
New Economy, 4
Fig. 2 Interrelations of 1
creativity, knowledge, and Knowledge 2
innovation economies.
economy
(Source: (Dubina et al.
2012)) 3 6
Innovation 5
economy
7
Creativity, Knowledge, and Innovation: The Interactive Facets of the New Economy, Table 1 Overlapping
areas of creativity, knowledge, and innovation economies. (Source: (Dubina et al. 2012))
Area
N in
Fig. 2 Creativity Knowledge Innovation Comment
1 No Yes No Accumulated and partly copyrighted knowledge which may be
involved into economic relations but not applied yet
2 Yes No No Creative products in some of the cultural industries
3 Yes Yes Yes “Creative knowledge innovation” (innovation based on both
knowledge and creativity)
4 Yes Yes No “Creative knowledge,” producing new and potentially useful
and applicable knowledge, but not applied yet
5 No Yes Yes Knowledge-based innovation (application of existing and/or
purchased knowledge)
6 Yes No Yes “Pure creativity”-based innovation, taking place with no
(almost no) references to knowledge
7 No No No Routine economic or production procedures
be conceptually better connected to widely used However, there are areas of knowledge that can be
definitions of the knowledge economy and inno- analyzed without considering innovation (for
vation economy, since, in particular, “creativity example: “pure basic research”). “Consequently,
economy” has not such a vivid connotation of also there are areas or aspects of innovation,
“cultural economy” and “creative industries” which are not (necessarily) tied to knowledge (for
as is the case for the “creative economy.” example, some forms of management innovations
From our viewpoint, it makes sense not to treat in business that are not R&D or technology-based).
knowledge economy, creativity economy, and In the case of knowledge-referring innovation, we
innovation economy as just interchangeable con- can speak of innovation that deals with knowledge.
cepts, or synonymous. A key here is also the Even though we will focus on this knowledge-
relationship between knowledge, innovation, and based innovation, it still is important to acknowl-
creativity. edge also possibilities of a knowledge without
The question, whether there could be an inno- innovation, and of innovation, independently of
vation without knowledge, still is open, disputable, knowledge” (Carayannis and Campbell 2009,
and unresolved (Carayannis and Campbell 2009). p. 213; see also 2014).
Creativity, Knowledge, and Innovation: The Interactive Facets of the New Economy 695
Similarly, there is “pure creativity” in the cre-

ative economy (this corresponds with cultural
industries like music or performance) as well as Creativity
“applied” creativity (producing new application- economy
oriented knowledge and/or innovation) (see
Table 1).
In the knowledge economy, there are C
areas of accumulated and partly copyrighted Knowledge
knowledge, which may be used (at least economy
potentially) for economic purposes. There are
also areas of knowledge-based innovation without
creativity (e.g., purchased and applied techno-
logies); however, without creativity, the knowl-
edge input for the innovation process might Innovation
economy
face serious constraints (Carayannis and
Campbell 2010). Many companies innovate with-
out creativity and experience, finally, “effective
stagnation” (Horibe 2003). However, there are Creativity, Knowledge, and Innovation: The Interac-
also areas, where knowledge, creativity, and inno- tive Facets of the New Economy, Fig. 3 “Ripples” of
vation coexist and coevolve. This creates creativity, knowledge, and innovation economies. (Source:
(Dubina et al. 2012))
“creative knowledge”-based innovation, where
creativity, knowledge, and innovation express
a mutual interaction. Here, innovation always
refers to knowledge and/or creativity. “Creative Another set of relevant questions refers to
knowledge”-based innovation defines the core the coevolution of the “advancedness” or matu-
of and for the new economy. Furthermore, rity of knowledge economies and knowledge
obviously, no innovation is possible without cre- societies and the amount of necessary or positive
ativity or knowledge. Should both components innovation and creativity: How much knowl-
(creativity and knowledge) not be present, we edge, innovation, or creativity is good or neces-
are facing routine economic production and sary for the development and evolution of
business procedure implementations. economies and societies? In principle, economic
The interrelating and overlapping (hybrid) development and progress of society depend on
areas of creativity, knowledge, and innovation knowledge, innovation, and creativity, and a
economies are not stable and change (pulse) over surplus of knowledge, innovation, and creativity
time (Fig. 3). The relationship of creativity, should drive the economy as well as society.
knowledge, and innovation is clearly nonlinear. However, it could also be argued that the more
These components of the new economy are advanced or mature a knowledge economy or
dialectically inter-impacted by each other. For knowledge society is, the more or the better a
example, “innovation is essential for the leverag- surplus of knowledge, innovation, or creativity
ing and ‘fuelling’ of knowledge creation, produc- can be absorbed and transformed into sustain-
tion, diffusion and application in the modern able development (see Fig. 4). Furthermore,
society and economy. Innovation carries knowl- there exists also the concept or model of
edge far into society, and knowledge application “democracy as innovation enabler” (Campbell
and use feedback directly into knowledge creation 2019), emphasizing coevolutionary effects
and production” (Carayannis and Campbell 2010, between knowledge economy, knowledge soci-
p. 48). ety, and knowledge democracy.
696 Creativity, Knowledge, and Innovation: The Interactive Facets of the New Economy
Gradual increase
of innovation and
creativity dependence
in interrelation with
the advancedness
of knowledge
economies (proposition).
The degree
or amount
("volume")
of innovation
Dependence of
structures and
processes of an
advanced knowledge
economy (knowledge
society) on innovation
and creativity.
Dependence of structures
and processes of an economy
on innovation and creativity.
The degree
or amount
("volume")
of creativity
Creativity, Knowledge, and Innovation: The Interac- knowledge economy and knowledge society.
tive Facets of the New Economy, Fig. 4 The interrela- (Source: (Dubina et al. 2012))
tion of innovation, creativity, and the “advancedness” of a
▶ Creative Class Campbell DFJ. Global quality of democracy as innovation

▶ Creative Industries Palgrave Macmillan; 2019. https://link.springer.com/
▶ Creativity and Labor book/10.1007/978-3-319-72529-1; https://www.pal
▶ Creativity Economy versus Creative Economy grave.com/de/book/9783319725284
▶ Creativity, Innovation, and Economic Crises Carayannis EG, Campbell DFJ. “Mode 3” and “Quadruple
▶ Knowledge Society, Knowledge-based
system. Int J Technol Manag. 2009;46(3/4):201–34.
Economy, and Innovation Carayannis EG, Campbell DFJ. Triple Helix, Quadruple
▶ Quality of Democracy and Innovation Helix and Quintuple Helix and how do knowledge,
Creativity: Cultural Capital in Mathematics Education 697
innovation and the environment relate to each other? A changed the tools available to students. Mathe-
proposed framework for a transdisciplinary analysis of matics is integrated in contemporary culture with
sustainable development and social ecology. Int J Soc
Ecol Sustain Dev. 2010;1(1):41–69. a STEM (Science, Technology, Engineering,
Carayannis EG, Campbell DFJ. Developed democracies Mathematics) foci. With this change, creativity
versus emerging autocracies: arts, democracy, has emerged as the new cultural capital of the
and innovation in Quadruple Helix innovation systems. mathematics classroom. Creativity is needed to
J Innov Entrep. 2014;3:12. http://www.innovation-
entrepreneurship.com/content/pdf/s13731-014-0012- address current and future problem-solving chal- C
2.pdf; http://www.innovation-entrepreneurship.com/ lenges of the twenty-first century and beyond.
content/3/1/12
Carayannis EG, Sipp CM. E-development toward the
knowledge economy: leveraging technology, innova-
tion and entrepreneurship for “smart” development. Key Concepts
New York: Palgrave Macmillan; 2006.
Dubina I, Carayannis E, Campbell D. Creativity economy Creativity
and a crisis of the economy. J Knowl Econ. Emerging technology and innovative access have
2012;3(1):1–24.
Horibe F. Innovation, creativity, and improvement: radically changed the career and lifestyle options
working the right lever to prosperity. Can Manag. of the human race and will continue to change
2003;28(1):20–3. them. The tools and roles of the future are un-
Kao J. Jamming: the art and discipline of business known, but preparation for that future occurs daily
creativity. New York: Harper Collins; 1996.
Wright S, Newbigin J, Kieffer J, Holden J, Bewick T, in classrooms around the globe. Survival in this
editors. After the crunch. MLG: Edinburgh; 2009. type of elusive future will require a very fluid/
http://www.creative-economy.org.uk adaptable type of thinking that is closely associ-
ated with creativity (Gardner, 2009). This type of
thinking can be referred to as divergent thinking
or “originality, flexibility, and elaboration and
Creativity: Cultural Capital in fluency in thinking” and is often thought to be
Mathematics Education at the core of creativity (Sak and Maker 2006,
p. 279). Creativity itself has been defined in hun-
Rae Ann Hirsh dreds of ways throughout decades. An analysis
Early Childhood, Carlow University, of 42 definitions of creativity by Kampylis and
Pittsburgh, PA, USA Valtanen (2010, p. 198) reveals four key compo-
nents commonly referred to as the four Ps of
creativity (person, process, press, and product):
Synonyms
1. Creativity is a key ability of individual(s).
Inventiveness; Originality; Problem-solving; 2. Creativity presumes an intentional activity
Resourcefulness; Social capital (process).
3. The creative process occurs in a specific con-
The average mathematics classroom is dominated text (environment).
with step-by-step directions, algorithms, and logi- 4. The creative process entails the generation
cal formulas for problem-solving and resembles of product(s) (tangible or intangible). Crea-
classroom environments from the 1800s rather tive product(s) must be novel (original, uncon-
than the integrated and collaborative work envi- ventional) and appropriate (valuable, useful)
ronments of the twenty-first century (Dwyer et al. to some extent, at least for the creative indi-
2014). In the past, this may have been sufficient vidual(s).
for problem-solving due to the tools available to
students. However, access to cultural goods, tools, Mathematics
resources, and technologies has changed dramat- Mathematics can be defined as using number
ically in the past few decades and has radically sense, geometry, estimation, measurement,
698 Creativity: Cultural Capital in Mathematics Education
statistics, probability, fractions, decimals, pat- what is required of students at various grade levels
terns, spatial sense, and relationships to solve (Kilpatrick, 2010). The common theme in these
problems. Problem-solving is defined by the eight foci is problem-solving; therefore, “it should
National Council for Teachers of Mathematics be a well-integrated part of the curriculum that
(NCTM) as “engaging in a task for which the supports the development of mathematical under-
solution method is not known in advance” standing” (NCTM, 2000, p. 52). Mathematics
(NCTM 2000, p. 52). A critical piece of the education relies on centuries of cultural capital.
NCTM’s definition is that the solution method is “A math textbook, without always acknowledg-
not known in advance. In the past, math has been ing it, contains wisdom from ancient cultures
looked at as a process of solving problems with and the accumulated history of human thinking”
known algorithms. Knowing an algorithm in (Lonergan 2007, p. 21).
advance negates a student’s mathematical think-
ing and hinders the development of place value Cultural and Social Capital
and number sense (Kamii 1999). A shift in think- Bourdieu, who coined the phrase cultural capital
ing about mathematics as procedures to thinking in the 1060s, was interested in the noneconomic/
about mathematics as understanding is needed. material reasons why educational disparity existed
Anwar et al. (2012, p. 55) explain, “to be able to between students of lower socioeconomic back-
efficiently organize teaching activities for the grounds and students of other social classes. He
development of mathematical thinking the proposed that students bring specific competen-
teachers will need to rely on some kind of inno- cies, aesthetic preferences, and dispositions to the
vation that will enable them to comprehend the classroom that have been instilled and reinforced
significance of change in instructional culture. from a strong cultural perspective and access.
This is the reason why; there is a need to empha- Contemporary sociologists view these competen-
size a shift in thinking from procedure to cies and dispositions as a “form of currency in
understanding.” the social realm” (Winkle-Wagner 2010, p. 7).
A student’s cultural capital can have advantages
Mathematics Education in some settings and disadvantages in others. Cul-
Contemporary mathematics education relies heavily tural capital can be acquired through social origin
on the common core standards initiative. In the and education and presents itself within a space
USA, the common core was designed to inspire where capital is produced and assessed, like a
understanding and deemphasize procedure by cre- classroom. Social capital manifests itself in rela-
ating not only content standards but standards of tionships. Relationships with family, peers, teachers,
practice (for teaching and learning). The standards and materials have tremendous influence on the
of practice in the USA emphasize eight main foci: learning environment and contribute to cultural
capital wealth (Pishgahadam and Zabihi 2011).
• Making sense of problems and persevere in
solving them Creativity as Cultural Capital
• Reason abstractly and quantitatively Cultural capital takes into account the disposi-
• Construct viable arguments and critique the tions, values, traditions, preferences, arts, skills,
reasoning of others advantages, and intergenerational equity of specific
• Model with mathematics groups of people. Cultural capital can be used as
• Use tools strategically leverage to elevate or lower social status which
• Attend to precision influences all other aspects of life. When creativ-
• Look for and make use of structure ity is infused into the definition of cultural capital,
• Look for and express regularity in repeated the uniqueness and skills of different cultures are
reasoning valued and respected. This leads to an apprecia-
tion of divergent thinking and an encouragement
These core foci of the USA are similar to many of creative problem-solving. In the mathemat-
other countries, with the exception of how and ics classroom, creativity has been traditionally
Creativity: Cultural Capital in Mathematics Education 699
devalued and narrowly focused on specific skills but lower international market competitiveness
and strategies. Creativity was not seen as valu- by negating creativity, innovativeness, and origi-
able cultural capital but as playful distraction, nality in careers rooted in mathematics, engineer-
nonsense, and/or inattentiveness. This ultimately ing, and technology. Creativity is valuable cultural
leads to standardized thinking and reserved reac- capital, unique to cultures that value indepen-
tions. Embracing creativity as cultural capital in dence, creative thought, and divergent thinking.
the mathematics classroom revitalizes the problem- The social and educational origins of cultural cap- C
solving process, expands the boundaries of the ital provide a unique opportunity for creativity
math field, and invites competitiveness and inno- in the mathematics classroom. Creativity allows
vation into the classroom and ultimately into the one to value the social capital contributions of
global workplace. individuals and add the importance and value
of creativity to the cultural capital repertoire. In
Current Trends in Mathematics Education and the mathematics classroom, it is pertinent to
their Link to Global Competitiveness specifically focus on the cultural capital acquired
The National Center for Education Statistics through interaction and create social acceptance
(NCES) monitors and reports how US students and importance of creativity in problem-solving.
perform in specific subject areas, such as mathe-
matics. The NCES gathers its data from state Theoretical Background and Open-Ended
standardized test scores and international stan- Issues
dardized mathematics assessments. Mathematics Science, technology, engineering, and math
achievement is typically assessed and compared (STEM) initiatives are specifically designed to
internationally through the Trends in International increase science and math skills in children and
Mathematics and Science Study (TIMSS) and the build awareness for science, math, technology,
Program for International Student Assessment and engineering careers. Judith Ramaley, the for-
(PISA). Results from the TIMSS and PISA are mer director of the National Science Foundation’s
frequently cited as reasons for improving mathe- education and human resources division, began
matics education and are motivators for interna- the STEM initiative in 2001. Her idea was to
tional competition. Despite the heavy reliance abandon the isolated teacher-directed content
on the results of these standardized assessments, areas of the sciences and mathematics and teach
questions regarding the fallout of high test scores them as interdisciplinary, collaborative inquiry-
have emerged. A comprehensive 40-year study based explorations and problem-solving experi-
of countries’ TIMSS scores demonstrates unex- ences that transcended gender and class boundaries.
pected findings (Baker, 2007). The higher a STEM has recognized that valued skill sets have
country’s TIMSS scores were 40 years ago, changed from solitary isolated skill sets to collab-
the lower the country’s economic health and orative innovative application. As the STEM ini-
national wealth today. Economic growth in coun- tiative grew momentum in schools, the exclusion
tries improved as test scores dropped. Quality of of a very necessary component was glaringly appar-
life, as measured on the quality-of-life index, ent. The foundational skills for math and science
improved as test scores decreased. The Economist are there, but the ingenuity to create, solve prob-
Intelligence Unit’s Index of Democracy showed lems, and invent is lacking. Creativity is missing.
that countries with the highest test scores had In 2011, STEM responded to the creativity crisis
lower levels of democracy. The number of crea- in the STEM program through the introduction of
tive patents was much higher in countries with an A for arts. STEM is now STEAM – science,
lower test scores. technology, engineering, arts, and mathematics.
The trend to rely on standardized assessment STEAM recognizes that:
results has resulted in a one-size-fits-all math edu-
cation classroom that replaces creativity and • Arts education is a key to creativity.
problem-solving with skills, drills, and memori- • Creativity is an essential component of, and
zation. This may raise international test scores, spurs, innovation.
700 Creativity: Cultural Capital in Mathematics Education
• Innovation is agreed to be necessary to create day. Co-authorship refers to the student’s role in
new industries in the future. problem identification and formulation. Involving
• New industries, with their jobs, are the basis of them in the task of identifying a problem increases
our future economic well-being. motivation, encourages them to look at the world
more critically, and helps them to identify the
The trend in STEM corroborates Albert need to solve the problem. This process encour-
Einstien’s thinking of “We can’t solve problems ages creativity as students began posing their own
with the same kind of thinking we used when we problems to solve.
created them.”
Core math initiatives of the USA and other
countries need to be grounded in an understand- Cross-References
ing of the cultural capital contemporary students
possess and be cognizant of the elusive tools and ▶ Creativity and Innovation: What Is the
roles of the future. Math standards, math prac- Difference?
tices, and math classrooms need to recognize the ▶ Creativity Definitions: Approaches
importance of divergent thinking, encourage cre- ▶ Divergent Thinking
ative problem-solving, and nurture and respect ▶ Divergent Versus Convergent Thinking
creativity.
References
Anwar L, Budayasa IK, Amin SM, Hann D. Eliciting
mathematical thinking of students through realistic
As educators prepare students for the twenty-first
mathematics education. J Math Educ. 2012;3(1):55–70.
century and beyond, a renewed emphasis in diver- Baker K. Are international tests worth anything? Phi
gent thinking is taking place and is necessary for Delta Kappan. 2007;89(2):101–4. http://www.pdkintl.
the future global society. The fluidity of creative org/kappan/kappan.htm
Dwyer C, Hogan M, Steward I. An integrated critical
thought has distinct implications for the role con-
thinking framework for the 21st century. Think Skills
tent knowledge plays in the development of crea- & Creat. 2014;12:43–52.
tivity. “Knowledge can provide the foundation Gardner H. Five minds for the future. Boston: Harvard
for creative work: however, too much knowledge Business School Press; 2009.
Kampylis PG, Valtanen J. Redefining creativity: analyzing
may preclude the thinker from going beyond definitions, collocations, and consequences. J Creat
stereotyped responding or bring about negative Behav. 2010;44(3):191–214.
transfer to new problem situations” (Sak and Kamii, C. Young children reinvent mathematics: Implica-
Maker 2006, p. 281). The content presented to tions of Piaget’s theory, 2e. New York, NY: Teachers
College Press; 1999.
students should be integrated into interdisciplin-
Kilpatrick J. A comparison of proposed US common core
ary projects that require contextual math to com- math standards to standards of selected Asian countries.
plete the project. Creativity also involves connection Education news. 2010 July 9. http://www.education
to real-world disciplines. The connection can hap- news.org/ed_reports/94979.html
Lonergan, M. The case for creativity in math education.
pen through the arts, technology, engineering, or
Essential Mathematics Education. 2008;23(2):20–21.
science and is reinforced through the STEAM National Council of Teachers of Mathematics. Principles
initiatives. Choice is something seldom seen in and standards for school mathematics. Reston: National
education but extremely important not only to Council of Teachers of Mathematics; 2000.
Pishgahadam R, Zabihi R. Social and cultural capital in creati-
creativity but to initiative, industry, and problem- vity. Can Soc Sci. 2011;7(2):32–8. www.cscanada.org
solving. Too often, education is presented in Sak U, Maker CJ. Developmental variation in chil-
a linear fashion with one right answer. Stu- dren’s creative mathematical thinking as a function of
dents need questions that invite a multitude of schooling, age, and knowledge. Creat Res J.
2006;18(3):279–91.
answers and pathways. This is critical as students
Winkle-Wagner R. Cultural capital: the promises and pit-
face a future where the roles and tools of the falls in education research. ASHE High Educ Rep.
society will look quite different from present 2010;36(1):1–144. https://doi.org/10.1002/aehe.3601.
Cross-Employment 701
Creativity-Based Economy Cross-Disciplinarity
▶ Creativity Economy Versus Creative ▶ Areas of Innovation in Arts: Innovation and

Economy Where to Look for It
tion, and Entrepreneurship C
▶ Social Design
Creativity-Based Society
▶ Creativity, Knowledge, and Innovation: The

Interactive Facets of the New Economy Cross-Disciplinary Thinking
▶ Preparing a “Creative Revolution”: Arts and

edge Economy
Creatology
▶ Science of Creativity
Cross-Employment
David F. J. Campbell
Creators’ Personality Traits Department of Political Science, University of
▶ Creative Attitudes: The 4S (Soil, Sun, Storm, Department for Continuing Education Research
and Space) Attitudes and Educational Technologies, Center for
Austria
Creators’ Self-Education Unit for Quality Enhancement (UQE), University
of Applied Arts Vienna, Vienna, Austria
▶ Reading for Creativity Faculty for Interdisciplinary Studies (IFF),
Adria-University Klagenfurt, Vienna, Austria
Cross-Cultural Creativity
Synonyms
▶ Creativity Across Cultures
Academic firm; Cross-employment and cross-
retirement; Epistemic governance; Interdisciplin-
arity; Multi-employment; Network-based
Cross-Cultural arrangement of work; Organizational arrangement
Entrepreneurship and of nonlinear research (knowledge production) and
Business nonlinear innovation (knowledge application);
Quadruple helix innovation systems; Quintuple
▶ Entrepreneurship and National Culture helix innovation systems; Tenure track and
(According to Hofstede’s Model) cross-employment; Transdisciplinarity
702 Cross-Employment
Concept of Cross-Employment (Non-Employment Based) Activities /

Cross-activities
Cross-employment represents a type of multi-
employment, where a person is being employed Employment /
Cross-employment
simultaneously by more than one organization
(institution). The emphasis here is placed on
employment by at least two organizations, and it
must be simultaneous (and not a sequential first-
then) form of employment. The opposite concept to
cross-employment would be the single employ-
ment by only one organization (or institution) at a
time. Employment implies that the person is
involved in social and tacit learning of the different Retirement /
organizations that also behave as organizational Cross-retirement
environments. When employment is in reference Cross-Employment, Fig. 1 The hybrid overlapping of

to knowledge production and knowledge applica- employment and cross-employment with activities and
tion, then cross-employment should also be under- retirement (Source: Author’s own conceptualization)
stood as an expression of and as a form for
organizing, optimizing, and excelling research therefore, what nonlinear innovation could mean in
and innovation. Cross-employment already exists practical terms . . . Cross-employment makes possi-
as an empirical phenomenon. How common or ble ‘parallel careers’ for individuals (knowledge
uncommon currently cross-employment is is diffi- workers) across a diversity of organizations and sec-
cult to assess. This topic has not been sufficiently tors, thus also a simultaneous operating in parallel in
researched, so far. Beyond the empirical aspects of organizations with different rationales and innovation
cross-employment, also the question could be cultures.” The creative knowledge environments
raised, whether cross-employment has also the (CKEs), as a concept and term, were introduced by
qualities of a normative and ideal-typical category: Hemlin et al. (2004).
Should work, also in association with knowledge Cross-employment (employment) has a hybrid
production, research, and innovation, be organized overlapping or can be combined with other forms
in a way of allowing for more (or even encourag- of activities that are nonemployment based (such
ing) arrangements that follow the logic of cross- as self-employment) or also with partial (part-
employment? time) retirement, then being called cross-
Cross-employment as a specific term and concept retirement in connection with employment or
was first introduced by Campbell (2011). In cross-employment (Fig. 1). Ramifications of
Carayannis and Campbell (2012, p. 24), the follow- cross-employment, therefore, are not only limited
ing comprehensive description for cross-employment to types of employment.
is being presented: “Cross-employment (multi-
employment) may be regarded as one
(organizational) strategy for realizing creative knowl- Characteristics and Opportunities of the
edge environments. Cross-employment (multi- Concept of Cross-Employment
employment) refers to a knowledge worker,
employee, who is being simultaneously employed Cross-employment does not only have advan-
by more than one organization, possibly being tages, when compared with single employment.
located in different sectors (e.g., a higher education However, in the following, those characteristics of
and a non-higher education institution, e.g., a univer- cross-employment should be elaborated in more
sity and a firm). This supports the direct network-style detail, which offer opportunities and potentially
coupling of very different organizations in knowledge also benefits to (individual) persons as well as the
production and innovation application, expressing, organization. The context for cross-employment
to be discussed here is an organization employment supports the formation and

(institution) that is engaged in knowledge produc- advancement of networks and network link-
tion and knowledge application or research and ages between organizations (institutions). In
innovation: fact, cross-employment represents a crucial
form of organizational manifestation for the
1. Creative development of complementary com- development and promotion of networks. For
petences, diversification, and pluralization of example, there can be cross-employment C
the competence base of organizations: Persons between two and more universities (higher
that can base their activities of knowledge pro- education institutions), where in one case the
duction and knowledge application on working employee may focus on academic research and
relations of cross-employment are in a position in the other case on organizational quality
of creatively (and innovatively) developing enhancement. In such a scenario, the cross-
further complementary competences that also employment would unfold still within one
refer to practical experiences and tacit knowl- sector, the higher education system. Cross-
edge. For the organization, this has the poten- employment, however, can also create
tial benefit that the spectrum of competences of network-style connections between organiza-
their employees is being diversified and plural- tions in different sectors, for example, the
ized to a crucial extent. This supplies evidence higher education sector and the economy (the
how cross-employment represents one business enterprise sector): In such a scenario,
approach for helping to develop “creative the cross-employment would act and behave
knowledge environments” within organiza- trans-sectorally and would perform a trans-
tions. The combination of complementary sectoral building of linkages and bridges. Mul-
competences also nurtures the creation of new tiple forms, networks, and combinations of
competences. Organizations (institutions), trans-sectoral cross-employment between uni-
therefore, should regard cross-employment versities (higher education institutions),
also as an organizational opportunity for university-related institutions, firms
themselves. (commercial firms, academic firms), and other
2. Network-style formation of linkages (and brid- organizations (e.g., of the civil society) are
ges) across organizations and sectors: Cross- possible, feasible, and even recommendable
Cross-Employment, Commercial Firm

Fig. 2 Possible network
linkages of cross-
employment between
higher education and other
organizations (sectors) Cross-
(Source: Author’s own Employment
conceptualization based on
Campbell and Carayannis University-related
(2013), p. 29) Institutions

Higher Education
Institutions (HEIs)
(see Fig. 2). Cross-employed persons, across being encouraged) to focus more indepen-
different organization and sectors, create (or at dently on basic research. However, the one
least have the potential of creating) a multitude main problem of this tenure-track-based
or heterogeneity of cross-organizational and model of careers is that it runs the risk of
cross-sectoral networks. developing into a “minority model” for aca-
3. Cross-employment as one organizational demic faculty. Numbers of tertiary education
expression for nonlinear innovation: The graduates increasingly exceed the available
model of linear innovation is often being positions in higher education institutions. So
referred to Vannevar Bush (1945). One core what should happen to the rest (the “silent
understanding of that model is that first there majority”) of academic faculty or potential
is basic research in a university context, which academic faculty? There are serious concerns
later develops further to an innovation applica- of a diffusion and a spreading of depriving
tion in context of a firm. This linear framing of working and living conditions of numerous
innovation is being challenged by the notions faculty members at higher education institu-
of an evolving nonlinear innovation. In prac- tions. Cross-employment may offer here one
tice, there often will be a hybrid overlapping of solution for the noncore academic faculty, allo-
forms and processes of linear and nonlinear wing to balance risk of academic careers,
innovation. This may mean that an organiza- employment statuses, competence develop-
tion (firm) engages simultaneously in different ment, and a more stable and enduring pooling
technology life cycles at different degrees of different financial resources and funding
(levels) of technology maturity (closer to schemes for academic faculty members that
basic research or closer to application and mar- are either not tenured or also not on a tenure
ket commercialization). Cross-employment track. Here, the tenure-track logic would pro-
represents another crucial manifestation and vide a “vertical integration” of the core faculty
organizational representation of and for non- and cross-employment a “horizontal integra-
linear innovation. For example, a cross- tion” of the noncore or peripheral academic
employed person (knowledge worker) can faculty either within the higher education sys-
participate in basic research at a university tem or across higher education and non-higher
and, at the same time, may be involved in inno- education (Campbell and Carayannis 2013,
vation application and knowledge practice in a pp. 67–68). This, furthermore, would offer
firm or another organization outside of univer- the option and opportunity of “parallel careers”
sity. Such a person works simultaneously at to individuals. Cross-employment, however,
both ends of the whole spectrum of knowledge should not only be regarded as an option of
production and knowledge application. balancing risk for those who did not make it to
4. The balancing of tenure track and cross- enter and to complete successfully a tenure
employment within universities and other track but has also the distinct characteristics
higher education institutions (academic insti- of a career scheme of itself (see Fig. 3).
tutions): The traditional understanding of an Cross-employed academic faculty demon-
academic career at a university follows the strates also qualities of a new, a novel, and of
tenure-track logic. Tenure track implies: At an innovative and creative academic
the beginning there is a competitive entry, and entrepreneurship.
the performance of the tenure-track-based aca-
demic (junior) faculty member is being regu-
larly evaluated. If being positively evaluated, Conclusion and Future Directions
the faculty member finally will be tenured,
otherwise is being dismissed by the institution. Of course, there are problems and risks associ-
Tenured academic faculty certainly enjoys sub- ated also with cross-employment. For the indi-
stantial privileges, for example, allowing (and vidual person, this may be the stress of becoming
Cross-Employment, Higher Education System, Non-Higher Education

Fig. 3 Vertical integration Higher Education Systems (external to
by tenure-track and Institutions (HEIs) Higher Education)
horizontal integration by
cross-employment (multi-
employment): only within
higher education or within
and outside of higher
education (Source:
C
Author’s own Non-core
conceptualization based on faculty:
Campbell and Carayannis (contextual
(2013), p. 68) Core faulty,
faculty: "peripheral"
vertical faculty):
integration horizontal
by integration
tenure- by
track, cross-
by being employment,
tenured. multi-
employment.
overburdened by heavy loads of multitasking. enough cross-employment. Cross-employment

For the individual person (e.g., being engaged has all the potentials and capabilities of adding
in knowledge production and knowledge appli- to the creative transformation of how knowledge
cation), this defines a need to search for potential production (research) and knowledge applica-
synergies and knowledge and competence sur- tion (innovation) are being processed and
pluses that again pay off positively. Organiza- performed. Cross-employment represents one
tions, network connected by cross-employed, form of organizational expression and manifes-
also should learn how to translate this into tation, what networks and nonlinear innovation
mutual benefits and opportunities for all of the can mean in organizational terms. Cross-
involved institutions. For organizations (e.g., employment, however, creates also a need for
firms), who are mutual competitors, cross- adapting and improving regulations of gover-
employment-based connections may not be fea- nance (network governance) and legal regula-
sible. Speaking more generally, this, of course, tions, so that the potential dynamics can also
refers to the following challenge: How to balance unfold in reality, to the advantage of the knowl-
and to organize cross-employment, networks, edge economy, knowledge society, and knowl-
and competition? The concept of “Co-Opetition” edge democracy. Further empirical investigation
(Brandenburger and Nalebuff 1997) tries to cap- and research on the topic of cross-employment
ture these complex patterns of interaction or of and the involved ramifications appears further-
potential interaction. In other cases and scenar- more to be necessary. Virtualization (Pfeffer
ios, however, organizations may benefit from 2012) and the use of advanced technological
mutually connecting networks of cross- means could also imply of exploring ways of
employment. In contemporary context, there is integrating or linking the global with the local
(perhaps) not too much, but (probably) not through and by cross-employment.
In the analysis, being presented here, no dis- organizations of the civil society). Cross-
tinction was drawn between cross-employment employment should foster the creativity of and
and multi-employment; they were treated as inter- in knowledge production and knowledge crea-
changeable terms and concepts. Should there be tion. The cross-employed academic profession
an interest in finding and emphasizing nuances of or cross-employed academic faculty involves
a different meaning, then an analogy could be itself and engages in a much broader spectrum
drawn (or at least suggested) to the concept of of knowledge production.”
“academic disciplines.” Multi-employment
would be closer to multidisciplinary, where com-
petences (disciplines) continue to be independent. Cross-References
Cross-employment, however, would have more
similarity with interdisciplinary and transdisci- ▶ Academic Entrepreneur, Academic
plinary: On the one hand, those different Entrepreneurship
network-connected competences should also ▶ Academic Firm
help in forming new competences (perhaps at a ▶ Ambidexterity
meta-level); on the other hand, new (creative) ▶ Creative Knowledge Environments
opportunities are being created for combining ▶ Cross-Retirement (Cross-Employed and Cross-
and linking basic research with application and Retired) and Innovation
innovation application (or exploration and exploi- ▶ Global University System in World Society
tation in firm context). ▶ Higher Education and Innovation
Furthermore, cross-employment represents ▶ Innovation in Interdisciplinarity: Four Different
one form of organization of organizations and of Dimensions
knowledge production (research) and knowledge ▶ Innovation of Joint Applications
application (innovation) that has the capacities ▶ Interdisciplinary Research (Interdisciplinarity)
and capabilities to support interdisciplinarity and ▶ Mode 3 Knowledge Production in Quadruple
transdisciplinarity in a particular way and Helix Innovation Systems: Quintuple Helix and
design. Therefore, cross-employment can be so Social Ecology
important for academic institutions in higher edu- ▶ Nonlinear Innovations
cation systems. But cross-employment also has an ▶ Palliative Care and Hospice: Innovation at End
importance for “academic firms” (Campbell and of Life
Carayannis 2016a). On the governance side, this ▶ Quality of Democracy and Innovation
requires to test the application of principles of ▶ Transdisciplinary Research (Transdisciplinarity)
epistemic governance and epistemic innovation ▶ University Research and Innovation
policy for and on cross-employment (Campbell
and Carayannis 2016b). Advancing such consid-
erations and thoughts further, cross-employment References
can also play a positive role for quality of democ-
racy in knowledge democracy (Campbell et al. Brandenburger AM, Nalebuff BJ. Co-opetition. New York:
Doubleday; 1997.
2015; Carayannis and Campbell 2014). Bush V. Science: the endless frontier. Washington: United
In conclusion, the following quote of Camp- States Government Printing Office; 1945. http://www.
bell and Carayannis (2013, p. 36) summarizes nsf.gov/od/lpa/nsf50/vbush1945.htm#transmittal
crucial key aspects of the whole complex of Campbell DFJ. Wissenschaftliche “Parallelkarrieren” als
cross-employment: “Several forms and variations
of cross-employment are thinkable and reason- Employment” liegen. Guest Commentary for DIE PRE-
able. Cross-employment can stretch (in network- SSE (February 2, 2011). 2011. http://diepresse.com/
style arrangements) across different higher home/bildung/meinung/635781/Wissenschaftliche-Parall
elkarrieren-als-Chance?direct¼635777&_vl_backlink¼/
education institutions or can link universities
home/bildung/index.do&selChannel¼500
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of higher education (for example, firms or higher education. Quality enhancement of universities
Cross-Retirement (Cross-Employed and Cross-Retired) and Innovation 707
for development. New York: SpringerBriefs in Business,

Springer; 2013. http://www.springer.com/business+%26 Cross-Employment and
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Campbell DFJ, Carayannis EG. The academic firm: a new Multi-employment
design and redesign proposition for entrepreneurship in
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016-0008-2 Employed and Cross-Retired)
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book/978-1-4614-2064-4
Synonyms
Cross-Employment and Cross-employment; Flexible retirement; Partial

Cross-Retirement retirement; Phased retirement; Semiretirement
The Concept of Cross-Retirement
Phased or partial retirement describes retirement

schemes allowing employees approaching retire-
Cross-Employment and ment age to gradually reduce the number of work-
Multiemployment ing hours. Reasons may be a greater need for
recovery from work, health problems, or a desire
▶ Social Ecology and Quintuple Helix Innovation for more leisure time to gradually adapt to full-
Systems scale retirement. Thus, phased retirement enables
708 Cross-Retirement (Cross-Employed and Cross-Retired) and Innovation
older employees to remain in the labor market, but perspective additionally important for the public
with less work pressure and more time for recre- debates and should therefore be treated as a seri-
ation. In these schemes, the potential loss of ous political issue to be considered. Retirement, in
income may or may not be compensated by social the context of cross-retirement, may shift some of
transfer benefits. Cross-retirement (i.e., cross- the underlying financial fundamentals in support
employed and cross-retired) likewise aims at allo- of a betterment of the long-term financing (public
wing the individual to combine the benefits of financing) of pension systems.
retirement and those of work in a similar way,
but with some important distinctions. Cross-
retirement (a) does not constitute a transition Theoretical and Empirical Background
period but rather an additional phase of life with-
out any predetermined endpoint, and (b) the ratio Life Expectancy, Sociodemographic Factors,
of work and free time should be self-determined and Retirement Age
and flexibly adjustable to the individual’s needs. Life expectancy has been increasing especially in
Cross-retirement thus should enable the individ- industrialized counties at a rate of roughly
ual to continue to contribute to society while 2.5 years per decade for the last one and a half
limiting the restraints of regular employment. centuries, and so far, there is no indication that this
Cross-retirement represents a status where a per- trend will change in the near future, despite new
son is retired and works at the same time. More potential health threats such as obesity (Oeppen
precisely defined, this means that a person works and Vaupel 2002). In 1840, life expectancy for
(full-time, but probably more likely part-time), Swedish women was 45 years; currently, in 2011,
however also earns retirement payments, to life expectancy for an Austrian woman is
which he or she is eligible and entitled. Cross- 83.3 years. Irrespective of this trend, the labor
employment, as a complementary term and con- force participation of older individuals has con-
cept (Campbell 2011; Campbell and Caryannis siderably declined in the past 60 years
2013; Carayannis and Campbell 2012), refers to (Guillemard and Rein 1993). In the first half of
a person with two or more simultaneous employ- the twentieth century, approximately 70% of men
ment statuses. In practice, several (creative and over the age of 65 were actively working. By
innovation-inspiring) combinations, arrange- 1970, the rate of employment in men over
ments, and network configurations between 65 had declined sharply to barely 20% in most
cross-retirement and cross-employment appear industrialized countries. Similarly, the employ-
possible, plausible, and feasible. ments rates, e.g., of men aged 55–64 in the Neth-
erlands declined from 80% in 1970 to 45% in
Financial Considerations 1990. Several factors can be held responsible for
In several of the advanced economies and OECD this trend, such as the policy of companies and
(Organization for Economic Co-operation and governments to encourage older employees to
Development) countries, raising the (legal and/or enter retirement, a change in work status with
de facto) age (minimum age) for retirement repre- less self-employed individuals in the work force,
sents a hot topic that is being intensively, and a decrease in the satisfaction with and the quality
politically controversially, discussed. Arguments of work conditions, and a change in the individ-
in favor of a continuous increase of the retirement uals’ perception regarding life and work. How-
age assert that otherwise, the pensions systems ever, these changes have created an ever-growing
cannot be financed by public means adequately, number of individuals claiming retirement bene-
because there is also a general tendency of an fits and thus a substantial financial burden for
increased life expectancy. Not raising the retire- industrialized countries. In several European
ment age may have the consequence that retire- countries, governments are striving to change
ment payments are not sufficient anymore for this development with a mix of policies (Cooke
covering the costs of a good life in higher age in 2006). These include outlawing mandatory retire-
the long run. Cross-retirement may bring in here a ment at a certain age as well as age discrimination,
increasing pension eligibility ages, closing other et al. 2011). Thus, in some instances, it is better
paths of early retirement, and introducing flexible not to work.
and part-time retirement policies. So far, e.g., the
Netherlands has been successful in increasing Health and Productivity of Elderly Employees
labor participation in those over 55 from an all- As individuals age, relevant physical and cogni-
time low in 1996 of 20% to above 30% in 2006. In tive faculties decline. Typically, these are seeing
Austria, efforts are underway to increase retire- and hearing, processing complex stimuli, holding C
ment age, e.g., by investing in medical rehabilita- multiple items in working memory, reaction time,
tion and by discouraging individuals from muscular strength, coordination of movement,
entering early retirement due to health problems. and overall physical capacity. However, in most
Recently, the European Commission has jobs, these changes are more than compensated by
suggested increasing retirement age to 70 years experience and a resulting greater efficiency, thus
in the next decades to meet the increases of life leading to stable productivity. Exceptions are jobs
expectancy. where cognitive or physical requirements exceed
capacities and experience provides little advan-
Benefits and Costs of Work on Psychosocial tage, such as unskilled manual work, fast data
Well-Being and Health processing, or generally high levels of work
Next to the obvious benefit of employment in demands (Silverstein 2008). Cognitive and phys-
gaining an income, work also has several psycho- ical capacities, in addition, decline at different
social benefits for the individual that are of impor- speeds for each individual, resulting in greater
tance for the well-being and health of the differences between older individuals than
individual. This fact becomes obvious when con- between younger individuals. Indeed, it can be
sidering the dramatic negative impact of unem- observed that older cohorts of employees, typi-
ployment on health, even when those unemployed cally beyond the age of 60, show stable or even
receive social security benefits. Of all psychoso- improved rates of productivity and fitness when
cial factors, unemployment is generally found to those less able have left the workforce (and thus
be the leading cause of ill health. In her seminal the cohort) due to retirement. Another feature of
book, Marie Jahoda, the pioneer in research on elderly employees is their greater physical disabil-
unemployment, named five pathways through ity in terms of higher rates of chronic disease and
which employment positively affects health and chronic pain disorders as well as a slower recov-
well-being (Jahoda 1982). Work provides a mean- ery from illness or injury. Elderly working indi-
ingful daily and weekly time structure, provides viduals also show higher levels of work-related
supportive and challenging social contact, fosters fatigue and need more time to recover from work
meaningful individual activity, enables the feeling and thus more leisure time (Haluza and Blasche
of having a collective purpose or common goal, 2016). Flexible work arrangements and more time
and provides a work-related identity and a socie- for restoration can compensate for these needs.
tally relevant status. Though studies on the posi-
tive effects of work on health and well-being are
scarce, recent studies show, e.g., that volunteering Benefits and Costs of Retirement on
improves mental health, especially in those Health and Well-Being
beyond the age of 65 (Musick and Wilson 2003).
However, whether work is good for the individ- Retirement undoubtedly has positive effects on sev-
uals’ health and well-being depends strongly on eral psychosocial variables. Retirement is character-
the psychosocial quality of work. Though ized by an increase in the availability of free leisure
employment generally is associated with better time, a removal of potentially adverse working
mental health, work associated with high job conditions such as insufficient appreciation, time
demands, low job control, job insecurity, and pressure, and social conflict and usually with a
unfair pay tends to be associated with worse removal of financial insecurity. Among the most
well-being than unemployment (Butterworth prominent effects of retirement is a reduction of
710 Cross-Retirement (Cross-Employed and Cross-Retired) and Innovation
prolonged fatigue, a reduction in depressiveness, Conclusion and Future Directions

and an improvement of general well-being. How-
ever, the prevalence of, e.g., cardiovascular or respi- Implications for Theory, Policy, and Practice
ratory diseases does not change, nor does the The concept of cross-retirement opens up a whole
number of musculoskeletal problems (Westerlund new spectrum of perspectives, so far undervalued
et al. 2010). Thus, despite its positive effects on in public debates and political issue discourses.
mental health and well-being, retirement does not As for cross-retirement, a status is being defined,
improve physical health. On the contrary, evidence where a person receives retirement payments on
is accumulating showing that earlier compared to the one hand, but still is benefiting from a paid
later retirement may even be associated with a employment (self-employment) status on the
slightly greater mortality and thus earlier death other hand. Cross-retirement can be combined
(Quaade et al. 2002). Though conclusions are with full-time employment but also with various
premature, those retired may lack the positive psy- forms of part-time employment. Particularly com-
chosocial factors associated with work described binations and network-style arrangements of and
above such as a feeling of purpose and a meaningful between cross-retirement and cross-employment
daily time structure. Thus, retirement improves men- offer opportunities and promise potentials for
tal health possibly by increasing opportunities for work, life, and innovation capabilities of persons
leisure time and by removing adverse psychosocial in higher ages and their contributions to the
factors potentially associated with the previous job. knowledge society and knowledge economy (see
However, retirement does not improve physical Fig. 1). Cross-retirement, in combination with
health. cross-employment (or without cross-employment),
has the potential of transforming work, life, and the
Benefits of Flexibility and Freedom of Choice knowledge production, as they are being currently
Controllability is the major factor defining stress. still understood in a conventional setting. This may
The individual who has no control over an adverse lead to further innovations in the “organization of
situation will show a large and enduring stress organizations” (Campbell and Carayannis 2016).
response. In the occupational realm, low job dis- Persons, benefiting from cross-retirement pay-
cretion, together with high work demands, consti- ments, can engage more freely and independently,
tutes high-strain jobs and is associated with a wide with more freely available time, in processes of
array of health problems (Theorell 1997). It is knowledge production and innovation in society
obvious that jobs which do not allow the and economy. This extra free time could have an
employee to decide how to approach a task, how effect on pushing and encouraging creativity and
to solve a problem, what tools to use, when to take innovation that is based on unconventional think-
a break, when to start and end work, when to take ing or on practices parallel (outside) to the
a vacation, and so forth will be associated with established working life. Cross-retirement, also
more strain and discomfort. On the other hand, (but not only) when linked to networks of cross-
recent reviews point to the fact that flexible work- employment, adds to diversity and heterogeneity in
ing conditions which provide workers with con- organizations; therefore it supports the formation
trol and choice (such as self-scheduling or and development of “creative knowledge environ-
gradual/partial retirement) have a positive effect ments” (Hemlin et al. 2004). The current research
on health and well-being (Joyce et al. 2010). Thus, and literature suggests that creative knowledge
the more the elderly employees are able to decide environments, within organizations, promote orga-
when and how and how much to work, the greater nizations in their efforts of knowledge production
are the chances that work will not only not be and innovation application (see again Hemlin et al.
disabling, but on the contrary have a positive 2004). Employers, organizations, and institutions
impact on health and well-being. However, obvi- should realize more openly that cross-retirement
ously and regretfully, not all jobs will qualify and represents one approach for expanding and
allow this flexibility. complementing a diverse and heterogeneous
Cross-Retirement (Cross- Retirement / Employment /

Employed and Cross- Cross-retirement Cross-employment
Retired) and Innovation,
Fig. 1 Heterogeneity and
diversity in cross-retirement
for knowledge production
and innovation (Source:
Author’s own
conceptualization) cross- C
overlapping
Creative creation of Creative Knowledge Environments

(CKEs), network-style transformation of work, life and
innovation (in higher ages) in the knowledge society
and knowledge economy.
knowledge and competence base that underlies Cross-References

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organizations in their creative knowledge produc- ▶ Citizen Science in Health Domain
tion and innovation application ambitions and ▶ Creative Knowledge Environments
strategies. Cross-retirement may also imply the ▶ Cross-Employment
need for “social innovations” within organizations, ▶ Healthcare and Innovation
so that organizations (also economic organiza- ▶ Palliative Care and Hospice: Innovation at End
tions) benefit from cross-retirement. of Life
One further implication of cross-retirement is
that the hard line (“deadline” of beginning) of
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environments. The influences on creativity in research Crowdfunding is an umbrella term that refers to an
and innovation. Cheltenham: Edward Elgar; 2004. ever-growing microfinancing system which,
Jahoda M. Employment and unemployment: a social- despite not being new, and since cases are already
psychological analysis. Cambridge: Cambridge Uni- known in the history of the USA where the base of
versity Press; 1982.
Joyce K, Pabayo R, Critchley JA, Bambra C. Flexible the Statue of Liberty was financed in 1884 by
working conditions and their effects on employee Joseph Pulitzer through calling the US popula-
health and wellbeing. Cochrane Database Syst Rev. tion, which was financed through microdonations
2010;2:CD008009. (Pitts 2010), has evolved thanks to the Internet
Musick MA, Wilson J. Volunteering and depression: the
role of psychological and social resources in different and web 2.0 technology, by facilitating access to
age groups. Soc Sci Med. 2003;56:259–69. the “crowd” and by enabling communication and
Oeppen J, Vaupel JW. Demography. Broken limits to life the creation of networks between entrepreneurs
expectancy. Science. 2002;296:1029–31. and investors (Lambert and Schwienbacher
Quaade T, Engholm G, Johansen AMT, Moller
H. Mortality in relation to early retirement in Denmark: 2010).
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2002;30:216–22. obtained from numerous individuals who unite
Silverstein M. Meeting the challenges of an aging work- their personal contributions to support a specific
force. Am J Ind Med. 2008;51:269–80.
Theorell T. Fighting for and losing or gaining control in objective, which might be cooperative, business,
life. Acta Physiol Scand Suppl. 1997;640:107–11. prototypes, etc., by, in turn, obtaining not neces-
Westerlund H, Vahtera J, Ferrie JE, Singh-Manoux A, sarily money-type rewards, but rewards ranging
Pentti J, Melchior M, Leineweber C, Jokela M, from personalized acknowledgements on the
Siegrist J, Goldberg M, Zins M, Kivimaki M. Effect
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French GAZEL occupational cohort study. BMJ. products or services at a much lower price before
2010;341:c6149. they are launched on the market or even job
opportunities (Belleflamme et al. 2014).
The literature classifies crowdfunding plat-
forms (Giudici et al. 2012) according to: (1) the
rights of crowdfunders to participate in a project’s
Crowd outcome; (2) the rates requested by crowdfunding
platforms from entrepreneurs/start-ups; (3) the
▶ Crowdfunding and Entrepreneurship services offered by crowdfunding platforms. The
Crowdfunding and Entrepreneurship 713
Crowdfunding and Entrepreneurship, Table 1 Comparison between crowdfunding and other sources of finance for
small venture projects
Venture capital and Stock exchanges Leasing
private equity Business and trading Bank finance/trade
Crowdfunding funds angels platforms loans credit
Enabler Yes No No Yes No Yes (w.e.)
organisation
Direct Yes Yes Yes No Yes No (w.e.)
C
interaction (w.e.)
Affiliation of Yes No No (w.e.) Yes No No
investor/
investee
(w.e.) ¼ with exceptions
most widely accepted criterion of the rights of the basis of this definition, it is a platform with
crowdfunders to participate allows us to classify many sides or faces on which the main value lies,
crowdfunding projects as follows: and one that provides financing, where we find
considerable differences with other “traditional”
1. Equity-based: crowdfunders have the right to sources of financing:
share a part (depending on their level of partic- We assume that crowdfunding platforms are
ipation) of the profits that the project makes. clearly multisided platforms as they are promoted
2. Lending-based: funds are returned and by an organization that will allow direct financing
crowdfunders have the right to be paid interests to business projects through numerous individuals
agreed on in a contract. via the affiliation (and making contacts) of
3. Donation-based: funds are provided with no crowdfunders and the project’s entrepreneurs.
reward involved (for certain philanthropic or As we can see in Table 1, private capital and
sponsored projects). venture capital, along with business angels, pro-
4. Reward-based: funds are provided in exchange vide business projects with direct financial sup-
for moneyless rewards (e.g., being cited; port but do not have an organization that allows
obtaining a product version, etc.). entrepreneurs and investors to be connected. In
such cases, business plans are sent directly to the
Despite their growing popularity, their aca- personnel in charge of assessing them and are not
demic understanding has centered only on defin- publicly available. In these cases, a commonplace
ing and distinguishing the crowdfunding of practice is investors being affiliated with networks
different phenomena, such as crowdsourcing and associations (e.g., European Association of
(Afuah and Tucci 2012), online charity donations, Venture Capital), but the main objective is to
and peer-to-peer loans (Zhang and Liu 2012), place pressure (negotiate) on regulators and
rather than on analyzing and comparing the banks and to offer services and counselling to
advantages and disadvantages of resorting to subscribers. Some exceptions among business
each model and analyzing it compared to other angels can be found, who tend to group in infor-
forms of financing. mal networks to share the risk and to co-invest in
In order to analyze and distinguish certain actions.
crowdfunding from other financing alternatives, Stock exchanges are extremely effective
Hagiu and Wright (2012) facilitated this work for financing organizations, and access to them is
us by providing a qualification of the conceived only through authorized brokers.
crowdfunding concept as a “multisided platform”: Quoted businesses contemplate certain specific
“an organisation that creates value mainly by allo- and formal requirements, but no direct interaction
wing direct interactions between two different is permitted as operations are centralized and
types of affiliated users/customers, or more”. On anonymous.
714 Crowdfunding and Entrepreneurship
Bank loans are directly given to businesspeo- Understanding the Functional Nature of
ple without resorting to the organizations that Crowdfunding Platforms
finance them. The only exception is the platforms We distinguish at least two crowdfunding plat-
that compare the conditions and interest rates form parties: funders and fundraisers. A funder
among different banks, and which offer brokerage establishes a relationship with a fundraiser by
services to companies and consumers, but are promising a certain amount of money to a partic-
generally limited to mortgages and consumer ular project.
credits. Crowdfunding platforms display positive
We also find credit financing companies crossed external effects between donors and
(leasing, factoring, renting, etc.) through financ- fundraisers. Let us examine the two types of exter-
ing organizations that are not affiliated but operate nal effects:
on a resales basis. Furthermore, leasing and credit
products tend to be standard, and no direct inter- 1. External effects on funders/donors: they tend
action exists between the company and the end to prefer platforms with a larger number of
funder. campaigns and, therefore, with a larger number
of fundraisers as this enhances their capacity to
A Compared Selection of Financing Methods select which project to finance.
for Business Projects Yet there may be cases in which funders are
Many variables have to be taken into account more attracted by a platform with a smaller
when entrepreneurs wish to decide about the number of campaigns as this increases the
structure of their business capital. The academic probability of any given campaign achieving
literature has centered basically on the business the financing requirements that they need
exchange matters between debt and financing of (a higher concentration of funders per pro-
capital (e.g., Chua et al. 2011; Zhang 2014). For ject). Thus they depend on the balance
instance, the studies by Chemmanur and Fulghieri between “the variety and chance of
(2014) and by De Bettignies and Brander (2007) co-financing” so that positive effects on
identify many surprising differences between debt fundraising groups exist.
and financing of capital, such as: (1) banks’ 2. External effects through crowdfunding plat-
financing provides strong incentives for entrepre- forms’ functioning: quite often effects also
neurs, which leave businessperson complete com- exist “within” crowdfunding platforms, and
pany ownership, while financing of capital dilutes these can be positive or negative: it is likely
the businessperson’s incentives to provide the difficult for a fundraiser, for any given number
required effort; (2) banks are relatively passive of funders, to obtain the necessary funds for
investors, while venture capital suppliers nor- his/her project if more competitive campaigns
mally provide businesspeople with management exist. Conversely, a funder may prefer to be
firms; (3) financing of capital tends to take longer alongside a larger number of followers
to accumulate than financing debt; (4) direct bank because, for example in this case, funders
loans must reach a given volume to finance pro- would not be competing, but would simply
jects and to cover administrative costs, whereas benefit from a higher probability that the pro-
financing of capital tends to be more flexible (e.g., ject is undertaken. However, if a project has a
business angels). set size, funders might perceive its funding
Therefore, in the literature we can see that companions as being competitors as they
rewards exist in certain aspects like control and might lose an interesting project.
ownership, which depend on the types of financ-
ing that entrepreneurs follow. After reviewing the Prices Structures
literature on the advantages and disadvantages of When it comes to evaluating the cost of the
different sources of capital for business compa- crowdfunding platform itself, we must consider
nies, we found (Table 2): the platform’s costs for entrepreneurial projects as
Crowdfunding and Entrepreneurship, Table 2 Sources of entrepreneurial finance (Source: Wu et al. 2016)
Sources of
entrepreneurial
finance Specific types Advantages Disadvantages Sources
Formal equity Venture 1. Provide monitoring 1. Surrender partial De Bettignies
capitalists services; 2. Provide a ownership of the venture; and Brander
variety of support services; 2. Dilute the entrepreneur’s (2007); Denis
3. Certification incentive to provide effort (2004) C
Angel 1. Plays an important 1. Relatively small equity Chemmanur and
investors networking role; 2. Shorter stage provides few Fulghieri (2014);
time until venture financing; postinvestment support Denis (2004)
3. The unique role in fund services; 2. Lacks a clearly
equity stated mission; 3. Inherent
conflicts of interests between
the corporation and
entrepreneurial venture –
little incentive to provide
value-added support service
Corporate 1. Have longer investment 1. Lacks a clearly stated Chemmanur and
venturing horizons than traditional VC mission; 2. Lacks sufficient Fulghieri (2014);
firms commitment; c. conflicts Denis (2004)
over the strategic direction of
the start-up
Informal equity Informal 1. Raises funds from a large 1. Increases the chance that Chemmanur and
crowdfunding number of investors investors will lose money; Fulghieri (2014)
2. Crowdfunding may not be
beneficial for the long-term
success of entrepreneurial
firms
Formal debt Bank loans 1. Leaves entrepreneur with 1. Deprives the firm of VC’s Talavera et al.
full ownership to avoid managerial input; 2. Needs (2012); De
diluting entrepreneurial collateral that is acceptable to Bettignies and
effort and loss of banks; 3. The amount of the Brander (2007);
entrepreneur control loan needs to reach a certain Zhang (2014)
scale
Informal debt Debts from 1. Detailed personal 1. Costs and interest rates can Chua et al.
friends, knowledge of the client is be affected by the (2011); Zhang
family, available relationship between the (2014)
money lender and the borrower;
lenders 2. Loans are small and short-
term to reduce default risk;
3. The nominal rate is
sometimes higher than that
of formal sector loans,
especially in rural areas;
4. Incurs reciprocal financial
obligations
crowdfunding platforms generally have three returned to funders if it is not. In the meantime, the
sources of income: platform can earn interests on these funds. So
One: they earn interests on the money spent on donors make lost interest when they
a given campaign as funders transfer money at the (temporarily) invest in a project.
time they contribute. This money is transferred to Two: some platforms offer additional services
fundraisers if the campaign is successful, or it is which they charge for. In particular, many charge
to manage payments. They may also offer services products, like Pebble Watch, the games con-
that come from third parties and obtain income sole Ouya (which exceeded 8.5 million US
from third suppliers; e.g., the income from the dollars in 1 month), independent films, music,
French platform Spear is based on offering addi- among many others. In 2014, its fundraising
tional services to support the project (1% of the exceeded one billion dollars with more than
amount loaned), as well as 3% from subscription 5.7 million people. Those who seek financing
rates. Other possible services could include dis- set an objective and then have a limited time to
seminating information about former projects; raise the required money before their project
some diagnostics can be valuable for donors and expires. This platform, in turn, ensures the
others for fundraisers, etc. creation of a community around a project to
Three: many platforms charge a transaction help launch it and to have a broader scope
fee. This fee might be conditioned to a campaign (a platform centered on the USA, Canada, the
being successful. As documented in Massolution UK, Australia, and New Zealand). What is
(2013), most platforms charge fundraisers a trans- good about the Kickstarter system is that it is
action fee on a percentage basis for all successful the “all-or-nothing” kind: i.e., the funder’s
campaigns; do not charge for unsuccessful cam- credit card will not receive payment until the
paigns (the French platform Octopusse charges a project meets its objective.
7% financing fee if the campaign is eventually Indiegogo: it works like Kickstarter, but its
successful). distinguishing aspect is that it is not limited to
Other alternatives exist; for instance, charging an “all-or-nothing” strategy because it also
fees to become a member or to subscribe for a allows what is known as “flexible” financing:
given period. it pays your money to the entrepreneur, even
though you have not been able to reach the
Some of the Most Relevant Crowdfunding requested total. However, the financed party
Platforms for Entrepreneurs should pay its rewards. The site states that
As the “lifeline” of SMEs and future entrepre- this works better for projects that do not require
neurs, crowdfunding platforms are a way to gain much help and for those that need to focus not
credit for ideas and projects by encouraging the only on real physical products, but also on
participation and interaction of various actors in social and creative initiatives. The Indiegogo
the professional and business environment. When and retailers association provides high-added
the World Bank announced that crowdfunding value as the site has reached agreements with
would have a value of up to $90 billion between companies like Amazon and Brookstone to
2020 and 2025 and Forbes announced that help them to manufacture and take products
crowdfunding would be valued at $90 billion by to the market. Some past examples of success-
2017, which surpasses the Venture Capital trend ful projects include the Jibo Family Robot, the
all together, the world (investors, start-ups, and Solar Roadways Project, and the effort made to
regulators alike) realized that it was time to join teach children how to code.
the trend. GoFundMe: for those entrepreneurial projects
The types of interaction that one can experi- which seek to finance projects that fall outside
ence between the participants in these platforms the spectrum of gadgets, GoFundMe has
vary immensely and allow start-ups and investors become a popular alternative that allows it to
to find which solutions best fit their needs and raise funds for social change and its dissemi-
desires. nation/promotion. Some of its projects have
used the site to raise funds for families who
Kickstarter: is perhaps the most well-known one have lost loved ones or personal belongings
with a history of launching successful owing to catastrophes or tragedies, to support
efforts to help in disaster situations, and for Experiment: love for science. Anyone can present
medical research, and even to establish a cen- their research proposal. However, before it is
tral place where sympathizers provide help to launched, it will be reviewed to ensure that the
partners after they decide on a formal underlying research is solid, and the project is
compromise. feasible. It is also possible to see the whole
YouCaring: to go even further to help people scientific process route as the people in charge
affected by personal tragedy, YouCaring has of the research project should make every C
become one of the most important platforms effort to be transparent to sponsors (a few
that supports families, afflicted persons, and dozen scientific articles have been published
people with difficulties. YouCaring allows in high-impact journals as a result of cam-
users to set objectives, but operates in a paigns backed by Experiment).
“help” system. Anyone can configure a Chuffed: if you are a fan of nonprofit projects,
YouCaring page, and the site offers a useful Chuffed is a suitable site for you. It contains
characteristic that allows daily access to funds, no luxury gadgets, only groups that work on a
which is particularly important for medical range of social themes that need your help. As
invoices and expenses that need paying daily with Experiment, anyone can send their project
or require formulations. for crowdfunding purposes, but Chuffed has an
Crowd Supply: it is less known than the previous interesting way of doing this. This site asks for
platform. It consists in a launchpad for new the project pitch to contain 50 words or less,
open hardware projects, hackables, and high- and it will be approved for crowdfunding if it is
range products for freaks. It allows creators of liked. If after all the project leader can describe
products to put their ideas into practice. It is the what it is doing, or what it wants to do, briefly
only platform of this kind that has been backed and concisely, this means (according to those
by the Free Software Foundation for respecting in charge of the site) that there is a better
its users’ privacy and freedom, and it is the chance of its effort and proposal being taken
only crowdfunding platform where each seriously.
financed product has materialized and been
delivered to sponsors. Some of its notable For the specific case of Europe, and thanks to
product launchings include the Novena open the “Action Plan on Capital Market Unions”, we
hardware laptop by bunnie & xobs, the Purism can see how the European Commission has begun
Librem laptop, and the peel-and-stick circuit to take the necessary measures to explore these
stickers by Jie Qi. financing alternatives “to reinforce Europe’s
Crowdfunder: is for those who wish to act as a economy and to stimulate investment to create
“venture capitalist” instead of simply financing job posts,” with an investment plan of 315,000
a project. Rather than obtain rewards for dif- million euros. At CSW Europe 2015 in October
ferent financing levels, it gains a share of the during the European Forum for Entrepreneurial
company itself. Unlike other services, it Finance: “it is necessary to equip the masses so
requires a minimum investment, which can they can utilise these platforms, forge strong risk
become thousands and even dozens of thou- management and finance literacy based on the
sands of dollars. So if the project works well, principles of crowdsourcing.”
the reward can be significant (or might not be). Moreover, equity crowdfunding platforms in
Experiment: like Kickstarter, this site uses an “all- Europe are advancing in all these matters. What
or-nothing” financing model. If the project platforms in Europe are making successful equity
does not meet its financing objectives, no one crowdfunding campaigns? According to Crowd
will suffer or be accused. Another goodwill Sourcing Week, 2015; CrowdExpert.com
aspect is that all projects must be preapproved. (Crowdfunding Industry Statistics, 2015–2016),
we now go on to highlight some of the most FundedByMe had reportedly conveyed over
relevant ones: USD $1 Million to “mostly smaller projects”
to launch businesses, fund equipment pur-
Companisto: The Berlin-based equity chases, or back project concepts. The
crowdfunding allows crowd investors to invest FundedByMe project reportedly raised its
for as little as €5 up to €500,000, with no limit own launch capital via crowdfunding. The
for companies on how much funds they want to company has listed various cultural projects,
raise. Companisto has funded companies and and also “includes journalism as one of its
start-ups from various industries, such as real categories” that focuses on projects from coun-
estate (Weissenhaus has raised €7,500,000), tries in Africa, Europe, Asia, and the United
food, toys, digital tech, among others. The States.
company has received a more than €24-million Invesdor: Invesdor is a Helsinki-based equity
investment from 44 K investors and has funded crowdfunding platform and was the first to
51 projects. operate and provide alternative financial ser-
Crowdcube: is a UK-based equity crowdfunding vices in Northern Europe. It has served as a
platform that allows entrepreneurs and SMEs matchmaker between investors and businesses
to raise capital in various industries, such as since May 2012. If you want to invest in a
Art & Design, Consumer Electronics, Film & diverse group of companies and services,
TV, Professional Businesses and Services and, whether in real estate, food chains, or in digital
among others, via equity, debt, and investment platforms, this is a good platform for Nordic
fund options. On this platform, you can be a start-ups, entrepreneurs, and crowd investors.
private “crowd” investor where you can Invesdor has raised more than €10 million
receive shares from the companies’ released euros, with 47 successful rounds and 111 listed
shares you have supported. At the time of companies. As an entrepreneur, you can start
writing, Crowdcube has successfully funded raising funds from as little as €20,000 and up to
more than £122 million with 300+ successful €1,500,000 during the open round.
projects. Want to raise your first campaign? Invesdor focuses on equity crowdfunding
Companies need to be a UK Ltd. company to for start-ups and growth companies. Finnish,
get started and, from the investors’ side, you Swedish, Danish, and UK companies can raise
can invest in as little as £10. up to 2.5 million euros through Invesdor, while
FundedByMe: is a crowdfunding portal based in investments can come from anywhere in the
Stockholm, Sweden. The company is active in world. The minimum for each investment is
Scandinavia and has offices in Singapore and €20. The service follows the “all-or-nothing”
Malaysia. FundedByMe’s native language is model, in which pledged funds are collected
English, but users can list their project in any only from investors if the minimum goal set by
supported language. The company was the company being funded is reached by the
founded in March 2011 by Arno Smit and end of the crowdfunding campaign. The com-
Daniel Daboczy. [1] In September 2012, the pany seeks to position its service as a low-
company launched FundedByMe equity, an threshold option by having a low minimum
equity crowdfunding portal, in addition to its investment and a general scarcity of paperwork
donation crowdfunding portal. The during the process.
FundedByMe portal operates on the “all-or- MyMicroInvest: a Belgium-based crowdfunding
nothing” funding principle, where investments platform, MyMicroInvest allows you to invest
are made on a pledge basis, and pledges are not alongside with professional investors in
released unless the project meets or exceeds a Europe for as little as €100 in start-ups and
preset funding target. By February 2012, SMEs. The company has received investments
of more than €12 million and has funded of investors around professional investors,
40 companies from their 30 K+ members. while allowing a crowd of online investors to
Seedmatch: Known as Germany’s crowdfunding invest in British companies in both their early
platform for start-ups, Seedmatch is also a and late stages. As the name speaks for itself, it
matchmaker between investors and start-ups builds a syndicate of investors via equity. In a
and allows investors to get their equity shares nutshell, you can invest with the “Angels” and
starting from €250 for an individual portfolio. have the opportunity to learn how they play C
On the flipside, start-ups can raise funds as around on shares. SyndicateRoom bagged the
little as €100,000. As of this time, the company Alternative Finance Platform of the Year in UK
has received investments of more than at the 2015 AlFi Awards. Since its founding in
€24 million with 82 funded projects and a 2013, it has raised more than £40 million. You
95% success rate. can register as an introducer to leverage the
Seedrs: is an equity crowdfunding platform for network of investors or as an entrepreneur
investing in start-ups and later-stage busi- where you can start with a minimum equity
nesses throughout Europe. Seedrs allows funding of around £150,000. From the inves-
users to invest as little as £10 or €10 in the tor’s side, you can start investing with as little
businesses they choose and permits early-stage as £1,000.
start-ups and more established businesses to Ulule: a leading crowdfunding platform in
raise investment from friends, family, cus- Europe that also works with very high figures
tomers, angels, and other independent inves- and has successfully financed over 16,719
tors in exchange for equity in the business. The projects. It follows the “all-or-nothing”
platform offers three types of campaigns for model; i.e., if you do not achieve the
investment: equity, funds, and convertible fundraising that you requested for your pro-
campaigns. ject, no rewards are requested. Any projects
Seedrs is an “all-or-nothing” platform where taken on are published in Europe and can
companies do not receive any funding unless vastly vary from sporting to creative ones
they reach their declared investment target, and even ecological ones.
but businesses have the chance to accept Wiseed: a France-based equity crowdfunding
more than originally asked for in a process platform in real estate allows you to invest
called “overfunding”. It allows a wider base collectively for as little as €1,000. You can
of potential investors, among the mass afflu- invest in a variety of properties, such as com-
ent, and access to start-up investing, an asset mercial properties, farms, residential proper-
class that was previously only available to ties, etc. Wiseed comes with three options:
high-net-worth or sophisticated angel invest in start-ups (invest for as little as
investors. €100), in real estate properties or get funds
Symbid: (aka The Funding Network) is a via cooperatives. At the time of writing,
Netherlands-based equity crowdfunding that Wiseed has raised a €36-million investment
provides traditional and new ways of financial and has funded 89 projects.
alternatives for entrepreneurs. You can invest
as little as €20 to jumpstart your investments in
promising start-ups. The platform boasts a Cross-References
solid community of 35,515 registered private
investors and 51 professional investors and has ▶ Angel Investors
received over €417 million in investments. ▶ Contractor
SyndicateRoom: operates according to the ▶ Crowd
“investor-led model” where it has a syndicate ▶ Entrepreneur
720 CSR
▶ Financing
▶ Manager CSR
▶ Venture Capital and Small Business
▶ Small Businesses and Sustainable
Development
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Cyberentrepreneurship and Proximity Relationships 721
Cultural Industries Cyberentrepreneurship and

Proximity Relationships
▶ Creative Industries
Serge Le Roux
Research Unit on Industry and Innovation,
University of Littoral, Dunkerque, France C
Research Network on Innovation, Paris, France
Cultural Policy
▶ Entrepreneurship in Creative Economy Synonyms
Corporate management; Digital economy;

Regional economy; Technologies; Territorial
management
Culture
▶ Arts, Research, Innovation, and Society:

Notions of Cyberentrepreneurship and
ARIS
Proximity Relationships
▶ Innovation Eats Transformation: Leading Inno-
vation, Digital Transformation, and the Impor-
Context and Presentation of the Subject
tance of Culture
For over half century, information technologies
have deeply impacted economy landscape and
company ecosystem: data, production, manage-
ment, work organization, entrepreneurship. We
Culture Industries identify a new profile emerging: “the cyber-
entrepreneur.” These transformations driven by
▶ Creative Industries IT technologies have also finally affected
regional environments, contents, authorities.
Immaterialization overcomes some of the histor-
ical constraints of production, such as “distance-
time, distance-cost, access speed . . . . . . the ease
Cumulative Advantage of travel” (Cattan and Frétigny 2011; Duranton
2008). These changes, already significant,
▶ Networks and Scientific Innovation appear to be only the beginning of a much longer
cycle, where the intangible and conceptual ele-
ments will take a stronger and stronger dominant
position.
Cyber Entrepreneurship Definitions
▶ Microfirms Electronics Physical science for formatting and

management of electrical signals to, among other
things, allow high-speed transmission and the
mass storage of information.
Cyber-democracy
Computers Techniques for the automatic pro-
▶ Media and Innovation cessing of information through electronic
722 Cyberentrepreneurship and Proximity Relationships
machines, mobile phones, and others, equipped • Cultural capital: a shift from silo framework to
with specific programs, software. knowledge management (Bouwman and
Hulsink 2002; Carrier et al. 2004.
Cyberentrepreneur Kind of entrepreneurship
using information and communication technolo- Elevation of quality level of intervention of
gies in different business functions: manage- entrepreneur may strengthen, in the territorial
ment, marketing, recruitment, finances, environment of the firm, exclusion effects,
relations with the innovative environments, such as digital illiteracy, unemployability, net-
local resources etc. works access shadow zones, constrained
immobility, etc. The expansion of social,
Internet Multi-connection system of computer financial, and cultural functions of the cyber-
networks for horizontal exchange of information entrepreneur, compared to its predecessor, not
between individuals. “cyber,” transforms its relations to the
territories:
Social Networks Free association of individuals
and organizations can exchange information • Management of production becomes ubiqui-
directly with each other through information and tous (in synchronous or asynchronous
communication technologies. modes); it can act on several areas
simultaneously.
Ubiquity Computer system embedded in hard- • Research skills are expanded (by the use of
ware and miscellaneous items and linked. teleworking, for example); they bring together
geographically dispersed knowledge in a uni-
Teleworking Pattern of organization of the pro- fied process.
duction function where the work activities of cer- • The assembly is the product of agile and col-
tain employees are periodically physically laborative methods, raising levels of quality
separated. and quantity of human and technical interven-
tions (on the place of production, for
Collaborative Organization of the work activity marketing).
of a group of people connected by functional links
and making an indivisible product. Cyberentrepreneur and Management of
the Firm
Since the emergence of computers, in the decades
Cyberentrepreneurship and Proximity post-second world war, it was soon realized that
Relationships: Close and Necessary Links innovation is great and generic. Of course, the
inertia of traditional Taylorist patterns of work
The Cyberentrepreneur, À New Entrepreneur organization has been strong (strong enough to
Profile last until now) but managerial innovations (e.g.,
The cyberentrepreneur generates the following quality circles) reached to enter, to seek to renew
new dimensions of capitalism: the relations within the firm. New waves of inno-
vations (microcomputer, Internet, and social net-
• Social capital: a shift from personal and family works) will make obsolete these first attempts to
environment to social networks (see Jeremy renovate.
Rifkin 2011, of the strategic importance of More than half a century after the emergence of
the ability to access relevant information/ what some call “the scientific and technological
persons) revolution,” the social innovation path traveled is
• Financial capital: a shift from local venture still quite insignificant, evidenced by the
capitalists to global financial markets following:
• The small progress of participative manage- On the economic front, the trend identified by
ment in companies experts on territorial dynamics (the fragmentation
• The strong resistance to implementing remote of settlements and erratic aspects that contain many
working solutions strategies of location) the cyberentrepreneur can
• The difficulty of integrating young people into oppose another form of structuring of space,
existing organizations based on cross-linking the organization of produc-
• The light interactions between firms and tion, itself made possible by the use of teleworking C
territories (distanciation of internalities, marginalization of
• The limited distribution of collaborative work physical moves) and subcontracting (outsourcing,
tools globalized research skills).
• The gap between the cultural level and prac- On the political front, the rise of clubbing
tices of organizations behaviors may be overcome or circumvented,
• Under-use of creative potential of thanks to the effects of the economic work of
employees, etc. cyberentrepreneur, with the wide use of practices
of e-learning, strengthening specialized
The cyberentrepreneur still remains, essen- networks, etc.
tially, a mythical concept, who does experience
only partially new ways of working and organiz- The Cyberentrepreneur, Dynamisor of the
ing production. These psychological, cultural, and Residential Economy
behavioral delays are disadvantageous for In terms of the economy of a territory, the distinc-
involved firms, individuals, territories; they gen- tion between economics called “production”
erate unnecessary costs and are the source of (“Turned to external markets, this model spreads
waste of resources. If the new models of both competitive positions in order to catch the revenue
economic and territorial management are streams necessary for regional growth” – Aubert
strengthened in the theoretical research, they are et al. 2011) and the so-called residential (“Cen-
not widely present in actual practice. tered on the local market, this model can satisfy
the needs of residents” – Aubert et al. 2011) is
Cyberentrepreneur and Homogenization of important in terms of development potential in all
the Territories the meanings related to local area (more or less
Among the current developments in the terri- prosperous, the number and quality of services to
tories, academics (Aubert et al. 2011) report the the population, value of the equipment, treatment
existence of the integration process, “The consti- of disparities, etc.).
tution of homogeneous environments on micro- Cyberentrepreneur action may contribute to
spaces. From a social point of view, the search for change in relationship between these two forms
the inter-se prevails; from an economic point of of economic activity, in that it consumes or pro-
view, specialization prevails; from a political duces or sells goods and intangible services
point of view, the club effects are predominant” (in fact, today, every “good” or “service” comes
(Aubert et al. 2011). in the form of an arrangement of various material
In social terms, the action of cyberentrepreneur elements, in decreasing proportion, and especially
can accentuate the effects of connection between and increasingly intangible elements). It allows
individuals, for example, by stimulating the need the creation of gateways between the two types
to develop social networks, but the action of this of economies:
new form of firm can also worsen the isolation of
people who are outside the ways of accessing • Cyberentrepreneur may provide local activities
these networks, by quartering the society and access to foreign markets, and enable local
causing discharges, ghettoization, and social staff to have additional income (“production”)
relegation. as a form of endogenous local economy.
724 Cyberentrepreneurship and Proximity Relationships
• Cyberentrepreneur may also pull into territory district (this one of the local elections, the definition
services related to production economy at very of budgetary resources, the map of public facilities,
low costs that previously would have severely etc.). In terms of economic activity, public policies
strained the budgets of local staff. aim to traditionally attract production units, brick
• Cyberentrepreneur may finally through tele- and mortar, in the territory.
working enable local officials to have a job in With digital technology, teleworking is possi-
a firm located in the economic system of the ble. It implies a redefinition of local and regional
territory (see Appendix). strategies: The goal is less filling preinstalled
industrial estates as the attraction of jobs in the
Teleworking, Coproduction of the Firm and territory of reference, that is to say people coming
the Territory to live and telework on this territory, their
The network logic implemented by the cyber- employers may be located in places far removed
entrepreneur should lead to the emergence of a from that territory, creating a “connectivity
new type of space, cross-fertilizing product of the between remote locations . . . a growing interweav-
firm and the territory. ing of the positions of centrality and situations
This new system will be economic and peripherals, blurring some of the notions of inside
territorial: and outside, of dominant and dependent” (Cattan
and Frétigny 2011; Malecki and Moriset 2008).
• No rural, in the meaning “very survivals artifi- Explanation: Travel time between home and
cially maintained” (Lussault 2011) that is to workplace does not assume much importance,
say beyond the traditional model of self- this shift takes place once or twice a week and
sufficiency and developing a new vision can be achieved outside the peak hours.
based on self-productive and reticulate auton- Benefit to the employee: In addition to the gain
omy and an emerging right to sedentarity. resulting from the removal of daily commuting, he
• Neither urban in the meaning of submission to built a “right to physical sedentarity” can keep his
the working environment and living imposed home even if he changes jobs.
by the firm, that is to say based on finding a Advantage for the firm: In addition to gains in
balanced framework, consistent with the productivity and lower management costs, the
desired lifestyle, connected to the company company can expand its recruitment area and
but with a loose connection, not tense. retain employees, even when changing their
• Not quite neo-rural or suburban, in the mean- place of residence.
ing of “space formerly rural, escheated,
(which) urbanizing with the introduction of
spatial forms, practices, values and references Conclusions and Future Directions
that come from urbanization” (Lussault 2011)
that is to say to a sustainable and distanced Two possible directions of developments, in the
position, initiating a new model for economic case where labor practices geographically sepa-
and territorial: rated from the place of assembly productions
– Reconstructed with elements of the urban would be populated: either to strengthen the
and rural; trend toward metropolization (as was demon-
– Co-produced by the firm and the territory; strated by Jacques Levy as “diffusion phenome-
non of urban, growing indistinctness between two
and constituting an early clarification in the cha- socio-spatial orders that, until recently, all
otic environment of proliferating, moving, uncon- opposed” – Pinson and Rousseau 2011), either to
trollable space-time between individuals (see also introduce a new model of territorial organization,
Aurigi 2005). “re-personalization” of space (and the role of
The territory of usual reference for decision cyberentrepreneur to find a research field to
makers is defined by the limits of the administrative develop its potential and give strength to the
adage, “without the digital immateriality, no pos- Bouwman H, Hulsink W. A dynamic model of cyber-
sible”) (Lussault 2011). entrepreneurship and cluster formation: applications
in the United States and in the low countries. Telemat
Inform. 2002;19:291–313.
Carrier C, Raymond L, Eltaief A. Cyberentrepreneurship: a
multiple case study. Int J Entrep Behav Res.
Cross-References 2004;10:349–63.
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Cattan N, Frétigny JB. Les portes d’entrée de la France et
les systèmes territoriaux des flux. Territoires.
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▶ New Forms of Entrepreneurship in a Sustain- 2011;2040(3):61–77.
Duranton G. Distance, land and proximity: economics
able Knowledge-based Service Economy
analysis and the evolution of the cities. Environ Plan
▶ Proximity Relationships and Entrepreneurship A. 2008;31:2169–88.
▶ Territory and Entrepreneurship Lussault M. L’ultra-urbain mobilisé dans la
mondialisation. Territoires. 2011;2040(3):11–26.
Malecki EJ, Moriset B. The digital economy: business
organization, production processes and regional devel-
References opment. London: Routledge; 2008.
Pinson G, Rousseau M. Les systèmes métropolitains
Aubert F, Georges-Marcepoil E, Larmagnac C. Les satel- intégrés. Territoires. 2011;2040(3):29–58.
lites interconnectés. Territoires. 2011;2040(4):121–7. Rifkin J. The third industrial revolution: how lateral power
Aurigi A. Making the digital city: the early shaping of is transforming energy, the economy, and the world.
urban internet space. Aldershot: Ashgate; 2005. London: Palgrave Macmillan; 2011.
D
Data Mining Decrease in Creativity
▶ State Space Paradox of Computational Kyung Hee Kim and Noël Williams
Research in Creativity The College of William & Mary,
Data Sharing
Synonyms
▶ Translational Medicine and the Transformation
of the Drug Development Process Creativity challenge; Creativity crisis; Decline in
creativity scores
Daydreaming The Creativity Crisis
▶ Imagination Creativity is making something unique and use-

ful, and the result of this process is innovation
(Kim 2016). Kim (2005) synthesized studies
Decision published between 1965 and 2005 examining the
relationship, including the similarities and differ-
▶ Social Capital of the Entrepreneur ences, between creativity and intelligence. The
results showed that there is a negligible relation-
ship between the two, suggesting a high IQ is not
a perquisite for creativity. All individuals have
Decision Making and the potential to be creative as long as they develop
Judgment an expertise in their field of interest. Kim (2011)
studied the relationship between creativity and
▶ Method for Creating Wisdom from Knowledge
intelligence further by examining their changes
over time. The Flynn effect unveiled the increase
of IQ scores worldwide (Flynn 1984, 2007);
Decline in Creativity Scores therefore, if intelligence and creativity were
related concepts, then creativity would have also
▶ Decrease in Creativity increased. However, Kim (2011) found that
https://doi.org/10.1007/978-3-319-15347-6
728 Decrease in Creativity
creativity in America has decreased since 1990 creative attitudes and creative thinking skills (see
(dubbed “the Creativity Crisis”), using the scores Kim 2006 for more detailed information).
from the Torrance Tests of Creative Thinking The three requirements for innovation, creative
(TTCT) – Figural. Climates, creative Attitudes, and creative Think-
The participants for the creativity crisis study ing skills – shortened to CATs – are essential (Kim
included a total of 272,599 TTCT scores from 2016). As Table 1 shows, the TTCT measures
kindergartners through adults including 3,150 creative attitudes and creative thinking (outbox
from 1966; 19,111 from 1974; 37,814 from and newbox) skills of the CAT model. The results
1984; 88,355 from 1990; 54,151 from 1998; and of the creativity crisis study indicate that newbox
70,018 from 2008. These participants represent thinking decreased the most, outbox thinking
all regions of the United States and some regions decreased next, and creative attitudes decreased
of Canada over time (see Kim 2011 for detailed next. It also showed that American creativity
information). The TTCT is a creativity test, and it declined started in 1990. Americans IQ scores
has been translated to almost 40 different lan- continue to increase, but they are less creative
guages. It is also the most reliable and valid cre- now than 25 years ago, and this decline continues
ativity test among those currently available and with each year. The decline is most profound in
the most widely used. It was first developed in those ranging from kindergarten through sixth
the 1950s by E. Paul Torrance, the Father of grade (Kim 2011).
Creativity, and has since been updated six times.
The results of the test are twofold: it measures the Decrease in Creative Attitudes
creativity of individuals and how they are creative Creative attitudes are the ways individuals react
by identifying strengths and weaknesses in their to the creative climates. The 4S attitudes (soil,
Decrease in Creativity, Table 1 TTCT Figural subscales in relation to creative thinking and creative attitude. Modified
from Kim (2017)
Creative thinking skill/attitude TTCT subscale
Creative Inbox Thinking Inbox expertise and inbox critical Inbox critical thinking
thinking thinking is measured through newbox systhesis
Outbox Imagination Fluency Fluency
Originality Originality
Flexibility Unusual visualization
Newbox Synthesis Connection Big-picture-thinking Abstractness of titles
Boundary-crossing Extending/breaking boundaries
Pattern-finding Synthesis of lines/circles/incomplete
figures
Dot-connecting Colorfulness of imagery
Movement/action
Refinement Elaboration Elaboration
Enrichment Richness of imagery
Simplicity Abstractness of titles
Promotion Persuasion Storytelling articulateness
Naming Expressiveness of titles
Storytelling Storytelling articulateness
Creative attitude Open-minded Resistance to premature closure
Playful Humor
Emotional Emotional expressiveness
Daydreaming Fantasy
Nonconforming Extending/breaking boundaries
Note: indicates 13 Creative Strengths
Decrease in Creativity 729
sun, storm, and space) mirror the 4S climates. Decrease in the Emotional Attitude
Soil attitudes that are fostered by the soil cli- The emotional attitude includes recognizing,
mate include being open-minded, bicultural, understanding, and expressing individuals’
mentored, complexity-seeking, and resource- own feelings. It helps individuals communicate
ful, and this enables individuals to become their own state of mind and empathy for others.
resourceful cross-pollinators. The sun attitudes Creative individuals experience deep emotions,
are optimistic, big-picture-thinking, curious, are sensitive to the environment, and are emotion-
spontaneous, playful, and energetic. They are ally expressive. Emotions affect creativity often
nurtured by the sun climate and assist individ- more than cognitive or other rational factors and D
uals in becoming curious optimists. The storm are found in all creative endeavors including sci-
climate cultivates storm attitudes such as inde- ence and arts. The emotional attitude is measured
pendent, self-disciplined, diligent, self-effica- by the Emotional expressiveness subscale of the
cious, resilient, risk-taking, persistent, and Creative strengths, which has decreased since
uncertainty-accepting attitudes. These attitudes 1998. This indicates that individuals are less able
develop individuals into resilient hard workers. to recognize, understand, and express their own
The space attitudes are emotional, compassionate, feelings, communicate their own state of mind,
self-reflective, autonomous, daydreaming, non- and display empathy for others (Kim 2011).
conforming, gender-bias-free, and defiant. They
are nurtured by the space climate and empower Decrease in the Playful Attitude
individuals to become defiant dreamers (Kim The playful attitude includes approaching situa-
2016). tions in exploratory ways and seeing the lighter
Among the 4S attitudes, the TTCT measures side of challenges; it helps sustain individuals’
the open-minded, emotional, playful, day- energy over time. Innovators are playful and
dreaming, and nonconforming attitudes, all of humorous and focused on their passion and goal
which have decreased since 1998 (Kim 2011). while using casual and flexible thinking, includ-
ing humor. Innovators’ humor and playfulness
Decrease in the Open-Minded Attitude structure their work as fun and/or play in a way
The open-minded attitude involves considering that frees their outbox thinking – which is limited
others’ views that are different from one’s own. by work-play dichotomy – and find ideas/solu-
It’s developed by early diverse experiences tions that might not have been thought of using
including exposure to other cultures. Open- pure logic or common sense. Their provocative
mindedness is one of the most consistent approaches that deliberately mock analytical top-
attitudes found among creative individuals. down approaches facilitate newbox thinking
They pursue flexible ways of life and are daring and reveal surprising connections and/or opportu-
and open to broad experiences and interests nities. The playful attitude is measured by the
including fantasy and imagination. They con- Humor subscale of the Creative strengths, which
stantly learn and find new understanding by has decreased since 1998. This indicates that indi-
questioning and changing ingrained beliefs, viduals are less able to take problems or situations
which enables developing expertise and critical in exploratory or provocative approaches for sur-
thinking skills (inbox thinking). The open- prising connections or opportunities (Kim 2011).
minded attitude is measured by the Resistance
to premature closure subscale, which has Decrease in the Daydreaming Attitude
decreased since 1998. This indicates that The daydreaming attitude includes sustaining
individuals are less able to be daring and open unrealistic but goal-oriented thoughts while
to broad experiences, consider others’ views awake. It helps individuals disregard existing
that are different from their own, and question norms in their extemporaneous thoughts but
and change deep-seated beliefs to learn and find capture useable aspects of thoughts, which is ben-
new understanding (Kim 2011). eficial for outbox and newbox thinking. Creative
individuals seek unique ideas and take advantage synthesis combines elements of inbox and outbox
of daydreams to achieve innovation. The day- thinking and synthesizes ideas into something new
dreaming attitude is measured by the Fantasy (newbox). Newbox synthesis also includes the pro-
subscale of the Creative strengths, which has motion of the creation so that it can be valued by
decreased since 1998. This indicates that individ- others and society. Thus, a. inbox expertise pro-
uals are less able to sustain unrealistic but goal- vides the foundation of creative thinking, b. outbox
oriented thoughts and disregard existing norms imagination produces the uniqueness of a creation,
(Kim 2011). c. inbox critical thinking ensures the usefulness of
the creation, and newbox synthesis results in some-
Decrease in the Nonconforming Attitude thing unique and useful (Kim 2016).
The nonconforming attitude includes choosing to
differ from mainstream patterns of thought and Decrease in Outbox Imagination
behavior. It develops by feeling comfortable The TTCT measures fluent, flexible, and original
being an outsider. It helps individuals reach their outbox thinking skills, which have decreased
uniqueness beyond existing norms. They develop since 1998 (Kim 2011).
new concepts, approaches, and products using
outbox thinking by breaking conventional/tradi- Fluent Thinking
tional ways of thinking; they reject the limits Fluent thinking is a skill used to spontaneously
imposed by others and set their own rules; and generate many ideas. It is measured by the Flu-
they find their strengths and pursue their own goal ency subscale, which has decreased since 1990.
instead of others. The nonconforming attitude is More idea generation leads to more unique ideas
measured by the Extending/breaking boundaries and better ideas, and thus fluent thinking is the
subscale of the Creative strengths, which has foundation of both flexible and original thinking.
decreased since 1998. This indicates that individ- If individuals cannot generate many ideas, then
uals are less able to reach their uniqueness beyond they generate less substantial ideas (Kim 2011).
existing norms by choosing to differ from main-
stream patterns of thought/behavior and develop Flexible Thinking
new concepts, approaches, and products by break- Flexible thinking is a skill to generate different
ing conventional/traditional ways of thinking kinds of ideas from different angles, which is an
(Kim 2011). even better predictor of innovation than fluent
thinking is. It’s a skill to consider multiple options
Decrease in Creative Thinking Skills and perceive a common object or situation in a
The 4S attitudes enable individuals’ creative think- different way. It is measured by the Unusual visu-
ing skills during the creative process. Innovation alization subscale, which has decreased since
results from the ION (inbox, outbox, and newbox) 1998 (Kim 2011).
process of creative thinking. Inbox thinking is
enabled by the soil and storm attitudes; outbox Original Thinking
thinking is enabled by the sun and space attitudes; Original thinking is a skill used to generate new
and newbox thinking is enabled by all 4S attitudes. or unusual ideas. It is an even better predictor of
Inbox thinking is narrow and deep (inside the box) innovation than flexible thinking and uses both
to gain or evaluate knowledge and skills, which fluent and flexible thinking. It is measured by the
includes developing expertise and critical thinking. Originality subscale, which has decreased since
Outbox imagination is quick and broad (outside the 1990. Originality is one of the most critical ele-
box) enabling individuals to envision all, diverse ments of creative thinking. The decrease might
possibilities. Outbox, or divergent thinking, pur- result from a climate that is less tolerant of differ-
sues nonconforming ideas. It generates fluent ent creative expressions and behaviors through
(many, spontaneous), flexible (different angles or social pressures toward conformity and status
kinds), and original (novel) ideas. Newbox quo (Kim 2011).
Decrease in Newbox Synthesis Creative strengths, which have decreased

The TTCT measures newbox thinking skills since 1998 (Kim 2011).
of connection, refinement, and promotion, which 4. The dot-connecting skill is seeing things as a
have decreased (Kim 2011). connected whole instead of many unrelated
pieces. It is recognizing an entire tree instead
Connection of separate branches or a whole chain instead
Synthesis is recombining things and information of separate links. The dot-connecting skill is
into a new coherent whole without losing facilitated: first, by metaphorical-thinking skill
the essence of each part. It includes connection, that helps form analogies and bridge concep- D
refinement, and promotion. Innovation often tual gaps to see things from new perspectives,
starts by connecting elements of existing and metaphors are easy to understand and cre-
ideas because innovation is built on existing ate vivid images in the audience’s mind; sec-
knowledge/skills. The (1) big-picture-thinking, ond, by nonverbal thinking or communication
(2) boundary-crossing, (3) pattern-finding, and skills such as visualizing or thinking in pic-
(4) dot-connecting skills are used for connection. tures; third, by thinking with the five senses,
Each connection skill is an opportunity to connect such as using and/or combining sight, sound,
different aspects of unrelated ideas, but it has touch, smell, and/or taste to illustrate ideas or
decreased since 1998 (Kim 2011). make new connections between irrelevant
ideas; and fourth, by thinking with the body
1. The big-picture-thinking skill is presenting such as thinking and communicating ideas in
information in a larger context or system rather physical, lively and emotionally vivid ways
than the details and is thinking beyond what that is also effective for the promotion skill.
is seen. It is measured by the Abstractness of The dot-connecting skill is measured by both
titles subscale, which has decreased since of the Colorfulness of imagery and Movement/
1998. This indicates that individuals are less action subscales of the Creative strengths,
able to recognize the essence of problems with- which has decreased since 1998. This indicates
out distorting the information (Kim 2011). that individuals are less able to think metaphor-
2. The boundary-crossing skill is going beyond a ically, think and communicate nonverbally,
subject and connecting the most dramatically use the five senses, and think with the body
different or irrelevant subjects or fields by (Kim 2011).
developing diverse expertise and passions
(like art and science), like earning degrees Refinement
from very different fields or experiencing sig- Connected ideas must be refined into a useful
nificant career changes. It is measured by the creation by elaborating, enriching, and
Extending/breaking boundaries subscale of the simplifying them. When refining ideas into their
13 checklists of Creative strengths, which has maximum usefulness, the perfect balance between
deceased since 1998. This indicates that indi- elaboration and simplicity is critical. The (1) per-
viduals are less able to think unconventionally sistent-elaboration, (2) imaginative-enrichment,
and connect the different/irrelevant subjects/ and (3) pursuit-of-simplicity skills are used for
fields (Kim 2011). refinement, which has decreased more than any
3. The pattern-finding skill is symbolizing com- other ION thinking skills (Kim 2011).
plex ideas, images, or data without losing the
essence or distorting facts. It finds patterns 1. The persistent-elaboration skill is necessary to
by disregarding irrelevant or superficial work out the details, explain, expand, enrich,
information and bringing essential elements and complete the lengthy transformation stage.
or attributes forward. It is measured by both The persistent-elaboration skill is measured by
of the Synthesis of lines/circles and Synthesis the Elaboration subscale, which has decreased
of incomplete figures subscales of the the earliest, starting in 1984, indicating that
individuals are less able to persistently elabo- 2. Developing a creation’s name or title that
rate ideas. Imagining a story is different than grabs others’ attention is a necessary skill for
writing the story; creativity is more than just promotion so that the audience can remember
coming up with an idea and requires the dili- and convey it to others. The naming skill is
gent and persistent attitudes to produce a final measured by the Expressiveness of titles
product (Kim 2011). subscale, which has decreased since 1998
2. After elaborating the synthesized ideas with (Kim 2011).
details, the imaginative-enrichment skill is 3. Developing a skill to craft and share compel-
necessary to improve or magnify uniqueness ling and interesting stories is necessary for
of the idea or the creation by experimenting promotion. The audience remembers story-
with unexpected variations. Based on others’ telling better and longer than factual lists.
perspectives or criticism, further refinement Storytelling communicates simpler and is
is made to make a good creation better. The more persuasive by appealing to emotions
imaginative-enrichment skill is measured and creating mental images for the audience,
by the Richness of imagery subscale of the which show instead of explain. The storytell-
Creative strengths, which has decreased since ing skill is measured by the Storytelling artic-
1998 (Kim 2011). ulateness subscale, which has decreased since
3. The pursuit-of-simplicity skill is to transform 1998 (Kim 2011).
complexity into simplicity by a thorough
understanding of a complex and removing
distracting or unessential elements to make Root of the Creativity Crisis
the essence useful to others. The pursuit-of-
simplicity skill is measured by the Abstract- Humans are innately inventive; therefore, external
ness of titles subscale, which has decreased factors have led to the decline in creativity, but
since 1998 (Kim 2011). there is not a single or transparent cause for it
(Kim 2011). Examining the history of the United
States suggests a slow society-wide evolution
Promotion
from a revolutionary to a circumspect mindset.
The creation must be promoted in the right place
Early immigrants of the United States gambled
at the right time. The right place is one that is
their lives in hopes of a better future. They left
receptive to their creation – often big multicultural
behind everything they knew including the stabil-
cities, which value nonconformity and accept out-
ity of friends and family. America attracted people
siders from diverse nationalities, ethnicities, reli-
from all over the world, and despite their different
gions, and sexual orientations. Being in these
beliefs, values, and languages, they shared the
cities increases the likelihood of successful pro-
characteristics of creative individuals such as
motion. Promotion skills have decreased, which
hope and risk-taking. These commonalities fur-
include (1) persuasion, (2) naming, and (3) story-
thered their creativity by being open-minded and
telling, in addition to the use of metaphor and
flexible in their thinking. America was a true
nonverbal communication, such as visualizing
melting pot of cultures, and this multicultural
and using the five senses and body movement
tolerance laid the foundation for the governing
(Kim 2011).
documents created by the founding innovators
(including women), the first innovators of the
1. Articulating features and benefits of a creation United States. These innovators established a gov-
is necessary for promotion so that the audience ernment for the country that was economically
can understand, accept, and desire the creation. ambitious and innovative. The young country
The persuasion skill is measured by the Story- was framed according to characteristics found in
telling articulateness subscale, which has creative individuals including diversity, curiosity,
decreased since 1998 (Kim 2011). risk-taking, and nonconformity (Kim 2016).
The Cold War of the 1950s fueled intense global student achievement through standardized testing
competition leading the United States to funnel and enacts harsh sanctions when schools fail to
millions of dollars into their research and develop- meet federal objectives. Common Core has been
ment (R&D) department. This financial investment adopted by many states and is a one-size-
in research persisted until the mid-1980s and created fits-all curriculum. Teachers have been de-profes-
the perfect environment for creativity to flourish. sionalized, given scripted lesson plans have
The United States was marked by major scientific morphed into technicians that teach to a test. Cre-
and technological innovation during that 30-year ativity is something that cannot be measured
period. These government initiatives trickled down through a standardized test; therefore, schools D
to the education system which integrated an inquiry- have cultivated an education climate where crea-
based, student-centered curriculum. This type of tivity is not only not taught but stifled to meet the
school culture nurtured creativity in the youth of needs for these unauthentic assessments. Facing
the United States preparing future world innovators. intense pressure to achieve scores, teachers focus
The pendulum drastically swung the other way in solely on subjects that are tested. Disadvantaged
the mid-1980s as domestic and international anxiety students including those from low socioeconomic
plagued the American people. The United States status, limited English proficiency, and learning
suffered from a recession and technological disabled are even more at-risk because of the
advancements led to an even more competitive heavy testing. These students seldom receive
global economy. Asia emerged as a major threat to enrichment and spend more time receiving inter-
the United States’ superpower status. The advance- vention services to memorize information that it
ments of the twentieth century were possible tested. Intervention does not give the opportunity
because of this funding, and it inadvertently created for mastery, and instead of measuring growth or
entirely new industries and jobs for the American other strengths that make up the whole child,
people. However, in the mid-1980s, the United disadvantaged students are held to only the tested
States craved financial security, so it dramatically standards (Kim 2016).
decreased R&D funding; university and college
research funding also dwindled; and the US inven-
tors’ patents decreased 8%, while foreign inventors’ Conclusions and Future Directions
increased (Kim 2016).
The threat of Asia led the United States Solving future problems that cannot be answered
to examine Asian-American students. Asian- with conventional solutions require individuals to
American students were outscoring and out- be creative, but it is not a valued science at home
achieving American students in reading, or in the school systems, creating a real threat
mathematics, and science compared to the to the future of the world. The creative thinking
Caucasian peers. More Asian-Americans students skills are necessary for the success of unknown
were going to college, getting more advanced future dilemmas. Moreover, the world has experi-
degrees, and were getting better jobs. The United enced an unprecedented amount change in the
States decided to emulate the Asian education past two decades (Bryson 2011) making the need
system, which led to four major educational for creativity even more dire. Increased globaliza-
reforms starting with National Education tion has led to a more interconnected and complex
Standards (1997), No Child Left Behind (2001), society which has compounded the need for crea-
Common Core, and Race to the Top. These tive thinkers (Kim 2011). Change is inevitable and
reforms were based on Asia’s standardized curric- rarely predictable, and creative action is required
ulum that measures student achievement through (Fullan 2002). If American climates become con-
standardized testing. Asia has moved away from tinually antagonistic to creative expression, crea-
this education format, and the United States has tive attitudes will diminish, creative thinking
fully embraced it. Currently, the United States skills will diminish, and creative potential will
education system relies heavily on measuring be completely lost. Creativity can be taught and
734 Defense Technology
nurtured, and displaying creative attitudes and

thinking skills requires an encouraging creative Democracy
climate. To reverse the creativity crisis, cultivating
creative climates is the first step of the CATs (Kim ▶ Areas of Innovation in Arts: Innovation and
2016) for innovation. Where to Look for It
Cross-References
▶ Innovations in Presidential Elections: The
United States, France, and Austria in Comparison
▶ Social Design
Climates
Process (ACP)
Democracy 5.0
▶ Creative, or A Behavior Problem?
References
Democracy of Knowledge
Bryson JM. Strategic planning for public and nonprofit
organizations: a guide to strengthening and sustaining ▶ Mode 3 Knowledge Production in Quadruple
organizational achievement. Wiley: San Francisco, Helix Innovation Systems: Quintuple Helix and
CA; 2011. Social Ecology
Flynn JR. The mean IQ of Americans-Massive gains 1932
to 1978. Psychol Bull. 1984;95:29–51. ▶ Social Ecology and Quintuple Helix Innovation
Flynn JR. What is intelligence?: beyond the Flynn effect. Systems
Cambridge, UK: Cambridge University Press; 2007.
Fullan M. The change. Educ Leadersh. 2002;59(8):16–20.
Kim KH. Can only intelligent people be creative? A meta-
analysis. J Second Gift Educ. 2005;16:57–66.
Kim KH. Can we trust creativity tests? A review of the Democracy Theory
Torrance Tests of Creative Thinking (TTCT). Creat Res
J. 2006;18:3–14. ▶ Future Innovations in Next Centuries
Kim KH. The creativity crisis: the decrease in creative
thinking scores on the Torrance Tests of Creative
Thinking. Creat Res J. 2011;23(4):285–95.
American innovation. Prometheus Books: Amherst, Democracy, Theory
New York; 2016.
Kim KH. The Torrance Tests of Creative Thinking Figural
or Verbal: Which one should we use? Creativity: The- ▶ Quality of Democracy and Innovation
ories-Research-Applications, 2017;4:302–321.
Democratic Development
Defense Technology
▶ Reforms and Innovations of Democratic Sys-
▶ Innovation in Defense Technologies tems and the Importance of Political Control
Developing Radical Inventions 735
Democratic Innovation Design Education
▶ Future Innovations in Next Centuries ▶ Applied Design Thinking Lab and Creative
▶ Quality of Democracy and Innovation Empowering of Interdisciplinary Teams
▶ Creativity Training in Design Education
Democratic Reforms D
Design Process
▶ Innovation and Democracy
▶ Creativity from Design and Innovation
Perspectives
Democratization

Design Thinking
▶ Innovation in Business: Six Honest Questions

Democratizing Innovation

Developing Countries
▶ Microfirms
▶ Social Design
Developing Radical
Inventions
Denotational Mathematics
Wilfred Schoenmakers1 and Geert Duysters2
1
▶ In Search of Cognitive Foundations of Management Studies Group, Wageningen
Creativity University and Research Centre, Wageningen,
The Netherlands
2
Brabant Center of Entrepreneurship, Eindhoven
University of Technology and Tilburg University,
Departure Eindhoven, The Netherlands
▶ Product Innovation, Process Innovation

Introduction
Inventions lie at the heart of technological pro-

Design gress of companies and of economic development
in general. The word “invention” is however a
▶ Creativity in Puzzles, Inventions, and Designs: very broad concept covering an extensive spec-
The Sudden Mental Insight Phenomenon trum ranging from simple, incremental inventions
▶ Social Design to pathbreaking radical inventions. Incremental
736 Developing Radical Inventions
inventions are mere adjustments to existing prod- organizations, it is important to better understand
ucts or technology. They typically have limited the building blocks of radical inventions, for this
impact on the technological paradigm. Radical can help them in making sound decisions for the
inventions on the other hand are in general seen creation of new knowledge in either concentrating
as being a clear deviation away from the current their efforts on internal development for the devel-
technological paradigm (Hage 1980; Nelson and opment of an original piece of new knowledge or
Winter 1982), making their impact on technolog- to focus on external knowledge in their search for
ical progress and economic development more “neue kombinationen” (Schumpeter 1939) via
prominent. This results in radical inventions strategic alliances or partnerships based on
often being responsible for the creation of new “open innovation.” From the perspective of soci-
technological systems and sometimes even new ety as a whole, the importance of understanding
industries. Radical inventions can thus be consid- the origins of radical inventions is in the prospec-
ered a vital basis for a sequence of subsequent tive influence of radical inventions on the creation
developments around this original invention of new technological paradigms or even new
(Mokyr 1990). industries.
In the past, many theoretical discussions have
focused on the effect of radical inventions (e.g.,
Ahuja and Lampert 2001; Rosenkopf and Nerkar How Radical Inventions Are Built
2001; Dahlin and Behrens 2005; Tellis et al.
2009). Unfortunately, only very few studies have Different publications up till now have stressed
so far been undertaken to uncover the nature of the importance of radical inventions (e.g., Ahuja
radical inventions. Large-scale empirical investi- and Lampert 2001; Rosenkopf and Nerkar 2001;
gations into the technological origin of radical Dahlin and Behrens 2005). Among scholars and
inventions are meager if not absent. The few stud- practitioners alike, there is clear agreement on the
ies that can be found concentrate on the positive influence of radical inventions on tech-
Schumpeterian role of company size in the crea- nological, industrial, and societal change. The
tion of radical inventions and innovations. The influence of these inventions on the economy as
concluding empirical results of the different stud- a whole or on company performance has been
ies remain however divers (Scherer 1991). Others extensively investigated in different studies.
studies have looked at the influence of organiza- Research into the nature of radical inventions
tional aspects on the development of radical themselves is on the other hand rather sparse.
inventions (for an overview see Chandy and Tellis Except for a few distinguished exceptions (e.g.,
1998). A study by Schoenmakers and Duysters Ahuja and Lampert 2001) few studies have been
(2010) argues that it is crucial to understand the directed toward the technical content of radical
specific technological features that influence the inventions. Most studies focus on the concept of
development of radical inventions. This thus innovation, rather than invention. For a definition
means that this study is not focusing on the market of a radical invention, the paper by Schoenmakers
success of an invention, as is commonly the case and Duysters (2010) turns to the article of Ahuja
in many existing studies. Instead, it centers its and Lampert (2001) where they define radical or
attention on the technological origins of radical breakthrough inventions as “those foundational
inventions. They thus do not focus on the regu- inventions that serve as the basis for many subse-
larly used concept of innovation but instead focus quent technical developments” (Ahuja and
on the invention itself. They particularly focus on Lampert 2001, p. 523). Ahuja and Lampert thus
the classical discussion whether radical inventions clearly focus on the technical content of an inven-
are seen as following from a recombination of tion. Inventions are thus not considered radical
existing knowledge (Schumpeter 1939; Fleming from a user or market point of view but rather
2001; Nerkar 2003) or whether they are based on from their technological importance. Further-
totally new knowledge (Poel 2003). For more, they also postulate that radical inventions
are inventions that function as a basis of knowl- that in fact it is the recombination of already
edge for many successive inventions. According existing knowledge which is the ultimate source
to their definition, the technological content of of novelty (Fleming 2001; Nerkar 2003). In the
radical inventions thus serves as input for many late 1930s, even Schumpeter (1939) considered
succeeding inventions (see also Trajtenberg invention as coming from new combinations or
1990a, b). In the research by Dahlin and Behrens “neue kombinationen” (Schumpeter 1934,
(2005), they deem technologies as radical when pp. 65–66). Nelson and Winter (1982, p. 130)
they are novel, unique, and have an impact on stress “. . .that invention in the economic
future technology. They also consider inventions system. . .consists to a substantial extent of a D
as radical if they are constructed of already recombination of conceptual and physical mate-
existing but beforehand-unconnected knowledge rials that were previously in existence.” Even a
(Hargadon 2003). It is thus not only the individual simple realignment of already existing compo-
component of knowledge that can be novel in nents can, according to Henderson and Clark
their definition but also the new combination of (1990), be a main cause of destabilization in key
existing components. Dahlin and Behrens (2005) industries. Also Hargadon and Sutton (1997) have
also, just as Ahuja and Lampert (2001), focus on shown how firms can create novelty by simply
the impact of radical inventions on future technol- being a technology broker and in that way bring-
ogy. Also in the definition of Dahlin and Behrens ing together already existing components. In
(2005), radical inventions are those inventions Fleming’s words: “. . .an invention can be defined
with a relatively large impact on future inventions. as either a new combination of components or a
Inventions are thus seen as being radical if com- new relationship between previously combined
paratively many succeeding inventions use its components” (Fleming 2001). Furthermore,
knowledge. This means that the impact of an according to Hargadon (2003) radical inventions
invention on succeeding inventions can be con- are only seldom based on totally new knowledge.
sidered a proxy for radicalness. All inventions that Radical inventions quite often are developed from
serve as an important precursor for later inven- a recombination of already existing knowledge.
tions are said to be considered as radical inven- “When . . . connections are made, existing ideas
tions. Schoenmakers and Duysters (2010) often appear new and creative” (Hargadon and
therefore use the impact of inventions on succes- Sutton 1997, p. 716). Very important in this
sive inventions as an estimate for the radicalness respect is the recombination of beforehand-
of that invention. They focus their attention solely unconnected knowledge or unconnected knowl-
on technological inventions. edge domains (Hargadon 2003). All these
When thinking of radical inventions, many researchers have in common that they believe
people still believe that they come about by the that radical inventions are brought about by pre-
single genius of some lone inventor who, after dominantly a recombination of existing knowl-
many years of solitary research, finally has his/her edge or the discovery of a new context for
moment of glory. Even though this lone inventor already existing knowledge (Poel 2003).
still exists up till now (Dahlin et al. 2004), in On the other hand, a number of researchers still
today’s fast changing and complex technological would argue that a radical invention is predomi-
field, the lone inventor is rather the exception than nantly based on truly novel knowledge and thus
the rule (Hargadon 2003). Nowadays inventions, goes beyond simple recombination, irrespective
and especially radical inventions, come about of a few examples of inventions based on the
mostly from the joint effort of a team of experts recombination of existing knowledge or a new
with expertise on different technological fields. context for existing knowledge.
Also many practitioners and researchers alike So is it completely new knowledge, or a
think that radical inventions are always based on recombination of existing knowledge, that is the
completely new knowledge (Poel 2003). There is main cause of radical inventions? Up till now, this
however a vast range of literature which proposes has largely remained a theoretical discussion.
Large-scale empirical evidence was up till now relative to more recently developed and less tested”
not available. Even though both views are possi- technologies (Ahuja and Lampert 2001, p. 527);
ble, and also observable, radical inventions origi- they were usually also tested and used in many
nating from two basic sources, the recombination diverse situations. Especially incumbent firms will
of existing knowledge as well as from the creation favor mature technologies to emerging technolo-
of truly novel knowledge, recent research found gies since they are usually more familiar with these
that recombination is more important for radical technologies. They also have more knowledge of
inventions than truly novel knowledge the possibilities and the limitations of these tech-
(Schoenmakers and Duysters 2010). nologies. The results of emerging technologies are
If, as follows from the research by Schoenmakers thus much more uncertain. Via R&D, firms devote
and Duysters (2010), radical inventions are for effort into building up absorptive capacity in their
a substantial part based on already existing but organization. Absorptive capacity is quite often
beforehand-unconnected knowledge, then the path dependent and is also corresponding to a
question becomes: What specific recombination firm’s earlier research. For this reason, firms will
of what kind of existing knowledge will usually thus have more difficulty with absorbing emerging
lead to the development of radical inventions? technologies. Firms can speed up their innovation
For example, existing knowledge typically process by using their absorptive capacity through
comes about in, broadly speaking, two different focusing on existing technologies. Using emerging
forms: mature knowledge and emergent knowl- technologies is often difficult because of experi-
edge. The recombination of existing knowledge mentation costs and in the beginning a limited
can thus be based on the one hand on mature output. Firms will have to go through an extensive
knowledge, or on emerging knowledge, or on a learning curve to get a full understanding of the
combination of mature and emerging knowl- new technology, without having the guarantee that
edge. Currently, there is a discussion among this new technology will eventually deliver any-
researchers about the significance of both thing valuable. Firms might also have to train their
forms of technologies (Ahuja and Lampert employees in how to work with this new technol-
2001; Nerkar 2003). Emerging technologies ogy or they might even have to change company
are technologies that are relatively new and routines or company practices, something which is
which are considered to be cutting-edge tech- not easily accomplished and will certainly involve
nology (Ahuja and Lampert 2001). Therefore, considerable costs for the company (Nelson and
emerging technologies offer numerous possibil- Winter 1982). So while emerging technologies
ities for developing new technologies via offer many possibilities, they might also create
recombination. Emerging technologies have the many significant difficulties. In spite of these diffi-
possibility to offer firms important new knowl- culties of the use of emerging technologies,
edge components that also aid them in the research by Schoenmakers and Duysters (2010)
advancement of radical inventions (Ahuja and shows that firms also need emergent knowledge
Lampert 2001). A problem with emerging tech- for the production of radical inventions. Mature
nologies however is that firms often do not yet technologies are vital, but there is an increasing
have the complete comprehension of the tech- agreement that emergent technologies are also
nology. This deeper understanding is however very important, especially for radical inventions.
vital for the development of radical inventions. Radical inventions are thus, as compared to non-
Therefore, firms that are used to relying too radical inventions, to a higher degree based on
much on emerging technologies will very emergent technologies.
often have problems with seeing the full poten- Notwithstanding this expected positive correla-
tial of this new knowledge for the development tion between emergent technologies and radical
of future technologies (Nerkar 2003). On the inventions, emergent technologies have their draw-
other hand, mature technologies “are usually back too for the development of radical inventions.
well understood and offer greater reliability If firms, with their research, only focus on
emergent technologies, then this will lead to new process, companies often experience bounded
knowledge but only to knowledge with a limited rationality and build their new knowledge on a
impact on coming technologies. If firms however limited subset of the total available knowledge set.
focus too much on mature knowledge, then this Granstrand et al. (1997) found that the technolog-
might lead to only incremental inventions (Nerkar ical competencies of large firms are heavily
2003). The possibilities for mature technologies to depending upon their past competencies and that
deliver radical inventions are limited. The full these competencies are fairly stable over the years
potential of mature knowledge might however on (Granstrand et al. 1997, p. 13). Knowledge is thus
the other hand not be fully used because this “imperfectly shared over time and across people, D
knowledge might not be publicly known or it was organizations, and industries” (Hargadon and
not useable at the time of its development due to Sutton 1997, p. 716). This could very well pro-
lack of the development of complementary knowl- duce the development of “core rigidities”
edge, institutions, or standards that are required to (Leonard-Barton 1995) and the appearance of
use this piece of knowledge to its full potential “competency traps” (Levitt and March 1988).
(Nerkar 2003). When this complementary knowl- Firms experiencing these kinds of traps will have
edge is eventually developed and combined with difficulty developing radical inventions. Firms
the mature knowledge from the firm, this can make that rely for instance more on their past knowl-
the development of new inventions possible. Since edge produce more inventions, but these inven-
mature technologies, as compared to emerging tions will be less relevant (Sorensen and Stuart
technologies, are usually well comprehended, the 2000).
combination of mature and emerging technologies Research by Granstrand et al. (1997), Patel and
could offer ample possibilities for the development Pavitt (1997), and Brusoni et al. (2001) shows that
of radical inventions. This would also make the full a firm’s product portfolio is usually smaller than
use of mature knowledge possible. This combina- its technological portfolio. An explanation for this
tion of mature and emerging knowledge was also observed trend might be that firms need to look
found in the research of Schoenmakers and for valuable technologies being developed outside
Duysters (2010) to be very important for the devel- of their core technological field of expertise in
opment of radical inventions. So not only is emer- order to be able to make use of new technological
gent knowledge important for the development of possibilities that this new knowledge eventually
radical inventions, so is also the combination of might deliver (Granstrand et al. 1997). Innovating
mature and emerging knowledge. Radical inven- firms thus need to focus on a broader technolog-
tions are thus, more than nonradical inventions, ical field, which would imply that also for
based on a combination of mature and emergent the development of radical inventions a broader
technologies. technological scope is necessary. This then
However valuable the combining of mature also implies that a radical invention is not
and emerging knowledge might be, many firms only the basis of many subsequent inventions
have a tendency to look for new knowledge (Trajtenberg 1990b) but also itself based upon
locally, not only within their current technological more knowledge bases compared to incremental
field of expertise (Stuart and Podolny 1996) but inventions (Rosenkopf and Nerkar 2001). This
also within the similar geographical area as where does not refer to the number of individual pieces
they are operating (Verspagen and Schoenmakers of knowledge but refers instead to the diversity in
2004). Different reasons are found to explain this the knowledge bases or knowledge domains
phenomenon, like for instance: overreliance on where an invention is based upon. Therefore, it
existing company routines; employee experience can be expected that radical inventions make use
lock-in effects or rigid company structures. Fur- of knowledge coming from a larger pool of
thermore, firms tend to value the convenience of knowledge than nonradical inventions, something
technological and geographic proximity in their that also follows from the research of
search process. Because of this restrictive search Schoenmakers and Duysters (2010).
Conclusion and Future Directions Chandy RK, Tellis G. Organizing for radical product inno-
vation: the overlooked role of willingness to cannibal-
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on the recombination of before unconnected radical? Defining and measuring technological radical-
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weekend hobbyists: technical merit and success of
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Dialogical Critical Thinking in Children: Developmental Process 741
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▶ Creativity Machine ® Paradigm
Development
▶ Areas of Innovation in Arts: Innovation and Dialectical Inquiry

▶ Communicating Invention, Creativity, Innova- ▶ Model of Dialectical Learning
▶ Innovation and Evolution of Parliamentary
Inquiries Dialogical Critical Thinking in
▶ Quality of Democracy and Innovation Children: Developmental
▶ Social Design Process
Marie-France Daniel1 and Mathieu Gagnon2

1
Département de kinésiologie, Université de
Montréal, Montréal, QC, Canada
Development Economics 2
Université de Sherbrooke,
Sherbrooke, QC, Canada
▶ From Personal to Impersonal Exchange in Ideas
Synonyms
Development Policy Complex thinking; Evaluative thinking; Higher-

order thinking; Reflexive thinking
Origins of the Concept of Critical

Thinking
Device for the Autonomous Critical thinking is strongly related to formal

Bootstrapping of Unified logic. Since Aristotle, the rules of formal logic
Sentience (DABUS) have been considered as the most refined instru-
ment for developing human thinking. It is only
▶ Creativity Machine ® Paradigm at the end of the nineteenth century, with the
742 Dialogical Critical Thinking in Children: Developmental Process
pragmatists and especially with Charles Sanders identify conclusions, reasons, and hypotheses;
Peirce, that logic lost some of its formality to to appreciate the quality of an argument; to
become applied logic. With John Dewey, logic develop and defend a point of view; to ask rele-
became “reflexive thinking.” Logical thinking vant clarifying questions; to search for reasons;
therefore became a social instrument to help indi- to draw conclusions that are credible and
viduals solve scientific, social, or personal prob- viable, etc. In sum, critical thinking is reflective
lems. Starting in the mid-twentieth century, thinking focused on what is to be believed or
following along the lines laid out in the ideas accomplished. In this definition, the term “reflec-
of American pragmatists, the concept of critical tive thinking” refers to the awareness that is
thinking was put forth, in particular by philoso- manifested in the search for, or the use of, valid
pher Robert Ennis. Since then, the concept reasons; the term “focused” implies a non-
has exerted influence on Education Sciences, accidental intellectual activity, in other words, an
Medical Sciences, Engineering, Psychology, activity based on reasons and consciously focused
etc. Philosophers have something of a tendency on a goal; and the phrase “regarding what is to be
to emphasize the reasoning component in critical believed or accomplished” indicates that critical
thinking, while recent works in Psychology and thinking can evaluate statements and beliefs as
Psychopedagogy tend to emphasize the problem- well as actions (Norris and Ennis 1989). To assess
solving component or its inquiry process. There is learning of critical thinking, Ennis designed tests
no consensual definition of critical thinking, but it centered on learning formal and informal
is generally recognized as a type of thinking that logic. These tests are essentially intended for
“doubts methodically” (Foulquié 1982), as it is college and university students.
the “examination of a principle or a fact, for the
purpose of making an appreciative judgment of
this principle or fact” (Lalande 1991). Critical Thinking According to Matthew
If Ennis’ definition of critical thinking outlined Lipman
the path for further development of the concept,
Lipman’s definition offers complementary as- According to Lipman, critical thinking represents
pects. Also, Lipman is the originator of the a tool to counter nonreflective thinking and
Philosophy for Children (P4C) approach, and actions. Individuals need critical thinking to help
P4C is the context in which the model of the them think well and evaluate, among all the infor-
developmental process of dialogical critical think- mation received, the most relevant in accordance
ing emerged. with the objectives they pursue. In contrast to
current definitions of critical thinking, which
limit critical thinking to its products, Lipman
Critical Thinking According to Robert looks into the components that structure the
Ennis processes as well as the results, in particular into
the notions of “research” and “good judgment,”
In 1962, Ennis defined critical thinking as logical that is, judgment that can take into account all the
thinking characterized by complex cognitive elements of a problem as well as the inquiry steps
skills. Then he adjusted his definition to include to which it leads. In this sense, critical thinking
the influence of creative thinking and predisposi- aims at judgment, is governed by criteria, is self-
tions (1991, 1993). Creativity presupposes skills correcting, and is sensitive to context (Lipman
such as inventing, associating, suggesting alterna- 1988, 1991, 2003).
tives, making analogies, formulating hypotheses, Although Lipman considers that there is conti-
etc. And, by predispositions, Ennis refers to nuity between critical and creative thinking, as
attitudes such as being curious, strategic, rigorous, they permeate each other in the formation of
etc. To Ennis, thinking in a critical manner implies judgments, he also points out the discontinuity
the ability to judge the credibility of sources; to between these two forms of cognitive processing.
Critical thinking involves reasoning and critical individuals who are mature and already capable
judgment, and it looks for truth, while creative of complex thinking. Instead, philosophy is
thinking involves artistry, craft, and creative defined as a means toward sensitizing children to
judgment, and it looks for meaning. Creative instances of ambiguity and vagueness, while
judgments are not logical inferences; they are strengthening their questioning, reasoning, and
personal and unique responses to situations. dialogical skills so as to enable them to cope
Following Peirce, Lipman considers creative with the perplexing aspects of daily situations.
thinking as “ampliative reasoning” in that it goes P4C is an approach put forward by Lipman in
beyond the given and extends the thinking pro- the 1970s; it is now implemented in about D
cess. Generalizations, hypotheses, analogical and 50 countries, and its curriculum has been trans-
metaphorical reasoning, and so on are instances of lated into at least 20 languages. The curriculum
ampliative reasoning or creative thinking. Lipman includes novels for pupils aged 6–15 years old
defines creative thinking as thinking that is and manuals to help teachers facilitating the
sensitive to criteria, is self-transcending, and is philosophical exchanges among pupils. To facili-
governed by context. tate philosophical sessions, Lipman and his
This discontinuity between critical and crea- colleagues propose the following three steps:
tive thinking leads Lipman to emphasize the con- reading, collecting pupils’ questions, and dia-
cept of higher-order thinking. Higher-order logue within a community of inquiry (Lipman
thinking presupposes complex thinking – which et al. 1980).
is more complex than critical thinking alone; it Reading. Pupils read a chapter from a philo-
involves both critical and creative thinking. sophical novel out loud, taking turns. This activity
Later on, Lipman also added caring thinking, is important as marker of cooperation among
which means valuing, appreciating, and focusing peers and active participation in the P4C sessions.
on what is respectable, valuable, and meaningful. The novels are said to be philosophical because
Moreover, to Lipman, complex thinking is they are based on concepts issuing from different
concerned with both procedural and substantive areas of philosophy (logic, ethics, aesthetics,
considerations, aims at resolution of problematic politics, etc.). Yet the philosophical concepts are
situations, is metacognitive (thinking that is aware meaningful to pupils, as they are presented in
of its assumptions, methodology, procedures, narrative form, in the first person (the voice from
perspectives, as well as being conscious of the within vs. the voice of authority) and in ordinary
implications, the reasons, and evidence that sup- language; they are associated with real-life expe-
port the conclusions), and is sensitive to context riences (adventures and romance). Furthermore,
and to others. the novels, due to the progression of logical
How can complex thinking be fostered in concepts as a spiral, are likely to contribute to
pupils? His Deweyan and Vygotskyan influences creating a schema in pupils’ mind. A schema
lead Lipman to maintain that complex thinking pertaining to a concept corresponds to the mean-
increases in sophistication in the context of peer ings of that concept.
interactions and, more precisely, in the Collecting pupils’ questions. After reading the
context of philosophical dialogue within a com- chapter, the pupils are invited to formulate ques-
munity of inquiry – elements that constitute the tions that intrigue them and which they would like
essence of the educational approach he conceived, to discuss. This second step presupposes that they
the P4C. put sufficient effort into comprehending the text to
question the situations described. Comprehension
requires not only a knowledge of words but also a
Philosophy for Children global understanding of the text and of the con-
text. This step encourages pupils to embark on
In the P4C approach, philosophy does not refer to a process of inquiry. Fostering pupils’ questioning
a transmission of intellectual knowledge to is a pedagogical objective that is not always
valued in traditional pedagogy, in which the dialogue involving complex thinking skills and
power and the right to ask questions usually attitudes but also an increasing sophistication of
belong to teachers. However, learning to question pupils’ representations.
is fundamental, in that it stimulates critical and
creative thinking in pupils.
Engaging in dialogue within a community of A Model of the Developmental Process
peers. The third step in the Lipmanian approach is of Dialogical Critical Thinking
intended to provide youngsters with elements of
answers to the questions they formulated during The model of the developmental process of dia-
the previous step. To facilitate the inquiry, the logical critical thinking arose within the context of
teacher, using the manuals, asks follow-up ques- P4C. It first “emerged” (Daniel, 2018; Glaser &
tions such as: Why do you say so: can you justify Strauss 1967) from analyses of philosophical
your point of view? Who has a counterexample? exchanges among pupils aged 9–12 years who
What are the resemblances and distinctions were members of classes from Quebec, Mexico,
between x and y? and so on. and Australia (Daniel et al. 2005). The model was
A philosophical dialogue is more than a mere recently revisited in an experiment conducted
conversation. Its apprenticeship is a complex pro- with children aged 4–12 years in classes from
cess, moving from simple to more complex Quebec, Ontario, and France (Daniel, 2013;
exchanges – from anecdotal exchanges to mono- Daniel and Gagnon 2011, 2012). The above stud-
logical, noncritical dialogical, semicritical dialog- ies were subsidized by the Social Sciences and
ical, and critical dialogical exchanges (Daniel Humanities Research Council of Canada.
et al. 2002, 2005). Anecdotal exchange refers In this model, critical thinking is said to be
principally to an account of specific and personal “dialogical” because, within the context of P4C,
experiences with little or no consideration for the dialogue is the main stimulus for this type of
common question being addressed by the group. thinking. The components of dialogical critical
Monological exchange refers to a reflexive dis- thinking (DCT) differ from traditional definitions
cussion related to the common question addressed of critical thinking (rooted in formal logic and
by the group, but which follows its own course universal standards of rationality) in that DCT is
without being influenced by the divergent points defined by four thinking modes: logical, creative,
of view expressed by peers. Noncritical dialogi- responsible, and metacognitive.
cal exchange refers to an intersubjective type of Unlike other models of cognitive development,
exchange that is constructed in pyramid form the developmental process of DCT is not linear
based on peer interventions, where each point of nor hierarchical, but is recursive and manifests as
view contributes, in varying degrees, to enriching a “scaffolding” process, that is, the thinking
the group’s perspective. A noncritical dialogue gradually appropriates more complex representa-
remains simple as there is no evaluation of view- tions while keeping its anchoring in simpler
points. Semicritical dialogical exchange refers to representations. DCT development is rendered
an exchange that contains certain criticisms operational by means of epistemological perspec-
directed at peers, but these criticisms do not influ- tives, that is, it is transformed according to the
ence the pupils that receive them. Therefore, at the sophistication of the pupils’ meanings and repre-
end of the exchange, the initial perspective is sentations of the world, which can either focus
enriched but not modified. Finally, a critical dia- on the self (egocentricity), take into account
logical exchange is a type of exchange that is others’ points of view (relativism), be oriented
intersubjective and evaluative; therefore it is con- toward the improvement of the common good
stantly being transformed. The third step of P4C (intersubjectivity), and so on. The sophistication
strives toward this last type of exchange. of pupils’ meanings and representations underlies
The development of philosophical reflection two processes related to decentering (from the self
presupposes not only the development of critical to others and then to the common good) and to
abstraction (from concrete/particular to generali- “relational epistemology” (Thayer-Bacon 2003).

zation and then to abstraction/conceptualization) Finally, DCT is understood as a social research
(Daniel et al. 2011). The term “epistemological process (vs. an individual outcome).
perspective” refers to the manner in which mean- Table 1 presents the operational components of
ings and representations are constructed, no mat- the model of the developmental process of DCT,
ter what object is in question. Furthermore, these being the four thinking modes and six
epistemological perspective refers to the idea of epistemological perspectives.
D
Dialogical Critical Thinking in Children: Developmental Process, Table 1 Model of the developmental process of
dialogical critical thinking (Daniel and Gagnon 2011)
Modes/
epistemology Logical Creative Responsible Meta-cognitive
Egocentricity Statement based on Statement that gives Statement that is Retrospective
the perceptual meaning to a personal related to a personal statement about a
experience of a point of view and specific behavior personal and
specific and linked to a social or specific task, point
personal fact moral belief of view, feeling, etc.
Post- Statement based on Statement that gives Particular/concrete Retrospective
egocentricity experience (personal meaning to a personal statement linked to a statement about a
or of someone point of view (but moral or social rule personal task, point
close) + reasoning distanced from self) (learned) of view, feeling,
Not contextualized etc. (distanced from
self)
Pre-relativism Somewhat Statement that is new, Statement linked to a Descriptive
generalized divergent, or that somewhat generalized retrospective of a
statement that is not presents different action in a moral or personal task, point
justified or with an situations/solutions/ social perspective of view, feeling,
implicit, circular, or hypotheses (units) in etc. (distanced from
false justification relation to a personal self)
idea or to someone
else’s idea
Relativism Statement based on Relationship that gives Statement that Descriptive
a generalization that meaning to a peer’s expresses a will to retrospective of
stems from point of view understand/include another person’s
reasoning and (by completing it or others (from the task, thought,
experience adding a nuance or a immediate etc. (from the
Incomplete/concrete new relationship/ environment) with or immediate
justifications perspective) without appealing to environment)
an integrated moral/
social rule
Post-relativism/ Justification based Relationship that Statement that justifies Descriptive
pre- on “good reasons” presents a different a desire to understand/ retrospective of
intersubjectivity that stem from context that takes into include others (distant another person’s
simple reasoning account the group’s environment) with or task, thought,
perspective without the use of an etc. (distant
integrated moral/social environment)
rule
Intersubjectivity Justification based Evaluative relationship Doubt that underlies Evaluative
on criteria. that provides a different the evaluation of statement that
Conceptualization meaning and transforms categories (rules, expresses a change
based on simple the perspective principles, social/ in perspective
reasoning moral values) following the
integration of
criticism
Conceptualization Transformation Categorization Correction
The four thinking modes are defined as follows eventually represents the balance between the
(Daniel and Gagnon 2012). right to express oneself and the responsibility
to do so with sensitivity; it anchors evaluation
Logical: Logical thinking refers principally of facts, of points of view, and so on, in concern
to informal logic in which the main character- for others and eventually in concern for
istic is a search for coherence. Coherence is the common good. The main manifestations
observed in the articulation of language and the of thinking skills of the responsible mode
convergence of ideas. The logical mode is fun- that emerged from the transcripts – from the
damental to the developmental process of DCT simplest to the most complex – are statements,
because it allows congruity between the ques- descriptions, explanations, and evaluations
tion posed and the answer provided, between relating to a personal behavior, to group rules,
the statement and its justification, etc.; in its or to social/ethical values.
more complex manifestation, it implies rigor- Metacognitive: The metacognitive thinking mode
ous argumentation, that is, premises are justi- refers to awareness of a thought (“thinking
fied, analyzed, and evaluated in cooperation about thinking”) but also, in its simplest expres-
with peers. The main manifestations of think- sion, to awareness of a task completed, emotion
ing skills relating to logical thinking that experienced, point of view expressed, etc. The
emerged from the transcripts – from the sim- metacognitive mode is fundamental to the
plest to the most complex – are statements, increasing sophistication of DCT because it is
descriptions, explanations, definitions, justifi- the only mode that allows for retrospection that
cations, and argumentation. eventually leads to self-correction. The main
Creative: Creative thinking refers to a search for manifestations – from the simplest to the most
meaning, a contextualization of points of view, complex – are recalling (expressed in the form
and a transformation of perspectives. In its of a statement) a behavior, task, emotion, point
complex manifestations, this mode of thinking, of view, etc.; descriptions related to a task com-
because of the divergent relationships it pleted, emotion experienced, point of view
creates, is fundamental to the development of expressed, etc.; evaluations of a perspective, a
DCT. Indeed, creative thinking presupposes thought, etc. that lead to correction.
the formulation of questions that stimulate
doubts regarding the certainty of participants’ Each of the above thinking modes is dynamic
representations, and in so doing, it provides and is likely to reflect an epistemology that is
access to more complex resolutions of the more or less complex. For example, creative
problem and/or explorations of the question. thinking can be centered on particular and per-
The main manifestations that emerged from the sonal examples, or it can develop relationships
transcripts – from the simplest to the most with peers’ viewpoints, or transform the group’s
complex – are examples, analogies, compari- perspective by posing new questions or proposing
sons, counterexamples, nuances, divergent divergent relationships. The epistemological per-
relationships, and critical questions. spectives, as they emerged from the analyses, are
Responsible: Responsible thinking is more in line defined as follows (Daniel and Gagnon 2012):
with the Deweyan perspective of “moral think- Egocentricity: This is the perspective that
ing” in that it combines cognition (explanation, underlies the most simple meanings and represen-
evaluation, etc.) and emotion (empathy, sensi- tations. It implies certainty as well as dualistic and
tivity to others, etc.) in an interdependent rela- concrete representations of the world, which are
tionship. The responsible thinking mode is not influenced by divergent points of view. In this
related to reflections on social/moral beliefs, perspective, statements refer to the pupil’s specific
rules, actions, values, etc. From the perspective personal experience, are centered on simple units
of the development of DCT, the responsible (vs. relationships), are without nuance, and are
mode appears fundamental because it formulated in “I” form. Below is an example of
egocentricity as manifested in creative thinking, they want others to understand the meanings
as a personal example serves to justify a point of of their ideas; hence their statements are more
view and give it meaning. elaborate than in the previous perspectives, and
(Pupil of 9–10 years): (. . .) once I did something they include a justification explicitly articulated
nice and then there was a lottery at the day-care and (e.g., because. . .). Justifications are stated in the
I won a prize (. . .). form of concrete and/or incomplete explanations
with underlying simple relationships between
Post-egocentricity: This is also a perspective
points of view or contexts (vs. units that are inde-
characterized by concreteness and centering, but it
pendent from each other); justifications are still D
underlies a slight increase in sophistication of
grounded in experience, but with the beginnings
representations and meanings. Pupils’ statements
of generalization; they are generally formulated in
are somewhat decentered, referring to the specific
“you,” ‘we,” or generalized “they” form. Below is
experience of a pupil’s immediate environment
an example of relativism as manifested in creative
(e.g., family), centered on simple units, not justi-
thinking, as pupils agree with their peer’s view-
fied, and generally formulated in “we” form
point but add an element that complements the
(including self and others) or possessive “he/
peers’ viewpoint in order to further develop it.
she” form. Here are examples of post-
egocentricity as manifested in creative thinking. (Pupil of 9–10 years): I agree with F. I find it’s true
you have to take your responsibilities. Often parents
(Pupil of 5–6 years): Me too my dad he does the will want the child to have responsibilities to help
same. out in the house because when you’re a large family
(Pupil of 10–11 years): (. . .) for example my grand- you have a bigger house so everyone has to help out
father he died, for sure my friend he will understand and all that.
me.
Post-relativism/pre-intersubjectivity: This per-
Pre-relativism: In this perspective, representa-
spective illustrates the continuation of the process
tions and meanings start to become more sophis- of decentering and abstraction that began in the
ticated. Pupils describe their point of view to
previous perspectives. It implies that statements
peers. These points of view underlie the begin-
are generalized and show the beginnings of con-
nings of generalization but remain grounded ceptualization; they include a justification that is
in familiar surroundings or contexts. Statements
explicitly articulated, presented in the form of
are centered on units and generally formulated
a “good reason” (supposing an underlying infer-
with a general “we” or with a generalized “they.” ence rather than linked to a practical experience),
Below are examples of pre-relativism as
and related to peers’ points of view. Statements
manifested in creative thinking, as pupils add
imply the beginnings of a constructive evaluation.
a different viewpoint to the group’s perspective Below is an example of post-relativism/pre-
or present more than one side of a problem.
intersubjectivity as manifested in creative think-
(Pupil of 5–6 years): Babies they have brains like ing, as the pupil brings in a different perspective
humans (. . .) babies can think because they know which he justifies with a good reason that was not
they’re in their mother’s belly.
(Pupil of 7–8 years): Sometimes there are people on previously developed in the group.
boats who play at shoving each other and some- (Pupil of 10–11 years): Well I don’t really agree with
times someone gives a big shove and the other F (. . .) because children that participate to war
person can fall into the water. should be messengers and not carry fire arms (. . .)
because it is really dangerous. It just could be a
Relativism: This is an epistemological perspec- disadvantage if they die at a young age, but if they
tive that presupposes a rupture in the groups’ do not die, maybe 10 more children will die, or if
there are no children it will be adults. In both cases,
representations. Pupils seem to become aware
there are always dangers.
that the world is not so simple (good/bad, right/
wrong). They seem to be aware that others have Intersubjectivity: In this perspective, representa-
different beliefs, points of view, etc., as they listen tions and meanings are complex, as statements are
to others more actively. On the other hand, conceptualized and are presented in the form of
questioning or as a constructive evaluation of points presupposes the development of four thinking

of view, premises, etc., underlying a search for modes: logical, creative, responsible, and meta-
different meanings (vs. for a single truth) that cognitive. These thinking modes increase in com-
include argumentation expressed in negotiation plexity through the operation of six epistemological
form. Statements include justifications that are perspectives: egocentricity, post-egocentricity, pre-
explicitly articulated, are presented in the form of relativism, relativism, post-relativism/pre-intersub-
criteria (subjective or objective), are well developed jectivity, and intersubjectivity. As this definition
although not comprehensively, and are linked to emerged within the P4C context, further contribu-
peers’ points of view. Statements are centered on tions could be to explore its components with pupils
social or ethical concerns and sometimes explicitly who have no experience with P4C, that is, in other
include self-correction. Below is an example of school disciplines or in the context of informal
intersubjectivity as manifested in creative thinking, exchanges.
as pupils present evaluative relationships that con-
tribute to increasing the sophistication of, or even to
transforming, the group’s perspective. References
(Pupils of 11–12 years): Pupil 1: – If it’s about intel-
ligence, I think humans are at the top of the list. I think Daniel M-F. Relativism: a threshold for pupils to cross in
humans are the only ones that can do mathematics. order to become dialogical critical thinkers. Childhood
Humans invented English and mathematics. Math is Philos. 2013;9(17):43–62. http://periodicos.proped.
like another language we invented. We use it to under- pro.br/index.php/childhood/issue/view/64
stand things, to do the things we have to do well, to Daniel M-F. Grounded theory. A research method for
understand the reasons behind things. Like why the advancing the comprehension of P4C’s processes.
sky is blue and why can’t we float or fly. So we Childhood Philos. 2018;14(29):307–28. http://www.e-
invented mathematics to explain these things. But publicacoes.uerj.br/index.php/childhood/article/view/
animals, they just think “sky” and they don’t really 30423/22954
think, they don’t really think about the sky. Because Daniel M-F, Gagnon MA. developmental model of dialog-
they have, if for us eating and mating are an instinct, ical critical thinking in groups of pupils aged 4 to
for them it’s their principal instinct. (. . .) Pupil 2: – I 12 years. Creat Educ. 2011;2(5):418–28.
do not quite agree with what Pupil 1 said. Well, it does Daniel M-F, Gagnon M. Pupils’ age and philosophical
depend, because we invented maths and you can’t praxis: two factors that influence the development
blame them (animals) for not doing it (. . .) And people of critical thinking in children. Childhood Philos.
just think they’re dumb because they don’t know our 2012;8(15):105–130.
ways, but they probably think we’re dumb, if they do Daniel M-F, Splitter L, Slade C, Lafortune L, Pallascio R,
think. So I kind of, I don’t know. (. . .) And look at us, Mongeau P. Are the philosophical exchanges of pupils
we have massive holocausts over land and we kill aged 10 to 12 relativist or inter-subjective? Crit Creat
thousands of people but they’ll just have one old fight Think. 2002;10:1–19.
and then it’ll be over. I kind of think animals are Daniel M-F, Lafortune L, Pallascio R, Splitter L, Slade C,
smarter in their own way and we’re smarter than De la Garza T. Modeling the development process of
them in our own way. dialogical critical thinking in pupils aged 10 to
12 years. Commun Educ. 2005;54:334–54.
Daniel M-F, Pettier J-C, Auriac E. The incidence of
Conclusions and Future Directions philosophy on the discursive and language competencies
of pupils aged four years. Creat Educ. 2011;2:296–304.
Ennis R. Critical thinking: a streamlined conception. Teach
Dialogical critical thinking is a process of evaluating Philos. 1991;14(1):5–25.
an object of thought (whether concrete or abstract) in Ennis R. Critical thinking assessment. Theor Pract.
cooperation with a community of peers in an attempt 1993;32(3):179–86.
Foulquié P. Dictionnaire de la langue philosophique. Paris:
to reach meaningful representations of that object
Presses Universitaires de France; 1982.
that are more complex and valid than representations Glaser BG, Strauss AL. The discovery of grounded theory.
used at the beginning of the inquiry. Dialogical Strategies for qualitative research. Chicago: Aldine;
critical thinking is a developmental process that 1967.
Lalande A. Vocabulaire technique et critique de la philosophie.
manifests itself through cognitive skills and attitudes
Paris: Presses Universitaires de France; 1991.
that focus on conceptualization, transformation, cat- Lipman M. Critical thinking-what can it be? Educ
egorization, and (self-)correction. DCT therefore Leadersh. 1988;46:38–43.
Digital Economy and Business Creation 749
Lipman M. Thinking in education. Cambridge, MA: information treatment. It might be said that hard-
Cambridge University Press; 1991. ware is too physical to be discussed on a topic
Lipman M. Thinking in education. Cambridge, MA:
Cambridge University Press; 2003. about digital, but the software cannot be consid-
Lipman M, Sharp AM, Oscanyan FS. Philosophy in the ered without the hardware, and the hardware is of
classroom. Philadelphia: Temple University Press; no use without its software. As far as business
1980. creation is concerned, the computer industry has
Norris SP, Ennis RH. Evaluation of critical thinking.
Pacific Grove: Midwest Publications; 1989. led to the emergence of a huge industrial sector
Thayer-Bacon B. Relational “(e)pistemologies”. which continues to innovate. But, taking the
New York: Peter Lang; 2003. example of France, if 1.2 million jobs have been D
created by the Internet, the estimated number of
jobs destructed by this innovation is around
500,000 in this country. And regarding the infor-
Difference Between Rural and mation technology, the consequences may still be
Urban Creativity more equivocal: in matter of businesses, the pro-
cess of creative destruction is engaged and is
▶ Rural Creativity and Urban Creativity supposed to last long before a new equilibrium is
reached.
Digital Age A Case of Creative Destruction
▶ Preparing a “Creative Revolution”: Arts and The computer industry has gone through several
Universities of the Arts in the Creative Knowl- revolutions (mainframes, minicomputers, per-
edge Economy sonal computers, cloud computing) that led each
time to new businesses. This industry is very
emblematic of that process. Just include Micro-
soft, Apple, Google, and Facebook to illustrate the
Digital Economy outstanding capabilities of the computer industry
to generate start-ups that quickly become major
▶ Cyberentrepreneurship and Proximity global companies. New products, new devices,
Relationships and new software, since the times of mainframes
to the days of the Internet, have naturally involved
the creation of new businesses.
Schumpeter (1942) separates several types of
Digital Economy and Business innovations that lead to business creation. The
Creation innovations set up by the computer industry con-
sist mainly in the occurrence of new products.
Alain Philippe Batsale Mainframes, minicomputers, microcomputers,
University of Paris 12, Paris, France and smartphones have appeared over time, and
the list is not supposed to be closed. In the com-
puter industry, even software, which is also a kind
Synonyms of digital hardware, does not usually replace an
existing product and frequently establishes a new
Digitization; Information technology (IT) kind of good. On the contrary, regarding the infor-
mation treatment, it is rather a matter of new
Digital economy is the convergence of comput- process of production or more precisely of repro-
ing, communications, and contents. The two main duction. So the information treatment has driven a
components are computer industry and history more disturbed. The underlying process of
750 Digital Economy and Business Creation
digitizing leads to products of replacement more companies. This was done mainly through new
than real novelty. For instance, files of data instead products downsizing traditional ones. On this hard-
of books, records, or films. So the information ware side of the industry, the traditional laws of
treatment has generated a new way of reading industrial economics still apply generally, and the
books or the press, a new kind of films and evolution of the sector has been rather similar to the
unknown types of musical records, and, in general, one of other sectors.
a new way of transmitting information. The mate- The computer industry, on the software side,
riality of these products has changed drastically: no has known a slightly different trend which is also
more atoms, now, just bits. And this transformation the logic of information technology. In the real
involves definite economical consequences. sense, this is the digital economy which is based
So besides the problems of creative destruction on the very nature of digitizing. While the hard-
yielded by the emergence of new types of products ware side leads to new products and new busi-
in the computer industry, the proper nature of the nesses by downsizing, there is a large freedom in
information technology files of bits gives place to the price level for digital products which sharpens
new economics: the digital economy. The econom- the competition with traditional products, as it is
ical pattern of a file of bits as a digital product is the case for digital information goods. Since a
constant fixed costs and zero marginal costs (Varian digital product (generally a non-tangible public
2004), so it is difficult to apply the neoclassical good) lacks of physical constraints in reproduc-
principle of a price equal to the marginal cost of tion, its structure of costs (high fixed cost and low
production. This particular cost structure is the marginal cost) enables three specific pricing dis-
“baseline case” (Varian 2004) for information crimination strategies: market for one, with highly
goods, particularly for digitized ones, while it is personalized products; versioning, with different
rather unusual for physical products with capacity prices for different market segments; and selling
constraint in the production process. So, in digital at different prices to different groups of con-
economy, good compliance with the laws of eco- sumers. These strategies give to digital products
nomics may lead to sale prices close to zero or to a big competitive advantage over the (traditional)
free. The confrontation between the new digital physical ones, strengthen the process of creative
products and the old physical ones is therefore a destruction, and threaten seriously the old firms.
very conflictual meeting, and the development of In the beginning, the competitive advantage or
piracy is a big concern for firms implied in these the innovative product enables the creation of
markets. numerous firms. A lot of businesses are created,
as we have seen, for instance, about digital music
or social networks (information technology) or
New Businesses: Downsized Hardware around new devices as smartphones or tablets
and Digitalized Contents (computer industry) by the emergence of small
firms whose usual pattern is the start-up. This
The computer industry and the telecoms sector, on moment is followed by a standardization process
the hardware side, have known rather a traditional which organizes the industry. In the meantime,
evolution; based on hardware downsizing on size firms of the previous periods are mostly weakened.
and price, thanks to major innovations: transistor,
integrated circuits, and microprocessor. A train of
disruptive innovations (Christensen 1997) has gen- A Specific Process of Standardization
erated a large number of new businesses. The first
computer firms used to be large companies from the So another important feature of the digital economy,
mechanographical (IBM) or the electric/electronic inherited from the computer industry, is the speci-
sectors. The personal computer revolution and the ficity of its standardization process. It is proper to the
emergence of the Internet enabled lots of start-ups to information technology sector and influences deeply
emerge, some of them eventually becoming major the market structure, the number and the nature of
Digital Economy and Business Creation 751
the firms, and the way businesses are created all ones and stay almost alone on a market. More-
along the life cycle of products. This process was over, the victory of a winner product is still
developed by IBM with the 360 machine, and it strengthened by the network externalities yielded
combines openness and modularity. This kind of by the complementary products that other firms
routine, as the evolutionary economists might say, may find it profitable to produce in order to make
was verified for several products. use of the ecosystem created. The network exter-
The digital economy is a network economy nalities are also a way to set up new businesses.
regulated by what is called increasing returns of
adoption (Arthur 1989), which means the greater D
the number of costumers, the greater the utility of In the Search of a New Model: The
the product. The first period of the process of Protection of Contents
standardization is a time of trial and error during
which many businesses are created around prod- The total balance sheet between new firms and
ucts following different protocols not compatible businesses destructed by the development of the
with one another. There is a second period when digital economy is still difficult to set precisely,
one of these products is able to reach the status of especially concerning the digitization of contents.
standard, be it for quality reasons, market power Even if we can anticipate that the final figures will
reasons, agreement between firms, or whatever. If be positive, there is a deep concern about the
a business wants to survive, it has to join the classic media. The regulation may be made using
standard, when it is possible, or perish. A big the law, for instance, through property rights.
amount of the young firms that have been created The cost structure of digital products was first an
during the period of trial and error are supposed to issue with the development of the software industry.
disappear with the emergence of the standard. Large firms in the computer industry were converted
Then a third period begins, and the standard prod- experts in the management and use of property
uct may develop a kind of ecosystem and give rights to cope with the ease of copying software.
birth to a new set of businesses connected with This is even more accurate with the growing digiti-
that standard. The standardization process was zation of contents over the Internet. If Facebook
experienced for the IBM 360, the operating sys- creates a new kind of ecosystem, pieces of music
tems by Microsoft, the microprocessors by Intel, downloaded eliminate the use of a CD-ROM. Until
but also for the search engine by Google or a viable economic model is found, new businesses
(presumably) the social network by Facebook. will be set up for the lawyers as well.
Meanwhile, the firm that has set up the standard
becomes usually a global major company.
We can detect several economical leverages Conclusion and Future Directions
behind the standardization process (Varian
2004), for instance, the switching costs that affect The digital economy may create many businesses,
a customer who tries to change after having but many companies are threatened by the digiti-
adopted a product. Moving from one operating zation of the economy. This is the consequence of
system to another, from one social network to two processes. Firstly, inside the computing sector
another, and from one Internet Access Provider itself, on the hardware side, by the creation of new
(IAP) to another is not that easy and generates products, mainly by downsizing and secondly, as
significant costs. The switching costs and the a threat against the firms of other sectors, on the
increasing returns of adoption may cause a virtu- software side and with the information treatment,
ous circle in favor of a standard. There is also an by digitizing processes and contents.
economical concept which is called “lock-in” to Regarding the hardware aspect, the traditional
describe strategies used by firms to prevent cus- laws in economics still apply. For instance,
tomers to escape. These forces help a successful Apple succeed in managing several lines of prod-
product, a dominant design, to supplant the other ucts with an astonishing marketing, a very
752 Digital Transformation
efficient brand policy, and reduced costs of pro- References

duction made possible by overseas units of pro-
duction. The processes engaged for this Arthur WB. Competing technologies, increasing returns, and
lock-in by historical events. Econ J. 1989;99(394):116–31.
achievement are described by traditional indus-
Christensen CM. The innovator’s dilemma. Boston: Har-
trial economics. vard Business School Press; 1997.
On the software side, when the information is Schumpeter JA. Capitalism, socialism and democracy.
effectively digitized, this is the very domain of New York: Harper Collins; 1942/2008.
Varian HR. Competition and market power. In: Varian HR,
digital economy. There, the marginal cost is fre-
Farrell J, Shapiro C, editors. The economics of infor-
quently close to zero, the selling price is difficult mation technology. Cambridge: Cambridge University
to determine, and the virtuality of the digit seems Press; 2004. p. 1–47.
to have attacked the economical reality. Even the
price of firms seems to be affected, a young com-
pany which has not made any profit may value
billions of dollars; the rise of Apple’s market Digital Transformation
capitalization seems to have no ending. But,
with Hal Varian, we can consider that in the eco- ▶ Innovation Eats Transformation: Leading Inno-
nomics of information technology, the old princi- vation, Digital Transformation, and the Importance
ples still work remarkably well. Only, effects that of Culture
were not quite usual in the industrial economy,
network effects, switching costs, or differentiated
prices are the common law in digital economy. So
we need to focus on these peculiarities more than Digitalization
to change for a new economy.
What political and economical authorities must ▶ Innovation Eats Transformation: Leading Inno-
cope with is a traditional process of creative vation, Digital Transformation, and the Impor-
destruction, while this process is sharpened by tance of Culture
the extraordinary power of digitizing. The organi- ▶ The Innovation of Tax: Epistemic Tax Policy
zation of a new industrial paradigm has to be set and Online Tax Accounts (Artificial-Intelligence-
up. In the past, this process has always established Based Tax Accounts)
the grounds of a new era of prosperity. Why
would it be different this time?
Moreover, we can see a kind of new innovation
ecosystem around the Internet which can be com- Digitalization of Tax
pared with the mechanical one during the nine-
teenth century and what happened around the ▶ The Innovation of Tax: Epistemic Tax Policy
combustion engine in the beginning of the twen- and Online Tax Accounts (Artificial-Intelligence-
tieth century and the integrated circuit in the Based Tax Accounts)
1960s. These are examples of combinatorial inno-
vation which boosted the all economy and as it is
now question of bits and not atoms, at the speed of
light all around the world, the development of this Digitization
new paradigm may be very much faster than the
former ones. ▶ Digital Economy and Business Creation
Cross-References
Direct Legislation
▶ Business Creation
▶ Creative Destruction ▶ Innovations of Direct Democracy
Directed Evolution ® Technology 753
forecasting. Unlike traditional technological fore-

Direct Say casting, it is based on utilization of predetermined
patterns offering new directions together with
▶ Innovations of Direct Democracy proven ways how they could be realized. However,
while providing valuable insight on the nature of the
next generations of the given systems, TRIZ fore-
Directed Evolution ® casting could not provide reliable answers when
Technology these new generations would come to existence.
The Directed Evolution (DE) technology was D
Boris Zlotin and Alla Zusman introduced in the early 1990s by Ideation Interna-
Ideation International Inc., Farmington Hills, MI, tional’s research group as a proactive approach to the
USA evolution of technology. Instead of making a predic-
tion and waiting for it to be confirmed, the DE
Synonyms process uses numerous patterns and lines of evolu-
tion for the purpose of identifying possible scenarios,
Guided evolution; TRIZ forecasting selecting the most promising ones, then building a
road map and planning the process of implementa-
tion. In other words, DE is a method to predict future
Definition generation of a system by inventing it. To date, DE
can be applied to various aspects of human life,
Directed Evolution® is a technology involving sys- including product and process development, evolu-
tematic processes for building a sustained competition of technologies, markets, organizational devel-
tive advantage through the effective management of opment, and more. Later, significant progress has
the evolution of various artificial (man-made) sys- been made with the introduction of Directed Evolu-
tems by utilizing evolutionary patterns for technol- tion® software, which incorporated powerful analyt-
ogies, markets, business, social systems, etc. ical tools and substantial knowledge base for
Directed Evolution is a result of integration and predicting and solving various problems and more.
further development of technological forecasting Typical results of a DE project include:
and the Theory of Inventive Problem Solving.
Technological forecasting was introduced in the 1. A comprehensive diagnostic analysis of the DE
mid-1950s as a collection of non-related techniques subject, including identifying problems hinder-
based on probabilistic modeling of future character- ing the evolution of the given system, revealing
istics of various systems. While proven being useful the system’s evolutionary potential and evalua-
for short-term predictions, the method failed to tion of the applicable intellectual property
deliver reliable long-term results, primarily due to 2. Solving selected problems, generating new
the tools that were utilized to develop the forecasts. ideas, and building futuristic concepts for the
The Theory of Inventive Problem Solving origi- short-, mid- and long-term
nated in the mid-1940s by Genrich Altshuller is 3. Predicting possible mistakes and undesired
based on the assumption that inventions in techno- events associated with further evolving the
logical systems appear not randomly but rather in system and developing recommendations for
compliance with certain statistically recurrent pat- their timely detection and prevention and pos-
terns of technological evolution that could be sibly capitalization on them
revealed and utilized for organized and structured 4. Providing recommendations for the effective
innovation. Typically, each pattern of evolution growth of intellectual property, structuring an
includes multiple lines of evolution – more detailed IP portfolio, and increasing the company’s cre-
descriptions of how this pattern could be realized ative potential
step-by-step.
By the mid-1970s, the discovery of patterns of To date, over 100 of DE projects have been
evolution has enabled the introduction of TRIZ completed. The list of selected DE projects
754 Disciplines
includes automotive, petrochemical, oil, medical

instrumentation, electronic and other industries, Distressed Finance
consumer products, and business organizations.
Note. Directed Evolution is a registered trade- ▶ Small Businesses: Value, Transmission, and
mark of Ideation International Inc. The name was Recovery
suggested by Dr. Gafur Zainiev.
Cross-References
Distributed Innovation
▶ Inventive Problem Solving (TRIZ), Theory Process
▶ Patterns of Technological Evolution
▶ TRIZ Software for Creativity and Innovation ▶ Collaborative Innovation
Support
Disciplines Distributed Metacognition

and Creative Ideas
Dimensions ▶ Social Metacognition and Micro-creativity
Discover: Observe, Find, District

Unveil
▶ Clusters, Networks, and Entrepreneurship
Discovery Divergent Thinking

▶ Technological Invention of Disease Mark A. Runco
Discretion Oregon University, Ashland, OR, USA
▶ Personal Creativity Technology, Vista, California, USA
Displacement of Metaphors Synonyms
▶ Knowledge Society, Knowledge-Based Econ- Creative potential; Flexibility; Fluency; Ideation;

omy, and Innovation Originality
Disruptive Innovation in Introduction

Higher Education
The theory of divergent thinking is among the
▶ Higher Education and Innovation most useful in all of creativity studies. Many
Divergent Thinking 755
people equate divergent thinking with creativity, of Intellect. This distinction fit well into theories
which is not an accurate view since (a) divergent of creativity and allowed the construction of reli-
thinking is a useful concept outside of assessment able tests of creative potential (i.e., divergent
and testing and (b) creativity requires various thinking). Guilford himself developed dozens of
things and not just divergent thinking. That tests of divergent thinking, as did his contempo-
being said, tests of divergent thinking are the rary, E. Paul Torrance. In fact, Torrance’s (1995)
most commonly used estimates of the potential battery of assessments, The Torrance Tests of Cre-
for creative thinking. But divergent thinking tasks ative Thinking, remains the most commonly used
are also useful as exercises, even when there is no measure in creativity studies. D
need or interest in measurement, and the theory of Note, however, in the first paragraph the idea
divergent thinking is useful when attempting to that tests of divergent thinking should be viewed
understand creative thought, even when there is only as estimates of potential. This point must be
no need for application, data, or assessment. It is a underscored since it allows us to avoid the mistake
good theory. It holds up well when the criteria for that tests of divergent thinking measure creativity.
what makes a good theory (e.g., broad coverage, What they do is estimate creative potential. They
testable hypotheses, parsimony) are used to eval- are estimates because there is measurement error.
uate it. This entry starts with a summary of the Of course, that is true of any test or measure (and
theory of divergent thinking and then moves to thus characterizes all research in the behavioral
how that theory led to measurement and sciences). As a matter of fact, the reliability and
assessment. validity of divergent thinking tests, when they are
administered and scored in accordance with
proven procedures, are as high or higher than
Theories of Divergent Thinking many other behavioral tests. They are at least as
reliable and valid as IQ tests, for example, and
The theory of divergent thinking was proposed by more reliable and valid than most tests of person-
J.P. Guilford (1968). Guilford was interested in ality. Still, they are not perfectly accurate. There is
creativity and in fact pushed the entire field of no such thing as a perfectly accurate test. Tests are
creativity studies into the scientific realm with predictions. They sample behavior and then use
his 1949 Presidential Address to the American that sample to predict future behavior. Tests of
Psychological Association. It was titled “Creativ- divergent thinking do offer reasonable predictions
ity” and contained a compelling argument for why of future creative performances – at least certain
creativity could and should be examined empiri- creative performances.
cally. Guilford saw that creativity is “a natural Some of the original tests did not offer very
resource,” an idea that is being renewed today. good predictions. Indeed, many people rejected
Of more immediate influence was his Structure divergent thinking tests in the 1970s because the
of Intellect model which attempted to delineate predictive validity studies at that time were less
cognitive ability. It initially posited approximately than impressive. But the tests have improved. In
80 distinct skills and capacities, but after years of fact, both the predictors (i.e., the tests of divergent
empirical work grew such that the Structure of thinking) and the criteria have improved. The
Intellect included 120 of them. Right before his older studies showing poor predictions used
death, Guilford published an update that identified criteria that were available at that time, but these
180 identifiable and distinct skills and capacities. either focused on personality traits or on socially
There were questions about Guilford’s statisti- recognized creative accomplishment. They did
cal preferences, and these brought the orthogonal- not focus on what tests of divergent thinking
ity of the distinct skills into question. But the actually assess, which is ideation. Tests of diver-
distinction Guilford offered between convergent gent thinking provide information about idea-
and divergent thinking proved to be enormously tional fluency (the number of ideas a person
useful, regardless of the fate of the larger Structure gives when asked an open-ended question),
756 Divergent Thinking
ideational originality (the tendency to give been studied extensively. In fact, many studies use
unusual or novel ideas), and ideational flexibility only fluency scores because they are often highly
(the variety of ideas given or the number of con- correlated with originality and flexibility. The use
ceptual categories in the ideational output). Some- of fluency alone is a mistake. There is reliable
times elaboration is used (the tendency to exploit variance to originality and flexibility scores,
one conceptual category) but not often. The only even when fluency scores have been statistically
appropriate criteria when checking the predictive controlled. At least as convincing are the studies
validity of tests of divergent thinking must also which manipulate one index (e.g., originality)
focus on idea. One criterion measure was with explicit instructions. These show that the
designed for exactly that (the Runco Ideational index targeted may increase, while the other indi-
Behavior Scale, or RIBS), and studies using it ces (e.g., fluency) decrease. If the indices were
report reliability and validity in excess of what is independent, they would change in the same
found for IQ tests or personality inventories. direction. Even more importantly, originality is
Divergent thinking tests only estimate creative more critical for creativity than is productivity. If
potential. They do not guarantee actual creative only one score was to be used, it should be orig-
performance. Of course, if you want to measure inality and not fluency. The best technique is
actual creative performance, it is easy to adminis- probably to look to a profile, with fluency, origi-
ter an inventory of creative accomplishment. nality, and flexibility.
These are self-reports and as such are open to It is not just the scores from tests of divergent
certain biases, but they do reliably index how thinking that determine the reliability and validity.
many specific creative performances (e.g., “How The tasks themselves are also important. In fact,
many times have you had something published?” some tests insure that creativity is especially well
“How many patents have you been awarded?” and realistically sampled. Consider in this regard
“How many public recitals or concerts have you tasks that assess problem generation as well as
given?”) and accomplishments. The distinction problem-solving. All tests of divergent thinking are
between potential and actual performance is a open-ended. Unlike tests of convergent thinking,
critical one, especially for educators or anyone which require that the individual find the one correct
choosing a measure of creativity. It is discussed or conventional answer, divergent thinking tasks
in detail in this same volume (▶ “Four Ps in allow multiple answers and ideas. Most divergent
Organizational Creativity”). thinking tasks present a problem, such as “name all
of the strong things you can think of” or “list as
many uses as you can for a toothbrush.” Others are
Additional Indices and Tests of realistic (e.g., “you forgot a hat and the sun just
Divergent Thinking appeared from behind the clouds.... what can you
do to avoid sunburn?”). Yet others go beyond
Tests of divergent thinking have been scored for problem-solving and tap problem generation. This
appropriateness of ideas, as well as fluency, origi- is tied to the problem-finding abilities that are so
nality, and flexibility. The appropriateness index was critical for actual creativity. Often there is more
developed for tests of divergent thinking because, creativity to identifying and defining a problem
although they offer good information about origi- than there is to solving it! For that reason, some
nality, creativity is more than originality. Creativity tests of divergent thinking ask the individual to list
requires some sort of appropriateness, effectiveness, as many problems as they can (e.g., “list problems
or fit. If an idea is just original, it is not creative. In faced by a typical student at your school.”). Thus,
fact, highly original ideas that lack effectiveness the examiner gets an estimate of both problem-
may be crazy and not at all creative. Originality is finding and problem-solving originality.
necessary but not sufficient for creativity. Problem generation tasks were used in one
Other newer indices and scores for divergent study that had especially impressive predictive
thinking tests focus on the metaphorical impact or validity. This investigation used realistic
degree of transformation, but none of these have (presented) divergent thinking problems as well
Divergent Thinking 757
as realistic problem generation tasks in a study of The breadth of applicability is reinforced by a

the relationship of each with suicide ideation. The quick look at all of the populations who have been
rationale relied on the large literature on psycho- involved in the divergent thinking research. Virtu-
pathology and creativity (e.g., the “mad genius ally all age groups have been studied, for example.
controversy”); there is a long-standing interest in Preschool children who cannot yet write can still be
the relationship of creativity with clinical and assessed by giving them 3D objects and having
subclinical tendencies. Suicide ideation is thought them talk about what a tangible object could
to precede actual suicide attempts. It is especially be. They will talk freely, and their discourse can
troubling when it is paired with depression. If that be scored for all of the typical indicators, including D
occurs, there is a high likelihood of an actual originality. Older adults have been studied, and
suicide attempt. The impressive part of this interestingly, they have an idiosyncrasy: They
research was that a combination of the divergent seem to suffer, with age, specifically in their flex-
thinking tests actually predicted suicide ideation ibility. They rely more and more on routine and
better than depression! In fact, the association habit and their ideas become less and less varied
between depression and suicide ideation was and diverse. One last example of a population
determined and then statistically controlled, and which has been studied was that of entrepreneurs.
the divergent thinking tests were still significantly The divergent thinking tests designed for them
related to (and predictive of) suicide ideation. asked for ideas concerning the strengths, weak-
Very importantly, it was a statistical interaction nesses, opportunities, and threats to their busi-
that was the accurate predictor of suicide ideation. nesses. This SWOT model is often used in studies
In particular, suicide ideation was likely among of entrepreneurs and was adopted for the divergent
individuals who showed both (a) fluency with thinking tasks in an attempt to insure that the
problem generation (they saw many problems) participants in the research – highly successful
and (b) low flexibility (a kind of rigidity of entrepreneurs – would be engaged in the tasks.
thought) when solving problems. That is an important point and reinforces the
argument that tests of divergent thinking are
merely estimates of potential. Just because some-
A Technology of Ideation one does well at one point, on any test or sample of
behavior, does not guarantee that they will do the
One attraction of divergent thinking is that it same in the future. Insuring that individuals are
applies to so much of our behavior. Think for a engaged in the tasks does help in this regard
minute how often ideas are involved in our because those individuals are much more likely to
actions. Ideas are involved in all of our mindful perform at their highest level when motivated. This
behavior (we have an idea, think about it, and is actually a benefit of all realistic tests of divergent
perhaps act on it), and depending on how an idea thinking (Runco, 1991). There is a drawback, how-
is defined (see this volume, the entry on ▶ “Ideas ever, in that realistic tests seem to allow individuals
and Ideation”), they may be involved in every- to look back on their experience and find ideas by
thing except reflex. One conclusion of the recent searching long-term memory. As a result, original-
volume, Divergent Thinking and Creative Idea- ity scores are often low in realistic tests.
tion (Runco 2012), was that the divergent thinking Another way to engage individuals when
research has given us a “technology of ideation.” assessing divergent thinking is to insure that they
The idea here (pun intended) was that ideation is do not treat the tasks as typical tests. If divergent
an important and very broadly applicable process, thinking tasks are presented such that they appear
and divergent thinking methods provide us with a to be tests, examinees focus on convention and
reliable method for studying ideas. Note that this correctness. They are not nearly as original as
again implies a separation between ideation and they are if the tasks are called games instead.
creativity. Creativity sometimes depends on orig- Originality is much more likely if the tasks have
inal ideation, but ideation is important outside of directions which de-emphasize spelling, grades,
creativity. points, correct answers, or evaluations of any sort.
758 Divergent Thinking Tests
Originality is likely if the tasks are called games and do so in a reliable fashion. There is a sizable
and examinees are told to be playful and have fun. literature on divergent thinking, which means that
If divergent thinking tests are not administered in plenty of data and results can be found to aid and
this gamelike fashion, the same individuals who support interpretations. They are theoretically jus-
do well on traditional tests, like those in school, tified, by the Structure of Intellect model as well as
will be the only ones who do well on divergent various associative theories. Tests of divergent
thinking tests. Other students may have creative thinking can be used with a broad range of
talents, but their originality will not be clear unless populations. And they allow the individual to
they are assured that divergent thinking tasks are produce something – to actually create. The crea-
not convergent nor academic tests. If divergent tion or product is an idea, but ideas are of enor-
thinking tasks are administered in a gamelike mous value, for world-changing inventions and
fashion, students who do not receive high grades everyday coping. Quite possible, all inventions
may very well stand out and excel in their and creations start with an idea. Divergent think-
ideation. ing tests must be viewed as estimates of the poten-
tial for creative thinking, but they are good
estimates, and there are few things that should be
Conclusions and Future Directions invested in as heavily as creative potential.
Additional research is needed to insure that tests

of divergent thinking are used most effectively. Cross-References
Research has recently demonstrated that divergent
thinking tests can be administered via computer, ▶ Adaptive Creativity and Innovative Creativity
or online. They can even be scored by computer, ▶ Brainstorming
using semantic and associative networks! Tenta- ▶ Cognition of Creativity
tive results show good correlations between com- ▶ Computerized Testing of Creativity
puter testing and scoring and traditional manual ▶ Creative Thinking Skills: Inbox, Outbox, and
testing. Research in progress is also testing new Newbox (ION) Thinking Skills
indices, to go along with originality, flexibility, ▶ Creativity Testing
and fluency, for example. Other work is manipu- ▶ Divergent Versus Convergent Thinking
lating the instructions given with these tests, the ▶ Ideas and Ideation
idea being that results are only valid if respon- ▶ Parsimonious Creativity
dents and examinees are interested in generating
ideas. Of most importance for future research may
be techniques that will allow tests of divergent References
thinking to be used but used such that the infor-
mation obtained is indicative of creative perfor- Guilford JP. Creativity, intelligence, and their educational
mances that occur in the natural environment. Too implications. EDITS: San Diego; 1968.
Runco MA, editor. Divergent thinking. Norwood: Ablex
often, tests are only indicative of behavior that can
Publications; 1991.
be elicited in controlled settings. What is most Runco MA, editor. Divergent thinking and creative idea-
important, however, is behavior as it occurs in tion. Cresskill: Hampton Press; 2012.
the natural environment. Headway is being made Torrance EP. Why fly? Norwood: Hampton Press; 1995.
(e.g., with realistic tests of divergent thinking)
toward testing that will predict behavior in the
natural environment with great accuracy.
There are other ways, besides divergent think- Divergent Thinking Tests
ing tests, to estimate creative potential. Note,
however, that tests of divergent thinking capture ▶ Creative Climate Tests, Creative Attitudes
the most important part of creativity – originality – Tests, and Creative Thinking Skills Tests
Divergent Versus Convergent Thinking 759
psychological operations, and brain activity are

Divergent Versus Convergent presented in Table 1 and in Figs. 1 and 2.
Thinking Three basic indices of divergent thinking have
been offered of Guilford (1950):
Olga M. Razumnikova
State Scientific-Research Institute of Physiology • Fluency (total number of the generated ideas)
and Basic Medicine, Novosibirsk, Russia • Flexibility (the number of categories in the
Novosibirsk State Technical University, ideas)
Novosibirsk, Russia • Originality (the number of unique or unusual D
ideas)
Synonyms Effectiveness of divergent thinking suggests a

combination of knowledge, good memory, and
Creativity versus intelligence; Innovation versus fluency in associations between sensory and
critical thinking; Intuitive thinking versus logic semantic information, as well as richness of
thinking; Irrational versus rational thinking ideas, imagination, and fantasy.
The basic index of successful convergent
thinking is high speed of the right answer finding.
Key Concepts and Definition of Terms The same condition is due to measurement of
mental abilities or well-known intelligence quo-
The concept of divergent and convergent thinking tient (IQ). Intelligence, as measured on many
was created by J.P. Guilford to term different commonly used tests, is often separated into ver-
types of psychological operations while problem bal, figural, and numerical, which can be com-
solving (Guilford 1967). Divergent thinking is bined to produce a full-scale intelligence score.
defined as producing a diverse assortment of Also social, emotional, motor, and other compo-
appropriate responses to an open-ended question nents of intelligence are differentiated. Successful
or task in which the product is not completely convergent thinking required a perceptual
determined by the information. So, divergent
thinking concentrates on generating a large num- Divergent Versus Convergent Thinking,
ber of alternative responses including original, Table 1 Differences in characteristics associated with
unexpected, or unusual ideas. Thus, divergent convergent and divergent thinking
thinking is associated with creativity. Characteristics Convergent Divergent
Convergent thinking involves finding only Problem type Well-defined Poorly defined
the single correct answer, conventional to a well- Responses Single Multiple
defined problem. Many facts or ideas are exam- Psychometric index Intelligence Creativity
ined while convergent thinking for their logical Attention Focused and Defocused
local and global
validity or in which a set of rules is followed.
Mood Negative Positive
Convergent thinking focuses on reaching a prob-
Predominating Analytical Intuitive and
lem solution through the recognition and expres- thinking strategy and rational irrational
sion of preestablished criteria. Standard Specific strategy of Deductive Insight
intelligence tests are similarly believed to measure response selection retrieval
convergent thinking. Brain activation High-level Low-level and
and localized widespread
Hemisphere Left Right
dominance
Theoretical Background and Open- Domain of specific Science Art
Ended Issues giftedness
Adaptation to Mental Mental
The differences between convergent and diver- constant health diseases
gent thinking in information processes, environment
760 Divergent Versus Convergent Thinking
a
F1 F2 F6 A C
idea1
N O
F5 F7 A N
F4 L C
Fi
well-definded I L Simple
problem F3 T U correct
idea2
I S answer
D2 C I
D3 A O
p1 p2 L N
D1
pi
Di
b
idea7
F2 F2
F1 Answer i
F1
F1 Idea i
F1 Answer i
idea5
Answer 1
open-ended idea1 idea4
problem p1 Answer 2
D2 D4 p1
p1 idea2
D1 D3 idea3 Answer 1
idea6 Di idea8
Divergent Versus Convergent Thinking, Fig. 1 Scheme of organization of convergent (a) versus divergent (b)
thinking. F1 . . . I, D1 . . . I, and P1 . . . I sign different semantic categories in multiple knowledge structures
a b
activation deactivation
Frontal
D Frontal
O D
M Interhemispheric O
L I interaction R M
E N I I
F Parietal Parietal G N
A
T cortex cortex H A
N
C T N
E C
E
Divergent Versus Convergent Thinking, Fig. 2 Model of hemispheric organization of convergent (a) versus
divergent (b) thinking
exactness in observation, great volume of general critical comparison of generated ideas (again con-
and domain-specific knowledge, good memory, vergent thinking phase). So, convergent thinking
analytic-abstract reasoning, and finally fast accep- dominates while domain-relevant knowledge and
tance of the logical decision. data are identified and analyzed but divergent
So, main contrary characteristics of convergent thinking – during information transformation
and divergent thinking are a quantity of task solu- and generation of both ideas collection and
tion (simple vs. multiple, respectively), time of many possible criteria for reviewing these ideas.
answer finding (short vs. long), and concept map-
ping of idea search (specific vs. widespread asso- D
ciations). However, convergent and divergent Organization of Divergent Versus
thinking have also some similarity characteristic Convergent Thinking
in psychological processes while difficult prob-
lem solving as it presented in Table 2. These Semantic transformations of information and
different types of thinking are important compo- ideas exploring as well as one important source
nents of creative process including the formula- of wit and humor are evidence of divergent think-
tion of a problem (dominance of convergent ing. Associational knowledge reflects regularities
thinking), widespread search of variable ideas of in experience based on probabilistic linkages
a problem solution (function of divergent think- among stimuli. Traditionally, associational
ing), and choice of the final decision based on knowledge has been held to give rise to new
original thought through variable interconnec-
tions of remote concepts (see Fig. 1b). Extensive
Divergent Versus Convergent Thinking,
Table 2 Similarities in characteristics associated with
knowledge provides an information basis for flex-
convergent and divergent thinking ible search of different and similar features of
Sensory processes Careful observation of their
objects and processes from various semantic cat-
environments to gather egories that contributed to the generation of many
information through the senses new concepts and creative problem solutions.
Memory Large working memory capacity A heuristic or insight is a strategy that ignores
Implicit and explicit memory part of the information, with the goal of making
resources creative decisions after incubation period.
Knowledge Effective application of requisite
On the contrary, convergent thinking is defined
processing operations to relevant
domain-specific and general as creating of completely determined product.
knowledge Linear logic, schematic knowledge, and mapping
Task types Verbal, figural, numerical, and operations are contributed to arrive at a firm con-
social clusion based on relevant information. The theory
Cognitive structures Using different concept maps of mental models is widely accepted as the
and abstraction and abstract models to
understand the world explaining theory in relational reasoning (e.g.,
Emotional Negative emotions induce Goodwin and Johnson-Laird 2005). In line with
regulation increased motivation to task this theory, humans construct internal representa-
performance, but positive tion of objects and relations in working memory,
emotion facilitates associative
matching the state of affairs given in the premises.
and semantic priming and
supports the processing of global Convergent thinking narrows the available
perceptual information responses with the goal of selecting the single
Brain activity Interaction of specific and correct response (Fig. 1a) and can inhibit creative
associative brain areas in line though as stops on one most probable idea.
with individual strategies of
problem solving
However, as the stage model predicts, some-
Adaptation to Integration of intellectual and
times, convergent thinking may be necessary for
variable creative abilities to introduce final selection of original and acceptable problem
environment change, innovation, or solution. Two complementary subsystems are
improvement over what exists required to reach the desirable results: (1) an
idea generation subsystem that embeds semantic stronger activation within frontal areas in calcula-
knowledge and whose dynamics generates ideas tion tasks (Fig. 2a) has been interpreted as
as conceptual combinations and (2) a critic, which reflecting working memory demands, as well as
receives the generated ideas and produces evalu- error monitoring and strategic organization. There
ative feedback based on its domain knowledge are evidences that numerical information is
about the given context. represented and processed by regions of the pre-
Involvement of multiple knowledge structures, frontal and posterior parietal lobes, with the
the capability to memorize which answers and cat- intraparietal sulcus as a key node for the represen-
egories have been produced, as well as the accessi- tation of the semantic aspect of numerical quantity.
bility of memory traces in general should be helpful The intraparietal region seems to be associated with
in acquiring both high creativity and intelligence test an abstract, amodal representation of numbers in as
scores. The large variety of data resulting in an much as it can be activated by numbers presented
average correlation between divergent thinking and in various culturally learned symbolic notations.
intelligence tests has been found using a meta- Exact arithmetic depends more on left lateralized,
analysis of 21 studies and 45,880 participants possibly language-related structures, while approx-
(Kim 2005). This relationship was moderated by imate arithmetic is tied to a quantity representation
age, gender, specific abilities, personality, and in bilateral intraparietal areas.
other factors. However, patterns of relationships Deductive reasoning as variant of convergent
between these factors and the convergent and diver- thinking is the attempt to reach secure conclusion
gent thinking organization still should be studied. from prior beliefs, observations, or suppositions.
So, paradoxical complementary combinations Some reports have characterized deduction as pre-
of contrary kind of thinking occur in different dominantly left hemispheric, variously recruiting
phases of novelty production: convergent think- regions in inferior frontal, frontotemporal, and
ing might dominate in the phases of preparation occipito-fronto-temporo-parietal cortices (Goel
and verification a decision, but divergent thinking and Dolan 2004). Core deduction area is the left
in idea illumination. rostrolateral prefrontal cortex, a region implicated
in tasks involving goals/subgoals.
It can be concluded that the specific network
Neuronal Mechanisms of Divergent and involved in skilled arithmetic performance (i.e.,
Convergent Thinking convergent thinking) has been established. The
inferior parietal sulcus and prefrontal cortex are
Understanding of neuronal mechanisms of diver- assumed to mediate a common representation of
gent and convergent thinking may not only quantity, and both arithmetic and sentence pro-
improve a performance of different cognitive cessing activated large sets of areas strongly
tasks but also provide new insights into regulation lateralized to the left hemisphere (Fig. 2a).
of innovation activity. Possible brain correlates On the contrary, divergent thinking and creativity
underlying divergent and convergent thinking are associated with widespread interconnections
are found in neuroscientific studies. As example between multiple brain regions and relative domi-
of convergent thinking, mathematics operations nance of the right hemisphere (Razumnikova 2005;
can be tested. Arden et al. 2010) (see Fig. 2a). A meta-analytic
Neuropsychological as well as brain imaging review of the literature to establish how creative
studies converge on the view that arithmetic pro- thinking relates to hemispheric dominance revealed
cessing is subserved by frontoparietal areas and the no difference in predominant right-hemispheric acti-
basal ganglia (Dehaene et al. 1996). The left angu- vation for verbal versus figural tasks, holistic versus
lar gyrus, perisylvian language areas, and the basal analytical tasks, and context-dependent versus
ganglia are assumed to mediate the retrieval of context-independent tasks (Mihov et al. 2010).
overlearned arithmetic facts, such as the multipli- Right-hemisphere dominance in divergent
cation tables, from long-term memory. The thinking is caused to the facts that the right
temporal and parietal cortices may provide a cru- which benefits the incubation of ideas that are criti-
cial nonlinguistic component needed for the intu- cal phase of creativity, and it is the momentary
itive generation of novel ideas using semantic inhibition of this hemispheric independence that
knowledge in terms of features, concepts, and accounts for the illumination (Moore et al. 2009).
categories as well as verbal operations, such as Alternatively, decreased size of corpus callosum
the metaphor and humor creation or semantic may reflect more specific localization of selective
operations that require a wide net of associations. hemispheric processes, thereby facilitating efficient
Left-hemisphere involvement in divergent think- intrahemispheric functional connectivity. So, the
ing is associated with the ability to generate orig- corpus callosum is necessary for transferring earlier D
inal idea using the combination of various aspects integrative aspects of divergent thinking from the
of existing knowledge from memory. right hemisphere to the left one, which would be
Semantic information in the brain is represented essential for creative output, that is, verbal and motor
at several levels, ranging from combinations of answer.
sensorimotor features, through amodal concepts, The lateralized processing of the different forms
to semantic categories. Considerable evidence and types of knowledge stored in the right and left
now supports the idea that semantic processing hemispheres may be particularly important during
involves several cortical functional networks different types of divergent thinking (verbal, figural,
including the left temporal lobe, the prefrontal or social). The right hemisphere is dominated at
cortex, the anterior cingulate cortex, the exploring for new possibilities while the left hemi-
orbitofrontal cortex, and parts of the occipital cor- sphere is more likely to result in the application of a
tex. Using a meta-analysis of neuroimaging studies previously learnt concept or pattern to a new
on divergent thinking, Activation Likelihood Esti- problem.
mation maps resulting from contrast studies of An important aspect of cognitive fluency and
combination versus generation or verbal versus flexibility is inhibitory control, the ability to
non-verbal tasks several frontal and dynamically modify or cancel planned actions in
parietotemporal regions specialized for distinct response to changes in the sensory environment,
types of processes were revealed, with rostral or task demands. The control and planned func-
regions of prefrontal cortex involved in combining tions are performed in the prefrontal cortex which
ideas creatively and more posterior regions is deactivated during divergent thinking
involved in freely generating novel ideas (Gonen- according to divergent task-induced alpha rhythm
Yaacovi 2013). Distributed brain networks of cre- synchronization (Fig. 2b). This effect can be
ative idea generation included lateral prefrontal and interpreted as congruent with idea that defocused
temporal cortex, posterior parietal cortex, and ante- attention and inhibitory control decrease is asso-
rior cingulated cortex (Wu et al. 2015). Thus, if ciated with effective search of original ideas.
great volume of knowledge is necessary for diffi-
cult task performance, integration of functions of
both hemispheres and anterior-posterior cortex is Implication for Theory, Policy, and
required often for a finding of the best decision. Practice
Many investigators have proposed that the ability
to generate novel ideas or divergent thinking is Successfulness in both divergent and convergent
associated with increased hemispheric cooperation. thinking can be considered within the more com-
In line with this, hypothesis studies of patients with prehensive concept of cognitive competence. This
callosal resection have revealed a decrement in com- concerns the complex achievement forms of prob-
plex cognitive ability and EEG coherence studies lem perception, information processing through
suggest an association between effectivity of diver- learning transfer, and divergent/convergent
gent thinking and interhemispheric coupling (Bogen thought processes in various situations and in
2000; Razumnikova 2005). Decreased callosal con- different field of activity. There are findings that
nectivity enhances hemispheric specialization, generally supported the view of convergent
scientists and divergent artists. Scientific emi- A major question for further research is a studying
nence requires high level not only intellectual individual variability in complex neuronal mechanism
but creative abilities and manifests itself in devel- of divergent versus convergent thinking depending on
opment of solution-relevant hypotheses regarding sex, age, personality, intelligence, handedness, etc. It is
scientifically unsolved problems, the develop- necessary to unify neuroimaging methods and
ment of new theories and methods, and original psychometrical testing of different components of
problem solutions. Creativity is generally thinking designed to provide greater spatial localization
expressed, for example, in technical areas through of function in brain. The future of primary creativity
original processes, new methods, useful inven- research would perhaps be focusing not only on the
tions, and valuable products. Analysis of creativ- specialization of the hemispheres but on particular
ity and intelligence scores with regard to brain areas that are in constant interplay and commu-
extracurricular activities showed that highly crea- nication. There is also open-end question on a role of
tive versus highly intelligent students dominated interhemispheric or anterior and posterior cortex inter-
in art, literature, technology, and social skills action in information selection during creative activity.
whereas in science these scores were equivalent Further research using techniques that can provide
(Perleth and Sierwald 2001). information about the nature of white matter connec-
According to a neural plasticity model, it is tions, such as diffusion tensor imaging, will help to
expected that environmental interventions in the explain the mechanism by which effectivity of diver-
different form of training in divergent and convergent thinking relates to size of corpus callosum.
gent thinking would improve both creative and Recently, more and more attention is given to
intellectual abilities. Schooling and specific inter- the use of psychological knowledge in the politi-
vention programs do affect relative intellectual or cian and ordinary life. In this connection, studying
creative performance. A well-known tool to of functional mechanisms of social creativity or
enhance divergent thinking in groups is brain- implications of divergent and convergent thinking
storming. There are many techniques for individ- concepts on work, at home, or in complete adap-
ual development of ability to generation of tation to the world represents a great interest.
original ideas: challenge facts, analogies, random
word and picture, and others. Cross-References
It should also be noted that the magnitude of
the thinking score increase would be a function of ▶ Cognition of Creativity
the underlying differences in neural plasticity. If ▶ Creative Brain
there are large individual differences in neural ▶ Creativity and Systems Thinking
plasticity, then even relatively large interventions ▶ Divergent Thinking
would not be sufficient to overcome differences in ▶ Nature of Creativity
this factor. ▶ Scientific Creativity as Combinatorial Process
Conclusion and Future Directions References
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a large number of appropriate and adequate alter-
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standard intelligence tests are similarly believed tal cortex in inductive and deductive reasoning. Cogni-
to measure convergent thinking. tion. 2004;93(3):B109–21.
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Guilford JP. The nature of human intelligence. New York:
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2nd ed. Gottingen: Hogrefe; 2001. p. 171–355. (1997) (in Eraydin et al. 2010) state that cities
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urban centers in advanced economies have faced
significant increases in migration (Eraydin et al.
2010). From an economic perspective, debates
Diversity and about diversity have entered the competitiveness
Entrepreneurship literature (Thrift and Olds 1996; Storper 1997;
Florida 2005). Eraydin et al. 2010 cite Fainstein
Laurice Alexandre-Leclair (2005), who argues that “the competitive advan-
Research Network on Innovation, CEDAG Paris tage of cities and thus the most promising
Descartes University, Paris, France approach to attaining economic success, lies in
enhancing diversity within the society, economic
base, and built environment.” Zachary (2000),
Synonyms Florida (2001), and Boodar and Rath (2005) also
highlight the positive role of diversity in achiev-
Clusters; Cultural diversity; Environment; Ethnic ing a competitive economy.
entrepreneurship; Gender; Immigrants; Minority Diversity is a core factor that leads to entrepre-
neurship. Hampden-Turner and Chih (2010)
Every society is composed of social and cultural quote Saxenian (1999), who declares that “immi-
groups. For researchers, diversity has become grants have created a very large proportion of the
increasingly important. Diversity means variety. world’s wealth. Moreover, Vecania (1999),
This variety can be evaluated along the dimen- quoted by Baykan-Levent (2003), raised the
sions of race, ethnicity, gender, sexual orientation, point that for individuals who are unable to
socio-economic status, age, physical abilities, reli- adapt to a social system, such as those in ethnic
gious beliefs, political beliefs, or other ideologies and migrant minority groups, their marginal social
(Baycan-Levent et al. 2003). Disabilities are position is a driving force to become self-
sometimes also included among these variables. employed. Self-employment in this case is not
766 Diversity and Entrepreneurship
only a means to earn a living, but it is also a way of most diversity in their cultural makeup have
obtaining recognition and social acceptance. higher rates of entrepreneurial activity.
Many studies have demonstrated that, despite Moreover, Sobel et al. (2010) discuss cultural
their investments in human capital, minority capital. They state that different geographic areas
workers (including immigrants) are systemati- across the globe are characterized by their own
cally excluded from employment that offers high unique cultures. When people migrate from one
salaries, job security, and promotion opportunities country to another, they bring some of their
(Yoon 1997) (in Bogan and Darity 2008). unique cultural capital with them. Because entre-
A number of other authors claim the positive preneurship is about coming up with new and
relationship between diversity and entrepreneur- unique combinations of resources, this inter-
ship. Thuse, the aim of this discussion is to change of ideas may lead to more innovations,
explore diversity and entrepreneurship. As men- new products, and generally a higher rate of entre-
tioned before, diversity encompasses a wide vari- preneurial initiatives.
ety of characteristics. This discussion focuses on Along the same lines, according to the cultural
ethnicity and culture because these characteristics hypothesis, the inclination of some immigrant and
directly affect entrepreneurship. Culture and ethnic groups toward entrepreneurship can be
entrepreneurship will be discussed first, followed explained by their ethno-national attributes (Yoon
by ethnic entrepreneurship. 1997) (in Bogan and Darity 2008), however,
Bogan and Darity (2008) argue that one must
take into consideration other factors contributing
Culture and Entrepreneurship to the entrepreneurial role of minorities, such as
class resources, urban racial segregation patterns,
Sowell (1981) has claimed that different eco- and immigrant disadvantages. The experience of
nomic outcomes across different ethnic groups Chinese and Japanese immigrants in the American
are due to culture rather than market or institu- labor market prior to World War II is a good exam-
tional discrimination. For instance, the relative ple of return migration. The immigrants initially
success of black West Indians, compared with were welcomed when they came to fill the labor
other black Americans, is attributed to their dis- shortages on sugar plantations, in the mines, and in
tinctive cultural values. railroad construction camps on the West Coast. But
In their work, Sobel et al. (2010) present the when labor competition developed during eco-
definition of Lavoie (1991) of culture and entre- nomic depressions, they became the targets of
preneurship: “It pointed that entrepreneurship nec- anti-Asian campaigns and institutional discrimina-
essarily takes place within culture, it is utterly tion (Yoon 1997) (in Bogan and Darity 2008).
shaped by culture, and it fundamental consists in In order to validate these characteristics, Bogan
interpreting and influencing culture. Consequently, and Darity (2008) took the example of Korean
the social scientist can understand it only if he is immigrants. For example, Korean immigrants’
willing to immerse himself in the cultural context class resources for their business activities not
in which the entrepreneurial process occurs.” only include financial capital but also human cap-
Hofstede (1980, 1993) declares that national ital. Korean immigrants with middle class back-
cultural values influence the conduct of business grounds possess the knowledge and motives that
in particular countries. Sobel et al. (2010) tried to are required for successful entrepreneurship.
measure the relation between cultural diversity College-educated Korean immigrants have
and entrepreneurial activity using five different advantages in terms of management skills and
measures of entrepreneurship (average business attitudes over native-born, non-Korean small
start-up rate, net business creation rate, venture business owners, who usually have less education
capital per capita, patents per capita, and measure (Min 1988b) (quoted by Bogan and Darity 2008).
of productive entrepreneurship) in a cross-state Korean entrepreneurs have benefitted from dis-
analysis. They found that the states with the crimination against blacks. The reluctance of
corporations to invest in inner-city, minority areas Ram et al. (2010) note two problems in com-
and the retirement of white business owners from parative research about ethnicity and entrepre-
these areas created a small business void that was neurship. The first is the tendency to focus on a
happily filled by Korean immigrants (Min 1988b; single ethnic group in isolation from the wider
Light and Rosenstein 1995) (in Bogan and Darity small business population, which can accentuate
2008); a void that black entrepreneurs were unable perceived differences (this idea is also proposed
to fill due to lack of resources, capital, and so on. by Jones et al. 1992; and Mulholland 1997). They
Bogan and Darity (2008) note that, for Korean also cite Zimmer and Aldrich (1987, p. 422), who
immigrants, their situation as disadvantaged declares that “the comparative study of immi- D
immigrants may be a more significant influence grants and native groups shifts the focus from
on their business behavior patterns than the cul- group differences to group similarities. Studies
tural influence of their Korean background. examining only immigrants may find apparently
Other factors should be taken into consider- distinctive characteristics, but in fact many traits
ation in order to better understand the role of are common to all small business owners.”
culture in entrepreneurship. For instance, Ibrahim The second problem argued by Ram et al.
and Galt (2011) highlight the importance of (2000) is the ignorance of influence of sector on
human capital determinants such as schooling, business activity in the frame of ethnic entrepre-
education, and other features that determine pro- neurship. When cross-section comparisons are
ductivity (Chiswick 1983). Knocke taken into account, inter-communal differences
(2000) (in Ibrahim and Galt 2011) challenged are often less acute than imagined. They give the
the argument that intrinsic cultural factors are example of Jones et al. (1994), who confirm that
obstacles to labor market integration by showing South Asian owners work significantly longer
that integration, segregation, or discrimination than others; this was found to be largely due to
against ethnic minorities results from economic the overwhelming concentration of South Asian
needs and structural labor market characteristics. firms in labor-intensive sectors like food retailing
and confectionery, tobacco, and newsagents.
Consequently, Ram et al. (2000) conducted
Ethnic Entrepreneurship research on ethnic minority business in the
catering sector in the UK, because this sector is
Ethnic entrepreneurialism can only be understood one of the niches traditionally occupied by ethnic
as a multi-dimensional organism existing in an minorities when they are offering their own
external context that needs to be properly specified. unique national foods. According to their find-
According to Baycan-Levent et al. (2003), eth- ings, the family plays a role in the formation and
nic minorities are gradually becoming a majority in management of the enterprise across all ethnic
some European cities. The influx of foreign groups, although it can take different forms.
migrants has brought about economic advantages, Even though the South Asian business owners,
but it has also caused a multiplicity of social and the same as white and African-Caribbean owners,
economic tensions. With a few exceptions, ethnic declared that they would not want their children to
groups belong, in general, to the lower socio- enter the family business, the researchers noticed
economic segment of European cities, mainly as a that South Asian children found their employment
result of their lack of education and skills, which in the family business. This is an example of the
led them toward self-employment. On the other importance of family among South Asian groups,
hand, some authors (Bates 1997; Borjas 1999) but it emerged from economic necessity rather
(in Pecoud 2010) maintain that immigrant entre- than notions of solidarity (Metcalf et al. 1996).
preneurship is related to class resources, because Pecoud (2010) provides a definition from Zhou
entrepreneurship requires financial and human cap- (2004, p. 1040): “Ethnic entrepreneurs are often
ital and, consequently, self-employment would not referred to as simultaneously owners and man-
modify immigrants’ socio-economic conditions. agers of their own businesses whose group
membership is tied to a common cultural heritage (Basu 1998; Kloosterman et al. 1998) (in Baycan-
or origin and is known to out-group members as Levent et al. 2003.
having such traits; more importantly, they are
intrinsically intertwined in particular social struc- Customer Relationship
tures in which individual behavior, social rela- According to Baycan-Levent et al. (2003), several
tions, and economic transactions are constrained.” studies refer to an intra-cluster ethnic loyalty,
Ethnicity-based explanations of entrepreneur- while highly intensive communication behavior
ship coexist with two arguments (Pecoud 2010). within the ethnic community offers potential com-
The first, mostly developed by British scholars, petitive advantages for ethnic firms (Donthu and
sees self-employment as the product of the con- Cherian 1994; Dyer and Ross 2000).
text in which migrants live and work: blocked
opportunities, unemployment, and discrimination Gender and Generational Differences
leave no choice to migrants but business (Barrett Baycan-Levent et al. (2003) emphasize that age
et al. 1996) (in Pecoud 2010). Migrants also invest and generation can affect the kind of entrepreneur-
in sectors whose unattractive conditions (long ship. The first generations involve more pull fac-
working hours, low return on investments, etc.) tors, whereas the second generation may exhibit
put off their previous owners. more pull factors. First-generation ethnic entre-
Baycan-Levent et al. (2003) present different preneurs are more motivated by discrimination,
factors leading ethnic people to self-employment problems with the transferability of their
and entrepreneurship: motivations and orientation, diplomas, and obtaining status, compared with
labor and capital conditions, customer relation- their second-generation counterparts. In other
ships, and gender and generational differences. words, while first-generation immigrants may be
We add to this list racial background and contin- more frequently “forced entrepreneurs,” second-
gency factors, which play a role in differentiating generation immigrants may act more frequently as
and encouraging or discouraging entrepreneurship. “voluntary entrepreneurs” (Baycan-Levent et al.
2003), which supposes that the second generation
Motivation and Orientation is free to invest in new markets outside the internal
In addition to the classical motives that push market.
minorities towards entrepreneurship, the exis- Baycan-Levent et al. (2003) note that this dif-
tence of ethnic and social networks also plays a ference also exists for gender difference. Female
major role in motivating immigrants towards ethnic entrepreneurs involve more pull factors,
entrepreneurship (Delft et al. 2000; Johnson their motivation stemming from their education
2000; Kloosterman et al. 1998; Masurel et al. level and work experience and skills, business
2002; Ram 1994a, b; Wilson and Portes 1980) goals, and management styles and personal value
(in Baycan-Levent et al. 2003). system. Most female ethnic entrepreneurship
Normally, ethnic companies start with a focus belongs to services sector; the businesses are
on clients from their own ethnic group, with tradi- small and the owners are relatively young. The
tional products, services, and communication social network plays a role also in entrepreneur-
channels. This internal orientation and the mutual ship. In their study of South Asian people, Ram
trust within the ethnic network provides a protected et al. (2000) noticed that women’s work was often
market and a ready labor force (Baycan-Levent not acknowledged, despite its importance to the
et al. 2003) and creates a loyalty between the ethnic business.
firm and its clients (Dyer and Ross 2000).
Racial Background and Entrepreneurship
Labor and Capital Conditions Researchers examining the success or failure of
Through their networks of relatives, co-nationals, ethnic entrepreneurs who share the same racial
or co-ethnics, new firms have a privileged and and national backgrounds found that they perform
flexible access to information, capital, and labor differently in different countries (Ibrahim and Galt
2011). Indeed, some authors make the difference social networks provide flexible and efficient pos-
between immigrant entrepreneurship and Black sibilities for the recruitment of personnel, acqui-
American entrepreneurship. According to Butler sition of capital, and exchange of information
(2005) (in Bogan and Darity 2008) and others, the based on mutual trust among the members of the
primary difference between black and immigrant network (Werbner 1990).
entrepreneurs was that black business owners Furthermore, Eraydin et al. (2005) distinguish
were forced to develop separate enterprises and between types of social capital. The first, called
sell in a restricted marketplace while immigrants bonding capital, is created via the strong social
were allowed to operate in the economic main- ties that exist between individuals, family mem- D
stream. Bogan and Darity (2008) quote the survey bers, close friends, and members of certain ethnic
of Bearse (1984), who found that foreign-born groups. The second is bridging capital, which
blacks are more likely to be engaged in entrepre- exists between heterogeneous individuals such
neurship than U.S.-born blacks. The same study’s as friends of friends. A third type is linking capi-
fundamental finding is that the likelihood of black tal, characterized by connections between indi-
being entrepreneurs is significantly lower than for viduals, established professional and
other groups. Nevertheless, Boyed (1991b) administrative structures, and local communities
reinforced the view that black immigrants and (Foord and Ginsburg 2004).
native blacks share race-related disadvantages. According to Davidson and Honig
Eraydin et al. 2010 highlight the role of diver- (2003) (in Ibrahim and Galt 2011), factors in the
sity in stimulating innovation. They quote exogenous environment in which business is
Fainstein (2005), who declares that “forms of conducted, such as the fiscal environment, labor
social, cultural, ethnic and spatial diversity attract market regulations, administrative complexities,
multiple forms of human capital, and undoubtedly intellectual property rights, and bankruptcy law,
encourage cultural and artistic creativity, and tech- will also determine the specific response of ethnic
nological and scientific innovation.” entrepreneurial to establishing a business.
Another factor that influences ethnic entrepre-
Contingency Factors neurial decisions in a host country is the propen-
Ibrahim and Galt (2011) quote Evans and sity for entrepreneurship in the country from
Jovannic (1989), who note that there is a link which they or their families emanate. The historic
between the financial situation and entrepreneur- differences between countries in the rate of entre-
ship for some groups where initial endowments preneurship will influence the likelihood of indi-
are restricted or where access to funds is difficult viduals becoming entrepreneurs (Sternberg and
and there is likely to be a lower level of entrepre- Wennekers 2005; Wennekers, Uhlaner, and
neurial activity and vice versa. Thurik 2002) (in Ibrahim and Galt 2011).
On the other hand, Ibrahim and Galt (2011)
highlight the role of institutional arrangements
proposed by the institutional economists (North Conclusion and Future Directions
1990; Williamson 1975, 1985) in reducing trans-
actions costs. These costs may be classified under Diversity is discussed in different literature: econ-
three headings: search and information costs, omy, management, sociology, anthropology, and
bargaining and decision costs, and policing and so forth. Most authors focus their research on the
enforcement costs (Dahlman 1979). relationship between culture and/or ethnicity and
Concerning the relationship between the cul- entrepreneurship, even though diversity involves
ture and entrepreneurship, it has been argued that other factors such as gender, age, and disability.
some ethnic groups are endowed with social insti- This discussion highlights the fact that the culture
tutions and cultural norms that foster entrepre- of immigrants as much their ethnicity can affect,
neurial talent (Davidsson 1995; Wilson and positively or negatively, self-employment. Many
Portes 1980) (in Ibrahim and Galt 2011). Tight factors lead ethnic people to entrepreneurship: the
existence of ethnic and social networks, labor such as social network, gender, and demographic
and capital conditions, gender and age, racial factors. On the other hand, pull and push factors
background, and contingency factors such as may influence the characteristics of international
institutional environment, geographic context, ethnic entrepreneurship, while the scale, the
and so on. The model of Ilhan et al. (2011) scope of the industry, and the structural factors
(Fig. 1) summarizes the characteristics of entre- may influence the outcomes and the pull and
preneurship, taking into account all contingency push factors.
factors. In this figure, the authors suggest that the Gender studies deserve further study because,
environmental context, such as socioeconomic in certain cultures or ethnic groups, women turn to
context, institutional concept, cultural back- entrepreneurship in order to be independent
ground, financial factors, labor market, and geo- and/or to make a living for their family. Further-
graphic context, influence the outcomes on an more, exploring diversity from the perspective of
individual level, organizational level, and coun- economic competitiveness could be an interesting
try level. The environmental context elements complement to studies of immigration and
are directly linked to the pull and push factors, entrepreneurship.
Home and
host country
The characteristics of
international ethnic
Antecedents entrepreneurship Outcomes
(pull & push factors)
Scale Individual level
Self-employed Job opportunity
Scope (Industry)
Social networks Economic profits
Structural factors
Policy
Gender Organizational level
Human capital characteristics Small enterprises
Solidarity and trust in ethnic group Country level
Demographic factors
History Immigrant transnational
entrepreneurs
Environmental context Labor markets
Ethnic enclave
Socioeconomic context
Institutional concept
Cultural background
Financial factors
Labor market
Geographic context
Diversity and Entrepreneurship, Fig. 1 Characteristics of international ethnic entrepreneurship (Ilhan et al. 2011)
Dynamic Generation 771
Cross-References
Diversity Entrepreneurship
▶ Entrepreneurship and Social Inclusion
▶ Entrepreneurship in International Context ▶ Female Entrepreneurship
▶ Environmental Determinants of
Entrepreneurship
▶ Female Entrepreneurship
▶ Microfirms
▶ National Culture Divestment Spin-Off D
▶ Small Business ▶ Extrapreneurship
▶ Social Networks and Entrepreneurship
References
Donald Trump
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arena. Sustainable Development in a Diverse World
(susdiv.org). 2003.
Bogan V, Darity W. Culture and entrepreneurship? African
American and immigrant self-employment in the
United States. J Socio Econ. 2008;37:1999–2019.
Eraydin A, et al. Diversity matters: immigrant entrepre-
neurship and contribution of different forms of social Dotcoms
integration in economic performance of cities. Eur Plan
Stud. 2010;18(4). ▶ Startup
Hampden-Turner C, Chih G. Dilemmas of diversity: a new
paradigm of integrating diversity. World Future.
2010;66:192–218.
Ibrahim G, Galt V. Explaining ethnic entrepreneurship: an
evolutionary economics approach. Int Bus Rev. Dreaming
2011;20:607–13.
Ilhan-Nas T, et al. International ethnic entrepreneurship:
antecedents, outcomes and environmental context. Int ▶ Imagination
Bus Rev. 2011;20:614–26.
Pecoud A. What is ethnic in an ethnic economy? Int Rev
Sociol. 2010;20(1):59–76.
Ram M, et al. Ethnic minority business in comparative
perspective: the case of the independent restaurant sec- Dynamic Generation
tor. J Ethn Migr Stud. 2000;26(3):495–510.
Sobel R, et al. Does cultural diversity increase the rate of ▶ Imagination
entrepreneurship? Rev Austrian Econ. 2010;23:269–86.
E
East Asian Culture Economic Dynamics
▶ Creativity and Confucianism (Asian Culture) ▶ Creative Destruction
Eastern Creativity Economic Evolution

▶ Creativity and Confucianism (Asian Culture) ▶ Entrepreneur and Economists
Ecclesia
Economic Model
▶ Creativity and Church
▶ Business Model
Eco-efficiency
Economic Theory
▶ Green Innovation
▶ Entrepreneur and Economists
Eco-innovation
▶ Green Innovation Economy

▶ Technology Push and Market Pull
Entrepreneurship ▶ Innovation in Interdisciplinarity: Four Different
Dimensions
Economic Development
Ecosystem
▶ From Personal to Impersonal Exchange in Ideas
▶ Innovation and Entrepreneurship ▶ Academic Firm

https://doi.org/10.1007/978-3-319-15347-6
774 Ecosystems
importance for enhancing performance on crea-

Ecosystems tive tasks. However, creative problem solving is a
complex phenomenon that is influenced by
▶ Systems Theory and Innovation numerous contextual factors and individual differ-
ences. Thus, deciphering the key influences on
this process remains a core concern of creativity
researchers, who have identified many factors that
Education exert such an impact. Among these myriad ele-
ments, intuition appears to be especially important
▶ Promoting Student Creativity and Inventive- (Bowers 1987).
ness in Science and Engineering Scholars have defined intuition in numerous
ways. However, there are several common ele-
ments across these definitions. In examination of
these similarities, Eubanks et al. (2010) define
Education, Discourses intuition as a process that involves the develop-
ment of an unconscious pattern that guides per-
▶ Creativity, Discourses formance, problem solving, and decision making
on complex tasks. In accord with this definition,
there are three key characteristics of intuition:
Effects of Intuition, Positive 1. Intuition involves the use of minimal informa-

Affect, and Training on tion to identify patterns.
Creative Problem Solving 2. Intuition may occur through unconscious
processes.
Joshua Fairchild1, Dawn L. Eubanks2 and 3. Intuition can influence performance on com-
Samuel T. Hunter3 plex tasks.
1
Department of Psychology, Creighton
University, Omaha, NE, USA In sum, intuition involves the unconscious
2
Behavioural Science and Entrepreneurship and manipulation of information as part of the prob-
Innovation, Warwick Business School, lem-solving process. In order to understand how
The University of Warwick, Coventry, UK this may impact creative performance in particu-
3
The Pennsylvania State University, State lar, it is vital to examine the theoretical back-
College, PA, USA ground of this and related constructs, as well as
empirical research on this topic.
Synonyms
Overview and Theoretical Background
Creative performance; Innovation; Insight;
Instinct; Learning; Mood; Skilled performance Baylor (2001) notes that definitions of intuition
involving subconscious pattern formation and
recognition must at some level involve implicit
Intution or tacit knowledge. Such knowledge is typically
acquired unconsciously as a result of experience
The ability to solve problems creatively is an and can be beneficial in complex problem-solving
essential element of success for individuals and tasks, in part by giving rise to intuition (Reber
organizations (Scott et al. 2004). As such, a thor- 1989). Such an approach to problem solving is
ough understanding of this process would be essential in the realm of creative performance,
immensely beneficial and is of paramount where problems are often ill defined, and
Effects of Intuition, Positive Affect, and Training on Creative Problem Solving 775
connections between various elements may be that while expertise and intuition are related con-
ambiguous (Leonard and Sansiper 1998; Mum- structs, they are not synonymous; intuition is capa-
ford and Gustafson 1988). ble of influencing performance beyond the effect
A related principle that is similarly valuable for exerted by expertise alone (Eubanks et al. 2010).
creative problem solving is expertise. Indeed, intu- For instance, intuition, but not perceptions of one’s
ition may in part be developed as a function of own knowledge, has been shown to be associated
expertise (Baylor 2001). Similar to the way that with successfully solving insight problems
intuition allows subconscious patterns to influence (Metcalfe and Wiebe 1987). To understand how
performance, expert performance is largely driven intuition can impact creativity more specifically, it
by unconscious recognition of patterns rather than is necessary to examine some specific mechanisms
E
conscious decision making (Shanteau 1992). by which intuitive judgments may occur.
Expert performance often relies on making quick In a synthesis of the extant literature, Eubanks
judgments without time for reflection (Simon et al. (2010) identify three competing interpreta-
1990; Shanteau 1992), and such performance tions of mechanisms by which intuition may
develops over a long period of continued practice, impact creative problem solving. First, intuition
through which an individual becomes increasingly may influence problem solving by triggering
familiar with his or her focal domain (Ericsson and unconscious associations between contextual
Charness 1994). Cognitive theory on working cues and salient affective experiences (Simonton
memory suggests that as individuals gain expertise 1980). According to this view, intuition results
in a domain, they develop schema that enhance when aspects of the problem at hand trigger net-
their ability to hold multiple elements of a problem works of associations related to prior, affectively
in working memory (Baddeley 2012). Since the laden experiences. This is thought to induce the
ability to make connections and determine patterns formation of unconscious patterns, which in turn
among information is reliant on what a person can inform decisions. Therefore, approaches drawing
maintain in working memory (Baddeley 2012), on this conceptualization of intuition would likely
expertise may serve to facilitate intuition by emphasize strategies that draw upon these net-
directly enhancing this resource. works of patterns (Eubanks et al. 2010).
Furthermore, as an individual develops exper- In contrast, Johnson-Laird (1983) suggests that
tise, he or she forms a mental model of the domain, mental models form the basis for intuitive judg-
which serves to drive future decision making (Hill ments. In general, mental models include system-
and Levenhagen 1995). In line with research on atic representations of one’s knowledge about a
intuition, expert performance often relies on pro- domain or problem space (Jonassen 1997) and are
ceduralization, through which unconscious con- thought to develop through experience. As an
nections among prior experiences and ideas drive approach to understanding intuition and problem
work-related behavior (Shanteau 1992). Thus, solving, this conceptualization posits that when an
expertise often leads to increased subconscious established mental model is activated by fitting the
processing of information and, therefore, more characteristics of the situation at hand, it can lead
decisions that are driven by intuitive judgments. an individual to make decisions about elements of
Such subconscious processing can be noted in the the present situation that are consistent with the
phenomenon of design fixation, in which individ- established model. This effect mirrors cognitive
uals become single-minded in approaching a prob- literature on satisficing, in which the activation of
lem in a particular way, usually based on a route established heuristics can lead individuals to make
that appears obvious to them. In such situations, the snap decisions, based on the manner in which
individual is often unaware that fixation is occur- previously synthesized patterns of information
ring (Linsey et al. 2010). can be applied to a current problem (Simon 1990).
Examining the influence of expertise can pro- Finally, Gresov (1989) suggests a fit appraisal-
vide some possible explanations for the develop- based approach to intuition. According to this
ment of intuition. However, it must be remembered perspective, when an individual’s established
776 Effects of Intuition, Positive Affect, and Training on Creative Problem Solving
mental model fits the current situation well, he or Westcott 1966) developed such an instrument to
she subconsciously identifies similarities between assess individual intuition. This instrument
the model and elements of the situation. These involved presenting individuals with 20 analogi-
similarities then give rise to the patterns of asso- cal problems to solve and allowing them the
ciations involved in intuitive problem solving. opportunity to request additional clues if they
According to this framework, elements of a prob- felt it necessary. Participants were found to differ
lem that fit the mental model more closely are both in the number of problems they solved cor-
more likely to draw one’s attention during prob- rectly and also in the number of clues requested
lem solving (Gresov 1989). and their confidence in their proposed solutions.
It is worth noting that these theoretical Westcott and colleagues identified intuitive indi-
approaches have not been thoroughly evaluated viduals as those who correctly solved the greatest
with regard to their influence on intuition and prob- number of problems with the fewest clues.
lem solving. However, they may serve as jumping- This measure has demonstrated reasonable test-
off points for developing interventions, such as retest reliability, as well as construct validity (in
training programs, to enhance intuition and improve terms of relationship with cognitive ability mea-
problem solving. Such programs are discussed in sures). However, it is not without criticism, partic-
more detail in a subsequent section. Before begin- ularly with regard to its domain relevance. That is,
ning such a discussion, it is necessary to understand critics suggest that the use of analogical problems
how intuition can be assessed at the individual level. has limited real-world applicability and that there is
a lack of evidence that this test is predictive of
creative problem-solving performance (for further
Measurement of Intuition discussion, see Eubanks et al. 2010).
Other extant measures include an intuition
Research on intuition has demonstrated that it is, dimension, such as the Myers-Briggs Type
in part, a function of individual differences (e.g., Indicator approach individual intuition as a
Westcott, 1966). Although training and expertise dispositional, rather than cognitive, characteristic.
within a domain may influence how intuitive a However, such measures show no correlation with
given individual may be (e.g., Baylor 2001), peo- the aforementioned cognitive indicators of intui-
ple have a baseline level of intuition that impacts tion (Eubanks et al. 2010), demonstrating need for
intuitive performance (Eubanks et al. 2010). For further construct clarification.
instance, research by Bowers and colleagues (e.g., More recently, Eubanks et al. (2010) devised a
Bowers 1987) found that individuals were able to problem-solving task that assessed intuition in a
develop solutions to problems for which insuffi- creative domain. In their study, individual intui-
cient information was available. Specifically, par- tion was found to be a positive predictor of crea-
ticipants were able to identify connections among tive performance, particularly in terms of the
elements within the problem and develop valid quality and elegance of participants’ solutions. It
predictions about the solution before being pre- was suggested that solution elegance in particular
sented with sufficient information to identify the may benefit from intuitive problem solving; ele-
correct solution. Furthermore, individuals differed gance is an assessment of how well the compo-
not only in their ability to make intuitive judg- nents of a solution fit together and flow (Besemer
ments, but also in their willingness to propose and O’Quin 1999), and thus, highly intuitive peo-
solutions that were based on such intuitions. ple are more likely to produce such solutions due
Additionally, Eubanks et al. (2010) note that to their predisposition to unconsciously attend to
such judgments can be useful tools in the process patterns and themes. In light of the relationship
of creative problem solving. between intuition and creative performance
In light of such individual differences, the mea- (Eubanks et al. 2010; Raidl and Lubart 2001),
surement of intuition at the individual level we now turn to examine factors that may influence
becomes an important issue. Westcott (e.g., intuitive performance.
Influences on Intuitive Performance increased positive affect (Eubanks et al. 2010).

Eubanks et al. (2010) observed a similar trend
Numerous factors may influence the impact of for the originality of solutions proposed by these
intuition on creative problem-solving perfor- individuals.
mance. In particular, individuals’ level of positive Indeed, positive affect inductions can reduce
affect is thought to be a key predictor of problem- an individual’s attention to previously reviewed
solving success and a major potential influence on information and increase the likelihood of ignor-
intuitive performance. Research has demonstrated ing information deemed “irrelevant” (Isen and
that positive affect predicts creative performance Means 1983). Highly intuitive individuals are
in particular and that such effects are due to more likely to rely on aspects of a situation that
E
changes in thought processes, and not simply an become immediately apparent (Eubanks et al.
increase in individuals’ motivation (e.g., Estrada 2010), and thus when experiencing high levels
et al. 1994). For example, a study of doctors found of positive affect may disregard information that
that inducing positive affect led to earlier correct may be more subtly valuable. These findings sug-
judgments about patients’ diseases (Estrada et al. gest that while positive affect may enhance crea-
1994). Furthermore, doctors who received this tive performance when individuals are not
affect manipulation integrated a larger number of inherently intuitive, affect manipulations also
sources and were less prone to diagnostic errors, have the potential to impair creative performance
than those who did not. Particularly relevant to the in certain circumstances. As such, it is important
present discussion, research suggests that positive to consider additional factors that may influence
affect can influence problem-solving performance the relationship of intuition with creative perfor-
by inducing intuitive behavior (Eubanks et al. mance. In particular, training individuals to suc-
2010). For instance, recent research has demon- cessfully cultivate and harness intuitive
strated that inducing positive affect is positively judgments may be especially beneficial.
associated with the production of divergent think- Although intuition exists in part as a relatively
ing (Fernández-Abascal and Martín Díaz 2013), a stable individual characteristic, research on the
characteristic closely linked with creative prob- relationship between expertise and intuition sug-
lem solving. gests that training may serve to enhance intuitive
Examined in the context of intuition, such pos- performance (Baylor 2001; Ericsson and
itive affect inductions facilitate the acknowledge- Charness 1994; Sadler-Smith and Burke 2009).
ment of otherwise unconscious connections Cognitive theory suggests that the development
among themes and patterns (Kahn and of expertise (such as through a training regimen)
Isen 1993). That is, when positive affect is high, results in the proceduralization of declarative
people are better able to generate patterns in infor- knowledge (e.g., Berry and Broadbent 1984).
mation, incorporate a greater variety of informa- Such a process is associated with the development
tion into such patterns, and identify similarities of tacit knowledge, which was previously stated
and differences within such patterns (Isen and to be associated with the development and activa-
Daubman 1984; Kahn and Isen 1993). Recent tion of intuition (Reber 1989).
research has supported the role of positive affect It is thought that individuals trained to both
as a moderator of the intuition-creative perfor- recognize and apply intuitive judgments to the
mance relationship. Specifically, Eubanks et al. problem-solving process will perform better on
(2010) found that inducing positive affect was creative problem-solving tasks. In particular,
associated with higher quality solutions for indi- training may influence the relationship between
viduals low on intuition. However, inducing pos- intuitive understanding of a problem and subse-
itive affect was also associated with a decrease in quent creative performance. For instance, provid-
the quality of solutions proposed by highly intui- ing training on relaxation strategies is thought to
tive individuals. Such a decrease may be a result enhance the effects of intuition of creative perfor-
of reduced critical assessment due to participants’ mance (e.g., Markley 1988).
778 Effects of Intuition, Positive Affect, and Training on Creative Problem Solving
Although it can be argued that training can individuals. However, individuals who experi-
influence the relationship between intuition and enced induced positive affect and did not receive
creative performance, it is noteworthy that training outperformed individuals who received
approaches to intuition-based training programs both a training program and the affect induction.
may vary, depending on the perspective on intui- It is suggested that training programs may require
tion that one takes. That is, each of the three individuals to switch from their typical preferred
perspectives on intuition discussed previously problem-solving strategies, whereas positive
likely would point to very different training pro- affect can enhance the efficacy of existing strate-
grams. For instance, the associational approach to gies, resulting in greater performance increases
intuition (Simonton 1980) would recommend (Eubanks et al. 2010).
training programs that emphasize strategies to It is further noteworthy that although all three
build and strengthen the associational networks training approaches demonstrated increased crea-
that are thought to provide the underpinnings of tive performance for individuals with neutral
intuition. Such an approach would likely promote affect, an approach centered on strengthening
exploration of one’s environment and salient individuals’ mental models of the design space
experiences, in order to develop more material to demonstrated reduced gains in terms of solution
drive future intuitive judgments. In contrast, a originality, relative to other training programs. It
mental model-based approach (Johnson-Laird may be the case that reliance on existing connec-
1983) would likely focus on exercises to enhance tions among constructs and ideas (in the form of
the recognition and activation of patterns of infor- established mental models) may result in the
mation. Such a recommendation is consistent with development of solutions that are less novel than
literature in the field of expert performance (e.g., those developed from approaches emphasizing
Shiffrin and Schneider 1977), which suggests that the development and evaluation of new patterns
highly trained experts rely heavily on automatized and associations.
processes and previously synthesized information
to make judgments. Finally, the fit appraisal
approach to intuition (Gresov 1989) would likely Conclusion and Future Directions
involve providing trainees with opportunities to
practice appraising situations in order to identify Current findings demonstrate that intuition can be
elements that are congruent with or dissimilar to measured as an individual difference (e.g.,
established mental models. Further review and Westcott 1966) and that individual variability in
commentary on the characteristics of successful intuition can predict creative performance
creative performance training programs may be (Eubanks et al. 2010). Furthermore, also at the
found in Scott et al. (2004). individual level, positive affect has been found
In order to further examine the effects of train- to impact the effects of intuition on creative prob-
ing on intuition and creative problem solving, lem solving, particularly with regard to the quality
Eubanks et al. (2010) developed a self-paced of solutions devised (Eubanks et al. 2010).
training program that provided training based on Such empirical studies are a relatively recent
one of the three approaches to intuitive problem addition to the body of literature on intuition and
solving described previously. A fourth experi- creative problem solving, and continued scholarly
mental condition received no such training and pursuits in this field will likely yield further gains.
served as a control group. Findings in this study Specifically, recent work suggests the need to
demonstrate the interconnectedness of intuition, further examine the contexts in which affect
training, and positive affect. For three dimensions most strongly impacts the intuition-creative per-
of creative performance (quality, originality, and formance relationship. Such research demon-
elegance; see Besemer and O’Quin 1999), train- strates that positive affect may in effect
ing resulted in greater performance for individuals substitute for intuition in the creative problem-
with neutral affect, relative to untrained solving process. This also points to the
importance of developing interventions to capital- other dimensions of creative performance, specif-

ize on this relationship. For instance, it would be ically solution quality and elegance. This differ-
fruitful for studies to examine when it may be ential impact not only implies that outcomes of
most effective to provide affect-enhancing cues intuitive problem solving must be examined in
and when it may be more valuable to provide terms of multiple constructs, but also underscores
potentially drier, but perhaps more informative the importance of evaluating creative perfor-
directions. mance as a multifaceted construct (Besemer and
Researchers also need to further investigate the O’Quin 1999). Thus, further study of intuition in
conditions under which training may best enhance creative problem solving has the potential to
the effect of intuition on creative performance. enhance our understanding of both intuition as a
E
Recent empirical research has provided prelimi- construct and also of creative performance as a
nary evidence for such effects, but the conditions complex outcome.
under which potential gains are maximized need
to be studied in more detail. Furthermore, addi-
tional moderators of this relationship (such as Cross-References
positive affect) should be tested more fully.
From a theoretical perspective, scholars need ▶ Collaborative Innovation
to further advance their understanding of the fac- ▶ Complexity and Creative Problem Solving
tors that give rise to intuitive behavior in the realm ▶ Creative Knowledge Environments
of creative problem solving. Among the perspec- ▶ Creative Thinking Training
tives described in the extant literature, those that ▶ Epidemiology of Innovation: Concepts and
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ilarly effective in many circumstances. This points ▶ Four Ps of Creativity and Recent Updates
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Empty Spaces in Space 781
above. Outer space is one of the most unexplained

Empirical Studies of Creativity places, and there are many speculations and
debates about several topics. What is out there?
▶ Psychology of Creativity Are we alone?
▶ Research on Creativity Nowadays, it is hard to imagine a life without
the benefits of outer space, especially when
one thinks about navigation, communication,
Empirical Studies of the Arts or weather satellites. Those are only some of the
most well-known applications of satellites which
are orbiting Earth. Nevertheless, outer space is
▶ Areas of Innovation in Arts: Innovation and E
Where to Look for It generally not recognized as an important part in
▶ Communicating Invention, Creativity, Innova- human’s everyday life.
tion, and Entrepreneurship Historically, astronomy played a significant
▶ Psychology of Creativity role in the discovery of physical laws. The laws
▶ Research on Creativity of gravity, electromagnetism, relativity, and
▶ Social Design nuclear fusion were all discovered through astro-
nomical observations (Zubrin 2019).
The foundation for the space age was the space
race, a competition between the United States and
Employee-Generated the Soviet Union that focused on the rapid devel-
Information Systems opment of space technology. National security
was the main driver for innovation and scientific
▶ User-Generated Information System
development. The conflict between those two
states led to various technological developments.
Both states sent their satellites and rockets with
Empty Spaces in Space humans into space for communication and Earth
observation purposes; however, the main goal was
Alexandra Fabrykowska to engage in a military technology race between
Department of Political Science, University of those two superpowers as well as to prove the
Vienna, Vienna, Austria ideological and economical superiority over the
Faculty for Interdisciplinary Studies (iff), Institute opponent block power (Way 2018).
of Science Communication and Higher Education Despite the fact, that in the beginning the
Research (WIHO), Alpen-Adria-University development of new space technology was driven
Klagenfurt, Vienna, Austria by two conflicting powers, after the Cold War, the
number of actors in outer space has increased
significantly in the last two decades. Various states
Synonyms acquired a space launch capability, and more
than 55 nations and regional governmental orga-
Astropolitics; Environmental justice; Geopolitics; nizations operate their satellites in Earth orbits
Innovation future/future of innovation; Societal (Brachet 2012). The internationalization and
natural relations; Societal transformations; Space regionalization of different space activities in
activities; Space technology recent years led to various innovations.
Recently a new important actor appeared
in outer space activities, with promising develop-
A Brief History of Space Exploration ments. Various private companies started to
operate commercial satellite systems as well
Since the beginning of humankind, there was as develop new technology. Most prominent
a fascination with the sky and the sparkling stars examples are SpaceX, Blue Origin, Vector
782 Empty Spaces in Space
Launch, and Firefly. Due to the newest achieve- and even years after it, due to the tempting idea of
ments in space technology, more and more com- the possibility of dominance and control in space.
panies will enter the market. In February 2018 Even recently, with Trump’s suggestion of the
SpaceX launched the Falcon Heavy rocket into establishment of the space force, the idea of an
Lower Earth Orbit. In comparison to similar uprising superpower in space remains in place.
national programs, SpaceX achieved the project However, there are several critical geopolitical
in half the time and at a thirtieth of the cost. theories that question the hegemonic ideas of state
Additionally, the launch vehicle is three-quarters and non-state power and adverse positions that put
reusable. It was an outstanding accomplishment politics outside and against state apparatuses.
of a private actor, and today SpaceX is still devel- Such approaches challenge the main idea of state
oping new technologies. Although NASA and interests and present a broader picture of diverse
other national space agencies delivered incredible possibilities how civil society can be involved in
results in space science over the years, SpaceX power as well as in outer space (Klinger 2019).
gave an impulse for new ideas and new possibil- People are connected with outer space, especially
ities in outer space. It has shown that pushing the with the Earth orbits in their daily lives. Different
boundaries in aerospace technology is also possi- orbits, characterized by specific altitude ranges,
ble for private enterprises, despite the fact that are used for diverse purposes. The Lower Earth
it was previously thought that only governments Orbit (LEO) is most accessible (in terms of energy
of major states could afford such expenses expenditure) and is used for reconnaissance satel-
(Zubrin 2019). lites and manned flight missions, such as the ISS.
With the ongoing advancement in space Further up, in the Medium Earth Orbit (MEO),
technology and potential competition on the mar- navigational satellites are deployed, whereas in
ket, private actors may become a game changer the Geosynchronous Equatorial Orbit (GEO),
in the perception of space by other nations. one will find communications and weather satel-
Various questions of outer space are geopolitical. lites. Many people benefit from the services
Therefore, it is important to look at various geo- provided by satellites, but those satellites can
political theories regarding outer space and also be used for military purposes. The 1987 UN
how states and other organizations are viewed in Outer Space Treaty (OST) enacted in Art. IV that
those perspectives. the outer space should be used only for peaceful
purposes and banned weapons in space, on the
moon, or on other celestial bodies. Nevertheless,
Various Geopolitical Theories any civilian infrastructure can also become
a weapon, due to the fact that any satellite has
The classical geopolitical approach focuses on the possibility of dual-usage. Additionally, the
the national interest and the competition between increasing commercial activity in space technol-
states. It is often used to justify extraterritorial ogy is an ongoing process that undermines the UN
empire building by an ongoing militarization of OST space governance. On the one hand, critical
space by major powers. Whatever nation gains the astropolitical theories want to question the power
greatest control over outer space would also have politics; on the other hand, they pursue to deepen
the greatest strategic advantage on Earth (Klinger the public debate and strengthen the democratic
2019). The mainstream astropolitics uses classical accountability (MacDonald 2007).
geopolitics to explain various space strategies to Besides the critical geopolitical theories, envi-
increase state power and authority in outer space. ronmental geopolitics does not only question the
It is defined as “the study of the relationship state and imperial powers but also puts it into
between outer space terrain and technology and relation to the environment. Environmental geo-
the development of political and military policy political theories focus on the perpetually global
and strategy” (Dolman in Sheldon 2002). Such inequality and environmental degradation as well
a perspective was popular during the Cold War as environmental justice. For environmental
justice, it is important not to understand outer is inspired by Brand’s theoretical framework of

space as a separate environment somewhere far societal nature relations.
away, but as a space, where human engagement Over the last few years, there were several
can lead to actual injustices. Environmental injus- debates about global environmental governance
tice can be found in different aspects of space and analyses of the ineffectiveness of interna-
activities. For instance, during a rocket launch, tional politics in a number of policy fields. The
the surrounding area is exposed to different present world finds itself in various crises, an
toxins, heavy metals, and acids. Additional envi- economic crisis, a migration crisis, and a continu-
ronmental injustice can be found in the increasing ing environmental crisis. The ecological crisis
problem with orbital debris and the unequal can be seen as a “multiple crisis” which contains
E
access to technology (Klinger 2019). several problems, such as degradation of natural
Meta-geopolitics of outer space introduced livelihood, poverty, hunger, and biodiversity loss,
a multidimensional spatial framework, which and is linked to the financial crisis (Brand and
includes outer space and expands the classical Wissen 2013). The unequal development of
powers and covers the seven power capacities the global economy, the extremes of wealth and
of a state, i.e., social and health issues, domestic poverty, as well as the ongoing urbanization and
politics, economics, the environment, science and environmental degradation are still accelerating
human potential, military and security issues, and (Smith 2010).
international policy (Al-Rodhan 2012). The societal nature relation is a new emerging
Each geopolitical theory has numerous argu- concept in socio-ecological debates, which tries
ments that all converge to its core proposition. to explain the paradox of the high awareness of
The classical geopolitical approach focuses on the ecological crisis, the different manifestations
national security and the existence of a single of the crisis, and the inadequate social changes
global superpower, while the critical geopolitics (Brand and Wissen 2013). The theory shows the
challenge this focus and puts the society into the multilevel interlinkages between the modes of
spotlight. Environmental geopolitics goes further production, capitalist regulations, state and gov-
and adds environmental perspectives, especially ernance, and hegemony as well as the various
environmental justice to the different theories, mechanisms and contradictions within the societal
whereas the meta-geopolitics focuses on national relations (Brand 2016). This theoretical concept
power and the nature of statecraft. Although these focuses on the terrestrial nature and the implica-
different main theories show an ongoing develop- tions of human actions regarding nature, but con-
ment in astropolitics, with the newest achieve- sequently, as it will be explained below, it can also
ments in space activities, a broader perspective be applied to outer space.
will be necessary to understand the complexity For the societal transformation, different
and interlinkages of outer space and its actors as aspects need to be taken into consideration.
well as how to coordinate the diversity of The first aspect that needs to be considered
according activities. is the production of nature. In political ecology,
nature is societally, socio-economically, cultur-
ally, and politically produced and appropriated.
An Innovative Approach Within the social-ecological transformation, the
focus lies on the social forms of the usage of
History repeats itself. With the assumption that nature (Brand and Wissen 2017). Nevertheless,
today’s society as well as states will not change there is no pure definition of nature. As many
their behavior and actions drastically in any fore- proponents of critical and environmental geopol-
seeable period, this paper wants to explore an itics stated, outer space is also part of our
approach that could be applicable in the future, nature. MacDonald explained in his paper Anti-
when space activities and space technologies will Astropolitik that outer space is no longer remote
reach a sufficiently advanced level. The approach from human interaction, and it is a sphere of the
social. It is produced through social action and broadly accepted as a development logic and
constitutes a space where justice can be addressed. is hardly put into question, even though the cap-
Due to the fact that outer space has been already italistic production and distribution patterns as
produced through various earthly regimes of power well as the unchangeable consumption habits led
in different ways it can endanger the social justice to overproduction and destruction of capital.
as well as democracy (MacDonald 2007). There- Nevertheless, the imperial mode of living assumes
fore, outer space could be introduced into the that one can always have access to all natural
framework of societal nature relations as the one resources, which also means that there is some
part of nature that surrounds and confines humans. sort of exclusivity, because not all humans have
Nature per se is shapeable, one can change it to the same degree of access to the natural resources.
its needs, but it is not totally controllable (Brad The access to the global resources as well as the
and Brand 2016). There is also a tendency in labor force was over and over again restructured
human societies to colonize nature and use nature (Brand and Wissen 2013). Without any changes in
and the resources of nature for different purposes the way of thinking, the imperial mode of living
(Brand 2016). Such a colonization of nature is will surely be implemented in outer space.
used to enhance productivity (Brand and Already it can be seen that only developed coun-
Wissen 2017). The domination of nature leads to tries can afford space programs, while developing
the thinking that the whole nature is a resource for countries are left behind. Art. 1 OST states that all
humankind and can be used only for the welfare of exploration and usage of outer space shall be
the human. While nature is seen as a completely carried out for the benefit and in interest of all
different and separated factor apart from the countries, irrespective of their degree of economic
human life in the modern world, only the human or scientific development. Nevertheless, the word-
well-being is essential for today’s societies ing is left purposefully vague and therefore, such
(Winterfeld et al. 2004). With the ongoing devel- an appeal for the sharing of benefits seems more
opment of advanced technologies, many opportu- likely to be a burden rather than a positive obliga-
nities arise to (industrially) exploit the resources tion to fulfill. The competitive nature of space
in space. From additional satellites, mining aster- engagement conflicts with the diverging goals of
oids to terraforming planets – humans find differ- developed and developing countries. The access
ent ways how to use nature for their own benefit. to space benefits is basically a question of the
Such an attitude toward nature can be nature of international cooperation among states
explained by the second aspect, the capitalist reg- (Aganaba-Jeanty 2015). Due to the fact that pri-
ulations and the imperial mode of living. The vate actors are emerging and changing the space
capitalistic understanding of production and con- sector, outer space activities may become even
sumption, based on the idea to enhance the added more competitive and exclusive because they do
value, promised everyone desirable wealth and not have any obligations toward other states.
well-being. Such a way of thinking expanded to Additionally, an important aspect of the impe-
the global market as well as into other areas of rial mode of living is that it sees environmental
peoples’ lives besides the economy (Brand and crises as isolated problems and not as extensive
Wissen 2010). The existing patterns of produc- societal issues. Therefore, economical patterns are
tion, distribution, and consumption are known as used to overcome a crisis, for instance, the emis-
a daily practice in the global north and are part of sion trading system for climate change. However,
the imperial mode of living. The imperial way of such challenges should be regarded in connection
living assumes that all resources, raw materials, with the degradation of social power within socie-
land, and labor capacities are accessible and tal natural relations (Brand and Wissen 2010).
secured for the disposition in an unlimited fash- When it comes to finding solutions for the pollu-
ion. This kind of understanding is increasingly tion of the orbits with additional satellites or orbital
becoming popular in the emerging countries of debris, one cannot just regulate it with typical
the global south. The imperial mode of living is economic patterns.
Another aspect of the theoretical framework States

of the societal nature relations, are the states On the international level, states are still the main
and governance. The production of nature is not actors when it comes to space activities and vari-
detached from the existing power relations. The ous space programs. The international law created
governance and management of nature is an various regulations to manage space-related
important medium for social power (Köhler and activities, for instance, the Liability Convention
Wissen 2010). The crisis within the societal nature 1972 or the Moon Treaty 1979. Many states have
relations is strongly connected with social power enacted national space legislations, which are
relations. Many crises take place on various levels more detailed than international law, but all have
– local, regional national, or international – and the common element that they were inspired by
E
different actors perceive those crises in different the general principles of international treaties
ways. Depending on the interests of those actors, (Nucera 2019). While developing several treaties
various solutions will be enforced (Brad and on space activities, the key actors relied on anal-
Brand 2016). States are not neutral entities, but ogies from other international areas – the ocean,
rather they are seen as an important part of social airspace, and Antarctica – without considering the
relations. States can navigate societal or economic fact that outer space is different from those areas.
interests in a certain direction through different For instance, the principle of res communis is
measures (Brand and Wissen 2013). Due to the used for oceans and the Antarctica and because
ongoing neoliberal globalization, states are losing of that, this analogy has also been applied to outer
their dominant and regulative position on the mar- space. However, the continuous developing sci-
ket. Today’s global progress is based on the old- entific knowledge about outer space shows its
fashioned patterns of the imperial mode of living, unique material features: In cost to the domain
a hegemonic mindset, domination of nature, and analogies, the space environment does not have
exploitation of nature. With globalization new an ecology nor a renewable and sustainable eco-
conflicts evolve about public goods, resources, system. The particular features which were
and spaces, because those are often only accessi- designed to govern one area cannot be effectively
ble to the privileged states. Public goods like applied to another area, when they are signifi-
freedom, social justice, and fairness, as well as cantly different. For a future collective gover-
an intact environment, are not self-evident for nance, as well as policymaking, a natural
everyone (Winterfeld et al. 2004). scientific view of outer space would be more
Although at the beginning, space activities efficient, due to the fact that analogies are used
were carried out by state agencies, nowadays for one preferred political, economic, or military
also the private sector is starting to play an impor- action and may shift over time with the interest
tant role. Similar to the neoliberal globalization, and power of various actors (Mendenhall 2018).
states do not have exclusivity over outer space States need to consider this fact, when prospective
anymore. The power of states may shift, and the technologies will lead to advanced space activities
private actors will open the market to new oppor- that will need new regulations.
tunities, but also to new conflicts, if the economy Especially, when it comes to space technolo-
of outer space will develop in similar ways like the gies, states manage the transfer of innovation.
existing economy on Earth. Without an equal access to space, some develop-
Considering outer space as part of nature, a part ing states are left behind and cannot benefit from
of which humankind is taking advantage of, it is the technological opportunities that other devel-
interesting to examine with the understanding of oped states gain through spacefaring. Such a
societal nature relations the various impacts and “space gap” is an obstacle for the economic devel-
consequences of those actors in detail and try to opment of the global south. Space research and
interlink the empty spaces between them. For this development have a positive effect on the econ-
reason, four different components of outer space omy. During the Cold War, the space race created
activities will be emphasized. various innovations that benefited the society
as well as the economies of the developed states, but companies providing commercial imaging and
these benefits were not shared with developing states remote sensing services, as well as universities or
and created the space gap. Developing countries schools. Once the costs for sending satellites
have limited access to the technology that is neces- become lower, space exploration will become an
sary to participate in the market economy of today’s affordable undertaking not only for states and com-
space age (Way 2018). Although there are some panies but also for individuals (Zubrin 2019). For
cooperation programs as well as joint projects instance, the University of Nairobi deployed its
between specific states, for instance, the International first CubeSat in 2018 from the ISS through the
Space Station or joint satellites of developing states, KiboCube program. Kenya’s first satellite will
for instance, the KiboCube program (UNOOSA increase its capacity in space technology, science,
Annual Report 2018), a broader international coop- and exploration, as well as help the country lever-
eration between developed and developing states can age their benefits for sustainable development
serve as a foreign policy and a diplomatic tool, (UNOOSA Annual Report 2018).
especially as soft power. Space diplomacy can be With lower-cost launches, enterprises could
seen as a way of improving international cooperation also start to invest in orbital research labs in the
(Firdous 2019). Due to the multiplication of actors in LEO that use zero-gravity and high-vacuum envi-
outer space and the increasing dependence on space ronments for research. Such research would pre-
technology, space became an important factor of sent new knowledge that could be profitable, for
national power and an indicator for international instance, for new patents. Till now, the research
prestige of states (Nucera 2019). facilities of the ISS were not used by enterprises
due to the high launch costs and the challenging
Economy bureaucracy of NASA (Zubrin 2019).
Space missions increasingly depend on the Apart from profitable research, another com-
cooperation between governments and the private mercial possibility would be to mine asteroids
sector. Lively competition between players of dif- and comets. Asteroids are relatively accessible
ferent areas like launch and infrastructure, tele- and consist of valuable minerals, whereas comets
communication, and supplier industry of scientific often have materials like water, methane, or
payloads boosts research and development on ammonia (Mendenhall 2018).
the private sector. Additionally, contests foster Another breakthrough, which has been already
the development of further space activities. A discussed by several scholars, is space tourism
similar situation took place during the early and the impacts of it. Due to the decreasing costs
years of aviation, for instance, when the first flight of space launch, spaceflights become cheaper and
over the English Channel was rewarded. The tourism mobility may change. With space tour-
commercialization of space activities led to fruit- ism, new technologies will be developed contin-
ful developments, especially reusable rockets, and uously, so that spaceflights become safer and
therefore a reduction of launch costs that opens durable. The market for space tourism can grow
new opportunities for human activeness in outer significantly when the public interest in outer
space (Spector et al. 2017). space will increase. Accessible and inexpensive
With decreased launch costs, new potential spaceflights can become similar to today’s flights.
markets can emerge. Nevertheless, space tourism has to be considered
The costs to get a satellite into orbit mainly from a sustainable perspective by private actors
depend on the launch cost per kilogram of expand- as well as by states (Spector et al. 2017). If one
able boosters. The invention of CubeSat, minimal- applies the same economic reasoning in outer
capability satellites with a mass of approximately space like on Earth, in particular the Brand’s
1 kg and the volume of 1 l, helped to expand the notion of the imperial mode of living, without
access to satellites. This does not only apply to taking the space as a part of societal nature into
governments and their military payloads such as account, similar consequences with various crises
satellites for navigation or early warning but also might occur in outer space.
Environment sustainability of space activities. Due to the fact

Outer space has a different environment than ter- that all participants, states, international and regional
restrial nature. On the one hand it is more fragile, organizations, and private companies, use the same
because it does not have a self-sustaining ecosys- environment around the Earth, they need to find a
tem and renewable resources; on the other hand, common approach how to use outer space sustain-
it is more extreme, due to the lack of atmosphere ably in the long-term view (Brachet 2012). Such a
and gravity, space radiation, freezing tempera- need for a sustainable approach to outer space activ-
tures, crushing pressure, and other dangers. Even ities has already been recognized within the space
if some kind of ecosystems would be discovered community. The awareness of the fragile space
on celestial bodies, they cannot be compared to environment increased due to two major incidents
E
the ecosystem on Earth, which can more or less in the orbit: the first, in 2007, when the Chinese
balance the impacts of human activities. Outer authorities destroyed deliberately a weather satellite
space has very limited capacity to repair itself and the second, in 2009, when the Iridium 33 com-
when humans start to use it more frequently. For mercial communication satellite collided with the
instance, space debris cannot be removed as easily Russian Cosmos 2251 spacecraft. Nevertheless,
as a polluted bay (Mendenhall 2018). besides the higher awareness, there are little consid-
With an increasing number of active satellites erations of how actions in the outer space environ-
in the LEO, the probability of collisions between ment should lead to a long-term sustainability.
those satellites also increases. Such collisions According to Newman and Williamson, the differ-
would create space debris, which could cause ent actors need to import sustainable values for
further collisions with other satellites leading space activities, whether it is a state activity or a
to an exponentially growing belt of debris around commercial activity, and thereby create a shared
the Earth and would affect other space activities understanding of the fragile space environment
(Kessler and Cour-Palais 1978). Even very small (Newman and Williamson 2018).
particles of debris can be a realistic threat to many
space missions and activities due to their high Society
velocity (Klinger 2019). Many satellites and With the growing dependence of society to space
even the ISS had to maneuver several times, to technology and the increasing space community,
avoid an already existing space debris. Regardless one has to consider the two-sided interactions
of commercial activities that could cause debris, if of society and space. Outer space is produced
a state would use a weapon in outer space it would through social action. With the higher awareness
produce so much debris that the nearby orbits of the possibilities of outer space more disciplines
would be useless (Brachet 2012). To avoid this are interested in exploring the undiscovered spaces
condition, known as the Kessler syndrome, one in outer space. Nowadays, not only natural sciences
needs to determine with high precision how many have an interest in researching the space but also
objects there are in orbit around the planet and humanities and social sciences (MacDonald 2007).
create, for instance, a governmentally coordinated Due to an increasing international collabora-
system of Space Traffic Control, similar to the Air tion among scientists, new knowledge is acquired.
Traffic or Sea Traffic management (Eves 2019). One of the most well-known collaborations,
In a sense, orbital debris is a human pollution of the Event Horizon Telescope, with more than
outer space which is produced by only a few coun- 200 researchers and 60 institutions working
tries. With new emerging actors, whether it be states together for almost 10 years, successfully
or enterprises and the ever more crowded orbits, the obtained the first picture of a black hole (Event
accessibility of outer space becomes more and more Horizon Telescope website 2019). While physical
limited (Klinger 2019). To ensure not only the scientists develop new technologies and generate
access to outer space, but also the space environ- new knowledge about outer space, social scien-
ment as well as the safety and security of further tists focus on the effects of today’s space age
space activities one has to consider long-term technologies on humans, especially in regard
to social structures and social institutions. An economic priorities (Burwell 2019). It is therefore
interdisciplinary approach is necessary for further interesting to see what kind of interlinkages exists
developments, as astronomers are concerned between the different actors.
about the implications of their work for society. Till today, the main actors in outer space
Such a cooperation can be found within SETI, the are states and national organizations. They
scientific search for extraterrestrial intelligence. established the principle rules of space activities
On the one hand, there are various technical that apply on the international and national level.
aspects that are covered by astronomers and astro- Despite those declarations on international level and
physicists; on the other hand, there are several legislation on national level, there is still room for
social and cultural implications that are resear- unjust and unequitable treatment of other states,
ched by astrosociologists. SETI is a good example especially due to the existing technological space
for an interdisciplinary collaboration (Harrison gap, as well as other actors, like nature or society.
2011). Additionally, the broader public can be Beside states, the new emerging actors in outer
also involved in the search of extraterrestrial life, space activities are private entities. Due to the ongo-
especially with the project SETI@Home, a scien- ing technological innovation and lower launch
tific experiment that uses Internet-connected costs, space flights and space exploration are
computers for analyzing radio telescope data becoming more affordable for business enterprises.
(SETI@home website 2019). New discoveries in The economic competition boosts the creativity of
outer space will not only shape scientific entrepreneurs regarding outer space and the possible
approaches but also the societies. Furthermore, usage of it. As outer space is becoming a new field
societies can already learn from the existing chal- for private actors there are many potential opportu-
lenges of coexistence on the ISS. Astronauts con- nities for business, either for commercial purposes
ceptualize a harmonious relationship and present or orbital research, or for more futuristic aspirations,
different opportunities to coexist among cultural like space mining or space tourism.
differences in orbital space. Behavioral patterns Nature and society are rarely seen as autonomous
and ideas of astronauts change to a more peaceful actors when it comes to space activities, but they
approach, due to the gained awareness of the should be also considered as important participants,
fragility of life on Earth that can be seen from because they are affected by the actions of states and
space. An ecological and global precariousness private enterprises. The pollution of nature does not
offers an important indication to overcome the stop at the boundaries of Earth. The orbits are
political significance of the human pretensions already polluted, and a sustainable approach is nec-
of territorializing outer space (Ricca 2018). essary, not only for the sake of nature, but also for
Nevertheless, it is questionable whether people future state and private space activities. Such global
will learn from the astronauts’ experiences or challenges cannot be resolved only by a few states
rather impose their imperial mode of living on or organizations. Societies have to be taken into
outer space activities in the future, similar to consideration when one is thinking about possible
today’s consumption patterns. sustainable solutions.
According to the theory of societal nature rela-
tions, aspects like the mode of production, capitalist
Conclusion and Future Directions regulation, state and governance, hegemony
approaches as well as the environment and society
Astropolitics is becoming more and more impor- need to be considered to achieve a well-balanced
tant due to human dependence on space technol- relationship between the main participants. With an
ogy. Considering the fact that private actors are expanding space economy, the number of actors
increasing their participation in outer space activ- increases, as well as the growth and frequency of
ities, an innovative approach is necessary for an objects launched into space. Due to the ongoing
adequate interaction of all actors. developments of space technologies, other sectors
As a stage of human activity, space shifts and like robotics or artificial intelligence seek opportu-
evolves according to social, political, and nities in outer space to provide their own services
there. Space activities strengthen the economic ▶ Mode 1, Mode 2, and Innovation
growth, industrialization, and innovation ▶ Mode 3 Knowledge Production in Quadruple
(UNOOSA Annual Report 2018) and are therefore Helix Innovation Systems: Quintuple Helix and
important for the mode of production as well as state Social Ecology
and governance. Before space will be used as a ▶ Multilevel Systems of Innovation
resource for all different kinds of activities, it is ▶ National Innovation Systems (NIS)
essential to consider long-term sustainability and ▶ Nonlinear Innovations
the options how to achieve it in such an extraordi- ▶ Political Leadership and Innovation
nary environment as outer space, before it will be ▶ Preparing a “Creative Revolution”: Arts and
irreversibly changed by human actions. Outer Space Universities of the Arts in the Creative
E
has even more subjects that can be discussed Knowledge Economy
through the perspective of the four main compo- ▶ Quality of Democracy and Innovation
nents of societal nature relations, (state, economy, ▶ Quintuple Innovation Helix and Global
nature, and society), for instance, the interconnec- Warming: Challenges and Opportunities for
tions between outer space and global health that Policy and Practice
could be strengthened by international cooperation ▶ Rigidity of Scientific Thought Hinders Innovation
(UNOOSA Annual Report 2018). With those ▶ Social Ecology and Quintuple Helix Innovation
diverse examples, one can see various interactions Systems
of the four main actors as well as the empty spaces ▶ Speaking Pictures: Innovation in Fine Arts
within those that can be improved in the future. Each ▶ Systems Theory and Innovation
component plays its significant role and needs to be ▶ Transdisciplinary Research (Transdisciplinarity)
taken into consideration, when humankind wants to ▶ Triple Helix of University-Industry-Govern-
reach its final frontier – the outer space. ment Relations
Cross-References
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Entrepreneur and Economists 791
a few key economists, to develop a reflection on

Enterprises the evolution of the role of the entrepreneur in
today’s capitalist society. We should underline
▶ Innovation Systems and Entrepreneurship an apparent contradiction between two phenom-
ena: the growing number of scholars of entrepre-
neurship (especially from the beginning of the
1980s) (Landström and Lohrke 2010; Boutillier
Entrepreneur and Uzunidis 1995) and the greater importance
of large enterprises in today’s capitalism, despite
▶ Academic Entrepreneur, Academic Entrepre- numerous new business start-ups (Microsoft,
E
neurship Apple, Google, Facebook, etc.). Even if it appears
▶ Entrepreneur: Etymological Bases to be the result of the “destructive creation”
▶ Entrepreneurship in Developing Countries of Schumpeter (1942; Boutillier and Uzunidis
▶ Entrepreneurship Policies 1995), which is the process of the continuous
▶ Female Entrepreneurship technological and organizational change of capi-
▶ Innovation Systems and Entrepreneurship talism, the recent progress in new technologies
▶ Innovator of information and communications offers new
▶ Institutional Entrepreneurship, Innovation Sys- opportunities of profit and investment for entre-
tems, and Innovation Policy preneurs. However, from the beginning of the
▶ Microfirms 1980s, economists’ interest in entrepreneurship
▶ Self-Made Man can be explained by the development of self-
▶ Social Capital of the Entrepreneur employment and increase in the number of small
▶ Social Entrepreneurship businesses. Indeed, governments have sought an
answer to employment problems by promoting
the creation of new businesses. Conversely to
this, subsequent to the period of economic growth
Entrepreneur and Economists from 1945 to 1975 in industrialized countries,
since the end of the 1970s, the increase in salaried
Sophie Boutillier employment has slowed down.
Research Unit on Industry and Innovation/ We highlight that this economic evolution is
CLERSE–CNRS (UMR 8019), University of taking place in a new historical context character-
Lille Nord de France, Research Network on ized by the rise of financial markets. Entrepre-
Innovation, Dunkerque, France neurship has emerged as a specific field of
Research Unit on Industry and Innovation, research in economics since the beginning of
University of Littoral Côte d’Opale, Dunkerque, the 1980s. This period was characterized by two
France linked phenomena: (1) the end of the economic
growth period (1945–1975) and (2) the failure
of Keynesian policy. This new economic evolu-
Synonyms tion would be based on a radical economic and
political change. Thus, the challenge was to find
Creation of activities; Economic evolution; Eco- a new economics dynamic based on a new insti-
nomic theory; Individual initiative; Innovation tutional structure, in other words, a new institu-
tional structure to promote free markets and
entrepreneurship (private initiative).
Introduction Between the end of the 1950s and the end
of the 1970s, the entrepreneur, as an economic
The objective of this text is not to present an instrument of change, disappeared from economic
exhaustive analysis of the economic theories of theory. Entrepreneur has been replaced by the
the entrepreneur but by revisiting the works of firm. Baumol (1968) pointed out this weakness
792 Entrepreneur and Economists
of economic theory: “the theoretical firm is The Classical Age: Beginning of the Industrial
entrepreneurless – the Prince of Denmark has Revolution
been expunged from the discussion of Hamlet” Since the early contributions in the eighteenth
(Audretsch et al. 2011, p. 166). The entrepreneur century, the entrepreneur has personified the
does not exist in the neoclassical model, even if uncertainty of the free market. Cantillon created
he is a central figure of capitalism. How can you his theory during the first industrial revolution, at
explain this situation? Can it be explained by the the beginning of the eighteenth century, during
development of managerial capitalism? Certainly, a period when governments had an important
but the answer can be found not only in eco- economic influence. The objective of mercantilist
nomic facts but also in economic theory. Two policy was to promote the creation of big public
main elements can be suggested: (1) since the enterprises and to limit economic dependence on
mid-twentieth century, economics as a science other countries. War was a tool for governments
has become increasingly formalized and mathe- to collect new wealth that they could not get
matically oriented – “An approach that made it though international trade or by their own eco-
difficult to include the entrepreneur in the models nomic development. According to R. Cantillon,
of economics” (Landström and Lohrke 2010, the fundamental role of the entrepreneur is to
p. 25). (2) The neoclassical theory with Walras’ make decisions in an uncertain economic context.
model has reduced the entrepreneur to a decision- In the Essay on the Nature of Commerce in Gen-
maker. Three economists founded the theory of eral (published in 1755), the entrepreneur is
the entrepreneur: Richard Cantillon, Jean-Baptiste described as a risk-taker who bears uncertainty.
Say, and Joseph A. Schumpeter. They brought to The entrepreneur takes risks because he buys a
bear three basic elements: uncertainty, risk, and product with a definite price, but he sells the
innovation. Paradoxically, profit does not take a same product for another price which can be
lot of place in the economic theory of the entre- lower or higher. Cantillon does not offer in this
preneur. To be an entrepreneur seems to be a text a precise definition of uncertainty. Cantillon
game or in other words a challenge to change basically defines uncertainty as the inability to
economic routines. predict a future state or condition.
The Maturity of the First Industrial Revolution

Entrepreneurs and Key Economists J.-B. Say is, like Cantillon, a liberal economist. In
his Traité d’Economie Politique (“Handbook of
Historical Contexts Political Economy” published in 1803), Say pre-
Nevertheless, the entrepreneur, as an economic sents a theoretical model which is based on the
concept, appeared at the beginning of the eigh- free market, the basic engine of the economic
teenth century with Richard Cantillon. For econ- process. The well-known Say’s law illustrates
omists, the entrepreneur plays an important role this conception of the economic process. In
in capitalism because he (or she) is a source of this framework, the fundamental role of the entre-
innovation (technical or social). Three historical preneur is to innovate. The entrepreneur is a mid-
economists founded the theory of entrepreneur- dleman between the scientist who produces
ship: Richard Cantillon (approx. 1680–1734) in knowledge and the worker who uses it to develop
the eighteenth century, Jean-Baptiste Say new industrial activities. Thus, Say emphasizes
(1767–1832) in the nineteenth century, and that the role of the entrepreneur consists of com-
Joseph A. Schumpeter (1883–1950) in the twen- bining the factors of production into an organiza-
tieth century. All three brought the same tion. The entrepreneur has a coordinating role in
determining elements: uncertainty, risk, and inno- production and distribution. But J.-B. Say does
vation. To summarize, the entrepreneur, as an not show the links between his economic law
economic function, embodied the continuous eco- and the place and the role of the entrepreneur in
nomic evolution of capitalism. this economic context. Thus, if the goal of Say
was to personify the invisible hand of Adam 1. Entrepreneurs have equal access to the same
Smith, the result would be very disappointing. risky ideas or technology and receive all the
profit from risk-taking.
The Beginning of the Managerial Capitalism 2. Entrepreneurs have access to the same infor-
J. A. Schumpeter, in The Theory of Economic mation. They do not have a specific strategy in
Development (published in 1911), underlines the competitive process. Entrepreneurs are
that the entrepreneur is the economic individual always and everywhere maximizers.
who realizes new “productive combinations.”
Schumpeter provides an exhaustive list of typical The Scientific Project of Schumpeter
opportunities for entrepreneurs who recognize The scientific project of Schumpeter is to create
E
and exploit them (Bonnet et al. 2010, p. 56): a new economic theory because the Walras’
model cannot explain the movement of capitalism
(crisis, recession, growth, and technological
1. The introduction of a new good – that is one
change). In Schumpeter’s theory, the entrepreneur
with which consumers are not yet familiar – or
plays an important role as an engine of change.
of a new quality of good.
The Schumpeterian entrepreneur is not rational
2. The introduction of a new method of produc-
(according to Walras). If entrepreneur’s objective
tion, that is, one not yet tested by experience
is profit, it is also to call into question the organi-
in the branch of manufacture concerned, which
zational and productive routines.
need by no means be founded upon a discovery
But Schumpeter has been influenced by
scientifically new, and can also exist in a new
another famous neoclassical economist, Carl
way of handling a commodity commercially.
Menger (1840–1921). Menger’s theory is funda-
3. The opening of a new market, that is, a market
mentally different from that of Walras’ theory as
into which the particular branch of manufac-
a means of understanding entrepreneurial behav-
ture of the country in question has not previ-
ior. For Menger, individuals are heterogeneous,
ously entered, whether or not this market
and they do not make decisions consequent
existed before.
on behavior of absolute maximization, but rela-
4. The conquest of a new source of supply of raw
tively. In other words, two economic individuals
material or half-manufactured goods, again
equipped with the same resources may behave in
irrespective of whether this source already
very different ways (contrary to Walras’ theory).
exists or whether it has first to be created.
In Menger’s model, uncertainty plays an impor-
5. The carrying out of the new organization of
tant role, in contrast to Walras’. The influence of
any industry, like the creation of a monopoly
Menger on Schumpeter’s thinking was very
position (e.g., through trustification or the
important, even if this subject is not often devel-
breaking up of a monopoly position).
oped by economists. Menger was a marginalist
economist like Walras, but he drafted a theory
To summarize, Schumpeter provides five which is the opposite of the economic rationality
sources of change and profit. Schumpeter under- of Walras. According to Walras, economic ratio-
lines that the entrepreneur is embedded in society. nality is based on a strict calculation between
He is not atomistic, isolated, and immersed in a resources (capital or work) and a gain (profit
process quite different from the other social or salary). Each economic group is homogeneous
phenomena. Schumpeter develops his theory of (capitalists, entrepreneurs, workers, or con-
the entrepreneur on the critical analysis of Walras. sumers). Menger’s approach emphasizes the
The Walras’ model is static (competitive equilib- subjectivity of economic values. Menger’s entre-
rium context). However, two Walras’ hypotheses preneur does not exist in a context of certainty
have determining implications for the behavior of (as Walras says). In an uncertain context, the
entrepreneurs, the hypothesis of market atomicity entrepreneur has to find information and knowl-
and the hypothesis of perfect information: edge to build his own strategy. Focusing on the
uncertainty angle, Menger picks up a theme intro- would collapse because the system was pro-
duced by Cantillon, who is often considered as grammed to fail. On the other hand, Schumpeter
the forerunner of Austrian thought. In Menger’s also feels that capitalism should collapse despite
model, uncertainty plays an important role, the its outstanding and sustained success. But, they
opposite of Walras’. think in common that small enterprises will dis-
The Schumpeterian concept of “creative appear. In the future, the economic system will
destruction” summarizes the three elements be only composed of large firms that will plan
which founded the economic theory of entrepre- the world economy. According to Schumpeter,
neurship: “capitalism (. . .) is by nature a form the entrepreneur will disappear in this new
or method of economic change and not only scheme because the mechanism of innovation
never is, but never can be, stationary” will be based not on an individual economic
(Boutillier and Uzunidis 1995, pp. 34–37). actor (the entrepreneur) but on an organization
Schumpeter says that “creative destruction” is (the big enterprise): “Economic progress tends to
the “essence of capitalism.” Thus, if the entrepre- become depersonalized and automatized. Bureau
neur is the engine of change, then Cantillon, Say, and committee work tend to replace individual
and Schumpeter were themselves an engine of action” (Schumpeter 1942, p. 133). Like Marx at
change of economic theory: Cantillon’s theory the middle of the nineteenth century, Schumpeter
criticized the Mercantilist theory and the high was not the only economist who developed this
power of the state. Say’s theory questioned idea. Alfred Marshall did so too, and a few years
the Smithian economic model and the theory of later, in the 1930s, Ronald Coase explained in a
the “invisible hand.” Schumpeter debates the well-known article “The Nature of the Firm”
Walrasian theory based on perfect competitive (1937) the evolution of the market between
market structures. In addition, Cantillon, Say, large and small enterprises. He describes a dia-
and Schumpeter shaped a new economic para- lectical process where large and small firms play a
digm. Beyond this proposition, another common defined role according to the economic context
characteristic links these three theories: the entre- (growth or recession) and the intensity of the
preneur does not represent a person but a process uncertainty.
or a function, not an employment category nor a
start-up enterprise. In this sense, the entrepreneur
is a kind of ideal type (according to Max Weber’s The End of the Entrepreneur: The End of
definition). The entrepreneur personifies the evo- the Capitalism?
lution of capitalism at three different stages of its
history: at the beginning of the eighteenth century Does the Entrepreneur Exist in Managerial
with Cantillon (i.e., at the beginning of the first Capitalism?
industrial revolution), at the beginning of the The main eccentric aspect of Schumpeter’s anal-
nineteenth century for Say (i.e., at a mature ysis was the link between the extinction of the
stage of industrial capitalism), and Schumpeter entrepreneur and the end of capitalism. It seems
during the emergency of managerial capitalism. that he was influenced by the analysis of Karl
In other words, the historical context underlies Marx about the end of capitalism and the transi-
economic theory. tion toward socialism and afterwards toward
communism. The entrepreneur who was the cen-
Schumpeter Between Marx and Walras tral figure of capitalism disappears. For
Schumpeter created the concept of the entrepre- Schumpeter, like Marx, it is not a proletarian
neur to improve Walrasian theory, but in so revolution which will kill capitalism. Capitalism
doing, he follows Marx on the subject of the end will be destroyed by its own forces: the free
of capitalism. According to Marx, capitalism market and competition. The managerial
enterprise takes the place of the entrepreneur as accurately predict a future situation. Knight
an economic performer. Nonetheless, the “enter- makes a key distinction between risk and uncer-
prise” takes the place of the “entrepreneur.” Thus, tainty. According to Knight, the term risk prop-
after the Second World War, economists forgot erly used refers to situations in which the
completely the entrepreneur and focused their possibility of these outcomes can be expressed
attention on the firm. But, according to in terms of mathematical probabilities before a
E. Penrose (1959), the term “entrepreneur” can decision is made. Thus, under conditions of risk,
be used to refer to individuals or groups. So the the decision-maker is able to insure against pos-
concept of “entrepreneurial services” which are sible negative outcomes. Within Knight’s con-
“those contributions to the operations of a firm text, uncertainty represents “defects of
E
which relate to the introduction and acceptance managerial knowledge,” and it is these defects
on behalf of the firm of new ideas, particularly that account for profit and loss. Under conditions
with respect to products, location, and significant of uncertainty, decision-makers are not able to
changes in technology, to the acquisition of new insure against possible negative outcomes
managerial personnel, to fundamental changes in because not only are they unable to predict the
administrative organization of the firm, to the probability that any specific outcome will occur
raising of capital, and to making of plans for but they are also unable to meaningfully foresee
expansion, including the choice of method of the true range of possible outcomes. But like
expansion” (Penrose 1959, p. 31, ref). Before Schumpeter, according to Knight, the entrepre-
Kirzner, Penrose links the entrepreneur to the neur represents an economic function, not a per-
decision process based on the discovery of oppor- son. Knight thinks in the context of managerial
tunities: “the decision to search for opportunities capitalism based on a collective management
is an enterprising decision requiring entrepre- between shareholders and managers.
neurial intuition and imagination and must pre- According to Israel Kirzner, the entrepreneur
cede the ‘economic’ decision to go ahead with the is not a hero, or in other words, anybody can be
examination of opportunities for expansion” an entrepreneur, because the capitalist economy
(Penrose 1959, p. 34, ref). In this way, the entre- gives a large range of opportunities of profit. In
preneur exists in a managerial economy. So, in Discovery, Capitalism, and Distributive Justice
fact, the fundamental question is not the end of (published in 1969), Kirzner develops the analy-
the entrepreneur and capitalism but the evolution sis of the entrepreneur in two ways. The first
of capitalism (accumulation and concentration of follows Menger’s theory. Even if the entrepre-
capital) along with the evolution of the role of the neurial theory has influenced the other econo-
entrepreneur. mists, mainly F. von Hayek, according to
Kirzner, the role of the entrepreneur is to coordi-
Uncertainty, Market, and Entrepreneur nate information as part of the process of division
Nevertheless, two contemporary economists, of knowledge. Like Menger, Kirzner does not
Franck Knight (1885–1972) and Israel Kirzner consider the entrepreneur as a rational economic
(1930–), have developed a theory of the entre- player who makes decisions in a certain context.
preneur exclusively based on uncertainty. So The Menger’s entrepreneur exists in an uncer-
they take their place in the analytical field tainty context. But, the main teaching of
opened by Cantillon 200 years earlier. Frank Menger’s theory is the analysis of the “entrepre-
Knight, in Uncertainty and risk (published in neurial alertness.” In Kirzner’s theory, profit
1921), underlined the existence of a direct rela- opportunities result from prices, quantities, and
tion between the entrepreneur, uncertainty, qualities that diverge from their equilibrium
profit, and risk. Knight defines uncertainty is value. Some individuals tend to notice, or be
terms of the entrepreneur’s inability to alert to, these opportunities, and their actions
bring about changes in prices, quantities, and economy, an economy based on mass production
qualities. The entrepreneur is alert to a new prod- and Taylorism, with no opportunity to create.
uct or a superior production process and steps into The crisis of the managed economy gives new
this market gap before others (Foss and Klein opportunities in the entrepreneurial field. A new
2010, p. 105). The entrepreneur of Kirzner is a division of labor will develop between small and
discoverer, not an innovator. Entrepreneur dis- large firms, reinforcing the notion that mass scale
covers new resources uses, new products, new production is not the only criterion of the pro-
markets, and new possibilities for profitable duction organization.
trade. Today, in spite of the development of manage-
As stated above, the Kirznerian entrepreneur rial capitalism, the entrepreneur always embodies
exists in an uncertainty context. One of the main capitalism. Entrepreneur personifies his dynamic
functions of Kirznerian entrepreneur is to dis- of change. In this intellectual context, the entre-
cover new knowledge about which products, preneur is not an individual but an economic
processes, new organizational forms, etc. are function.
needed. Thus, Kirzner builds a theoretical link
between Cantillon’s, Knight’s, and Schumpeter’s
approaches. This statement is confirmed by the role
played by Kirzner’s entrepreneur in the process of Conclusion and Future Directions
innovation. Even if Kirzner talks about “discovery”
and not “innovation” like Schumpeter, his entre- In economic reality, it is easy to identify entrepre-
preneur consists not of a category of employment neurs: Rockefeller, Carnegie, Renault, Tata,
or an enterprise but a “pure entrepreneur.” In Gates, or Zuckerberg. But for economists, it is
other words, the Kirznerian entrepreneur is an eco- not an easy task. If they are certain that the entre-
nomic function or a kind of metaphor. He embodies preneur is the engine of capitalism, they have, in
the economic evolution of capitalism. For example, contrast, great difficulty in finding entrepreneurs
Kirzner argues that the entrepreneur is a “non- in economic reality. Since Cantillon, the pioneer
owner.” As Schumpeter underlines, nobody of the theory of the entrepreneur, the entrepreneur
can be an entrepreneur for all his life. The entrepre- is a metaphor to explain the capitalist evolution. If
neur is an entrepreneur only when he creates the entrepreneur can be identified as an individual,
innovation, so usually only for a short period on the other hand, he takes his place in a social
of time. context which defines economic and social func-
tions. So, the entrepreneurial function introduces
The Entrepreneurial Society economic and technical change, but it also con-
According to David B. Audretsch (2007), “the tributes to the reproduction of a socioeconomic
entrepreneurial society had replaced the man- system based on competition and individual
aged economy” (2007, p. 19). The “managed property.
economy” was based on large firms, or in other So, in this context, we can understand why the
words conformity, monotony, rigidity, and entrepreneur exists in managerial capitalism.
homogeneity. The entrepreneurial society is Entrepreneur exists under different aspects in
based on entirely different values: nonconfor- large and small enterprises. The entrepreneurial
mity, autonomy, creativity, and self-reliance. function explains not only the introduction of
The entrepreneurial society offers a large range technical change in preindustrial society but also
of new opportunities. Workers can rapidly the development of new activities at the end of the
change jobs. Audretsch illustrates his book, The twentieth century. However, in preindustrial eco-
Entrepreneurial Society, with different cultural nomics, just as in managerial capitalism, the entre-
references from the 1960s: Bob Dylan, Janis preneur has an important task: to create jobs and
Joplin, or Jack Kerouac who represented during first of all his (or her) own job. In an economy
this decade young people who wanted to change based on market mechanism that is the fundamen-
the world. These artists lived in the managed tal survival condition (Table 1).
Entrepreneur and Economists, Table 1 The theory of the entrepreneur (synthesis)

Authors The entrepreneur is Theoretical criticism Historical context
Richard A nonfixed income earner Against mercantilism and the Beginning of the
Cantillon economic role of the state first industrial
(1680–1734) revolution
Jean-Baptiste The matchmaker between the scientist who To personify the “invisible Maturity of the
Say produces knowledge and the worker who hand” of Smith first industrial
(1767–1832) uses this knowledge in an industrial process revolution
Karl Marx The behavior of the entrepreneur To criticize classical theory
(1818–1883) (or capitalist) takes place in a particular
economic system – capitalism
The contradiction of capitalism E
Léon Walras The role of the entrepreneur is to maximize To develop a new theory based Beginning of
(1834–1910) his profit in a context of pure competition on classical theory managerial
Economic rationality of the entrepreneur capitalism
Carl Menger The entrepreneur has no place in a context of
(1840–1921) certainty. He (or she) has to find information
and knowledge to build his (or her) strategy
Joseph Is an economic function which realizes new To develop Walras’ theory of
A. Schumpeter combinations of factors of production the entrepreneur and Marx’s
(1883–1950) theory about capitalism
Franck Knight The entrepreneur faces the market To develop the neoclassical Maturity of
(1885–1972) uncertainty that cannot be probabilized theory of the firm managerial
Ronald Coase What are the opportunities for creation of capitalism
(1910–2013) enterprises according a dialectical relation (Fordist firm)
between the enterprise and the market? Maturity of
Edith Penrose Entrepreneurial services. The entrepreneur managerial
(1914–1996) can exist in a big enterprise capitalism
William Entrepreneurial activity is crucial for radical (network firm)
Baumol (1922) innovations and growth
Mark Casson Entrepreneurs specialize in taking
(1945) judgmental decisions about the coordination
of scarce resources
David Creativity of the Entrepreneurial Society
Audretsch
(1954)
Cross-References Baumol WJ. Entrepreneurship in economic theory. Am

Econ Rev. 1968;58(2):64–71.
Bonnet J, Pérez G, de Lema D, Van Auken H. The entre-
▶ Entrepreneur preneurial society. How to fill the gap between knowl-
▶ Entrepreneur in Utopian Thinking edge and innovation. Cheltenham: Edward Elgar; 2010.
▶ Entrepreneur: Etymological Bases Boutillier S, Uzunidis D. L’entrepreneur. Une analyse
▶ Heroic Entrepreneur, Theories socio-économique. Paris: Economica; 1995.
▶ Schumpeterian Entrepreneur Foss NJ, Klein PJ. Entrepreneurial alertness and opportu-
nity discovery: origins, attributes, critique. In:
▶ Social Entrepreneurship Landström H, Lohrke F, editors. The historical founda-
tions of entrepreneurship research. Aldershot: Edward
Elgar; 2010.
References Landström H, Lohrke F, editors. Historical foundations of
entrepreneurship research. Cheltenham: Edward Elgar;
2010.
Audretsch DB. The entrepreneurial society. Oxford:
Oxford University Press; 2007. Penrose ET. The theory of the growth of the firm.
Audretsch DB, Falck O, Heblich S, Ledrer A, editors. New York: Oxford University Press; 1959.
Handbook of research on innovation and entrepreneur- Schumpeter JA. Capitalism, socialism and semocracy.
ship. Cheltenham: Edward Elgar; 2011. London: Routledge; 1942.
798 Entrepreneur in Utopian Thinking
According to the Universal Dictionary of

Entrepreneur in Utopian Trade published in 1723, “the contractor” is one
Thinking who undertakes a work, while during the Middle
Ages, “to be an entrepreneur” simply means one
Ferreira Nathalie who undertakes a task. The definition of entrepre-
Research Network of Innovation, Paris, France neur has changed its meaning by the sixteenth and
seventeenth centuries leading to the definition of
Diderot and Alembert, which defines the entrepre-
Synonyms neur as “Whoever is in charge of a book”; that
definition has changed a little from the one cited
Associationism worker; New social organization; above.
Utopian socialism It was not until the early eighteenth century
that the concept of entrepreneur became a theoret-
ical concept, when the economy became a field of
Summary independent thinking and a scientific discipline in
its own right.
At the end of the nineteenth century, the social The first theory of the entrepreneur was devel-
question became paramount for many thinkers oped by Cantillon (1680–1734) who in 1755
(Saint-Simon, Fourier, Owen, Buchez, Godin, published an Essai sur la nature du commerce en
and Proudhon) who advocated a new society in général. If the word entrepreneur was already used
which fairness and social justice are the pillars. in everyday language, Cantillon gives a rigorous
They imagined a society based on small entities economic meaning. The entrepreneurship is an
of production and consumption using the princi- active process of coordination of production and
ple of cooperation between the parties on an exchange, channeling goods from production to
equal basis. Some of them, such as Fourier, the final consumers through the exchange markets.
Owen, and Godin, seek to put their ideas into Cantillon defined the entrepreneur as the per-
practice. While none of these thinkers had a son buying the factors of production and/or goods
defined theory of the entrepreneur (the latter at a certain price to sell at an uncertain price. The
being associated with the capitalist owner), all entrepreneur is seen as a risk taker. Other scholars
took the company as a privileged social also place the entrepreneur at the heart of the
exchange. economic debate.
J-B. Say (1767–1832) follows the work of
Cantillon by defining the “business of the entre-
Economic Concepts and Entrepreneurial preneur.” He carefully defines the different levels
Utopia of intervention in the business and the qualities
that must be provided as follows: First, the entre-
Entrepreneur preneur is the main agent of production. His work
According to the dictionary “Petit Robert,” the is productive as well as that of the worker or the
definition of the entrepreneur is “one who under- scientist. Second, the entrepreneur must have an
takes something,” “a person who is responsible “ability to judge,” that is to say, the entrepreneur
for the performance of work,” or “any person who must determine the needs and especially the
sets up various factors of production (natural means of satisfying them. Finally, the entrepre-
agents, labor, capital) to sell products and ser- neur shall not rely on the routine and constantly
vices,” or “anyone who runs a business on his innovate. The entrepreneur is thus placed by J-B.
own behalf and that organizes the various factors Say in an intermediary place between the scientist,
of production (natural agents, labor, capital) to sell who produced the knowledge, and the worker,
products or services.” who applies that science to industry.
Entrepreneur in Utopian Thinking 799
Schumpeter (1883–1950) defines, in turn, a the natural tendencies of men. The remedy most
heroic entrepreneur who places his approach at often suggested was the brainchild of more liberal
the heart of innovation. He creates a new product and humane institutions capable of encouraging
not known to the consumer and introduces a new the development and improvement of the individ-
method of production. ual and the establishment of an education system
The nineteenth century was marked by eco- that could foster the development of the individ-
nomic turmoil, social and technological disasters: ual. The Utopians preferred to experiment with
development of industry and wage labor on a large the economic and social development of a com-
scale. The working conditions were extremely plex economic theory. They generally started with
hard for workers. In these conditions, the social a local action as an example.
E
question becomes paramount. A number of The main interest of utopian thinking was to
thinkers, such as Saint-Simon, Fourier, Owen, embrace not only the political but also social and
Buchez, Godin, and Proudhon, advocated a new economic private life (marriage, education of chil-
society based on small entities of production and dren, etc.). The formal presentation of a utopia
consumption under the principles of cooperation involved the detailed description of an ideal or
between the parties on an equal basis. dreamed world. Utopianism is a way of thinking
While these thinkers are not carefully defined about the best or happier form of society without
so the economic concept of entrepreneur, all seek concession or compromise with existing
to apply their ideas then qualified of “dream econ- institutions.
omy” or “utopias,” the company is, therefore,
their instrument of choice.
The Concept of the Entrepreneur in
Utopia Nineteenth Century Utopians
The word utopia, which originates from the title of
the famous book by Sir Thomas More’s Utopia Claude Henri de Rouvroy, Count of Saint-
(1516), refers to both a literary genre, a kind of Simon (1760–1825)
political fiction that attempts, often in a cumber- Against the aristocracy, Saint-Simon opposed the
some and sometimes brutal way, to achieve a form new owners who were the purchasers of national
of social organization which is supposed to property. In the review L’Industrie (1816–1818),
embody an ideal deemed absolutely good. Since the author outlines the main principles of the
1516, the term has been used to refer to an ideal or philosophy on which it is based. Industry is
impossible society. work of any kind, guided by human intelligence,
The number of recognized utopias is consider- whether manual or intellectual, agricultural,
able. However, some recurring themes and struc- industrial, or commercial. For him, the term
tures characterized utopia. Most utopias were “industry” has the same meaning as the term “pro-
born in the heart of the nineteenth century. They ducer.” The farmer is a producer who works to be
were based on egalitarianism and refuted private protected against the owner of private means. It is
property. The repeated plea for collective owner- on the basis of these producers that Saint-Simon
ship constituted a criticism of societies where wants to rebuild a new society, against those who
private ownership of land or capital was the dom- have no work, either the owners or operators of
inant social institution, and appeared as the pri- nonliving shareholders a dividend. Producers are,
mary cause of the ills of these societies. The therefore, opposed to idleness.
perception of injustice and human misery lead In his text Parabole (1819), the author empha-
the authors to imagine a form of organization sizes the uselessness to the nation, of all those who
that could eliminate the causes of these evils. do (the “Hornets”) not produce: of the Court and
Many considered that social problems were the Princes of the Church, the officers, and the judges.
product of bad institutions, which distort or thwart However, he considers the most modest workers,
in field or workshop as essential to the nation. interest. Fourier escapes the liberal impasse which
Among the industrious, the share of the proletariat prohibited the development of businesses beyond
is important. Saint-Simon, therefore, wants to the capabilities of monitoring bosses. He also
increase the number of proletarians capable of avoids the paternalism of the philanthropists. In
managing the business through education. At the a logic that is hierarchical and vertical, Fourier
top of the industry are the bankers who organize proposes a new model of social relations based on
the economy through the issuance of credit. Thus, careful management of the passions. Fourier’s
the author advocates a socialist, technocratic, and thought rests on two assumptions: attraction and
planned economy. association. The free play of passions must allow
“universal harmony.” To achieve this, he imagines
Charles Fourier (1772–1837) a unique model of social organization: the pha-
Fourier (1829) criticizes industrial anarchy due to lanx. In “harmony,” property is merely the partic-
the fragmentation of ownership and commercial ipation in the entire property of the phalanx,
parasitism – sources of all the disorders of civili- without the absolute power of management. Far
zation. The first evil of the capitalist production from being the mere fantasy of a utopian, the
system is poverty which “seems proportional to phalanstery influenced the thought of many man-
progress,” and whose cause is the waste that ufacturers throughout the nineteenth century.
involves the absurdity of mass circuits of produc-
tion and consumption. Jean-Baptiste Godin (1817–1888)
Fourier criticizes agriculture in its civilized Locksmith’s apprentice at the age of 11, Godin
form, based, according to him, on the two contra- had an early awareness of the alienated character
dictory vices of fragmentation and concentration. of the working class, through meetings and lec-
If work in the fields in this form is disgusting, then tures. In 1837, he developed the idea of replacing
the division of tasks and long hours of hard work the sheet metal by melting in the manufacture of
make working in factories even more repugnant. stoves and furnaces, which earned him an imme-
The competition in this sector has the corollary diate success. In 1881, his workforce totaled
that piecemeal work, compounded by the machin- 1,337 employees and manufactures and the
ery, degrades the workers physically and men- famous stoves has become a world leader in its
tally. The central question Fourier intends to field. To improve the working conditions and lives
answer, then, is – How to make work fun? For of his workers, in 1859 Godin built a social hous-
Fourier the only way to do this is to ensure that ing complex near the factory, the Familistery of
work becomes for man the fruit of his own passion Guise in France in 1859. Godin quickly took into
and his own desire. account the aspirations of workers and immediate
The whole theory of Fourier is based on the benefits of the work involved to better distribute
premise that the key to the problem of the social wealth and ensure social protection. Pursuing the
question comes down to knowing the ordering goal of gradually increasing the property of the
willed by God. This key is then nothing other company in the hands of its staff, he created in
than the “attraction,” which, in the same way, 1881, “the working capital association” that
enables the world and social order. For all resulted in common ownership and profit sharing,
human societies, the engine more than anything as well as easier access to higher responsibilities
is the passion “the passionate attraction.” By and the distribution of wealth. It was put in place
analogy with the global world organized alongside pension and welfare, a welfare system
according to Newton’s law, Fourier proposes an managed by Mutual employees (health insurance
“industry association” based on “passionate made compulsory from 1861). It provided free
attraction.” It is no longer about creating, as in medication and visits (1870). In addition, he
military, hierarchical organizations and authoritar- invented the Republican promotion of Merit.
ian discipline, but to develop mechanisms that While Godin was generous, he was by no means
encourage individuals to work for the collective egalitarian. Participation went even further: It was
Entrepreneur in Utopian Thinking 801
not only aimed at limited results but also extended a republic in the workshop.” Religious inspiration
to the management of the company. In 1880, the is also clear in the preamble to the statutes of the
company took the statutes of a working coopera- cooperative, the Association of Christian jewelry
tive and kept its production going until 1968. in gold, which he founded in 1834 and which he
defines as “a simple application of moral princi-
Robert Owen (1771–1858) ples taught by Christianity.” To propagate his
In 1800, Owen became the owner of the Scottish ideas to the working class, he published small
shadowing in England that tried to transform the workers’ newspapers, such as L’Européen and
factory model. Its design was the result of a moral L’Atelier. Founded in 1840, the workshop aimed
protest against the damage caused on the social to prepare the complete emancipation of the work-
E
fabric by industrial progress and greed. He ing classes. The reciprocity of his teaching is the
maintained that man is the product of its socio- way in which he approached this goal. Buchez not
economic and cultural environment. It is, there- only dreamed of an ideal society but wanted to
fore, sufficient to control education, production, develop local initiatives for elite workers. His
and trade to restore collective solidarity. By acting profession as a hygienist led him to combine
on what he calls “external circumstances” theory with practice, but he first started listening
(standard of living, morality, place of residence) to the workers.
that can transform the most radically human His approach is essentially based on two
behavior. Owen’s first practical social change at dimensions: the condemnation of competition
the microeconomic level involved experimenting and a critical analysis of society. The criterion of
with a new work environment based on education. private property, Buchez divided society into two
Inside the factory, to respect the dignity of classes: the entrepreneurs whom he sees as para-
workers, he established a plan for economic and sites, unnecessary intermediaries and workers,
social reorganization based in particular on a victims of the capitalist sampling. To help workers
reduction of working time (10 h instead of 15), regain some dignity in work, Buchez calls for the
the establishment of kindergartens (which would elimination of the first class. To achieve this, he
not be exploited in factories), the opening of eve- offers the solution of the labor organization of
ning classes for workers, etc. Owen implemented production. Based on the sharing of work tools,
a program of modernization of machines and a the association must avoid the hoarding of profits
system of preventive maintenance to reduce the or surplus by the contractor, and allow for sharing
costs of their dysfunction. He advocated a policy between the workers. A fifth of those profits must,
of high wages. On this point, his vision prefigures however, be set aside to build social and inalien-
that of Henry Ford. Anticipating the socialists of able capital in order to avoid the situation whereby
the nineteenth century, Owen (1847) believed that those who are established exploit the newcomers.
“the natural standard of value is, in principle, Buchez defines in detail the status and functioning
human labor, or a combination of manual and of workers’ associations. He attempts, in particu-
mental energies of man when they come into lar, to determine the conditions of the supply of
action.” But he does not ignore the importance capital that prevent ownership of decision-making
of profitability for the company and the significant power by a minority. The cooperative principles
benefits that it could gain from the well-being of defined by Buchez strongly inspired the Interna-
its workers. It is in this sense that this Scottish tional Cooperative Alliance (1895) and were
entrepreneur can be called modern. reflected in the 1947 Act “on the status of
cooperation.”
Philippe Buchez (1796–1865)
Buchez is often considered one of the first theo- Pierre-Joseph Proudhon (1809–1865)
rist’s worker associations. Thinker wants to prac- Not believing in the power of a violent revolution,
tice Christianity and spread democracy in all Proudhon recommended social reform within the
spheres of economic life. He wants to “establish capitalist system. This anti-society must apply the
principles of association, mutually. The revolution capitalist entrepreneur returns the worker a coun-
of 1848 created an explosion of workers’ associ- terpart for his labor, but he keeps for himself the
ations. For Proudhon, the revolutionary act is in value of the extra work done in a collective man-
the will of workers to organize on their own. He ner. Proudhon, like Smith, thinks that the division
deplored interference by the state and its authority of labor leads to increased productivity and
in the management of these associations. The denounces the capitalist ownership of the collec-
authoritarian state was incompatible with free tive force. For Proudhon, the capitalist entrepre-
management. Proudhon rejected all social organi- neurs “steal” the extra value engendered by the
zation imposed from the summit. collective strength from the individual strength.
The position taken by Proudhon in respect of The only solution that allows the worker to
the property is another key element of his thought. recover what the capitalist owner charged is
This seems to be finalized after his first paper on through the formation of workers’ associations.
the property, entitled Qu’est-ce que la propriété? But the association is not a virtue in itself and
(1840), in which he replied: “Property is theft.” Yet must be dominated by law and justice, based on
the intention is not to deny property but to restore it reciprocity, “the social contract, both political and
on new foundations. Thus, Proudhon condemns economic, which embraces the individual, family,
private property. Private property to a certain extent and the city.” The reciprocity is a justice formula
is contrary to justice; it is the property that that members of society, regardless of which rank
“receives different names according to the things they are, guarantee service for service, credit for
that happen: rent, interest, profit, gain” and is based credit, and property for property. Proudhon does
on “the amount of abuse,” as he stated in 1841 in not want to replace all private property with col-
his letter to Blanqui. This “right to bargain” in a lective property, because this also contradicts the
way is on the activities of workers and effortlessly law. The social system that must succeed private
from the owner. While acknowledging that the property is possession. Opposed to the right to use
property is not reprehensible in itself, as a result and abuse that characterizes property, Proudhon
of the work and savings and as an expression of highlights the benefits of a property under the
freedom, Proudhon, nevertheless, holds that it control of the society. If for Proudhon’s thought
steals the fruits of labor, the only productive ele- property is theft, the possession is, however, con-
ment. Therefore, capitalist must give workers what sidered a prerequisite for the maintenance and
is theirs: the key to the social problem, then, is to development of a free and creative labor. For the
return to the worker the full product of his labor. same reasons, Proudhon wants to maintain a mar-
Proudhon is well in line with those who only ket economy: competition has an incentive; it is
work, defined as the intelligent action of man over “the expression of social spontaneity,” the guar-
matter, as the sole producer of wealth. antee of “freedom” associations.
Rebuilding society from the bottom-up, that is Proudhon anticipates the slogan of the First
to say, productive activities, Proudhon wants to International, which states that emancipation
work to be the source of personal autonomy. The “will be the work of the workers themselves,”
worker, becoming once again master of his which was proposed by subsequent Marxists. He
actions and decisions must recognize himself in is also the first to lay the foundation for the utopia
a job that, in turn, has found its full meaning. of workers as self-producers.
Against the fragmentation of tasks, Proudhon pro-
poses to go the worker with an entire series. The
frustration of workers formerly confined to a sin- Conclusion and Future Directions
gle action disappears with job enrichment. Once
the work is reinstated, the de-alienation of A review of several utopias written or practiced
workers is accomplished in the work itself. in the field of entrepreneurship carries many les-
As far as the “right to bargain” is concerned, he sons. For the utopian thinkers, their obvious
draws constructive solution. Of course, the interest is the fact that they were not only
Entrepreneur: Etymological Bases 803
intellectual adventures and imaginary experi-

ments, sometimes sustainable and economically Entrepreneur: Etymological
efficient (in the case of Godin’s company). They Bases
were not conducted systematically to overthrow
the established order, but rather to transform Sophie Boutillier1,2 and Dimitri Uzunidis1,3
1
it. These thinkers did not write the theory of the Research Unit on Industry and Innovation/
entrepreneur. However, the company has the CLERSE–CNRS (UMR 8019), University of
appropriate level for them to transform society. Lille Nord de France, Research Network on
Reform or modernization of its social relations Innovation, Dunkerque, France
2
calls for changes to all other levels of society, Research Unit on Industry and Innovation,
E
because it is an essential place of socialization. University of Littoral Côte d’Opale, Dunkerque,
The social importance and richness of utopias France
3
studied here matter less for their achievements Political Economy, Research Unit on Industry
as multiple effects they were the crucible. Is it not and Innovation University, University of Littoral
in this sense that we should recognize them for Côte d’Opale, Dunkerque, France
being an inspiration and energy in the invention
of other more equitable and humane business
models? Synonyms
Business; Entrepreneur; Entrepreneur, Theory

Cross-References
The study of the etymology of words is a fruitful
way to understand the history of social practices,
▶ Entrepreneur
as a reflection of social behavior. Words stem from
social practices that change in dynamic interactive
processes. Our objective is to present some exam-
▶ Social Innovation
ples of the etymology of the word “entrepreneur”
▶ Social Responsibility
in French and English. Since a long time ago,
French and English people use the same word:
“entrepreneur.” The historical roots of the word
References
“entrepreneur” as well as of the verb entreprendre
Cantillon R. Essai sur la nature du commerce en général. go back to the war vocabulary.
London: Macmillan; 1755. Surrounding a town is indeed compared to an
de Saint-Simon CH. Œuvres complètes. Paris: Anthropos; entrepreneurial activity since it is an act that com-
1819–1820. bines strategy, organization, and risk. More
Fourier C. Le nouveau monde industriel et sociétaire. Paris:
Bossange père; 1829. recently, the words “entrepreneur” and
Owen R. Le Livre du nouveau monde moral. Paris: Paulin; entreprendre have worn an economic meaning.
1847. Thus, the entrepreneur is a person who concludes
Proudhon P-J. Qu’est-ce que la propriété? Premier a contract with a government or a public authority
mémoire. 1840
Schumpeter J. Théorie de l’évolution économique. as a goods supplier or to undertake – for its
Recherches sur le profit, le crédit, l’intérêt et le cycle account – infrastructural investments (such as
de la conjoncture. Paris: Dalloz; 1935. building roads or buildings). This illustrates a
contractual relationship between the entrepreneur
and the State or with another entrepreneur, and
which supposes a kind of “trust” between the
Entrepreneur, Theory different parts of the contract. In such kind of
contracts, the entrepreneur takes (economic or
▶ Entrepreneur: Etymological Bases financial) risks, though. This explains that in the
804 Entrepreneur: Etymological Bases
economic as well as in the war vocabulary, the organization, the objective of which is to conquest
entrepreneur is apprehended in the sense if “risk a town all by minimizing the loss of human lives
taker.” According to the famous definition of (Vauban 1707). Besides, during the siege of the
Jeremy Bentham, the “entrepreneur” is also town, there was the important concern of supply-
apprehended in the sense of a “project maker” in ing the army with food.
both economic and war vocabulary. In a different Since the sixteenth century, the word entrepre-
way of thinking, being an entrepreneur is also a neur in the French language has attributed a dif-
mean to be at a higher level of the social ladder or ferent meaning, that is, of a person who constructs
hierarchy. a building or supplies goods for the account of a
First, we will present the etymology of the public authority, for instance, the government
word “entrepreneur” in both French and English (Vérin 1982; Explorations in Entrepreneurial
languages. The aim from this presentation is to History 1960). This transaction is translated by a
emphasize the complex relationship between risk contract between the two parts (the entrepreneur
and social dynamics related to this concept. Sec- and the public authority). According to this pro-
ond, we will extend our etymological analysis of cedure, the entrepreneur earns a fixed sum pre-
the word “entrepreneur” in other different lan- defined in the contract; taking thus a financial risk.
guages, for instance, Arabic, Chinese, Japanese, The French economist Richard Cantillon defines
and Russian. Through these examples, we con- the entrepreneur as a person who buys goods at a
firm that the meaning of the word “entrepreneur” certain price and sells them at an unknown price.
around the world is always related to the diptych Hence, we reach a basic and universal definition
“risk” and “trust.” of the word entrepreneur which corresponds
indeed to the definitions given by other languages.
In the Dictionnaire Universel du Commerce
The European Roots of the Word (Savary des Bruslons 1723), the entrepreneur is
“Entrepreneur” simply defined as a person who undertakes a
work. In the Encyclopédie of Diderot and
French and English people use the same word to d’Alembert (1751–1772), the entrepreneur is
name the “entrepreneur.” In French, the word also defined as a person who undertakes a work.
“entrepreneur” stems from the Latin word inter But this encyclopedia gives more detailed defini-
prehendere, which corresponds to the verb tions by separating the fields of the work, such as
entreprendre in French and means “to grab” or the “manufacturing entrepreneur” (entrepreneur
“to take control.” During the Middle Age, the verb de manufactures in French) or “building entrepre-
entreprendre in France used to mean “to cover” neur” (entrepreneur de b^ a timents in French).
while the word “entrepreneur” means “to attack.” In the English language, the word “entrepre-
The entrepreneur used to mean an attacker in neur” is frequently used as well as the words
popular French language. However, at the begin- “undertaker” and “adventurer” or “merchant
ning of the fifteenth century, the verb entreprendre adventurers.” In the Johnson’s Dictionary
means “to come to grips with” and later “to take (1755), the word “adventurer” is defined as a
risk” or “to challenge.” person who hazards, who takes any chance, or
The primary sense of the word “enterprise” in who wants to control his destiny. In the English
French comes from war language, though. In fact, language, the word “entrepreneur” (The Oxford
since military people need to handle complex English Dictionary, Weiner and Simpson 1991)
technologies and equipment (Vérin 1982), an was also used during the fifteenth century
organization –thus a strategic process – to “make according to the simple definition: “a person
war” is required: that used to be called “enter- who undertakes.” During the nineteenth century,
prise.” The economist and military engineer, Vau- the word “entrepreneur” is used as “one who
ban (1633–1707), describes besieging a town as undertakes an enterprise” or “one who owns and
an enterprise. It is based on a complex manages a business,” or “a person who takes risk
Entrepreneur: Etymological Bases 805
of profit or loss.” The word “undertaker” is not Khaldoom 1332–1406) (Verrier 2009) have built
used as a maker of business, but like a manager. an important economic work based on Aristotle’s
For example, Adam Smith talks about an “under- principles (the chrematistic). If most of these
taker of a great enterprise” in his famous book: economists are liberal, they think that the free
The Wealth of Nations (1776). market is not only a mean to buy goods, but a
To summarize, the entrepreneur, in French and mean for speculation, though. Thus, in this con-
in English languages, is a person who wants to text, the entrepreneur plays an important role. We
control his life and to get rich. The entrepreneur is can also underline that the prophet Mahomet was
usually a bourgeois, rarely a noble. So, through a businessman, before to be declared as a prophet.
doing business, a bourgeois can become an influ- He worked in the enterprise of his wife. . . In the
E
ent person, as we notice the social phenomenon in Arabian literature, both Sinbad the sailor and
Shakespeare’s (The Merchant of Venice) or Aladdin were also merchants. . .
Molière’s (Le Bourgeois gentilhomme) works. In Chinese language (Chan 2010), the word
This same phenomenon is partially noticed in the “entrepreneur” is composed by three ideograms:
Arabian literature where the merchant could also the first one is qi which means in ancient Chinese
be positively appreciated. “hope.” The second is ye, which means “busi-
So, to become an entrepreneur is a way of ness” or “career.” Together, qi and ye mean “enter-
social rise. For example, during the Roman prise.” The third ideogram is jia which means
Empire, slaves could manage a property (or a “house” in ancient Chinese. Later, jia has been
trade enterprise) for their master. If the slave- used as “master.” So, in China, as in Europe,
manager gets very rich, he can have his emanci- becoming an entrepreneur can be an opportunity
pation. But he could not forward his fortune to his to become a rich and influent man. The emergence
children by inheritance (Andreau 1999). of this expression dates to eighteenth to nineteenth
century, with the development of trade exchanges
with European merchants (and also during the
Entrepreneur, Profit, Trust, Chance, and Opium Wars).
Risk: A Universal Way of Thinking? In Japanese language, we have a static defini-
tion of the entrepreneur. The word “entrepreneur”
In Greek modern language, for example, the is a kigyou ka in the Japanese language. Kigyou is
meaning is similar as in French or English lan- an “enterprise.” Ka means “house.” But, kigyou
guages. The word epixeimatias in modern Greek ka in Japanese language has got two different
language comes from epixeiro which means “to meanings: “business” and “enterprise.”
come to grips with.” Thus, the entrepreneur is a In Russian language, the “enterprise” is a pre-
person who has got an active behavior, who acts, dpriatie. The “entrepreneur is a predprenimalted.
but all by insinuating a notion of “trust.” The verb is predprinimat (Барышников 1994).
In Arabic language, the etymology of the word The word predpriat/predprinimat is a translation
“entrepreneur” is the same as in French. In literary form German language which means to begin to
Arabic, the entrepreneur is a moukawel. In other do something including the idea of responsibility.
words, he is a creator of an enterprise or a maker In Russia, during the seventeenth to eighteenth
of projects. The verb kawala, youkawilou, century, we can distinguish three types of “entre-
moukawalatan means to negotiate, to discuss a preneurs” according to their sector of activity
business, but also to give a work to someone (Галаган 1997). In the agricultural sector, the
(e.g., via subcontracting) (Vérin 1982). In the word employed is koulak, which could be trans-
Arabian literature, the merchant has a good lated to “punch.” The koulak are the richest
image as long as he does not intend to steal other farmers of Russian villages. For trade activities,
people. This aspect of the Arabian literature is there is a large range of words: kupets, torgovets,
very important. Since the seventh century, Ara- kommersant, spekuliant, and kantar. Kupets
bian economists (Averroès 1126–1198, Ibn comes from the verb kupat/pokupat which
806 Entrepreneur: Etymological Bases
means to buy. Torgovets comes from Latin lan- research is needed in order to study more in detail
guage tirgus or turgus which means “place” and the etymology of the word entrepreneur and its
“market.” Kommersant comes from the French influence on our today’s vocabulary.
word commerçant. Spekuliant comes from the
verb to speculate. Kantor comes from comptoir
in French language or kontor in German language. Cross-References
For the industrial sector are used the words pre-
dprenimatel, fabrikant, and manufakturshik. The ▶ Entrepreneur
word predprinimatel means “entrepreneur.” ▶ Entrepreneurship Education
Fabrikant comes from the French word fabrique ▶ Heroic Entrepreneur, Theories
(in English “factory”). Manufakturshik comes ▶ Individual Determinants of Entrepreneurship
from “manufacture.” These three words include
the fact to employ workers for a job and also the Acknowledgments Authors want to express their sincere
notion of property. From the eighteenth century thanks to Guillem Achermann, Zeting Liu, and Nejla
Yacoub for their precious help in the preparation of
(with Peter the Great and Catherine II), the entre-
this work.
preneurial activity becomes easier (see for exam-
ple, Барышников 1994; Кузьмичев and
Шапкин 1995). During the socialist period, the
References
word “predprenimaltelstvo is mentioned as a for-
bidden activity. The only word that Lenin kept Andreau J. Banques et affaires dans le monde romain.
is “cooperative.” Today, preprenimatel, Paris: Seuil; 1999.
kommersant, and kantor are used, but kantor has Chan WKK. Chinese entrepreneurship since its late impe-
rial period. In: Landes DS, Mokyr J, Baumol W, edi-
got now a popular meaning. The entrepreneur as a
tors. The invention of enterprise: entrepreneurship from
predprenimatel defines a legal statute. The ancient mesopotamia to modern times. Princeton:
English words “businessman” and “business” are Princeton University Press; 2010.
widely used, especially for successful enterprises. Diderot D, d’Alembert J. Encyclopédie, ouDictionnaire
raisonné des sciences, des arts et des métiers. Paris;
Today, these words are universal in every
1751–1772.
language. Explorations in entrepreneurial history. Cambridge, MA;
1960.
Johnson S. A dictionary of the English language. London:
Jack Lynch; 1755.
Conclusion and Future Directions Savary des Bruslons J. Dictionnaire universel de Com-
merce. Paris: Jacques Estienne; 1723.
The etymology of the word “entrepreneur” is very Smith A. The wealth of nations. London: Methuen & Co.;
rewarding. This brief etymological study shows 1776.
Vauban S. Projet d’une Dixme royale. Paris; 1707.
that the entrepreneur is a social actor who has got
Vérin H. Entrepreneurs, Entreprise. Histoire d’une idée.
an important role to play. By his capacity to Paris: Presses Universitaires de France; 1982.
invent, he has got the power to change his eco- Verrier R. Introduction à la pensée économique de l’Islam
nomic environment. But, the etymological study du VIIIe au XVe siècle. Paris: L’Harmattan; 2009.
Weiner ESC, Simpson JA. The compact Oxford English
shows also the rise of an individualist behavior. To
dictionary. Oxford University Press; 1991.
become an entrepreneur is a way of self-
enrichment.
References in Russian Language
In France or in England, the entrepreneur as a Барышников МН. Исmорuя делового мира России.
social actor appears within the sixteenth to seven- Пособие для студентов вузов. – М.; 1994.
teenth century, with the emergence of individual- Галаган АА. История российского предпринимат
ельства. От купца до банкира. Пособие для
ism and the economic and geographical expansion вузов. – М.; 1997.
of Europe, which became the first economic power Кузьмичев АД, Шапкин ИН. Отечественное
at that time. Thus, European economic models предпринимательство: очерки истории: Учебное
have speeded toward other countries. Yet, a deeper пособие. – М.; 1995.
Entrepreneur’s “Resource Potential,” Innovation and Networks 807
The entrepreneur is the one who disturbs the

Entrepreneur’s “Resource neoclassical equilibrium by executing new com-
Potential,” Innovation and binations in the means of production (Schumpeter
Networks 1911/2006), who puts the economy on the path of
motion and development (Schumpeter 1939), but
Dimitri Uzunidis1,2, Sophie Boutillier1,3 and he/she is also the one who, by his/her extinction,
Blandine Laperche1,3 accounts for the self-destruction of capitalism
1
Research Unit on Industry and Innovation/ (Schumpeter 1942/1976). The entrepreneur, the
CLERSE–CNRS (UMR 8019), University of first hero of economists according to Schumpeter,
Lille Nord de France, Research Network on is incontestably Schumpeter’s own hero. But the
E
Innovation, Dunkerque, France hero is an elusive one: being an entrepreneur is not
2
Political Economy, Research Unit on Industry a profession but a function according to
and Innovation University, University of Littoral Schumpeter, and thus entrepreneurs have a
Côte d’Opale, Dunkerque, France butterfly-like existence.
3
Research Unit on Industry and Innovation, What is the origin of the entrepreneur’s func-
University of Littoral Côte d’Opale, Dunkerque, tion? Is entrepreneurship a natural gift, as J. A.
France Schumpeter seems to believe? Why does the
entrepreneur’s function disappear and is not a
long-lasting one? It is important to develop an
Synonyms approach combining economics and sociology in
order to go deeper into the analysis of the social
Innovative entrepreneur; Innovative entrepreneur- origin of the entrepreneur’s function, studying the
ship; Innovator construction of his/her “resource potential,” that
is, the set of knowledge, relations, and financial
resources gathered together by the entrepreneur in
his/her environment. This resource potential is not
Introduction stable and may be increased or reduced in differ-
ent economic, political, and social contexts. How-
In the current so-called knowledge economy, ever, this entry does not try to define the exact
innovation is considered as the engine of eco- ingredients of a “good” public policy for entrepre-
nomic growth (Romer 1990; Aghion and Howitt neurship. As a matter of fact, since J.M. Keynes
1998; Audretsch 2006). During the second part of on the one hand and also the work of the econo-
the twentieth century, the big firm was considered mists of the public choice school, economists
as being at the origin of innovation (thanks to its have learnt that the impacts of public policies are
ability to gather large amounts of resources). not always the expected results (Keynes 1933;
However, since the 1980s, the entrepreneur has Buchanan and Tullock 1962). This entry aims to
made his/her comeback on the forefront on the insist on the entrepreneur’s socioeconomic back-
economic and political scene. What is the exact ground. Notwithstanding his/her own qualities
role of the entrepreneur, and how does he/she (smartness, ability to judge), the entrepreneur is
succeed in the innovation process, which still – here considered as a social actor, influenced by the
and perhaps, because of its rapid pace, more than social, economic, and political context. The anal-
ever – requires the gathering of large amounts of ysis in terms of “resource potential” aims at going
money, competencies, and information? To deeper in the explanation of what turns the poten-
answer this question, the work of several econo- tial entrepreneur into the real one.
mists is studied, mainly J. A. Schumpeter is one The first part of this entry comes back to socio-
(1883–1950), who can be considered as a precur- economic and historical analysis of the entrepre-
sor in the analysis of entrepreneurship linked to neur’s function, showing that this character is
the innovation process. concurrently the driving force of capitalism, as
808 Entrepreneur’s “Resource Potential,” Innovation and Networks
well as the reason for the evolutionist character duplicates itself indefinitely. For L. Walras, the
and the questionable self-destruction of this eco- industrial entrepreneur “buys textiles and raw
nomic system. The second part points out the materials, rents factories, workshops, machinery
origins of the entrepreneur’s function and and tools, hires spinners, blacksmiths and
develops an analysis of the resource potential in mechanics” (Walras 1874/1988, p. 287). The
relation to a network approach, which is fed but Walrasian entrepreneur does not innovate. He
also differentiated from current – or more ancient – buys or rents services or raw materials or other
approaches in terms of social capital. The pro- input required by production. He selects
posed formalization in terms of “organic square according to the price of production factors
of entrepreneurship” is thus an attempt to explain (interest rate for capital, wage rate for labor).
the temporary character of the entrepreneur’s The Schumpeterian entrepreneur questions the
function. It also supports the thesis according to economic status quo because he/she is the eco-
which today’s entrepreneur can be sketched as a nomic agent that makes new combinations of
socialized entrepreneur (a network-based entre- production factors, corresponding to as many
preneur) at the interplay between the strategies investment opportunities. He is the driving force
of states and big firms. of the capitalist economy. He embodies the
dynamics of capitalist change as well as industrial
and technological progress. There are five such
Business Creation and the Dynamics of combinations:
Capitalism
• The introduction of a new good – that is, one
J. A. Schumpeter (1883–1950) is not the first with which consumers are not yet familiar – or
economist to draw attention to the entrepreneur. of a new quality of a good
Richard Cantillon (1680–1733), Jean-Baptiste • The introduction of a new method of produc-
Say (1767–1832), Karl Marx (1818–1883), or tion, that is, one not yet tested by experience in
Alfred Marshall (1842–1924) made important the branch of the manufacture concerned,
contributions to the economic analysis of this which need by no means be founded upon a
character (Boutillier and Uzunidis 1995, 1999, discovery scientifically new, and can also exist
2006). However, J. A. Schumpeter’s approach is in a new way of handling a commodity
original in that he/she formalized the entrepre- commercially
neur’s function in relation to the dynamics of • The opening of a new market, that is, a market
capitalism (Uzunidis 2004, 2006a). into which the particular branch of manufac-
ture of the country in question has not previ-
The Entrepreneur: The Driving Force of ously entered, whether or not this market has
Capitalism? existed before
First of all, the entrepreneur, as viewed by J. A. • The conquest of a new source of supply of raw
Schumpeter (1911/2006), is the one who ques- materials or half-manufactured goods, again
tions the economic status quo prevailing in the irrespective of whether this source already
neoclassical vision. As a matter of fact, for neo- exists or whether it has first to be created
classical economists, and especially their leader • The carrying out of the new organization of
Léon Walras (1834–1910), the basic model is the any industry, like the creation of a monopoly
one of pure and perfect competition. Competition position (e.g., through trustification) or the
is the only way the market can operate. In this breaking up of a monopoly position
context, there exist neither big firms nor small (Schumpeter 1911/2006, p. 66)
firms, but only firms of similar size (assumption
of market atomicity). Firms are and will remain According to Schumpeter, to be an entrepre-
firms of similar size, which accounts for the neur is neither a profession nor a long-lasting
absence of technical progress. The economy state. On the contrary, to be an entrepreneur is a
“function.” This is the second characteristic of the shown by the history of the economic thought
Schumpeterian entrepreneur: “the entrepreneur’s referring to the entrepreneur (Boutillier and
function is to combine the productive factors, to Uzunidis 1995, 1999; Blaug 1998; Laperche
bring them together” (Schumpeter 1911/2006, 2003). The first main issues refer to the nature of
p. 76). The entrepreneur is then very different the entrepreneur’s remuneration. Then, as the dis-
from the common vision of the manager who sociation between the entrepreneur and the capi-
manages the day-to-day production: “everyone is talist becomes clearer, economists will be
an entrepreneur only when he/she actually ‘carries interested in the entrepreneur’s function and the
out new combinations’, and loses that character as associated risks.
soon as he/she has built up his/her business, when In the classical economic thinking, and partic-
E
he/she settles down to running it as other people ularly in Adam Smith’s works (1723–1790), the
run their businesses” (Schumpeter 1911/2006, economic agents that are the entrepreneur and the
p. 78). To be an entrepreneur does not mean capitalist are often confused, as well as the finan-
automatically to have a long-lasting relation with cial risk and the undertaking risk. Before Adam
an individual concern, as stressed by J.-B. Say or Smith, Richard Cantillon, (see Cantillon 1997)
A. Marshall in their own words. who is, according to Schumpeter (1954/1983,
For J.-B. Say, (Say 1828/1996), the entrepre- t.II, p. 242), the first economist to use the term
neur stands between the executing work of the “entrepreneur,” the entrepreneur’s remuneration
worker and the research work of the scientist is a fair remuneration of the incurred risk.
(“L’entrepreneur met à profit les facultés les plus According to him, entrepreneurs (the term is
élevées et les plus humbles de l’humanité. Il reçoit used, taking account of the period, to qualify
les directions du savant et les transmet à merchants) are “people with uncertain revenues”
l’ouvrier,” J.-B. Say, Cours, Atenéo, 1843, because their revenues depend on the risk they
Chap.VI, p.96). As a result, there is a distinction take in a context of uncertainty. Their function
between three kinds of industrial operations: the consists in acquiring means of production at cer-
research by the scientist, the application by the tain prices with the purpose to sell at uncertain
entrepreneur, and the execution by the worker. prices. For Schumpeter, the entrepreneur’s role
However, according to Say, the entrepreneur does not only consist in taking economic risks.
may at the same time lead research, apply the The terms “entrepreneur” and “capitalist” are not
results to industry, and by himself/herself manu- synonymous. The ordinary shareholder is not
facture what will be sold. In his/her Principles of always an entrepreneur. The capitalist is only an
Political Economy, Alfred Marshall (1842–1924) owner of money, debts, or goods.
defines the entrepreneur as putting forward his/her J.-B. Say, in the context of industrialization,
managerial skills, his/her faculty to know how to and Schumpeter, when the movement of capital
organize the work of an important number of concentration gains ground, give substance to the
people. His function is to manage the production notion of risk as they particularly focus on the
in a way that a given effort may have the most entrepreneur’s function. For these two authors,
important effect to satisfy human needs (Marshall even if they express it differently, the undertaking
1906). risk is the risk linked to innovation. This point of
The entrepreneur can then have various pro- view was also the one of Ricardo and Marx, who
files: he/she can either be independent or an considered that industrial gains were composed,
employee of a public company, or he/she can for a part, of the remuneration they receive, for a
also have no durable relation with an individual time, from the first introduction, in the economic
business. As a result, J. A. Schumpeter has a process, of an original improvement, for example,
particular view of the connection between entre- a new machine. They have thus discovered,
preneur, risk, and profit. One of the meanings of according to Schumpeter, a special case of the
the verb “to risk” being “to attempt,” to “under- most typical gain of the entrepreneur, Schumpeter
take,” entrepreneur and risk are directly linked, as (1954/1983, t.II, pp. 361–362). However, while
J.-B. Say and A. Marshall – who also draw atten- Consequently, the role of innovation – and thus
tion to the organizational and productive function of the extraordinary person, the entrepreneur – is
of the entrepreneur – tried to justify the profits of essential to the explanation of economic
the entrepreneur, Schumpeter asserts that profit is cycles (Uzunidis 1996, 2006b). According to
not the entrepreneur’s first motivation. His behav- Schumpeter, since only the most enterprising and
ior is similar to the one of a gambler. The entre- venturesome people act, innovation appears in
preneur is prompted by a desire for power. The joy “swarms.” These innovations induce a rise in the
to win and to create prevails in the intrinsic lure of demand for capital goods, a decrease in production
gain. Profit crowns the success of the “new com- costs, and an increase in the number of goods
binations.” This is the expression of the value of supplied. The increased capacity on the supply
the entrepreneur’s contribution to production in side is associated to a boom in demand, stemming
the same way as the wage is the reflection of the from the new consumption needs, the positive
worker’s production. anticipations of economic agents, and the develop-
Finally, apart from these psychological charac- ment of bank loans. The ensuing rise in profits puts
teristics of the entrepreneur, Schumpeter insists a the economy on an ascending trajectory. This stage
lot on the capacity of this entrepreneur to over- of prosperity, after the stimulating effect of radical
come the banker’s resistance, the latter feeling an innovation, is prolonged by minor innovations.
aversion for risk linked to innovation. According The boom, however, limits itself, as, paradoxically,
to Schumpeter, the existence of the entrepreneur is innovation contributes to downsizing. Investment
not sufficient to put the economy on the path of and excessive optimism during the years of strong
evolution. The potential entrepreneur needs growth may explain the cycle shift: losses, bank-
access to money, that is, the admission ticket to ruptcies, and job-cuts, etc. The crisis will last as
participate in the game: “The requisite funds – long as there exist production capacities in excess.
his/her admission ticket to the social store of When adjustment to the innovations is complete,
means of production – he/she borrows from a deflation ends and the Walrasian equilibrium is
bank” (Schumpeter 1939, Vol. 1, p. 131; see also restored. This thorough cleanup of the economy
Ulgen 1996). In Capitalism, Socialism and releases the business spirit so that a new innovation
Democracy, Schumpeter will explain that credit wave may occur. This refers to J. A. Schumpeter’s
is at the origin of development, saying that it is the “creative destruction” process which “is the essen-
source from which one can draw to finance the tial fact about capitalism. It is what capitalism
execution of new combinations. consists in and what every capitalist concern has
got to live in” (Schumpeter 1942/1976, p. 83).
Entrepreneur, Innovation, and Progress According to Schumpeter, but also to Marx,
In Business Cycles (1939), J. A. Schumpeter ana- (see for ex. Marx (1976)) technical progress results
lyzes the cyclical process of evolution of the in the increase in the production scale, the devel-
economy. This one stems from the business spirit, opment of the limited company: the limited com-
the entrepreneur’s activity, and the introduction of pany supplies capitalism with the necessary capital
radical innovations. for the development of the big industry. The entre-
Innovation, in the broad sense of the word, is, preneur disappears when the big firm emerges
for Schumpeter, the only origin of competitiveness, (resting on the partition of organizational work
the determining element of accumulation. It is also and production work, which is basic to automa-
at the origin of disequilibrium and imperfections. tion), managed by a double-headed team, the man-
Schumpeter extends the marginalist theory (but agers, and the shareholders (partition between
then questions it) and cleverly explains, thanks to management and ownership of capital): “Techno-
the concept of innovation, the emergence of profit logical progress is increasingly becoming the busi-
differentials at a given time in a given economy ness of teams of trained specialists who turn out
driven by pure and perfect competition as well as what is required and make it work in predictable
the evolution of the economic activity. ways” (Schumpeter 1942/1976, p. 132).
The entrepreneur, who was the driving force of of property. It loosens the grip that once was so
capitalism in the heroic age, has been replaced by strong – the grip in the sense of the legal right and
a team of specialists whose essential task is inno- the actual ability to do as one pleases with one’s
vation. So, capitalism becomes impersonal, and own; the grip also in the sense that the holder of
the organization has replaced the individual. J. A. the title loses the will to fight, economically, phys-
Schumpeter thus shares with K. Marx the concept ically, politically, for ‘his/her’ factory and his/her
of self-destruction of capitalism. In Capitalism, control over it, to die if necessary on its steps”
Socialism and Democracy, J. A. Schumpeter (Schumpeter 1942/1976, p. 142).
explains that capitalism has made technical pro-
gress its raison d’être: “capitalism, then, is by Networks and the Socialized Entrepreneur
E
nature a form or method of economic change However, in this early twenty-first century, not
and not only never is but never can by stationary” only capitalism has not disappeared, but its
(1942/1976, p. 82). Is not the entrepreneur the power on the global society is reinforced. Big
driving force of capitalism just because he/she multinational firms, TNCs, dominate the world
innovates, thus continuously creating new invest- economy, while myriads of small firms are born,
ment opportunities? grow, and die on a regular basis, thus composing a
K. Marx writes: “the actual barrier to capitalist kind of stock from which capitalism finds its
production is capital itself” (p. 244, book III). means of development. “The age of the Entrepre-
“Capitalist production generates its own negation neur is like Camelot: it is only here for a brief,
which conditions the transformations of nature. It shining moment each (roughly) half century,”
is the negation of the negation” (p. 557, book I). says in this vein, Ray Canterbury (2001, p. 423).
J. A. Schumpeter writes: “that those factors make Therefore, the domination of big firms is not
not only for the destruction of the capitalist but for incompatible with the maintenance of large num-
the emergence of a socialist civilization. They all bers of small firms. Quite the opposite! The strong
point in that direction. The capitalist process not economic growth that came after WWII had pro-
only destroys its own institutional framework but vided Western Europe and the United States with
it also creates the conditions for another” safe and stable markets. After the trauma of the
(Schumpeter 1942/1976, p. 162). K. Marx and 1929 crisis, which had paved the way for war and
J. A. Schumpeter share the idea of self-destruction dictatorship, all-out state intervention had become
of capitalism, that self-destruction being paradox- necessary (support of supply and demand). The
ically caused by its success. For the latter, the economic crisis starting in the 70s questions many
development of shareholders will have certainties. The industries and activities on which
destabilizing effects on the future of capitalism, economic growth was based have reached matu-
thus joining A. Smith (1776/2002), for whom the rity. The information and communication technol-
development of joint-stock companies is incom- ogies (ICTs) generated by military programs
patible with the development of business, as the represent new investment opportunities. There-
private appropriation feeling is absent. It is fore, it is necessary to release the capital which
dissolved in the multiple ownership of capital. has been frozen by nationalizations. This is done
For J. A. Schumpeter, the occurrence of collective by the financial revolution. The limited company
private property destroys initiative and the will to has a free hand. It develops through venture cap-
enrich oneself which are the cornerstones of capital and pension funds. This is the way “new
italism. The spirit of enterprise vanishes, and the capitalism” sees the light. The division of labor
firm is no longer a place of economic opportuni- has become more complex within and between
ties, nor a place of professional and personal ful- firms. Firms communicate in real time and all
fillment, all that being replaced by a bureaucratic over the world on the Internet. Financial markets
organization. “The capitalist process, by substitut- have expanded on a global scale. The gap between
ing a mere parcel of shares for the walls of and the capital management and property has become
machines in a factory, takes the life out of the idea wider. It matters little whether the ownership of
capital is collective; what is important is the indi- development of financial markets since the early
vidual possession of the profits capital generates. 1980s has restored part of their lost power to the
The economic history of the last 30 years con- shareholders, as these now get rid of unsatisfac-
firms this observation: domination by big firms tory managers. However, despite the questioning
and survival of myriads of small companies. The of the vertical integration of big firms in favor of a
theory of corporate governance (even if it reverses network structure (made possible by the develop-
the balance of power between managers and ment of ICTs), big firms are still the global market
shareholders) is based on that concept of bureau- organizing entities. “Corporate power lies with
cracy and collective organization. However, how management – a bureaucracy in control of its
can one account for the economists’ craze for the task and its compensation,” writes J. K. Galbraith
entrepreneur? Has the latter become the driving in his/her last book published in 2004 (Galbraith
force of capitalism (again)? Is (entrepreneurial) 2004, p. 31; see also the analysis of this debate in
capitalism the end result of human evolution, as Laperche 2005; Laperche et al. 2005, 2006). Since
F. Fukuyama says (1993)? the 1960s, he/she has not departed by a hair’s
There are diverse reasons for the entrepre- breadth from his/her position. The development
neur’s comeback in the economic theory. Among of corporate bureaucracy has not resulted in the
the main ones (see Boutillier 2006): disappearance of capitalism, or the entrepreneur.
The latter even receives assiduous care from the
1. The slow-down in economic growth and the political leaders who have crowned him/her as a
persistence of massive unemployment. The for- creator of innovation and employment, as well as
mation of new firms is perceived as a way of the champion of social integration.
creating wealth (and boosting technological The following assumption may be proposed:
innovation), but also of creating employment. the entrepreneur has not disappeared, but he/she
The establishment of new firms is perceived by is no longer a hero. Thus, he/she has become a
political leaders as a social integration socialized entrepreneur, an entrepreneur who is a
facilitator. player in the economy made up of (a) the plan-
2. The decrease in government social spending, ning decisions made by big firms which, even if
the privatization and deregulation of the econ- networked, nevertheless are powerful bureaucra-
omy. Facilitating the formation of companies is cies, and (b) the states’ policies which aim at
less costly to public budget than granting reducing unemployment and boosting innova-
unemployed people a substitute income. tion in the developing knowledge economy.
3. The occurrence of ICTs, all being new invest- This is the new capitalism of the early twenty-
ment opportunities. Small firms (often affili- first century!
ated with big firms through financial Faced with the complexity of the today’s eco-
relations) test those new fields. nomic activity, M. Castels (1996, 1997, 1998)
4. The development of financial flows (following went as far as to maintain, quite cleverly, that the
the liberalization of the economic forces and fundamental unit of the economic system is no
markets) offers new financial instruments longer the entrepreneur itself, the family, the firm,
which both feed and weaken the economic or the state, but the network composed of different
growth due to their high instability. organizations. Regarding innovation, the division
of labor and the very refined specialization of
The big firms, which control global markets, skills in the process of production remove any
are led by organizations, and not by one individual possibility of autarkical organization of the tech-
who can easily be identified: the entrepreneur and nological production. Partnerships between com-
founder. The firm is led by managers on behalf of panies and between public and not-for-profit
its shareholders (the owners of the firm), as John institutions, on the one hand, and companies on
Kenneth Galbraith already explained in the late the other hand, and a whole panel of technical,
1960s (Galbraith 1967). Apparently, the financial, and commercial contributions, illustrate
the theories of the classical economists (e.g., Entrepreneur’s “Resource Potential,” Innovation and
A. Smith and K. Marx). For them, as fast as the Networks, Table 1 The entrepreneur’s resource poten-
tial: elements of definition
industry takes over the social production (and
enlarges its market by appropriating the resources Resource
potential Main characteristics
at the time), technical transformations can be
Knowledge Tacit knowledge obtained from the
witnessed, as well as core changes in the organi- family
zation of the production and in the matter that the Scientific and technical knowledge
entrepreneur makes business. The entrepreneur is learned at school
not a deus ex machina who puts the economy on Knowledge obtained through relations
the path of motion. The following part comes back Knowledge obtained through
professional experience E
to and explains the economic and social origins of
the entrepreneur’s function, thanks to a discussion Financial Personal savings
resources Love money: parents, friends, etc.
of the profile of the entrepreneur considered as an
Bank loan
economic player in the contemporary network-
Financial aid from institutions (e.g.,
based economy. public aids)
Seed money from another entrepreneur
Relations Informal relations (family, friends,
The Entrepreneur’s Resource Potential neighborhood, colleagues, etc.)
and Entrepreneurial Dynamics Formal relations (State, banks, other
enterprise, research institutes, etc.)
The Resource Potential: The Origin of the Source: Authors
Entrepreneur’s Function
The concept of “resource potential” gives the pos- These three parts are interdependent. For
sibility to assess the role played by the social example, the knowledge of an individual depends
origin, the educational background, the profes- on his/her education and/or professional experi-
sional experience, and the financing sources of ence. And the family context (cf. Casson 1990)
entrants (Boutillier and Uzunidis 2004; Boutillier positively or negatively influences the educational
et al. 2004). Each individual owns a set of choices. Many entrepreneurs were born to fami-
resources and uses his or her potential to improve lies of entrepreneurs. While studying, the individ-
their economic situation (to find a job with a good ual meets new persons, who can become partners
salary, to create an enterprise, to find another and bring knowledge, money, and relations. Mak-
professional activity, etc.), and their choices also ing up a substantial address book is fundamental
depend on their own resources. The resource because it facilitates the search for money, mar-
potential is not a natural gift, but it is the product kets and associates, etc.
of a social process, of the opportunities and con- Schumpeter considered that the entrepreneur’s
straints implied by this process. What are the function was the result of a kind of not explained
entrepreneurs’ social origins? What did they ability, and that his/her success was due to his/her
study? Who were their parents? Were they entre- competencies and also to a bit of luck: “in most
preneurs? Employees? Civil servants? What are cases the man who rises first into the business
their relations? class and then within it is also an able business-
The resource potential can be analyzed in three man and he/she is likely to rise exactly as far as
parts: (1) knowledge (schooling, secondary edu- his/her ability goes – simply because in that
cation, higher education, further education, and schema rising to a position and doing well in it
professional experience, etc.); (2) financial generally is not or was one and the same thing”
resources (personal savings, bank loans, venture (1942/1976, p. 74).
capital, and different forms of public support); So, this approach goes deeper into the analysis
(3) relations (family, personal, professional, insti- of the origin of the entrepreneur’s function, trying
tutional relations, etc.) (Table 1). to add to the notion of “ability” a social
dimension, notably when he/she spoke of the the continuous technical progress, and the
qualities of the entrepreneur and, first of all, resulting automation of industrial work.
his/her ability to convince the banker. Of course, This theoretical breakthrough was fundamen-
according to him, the successful entrepreneur is tally initiated by G. Becker in the 1960s. A. Smith
the one who has the banker’s support. This is did precede him/her in this analysis, putting a lot
perhaps part of his/her explanation of the entre- of emphasis on the necessary development of
preneur’s gift. Moreover, if Schumpeter focused education. But the true precursors of “human cap-
in priority on the entrepreneur’s ability to raise ital” are certainly T. W. Schulz (1959) and E. F.
funds, this ability can be considered as part of a Denison (1962). The quality of human resources,
multidimensional ability in which knowledge and the investment in education, the information of
relations also have an important role to play. This individuals, and knowledge are production fac-
approach of the resource potential is fed but also tors. G. Becker’s human capital is different from
differentiated from the current (or more ancient) physical capital or financial capital because the
approaches in terms of social capital, as presented knowledge and the know-how acquired by an
below. individual during his/her training are embedded
in him. The employer can take advantage of this
The Theoretical Roots of the “Resource knowledge if the employee keeps on working in
Potential”: An Economic Approach to Social his/her enterprise. Employers do not have a prop-
Capital erty right on their employees.
The concept of social capital officially appeared in However, the human capital is a capital and, as
human sciences at the beginning of the 1980s. such, the theory of capital can be applied to it,
P. Bourdieu (1980) is one of its main originators. adapting it and putting forward some specific prop-
His aim was to go deeper into the analysis of erties: human capital can be accumulated. All indi-
social relations. At the beginning of the 1960s, viduals may increase the number of years
G. Becker (1975) defined the concept of “human dedicated to its formation, normally through a
capital,” considering that all individuals own their quasi indefinite process. Marginal returns of invest-
knowledge and that they can take the decision to ment in education are decreasing: along the life
invest in their human capital to increase their cycle, the accumulation of human capital follows
merchant value on the labor market. With the a decreasing trend. As years go by, economic
concept of social capital, social relations become agents dedicate less time to training, all the more
valuable resources (Boutillier 2005). The concept so as job perspectives become less numerous. The
of social capital is the foundation of the concept of human capital return decreases with age: the inte-
resource potential. However, in the economic and gration of human capital in the individual limits
sociological literature, social capital is most often his/her investment capacity. He is dependent on
defined as a set of social relations. One may con- his/her physical and intellectual capacities. More-
sider that social relations are only part of the over, an individual may accumulate human capital,
resources that individuals can invest in to find a without any positive result (added value on the
job, start a business, etc. labor market); human capital is both a private and
a public good as an educated population is also
Capitalizing One’s Own Knowledge more productive (cf. GDP growth, Lucas 1988).
At the beginning of the 1960s, the concept of The theory of human capital therefore presents
human capital became essential, in the theory as similarities with the one of capital. The individual
well as in economic facts. Enterprises and notably invests in himself, as the capitalist invests in
big ones needed more and more skilled employees his/her enterprise: the first one is incorporated in
due to the development of the service industry and the individual, but the capital remains exterior to
the clearer separation between design and the entrepreneur who invests it. The law of
manufacturing, the affirmation of full employ- decreasing marginal returns applies to human
ment, the development of the educational system, and physical capital alike.
Capitalizing One’s Social Relations For American sociologists who studied the con-
Since the early 1990s, various works have been cept at the end of the 1980s, social capital can also
conducted by American sociologists (R. Putman, be considered as a network of various relations,
J. Coleman) in this direction. Social relations are enabling the individual to improve his/her social
considered a resource which can be capitalized by insertion. Subtle links between social capital and
individuals. In order to improve their economic human capital are also established.
welfare, individuals use their social relations The issue of social capital is only apparently
which are regarded as an individual and a collec- simple (Gasse et al. 2004). It is, as a matter of fact,
tive good. According to those authors, the charac- possible to find as many definitions as there are
teristics of social capital are similar to those of authors who draw attention to it. J. Coleman
E
physical capital: decreasing returns, decreasing (1988, 1990) describes the social capital as a
marginal productivity, etc. resource incorporated in interindividual relations.
P. Bourdieu (Bourdieu and Wacquant 1992) The resources drawn from social capital are pri-
defined the concept of social capital in an analysis vately appropriated and have certain similarities
of social stratification. Differences in terms of with externalities generated by the functioning of
revenues are not the only criterion of differentia- the market. Social capital is productive, just as
tion between social classes. For equal revenues, human capital, and contributes to the increase of
social behaviors and notably cultural ones can be welfare. R. Putnam (2000) defines social capital
very different. This social capital is a means to as the network and reciprocal norms which are
gain access to jobs, funding, etc., and the individ- associated to it. Social capital has a given value
uals belonging to dominant social classes are for the individuals who are part of the network.
those who benefit from a wide network of social R. Burt (1995) stressed the role of social networks
relations. P. Bourdieu defines social capital as the in the evolution of carriers, studying the promo-
sum of actual or potential resources which are tion of executives in a big technological firm.
linked to the more or less institutionalized net- International institutions, OECD and the
work of inter-acquaintance and inter-recognition World Bank, for example, were quickly con-
relations possessed by an individual. Every indi- vinced of the interest of social capital in order to
vidual is endowed with a social capital, but the improve public policies efficiency. OECD (OCDE
latter is not a natural gift but the result of a strat- 2001) credits social capital with a major part in the
egy. Consciously or not, individuals invest to increase of social welfare, considering three forms
increase their social capital, this one depending of capital linked by institutional arrangements:
on other forms of capital: economic capital, cul- natural and product capital, human capital, and
tural, and symbolic one. A high economic or social capital. For the World Bank, social capital
cultural capital facilitates the formation of a social is also a means to fight against poverty in order to
capital. And a high social capital is also a means to fill the gap created by the absence of institutions.
increase the economic capital of individuals. Social capital is also a social support to informal
Long before P. Bourdieu, other sociologists economic relations, which depends on subtle rela-
drew attention to the potential wealth that consti- tions of mutual trust and solidarity. In terms of
tutes a network of social relations. M. Weber public policies, the translation lies in the develop-
(1905/1964) showed the link there was in the ment of the associative sector (World Bank 2000).
USA at the beginning of the twentieth century The concept of social capital also has certain
between the adherence to a religious community similarities with the one of network, which was
and success in business. In 1963, S. Macaulay also introduced in social and human sciences in
(1963) published the result of a study conducted the 1990s. The image of the network as a sum of
in the USA on transactions between firms, which computer connections has lead many researchers
are very often agreed without contracts or in inac- to develop a metaphoric analysis (Castells 2001).
curate legal conditions. Entrepreneurs are often Moreover, this kind of approach is interesting in
reluctant to formalities which may question trust. that it takes account of the historical dimension.
Merchant, political, and financial networks have entrepreneurial attempt, which has to be followed
always existed, but they have taken a new dimen- by other attempts. In the same vein, public poli-
sion with technical progress. This approach is not cies may help to increase an entrepreneur’s
compatible with methodological individualism. resource potential or cause its decrease (support
The network is not seen as an appropriable good, to business creation, taxes in connection with the
capitalized by its members. The approach in terms creation of the enterprise, etc.). The economic
of network is considered as a method to study the network-based organization (regulations, finan-
world’s evolutions. The network is also used in cial system, locations of large enterprises, level
different contexts, as, for example, the analysis of of technical and knowledge development) and the
social cohesion, intermediary level between micro market (supply and demand) may have the same
and macro. The accent is on the interpersonal positive and negative results on the resource
links used to explain macro sociological phenom- potential of the entrepreneur and more globally
ena (Granovetter 1973, 1985). on entrepreneurship. The formalization in the
In a nutshell, those approaches in terms of terms “organic square of entrepreneurship” is
human capital and social capital are interesting thus an attempt to explain why the entrepreneur’s
in that they question the pure rationality of indi- function is not a long-lasting and stable one.
viduals, putting them right in the middle of society Being an entrepreneur is not a profession but a
(notably the role of family and state are clear) or in function which stops when the entrepreneur does
the “strategic group” (Porter 1982) they have cho- not innovate anymore: the social, economic, and
sen. In the management literature, the role of political context may cause the appearance or the
social relations and of networks is more and disappearance of the entrepreneur.
more used to explain the entrepreneurs’ success First of all, the economic context is character-
(Sammut 1998; Davidsson and Honig 2003; Suire ized by change. Change is created by the activity
2004; Marchesnay 2004; Chabaud and Ngijol of entrepreneurs, and major change comes in a
2005). But these approaches seem too simplistic context of crisis. Change also creates new invest-
because they remain largely focused on the indi- ment opportunities (creation of new needs thus
vidual, with very few references to the economic, causing an increase in demand, and so on). The
social, and political context in which he/she acts. economic situation is thus fundamental to the
This analysis based on the “resource potential” emergence of the entrepreneurial function. Sec-
can thus be considered as a further step in the ondly, as mentioned earlier, even if the entrepre-
social analysis of the requisites for an individual’s neur is a kind of deus ex machina, he/she also has
success – more precisely the entrepreneur – or of some competencies, and notably the one to con-
the explanation of his/her failure. vince the banker and thus to raise funds. The
financial resources are thus taken into account.
The Organic Square of Entrepreneurship and More globally, the level of development of the
the Network-Based Entrepreneur’s Function financial system (and more precisely the banking
The resource potential is not a natural gift and is system) is therefore very important to explain the
built by a conscious (or unconscious) strategy, entrepreneur’s existence and success. Thirdly,
linked to the economic, political, and social con- institutional change (which characterizes the eco-
text in which the entrepreneur operates. More- nomic organization in the following scheme) is at
over, this potential is not stable. It can be the origin of the extinction or the revival of the
increased, as explained by the above-mentioned entrepreneur’s function. The aim here is to for-
American sociologist, but it can also decrease in malize the elements of the economic social and
some special cases or contexts. For example, a political context which may explain why the
bankruptcy in Europe is very badly perceived entrepreneur’s function is not a stable one.
and may be a case of drastic reduction in the As a matter of fact, the entrepreneur’s dyna-
resource potential; in another context, it may not mism and qualities cannot explain per se the cre-
change anything or even be regarded as an ation and success of small enterprises. This is the
reason why a more systematic analysis of the key reference to the entrepreneur’s own resource
factors of entrepreneurship (or the network-based potential. Many other studies conducted by spe-
entrepreneur’s function) – high tech or not – in cialists in management sciences have demon-
today’s economy may be proposed. Four major strated that the creation and durability of small
factors affect this: public policies, economic and enterprises depend on the entrepreneur’s ability
social organization (the importance of large cor- to take into account the existing links between
porations, the nature of the financial system, and different internal factors (organization, financial
the level of development of knowledge), and the resources, activity) and external ones (the differ-
state of supply and demand which contribute to ent levels of the environment) (Sammut 1998;
the building of the resource potential. The Marchesnay 2003). In this case, the approach is
E
interdependence between these factors allows to more centered on the individual. This analysis
analyze them through an “organic square of entre- thus links the two approaches, focused on the
preneurship” (Fig. 1). entrepreneur and on the environmental factors.
This entrepreneurial “maturity” results firstly
The Organic Square of Entrepreneurship from the variety and abundance of the resource
What is the rationale of the “organic paradigm of potential which they have built. The composition
entrepreneurship” and how to explain the choice of this potential depends on external factors and
of the incentive factors proposed here? To answer on the entrant himself/herself. In particular, public
these questions, it is necessary to focus on the key support (direct or indirect) to the creation of new
factors of success of small businesses. S. Shane enterprises usually determines the financial
(2003), for example, makes a synthesis between resources entrepreneurs can have access to in
the Schumpeterian entrepreneur (who is an inno- order to set up or develop their business. The
vator) and Kirzner’s entrepreneur (who has to be economic and social organization has several
well informed to catch the market opportunities) dimensions and different effects. The general
(Kirzner 1973, 1985). S. Shane defines the rele- level of development of knowledge influences
vant environmental factors (institutional, political, the knowledge gathered by entrepreneurs
and sociocultural) which may help the entrepre- (through their education and that of their staff
neur to innovate. However, he/she does not make through economic intelligence) and the
Public Policies Entrepreneur’s resource potential

- Direct support to new E - Knowledge
P
enterprises - Financial resources
- Indirect support to new - Relations
enterprises
ENTREPRENEURSHIP
Economic organisation Market

- Regulations M - Supply
O
- Financial system - Demand
- Place of large enterprises
- Level of technical and
knowledge development
Entrepreneur’s “Resource Potential,” Innovation and organization of the economic sector (regulation, bar-
and Networks, Fig. 1 The four extremities of the dia- riers to entry, presence of large companies, etc.). These
gram represent the relationship between the Entrepreneur’s relationships define entrepreneurial capacity
resource potential (formed by its financial capital, cogni- (entrepreneurship) in a given sector, a region or a country.
tive and social), the market (inputs and outputs of the (Source: Authors’ own conceptualization)
business), public policies to promote entrepreneurship
technological level of their activity. The charac- state’s policies to reduce unemployment and
teristics of the financial system (possibility or boost innovation and competitiveness.
difficulty in being listed on the stock exchange, The socialized entrepreneur in today’s economy
more or less “conservative” banks, and the access is an important force in the renewal of economic
to venture capital) have an impact on the capacity activity based on knowledge, information, finance,
of the individual to become an entrepreneur and and industrial concentration. The innovative entre-
on the development of new businesses. Market preneur appears in innovation, knowledge, and
concentration and the place of large companies finance-based networks built by large companies
also influence the dynamism of entrepreneurial and specialized institutions. The debates on the
activities and the kind of activity they have. networks focus as much on the flexibility, as on
Finally, the overall economic situation determines the increase in the firm’s capacity to appropriate a
the rhythm of new creations and also the types of large quantity of resources without investing in
activities conducted by such businesses (see their formation. The large firm has turned into a
Boutillier et al. 2004). center of formation and flexible coordination of
It is in this organic square of entrepreneurship partnerships but also of generating entrepreneurial
that the entrepreneur’s function lies. This is a opportunities. Coordination and innovation pro-
temporary function because it stems from the cesses, both flexible and evolutionary, impose on
gathering at one moment of some special condi- the firm the pressing need to be provided with the
tions. According to the context, it is also possible different types of technological and intellectual
to examine different types of entrepreneurs, which means to acquire and combine uninterrupted
have different resource potentials – for example, flows of material and immaterial resources (see
high-tech entrepreneurs or low-tech ones for for ex. Howitt 1996). Complex networks associate
another part. This approach thus permits to go large firms, start-ups, universities, public and pri-
deeper into the analysis of the entrepreneur, no vate research, funding institutions, consultancy,
more as a disembodied agent but a social agent, in and specialized business services, etc. dedicated
all its complexity. to the innovation process. The importance taken
by networks in economics reveals the necessity for
collaboration, which is due to the complexity, the
Conclusion and Future Directions cost, and the risk of the innovation process. The
growing burden on financial investment for the
To conclude, explaining the origin (resource organization of productive activities implies coop-
potential) and the conditions of appearance of eration between firms and institutions to facilitate
entrepreneurs (organic square of entrepreneurship continuous, “permanent” development of profit-
or network-based entrepreneur’s function) is all able new goods and services. It thus explains the
the more important as the entrepreneur has not renewal of the entrepreneur’s function (notably
disappeared, contrary to Schumpeter’s prediction. spin-offs and outsourcing) as well as the invention
He is on the contrary in the forefront of the eco- of new organizational and interorganizational
nomic scene. The entrepreneur is also in the heart modes (alliances, partnerships, networks, clusters)
of the political debate, his/her existence and dura- (see Laperche et al. 2008).
bility (as an economic act and not as a function) The knowledge-based economy requires fur-
being considered as the reason for economic ther research on the characteristics of the new
growth. However, as explained above, the entre- entrepreneurs: the ability to adapt and the effi-
preneur is no longer a hero. He has become a ciency of the entrepreneur’s capability depend
socialized entrepreneur, an entrepreneur who is a on his/her cognitive categories, on the interpreta-
player in an economy made up of, on the one tion codes of the information itself, on the tacit
hand, the planning decisions made by big firms skills and his/her procedures in solving the prob-
which, even if networked, nevertheless are pow- lems it encounters, and on his/her capacity to
erful bureaucracies and, on the other hand, the integrate innovation networks.
Schumpeter, focusing on the entrepreneur, Bourdieu P, Wacquant LJD. An invitation to reflexive

considered as a deus ex machina, did not take sociology. Chicago: University of Chicago Press;
1992.
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seille 11–12 mai 2005.
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Entrepreneurial Behavior and Eco-Innovation 821
first one is related to the constraints that the exter-

Entrepreneurial Behavior and nal pressure from stakeholders such as employees,
Eco-Innovation shareholders, customers, suppliers, the State, and
the civil society puts on the firm. The second one
Blandine Laperche is the opportunity for the firm adopting a respon-
Research Unit on Industry and Innovation/ sible behavior to improve its economic results.
CLERSE–CNRS (UMR 8019), University of Thus, developing a responsible behavior would
Lille Nord de France, Research Network on be a “win-win” strategy first because it is more
Innovation, Dunkerque, France respectful toward the environment and the society
Research Unit on Industry and Innovation, and also because it is a profitable strategy. In order
E
University of Littoral Côte d’Opale, Dunkerque, to improve its economic results in a global com-
France petition based on innovation as it is today, a firm
needs to constantly develop and renew its prod-
ucts, processes, and organization. Innovation,
Synonyms whatever its forms, thus appears as the best solu-
tion to conciliate the idea of social responsibility
Capabilities to change firm’s trajectory; Entrepre- with the necessity to make profits.
neurship and innovation; Innovation in green It is therefore possible to see a connection
technology between responsible behavior and entrepreneurial
behavior, for entrepreneurial behavior is also
The implementation of a sustainable mode of tightly linked to innovation, defined in the sense
development has become a major aim of public of Schumpeter. According to him, entrepreneur-
policies in industrial countries, and the evolution ship is an economic function, which takes the
of economic agents’ behaviors (producers and form of a new product delivered through a new
consumers) is considered as the engine of this process, implementing a new organization, open-
“new economy.” Enterprises are thus induced to ing a new market. . . Entrepreneurial behavior,
develop socially responsible behaviors, that is to defined here by the innovation act, may be
say, to integrate social and environmental con- observed when an innovative firm is created as
cerns into their business operations and in their well as when an innovative project is
interactions with their stakeholders on a voluntary implemented within an existing firm. From the
basis. For firms, the entrepreneurial behavior that enterprise point of view, the current equation of
consists in the development of green innovation or sustainable development therefore takes the fol-
eco-innovation resorts to this necessity to develop lowing shape:
responsible behaviors. But the question for many
firms (as well as for institutions and scholars) “Corporate social responsibility + entrepre-
remains: how should the firm change its trajectory neurial behavior ¼ eco-innovation.”
and thus develop an eco-innovation strategy?
But what does eco-innovation precisely mean?
Responsible Behavior and

Entrepreneurial Behavior A Definition of Eco-Innovation
If ethics was the first reason invoked by the ten- “Green innovations,” “eco-technologies,” or
ants of a social responsibility of enterprises, the “eco-innovations” have been so far mainly
literatures on corporate social responsibility and defined by political agendas; therefore, an eco-
on the objectives of the firm put forward two main nomic definition that could be shared by scholars
reasons for developing responsible behaviors. The is still missing. In this entry, we retain the
822 Entrepreneurial Behavior and Eco-Innovation
definition of eco-innovation provided by the OECD products and processes implemented on markets),
(2009), which adds two characteristics to the defini- it is one of the most visible ways to develop a
tion of innovation offered by the Oslo Manual: its responsible behavior. As a matter of fact, it is, for
explicit emphasis on the reduction of environmental example, easier to communicate on a new ecolog-
impact and the fact that eco-innovation is not limited ical product or process than on, say, better work-
to products, processes, marketing, and organiza- ing conditions which mostly concern the
tional methods but also integrates innovation with company’s employees and not the consumers
social and institutional aspects. and potentially all the society. Green innovation
This definition is therefore a broad one which or eco-innovation enhances the company image/
includes products and processes forms of innova- reputation which may impact the profitability of
tion. It also emphasizes the social and institutional the innovation process.
changes involved in eco-innovation. The OECD As also shown by the OECD (2009), firms
(2009) offers a typology of eco-innovations based thus largely focus on technological forms of
on targets, mechanisms, and impacts of eco- eco-innovation, even if they also consider non-
innovations (Fig. 1). Eco-innovation targets are technological changes, which may be organiza-
products and processes, organizations and institutional and institutional. The example of the
tions. Four mechanisms in other words the automotive sector is interesting. While develop-
method by which change in the eco-innovation ing electric or hybrid cars, firms are more and
target takes place or is introduced are identified: more interested in offering a “service of travel,”
modification small, progressive product and that is to say renting cars notably in urban areas.
process adjustments; redesign significant This is a good example as it implies to change the
changes; alternatives for example, introduction business model and thus the firm’s organization as
of goods and services that can fulfill the same well as social norms and cultural values about
functional needs and operate as substitutes for using a car (which also resorts to institutional
other products; and creation design and intro- change).
duction of entirely new products, processes, pro- Eco-innovation may be at the center of the new
cedures, organizations, and institutions. The venture’s business model, but it may be a new
impacts define the effects of eco-innovation on project in an existing firm. In the second case on
the environment. which we focus here, the development of eco-
If social responsibility is not restricted to the innovation implies a change in the firm’s trajec-
development of technological innovation (new tory. The issue of change at the firm level needs to
Institutions Higher potential

environmental
Primarily
benefits but more
Eco-innovation targets
Organizations
and difficult to co-
Non-technological change
marketing ordinate
methods
Primarily
Processes and
products Technological change
Modification Re-design Alternatives Creation
Eco-innovation mechanisms
Entrepreneurial Behavior and Eco-Innovation, Fig. 1 Typology of eco-innovation. (Source: OECD (2009))
be mobilized in order to understand the ability to The evolutionary theory of the firm can therefore
change their technological trajectory in order to help us comprehend the endogenous transforma-
develop eco-innovation. tion of the firm over time.
The literature on innovation management
(evolutionist theories and more globally
The Roles of Dynamic Capabilities in resource-based theories) emphasizes the role of
Trajectory Change capabilities. The capabilities to develop and
renew the specific resources and assets gathered
The evolutionary theory particularly initiated into organizational routines are named “dynamic
by Nelson and Winter 1982 tends to understand capabilities” by Teece et al. (1997). They refer to
E
novelty and interpret change, by taking into “the firm’s ability to integrate, build and
account the environment and the history within reconfigure internal and external competences to
which systems evolve. In those approaches, the address rapidly changing environment” (Teece
evolution and objectives of firms are defined et al. 1997, p. 516). There are various kinds of
through the processes of learning and coordina- dynamic as, for example, the dynamic capabilities
tion, according to procedures of trial and error to generate new ideas, to change the firm’s pro-
(search), which should lead to satisfactory results. jects, to develop new scientific and technical
The adoption of procedural rationality reflects the knowledge so as to change the knowledge base
importance of uncertainty in which organizations of the firm, to change the ways of launching new
operate and interact. According to the evolutionist products, etc. All those dynamic capabilities are
approach, the evolution of the firm’s trajectory important in the trajectory change towards eco-
depends on and results in a learning process that innovation. However, the development of new
creates specific assets and new capabilities. scientific and technical knowledge aimed to
The learning process is a process by which change the knowledge base of the firm can be
repetition and experimentation lead to the fact considered as a starting point.
that, over time, tasks are done in a better and faster According to us, the learning process and the
manner and new opportunities in the procedures building of immaterial specific assets gathering
are constantly being tested. That process gener- internal and external resources are achieved by
ates the production of cumulative knowledge and lead to the construction of what we call the
materializing in organizational routines defined firm’s knowledge capital. “Knowledge capital” is
as models of interactions that are effective solu- defined as the set of information, knowledge, and
tions to specific problems. They form an “organi- know-how produced, acquired, combined, and
zational memory” embedded in the skills of systematized by the enterprise in order to create
workers and machinery. Those tacit routines are value. The building and the renewal of the knowl-
clusters of specific resources/assets and are not edge capital appears as a tool to build new tech-
easily transferable. The firm operates along a nological capabilities and thus to facilitate the
path determined by the expertise accumulated change in the firm’s trajectory. As a matter of
through learning. Thus, specific assets determine fact, the knowledge capital of a firm refers to the
the evolution or trajectory path of the firm. The way the enterprise acquires and collects informa-
path dependence precisely expresses that evolution on markets, produces knowledge alone
tion of the firm, constrained by past investments. or/and in collaboration, transforms it into knowl-
Even if accumulated skills can enhance the com- edge, routines, and know-how which are a source
petitive advantage of the firm, they may also con- of specific advantages, and uses that knowledge
stitute a kind of trap, but the evolution of the firm and information in a process of value creation.
is not necessarily gradual and does not exclude Technological capabilities and technological
ruptures and bifurcations. The core or comple- success are not considered today as the results of
mentary assets present along the value chain can the firms’ own resources but are the outcome of
give the firm the possibility to change direction. complex processes of collaboration and
824 Entrepreneurial Behavior and Eco-Innovation
cooperation. Cooperation, collaboration, open with external partners, and the management of
innovation strategies, and scientific and techno- business innovation. The development of new
logical networks are nowadays key words in the knowledge and the place of collaboration are
literature. The mutation of the firm’s trajectory is clearly emphasized. Moreover, on the basis of a
expensive and risky. That is why, it reinforces the review of literature, Van Kleef and Roome (2007)
trend toward the collaborative creation of knowl- compare the capabilities needed to develop inno-
edge capital (or open innovation strategy), which vation oriented toward competitiveness and those
is confirmed in the recent literature and involves needed to develop innovation oriented toward
various sectors, automotive to the pharmacy or sustainability. They show that these capabilities
even to chemistry, etc. largely overlap, which is not surprising
Firms collaborate with partners all along the (as mentioned by the authors) as competitiveness
supply chain: on basic research with universities is one part of the larger concept of sustainability.
and other research centers, on applied research However, they put forward the importance given
and product development with other firms in the literature on green innovation to the com-
(suppliers, customers, start-ups, and sometimes munication and collaboration “with very diverse
competitors). . . Collaboration is a way to reduce and culturally unfamiliar (and or local) networks
the cost (by sharing it) of development of new of actors, on integrating their diverse perspective,
knowledge; it also gives the possibility to access criteria and information processing and decision
to very specific knowledge. Collaboration has styles” (Van Kleef and Roome 2007, p. 45).
become a key word of innovation management From what precedes the development of col-
and thus can be considered as a main feature of laboration reveals itself very important for differ-
entrepreneurial behavior. And the role of collabo- ent reasons:
ration is once more emphasized when one focuses
on eco-innovation. – The sharing of knowledge and thus the risks
and the cost of innovation in a context of eco-
nomic uncertainty
Collaboration as a Key Capability for – The necessity to comply with the different
Eco-Innovation stakeholders’ aims implied in eco-innovation
strategies
If we look more closely at the literature on eco-
innovation, the role of capabilities and of collab- To sum up, we can state that to be responsible,
oration is also put forward. To change the firm’s firms have to develop entrepreneurial behavior,
trajectory toward eco-innovation, the creation of that is to say, to innovate and more precisely to
new dynamic capabilities is necessary. Lin et al. eco-innovate. Implementing eco-innovation often
(2011) define green business innovation capabili- implies a change in the firm’s trajectory, which
ties (GCICs) as “a green business innovation pro- can be achieved through the development of new
cess wherein firms explicitly undertake dynamic capabilities. The constitution and
capabilities to achieve higher green performance renewal of the knowledge capital is the central
as well as commercial performance” (Lin et al. tool for creating these capabilities. In this analysis,
2011, p. 1840). In their aim to evaluate GBICs at the ability to collaborate is emphasized for two
the firm level, they develop a framework made of reasons, one traditionally linked to the manage-
7 aspects and 25 evaluation criteria including ment of the innovation process (reduction of costs
the definition of a green technological innovation and risks, access to new knowledge) and one that
strategy, the attitudes of workers toward change in is linked to the responsible behavior that charac-
their work routines, the ability of the firm to for- terizes eco-innovation (the various stakeholders
mulate green innovative projects, the develop- implied in the eco-innovation process).
ment and protection of green knowledge, the However, if we have here highlighted an
communication capability, the ability to work important characteristic of entrepreneurial
behavior in the context of eco-innovation, we (e.g., an academic laboratory working on the same
should not forget that change is a difficult process. subject), to the negotiation of the contract (sharing
Can the eco-entrepreneur or the eco-enterprise of knowledge and related intellectual property
succeed on its own? rights problems), and to the contract monitoring
(risk of coopetition, intellectual property rights
conflicts). These costs of change cannot be all
The Costs of Change: How to Help overcome by the managerial capabilities of com-
Entrepreneurs to Eco-Innovate? munication and diffusion of information. Institu-
tional support is needed to reduce – if not
Despite a growing awareness of the negative overcome – this kind of costs. In France, for exam-
E
impacts of fossil fuel use and related technologies, ple, from the mid-2000s, in response to decisions
attempts to shift toward cleaner substitutes are still made at European level in the Lisbon Strategy in
proving difficult. On the one hand, that is because 2000 and reaffirmed in 2008 to improve the com-
hydrocarbon technologies have benefited from petitiveness of enterprises, governments have
advantages resulting from increasing returns to become more involved in active support to the
adoption and economies of scale that make them “technology transfer between public research and
cheaper, performing, and user-friendly. On the socioeconomic actors.” Different devices, which
other hand, green techs that fail to win early adop- are intended to support the constitution and pro-
tion success have been locked out from the mar- mote the reorientation of knowledge capital in the
ket, unable to compete with the improved future technologies have been introduced or
technology because of increasing returns. More- improved: improvement of the Research Tax
over, in a context of crisis, the purchasing power Credit (RTC), project financing via the ANR
of the population may decrease which do not (National Research Agency), and European R&D
stimulate the demand for new green products. programs as well as the French cluster policy
Firms try by themselves through standards and named “Pôles de compétitivité” (2004).
marketing strategies to impose their products to
“create” the demand and thus control the markets,
but they do not make it all due to the cost, diffi- Conclusion and Future Directions
culties, and unproved profitability of eco-
innovation (Laperche and Levratto 2012). Eco-innovation is now considered as a central
If we focus on the development of new scientific element of industrial firms’ strategies. To face
and technical resources and capabilities, the cost of the crisis and to position themselves on niches of
change toward eco-innovation is also reinforced by the markets with high growth potential but also to
the very important expenditures that are needed not satisfy the demand of various stakeholders, firms
only to develop product innovations but also to refocus their strategy and their organization
encompass new services and the activity’s new toward the development of green products
organization. Despite the pooling of costs and risks (goods and services) which imply organizational –
and the acceleration of the innovation process but also many institutional – changes. At the
enabled by collaborative research and development, firm’s level and dealing with technological
the amounts of expenditures necessary to develop change, we have emphasized the role of the devel-
new products, processes, and services are still diffi- opment of new dynamic capabilities. The capabil-
cult to afford by the collaborating firms, especially ities to collaborate with various partners for the
in a context of economic recession. building and reorientation of the knowledge cap-
Moreover, the shared costs implied by collabo- ital are central. As a matter of fact, in eco-
rative research do not exclude the existence of innovation strategies, collaboration is a way to
hidden costs that may increase the overall costs of share the costs and risks of technological devel-
change. Transaction costs (Williamson 1975) may opment and thus is a crucial vector of change of
be related to the finding to the appropriate partner the firm’s trajectory. It is also a way to comply
826 Entrepreneurial Capability
with the aims and objectives of the various stake-

holders implied in sustainable strategies of inno- Entrepreneurial Capability
vation. However, collaboration does not always and Leadership
reduce the cost of innovation since transaction
costs may be the counterparts of the building of Sharam Alijani
complex innovation networks. Institutional inter- Department of Strategy and Entrepreneurship,
vention (arrangements, laws, R&D and industrial NEOMA Business School, Reims, France
programs, supply and demand incentives) is thus
necessary to help firms overcome these hidden
costs. Synonyms
Entrepreneurial capability; Entrepreneurial cogni-

Cross-References tion; Entrepreneurial creativity; Entrepreneurial
innovation; Entrepreneurial leadership
▶ Entrepreneur
▶ Entrepreneurial Capability and Leadership
▶ Green Business and Entrepreneurship The Entrepreneurial Conundrum
▶ Green Enterprising and Green Entrepreneurs
▶ Knowledge Capital and Small Businesses Entrepreneurship is viewed as a field of action
▶ Small Businesses and Sustainable with a difficult epistemology. As a subject of
Development inquiry, entrepreneurship studies cut across differ-
ent social and scientific disciplines: management
and organization studies, economics, sociology,
References law, and cognitive sciences. Placed within a multi-
disciplinary canvas, the current research focuses
Laperche B, Levratto N. Emergence of ecological oppor- on a wide array of social, human, and technolog-
tunities and firms behavior. In: Laperche B, Levratto N,
ical factors that foster entrepreneurial creativity
Uzunidis D, editors. Crisis, innovation and sustainable
development. Cheltenham: Edward Elgar; 2012. and performance. In the absence of an established
Lin Y, Tseng ML, Chen CC, Chiu ASF. Positioning strate- epistemology and a consensus on the origin, pro-
gic competitiveness of green business innovation capa- cess, outcome, and impact of entrepreneurial ini-
bilities using hybrid method. Expert Syst Appl.
tiatives, different research strands have
2011;38(3):1839–49.
Nelson R, Winter S. An evolutionary theory of economic highlighted the pivotal role of markets, resources,
change. Cambridge: Harvard University Press; 1982. governments, intermediaries, and policies in addi-
OECD. Eco-innovation in industry, enabling green growth. tion to individual creativity in fostering and sus-
Paris: OECD; 2009.
taining human and social capital. Among
Teece DJ, Pisano G, Shuen A. Dynamic capabilities and
strategic management. Strateg Manag numerous research foci, the question of entrepre-
J. 1997;18(7):509–33. neurial capability and leadership as the main
Van Kleef JAG, Roome NJ. Developing capabilities and engine of economic growth is of paramount
competence for sustainable business management as
innovation: a research agenda. J Clean Prod.
importance to scholars, investors, and policy
2007;15:38–51. makers. When studying entrepreneurial creativity,
Williamson OE. Market and hierarchies: analysis and anti- one should distinguish between the type of crea-
trust implications. New York: The Free Press; 1975. tivity that characterizes individuals as being inspi-
rational, bold, and entrepreneurial and the
capability that results from organizational innova-
tion, collective learning, and social engagement.
Entrepreneurial Capability Entrepreneurial capability can be developed and
sustained through a distinct set of individual and
▶ Entrepreneurial Capability and Leadership organizational skills, actions, and decisions that
Entrepreneurial Capability and Leadership 827
aim to explore and exploit business opportunities as a “context-specific social process through
through the development and implementation of which individuals and teams create wealth by
novel business models within an instituted market bringing together unique packages of resources
context. Entrepreneurs screen, examine, and to exploit marketplace opportunities.” While the
select business opportunities, mediate among dif- “resource–opportunity” approach constitutes an
ferent stakeholders, and design new methods, pro- important assumption, it does not fully capture
cesses, and products in response to social needs, the complex process of entrepreneurial initiatives,
market shortcomings, and organizational failures. decisions, and choices. Entrepreneurial quanda-
Entrepreneurial leadership hinges upon an ability ries have as much to do with economic resources
to portray superior human, organizational, and and market opportunities as individual values,
E
business values to which stakeholders adhere. In beliefs and norms, social needs, environmental
this chapter, we focus on the factors that affect imperatives, public incentives, and government
individual and organizational entrepreneurial support programs. Social value systems, contexts,
decisions and activities and the way entrepreneur- and capabilities play a pivotal role in creating
ial leadership is perceived and conducted as a opportunities for the development of human and
mechanism for creating economic, social, and social capital. More specifically, individual moti-
environmental shared value. We begin by provid- vations, organizational capacities, institutional
ing an analysis of the theories of entrepreneurship contexts, and market stimuli are of paramount
and the supporting economic, social, institutional, importance when analyzing entrepreneurial initia-
cultural, and psychodynamic elements that affect tives and decisions.
entrepreneurial initiatives and activities. Different
forms of entrepreneurship respond to market and Entrepreneurs as Innovators: From Technical
organizational contingencies that affect corporate, to Social Innovation
institutional, and social entrepreneurs across the Entrepreneurs are social innovators whose deci-
private, nonprofit, and public sectors. A particular sions and actions pave the way for social and
emphasis is placed on the microfoundations of economic transformation. Any attempt to inno-
entrepreneurial capability and leadership as most vate begins by new ideas about people and their
entrepreneurs are viewed as innovators in a vari- relations, activities, and goals. As agents of
ety of social, technological, and organizational change, entrepreneurs transform the society in
fields. response to a social aspiration or an unmet eco-
nomic need and seek to provide a solution to what
may be considered as economic shortcoming,
Theories of Entrepreneurship social dysfunctioning, and market failure. The
entrepreneur “searches for change, responds to
Entrepreneurial activities stem from a wide array it, and exploits it as an opportunity” (Drucker
of economic and institutional factors and are 1995, p. 28). The process of change is viewed as
shaped by sociospatial and cultural contexts in a continuous and transformative process since it
which individuals, groups, and organizations are requires revision and adaptation when dealing
brought to cooperate and cocreate in the private, with unsolved problems (Bornstein 2004). This
public, and nonprofit sectors. The question of is the very essence of the innovation process
“who,” “when,” “how,” and “for what purpose” whereby novel ideas and practices alter the pattern
should one engage in entrepreneurial activities of resource allocation and lead to new institutional
points to the ways by which entrepreneurs can arrangement power relations. Innovation can take
identify the sources of opportunities and pro- many different forms, but its dynamics and mag-
cesses of value identification and wealth creation nitude can transform the economy and society by
(Hitt et al. 2011; Ireland et al. 2003; Shane and accomplishing new objectives. The entrepreneur-
Venkataraman 2000; Bamford 2005; Miles 2005). ial spirit sets the stage for economic growth
Hitt et al. (2011, p. 59) describe entrepreneurship through a virtuous cycle of “creative destruction”
828 Entrepreneurial Capability and Leadership
(Schumpeter 1942). Entrepreneurial activities firms may show resiliency under market uncer-
tend to be disruptive and, as such, generate new tainty and social constraint, certain corporate
patterns of cooperation across the firms and managers may fail as their past successes can
organizations. actually become an obstacle to emerging social
Different forms of entrepreneurship, individ- and economic challenges (Christensen 1997).
ual, social, and institutional, may pursue different Bad management theories and practices are
objectives, but they tend to set in motion a process likely to stall good entrepreneurship and impede
of change through the production of new ideas, organizations from achieving their social and
relations, practices, and products and lead to a economic objectives. Mainstream economic the-
new social and economic order. Entrepreneurial ories that undergird entrepreneurship claim that
capabilities can be further enhanced by emphasiz- theories are intrinsically “value neutral.” In real-
ing the social dimension of entrepreneurial activity, most management theories taught in business
ities. As a field of research in a pre-paradigmatic schools are permeated by ideological discourses
phase (Nicholls 2010), social entrepreneurship that extol economic performance and praise
encompasses a rather wide range of definitions shareholder value while minimizing the impor-
both in academia and public discourse. Social tance of achieving social goals and creating
entrepreneurs and socially entrepreneurial organi- social change (Ghoshal 2005).
zations are expected to accelerate social change
through political transformation and empower- The Microfoundations of Entrepreneurial
ment (Alvord et al. 2004), provide solutions to Initiatives
state and market failures (Bornstein 2004; 9Classical economics referred to two categories
Nicholls 2006; Rehfeld et al. 2015), and expand of economic agents: wage-earner workers and
the market space by providing products and ser- capital-provider owners. Cantillon (1755),
vices to the underserved individuals and commu- Smith (1776), and Say (1803) were among the
nities (Prahalad 2005; Yunus 2008). first to provide a detailed description of entrepre-
Entrepreneurial capabilities are generated by neurial dynamics by analyzing the production
and sustained through a wide array of economic, and exchange mechanisms in conjunction with
social, psychological, and institutional factors. In the theory of labor division and behavior.
the case of nonprofit and socially driven organi- Ricardo (1817) made a clear distinction between
zations, the emphasis may not be placed on farmers and laborers and the entrepreneur
inventing something new but rather exploring regarded as a rent-seeker producer. Ricardo
new ways of executing socially worthwhile defined rent as “the portion of the produce of
objectives and creating shared value (Dees et al. the earth, which is paid to the landlord for the
2001; Porter and Kramer 2011). By seizing and use of the original and indestructible powers of
pursuing opportunities, social entrepreneurs the soil. It is often, however, confounded with the
engage the society on a path to economic pros- interest and profit of capital” (Chapter II).
perity and social progress and by the same token Ricardo’s definition constitutes a description of
help create a much broader societal force the source of value and wealth: “value, then,
(Fukuyama 1996; Perrini 2006). This is the very essentially differs from riches, for value depends
essence of social innovation whereby a process not on abundance, but on the difficulty or facility
of social transformation is engaged as a result of of production,. . .by the invention of machinery,
entrepreneurial. Creative thinking, organiza- by improvements in skill, by a better division of
tional skills, sound judgment, and good manage- labour, or by the discovery of new markets,
ment foster good entrepreneurship (Amabile where more advantageous exchanges may be
1998). Yet, the exercise of good judgment in made, a million of men may produce double, or
making decisions as a critical feature of entrepre- treble the amount of riches, . . ... . .; for every-
neurial function may not prove to be an easy task thing rises or falls in value, in proportion to the
(Casson 1982, 2001). While individuals and facility or difficulty of producing it, or, in other
words, in proportion to the quantity of labour machines would ultimately replace greedy and
employed on its production” (Ricardo 1817, unethical capitalists. Prior to Veblen, Marx had
Chapter XX). Similarly, Mill (1885) referred to raised the question of unequal distribution of
the entrepreneur as producer or investor who value and wealth. By transforming the surplus
seeks indemnity for the risk he is willing to value into wage and rent, capitalists can retain the
take. Knight (1921) noted that a Walrasian per- lion share of profits.
fectly competitive equilibrium could not hold if By emphasizing agents’ rationality and search
one had to assume that entrepreneurs are not for utility maximization, neoclassical marginal
willing to take risks when facing market uncer- analysis postulated that market equilibrium
tainty unless they received sufficient rewards. would ultimately be achieved. It was further
E
The Austrian economic school provided a assumed that in perfectly competitive markets,
more elaborate explication of risk and return in suppliers enter the market as “price takers” and
accordance with the general equilibrium postu- economic profits would tend toward zero. Arrow
late and the evolutionary market perspective. (1962) and Alchian (1950) went into considerable
Hayek (1945) emphasized the importance of length to explain how economic agents used mar-
information and knowledge in individual and ket information to make optimal social choices.
social decision-making processes and pointed to Arrow’s (1951) presumption that it would take
the causal links between individuals’ decisions more than mere rational thinking to facilitate
and their much broader social choices. Despite exchange and economic transaction suggested
information biases, markets provide considerable that one could not simultaneously satisfy individ-
benefits to entrepreneurs as they try to decipher ual preferences and social choices (known as
market complexities that underlie the price, Arrow’s General Possibility or impossibility the-
investment, and trade options. Entrepreneurs are orem). Baumol (1968, 1990) has sought to demys-
willing to optimize their risk-bearing choices to tify the role of the entrepreneur by offering an
the extent they can exert full control over their explanation of the market mechanisms that accel-
economic decisions. Schumpeter (1934, 1942) erate the process of innovation. Good capitalism is
addressed the entrepreneur’s conundrum by stat- supposed to foster entrepreneurial initiatives,
ing that under the general market equilibrium whereas bad capitalism would lead to rent seeking
assumptions, there would be no room for any and oligopolistic behavior (Baumol et al. 2007).
reward, rent, or profit for the risk-taking entre- Landes et al. (2012) provide a detailed account of
preneurs. He went on to criticize the neoclassical the evolution of the firm and the prevalence of
economic theory on the ground that innovation entrepreneurship as a guiding principle of eco-
required market knowledge and organizational nomic innovation and growth. The market econ-
capabilities beyond simple managerial functions omy spawns the seeds of competition by
and skills. Von Mises (1949) pointed to the rewarding entrepreneurial audacity even though
dynamic essence of entrepreneurship in capitalist at times entrepreneurs’ bold initiatives may sound
economies as inherently risky and uncertain. foolish, experimental, and prototypical.
Kirzner (1973) pointed to the distinct ability of According to Penrose (1959) there is ample evi-
the entrepreneur who can spot weak market sig- dence to indicate that the growth of innovative
nals, thrive under market uncertainty, and take firms stems from a concerted effort of a particular
bold leaps of faith to create the future. Among group of individuals with superior capabilities.
many critiques of classical economists, Veblen The endogenous growth model, conceptualized
(1904) offered a critical perspective of the true and elaborated by Solow (1956) and Romer
motivations of profit-seeking industry barons of (1990), has shed further light on how the utiliza-
the early twentieth century. He extolled the tion of certain variables such as human capital,
American businessmen and capitalists and investment in R&D, and knowledge-intensive
scorned financial titans and seemed comforted inputs can place the firm on a higher innovation
by the idea that engineers and productive and growth trajectory.
Sources and Processes of “advanced,” and “innovative” (Zack 1999).

Entrepreneurial Organizations Whereas autonomous knowledge yields value
without major modification of systems in which
Modern firms are characterized by a complex web it is embedded, systematic knowledge requires
of interactions among the various stakeholders modification to other subsystems (Teece 1998,
whose decisions and actions shape the firm’s inno- p. 64). Unlike the codified form of knowledge
vation and renewal trajectory. Faced with unequal such as formulas and blueprints, the development
opportunities and steep competition costs, entre- of tacit knowledge may be subjected to interpre-
preneurial firms seek to reconfigure their resources, tation errors (Truch 2004; Greiner et al. 2007). By
reorchestrate their activities, and build new core engaging in new innovative ventures, entrepre-
competences throughout different growth stages. neurs act as agents of social innovation who instill
As complex organizations, modern firms seek to creative thinking and disseminate knowledge
integrate and exploit new stocks of knowledge and skills. Similarly, corporate entrepreneurship
acquire new dynamic capacities in an effort to tends to use technical skills and business practices
enhance their organizational and operational capa- that enable to firm to acquire new technical and
bilities (Dooley and Van de Ven 1999). Such market competences (Rogers 1983; Von Hippel
dynamic capacity can be defined as an ability to 1988). The competence-based view (CBV) of the
integrate new competences and to reconfigure firm places a particular emphasis on a broad array
resources in response to changes in the business of individual and organizational skills as a foun-
environment (Teece et al. 1997; Teece 2007; Helfat dation for knowledge creation and dissemination
et al. 2007). Technological, organizational and (Brown and Duguid 1991; Nonaka and Konno
market knowledge constitute the main drivers of 1994; Nonaka and Takeuchi 1995).
entrepreneurial capibility and leadership. Cohen and Levinthal (1990) have shed further
light on the pivotal role of knowledge acquisition
Building Entrepreneurial Capacity: Resources and assimilation in developing absorptive capac-
and Capabilities ity (ACAP). Zahra and George (2002) have iden-
A significant research corpus has underscored the tified two subsets by which firms acquire,
linkage between a firm’s resource base and core assimilate, transform, and exploit knowledge.
competences (Prahalad and Hammel 1990; Porter Whereas “acquisition” refers to an externally gen-
1990; Barney 1991; Christensen 2001). The pro- erated knowledge, “assimilation” points to the
ponents of a resource-based perspective have process of knowledge appropriation. Entrepre-
focused on the nature of strategic resources that neurial organizations are characterized by a high
are used to create combinative and dynamic capa- degree of “acquisition” and “assimilation” activi-
bilities within an organization (Wernerfelt 1984; ties to create a potential entrepreneurial capacity.
Kogut and Zander 1992; Teece and Pisano 1994; Similarly, transformation and exploitation tasks
Augier and Teece 2006). The knowledge-based lead to the creation of realized capacity, thus
view of the firm (KBV) extends the resource- improving entrepreneurial capabilities through
based view (RBV) by emphasizing the impor- feedback routines and collective learning. The
tance of knowledge exploration, integration, and interplay of entrepreneurs and numerous other
exploitation in building and sustaining organiza- intermediaries in the private, nonprofit, and public
tional capacities. The resource-based view treats sectors has a direct bearing on entrepreneurial
knowledge as a generic resource, whereas the achievements. Examples of entrepreneurial
knowledge-based perspective considers that the achievements abound when one studies the
use of knowledge-intensive resources is pivotal expansion of socially entrepreneurial organiza-
in sustaining a firm’s competitive advantage tions as portrayed by organizations and networks
(Grant 1996; Zack 2003). Knowledge may be such as Ashoka (a constellation of social innova-
categorized as “tacit,” “explicit,” “autonomous,” tors and entrepreneurs), Teach for America
and “systematic” (Teece 1998) and “core,” (a network of college graduates), and City Year
(a group of citizens) whose main objective con- resource base and focusing on knowledge-centric
sists of addressing urgent social and economic networks. The link between resources, activities,
needs across the society. and core competences highlights the pivotal role of
entrepreneurial core competences and networks in
Entrepreneurial Capability: Processes and supporting the process of innovation. Confronted
Outcomes with market opportunities that stem from unfulfilled
Entrepreneurial capabilities are largely dependent social and economic needs, entrepreneurs engage in
upon organizational, economic, and social contexts. open-end social experiments and business innova-
They tend to strengthen by interorganizational learn- tion. Chesbrough and Di Minin (2014, p. 3) refer to
ing and knowledge accumulation and improvements open social innovation as “the application of either
E
in organizational architecture and management prac- inbound or outbound open innovation strategies,
tices (Chandler 1977; Lane and Lubaktin 1998). along with innovations in the associated business
This is particularly the case of high-tech industries model of the organization in response to social
where technological and entrepreneurial capabilities challenges.” By building and sustaining social ties,
constitute the cornerstone of market leadership entrepreneurs create shared value across multiple
(Dosi et al. 2002; Mazzucato and Dosi 2006). business networks and by the same token lower
Figure 1 illustrates the dynamic links between the cost of business engagement (Coase 1960).
resources, activities, and core competences of the Equally central to the notion of entrepreneurial capa-
firm. The combinatory effects of strategic choices bility is the question of institutions that support
and operational excellence have a direct bearing on entrepreneurial initiatives. It is important to note
the antecedents and outcomes of entrepreneurial that formal and informal constraints affect entrepre-
leadership. From a strategic standpoint, entrepreneurs, corporations, and nonprofit and public orga-
neurs must primarily focus on inter- and intra-firm nizations who are brought to cope with the problem
resource flows, the firm’s resource base, stake- of monitoring, deciding, planning, and adapting
holder networks, and value proposition. At the under market uncertainty (Williamson 1979; North
operational level, entrepreneurs must design and 1990; Coase 1990).
implement new routines, processes, and skills in
order to improve operational excellence. Organiza-
tional and entrepreneurial competences are devel- Sources of Entrepreneurial Leadership
oped and sustained by reconfiguring the firm’s and Innovation
resource base and re-orchestrating its activities.
In technologically advanced fields, entrepreneurs An entrepreneurial business environment is char-
carry out complex activities by reconfiguring their acterized by institutions, private firms, and
Entrepreneurial
ENTPREPRENEURIAL CORE
Capability and COMPTENCES & NETWORKS
Leadership,
Fig. 1 Building
entrepreneurial capabilities
(Source: The author)
OOpp
ic
eg
eerra
rat
attii
St
oonn
aall
ENTPREPRENEURIAL ENTPREPRENEURIAL
RESOURCES ACTIVITIES
nonprofit and public organizations whose choices A significant research corpus has scrutinized the
and interactions enable them to collectively and use of mental representations and shortcuts when
effectively participate in creating shared value. making decisions (Simon 1957; Tverssky and
Entrepreneurship constitutes an important dimen- Kahneman Tversky and Khaneman 1974;
sion of leadership both in business and social Shanteau 1989; Giegerenzer and Todd 1999;
arena. Entrepreneurial leadership processes and Baron 1998). Individuals, communities, and soci-
outcomes are dependent upon a variety of social, eties show biases toward risk, success, failure,
economic, and institutional contexts (Osborne et al. reward, status, sacrifice, tenacity, moral strength,
2002) and are determined by the dynamic interre- discipline, and conflict. Cognitive biases may ema-
lationship between entrepreneurs as leaders and the nate from overconfidence and overoptimism
stakeholders such as customers, investors, sup- (Cooper et al. 1988; Bernardo and Welch 2001),
pliers, media, and the government. While leader- control and planning fallacy (Keh et al. 2002),
ship literature encompasses a particularly vast mood and affect infusion (Forgas 1995), over-
research corpus covering different domains and estimation (Khaneman and Lovallo 1993; Russo
categories (Dinh et al. 2014), entrepreneurial lead- and Schoemaker 1992; Busenitz and Barney
ership underpins a variety of micro and macro 1997), and perceived self-efficacy (Chen et al.
contexts, trait characteristics, behaviors, and atti- 1998; Shane 2003; Bandura 1997; Gist and
tudes. Leadership theories emphasize leaders’ cha- Mitchell 1992). Overconfidence and overoptimism
risma, traits, and transformational qualities (Fiol may be associated with the way entrepreneurs con-
et al. 1999; Brower et al. 2000; Judge and Bono strue and interpret the temporal (when), social (for
2000; Zaccaro 2007); creativity and emotions whom), and distal (where) dimensions of risk.
(Mumford et al. 2002; Humphrey 2002); power Likewise, individual decisions may be associated
and influence (Ammeter et al. 2002); follower cen- with creative thinking and an intrinsic motivation
tered, team building, and social relations (Zaccaro to do something for its own sake because it is
et al. 2002; Uhl-Bien 2006; Bligh 2011); caring enjoyable (Deci and Ryan 1985) or a counterfac-
and sharing attitude (Carson et al. 2007); strategic tual thinking and assumption of how things may be
and contingency approach (Vera and Crossan done differently (Gaglio and Katz 2001), thus
2004; Vroom and Jago 2007); ethical and moral affecting the process of decision-making and deci-
values (Brown et al. 2005); and entrepreneurial sions’ outcomes. The perceived mismatch between
drive and inspiration (Gupta et al. 2004; Cogliser optimal versus potential gains and losses is indic-
and Brigham 2004). Entrepreneurial leadership ative of differences in individual traits and percep-
therefore cannot be dissociated from a broad social, tions. Critics to the trait approach argue that time is
behavioral, and business context in which entre- a critical factor in evaluating risk and hence suggest
preneurship is perceived, construed, and executed. a model that takes into account a wider risk horizon
when measuring the outcomes (Das and Teng
Entrepreneurial Cognition and Decision- 1997). A near future approach to an expected out-
Making Heuristics come may be associated with new ventures with
Entrepreneurial capabilities may be viewed across higher risks, whereas a distant approach may result
different complementary dimensions that combine in a lower level risk perception (Dickson and
factors such as entrepreneurial cognition, choice Giglierano 1986). The proponents of intention-
biases, and market and nonmarket drivers. The based theories focus on individuals’ attitudes and
cognitive dimension of entrepreneurial initiatives behaviors in conjunction with the expected out-
highlights entrepreneurs’ traits, beliefs, and value comes and goals. Tversky and Kahneman (1973)
systems. The latter have a direct bearing on entre- have categorized decision-making heuristics in
preneurs’ decision-making heuristics condition terms of “availability,” the ease with which an
and confidence when searching for new opportu- event can be imagined; “representativeness,” how
nities and economic and social rewards (Shaver closely an object may resemble its parent popula-
and Scott 1991; Bernardo and Welch 2001). tion; and “anchoring” that suggests a comparison
with some initial reference point. As an extension (Simon 1955, 1982). Decisions are taken within
to their earlier “prospect theory,” Tversky and the limits of one’s cognitive capabilities. Conse-
Khaneman (1992) suggest to use a different prob- quently, entrepreneurs anticipate and respond to
abilistic model, the cumulative prospect theory, information flows by considering different deci-
with a combinatory approach to low and high sion options, similar to what can be observed in
gains and/or losses. The critiques of such mathe- financial markets (McGrath 1999). Entrepreneurs
matical modeling argue that probability boundaries view new ventures as financial options whose
may be blurred by misperceptions, fallacies, and success will depend on a wide array of organiza-
judgmental attitudes. Baron (2000) puts forward tional and market contingencies. Figure 2 pro-
the idea according to which entrepreneurs frame vides an integrative model of entrepreneurial
E
decisions in terms of the gains they fail to make if capability and leadership by portraying a multi-
they miss an opportunity rather than the losses directional model of flows and points to four sets
incurred by seizing a new opportunity. The notion of determinants and factors that trigger entrepre-
of framing refers to the way a decision’s outcome is neurial initiatives. Entrepreneurial leadership is as
perceived by the entrepreneur and is closely asso- much determined by individual traits and psycho-
ciated with what can be viewed as a prospect for dynamic characteristics as market and quasi-
potential gains or losses. For instance, a risk- market structure and dynamics all of which have
bearing entrepreneur is likely to think in terms of a direct bearing on a firm’s value proposition and
profits made or gains missed rather than losses strategy (Mintzberg 1979). Market size, degree of
incurred, whereas a risk-averse individual may openness, international integration and diversifi-
think in terms of losses to be expected. Reasoned cation, and institutional incentives and support
action (Fishbein and Ajzen 1975) and planned programs (i.e., tax, public investment, intellectual
behavior (Ajzen 1991) theories argue that personal property) can further bolster entrepreneurial capa-
beliefs are affected by people’s attitudes, especially bilities and leadership (Zahra and George 1991;
by those whose views matter the most to the entre- Oviatt and McDougall 1999).
preneur. Misperceptions and misinterpretations
and social and economic fallacies lead to decision Entrepreneurs as Innovation Leaders
biases that affect entrepreneurs adversely. Market Entrepreneurial leadership is a measure of indi-
organizations play a pivotal role in improving per- vidual and collective creativity when engaging in
ceived self-efficacy and triggering entrepreneurial economically viable and socially responsible ven-
creativity (Krueger 2000). tures. The literature points to emotional intelli-
Entrepreneurs decide to engage in a new ven- gence as a driver for leadership effectiveness
ture or move to a new market under conditions of (Antonakis et al. 2009; Goleman 1998; Mayer
information asymmetry and bounded rationality et al. 2008; Humphrey 2002; Walter et al. 2011).
Entrepreneurial
Capability and Organization Innovation Ecosystem
Leadership, Actors, Clusters and Policies
Value System, Governance Individual Psychodynamic
Fig. 2 Entrepreneurial and Culture
Characteristics
leadership ecosystem
Entrepreneurial
Government Capability and Market
Leadership Structure and Size
Policy Incentives
Strategic Institutions Global Environment

Entrepreneurship Norms and Regulations
Learning Capabilities Market Drivers and Barriers
Recent advancements in neuroscience suggest multifaceted inventors of electricity and tele-

that leadership qualities are associated with coher- phone, Thomas Edison and Graham Bell; and
ence and sound judgment and can be measured by the photography and computing machine vision-
the degree of neural connectivity in the right fron- aries, George Eastman, Herman Hollerith, and
tal portion of the brain (Waldman et al. 2011; Thomas Watson ranked among the most illustri-
Camerer et al. 2005; Hines 1987). ous industry leaders and entrepreneurs who left an
Effective leadership stems from emotional indelible imprint on economic, scientific, and
intelligence, attention to minutiae, adaptation, social foundation of their society. Technological
and resilience. This point can be further elucidated and organizational innovations in major firms set
when one considers the nature of innovation and the stage for a continuous improvement of prod-
its implications for the economy and society. For ucts in the United States: photography in 1895
instance, the invention of the steam engine pro- (Kodak), computing and calculating machines in
vided opportunity to entrepreneurs involved in 1896 (IBM), pharmacy and chemistry in 1902
handcrafted activities and fabrication industries. (Du Pont), electricity and telephone in 1919 and
The transformation of the early steam engine and 1925 (General Electric and Bell Laboratories,
the emergence of a more robust combustion respectively), and automobile in 1911 and 1936
engine enabled engineers and entrepreneurs to (General Motors and Ford Corporation). Henry
turn their small-scale fabrication industries into Ford (Ford Corporation) and Alexander Graham
mass production factories. The second half of Bell (Volta Laboratory and later Bell Laborato-
the nineteenth century heralded a heroic era of ries) should be remembered as visionary entrepre-
scientific entrepreneurship characterized by daz- neurs who transformed the economy through
zling pace of innovation in industries, organiza- organizational innovation and novel management
tions, products, and services. Similarly, the early practices. The advent of transformative technolo-
decades of the twentieth century were marked by a gies such as semiconductors, microelectronics,
new breed of social innovators who showed inter- and nanotechnologies in the second half of the
est in finding a solution to the pressing social twentieth century accelerated the pace of techno-
need. From early 1870s to late 1940s, a small logical change through the acquisition and sharing
number of local entrepreneurs succeeded in of knowledge and open innovation, thus shorten-
engaging in an impressive number of business ing the market-entry cycle for numerous products
and social ventures. The textile machine tool and services across the private, nonprofit, and
inventor, Eli Whitney; the pencil inventor and public sectors (Chesbrough 2006). Figure 3 illus-
philosopher, Henry Thoreau; the prolific and trates the transformative pace of entrepreneurial
Entrepreneurial Capability-Competence Entrepreneurial Innovaon

Capability and
Leadership, Fig. 3 The
innovation leadership cycle 2
Resource – Acvity Base Growth

innovation and the linkage between a firm’s achievements that stem from collective learning
“resources and activities” bases and its “capability and sharing opportunities. Consequently, future
and competence” trajectory. Resembling a tradi- research should more specifically focus on the
tional “S” curve, the firm’s innovation curve origin, process, and impact of entrepreneurial capa-
shows how the pace of innovation slows down bilities and evaluate their implications for social
over time and how new innovation cycles result innovation and economic transformation across
from a continuous effort to reconfigure a firm’s private, nonprofit, and public sectors.
resources and core competence bases.
It should be noted that a firm’s innovation-
capability boundary “S” curve is indicative of Cross-References E
the incremental and radical nature of innovation;
with numerous innovations at the initial stage of ▶ Cognition of Creativity
the cycle, followed by a gradual slowdown at later ▶ Corporate Entrepreneurship
stages. Radical and incremental innovations tend ▶ Creative Leadership
to create feedback loops between organizational ▶ Creativity and Innovation: What Is the Difference?
and entrepreneurial capabilities, thus affecting the ▶ Entrepreneur
pace and direction of the change trajectory. ▶ Entrepreneurial Opportunities
▶ Individual Determinants of Entrepreneurship
Concluding Remarks and Future ▶ Innovation and Entrepreneurship
Research
As a source of economic wealth and social trans- References

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Entrepreneurial Opportunity 839
Entrepreneurial Economy Entrepreneurial

Opportunities
▶ Creative Destruction
▶ Business Climate and Entrepreneurialism
Entrepreneurial Education
▶ Entrepreneurship Education
Entrepreneurial Opportunity E
Fabienne Picard
University of Technology of Belfort-Montbeliard,
Belfort, France
Entrepreneurial Finance
▶ Financing Innovation Synonyms
Individual-opportunity nexus
Entrepreneurial Firm
Opportunities: The Driver of
Entrepreneurship?
Entrepreneurship is nurtured by a diversity of
streams of thought, with different origins, and
the approach of entrepreneurial opportunity aims
Entrepreneurial Firms
to build a new inclusive paradigm, sometimes
called a general theory of entrepreneurship. The
entrepreneurial opportunity concept originates
from Austrian Economics tradition (particularly
Hayek, Kirzner, Schumpeter). Entrepreneurship
is fundamentally a human activity, and the entre-
Entrepreneurial Innovation
preneurial opportunity paradigm focuses on the
intentionality of human action and of entrepre-
▶ Entrepreneurial Capability and Leadership
neurial decision. Opportunity plays a fundamental
role in allowing individuals to advance their goal
pursuits. Shane and Venkataraman (2000) seminal
paper lays the foundation for this renewal para-
Entrepreneurial Knowledge digm around the central notion of entrepreneurial
opportunity.
▶ Planned Economy and Entrepreneurial Economists, psychologists, sociologists, and a
Function range of more applied fields including strategic
management and entrepreneurship are interested
in this concept of entrepreneurial opportunity.
While opportunity is an interdisciplinary topic
Entrepreneurial Leadership which arises naturally wherever choices have to
be made, thinking entrepreneurship in terms of
▶ Entrepreneurial Capability and Leadership opportunities – their discovery or creation, their
840 Entrepreneurial Opportunity
evaluation, and their exploitation – is a challenge methods can be introduced in order to create eco-
for scholars. In fact, important debates are cross- nomic value and move the economic system
ing the field of entrepreneurial opportunities such toward or away from equilibrium. So the devel-
as why, when, and how entrepreneurial opportu- opment of an industry or the emergence of new
nities come into existence, subjective or objective organizations naturally leads to the creation of
nature of entrepreneurial opportunities, reasons new opportunities. Other scholars consider that
why some people discover and exploit opportuni- “entrepreneurial opportunity consists of a set of
ties and not others, modes of exploitation of entre- ideas, beliefs and actions that enable the creation
preneurial opportunities, etc. of future goods and services in the absence of
But the common issue of the research on entre- current market for them” (Sarasvathy et al.
preneurial opportunity is to highlight the process 2003). Anyway, entrepreneurial opportunities are
of change in a capitalist society and the driving mostly created by activities of human agents.
force of entrepreneurship – in line with the Individuals may deliberately create opportunities,
Schumpeterian works – to understand how mar- but often opportunities are the unintended out-
kets function and come into being, and, last but comes of activities motivated by other objectives.
not least, to explain or predict empirical phenom-
ena of entrepreneurship. Individual-Opportunity Nexus
This framework of entrepreneurship is based on
the nexus of the presence of lucrative opportuni-
Notion of Entrepreneurial Opportunity ties and the presence of enterprising individuals
(Venkataraman 1997). According to the
Entrepreneurship as Entrepreneurial Process individual-opportunity nexus (ION) approach,
According to the entrepreneurial opportunity par- entrepreneurial opportunities emerge from market
adigm, the field of entrepreneurship concerns the disequilibrium or, more specifically, from the dif-
study of how, by whom, and with what effects ferences people have in their expectations, beliefs,
opportunities to create future goods and services awareness, and/or knowledge about the relative
are discovered, evaluated, and exploited (Shane value of resources. This approach considers that
and Venkataraman 2000). Here, entrepreneurship people have different beliefs because of a lucky
involves the nexus of two phenomena: the pres- hunch, superior intuition, private information,
ence of lucrative opportunities and the presence of etc. Consequently, people make different conjec-
enterprising individuals (Venkataraman 1997). tures about the price at which markets should
However, the only existence of opportunity is a clear, or about what possible new markets could
necessary but no sufficient condition of entrepre- be created in the future (Shane and Venkataraman
neurial process. The entrepreneurial process rises 2000).
in both the existence of opportunities and the
ability of individuals to detect and appropriate
these opportunities. Key Issues Across Entrepreneurial
Opportunity Field
Entrepreneurial Opportunity
The definition of entrepreneurial opportunity is Considering the three steps of entrepreneurial pro-
not totally stabilized. Some scholars refer to cess, discovery or creation, evaluation, and
“those situations in which new goods, services, exploitation of entrepreneurial opportunity, many
raw materials, and organizing methods can be questions remain. If Shane (2003) considers that
introduced and sold at greater than their cost of entrepreneurial opportunity follows a linear pro-
production” (Casson 1982). Entrepreneurial cess from discovery to exploitation, other scholars
opportunity leads to the discovery of new emphasize the overlap between discovery and
means-ends relationships through which new exploitation. Others believe that opportunity
goods, services, raw materials, and organizing does not preexist but is created along the way by
Entrepreneurial Opportunity 841
interactions between acting individuals and their reinforce established ways of doing things,
environment. This question echoes to the nature whereas Schumpeterian opportunities disrupt the
of entrepreneurial opportunity. Some researchers existing system (▶ Information Asymmetry and
argue that the subjective or socially constructed Business Creation). Differences between
nature of opportunities makes it impossible to Schumpeterian and Kirznerian approach of entre-
separate opportunity from individuals. Others preneurial opportunities may be summarized in this
contend that opportunity is as an objective con- table.
struct, visible to or created by the knowledgeable
or attuned entrepreneur. Consequently public pol- Schumpeterian Kirznerian
opportunities opportunities
icy issues may be very different.
Origins of Disequilibrating Equilibrating E
entrepreneurial
Origins of Entrepreneurial Opportunities opportunities
Where did these entrepreneurial opportunities come Role of Requires new Does not require
from? The question posed by Shane (2003) is why information information new information
these situations emerge in which it is possible for a Innovative Very innovative, Less innovative,
impacts of break away replicate existing
person to come up with a new means-ends frame- entrepreneurial from existing organizational
work for recombining resources? The literature opportunities knowledge forms
offers traditionally two main different explanations Innovative Involves Limited to
for these situations, the Kirznerian perspective and intensity of creation discovery
the Schumpeterian perspective. entrepreneurial
opportunities
Firstly, according to Schumpeter view (1934),
Characteristics Rare Common
the existence of entrepreneurial opportunity is con- of
tingent on the introduction of new information – entrepreneurial
technological, political, social, or economical infor- opportunities
mation. Entrepreneurs can use this information to Adapted from Shane 2003, p. 21
understand how to recombine resources into more
valuable forms. Consequently, Schumpeterian entre- More recently, according to the knowledge
preneur discovers and pursues opportunities that exist spillover theory of entrepreneurship, the diver-
outside the economic sphere and that are not yet gence between individuals and hierarchies may
reflected by the price system (▶ Schumpeterian also generate entrepreneurial opportunities.
Entrepreneur). Divergence appears when new knowledge and
Secondly, in Kirzner approach (1973), people ideas are created in one context but left not com-
use the information that they possess to form mercialized by the source of the idea. Namely,
beliefs about the efficient use of resources. The entrepreneurial opportunities are generated not
existence of opportunity is linked to a differential just by investments in new knowledge and ideas
access to existing information. What is in balance but in the propensity for only a distinct subset of
here is not the existence of the opportunity but the those opportunities to be fully pursued by incum-
individual capacity to capture it and to access bent firms. Indeed, a divergence process between
it. Moreover, people make errors or omissions – an individual and its hierarchy may appear. This
at any time or in any place – and their decision- gap in the valuation of new ideas across economic
making framework is not always accurate. These agents, or between economic agents and decision-
errors generate disequilibrium and opportunities making hierarchies of incumbent enterprises, cre-
for other people that are able to identify them. So, ates the entrepreneurial opportunity.
Kirznerian entrepreneur discovers and pursues
opportunities that exist within the economic sphere Opportunity Identification and
and that are reflected by the price system. These Entrepreneurial Alterness
two types of opportunities have different effects on There is an unresolved debate between scholars to
economic activity: Kirznerian opportunities determinate whether entrepreneurs discover or
842 Entrepreneurial Opportunity
create entrepreneurial opportunities. Sometimes (▶ Corporate Entrepreneurship) or spin-off

entrepreneur create themselves the entrepreneurial (▶ Spin-Off). Moreover, opportunities can be
opportunity and sometimes entrepreneur are sold to other individual or to existing organiza-
engaged in a discovery process from pre-existing tions, by licensing, for instance. The organizational
trend. In fact, many opportunities exploited by forms taken by the entrepreneurial opportunity
entrepreneurs may be not new objectively, and any (including the decision to create a new entity to
theory of opportunity should distinguish between operate an idea) depend on the characteristics of
those opportunities that are new and those that are technological opportunities attached to them.
not. Opportunities may emerge as by-products of
market competition, and agents may deliberately or From Technological Opportunity to
unwittingly create opportunities. Entrepreneurship
All opportunities must not be obvious to every- Technological opportunity is one of the central
one all of the time because information is not notions of economic evolutionist theory. Technolog-
widely distributed across the population. This is ical opportunity concerns the appearance and the
partly due to the specialization of information in creation of new technological solutions that create
the society (Hayek 1945). Two broad categories new economic value. Technological opportunities
of factors influence the probability that particular arise from the evolution of scientific and technolog-
people will discover particular opportunities: ical knowledge or a change in the level and structure
firstly, the possession of prior information neces- of demand. The development of new technologies
sary to identify an opportunity, so-called informa- generates entrepreneurial opportunities, but
tion corridors, and, secondly, the cognitive according to Shane (2001), “The probability that
properties necessary to value it. an invention will be commercialized through the
How are opportunities identified or creation of a new firm varies with the nature of the
constructed? This central question concerns the technological opportunity discovered.”
opportunity identification and the so-called entre-
preneurial alterness. According to increasing
number of researcher, opportunity identification Conclusions and Future Directions
represents the most distinctive and fundamental
entrepreneurial behavior (Gaglio and Katz 2001). The notion of entrepreneurial opportunities is a
Alterness concept was introduced by Kirzner very pertinent analytical framework of entrepre-
(1973, 1997) in order to explain market dynamics neurship which aims to recognize the complexity
and the role of entrepreneurial function from an of entrepreneurial process. Consequently, public
individual receptivity to available opportunities. policy issues may be questioned to favor entrepre-
neurship (▶ Entrepreneurship Policy).
Which Modes of Action Are Mobilized to Could we foster individual capacities to iden-
Exploit Entrepreneurial Opportunities? tify opportunities and make easier the access of
There is a disconnection between the discovery or information, or could public policy stimulate the
creation and the exploitation of entrepreneurial economical and technological environment
opportunities. Exploitation of entrepreneurial capacity of opportunities creation? How could
opportunities, that is, the transformation of knowl- we make easier the commercial exploitation of
edge in economic value, can take many organiza- the gap between the individual perception of
tional forms. Entrepreneurship which implies opportunity and the hierarchical one? Are changes
exploiting new opportunities does not always in intellectual right property necessary
require the creation of new organizations. The cre- (▶ Intellectual Property, Creative Industries, and
ation of new organization is only one of the modes Entrepreneurial Strategies)? How to promote the
of exploitation of entrepreneurial opportunities. creation of intrapreneurial opportunities in a firm?
Entrepreneurship can also occur within an existing However, to date, one of the weaknesses of this
organization by the means of corporate venturing approach is probably the lack of empirical analysis
Entrepreneurial Organizations 843
of entrepreneurial opportunity. This leaves a num-

ber of conceptual debates unanswered and high- Entrepreneurial
lights insufficiently public policy issues. Organizations
Thierry Burger-Helmchen
Cross-References BETA- Bureau d’Economie Théorique et
Appliquée, Université de Strasbourg, Strasbourg,
▶ Business Climate and Entrepreneurialism France
▶ Entrepreneur
▶ Entrepreneurship and Small Business Agility
▶ Environmental Determinants of E
Synonyms
Entrepreneurship
▶ Partnerships and Entrepreneurships Entrepreneurial firms
References Key Concepts and Definition of Terms
Acs ZJ, Audretsch DB, editors. Handbook of entrepreneur- Entrepreneurial organizations are structures that pro-
ship research, an interdisciplinary survey and introduc- mote the emergence and development of ideas from
tion. Boston: Kluwer; 2003.
Alvarez SA, Barney JB. Opportunities, organizations, and
all members of the firm. To be functional, such an
entrepreneurship. Strateg Entrepr J. 2008;2(4):265–7. organization must have specific features that allow
Special Issue: Opportunities, Organizations and Entre- alternative views to emerge. An entrepreneurial
preneurship: Empirical Implications and Application organization combines three aspects of entrepreneur-
Casson M. The entrepreneur. Totowa: Barnes & Noble
Books; 1982.
ship and firm flexibility, namely, (1) specific atten-
Gaglio CM, Katz JA. The psychological basis of opportu- tion processes to make it possible for junior and
nity identification: entrepreneurial alertness. Small Bus senior managers to attract the attention of the deci-
Econ. 2001;16(2):95–111. sion makers, (2) specific decision mechanisms (with
Hayek FA. The use of knowledge in society. Am Econ Rev.
1945;35(4):519–30.
adapted criteria, incentive, and remuneration
Holcombe R. The origins of entrepreneurial opportunities. schemes) that explain the acceptance of ideas, and
Rev Aust Econ. 2003;16(1):25–43. (3) a flexible, agile structure to allow the implemen-
Kirzner I. Competition and entrepreneurship. tation. Entrepreneurial organizations differ from
Chicago/London: University of Chicago Press; 1973.
McMullen JS, Plummer LA, Acs ZJ. What is entrepreneur-
managerial organizations by their structures and
ial opportunity? Small Bus Econ. 2007;28:273–83. characteristics; they have a specific innovation
Sarasvathy S, Dew N, Velamuri R, Venkataraman S. Three model, decision/financial model, selection process,
views of entrepreneurial opportunity. In: Acs ZJ, human resource management and resources gather-
Audretsch DB, editors. Handbook of entrepreneurship
research, an interdisciplinary survey and introduction.
ing, and utilization scheme.
Boston: Kluwer; 2003. p. 141–60. The notion of the entrepreneurial organization
Schumpeter JA. The theory of economic development. is related to corporate entrepreneurship, but it is
Cambridge: Harvard University Press; 1934. distinct especially by the fact that corporate entre-
Shane S. Technological opportunities and new firm crea-
tion. Manage Sci. 2001;25(1):217–26.
preneurship is a management/cultural process that
Shane S. A general theory of entrepreneurship: the applies to existing firms to make them more
individual-opportunity nexus. Northampton: Edward dynamic (Stevenson and Jarillo 1990).
Elgar; 2003.
Shane S, Venkataraman S. The promise of entrepreneur-
ship as a field of research. Acad Manage Rev. Theoretical Background and Open-
2000;25(1):217–26. Ended Issues
Venkataraman S. The distinctive domain of entrepreneur-
ship research. In: Katz J, editor. Advances in entrepre-
neurship, firm emergence and growth, vol. 3. In the approach of Mintzberg et al. (2005), an
Greenwich: JAI Press; 1997. p. 119–38. entrepreneurial organization is centralized around
844 Entrepreneurial Organizations
a single leader who engages in considerable doing The vertical axis corresponds to the dimensions
and dealing, as well as strategic visioning. along which the entrepreneurial process takes effect.
Thereby, an entrepreneurial organization deals Does it modify the product, the business model, the
with the conceptualization of the business model organization, etc.? Are only one or several of these
and the way it is implemented. In a broader view, dimensions concerned? If we plot some of the entre-
entrepreneurial organizations are not limited to a preneurial forms found in the literature on these
single entrepreneur in the firm. axes, we obtain the distribution showed in Fig. 1.
Entrepreneurial organizations are strongly
linked to the learning organization approach Case 1 The least complicated situation corre-
and knowledge-based approach of entrepreneur- sponds to the case where there is one person
ship. Entrepreneurial organizations can take dif- performing an entrepreneurial act along one
ferent forms. Forms of entrepreneurship in the dimension. This case corresponds to the classic
academic literature are numerous. As reported representation of entrepreneurship and of entre-
by spi1;Burger-Helmchen (2008a), the following preneurial organization. The Schumpeterian
forms of entrepreneurship can be identified: aca- entrepreneur leading to the mark I innovation pro-
demic entrepreneurship, diffused entrepreneurship, duction corresponds to this point.
dispersed entrepreneurship, distributed entrepreneur-
ship, disintegrated entrepreneurship, collaborative Case 2 If we have several persons, possibly
entrepreneurship, collective entrepreneurship, employed by several firms, we obtain a group of
community-based entrepreneurship, corporate entre- people involved in an entrepreneurial process. This
preneurship, intrapreneurship, knowledge-based corresponds to the case of dispersed entrepreneur-
entrepreneurship, managerial entrepreneurship, mod- ship or entrepreneurship in community. In an engi-
ular entrepreneurship, network entrepreneurship, neering approach, the tasks necessary to create a
open entrepreneurship, plural entrepreneurship, and new product are split into different subtasks. Each
serial entrepreneurship. group of engineers has to resolve the problem
Many of these notions overlap or are, simply corresponding to a specific part, or subtask, of the
speaking, synonyms; many of them could be project they are responsible for. More recently, this
pinpointed as entrepreneurial organizations with approach has been developed in organization stud-
more than one entrepreneur. Figure 1 is a repre- ies together with the notions of communities
sentation of the different forms of entrepreneur- (Cohendet and Llerena 2003). People can be work-
ship along two axes to distinguish them. The two ing for different firms but be involved in the same
axes represent (1) the localization of the entrepre- community. Because different persons/firms are
neurial process or action and (2) the dimensions linked by the same practice, they can contribute to
concerned by the entrepreneurial process. the creation of a new product – in this case the
The horizontal axis selects the location of the community is entrepreneurial. A current example
entrepreneurial process. Location means how of this form of entrepreneurship is the open-source
many firms/persons are participating in the entrepre- community who creates new products by summing
neurial process. Is it just one single entrepreneur or up the efforts of several persons dispersed around
are there several persons belonging to distinct firms? the world.
Entrepreneurial
Organizations, Entrepreneurship Entrepreneurship
Several
Fig. 1 Various forms of Plural Distributed/Network
entrepreneurial Dimension(s)
organizations
Entrepreneurship Entrepreneurship
One
Classic Dispersed/in community
One (person/firm) Several (person/firm)

Localisation
Entrepreneurial Organizations 845
Case 3 In this case there is only one dimension and MacMillan 2004) and thereby influences the
concerned, the product (or service) created by the important resource allocation decision. The effec-
entrepreneurial process. If several dimensions are tuation literature especially highlights this inter-
concerned and different firms are involved, mean- pretation process and how it forges the
ing that some firms are in charge of creating a new entrepreneurial action within the organization
product or service, some other firms develop a (Sarasvathy 2004). The entrepreneurial logic
new business model/market strategy, and/or influences behaviors, routine strategies, structure,
some firms organize themselves in an entrepre- and culture. In fact, the entrepreneurial mindset
neurial manner around those activities, we obtain influences the firm in many domains, even if it is
a situation of distributed or network-based not noticeable at first sight. In the entrepreneurial
E
entrepreneurship. organization, the concept of constant change is a
dominant factor. Entrepreneurship creates new
Case 4 Finally, in the last case in Fig. 1 we need to opportunities and promotes flexibility, creativity,
discuss the plural entrepreneurship situation. Plural and innovation.
means that one single firm or person must not only
create a new product or new services but also (if the What Constitutes an Entrepreneurial Organiza-
product is really a novelty) find a new way of tion? A classification can be made based on the
commercializing the product (a marketing/business frequency of entrepreneurial acts and the degree of
model) and eventually develop an innovative orga- each entrepreneurial act (Morris et al. 2011). A firm
nization of his or her activities. The more dimen- can make a small number of really creative, innova-
sions and localizations are concerned, the more tive, highly differentiating acts or can make a large
entrepreneurial is the organization. The success of number of small, incremental advances and changes.
a firm corresponds to the outcomes of entrepreneur- Some researchers think that there is a link between
ial activities. Those activities must join into a coher- the entrepreneurial intensity of an organization and
ent business strategy during the start-up phase. several performance measures such as profitability,
Therefore, this view is aligned with the concept of growth, sales, salaries, etc. (Morris et al. 2011). This
entrepreneurial strategy by Mintzberg et al. (2005). could be particularly the case in turbulent changing
They define entrepreneurial strategy as environments. But it does not take into account the
. . .characterized by a visionary process: strategy survival rate. Several approaches exist to differenti-
exists first of all in the leader’s mind as a long- ate the performance and environment that are more
term direction, a vision of the future and of the favorable for entrepreneurial organization or mana-
results of the organization. Such a strategic vision gerial organization, depending notably on the type of
tends to be malleable, and due to this, entrepreneur-
ial strategy often appears to be both deliberate and knowledge developed and the form of rivalry
emergent, deliberate from the point of view of its between firms. Empirical- and simulation-based
global vision, and emergent in the way in which the approaches highlight the fact that entrepreneurial
details of the vision evolve. organizations are more efficient when uncertainty is
Again, in entrepreneurial organizations, the high as in hypercompetitive environments (Burger-
entrepreneurial vision is not limited to the leaders’ Helmchen 2008b).
minds; thereby, those entrepreneurial organiza-
tions need a special attention and selection pro- Entrepreneurial Organizations Have Specific
cess (Ocasio and Joseph 2005). Architectures The architecture of the entrepre-
neurial organization is important because it
makes it possible to seize opportunities, to
Implementation for Theory, Policy, and respond fast, and effectively to change. The set-
Practice ting up of architecture to exploit the distinctive
characteristics of entrepreneurship are dynamic
The entrepreneurial mindset sees the environment capabilities difficult to copy, mechanisms that
and the stakeholders in a different way (Boisot build routines, and culture allows this to happen
846 Entrepreneurial Organizations
Entrepreneurial
Pseudo Entrepreneurial Effective Entrepreneurial
Organizations, Entrepreneurial organization organization
Fig. 2 Effective (2) (1)
entrepreneurial Management
style Efficient bureaucratic Unstructured unadventurous
organization
Bureaucratic organization organization
(3) (4)
Mechanistic Organic
Structure
smoothly. The staff is not demotivated but moti- always. As an entrepreneurial firm moves away
vated by the change and creativity of the other from centralized, formal hierarchies to flatter
members of the organization. The value of an entre- structures with more horizontal communication,
preneurial architecture lies in its capacity to create the need for management control diminishes. Sev-
organizational knowledge and routines, to respond eral authors argue that the entrepreneurial behav-
flexibly to changing circumstances, and to achieve ior within the organization is positively correlated
easy and open exchanges of information. with performance when the structure is more
Entrepreneurial organizations exhibit more organic (when authority is based upon expertise,
links to communities/networks (outside the firm) not position) (Fig. 2).
because the entrepreneurs are in the middle of a
web of informal personal relationships rather than The organization is more problematic when
contractual formal relationships. At the basis, it is there is an incongruity between structure and
a learning organization. A learning organization style. This figure reports also what the authors
has been defined as one that facilitates the learning call “cycling”; where firms change from one man-
of all its members and continuously transforms agement style to another, a more bureaucratic
itself in response to the needs, wishes, and aspira- style is needed (successful firms are in quadrants
tions of people inside (and outside) it. Such an 1–3).
organization encourages systematic problem-
solving, encourages experimentation and new
approaches, and allows more importance to be Conclusion and Future Directions
allocated to personal history. Therefore, entrepre-
neurial organizations are learning organizations. The entrepreneurial organization encourages the
exchange and creation of knowledge to detect and
An Entrepreneurial Organization Has Some exploit opportunities in a rhythm and way differ-
Particularities of Size and Structure Large orga- ent from managerial organization. In particular,
nizations produce a bigger quantity of information the entrepreneurial organization encourages all
that needs to be analyzed, shared, etc. It delays the the employees to propose new ideas. This implies
decision-making and kills creativity. To be entrepre- that those firms have a specific type of attention.
neurial, a layer organization needs to organize into Subsequently, those entrepreneurial organizations
small groups or projects. But the decentralizing, have the flexibility to develop and exploit the
delayering, outsourcing, and downscoping are not proposed and accepted ideas. The number of
a guarantee that a firm can become more entrepre- actors that can propose ideas and the subjects of
neurial. Clearly, when the number of people the ideas led several researchers to propose differ-
reporting to the entrepreneur increases, the system ent forms of entrepreneurial organization.
becomes less effective. Depending on the structure and management
style adopted, entrepreneurial organization can
Barriers to Entrepreneurial Organiza- be more or less efficient than managerial organi-
tion Many traditional management techniques zations. Future research on entrepreneurial orga-
are ineffective for such organizations but not nization can benefit substantially from a richer
Entrepreneurship 847
conceptualization of the entrepreneur that is not Ocasio W, Joseph J. An attention-based theory of strategy
limited to a certain position or title but recognizes formulation: linking micro and macro perspectives in
strategy processes. Adv Strateg Manag.
the potential that entrepreneurial insight and cre- 2005;22:39–62.
ativity can be provided by all individuals in the Sarasvathy SD. Making it happen: beyond theories of the
organization. The necessity to be entrepreneurial firm to theories of firm design. Entrep Theory Pract.
along several dimensions requires a procedural 2004;28(6):519–31.
Stevenson HH, Jarillo JC. A paradigm of entrepreneurship:
approach to describe the evolution of the entre- entrepreneurial management. Strateg Manag
preneurial activities. Previous work on that topic J. 1990;11(4):17–27.
developed our knowledge of the common traits on
the genesis and growth of the firms, for instance,
E
they gave us a good understanding of the different
phases of the development of firms (following a Entrepreneurial Personality
life cycle model). But, by definition, this separa-
tion in phases (or steps) focuses on the important ▶ Psychological Aspects of Entrepreneurial
points in each phase, neglecting somehow the Dynamics
relationships between the different elements and
their coevolution. The picture is then composed of
the entrepreneur(s), the innovative products or
services, the supporting activities, and the finan- Entrepreneurial Training
cial resources. The coevolution of all these ele-
ments in relation to entrepreneurship fosters the ▶ Entrepreneurship Education
survival of the firm.
Cross-References Entrepreneurial University

▶ Corporate Entrepreneurship ▶ Academic Firm
▶ Epidemiology of Innovation: Concepts and
Constructs
References ▶ Innovation Audit: Measuring Innovation Man-
agement Capabilities
Boisot M, MacMillan YC. Crossing epistemological ▶ Triple Helix of University-Industry-Govern-
boundaries: managerial and entrepreneurial approaches
to knowledge management. Long Range Plan. ment Relations
2004;37(6):505–24.
Burger-Helmchen T. Plural-entrepreneurial activity for a
single start-up: a case study. J High Technol Managem
Res. 2008a;19(2):94–102.
Burger-Helmchen T. Creation and co-evolution of strategic Entrepreneurs’ Discourse
options by firms: an entrepreneurial and managerial
approach towards flexibility and resource allocation.
In: Laperche B, Uzunidis D, editors. Powerful finance ▶ Linguistic Dimension of Creativity, Invention,
and innovation trends in a high-risk economy. London: Innovation, and Entrepreneurship
Palgrave MacMillan; 2008b. p. 183–206.
Cohendet P, Llerena P. Routines and incentives: the role of
communities in the firm. Ind Corp Change.
2003;12(2):271–97.
Mintzberg H, Ahlstrand B, Lampel J. Strategy safari.
New York: The Free Press; 2005. new edition.
Entrepreneurship
Morris M, Kuratko D, Covin J. Corporate entrepreneurship
and innovation. 3rd ed. Mason: South-Western Col- ▶ Academic Entrepreneur, Academic Entrepre-
lege; 2011. neurship
848 Entrepreneurship and Business Growth
▶ Applied Design Thinking Lab and Creative (Audretsch and Kelibach 2007, 2008;
Empowering of Interdisciplinary Teams Braunerhjelm et al. 2010). According to this
▶ Experiential Learning and Creativity in Entre- approach, “entrepreneurs” and “capital entrepre-
preneurship neurship” are the missing links in the endogenous
▶ Financing Entrepreneurship theory explaining business growth.
▶ Innovation Audit: Measuring Innovation Man-
agement Capabilities
▶ Small Businesses: Value, Transmission, and Definition
Recovery
▶ Socialized Entrepreneur, Theories Entrepreneurship: Several definitions have
succeeded each other since Cantillon’s (1734).
Since then, economists such as, Say (1857),
Knight (1921), Schumpeter (1934), and Kirzner
Entrepreneurship and (1933) have been among the most influential con-
Business Growth tributors to the understanding of entrepreneurial
behavior and its related processes. Even though,
Najoua Boufaden on the whole, their definitions differ from each
ISG – Institut Supérieur de Gestion, Paris, France other – in that they assimilate the notion of entre-
preneurship to exchanges, risk, innovation, and
business opportunities – they all complement
Synonyms one another. Indeed, Cantillon recognized that
the shift between demand and supply in a market
Entrepreneurship and economic growth; Entre- creates opportunities for buying cheaply and sell-
preneurship and small business ing at a higher price; that sort of arbitrage would
bring equilibrium to competitive markets. Based
upon this approach, Kirzner states that the entre-
Introduction preneurial function involves coordinating infor-
mation, namely, identifying the gap between
The relationship between entrepreneurship and supply and demand, as well as acting as the broker
firms’ growth, as well as economic growth more between supply and demand, and making it pos-
generally, has been the subject of a growing num- sible to earn money from the difference. Finally,
ber of studies. This growing and renewed interest one more definition is worth mentioning: it is
is due to several factors: first, the driving role more contemporary with Scott Shane and
played by entrepreneurship to promote economic Venkataraman (2000) and pertains to the same
development in Western countries, but also devel- lineage as Cantillon’s and Kirzner’s, while
oping ones; second, a remarkable lack of studies stressing innovation more particularly; “Entre-
on the causal relationship between entrepreneur- preneurship is ‘an activity that involves the dis-
ship and economic growth; and third, new tech- covery, evaluation and exploitation of
niques have developed and individual data about opportunities to introduce new goods and ser-
entrepreneurs and entrepreneurship have been vices, ways of organizing markets, processes,
made available, permitting to test new hypothe- and raw materials through organizing efforts
ses. Thus, added to the disparate definitions of that previously had not existed.”
entrepreneurship, studies that empirically mea- Entrepreneur: Traditional neoclassical eco-
sure that relationship are as rare in economics as nomics has completely evacuated, from its ana-
in management. lytical framework, the role of the entrepreneur in
Nevertheless, one main issue in economics has economic activity. Adam Smith made no distinc-
investigated the linkage between entrepreneur- tion between a capitalist and an entrepreneur,
ship, innovation, and growth at regional level whose role was reduced to acting as a coordinator
Entrepreneurship and Business Growth 849
between the various factors of production and on first reading, they are consistent and even com-
capital owners. The idea that gives the contractor plementary with each other, in that Schumpeter
more than the role of a mere capitalist was born creates disequilibrium for further new possibili-
outside the neoclassical paradigm with such rare ties and therefore growth. Besides, Kirzner acts on
pioneers as Knight, Schumpeter, and Kirzner who disequilibrium in the market for new growth.
deem that, “the entrepreneur is someone who is
alert to profitable opportunities for exchange. He
or she is able to identify suppliers and customers Entrepreneurship as an Effective
and act as an intermediary.” Thus, the entrepre- Mechanism to Explain Business Growth
neur tries to discover profit opportunities and
E
helps restore equilibrium on the market by acting The relationship between entrepreneurship and
on these opportunities (entrepreneurial economic growth is far from established. How-
alertness). ever, it is recognized that Zoltan Acs and David
These definitions highlight the relationship Audretsch are two of the most prolific researchers
between entrepreneurship and growth, where the in the field of small businesses and entrepreneur-
entrepreneur is the main mechanism. That is, ship, having contributed on the subjects of the
regarding the production possibility curve (see evolution of small and medium enterprises
Fig. 1), Kirzner considers that the company is (SMEs), entrepreneurial dynamics, innovation,
within the curve and reaches the edge of the pro- and regional growth.
duction possibility curve by identifying gaps It is this approach that will be preferred here.
between supply and demand. However, Kirzner’s These works, individually or in collaboration with
entrepreneur does not create anything new. He is David Audretsch and Zoltan Acs, consider that
an intermediary who recognizes and exploits what both incumbent firms and entrepreneurial activi-
already exists, but this action leads to better use of ties are the main “missing links” in the literature to
resources and therefore shifts the curve toward the explain knowledge accumulation and its diffusion
edge of the production possibility curve. and conversion into economically relevant
Compared to Schumpeter’s view, the entrepre- knowledge.
neur creates something new rather than exploit Braunerhjelm et al. (2010) suggest that the
existing resources. So, according to Schumpeter, process of knowledge transformation resulting
the firm is on the edge of the curve. And the from fundamental research into economically
entrepreneur pushes the curve outwards by intro- exploitable knowledge is not a spontaneous and
ducing innovations. Nevertheless, eventually, natural process. This approach complements the
even though these two viewpoints look different endogenous growth models that establish a direct
link between investment in R&D (Research and
Product B
Development) and economic growth – without
demonstrating it, for all that. This entry is all the
more relevant as empirical studies find no system-
atic correlation relations between R&D and GDP
Shumpeter (Growth Domestic Product) growth in countries
Kirzner
like Japan and Sweden, which have large stocks of
R&D. This paradox suggests the lack of consid-
eration for the mechanisms ruling the dissemina-
tion of knowledge spillovers. Within this analytic
Product A framework – and faced with the lack of an expla-
nation regarding the dynamics of fundamental
Entrepreneurship and Business Growth, Fig. 1 The
knowledge transfer to the economic sphere – that
Schumpeternian view vs. the Kirzernian view of entrepre-
neurship and the production possibility curve. (Source: approach introduces entrepreneurship as the miss-
Hans Landström (2010), p. 15) ing link in contemporary growth models. Thus,
850 Entrepreneurship and Business Growth
through his various business activities, from iden- seminars, talks, and social activities organized by
tifying opportunities, and from innovation to local business organizations and trade associations.
In these forums, relationships are easily formed and
starting a business, the entrepreneur ensures the maintained, technical and market information is
transformation of knowledge into economically exchanged, business contacts are established, and
useful and recoverable knowledge. Empirical new enterprises are conceived. . .This decentralized
studies show that there is regularity as to the and fluid environment also promotes the diffusion
of intangible technological capabilities and under-
relationship between entrepreneurship measured standings. (Saxenian 1990, pp. 96–97)
by starting a business (start-up) and economic
growth, particularly through employment. The Thus, a region characterized by a rich endow-
second innovative idea that has boosted the ment in entrepreneurship capital positively impacts
endogenous growth model is the introduction of the growth dynamics. Those contexts, based on a
entrepreneurship capital as a mechanism process of knowledge dissemination and spillovers,
explaining variations in economic performance. enhance individual propensity to create and inno-
vate. And, inversely, regions with a weak entrepre-
neurship capital can inhibit starting up new firms.
Capital Entrepreneurship
Measuring the Relationship Between
According to Audretsch (2007), the determinants
Entrepreneurship and Business Growth
of entrepreneurship are shaped by a number of
forces and factors, including legal and institu-
It results from this framework that entrepreneur-
tional but social factors as well. The study of
ship capital is the fourth component inherent to
social capital and its impact on economic
economic development. So, just as physical cap-
decision-making and actions stems back to classic
ital, human capital, and knowledge, entrepreneur-
literature in economics and sociology, in which
ship capital is the fourth variable “input” of the
social and relational structures influence market
conventional Cobb-Douglas production function.
processes (Granovetter 1985). In another relevant
Empirical evidence supports these causal eco-
study explaining Silicon Valley’s high economic
nomic policies and suggests the development of
performance, Saxenian (1990) suggested that the
entrepreneurial capital as a determinant of growth.
rich endowment of the city with what could be
termed as “entrepreneurship capital” is the main
factor to account for such performance.
An Endogenous Growth Model with
It is not simply the concentration of skilled labor,
Entrepreneurship
suppliers and information that distinguish the
region. A variety of regional institutions – including
Stanford University, several trade associations and Acs and Audretsch, as well as their collaborators,
local business organizations, as well as a myriad of have widely contributed to the development of a
specialized consulting, market research, public rela-
growth model making it possible to measure the
tions and venture capital firms – provide technical,
financial, and networking services, which the impact of entrepreneurship on growth. Their model
region’s enterprises often cannot afford (Audretsch and Kelibach 2008; Braunerhjelm et al.
individually. . .Equally important are the social rela- 2010) suggests that not only is entrepreneurship
tionships that develop with shared professional
induced by high investments in knowledge within
experiences and repeated interaction. . . These net-
works defy sectoral barriers: individuals move eas- regional contexts but regional growth also impacts
ily from semiconductor to disk drive firms or from entrepreneurship level of influence. Thus, an aug-
computer to network makers. They move from mented production function that includes an
established firms to startups (or vice versa) and
explicit measure of regional entrepreneurship cap-
even to market research or consulting firms, and
from consulting firms back into startups. And they ital has been estimated. On this basis, it became
continue to meet at trade shows, industry confer- possible to test the impact of entrepreneurship on
ences, as well as on the occasion of the scores of economic growth on one hand and, on the other,
Entrepreneurship and Business Growth 851
the impact of knowledge investments and growth According to the main assumption of the
on entrepreneurship. urban economic literature (Duranton and
Two equations are specified simultaneously, Puga 2004), the higher population density in
taking into account the simultaneity bias: cities eases local knowledge and informational
exchange between individuals, leading to a
Y i ¼ K ai Lbi Rgi Edi ð1Þ better labor productivity. Therefore, these
mechanisms induce faster diffusion and appro-
Ei ¼ f ð y i , x i Þ ð2Þ priation of entrepreneurial opportunities.
2. Factors influencing economic situations
As suggested by many studies, the unem-
Where Yi in Eq (1) is the economic performance of E
region i measured as GDP, ployment rate is linked to the entrepreneurial
Ki is region I’s endowment of entrepreneurship activity. However, the sign of that correlation
capital, has still not been established empirically so far.
Li is labor, Ri is regional R&D intensity, and Ei The same conclusion can be drawn concerning
represents its endowment in entrepreneurship the impact of regional industrial diversity. No
capital, while formally specifying that entre- consensus on whether the firms benefit largely
preneurship contributes to the economic output from a strong concentration of industry-
of regions. specific knowledge (That is what, in the litera-
ture, is dubbed “Marshall-arrow-Romer”
In Eq (2), yi is a vector that measures region i’s externalities) or from the variety of knowledge
performance and xi is the vector of other variables coming from different industry sources
influencing entrepreneurial activity in i. Two groups (Jacob’s externalities). The impact of taxes on
of factors shape the extent of entrepreneurship cap- business start-ups is also being investigated.
ital: (1) the generation of region-specific opportuni- And again, in this case, the global impact of
ties for entrepreneurial activity through knowledge taxation is not systematically anticipated.
and ideas and (2) a favorable general economic Thus, local taxes can reduce the propensity to
environment enhancing the creation of firms. start up a new firm and hence the region’s
entrepreneurship capital. However, on the
other hand, these taxes can help regions pro-
Variables Determining vide better business services and hence attract
Entrepreneurship Capital entrepreneurs.
Two categories of variables determine entrepre-

neurship capital: factors stimulating entrepreneur- Conclusion and Future Directions
ial opportunities and factors influencing the
economic context. Thanks to endogenous growth models, it has been
possible to rehabilitate the role of entrepreneur-
1. Factors Stimulating Entrepreneurial ship in economic growth, particularly through the
Opportunities concept of entrepreneurial capital. However, the
Economic growth creates a growing mar- concept of entrepreneurial capital is somehow a
ket, which thereby generates greater exchange little too abstract and based on too aggregate
dynamics and therefore new business opportu- parameters, like GDP or population density.
nities in Kirzner’s sense. R&D intensity Other parameters may need to be considered, fur-
describes the potential of a region to create ther explaining young people’s intentions to
new knowledge, which in turn generates new undertake. Support structures and outreach and
opportunities to create knowledge-based firms, training programs are all parameters that may
including through the mechanisms valorizing influence individuals’ predispositions to under-
the development of fundamental research. take, both in regional and national contexts.
852 Entrepreneurship and Economic Growth
Cross-References
Entrepreneurship and
▶ Entrepreneur Financial Markets
▶ Entrepreneurial Opportunities
▶ Entrepreneurship and Small Business Agility Philippe Spieser
▶ Entrepreneurship Policy Groupe Escpeurope, Paris, France
▶ Innovative Milieu as a Driving Force of Inno-
▶ Institutional Entrepreneurship Synonyms
▶ National Culture
Angel funding; Bootstrap transaction; Financial
sponsor; Friends and family funding; Highly-
References Leveraged transaction (HLT); Seed funding;
Seed money; Special situation
Acs ZJ. Innovation and the growth of cities. Cheltenham:
Edward Elgar; 2002.
Audretsch AD. Entrepreneurship capital and economic “Entrepreneurship” and “financial markets” seem,
growth. Oxf Rev Econ Policy. 2007;23(1):63–78. at the first glance, to be somehow contradictory
Audretsch AD, Kelibach M. Entrepreneurship and eco- expressions. The entrepreneur, who is simply
nomic performance. Reg Stud. 2004;38(8):949–59. defined here, according to Lachman’s (1999) def-
Audretsch AD, Kelibach M. Resolving the knowledge
paradox: knowledge- spillover entrepreneurship and inition as a person who uses a new combination of
economic growth. Res Policy. 2008;37:1697–705. production factors, needs generally external
Braunerhjelm P, Acs ZJ, Audretsch B, Carlsson B. The miss- sources of funds to set up and develop his com-
ing link: knowledge diffusion and entrepreneurship in pany. Those financial means adopt many forms
endogenous growth. Small Bus Econ. 2010;34:105–25.
Cantillon R. Essai sur la nature du commerce en général. which cover different definitions and objectives.
London: Macmillan; 1755/1931. They show different profiles in terms of risk and
Duranton G, Puga D. Chapter 48. Micro-foundation of return according to the financial business cycle
urban agglomeration economies. In: Thisse JF, Hender- which describes the revenues’ in- and outflows
son JV, editors. Handbook of urban and regional eco-
nomics, vol. 4. 1st ed; 2004. p. 2063–117. as a function of time. But they have in common
Granovetter MS. Economic action, and social structure: the to be private, gathered precisely under the general
problem of embeddedness. J Sociol. 1985;91(3):481–599. term of private equity (here PE). This idea of
Kirzner IM. Competition and entrepreneurship. Chicago: privacy is far away from the concept of a financial
University of Chicago Press; 1973.
Knight FH. Risk, uncertainty and profit. New York: market where securities are freely valued and
Houghton, Mifflin; 1916/1921. traded. Nevertheless, PE financial flows and
Landström H. Pioneers in entrepreneurship and small busi- funds are not disconnected from the public finan-
ness research, International studies in entrepreneurship. cial markets’ patterns, parameters, or vehicles.
New York: Springer; 2010.
Saxenian A. Regional networks and the resurgence of Different links, explicit or implicit, are to be
Silicon Valley. Calif Manag Rev. 1990;33(1):89–112. discussed between PE and public markets.
Say JB. Traité d’économie politique. New York: Kelley;
1803/1964.
Cambridge, MA: Harvard University Press; 1934. Notions of “Private Equity” and “Private
Shane S, Venkataraman S. The promise of entrepreneurship as Equity Market” Refer Essentially to the
a field of research. Acad Manag Rev. 2000;25(1):217–26. Private Economic Sphere
Entrepreneur
Entrepreneurship and Many definitions have been given for the notion
Economic Growth of entrepreneur (see other contributions in this
book). The most well-known theorist of this
▶ Entrepreneurship and Business Growth agent is the Austrian economist J. Schumpeter
Entrepreneurship and Financial Markets 853
(1934). He stressed the role of innovation, such as capital) precisely in accordance with the specific
new products and production methods, new mar- investment strategies. A private equity firm will
kets, and forms of organization. Wealth is created raise pools of capital or private equity funds that
when such innovation results in a new demand. supply the equity contributions for these transac-
From this viewpoint, one can define the entrepre- tions; it will receive a periodic management fee as
neur as a person combining various input factors well as a share in the profits earned called carried
in an innovative manner to generate value to the interest from each private equity fund managed.
customer with the hope that this value will exceed Financially speaking, a PE firm looks to maximize
the cost of the input factors, thus generating supe- the value of its investment, receiving a return on
rior returns that result in the creation of wealth. their investments through one of the following
E
The entrepreneur needs money to start his activity ways:
and borrows this money from a venture capitalist.
For the venture capitalist, the objective is the – An initial public offering (“IPO”) – shares of
ability to achieve a significant capital gain the company are offered to the public, typically
resulting from the difference between the pur- providing a partial immediate realization to the
chase and the selling price of the (private) shares. financial sponsor as well as a public market
In order to start that new activity, which is by into which it can later sell additional shares.
nature risky, the entrepreneur generally needs – A merging or acquisition process – the com-
fresh money. pany is sold for either cash or shares in another
company.
Private Equity – A recapitalization – cash is distributed to the
The expression “private equity (here: PE)” refers shareholders (the financial sponsor and the
to specific actors, mechanisms, and money in private equity funds) either from cash flow
relation with investment in private financial generated by the company or through raising
resources. The resources are made available for debt or other securities to fund the distribution.
companies generally under the form of securities
(equities) not involving any public offering and, The private equity firms can bear different
consequently, not traded on a public stock names like venture capital firms, angel investors,
exchange. etc. The different ways the PE financial resources
are made available for companies have four
Private Equity Market names: venture capital, leveraged buyouts,
The private equity market consists of profession- growth capital, and mezzanine capital. This clas-
ally managed equity investments in the sification is not homogenous in the sense that it
unregistered securities of private (and sometimes refers either to the steps of the firm’s development
also public) companies. Professional management or to the financial setup or objectives of the financ-
is provided by specialized intermediaries (limited ing (cf. infra). The purposes of the working capital
partnership, cf. infra), raising money from insti- provided are different: to insure expansion, to
tutional investors and acquiring large ownership launch new product development, or to finance
stakes. They take an active role in monitoring and restructuring of the company’s operations, man-
advising the firms. agement, or ownership.
Private Equity Firms Private Equity Fund

It is a structure driven by an investment manager A private equity fund is a structure raised and
that invests in the private equity of operating managed by managers of a PE firm (the general
companies in order to follow different objectives partner), building a collective investment struc-
(like controlling or owning a substantial minority ture designed to invest mainly in various equity
position) through a variety of financial means securities according to one of the investment strat-
(like venture capital, leveraged buyout, growth egies defined by the PE firm. PE funds are legally
854 Entrepreneurship and Financial Markets
limited partnerships, because they are granted • Hurdle rate or preferred return – a minimum
through a limited partnership agreement, with a rate of return (generally 8–12%), which must
fixed term of (extendable) 10 years. Usually, a be achieved before the fund manager can
single private equity firm will manage a series of receive any carried interest payments.
distinct private equity funds, attempting to raise a
new fund every 3–5 years as the previous fund is PE funds are not intended to be transferred or
fully invested. The general partner raises capital traded but can be transferred to another investor,
from institutional investors (pension plans, foun- at the discretion and approval of the fund’s
dations, charities, etc.). The terms in the limited manager.
partnership agreement are the following: One has nevertheless to point out that the world
of PE remains specific in the world of “banking”
• Management fees – an annual payment made or “market” finance; structures and people are not
by the investors in the fund to the fund’s man- strictly confounded, mainly based on personal
ager to pay for the private equity firm’s invest- relations and confidence. The relations between
ment operations (1–2% of the committed PE firms, PE funds, and institutional investors are
capital of the fund). summed up in the following figure (Fig. 1).
• Carried interest (see above) – a share of the
profits of the fund’s investments (up to 20%), Venture Capital
paid to the private equity fund’s management Venture capital (VC) refers to financial capital
company as a performance incentive. The provided to firms at their early stage (start-up)
remaining 80% of the profits are paid to the when those firms are regarded as high-potential,
fund’s investors. high-risk, and promising-growth companies. The
Venture
Capital Firm Limited Partners (Investors)
(General Partner) (public pension funds, corporate pension funds, insurance companies,
high net-worth individuals, family offices, endowments, foundations,
fund-of-funds, sovereign wealth funds, etc.)
Ownership of the Fund
Fund / Investment
Management Venture Capital Fund
(Limited Partnership)
The Fund’s ownership of

the portfolio investments
Investment Investment Investment
Entrepreneurship and Financial Markets, financial crisis in the French venture capital investment –
Fig. 1 Relations between VC firms, VC funds, and insti- report ESCP Europe and wikipedia)
tutional investors. (Source: H. Fantasia: the impact of the
firms usually have a novel technology or business Leveraged buyout uses a combination of var-
model in high technology industries, such as bio- ious debt instruments supplied by banks and debt
technology, information technology, etc. So capital markets. Bonds or other papers issued for
equity investments are made for the launch, early leveraged buyouts are commonly considered not
development, or expansion of a business. Venture to be first-category investment (investment
capital is a subset of private equity; therefore, all grades) because of the significant risks involved.
venture capital is private equity, but not all private The companies involved in these transactions are
equity is venture capital. generally mature and generate operating cash
Venture capital is often subdivided by the stage flows. In a typical leveraged buyout transaction,
of development of the company, ranging from a private equity firm buys majority control of an
E
early-stage capital used for the launch of start-up existing or rather mature firm; this is distinct
companies to late-stage and growth capital; this from a venture capital or growth capital invest-
last financial means is often used to fund expan- ment, in which the investors invest in young or
sion of existing business generating revenue but emerging companies and rarely obtain majority
not yet profitable or generating cash flow to fund control.
future growth. Leveraged buyouts involve generally a finan-
The venture capitalists need to deliver high cial sponsor without himself committing all the
returns to compensate for the incurred risk he capital required for the acquisition; he will raise
takes that makes venture funding an expensive acquisition debt which is in line with the cash
capital source for companies. Venture capital is flows of the acquisition target to make interest
most suitable for businesses with large up-front and principal payments. A peculiar form is the
capital requirements which cannot be financed by leverage management buyout where the sponsor
cheaper alternatives such as debt. In addition to is constituted by the management of the company
angel investing and other seed-funding options, (LMBO – leveraged management buyout).
venture capital is attractive for new companies An LBO transaction’s financial structure is
with limited operating history that are too small particularly attractive to a fund’s limited partners
to raise capital in the public markets and have not in the frame of private financial markets: it grants
reached the point where they are able to secure a them the benefits of leverage but limits the degree
bank loan or complete a debt offering. In of recourse of that leverage due to the fact that the
exchange for the high risk that venture capitalists borrower is not personally liable for the borrowed
assume by investing in smaller and less mature money.
companies, they usually get significant control
over company decisions notwithstanding to a sig- Growth Capital
nificant portion of the company’s ownership. Growth capital refers to private equity invest-
ments (minority investments, in the general case)
Leveraged Buyout (LBO) in relatively mature companies looking for capital
A leveraged buyout takes place when an investor to expand or restructure operations, enter new
buys a controlling interest in a company’s core markets, or finance a major acquisition without a
capital, a significant percentage of the purchase change of control of the business. So it intervenes
price being financed through borrowing. The after the venture capital operation.
assets of the acquired company are used as collat-
eral for the borrowed capital. Since the cost of Mezzanine Capital
capital is cheaper than the cost of borrowing in a Mezzanine capital refers to subordinated debt or
normal period of time, the operation is profitable, preferred equity securities (so financial means
this mechanism being called leverage effect in the intermediary between equity and bonds) that is
classical financial theory: the returns to the inves- the most junior portion of a company’s capital
tor will be enhanced as long as the return on assets structure but senior to the company’s common
exceeds the cost of the debt. equity. This form of financing is often used by
856 Entrepreneurship and Financial Markets
private equity investors to reduce the amount of “turnaround” strategies where an investor will pro-
equity capital required to finance a leveraged buy- vide debt and equity investments, often “rescue
out or major expansion. Mezzanine capital, which financing,” to companies undergoing operational
is often used by smaller companies that are unable or financial challenges. The different terms and
to access the high-yield market, allows such com- uses of financial PE sources of funds can be
panies to borrow additional capital beyond the summed up here (Fig. 2).
levels that traditional lenders are willing to pro- The volume of VC has reached now a signifi-
vide through bank loans. In compensation for the cant level. The Dow Jones VentureSource indi-
increased risk, mezzanine debt holders require a cates that venture capitalists from around the
higher return for their investment than secured or world invested $9.8 billion into 967 deals for
other more senior lenders. companies based in the USA, Europe, Canada,
Israel, Mainland China, and India during the first
Distressed Situations quarter of 2011. This represents a 20% jump in
Some PE funds choose to invest equity or debt investment but a 7% decline in deal activity from
securities of financially stressed companies, which the same period in 2010 when $8.2 billion was
is a strategy far from the investment in seed or raised for 1038 deals.VC investments in the USA
venture capital. One can distinguish between accounted for two-thirds (66%) of the total vol-
“distressed-to-control” and “loan-to-own” strategies ume in the first quarter, with Europe (15%) and
where the investor acquires debt securities in the China (14%) next in line. The dominant sectors
hopes of emerging from a restructuring in control are in renewable energy, health care, and informa-
of the company’s equity and “special situations” or tion technology.
Venture Capital, acquisition, mergers EXITs:

Revenues
and strategic alliances
IPO
(quotation and
Consolidation and
transmission public market)
LBO-LMBO, Sale (industrial)

Mezzanine
Sale (to another
Development and
growth funds)
Venture Capital Distressed capital Sale (to the
management)
Venture capital
Set-up and Innovation
Seed capital and

business angels
Business cycle of the
firm: net cash-inflows
Great risk of Time

bankruptcy/illiquidity: referd
to as : «Valley of death”
Source: Authorand F. Prevost “Entrepreneur and private equity”, RB editeurs, 2009
Entrepreneurship and Financial Markets, Fig. 2 Sources of funds, business cycle, and “exit opportunities”. (Source:
Author and F. Prevost “Entrepreneur and private equity,” RB editeurs, 2009)
But Actually, the Links with Public benchmarked by this same relation in public
Financial Markets Are Constant and financial market, a phenomenon which is well
Unavoidable illustrated during crisis when a “flight-to-qual-
ity” movement in favor of safe investments
Private equity and venture capital are closely dried the PE activity.
linked to the financial markets via many channels, The other links are as follows:
although they are logically and originally sepa- 2. The existence of a “secondary market”
rated. Those links are put into light especially The notion of “secondary market” refer to
during crisis times. For example, the lower level investments made in existing PE assets through
of VC-raising capital in 2009–2010 are, according the sale of PE fund interests (or portfolios of
E
to the Europe PE and VC Association Research direct investments) in privately held companies
and in line with the overall constraints in public to existing institutional investors like banks or
financial markets, a liquidity shortage, a general insurance companies. If, by nature, the private
uncertainty about the future, and, lastly, a difficult equity asset class is illiquid and is designedly
“exit solution” – meaning, the choice of another intended to be a long-term investment for buy-
investment opportunity after the PE and VC invest- and-hold investors, this “secondary market”
ment is over. The different channels are as follows. opens a liquidity window and simultaneously
provides institutional investors with portfolio
1. The interest rate diversification along with, for example, geo-
The first and probably the most important graphical or sectorial diversification. Secondary
bridge between PE and the public financial investments also typically experience a different
market is the interest rate. It is simply the cash flow profile which is interesting to inves-
common benchmark for all types of investment tors. The idea is that in private equity fund man-
opportunities. For all types on investors and agement, there is a J-curve effect due to the trend
according to the “CAPM” theory, (Capital of PE funds to show negative returns in early
asset pricing model, the dominant financial years and investment gains in the outlying years
theory describing the relation between risky as the portfolios of companies mature; this effect
and unrisky asset returns) under some assump- can be partly annulated by investing in new
tions, the risk and the return of any risky asset private equity funds. Often secondary invest-
are linked in a linear relation. In the risky ments are made through third-party fund vehicle
assets, one must range of course all listed which are structured similarly to fund of funds.
shares but also real estate, commodities, and 3. A growing tendency, for many PE vehicles, to
PE investments. Since the risk is regarded as be listed
very high in this last opportunity, the expected Many advantages have been underlined to
return has to be very high too. This phenome- justify this obvious trend followed by PE vehi-
non explains why the internal rate of return in cles to get listed in markets. They can raise
PE finance was and still is very high compared money more easily, which saves them to orga-
to the growth rate prevailing in the economies. nize heavy and expensive road shows for
In the same idea, the investment strategy of fundraising. Most famous and wealthy funds
institutional investors is a global one, are, to this respect, Kohlberg Kravis Roberts
concerning all types of assets and and Carlyle Group. This link is reinforced by
(geographical or sectorial) markets, in the pur- the fact that important financial institutions like
pose of an optimal diversification. In the investment banks have directly created listed
framework of the CAPM, if their attention is PE vehicles, for example, Goldman Sachs or
drawn to other assets showing less risk for the Barclays. One can notice that the most quoted
same return or higher return for the same risk, funds are Anglo-Saxon, because PE industry is
this will be made at the expense of VC. In other more developed in the USA, Canada, and the
words, under a financial constraint, the risk/ UK than in the Europe. If they are listed, the
return relationship in the PE market is performance of PE funds can then be directly
858 Entrepreneurship and Innovation
compared to that of the common equity market, References

which is then a benchmark for investors.
4. The introduction to the market is the natural Gough JW. The rise of the entrepreneur. New York:
Schocken Books; 1969.
end of a PE investment
http://vcexperts.com/vce/library/encyclopedia/glossary.asp
The VC investment process goes naturally https://www.venturesource.com/
from a first step – identification of opportuni- Lachman R. Toward measurement of entrepreneurial ten-
ties – to the last one – an “exit” solution (see dencies. Manag Int Rev. 1980;20(2):108–16.
Mike KWR. Venture capital and private equity: a review
above). There are five “exit” situations. The
and synthesis. J Bus Finan Account.
most logical one is an initial public offering, 1998;25(5–6):521–70.
highly influenced by the financial market con- Rosenbaum J, Pearl J. Investment banking: valuation, lev-
ditions: liquidity, market risk premium, and eraged buyouts, and mergers and acquisitions.
New York: Wiley Finance; 2009.
long-term private and public interest rate.
Schumpeter J. The theory of economic development.
This “exit” opportunity determines partly also Brunswick: Transactions Publishers; 1934.
the other four possibilities, namely, a sale of the
shares to industrial investors, a buyback by the
primary owners, a secondary buyout to another
PE investor, and, last but not least, a write-off. Entrepreneurship and
5. PE investments: a signal for markets Innovation
The PE activity and VC investment take
decisions about the sectors to invest in. This ▶ Entrepreneurial Behavior and Eco-Innovation
drives the market’s attention and indicates
some trends for future IPO investments; it influ-
ences the public markets’ investment decisions
made by institutional investors as a whole. Entrepreneurship and
National Culture (According
to Hofstede’s Model)
Igor N. Dubina1,2 and Suzanna J. Ramos3
1
PE and VC activities are by far not disconnected The Faculty of Economics, Novosibirsk State
from public financial markets; they belong to the University (NSU), Novosibirsk, Russia
2
global investment policy (in terms of diversification, The International Institute of Economics,
risk, return) of almost all categories of investors. Management, and Information Systems, Altai
Many observers underline the fact that new technol- State University (ASU), Barnaul, Russia
3
ogy firms find more easily funds in the USA than in Department of Educational Psychology, College
Europe, a phenomenon which partly could explain of Education and Human Development, Texas
the dynamism of this sector in the American growth A&M University, College Station, TX, USA
rate. The present gloomy situation of the financial
markets (spring 2012), at least in the mature econo-
mies, makes the question of financing innovation Synonyms
and entrepreneurship more acute This challenge is
to be related with the broader use of markets, instead Cross-cultural entrepreneurship and business;
of banks which are also shuttled by the needs of Cultural dimensions; National culture
reinforcing their capital structure, in the financing
of the economy in that part of the world. The future
of PE is also partly determined by the perspectives Introduction
in countries like China or India where the financial
needs are important but where the political and To define national culture, researchers and practi-
economic systems are less adapted to an activity tioners generally use national boundaries as a
which is a symbol for capitalism. proxy for differentiating between distinct cultures
Entrepreneurship and National Culture (According to Hofstede’s Model) 859
and their respective cultural characteristics. Simi- mental programming of the nation’s members.
larities in national cultures derive from common Therefore, a nation possesses its own culture.
history, religion, geography, and language. Hofstede’s (1980, 2001) study on national cul-
Although there are differences within national tures within organizations not only analyzes
borders, these differences are assumed to be of national cultures but also demonstrates the effects
less significance than those found between of cultural differences inside organizations. His
nations. The concept of national culture refers to research is particularly useful to understand
a set of values, beliefs, and attitudes shared by behaviors and attitudes at work, such as leader-
individuals of a human group, which in turn influ- ship, motivation, or the behavior and relationships
ences individuals’ behavior and social relation- between members and how these factors affect the
E
ships (Hofstede 1980, 2001). The interactive level of entrepreneurship in any given society.
aggregate of common characteristics that influ- Hofstede’s model of cultural dimensions
ences a group’s response to its environment is serves as the basis for theoretical and empirical
what distinguishes one group from another. research over the past 30 years on how national
The main driving force of national culture is its culture influences business and management
values. Cultural values determine which behavior is (Hofstede 1980, 1993, 2001). The first four
appropriate, thus influencing an individual’s choice. dimensions of the model were initially detected
The result is persistent differences in human behav- through a comparison of the values of similar
ior in different countries. Consequently, when peo- people (more than 100,000 employees and man-
ple establish organizations, the characteristics of agers) in 64 national subsidiaries of the IBM Cor-
these organizations reflect the people’s cultural poration (Hofstede 1980). People working for the
values. Against this backdrop, cultural factors same multinational, but in different countries,
exert an influence on entrepreneurship – a process represent well-matched samples from the
that involves identifying an opportunity, developing populations of their countries, similar in all
a business concept, acquiring the necessary respects except nationality. The following is a
resources to implement the concept, and then man- description of the four cultural dimensions
aging the venture to reap benefits. represented in the model and their relationships
Numerous studies have linked national culture with entrepreneurship.
to the strategic decision-making process that occurs
within entrepreneurial organizations, particularly Power Distance
the cultural dimensions that contribute to entrepre- Power distance describes the degree “to which
neurship. This endeavor has highlighted the impor- less powerful members of institutions and organi-
tance of sociocultural variables in explaining zations within a country expect and accept that
variations in entrepreneurship and economic devel- power is distributed unequally” (Hofstede 2001,
opment. Research interest has focused on under- p. 98). This dimension measures how far inequal-
standing the influence of national cultural values on ity is accepted by a culture.
the individual entrepreneur as well as the cultural Cultures with a high score in power distance
variables in explaining variations in entrepreneurial show existential inequality between the superior
motivation, orientation, and behavior across coun- and the subordinate. A high power distant organi-
tries. If different cultures possess different attitudes zation will most likely use formal forms of
toward entrepreneurship, then it follows that cer- address or those that reflect status differences.
tain cultures engender more entrepreneurial behav- Such organizations centralize power in a few
ior than others. hands as much as possible. Inequality is an inher-
The issue of what cultural aspects impact entre- ent feature of society, so it accepts and expects
preneurial behavior is examined empirically most more powerful individuals to possess certain priv-
often on the basis of Hofstede’s model (1980). ileges. High power distance countries include
Hofstede contends that a nation is a social system China with a power distance index (PDI) of
which has its own culture – legal, educational, and 90, Russia (PDI: 93), and Malaysia (PDI: 104)
political systems, which serves as a vehicle for (Hofstede 2001).
860 Entrepreneurship and National Culture (According to Hofstede’s Model)
In contrast, low power distance cultures accept level of tolerance for change and ambiguity and
that power be distributed equally. Equality is val- accept and often embrace the risks associated with
ued and those with more power or status should an uncertain future. In societies with low uncer-
not act in ways that call attention to their advan- tainty avoidance, organizational rules can be vio-
tages. Hierarchies are not as firmly established lated for pragmatic reasons. Conflicts and
compared to high power distance cultures. Cul- ambiguous situations constitute a natural part of
tures with a low power distance index include life in an organization. The United States (UAI:
Austria (PDI: 11), Norway (PDI: 31), and the 46), Malaysia (UAI: 36), and South Africa (UAI:
United States (PDI: 40) (Hofstede 2001). 49) are examples of low uncertain avoidance soci-
Mitchell et al. (2000) contend that high power eties (Hofstede 2001).
distance has a negative effect on venture creation. Low uncertainty avoidance cultures are inter-
Their argument is based on the fact that in such ested in exploring new ways of doing things,
societies, individuals from the lower classes may although this necessarily implies some level of
consider firm creation to be restricted to the elites – uncertainty. Individuals in these cultures are
individuals who have access to both the necessary more ready to assume risks and exploit any oppor-
resources and experience. Consequently, the major- tunities they can identify in their environment,
ity of the population outside this small group of even in situations where information is limited
elites will fail to develop valid cognitive schemas (Busenitz and Lau 1996). All these behaviors
either for evaluating environmental opportunities or create an atmosphere where the members of
for undertaking entrepreneurial ventures. Further, these cultures are inclined to manifest more entre-
since entrepreneurs have high needs for achieve- preneurial inclinations.
ment and independence, Hofstede (1980) found
that power distance negatively correlated with a Individualism and Collectivism
belief in the importance of independence. This dimension of culture describes “the relation-
ship between the individual and the collectivity
Uncertainty Avoidance which prevails in a given society” (Hofstede
Uncertainty avoidance refers to “the extent to 2001, p. 209). The individualism-collectivism
which the members of a culture feel threatened dimension shows whether the interests of an indi-
by uncertain or unknown situations” (Hofstede vidual or a group are more important. According
2001, p. 161). This dimension measures the extent to this dimension, all cultures can be characterized
to which members of a culture fear uncertain or by the strength of social forces, which bring indi-
unknown situations, reflecting the society’s intol- viduals together to form social entities.
erance of ambiguity and uncertainty. Individualism is the degree to which people in
Strong uncertainty avoidance countries typically a country prefer to act as individuals rather than as
feel threatened by ambiguous situations and design members of groups. Individualistic societies are
ways to reduce their stress and fear of the unknown. characterized by an emphasis on individual initia-
The stress resulting from uncertainty leads to the tive, self-sufficiency and control, and the pursuit
need to adopt formal rules and to be less tolerant of of individual goals that may or may not be con-
people, groups, or ideas that diverge from already sistent with in-group goals or achievement. In an
familiar models. Individuals fear failure in these individualistic environment, people are motivated
societies, and consequently, their members avoid by self-interest and achievement of personal
undertaking risks. Examples of countries with a goals. They are hesitant to contribute to collec-
relatively high uncertainty avoidance index (UAI) tive action unless their own efforts are recog-
include Argentina (UAI: 86), Turkey (UAI: 85), and nized, preferring instead to benefit from the
Italy (UAI: 75) (Hofstede 2001). efforts of others. Examples are the United States
Low uncertainty avoidance societies fully (IDV: 91), Canada (IDV: 80), and New Zealand
accept uncertainty. Such countries exhibit a higher (IDV: 79).
Entrepreneurship and National Culture (According to Hofstede’s Model) 861
On the contrary, people in collectivistic socie- Asian cultures that are more collective and rela-
ties are connected to each other through strong and tionship oriented than Western cultures, entrepre-
cohesive groups that protect them during their neurship may be more of a family or group
lives. It is assumed that people are loyal to these emphasis than on individual endeavor.
groups. In collectivistic cultures, there is a
communal-based regulation of society. People con- Masculinity and Femininity
nect their identity with groups more than with other This dimension reflects a culture’s dominant values
characteristics of personality. Collectivism with respect to achievement, recognition, compet-
involves the subordination of personal interests to itiveness, and interpersonal relationships (Hofstede
the goals of the larger work group; an emphasis on 2001). Masculinity-femininity shows to what
E
sharing, cooperation, and group harmony; a con- extent a culture is dominated by such masculine
cern with group welfare; and hostility toward out- values as orientation toward achievement and com-
group members. Collectivists believe that they are petition. The detection of self-assertiveness and
an indispensable part of the group and will readily other “masculine” values, such as independence
contribute without concern for advantage being and career, refer to masculinity, while discretion,
taken of them or for whether others are doing tolerance, and solidarity describe feminine behav-
their part. They feel personally responsible for the ior. Hofstede (2001) describes a masculine culture
group product and are oriented toward sharing as one in which “people live to work” (longer work
group rewards. Countries with a relatively low hours and short vacations) and a feminine culture
index of individualism include China (IDV: 20), as one in which “people work to live” (longer
the Philippines (IDV: 32), and Indonesia (IDV: 14). vacations and flexible working hours).
Recent research on entrepreneurship has Masculinity as one pole of this cultural dimen-
mostly focused on the issue of the role of individ- sion is highlighted in societies where the social
ualism and collectivism. Individualism- gender roles are clear: men are supposed to be
collectivism seems to be one of the more salient assertive, tough, and oriented toward material suc-
dimensions of culture insofar as entrepreneurship cess. Masculine societies are aggressive and task
is concerned. It is suggested that of all the ele- and performance oriented, with many occupations
ments necessary for successful entrepreneurship, typically considered gender specific. In a masculine
the independent entrepreneur is the most critical. society, challenge, advancement, and the accumula-
Individual autonomy and a sense of ownership of tion of money are important. Countries with a rela-
innovation encourage the risk taking and persis- tively high MAS score are Japan (MAS: 95), Italy
tence required for entrepreneurship. (MAS: 70), and Ireland (MAS: 68) (Hofstede 2001).
Therefore, in individualistic cultures, entrepre- Femininity, on the other hand, characterizes
neurship is valued and encouraged by the society societies in which the social gender roles overlap:
since the entrepreneurial individuals usually show both men and women are assumed to be modest,
high levels of personal confidence, initiative, and sensitive, and concerned about the quality of life.
courage. For example, individualism is an intrinsic Feminine societies are characterized by an empha-
aspect of American culture, which helps to explain sis on relationships and social interactions. Eco-
the relatively intensive amount of independent nomic growth may not necessarily be the primary
entrepreneurial activity in the United States. concern of the society. In a feminine culture, a
In collectivist societies, both private property friendly atmosphere, job security, and cooperation
and the protection of individuals’ ideas are limited. are paramount. Such countries include Spain
In these societies, in which collective economic (MAS: 42), Thailand (MAS: 34), and Portugal
activity predominates, there may be fewer oppor- (MAS: 31) (Hofstede 2001).
tunities for individuals to develop the capabilities Masculinity of a society refers to assertiveness,
and skills needed to create new firms. However, it competitiveness, and achievements. The Western
should also be pointed out that in the context of concept of the entrepreneur follows the “hero”
862 Entrepreneurship and Small Business
metaphor. It is argued that without the visionary Cross-References

leadership and persistence demonstrated by this
individual, little will be accomplished. In mascu- ▶ Creativity Across Cultures
line countries, individuals are taught to appreciate ▶ Creativity and Confucianism (Asian Culture)
strong and independent heroes who personify ▶ Entrepreneurship in International Context
superiority (Steensma et al. 2000). These cultures ▶ Environmental Determinants of Entrepreneurship
view failure as a sign of mediocrity, so the need for
achievement intensifies. Conversely, individuals
from feminine countries tend to be less aggressive References
and assertive as they are taught by their societies to
seek mutual gain (Hofstede 2001). With these Busenitz LW, Lau CM. A cross-cultural cognitive model of
new venture creation. Entrep Theory Pract.
arguments, masculine cultures are associated with
1996;20(4):25–39.
more entrepreneurial behavior – the higher the Hofstede G. Culture’s consequences: international differ-
masculinity level in a particular area, the higher ences in work-related values. Beverly Hills: Sage;
the level of entrepreneurial behavior. 1980.
Hofstede G. Cultural constraints in management theories.
Acad Manag Exec. 1993;7(1):81–94.
Hofstede G. Culture’s consequences. Thousand Oaks:
Conclusion and Future Directions Sage Publications; 2001.
Hofstede G, Minkov M. Long- versus short-term orienta-
tion: new perspectives. Asia Pac Bus Rev.
Generally, cultural values identified with the classi-
2010;16(4):493–504.
cal Hofstede’s four-dimensional model and associ- Hofstede G, Hofstede GJ, Minkov M. Cultures and orga-
ated with entrepreneurship are high power distance, nizations: software of the mind. New York: McGraw-
high individualism, low uncertainty avoidance, and Hill; 2010.
House R. Understanding cultures and implicit leadership
high masculinity (McGrath et al. 1992; Swierczek
theories across the globe: an introduction to project
and Quang 2004). Countries with these features are GLOBE. J World Bus. 2002;37(1):3–10.
more entrepreneurial (entrepreneurship rates McGrath RG, MacMillan IC, Scheinberg S. Elitists, risk-
defined as the percentage of new business owners takers, and rugged individualists? An exploratory
analysis of cultural differences between entrepre-
in a country). The classical model of the four cul-
neurs and non-entrepreneurs. J Bus Ventur.
tural dimensions has been further developed for the 1992;7:115–35.
last three decades. A fifth dimension, long-term Mitchell RK, Smith B, Seawright KW, Morse EA. Cross-
orientation (LTO), was added in 1991 based on cultural cognitions and the venture creation decision.
Acad Manag J. 2000;43(5):974–93.
research by Michael Bond (Hofstede 2001) and
Schwartz SH, Sagiv L. Identifying culture-specifics in the
modified later (Hofstede and Minkov 2010). content and structure of values. J Cross-Cult Psychol.
Hofstede et al. (2010) then added a sixth dimension, 1995;26(1):92–116.
indulgence versus restraint. There are also several Steensma HK, Marino L, Weaver KM. Attitudes toward
cooperative strategies: a cross-cultural analysis of
other models of cultural dimensions that have been
entrepreneurs. J Int Bus Stud. 2000;31:591–609.
suggested in contemporary publications, e.g., Swierczek FW, Quang T. Entrepreneurial cultures in Asia:
Schwartz and Sagiv (1995), Trompenaars and business policy or cultural imperative. J Enterp Cult.
Hampden-Turner (1998), and House (2002). How- 2004;12(2):127–45.
Trompenaars F, Hampden-Turner C. Riding the waves of
ever, within a global context of entrepreneurship,
culture: understanding diversity in business. Chicago:
there are still contradictive findings published in the McGraw-Hill; 1998.
literature and a limited understanding of the extent
of a particular culture’s influence on entrepreneur-
ship and entrepreneurial behavior. There is a need
for further examination of the relationship between
cultural characteristics and individual and organi- Entrepreneurship and Small
zational opportunity-seeking propensities and the Business
peculiarities of venture-creation decisions across
cultures. ▶ Entrepreneurship and Business Growth
Entrepreneurship and Small Business Agility 863
organization – pursues an opportunity under spe-

Entrepreneurship and Small cific resources constraints (Stevenson and Jarillo
Business Agility 1990). In other words, it is the process by which
an individual tests and investigates his ideas
Redouane Barzi (Basso 2004; Bouchard 2009), whether in a new
Ecole Nationale de Commerce et Gestion, context, in case of a new business start-up or in an
Université Ibn Tofail, Kenitra, Morocco existing context, when a company already exists,
also called “corporate entrepreneurship” (Shane
Synonyms and Venkataraman 2000).
E
Organizational behavior; Strategic management Factors Encouraging Entrepreneurship
Several factors contribute to the development of
entrepreneurship. Some authors propose models
Definition and Role of Entrepreneurship emphasizing individual, group, and\or environ-
mental factors. Others defend models integrating
Since the first definition of entrepreneurship by organizational theory and strategic management.
Cantillon in 1755, this concept has evolved and been As an example, Covin and Slevin (1991) stud-
defined differently by various scholars depending on ied the processes, practices, and activities of
their specific fields of studies: risk bearing, manage- decision-making process that lead to the creation
ment, innovation, decision-making, profitability, of new business. They were inspired by the works
opportunity seeking, and enterprising individuals. of Miller (1983) and highlighted entrepreneur’s
However, besides this heterogeneity in entrepreneur- orientation toward risk taking, innovation, and
ship definition, there is a wide consensus about entre- proactivity. Lumpkin and Dess (1996) underline
preneurship’s importance in economic development. the role of competitive aggressiveness and auton-
For example, the Schumpeterian approach states that omy in the entrepreneurship orientation. As such,
entrepreneurship is a dynamic process of identifying Basso et al. (2009) think that competitive aggres-
economic opportunities and acting upon them by siveness corresponds to proactivity and that
developing, producing, and selling goods and ser- autonomy is integrated into risk taking.
vices. Kirzner approach stresses that entrepreneurship Schindehutte et al. (2000) underline the dynamic
brings stability to the economic system. character of factors nurturing entrepreneurship. The
Entrepreneurship becomes crucial, especially dynamic interaction between managers’ characteris-
for small- and medium-sized enterprises (SMEs), tics, employees, company, and external environ-
because all governments worldwide recognize the ment influences the entrepreneurship orientation.
importance of SMEs and their contribution to Other studies underscore the influence of national
economic growth, social cohesion, employment, culture on the entrepreneurship orientation (Kreiser
and local development. et al. 2010).
Therefore, a serious attention has to be paid to
entrepreneurship in SMEs, mainly in environments Different Facets of Entrepreneurship
characterized by high uncertainty. In such context, Sharma and Chrisman (1999) explain that entre-
agility becomes a strategic and organizational asset preneurship can be studied according to several
that managers have to develop, maintain, and aspects. Indeed, Stevenson and Jarillo (1990) con-
enhance over time. sider entrepreneurship from the point of view of
entrepreneurial management. They define it
Entrepreneurship: Characteristics and according to six dimensions: strategic orientation,
Specificities pursuit of opportunity, resource management,
resource orientation, management structure, and
Definition reward philosophy. Brown et al. (2001) add two
Entrepreneurship can be defined as a process by other dimensions to entrepreneurial management:
which an individual – for his own purpose or in an growth orientation and entrepreneurial culture.
864 Entrepreneurship and Small Business Agility
Entrepreneurship can also be considered from a individual ability to identify and manage contingen-
strategic management view (Ferreira 2001). Entre- cies in order to realize the expected results. So, it
preneurial strategy depends essentially on the com- considers more risks and losses than return on
pany life cycle, entrepreneur characteristics investment.
(abilities, values, belief system, and network), and
external environment, but its influence is according
to Ferreira of lesser impact. Holt et al. (2007) Agility as an Entrepreneurial Objective
disagree with this conclusion and demonstrate in SMEs
that contextual and process variables influence
entrepreneurial orientation more than individual A deeper knowledge of mechanisms and process
characteristics. leading to entrepreneurship is highly important in
Manimala et al. (2005) propose a model of dynamic and uncertain environment, such as the
organizational design for innovations. They stress one we are living in currently. According to
on the importance of organization and its factors Kuratko and Audretsch (2009: 1), “The twenty-
(training, time, available resources) but also under- first century business atmosphere can be charac-
line the importance of entrepreneur’s characteris- terized in terms of a new competitive landscape
tics (knowledge, education) and management that encompasses increasing risk, decreased ability
policy (rewards, motivation) to pursue an innova- to forcast, fluid firm and industry boundaries, new
tive project. structural forms, and an innovative mindset. [. . .]
In their model “Corporate Entrepreneurship No organisation is immune to the immense pres-
Strategy” (CES), Ireland et al. (2009) think that sure of these forces.” In such context, agility can be
the individual entrepreneurial cognitions and a strategic and organizational asset, a sustainable
external environment conditions can activate an competitive advantage, especially for SMEs which
entrepreneurial strategy. They support that this are more sensitive to environmental fluctuations.
strategy is based on three elements: entrepreneur-
ial strategic vision, pro-entrepreneurial organiza- Definition
tional architecture, and entrepreneurial behavior Agility is a military concept derived from the field
and process. of aircraft combat (Richards 1996). Today, it is the
Chang (1998) presents another model of entre- capacity of a company to grow within a changing
preneurship, in which he makes a distinction environment characterized by frequent variation
between intrapreneurship (within the organization) in consumers’ needs and requirements (Breu et al.
and exopreneurship (external to the organization). 2001; Yusuf et al. 1999; Badot 1997).
Agility covers various areas such as the agility
Main Approaches of Entrepreneurship of competitors (Goldman et al. 1995), supply
Several studies about entrepreneurship are mainly chain agility (Christopher 2000; Lin et al. 2006;
interested in the results. This approach, called Paché 2006), agility of business relationships
“causation,” brings a particular attention about (Preiss et al. 1996; Morgan 2004), agility of deci-
the purposes and objectives to achieve. It is to sion support systems (Huang 1999), and human
note here that an entrepreneur may follow several resources agility (Forsythe 1997; Breu et al. 2001;
purposes (Markman and Baron 2003; Redien- Chonko and Jones 2005). Its attributes are differ-
Collot 2006). ent according to its field of practice.
However, Sarasvathy (2001) reveals that the
entrepreneurship can also be studied through its Agility Attributes
processes and its effective modes of implementa- Bessant et al. (2001, 1998), which have studied
tion. This approach, called “effectuation,” is more agility in English SMEs, stress the creation of
interested by the deployment of entrepreneurial strategic partnerships and networks in order to
activities or to the available means to reach given develop dynamic capabilities and a long-term
results than by the end results. It is concerned by the agility. Coronado (2003) shows the importance
Entrepreneurship and Small Business Agility 865
of information systems in the agility of industrial making of entrepreneurs and the implementation
SMEs, particularly within the production process. of their strategic choices. Entrepreneurs are better
Barzi (2011) defines the agility of the SMEs informed about the market and its opportunities
through four main dimensions: flexibility, reactiv- and have deep knowledge about the resources to
ity, differentiation, and proximity. Their attributes acquire and the skills to develop internally to meet
are presented in the following chart (Table 1). these market’s opportunities.
Barzi (2011) emphasizes that proximity is the
cornerstone of SMEs agility because it feeds the
other dimensions. It strengthens customer and Conclusion and Future Directions
staff relationships by creating a new way of com-
E
munication more appropriate for quick decision- The dynamic forces that characterize today’s envi-
making. All these four dimensions are in contin- ronment call for a new organization and new
uous interaction between each other that lead ulti- management of SMEs. Entrepreneurs should
mately to a more progressive and incremental change their way of thinking and the approach
agility. which they are dealing with environment to a
Therefore, the relationship between entrepre- better understanding of the market place. As an
neurship and agility is very tight and complemen- entrepreneurial objective, agility provides SMEs’
tary. On one side, entrepreneurship enhances managers the flexibility, the reactivity, the differ-
agility because all the decisions and the actions entiation, and the proximity to compete effec-
taken by entrepreneurs should aim for the tively in hostile environment. It has to be an
improvement of their company’s agility to better ongoing process, a continuous improvement pro-
meet the needs and the expectations of the market. gram to meet the ever changing needs of today’s
On the other side, agility facilitates the decision- customers.
Entrepreneurship and Small Business Agility, Table 1 Attributes of SMEs agility

Dimensions of agility Factors of agility Attributes
Proximity (relationship, cultural, Flexibility Human resources Continuing training
geographical, hierarchical) orientation Versatile HR
HR availability
Staff participation
Strong interpersonal
relationship
Good communication
manager/staff
Interenterprises teams
Reasonable Careful investment
ambitions Firm reasonable size
Flexible production
Differentiation Customer Good relationship – CRM
orientation Customer loyalty
Excellent services
Creativity New products
orientation Creation of needs
Reactivity Commitment Short production and
deadline delivery deadline
Quick satisfaction of needs
Easy Nonformal choices
makingstrategies Medium-term choices
866 Entrepreneurship and Small Business Agility
Future studies will investigate possible differ- Christopher M. The agile supply chain: competing in vol-
ences related to agile attributes between compa- atile markets. Ind Mark Manag. 2000;29(1):37–44.
Coronado AE. A framework to enhance manufacturing
nies of different sizes and sectors. agility using information systems in SMEs. Ind
Manag Data Syst. 2003;103(5):310–23.
Covin J, Slevin D. A conceptual model of entrepreneurship
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▶ Creativity and Innovation: What Is the mation infrastructure. Hum Fact Ergon Manuf.
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▶ Creativity from Design and Innovation virtual organizations: strategies for enriching the cus-
Perspectives tomer. New York: Van Nostrand Reinhold; 1995.
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▶ Individual Determinants of Entrepreneurship 2007;13(4):40–54.
▶ Innovation Systems and Entrepreneurship Huang CC. An agile approach to logical network analysis
▶ Open Innovation and Entrepreneurship in decision support systems. Decis Support Syst.
1999;25(1):53–70.
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Entrepreneurship and Social Inclusion 867
Richards CW. Agile manufacturing: beyond lean? Prod innumerable. While this entry’s purpose is, on one
Invent Manag J. 1996;37(2):60–4. hand, to be synthetic and positive about the cur-
Sarasvathy SD. Causation and effectuation: toward a the-
oretical shift from economic inevitability to entrepre- rent body of knowledge of this important emerg-
neurial contingency. Acad Manag Rev. 2001;26(2): ing discipline, on the other hand, it also wants to
243–63. serve as a jumping board for further developments
Schindehutte M, Morris MH, Kuratko DF. Triggering and critical inquiry and is necessarily interpretive,
events, corporate entrepreneurship and marketing func-
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Shane S, Venkataraman S. The promise of entrepreneur- justice to the challenging complexities and multi-
ship as a field of research. Acad Manag Rev. ple dimensions of this field of study as well as its
2000;25:217–26. praxis, this entry advocates an admittedly integra-
Sharma P, Chrisman JJ. Toward a reconciliation of the E
definitional issues in the field of corporate entrepre- tive and decidedly large definition for the analysis
neurship. Entrepr Theory Pract. 1999;23(3):11–27. at hand:
Stevenson HH, Jarillo JC. A paradigm of entrepreneurship: Social entrepreneurship means creating public
entrepreneurial management. Strateg Manag value with private means to reconcile the paradig-
J. 1990;11:17–27.
Yusuf YY, Sarhadi M, Gunasekaran A. Agile manufactur- matic imperative with the pragmatic challenge of
ing: the drivers, concepts and attributes. Int J Prod postcapitalist society.
Econ. 1999;62(1/2):33–43. While arguable, this is however quite a sweep-
ing definition and does not matter-of-factly
include several other, more remotely related
notions, such as social corporate responsibility,
Entrepreneurship and Social intrapreneurship, or generic creativity (i.e.,
Inclusion uncommercializable innovation at the level or
art, culture, and craft). Social corporate responsi-
Jonatan Jelen1 and Eric Michael Laviolette2 bility typically remains a function of organiza-
1
Parsons The New School for Design, New York, tional managers, paid researchers, and largely
NY, USA ethical and moral, socially required standards. It
2
Novancia Business School Paris, Paris, France does not seem to possess the qualities of socio-
centric and capital-agnostic, genuinely generative
human individuals or small groups, but merely
Synonyms frames the self-preservative contingent and sys-
temic ambitions of firms (as a priori constructed
Social entrepreneurship; Social ventures; Society and consequently volatile systems) vis-à-vis their
and entrepreneurship environment: they want to be more sustainable
situationally and relationally. On the other hand,
intrapreneurship also, while it may very well
Introduction express creative, innovative, and potentially
socially beneficial intentions, remains confined
Over the first decade of the new millennium, to the profitability-centric organizational realm,
academicians, professionals, and the media have resulting in protected, private, and proprietary
attempted to make tangible the practice of entre- intellectual property. And finally, if our goal is to
preneurs – and the notion of entrepreneurship – collect and transmit epistemic and ontological
with a socially inclusive perspective via the spe- knowledge about the branch of social entrepre-
cific terminology of “social entrepreneur(ship)” neurship as a learnable, practicable, and impactful
(for some representative reviews, see Alvord discipline for future generations, we cannot be
et al. 2004; Paredo and McLean 2006; Guzmán satisfied with mere induction based on laudable,
and Trujillo 2008; Matei and Sandu 2010; noble, yet singular events or actions. To become
Granados et al. 2011; Desa 2012). The ensuing learnable by individuals and for those individuals
proposed variants of more precise definitions are to be developed, to be adopted and adapted, to
868 Entrepreneurship and Social Inclusion
become praxis, it needs to transcend the stage of Entrepreneurship and Social Inclusion,
perpetual practice (as in “practicing,” trying, Table 1 Samuelson’s type of goods
experimenting). While it may always retain Excludable Nonexcludable
some facet of art, it also needs to become science. Rivalrous Private goods: Common goods
Food, clothing, (common-pool
toys, furniture, resources): Fish,
cars hunting game,
The “Social” Element of Value Creation water, air
in “Social Entrepreneurship” Nonrivalrous Club goods: Public goods:
Cable television National defense,
Venturing by individuals or groups of individuals free-to-air
television
for the benefit of the public is neither a recent
phenomenon nor is it a spectacularly novel idea.
Already at the dawn of early, even primitive, com- excludable). Table 1 below illustrates that typol-
munities or social groups, producing for others in ogy (Samuelson 1954).
the community was necessary, acceptable, and While the paradigm of private goods is essentially
right out desirable. Societies are constructed organ- captured by traditional so-called egocentric entrepre-
isms, partly a consequence of evolutionary and neurship, it is the remaining three quadrants that
behavioral processes to overcome the limitations have always motivated the sociocentric social entre-
of mere subsistence level survival and preneur. Historically, these three paradigms suffered
unsustainable self-preservation violence, partly a an inherent imbalance due to underproduction and
cognitive construct of leveraging individual idio- overconsumption as well as incentives for social
syncrasies, specialization, and exchange of the loafing and free riding, thus giving rise to market
resulting excess production. But societies do not imperfections. This was antithetical and hard to rec-
only have or need an economic dimension to sus- oncile with the basis of perfectly competitive mar-
tain themselves materially. They also need a socio- kets under assumed conditions of full information,
political sphere to maintain them ethically, morally, rationality, transitivity, self-interested benefit maxi-
and possibly spiritually. The latter inspires the mizing, and positional optimizing, their converging
norms of the first and the previous provides the forces toward equilibrium and Schumpeterian “cre-
resources to nurture and cultivate the second. More ative destruction” resulting in the only viable alter-
importantly and more precisely, the economic native of monopolistic competition. Then, presently,
sphere is itself a multidimensional construct. these three nonprivate paradigms have reemerged
with a vengeance as increasingly complex and com-
The Challenge of Social Economic Goods plicating social systems demonstrate a consumptive
In fact, economic goods are defined by the two insatiability of social goods. We increasingly
dimensions: rivalry (not enough to go around for demand the provision of precisely those nonrivalrous
everyone’s insatiable consumption) and exclud- and nonexcludable public goods (e.g., information,
ability (while used by someone, it cannot be air, and sunshine), nonrivalrous and excludable
used (any longer) by others). The resulting common-pool resources (energy and other natural
famous construct is that of private goods such as resources), and, the most resource-hungry category
typical normal or luxury goods, that is, objects of of them all: rivalrous, nonexcludable impure public
individual consumption (both rivalrous and goods (transportation infrastructure, education, utili-
excludable), public goods such as sunshine and ties, health care, security). And finally, for the future,
air (neither rivalrous nor excludable), impure pub- the material criticality has dramatically surged as a
lic goods such as information and infrastructure consequence of the information technology
goods and utilities (rivalrous but not excludable), advances of the past three decades. Making the
and common-pool resources or club goods such as transition from a predominantly transactional indus-
intellectual property or natural resources upon trial economy, that favored the acquisition of goods
discovery and appropriation (not rivalrous but and services for immediate depreciative
consumption, to a transformational “experience” Zuckerberg’s controversial market penetration

economy promoted through intangibles and percep- attempts with Facebook in China may squeeze a
tions, pluralizing societies have seen their delicate muse or foster admiration. Yet they are precisely
interplay between consumptive and productive pat- the kind of sociocentric purpose that qualifies a
terns shift, intensify and become complicated at an social entrepreneur. While it is certainly not unwise
unprecedented velocity. The result is prosumers and to want to solve or mostly – at best “satisficingly” –
coproducers, unhinging the traditional notions of resolve socioeconomic problems, or address social
economic interactions: scarcity becomes abundance, “bads” or even contribute to lower socially contro-
effectives replaces efficiency, immediacy outdoes versial negative externalities or aspire to increase
measured response, accessibility destroys control, positive externalities. At the same time, it remains
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purpose must precede objectives, context imports that social entrepreneurship cannot be merely reac-
over content, and appreciation of intellectual capital tive in responding to perceived dissonance and
eclipses depreciation of produced capital. Such par- discord between current state and desirable state.
adigm shifts will require solutions above and beyond In doing so, they may and have, for that matter,
the current paradigm of the invisible hand, self- often created additional problems: starting a stray
organizing markets, benign self-interest, and gener- pet-care facility may lead to more stray pets if
ally self-structuring organic systems. At different society now knows it can rely on someone else’s
times and in different settings, these issues were conscience for stray pets. To qualify as a social
being addressed with solutions of varied and entrepreneur, one must possess the attributes
questionable success, ranging from corruptively and capabilities to see society in a complete
inefficient statism to inadequately effective and complex context. That in turn requires vision,
community-based peer production; some were polit- the ability to conceive a future so vivid and tangi-
ically fragile models based on local taxation for the ble, emphatically and passionately communicable
provision of municipal services, and then recently, and communicated to others that it will result in
more mission-centric nonprofit models to provide movement toward that future, typically referred to
what would be considered “public goods” became as leadership ability. But while conventional defi-
popular. Enter “social entrepreneurship,” the panacea nitions of leadership are centered about the person-
destined to reconcile the competing objectives inher- ality or the character of a particular person, the
ent in the pursuit of social value through economic leadership necessary here is not based on such
means. Therein lies the positioning potential but also personality cult or on demagogy nor moral coer-
the positioning dilemma of the social entrepreneur. cion. It is the “leadership from behind” or the
leadership effect that defines the motion toward
The Role of the Social Entrepreneur in the vision. To become charisma independent in
Responding to the Challenge of Social turn, this type of leadership effect supposes a mis-
Economic Goods sion so compelling that it in fact displaces the
It remains to make operational the social aspect of leader. Inasmuch, the social entrepreneur’s social
social entrepreneurship on the three main constitu- dimension is ultimately defined by a transforma-
ents of a value-creating business model, purpose, tional ambition, far beyond the mere transactional
process, and product, commonly referred to as ambition of the simple social problem solver.
strategy. Transformational leadership as a defining compo-
nent of the social entrepreneur thus requires him or
The Outrageous Purpose: Transformational Value her to also think as a social designer, a game
Propositions Defined by Vision, Mission, and changer, and critical dreamer: it will take not only
Leadership the ability to propose value with a solution, but it
While some exaggerated claims of Google’s Sergey will also require the attributes of courage and pas-
Brin and Larry Page, for example, to want to dom- sion to architect entirely new contexts and think
inate the world of knowledge or readying itself to ontologically and normatively about the course of
challenge oppressive political systems, or Mark society. This is a tall order!
The Unconventional Process: Path and Progress in context by even merely periodically focusing on
the Eye of Adversity some “internality,” be it the tangible outcome of
• Managers make decisions – social entrepreneurs product or service or the organization of plans,
make choices. While there is no point in glorify- humans, and capital to implement it. The out-
ing the heroism, persistence, or crisis competen- come of social entrepreneurship can and should
cies usually attributed to entrepreneurs, it is therefore be shifting perpetually as social posi-
important to point out that social entrepreneurs tions do. The product is not specific tangibles,
cannot be restricted to being resource minded, experiences, and transactions; the product is
optimizing, or economizing risk minimizers. As impact to society. Their product can only be
such, managers typically identify if some disso- more social entrepreneurship, more social
nance can be addressed as part of the problem, innovation opportunities, and generating, devel-
part of the solution, or part of the landscape. oping, and educating more social value
Unlike the confines of the organization, however, creation-minded individuals. By definition,
society at large is forged by competing value their innovation is open, their intellectual capital
systems, shared cultural interpretations, and his- is shared or at least made accessible, and their
torically shaped, inert rituals. Prospectors, those value is not determined by the hierarchy they
desiring change and competent to effect it have built, but by the network they extended and the
more in mind than solving or resolving problems amount of connections they can nurture and
at hand. In Ackoff’s paradigm (Ackoff 1978), cultivate. Maximizing social impacts is only
they are destined to “dissolve” such situations possible by increasing the rate at which new
previously perceived as problematic by (1) mov- social entrepreneurs are developed. Thus, social
ing the entire landscape or (2) becoming the entrepreneurs do not build organization hierar-
landscape itself. Those are choices. Unlike deci- chies; they perpetuate a “pyramid scheme.”
sions, choices are not limited by endless infor- • Traditional entrepreneurs produce, consumers
mation collection, data analysis and evaluation, consume. Social entrepreneurs both coproduce
and risk assessment. While respecting available and prosume. Analogous to Peter Drucker’s
information, choices are also and more impor- proposition in the Post-Capitalist Society
tantly action centric. Inasmuch, social entrepre- (Drucker 1994), where today’s knowledge
neurs are qualified by their action bias and give society is by definition socialist since the
true meaning to the synonym “action plan” for knowledge workers not only are the productive
the term strategy. resources. These knowledge workers also own
• Social entrepreneurship is a mindset, while the productive resources through investments
traditional entrepreneurship is a phase in an and pension funds mediated by the public
entrepreneur’s life. Traditional entrepreneurs financial markets, social entrepreneurship is
start with a project, aspire to operationalize it, truly social because not only are its intent and
eventually become managers, and lastly possi- outcome social but so are its vehicles and tools
bly insider shareholders in their own company. of production, represented by the social net-
If they deviate, we may call them unsuccessful works implicating the very receivers of the
or label them “serial entrepreneurs.” Social social benefits in the production of these
entrepreneurs are perpetual. very – indeed their own – benefits.
The Product: Social Value + Social Benefit ¼ Social

Impact The “Entrepreneurial” Element of Value
• Traditional entrepreneurs build products and Creation in “Social Entrepreneurship”
organizations – social entrepreneurs create
movements and networks. Resource-agnostic, Peter Drucker’s notion of social entrepreneurship
action-biased, social value proposition-driven, for a “not-for-profit twenty-first century” proves
sociocentric, transformational individuals or too restrictive today (Drucker 2006). Confining
groups cannot afford to lose sight of the social social entrepreneurship to not-for-profit may have
resulted in its early demise. Fortunately, not-for- practice. It relegates social entrepreneurship to
profit really never meant not for profit. And fortu- pure craft and unsystematic artistry. Inversely,
nately, the corporate paradigm does not always rest many a venture has emerged, even excelled, and
on greedy shareholders. In the following, we ana- sometimes overwhelmed our wildest expecta-
lyze how to reconcile the pragmatic social impera- tions: Google, eBay, the Chinese Baidu, then
tive with the impractical financial challenge of Yahoo, even Amazon, Facebook, YouTube, and
financial sustainability for social entrepreneurship. MySpace, to name only the most prominent of the
day. And they did not rely on donations. In fact,
Irrelevance of the For-Profit Versus Not-For- they are all hard-core for-profit corporations
Profit Controversy for Social (Jelen 2009). Yet, the tremendous amount of
E
Entrepreneurship Models social value and social benefit, the social change,
The for-profit vs. not-for-profit controversy as to and the social transformations that resulted are
the appropriate model for financially sustaining beyond doubt, even if we yet have to find the
social ventures is grounded in an ironic historical right metrics to capture such value.
context. Some of the most famous social benefac-
tors happened to be some of the richest of the Social Entrepreneurship Cannot Be Selfish, but
original capitalist, industrialists, and elitists of Does Not Need to Be Selfless
the previous centuries. While their charities and While the Smithian notion of self-interest pro-
philanthropy created some amazing social results, nounces much smoother than it is practiced, it
their ulterior motives are questionable at best. remains a central tent to this second part of the
Maybe it was self-serving ways to cope with present analysis. While typical egocentric entre-
guilt, prevent social unrest, or genuine concern preneurial capital of the traditional kind promises
for the lower classes of society. But it was neither returns to selfish financial risk takers in a project,
social, nor was it entrepreneurial. the capital needed for social ventures does not
have to be of diametrically opposed quality as is
Social Entrepreneurship Is Neither Defined Nor presumably selfless capital of the charitable kind.
Does It Depend on Philanthropic Capital If capital is committed in the Smithian spirit of
Charitable giving, philanthropy, and donations are self-interest, respectful of all other self-interest,
indeed antithetical to social entrepreneurship. and knowingly flows to ventures that have an
They create a dependency of the purpose of a explicit intent and impact of social spillover, pos-
social venture on the whimsical availability of itive externalities, and public benefits above and
excess wealth. The focus of the social entrepre- beyond the private returns, it should leave intact
neur thus shifts from the value proposition to the social quality of the venture. Constraining
resource acquisition. It shifts from motivating social ventures to the not-for-profit version of
the network to meeting the conditions of the corporate activity reduces the incentives for pri-
giver. The conflict is further compounded by a vate patient capital to zero. But excluding social
mostly opaque process of such giving, the ensuing ventures from private patient capital is indeed
control ambitions of the giver, and the potential perverting the spirit of social value creation. On
for undue influence by the giver. Finally, even if the other hand, accommodating the definition of
one overcame the ambiguities associated with the social venture to naturally include private
charitable capital, one is left with the sheer insur- patient capital also allows us to remediate the
mountable problem of operationalizing such opacity of philanthropy. If capitalists want to
structures. That is, how does one turn these give, they will now do so as shareholders in
project-centric episodes as they are conceived by audited public corporations or auditable private
the giver into a sustainable venture, that is, a going equity firms and closed corporations with
concern as is needed by the social entrepreneur. established oversight processes. If we thus disas-
And ultimately, basing social entrepreneurship off sociate the outcomes from the early restrictive
of such charitable structures precludes it from operational definition of the social enterprise and
becoming a teachable discipline and learnable consequently leverage proven postcapitalist
frameworks of public equity ownership and himself but also for other individuals who might
patient capital – along with value-adding work- join him or her in the project. Thus, an originally
structuration models for private organizations, restricted notion is resolving graciously into a
networks, or hybrids – we can define a substan- greatly expanded model for social value-creative
tially richer and more promising set of opportuni- ventures: information-technological ingenuity as a
ties for more dynamic, more resilient, and more factor of production of the new experience econ-
effective creation of collective benefits for the omy has displaced concerns for the “old” factors
twenty-first century. volunteer-type labor and charity-like capital. Thus
became possible Yunus’ microfinance model,
From Entrepreneurship to Social Social Impact Bonds, Open Innovation originated
Entrepreneurship to Social Innovation to in the favelas of Rio De Janeiro and Sao Paolo, and
Open Innovation to Social Inclusion New Yorkers converting a defunct and
Part of the human condition, its organic predispo- decommissioned railway structure into a delightful
sition with cognition in particular, drives individ- urban green public space, the High Line.
uals and groups to be creative, innovative,
generative, and productive regardless of the qual-
ity, quantity, and immediacy of incentives. The Conclusion and Further Direction
particular quality of entrepreneurs is that they tran-
scend mere (organic) opportunism with intention At the outset, we adopted an inclusive definition
and initiative for (constructed) opportunities. Thus, for social entrepreneurship: creating public value
generally defined as a venturing process of value with private means to reconcile the paradigmatic
creation, entrepreneurship can apply equally to imperative with the pragmatic challenge of post-
generate private and public wealth. Yet, entrepre- capitalist society. Inasmuch social entrepreneur-
neurship has long been too narrowly defined, ship is distinct from governmental projects, for
taught, and normed as exclusively related to private example, that devote public means for public
wealth creation, whereas the public wealth value value creation. It is also distinct from traditional
creation was the area of state. In the postcapitalist private entrepreneurship. The latter is typically
era where state welfare is restricted because of only motivated if there exists the possibility to
political sensitivities, but moreover because of appropriate private value in excess of positive
material and resource constraints, there are grow- externalities or spillover social value that cannot
ing needs for social services that the state can no be captured by the entrepreneur. This means
longer satisfy. As a result, social exclusion is grow- retaining the public value purpose and goal of
ing in many countries, and it raises the needs for the one and the profoundly constructive, produc-
inventive ways to respond to them not only through tive, cognitive, and generative nature of the
state “intervention” but also through the creative human condition of the other. A social entrepre-
generation of new ideas and exploitation of such neur is consequently someone less concerned
opportunities by private actors. Entrepreneurship with the nobility of the support for their gen-
has often been excessively depicted as an expres- erative processes and more with the impact of
sion of liberalism with an emphasis on private their results in terms of social value creation.
property and one’s liberty to exploit the fruits of He or she will be generative of this social value
one’s work. This conception has restricted the through commercialized creativity; and he or she
social side of any venturing process. Inherently, will leverage aspirational social innovation with
all entrepreneurship is a socialization process market-economic rationality into a purposeful
through which the entrepreneur creates weak and venture and an entire sustainable system, much
strong ties to exploit an opportunity. Such network- beyond merely resolving public needs and social
ing might result in more structured and stable rela- problems, but aspiring to produce collective
tionships. In that sense, entrepreneurship is a wants, communal experiences, and common cul-
process of social inclusion for the entrepreneur tural value.
Entrepreneurship Education 873
While our focus was to develop the still popu- References

lar notion of social entrepreneurship as principally
juxtaposed to traditionally understood entrepre- Ackoff RL. The art of problem solving. New York: Wiley;
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neurship, it may soon be a futile attempt to draw
Alvord SH, Brown LD, Letts CW. Social entrepreneurship
such distinctions in the light of the obvious: our and social transformation. J Appl Behav Sci.
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dimension of unprecedented proportions in our Desa G. Social entrepreneurship: snapshots of a research
field in emergence. University of Washington. 2012.
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scarcity concerns are forcing us to think more Social Entrepreneurship Snapshots of a Research Field in
sociocentrically. We will have to learn new ways Emergence (G. Desa revised).doc. Accessed 8 Jan 2012
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intellectual resources at unprecedented scale to
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initiate social, global, and substantial change. New York: Collins; 2006.
The ingenious proposition of entrepreneurship in Granados ML, Hlupic V, Coakes E, Mohamed S. Social
general and social entrepreneurship as a business enterprise and social entrepreneurship research and
theory: a bibliometric analysis from 1991 to 2010.
model and a business mode with its explicit socio-
Soc Enterp J. 2011;7(3):198–218.
centric purpose executed via private means is to Guzmán A, Trujillo MA. Social entrepreneurship – literature
create value, to realize opportunities, and to review (emprendimiento social – revisión de la literatura).
design, initiate, and motivate contextual change Estud Gerenc. 2008;24(109):109–219. http://ssrn.com/
abstract¼1756171. Accessed 8 Jan 2012.
before crisis. In crisis, we are all entrepreneurs.
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And in social crisis, many of us quickly discover pragmatic social imperative or impractical financial chal-
their Good Samaritan side. But we do not need to lenge? Int J Entrep Innov. 2009;10(3):165–74.
strive for more good Samaritans, but rather better Matei L, Sandu C. The social enterprise: a literature review,
APAS paper No. 389. 2010. http://www.apas.admpubl.
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While such responsiveness is certainly important Paredo AM, McLean M. Social entrepreneurship: a critical
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the true nature of entrepreneurs and entrepreneur- Samuelson PA. The pure theory of public expenditure. Rev
Econ Stat. 1954;36(4):387–9.
ship is not to be merely reactive, protective, or
defensive. They are true prospectors in Myles and
Snow’s paradigm. Entrepreneurs are not limited
by opportunities resulting from accidents or inci- Entrepreneurship Education
dents. They are not confined to opportunism.
Social entrepreneurs transcend the paradigm of Jonathan Bainée
recognizing and realizing opportunities but want ENSTA ParisTech, Université Paris
to intentionally design, create, and construct 1 Panthéon-Sorbonne – France, Paris, France
opportunities in their own right.
Synonyms
Cross-References Entrepreneurial education; Entrepreneurial train-

ing; Entrepreneurship training
▶ Green Business and Entrepreneurship
▶ Green Enterprising and Green Entrepreneurs
▶ Social Capital of the Entrepreneur Entrepreneurship Education: Issues and
▶ Social Ecology Challenges
▶ Social Innovation Entrepreneurship and, thus, small- and middle-
▶ Social Networks and Entrepreneurship sized firms (SMEs) have had a growing interest
874 Entrepreneurship Education
for the past two decades, from the academic world undertake business or initiate the risk culture. Sec-
as well as from public authorities. This interest is ond, practical teaching methods of entrepreneur-
part of many economic changes. In particular, tech- ship will be analyzed, making sure to highlight the
nological change and the increasing incidence of multifaceted reality of innovative approaches and
innovation in most developed countries have actions through an international benchmark
reduced the importance of the size of the companies conducted by the PIMREP (ParisTech Innovation
in the industry and favored the development of Management Research and Education Program)
entrepreneurial activities. In addition, globalization network (PIMREP 2010, 2011) (▶ Higher Educa-
would have dragged the comparative advantages of tion and Innovation).
North American and European countries toward
knowledge-based activities, while the “knowledge-
based economy” would be relatively more condu- The Story of a Controversy: Can We Train
cive to entrepreneurship and to SMEs. to Entrepreneurship?
At the European level, the Lisbon Agenda
(2000) confirms the significance of innovation as a Historically, Myle Maces has provided the first
driver of change in the economic growth of tomor- entrepreneurship courses in Harvard in 1947
row. In this perspective, entrepreneurship can be (Katz 2003). However, the 1970s mark the true
considered as one of the main levers to operate, genesis of a plethora of actions that affects other
especially since it is part of specific contemporary schools: high schools, universities (schools of busi-
dynamics. First, researchers in economics highlight ness and engineering), and centers of entrepreneur-
the involvement of a growing number of active ship (ibid.), both nationally and internationally,
SMEs in the innovation process, particularly in the starting by Anglo-Saxon cultured countries. This
case of clusters and competitiveness clusters. More- expansion is fueled by accreditation bodies of aca-
over, the increase rate of unemployment during the demic programs that enhance the efforts to encour-
2000s, also fueled by economic and financial crisis age entrepreneurship in the design of programs,
that begun in 2007, led governments of many coun- from the mid-1990s (Adcroft et al. 2004). During
tries to ease the creation of business or to promote this particularly prolific period, two significant
self-entrepreneurship, in order to induce agents to trends have come together to shape entrepreneur-
create their own jobs. In addition, developed econ- ship education as we know it nowadays. Firstly, it
omies coped with the aging of their populations, is a process of empowerment of entrepreneurship
including company leaders, whose business will training programs: “entrepreneurship in universi-
have to find a buyer who could well manage them. ties has so far been developed as an add-on to
Furthermore, a transmission of small business on business education, first as an elective course,
five results on a bankruptcy filing within 6 years in then more courses, and finally as a concentration,
France or in Canada. major or program” (Vesper 1999). Secondly, teach-
The issues in terms of ability to manage the ing programs are subject to growing complexity, in
creation, transition, and business development are terms of teaching through theoretical approaches
primordial, both in their qualitative and quantita- and in terms of broadening perspectives.
tive dimension. It is in this context, conducive to According to this interpretative framework, it is
new needs of knowledge, that emerge entrepre- possible to distinguish several periods that stand
neurship teachings designed to inspire and enable out by their approach to entrepreneurship, which
individuals to start and to grow entrepreneurial seem to be structured around the controversy over
ventures. They can be addressed in two steps. the faculty and the opportunity to learn to under-
First, a historical approach will show how teach- take business or to initiate the culture of risk.
ings in entrepreneurship have evolved in their
implementation based on a double dynamic of “Entrepreneurs Cannot be Manufactured,
empowerment and “complication” of training pro- Only Recognised”
grams in entrepreneurship, which seems structured In early youth of entrepreneurship education, it
around the controversy over the ability to learn to has been mainly treated around the issue of
business creation. The teachings are based primar- treatment of entrepreneurship. The latter is more
ily on the testimony of successful business entre- complex and therefore wins the groundwork for a
preneurs (▶ Entrepreneur; Fiet 2000) with the aim separate discipline: “entrepreneurship is not an
to share meaningful experiences of business crea- innate quality, but a discipline of mind and action
tion and to highlight the elements of success of that can be the appanage of a great number of
these success stories. Learn from experiences students if only we train them” (Santi 2006). In
through analogies, even though each business any case, entrepreneurial skills must allow stu-
creation is – by definition – specific, may seem dents to face a new problem by drawing on a
paradoxical. It is this gap that interferes in a series heritage of knowledge and by reconstructing
of skeptical researchers against such teaching from them the elements necessary for the explo-
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practices and critical of the ability to train in ration of new solutions, although they take place
entrepreneurship. Most of the arguments are in a complex and dynamic environment. The pro-
based on the idea that the concept of entrepreneur- cess that initiates such a change of mind – which
ship education refers both to the teaching of will be only slightly challenged later – goes
know-how that are objectifiable and to teaching through a drastic evolution in the way we appre-
of skills (▶ Entrepreneurial Capability and Lead- hend entrepreneurship, at the crossroads of sev-
ership). They cover two levels of analysis. The eral factors. On the one hand, the shared sense that
first relates to the figure of the entrepreneur him- entrepreneurship education should be divided into
self, which economic literature has long strived to two approaches, both through action on the indi-
shape: attracted by risk-taking and marked by the vidual behaviors of students to stimulate innova-
need for achievement, it stands out for others by tive initiative and autonomy necessary for its
his taste for independence and deviance to the development, that through the transmission of
familiar and established. In this context, theoretical (and methodological) corpus neces-
Chaharbaghi and Willis (1998) argue that “entre- sary to analyze the essential elements of trends
preneurs cannot be manufactured, only extension or, conversely, discontinuous elements.
recognised.” The second criticism concerns the On the other hand, a process of empowerment of
deterministic and contingent dimensions of testi- training curricula for entrepreneurship is coupled
monies and more globally, of the overall teaching with programs that are getting more and more
methods mobilized. Some authors suggest that complex, in terms of theorization and in terms of
entrepreneurship takes a pattern of behavior that broadening perspectives.
is rooted within a specific context and is isolated
within that context, whereas Adcroft et al. (2004) Multiple Dynamics Overlapped and Fertilized
state that “the entrepreneur being in the right place Entrepreneurship Education
at the right time may involve elements of judge- During the 2000s, trainings in entrepreneurship
ment but also involves elements of serendipity.” are subject to multiple dynamics that overlap and
As a consequence, entrepreneurship has long been fertilize. The first of these consists in promote a
considered as non-teachable because it cannot balance between theoretical and practical lessons,
result from an optimized and infinitely reproduc- which greatly contributed to the empowerment
ible approach. and to the recognition of the entrepreneurship
education. The purpose of such theoretical
“Entrepreneurship Is not an Innate Quality, approaches, known as theory-based education
but a Discipline of Mind and Action” (Fiet 2000), was to build a consistent and struc-
It is interesting to note that these criticisms are the tured framework to maximize the probability of
seeds of a radical change in approaches to the success for entrepreneurs. Specifically, they mobi-
issue of entrepreneurship in the 2000s. Indeed, lize concepts and theories that have a clear applied
beyond several empirical studies validating the and explanatory nature, such as agency theory,
specific value of entrepreneurship training, it resource theory, or the economics of transaction
seems to be largely in response to the criticism costs (ibid.). Beyond the theoretical knowledge
that academics undertake to enrich the educational deepening that mainly concerns business schools,
876 Entrepreneurship Education
entrepreneurship trainings drastically expand the www.paristech.fr/index.php/eng/). After a study

range of topics covered, as the legal aspects (idea in 2009 on training in innovation in ParisTech
protection), technical aspects (new product devel- schools, the PIMREP conducted an international
opment, technological innovation), organizational benchmark in 2010–2011 in the same field and
aspects, marketing aspects, and especially the that is useful here. The aim was to identify trends
financial aspects (▶ Business Project; ▶ Angel and foster experience sharing between the mem-
Investors; ▶ Business Incubator) and individual bers of the network and faculties abroad. The
stimulation (negotiation, leadership). Also, the scope of this benchmark has covered eight insti-
entrepreneurship courses have not kept out of the tutions, including business schools (HEC Mon-
profound mutations of pedagogical logic, since treal, NCCU), technological institutes/universities
treatment of these last two themes went hand in (TU Munich, ETH Zurich, KTH, KAIST), and
hand with the shift from a passive pedagogy, in comprehensive universities (NUS, Aalto Univer-
which instruction is designed as an “information sity). This selection demonstrates a commitment
delivery,” to an active approach in which the to observe the most innovative teaching practices
purpose is to make the learner an actor of learning, on innovation and entrepreneurship (▶ Creative
which is referred to as experiential learning. This Pedagogy) and also intends to embrace a broad
type of teachings is based primarily on computer spectrum of contexts and of cultures in order to
and behavioral simulations or on creativity tech- measure their relative importance on teaching
niques (mind mapping, divergent thinking, brain- approaches adopted. Each of these institutions
storming, or lateral thinking). has been visited and has been subjected to a ques-
So far, transformations of entrepreneurship edu- tionnaire structured around a specific grid analy-
cation have been drawn in broad strokes. It should sis. From this one, several trends have been
be noted that they vary in space, in addition to vary identified. Training in entrepreneurship requires
over time. Indeed, if Solomon et al. (2002) find that diverse teaching models that range from the
business plan, case studies, and traditional teachings acquisition of academic knowledge to learning
were still dominant educational tools in entrepre- that recreate a context of thought and action that
neurship education in the early 2000s, there have are close to real-life entrepreneurship situations.
been mutations since then, both in terms of depth, Given the traditions and contexts of each institu-
that enlargement of views, or in teaching tion, the survey shows a wide variety of experi-
approaches. In this landscape renewed, what are ences following two separate models, but with
the novelties concerning entrepreneurship educa- similar lines of development, but above all, these
tion? Does the generalization of these developments experiences appear more and more territorially
have given rise to a standardization process of train- (▶ Territory and Entrepreneurship).
ing in entrepreneurship? Some of the answers and
lines of thought based on an international bench- An Analytical Grid to Characterize Programs in
mark on training in innovation management led by Entrepreneurship
the ParisTech Innovation Management Education The PIMREP network designed a system of refer-
Research (PIMREP) can be provided. ence to characterize the programs under study,
which is built around different “educating situa-
tions” in innovation and entrepreneurship programs:
How Far Have We Advanced on the awareness raising (involving presentations, testimo-
Learning Curve for Teaching nies, and introductive conferences), development of
Entrepreneurship? Findings of an students’ capacity for initiative (challenges, i.e.,
International Benchmark individual experiences with little assistance in
terms of methodology or theory), training in
The PIMREP network was set up at the end of methods and theories (lessons, seminar), and train-
2008 and encompasses many French high schools ing in contexts of innovation (implication in entre-
which belong to the ParisTech network (http:// preneurship contexts focused on the integration of
theoretical and methodological tools through gradual approach requires students to identify the
tutoring). The survey consisted in analyzing the major trends of the environment, to prioritize those
schools’ degree courses with the following grid: most likely to have an impact on the development of
type of teaching situations offered, type of students the idea, and, finally, to explore possible changes or
involved, “weight” in terms of time allotted and variations. In addition, on many occasions, multi-
credits, and distribution throughout the degree disciplinary approaches (▶ Interdisciplinarity and
courses. It aimed, on the one hand, to identify trends Innovation) and those claiming to “design think-
and typical configurations and, on the other, to ing”, combining empathy and iterative process,
identify and describe particularly interesting cases. were mentioned. However, one important trend is
to give a more and more concrete perspective to
E
The Architectural Side of the teachings, in particular through the submission of
Entrepreneurship Education actual projects by industry that can give rise to an
The first observation is that all these schools imple- oral assessment with the presence of top managers,
ment each of the teaching situations identified. also through networking with entrepreneurs from all
Depending on their dominant culture (school of backgrounds, and through the access to venture
engineering, school of commerce, etc.), and capital – simulated or not – of the students projects
according to other contingency factors (size, compo- (▶ Networking Entrepreneurship), which are now
sition of the labor pool), the emphasis is placed on major areas of improvement for trainings in entre-
some of these teaching situations and, beyond, preneurship. The corollary is that even if for some
focuses on the issue of the creation or on the issue training in entrepreneurship, pedagogical consider-
of business resumption. In addition, if the trainings ations dominate, in a growing number of other
in entrepreneurship are always available at each cases, territorial considerations seem to prevail
stage of university studies degree, the most ambi- (bavarian silicon valley in Germany, silicon valley
tious educational activities, also the most demanding of user-driven innovation in Otaniemi, Finland,
educational resources, are mostly related to specific etc.), especially in the context of ▶ Clusters
curricula, as MSc, MBA, or EMBA. In this context, (▶ Innovative Milieux and Entrepreneurship).
the master program is often called as bank storage
for teachings or for case study bound for degree
programs and PhD. Another finding is the fact that Conclusion and Future Directions
teaching staff are not only strongly multidisciplinary
but consist of a large proportion of entrepreneurs “Compared to many other disciplines, the disci-
previously or concurrently to their teaching. This pline of entrepreneurship is in its infancy, with no
proportion varies from significant to exclusive standard framework or agreed upon best practices
(TU Munich) and goes hand in hand with a changing for entrepreneurial education” (Solomon 2007).
role of trainers, from the role of teacher, to that of This finding should be reconsidered in the light
tutor, and up to the role of coach. Some workshops of the foregoing. Indeed, even if the learning
are self-managed by students, teaching staff being curve for teaching entrepreneurship is still long,
there only to guide and to answer questions from it seems clear that the practices of experiential
students. Please also note this revolution resonates learning are now well established, as well as the
with the emergence and spread of project-based “learning by studying” of the early time has been
teaching models. replaced by the “learning by experiencing,” the
“learning by interacting,” or the “learning by
The Pedagogical Side of the Entrepreneurship doing.” New perspectives probably depends on a
Education “territorialization” of the teachings marking a
Project-based teachings, i.e., concrete scenarios, real decompartmentalization of entrepreneurship
or simulated, based on collaborative or individual training that yesterday freeing itself from the
learning, greatly resonate to teaching teams. Fre- shackles of traditional disciplines, now probably
quently, on the basis of an original business idea, a tends to emancipate itself from the shackles of
878 Entrepreneurship Financing
(higher) education. The challenge is now to articu- Solomon GT. An examination of entrepreneurship educa-
late this education to all stakeholders that form the tion in the United States. J Small Bus Enterp Dev.
2007;14(2):168–82.
ecosystem of the entrepreneur (education and Solomon GT, Duffy S, Tarabishy A. The state of entrepreneuriat
research institutions, national and local education in the United States: a national wide survey and
policymakers, entrepreneurs, private sector, etc.). analysis. Int J Entrep Educ. 2002;1(1):1–22.
Many approaches apprehend this issue, been called Vesper KH. Unfinished business (entrepreneurship) of the
20th century. Coleman white paper. USASBE National
for by the United Nations, such as KIC (Knowledge Conference; Jan 1999.
and Innovation Communities) from the EIT
(European Institute of Innovation and Technology),
or the project PEEPS (Pôle de l’Entrepreneuriat Entrepreneurship Financing
Etudiant Paris Saclay – Paris student entrepreneur-
ship center) carried by the PIMREP network. ▶ Creative Destruction
Cross-References
Entrepreneurship in
▶ Angel Investors Agriculture
▶ Business Project ▶ Agricultural Entrepreneurship
▶ Clusters
▶ Creative Pedagogy
▶ Entrepreneur Entrepreneurship in Creative
▶ Entrepreneurial Capability and Leadership Economy
▶ Higher Education and Innovation
▶ Innovative Milieux and Entrepreneurship Philippe Béraud1 and Franck Cormerais2
1
▶ Interdisciplinarity and Innovation IMT Atlantique &LIRIS (Université de
▶ Networking Entrepreneurship Rennes 2), Cesson Sévigné, Cedex, France
2
Université of Bordeaux 3 &MICA, Domaine
universitaire, Bordeaux, Cedex, France
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Adcroft A, Willis R, Dhaliwal S. Missing the point? Man- Synonyms

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market values. In: Proceedings high-technology small orative economy; Creative entrepreneurship; Cre-
firms conference, vol. 1, University of Twente, ativity spillovers; Cultural cities; Cultural
4–5 June 1998. entrepreneurship; Cultural policy; External bene-
Fiet JO. The pedagogical side of entrepreneurship theory.
J Bus Ventur. 2000;16:101–17. fits; Innovative entrepreneurship; Intelligent cit-
Katz JA. The chronology and intellectual Trajectory of ies; Localized industries; Situated creativity;
American entrepreneuriat education. J Bus Ventur. Social innovation; Territorial design; User
2003;18(2):283–300. innovators
PIMREP. Former à l’innovation à ParisTech – Efferves-
cence & perspective. Livre Blanc ParisTech Tome 1;
Décembre. 2010. p. 80.
PIMREP. Former à l’innovation à ParisTech – Benchmark Creativity, Entrepreneurship, and the
international. Livre Blanc ParisTech Tome 2; 2011. Creative Economy
p. 131.
Santi M. Peut-on enseigner l’entrepreneuriat?. In 8ème
Biennale de l’éducation et de la formation, 11 au Entrepreneurship is essentially a creative activity,
14 avril 2006. even if creativity is not limited to the
Entrepreneurship in Creative Economy 879
entrepreneurial creativity. Thus, creative economy 2008). Another part consists of creative entrepre-
shares some of the most significant properties of neurs-contributors coming from the digital econ-
an entrepreneurial economy. Creative activities omy, social networks, and social economy.
rely on innovations, vision, and talent of authors, Considering these factors, the creative economy
creators, and performers. Development opportu- could be characterized both by the entrepreneurial
nities related to changes in cultural practices also intensity and by the evolution of the concept of the
require a high degree of alertness from creative knowledge economy into that of the creative econ-
economy stakeholders. Besides, creative economy. The knowledge economy appears as a major
omy must cope with high demand uncertainty. shift in the postindustrial economy, so that the
As entrepreneurial creativity, artistic and cultural production of goods and services is henceforth
E
creativity is an activity based on risk. Creative linked to a set of knowledge-based economic activ-
economy combines two types of entrepreneurs. ities. The creative economy is at the heart of that
The first type relies on the shifts that occurred in knowledge economy, with a major influence on
the cultural policies of cities and in the proximity economic growth and development, on creation,
dynamics of creative clusters. And the second adoption and diffusion of innovations, and on the
type is linked to the economy of contribution nature of trajectories and industrial models. The
and to its different application fields, especially role of the cultural and creative industries in shap-
digital economy and social economy. ing and fueling that creative economy can thus be
considered as a new step in the rise of the knowl-
edge-driven economy.
What Is the Specific Nature of
Entrepreneurship in the Creative Creative Entrepreneurship in Creative Cities
Economy? Entrepreneurship in the creative economy is not
only a process by which people use their cultural
Creative Entrepreneurship and creative talents to set up their own business. If
When people put in practice their creativity, ideas, the determining role of creativity and innovation
and talent to build up a business or a self- appears in the definition of the creative entrepre-
employed business in the cultural and creative neurs, it also introduces analysis on the functions
industries, they act as creative entrepreneurs. Cre- of creative entrepreneurship in societal and cul-
ative entrepreneurs use their talent, creativity, and tural mediation. To be creative, an idea must be
artistic knowledge as specialized assets in the socially recognized. Creative entrepreneurs dis-
creative economy (Howkins 2001). Like pense a lot of efforts and ideas for the cultural
Kirznerian entrepreneurs, they often have no pro- and creative life of the city. And creative entrepre-
ductive or financial assets at first. They try to put neurship is at the heart of the cultural metropolitan
in value their social capital and their artistic or projects, as it has been shown in capital projects,
creative ideas as a symbolic capital. such as New York, London, Paris, and Berlin, but
Besides, creative entrepreneurs must cope with also in the cultural projects of metropolitan-
the uncertainty of the demand for cultural and regional cities, such San Francisco, Los Angeles,
creative goods. From this standpoint, they look Liverpool, Bilbao, Barcelona, Milan, etc.
like a type of Knightian entrepreneurs. They also Besides, process of artistic research and crea-
run the risk to be imitated. The only way to protect tion also benefits from the results of the prospec-
their cultural and creative assets is to rely on tive policy regarding the city and regional
property rights, if they can meet the cost and development, which is at the root of long-term
complexity of the intellectual property protection. planning strategies (Pratt 2004). Those strategies
Part of entrepreneurs come from creative econ- can stimulate the development of creative and
omy stakeholders, especially the “creative class” cultural industries, in the broader perspective of
(Florida 2002) that grows with the development of a territorial design related to the cultural needs of
“cognitive-cultural production systems” (Scott cities.
880 Entrepreneurship in Creative Economy
Thus, entrepreneurship depends on both the entrepreneurial resources depends on the profit
creative activities and territorial dynamics, not distribution between productive and unproductive
only because there are new talents, entrepreneurs, activities, and this allocation is heavily influenced
creative assets, and relevant public policies but by the relative payoffs offered by the societies to
also because the city asserts itself through imple- such activities. From this standpoint, urban cul-
mentation of cultural and artistic projects, as a tural policies offer heavy incentives to the artists,
creative city. Therefore, it becomes a creativity creators, and performers to retain the talented
platform, going beyond the definition of an aug- entrepreneurs.
mented city born out of digital technology. The
spatial concentration of creative industries carries Entrepreneurship and the Taxonomies of
with it important changes in terms of impact on Creative Industries
clusters and entrepreneurship. It becomes a source Studies and reports on creative economy often put
of comparative advantages for the city. the stress on the numerous distinctions and taxon-
omies that endeavor to chisel out the limits and the
Creative Entrepreneurs and Cultural respective scopes of cultural and creative indus-
Mediation tries (Table 1). But, in the major role played by
From this standpoint, creative entrepreneurs are creative entrepreneurship, there would indeed
also societal entrepreneurs. Thus, it seems possi- seem to be a characteristic common to both. By
ble to connect the nature of creative entrepreneur- their very nature, these activities, from performing
ship with functional theories of the entrepreneur, arts to fine art, digital arts, architecture, and
in particular those of Leibenstein and Baumol, design, assert themselves as entrepreneurship eco-
which partly follow the theoretical prospect systems. The dynamics of creation, specific to
opened by Schumpeter. cultural and creative industries, demand that
In Leibenstein’s interpretation, the entrepre- ideas, talents, competence, and expertise circulate
neur’s behavior is guided by four principal objec- and contribute to fluidifying and amplifying crea-
tives. Initially, the entrepreneur is an intermarket tivity and innovation, as complementary assets
operator. Creative entrepreneurs often connect (Potts 2011). They also combine different kinds
different cultural and creative activities to enlarge of exchange that can be market and nonmarket
the wide range of their business or to improve exchanges, as well as different kinds of relations,
their self-employment, such as in performing ranging from cooperation to competition.
arts. They also show their ability to compensate
for the cultural and creative market insufficiencies Entrepreneurship and the Specific Economic
(gap filling), such as in open-source software. Characteristics of Creative Industries
Then, creative entrepreneurs act as input com- The cultural and creative industries refer to a wide
pleters. They try to join together the factors range of activities which are concerned with the
which become necessary to the realization of valorization of artistic ideas, innovative knowl-
new cultural and creative activities or perfor- edge, creative process, and intellectual property
mances, such as in film and music. Lastly, they rights. From an economic standpoint, Richard E.
know how to create or develop efficient organiza- Caves identified seven properties that could high-
tions, such as they do in the framework of cultural light the specificities of cultural and creative
clusters or creative cities. industries and distinguish them from other eco-
So, the influence of the entrepreneurship as a nomic and social activities (Caves 2000). Such
functional mediation in the cultural projects properties need to be emphasized from entrepre-
depends on the more or less ability of the creative neurship point of view:
entrepreneur to fulfill the functions of intermarket
operator, gap filling, input completion, and effi- • Creative entrepreneurs are risk takers, facing
cient organization building. In addition, as with the radical uncertainty about the demand,
Baumol has underlined, the repartition of because of the unpredictable positive or
Entrepreneurship in Creative Economy, Table 1 Classification systems for creative industries derived from different
models
3. Concentric circles
1. UK DCMS model 2. Symbolic texts model model 4. WIPO copyright model
Advertising Core cultural industries Core creative arts Core copyright industries
Architecture Advertising Literature Advertising
Art and antiques market Film Music Collecting societies Film
Internet Performing arts and video
Crafts Music Visual arts Music
Design Publishing Performing arts
Fashion Television and radio video Other core cultural Publishing E
and computer games industries
Film and video Film Software
Music Museums and libraries Television and radio
Performing arts Visual and graphic art
Publishing software
Television and radio video Peripheral cultural Wider cultural industries Interdependent copyright
and computer games industries industries
Creative arts Heritage services Blank recording material
Borderline cultural Publishing Consumer electronics
industries Sound recording Musical instruments
Consumer electronics Television and radio video Paper
Fashion and computer games Photocopiers
Software Photographic equipment
Sport Related industries Partial copyright industries
Advertising Architecture
Architecture Clothing, footwear
Design Design
Fashion Fashion
Household goods
Toys
Source: UNCTAD, Creative Economy, Report 2008, p. 13
negative reaction of the consumers/users for copyright protection for providing durable
each new creative product. rents to authors, creators, performers, and
• They also act as input completers, coping with other stakeholders.
a wide variety of differentiated activities; each • They must also deal with skill structure and
of them can lead to an infinite variety of prod- behavior at work. Artistic or technical skills are
ucts and uses. And they deal with the complex- vertically differentiated in the creative indus-
ity of the creative products that use a wide tries; there is a ranking of talents that results in
range of skilled and specialized workforce, as strong financial implications on the individual
in music, film, or multimedia. earnings and on the costs of production.
• Creative entrepreneurs have to develop effi- Besides, workers in creative industries much
cient organizations. On one side, creative pro- care about individual skills (artistic or technical
jects in music, film, and performing arts often skills), than in other activities, and they want to
require a high degree of coordination for the freely use their skills.
relevant uses of skills, and time becomes a very
scarce resource. On the other side, creative Creative entrepreneurs have to deal with
products must be protected, by relying on another complex economic characteristic.
Creative goods have a specific cost structure, How Do Creative Entrepreneurs

with high costs of production and low marginal Contribute?
costs of reproduction (Hesmondhalgh 2007).
Content activities’ organization must cope with Creative Entrepreneurship and the Economy
the sunkenness of costs. And the pervasiveness of Contribution
of the fixed and sunk costs in some capital-inten- The economy of contribution has introduced a
sive activities can appear as a barrier to entry and paradigm shift in the approach of entrepreneurship
to mobility and a barrier to exit for the entrepre- in the creative economy. The Schumpeterian entre-
neurs in the creative industries, because of the preneur, both producer and innovator, now copes
uncertain profitability. with the major influence of “users-contributors”
and the open and collaborative innovation. The
The Spatial Dynamics of Creative Industries market economy highlights the producer’s role,
from the perspective of profit maximization, and
Description the consumer’s role from the perspective of utility
Creative industries can be characterized as terri- function. The economy of contribution gives an
torialized industries, as activities the territorial alternative choice with the contributor’s role that
anchoring of which constitutes a structural char- mixes entrepreneurship, freely chosen participation
acteristic, with a strong influence on the condi- in the creative and cultural activities, interest for
tions of valorization of cultural goods, on the nonprofit organizations, and the creation of societal
location of creative economy stakeholders and value. The contributor’s intervention within the
so on the development of creative entrepreneur- activity depends on an individual arbitrage that
ship. The mobility of cultural and creative goods reflects a desire for personal involvement. It also
often comes with the territorial concentration of depends on the trust he or she may have for the
production. The spatial dynamics of creative other participants, on the level of interaction trig-
industries tends to favor the organization of devel- gered by the participation in a certain activity, on
opment poles, in creative clusters or in creative the satisfaction felt from relationships with the
cities, with their clearly defined specificities others, and from the activity in itself.
(Cooke and Lazzeretti 2007). How do relations between the economy of
So, the development of cultural and creative contribution, entrepreneurship, and cultural and
industries is based on the exploitation of a built-up creative industries function? The economy of con-
territorial advantage, the result of the joint influ- tribution makes it possible in particular to identify
ence of creativity and innovation among creative the sectoral trajectories of the digital economy and
economy stakeholders, entrepreneurial visions, the third-party sector. Thus, digital art, open
proximity dynamics, cultural practices, and public sources, electronic games, multimedia applica-
policies. Entrepreneurs try to transform localized tions, or innovations linked to Web 2.0 platforms
creative assets in specialized resources. These came about thanks to creative entrepreneurs-con-
localized assets can be constituted via expertise tributors in the digital economy. Likewise, the
linked to a recognized artistic and cultural special- organization of an important number of artistic
ization. They can also be related to public policies and cultural activities is handled in the context
favorable to cultural industries and opened to the of the third sector in relation with social entrepre-
requirements of the artists, creators, and per- neurs and nonprofit organizations.
formers. And they allow creative entrepreneurs
to increase their pool of knowledge by exchanging Digital Economy, Social Economy, and
ideas, competence, and techniques. The valoriza- Entrepreneurs-Contributors
tion of these specialized assets – available locally With regard to the first sectoral dynamics, the
under very favorable conditions – constitutes development of information processing and trans-
strong incentives for entrepreneurship in the cre- mission has favored the emergence of a large
ative economy. group of applications and services, the users’
appropriation of which has become a massive of an expertise in careers linked to the fields of
phenomenon. Usage and communities highlight creation and culture all go to constitute the coun-
the preeminence of new behaviors, especially that terparts of a territorial anchoring supported by
of entrepreneurs-contributors who devote them- private investment and public policies (Table 2).
selves to sharing and appropriating knowledge, By assuring stability and growth in creative and
who offer their expertise or seek to acquire it. cultural activities, public policy contributes to
So, the economy of contribution here refers to a support the development of new entrepreneurial
group of specific entrepreneurial practices that models to ensure creativity as a pervasive asset in
concern the freely involved contributors’ partici- local economy.
pations in the activity. Entrepreneurs-contributors
E
accept to cooperate and to share their knowledge. Entrepreneurship and Externalities in Creative
This phenomenon has a deep influence on the way Industries
creative and contributive entrepreneurship dif- Territorial integration in clusters or cities of creative
fuses through various creative and cultural activ- process and the development of creative entrepre-
ities (Béraud and Cormerais 2012). neurship through the creative economy stakeholders
The second trajectory of the economy of con- or the economy of contribution are supported by
tribution, which influences the diffusion of entre- external economies linked to the dynamics of cultural
preneurship in the creative industries, refers to the and creative activities. The most general typology of
social economy. The third sector is by nature a externalities shows various situations in which the
contributive model, in which social entrepreneurs action of an economic agent has a positive effect on
serve a role of entrepreneurs-contributors. Strong another agent without one or the other wanting to
interactions between actors create considerable lead this action for such a purpose. Regarding crea-
external effects in the cultural and creative activ- tive and cultural industries, externalities can concern
ities of the social economy: network spillovers, purely artistic activities (fine arts, performing arts,
skill enhancement, and societal spillovers. etc.) as well as activities linked to digital products
The economy of creative contribution is thus set (software, games, digital applications).
up with a principal factor – the contributors’ com- Creative industries are based on the dynamics
petence, which is itself influenced by the structuring of proximity to guarantee the accumulation and
of other factors that refer to variable combinations the sharing of specialized knowledge in the crea-
between individual trajectories and social determi- tion process, thus generating knowledge spill-
nations: education, training, experience, availabil- overs. These spillovers happen when creative
ity, mobilization, altruism, or leadership. The entrepreneurs benefit from new ideas, discoveries,
interactions between creative entrepreneurs-con- and artistic innovation from other cultural actors.
tributors are based on relational technologies and The transmission of creation process and artistic
social relationships. They also relied on availability innovation turns out to be all the faster and more
and alertness of the communities associated with pervasive as the spatial concentration of actors
creative and cultural practices. working in the same activity or in complementary
activities contributes to the multiplication of net-
Creative Entrepreneurs and Public Policies work spillover effects.
The development of creative economy stake- Likewise, training spillovers are the result of a
holders and networks of entrepreneurs-contribu- collective process of skill enhancement, which
tors is not only the result of a combination of take the form of specialized segments of the
creativity, innovations, and private investments. labor market, of a training and research system,
Agglomeration effects in creative economy also and of a mix of private investment and public
largely benefit from public policy (Throsby 2010). policies. This collective process seems to be prof-
The participation of the creative activities in local itable for all the actors linked to a profession or a
development, in employment growth, in the qual- group of professions, thanks to mobility inside the
ification of the workforce, and in the development same creative industry but also from one creative
Entrepreneurship in Creative Economy, Table 2 Creative industry policy options

Policy
level Objective Option
Micro Analysis and mapping of the economic and Situational analysis of value-chain cycles, review of the
social impact of the creative industries (non)existing policies, and the ecology peculiar to each
industry
Supporting creative SMEs Creative SMEs development initiatives: financial and fiscal
support, business skills training, tools for start-up
businesses, and market strategies
Meso Comparative analysis of the relationship Establish creative clusters and creative industry
between the creative and the relative infrastructures to motivate best practices and sharing of
industries knowledge and absorb the informal sector
Organize networking and sectoral associations: facilitate
partnerships, joint ventures involving different stakeholders
including NGOs and academia
Expand the use of ICTs and promote the use of other new
technologies to benefit from new business models in all
stages of the creative chain
Identify crucial interfaces and intermediaries among all
constituents
Macro Establishment of an informed, evidence- Set up a monitoring system and collect necessary
based policy-making system information to identify the most appropriate models
Distinguish the gap between national statistics and real
market activities for assessment tools
Cross-departmental institutional Set up a multidisciplinary center or an interministerial task
mechanisms force to facilitate coordination among different departments,
such as culture, trade, finance, tourism, labor, technology,
education, and migration
Socioeconomic development Identify the uniqueness, strengths, and weaknesses of local
creative industries and opportunities for international trade
Examine the limitations of existing copyright schemes and
other intellectual property rights and implement an
appropriate competition law
Promote cultural diversity and social inclusion policies,
particularly tailored for the youth and women
Creation of national identities Apply creative industries’ “branding” as a national strategy
to promote image
Meta Analysis of the long-term impact of creative Analyze the changes in aesthetics, lifestyle, and
industries commodification over a long period and their impact on
national strategies
Source: UNCTAD, Creative Economy, Report 2010, p. 262
industry to another. As for the artistic spillovers, dynamics of proximity in entrepreneurial clusters
they constitute a very important element of the or in cultural-oriented cities serve to multiplying
creation process in cultural industries. They con- spillovers. Thus, externalities are at the roots of
tribute to improve the standard level in each cre- entrepreneurship ecosystems in the creative and
ative industry, having thus an indirect influence in cultural industries.
the professional practice of the other participants
in the profession.
By valorizing interdependence relations inside Conclusion and Future Directions
the same creative industry and between different
but hinged creative industries and by reinforcing The entrepreneurship ecosystems, the dynamism
fluidity and the pervasiveness of the circulation of and reactivity of cultural networks, the creativity
ideas, of skills, of talents, and of cultural goods, of actors, and the capabilities related to the
economy of contribution obviously constitute They promote creative interactions. And

dominating factors in creation transmission. Pri- concerned people often produce innovative
vate initiative is at the roots of entrepreneurship in results in this context. These third spaces refer to
the creative economy. But the valorization of small worlds known as hackerspaces,
localized creative assets also highlights the makerspaces, TechShops, and FabLabs. The col-
increasing role of public policy and the ability of laborative and cooperativist platforms also appear
the latter to promote new cultural projects and to as third spaces, when concerned people give their
extend positive externalities. It is likely that entre- contribution to the needs and the organization of
preneurship, public investment, and proximity theses platforms.
dynamics in the framework of the cultural clusters Considering the major impact of connecting
E
and city projects will continue to converge to be and networking with other entrepreneurs and
the driving forces of the creative economy. entrepreneurial communities to accelerate innova-
Taking into account of all these factors, recom- tion, the development of start-up ecosystems and
mendations for policy and strategy could stress the the increasing number of third places – created
ways to encourage development of cultural and both in the North and South – generate multiple
creative industries, from the point of view of entre- levels of positive incentives that private initiative
preneurial capabilities and competencies, public and public policy must foster. These incentives
support for creative industries, and the ability of could be enhanced by organizing very more pub-
these industries to generate positive externalities. A lic-private cooperation. They are indeed at the
range of policies and strategies may be used to roots of strong skills like creativity, alertness,
promote cultural and creative industries. But there social media experience, and ability to implement
are three main political and strategic orientations open innovation; the growing influence of which
which are worth highlighting. in the digitalization of the cultural and creative
First, most of entrepreneurs in the cultural and industries is expanding the pool of potential entre-
creative industries must cope with the growing preneurs. A new wave of entrepreneurship can
importance of start-up ecosystems and their for- thus be expected in meeting the increasing needs
mal and informal networks, so that entrepreneur of that new creative digital economy.
involvement in connecting and networking
increasingly appears as one of the most important
skills to improve entrepreneurial creativity. If the Cross-References
ability to connect and to network is a skill any
entrepreneur must have in a creative economy, ▶ Clusters
successful entrepreneurial strategies also depend ▶ Creativity and Innovation: What Is the
on capabilities of the support organizations and Difference?
their ability to provide resources for the start-ups. ▶ Nature of Creativity
This is a second important direction. Start-up eco- ▶ Proximity Relationships and Entrepreneurship
systems must be stimulated to accelerate growth ▶ Risk
of the cultural and creative industries, both by ▶ Risk, Uncertainty, and Business Creation
private funds and by public support (universities, ▶ Social Entrepreneurship
incubators, services providing, etc.). ▶ Territory and Entrepreneurship
A third direction could aim at strengthening the
connection between creativity and entrepreneur-
ship inside communities, through the digital rev- References
olution, to encourage people to be involved.
Emphasis must be placed on the growing role of Béraud P, Cormerais F. Open innovation, economy of
innovative third places, in a specific and alterna- contribution and the territorial dynamics of creative
industry. J Innov Econ. 2012;2(10):81–105.
tive approach to the digital transformation. By Caves R. Creative industries: contract between art and
third places we mean places where people meet commerce. Cambridge, MA: Harvard University
themselves in other way than at work or at home. Press; 2000.
886 Entrepreneurship in Developing Countries
Cooke P, Lazzeretti L. Creative cities, cultural clusters and liberalization effected through structural adjust-
local economic development. Cheltenham: Edward ment programs of the early 1990s has seen the
Edgar; 2007.
Florida R. The rise of the creative class. New York: Basic development of initiatives to promote the entre-
Books; 2002. preneurship in developing countries.
Hesmondhalgh D. The cultural industries. London: Sage; This entry tries to explore the fundamentals of
2007. entrepreneurship in developing countries and ana-
Howkins J. The creative economy. How people made
money from ideas. London: Penguin; 2001. lyze the relationships among entrepreneurship, eco-
Potts J. Creative industries and economic evolution. Chel- nomic growth, and public policy in these countries.
tenham: Edward Elgar; 2011.
Pratt A. The cultural economy. A call for spatialized ‘pro-
duction of culture’ perspectives. Int J Cult Stud. 2004;7
(1):117–28. The Entrepreneurship: An Overview of
Scott AJ. Resurgent metropolis: economy, society and Concept
urbanization in an interconnected world. Int J Urban
Reg Res. 2008;32(3):548–64. The entrepreneurship, despite the initial flurry of
Throsby D. The economics of cultural policy. Cambridge:
Cambridge University Press; 2010. activity following Schumpeter’s contributions, was
largely concerned over this period not with under-
standing the economic performance of countries but
with understanding the process of entrepreneurship
Entrepreneurship in (Naudé 2010a). In fact, the author shows that entre-
Developing Countries preneurship is the resource and process whereby
individuals utilize opportunities in the market
Samia Haddad1 and Imen Selmi2 through the creation of new business firms. As a
1
Institute of High Commercial Studies of Tunis resource, entrepreneurship results in innovation,
(IHEC), Tunis, Tunisia risk-taking, and arbitrage – the classic functions of
2
National Engineering School of Gabes (ENIG), the entrepreneur as identified by Joseph
Gabès, Tunisia Schumpeter, Israel Kirzner, and others. Entrepre-
neurship is studied as the various activities under-
taken by entrepreneurs throughout the life cycle of a
Synonyms firm, from conception to exit (Naudé 2010a).
Today, the bulk of the entrepreneurship litera-
Entrepreneur; New business firm, creation ture is concerned with the individual choice to
become an entrepreneur, the determinants hereof
and personal characteristics, and the growth, suc-
Introduction cess, failure, and exit of entrepreneurs from the
market. As cited by Autio (2008, p. 2), Audretsch
The topic of entrepreneurship has been receiving et al. (2007, pp. 1–2), stated “this literature has
much attention for decades in most developed typically not considered the implications for the
countries, while investigations on this subject are broader economic context. It so results a very little
scarce in developing countries. Indeed, until the know about whether and how entrepreneurship
late 1980s, entrepreneurship in developing coun- either contributes or does not contribute to eco-
tries has not interested researchers. However pri- nomic growth in developing countries”.
vate sector as a development engine was born Nowadays, many authors (see Baliamoune-
following economic liberalization required by Lutz 2009; Acs et al. 2008) have taken for granted
international financial institutions to developing that entrepreneurship is indispensable for eco-
countries. For these financial institutions, notably nomic development. In fact, they provided a num-
the World Bank, private enterprise has been, for a ber of references to substantiate this claim and
long time, the missing link to socioeconomic wrote that the entrepreneurship clearly refers to
development of these countries. Thus, the the capacity for innovation, investment, and
Entrepreneurship in Developing Countries 887
activist expansion in new markets, products, and The Entrepreneurship in Developing

techniques. For its part, Baliamoune-Lutz (2009, Countries: Realities and Constraints
p. 3) notes that entrepreneurship affects develop-
ment through the process of innovation, invest- Entrepreneurial studies, especially neoliberal the-
ment, and market expansion. In the same vein, ories, are derived primarily from the general
Acs et al. (2008), p. 219 show that entrepreneur- growth and economic and historical experiences
ship is considered to be an important mechanism of industrialization in developed countries. How-
for economic development through employment, ever, these theories are not necessarily transfer-
innovation and welfare effects. able to developing countries, even in the context
Moreover, Acs and Szerb (2007), p. 112 recog- of globalization. Thus, entrepreneurship in devel-
E
nize that entrepreneurship can contribute to eco- oping countries is becoming increasingly a sub-
nomic growth by serving as a mechanism that ject on which policies linger and to which they are
permeates the knowledge filter and provides the paying attention. Desai (2009) exposes that much
missing link to economic growth. It is a virtual of the research on entrepreneurship in developing
consensus that entrepreneurship revolves around countries indirectly or directly categorizes activi-
the recognition of opportunities along with the ties. She states that several dichotomies com-
cognitive decision to commercialize those oppor- monly used to describe entrepreneurship in
tunities by starting a new firm (Acs and Szerb developing countries are worth discussing: for-
2007, p. 112). As well, the authors point out that mal/informal, legal/illegal, and necessity/opportu-
entrepreneurship policy is different from traditional nity (Desai 2009, p. 2). In fact, the author explains
business policy that tried to constrain the corpora- that in many developing countries, there are few
tion. In this regard, the authors expose the emerg- incentives for entrepreneurs to participate in the
ing of a new policy approach that focuses on formal sector, particularly if they operate on a
enabling the creation and commercialization of small scale (p. 2). Immediately, the vast majority
knowledge. According to them, the policy differs of entrepreneurs in developing countries are
from small business policy that tried to confront the involved in micro- and small enterprises (MSE),
cost disadvantage of small firm due to scale econ- often informal, contributing little to poverty alle-
omies. In contrast, entrepreneurship policy has a viation and growth. Moreover, only a few new
much broader focus (Acs and Szerb 2007, p. 112). start-up firms survive for a long time; the majority
A number of recent studies have focused on the fails within the first 2 years (Naudé 2010a). John
role of institutional and policy reform on entre- Bennett’s paper Informal Firms in Developing
preneurship (see, e.g., Djankov et al. 2008; Countries: Entrepreneurial Stepping Stone or
Baliamoune-Lutz 2009). Institutional reform that Consolation Prize? shows that the so-called infor-
affects taxes or liquidity constraints, for example, mal sector is significant in most developing coun-
would have an impact on entrepreneurial activity tries, noting that it may contribute up to 40% of a
(Djankov et al. 2008). Thus, one channel through poor country’s GDP. As a result, the size of the
which institutional and policy reforms would informal labour force is important; it can reach
affect growth could be through their interplay more than 50% in some countries (cited by Desai
with entrepreneurial activities (Baliamoune-Lutz 2009, p. 2). Actually, with developing countries,
2009, p. 1). Iyigun and Rodrik (2005) assume that the choice of entrepreneurship and the returns on
the impact of institutional reform depends on the entrepreneurship have quite often been seen as
level of entrepreneurial activity. More specifically, dismal, with entrepreneurship (or self-
the authors show that institutional reform has neg- employment) considered as being driven by
ative growth effects when entrepreneurial activity necessity (for survival) and offering meagre
is strong and positive effects when entrepreneurial returns (Naudé 2010a, p. 8). In this view, the
activity is weak. This is because reforms could author exposes that often large informal sectors
impose a cost on the existing entrepreneurs, while in developing countries are seen as symptomatic
it may be neutral or even helpful to new ventures. of this no-choice entrepreneurship and are seen as
888 Entrepreneurship in Developing Countries
undesirable. Some even see the informal sector as banks to reduce their overall extension of credit.
a drag on economic development, lowering over- The apparent irrelevance and impotence of entre-
all productivity, and competing with the formal preneurship is the danger that well-intentioned
sector (Naudé 2010a). support policies for entrepreneurship may have
For its part, Desai (2009) demonstrates that the unintended negative consequences. These include
nature of informal entrepreneurship in developing patronage, corruption and rent-seeking, and pro-
countries generates illegal activities. She shows longing the life of inefficient and low-productivity
that “illegal” applies to the nature of the selected firms (Naudé 2010b). Moreover, Schott and
activity and depends on the explicit legal code and Jensen (2008), p. 195 argue that developing coun-
regulatory frameworks in the country. Neverthe- tries are prone to apply policies that (1) are based
less, legal entrepreneurship applies to activities on experiences in developed countries which have
that are permitted by law. Also, the author exposes not proven to transfer fittingly to developing econ-
that the dynamics of necessity/opportunity entre- omies, (2) are only partly implemented and are
preneurship are closely connected to formal/infor- not internally consistent as a result of a lack of
mal status. One reason for high rates of necessity resources to do so, and (3) are more beneficial on
entrepreneurship in developing countries is the paper than on actual activity. These measure-
size of the informal sector. Workers that become ments will generate a too low dynamic industrial
entrepreneurs to avoid unemployment will likely in developing countries caused by a lack of depth
be starting low-skill, small-scale, subsistence of local and regional markets. In terms of produc-
activities (Desai 2009). tivity, the difficulty lies in the inadequacy and lack
Many authors imply strong causality from of training of individuals or the less integration of
entrepreneurship to economic growth in develop- people trained in this entrepreneurial dynamism.
ing countries. In fact, some economists, such as Also, we must not omit the importance of entre-
Baumol, Lazonick, and Naudé, even report a neg- preneurial culture with these four dimensions:
ative relationship between entrepreneurial activity sociocultural, psychological, managerial, and
and economic growth in developing countries. economic policies. The reluctance of major devel-
According to Naudé (2010b, p. 5), entrepreneurs oping countries to entrepreneurship could be
in developing countries are neither irrelevant nor explained by their lack of risk culture and defi-
impotent. The author claims that the relationship ciency in recognizing the sector. In this situation,
between entrepreneurs and development out- there is a significant gap between the support
comes is complex, with entrepreneurship as needs of project and the means used by their
much depending on economic development and country. The last brake facing entrepreneurs is
growth and vice versa. So, designing policies for about financing.
development through the promotion of entrepre- Indeed, the loan system in developing coun-
neurship in developing countries is complicated tries requires guarantees of a financial nature that
(Naudé 2010b, p. 5). In this case, Baumol (1990, it is difficult to mobilize. Consequently, entrepre-
cited by Naudé 2010b) posits that governments neurs in developing countries face less efficient
cannot raise the supply or quantity of entrepre- financial markets, more volatile macroeconomic
neurship but can merely influence the allocation conditions, and higher entry costs.
of entrepreneurial ability. In this view, the author
mentions that what the government should do is
“get the institution’s right,” i.e., ensure the protec- Conclusion and Future Directions
tion of property rights and a well-functioning
legal system, and maintain macroeconomic and In sum, policies in developing countries that place
political stability and competitive tax rates (Naudé too much stress on entrepreneurship as the key to
2010b). In addition, Naudé (2010b) proves that economic development can undermine collective
general policies to facilitate the entry of entrepre- and cumulative processes of organizational learn-
neurs may disproportionately encourage entrepre- ing required for innovation (Lazonick 2008, cited
neurs with low “entrepreneurial ability,” leading by Naudé 2010b). As a result, economic growth in
Entrepreneurship in International Context 889
developing countries slows down; high-ability Baumol WJ. Entrepreneurship: productive, unproductive,
entrepreneurs, with fewer incentives to innovate, and destructive. J Polit Econ. 1990;98(5):893–921.
Desai S. Measuring entrepreneurship in developing coun-
will exit (Naudé 2010b). In this context, the keys tries. Research paper no 2009/10. United Nations Uni-
to entrepreneurial development in developing versity, World Institute for development Economics
countries seem to be the involvement of support Research; 2009. 14 pp.
structures in the political debate allowing greater Djankov ST, Ganser C, McLiesh RR, Shleifer A. The effect
of corporate taxes on investment and entrepreneurship.
involvement of the state in this process but also NBER working paper 13756. Cambridge, MA:
including spin-offs based on public-private part- National Bureau of Economic Research; 2008.
nership. The mechanism of entrepreneurship Iyigun M, Rodrik D. On the efficacy of reforms: policy
through spin-off was established as an objective tinkering, institutional change, and entrepreneurship.
In: Eicher T, Penalosa CG, editors. Institutions and E
of dynamism in economy, especially in industrial growth. Cambridge, MA: MIT Press; 2005.
countries. Therefore, the use of this measure Lazonick W. Entrepreneurial ventures and the develop-
involves profound changes in the institutional mental state: lessons from the advanced economies.
structure of the global political and scientific com- Discussion paper no. 2008/01. United Nation
University-World Institute for Development Econom-
munity, thus allowing to reduce the problem of ics Research; 2008.
loose coupling between science and entrepreneur- Naudé W. Entrepreneurship, developing countries and
ship activity. Consequently, a stronger coupling development economics: new approaches and insights.
between science institutions and industrial prac- Small Bus Econ. 2010a;34(1):1–12.
Naudé W. Promoting Entrepreneurship in developing
tice would not only likely improve the quality of countries: policy challenges. Policy brief, 4. United
entrepreneurship research in developing countries Nations University, World Institute for development
but would also facilitate an economic develop- Economics Research; 2010b. 8 pp.
ment growth enacted by policy makers in devel- Schott T, Jensen KW. The coupling between entrepreneur-
ship and public policy: tight in developed countries but
oping countries. loose in developing countries. Estud Econ.
2008;35(2):195–214.
Cross-References
▶ Entrepreneurship Entrepreneurship in
▶ Entrepreneurship Policy International Context
▶ Financing
▶ Start-Up Renaud Redien-Collot, Eric Michael Laviolette
and Maria Bonnafous-Boucher
Novancia Business School Paris, Paris, France
References
Acs ZJ, Szerb L. Entrepreneurship, economic growth and Synonyms

public policy. Small Bus Econ. 2007;28:109–22.
Acs ZJ, Desai S, Hessels J. Entrepreneurship, economic Globalization and entrepreneurship; International
development and institutions. Small Bus Econ.
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entrepreneurship
Audretsch DB, Grilo I, Thurik AR. Handbook of research
on entrepreneurship policy. Cheltenham: Edward
Elgar; 2007. Introduction
Autio E. High- and low-aspiration entrepreneurship and
economic growth in low-income economies. Paper pre-
sented at the UNU-WIDER workshop on entrepreneur- Globalization: An International Context for
ship in economic development, Helsinki; 21–23 Aug Complex Venturing
2008. The globalization of the economy is not new, but it
Baliamoune-Lutz M. Entrepreneurship and reforms in
developing countries. Research paper no 2009/04.
reaches an unprecedented level with the conjunc-
United Nations University, World Institute for develop- tion of multiple factors such as lower tax barriers
ment Economics Research; 2009. 18 pp. for international trade, lower cost of transport
890 Entrepreneurship in International Context
system, and lower cost of communication through can equally be efficient in such processes. Inter-
the Internet. Lower production costs are accom- national entrepreneurship is the area which
panied by the acceleration of international trade in focuses on the internationalization of small and
the second half of the twentieth century. young companies. In that respect, we can distin-
Globalization can be considered as an oppor- guish different approaches to internationalization
tunity for entrepreneurs, as it widens the perspec- - stage or systemic relating to different profiles of
tives for both supply and demand. On the supply companies: late developers and early developers.
side, entrepreneurial creativity is infused with a Late developers are small companies, which
range of new ideas coming from other entrepre- internationalize after establishing a strong posi-
neurs across the world. Furthermore, it offers a tion in their domestic market. Usually, they are
worldwide platform for new partners and sup- established SMEs which develop products and
pliers around the world, giving entrepreneurs a markets abroad progressively. This strategy is
wider scope for adding value to their offer. On mainly incremental, also known as a stage
the demand side, responding to various market approach. In that perspective, small firms will
needs from different countries and cultures also progressively develop organizational capabilities
enhances creativity and can lead to creating new for internationalization such as the skills to plan
products and markets. Thus, globalization the internationalization process in advance, to
increases the scope for detecting and exploiting organize and develop in foreign markets, and to
market opportunities from around the globe. effectively monitor markets (OECD 2008). In
However, globalization can also be a threat for order to analyze the process of internationaliza-
entrepreneurs. It shifts competition at a higher tion of late SMEs and corporation, management
level. Local markets are open to global competi- science scholars initially concentrated on the pro-
tors who can easily invade these markets with cess and organizational culture characteristic of
competitive products at a lower cost of produc- small firms with a limited amount of capital and
tion. If such market entrance might offer new relatively few clients. Studies following this tra-
products at lower prices for the customer, it can jectory focused entirely on opportunities for and
also contribute to the destruction of local pro- obstacles to internationalization. One such study
ducers who can hardly compete despite distinctive described a highly rationalized progression
competencies. involving four stages (Johanson and
In sum, internationalization is part of the busi- Wiedersheim-Paul 1975; Johanson and Vahlne
ness environment of every company. Even a small 1977). From that perspective, internationalization
company operating on a local market only might is a major objective at the outset - which presup-
have to face global competition depending on the poses that the entrepreneur behind the company
market’s scope and attractiveness. In that sense, should have a broad vision of where he or she
every venturing is inclined to design a more com- wants to take the firm, an advanced capacity to
plex strategy with an international insight, learn, a receptivity to new concepts and ideas, a
whether it concerns competition, suppliers, cus- high degree of diplomatic skills for the manage-
tomers, or partners. Good or bad, globalization ment of complex networks, and, since the time
goes in hand with the internationalization of both required to penetrate markets varies considerably,
large and small companies. an ability to adapt to different cultural contexts.
More recent studies have drawn attention to the
International Entrepreneurship or When Small fact that, for start-up companies, the process of
Goes International internationalization does not follow such formal-
At first sight, it seems that large companies are ized schemas (Karlsen et al. 2003; Autio et al.
more able to internationalize due to a sufficiently 2000). If a stage approach seems particularly
large domestic market and/or expertise in the suited for small business internationalization, var-
strategy of internationalization. However, it’s not ious scholars cited cases of born-global firms and
only a matter of size. Young and small companies small businesses experiencing rapid growth at the
Entrepreneurship in International Context 891
global level. Such counterintuitive cases have applied to operations at local levels. Such strate-
given rise to a new perspective in which SMEs gizing is relevant for large companies. Small com-
are “born global” or “early developers.” Such panies with experimental business models
young and small companies, qualified as early strategize at a local level, but they can aim at
developers, go international during the first years global operation (outsourcing, partnership, etc.).
of their establishment. Such precocity is a new For entrepreneurs, it has become apparent that
perspective on international entrepreneurship, and decisions concerning internationalization and the
it is known as “Born Global strategies” successes and failures deriving from them depend
(McDougall 1989; Oviatt and McDougall 1994, less on specifically organizational characteristics
2005; McDougall and Oviatt 1997). This approach (size, capital, resources) or on environmental fac-
E
provides an iterative and learning perspective on tors and the context of domestic and international
internationalization by focusing on the proactive regulations in favor of internationalization and
role of the entrepreneur in a dynamic process of more on the profile, training, and international
unique resource and competence building to con- experience of the entrepreneur (Lloyd-Reason
quer market opportunities abroad. This process is 2004). The character traits, experience, and moti-
largely enabled by networks that constitute the vation of the owner-manager determine the long-
most important source of change and opportunity term success of start-up companies in terms of
(Ucbasaran et al. 2001) - especially weak-tie net- internationalization. Lloyd-Reason and Mughan
works that challenge routines and established (2002), and Manolova et al. (2002) highlight the
beliefs and stimulate creativity and innovation degree to which the owner-manager must have
(Julien et al. 2004). Moen and Servais (2002) con- mastered his or her skills before implementing
clude that born-global firms reveal an important monitoring and planning procedures prior to mov-
change in export behavior. In order to establish ing into international markets. The stance taken by
precocious export strategies, they identify and Lu and Beamish (2001) is more radical: the inter-
acquire competencies within their close and distant nationalization process must emerge either when
networks. In the same vein, Knight and Cavusgil the company is founded or in its initial phases of
(2004) demonstrate that born-global firms have a development. Consequently, all training in the
more sophisticated knowledge base than the late field of entrepreneurship (incubators, continuing
developers. They emphasize that born-global firms education, initial training programs) should
have a strong marketing orientation that is encourage the emergence of those skills and,
sustained by solid technological capabilities in equally, foster a desire on the part of students to
their respective product and firm categories. seek out experiences or develop projects enabling
Sharp data mining about markets, customers, and them to develop such skills and identify the
competitors guide their international operations. resources required for elaborating successful
The born-global firms’ networks help to update internationalization strategies.
these precious data and, ultimately, support their
marketing strategy (Rassmussen et al. 2001).
Whether entrepreneurs are early or late devel- Conclusion and Future Directions
opers, globalization is revealing new entrepre-
neurial mindsets to think about the global and Surprisingly, literature on entrepreneurship edu-
local strategies when small businesses go on inter- cation and entrepreneurial support system does
national markets. not yet focus on international entrepreneurship.
Apparently, the paradigm of the born-global
Global Mindset for Local Entrepreneurs start-ups stresses business owners’ genuine skills
Large companies with established business and the firms’ spontaneous capabilities. There-
models but sometimes declining ones usually fore, there is no comprehensive research
strategize globally and operate locally. Strategic concerning the different learning processes in the
thinking is made at a global level before it is context of the internationalization of SMEs.
892 Entrepreneurship in Open Innovation Systems
Similarly, there is no mention of specific coaching Julien P-A, Joyal A, Deshaies L, Ramangalahy C. A typol-
and mentoring practice for entrepreneurs who are ogy of strategic behavior among small and medium-
sized exporting businesses: a case study. Int Small Bus
developing strategies of internationalization. Lit- J. 1997;15(2):31–48.
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concerning international entrepreneurship educa- C. Networks, weak signals and technological innova-
tion and counseling in order to stimulate more tions among SMEs in the land-based transportation
equipment sector. Entrepr Reg Dev.
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perspective, international entrepreneurship can nationalization of the firm, and inward-outward con-
thus be defined as “the creative enactment and nections. Ind Mark Manag. 2003;32(5):385–96.
Knight G, Cavusgil ST. Innovation, organisational capa-
envisioning of future scenarios and opportunities bilities, and the born-global firm. J Int Bus Stud.
for service/product/organizational transformation 2004;35:124–41.
that are socially constructed and realized through Lloyd-Reason L. Globalization and entrepreneurship: pol-
cross-border co-ordinations” (Fletcher 2004, icy and strategic perspectives. J Small Buss Enterp.
2004;11(2):266–77.
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place through the entrepreneurs’ personal net- internationalisation within SMEs: the key role of the
works, but it can also be catalyzed through local owner-manager. J Small Bus Enterp Dev.
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▶ Entrepreneurial Opportunities enterprises. J Int Mark. 2002;10(3):49–72.
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Entrepreneurship Policies 893
options, we have a wide range of actions, from

Entrepreneurship Policies socialist to liberal. The Keynesian option consists
of introducing rationality into market mechanisms.
Dimitri Uzunidis So today, even in the free market economy, pub-
Research Unit on Industry and Innovation/ lic authorities have an important role to play to
CLERSE–CNRS (UMR 8019), University of promote industrialization, entrepreneurship, and
Lille Nord de France, Research Network on the development of knowledge in science and tech-
Innovation, Dunkerque, France nology. Governments have to build the framework
Political Economy, Research Unit on Industry and to sustain economic activity and the durability of
Innovation University, University of Littoral Côte their power. Since the end of the 1970s, in a new
E
d’Opale, Dunkerque, France context of deregulation and privatization, the eco-
nomic role of the state has changed. The state in
Synonyms developed countries is less of an entrepreneur but
more and more a manager of economic develop-
Entrepreneur; Innovation; Public policy; ment. The creation of enterprises is an important
Regulation economic challenge, to promote innovation, to cre-
ate new jobs, and to support economic growth in
Economic policy refers to actions that governments different territorial areas. More generally, we
take in the economic field. It covers the system for observe a convergence between the behavior of the
setting interest rates and government budgets as well state and that of firms. Both have an entrepreneurial
as the labor market, the size of the public sector, and character. They take decisions according to a ratio-
many other areas of government interest in the nal calculation between costs and benefits, even if
economy. There are different types of economic public policy is a response to market failure. In this
policy, for example, trade policy, redistribution of entry, we will present some generalities about con-
income, the regulatory environment, antitrust, temporary economic and political context to explain
industrial policy, and so on. Since antiquity, govern- how the nature of public policy has changed since
ments have played an important economic role, for the beginning of the 1980s. Thus, we will review the
economic, social, and political reasons. Public pol- main characteristics of public policy (short-term and
icy is linked with state power. For example, the main structural policy). Today, public policy is one of four
subject for the mercantilist economists in the seven- elements to support economic growth by entrepre-
teenth to eighteenth century was how to collect a neurship. To explain this process, we have devel-
large quantity of resources from other countries and oped the concept of the organic square of
to keep them within the borders of their own coun- entrepreneurship, which will be presented in the
tries. Some years later, Adam Smith and other clas- last part of this entry. There exists no magic formula
sical economists would discover the secret of to develop entrepreneurship and innovative enter-
wealth: labor power. The creation and the develop- prises. The four elements of the organic square of
ment of new business has for many years been, for entrepreneurship are public policy, entrepreneurs’
governments, a means of attracting new revenues by resource potential (see the entry on this subject),
taxation. Ever since the industrial revolution, the economic organization, and market situation.
development of innovative enterprises has been an
important factor in the competitiveness of the econ-
omy. So, the objective of governments is to collect Historical Context and Evolution of
resources to strengthen their political and economic Public Policy in Developed Countries
power. Different tools are available to them to
achieve this objective: by strong political and eco- After the Second World War and Keynesian
nomic regulation (based on public property and Policy
planning) and by the definition of framework laws After the Second World War, economic growth
(ownership, market regulation). Between these two was supported by a strong public policy in the
894 Entrepreneurship Policies
economies of Western countries in Europe and in The Crisis of the 1970s: A New Definition of
the United States. According to the theory of the Public Policy (A New Place for Market
welfare state, the state was an important actor in Regulation)
economic and social life: to promote or to develop The economic crisis of the 1970s was also the
education, health, and social justice and to build crisis of this public policy based on Keynesian
infrastructures (airports, roads, harbors, and so principles. Liberal policy, which was ineffective
on). Numerous enterprises in strategic activities during the 1950–1970s, was promoted as the new
were public (energy, steel industry, water, tele- solution for economic growth. For example,
communication, and so on). For instance, according to W. Baumol (Baumol et al. 1982)
according to Galbraith (1967), Williamson and the theory of the contestable market, a per-
(1968), and Chandler (1977), it seemed inevitable fectly contestable market has three main features.
that exploitation of economies of scale by large It is a market that has (1) no entry or exit barriers,
corporations would become the main engine of (2) no concealed costs, and (3) access to the same
innovation and technical change. In this context, level of technology. The objective of Baumol is to
J. K. Galbraith (1967) argued about a convergence demonstrate the superiority of the market econ-
between American and Soviet systems. Even if omy over the state economy. The objective is to
the economy of the United States was based on develop competition and mechanisms of market
private property (and the Soviet economy on equilibrium: in this context, to create conditions
state-owned property), in both economies, the for the perfect competition of neoclassical theory.
role of the state was very important in promoting For liberal economists, this is the guarantee of low
industrial activities. We know that Galbraith prices and economic prosperity. The main objec-
spoke principally about the military-industrial tive is to reduce inflation. The decrease of the
complex which had an important role in both economic role of the state promotes entrepreneur-
countries during the Cold War. But since the end ship. For example, the privatization of public
of the Cold War and the downfall of the Soviet enterprises and in general the deregulation mea-
Union (at the beginning of the 1990s), public sures have created new opportunities for invest-
priorities have changed. ment by entrepreneurs in different industrial
During the 1950–1970s, the objective of sectors and in service activities (distribution of
governments was not to promote the creation electricity, water, telecommunication, transport,
of new firms, but to develop big public corpo- and so on). To sustain economic growth, govern-
rations to rebuild the economy after the Second ments reformed the financial system: numerous
World War. The product of this policy was the public banks were privatized, and the financial
development of a new salaried society. Today, in markets, virtually nonexistent during the
developed countries, 80–90% of the working 1950–1970 period, have taken an important new
population is salaried. In these conditions, the place in the economy of capitalist countries.
spirit of initiative, according to J. A. On the other hand, in this new context of com-
Schumpeter or M. Weber, has disappeared. The petition, the principles of the welfare state are
objective of the new public polices is to rekindle revisited. The objective is not yet to distribute
this spirit of initiative which was the engine of public aid but to help to find a new job or to create
heroic capitalism (see the section on the a business. For example, to realize this objective,
▶ Heroic Entrepreneur, Theories). But this new educational programs are developed to
does not mean the decline of large firms, and a update and develop new competencies and skills.
return to the perfect competition model (infinite To summarize, the objective of the state is to
numbers of buyers and sellers), but a new con- create a framework (regulations and laws) to fos-
text to promote entrepreneurship in order to ter economic initiative and competition. On the
create new firms and to promote innovation other hand, the development of financial markets
and change in current enterprises. (as a consequence of deregulation policy) gives
new opportunities to public authorities to raise Structural Policy

revenues. But the cost of this new freedom is Structural policy consists of a set of industrial and
very high. Since the beginning of the 1990s, eco- innovative measures whose objective is to build or
nomic growth has been less stable, and economic to develop the scientific and technological poten-
crises have become numerous in developed and tial of the country, by definition in a long-term
also in developing countries. perspective:
1. To promote the creation of innovative

The Means of Action for Public Policy enterprises
2. To develop new technologies and knowledge
E
Since the 1950s, developed countries have put in and to facilitate technology transfer from sci-
place a set of public instruments to drive and to entific centers to businesses (and specially to
push economic growth. The national accounts large firms)
give a set of indicators to determine the economic 3. To help cooperation between scientific centers
situation and to intercede if needs be. To realize its and businesses to develop new technologies
objectives of economic growth and innovative and knowledge with a high scientific content
development, the state has developed different at global level
principal means of action (Barro 1990). We can 4. To develop means of technological and com-
distinguish two types of public policy: (1) short- mercial intelligence to canalize the strategies of
term policy and (2) structural policy. businesses (large and small)
The Short-Term Policy The results are cumulative and (by definition)
The objective of short-term policy is to manage of long-term nature. The objective of public
urgent problems, by definition for a short-term authorities is to support entrepreneurial strategies
period, for example, to create businesses to create to create jobs and innovation.
jobs and to attract foreign firms to create jobs. The The main measures of structural policy for
results of public measures in this case must be promoting investment are the following:
quick (less than 1 year). Public authorities target
in this case (a) firms whose costs of production are 1. Massive public investments to develop means
very high (e.g., heavy industries) and (b) potential of communication and transport; education,
businesses in low added-value sectors based on a research, financial support for innovation,
determinate trade. The main measures of a short- health policy, and quality of life by the promo-
term policy are the following: tion of cultural activities
2. Introduction of means for financing research
1. Financial incentives: grants to create new busi- and innovative policy to develop relations
nesses and help for investment, recruitment, between enterprises and scientific centers
subsidized loans, and so on. These different 3. Development of networks between firms (large
types of aids can be attributed by central gov- and small) and scientific centers
ernment or by local authorities.
2. Fiscal incentives: reduction of taxes on invest- In the event, we are confronted by two different
ment, tax exemption for importing different types of strategy: the public strategy whose objec-
types of production machinery or raw tive is to attract and to retain businesses, invest-
materials. ments, and knowledge inside its borders and, on
3. Indirect incentives: subsidized real estate or the other hand, the entrepreneurial strategy whose
buildings (e.g., in the business sector), means objective is to develop activities at the world level
of communication, access to public markets, to capture new resources from different countries.
and so on. So, in a world economy, the objective of public
896 Entrepreneurship Policies
authorities is to capture resources to develop their access in order to set up or develop their business.
scientific and technological potential. The indica- The economic organization has several dimen-
tors of countries’ economic performance are sions and different effects. The general level of
based on national accounts (gross domestic prod- growth in knowledge influences the knowledge
uct, balance of trade, and so on). Firms have their gathered by entrepreneurs (through their educa-
own strategy, and they (large groups) can declare tion and that of their staff and through economic
their income in different countries where taxes intelligence) and the technical level of their activ-
may be lower. Such groups can develop a world ity. A societal knowledge stock is composed of a
strategy corresponding to their growth objectives. set of knowledge stemming from activities by
The main difficulty of public policy (but also the incumbents and start-ups, that is, knowledge
reason for the existence of public policy) is that refers not only to scientific discoveries but also
the economic context (in today’s terms, the capi- to knowledge associated with novel ways of pro-
talist society) is characterized by change. Change ducing and distributing in traditional businesses,
is created by the activity of entrepreneurs, and modifying business models, changing marketing
major change comes particularly in a context of strategies, and so on. In a context of economic
crisis. Change also creates new investment oppor- deregulation, according to Coase (1937), large
tunities (new needs causing an increase in firms develop outsourcing for a part of their activ-
demand, and so on). So, we are facing a paradox: ities (industrial or services). For individuals, this
the objective of public authorities is to promote strategy can be an opportunity to create a busi-
economic change which is the main element of the ness. The characteristics of the financial system
economic competition between economies. But, (possibilities or difficulties of being listed on the
on the other hand, public authorities intervene in stock exchange, more or less conservative banks,
the market to stabilize economic activity in period and access to venture capital) have an impact on
of crisis, for example. So if public policy has the capacity of the individual to become an entre-
changed since the 1980s in an economic context preneur and on the development of new busi-
marked by the liberal theory, we observe also that nesses. Market concentration and the place of
the state is also an important economic actor. large companies also influence the dynamism of
entrepreneurial activities. Finally, the overall eco-
nomic situation determines the rhythm of new
The Organic Square of Entrepreneurship creation and also the types of activities conducted
and Public Policy by such businesses (see Fig. 1).
State intervention explicitly promotes and
The organic square of entrepreneurship (OSE) is guarantees the drawing up of coherent rules in
formed by four elements: (1) public policies, order to organize public and private economic
(2) entrepreneurs’ resource potential, (3) eco- activity and, in our case, to facilitate innovation
nomic organization, and (4) large firms. These and business creation. Public policy directs and
four elements are linked by synergistic relations, coordinates the different economic performers to
but each element has the same importance. create the organic square of entrepreneurship.
A public policy cannot by itself promote entrepre- State intervention can take different forms: finan-
neurship and create innovative enterprises, but the cial assistance for activities which generate eco-
role of the government is rather to create a busi- nomic resources, creating devices that allow
ness climate. For example, the composition of the business creation, and the imposition of proce-
resource potential of the entrepreneur depends dures for cooperation between public and private
not only on his own personal qualities but also on bodies with the objective of funding private
external and social factors. In particular, public investment projects likely to have wide-scale eco-
support (to create jobs and to promote innovation) nomic impact.
for the creation of new enterprises usually deter- The creation of a pool of productive and finan-
mines the financial resources entrepreneurs can cial resources (able to be appropriated at any time
Economic organization
Regulation
Public policy Financial system
Fight against unemployment Place of large firms
through the creation of Level of technological and
enterprises knowledge development
Stimulate innovation through Demand (solvency, consumption
the creation of enterprises trends…)
ENTREPRENEURSHIP
E
Large firms Entrepreneurs’ resource

Outsourcing of a part of their potential
production/service activities Knowledge
(cost reduction) Financial resources
Innovate either through R&D Social relations
expenditures or through the
injection of venture capital,
partnership, etc.
Entrepreneurship Policies, Fig. 1 The organic square of entrepreneurship (OSE)
by companies and potential entrepreneurs) is con- revolution (and especially during the nineteenth
sidered to be the fundamental aspect of state inter- century), public policies have become more
vention in innovation and entrepreneurship. sophisticated with the objective of changing and
Traditional scientific and technological policy developing economic activity. Since the end of the
has been replaced by one of research and innova- Second World War, public policies have been
tion (structural policy). In order to be fruitful in developed to integrate a large range of activities
terms of competitiveness, the state has to guaran- (social, education, health, transport, energy, and
tee the efficiency of the procedures for transfer- economic regulation). The economic growth of
ring knowledge, technologies, and ideas between the 1950–1970s was based mainly on large public
enterprises, entrepreneurs, public institutions, and companies and economies of scale. These compa-
other nongovernmental organizations (the “com- nies and the public scientific system became the
mercialization” of R&D, support for the creation engine of economic growth. But the economic
of networks to boost innovation and competitive- crisis of the 1970s was also the crisis of the
ness among firms, etc.) with regulations Keynesian model. Public policies have since
(protection of patent rights, antimonopoly mea- changed to promote entrepreneurship.
sures, etc.), the tax system, the budget, etc., in Today, it is clearly evident that economic
order to favor the emergence of new innovative growth is based on entrepreneurial activity. It is
enterprises (short-term policy) (Laperche not an exogenous phenomenon. Entrepreneurial
et al. 2008). activity is influenced by a large range of elements:
public policy (of course) but also the strategies of
large companies and the economic framework
Conclusion and Future Directions (financial system, market situation, and so on).
The role of the state is to canalize entrepreneurial
Historically, governments had played an impor- activities which create innovation and jobs. The
tant economic role in collecting resources to wealth of the state is based today on entrepreneur-
strengthen their power. Since the industrial ial dynamics and on financial markets. But this
898 Entrepreneurship Policy
state wealth is also less stable. Since the beginning Entrepreneurship policies are diverse. Based on
of the 1990s, economic crises have become more a broad definition of entrepreneur, entrepreneur-
frequent and widespread. This instability can pro- ship policies include intrapreneurship policy, a
duce social unrest. large part of small business policy, and innovation
policy, in addition to parts of development policy
and even employment and immigration policies.
References Finally, it may touch cultural policy or even social
integration policy.
Barro RJ. Government spending in a simple model of With entrepreneurship policy, we are at the
endogenous growth. J Polit Econ. 1990;98(5):103–26. heart of the debate between structures and human.
Baumol W, Panzar J, Willig R. Contestable markets and the
theory of industrial structure. New York: Harcourt
Brace Jovanovich; 1982.
Chandler A. The invisible hand. Cambridge, MA/London: Definitions
The Belknap Press; 1977.
Coase R. The nature of the firm. Economica.
1937;4:386–405.
Neither scholars nor policymakers have all the
Galbraith JK. The new industrial state. London: Routledge; tools necessary to scientifically understand and
1967. govern entrepreneurship policies, which are still
Laperche B, Uzunidis D, von Tunzelmann N, editors. mainly pragmatic. However, it is possible to make
Genesis of innovation. Systemic linkages between
knowledge and market. Cheltenham: E. Elgar; 2008.
clear some terms and debates.
Williamson O. Economies as an antitrust defense: the
welfare tradeoffs. Am Econ Rev. 1968;58:18–42. Entrepreneurs
Theoretical and pragmatic approaches of entre-
preneur are divided into – at least – four categories
(Ahmad and Seymour (2008) detailed 14 defini-
Entrepreneurship Policy tions, from Cantillon (1755) to European Com-
mission; with no mention of Ronald Coase) (1937
Patrice Noailles-Siméon and 1988):
European Forum for Innovation Policies – Evry
University – RRI, Paris, France 1. Entrepreneur as a “true” innovator. This
seems to be the definition of Shane and
Venkataraman (2000) and was the definition
Synonyms of Schumpeter (1911–1982) as well as the
OECD (2009). Entrepreneur is a man who
Development policy; Innovation policy discovers opportunities, including innovative
opportunities. This seems also the mind of
Entrepreneurship thrived in Mesopotamia, long Wessner and Audretsch (2005 and 2007).
before there was any entrepreneurship policy. 2. Entrepreneur as a creator of a new organiza-
This is underlined by Baumol et al. (2010). tion. This included one-person companies,
Throughout history, entrepreneurs, who are not which can be part of an employment policy
all innovators, have had many different embodi- such as the “auto-entrepreneur” in France.
ments, from the large landowners described by This was the original meaning by Richard
Cicero, through the Cistercians and lords in the Cantillon (1755), who required some risk in
Middle Ages, to inventors such as Gutenberg and the activity of the entrepreneur.
Edison and businessmen such as Ford and Eiffel. 3. Entrepreneur as an intrapreneur or growth
The term entrepreneurship policy became a leader who develops businesses in existing
“politically correct” policy topic in the 1990s. companies, possibly including innovation.
Today it is a requirement in policy topics, at the 4. Social entrepreneur, often called a nonprofit
center of a society’s ability to progress. entrepreneur, who creates value for the society
Entrepreneurship Policy 899
as a whole, mainly through the creation of an • Global economic and social environment
organization in a nonprofit environment. This (infrastructure, regulation stability, deregula-
includes also political changes in regulation, tion, free markets for finance, goods, and labor)
which may broadly affect business and the • Creation process (1 day and no cost plus phys-
global capacity of value creation. ical infrastructure, including “cluster” and
start-up facilities)
As shown in Fig. 1, “entrepreneur” is a concept • Development assistance (financing solutions
similar to “innovator” but different. Entrepreneurs (e.g., SBIC), market openness (e.g., SBA),
also may be copycats or simply business people in R&D transfer)
established activities. • Entrepreneur concerns (management of risk,
E
For those who still confuse the two terms, look patents, tax incentives, insurance)
at the Innovator Reference and at the work of • Ethics and ideology (cultural and social norms,
Lederman D., Messina J., Pienknagura S., and open city)
Rigolini J. (2014) for the World Bank that • Education and training programs
explains how you can get many firms but little
innovation in Latin America. Entrepreneurship policy belongs to the liberal
side of economics, whereas innovation policy
Entrepreneurship Policy comes from a state-organized economy. They
Entrepreneurship policy enables entrepreneurs to have merged because entrepreneurship seems to
start and develop new ventures. It aims to make it be the best way to speed up innovation.
easier to create new enterprises and/or develop
new products and services. National or global Entrepreneurship Policy Management:
policies are the legal side, and local policy is the Decision-Making, Governance, and
societal side. It bears on low-technology eco- Assessment
nomic activity as well as high-tech (although the While entrepreneurship policies have progres-
latter is emphasized here). Overall, it encom- sively involved many different government sec-
passes a social dimension of risk acceptance, a tors at several levels (national, regional, and
view of life, and an ethic that allow individuals local), there is no established organization for
to become entrepreneurs. This seems to be the entrepreneurship policy, nor any established gov-
way in which the World Bank does business. ernance or official assessment!
Entrepreneurship policy includes six main Japan has a minister of state for innovation, not
topics: for entrepreneurship, but Japan is not more
Entrepreneurs, Copycats & Innovators
Entrepreneurs, founders Entrepreneurs

of a new organization, = Innovators Lord-innovators
Including Copycats (Schumpeter)
ENTREPRENEURS INNOVATORS
Social Entrepreneurs Growth leaders Social innovators

(non profit) Intrapreneurs
© Patrice Noailles-Siméon – 2011-16
Entrepreneurship Policy, Fig. 1 Entrepreneur and innovator

successful than other countries. The British gov- perform the same function as the SWPC. In
ernment decided in 2007 that the prime minister 1952, it has been decided to shut down the RFC,
would control innovation and entrepreneurship and President Dwight D. Eisenhower proposed
policy; however, Her Majesty’s Treasury still the creation of a new agency combining the
manages a large part of it. main functions of the RFC and OSB.
Entrepreneurship Policies 1953: SBA

The Small Business Administration (SBA) was
Entrepreneurship policies are not theoretical created by the Small Business Act of 1953. Its
approaches; they are entirely pragmatic and effi- function was to “aid, counsel, assist and protect,
ciency driven. They began in the United States in insofar as is possible, the interests of small busi-
the 1930s, with the New Deal, and increased ness concerns.” In addition, the SBA would
during the 1950s and after. ensure small businesses a “fair proportion” of
government contracts and sales of surplus prop-
US Entrepreneurship Policy: From SME to erty. In 1954, the SBA began to make direct loans
Innovation and to guarantee bank loans to SME.
The US entrepreneurship policy, which originally In 2011, the SBA was a multifunction agency
was not known by this name, began as small and with a budget of US$ 500 million and eight major
medium enterprise (SME) policy before dealing programs: financial assistance, contract opportu-
with research and innovation and then with job nities, disaster assistance, online training,
creation. Today, the Small Business Administration counseling and assistance, special audiences,
(SBA) and seven laws (SBA, Subchapter S, Busi- laws and regulations, and compliance. New
ness Angels, Small Business Investment Company efforts for minorities and clean technology were
(SBIC) and venture capital (VC) regulation, Small implemented at the beginning of 2012.
Business Innovation Research (SBIR), the Bayh-
Dole Act, and patents) make up the current entre- 1958: SBIC and Subchapter S
preneurship system in the United States. The Small Business Investment Company (SBIC)
The SME policy of the United States was the was established to finance privately owned ven-
model for numerous other countries: Taiwan ture capital investment firms with the help of the
(1954), the Netherlands (1954), Canada (1961), US government. These investment companies,
Australia (1973), the United Kingdom (1970), dedicated to investing in start-ups and SMEs,
Ireland (1982), Finland (1993), and Spain (1996). can get a loan at low rate (1%) to double their
capital. This allows leveraging of their efficiency,
1932–1952: RFC and OSB for SME which is necessary to obtain fair profitability in
The Reconstruction Finance Corporation (RFC) the venture capital business.
was founded in 1932 by President Herbert Hoover The Subchapter S law was adopted in 1958 and
to finance all kinds of businesses and was inte- reexamined several times since then. Through
grated into the New Deal program by President assessment reports and the study of Robert Gaston
Franklin D. Roosevelt. (“The Informal Supply of Capital,” 1988), this
The SWPC (Smaller War Plants Corporation) was system has contributed to the emergence of one
created in 1942 to provide loans to private entrepre- million business angels in the United States,
neurs and was dissolved at the end of the World War investing from $30 to $100 billion annually.
II; its activities were transferred to the RFC.
The Office of Small Business (OSB), part of 1980–1982: SBIR-STTR, the Bayh-Dole Act, and
the Department of Commerce, provided informa- Patents
tion to SMEs. To meet the industrial demand for US electronics
During the Korean War, the Small Defense at the end of the 1970s, the US Congress adopted
Plants Administration (SDPA) was created to three main laws regarding R&D and technology
transfer. The idea was that America had to pre- market approach, venture capital funds and busi-
serve its innovation capacity by better using its ness angels (see below) are natural parts of a
R&D capacity. Patents’ improvements and SBIR National Innovation System (NIS). Due to the
were adopted for better applied R&D, and the necessity for due diligences and management
Bayh-Dole Act was enacted to accelerate – and fees, these funds can only invest in developing
even force – technology transfer. projects, in an amount of more than US$ 1 or
The Small Business Innovation Research 2 million.
(SBIR) program is a partnership program between For seed capital and early-stage development,
SME and federal research agencies. The STTR angel investors are able to invest any small
(Small Business Technology Transfer) program amount without management costs and due dili-
E
takes a similar approach with SME and nonprofit gence. They have the capacity to evaluate from
US research institutions; this is clearly a mix with either a specialist point of view or a proximity
innovation policy. evaluation. According to professional associa-
tions and the Small Business Administration, the
Year 2010: Immigration, Toward a Startup Visa Act number of US angel investors is estimated to be
The Kauffmann analysis determined that around 300,000 per year. Angel investors are
immigrants found companies at greater rates often retired entrepreneurs or executives who are
than native-born Americans do, and they are investing not only for monetary return but also to
disproportionately more successful in starting help other entrepreneurs and to become a real
high-growth and high-tech firms. This leads two partner.
senators to propose a new law granting green In 2011, we saw the first beginnings of
cards to foreign entrepreneurs and even to all crowdfunding on the Internet, allowing angel
STEM (science, technology, engineering, mathe- investors to invest small amounts (some thou-
matics) graduates. This is also a mix with innova- sands of US$) in a venture together with many
tion policy. others. Today, this activity is not clearly regulated.
Crowdfunding, which began in the independent
2011: Patent Law music industry, could be considered as a kind of
On September 16, 2011, the US Congress passed microfinance. Regulation has to be deepened in
the America Invents Act, a new patent law fol- the United States as well as in Europe because this
lowing decades of debates, and three “patent is a kind of public offering. On April 5, 2012, the
reform acts” of 2005, 2007, and 2009. This act Jumpstart Our Business Startups Act (JOBS Act)
modifies the US patent system from a “first-to- was signed by the President of the United States. It
invent” to a “first-to-file” system, eliminates inter- intended to encourage funding of small businesses
ference proceedings, and expands post-grant by easing various securities regulations.
opposition. This act also defines the new organi-
zation for the US Patent and Trademark Office Entrepreneurship Policies for Developing
(PTO). Countries (OECD-ONU-WEF-UNCTAD/United
Nations Conference on Trade and
1945–1970–2016: The Birth and Growth of Development)
Venture Capital (From VC Funds and Angel For many development organizations, experience
Investors to Crowdfunding) has shown that the most efficient approach to
The modern form of venture capital began with reducing poverty in low-income countries is the
the ARDC (American Research and Development development of productive capacities, i.e., “pro-
Corporation) and a French-American Harvard ductive resources, entrepreneurial capabilities and
professor, Georges Doriot, just after World War production linkages which together determine the
II. The legal status took time, however, and came capacity of a country to produce goods and ser-
along with private equity funds in the 1960s. In a vices and enable it to grow and develop”
strict sense, this is not a national policy, but in a (UNCTAD).
On this basis, all international organizations the “pôles de développement” or now “competi-
now urge to the development of entrepreneurship tiveness centers.” Results have been limited,
policies. according to a study by the French Parliament.
In year 2008, France created a “self-employ-
Europe: Science, Innovation, and Unicorns ment” status, named “auto-entrepreneur,” that
In Europe, there used to be conflicts between two contributes to confusion on “entrepreneurship.”
kinds of policies: the centralized approach of Nevertheless, this status is a success but is not a
innovation policy and the market approach, in part of a real entrepreneurship policy.
other words between liberal and not. Four Global Entrepreneur Policy Models
As the debate on innovation and entrepreneur- There are four main kinds of combined entrepre-
ship policies took place at the beginning of 2000 neurship policies:
and ended with the Lisbon Agreement, it was only
possible to build a general agreement, except on • Development policy; SBA is the base of this
the global R&D expenditure, with a target of 3%. policy.
Entrepreneurship and transfer of technology pol- • Innovation policy.
icies were ignored, as there were wide differences • Employment policy, which came later, in the
among countries. The differences were also large 1980s, with research financing and adapting
in education systems. Each country is supposed to the rules to create a society and even one-
organize its own policy. In 2016, as the result of person company.
all these policies was not appropriate, the Euro- • And a fourth is rising: entrepreneur policies
pean Commission decided to organize two public founded on education by the ecosystem (begin-
hearings (or equivalent) on the “start-up policy” ning by families).
and “unicorns policy.”
For innovation, there are two major directions
France, from “State Innovation” to in addition to research financing:
Entrepreneurship and Auto-entrepreneur
General de Gaulle looked for new ways of obtaining • The Anglo-Saxon model, mainly based on
power, and, after him, Georges Pompidou sought market-driven innovation. This model seems
economic development. France had a state innova- to be efficient for breakthrough innovations.
tion policy during the 1960s and 1970s, with large • The Continental Europe model, relying mainly
national programs such as Ariane (rocket), Airbus on big firms or the state to manage innovation
(planes), TGV (train), Minitel (IT), high-pressure system. This model works well for incremental
nuclear plants (energy), and even computer chips innovation and for diffusion.
(STMicroelectronics). Other programs for machine
tools and computers were less successful. However,
at the same time, the first company in the world to Theoretical Debates
manufacture a microcomputer for business, named
Micral, was created in 1972 by M. Truong in Historical Evolution
France, as Apple was founded in 1977! However, There have been three major trends in the theoret-
Truong worked alone and didn’t find financing. ical debates since the 1930s and a fourth trend is
After selling several tens of thousands of profes- developing.
sional microcomputers between 1972 and 1977, he
sold Micral to a large company (Bull), which did not The Pure Pragmatic Way (Since the 1930s)
understand the product. The work of the US Congress (and of politicians
Innovation policy without entrepreneurship and their advisors) shows us the importance of
policy is a centralized model that can be found being pragmatic in political decisions, since they
in many countries, with still less success than in have established the basis of entrepreneurship
France. France has also tried some kinds of clus- policy without even having the intellectual tools
ters, with the “technopoles” in the 1980s and now to build it!
There is still a pragmatic way that consists of Is wealth of family more important than eco-
treating each problem as it comes: “proof of con- system or the most important part of the ecosys-
cept center,” “incubators,” “accelerators,” “death tem? The study of Alex Bell and al (2016) is clear
valley,” “innovation death spiral,” “prototype cen- for innovation: rich families are more productive
ters,” and so on. Each problem has a limited in “inventors” than poor families. And Jamoussi,
solution. The ultimate problem is to organize E. B., and Maalaoui (2015) demonstrated that
and rationalize them all. entrepreneurship is a family characteristic and
entrepreneurs could learn more in their family
The Entrepreneur Theoretical Way (Starting in the than elsewhere.
1960s, Emerging in the 2000)
E
From the 1960s, entrepreneurship began to be the Entrepreneurship for Growth?
subject of research, reports, and debates by Remember that, until 1980, the academically cor-
scholars and in think tanks. These first steps rect approach to development or employment in
were mixed with questions on innovation, as an the twentieth century was based on the idea that
entrepreneur was often seen as an innovator. large firms were the major sources of economic
The scholarly debates on entrepreneurs actu- growth and employment. Neither entrepreneur-
ally began in the 1990s, and Venkataraman drew a ship, nor innovation, was a subject for economic
picture for future academic work in 2000 (Shane study.
and Venkataraman 2000), but only for entrepre- Nevertheless, during the 20 last years of the
neurship, not for entrepreneurship policy. twentieth century, scholars and policymakers
pointed out two key facts (Birch and al 1987):
The Global Economic Approach (in the 2000s)
Scholars and policymakers need global analysis • The major role of new firms is job creation,
and not only pragmatic and incomplete accounting for more than 80% of job creation
approaches. By this time, they had a global eco- in the United States. See works done with the
nomic approach, but it was still not completely support of the Kauffman Foundation and its’
academic. In this context, there are two main website.
kinds of debates: the existence and the efficiency • The role of new enterprises is the innovation
of entrepreneurship policy (see below). process and growth (Block and Keller
But there is another economic question, which is 2008 and 2011).
the quality of entrepreneur. In classical economics,
we see only three actors: the market, the consumers As a result, after being ignored in previous
(mass), and the producers (companies). We never theories, the entrepreneur and the start-up became
speak about individuals. There is no room for entre- central in economic development.
preneurs. The question today could be “what is the At the same time, the theory of the contestable
place of entrepreneurs in economics.” markets was developed (Baumol 1982) and gave a
theoretical entrance for the new policy approach,
Three Emerging Anthropological Questions: The which became a clear shift from the managed to
Roles of Culture, Wealth, and Family the entrepreneurial economy. As a result, the pre-
Behind this question regarding the entrepreneur in mise of entrepreneurship policy is market failure
economics, we find a more general debate in soci- together with the idea that when markets are effi-
ology and economics about the individual in these cient, innovation will destroy the equilibrium
two sciences. The debates are between social sci- (Venkataraman 1997).
ences, from sociology to economics, and individ- In a period of globalization, innovation is the
uals. We also find the question of the relationship only way to renew the competitive advantage of
between sociology and psychology, between eco- developed countries, and entrepreneurship is the
nomics and management. These debates have a most efficient way to foster innovation. Thus,
common point: the importance of culture that much should be done to make the entry of actors
regulates the individual behavior in the society. of innovation easier. New policy must also
deregulate, privatize, and enable knowledge uses innovation nor entrepreneurship. There is a qual-
through R&D transfer. ity effect, as with artistic creation, and a proximity
effect, which nobody understands nor controls.
Systemic or Individualist Approach/Company or It is clear that there is no relationship between
Entrepreneur? entrepreneurship measured by the number of new
Among policymakers and politicians, efficiency is companies/inhabitants and the quality of innova-
often the ultimate goal, without trying to find the tion in the same area. The statistics in France and
theoretical explanation. For this reason, these peo- the United States are consistent on this point.
ple apparently speak indifferently of an “entrepre-
neur’s ecosystem” as well as an “innovation Local or Global? Efficiency of Cluster Policies
system” or “systemic policy” or even of “rain In the 1990s, policymakers and scholars became
forest” (Hwang and Horowitt 2012). convinced that the local level is the key for entre-
Nevertheless, there is a dispute over the theo- preneurship. In the mid-1990s, clusters were the
retical bases of these policies: alpha and omega of innovation policy seen by
OECD. However, reports from international insti-
• On one side, economists are at least tutions were skeptical of the efficiency of the clus-
quantitativist and work on the factors of entre- ters in Japan or in France during the first decade of
preneurship, trying to modulate policy mea- the twenty-first century. The OECD cluster policy
sures according to efficiency. They gladly of the 1990s has been progressively replaced by
speak about marginal efficiency of the lower “fostering innovation” and is moving toward a
rate of corporation tax, while they speak much global concept of enabling entrepreneurial acts.
less of ethics and ideology. They speak about Organized “top-down” clusters are not the
economic system and structure. best, whereas spontaneous clusters that are “bot-
• On the other side, some economists are speak- tom-up,” such as Boston or Silicon Valley, are the
ing about entrepreneurs and their way of life. In most effective. If clusters are no longer the way to
this approach, there is a diminishing interest in entrepreneurship, the “local” is still a key
the infrastructure concepts as the National approach. The right concept of local seems to be
Innovation System or clusters as the key object “territory” that is still a fuzzy concept, meaning an
of the politics. These “old” concepts are area where people have a common view on life, a
shifting from operating concepts to description kind of ideology, and a proximity, allowing the
concepts. And the key concept of entrepreneur- building of a community spirit.
ship policy begins to be the entrepreneurs, their At the moment, there is still not established
ethic, and their risk management or values, all opinion and the local concern of entrepreneurship
that we can consider as an ecosystem. policies, except that there is a heavy local trend in
entrepreneurship policies. See the reprot of the
Debates on Efficiency of Tools for Innovation- French Parliament (2009).
Entrepreneurship Policy
The Emergence of the “Entrepreneurship
Management of the Knowledge Spillover? Culture” Concept
Localization, Proximity, and Quality Effect Entrepreneurship culture is a concept that comes
The knowledge spillover theory of entrepreneur- from management. The subjects were “top-down
ship tends to localize start-up close to the actual innovation” or “firm culture,” and consultants still
source of knowledge. The question still exist of use these concepts.
how it works: in the 1970s there were many peo- As there are many emerging concepts and
ple around the Xerox PARC and only one com- probably no accepted model, everybody must
pany named Apple! Clearly, there is no matter of stay aware of. After “fostering innovation,” we’ll
quantity. If knowledge input increases by 100%, discuss “innovation or entrepreneurship culture.”
you cannot be sure of a similarly increase of But look out, you need both structures and mind!
The Emergence of Measuring in the phase preceding the birth of the firm
Entrepreneurship (nascent entrepreneurs) or the phase spanning
31⁄2 years after the birth of the firm (owner-man-
After more than 10 years of controversial debates agers of new firms).
between scholars and policymakers, three series
of indicators are under development in the world. Doing Business
“Doing Business” is an annual report by the WEF
The TEA Index by GEM (World Economic Forum) and the World Bank
Global Entrepreneurship Monitor (GEM), a that provides open data on the way of doing busi-
worldwide organization whose guiding purpose ness in each country. “Starting a business”
E
is to measure individual involvement in venture includes four criteria: procedures (number), cost
creation, is developing a number of indicators that (% of income per capita), time (days), and paid-in
are progressively extended worldwide. The major minimum capital (% of income per capita).
index is TEA (Total Early-Stage Entrepreneurship Table 2 shows the best and worst rankings.
Activity – see Table 1): the prevalence rate of This assessment is far from accurate regarding
individuals in the working-age population who the entrepreneurship policies in most developed
are actively involved in business start-ups, either and even developing countries; however, in 2011,
it is the only available worldwide assessment.
Entrepreneurship Policy, Table 1 TEA index (%) in

innovation-driven economies (Source: GEM Reports OECD: Eurostat
2011and 2015)
In 2006, the OECD launched the EIP (Entrepre-
TEA index – TEA index – neurship Indicators Programme) to build interna-
Country 2011 2015
tionally comparable statistics on entrepreneurship
Australia 10.5% 12.8%
and its determinants. In 2007, Eurostat jointed the
Belgium 5.7% 6.2%
project. The first partial reports were edited in
Denmark 4.6% n.a.
2008 and 2009, and a global report has been
France 5.7% n.a.
available since 2011. See “Defining entrepreneur-
Germany 5.6% 4.7%
South Korea 7.8% n.a.
ial activies” by Nadim AN and Seymour RG
Sweden 5.8% 7.2% (2008a, b). OECD has made the choice to follow
United 7.3% 6.9% three series of indicators, as detailed in Table 3:
Kingdom determinants of entrepreneurship, entrepreneurial
United States 12.3% 11.9% performance, and impact.
Entrepreneurship Policy, Table 2 Top ten and bottom ten of starting a business ranking in Doing Business 2011 and
2016 reports (Sources: Doing Business Reports – 2011 and 2016)
Easiest 2011 Rank Easiest 2015 Most difficult 2011 Rank Most difficult 2015
New Zealand 1 Singapore Iraq 174/180 Equatorial Guinea
Australia 2 New Zealand Djibouti 175/181 Angola
Canada 3 Denmark Congo Rep. 176/182 Haiti
Singapore 4 South Korea São Tomé and Príncipe 177/183 Chad
Macedonia 5 Hong Kong Haiti 178/184 Congo Rep.
Hong Kong 6 United Kingdom Equatorial Guinea 179/185 Central African Rep.
Belarus 7 United States Eritrea 180/186 Venezuela
Georgia 8 Sweden Guinea 181/187 South Sudan
United States 9 Norway Chad 182/188 Libya
Rwanda 10 Finland Guinea-Bissau 183/189 Eritrea
Entrepreneurship Policy, Table 3 Topic categories for entrepreneurship indicators (Source: OECD – Entrepreneur-
ship at a glance 2015)
Policy Assessment give any guarantee of success if there is no cul-

Due to the EIP program, there is now a measure- tural and societal policy.
ment system that enables a global rating and At the end, in this matter of “entrepreneurship
maybe assessment. policy,” which is still a new subject of scholarly
Several parliaments have made punctual studies, there is no established academic opinion
assessments: the US Congress has realized assess- regarding the way to success. Far from theoretical
ments of the US policies, from SBA to SBIR. debates, policymakers need only some golden tenets
French Parliament made the assessment of to avoid major failures. According to the opinions
“pôles de développement” or clusters in 2009. expressed in publications edited by GEM,
Kauffman Foundation / Lerner (2009), Babson Col-
lege, the World Bank, UNCTAD (UNCTAD Secre-
tariat 2011), and others (Porter 2003), there are
seven golden tenets:
There are two major conclusions and future direc-
tions for policymakers and scholars.
1. Think people and ecosystem, not just structure or
Some Rules of Thumb for Policymakers system: there is no mechanical system producing
As a general conclusion of this short entry, it entrepreneurs, but an ecosystem enabling people
seems that almost all the financial and physical to become entrepreneurs. Think global entrepre-
tools are useful and often necessary, but they don’t neur ecosystem, not only environment.
2. Think worldwide and local: not too big and not questions, perhaps economics will have to join man-
too small. Entrepreneurship needs global con- agement, and the link between management and
nections but entrepreneurs live locally. economics could be the entrepreneur. In fact, for
3. Be politic and watchful: give orientations and policymakers, entrepreneurship policy is already
means; don’t drive by yourself; take care that the link between economic policy and the regulation
public initiatives need long time. Don’t look of business.
for immediate effect. Implement a careful eval-
uation system (quality and quantity). Cross-References
4. Be yourself and be cautious: success is never
only a matter of copying. Correct choice of entre- ▶ Accompaniment of Business Creation E
preneurship policy instruments is determined by ▶ Entrepreneurship
context. Use international standards to finance ▶ Innovator
entrepreneurship and innovation, respect market ▶ Risk, Uncertainty, and Business Creation
opinion, and use the well-tested tools from start-
up funds to proof the central concept.
5. Don’t forget knowledge, from education to R&D. References
6. “The entrepreneurial spirit” is the only way to
drive the new economy. Take care of establish- Ahmad N, Seymour RG. (2008), “Defining entrepreneurial
activity: Definitions supporting frameworks for data
ment. You need many stakeholders to support collection”, OECD Statistics Working Papers, OECD
entrepreneurs. Publishing; 2008/1.
7. “Think risk-bonus management” as the key Audretsch D, Grilo I, Thurik R, editors. Handbook of
driver for entrepreneur. research on entrepreneurship policy (with contributions
of Lundström A, Stevenson L, Wessner C, et al.). North-
ampton: Edward Elgar. Max Planck and EIM; 2007.
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Entrepreneur may find that entrepreneurship is not Baumol W. Contestable markets, an uprising in the theory
a current concept in economics. Entrepreneurship of industry structure. Am Econ Rev. 1982;72(1). http://
www.aeaweb.org
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in the 1930s. Because of its success, it was devel- Princeton University Press; 2002. ISBN 0691096155.
oped further in the 1950s. Today, management Baumol W, Landes DS, Mokyr J. The invention of enter-
academics try to elaborate the conceptual analysis prise, entrepreneurship from ancient Mesopotamia to
modern times. Princeton University Press, The
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Apart from armies and some Indian companies or Bell A, Chetty R, Jaravel X, Petkova N, van Reenen J. The
postal services in Europe, the big companies began to lifecycle of inventors. SSRN Electronic Journal.
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the center of economic life. Even Schumpeter Block FL, Keller MR. State of innovation: the U.S. govern-
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The rise of big business seemed to confirm Coase R. Firm, the market and the law. Chicago: Univer-
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eral or Marxist. Market, materialist, and central- Coase RH. The nature of the firm. Economic. 1937;4
(16):386–405
ized economies knew only structures and mass, French Parliament, Mission d’Evaluation et de Contrôle –
not individuals. But the years 1950–1980 brought by Cleys (A), J Gorge (JP) and Lasbordes, Information
a new idea, which is the comeback of the entre- report on Clusters Prospects, Sep 23, 2009.
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Bell National Technical Information Service; 1988.
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preneurship. OECD statistics working paper. www.
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Environmental Determinants
inquiry into profits, capital, credit, interest, and the of Entrepreneurship
business cycle [Paperback]. Transaction Publishers;
1911–1982. ISBN-10: 0878556982. Download the Imen Selmi1 and Samia Haddad2
French translation on http://classiques.uqac.ca/ 1
National Engineering School of Gabes (ENIG),
Shane S, Venkataraman S. The promise of entrepreneur-
ship as a field of research. Acad Manag Rev. 2000;25 Gabès, Tunisia
2
(1):217–26. Institute of High Commercial Studies of Tunis
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ment commission. Key aspects of entrepreneurship and
innovation policy frameworks for enhancing local pro-
ductive capacities. www.unctad.org. 2011.
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Wessner C. Local heroes in the global village: globaliza- External factors
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Introduction
Web Sites The entrepreneurship literature have long been

GEM., http://www.gemconsortium.org
Kauffman Foundation., http://www.kauffman.org/
interested in the question: What are the determi-
OECD., http://www.oecd.org nants of entrepreneurship? Literature analyzing
World Economic Forum (WFE)., http://www.weforum.org this question has – in the early researches –
Environmental Determinants of Entrepreneurship 909
examined the impact of personality trait on In addition to these roles, Verstraete and
the creation of a new venture. Then, from the Saporta (2006) stressed the importance of the
1980s, it has been recognized that the external family as a source of funding. In fact, financial
environment plays also a crucial role in the pro- resources are indispensable for the potential entre-
cess of new-firm foundation by researchers preneur to start his new venture.
adopting a more holistic approach to study the
entrepreneurship by taking into account both
individual and environmental determinants. Education
Thus, individual factors are opposed to envi-
ronmental factors. Individual factors are linked to Additional studies found that entrepreneurial
E
the individual himself while environmental fac- intentions and actions are significantly associated
tors are related to the context in which the entre- with education. Aurifeille and Hernandez (1991)
preneur is situated. They refer to political, note that individuals with higher education level
economic, social, and cultural elements that pro- are more likely to become entrepreneurs. They
mote the foundation and the development of new argue that schools and universities are an impor-
ventures. tant source of knowledge spillovers and they give
This entry contributes to review the literature people skills and abilities in a particular domain
which explored the effects of environmental fac- encouraging them to create new ventures.
tors on entrepreneurship activities. An important number of researches have
Many authors have identified the environmen- examined the impact of different entrepreneurship
tal determinants of entrepreneurial behaviors of programs (entrepreneurship awareness, support,
individuals. The most studied factors in the entre- etc.) on the foundation of enterprises. Peterman
preneurship literature are entrepreneur’s family (2000) indicates that entrepreneurship education
and friends, universities, work experience, terri- intensifies perceived feasibility of starting a busi-
tory, and national culture. It has been demon- ness and increases interest in entrepreneurial
strated that these factors have a considerable careers. It appears at a specific time in students’
impact on entrepreneurship. lives playing a crucial role in their career choices.
Entrepreneur’s Family and Friends Prior Experience
Entrepreneur’s family and friends play a crucial One other important determinant studied in many
role in the decision to create a new venture. researches is the prior experience of the entrepre-
Muhanna (2007) notes that individuals whose neur. Ardichivili et al. (2003) describe the impor-
relatives and friends are entrepreneurs are more tance of prior experience in the development of
likely to be entrepreneurs. He explains that grow- market knowledge and in the recognition of suc-
ing in a social circle with many entrepreneurs cessful opportunities. They demonstrate that most
allows individuals to consider them as examples business ideas stemmed from prior experience.
of success. Thus, the entrepreneurial process is Generally, entrepreneurs create their businesses
perceived as a recognized and valued behavior. after having worked in the same activity of the
They can also benefit from the experiences and new company and where they have acquired their
advices of these people throughout the process of skills and their experiences with the product or the
creation of their companies. Furthermore, the role technology used. The work offers also to the
of the family and friends can be manifested by employee the opportunity to develop relations
forming entrepreneurial teams. Several entrepre- with the employer and experienced colleagues.
neurs found their businesses with their colleagues These relations are important because they favor
at the university or at work to benefit from com- learning and develop different cross-curricular
plementary skills and sources of funding. skills. Hsu (2007) takes into account the
910 Environmental Determinants of Entrepreneurship
importance of prior venture founding experience They relate to the different places known and
in the development of negotiating abilities and frequented by individuals. Additionally, he was
network contacts which are very necessary to the interested in contextual and economic factors.
firm’s success (e.g., contacts with suppliers and
customers). Consequently, the entrepreneur has a
positive perception of his self-efficacy or self- Contextual Factors
confidence to succeed the creation of his
enterprise. Contextual factors are factors that generate a dis-
continuity in the personal or professional trajec-
tory of an individual driving him to the
Territory entrepreneurship without a prior intention to cre-
ate a business. They may be positive (“pull fac-
Another prominent area of research has examined tors”) or negative (“push factors”) (Shapero
the impact of a favorable territory on the creation 1975). “Pull factors” may be a meeting with a
and development of successful enterprises. The potential client or partner, recognition of an
board conclusion of this literature is that this opportunity, etc. However, negative factors can
type of territory offers a favorable business cli- be unemployment, layoff, unsatisfactory work
mate composed of a developed infrastructure and conditions, etc.
many institutions such as incubators, technology
parks, and state-driven laws (Fayolle 2003). Ter-
ritories may have many characteristics that attract Economic Factors
potential entrepreneurs and encourage them to
create their businesses. These characteristics can Economic factors relate to the availability of the
be an infrastructure suitable for the emergence of required human, technical, financial, and informa-
entrepreneurship, the agglomeration and urbani- tional resources which are very important to start a
zation benefits in a given environment – urban new business. In other words, the difficulties of
location and the existence of several enterprises access to these resources can be a serious obstacle
in an industry have an influence on the creation of to the creation of new ventures.
new ventures – and the presence of different insti-
tutions (financial institutions, institutions of sup-
port, etc.). The technology park is a relevant National Culture
example of a territory composed of enterprises,
universities, and structures of support. The pur- Several researchers noted that the creation of new
pose is to promote the creation and the develop- venture is also function of national culture. Audet
ment of new and innovative firms. et al. (2005) argue that the emergence of entrepre-
Thus, all these characteristics are particularly neurs cannot be realized without the cultural influ-
impactful on entrepreneurial activities because ence of their environment. According to these
they facilitate and accelerate the foundation of authors, the concept of culture is associated with
new ventures. Consequently, they increase the “the existence of models of entrepreneurs in the
overall likelihood of innovation and entrepreneur- social environment,” “the social attitude towards
ial success. failure,” “the social status of the entrepreneur and
Many researches in the entrepreneurship liter- the entrepreneurship as a career choice,” “the
ature find some evidence that family and friends, media treatment of the entrepreneur,” and “the
education, prior experience, and territory are perception of the presence of business opportuni-
important in determining entrepreneurship. ties.” If the image of entrepreneurship as a career
Fayolle (2003) has studied all this determinants. alternative is positive, it may be a factor which
He defined them as social and cultural factors. encourages a large number of individuals to the
Environmental Determinants of Entrepreneurship 911
creation of new ventures. If it is negative, it may and practical cases. That will allow students to
discourage many entrepreneurial activities. develop their entrepreneurial abilities and to
A large empirical literature has tested the role of have the motivation to create new businesses.
environmental factors influencing entrepreneur- The image of entrepreneurship as a career alter-
ship. Typical explanatory determinants contain native should be also improved and valued by
education, capital assets, previous professional media by providing proximity between individ-
experience, and professional status of the parents uals and successful entrepreneurs.
(Freytag and Thurik 2007). Furthermore, in his Such recommendations could be impactful on
empirical study conducted on 65 entrepreneurs in the promotion of entrepreneurship which is seen
South Africa, Muhanna (2007) demonstrates that as a source of wealth, new jobs, and economic
E
education, previous experience, and social network development for any nation.
in addition to other individual determinants such as
self-confidence and risk tolerance are important for
the choice to become an entrepreneur. It should be Cross-References
noted that most of the researchers have studied the
impact of each determinant cited in this entry alone ▶ Business Climate and Entrepreneurship
and only some researchers have examined the ▶ Business Incubator
influence of all of these factors on entrepreneurial ▶ Clusters
activities. ▶ Entrepreneurship Education
▶ Financing Entrepreneurship
Conclusion and Future Directions ▶ Love Money
In conclusion, this entry sought to contribute a ▶ Social Networks and Entrepreneurship
greater understanding of the environmental fac- ▶ Territory and Entrepreneurship
tors that encourage individuals to create new ven-
tures. The study was focused on the most studied
determinants in the entrepreneurship literature. References
These determinants are often examined separately
by a great number of researchers in the field. Ardichivili A, Cardonzo R, Sourav R. A theory of entre-
Attention was paid on the role of family, edu- preneurial opportunity identification and development.
cation, prior experience, territory, and national J Bus Ventur. 2003;18(1):105–23.
Audet J, Riverin N, Tremblay M. L’influence de la culture
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As a recommendation, it is very necessary that citoyens: le cas du Canada. In: Riverin N, Jean N,
public policies do not lose sight about the impor- editors. L’entrepreneuriat chez les jeunes du Québec:
tance of these determinants. For example, provid- Etat de situation (2004). Chaire d’entrepreneuriat
BombardierR-JA, HEC Montréal; 2005.
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infrastructure and the multiplication of institu- entrepreneurial, d’une population étudiante. Econo-
tions supporting entrepreneurs (like incubators, mies et Sociétés Séries Sciences de Gestion.
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Fayolle A. Le métier de créateur d’entreprise; motivations,
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entrepreneurship. tions d’organisation; 2003.
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2007;17:117–31.
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In order to achieve this objective, entrepreneurial tional capital, and venture capital funding. Res Policy.
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912 Environmental Factors
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DC, USA
2
UNU-MERIT (Maastricht Economic and Social
Research Institute on Innovation and
Technology), Maastricht University, Maastricht,
Environmental Factors The Netherlands
3
Intensive Care Medicine Unit, Department of
Respiratory Medicine, Allergology and Sleep
Medicine, University Clinic for Emergency and
Intensive Care Medicine, Paracelsus Medical
University, Nuremberg, Germany
Environmental Innovation 4
▶ Green Innovation 5
Environmental Innovations Austria
6
Unit for Quality Enhancement (UQE),
▶ Green Business and Entrepreneurship
Austria
7
Environmental Justice Higher Education Research (WIHO), Alpen-
Adria-University Klagenfurt, Vienna, Austria
▶ Empty Spaces in Space
Synonyms
Environmental Management Academic firm; Creative destruction; Entrepreneur-

ial university; Global innovation ecosystems;
▶ Small Businesses and Sustainable Higher order learning; Innovation diffusion; Knowl-
Development edge for growth; Knowledge production; Mode 1,
Mode 2, and Mode 3 knowledge production sys-
tems; Quadruple innovation helix systems;
Regional, sectoral, and self-similar innovation net-
Environmental Scanning works and knowledge clusters; Smart specialization
strategies; Strategic management of technological
▶ Information Monitoring and Business Creation learning; Technology and business life-cycle
Epidemiology of Innovation: Concepts and Constructs 913
The Conceptual Socio-Technical, making it more difficult for them to sell or refi-
Socioeconomic, and Sociopolitical nance their assets. This leads to a type of “social
Context for the Epidemiology of contagion,” where a single event or a series of
Innovation events can lead to deleterious consequences for
an entire community. Traditional economic and
With the onset of organized human activity going financial theories have failed to adequately incor-
back thousands of years and surely since the porate these sociocultural, institutional, and other
industrial revolution, science, technology, innova- evolutionary forces into their empirical and theo-
tion, and entrepreneurship have evolved to major retical frameworks.
determinants of the way humans live. In the west- One field of study that has incorporated a com-
E
ern world, science, technology, and economy are prehensive approach to human decision making
interrelated and have allowed for both the growth and policy design is public health, and its empir-
of the economy and the emergence of national and ical subfield of epidemiology. Public health not
supranational structures and the so-called global- only recognizes that the outcomes of effective
ization. Due to this common perception, the last decision making are multifaceted (and explicitly
decades are characterized by a steadily raising incorporates this fact into its theoretical and
interest of scholars for the many interactions empirical models) but also recognizes that those
between science, technology, and socioeconomic outcomes are driven by (and collectively drive)
development and its sociopolitical implications. social norms, institutions, and public policies. In
There is an extensive debate concerning the influ- short, public health adopts ecological and evolu-
ence, evaluation, role, connections, and transfer of tionary principles as core tenets.
science and especially technology upon, within, In this broader context, the theoretical concept
and between societies and in particular within of innovation, based on the ideas of Joseph
and across sectors of economic activity and Schumpeter, has evolved and been used in the
geographic regions. The same reasoning may study of many aspects of those interactions. The
apply to business, industries, sectors, and clusters notion of innovation has been studied in a variety
at the macro, meso, and micro levels. of contexts (e.g., technology, manufacture, com-
The recent economic downturn has highlighted merce, and social systems) and has been proven a
the dynamic interplay between economic forces useful tool for both situation analysis and policy
and general health and well-being of consumers making in a sectoral, regional, national, and supra-
and businesses. Indeed, the recent global eco- national perspective. Although further interdisci-
nomic developments have revealed the existence plinary research of such a complex social
of clear rhetorical analogies between medicine phenomenon is needed, certain conclusions can
and economic science. The metaphor of the eco- already be drawn on the role of innovation. It is
nomic crisis as a “financial disease” that “spreads” widely accepted that innovation enriches eco-
throughout the financial markets has been used to nomic evolution by increasing its substrate,
describe the complex phenomenon of chain reac- namely the technologies that are used.
tions between economic interconnected entities Since the emergence of the so-called endoge-
(Evangelatos and Carayannis 2014). Examples nous theory of growth the research interest has
in the popular media describe situations in which been focused on the micro-level and takes into
job loss or other unexpected events (for example, account the fact that innovation does not occur
the onset of a chronic condition or an increase in in isolation but depends on a “selection” environ-
variable rate debt service payments) can cause ment. This is highlighted by its tendency to cluster
many households to become insolvent, and ulti- in sectors, causing structural, organizational, and
mately to file for bankruptcy. Similarly, in the institutional changes.
housing market, foreclosures within a community Taking into account that nations, regions, and
depress property values for other homeowners sectors as well as firms and universities are open,
and business owners within that community, esoteric, heterogeneous systems, it seems
914 Epidemiology of Innovation: Concepts and Constructs
reasonable to assume that the ability of such a The origins of epidemiology can be traced in
system to produce or adopt innovation plays an Hippocrates and his hypotheses about the impact
important role to their economic performance. of environmental factors on the occurrence of
Indeed, the way these systems learn, accumulate, disease. The reintroduction of classical Greek
convert, and transfer innovation concepts and prac- texts in combination with the development of
tices, i.e., the diffusion of innovation, is a condition commerce and the exploration of the new world
sine qua non for economic performance and devel- in the Renaissance disseminated an underlying
opment. The study of innovation diffusion has belief of a relationship between physical phenom-
therefore fairly attracted the research interest of ena and mathematical axioms among scholars and
many scholars and has led to the development of university professors. This trend to quantify phe-
many relevant theories and empirical models. nomena signifies the birth of modern epidemiol-
ogy as well as the birth of social sciences.
It is in this same spirit that Descartes’ concep-
Definition of Terms: Epidemiology, tion that organisms in general and the human
Innovation, and Interrelations Thereof beings in particular (possibly even the human
mind) are no other than special-purpose machines
Epidemiology started to dominate the western world (Cowan
Epidemiology is “the study of the distribution and 1993). At approximately the same time and
determinants of health-related states or events in place the sociopolitical conditions, referring
specified populations, and the application of this mainly to merchant, had as a consequence the
study to the prevention and control of health prob- establishment by the revolutionary French Acad-
lems” (Last JM. A dictionary of epidemiology, emy of Sciences, with Laplace as chairman, of the
4th ed., Oxford University Press, 2001). Being a International System of Measures and Weights.
fundamental science of public health, epidemiol- This trend to mechanize and measure almost
ogy uses quantitative methods and has made everything was the matrix out of which resulted
major contributions to the improvement of popu- the possibility to quantify and represent every-
lation health. thing that happens in the human body in state of
Traditionally considered a biomedical science, health or disease. In the late seventeenth century
epidemiology is in reality an interdisciplinary sci- William Petty publishes his pioneering work
ence with contributions to other scientific fields “Political Arithmetick,” promoting the assump-
among others in biostatistics, social and behav- tion that society could, in a clear analogy to an
ioral sciences, demography, and geography. This organism, be studied with the use of mathematics.
evolving conception of epidemiology as a liberal The term epidemiology is coined in 1802 with the
art has also found applications in emerging fields publication of Epidemiologia Espanola by Don
of studies (Fraser 1987). In the field of computer Joaquin Villalba.
science the use of biological analogies has led to Despite diverging paths between epidemiology
the development of various theoretical models for and the social sciences, they both rely to a great
the prediction of the rate and extent of propagation extent on each other through a diffusion of
of a computer virus infection (Epidemiological methods and ideas mainly due to the same sub-
models applied to viruses in computer networks strate of their research, namely groups of entities.
(Piqueira et al. 2005). Furthermore, the use of In the second half of the twentieth century and
epidemiological investigations and interventions with the emergence of social constructivism,
has been increasingly focusing on social networks social sciences began to use theoretical tools
leading to a better understanding of the processes from epidemiology in an attempt to quantify
that determine how networks form and how they their research and gain scientific merit. On the
operate with respect to the spread of behaviors other hand, epidemiologists try to track origins
that affect public health (Christakis and Fowler and patterns of contagion to social behaviors.
2009). This new mutual grafting is signified by the
emergence of new scientific journals such as the commonly used as indicators of national eco-
Journal of Health and Social Behavior and Social nomic performance. Productivity lies in the core
Science and Medicine. of every measurement that tries to evaluate eco-
Having already stated that research in dynam- nomic growth and is largely depending on invest-
ics of innovation diffusion has revealed patterns ment in capital formation, in people and in
resembling the spread of a disease over a human technical progress. A second level of agreement
or animal population, it is reasonable to investi- between economists is that of all these variables,
gate whether the diffusion pattern of innovation technological innovation is the most significant
can be studied using principles derived from and is considered to play a substantial role for
epidemiology. long-term growth of productivity. Indeed, innova-
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tion is one of the very few concepts that econo-
Innovation mists diachronically and persistently recognize its
Although a theoretical link between innovation significance. However, it was not until the late
and economic growth is almost self-evident, it nineteenth and early twentieth century that inno-
was not until after the WWII (Bush 1945) and vation was placed central to the theories of eco-
the work of Solow that innovation took a central nomic growth by Marx and Schumpeter,
place in formal economic models. Innovations respectively.
provide the necessary substrate for business Karl Marx and Joseph Schumpeter adopted a
opportunities and future innovations as well, similar approach which relied on the assumption
thus allowing for sustainable economic growth. that technological competition is the main form of
Those premises, which rely at a major extent on competition between firms in the capitalistic envi-
the work of Joseph Schumpeter, were further elab- ronment and that innovations set up the stage for
orated by economists who used mathematical business opportunities and future innovations as
tools and implemented those ideas to new domi- well, thus allowing for sustainable economic
nant economic models. Therefore, during the last growth. Their ideas were further elaborated by
decades, innovation has been intelligibly recog- economists who used mathematical tools and
nized by several nations as a major determinant of implemented those ideas to new economic models
economic growth. such as the “new growth theory” or the “endoge-
The importance of innovation for long-term nous growth theory.”
economic growth is almost self-evident. The sig- The theoretical concept of innovation has been
nificance of innovation for economic performance elaborated by researchers especially during the
was impressively illustrated by the research work last decades of the twentieth century and many
of M. Abramowitz. The core of his argument was of its characteristics, categories, and types have
that increase in the output of the economy results been elucidated. Although the boundaries
either from increase of inputs that go into the between different types or ways of innovation
productive process or by increase in productivity, are often fuzzy, the relevant research has
that is, increase in output per unit of input or highlighted four major areas in which innovation
output per worker. Abramowitz measured the takes place. Analytically, the term innovation
growth of both input (of capital and labor) and refers to either the capability to introduce or
output of the American economy between 1870 improve products or processes or the capability
and 1950 and discovered, surprisingly, that the to define or redefine the positioning of the firm or
measured growth of input accounted only for products or the dominant paradigm of a firm.
about 15% of the measured growth of output. Since Solow introduced innovation in formal eco-
Therefore, the residual 85% should be attributed nomic growth theory, a constellation of models
to other factors that could stimulate growth, have been proposed to conceptualize innovation
namely, technological innovation. According to and its relationship with growth. Among the most
many economists, productivity, income distribu- sophisticated and influential approaches are those
tion, and unemployment are the variables most highlighting the role of knowledge in the process
of innovation. Indeed, change and learning are environment, propelled in great degree by the
two sides of the same coin. This means that inno- exploitation of advances in science and technol-
vation entails knowledge either (and mainly) as a ogy. Perhaps the most striking example is the
precondition or as the cause of new problems, generation and organization of the Internet,
theoretical or practical, which demand new skills which has led to the rearrangement of the global
and knowledge in order to be solved. environment. One of the major aspects of these
During the last several decades a vast amount changes is the so-called globalization, indicated
of literature has shed light to the relationship by the birth of supranational structures such as the
between knowledge and innovation. It is almost European Union and the establishment of highly
incontrovertible that a process of continuous complicated networks between nations, organiza-
learning plays a most important role in the eco- tions, and the human agents which unify and
nomic performance of firms and nations mainly transform almost every aspect of social life
through its impact on innovation. This has led to including economical models, procedures, and
the recognition of knowledge-based innovation as interactions. On the other hand, regional, national,
a premise for infinite economic growth and to the and supernatural characteristics seem to affect
concepts of knowledge-based economy and learn- dramatically the different innovation systems in
ing economy. In the new global economy, the the contemporary economy. It is otherwise diffi-
economic performance of firms and nations relies cult to explain the increasing positive analogy
mostly on their learning and adopting abilities, between knowledge intensive economic activity
since the latter lead in turn in technological capa- and spatial clustering. In this constantly changing
bility. This can be conceptualized as the knowl- environment the reevaluation of certain premises
edge and skills necessary to choose, install, and concerning traditional core performance areas
operate new technologies and furthermore to especially in economy is almost imperative,
improve and develop them. In other words, learn- since economic growth plays a substantial role to
ing is in the core of what is called innovation nations’ and peoples’ welfare. It is within this
diffusion. wider context that new notions such as the
Innovation is a complex, nonlinear phenome- knowledge-based economy or the learning econ-
non and in order to study it all factors should be omy have emerged while others such as the theo-
taken into consideration that influence it and retical concept of innovation and more
enhance its diffusion in a certain environment. specifically the diffusion of innovation are now
Indeed, the interactions with the factors of the central in almost every theoretical approach of
“selection” environment are a dynamic phenome- economic growth.
non, where the impact of every factor on the Although Schumpeter referred to innovation
economic performance of a certain actor (e.g., a and recognized characteristics of the latter, such
firm) is almost unpredictable and therefore diffi- as the tendency to “cluster” in certain contexts, he
cult to measure. However, multifactor perfor- didn’t move his analysis any further as far as the
mance indicators, focusing on the knowledge origins or the management of innovation are
dynamic of the firm under evaluation, are the concerned. The last few decades a wave of
core of almost every attempt to determine its research on innovation has swept the debate
innovative status. Those approaches take into about theories of the growth of firms. The results
account the importance of information, skills, of such an enormous literature cannot be easily
and know-how to economic success with an summarized. Nevertheless, the point that almost
emphasis on knowledge varieties, growth, and every study highlights is that radical and mainly
diffusion as reflected to innovations related to incremental innovation, firm-specific technologi-
organization management, marketing and indus- cal knowledge accumulation, networking rela-
try environment and human resources. tionships, interaction with users, and integration
The current era is marked by significant of R&D activities, all play substantial role through
changes in the global socioeconomic a process of continuous interactive learning to the
growth of firms. Again, learning and knowledge, Romer and Lucas on the neoclassical theory of
scientific or technological, tacit or codified, plays economic growth resulted in the redirection of
a central role to the economic performance. By emphasis on the human capital as a major deter-
1996, the OECD report for the knowledge-based minant of technological progress and, in turn, of
economy recognized knowledge and knowledge long-term economic growth. Lucas expressed it
networks as a premise for infinite economic more explicitly arguing that the main propel of
growth through their impact on innovation. growth is the accumulation of human capital in the
Aspects of the role of learning or knowledge form of knowledge either codified or, to a perhaps
have been extensively studied by many econo- greater extent, tacit.
mists. Although innovation and learning are not Since innovation is regarded as a nonlinear,
E
interchangeable notions, research has shown that evolutionary, and interactive process between the
learning, at least in the form of learning orienta- firms and their selective environment, it is almost
tion of a firm, constitutes a major input in a pro- self-evident that in trying to conceptualize it any
cess where innovativeness can be viewed as the factor that plays a role in that concept should be
output. In the constantly changing environment taken into account. The term innovativeness
firms have to respond to many challenges. Sus- entails two different, dimensions, namely “inno-
tainable competitiveness relies foremost on the vation performance” and “innovation capabili-
ability of economic actors to adapt to the emerg- ties.” The concept of “innovation performance”
ing and rapidly changing techno-economic envi- refers to the current innovation activity as mea-
ronment. As mentioned elsewhere, this ability is sured empirically. On the other hand, the theory
mostly illustrated and embodied in the ability of that underlies the term “innovative capabilities” is
nations, regions, and sectors to be innovative. mainly conceptual. It is future oriented and
Innovation in turn, either in the Science, Technol- focuses on abilities to innovate that may be not
ogy and Innovation (STI) mode or the Doing, currently realized. Therefore, it is not directly
Using and Interacting (DUI) mode relies on learn- observable and it is hard to measure. As economic
ing and adopting. The context of the learning or thinkers have long started considering knowledge
the knowledge-based economy not only reflects as a major determinant of innovative capabilities
the increasing volatility of the products and the and therefore economic growth, intangible inputs
profound changes in the ways of production but of information, skills and competence in the form
also entails a normative dimension, in the sense of learning through experience, interaction, and
that facilitates the adaption to the new socioeco- networks play a significant role in competitive
nomic environment and the development of suit- advantage along with traditional, codified, for-
able policy tools. Indeed, in the new global mally produced scientific knowledge and the con-
economy the economic performance of firms ventional tangible economic inputs of growth
depends on their learning and adopting abilities, such as land, labor, and capital. The ability of a
since the latter result in technological capability, firm to learn and adopt, in other words the diffu-
that is, knowledge and skills necessary to choose, sion of innovation within a certain environment,
install, and operate new technologies and, further- plays a significant role to the economic perfor-
more, to improve and develop them. mance of firms. The ways innovation diffuse
A wide body of literature conceptualizes firm- between firms of the same cluster or the same
level technological progress, which leads to sus- sector should be taken into consideration in any
tainable competitiveness, as a learning process attempt to evaluate the innovation profile of the
and in particular higher order technological learn- latter.
ing (Carayannis 2000). In that sense, innovation is Beyond the level of the firms, the importance of
a key to economic vitality and a crucial factor the diffusion of an innovation may well precede the
which affects the learning ability of firms to take importance of the innovation per se, if taken into
advantage of and to create new business opportu- account that it is a sine qua non for the multiplica-
nities. The radical influence of the works of tive influence of the latter. Indeed, the adoption of
new ideas and practices (i.e., innovations) from a adoption,” whereas diffusion is “the process by
firm lead to a second order spread to other firms. which an innovation is communicated through cer-
This is a precondition for the adoption of a certain tain channels over time among the members of a
innovation from a certain number of firms that social system.” Going further, Rogers (ibid) dis-
constitute the critical mass for its establishment. It cusses five factors that impact the rate of adoption:
is for the above reasons that the study of dynamics (1) relative advantage, (2) compatibility, (3) com-
of innovation diffusion between firms and sectors plexity, (4) trial-ability, and (5) observability.
has attracted the research interest of many scholars In this seminal work, Rogers (ibid) argues that
who seek to identify which policy measures should diffusion is a generic process not depending on the
be adopted in order to achieve competitiveness and type of innovation or other spatiotemporal char-
better economic performance. acteristics, displaying the same regularities across
many typological boundaries. Further research
has highlighted certain characteristics of these
Diffusion of Innovation patterns of diffusion aiming at the design of rele-
vant models of the spread of an innovation mainly
In Latin the word “diffundere” means “to spread in marketing.
out.” Essentially being one of the several transport Most relevant research has tried to represent
phenomena that occur in nature, diffusion has the several reactions of the diffusion process with
been extensively researched and used not only in mathematical equations representing a formalistic
the physical sciences but in the social sciences as approach to the study of this phenomenon.
well, with anthropology being one of the first Gatignon and Robertson (1986) differentiate
scientific fields shedding light to the characteris- between theoretical (descriptive), normative, and
tics of this phenomenon. In his influential paper empirical models. It is worth noticing that
from 1940 Kroeber (1940) notes that this certain research in dynamics of innovation diffusion in
pattern of diffusion which he calls stimulus – or the field of marketing has mainly focused on the
idea diffusion “occurs in situations where a sys- temporal pattern of this diffusion as an innovation
tem or pattern as such encounters no resistance to spreads over a population following a pattern that
its spread, but there are difficulties in regard to the resembles the spread of a disease over a human or
transmission of the concrete content of the system. animal population. It is thus only fair to investi-
In this case it is the idea of the complex or system gate whether the diffusion pattern of innovation
which is accepted, but it remains for the receiving and the diffusion pattern of diseases share simi-
culture to develop a new content.” larities and obey the same general rules.
After the WWII the accumulated body of
research in the field of diffusion started having
application in market research. The ongoing indus- Epidemiology in the Study of Innovation
trialization and competition for market share Diffusion
highlighted the importance of notions such as diffu-
sion which in turn led to the increased finance and The current era is characterized by the emergence
research interest from the academic community. In of new fields of study that transverse the traditional
the recent decades the concept of innovation is boundaries between scientific fields. The new
considered a core topic of research in many hetero- evolving concept of globalization and the emer-
geneous scientific fields, ranging from anthropology gence of the new vast markets of East Asia pose
to politics and from education to marketing. great challenges to the political and economic field.
In the field of innovation the relevant research is Researchers from different disciplines are trying to
based on Rogers’ fundamental theory of innova- explain and interpret the different phenomena
tion diffusion (Rogers 1962). According to him, using not merely traditional theoretical tools from
innovation is “an idea, practice or object that is their tract but also enriching their armamentarium
perceived as new by an individual or other unit of with ideas and methods from other disciplines. For
traditional industrial powers such as the USA and infectious agent can replicate, exit the organism
the EU the massive transfer of manufacturing to and again, directly or indirectly, affect others. The
East Asia has highlighted the need for a paradigm cycle of contagion ends or starts over with the
shift in the economy. Not being able to manufactur- death of the afflicted host or its recovery.
ing anymore, these regions have to innovate in A schematic representation of the abovementioned
order to prosper and preserve their welfare. An characteristics would have the following form:
important and well-studied aspect of the innovation
concept is the diffusion of the latter. The signifi- Susceptible Infected
cance of diffusion relies on its multiplicative effect Recovered or Deceased
which is often many times more important than the
E
innovation per se. As already mentioned else- In such an attempt, the first step is to define the
where, diffusion of innovation has been exten- economic entity being referred to, i.e., the host.
sively studied and many fruitful conclusions have Although in a networked economy different eco-
been drawn. However, there are many aspects of nomic levels (firm, sector, cluster) are connected
this phenomenon that need an alternative approach with each, we need to identify the basic entity that
for their research. Epidemiology has gained popu- will later serve as the host of the contagious agent. In
larity in the last decades as it represents a “generic” this view, the most appropriate analogy is between a
science, offering methods of study that can be human organism living in a certain environment and
applied to many different scientific fields. In the a company active in a networked cluster. Indeed, if it
last years epidemiological tools and methods have is taken into account that human beings are similar
already been incorporated in economic related to their basic functions, choosing the level of com-
fields of study such as Epidemiology Economics pany as analogue to the human level eliminates
and Pharma-Economics. Furthermore, epidemio- potential confounding factors that would be impli-
logical models have already been used for the cated if economic entities of different scales are
quantitative study of the diffusion of ideas chosen such as a company, a cluster, a sector, or a
(Bettencourt et al. 2006). market economy. The sample of a possible epide-
Taking into account the similarities between miological study referring to business entities
diffusion on innovations and diffusion (in terms should be kept as homogenous as possible since
of contagion) of diseases in a certain “selection” that would allow for the extrapolation and general-
environment, it has been argued that epidemiol- ization of the relevant results. Relevant research has
ogy can be used in the study of innovation diffu- incorporated epidemiological models in the study of
sion among economic entities (Evangelatos and innovation diffusion mainly focusing on patents and
Carayannis 2014). patent citations as equivalents of infectious agents
In medicine, the dynamics of disease transmis- (Carayannis and Evangelatos 2014). Potential limi-
sion, i.e., contagion, are based on a schema tations are associated with the prevailing differences
consisting of a source or reservoir of infection, a between spread of diseases and diffusion of innova-
transmission mode and, a susceptible host. In this tion such as the fact that adoption of innovation is a
model the source of infection is defined as the conscious act that usually offers an advantage to the
person, animal, object, or substance from which adopter who, in contrast to a host infected from a
an infectious agent passes or is disseminated to the disease, does not activate his immune system in
host (immediate source). The reservoir is the natu- order to eliminate the offending agent.
ral habitat of the infectious agent. A carrier is an
infected person or animal that harbors a specific
infectious agent in the absence of overt infection. Special Case-in-Point: The
A carrier serves as a potential source of infection to Academic Firm
others. The transmission can be direct or indirect.
The susceptible host provides a portal of entry and The “academic firm” represents a type of firm
those environmental circumstances where the (firm-based organization) that focuses on
encouraging, supporting, and advancing knowl- nonlinear innovation may imply: (1) firms
edge production (research, research and experi- (academic firms) engage simultaneously in differ-
mental development, R&D) and knowledge ent technology life cycles at different levels of
application (innovation) within the context of the technology maturity; (2) firms (academic firms)
Quadruple Innovation Helix (government, univer- accept to a certain extent, even encourage, cross-
sity, industry, and civil society) (Carayannis and employment of their employees with other insti-
Campbell 2009). The academic firm is also tutions, for example, academic institutions, such
inclined to generate profit (revenues), but follows as universities or other higher education institu-
here more the logic of a “sustainability” in balance tions. Cross-employment, as a concept, identifies
with knowledge production and the principles of forms and varieties of multiemployment, where
knowledge production. The contrary concept to an individual person is being simultaneously
the academic firm would be the “commercial employed by more than one organization (by at
firm,” which is primarily being motivated and least two organizations): should those organiza-
driven out of an interest of maximizing profit tions also root in different sectors, then
(revenues). Between these two conceptual poles cross-employment displays characteristics of a
of understanding, there are various possibilities of trans-sectoral network-building (Campbell 2011).
a gradual or also unconventional (radical) combi- Academic firms express a particular interest to
nation of principles for the empirical organization network with universities, other higher education
of a concrete firm, its organizational manifesta- institutions, university-related institutions, and all
tion. The shortcut for a definition therefore is: forms and manifestations of organizations that con-
“The Commercial Firm concentrates on maximiz- duct an academically based type of research or
ing or optimizing profit, whereas the Academic basic research. Academic firms explore also possi-
Firm focuses on maximizing or optimizing bilities, options, and opportunities of networking
knowledge and innovation” (Carayannis and with other firms (academic firms, but also commer-
Campbell 2012, p. 27). cial firms). There always remains the challenge,
Knowledge and innovation are crucial key how to balance and how to refer to each other
drivers for the academic firm. Academic firms (out of the perspective of the firms) with regard to
can follow the logic of linear innovation, but cooperation and competition. Furthermore, net-
also the logic of nonlinear innovation. The works can integrate aspects of cooperation and
model of linear innovation often is being assigned competition. The organizational design of patterns
to Vannevar Bush (1945). This model assumes a of cooperation and competition allows creativity,
sequential “first-then” relationship, where there is and can also be captured and described by
first basic research at universities that gradually the notion and concept of “Co-Opetition”
diffuses out into society and economy, and where (Brandenburger and Nalebuff 1997) (see Fig. 1).
firms then translate the lines of basic research into Knowledge production in context of universi-
application and economic as well as commercial ties and the higher education system has been
uses and profits. But nonlinear innovation favors a explained on the basis of the models of “Mode
different approach. Nonlinear innovation is inter- 1” and “Mode 2” of knowledge production. Mode
ested in a more direct and parallel coupling of 1 emphasizes a traditional understanding and
knowledge production and knowledge applica- refers to university basic research, with no partic-
tion, where there are mutual interferences and ular interest in knowledge application, and being
parallel as well as parallelized interactions organized in context of academic disciplines.
between basic research and knowledge applica- Here, the established peers of the academic disci-
tion. The organization of nonlinear innovation plines define and decide on quality (acceptance
encourages creative organizational designs and rejection of work). Mode 2 already expresses
(Campbell and Carayannis 2012). In context of a greater interest in knowledge application and is
firm-based organizations, also for the academic characterized by the following principles:
firm, the processing and advancement of “knowledge produced in the context of
Epidemiology of Knowledge Application Knowledge Application

Innovation: Concepts (Innovation) (Innovation)
and Constructs,
Fig. 1 Knowledge
production, linear and Commercial
nonlinear innovation Firm
interaction between
academic firms, commercial Networks:
firms, and universities Cooperation,
(higher education Competition,
Co-Opetition.
institutions) (Source:
Authors’ own University-related
conceptualization based on Institutions E
Carayannis and Campbell
(2009, p. 211; 2012, p. 25)
and on Campbell and
Carayannis (2013, p. 29))

Higher Education
Institutions (HEIs)
Knowledge Production Knowledge Production

(Research) (Research)
application”; “transdisciplinarity”; “heterogeneity research and innovation. Mode 3 universities

and organizational diversity”; “social accountabil- (higher education institutions) have the opportunity
ity and reflexivity”; and finally “quality control” of offering and developing “Creative Knowledge
(Gibbons et al. 1994, pp. 3–8, 167; see further- Environments” (on creative knowledge environ-
more Nowotny et al. 2001, 2003, 2006). ments, see Hemlin et al. 2004).
“Mode 3” universities or higher education insti- Mode 2 and Mode 3 higher education institu-
tutions are inclined to seek and to explore creative, tions are the perfect organizational vis-à-vis of
novel, and innovative combinations of Mode 1 and academic firms to engage in trans-sectoral net-
Mode 2. One key interest of Mode 3 is “basic works and to perform good knowledge produc-
research in the context of application” (Campbell tion. Here, a creative and innovative hybrid
and Carayannis 2013, p. 34). Mode 2 as well as overlapping in regular frequency occurs or should
Mode 3 universities clearly meet and fulfill some of possibly occur. This represents a coming-together
the characteristics of the “entrepreneurial univer- and networking on equal and fair grounds. Not the
sity.” However, it is important to realize that a universities (higher education institutions) should
Mode 3 university is more than an entrepreneurial adapt one-sidedly to firms and their economic
university, in the sense that Mode 3 universities are needs, but both sides should learn mutually from
still interested in focusing on and in conducting each other to the benefit of all involved parties,
basic research. But the Mode 3 university does not actors, and institutions. The assertion is: “While
assume an intrinsic contradiction between basic the entrepreneurial (Mode 2) university represents
research and innovation (knowledge application): a partial extension of business elements to the
in fact, quite contrarily the Mode 3 university sees world of academia, the academic firm could
benefits and opportunities in a parallel (nonlinear) serve as an example for an extension of the
approach to knowledge production and knowledge world of academia to the world of business. Aca-
application, to forms of combinations between basic demic firms are knowledge-oriented, interested in
engaging in networks with universities (the higher ▶ Ambidexterity

education sector), encourage ‘academic culture ▶ Applied Design Thinking Lab and Creative
and values’ to motivate their employees, allow Empowering of Interdisciplinary Teams
forms of academic work (such as academic-style ▶ Artistic Research
publishing), and support continuing education ▶ China’s National Innovation System
and life-long learning of and for their employees ▶ Cross-Retirement (Cross-Employed and Cross-
(flexible time schemes, honoring life-long learn- Retired) and Innovation
ing and continued continuing education with ▶ Epistemic Governance and Epistemic Innova-
internal career promotion)” (Carayannis and tion Policy
Campbell 2012, p. 27). ▶ Global University System in World Society
▶ Innovation System of India
Conclusion and Future Directions ▶ Interdisciplinary Research (Interdisciplinarity)
▶ Joseph A. Schumpeter and Innovation
Epidemiological tools and methods have already ▶ Linguistic Dimension of Creativity, Invention,
been incorporated in economic and economically Innovation, and Entrepreneurship
related fields of study such as Epidemiology Eco- ▶ Mode 1, Mode 2, and Innovation
nomics and Pharma- Economics. It is therefore fair ▶ Multilevel Systems of Innovation
to argue that these methods could also be applied to ▶ Nonlinear Innovations
other economic issues such as the study of the ▶ N-Tuple of Helices
diffusion of innovation. The recent global eco- ▶ Palliative Care and Hospice: Innovation at End
nomic developments have revealed the existence of Life
of clear analogies between medicine and economic ▶ Preparing a “Creative Revolution”: Arts and
science underlined by the usage of relevant expres- Universities of the Arts in the Creative Knowl-
sions in scientific papers (e.g., economic recovery, edge Economy
economic health, financial health). It is often writ- ▶ Quintuple Innovation Helix and Global
ten that the economic crisis manifests itself like a Warming: Challenges and Opportunities for
“financial disease” and spreads throughout the Policy and Practice
financial markets. Traditional empirical and theo- ▶ Systems Theory and Innovation
retical frameworks have failed to incorporate the ▶ Triple Helix of University-Industry-Govern-
effects of these types of “social contagion” in their ment Relations
predictive models. It is therefore of crucial impor- ▶ University Research and Innovation
tance to explore if these analogies between medical
and economic terms could be used as the basis for a
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924 Epistemic Governance and Epistemic Innovation Policy
organizations, institutions, or systems (sectors)

Epistemic Governance and are being addressed, which should be governed.
Epistemic Innovation Policy In the context of higher education, governance
can refer not only to internal governance within
David F. J. Campbell1,2,3,4 and a university (higher education institution) or
Elias G. Carayannis5 within the higher education system but also to
1
Department of Political Science, University of external governance, for example, governance
Vienna, Vienna, Austria measures of a government for universities.
2
Department for Continuing Education Research A more detailed definition of epistemic gover-
and Educational Technologies, Center for nance would stress as follows: “‘Epistemic’ gov-
Educational Management and Higher Education ernance of and in higher education therefore
Development, Danube University Krems, Krems, requires that the underlying epistemic structure
Austria of higher education and, more particularly, also
3
Unit for Quality Enhancement (UQE), the underlying paradigms of the produced knowl-
University of Applied Arts Vienna, Vienna, edge are being addressed. Epistemic governance
Austria refers directly to the underlying ‘knowledge par-
4
Faculty for Interdisciplinary Studies (IFF), adigms’ of higher education that carry and drive
Department of Science Communication and higher education” (Campbell and Carayannis
Higher Education Research (WIHO), Alpen- 2013, p. 27). Here, in this definition, the focus is
Adria-University Klagenfurt, Vienna, Austria placed on “epistemic” in the context of “epistemic
5
Department of Information Systems and governance.” Consequently, one important impli-
Technology Management, European Union cation therefore is “good, sustainable and effec-
Research Center, GWU School of Business, tive (external and/or internal) governance of
The George Washington University, Washington, organizations, institutions or systems (sectors) is
DC, USA in the long run only possible, when the underlying
epistemic structure, the underlying epistemic base
or the underlying epistemic paradigms” are indi-
Synonyms cated (Campbell and Carayannis 2013, p. 27; see
also Campbell and Carayannis 2016a). The epi-
Academic firm; Epistemic base; Epistemic gover- stemic structure reveals also what the self-
nance; Knowledge paradigms; Linear innovation; rationale of an organization or a system
Network governance; New public management; is. Alternative definitions of epistemic gover-
Nonlinear innovation; Philosophy of governance; nance may lean more toward the aspect of gover-
Quadruple Helix; Quadruple Helix innovation nance within the context of epistemic governance:
systems; Quality assurance; Quality dimensions; “In this context the conceptual framework of ‘epi-
Quality enhancement; Quality management; stemic governance’ aims to address the power
Quality of democracy; Quintuple Helix innova- relations in the modes of creating, structuring,
tion systems; Underlying epistemic structure and coordinating knowledge on socio-ecological
issues. . . . Finally, the production and use of
knowledge is seen to be linked to questions of
The Conceptual Definition of Epistemic relational, structural, and soft power, and to the
Governance and of Epistemic Innovation relationship between science and policy” (Vadrot
Policy 2011, p. 50).
Is it possible that there is an organization, insti-
The concept of epistemic governance is based on tution, or system without an underlying epistemic
the understanding that the underlying epistemic structure? This may (or may not) be true for some
structure, the underlying epistemic base, and the organizations or institutions; however, for a whole
underlying epistemic paradigms of those system or sector, this appears to be unlikely and
Epistemic Governance and Epistemic Innovation Policy 925
improbable. Particularly in the case of universi- institution or higher education system, is a type
ties, higher education institutions, and higher edu- of organization or system that explores ways and
cation systems, it is evident that these rely, approaches of not only integrating different prin-
operate, and behave on the basis of an underlying ciples of knowledge production and knowledge
epistemic structure. “Knowledge paradigms” application (such as Mode 1 and Mode 2), thus
refer to the conceptual understanding of knowl- promoting diversity and heterogeneity, but also
edge production (research) and knowledge appli- creating creative and innovative organizational
cation (innovation) in the higher education system contexts for research, teaching (education), and
(universities) or the economy (firms). For describ- innovation. Therefore, Mode 1, Mode 2, and
ing and explaining how knowledge production is Mode 3 qualify as examples for “knowledge par-
E
functioning within the higher education sector or a adigms” in higher education.
university-type system, the concepts of “Mode 1” Quality management (QM) within universities
and “Mode 2’ of knowledge production were or other higher education institutions refers to
introduced more recently (Gibbons et al. 1994; quality assurance but increasingly also to quality
see also Nowotny et al. 2001, 2003, 2006). Uni- enhancement. Advances in the quality of a uni-
versity research in a traditional understanding of versity and support of university development
Mode 1 concentrates on basic research, mostly represent objectives of quality management.
organized within the matrix of academic disci- Therefore, also quality management should be
plines, and not formulating a particular interest designed, implemented, processed, and developed
for the practical use of knowledge and innovation. in accordance with the principles of epistemic
Mode 1 is being challenged by Mode 2. Mode governance: “This emphasizes our understanding
2 expresses a greater interest for knowledge appli- that all forms of comprehensive and sustainable
cation and a knowledge-based problem solving by quality management in higher education must also
referring to the following principles: “knowledge refer to the underlying epistemic structure of
produced in the context of application,” “trans- higher education (at least implicitly)” (Campbell
disciplinarity,” “heterogeneity and organizational and Carayannis 2013, p. 27). For example, it
diversity,” “social accountability and reflexivity,” makes a difference, whether a university or uni-
and “quality control” (Gibbons et al. 1994, versity unit operates according to Mode 1 or
pp. 3–8, 167). Success and quality are being Mode 2 or a combination of both in Mode
approached and defined differently in the analyt- 3. This must be reflected by the specifically
ical architecture of Mode 1 and the Mode 2. For applied approaches in governance and quality
Mode 1, the answer is “academic excellence, management. For that purpose, it appears also to
which is a comprehensive explanation of the be necessary to connect and to link the underlying
world (and of society) on the basis of ‘basic prin- epistemic structure and the knowledge paradigms
ciples’ or ‘first principles,’ as is being judged by to concrete “quality dimensions” so that gover-
knowledge producer communities (academic nance and quality management can refer to
communities structured according to a disciplin- knowledge paradigms as well as quality dimen-
ary framed peer review system).” For Mode 2, sions. Possible quality dimensions are quality,
success and quality are a “problem-solving, efficiency, relevance, viability (sustainability),
which is a useful (efficient, effective) problem- and effectiveness (Campbell 2003, p. 111; Camp-
solving for the world (and for society), as is bell and Carayannis 2013, p. 52). When knowl-
being judged by knowledge producer and knowledge paradigms are being translated into quality
edge user communities” (Campbell and dimensions, this may make it then for governance
Carayannis 2013, p. 32). Mode 3 knowledge pro- and quality management easier to address episte-
duction represents the conceptual and organiza- mic issues in relation not only to knowledge pro-
tional attempt of trying to combine Mode 1 with duction but also to knowledge application.
Mode 2 (Carayannis and Campbell 2006, 2009, According to Ferlie et al. (2008, 2009), there
2012). A Mode 3 university, higher education exist currently two main narratives of and for
governance in higher education: New Public Nonlinear innovation follows a different logic
Management (NPM) governance and network (Campbell and Carayannis 2012). The model of
governance. While NPM already appears to be nonlinear innovation expresses an interest in
more conventionally established, network gover- drawing more direct connections between
nance represents a more radical frontier for con- knowledge production and knowledge applica-
temporary governance, with not so clear tion. Here, basic research and innovation are
implications, fostering perhaps a demand for cre- being coupled together not in a first-then but
ating also new types of organizational manifesta- within the structural design of an “as well as”
tion in higher education. “Cross-employment” and “parallel” (parallelized) relationship
(Campbell 2011; Campbell and Carayannis (Campbell and Carayannis 2012). Networks for
2013) may serve here as one possible example, nonlinear innovation operate differently than net-
where one and the same person is being simulta- works of linear innovation but may overlap sub-
neously employed by more than one organization stantially. Examples for nonlinear innovation are
(by at least two organizations), either within either firms or other types of organizations oper-
higher education or transsectorally connecting ating across a variety or ensemble of technology
higher education with organizations outside of life cycles with differing degrees of technology
higher education. Cross-employment qualifies as maturity on the one hand or specific constella-
a form of multi-employment. tions of cross-employment on the other hand,
Ramifications of epistemic governance should where persons work (at the same time) concur-
also be thought of in a wider context. Principles rently at organizations, where in one case the
of epistemic governance apply to innovation and organization (organizational unit) focuses on
innovation policy as well and the concept of knowledge production but in the other case on
“epistemic innovation policy.” Innovation policy knowledge application. Nonlinear innovation
should address the underlying epistemic struc- also cross-connects to Mode 3 knowledge pro-
ture and knowledge paradigms of the innovation duction. One key interest of Mode 3 is to encour-
and type of innovation to be governed. Two age and to promote “basic research in the context
examples for knowledge paradigms in context of application” (Campbell and Carayannis 2013,
of innovation are linear innovation and nonlinear p. 34). Furthermore, also Mode 2 appears to be
innovation. The more traditional model of linear compatible with a more nonlinear logic of inno-
innovation is being frequently referred to the vation (see Fig. 1).
concepts of Vannevar Bush (1945). The core
understanding here is as follows: the linear
model of innovation underscores that first there Conclusion and Future Directions
is basic research in a university context. Gradu-
ally and step-by-step, this university research Epistemic governance and epistemic innovation
diffuses out into society and the economy. policy formulate a critique against too-narrowly
Firms and the economy as a whole pick up defined approaches to governance, where gover-
these lines of university research and develop nance follows one-sidedly bureaucratic or techno-
them further into knowledge application and cratic considerations. Instead, epistemic
innovation, with the goal and interest of creating governance (also quality management and quality
economic and commercial success and success enhancement) and epistemic innovation policy
stories in markets outside of higher education. should be regarded as a plea for a more compre-
Within the model of linear innovation, there hensive understanding, where the explicit-making
operates a sequential first-then relationship comprehension and reflection of knowledge,
between basic research (knowledge production) knowledge production, and knowledge applica-
and innovation (knowledge application). tion are keys for a successful governing and
Epistemic Governance and Epistemic Innovation Policy 927
Epistemic Governance
and Epistemic
Innovation Policy,
Fig. 1 Epistemic
governance of and in higher
education, and epistemic
innovation policy (Source:
Authors’ own
conceptualization based on
Campbell and Carayannis
(2013, p. 28))
governance. In that respect, epistemic governance policy still require to be broadened and expanded.
speaks and argues also in favor for the practical For example, also universities of the arts are being
feasibility of a “Philosophy of Governance.” Epi- regarded as institutions that contribute consider-
stemic governance, as a concept and as a practice, ably to national and multilevel innovation systems
qualifies as a novel form of governance, (Carayannis and Campbell 2012, pp. 14–17).
representing a new and innovative frontier and From that universities-of-arts-based-input, impor-
frontier line of and for governance, with a hybrid tant interdisciplinary and transdisciplinary
overlapping to other concepts and measures such impulses ought to be expected. The specific and
as network governance, cross-employment, and potential roles of arts universities and artistic
epistemic innovation policy. There is also a gov- research, also in connection to their governance
ernance of innovation and innovation policy, so and epistemic governance, are to be further devel-
the cross-connections between epistemic gover- oped. The same applies to cross-connections
nance and epistemic innovation policy demand between artistic research, artistic innovation, and
further elaboration and a more advanced fine- epistemic innovation policy. For governance in
tuning for practical purposes. Epistemic gover- the knowledge economy, knowledge society, but
nance also applies to new and innovative firm also governance in the knowledge democracy,
designs, such as the “academic firm” (Campbell epistemic governance, and epistemic innovation
and Carayannis 2016b). In conceptual terms, epi- policy will be crucial and key (Campbell et al.
stemic governance and epistemic innovation 2015; Carayannis and Campbell 2014).
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Evaluation of Research, policy making and public service delivery (Rossi et
Development, and Innovation al. 1999). The OECD (2002) pays attention to the
different scopes of objects and the intervention logic
Klaus Schuch1, David F. J. Campbell2,3,4,5, and accountability of policy-making by defining
Elias G. Carayannis6 and Jakob Edler7 evaluation as “the systematic and objective assess-
1
Centre for Social Innovation (ZSI), ment of an on-going or completed project, pro-
Vienna, Austria gramme or policy, its design, implementation and
2
Department of Political Science, University of results.”
Vienna, Vienna, Austria Evaluation of research, technological develop-
3
Department for Continuing Education Research ment, and innovation (RTDI) refers to different
and Educational Technologies, Center for aspects of science policy, technology policy, and
Educational Management and Higher Education innovation policy, sometimes generalized under the
Development, Danube University Krems, Krems, term research policy evaluation. It usually refers to a
Austria certain intentional public intervention (e.g., a research
4
Unit for Quality Enhancement (UQE), funding program) or a portfolio of interventions.
University of Applied Arts Vienna, Vienna, Evaluation, however, can also refer to other objects
Austria or phenomena, which are not directly associated with
5
Faculty for Interdisciplinary Studies (IFF), public policy interventions, such as the evaluation of
Department of Science Communication and a research proposal or a scientific paper. For these
Higher Education Research (WIHO), Alpen- cases the term “review” is preferable. The distinction
Adria-University Klagenfurt, Vienna, Austria between “public policy intervention based” and
6
Department of Information Systems and “nonpublic policy intervention based,” however, is
Technology Management, European Union blurred. The evaluation of the bibliometric output and
Research Center, GWU School of Business, impact triggered by a public research program in the
The George Washington University, Washington, field of quantum computing, for example, may be
DC, USA considered as a proxy of the excellence orientation
7
Innovation Policy and Strategy, University of and substance of a public intervention, but the indi-
Manchester, Manchester, UK vidual bibliometric output and impact of a researcher
financed under such a research program is usually not
considered to be an object of policy evaluation.
Synonyms Evaluations belong to an arsenal of strategic
intelligence which is available to policy-makers
Assessments; Reviews and program owners and managers. RTDI evalua-
tions for instance can scrutinize assumptions
underlying RTI policy and the legitimacy of inter-
Key Concepts and Definition of Terms ventions, they assess (and sometimes identify) dif-
ferent options for actions, and they sometimes even
There are many definitions of the term evaluation. replace missing allocation mechanisms, especially
One of the shortest attempts to define evaluation is in view of nonexisting or distorted markets.
phrasing it as combination of evidence and judg- Most commonly, evaluations are differentiated
ment. The term evaluation includes also different by (i) functions and purposes, (ii) objects and
notions of “valuing,” including the provision of ori- levels of aggregation, (iii) timing and content,
entation or to attach a specific value to something. and (iv) by the so-called Development Assistance
Wiliam M. K. Trochim (2006) defined evaluation as Committee (DAC) criteria (EVAL-INNO 2012).
“the systematic acquisition and assessment of infor-
mation to provide useful feedback about some Functions and Purposes of RTDI Evaluations
object.” Although the object of evaluation can be RTDI evaluations differ in their function and
whatsoever, evaluation as a systematic exercise purpose. The purpose of the legitimizing function
Evaluation of Research, Development, and Innovation 931
is to justify the use of the provision of public schedule, a dedicated budget and placed under the
goods (e.g., allocation of tax-payers money to responsibility of an operator. Ex ante project eval-
public universities). With the information provi- uations, usually labeled reviews, are a common
sion function public awareness should be raised feature of competitive RTDI funding and a reflec-
on a certain issue and policy should be informed. tive RTDI system. RTDI policy evaluations, how-
The purpose of the learning function is to provide ever, are usually more concerned with program
feedback to stakeholders and actors based on evaluations (which can refer to a certain thematic
thorough assessment and judgment. The pur- field or serve a certain mission or both) and instru-
pose of the steering function is to prepare deci- ment evaluations (which can be financial or non-
sions and sometimes to set future policies. RTDI financial ones). An RTDI program can make use
E
evaluations usually also fulfill a controlling func- of just one instrument (e.g., research grants) or
tion by checking whether rules are abided or several instruments at once (e.g., grants, loans,
not (e.g., purposeful spending of research funds). capacity building for human resources, technol-
Although many evaluations may be retrospective, ogy and knowledge transfer advisory, or IPR ser-
they essentially also have a forward-looking vices just to name a few).
aspect with regards to their objective; they may Like a project, a program is limited in terms of
contribute to improving policy or operational pro- time, scale, and budget, but on a higher aggrega-
cedures (learning and steering function) or judg- tion level. A program is often broken down in
ing whether or not a project, program, instrument, different axes and measures, and usually con-
or an organization should be the continued or sisting of a number of projects funded by it. Port-
discontinued (learning and legitimizing function). folio evaluations usually comprehend a number of
The specific objectives of a certain evaluation different programs, measures, or instruments,
must clarify what the evaluation aims to uncover. which target similar, sometimes overlapping and
Learning is a central part of any evaluation, but sometimes complementary objectives and usually
the purposes and expectations of evaluations are investigate the right RTDI policy mix. Public or
divided between the two poles of a formative eva- semipublic institutions, such as universities, agen-
luation or a summative evaluation. A formative cies, or start-up centers, are also elements of a
evaluation is “an evaluation concerned with certain RTDI policy mix. Due to their inherent
examining ways of improving and enhancing the complexity, uniqueness, and idiosyncrasy they
implementation and management of interven- are also evaluated (so-called institutional evalua-
tions” (European Commission 2002, p. 259). It tions). Other more aggregate levels of evaluation
is usually conducted for the benefit of those who either target (i) certain sectors (e.g., the biomedi-
are managing an intervention with the intention of cal RTDI sector), (ii) certain system elements of
improving processes (e.g., feedback to a research RTDI policy making (e.g., the competitive RTDI
funding agency on how to better implement a funding system as a whole or the system of
certain research program). A summative evalua- research training) or (iii) the science, technology
tion, however, is rather concerned with determin- or innovation policy as such, sometimes on differ-
ing the essential effectiveness of an intervention. ent spatial levels, such a supranational, national,
It serves the information needs of policy-makers regional, or local. The higher the aggregation
(or other RTDI funders) for reasons of account- level is the more governance aspects matter.
ability and legitimization.
Timing and Content
Objects and Levels of Aggregation of RTDI Timing and content of evaluations are often
Evaluations connected to each other, although not unambigu-
When it comes to RTDI policy evaluations, usu- ously assignable. An impact evaluation is usually
ally the smallest distinct object of an evaluation organized either as a terminal evaluation (close to
is a certain project, which can be described as a the end of an intervention) or an ex post evalua-
single intervention directed towards the attain- tion (after some time of an intervention or an
ment of operational objectives, with a fixed time intervention cycle). An impact evaluation seeks
to answer cause-and-effect questions in relation to to inputs. Effectiveness is the extent to which an

the attainment or nonattainment of certain objec- intervention’s objectives were achieved, or are
tives as well as changes in outcomes that are expected to be achieved, taking into account their
attributable to a certain policy intervention. relative importance. Impact is understood as posi-
A process evaluation (or implementation eval- tive and negative, primary and secondary long-
uation) usually addresses the quality, efficacy, and term effects produced by an intervention, directly
efficiency of operational aspects. Process evalua- or indirectly, intended or unintended. Sustainabil-
tions are typically done within interim evaluations ity means the continuation of benefits from an
of interventions which demand a great deal of intervention after major assistance/funding has
management, promotion, communication, timeli- been completed. This includes assessing the prob-
ness, consultancy, and control. Also accompany- ability of long-term benefits and the resilience to
ing evaluations focus strongly on processes and risks of the net benefit flows over time.
contribute to reflexivity, learning, steering, and
accountability.
Concept evaluations are concerned with the Theoretical Background and
shaping of a certain intervention (or a bundle of Open-Ended Issues
interventions) as well as the assessment of the
extent to which the use of such intervention(s) Like in any other policy fields for which public
is justified to combat a certain scientific, techno- authority took over competences over time, the
logical, or societal problem. They are typically emergence of the field of RTDI policy was
parts of ex ante evaluations. followed-up with corresponding temporarily
Design evaluations deal with the likely effec- delayed evaluation activities. The more numerous
tiveness and efficiency of the organization, opera- and complex public interventions in the field of
tions and instruments of an identified intervention RTDI became the higher the quest “to do the right
and are typically component parts of all stages of thing” and “to do it rightly” was. In general, RTDI
evaluations (ex ante, interim, and ex post). policy evaluations were systematically appearing
Periodical evaluations are conducted regularly not earlier than the 1990s. Causes for this were
throughout the implementation of an intervention. manifold. Firstly, science policy as a distinct field
They are often building on monitoring processes of public policy emerged rather late. It experienced
(i.e., regular recording of data). its broader take-off in the USA after World War II
In general, evaluations should be embedded in and in Europe in the 1950s and 1960s and
the policy cycle, but often also ad hoc evaluations remained strongly rooted in the self-referential
are occurring. These are evaluations not foreseen governance autonomy of the community of scien-
during the development or implementation of an tists. Industry-oriented technology policy as dis-
intervention but conducted ad hoc to meet a cer- tinct field of public policy emerged throughout
tain emerging need. the 1970s and 1980s and transformed gradually
into the broader concept of innovation policy,
DAC Criteria (Development Assistance which is still high on the political agenda nowa-
Committee) days. Secondly, RTDI policy like other policy
Many evaluations, also in the RTDI field, refer fields became influenced by the New Public Man-
implicitly to the so-called DAC criteria, which agement (NPM) paradigm, which requests efficient
have been established by the OECD’s Develop- public management and accountability. In addition,
ment Assistance Committee (DAC). These criteria in a quest of optimum solutions for public inter-
refer to the relevance, efficiency, effectiveness, ventions, a plethora of more or less systematic
impact, and sustainability of an intervention. Rele- experimentations with different policy intervention
vance means the extent to which an activity is designs, whose supremacy needed to be objec-
suited to the priorities and policies of the target tively assessed, is observable as of the 1990s.
group, recipient, and donor. Efficiency measures Finally, it needs to be emphasized that the field of
outputs – qualitative and quantitative – in relation RTDI evaluations also codeveloped with progress
in RTDI theories and methodological opportunities • Behavioral additionality: beneficiaries of

and refinements in data collection, sampling and public interventions and other stakeholders
analysis which continues until today (e.g., big data change their behavior and become more com-
analysis, scientometrics, and alternative metrics). petitive/goal-oriented/responsible or whatever
As a distinct specialty field of social and eco- is targeted (e.g., measuring the difference in
nomic sciences, evaluation research emerged firm behavior resulting from a government
in the USA first in the early 1970s. The first intervention).
dedicated journal, “evaluation review,” was
established in 1976 and professional associa- Governments in advanced knowledge econo-
tions were by and by founded, among them the mies nowadays implement a wide range of RTDI
E
American Evaluation Association, a merger of the policies with different kind of policy mixes and
Evaluation Research Society and the Evaluation a plethora of instruments and measures. To get an
Network in 1986, and the German Evaluation overview on policies, which encourage innova-
Association (DeGeVal), established in 1997, 1 tion with a view to stimulating economic growth,
year after the Austrian Platform for Research and NESTA commissioned a project to the Manches-
Technology Policy Evaluation. ter Institute of Innovation Research (MIoIR) in
In response to early legitimization require- 2011 (MIoIR and NESTA 2013). The identified
ments of RTDI policies, most evaluations focused policies range from local interventions (such as
on the issue of potential market failures, which the establishment of science parks designed to
lead to diverging private and social profits and build local innovative clusters) to system-wide
nonoptimal investments, and on the issue of state policies (such as R&D tax credits, public venture
or policy failure. By the later, we understand capital investment, or innovation procurement
failed public interventions which due to their programs). The compendium consists of 20 sub-
scope, scale, and even timing, do not remedy reports (http://www.innovation-policy.org.uk/
market failures but rather worsen the situation. compendium/; accessed on 20 January 2017),
Policy failures produce – among others – windfall addressing certain types of innovation policies.
and crowding-out effects and create furthermore Evidence for their impact, however, is some-
efficiency problems through the provision of times limited, which is often caused by the so-
wrong incentives, allocation inefficiencies, sus- called attribution problem, which basically means
taining institutional lock-ins, and the like. the difficulty to attribute effects (e.g., higher inno-
An important term in this context is vation performance of companies) to causes (e.g.,
“additionality.” Additionality is a concept in pub- a publicly funded collaborative R&D program).
lic finance addressing the issue of whether public There are many reasons for attribution problems
support is resulting in new activity rather than such as (i) unclear functional impact chains and
substituting private activity (e.g., investment) their boundaries, (ii) leakage and spill-over effects
that would have anyway occurred in the absence (i.e., not all of the benefits of an intervention go to
of an intervention. As a guiding principle any the target group; other actors not targeted may
public intervention should aim to secure the benefit indirectly), (iii) displacement or substitu-
highest possible additionality effects to avoid tion effects (i.e., another policy instrument/pro-
wasting public resources. Usually three types of gram may have created more additionality;
additionality are distinguished: support may reduce benefits in other parts of the
system or support may have created more
• Input additionality: as a result of government additionality if used for another actor), and finally
intervention private activity is increased (e.g., (iv) externalities which either limit or multiply the
additional R&D investments by private firms). full added value of an intervention.
• Output additionality: outputs increase as a The measurement of additionality and the solu-
result of public intervention (e.g., the growth tion to a specific attribution problem is often a
of new publications or product sales, export methodological challenge. Quasi social experi-
activity, patents, technology levels). mentation or control group approaches are
sometimes called the “golden standard” to measure reference publication by the European Commis-
the net benefit of an intervention. Such methodolog- sion, IPTS, and Joanneum Research to assess the
ical approaches compare the factual result or out- socioeconomic impact of RTD policies, distin-
come of an intervention to a specific target group guishes between ex ante methodologies, monitor-
(e.g., young researchers who received a prestigious ing and ex post evaluation methodologies,
grant) to the contrafactual, which basically questions although overlaps exist. They explicitly refer
“what would have happened with the same target to qualitative and quantitative methods including
group without intervention” (e.g., in terms of career innovation surveys, macroeconomic modeling
development). Maybe the same effects would have and simulation, microeconomic modeling, pro-
occurred? A solution for this attribution problem can ductivity measurements, control group appro-
be achieved by using a control group, which has aches, cost-benefit analysis, expert panels, and
similar attributes and thus a similar starting position peer reviews, field studies and case studies, net-
than the group members, who benefitted from the work analysis, foresight and technology assess-
intervention. This enables a “with and without” ment, and benchmarking (European Commission
comparison. Usually one distinguishes the single- 2002).
difference approach, which measures the difference The new mission paradigm in RTDI policies
between the factual and the nonfactual by assuming adds further complexity to RTDI evaluations,
that the baseline (i.e., the starting position) of the because next to scientific impacts (e.g., publica-
target group and the control group was identical, and tion citations), innovation and economic impacts
the double-difference approach. With the later not (e.g., sales of new products) and structural
only the “with and without” result is measured ex impacts (e.g., the impact of European policies on
post, but also the difference between target and national RTDI policies), increasingly the assess-
control group is measured ex ante. In other words, ment of societal impacts of RTDI interventions is
the double-difference approach combines the “with requested, for which still applicable hermeneutics,
and without” comparison with the “before – after” indicators, and data are missing.
comparison. The net effect of an intervention is the
difference between the target and control group after
the implementation of the intervention (t2) minus Conclusion and Future Directions
the difference between the target and control group
before the intervention (t1). Although evaluation utilizes many of the same
In order to statistically guarantee the same methodologies used in social and economic
starting position, the literature proposes to divide research, evaluation itself always has a political
the subjects of investigation (e.g., young re- stance, because objects of evaluations, such as
searchers) before the implementation of an inter- policies, instruments, or programs are creatures of
vention randomly in two groups (i.e., the treated political decisions. Moreover, evaluations feed into
group and the nontreated group). Such experi- decision-making and evaluation reports enter the
mental design is perceived as the most rigorous political arena. The audience is close to policy too.
evaluation approach, because systematic group Because evaluation takes place within a polit-
differences are eliminated due to the random ical and organizational context, it does not only
selection process. In other words, the so-called require certain skills (e.g., group skills, manage-
selection bias (e.g., in terms of capability, needi- ment ability, political dexterity, sensitivity to mul-
ness) is avoided. tiple stakeholders and other skills on which social
Methodological experiments like these are, and economic research in general do not rely on
however, not very often feasible in the field as much), it is also confronted with allegations
of RTDI policies. In certain circumstances they targeting its methodological robustness and scien-
can also be regarded as ethically problematic. tific soundness.
Therefore, a wide range of methods from social Critiques of the methodological quality of
and economic research is used in RTDI policy evaluation studies are frequent as well as discus-
evaluations. The RTD Evaluation Tool Box, a sions of organizational and structural constraints.
Creditability and defensibility, in the sense of development, and innovation play into such an
applying the highest possible standards feasible understanding and support quality enhancement
to the existing compromising circumstances are more specifically? This also ties back to the
recurring catchwords within the discourse on linking with different governance modes, for
evaluation as a scientific practice. Due to the example, in higher education, where there are
contextuality of evaluations and their “political patterns of cooperating, but also competing
stance,” compromises have to be accepted in principles such as New Public Management
many cases, resulting in evaluations that are (NPM) and “network governance” (Campbell
“good enough” for answering relevant policy 2013). Also the rise and diffusion of interdisci-
and program questions even though program plinarity, transdisciplinarity, trans-sectorality,
E
conditions or available resources prevent them and of “artistic research” demonstrates, why
from being the best possible designs from a sci- evaluation is becoming increasingly complex.
entific standpoint. Carol H. Weiss (1993, p. 93) 2. Triple Helix, Quadruple Helix, and Quintuple
puts it like this: “Knowing that political Helix Innovation Systems: Triple Helix refers
constraints and resistances exist is not a reason to interactions of the state, higher education,
for abandoning evaluation research; rather, it is a and the economy (Etzkowitz and Leydesdorff
precondition for usable evaluation research.” 2000). Quadruple Helix includes the perspec-
In view of the political dimension of evaluations, tives of knowledge society, civil society,
ethical principles and guidelines are important. The and knowledge democracy (Carayannis and
usually refer to issues of (i) impartiality and conflict Campbell 2009, 2014), and Quintuple Helix
of interest, (ii) independence of evaluators from brings in the perspectives of social ecology
those who commission evaluations but also from and of the natural environments (Carayannis
programs and instruments, which are to be evalu- and Campbell 2010). How does the evaluation
ated, (iii) methodological issues such as the Leiden of research, development, and innovation take
Manifesto for Research Metrics (Hicks et al. 2015, into account such different conceptual archi-
see http://www.leidenmanifesto.org/; accessed on tectures of innovation systems, as this should
20 January 2017), which demands a responsible probably matter?
use of scientometric analysis, (iv) competence of 3. Epistemic Governance, Epistemic Innovation
evaluators to support the credibility of evaluation Policy: These concepts emphasize that the
results, (v) responsive behavior towards all stake- “underlying” epistemic understanding and
holders, particularly those affected by an evaluation, structure of knowledge production and knowl-
(vi) inclusiveness (e.g., gender considerations) and edge application (different types of research and
comprehensiveness in order to address an evaluation innovation), of organizations and processes,
exercise from different points of view and to identify must be addressed by governance and innova-
not only intended but also unintended effects. Good tion policy (Campbell and Carayannis 2016).
evaluations, thus, avoid “blind spots,” lock-ins, and This then also applies to the evaluation of
“tunnel visions,” think outside the box, question research, development, and innovation. What
issues regularly, do not tolerate black boxes and, could “Epistemic Evaluation” mean here con-
thus, contribute to avoiding wrong decision-making sequently? This places evaluation into a broader
and injustice. but also more ambitious context and frame.
Further challenges for future directions in the
evaluation of research, development, and innova-
tion are: Cross-References
1. Quality Assurance, Quality Enhancement: ▶ Academic Firm

Quality enhancement is the goal, and quality ▶ Artistic Research
assurance represents a set of tools or methods ▶ Cross-Employment
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So how can evaluation of research, tion Policy
936 Evaluative Thinking
▶ Innovation and Democracy European Commission. RTD evaluation toolbox. IPTS

▶ Innovation Economy technical report series, EUR 20382 EN. 2002. http://
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Dimensions EVAL-INNO. RTDI evaluation standards. 2012. https://
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Hicks D, Wouters P, Waltman L, de Rijcke S, Rafols I.
▶ Mode 3 Knowledge Production in Quadruple Bibliometrics: the Leiden Manifesto for research met-
Helix Innovation Systems: Quintuple Helix and rics. Nature. 2015;520:429–31. 23 Apr 2015
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▶ Process Innovation Capability tion policy. 2013. http://www.innovation-policy.org.
uk/compendium/. Accessed 20 Jan 2017.
▶ Quality of Democracy and Innovation OECD. Glossary of key terms in evaluation and reults
▶ Quintuple Innovation Helix and Global based management. 2002. http://www.oecd.org/dac/
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Rossi PH, Freeman HE, Lipsey MW. Evaluation. A sys-
▶ Transdisciplinary Research (Transdisciplinarity) tematic approach. 6th ed. Thousand Oaks\London\New
Dehli: Sage; 1999.
Trochim WMK. Evaluation research. 2006. http://www.
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university-industry-government relations. Res Policy. ▶ Invention and Modification of New Tool-Use
2000;29:109–23. Behavior
Experiential Learning and Creativity in Entrepreneurship 937
et al. 2011). Innovative entrepreneurs form new

Exit businesses by applying creative ideas to produce
unique and transformative new products and ser-
▶ Firm Failure and Exit vices. Experiential learning theory (ELT),
described by David Kolb as the “dynamic view
of learning based on a learning cycle driven by the
resolution of the dual dialectics of action/reflec-
Experience-Based Learning, tion and experience/abstraction” (Kolb 1984), has
Innovation dramatically expanded researchers’ understand-
ing of how entrepreneurs use creativity to solve
E
▶ Experiential Learning and Creativity in customer problems and produce innovative new
Entrepreneurship products and services.
Theoretical Background
Experiential Learning
The Kolb experiential learning theory (Kolb
▶ Experiential Learning and Creativity in 1984) has been a useful tool for addressing the
Entrepreneurship real-world challenges of entrepreneurial creativity
and innovation. The core principles of experien-
tial learning permeate other similar theories of
learning, demonstrating the vast impact of expe-
Experiential Learning and riential learning on learning and creativity
Creativity in Entrepreneurship scholars. There are many theories of creativity;
however, Teresa Amabile’s Componential Frame-
Robert M. Gemmell1 and David A. Kolb2 work (Amabile 1983) and the classical Wallas’
1
Department of Strategy and Entrepreneurship, stages of creativity (Wallas 1926) have proven
Robinson College of Business, Georgia State most highly impactful to management studies.
University, Atlanta, GA, USA Learners have a preference for certain learning
2
Department of Organization Behavior, modes of grasping and transforming experience
Weatherhead School of Management, Case into understanding which are defined as the indi-
Western Reserve University, Cleveland, OH, vidual’s “learning style.” Learning style can be
USA correlated to career choices, i.e., learners with a
diverging style are often interested in the arts
while convergent learners tend to be specialists
Synonyms in technical fields. Assimilative learners are usu-
ally interested in theory and abstract problem
Creativity; Entrepreneurship; Experience-based solving while accommodative learners gravitate
learning, Innovation; Experiential learning; toward action-oriented careers such as marketing
Learning from experience and sales. Learners may also have a balanced or
flexible style that allows them to adapt their learn-
ing on a situational basis.
Definition Amabile’s theory of creativity involves three
components – domain knowledge, creativity skills,
Entrepreneurial creativity can be defined as the and motivation (summarized in Fig. 1 below).
social and cognitive processes through which Successful entrepreneurs learn two forms of
entrepreneurs develop novel and useful ideas knowledge: (1) domain knowledge related to a
that transform and create new markets (Gemmell particular market or technology and
938 Experiential Learning and Creativity in Entrepreneurship
Domain-Relevant Skills Creativity-Relevant Skills Task Motivation

- Domain knowledge - Cognitive Style - Attitudes toward task
- Technical skills - Heuristics for novel ideas - Perceptions of personal
- Domain specific talent - Conducive work style motivation
Experiential Learning and Creativity in Entrepreneurship, Fig. 1 Components of creativity (Amabile 1983)
(2) knowledge of how to be an entrepreneur Wallas’ classical stages of creativity, as

(“entrepreneuring”) (Minniti and Bygrave 2001). expanded upon by Csikszentmihalyi (1996), are
Entrepreneurs require a base of domain knowl- merged with Kolb’s experiential learning theory
edge in order to perform creative transformational in Fig. 2 below to form an insightful “cycle of
processes; however, base knowledge is a “double- learning and creativity.” Creative entrepreneurs
edged sword” and can lead to entrenchment and typically engage problems through a direct con-
inflexibility (Dane 2010). Recent research has crete experience which triggers a variety of ideas
shown that entrepreneurs tend to innovate within and potential solutions. Following periods of
a relatively narrow space, demonstrating the reflection and subconscious incubation, entrepre-
extraordinary role of domain knowledge within neurs often have a flash of insight commonly
the practice of innovation (Gemmell et al. 2011). referred to as an “aha” moment. The entrepreneur
Knowledge is essential to entrepreneurial experiments with this trial idea resulting in addi-
opportunity recognition, and asymmetries in tional experiences and refinement of the creative
both knowledge and learning style likely account idea through cycles of learning.
for why entrepreneurs in the same environment do The Kolb Learning Style Inventory is an indi-
not all recognize the same opportunities (Shane vidual assessment tool – as a result, the theory
2000; Corbett 2007). could be viewed as primarily an individual level
Amabile’s second component, creativity skills, model of learning. However, studies of innova-
refers to cognitive style, heuristics, and creativity tion, problem solving, team learning, and organi-
techniques. Cognitive styles are closely related to zation learning have demonstrated the broad
Kolb’s learning styles and consist of an individ- utility of Kolb’s experiential learning theory
ual’s preferred approaches to solving problems. across multiple domains and levels. Furthermore,
Heuristics are algorithms or shortcuts for problem the basic concepts in experiential learning theory
solving, and creativity skills are transformational have influenced other learning theories, some of
techniques and processes utilized to facilitate which have endeavored to address the enormous
development of novel ideas. challenges of developing a comprehensive model.
Intrinsically motivated individuals are com- Carlsson et al. (1976) used Kolb’s experiential
pelled to creative action based on a sense of learning theory to study the processes of team inno-
doing something important mostly for the joy of vation within an R&D setting. The research team
doing it (Amabile 1983). On the other hand, studied biweekly reports written by members of the
extrinsic motivation is derived from external pres- corporate R&D teams in order to map activities into
sures to perform, some of which might be per- the Kolb experiential learning space. The
ceived as useless or arbitrary. Entrepreneurs researchers found that activities followed the clock-
perform best under conditions of “synergistic wise sequence of stages according to Kolb’s expe-
motivation,” i.e., a blend of intrinsic and extrinsic riential learning theory with minimal deviation (see
factors depending upon the stage of creative pro- Fig. 3 below). When steps were skipped or taken out
duction (Amabile 1996). Intrinsic motivation of sequence, the impact on the project (delays,
matches well with relatively divergent stages of impasses, team conflicts) was generally quite evi-
innovation while extrinsic pressure is often dent. The mapping was an easy and effective
needed for relatively convergent stages such as method of tracking projects and assessing both the
production of documentation or a prototype. status and strengths/weaknesses of each project.
Incorporation
(Wallas, 1926)
Concrete
Kolb’s Experience
learning Feeling
styles
Accommodating Diverging
how we think about things

(feel and do) (feel and watch)
Perception Continuum
CE/AE CE/RO
E
Active Reflective
Verification Processing Continuum Incubation
Experimentation observation
(Wallas, 1926) how we do things (Wallas, 1926)
Doing Watching
Converging Assimilating
(think and do) (think and watch)
AC/AE AC/RO
Abstract
Conceptualisation
Thinking
Insight
(Wallas, 1926)
Experiential Learning and Creativity in Entrepreneurship, Fig. 2 Cycle of learning and creativity (Gemmell et al.
2011)
Managers would generally “look ahead” one or Contrary to the popular image of the entrepre-
two stages in order to anticipate upcoming chal- neur as a loner, studies now show that most start-
lenges. Managers were also able to address issues up firms would not even launch, much less
of entrenchment by becoming more directly succeed, without the collaborative efforts of a
involved when a team became “stuck” at a partic- partner and/or entrepreneurial team (Gemmell
ular stage. The researchers found that project et al. 2011). The Kolb experiential learning theory
teamwork could be improved by allocating work has also been used effectively to examine the
by matching learning style of the individual with dynamics of team level learning and creativity.
the learning stage orientation of the particular task This application of experiential learning is a nat-
(see Fig. 4 below). ural extension of Kurt Lewin’s (1948) early con-
Effective managers led the team around the cepts of learning space or conversational space for
model and resisted the temptation to jump across teams to reflect on shared experience.
stages to accelerate projects. Interventional tech- Kayes and Kolb utilized Mills’ team develop-
niques were developed based upon the stage of the ment theory (1967) to describe a five-stage pro-
project (see Fig. 5 below). For example, teams gression toward increasingly more sophisticated
struggling in the divergence stage were assisted goals and purpose: immediate gratification,
with ideational techniques whereas issues with sustained gratification through greater learning
convergence could be addressed through analyti- efforts, identification and pursuit of a collective
cal methods such as decision trees and mathemat- goal, self-determination through conscious
ical modeling. directed effort to achieve collective goals, and
Experiential Learning Project History in Terms of the Learning Model

and Creativity in
Entrepreneurship, ab
Fig. 3 Tracking R&D 1
c
project in experiential
learning space (Carlsson
e f
et al. 1976) 2
5 13
6
18
7
12
14
17
19
24 23
h
22
20 g
21
16 15
11 9
i
10 8
4 3
growth to achieve multiple increasingly complex team can be difficult to attain, especially since
goals requiring higher levels of innovation. The individuals are often attracted to certain career
emergence of shared purpose is the defining fields based upon their learning style (Kolb and
moment when the team begins to operate as Kolb 2005). It is desirable, although often difficult,
more than a collection of individuals, i.e., as a to allocate teamwork by matching each project
learning unit. stage with someone whose style matches the
Team size is a balance between sufficient size demands of that stage (see Fig. 6 below).
to be effective without being too large to function Entrepreneurial teams struggle to align limited
and communicate and coordinate activities. resources to either exploit known markets or
Teams with similar superficial traits are attracted explore new possibilities, knowing they lack the
to each other and have an immediate sense of resources to do both and realizing that exploration
comfort (homophily); however, most researchers could offer higher growth but exploitation lower
associate diversity with greater prospects for inno- risk (March 1991). Top management team (TMT)
vation (Ruef et al. 2003). Trust and a sense of composition in a start-up firm influences the firm’s
safety (when expressing ideas to the group) are preference for exploitative or exploratory strate-
also important to team performance (Kayes gies (Beckman 2006). Founding teams with a
et al. 2005). diverse work history (coming from different com-
Teams composed of individuals with learning panies) are more likely to pursue an exploratory
style preferences covering the complete learning strategy because they bring different ideas and
cycle will more easily function through the com- network ties into the firm. Conversely, teams com-
plete learning role taxonomy. However, a balanced posed of individuals who have all worked
Experiential Learning Concrete

and Creativity in Experience
Entrepreneurship,
Fig. 4 R&D work stages in
experiential learning space
(Carlsson et al. 1976)
Execution Divergence
Committing Generating
resources alternatives
Implementing Recognizing
solutions problems E
Active Reflective
Experimentation Observation
Convergence Assimilation
Testing Formulating
theories theories
Solving Defining
problems problems
Abstract
Conceptualization
Experiential Learning Concrete

and Creativity in Experience
Entrepreneurship, Execution Divergence
Fig. 5 R&D project Strength: Accomplishment
intervention by experiential Goal-oriented action Strength: Generation of
learning stage (Carlsson alternatives
et al. 1976) Excess: Trivial improvements Creativity
Tremendous accomp-
lishment of the Excess: Paralyzed by
wrong thing alternatives
Deficiency: Work not completed Deficiency: Inability to recognize

on time problems/opportunities
Not directed to goals Idea poor
Active Reflective
Experimentation Observation
Convergence Assimilation
Strength: Design Strength: Planning
Decision making Formulating theory
Excess: Premature closure Excess: Castles in the air
Solving the wrong No practical
problem application
Deficiency: No focus to work Deficiency: No theoretical basics
Theories not tested for work
poor experimental Unable to learn form
design mistakes
Abstract
Conceptualization
Experiential Learning
and Creativity in CE Interpersonal Roles
Entrepreneurship,
Fig. 6 Matching team Leadership Relationship Help
members to project stages
Sense Making
Initiative
(Kolb and Kolb 2005) Building relationships
Working with others
Maintaining good working
relationships
RO
Action Roles
Info. Gathering
Action
Deciding Dealing with large
Information Roles
Taking action amounts of new and
Carrying out purpose complex information
AE
Info. Analysis
Goal Setting
Creating theories or models

from the available
information
Creating frameworks for
future action
Technology Quantitative Theory
AC Analytical Roles
CE RO AC AE
Situation Problem Solution Implementation
analysis analysis analysis analysis
Information Idea
Green Light Valuing Participation
gathering getting
(divergence)
Problem Problem Problem Solution Solution

imple-
as given chosen defined chosen mented
Red Light Priority Problem Decision Planning

(convergence) setting definition making
ELT Problem Management Model
Experiential Learning and Creativity in Entrepreneurship, Fig. 7 Experiential learning model of creative problem
solving (Kolb 1982)
together previously are more likely to pursue an 1982). Creative problem solving can be ana-
exploitative strategy by virtue of bringing mature lyzed as moving through four stages, each of
exploitative routines and procedures from their which is anchored in one of the four stages of
previous company. experiential learning (see Fig. 7 below). Each
Kolb’s experiential learning theory is also stage alternates between a more exploratory
useful as a creative problem-solving framework “open” divergent cognitive process (green
to examine how entrepreneurs develop practical light) and an exploitative “closed” convergent
innovative solutions for the marketplace (Kolb process (red light).
Experiential Learning and Creativity in Entrepreneurship, Table 1 Case study of entrepreneurial creative idea
development (Gemmell et al. 2011)
Kolb ELT map Stage of entrepreneurial ideation
CE
1
1. Problem Engagement (Individual): “I tend to write things down because it just kept it top of
AE PO mind for me. I’ve got a note in a notebook somewhere where I wrote a note that says we need to
have something we can sell directly to independent contractors, and that was the beginning of the
AC
thought.. It was enough of a reminder,”
CE 2. Incubation (4–5 Months, Individual): “It just kept getting moved from one to-do list to the
AE
2
RO next one to the next one, and some background process in my brain was running around. I was
AC
talking to people about it. Customers, constantly talking to people about it.”
3. Insight (Individual): “when I write things down like that. I have . . . these flashes. One day – it
E
CE
AE RO occurred to me that our technology was one weeks’ worth of effort away from being able to do
3
AC
something that nobody else could do. So that’s when it tripped over.”
CE 4. Social Experiment (Inner Group): “Great idea. We can make that work. We‘ll go off and get
4
AE RO that done. . . the board was just like, “How is this going to make us more money?” So when
AC I explained it to them, they were all excited.”
CE 5. Social Experiment (Close Outer Group): “And then in a 48-h period, I managed to scare up
5
AE RO the two companies I wanted to partner with, get them both on the phone. I knew them, all the
AC
players there. I laid it all out and they agreed immediately.”
CE 6. Social Experiment (Close Outer Group): “She has this idea that instead of using VARs, why
AE
6
RO don’t you talk to these companies that provide service? Without her and the guy from the
employee outsourcing company - and the interesting thing about that is those relationships. . . are
AC
years old. . . the constant nurturing of these relationships is an important part of getting things
done these days.”
CE 7. Social Experiment (Outer Group): “I talked to two or three of the value added resellers that
AE
7
RO thought they might be able to help out. . .But they didn’t have any positive ideas. The interesting
thing about that talking to that group was it was a roadblock conversation. “Hey, I’ve got this
AC
idea.” Yeah, but.”
CE 8. Active Experiment: “We’ve put up a webpage to take reservations for it just to see what kind of
AE
8
RO traction it would get in the industry. We’re going to let the registration page run for five or six
weeks. Then take stock of how many people are actually signing up for it and whether or not it’s
AC worthwhile in putting in the final touches.”
The case study of entrepreneurial creativity used both intra-firm and strong extra-firm social
shown in Table 1 below (Gemmell et al. 2011) contacts to further develop and refine the problem
shows the development of an idea from inception solution.
to product launch and offers some interesting The entrepreneur also used social networks to
extensions to the Kolb experiential learning essentially institutionalize his solution by sharing
theory. The case study clearly demonstrates the idea with key management team members and
innovation through iterative, action-oriented with his board of directors to get their buy-in. This
meta-cognitive learning by the entrepreneur. The process of developing and maintaining shared
entrepreneur in this case study consciously wrote vision is crucial to socialization and institutional-
problems and thoughts in a notebook, periodically ization of new learning (Pearce and Ensley 2004).
recopying these notes to keep the problem fresh in Failure to perform this socialization process can
his subconscious mind. After several months of result in dysfunctional organizational dynamics
mostly subconscious reflection, the entrepreneur such as “not invented here.” Sharing the idea
experienced an epiphany (the “aha” moment) in with the board of directors helps to maintain an
which he realized that a troublesome product organizational culture of psychological safety
“defect” could actually be used as a creative solu- since board approval means broader distribution
tion to his customer’s problem. Following this of risk or effectively less concentration of risk on
moment of insight, the entrepreneur skillfully the shoulders of the CEO and management team.
Conclusions and Future Directions ▶ Innovation and Entrepreneurship

Experiential learning theory provides a useful frame-
work for better understanding the links between
learning, entrepreneurial creativity, and innovation. References
Successful entrepreneurs take action to iteratively
experiment, learn, and develop creative ideas. Amabile T. The social psychology of creativity: a componential
conceptualization. J Pers Soc Psychol. 1983;45(2):357–76.
There is growing recognition within the entre-
Amabile T. Creativity in context. Boulder: Westview Press;
preneurship research community of the significant 1996.
and underserved role of social interactions and Beckman CM. The influence of founding team company affili-
collaborative creativity and learning within the ations on firm behavior. Acad Manage J. 2006;49(4):741–58.
process of innovative new business formation. Carlsson B, Keane P, et al. (1976) R&D organizations as
learning systems. Sloan Manag Rev (Spring):6.
Recent data suggests the traditional assumption Corbett A. Learning asymmetries and the discovery of
that simple theories of homophily and diversity entrepreneurial opportunities. J Bus Ventur.
do not fully explain the intricate workings of an 2007;22(1):97–118.
effective entrepreneurial team or partnership. Csikszentmihalyi M. The creative personality. Psychol
Today. 1996;29(4):36–40.
In particular, there are open questions about the
Dane E. Reconsidering the trade-off between expertise and
composition of an ideal partnership or team – flexibility: a cognitive entrenchment perspective. Acad
what sort of mix of learning styles and learning Manage Rev. 2010;35(4):579–603.
flexibility (Sharma and Kolb 2009) produces the Gemmell RM, Boland RJ, et al. The socio-cognitive
dynamics of entrepreneurial ideation. Entrep Theory
best results for an innovative start-up firm? How
Pract. 2011;5(36).
does this composition influence decision-making Kayes AB, Kayes DC, et al. Experiential learning in teams.
processes related to innovation? Simul Gaming. 2005;36(3):330–54.
Research has shown that entrepreneurial inno- Kolb D. Problem management: learning from experience.
In: Srivastva S, editor. The executive mind. San
vation requires a mix of both divergent explora-
Francisco: Jossey-Bass; 1982. p. 109–43.
tion and convergent exploitation. Are certain Kolb D. Experiential learning: experience as the source of
teams, by virtue of their learning traits, more learning and development. Englewood Cliffs: Prentice-
predisposed to innovate through exploration of Hall; 1984.
Kolb A, Kolb D. Learning styles and learning spaces:
new markets while others excel at innovative
enhancing experiential learning in higher education.
exploitation of well-understood markets? Is there Acad Manag Learn Edu. 2005;4(2):193–212.
a team learning trait composition that yields the Lewin K. Resolving social conflicts; selected papers on
ideal mix of both exploration and exploration group dynamics. Oxford, UK: Harper; 1948.
March JG. Exploration and exploitation in organizational
(commonly referred to as ambidexterity)?
learning. Organ Sci. 1991;2(1):71–87.
Mills TM. The sociology of small groups. Englewood
Cliffs: Prentice-Hall; 1967.
Cross-References Minniti M, Bygrave W. A dynamic model of entrepreneur-
ial learning. Entrep Theory Pract. 2001;25:5.
Pearce C, Ensley M. A reciprocal and longitudinal inves-
▶ Ambidexterity tigation of the innovation process: the central role of
▶ Business Creativity shared vision in product and process innovation teams
▶ Cognition of Creativity (PPITs). J Organ Behav. 2004;25(2):259–78.
▶ Creative Behavior Ruef M, Aldrich H, et al. The structure of founding teams:
homophily, strong ties, and isolation among US entre-
▶ Creative Problem Solving preneurs. Am Sociol Rev. 2003;68(2):195–222.
▶ Creativity and Innovation: What Is the Shane S. Prior knowledge and the discovery of entrepre-
Difference? neurial opportunities. Organ Sci. 2000;11:448–69.
▶ Divergent Versus Convergent Thinking Sharma G, Kolb D (2009) The learning flexibility index:
assessing contextual flexibility in learning style. Work-
▶ Diversity and Entrepreneurship ing paper 28.
▶ Entrepreneurial Opportunity Wallas G. The art of thought. London: Jonathan Cape;
▶ Ideas and Ideation 1926.
Extrapreneurship 945
Expert External Venture
▶ Creativity in Puzzles, Inventions, and Designs: ▶ Extrapreneurship

The Sudden Mental Insight Phenomenon
Externalities
Exploration-Exploitation
Balance
E
▶ Ambidexterity
Externalization
Exploratory Innovation
▶ Extrapreneurship
▶ Invention in Total Quality Management
Extrapreneurship
Extended Cognition
Pascale Brenet
IAE, Université de Franche-Comté, Besançon,
France
Synonyms
Extended Mind
Academic spin-off; Corporate spin-off; Corporate
venture; Divestment spin-off; External venture;
Externalization; Opportunity spin-off; Social
spin-off; Spin-off
Extended Mind Thesis
A Promising Form of Entrepreneurship
Citizens, firms, and territories continuously focus
on entrepreneurship. The fact that some countries
have a low entrepreneurial capacity may be
External Benefits deplored, and it results in two phenomena: on
the one hand, the small number of business start-
ups and, on the other, the difficult emergence of
growth potential businesses, or of middle-sized
businesses, as opposed to very small businesses.
In the wide research field of entrepreneurship,
External Factors extrapreneurship is relatively little explored. Yet it
covers various situations which may inspire pub-
▶ Environmental Determinants of Entrepreneurship lic or business policies by shedding a new light on
946 Extrapreneurship
them. Extrapreneurship indeed relies on (i.e., by creating a new legal entity or setting up a
exploiting opportunities and assets coming from new type of organization). The starting point of
an existing company. It enables experienced spinning-off is the discrepancy between the parent
entrepreneurs to develop new technologies and and the spun-off company: be it the desire for
explore new markets, thus creating value and independence of an employee, diverging views
growth potential businesses. on the opportunity to get involved in an innovat-
Studying extrapreneurship leads us to focus on ing project, a divestment of the parent company,
the strategic choices of firms and on their bound- or the strategic intention not to pursue the promo-
aries. According to the resource-based view, tion of an ongoing research. Extrapreneurship
spinning-off may be considered as a phenomenon makes possible to exploit opportunities, assets,
which can generate business opportunities pro- or skills which were born in the parent company.
moted by the relationships set between parent This phenomenon takes various forms, and its
companies and spin-offs. typology is presented in Fig. 1.
This typology is based on several criteria:
Spinning-Off: A Multiform Phenomenon
Relying on Corporate or Public Research – The spontaneous aspect of the creation or, on
A spin-off is a firm formed by one or several the contrary, the impulse or support given by
employees coming from the same parent organi- the parent organization.
zation. This creation formally or informally relies – The type of parent organization: public
on the assets of this organization, be they tangible research or corporation. The latter being called
or intangible. Spinning-off is therefore different corporate spin-off.
from creating a company ex nihilo. In extra- – The diverging point from which the spin-off is
preneurship, the emergence of the new company created and the latter’s orientation: divestment
is accomplished by breaking off with the organi- or reorganization, grasping technological or
zational or institutional structure of the parent firm market opportunities, reorganizing the value
Sponsored spin-off Spontaneous spin-off
Academic spin-off
Corporate spin-off Socialspin-offs
from large companies Divestmentspin-offs

from small & medium-sized Newtechnologies
companies
Innovation spin-offs
New markets
Supplementary spin-offs Competitive
Complementary
Extrapreneurship, Fig. 1 Spin-off typology

chain by outsourcing. This aspect refers to the Academic Spin-Off

degree of maturity of the activity that is spun In this case, a researcher or a team of researchers
off: mature activity from the parent company decide to leave their original laboratory to pro-
or, on the contrary, new or embryonic activity. mote a result of their research (Pirnay et al. 2003).
Thus, some authors distinguish between This type of extrapreneurship has been widely
opportunity spin-off and divestment spin-off. developed for several years in North America,
– As regards the particular but widely spread where some universities are well known for tech-
case of supplementary spin-off which is a nology transfer. The creation of a company from
type of outsourcing, the typology can deter- public research requires a set of determining con-
mine the degree of competition existing ditions. Universities and public research need to
E
between the parent company and the spin-off, have a technology transfer policy and an expertise
whether the latter becomes a competitor of its on the transfer of intellectual property to the spin-
parent company or not. offs; they need to inform and train researchers
about entrepreneurship and to define specific sta-
tus for researchers becoming entrepreneurs; they
Spontaneous Spin-Off
have to welcome young entrepreneurs with incu-
This type of extrapreneurship corresponds to the
bators. And last but not least, there must be an
spontaneous departure of an employee who
appropriate financial environment with special
decides to create his/her own company, without
connections with business-angel and venture-
having been incited to do so or backed by the
capital networks.
parent company. The activity of the spin-off can
be created with or without any connection with the
Technological Extrapreneurship and Corporate
parent company. Spontaneous extrapreneurship is
Venturing
a manifestation of the labor mobility, which
Technological extrapreneurship consists in creat-
allows knowledge to circulate and contributes to
ing a spin-off by relying on a technology which
keeping up the vitality of labor pools. It can
has been initially developed in the parent com-
explain the existence of spontaneous clusters
pany. Such a creation can be explained by the
(Merlant 1984).
strategic and financial arbitrations of the parent
company. Connections between the latter and the
Social Spin-Off start-up may consist in a technological coopera-
Social spin-off is a practice which large compa- tion, in cofinancing the innovation or becoming a
nies may be compelled to in times of reorganiza- stockholder of the start-up and sharing intellectual
tion or which they set up more permanently so as property with it. Technological spin-off comes
to promote the mobility of their employees. Thus, within the frame of innovation management and
they help weave a web of companies around their corporate venturing. The latter practice allows an
original site and compensate for the job losses that existing company to explore new business oppor-
such a reorganization may cause. In such a case, tunities with a limited investment, by resorting to
social spin-off promotes the emergence of entre- the skills and the agility belonging to an entrepre-
preneurial initiatives based on the individual pro- neurially managed small firm, and finally by shar-
jects of employees which may have no actual ing risks with it.
connection with the activities of the parent com- In some industries requiring highly specialized
pany or its markets. The large company’s involve- knowledge, like biotechnologies, creating a com-
ment consists in supporting the project variously, pany is always achieved by founders coming from
including by providing financial support. This public or corporate research or industrial research.
type of extrapreneurship is in line with the Spinning-off is then the only way to create new
employment policy of parent companies and also companies.
with their image policy and relational strategy. It In 1988, Marc Lassus and four engineers left
results from their social liability. the Thomson group and founded Gemplus since
the group chose not to get involved in the devel- and 11% were sponsored spin-offs. In this study,
opment of microchips. As phone cards were spin-offs are defined as companies whose capital
spreading, France Telecom became the first cus- is held by a large company before entering the
tomer of the young company. In the 1990s, stock market, the latter keeping a share in spon-
Gemplus was part of the mobile phone market sored spin-offs after their entrance. Wallin and
explosion and became the SIM cards world leader. Dahlstrand highlight the fact that these companies
In 2006, after merging with Axalto, Gemplus, have three specificities distinguishing them from
now Gemalto, became the microchips world other quoted companies: they are larger at the time
leader and was present on three main markets: of their creation, their workforce grows faster in
mobile phones, financial transactions, and identity the years after they enter the stock market, and,
safety. In the close field of semiconductor devices, finally, they are more widespread in high- and
Thomson spurred the creation of STMicroe- medium-technology industries.
lectronic as well as many other companies created
in the 1980s. Opportunity and Divergence: Spin-Off Seen
Through the Resource-Based View
Supplementary Spin-Off Extrapreneurship belongs to the field of entrepre-
Supplementary spin-off consists in outsourcing an neurship and may be distinguished from creating a
activity which was previously led by the parent company ex nihilo. It can have an impact on the
company. The company thus created becomes a creation of companies with value and growth
supplier or retailer of the parent company, on a potential. Notions of divergence and opportunity
temporary or permanent basis, which may lead it are essential to understand the spin-off phenome-
to try to address other customers. Supplementary non. They allow to review it through the resource-
spin-off requires to move one or several based theory.
employees of the parent company and may be
followed by the transfer of industrial or commer- Spinning-Off and Accessing Business
cial assets. The parent company becomes an Opportunities
outsourcing company, according to the logic of The example of the founder of Gemplus gives a
transactional firm defined by Fréry (1996). The good illustration of the assets an extrapreneur may
spin-off results from the optimization of the value have: he knew the market, had developed techno-
chain by the parent company which grants logical and management abilities and manage-
resources more efficiently, variabilizes fixed ment abilities, and acquired international
costs, and looks for flexibility and for the advan- experience within the parent company, which
tages of specialization. turned out to be particularly favorable conditions
to create a high growth potential business (Daviet
Divestment Spin-Off 2000). His evolution within the Thomson group
This type of spin-off comes within the field of enabled him to identify and measure the techno-
portfolio management by the parent company logical and commercial opportunities related to
which makes the decision to withdraw from microchip development. Fayolle (2001) mentions
some of its activities in order to use its resources the notion of “launch window” which makes per-
for other activities. Thus, spin-off results from fect sense when used in the context of extra-
diversifying and refocusing choices which may preneurship. Verstraete and Fayolle (2005)
lead to reconfiguring the parent firm’s perimeter. defined the paradigm of business opportunities
This reconfiguration may follow an industrial or a as a “social construction arising from interactions
pure financial logic. and confrontations between the people undertak-
A research (Wallin and Dahlstrand 2006) ing the entrepreneurial project and the context of
conducted on 101 companies which entered their evolution.” Many researchers underlined the
Stockholm stock exchange between 1992 and difference between the achievements of compa-
1996 showed that 28% of them were spin-offs nies created ex nihilo and those of spin-offs. This
gap can mainly be explained by the founders’ These divergences may lead the parent com-
acquired experience and their better access to pany to reconfigure its organization, change its
opportunities. boundaries, and, depending on each case, develop
Paillot (2003) studies entrepreneurial sociali- new activities or reconfigure mature ones.
zation and defines it as the historical process of Audretsch underlined the importance of such a
learning, integrating, and finding one’s social break in the emergence of the new company since,
place. Deciding to spin-off becomes part of a as he noticed, each individual grants different
career course and constitutes an alternative potential to a single idea:
(Fayolle 2001). Minniti and Bygrave (2000) Because of the fundamental characteristics inherent
highlighted a decisive factor related to such a to new ideas, what an agent considers as a poten-
tially valuable idea can be considered otherwise by
E
decision: the difference between value being an
entrepreneur and an employee. the people who make decisions in his firm,
(especially) if the new knowledge does not fit with
Thus, drastically restructuring a company may the core competences of the firm, or if it is not in line
trigger innovating entrepreneurial opportunities, with its technological course. (This) divergence
as Buenstorf and Fornahl (2009) showed in a (. . .) submits individual workers (or teams), who
case study about the Intershop German company, make intellectual contributions, to a fundamental
choice: they can either ignore their idea and reorient
created in 1992, introduced to the Neuer Market their activities to be in line with the organization, or
and to NASDAQ in 1998 and considered as the try and appropriate the value of this new idea in the
finest example of new economy. This company, organizational context of a new firm. (Audretsch
which developed tools for Internet software and et al. 2006.
online business, used to have 1218 employees in
2000 at the top of its development, but it consid- Strategy of the Parent Company and Resource-
erably reduced its size after the Internet bubble Based View
burst (about 200 employees in 2007). Yet, in just a Some researchers on entrepreneurship emphasize
few years, about 40 companies, mostly working in the role of the context and define it as a spurring,
the same field and located in the same area, were facilitating, or stimulating element in the creation
created as a result. Creating these companies, also of a new firm. As far as extrapreneurship is
called necessity spin-offs by Buenstorf and concerned, these contextual elements are obvi-
Fornahl, had a double impact. It first allowed to ously present, but there is another specific factor
save employment in the regional area by compen- related to the conditions of incubation of the new
sating for the job cuts of Intershop. Then it allo- venture within the organizational matrix of the
wed to create a software cluster, which was parent company.
spurred by the parent company. Therefore, the While there may be cases of spontaneous spin-
company had a temporary success within its offs, which are not backed and are ignored by the
boundaries but a long-lasting effect on regional parent company, academic literature most fre-
development. quently deals with initiated cases, which are
supported or at least allowed by the parent com-
Divergence: Spin-Offs’ Starting Point pany (Parhankangas and Arenius 2003). This
Extrapreneurship always has its origin in a kind of leads us to question or review extrapreneurship
break or divergence within the parent firm. This is from the point of view of the strategic choices of
obvious in social spin-off, but it also exists in companies and of the evolution of their
supplementary and technological spin-off. It may boundaries.
be linked to job cuts, to a different choice of These choices may be interpreted according to
investment which may lead to giving up an activ- the resource-based view which highlights the way
ity or a development, to a decision to exploit a company articulates its resources in order to get
technological or market opportunities through a competitive advantage and to position itself on the
small company, or to the management of a busi- value chain. According to this theory, the parent
ness portfolio. firm reviews its business perimeter and makes
development, divestment, or diversification References

choices by optimizing the connection between
its inner and outer resources, be they material, Audretsch DB, Keilbach M, Lehmann
M. Entrepreneurship and economic growth.
immaterial, or financial. The resource-based
New York: Oxford University Press; 2006.
view is useful in that it helps understand the direc- Buenstorf G, Fornahl D. B2C-bubble to cluster: the dot-
tion and results of the diversifying movements of com boom, spin-off entrepreneurship, and régional
the parent firm. As such, it highlights the factors agglomération. J Evol Econ. 2009;19(3):349–78.
Daviet S. Marc Lassus et les fondateurs de Gemplus, des
leading to the decision to spin-off. This theory
pionniers de la carte à puce. In: dans Marseille J, dir.
shows that extrapreneurship helps reduce the Créateurs et créations d’entreprises. Paris: ADHE;
resources of the parent company and its business 2000. p. 496–516.
portfolio when it considers that its externalized Fayolle A. D’une approche typologique de
l’entrepreneuriat chez les ingénieurs à la reconstruction
resources are too far or that they are not part of
d’itinéraires d’ingénieurs entrepreneurs. Rev Entrepr.
its core resources (Richardson 1972). However, 2001;1(1):77–98.
building partnership or financial connections with Fréry F. L’entreprise transationnelle, Gérer et Comprendre,
the spin-off allows the parent firm to have a sub- Annales des Mines, Septembre 1996.
Johnsson T, Hägg I. Extrapreneurs – Between markets and
sequent access to externalized resources or even
hiérarchies. Int Stud Manag Organ. 1987;XVII
to the results they generate. (1):64–74.
The issue of firm boundaries in the spin-off Merlant P. On l’appelle spin-off, in Les Héros de
process was dealt with by the theory of transaction l’Economie, Editions Autrement. 1984;59.
Minniti M, Bygrave R. The social dynamics of entrepre-
costs. As far as supplementary spin-off is
neurship. J Bus Ventur. 2000;24:439–57.
concerned, Johnsson and Hâgg (1987) consider Paillot P. Méthode biographique et entrepreneuriat: étude
that extrapreneurship corresponds to an interme- de la socialisation entrepreneuriale anticipée. Rev
diary situation between market and hierarchy Entrepr. 2003;2(1):19–41.
Parhankangas A, Arenius A. From a corporate venture to
since the two firms are interdependent.
an independent company: a base for a taxonomy for
corporate spin-off firms. Res Policy. 2003;32:463–81.
Pirnay F, Surlemont B, Nlemvo F. Toward a typology of
Cross-References university spin offs. Small Bus Econ.
2003;21(4):355–69.
Richardson GB. The organisation of industrie. Econ
▶ Business Emergence J. 1972;82(327):883–96.
▶ Clusters Verstraete T, Fayolle A. Paradigmes et entrepreneuriat. Rev
▶ Entrepreneur Entrepr. 2005;4(1):34–52.
Wallin MW, Lindholm Dahlstrand A. Sponsored spin-offs,
industrial growth and change. Technovation.
▶ Spin-Off 2006;26:611–20.
▶ Start-Up
F
Façade Design Feeling
▶ Creativity in Puzzles, Inventions, and Designs: ▶ Creativity and Emotion

The Sudden Mental Insight Phenomenon
Female Entrepreneur
Failure
▶ Microfirms
▶ Firm Failure and Exit
False Memory Female Entrepreneurship
▶ Imagination Stefan Kesting and Sabina Jaeger

Auckland University of Technology-New
Zealand, Auckland, New Zealand
Family and Entrepreneurship
Synonyms
▶ Socialized Entrepreneur, Theories
Diversity entrepreneurship; Entrepreneur
Family Business
Characteristics of Female
▶ Small Businesses: Value, Transmission, and Entrepreneurship
Recovery
Female entrepreneurs are the women founding,
building, owning, and driving new companies in
emerging and established industries. What is
Family Enterprise Investment understood as entrepreneurship can range from
being self-employed and, for instance, running a
▶ Love Money small catering service from home to owning a
https://doi.org/10.1007/978-3-319-15347-6
952 Female Entrepreneurship
business venture worth millions of US dollars. entrepreneurial activities (Lewis 2006; Wagner
Starting from Schumpeter’s original portrayal, 2007). Are female and male entrepreneurs really
entrepreneurs are often seen as charismatic indi- so different? If so, what are the main differentiat-
viduals who use inventions, resources, and crea- ing factors?
tivity to push for commercial success of
innovation. The classical theoretical view pre-
sents entrepreneurship as gender neutral. Numbers: The Status Quo
Research on the secret of entrepreneurial success
highlights the personal characteristics of the indi- The ratio of female to male entrepreneurs is
vidual. Scholars use descriptors such as inven- different across regions and countries. In many
tive, energetic, risk taking, aggressive, dynamic, parts of the world, male entrepreneurs outnum-
self-motivating, and tolerant of ambiguity. These ber females by far. While there has been a great
“entrepreneurial traits” are clearly male attri- increase in the number of female entrepreneurs,
butes. Prior to 1980, entrepreneurial activity in research shows that participation is still low. For
most developed countries was dominated by instance, female entrepreneurs make up 37.7%
men. Not surprisingly, research investigated of all entrepreneurs in New Zealand in 2010.
men and their motives, behaviors, and character- And in the USA, according to their 2002 census,
istics. The phase of treating entrepreneurial just over one quarter of all US firms in 2002 were
behavior as gender neutral as well as without owned by females. The trend in the USA for
any other crucial distinctions across populations female new ventures is positive with a yearly
lasted until the 1990s. Since then, the research increase of 20% which amounts to doubling the
focus has shifted. The number and importance of overall growth rate. In Europe, female entrepre-
female entrepreneurs grew, and now female neurs also own and run just a minority of busi-
enterprises contribute considerably to economic nesses. In the EU, female self-employment
development all over the world. Thus, it is no ranges from just over 20–40% depending on
longer appropriate to neglect the specific motives the country. Many European women report that
and performance of female entrepreneurs. they start businesses to avoid under- or unem-
Though still limited and fragmented, a special- ployment. For much more women than men in
ized literature on women entrepreneurship is the developed world, self-employment is a part-
evolving and growing (Brush et al. 2006; Carrier time activity. In the transitional economies of
et al. 2008; Klapper and Parker 2011; Patterson Eastern Europe and Central Asia, it varies from
and Mavin 2009). over 40% (Latvia and Hungary) to just over 8%
More insights into female entrepreneurship (Tajikistan).
derived from a large body of research that com- Research on female entrepreneurship in Latin
pared the experience and human capital of male America and the Caribbean found very high rates
and female entrepreneurs. At the same time, of female entrepreneurship in the poorest coun-
research began to focus on environmental tries of the region. For instance, over 35% of
(available financial and other resources) and soci- business owners in Peru are female. However,
etal factors (networks, social capital) in order to only 13% of women entrepreneurs in the region
explain the “gender gap” in entrepreneurship. indicated that they expected their firm to grow
More recent research challenges the concept of over the following 5 years. In many cases, oppor-
gender neutrality (with masculine undertones). tunities and incentives are unfavorable for
Most studies seem to reject the notion that women to begin businesses, even when they
gender-related discrimination in laws and regula- have the abilities and knowledge.
tion should be the major reason for the dispropor- The analysis of entrepreneurship focuses on
tionate participation of females in start-up the formal private sector; however, the “infor-
businesses. Some go so far as to place gender at mal” sector plays an important role in many
the center of understanding the essence of countries and particularly in developing ones
Female Entrepreneurship 953
(e.g., 70% of official GDP in Nigeria). If female rearing practices and more joint responsibility
entrepreneurship is much more widely spread in for family life in modern societies. The increase
this “shadow economy,” such neglect may lead to in educational qualifications, professional skills,
a considerable omission. and labor force participation of women in general
has promoted a reevaluation of the traditional
distribution of family roles. However, while
Performance: The Status Quo some women enter professional self-employment
for similar reasons of career advancement as men,
In terms of standard measures of performance like another group enters nonprofessional self-
earnings, profits, return on capital, growth rates, employment primarily to juggle family commit-
etc., male entrepreneurs tend to outperform their ment and work hours. A 2005 Eurostat survey of
female competitors. There is general agreement in entrepreneurs in 15 EU countries finds that much F
the literature that female entrepreneurs tend to more women than men cite the ability to combine
earn less income and that their businesses grow family life and childcare responsibilities with
at a lower rate than those owned by male entre- work as a motivation to start up their own busi-
preneurs, with no difference between developing ness. Time-budget studies in developed countries
or developed countries. Overall women’s busi- show that women do work fewer hours in business
nesses tend to be smaller, utilizing less capital and do more childcare and housework than men.
and finance from banks and other lenders than In general, many women perceive their social and
men’s. This is due to women entrepreneurs con- child-nurturing obligations as very important, so it
centrating in (sales, retail, and services) industries is not a surprise that female entrepreneurs strongly
with lower capital intensities and lower average identify flexible work hours as their most impor-
return on capital and is not due to their lower tant incentive toward independent businesses.
business effectiveness or capabilities. Even when This is in contrast to male entrepreneurs who
studies find that female owners earn similar rates identify self-determination and the sense of suc-
of return on assets as male owners, lower invest- cess and achievement as their main drivers to
ment at the start leads to comparatively lower enter entrepreneurship. Some studies suggest
absolute income and profits for female entrepre- that women are less motivated by growth and
neurs. Moreover, women’s businesses tend to profit than men and more by intrinsic goals such
generate lower sales turnover than men’s and as personal fulfillment, flexibility, and autonomy.
therefore are less profitable than those of men, However, in the light of the aforementioned fam-
even in same industry comparisons. ily obligations, at least the latter two goals can be
How can these gender differences be interpreted as extrinsic motivation rather than
explained? intrinsic.
There is evidence showing a number of profes-
sional women shunning their corporate careers in
Motivation and Characteristics of favor of entrepreneurship. The “glass ceiling,”
Female Entrepreneurs flexibility, independence, control, and family are
the most commonly cited reasons for why women
Major reasons to pursue an entrepreneurial way of become entrepreneurs.
life, namely, to solve work issues, are shared A recent Dutch study finds that on average,
among both genders; such is the desire to avoid women invest less time in business than men
low-paid occupations, to escape supervision, and (Verheul et al. 2009). This can be attributed to
to gain the opportunity and flexibility to coordi- both a lower preference for work time (driven by
nate family life and other social responsibilities risk aversion and availability of other income) and
with gaining income. The common ground for a lower productivity per hour worked (due to
these motivations has been increasing in recent lower endowments of human, social, and financial
times with a trend toward more shared child- capital). Many young, well-educated, and
financially well-off women choose part-time perceptions and a variety of distinctions among
entrepreneurship today as the preferred option to female entrepreneurs.
pursue a career and professional development Some studies argue that men and women per-
combined with family life while having young ceive risk differently (Wagner 2007). However,
children. Sometimes, these women are referred evidence that female entrepreneurs have in gen-
to as “mumpreneurs.” The necessity of earning a eral less appetite for risk taking compared with
living is not the major issue here, but it is in most male entrepreneurs is inconclusive and sparse.
cases rather a lifestyle choice. Recent studies con-
firm this trend of increasing rates of married
women with children in part-time entrepreneur- Preferred Industries and Environmental
ship in their attempt to combine self-development and Societal Factors
and family life as a form of postfeminist entrepre-
neurship. The situation of part-time work might Female and male entrepreneurs start and run busi-
explain the lower success or performance rate of ness in different industries, develop different
female entrepreneurial ventures than average products, and also have different goals. Interna-
compared with their male counterparts. tional studies in gendered entrepreneurship which
On the other hand, a number of studies point to concentrate more on environmental (macro) fac-
job transition or reentry into the workforce fol- tors than on individual (micro) motivation stress
lowing a layoff or voluntary leave as a major that the chosen sector of activity is important in
motivation for self-employment. The 2005 explaining differences in male and female entre-
Eurostat Business Success Survey conducted in preneurship. Canadian studies find that “type of
15 EU countries finds that a much larger propor- business” is a significant factor explaining gender
tion of female than male respondents answer “to differences among nascent entrepreneurs
avoid unemployment” when describing their (Menzies et al. 2006; Pare and Therasme 2010).
motivation for starting their own business. This Moreover, women tend to be less likely to operate
supports the hypothesis that women more than in high technology sectors, and they are much
men are pushed into entrepreneurial activities by more predominant in the service sector (Verheul
changing economic environments and resulting et al. 2006; Pare and Therasme 2010). In the USA,
lack of household income. 69% of women-owned firms were in the service
Research into the psychological characteristics sector. Other studies find that female entrepre-
of female entrepreneurs has led to a classification neurs tend to concentrate on consumer-oriented
into three motivational types: the need achiever sectors (Allen et al. 2008). However, there is also
entrepreneur, the pragmatic entrepreneur, and the apparently a recent tendency for female entrepre-
managerial entrepreneur. Need achievers have a neurs to move away from traditional female
high need for achievement, the managerial entre- industries into male industries like manufacturing.
preneurs have high self-attributed need for power Nonetheless, the overall situation appears to be
and influence scores, and the pragmatic entrepre- that woman entrepreneurs still favor the service
neurs are moderate on both motivations of sector and in particular industries which do not
achievement and power. Perhaps, the female situ- require a high start-up capital. Therefore, female
ation differs from male characteristics within this entrepreneurs are highly represented in areas such
framework because women seem to be less power as sales, retail, and specialized care and catering
hungry than men. Some Canadian studies suggest services. This female industry concentration may
that running a small and stable business is the explain the aforementioned gendered characteris-
preferred modest practice among female entrepre- tics of smaller scale, more intense competition,
neurs but not among male ones. Although, there is and lower average returns.
major support for a gendered somewhat general Both male and female entrepreneurs choose
concept of entrepreneurship, recent empirical normally industries and businesses for start-ups
research sheds light on a wide range of that are related to areas of former employment.
Drawing on previous work, experience reduces Lack of education, lack of business experience,
the risk of failure and in most cases provides and lower financial literacy leading to weaker loan
entrepreneurs with access to valuable networks. applications and weaker credit rating scores are
This practice, of course, reinforces the status quo the proposed factors to the diminished equal
concerning the choice of industries. For example, opportunities of female entrepreneurs in the liter-
historically, there has been a concentration of ature. Moreover, most firms led by women oper-
females in clerical and administration jobs which ate in the service sector. Since service sector firms
normally require less-advanced qualifications but are often very small, require little start-up funding,
also restricted their potential income. Fewer and tend to operate in volatile markets, all these
women than men study business and technical factors may explain the reluctance of financial
subjects. Moreover, men are more likely than institutions to lend money. Evidence suggests
women to have had valuable previous work and that discrimination against women has diminished F
business experience in industry and in managerial over the last 10 years and in many cases
roles. It might explain why female entrepreneurs completely disappeared. However, females who
selected traditional “female” industries in the past perceive prejudice regardless if it is true or not will
and are still choosing them today, although other experience intrinsic limitations and may be less
sectors might be more profitable and promising likely to ask for outside financing. This in turn will
higher growth rates. The question, “What are the have an impact on the future growth of their
main reasons for these choices: societal pressure businesses. Perceived discrimination can thus
or traditional untested gender perceptions and become a self-fulfilling prophesy. Another inter-
roles?” remains unanswered. Research suggests esting obstacle has been identified as the physical
that women are sometimes more influenced by appearance of the borrower, the less attractive and
external factors like family or community opin- beautiful a female loan applicant is, the less likely
ions than men. Societal norms vary around the she is going to get a loan approved.
globe and so can the geographical variances of The legal environment can also function as a
female entrepreneurship and the difference in barrier toward female entrepreneurship. If the legal
practices and performances. framework discriminates against women as to free-
dom of ownership rights or asset transfers and
adverse marital rules, this all can become a serious
Finance and Other Barriers/Problems for impediment toward doing business successfully.
Female Entrepreneurs Even if the law explicitly does not require the
husband’s or father’s signature to receive a loan
Some studies focus on particular barriers faced by for a female entrepreneur, in some countries,
female entrepreneurs. Early research reports implicit social norms and differential treatment
major obstacles for female entrepreneurs as prob- under the law can have similar deterring effects.
lems with finance and credit and property regula- Overall, women seem to require much less
tions as well as lack of business and financial funding and in particular lower loans to start up
training. Today, these barriers seem to be more their businesses. While it is not clear if this is a result
pronounced in developing countries in Africa and of institutional barriers concerning access to finance
Asia and transition economies than in developed for females or due to gender differences in motiva-
countries. Studies about women in these areas tion, it definitely influences their choice of industry.
report more systematic difficulties with accessing
finance than those conducted in North and South
America and Europe. However, access to suffi- Policy Implications
cient start-up capital for new ventures in the
poorer regions of the world might not be entirely In general, the literature suggests that improve-
a gender issue; the reason for the capital shortage ments in the business environment can help pro-
might be also a general deficiency in supply. mote high growth of female entrepreneurship.
Women may have relatively less physical and “rep- most impressive female French entrepreneur of the
utational” collateral than men, which might con- nineteenth century (Mazzeo 2008). Widowed in
secutively limit their access to finance. Therefore, her late twenties, in the middle of the Napoleonic
public policies that circumvent the requirement of Wars, without formal training and no experience,
collateral and create alternatives to secure a loan she had to take over a small struggling family
can promote low-interest loans and small grants to vineyard from her husband and turned it into prob-
females wishing to start up a business and might ably the most important champagne house of the
thus bridge the gap between genders. Assistance in nineteenth century. Madame Clicquot led the wine
terms of training programs in business skills and brokerage through several failed attempts to
financial literacy and effective consulting services expand sales of her champagne to Britain and
might also help aspiring female entrepreneurs. other parts of Europe and created an amazing vin-
Interestingly, however, research into existing sup- tage in 1811. Not only did she manage to protect
port programs indicates that there is no real gender this treasure in her cellars from looting by Russian
difference. Male and female entrepreneurs seem to occupying troops in her hometown Reims, but she
be virtually identical in terms of their needs for also used the chance to introduce Russian officers
assistance. Females do not appear to need more to her sweeter, fortified champagne. As soon as the
assistance than males nor do they appear to require opportunity arose to export French wine to Russia
different types of assistance. The virtually identical in 1815, she seized it and shipped and sold her
ratings of service value among males and females magic 1811 vintage ahead of all other competing
also indicate that both genders are equally satisfied vineyards with great success in St. Petersburg and
with the assistance received. Moscow. Because of this success, she is credited
The strengthening of a legal framework unbi- today for “internationalizing the champagne mar-
ased toward gender and thus allowing females to ket” and “establishing brand identification.” More-
operate under the same conditions as males would over, Madame Clicquot invented and developed a
go a long way toward progress of female entre- process called in French remuage sur pupitre
preneurs in some countries. which is an efficient system of clearing champagne
There are of course also societal measures con- of the yeasty debris trapped in the bottle after
ducive to possibly improve the future develop- secondary fermentation to create the bubbles.
ment of female entrepreneurs. Some of these Even today, this procedure is indispensable to
more general recommendations call for women reduce wasting wine and does significantly
to be encouraged to study fields other than liberal increase the output of wine in numbers of bottles.
arts. Women need access to seminars on finance, Keeping it an industrial secret, this method helped
management, marketing, etc. And finally, it is her in gaining competitive advantage over her
recommended that women seek assistance from competitors for 20 years.
experts, colleagues, and friends to establish for-
mal and informal networks. Experienced female
business owners emphasize that in order to further An Exemplary Case in the Present
develop women’s role in business, stereotypes
concerning women as entrepreneurs need to be In some instances, female founders of companies
eliminated through public awareness workshops employ exclusively women to gain competitive
and more visible role models and that mentors for advantage. The Japanese company Digimom pre-
younger women are needed. sents an example for this. The motivation for such
a practice was to tap into the underutilized female
workforce in Japan. As the authors researching
A Role Model from the Past Digimom point out, one of the four most impor-
tant success factors for the company is the right
While Coco Chanel was arguably the most famous choice of industry (Futagami and Helms 2009),
French self-made woman of the twentieth century, which is linked to an exclusively female work-
“Veuve” Barbe-Nicole Clicquot was certainly the force. The advantage is that Digimom’s provision
of IT services allows for flexible work from home. interpretivist studies, being done, which
Such an option is much harder to offer in sectors increases our understanding of the issues and
other than the computer service industry. motivations of female entrepreneurs. However,
a useful theoretical structure to integrate what we
know so far is missing.
Conclusion and Future Directions On the other hand, entrepreneurship scholars
could explore more opportunities for interdisci-
It is interesting to note that women entrepreneurship plinarity in their work. Much is to be gained from
is not a recent phenomenon, let us say, of the last inputs from other academic fields such as social
century. In fact, the “champagner” story indicates sciences, gender and diversity, psychology, man-
that successful businesswomen can be found agement, leadership, international business, inter-
throughout history. The beginning of mainstream national strategy, and so forth. Thus, F
research into start-up ventures, clearly, centered on multidisciplinary collaboration on female entre-
the entrepreneurial (in particular male) behavior preneurship should be pursued more often.
traits. It was sought to understand what kind of As the field matures, we might move away
prerequisites and characteristics the individuals had from looking mainly at negative aspects, the dis-
to have for entrepreneurial high achievement. Thus, advantages, and barriers to female entrepreneurs
classical entrepreneurial research produced evi- in comparison to their male counterparts. It might
dence that featured decisiveness, aggressiveness, pay to concentrate on the strong positive features
business acumen, and risk-taking behavior. The suc- of women entrepreneurs for future research.
cess in business, of course, was “male” and mea- In conclusion, future research should focus on
sured mainly through quantitative outputs and the internationalization of female entrepreneur-
“hard” facts. During the last 20 years, research on ship, especially beyond the mainstream Anglo-
female entrepreneurship developed, which Saxon context. The time is ripe for abandoning
questioned the necessity of male attributes for the the rather ethnocentric stance that industrialized
female entrepreneur; thus, this new research branch countries provide all the answers to successful
moved away from the mainstream model of entre- (female) entrepreneurship. In order to achieve
preneurs to explore entrepreneurship with a gen- more sustainability and real action to tackle global
dered focus. It seems now widely accepted that poverty, research into female ethnic entrepreneur-
female entrepreneurs are often different from their ship might provide solutions. Many women entre-
male counterparts. Women choose different indus- preneurs in developing economies are able to
tries and products than men and, in many cases, create successful ventures, albeit sometimes very
have different motivations and goals. Discrimina- modest ones, with little start-up capital and out-
tion and differences in social roles might not be the side official financing. This fact should actually be
only factors influencing these choices; females celebrated as strength. Female entrepreneurs are
might have also a different attitude toward resources obviously innovative and resourceful. And as
and the sustainable use of them. Current research resources diminish globally, the female entrepre-
into gendered entrepreneurship in developing econ- neurial model might become extremely valuable
omies, in particular, pertains to microfinance/micro- in future.
enterprise development and supports this notion.
What Should Be the Target of Future
Research? Cross-References
The developing field of gendered entrepre-
neurship needs a stronger theoretical base in ▶ Entrepreneurial Capability and Leadership
order to mature. Integrative theoretical frame- ▶ Entrepreneurship and Social Inclusion
works would provide better a base for scientific ▶ Entrepreneurship Policies
discussions. Currently, there is plenty of interest- ▶ Psychological Aspects of Entrepreneurial
ing empirical work, case studies, and other qual- Dynamics
itative enquiries, such as narrative and ▶ Women’s Entrepreneurship and Invention
958 Figure of Speech
References
Financial Sponsor
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agement, acquisition, and investment.
In a monetary economy, the entrepreneurship
Figure of Speech and the finance are two connected phenomena.
Any entrepreneurship activity requires some
▶ Metaphorical Reasoning and Design Creativ- financing because the processes of production,
ity: Consequences for Practice and Education investment, and marketing need various sources
Financing Entrepreneurship 959
of financing. The realization of entrepreneurs’ p. 126), where the settlement of plans for further
projects and particularly the implementation of development is decided. All kinds of economic
innovative plans are dependent on conditions of projects are first brought into relation with one
their financing. another and contend for their realization in it.
The entrepreneur-innovator, the explorer, can-
Theoretical Grounds not dispense with money. Dynamics enter the
As Joseph Alois Schumpeter stated in The Theory picture with the innovation decisions of entrepre-
of Economic Development (1934/1961), the neurs. To innovate means to change deeply the
money markets are the headquarters of the capi- economic status quo (the setting up of a new
talist system such that the money (the finance) is production function, Schumpeter 1939, p. 87).
the entrance ticket into the market. In Business The leading figure of the innovation is the entre-
Cycles (1939), Schumpeter also stressed that ecopreneur who tries to design and execute new com- F
nomic action cannot be explained without taking binations. Innovation is the driving force of
account of money. Therefore, the financial con- accumulation. But the sole presence of entrepre-
straint (i.e., conditions of obtaining adequate neurs is not sufficient to guarantee the system’s
access to capital) is one of the major obstacles to evolution. In order to innovate by founding a new
starting and/or growing a business. Then there is a firm, constructing a new plant, and ordering new
relationship between the financial market devel- equipment from existing firms, entrepreneurs
opment and the entrepreneurship, and the finan- need means of financing.
cial disturbances appear to have a substantial In this respect, access to money is the power to
negative effect on investors’ willingness to command and to determine the level of economic
finance innovative entrepreneurship (Lerner activity, that is, the access to credit money. Credit
2010). money is the variable which authorizes an economic
Various ways of entrepreneurship financing separation between entrepreneurs-innovators and
can be analyzed according to the level of devel- other agents. The financing of enterprise has been
opment of monetary and financial markets, such assigned logical priority in the process of economic
as the financial bootstrapping, the venture capital development since “this is the only case in which
funding (risk capital), business angels, and bank lending and the ad hoc creation of means of payment
credit and other financial innovation-led loanable are crucial elements of an economic process the
funds affecting the realization and the effective- model of which would be logically incomplete with-
ness of the business plan. The economic evolution out them” (Schumpeter 1939, p. 114). The innovator
depends on entrepreneurs’ behavior, and the must have monetary funds before starting his
entrepreneurs’ activity depends on the conditions dynamic activity (Fig. 1).
of the financing of their expectations. As stated in Ülgen (2003), Schumpeter (1939)
Schumpeter stresses that “Economic action maintained that the requisite fund is the entrance
cannot (. . .) be explained without taking account ticket to the social store of means of production.
of money” (1939, p. 548). The monetary system’s This fund is borrowed from a bank. Schumpeter
modus operandi is the first step of all economic (1934/1961) also emphasized that the individual
propositions. Hence, the definition of the capital- can only become an entrepreneur by previously
ist economy is a monetary one: “capitalism is becoming a debtor. What he first wants is credit.
that form of private property economy in which Before he acquires commodities, he needs pur-
innovations are carried out by means of borrowed chasing power. He is the typical debtor in capital-
money, which in general (. . .) implies credit crea- ist society, “no one else is a debtor by the nature
tion” (Schumpeter 1939, p. 223). of his economic function” (Schumpeter 1934/
Hence, there is a very close interdependence 1961, p. 103).
between money/financial markets and economic In the process of innovation, the rise of mone-
evolution. Money markets are the headquarters of tary needs and the rise of risk may dissuade some
the capitalist system (Schumpeter 1934/1961, firms from engaging in innovative activities.
960 Financing Entrepreneurship
Object: New combinations – new risks
Result:
Source of venture: Market Response and entrepreneur
Entrepreneurs-innovators performance
(The explorer)
Means: Success Failure

Financing (Debt profit>0 Bankruptcy
commitments: access to (repayment of debts and or contraction of
money/credit, raising positive profits), growth economic activity
funds) potential (indebtedness)
Financing Entrepreneurship, Fig. 1 Entrepreneurship as a real and monetary change process
The high costs of R&D imply some advantages well-known scholar in this area is Schumpeter
for leader and R&D firms. Then the fate of new who stressed the role of innovations (new prod-
combinations is decided on money markets ucts, new production methods, new markets, new
through daily price struggles between entrepre- forms of organization, etc.). From this viewpoint,
neurs and bankers/financial resource providers. the entrepreneur can be identified as a person
combining various production factors in an inno-
vative way to generate value to the customer with
Entrepreneur and the Finance the expectation that this value will exceed the cost
of production, thus generating superior returns
Entrepreneurship that result in the creation of profits. The entrepre-
Entrepreneurship can be defined as an act of neur needs monetary funds to start his activity or
undertaking private/individual expectation-based to expand an existing firm. He/she must borrow
projects. So the entrepreneur is a risk-taker who those funds from banks and/or from other finan-
undertakes innovations with necessary finance cial investors who are called the lenders. For the
and business acumen in an effort to transform lender, the objective is the ability to achieve cap-
things into economic values, which should be ital gains.
able to give further gains. This may result in new Entrepreneurial activities can be of various
organizations or may be part of revitalizing exis- kinds depending on the type of organization and
tent organizations in response to a new opportu- creativity involved. Also various types of organi-
nity. The most obvious form of entrepreneurship zations exist to support entrepreneurs’ financial
is that of starting new businesses (a start-up com- needs as venture capital, angels, banks, business
pany). Entrepreneurship can also describe activi- incubators, etc.
ties within a firm or organization including
corporate venturing. Internal Versus External Financing
Usually, a more or less part of working people In the financing process of entrepreneurial activi-
may have engaged in self-employment for several ties, different means and practices can be
years depending on economic and cultural char- observed. While liquidity constraints in entrepre-
acteristics and habits of the country where they neurship present a persistent puzzle for enterprises
live. Participating in a new business creation and for theorists, the relevant way of financing a
seems to be a major driver of economic growth given project depends on the nature of the project
in advanced economies. itself as well as on the type and characteristics of
Many definitions for the notion of entrepreneur the entrepreneur to be financed. Therefore, some
are available in economic literature. The most stages of financing have to be noted in order to
identify the nature of the project and the borrower. covers different methods for avoiding the use of
At the first stage, the issue is related to the starting external financial resources from banks and/or
of a new activity. Seed capital, personal resources, market investors. That is a collection of methods
friends, family members, business angels, and and ways of financing aiming to minimize the
small business investment companies (e.g., small amount of outside debt and equity financing
industries, development banks in developing from banks and financial investors. The use of
countries) may intervene at this stage to provide private credit card debt is the most known form
the bulk of the funding. At the second stage, the of bootstrapping (see Rani and Rao 2008 for the
financing through public equity and venture cap- Indian case), but a wide variety of ways can be
ital can be observed as the main financing tools. imagined for entrepreneurs. While bootstrapping
More developed enterprises can attract external involves a risk for the founders, the absence of any
financing for early-stage investments and then other party gives the entrepreneurs more freedom F
for later-stage investments. The third stage (later- to develop the company.
stage) includes acquisition/buyout practices and However, internal financing is not enough to
also participation of venture capital companies. realize all entrepreneurial activities. In many
The presence of bank credit, especially in local cases, internal resources are not sufficient to
financing (small firms, working continuously with finance expected projects. Bringing in external
the help of local banks) and in the financing of financial institutions and investors can be benefi-
large firms, is also a common way of sustaining cial not only for the collection of required capital
firms’ economic activities. For successful entre- but also for the acquisition of more professional
preneurs, the access to public markets through knowledge, skill, and experience. Investors and
public offerings constitutes also a source of banks are specialized in the analysis, accompani-
funding of new projects. ment, and monitoring of productive activities.
Outside lenders can provide financial oversight,
Internal Financing accountability for carrying out tasks, valuable
The internal financing possibilities depend before contact networks, and experience to the project.
all on the individual wealth of would-be entrepre- They can remove financial obstacles by sustaining
neurs to cover required capital as regards the innovative and risky productive projects, but they
financing needs of a start-up company to invest can also erect financial barriers and technical
in new projects as well as operating capital needs and strategic hurdles when they expect that new
to finance everyday expenses. Entrepreneurs can options are not able to generate higher profits
tap friends and families to finance their busi- through quick returns on investments (Ülgen
nesses, but they can also utilize credit cards to 2007).
bootstrap their new venture.
A specific type of internal financing is the sweat External Financing
equity. That refers to a partner’s contribution to a The external financing of entrepreneurship can be
project in the form of effort. Another type is the allowed through different ways. The access of
financial equity which is a contribution in the form firms to different external financing obviously
of capital. Those forms are related to a partnership depends on the characteristics of firms and
such that some parties may contribute to the firm projects.
through capital and others through sweat equity. The bank credit is usually the dominant prac-
For example, in a start-up company formed as a tice in firms financing in a market economy
corporation, workers may receive stock or stock because banks control the major part of monetary
options and become part owners of the firm. In and financial markets, but also they are the
return they can accept low wages below what headquarters of the capitalist economy as they
they would demand in another context. can grant credit through credit money creation in
Financial bootstrapping is another way of response to entrepreneurs’ needs of funding
dealing internally with the financing issue. That expansion strategies. Large firms which can easily
access financial markets through equity financing capital for a young start-up business, usually in
must be accompanied by bank syndication credits exchange for convertible debt or ownership
to allow huge amounts of new capital required in equity. As start-up companies projects are new
acquisition operations. ventures in an unknown future, some angel inves-
Several types of conventional bank loans exist: tors organize themselves into angel networks to
share research and pool their investment capital in
• Character loans are used when the entrepreneur order to reduce risks. Angel capital fills the gap in
does not have the assets to support a loan. The start-up financing between friends and family who
entrepreneur may need a loan based on her/his provide seed funding and venture capital. It is
own personal financial position. This usually usually difficult to raise huge amounts of money
implies engaging personal assets of the from friends and family. Also venture capital
entrepreneur. funds are not usually willing to fund low-
• Installment loans: Available short-term funds investment projects. Angel investment plays then
are frequently used to cover working capital the role of financing for start-ups which cannot be
needs and help to have a track record of sales financed through bootstrap finance or venture cap-
and profits. ital and bears extremely high risk in innovative
• Straight commercial loans are used for sea- projects. Because a large percentage of angel
sonal businesses and to building up inventory. investments are lost completely when early-stage
These funds are advanced to firms for companies fail, professional angel investors seek
1–3 months. investments with high returns (potential to return
• Long-term loans are frequently allowed for at least ten or more times their original investment
strong and mature companies. They can be within 5 years).
available for up to 10 years. In addition to angel investors and seed-funding
• Lines of credit: For a given amount of credit practices, venture capital is used by new young
allowed by banks to firms following the poten- firms with limited experience that are not large
tial fund expected to be withdrawn by firms, enough to raise capital on financial markets and
firms pay interest on the portion that they use, not considered to be able to secure a bank credit.
and they pay commitment fees up front to A venture capitalist is a person or investment
ensure that the rest of the fund will be available firm that makes venture investments, and these
at their disposal. venture capitalists are expected to bring manage-
rial and technical expertise as well as capital to
Cosh et al. (2009), investigating the internal new innovative projects. Venture capital is pro-
versus external financing decisions among several vided to early-stage, high-potential but high-risk
UK firms, identify factors leading firms to seek start-up companies. The venture capital fund
external finance. The evidence seems to point out makes money by owning equity in the companies
that firms with higher capital expenditures and that it funds. These companies usually have a new
profits and firms with stronger growth objectives business model in high-technology sectors (such
are much more likely to seek external finance. It as biotechnology, IT, etc.). The venture capital is
also appears that the most important factor with a growth-funding round investment as it occurs
regard to obtaining the desired level of bank frequently after the initial seed funding of innova-
finance is a firm’s assets. Smaller firms without tive entrepreneurship. Venture capital is a type
significant assets have difficulty obtaining bank of private equity. In exchange for the high risk
finance, and they try to obtain finance from private that they assume by investing in smaller and new
individuals. For instance, young innovative firms companies, venture capitalist usually gets signifi-
without enough assets or profits seek capital from cant control over firms’ decisions and a significant
venture capital funds. portion of firms’ ownership. Therefore, a core
Angel investor (synonyms: business angel, skill within venture capital is the ability to identify
informal investor) is an individual who provides new technologies that have the potential to
generate high commercial returns at an early stage opportunism. The lender cannot observe the effec-
by playing also a role in managing young enter- tive action of the borrower or he/she cannot know
prises at an early stage. if this action is appropriate or not regarding the
circumstances. Then, the contract between these
Informational Asymmetries and Uncertainty two parties is imperfect and may generate addi-
in the Innovation Process tional costs for the lender. Moral hazard in inno-
Different ways of financing presented above vation investing arises also because of the
underline some issues in the financing of innova- separation of ownership and management in mod-
tive activities that new, nascent or young, and ern firms. When the objectives of the parties are in
small entrepreneurs may be faced with. In this conflict, investment strategies cannot be share-
respect, two major issues can be presented follow- value maximizing. Such an ambiguity in the
ing Mahagaonkar (2010). firm’s decision and strategies can lead to an F
The first one is well studied in the economic unwillingness of finance providers to fund entre-
theory in more general terms through the analysis preneurs (Rampini 2004).
of imperfect markets and information asymmetries The adverse selection is a problem of incom-
(Leland and Pyle 1977). These asymmetries are plete information or a form of ex ante opportun-
between banks/financial investors and entrepre- ism in which one party (e.g., the borrower) does
neurs who need funds to realize new plans. not reveal his/her private information on his/her
Asymmetries arise when the firm has better infor- intrinsic characteristics (quality, ability, etc.) or on
mation about the characteristics of its investment the project that he/she wants to fund through
(degree of the risk, relevance of expected returns, credit at the time of negotiation. This reduces the
etc.) than do capital providers. When economic benefits of the other party (the lender) who must
agents involved in economic transactions act with suffer additional contractual costs. When there are
less than perfect information and cannot foresee several types of agents in the market, the quality
all the future possibilities and cannot monitor individuals must send some informative signals in
others’ decisions and behavior, their rationality order to show their true quality and allow the
is limited (bounded rationality). buyers to purchase their products or services. On
In this regard, the relation between a fund pro- the contrary, the market adverse selects and the
vider, the bank or a financial investor, and quality individuals exit the market lenders trying
an entrepreneur who asks for the financing of his/her to charge higher returns or interest rates according
new project is an agency relation. That is a mandat- to higher risks they perceive. It is likely that
ing or delegated relation between two or more agents information asymmetries are higher for nascent
in which the lender, called the principal, delegates a entrepreneurs who do not have any established
decision power to the borrower, called the agent. track record. The case of start-ups and young
This latter has to accomplish a task, undertaking a innovative firms obviously belongs to this cate-
specific activity, on behalf of the lender as the lender gory of issue and constitutes financial barriers to
grants money to the entrepreneur. The final profit of entrepreneurship. Then, the risk premium for
the lender depends on the action or decision of the innovative projects will be higher than that for
borrower. In such an environment where the ordinary investment because investors have
bounded rationality holds, the problem arises more difficulty to distinguish between good and
because all relevant and required information is bad projects. The lack of experience and historical
impossible or costly to acquire and to process. That record, but also the little size and low guarantees
can provoke agency costs involved in monitoring the that new or young firms can offer to banks and
behavior of the borrower. These costs are mainly due financiers, make the funding of new activities or
to the existence of opportunistic behavior as the projects suffer problems of adverse selection.
moral hazard and the adverse selection. The second factor is the fundamental uncer-
The case of moral hazard is a problem of tainty inherent in entrepreneurial innovations.
imperfect information or a form of ex post New products, processes, organizations, etc. are
intrinsically uncertain in their potential economic program also provides financial guarantees by
value. Therefore the entrepreneurship, which can establishing risk-sharing arrangements with finan-
be defined as the process of undertaking new and cial institutions that fund directly SMEs. Five
risky activities, may become discouraged because hundred and 50 million euros constitute the High
of difficulties of obtaining required financing Growth and Innovative SME Facility (GIF1 and
related to uncertainty. This problem exists for all GIF2, seed and start-up investments, and expan-
firms per se. But in the case of innovative activi- sion stage), while 506 million is allocated to SME
ties, potential investors are more careful and may Guarantee Facility (SMEG). The latter provides
require further collateral to cover their commit- guarantees to lead banks and other financial inter-
ments (Ülgen 2007). mediaries to make more debt finance available to
SMEs by reducing their exposure to risk, as an
Public Support for Innovation-Based important part of the SMEs’ difficulties in
Entrepreneurship Financing accessing finance is due to the perceived higher
In view of various financial hurdles impeding risk or to the lack of required collateral (see infor-
entrepreneurial innovations, there is increasing mation on asymmetries, lack of capital,
public support for the entrepreneurship financing. etc. above). SMEG provides loan guarantees for
International and intergovernmental institutions, microcredit to microenterprises up to 9 employees;
such as the OECD, implement different policy equity guarantees for seed capital, mezzanine
measures to simplify and streamline procedures financing, and risk-capital operations to support
in the existing support programs to make infor- businesses up to 249 employees; and securitiza-
mation and rules more accessible with respect to tion structures to assist financial intermediaries in
enterprise access to funding. These programs aim mobilizing debt finance for SMEs.
to frame and implement new ways to improve Another program is the EU program for the
the role of banks and financial institutions for Competitiveness of Enterprises and SMEs
local entrepreneurship development, to strengthen (COSME), running from 2014 to 2020, with a
the existing schemes of venture capital in favor of budget of €2.3 billion. COSME seeks to support
new and growing small and medium businesses SMEs in the following areas: creating an envi-
(SMEs), to boost the number of business angels, ronment favorable to competitiveness, encourag-
and to seek their involvement as counselors to ing an entrepreneurial culture, facilitating access
young enterprises. to finance, and supporting internationalization
In this aim, the Competitiveness and Innova- and access to markets. According to the
tion Framework Programme 2007–2013 (CIP) of European Commission (see at http://ec.europa.
the European Union, with an overall budget of eu/growth/smes/cosme_en), this budget would
€ 3621 million (see the European Commission be able to mobilize up to €25 billion in financing
site at http://ec.europa.eu/cip/), aims at enabling from financial intermediaries via leverage
financial institutions to provide about 30 billion effects. The financial instruments are managed
euro of new finance for up to 400, 000 SMEs in by the European Investment Fund (EIF) in coop-
Europe. The CIP is divided into three operational eration with financial intermediaries in EU coun-
programs: the Entrepreneurship and Innovation tries. The main purpose of COSME is to improve
Programme (EIP), the Information Communica- access to finance for SMEs through two financial
tion Technologies Policy Support Programme instruments:
(ICT-PSP), and the Intelligent Energy Europe
(IEE) Programme. This budget addresses SMEs’ – The Loan Guarantee Facility aiming at provid-
needs for financing at various stages of developing guarantees and counter-guarantees to
ment through the European Investment Fund and financial institutions (banks, leasing compa-
selected financial institutions. For venture capital, nies) to let them grant more loan and lease
the program finances early and expansion stage of finance to SMEs. COSME is expected to
specialized sectors (e.g., eco-innovation). The enable between 220,000 and 330,000 SMEs
to obtain financing for a total value of between economic development as financial services
€14 and €21 billion. would stimulate economic growth by increasing
– The Equity Facility for Growth seeking to pro- the rate of capital accumulation and by improving
vide risk capital to equity funds that would the allocation efficiency of markets. King and
invest in SMEs mainly in the expansion and Levine argue that the financial system can pro-
growth-stage phases. This should help between mote economic growth: “The link between
360 and 560 firms to receive equity investment growth and financial development is not just a
with an overall volume invested expected to contemporaneous association. Finance does not
range from €2.6 to €4 billion. only follow growth; finance seems importantly
to lead economic growth” (1993, p. 730).
Obviously, the financing conditions of the Also Bencivenga and Smith (1991) model the
entrepreneurship in an economy are related effect that intermediaries can have on an economy’s F
to the structure of the financial markets and growth rate by encouraging a switch in savings from
banking system development. When markets unproductive liquid assets to productive illiquid
and banks are usually intervening in new activ- ones. If agents face some probability that invest-
ities and projects, the formation of a technical ments will have to be liquidated at an inopportune
and financial know-how can facilitate the time, they must self-insure against random liquidity
funding of entrepreneurs’ venture. But the evo- needs, and they invest in unproductive liquid assets.
lution of financial markets can also harm the Because of long delays between investment expen-
financing conditions of the enterprises when ditures and receipts of profits from capital, capital
the monetary and financial system becomes investors may face unpredictable liquidity needs,
more oriented through short-term speculative leading to delays in further investment or to liquida-
investments and less involved in the financing tion of investment already undertaken.
of productive activities. Financial intermediation can promote growth
because it allows a higher rate of return to be earned
on capital, and growth in turn provides the means to
Financial Development and implement costly financial structures. Saint-Paul
Entrepreneurial Dynamics (1992) emphasizes the role of financial markets in
channeling savings toward investment and the fact
Links Between Finance, Growth, and that financial intermediaries are able to solve infor-
Innovations mational problems that would otherwise lead to
The creative destruction process occurs also in the inefficient outcomes. The best management of
field of finance as new ways of financing and risk reduction and the liquidity services of financial
speculating may come into the picture when intermediaries lead the economy to orient savings
banks are considered not only as intermediaries to long-term financial investment. Financial inter-
between entrepreneurs and capitalists but also as mediaries tend to alter the composition of savings
innovators on money markets. in a way that is favorable to capital accumulation
Schumpeter argued that the services provided because the banks are assumed to permit risk-
by financial intermediaries (mobilizing savings, averse savers to hold bank deposits rather than
evaluating projects, managing risks, facilitating liquid unproductive assets. Therefore, funds that
transactions) are essential for technological inno- banks obtain on markets become available for
vation and economic development as a monetary investment in productive capital. Financial institu-
complement of the growth process. Recent works tions play then a crucial role in the microeconomic
on the link between financial intermediaries and resources allocation process, thereby affecting the
economic development show a renewal of interest economic performance of firms. This is true when
for this Schumpeterian vision. King and Levine we take into account technological innovations
(1993) stated that Schumpeter might have been because of the fact that technological change
right about the importance of finance for means new uncertainty.
Financial Development Banks’ innovations change the economic con-

These results underline the importance of the ditions as much as the entrepreneurial innova-
development of financial markets in the growth tions. They affect the functioning of economic
process. Kerr and Nanda (2009) present a com- engine because they modify the monetary and
prehensive analysis on the links between the role financial conditions on which the whole economic
entrepreneurship plays in the economic growth structure is founded. Most of the recent monetary
of a country through its financial market devel- and financial innovations seem to increase the
opment. The financial development (financial elasticity of finance. However, in view of the
deepening) is usually defined through the current financial disequilibria faced by numerous
breadth (broad markets with wide transactions, economies in the world, such financial innovation
numerous actors), the depth (deep markets with a dynamics present a real challenge as regards the
wide range of products), and the liquidity (liquid systemic stability.
markets without restriction on financial transac-
tions) of financial markets. It is assumed to spur New Financial Environment and Market
growth through either a supply-push (increasing Dynamics
and improving availability of finance for the real Innovative dynamics of financial markets enlarge
economy) or a demand-pull process (demand for the operations of securitization that allow lenders
new financial products). The financial develop- and borrowers to match different types of avail-
ment is usually related to the liberalization abilities with different types of needs to finance
process. various economic activities. At the same time,
Following the way paved by Goldsmith, growing interdependencies among financial insti-
McKinnon, and Shaw in the 1960s/1970s, numer- tutions but also among individual lenders and
ous works (see Levine (2005) for a literature borrowers generate high sensitivity of finance-
review) assert that liberalized finance would related real activities as regards the sudden rever-
improve the competitive incentives leading sal of market expectations and opinions about the
to innovations and then allowing banks to pro- soundness of previous positions. The boundaries
vide more efficient financial services (e.g., risk between the assumed positive outcome of finan-
management, information acquisition, and mon- cial innovations for the economic development
itoring). It is also assumed that the more compe- (creative destruction) and their instability-
tition and opened markets would foster growth generating sensitivity to ex post-observed
and improve economic stability, at least at the disequilibria are very ambiguous and do not
long run. In this vein, deregulation policies have seem to be “panic-proof.” Accumulated fragilities
been implemented since the late 1970s, which may come from unfettered and ill-framed finan-
provoked expansion of financial markets and cial liberalization that leads financial institutions
modification of financing practices. With the to implement innovations which reveal to be det-
extent of structural changes in financial markets, rimental to the sustainability of debt-financing
regulatory and technological barriers among economic development. Drawing upon the
different types of intermediaries have tumbled, Schumpeterian approach to entrepreneurial inno-
while new financial instruments and usages have vations and developing an institutionalist-
proliferated. Such an improved financial environ- Minskyian analysis on the evolution of financial
ment would support the Schumpeterian vision institutions and regulatory mechanisms in the
of creative destruction process by which innova- wake of the 2007–2008 crisis, Ülgen (2014)
tions replace old methods and goods with points to major consequences of financial innova-
better process, commodities, and services. As a tions on economic stability. In a liberalized/
result, financial intermediaries would make possi- deregulated environment – that leads to the
ble technological innovation and economic financialization of the economy – financial inno-
development. vations, unlike the creative destruction process of
entrepreneurial innovations, move banks from Claessens and Kose (2013) document that the
their role of financing long-term economic evo- 2007–2008 global financial crisis has provoked
lution and lead to reckless finance then putting the worst recession since the 1930s with a 2%
economies on a destructive path. One can decline in world per capita GDP in 2009. After
observe such a systemic evolution in the sub- 10 years of unconventional monetary policies and
prime mortgage-market financial expansion of increasing public debts, recoveries tend to be
2003–2006. In the system-wide liberalization weak and slow all around the world. Governments
era from the late 1980s, most profitable activities stepped in with several hundred billion dollars to
had been developed through financial operations, bail out major banks (too-big-to-fail institutions)
often without real economic activity support and in order to save financial systems from a global
speculative expectation-fed engagements that disaster and to prevent economies from rushing in
involved the whole business community, but a long-lasting recession. Consequences of such a F
also low-income households and nonfinancial turmoil are more than anecdotal and point to the
industries transforming markets into casinos crucial importance of financing conditions on the
and pushing SMEs and fragile enterprises out of entrepreneurship dynamics of economic expan-
the financing tools (Ülgen 2016). The short sion. As stated by Lerner (2010), in the USA,
termism prevailed and prevented long-term venture capital investment dropped 30% in the
profit-seeking real activities from accessing to fourth quarter of 2008 to its lowest level since
sustainable and stable financing operations. 2005. Also, start-ups lay off full-time employees
Therefore, the financial development casts and cut projects in the hope of reducing their costs
doubt on the creative nature of innovations and and exposure to the effects of the crisis, while
implies new macro-prudential regulatory rules in investors and banks are retreating from new com-
order to direct financial markets’ innovative mitments and investing into the existing portfolio
dynamics toward more productive economic companies rather than in new generation start-ups.
activities beyond the short-sighted speculative Some investors can also renege on previous com-
transactions. mitments what stops suddenly the funding of
young enterprises, leading them frequently to file
Impacts of Financial Turmoil on for bankruptcy.
Entrepreneurship Financing Pierrakis and Westlake (2009) state that in
The ongoing economic crisis that followed the 2008, venture capital fundraising was down 70%
2007–2008 global financial crisis (officially on the previous year and that 2009 looks set to be
announced at the end of 2007) seems to be con- even worse. They then argue that high-growth
tinuous in spite of prompt and massive interven- firms require significant capital up front which is
tions of monetary and public authorities in major difficult to obtain through conventional sources
countries. of debt finance, especially in times of crisis.
Financial crises are costly for the real economy Innovation projects are risky, unpredictable,
since they are usually associated with substantial multistage, and usually long-term. They tend to
GDP losses. The most notable effect on the real be idiosyncratic and difficult to compare with
economy is the lack of credit from banks and other other projects which could give investors some
financial institutions, especially for small SMEs benchmarks to evaluate the return potential of
and fragile enterprises. Sectors more dependent projects. Therefore, during periods of crisis,
on external finance grow relatively less, and these characteristics make difficulties worse for
more financially dependent activities (such as the financial support of innovative entrepreneurs.
investment) are curtailed more in times of crisis Entrepreneurial innovations are a part of the long-
resulting in sharp reductions in investment and run growth process as they can drive booms, and
R&D and leading to higher unemployment and downturns and changes in the conditions of
lower economic growth. their financing determine the effective path of
economic development. Pierrakis and Westlake economy. In the capitalist economy, entrepre-
(2009) maintain that innovative businesses can neurs are the real sources of economic dynamics,
only thrive where the right financial architecture while banks and financial institutions and
is in place. For the right financial architecture that resources are the monetary dynamics of eco-
would be able to allow innovative activities to nomic change. Changes in the conditions of
develop at long run, financial system’s stability financing of entrepreneurship affect, therefore,
seems to be a sine qua condition which is not the path of economic development.
spontaneously fulfilled by liberalized markets Hence, searching for relevant economic poli-
and speculation-driven investment decisions. cies aiming at creating and implementing incen-
tives to innovate in entrepreneurship and in
financing mechanisms of productive activities
Conclusion and Future Directions through a consistent macroeconomic framework
able to reinforce the systemic stability against
In an entrepreneurial market economy, every eco- financial markets disequilibria is one of the
nomic activity needs specific financing in order to major issues that analysts and policy makers
be effectively realized. Entrepreneurship and have to deal with. Ülgen (2017) argues that one
financing mechanisms/tools are two related parts of the major constituent institutions of liberal
of the economy. The entrepreneur needs finance to finance, market-dependent self-regulation,
fund his/her plans and innovation projects reveals to be unable to deal with society-level
(founded on private expectations aiming at issues such as financial stability. This latter
obtaining positive and high profits), and the finan- must be handled at a systemic level as a public
cial funds and banks (money funders) have to find good. Therefore specific public regulation and
entrepreneurs to whom they could grant credit in action mechanisms must be designed to maintain
order to realize profits from their own activities. In society within some viability limits to ensure a
such an economy, economic development mainly smooth functioning of the economy and then to
comes from innovative projects which allow peo- support positive dynamics of real entrepreneurial
ple to produce more and better products (goods activities that respect environmental sustainabil-
and services). Innovations are related to industrial ity with a great potential of innovation and job
novelties as well as to new financial techniques, creation.
products, and processes. In a capitalist economy, the economic action
Different situations can exist depending on the cannot be understood without taking account of
characteristics of entrepreneurs and specificities monetary and financial conditions under which
of projects to be financed as there may be different the entrepreneurship can or not be fully conceived
ways of financing and various financial institu- as a source of continuous positive economic
tions and techniques. New, young, and small evolution.
enterprises, locomotives of change in immature
and unconcentrated sectors, have specific needs of
financing that large and mature firms, major
sources of change in concentrated and worldwide Cross-References
global sectors, do not have (CIP). This latter’s
need of financing is usually satisfied on financial ▶ Angel Investors
markets and by bank consortiums. ▶ Creative Destruction
That is why it seems that finance and entrepre- ▶ Entrepreneurship and Financial Markets
neurship or, in more specific terms, financing ▶ Informal Venture Capital
entrepreneurship is a research (and also eco- ▶ Innovations
nomic policy) area where the issues are many ▶ Private Equity
and related to the functioning of a capitalist ▶ Risk, Uncertainty, and Business Creation
Financing Innovation 969
References
Financing Innovation
Bencivenga VR, Smith BD. Financial intermediation and
endogenous growth. Rev Econ Stud. 1991;58:195–209.
Werner Hölzl and Michael Peneder
Claessens S, Kose MA. Financial crises: explanations,
types, and implications. IMF working paper. WP/13/ Austrian Institute of Economic Research (WIFO),
28 Jan 2013. Vienna, Austria
Competitiveness and Innovation Framework Programme
(CIP). Financial instruments. Entrepreneurship and
innovation programme. http://ec.europa.eu/cip.
Accessed 1 Mar 2012 and 28 May 2017. Synonyms
Cosh A, Cumming D, Hughes A. Outside entrepreneurial
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Kerr WR, Nanda R. Financing constraints and entrepre-
neurship. Boston, Massachusetts: Harvard Businesss
vation policy F
School, 10-013; 2009.
King RG, Levine R. Finance and growth: schumpeter
might be right. Q J Econ. 1993;108:717–37. Introduction
Leland HE, Pyle DH. Informational asymmetries, financial
structure, and financial intermediation.
J Financ. 1977;32(2):371–87. Innovation is the creation of better or more effec-
Lerner J. Innovation, entrepreneurship and financial mar- tive products, processes, and services and often
ket cycles. OECD STI working paper, 2010/3. 2010. associated with technological activities. At the
Levine R. Finance and growth: theory and evidence. In:
level of firms (or other organizations), innovation
Aghion P, Durlauf SN, editors. Handbook of economic
growth. North-Holland, Amsterdam: Elsevier; 2005. activities are highly uncertain and require the
p. 865–934. commitment of resources. Incentives to invest
Mahagaonkar P. Money and ideas. Four studies on finance, and the ability to commit (or raise) the necessary
innovation and the business life cycle. New York:
funds are central.
Springer; 2010.
Pierrakis Y, Westlake S. Reshaping the UK economy. The
role of public investment in financing growth. National
Endowment for Science, Technology and the Arts
(Nesta) Research Report, June 2009.
Incentives to Finance Innovation
Rampini AA. Entrepreneurial activity, risk, and the busi-
ness cycle. J Monet Econ. 2004;51(3):555–73.
Rani S, Rao DK. Financing small enterprise: recent trends. The limited appropriability of the returns of inno-
Icfai J Entrep Dev. 2008;5(1):6–22. vation activities implies that private returns often
Saint-Paul G. Technological choice, financial markets and
fall short of the social returns to innovation. This
economic development. Eur Econ Rev. 1992;36:763–81.
Schumpeter JA. The theory of economic development. leads to a potential underinvestment in innova-
Cambridge, MA: Harvard University Press; 1934/1961. tion. This problem is independent of the firm’s
Schumpeter JA. Business cycles. New York: McGraw-Hill; actual financing capacity. It originates in the lim-
1939.
ited salability of new ideas. Since knowledge can
Ülgen F. A methodological analysis: a new way to assess
the schumpeterian monetary paradigm. Energ Int remain in circulation no matter how many people
J Philos Methodol Econ. 2003;2(1–2):11–29. use it, it tends to produce high social returns. In
Ülgen F. La dynamique de financement de l’innovation. turn, the private returns of an innovation often fall
Innov Cah d’écon l’Innov. 2007;25(1):45–67. short because of the difficulty to enforce any pay-
Ülgen F. Schumpeterian economic development and finan-
cial innovations: a conflicting evolution. J Inst Econ. ment once the new knowledge has been disclosed.
2014;10(2):257–77. As a consequence, innovative firms face the
Ülgen F. Financial liberalization as a process of dilemma that they might be unable to communi-
flawed institutional change. J Econ Issues. cate the value of a new idea to a potential buyer
2016;50(2):485–93.
without disclosing the idea itself, which in turn
Ülgen F. Financialization and vested interests: self-
regulation versus financial stability as a public good. implies that a potential buyer may no longer be
J Econ Issues. 2017;51(2):332–40. willing to pay for it (Arrow 1962).
970 Financing Innovation
In practice, innovative firms try to limit the For example, they may reduce effort or become
problem of lacking appropriability by deliberately less prudent to avoid the risk of a default. Inves-
managing their knowledge flows. Geroski (1995) tors can mitigate information asymmetries by
lists a number of strategic options for individual means of expensive screening and continuous
enterprises, among them are intellectual property monitoring. But when the implied costs are too
rights, secrecy, lead-time, and embodied knowl- high, they must deny financing even though the
edge (“sell products, not ideas”). Depending on project may again have been desirable for the
the particular technology and market characteris- society at large. The problem of asymmetric infor-
tics, some strategies will be more effective than mation is especially high for new technology-
others, but overall, an innovative firm cannot based firms that require large sums of money in
expect to fully prevent the unpaid diffusion of order to make their innovation projects market-
new knowledge, and the more distant the research ready.
is to the market, the more difficult it becomes, to
fully appropriate the returns. As a consequence,
the private incentives to finance innovation tend to The Financing of Innovation and the
be lower than what would be desirable for the Valley of Death
society at large. Thus, limited appropriability is a
primary rationale to government policies in the Many innovation projects are abandoned before
precompetitive research. the idea is developed into a marketable product.
This failure is sometimes called the “valley of
death” (Osawa and Miyazaki 2006) and is gen-
Financing Gaps erally observed for large firms but presents a
much larger problem for technology-based
Imperfections in capital markets are a second entrepreneurial firms. Large established enter-
cause of underinvestment in innovation. In the prises are able to set up a portfolio of innovation
hypothetical state of perfect capital markets, all projects, but more importantly they are able to
projects are funded according to their own merit, finance their innovation projects with their cash
and firm-specific financial factors, such as its flow. Pecking order theory (Myers and Majluf
equity ratio or the availability of collateral, can 1984) predicts that taxes and asymmetric infor-
have an impact only on the terms of the contract mation lead to a pecking order of financing of
but not the financing decision itself. Riskier pro- investment and innovation projects. Own cash
jects simply call for higher rates of interest. In flow is preferred to debt finance and debt finance
practice, however, interest rates are rarely used in turn to equity finance. Transaction cost theory
to discriminate between projects, and firms with- links the investment project with the form of
out sufficient collateral face credit constraints. finance and predicts that projects that are riskier
The financing constraints result from asym- and specific to the firm should be financed by
metric information in the financial market. In par- own cash flow or equity (Williamson 1987), and
ticular, there are two problems of asymmetric only low-risk projects should be financed by
information between the entrepreneur and the bank credit. These theories predict that the
investor. Adverse selection is the problem of iden- financing constraints of technology-oriented
tifying the true quality of a project. If the entre- entrepreneurial firms are related primarily to an
preneur cannot provide a credible commitment, equity gap, as those firms have neither a large
the investor denies credit rather than raising the cash flow nor enough collateral to be attractive
interest rate. The reason is that the latter would for bank finance. Moreover, the access to the
attract the riskier projects. In the case of moral capital market (equity and bonds) is generally
hazard, entrepreneurs may alter their behavior at restricted to large and established firms (Hall
the cost of the investor after the funding decision. 2009). Thus, the disadvantage of being small
Financing Innovation 971
and new weighs even more in the case of financ- which is quite different from other financing
ing innovation (Carpenter and Petersen 2002). sources and establishes a genuine value adding
function. Second, both also serve a specific selec-
tion function, which involves the allocation of
New Technology-Based Firms (NTBFs) financial resources to the most profitable uses
under conditions of high uncertainty and asym-
In response to this, financial institutions have metric information and which is characteristic of
evolved in order to deal with problems of asym- innovation projects. Finally and foremost, when
metric information. Specialized financial interme- bridging the aforementioned financing gaps and
diaries and specialized financial instruments have providing funds to businesses which otherwise
developed that allow to provide the required would not have access to sufficient financing
finance to new technology firms. through traditional sources of capital, they serve F
By the complex nature of most innovation pro- a specific financing function.
jects, screening and monitoring is very costly and They achieve these functions by virtue of their
requires expensive expert knowledge, while specialized business model, which encompasses a
entrepreneurs are more reluctant to disclose infor- careful screening and subsequent monitoring of
mation due to its fear of imitators. projects as well as the active participation in the
To summarize, internal sources from own cash development of a company, all of which mitigate
flow are the dominant source of financing innova- the problems of asymmetric information. For the
tion for most established businesses. But the purpose of NTBFs, two characteristics are particu-
importance of external sources rises significantly larly notable. First, the investments are of limited
for new technology-based firms (NTBFs) with duration. Second, dividends are not expected dur-
high growth opportunities. Over time, also these ing the investment period, since investors aim to
innovative firms can reduce the financing con- earn their profit on rising company values. Conse-
straints by building-up steadier and stronger cash quently, current cash flow can be reinvested in the
flows and reputation. Consequently, there is a further build-up and expansion of the business.
“financing gap” that affects only a limited number Figure 1 provides a stylized presentation of the
of firms, but precisely those with the highest poten- specific financing function. The diagram is plotted
tial to foster radical innovations (Peneder 2012).
Expected returns (profits) Uncertainty

E(π)<0 Var(π)
Business Angels and Venture Capital
mtr mvc
Among the specialized institutions that finance

new technology-based firms (NTBFs) are busi- financed by
trad. sources
ness angels or venture capital firms and corporate Additional financing
by venture capital
venture capital (Gompers and Lerner 1999). Since
these are discussed at more detail in separate
entries, the focus of this section will be on their
not financed
joint characteristics with respect to the financing
of NTBFs.
Business angels and venture capital associate
with three economic functions that render them
Expected returns (losses)
particularly important for innovation: First of all, E(π)<0
as active investors and in addition to capital they
contribute managerial experience, access to infor- Financing Innovation, Fig. 1 Business angels and ven-
mal networks, and professional business models, ture capital. (Source: Peneder 2010)
972 Financing Innovation
on two independent axes: the expected profits Policy

E(p) and the degree of uncertainty Var(p). The
figure describes the expected profits and accom- External effects (spillovers) and asymmetric
panying uncertainty of the project’s success in the information constitute two standard cases of mar-
form of its variance. By means of bisecting all ket failure. But it is important to understand that
angles, the independent dimension Var(p) is market failures do not automatically call for pol-
drawn along a 45 diagonal line. The vertical icy intervention. The cost and the unintended
axis depicts financing projects with a positive consequences of policy actions need also be
value of expected profits, and the horizontal axis taken into account. Besides that, both rationales
depicts projects with expected losses. are quite distinct and relate to different policy
In the ideal case of perfect markets without infor- targets and consequently different instruments
mation problems, the amount of financially feasible (Peneder 2008).
projects for risk-neutral capital investors is deter- Regarding the first rationale of distorted incen-
mined through the expected profits and therefore, tives to pursue innovative activities, policy aims to
independent of the extent of uncertainty. All projects change the relative cost or returns of innovation.
above the diagonal line will be financed, all others Regarding the second rationale of financing con-
will not receive financing because their expected straints, policy aims to bridge the gap in access to
returns are equal to or less than zero. In imperfect external funds. But the distinction between the two
markets with asymmetric information, additional rationales is also important in setting the appropri-
costs m are generated through the need for more ate policy targets. Regarding the first rationale,
elaborate selection and monitoring processes in public support is awarded primarily on the merits
order to mitigate problems of adverse selection and of a particular project or technology and not of the
moral hazard. The boundary of financially feasible firm. In contrast, the second rationale of lacking
projects moves upward and away from the diagonal access to financing calls for policies that specifi-
by the distance m. The financing gap arises, as cally target a certain type of enterprises, such as the
certain projects are no longer considered financially NTBFs. Finally, the two rationales call for different
feasible due to increased monitoring, advising, and policy instruments. When compensating for posi-
control costs. Given such a situation, business tive spillovers and thereby raising the incentives to
angels or venture capital funds take advantage of invest according to the first rationale, the menu of
their role as specialized finance intermediaries. As a policies used by different countries to different
result of their diligent project screening and moni- degrees is typically comprised of fiscal incentives
toring, as well as their accompanying advisory ser- (i.e., tax credits and allowances, or rebates on wage
vices, they shift the boundary of financially feasible taxes and social security contributions of R&D
projects outward. related personnel), the funding of precompetitive
Due to specialization advantages, the marginal (basic) research and the use of direct funding
costs of overcoming problems of asymmetric infor- instruments, such as grants or soft loans. In con-
mation are lower for projects financed by business trast, typical policies that address the lack of access
angels or venture capital (m VC) than for those to external sources of finance according to the
using traditional financing instruments (m tr). The second rationale are soft loans, public guarantees,
additional costs for screening, monitoring, and and/or public equity schemes.
advising m VC are the price to be paid for over- The support schemes need much care in design
coming principal-agent problems and thus, secur- to avoid the crowding out of private investors, such
ing financing for projects with a high degree of as business angels and venture capital. Otherwise
uncertainty and informational asymmetries. In policy does not only waste public resources, but
short, business angels and venture capital enable can also inhibit the development of a mature and
the pursuit of new financing opportunities and self-supporting ecology of private investors. Thus,
increase the number of feasible projects, thereby public support should, therefore, focus on the most
reducing the financing gap. persistent gaps in early stage investments,
Finland 973
particularly in the seed phase, when private inves- Geroski P. Markets for technology: knowledge, innovation
tors are especially reluctant to enter. The use of soft and appropriability. In: Stoneman P, editor. Handbook
of the economics of innovation and technological
loans needs to be made complementary to the change. Oxford: Basil Blackwell; 1995. p. 90–131.
private market. Public support should concentrate Gompers P, Lerner J. The venture capital cycle. Cam-
on the support of precompetitive research and not bridge, MA: MIT Press; 1999.
aim at selecting single firms. Public guarantee Hall BH. The financing of innovative firms. EIB Papers.
2009;14:8–28.
instruments need to be applied with caution, since Myers S, Majluf N. Corporate financing and investment
they may cause their own moral hazard with decisions when firms have information that investors
respect to the entrepreneur’s risk behavior. Benefi- do not have. J Financ Econ. 1984;13:187–221.
ciaries, therefore, should always have to carry part Osawa Y, Miyazaki K. An empirical analysis of the valley
of death: large-scale R&D project performance in a
of the risk and pay an appropriate risk premium. Japanese diversified company. Asian J Technol Innov.
2006;14(2):93–116. F
Peneder M. Firm growth, Schumpeterian entrepreneurship
Conclusions and Future Directions and venture capital. In: Cumming DJ, editor. Oxford
handbook of entrepreneurial finance. Oxford: Oxford
University Press; 2012. p. 424–66.
To support effective and evidence-based policies Peneder M. The impact of venture capital on innovation
directed at the financing of innovation, much behaviour and firm growth. Ventur Cap: Int J Entrep
more research is needed in future on the impacts Finan. 2010;12(2):83–107.
Peneder M. The problem of private under-investment in
of the various instruments. While program evalu- innovation: a policy mind-map. Technovation.
ations are often called for, few of them have the 2008;28:518–30.
opportunity to apply rigorous tests proposed in the Williamson OE. Corporate finance and corporate gover-
literature on program evaluation. This is often nance. J Financ. 1987;43:567–91.
related to the lack of access to individual firm
data and counterfactual observations of enter-
prises not supported by the particular schemes
and to the incomplete knowledge about the sys-
temic aspects of financing innovation within spe- Fine Art
cific institutional settings.
▶ Speaking Pictures: Innovation in Fine Arts
Cross-References
▶ Angel Investors
Fine Arts
▶ Financing Entrepreneurship
▶ Innovations in Business Administration
▶ Schumpeterian Entrepreneur
▶ Social Design
References
Arrow KJ. Economic welfare and the allocation of

resources for invention. In: Nelson RR, editor. The Finland
rate and direction of incentive activity (Seite fehlt).
Princeton: Princeton University Press; 1962.
Carpenter RE, Petersen BC. Capital market imperfections, ▶ Paths of Influence from Higher Education Pol-
high-tech investment, and new equity financing. Econ icy Paradigms on Innovating Institutional
J. 2002;112:54–72. Autonomy
974 Firm Failure and Exit
The problems most scholars and practitioners

Firm Failure and Exit face whenever it is a question to define, under-
stand, or prevent firm failure start with the defini-
Nadine Levratto tion of insolvency and the differentiation with
EconomiX, UMR 7235 CNRS, University Paris bankruptcy. However, the definition of a border
Ouest Nanterre La Défense and Euromed line which separates going concerns from
Management, Nanterre, France defaulting company is not the final purpose of
research dealing with insolvency. Instead, an
abundant literature is devoted to the identification
Synonyms of determinants of default or failure, thanks to the
identification of discriminant functions that are
Bankruptcy; Exit; Failure; Insolvency able to discriminate between healthy companies
and firms that are likely to fail in a near future.
Most of this research aims to identify the items of
Insolvency as a Crucial Economic the balance sheet or the profit and loss account
Phenomenon that are able to reflect the distress of the firm.
However, focusing on the predictive signal of
Research on entrepreneurship use to insist upon insolvency, this literature mainly deals with the
business creation, firm growth, and market expan- symptoms of default and not with the causes. That
sion which are then the shining side of economic is why a growing number of works goes one step
activity (see the entry ▶ “Entrepreneurship Poli- beyond the question of expectation to study the
cies”). However, a dark side of entrepreneurial causes of exit in order to prevent failure. The
ventures exists as risk becomes effective and remaining portion of this entry is organized as
causes the failure of the firm. Exit is generally follows. Section “Defining Business Failure” con-
considered a sign of failure of the firm, a conse- siders the variety of definitions of insolvency and
quence of poor performance: firms that puts some order in differentiating default, insol-
underperform as they compete in the market will, vency, and bankruptcy; Section “A Large Variety
sooner or later, exit the market. This process is of Causes of Insolvency” presents the literature
worth knowing better at least for two main reasons. dealing with the prediction of insolvency looking
Firstly, the Schumpeterian concept of creative at its more visible manifestations, whereas
destruction which describes the process of trans- Section “Forecasting and Estimation of the Prob-
formation that accompanies radical innovation ability of Failure” insists upon the efficient causes
supposes the replacement of established companies or primary sources of failure which have more to
by new entrants involves by the fact the exit of a do with the productive combination and the mar-
certain amount of existing firms. Besides this ket positioning of the company than with the
renewal of productive system it ensures, exit can financial and accounting ratios.
also have a positive value since individuals who
have closed down the company they owned or
managed in the previous year are more likely to Defining Business Failure
engage successfully in a future entrepreneurial
activity. Secondly, despite the efforts and measures The attribution of success and/or failure to small
adopted by the states, the rate of exit of new firms is complex, dynamic, and problematic.
entrants barely decreases below 50% before their Despite an abundant literature devoted to firm
fifth birthday, and the global rate of corporate default, it still does not exist as unique and broadly
bankruptcy demonstrates a rare stickiness except accepted. Broadly speaking, insolvency is defined
when the law changes. It is then essential to deter- as an incapacity to pay debts upon the date when
mine a pattern of failure and exit in accordance they become due in the ordinary course of busi-
with these theoretical and factual dimensions. ness. This definition permits to make a distinction
Firm Failure and Exit 975
between healthy companies as they respect their used to empirically illustrate the concept of
contractual commitments and distresses compa- failure.
nies which are just about to file for a petition. Such In order to escape the blind alley resulting from
a definition has however a drawback. It tends the strict assimilation between insolvency and
indeed to create a confusion between insolvency default, some authors have considered other
and default mainly seen as the nonrepayment of a events. A company is then considered as insolvent
debt by the literature devoted to the functioning of if it is no longer able to meet its economic, finan-
credit market. The word “insolvency” refers then cial, and social objectives on a regular basis. Some
primarily to a corporate reality which is not so go even further by considering that firms enter in
simple to define as far as one is concerned in periods of decline when they fail to anticipate,
differentiating defaulting firms from going recognize, neutralize, or adapt to external and
concerns. internal pressures that threaten their long-term F
However, establishing a clear dividing line survival. The separation between the failing com-
between the two previous kinds of companies is panies and the others based on different perfor-
a key challenge in the proposal of a typology of mance criteria is proposed by Platt and Platt
companies according to their degree of robust- (2002). They draw a line between going concerns
ness. It is all the more important that such a and distressed firms having experienced either
distinction is mandatory for bank in accordance several years of losses or decreases in the distri-
with Basle 2, and coming Basel 3, principles and bution of dividends or a major restructuring. Bea-
that an increasing number of research aims to ver (1966) is representative of this approach and
propose an empirical analysis of distressed firms. defines the failure as the result of the inability of a
To cope with these goals, two polar definitions of company to meet its commitments once they have
insolvency are currently used in economics; the reached maturity. The results are quite poor how-
first one is economic whereas the second one ever and become even worse when the purpose is
refers to judicial rules. to discriminate between profitable firms and non-
profitable ones because no function properly sep-
The Economic Conception of Insolvency arates the two classes. More recently, this
According to the advocates of the economic con- approach has also been adopted by Bose and Pal
ception, insolvency is defined as a set of situations (2006) who obtained prediction rates ranging
of failure such as the nonrepayment of a debt, the between 65% and 75% in their attempt to separate
inability to pay dividends to the shareholders, the companies a priori considered as financially
financial distress, etc. which can lead, or not, to healthy from those which are not.
the beginning of a judicial proceeding. In such an The problems encountered in testing the differ-
approach, the suspension of a company is then ent border lines between viable firms and those
conceived like the result of a progressive process. that are going to fail come from the fact that the
It is characterized by the fact that, during all this separation between these two situations is both
process, the company is unable to fulfill in a porous and blurred. That is why numerous studies
regular way the commitment toward its various agree that the cessation of payments is the final
partners. Indeed, the problems which a company step of a process, sometimes called “a spiral of
can encounter must be analyzed as a continuous failure,” from which a firm can escape, thanks to
and cumulative process: The failure starts with the adoption of corrective and preventive mea-
small difficulties which are gradually transformed sures consisting in a modification of its operating
into more serious problems. Some works, follow- cycle.
ing Beaver (1966), thus tried to propose models in
which the nonpayment is used like the signal of The Managerial Perspective
the failure of the company. Because of the low The second set of papers considers failure from a
level of correct classification provided by this legal point of view. It is then defined on the basis
fuzzy definition, the term “default” is no longer of judicial criteria introduced in the insolvency
law enacted in a given country at a given period. commitments and contracts on one hand, and a
Most legal rules considered a firm as bankrupt judicial universe in which pure market logic is
when the judge decides it is not able to make its supplanted by a legal order on the other is clearer
repayments when the claims fall due Cabrillo and than an assessment based on corporate perfor-
Depoorter (1999). Insolvent companies always mance. Therefore, in the legal order, the sequence
conform to this mix of legal and accounting is structured by a threefold stage. Firstly, it con-
logic. At each stage of the judicial process, sists in the statement of cessation of payment.
accounting considerations are introduced to Secondly, it is followed by an arbitrage between
strengthen the rationality of the decision made direct liquidation and rescue which depends on
by the judges. Indeed, the proceeding always the particular situation of the insolvent firm and
begins with a cessation of payments and ends up the context in which the decision is made. Thirdly,
with a liquidation or continuation plans. To fix a the validity of this decision is known later if the
point of time to signal the transition from a reli- rescued firm effectively survives.
able and sound company to a failing one, many
scholars consider that the failure occurs from the
moment a company presents to the courts the legal A Large Variety of Causes of Insolvency
documents required for its liquidation or reorga-
nization. The failure is then assimilated to the Various studies have endeavored to identify the
entry in the insolvency proceedings. causes of corporate bankruptcy which can be as
Although the meaning and nature of the pro- numerous and complex than factors leading
ceeding may differ, the arrival in a commercial growth (Entry ▶ “Entrepreneurship and Business
court which registers the cessation of payments Growth” in this opus). They succeed in identify-
gives a simple criterion to “objectively” separate ing the profile of a vulnerable enterprise whose
two classes of firms: those that are governed in probability to go bankrupt is higher than the “nor-
accordance with the rules of collective proceed- mal” risk of failure. Everybody agrees that weak
ings and those which are still operating in an firms are naturally predisposed to go bust. The
economic world dominated by the respect of con- stake is then to isolate some ratios or indicators
tractual commitments. As in the previous set of that give an accurate representation of the firm
papers, the robustness of this conception rests fragility. Different families of causes of insol-
upon the binary choice provided by the judicial vency may be then compounded according to the
perspective: Either the company is sound or it is facet of the company they concern. An exhaustive
insolvent. The judicial definition of insolvency presentation is available in Caves (1998) which
has given rise to much research of which this provides a review of prior literature.
entry provide only a brief glance.
Proposing an empirical analysis to check out Size, Age, and Activity
the differences between legally insolvent firms The analysis of the possible causes of insolvency
and those only reporting financial difficulties, began with the introduction of firm size, following
Agarwal et al. (2001) determine a performing the Gibrat’s law often considered in models of
function whose exact classification rates are firm growth. Most of the researchers agree upon
above 93% for both groups. It appears that models the fact that the smaller the firm size, the greater
relying on a legal definition and separation of the chance for the firm to go bankrupt, and, as a
businesses into two classes lead to more reliable complementary rule, one may consider that the
results than the ones based upon financial perfor- probability of a firm to go bust decreases with its
mance levels. Different reasons explain this supe- size. The same relationship prevails with age as
riority. Firstly, the differences between failing and the smaller firms are the more likely to be the
viable firms are clearer as one is closer to the younger too. Most of the time, these structural
cessation of payments. Secondly, the transition variables capture information contained in firms’
between an economic order, dominated by specific characteristics. Young failures can be
Firm Failure and Exit 977
attributable to inadequate resources and capabili- can support the idea that companies prioritize their
ties (relative to initial endowments). Older failures sources of financing (from internal financing to
should be attributable to a mismatch between equity) according to which the principle of least
resources and capabilities and the demands of effort, or of least resistance, preferring to raise
the competitive environment. These internal pro- equity as a financing means of last resort. Hence,
cesses will manifest themselves in vulnerable internal funds are used first, and when they are
business models which fail to generate positive depleted, debt is issued. When it is not sensible to
cash flow. The strength of the relationship varies issue any more debt, equity is issued Myers and
with the context and, mainly, with the business Majluf (1984). The ability of the firm to finance its
climate in the industry. A nonnegligible part of investments by itself appears as a crucial factor for
research proposes then models in which mortality its stability. Thus, a high initial level of financial
dynamics depends on age, size, and population resources (equity and long-term debt) can protect F
density mechanisms. the firm from a risk of failure.
However, considering these structural vari-
ables as appropriate proxy to determine the prob- Sales and Market Position
ability of bankruptcy cannot satisfy those who Other explaining variables have to do with the
want to determine which firms are the more likely business and the market position of the company.
to default in order to use this information to make The firms able to sell their products are less likely
a right decision such as financing or to advise subject to a cessation of payments. The higher
managers. Progressively, other elements more importance of the capacity to create a good cus-
narrowly dependent on the specific characteristics tomer relationship is pointed out by Shumway
of the firms have been introduced. The inspiration (2001) who finds that market variables are more
directly flows from the resource-based view useful than financial ratios in predicting
which has principally been employed in the bankruptcy.
study of above-normal performance but is also
instructive in the context of below-normal Corporate Governance and Shareholders
performance. Becchetti and Sierra (2003) include a group mem-
bership dummy ill a prediction model estimated
Financial Causes on a large sample of Italian manufacturing firms
In contradiction with the Modigliani-Miller theo- and find a negative relationship between proba-
rem which states that, under specific assumptions, bility of failure and business group membership
the value of a firm is unaffected by how that firm is between 1992 and 1997. This evidence can be
financed, a large number of works shed some light enlarged. On average, firms integrated in large
on the role plays by the financial structure in the corporate groups are more likely to be supported
vulnerability of the firm (an analysis of the crucial by the parent company and thus less likely to be
role played by finance and financing institution is insolvent. More recently, a report Levratto et al.
available in the entry ▶ “Entrepreneurship (2011) argued that the odds of going bankrupt
Financing”). One may consider that the interest increases with the level of restrictions imposed
coverage and market value of equity/total liabili- on corporate internal control.
ties are negatively correlated with the odds of All these different causes do not intervene
corporate bankruptcy. In the same vein, the like- independently in the process of failure but com-
lihood of going bankrupt increases with the lever- bine each other. The decline of a company begins
age level and capital intensity but decreases with most of the time by mismanagement and
the liquidity level and growth prospect of a firm. unmarketable products which may cause a decline
Some are also interested in the expectations and in sales over several years (and a correlative
appetite of shareholders as the smaller the stock decrease in earnings if nothing is done to improve
return, the greater the chance for the firm to go the market position). In the worst case, the falloff
bankrupt. Following the pecking order theory, one in turnover results in a decrease in profitability,
followed by a deterioration of operating conditions to classify an observation into one of several a

which are at the origin of a solvency crisis. At this priori groupings dependent upon the observation’s
stage of the vicious circle, the company’s managers individual characteristics. It is used primarily to
have a strong incentive to accept less favorable classify and/or make predictions in problems
market conditions (rebates or longer terms of pay- where the dependent variable appears in qualitative
ment, etc.) in the hope of restoring sales and prof- form, for example, bankrupt or nonbankrupt. From
itability. Such a reaction can however be this venerable model, an unmeasurable number of
counterproductive as it can cause an increase in variants have been tested. Either the number of
trade debts and inventories, especially in the indicators compounding the final score was
manufacturing industry. As a consequence, the changed to improve the fitness of the index or the
company may be short of cash and, therefore, formula was adapt to fit better with peculiar situa-
may face a liquidity crisis which could lead lenders tion such as specific activities (services, start-ups,
to practice credit rationing and increase interest etc.) or markets (emerging, blue ships, etc.).
rates since the simultaneous increase of indebted- Another generation of risk index models intro-
ness and decrease in self-financing deteriorates the duces the concept of indexing the individual
probability of repayment of such a debtor. Subject failure-predicting indicators; however, their
to a shortage of financial resources, to a decrease in approach shares the same weaknesses of univariate
the EBIT aggravated by an inability to repay the analysis and provides largely arbitrary risk metrics.
claims once they fall due, the company may decide The most visible progress results from the
to file a petition for bankruptcy before the creditors introduction of nondeterministic and nonparamet-
decide to present one to the commercial court. ric methods in the estimation of the probability of
Once one of these two possible events happens, failure. They mainly consist in adopting artificial
the insolvency turns into bankruptcy. neural networks, computational structure
modeled loosely on biological processes, to the
bankruptcy prediction. One of the first studies to
Forecasting and Estimation of the apply neural networks to the bankruptcy predic-
Probability of Failure tion problem was the work by Odom and Sharda
(see Zhang et al. (1999) for a survey on this
Understanding and predicting company default has method). Despite their growing success, neural
been an area of extensive research for at least networks are still criticized due to the lack of
40 years. The literature exploring corporate failure transparency concerning the estimation process:
started with the simple univariate discriminant They are even suspected to be “black boxes” that
analysis approach, pioneered by Beaver (1966). is a real weakness, whereas accuracy and infor-
His univariate analysis of a number of bankruptcy mation disclosure are required from banks in
predictors states that a number of indicators could determining the exposure at risk. That is why the
discriminate between matched samples of failed judgment is still balanced. On one hand, neural
and nonfailed firms for as long as 5 years prior to networks, when they are effectively implemented
failure. Models of that kind are appealing in their and validated, show potential for forecasting and
simplicity, but their main disadvantage lies in their prediction. But, on the other hand, a significant
inability to account for the coexisting effects of portion of the neural networks research in fore-
many different indicators of default. They have casting and prediction still lacks validity.
been rapidly outperformed by the use of multivar- Currently, several of the major commercial
iate analysis, whose the Z-Score model proposed loan default prediction products are based on neu-
by Altman (1968) is still considered as a key ref- ral networks. For example, Moody’s Public Firm
erence in the literature. Its performance rests upon Risk Model (Online: www.moodysqra.com) is
the innovative use of multiple discriminant analy- based on neural networks as the main technology.
sis in the field of economics and finance. Multiple Many banks have also developed and are using
discriminant analysis is a statistical technique used proprietary neural network default prediction
Flexibility 979
models. Nowadays, there is a wide range of models, scholars tend to prefer nondeterministic
default prediction models, that is, models that ones. However, they tend to hide the reason why
assign a probability of failure or a credit score to firms fail. In the future, one can expect that semi-
firms over a given time horizon. The literature on parametric models will be preferred, even if that
this topic has developed especially in connection requires intensive tests to improve their reliability
with Basel II, which allows banks to set up an as prediction tools. It is the price to pay to get a
internal rating system, that is, a system to assign comprehensive model of exit.
ratings to the obligors and to quantify the associ-
ate probabilities of default.
The requirement of the microregulation of the References
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accurate expectations on the exposure at loss of Agarwal A, Davis JT, Ward T. Supporting ordinal four-
state classification decisions using neural networks. Inf
F
financial institutions are probably going to push
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edge of the causes of firms’ failure is not only prediction of corporate bankruptcy. J Financ.
wished for an improvement of financial sphere 1968;23(4):589–609.
Beaver W. Financial ratios as predictors of failure. J Acc
functioning. It can also deserve firms’ interests
Res. 1966;4(Suppl):71–111.
and companies’ advisors to implement better Becchetti L, Sierra J. Bankruptcy risk and productive effi-
practices of growth (the entry ▶ “Accompaniment ciency in manufacturing firms. J Bank Financ.
of Business Creation” gives an idea of the role of 2003;27(11):2099–120.
Bose I, Pal R. Predicting the survival or failure of click-
external supports as a reason of success). From an
and-mortar corporations: a knowledge discovery
academic point of view, one may consider that the approach. Eur J Oper Res. 2006;174(2):959–82.
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Edward Elgar; 1999. p. 261–89.
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Levratto N, Carré D, Tessier L, Zouikri M. La défaillance
des entreprsies. Etude sur données françaises entre
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Documentation Française; 2011.
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been at the origin of a broad and in depth literature decisions when firms have information that investors
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aiming at embracing legal and industrial features.
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Seen as a promising way to have at disposal reflections on choice-based sample bias. J Econ
prediction models possibly used by banks, firm Financ. 2002;26(2):184–99.
exit has increasingly become a fashionable Shumway T. Forecasting bankruptcy more accurately: a
simple hazard model. J Bus. 2001;74(1):101–24.
topic. The increasing number of works is espe-
Zhang G, Hu MY, Patuwo BE, Indro DC. Artificial neural
cially visible in two fields. An empirical analysis networks in bankruptcy prediction: general framework
of firm exit or default determinants which tends to and cross-validation analysis. Eur J Oper Res.
provide a better knowledge of explanatory vari- 1999;116(1):16–32.
ables on one hand and a methodological perspec-
tive on the other, mainly consists in testing new
techniques. In these two fields, the progress is
really perceptible. The main problem remains Flexibility
that default, exit, and insolvency are ex post phe-
nomenon and that their occurrence is highly sen- ▶ Computerized Testing of Creativity
sitive to the context. To depart from the ▶ Divergent Thinking
determinist view which characterizes parametric ▶ Ideas and Ideation
980 Flexible Retirement
Flexible Retirement Foresight
▶ Cross-Retirement (Cross-Employed and Cross- K. Matthias Weber and Susanne Giesecke

Retired) and Innovation Center for Innovation Systems and Policy,
Austrian Institute of Technology, Vienna, Austria
Synonyms
Fluctuations in Economic
Activity Foresight
▶ Business Cycles
Key Concepts and Definition
According to the European Foresight Platform,

Fluency foresight is as “a systematic, participatory, future-
intelligence-gathering and medium-to-long-term
▶ Divergent Thinking vision-building process aimed at enabling
▶ Ideas and Ideation present-day decisions and mobilising joint
actions. It can be envisaged as a triangle combin-
ing ‘Thinking the Future’, ‘Debating the Future’
and ‘Shaping the Future’” (EFP 2017).
Foresight is typically based on systematic,
Folk Theories often participatory, inter- or transdisciplinary
futures intelligence gathering and analysis that
▶ Implicit Theories and Creativity involves a number of different groups of actors
concerned with the issues at stake. It produces
the knowledge needed to prepare for uncertain,
complex, and ambiguous long-term futures.
Rather than interpreting the future mechanisti-
Followership cally as a prolongation of past regularities, fore-
sight embraces the nonlinearity and openness
▶ Topsy-Turvy: Innovation of Political that result from the systemic interactions in
Leadership sociotechnical systems. Foresight does not aim
to predict a single future, and it is therefore
amenable to thinking “out of the box.” As con-
sequence, it allows questioning prevailing pat-
Forces of Production Theories terns and structures of the areas under study, up
to the point of exploring radical and even disrup-
▶ Innovation in Radical Economic Thought tive scenarios. Foresight can even be used as an
approach for exploring unknown territory, i.e.,
unexpected or even hardly imaginable futures
(Taleb 2007).
Forecast In more systematic terms, foresight can be
characterized as (EFP 2017; Georghiou and
▶ Imagination Kennan 2006):
Foresight 981
– Action-oriented, i.e., foresight processes are technology (Martin and Johnston 1999), has in
not only about analyzing or contemplating the meantime become broader in scope and
future developments but supporting actors addresses socioeconomic developments and needs
and stakeholders to actively shape the future. as well as scientific-technological ones as its
– Open to alternative futures, i.e., foresight starting point.
assumes that, although path dependencies Foresight has roots in both the public sector in
exist, the future is not predetermined but can support of government policy (da Costa et al.
evolve in different directions, depending on the 2008; Havas and Weber 2017) and in the private
decisions taken today. sector to inform corporate strategy (Rohrbeck and
– Participatory, i.e., foresight processes draw on Gemünden 2011), even if the latter may be less
the inputs of experts and stakeholders, in order well known and less easily accessible.
to enhance both the quality and the legitimacy F
of results.
– Interpretative, i.e., the focus of Foresight is Theoretical Background
put on reconstructing different framings of an
issue at stake as normative-prescriptive narra- The notion of foresight became prominent in the
tives that are shared by different groups of late 1980s, with the launch of the British foresight
actors and that set out policy problems and programs (Martin 2010). In theoretical terms,
their course of action. foresight is inspired from constructivist and sys-
– Communicative, i.e., the results of foresight temic concepts of innovation and social change.
processes are generated by and disseminated This understanding is capture by three fundamen-
among participants. The focus is thereby put tal assumptions about how the future unfolds:
on translating knowledge and future visions
into palatable messages across different – The future cannot be predicted, but is open
discourse. and malleable: Foresight therefore tends to
– Transdisciplinary, i.e., foresight provides an rely on scenario building and adaptive strate-
approach that integrates problem-oriented gies as means for dealing with uncertain
knowledge across disciplines, sectors, and social future challenges. It rejects the approach of
discourses so as to captures realities in their trying to forecast or predict the future on
totality with all the variables influencing them. the basis of models that essentially reflect the
– Process-oriented, i.e., the use of foresight pro- patterns of the past, not least due to the
cesses goes beyond the presentation of scenar- emphasis it puts on the long-term view,
ios and strategies but provides support to when structural and even disruptive changes
strategic processes, which aims at shaping the may possibly occur.
future in some or the other way involving – The influence of individual actors is limited:
stakeholders (including citizens). Entrepreneurial personalities can make a dif-
ference in triggering change, but the systemic
With these explanations in mind, foresight dif- understanding of innovation that underpins
fers from forecasting in not being restricted to much of foresight work implies that often a
exploring future changes under conditions of struc- range of technological, social, and institutional
tural continuity (or even to predicting single changes are needed in conjunction to make a
futures) and in stretching out to the long-term view. specific scenario happen. Shaping the future
Foresight also has some points in common with thus requires coherent and coordinated action
technology assessment (TA), in particular in meth- of an equally broad range of actors and stake-
odological respects, but the latter has an explicit holders; a process enabled by shared problem
focus on technology at its core, even if the social perceptions, orientations, and visions.
embedding of technology is usually recognized. – Moving from visions to concrete actions is
Foresight, while being initially also focused on crucial: As shared visions are not enough to
982 Foresight
make change happen, the definition of joint as Foresight is an instrument for coordinating
well as individual agendas for action is central present-day decisions in view of future chal-
to foresight. Mobilization and activation of lenges and visions.
actors and stakeholders by way of participation
in foresight processes is thus a key tenet of In methodological terms, foresight employs a
foresight thinking. wide variety of methods, including trend analysis,
cross-impact analysis, scenario development,
The constructivist understanding also implies visioning and backcasting, roadmapping, etc. Also
that foresight relies on the participation of stake- sophisticated survey methods like Delphi and
holders to combine future exploration by way of modelling approaches are common elements in
scenarios with normative orientations about foresight processes. In general, foresight methods
future goals and visions. In other words, not can be distinguished along three main dimensions:
only the pathways towards the future need debate expertise-based vs. interaction-based, creativity-
but also the underlying norms and values. based vs. evidence-based, and qualitative
These guiding concepts translate into guiding vs. quantitative (Popper 2008). The choice of
operational principles for foresight processes, often methods is dependent on the purpose of foresight
called the “five C’s” (Martin and Johnston 1999): process. For instance, qualitative approaches tend to
be more suitable for comprehensively structuring
– Concentration on the future: The exploration the issues at stake, whereas quantitative models
of scientific-technological developments and contribute to exploring and assessment-specific fea-
socio-economic demand requires a “systematic tures of an issue. Future exploration tends to rely on
attempt to look into the future of science, tech- scenario development, whereas as normative fore-
nology, economy and society. It is not focused sights draw on visioning and backcasting methods.
on a single, most probable future, but on sev- Over the past four decades, the practice of
eral possible scenarios.” foresight has evolved, and this evolution can be
– Communication: Joint processes of captured schematically in six generations of
exchange, learning, and engagement among foresight:
stakeholders and the public aim to broaden
the participants’ horizons and to develop – The first generation of foresight, typical of the
shared perceptions of challenges and options. 1970s, was still inspired by the desire of iden-
– Consensus and conflict: Participatory pro- tifying and predicting future technological
cesses of intelligence gathering and scenario developments. This ambition found a very
building help reach a shared understanding of visible expression in the technology Delphis
future challenges and options. On this basis, pioneered in Japan, which were later on
consensus is sought on normative orientations, adopted also in several other countries.
such as visions or areas of strategic research, A larger number of experts were involved in
likely to yield the greatest economic and social these large-scale collective exercises.
benefits. However, transparency about diverg- – In the 1980s, the second generation of foresight
ing goals and conflicts of interest is also a had a broader perspective and included also the
useful outcome of foresight. anticipation of future markets. Next to tech-
– Commitment: Early involvement in foresight nology and market Delphis, key technology
can help mobilize actors and stakeholders in studies, looking into the strategic or market
line with the shared visions and priorities iden- potential of technologies, were conducted.
tified, and thus facilitate joint and coherent – The third generation of foresight was even
action. broader in scope and combined outlooks on
– Coordination: Greater coherence of different future technologies, markets, and societal
actors’ strategies is achieved by shared percep- developments. From the late 1980s onwards,
tions of challenges, visions, and priorities. the term foresight was introduced in the UK,
Foresight 983
and it differed from previous generations in Implications for Theory, Policy, and
mobilizing a much wider range of actors and Practice
stakeholders, tied to the ambition of “re-wiring
the innovation system” (Martin and Johnston Foresight is often explicitly tied to decision-
1999). Sociotechnical scenarios as a means to making, both in the context of corporate strat-
guide collective strategies and inspire action egy and public policy. It does play a role not
replaced the predictive ambitions of previous only in policy or strategy formulation but in
generations. most of the phases of the policy cycle. The role
– The turn of the millennium was characterized of foresight for decision-making can take differ-
by processes of fast globalization and innova- ent forms along a spectrum ranging from “inspi-
tion, which brought about a sense of future rational” to “instrumental.” The embedding of
uncertainty. Adaptive planning approaches foresight into policy-making thus goes beyond F
and strategies became a common element of merely “informing” policy and covers the fol-
foresight activities in order to make foresight lowing six main functions (based on da Costa
operational and suitable to cope with uncer- et al. 2008):
tainty. While until then, most foresight activi-
ties mainly focused on national or regional – Informing policy, i.e., to generate insights
entities, this fourth generation emphasized the regarding the dynamics of change, future chal-
importance of strategic foresight at the level of lenges, and options, along with new ideas, and
organizations. to transmit them to policy-makers as an input
– With the fifth generation of foresight, which is to conceptualization and design of strategies
very typical of the current decade, the attention and actions.
has shifted to major societal challenges as key – Facilitating policy implementation, i.e., to
demand-side driver of change, and how to enhance the capacity for change within a
tackle them through systemic strategies of given policy field by building a common
combining social, technological, and organiza- awareness of the current situation and future
tional innovations. challenges, as well as new networks and
– Currently, we can see a sixth generation of visions amongst stakeholders.
foresight emerging. Given the acceleration of – Embedding participation in policy-making,
technological change in several areas, and the i.e., to facilitate the participation of stake-
impacts of major unexpected developments holders and civil society in the policy-making
such as the Arab spring or the financial crisis, process, thereby improving its transparency
horizon scanning and the identification of and legitimacy, and ultimately coherence with
weak signals have become important ele- stakeholders’ strategies.
ments of foresight. This new generation goes – Supporting policy definition, i.e., to jointly
even further in proposing real-time translate outcomes from the collective
approaches for simultaneously exploring and forward-looking outputs into specific options
experimenting with emerging and future for policy definition and implementation.
developments (“design foresight”), and in Improved policy coordination is a major bene-
the embedding of foresight into the structures fit of this function in a multi-policy setting.
and processes of organizations. – Reconfiguring the policy system, i.e., chang-
ing structures and processes in a way that
In the strict sense, the first two generations of makes the policy system more apt to address
foresight do not fully comply with the definition long-term, complex challenges.
introduced earlier. They do not necessarily draw – Symbolic and legitimizing function, i.e., to
on stakeholder involvement and multiple futures, indicate to the stakeholders that policy and
but they tend to reach out to a wide range of expert strategy are based on rational information and
participants and explore the long term. transparent processes.
984 Foresight
Given the relevance of foresight for decision- – Debating normative orientations like goals
making, question associated to the actual impact of and values is of crucial importance in the
foresight, and the consequences for designing fore- context of fast-changing transformative
sight processes that are likely to have a stronger futures. Without such orientations, an assess-
impact, plays an important role in foresight debates. ment of emerging developments is hard to
Impacts go well beyond the influence on decision- make. Integrating normative aspects in exper-
making, but refer to the changes induced by fore- imental and real-time foresight is a major chal-
sight in the wider context of innovation systems. lenge for foresight research.
These impacts can arise at different times scales – Participation is key to realizing the ambition of
(immediate, intermediate, ultimate), intended as foresight to contribute to shaping the future,
well as unintended, and they depend on the “fit” and thus to engage society in change processes.
between foresight design and the governance frame- Participation is also key for the coordination
work of innovation policy (Havas and Weber 2017). and orientation functions often assigned to
foresight. A challenge is to avoid dialogue
fatigue and enable more effective participa-
Conclusion and Future Directions tion. Social media have the potential to
strengthen opportunities for participation in
While acknowledging that not all future issues may political decisions through foresight. This
require the latest generation of foresight to be requires a clear view of the governance model
applied, it is important to be aware of the nature in which foresight is embedded: who decides
of the conceptual and methodological differences and on what basis at key stages in the process
of the various approaches and practices of fore- of generating foresight what is attended to and
sight. Earlier approaches are not necessarily made what is left out.
obsolete by new ones, but continue to be used, – Complex and multi-facetted future challenges
depending on the objective in question. In recent require multidisciplinary and multiperspective
years, new types of outputs and outcomes are strategies to be tackled. A shared conceptual
expected from foresight in response to the chang- platform is thus needed on the basis of which
ing nature of challenges in a changing world. These the dialogue and coordination of activities can
developments point to a number of directions for take place in order to avoid mutual misunder-
future development of foresight in the context of standing and segmented responses to cross-
innovation strategy and innovation policy: cutting challenges.
– An important aspect of the link between fore-
– The limits to anticipating the future in view of sight and policy concerns the tracing of
fundamental uncertainty and complexity are impacts of foresight. Ultimately, the legiti-
growing. In this context, Tuomi (2013) speaks macy of foresight as central policy supporting
of ontological expansion, and the need for instrument depends on the ability to demon-
strategies and policies to be adapted much strate its benefits. This is a challenging task,
more quickly, if not in real time. This implies not least due to the process-based nature of
the need to explore and simultaneously foresight.
implement qualitatively new developments
and to rely on comprehensive, inter-
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▶ Rigidity of Scientific Thought Hinders Mavis Haigh
Innovation School of Learning, Develoment and Professional
▶ Social Ecology and Quintuple Helix Innovation Practice, The University of Auckland, Auckland,
Systems New Zealand
▶ Speaking Pictures: Innovation in Fine Arts
▶ Systems Theory and Innovation
▶ Transdisciplinary Research (Transdisciplinarity) Synonyms
▶ Triple Helix of University-Industry-Government
Relations Innovation in practical work in science education;
▶ University Research and Innovation Open-ended investigative practical work in sci-
ence education
References Theoretical Background and Open-

ended Issues
Da Costa O, Warnke P, Cagnin C, Scapolo F. The impact of
foresight on policy-making: insights from the ForLearn
mutual learning process. Technol Anal Strateg Manag. This entry focuses on the premise that creativity
2008;20(3):369–87. can be fostered through science education. There
986 Fostering Creativity Through Science Education
are two contrasting views of the nature of creativ- program did appear to promote scientific creativ-
ity – the first is the extraordinary, or high, creativity in secondary school students though the effects
ity displayed by geniuses and the second is the on different aspects of creativity varied, with
more everyday creativity, sometimes called pos- items testing science experiment and product
sibility thinking that occurs as an individual design having large effects and creative imagina-
makes inventive decisions when faced with tion having a smaller but still statistically signifi-
novel and/or demanding contexts. Craft (2001) cant effect. The effect of CASE on creativity was
used the notions of “big C creativity” (BCC) and shown to be often delayed until one or more years
“little c creativity” (LCC) to frame these two after the end of the intervention program. The
views of creativity within education. The concept research team argued that “the CASE programme
“creativity” applies both when ideas and artifacts improves students’ cognitive processing, and only
are produced for the first time in human history when this has been achieved can it be applied to
and when the ideas are new simply to the person problems requiring creative thinking.”
who generated them. Both LCC and BCC require
imagination, flexible thinking, and originality. It is
generally LCC that we can foster through science The Place of Creativity in the Science
education, though students involved in research Curriculum
projects may arguably be involved with aspects of
BCC such as novelty and peer validation Across the world, science education is increas-
(Feldman et al. 1994). ingly being required through its curriculum docu-
Creativity is recognized as domain specific or ments to address the nature of science and its
dependent, which suggests that there is a particu- social practices as well as the content of science.
lar kind of creativity associated with divergent This requirement is supported by the argument
thought when considering science ideas. It can that “in a society where science increasingly per-
be argued that hypothesizing, designing experi- meates the daily discourse, some understanding of
ments, and problem-solving all require a particu- its underlying epistemic values, methods, and
lar kind of creativity peculiar to science, as does institutional practices is essential if the citizen is
the technical innovation that is often required as to engage with the issues confronting contempo-
part of experimental design. However, scientific rary society” (Osborne et al. 2003). After carrying
creativity is a subtle concept that is hard to pin out a careful Delphi study with representatives of
down and is often used in different ways. Kind groups involved in science and science education
and Kind (2007) provide an analysis of teaching around what ideas about science should be taught
creatively, creativity’s link with inquiry teaching, in school science, Osborne et al. listed nine key
and creativity as an aspect of the nature of science. aspects of the nature of science that were consid-
Hu and Adey (cited in Lin et al. 2003) pro- ered as essential in school science curricula. One
posed a definition for scientific creativity when of these was an understanding that science is a
they developed a test for scientific creativity for creative endeavor. If creativity is fundamental
secondary school level science. Their definition to science, it arguably should also be a promi-
included three dimensions, process, trait, and nent feature of science education. However,
product, and seven core elements: unusual use, Hadzigeorgiou et al. (2012) point out that “the
problem finding, product improvement, creative differences between scientists and children as
imagination, problem-solving, science experi- well as the nature of the tasks encountered by
ment, and product design. They, and their team them need to be taken into account” (p. 606).
of researchers, have used this framework to com- It is not sufficient to simply tell students about
pare the scientific creativity of students who have the creativity inherent in the scientific endeavor,
undergone the Cognitive Acceleration through though an appreciation of the role of human
Science Education (CASE) program with those engagement and creativity in the development of
who have not (Lin et al. 2003). The CASE scientific ideas might be addressed through
carefully crafted historical study (Kind and Kind frame student investigations. If school inquiry
2007). Instead, students need to be encouraged to science is to become more authentic, then it is
do science in ways that foster creativity. Ways of likely to require teachers to reconsider their roles
fostering creativity in science education include and the classroom activities they plan and for
making models to explain ideas and visualizing students to accept changes in teacher-student
processes in an attempt to explain phenomena. engagement and learning environments (Haigh
Developing students’ future thinking within sci- 2010; Ndeke et al. 2016).
ence education is another approach likely to foster It is recognized that the processes of scientific
creativity given that imaginative creativity is a inquiry require a sound understanding of context
significant feature of futures education. A study and concepts inherent in the investigation, a par-
of socio-scientific issues within futures education ticular challenge to student novices and teachers
approaches calls for student understanding of cur- alike. Minimal guidance by the teacher is unlikely F
rent situations to inform, imagine (create), and to result in anything but frustration for the stu-
evaluate possible and preferable futures (Jones dents. Teachers wishing to support their students’
et al. 2011). inquiry approaches are likely to have to address
Encouraging questioning and problem-posing, their students’ lack of scientific knowledge by
formulating hypotheses and predictions, and providing information as it is required or at least
designing and carrying out investigations to test direct the students to where the information may
these also offer students’ ways of authentically be found (Haigh 2010). Given that scientific cre-
experiencing the creative aspects of the develop- ativity and rationality are likely to work together,
ment of science ideas. Students also need experi- it is also to be expected that teachers will need to
ence in interpreting data and in making decisions directly teach rational processes such as careful
about the status of evidence and the validity of empirical testing (Kind and Kind 2007).
inferences. Experience in defending their interpre-
tations, especially should others offer conflicting
interpretations, is also necessary. Notions of col- The Potential of the Practice of
laborative creativity can be fostered through Investigation in the Science Classroom
deliberately encouraging students to work coop-
eratively, thus permitting a glimpse of the com- Although science educators continue to critique
mon effort involved in much scientific work the notion that inquiry science in school can truly
(Osborne et al. 2003). reflect the work of scientists, there is some
Student engagement in scientific inquiry holds research supporting engaging in investigative
the potential for fostering students’ understanding practical work as a means of fostering scientific
about the nature of the scientific endeavor, includ- creativity in secondary school students. Haigh
ing the role of creativity in the development of (2010) carried out a 4-year empirical project
ideas in science. Many curricula emphasize the where teachers facilitated their students in open
centrality of inquiry (sometimes framed as inves- investigative practical work in biology. This
tigation) to school science. However, science edu- New Zealand research sought to find out how
cation researchers hold variable views regarding student’s abilities at carrying out open investiga-
the possibility and actuality of inquiry approaches tive work can be enhanced, how teachers can be
in school science classrooms for providing a con- supported in this work, what the perceived bene-
text for students to experience authentic scientific fits from such an introduction are, and what the
inquiry (e.g., Kind and Kind 2007). It has been perceived constraints might be.
argued that there is a difference between the ideals The study was conducted in three phases,
of inquiry science in schools and its reality in with phases 1 and 2 taking place in a large urban
practice. In part, this may be the result of teachers’ secondary school and phase 3 involving senior
differing perspectives of the nature of science. In biology teachers and their students in 22 other
part, it may be because teachers continue to tightly secondary schools across New Zealand. In total,
988 Fostering Creativity Through Science Education
27 teachers and approximately 500 students were In addition, the students indicated that engaging in
involved in the study. The students encountered a open investigative practical work brought with it a
number of partially open biology problems. The greater understanding of the creative and some-
problems that the students were working with times uncertain nature of science investigation;
were deemed partially open as the teacher had they had broadened their understanding of the
set the context of the problem and focused the importance of the collaborative nature of the sci-
student thinking through directed questioning entific endeavor and the tentative nature of scien-
about the problem. The tasks were authentic and tific knowledge.
relevant to the students’ school or home environ- However, Haigh’s project also highlighted that
ments. They were linked to aspects of the aspects of teacher engagement may need to be
New Zealand senior biology curriculum such as altered if the potential of investigative practical
eutrophication, osmosis, transpiration, photosyn- work to foster and enhance creativity is to be
thesis, and enzyme activity. The students were realized; these are the dynamics of the classroom
required to make decisions about the inquiry and the nature of teacher-student and student-
design, generate data, and draw conclusions after student interaction. Specific activities and teach-
considering the status of their gathered evidence. ing strategies were also identified as enhancing
Frequently, the process involved redesigning and the potential for students to creatively engage with
the generation of new data. When designing the the investigation. A classroom that encourages
investigation, they worked as individuals at first creativity embraces co-construction of knowl-
and then joined in groups where they were edge. The classroom will be learner oriented. Stu-
required to defend their approach to the problem dents’ existing knowledge will be recognized, and
and move to a group decision. As a group, the they will be supported to restructure these under-
students had to work collaboratively to complete standings where necessary. Students will be given
the investigation and generate findings. The group opportunities to learn from others, the teacher, or
then had to argue for the reliability and conse- each other through collaborative activities.
quence of their findings and prepare a report for Teachers will deliberately scaffold their students’
a nominated audience such as a school newspaper investigative attempts. Haigh (2010) details a
or scientific journal. number of strategies suggested by the teachers
Findings from this study indicated that both and students in her study that enhances student
teachers and students identified that carrying out engagement, critical thinking, and creativity dur-
practical investigations provided opportunities for ing investigative practical work. The strategies
the students to think scientifically creatively, support the students’ shifts from following
albeit largely within the LCC framework. The “recipe”-type practical work into more open prac-
students were challenged to question initial tical work where students are required to pose and
assumptions: their own or those provided by test possibilities. A teacher might help the stu-
teacher or text. Having to work through a number dents to analyze “recipe”-style investigations to
of what, how, how many, when, where, and why determine why the author had chosen that partic-
questions encouraged students’ possibility think- ular approach, the students might plan an investi-
ing. Some students did things differently, that is, gation and then critically compare their plans to
they took a distinctly different approach to solving one provided by the teacher or text, students will
the problem. Some had done things better, that be expected to critically evaluate their own work
is, they made changes to a previously used proce- on completion of the investigation, teachers will
dure in ways that improved the reliability and emphasize the value of cooperative working prac-
validity of their findings. The teachers reported tices, teachers will help students to seek links
that as the students worked with a number of between prior knowledge and the investigative
similar investigations in different contexts, they situation, and the teachers will actively cue the
became more innovative in what they planned and students as they work through the various stages
demonstrated an increasing flexibility of thinking. of an investigation.
A UK-based study around a collaborative cur- to enhance students’ creativity? How can the ten-
riculum development project also highlights the sions between open approaches to practical work
necessity for pedagogy to change if science edu- in school science and the drive for accountability
cation is to foster creativity. Teachers will need in education, often through rigid assessment, be
to teach creatively. A focus on the need for these addressed?
changes should begin in teacher education pro- There are also ongoing challenges for teacher
grams if they are to have any impact on teachers’ education, both initial and ongoing. Many profes-
work and continue into ongoing professional sional leaders and researchers indicate that
dialogue. Braund and Campbell’s (2010) study teachers need to be taught to teach for creativity.
involved student-teacher and teacher-mentor pairs For example, after carrying out a large-scale study
devising, teaching, and evaluating novel lessons of secondary school Biology teachers’ percep-
and approaches around teaching about ideas and tions of scientific creativity, Ndeke et al. (2016) F
evidence in science. A significant outcome of the recommended that “science teacher education
study “was the perception of teaching shifting programmes emphasize scientific creativity in
from delivery of standard lessons in prescribed their methodology courses to empower teachers
ways to endeavours demanding creativity and to provide learning opportunities that would enhance
decision making” (p. 203). However, when the learners’ creativity in science lessons” (p. 31).
student teachers began teaching as newly quali-
fied teachers, the context of the school limited
their ability to act as agents able to make a differ- Cross-References
ence to the way the school at large taught science,
leaving much of the teaching still largely the ▶ Adaptive Creativity and Innovative Creativity
delivery of standard lessons in prescribed ways. ▶ Creativity Definitions: Approaches
Conclusions and Implications for

Practice References
Providing opportunities for students to carry out Braund M, Campbell B. Learning to teach about ideas and
evidence in science: the student teacher as change
investigative practical work in science has the
agent. Res Sci Educ. 2010;40:203–22.
potential for enhancing their creativity and their Craft A. Little c creativity. In: Craft A, Jeffery B,
understanding of science as a creative endeavor. Leibling M, editors. Creativity in education. London:
Collaborative investigative practical work pro- Continuum; 2001. p. 45–61.
Feldman D, Czikszentmihalyi M, Gardner H. Changing the
vides many opportunities for social possibility
world: a framework for the study of creativity. West-
thinking and decision-making, at least at the port: Praeger; 1994.
LCC level. It may also, in part, meet Feldman Hadzigeorgiou Y, Fokalis P, Kabouropoulou M. Thinking
et al. (1994) three-part system of high creativity about creativity in science education. Creat
Educ. 2012;3(5):603–11.
where individuals develop ideas that are validated
Haigh M. Science classroom cultures and practices that
by experts. With support, teachers can establish a foster creativity. In: Corrigan A, editor. Creativity: fos-
classroom culture that supports students as they tering, measuring and contexts. Hauppauge: Nova
engage in logical and creative construction of Science; 2010. p. 59–79.
Jones A, Bunting C, Hipkins R, McKim A, Conner L,
scientific knowledge. However, there are ques- Saunders K. Developing students’ futures thinking in
tions around this aspect of science education that science education. Res Sci Educ. 2011; https://doi.org/
require further exploration. Some possible inqui- 10.1007/s11165-011-9214-9.
ries are as follows: Is there a tension between Kind P, Kind V. Creativity in science education: perspec-
tives and challenges for developing school science.
teaching for creativity and teaching for conceptual
Stud Sci Educ. 2007;43:1–37.
understanding in science? How might science Lin C, Hu W, Adey P, Shen J. The influence of CASE on
teachers be better supported to teach creatively scientific creativity. Res Sci Educ. 2003;33:143–62.
990 Four P Topology
Ndeke G, Okere M, Keraro F. Secondary school biology • Press – The relationship of the creative person
teachers’ perceptions of scientific creativity. J Edu Lear. to the environment they are creating within
2016;5(1):31–43.
Osborne J, Collins S, Ratcliffe M, Millar R, Duschl R.
What “ideas-about science” should be taught in school Within the context of organizational creativity,
science? A Delphi study of the expert community. J Res two additional dimensions need to be considered
Sci Teach. 2003;40(7):692–720. in combination with the four Ps. Teams are
included to reflect that organizational creativity
is often a collaborative effort. The influence of
leadership must also be recognized since the suc-
Four P Topology cessful application of the other capabilities and
practices is directly dependent on this foundation.
▶ Four Ps of Creativity and Recent Updates
Theoretical Background
Four Ps in Organizational Product
Creativity Theorists have highlighted that the study of crea-
tivity needs to begin with creative product since
Russell Schneck creativity is demonstrated by the existence of a
WorkingLessons, Kerhonkson, NY, USA creative product (MacKinnon 1978; Rhodes
1961; Rogers 1961). Rhodes (1961) specifically
states: “Objective investigation into the nature of
Synonyms the creative process can only proceed in one direc-
tion, i.e., from product to person and thence to
Four Ps of creativity process and press” (p. 309).
Innovation is a creative product. More specif-
ically, it is a creative product that reaches imple-
Key Concepts and Definitions mentation (Kaufman 1993 cited in Vehar 2008).
Innovation is the result of creativity, and this
Organizational creativity refers to the people and understanding means that it is necessary for orga-
process capabilities, and the conditions that nizations to develop and support creative capabil-
develop and support these capabilities, in order ities in order for innovation to consistently occur.
for an organization to consistently produce inno-
vative products, methods, business models, and Person
experiences to meet the needs of its customers, Much of the understanding of the creative person
employees, and stakeholders. can be attributed to the impetus provided by
This conceptual view begins with the four Ps Guilford and his presidential address to the Amer-
(Rhodes 1961) by considering creative product as ican Psychological Association (Guilford 1950).
the outcome of the interaction of person and pro- Guilford’s own work advanced the understanding
cess, operating within an organizational climate of the cognitive abilities associated with creativity
(press). These dimensions are defined: and established the importance of divergent and
convergent thinking. Cognitive abilities are only
• Product – The communication of a novel and part of the story. Beyond cognitive abilities, crea-
useful idea, concept, or theory tivity can be attributed to personality traits and
• Person – Cognitive abilities, personality traits, biographical experiences (Davis 2004).
and biographical experiences Creativity is commonly equated to imagina-
• Process – The methodology that produces a tion, and this undeniably is an important charac-
creative product teristic, but it is a limited perspective. The topic of
Four Ps in Organizational Creativity 991
the creative person is complex, and it is well- Discussion of process can focus on defined
researched area, with extensive information avail- methodologies such as creative problem-solving
able. For example, Davis (2004) describes a (CPS) (Osborn 1953) or synectics (Gordon 1961).
meta-analysis of over 200 adjectives and descrip- Mumford et al. (1991) review well over a dozen
tions from 50 sources to arrive at 16 categories of processes beginning with the pioneering efforts of
recurrent traits in creative people. Attempts, such Dewey (1910) and Wallas (1926) to recognize a
as this, to categorize a group of people will be progression showing a continuous increase in
generalizations and are bound to include what can understanding of the mechanisms that produce
seem to be contradictory information; for exam- idea generation. The specific conclusions relating
ple, creative people are both disciplined and to this are articulated in this way:
impulsive. Kaufman (2013) discusses the antithet- Researchers have also begun to display greater sen-
ical traits of creative people and presents neuro- sitivity to the dynamic, perhaps cyclical nature of F
science research (Ellamil et al. 2012; Takeuchi process application, the goal-oriented nature of cre-
et al. 2011) supporting the concept that these ative problem solving efforts, the significance of
real world constraints, and the impact of motiva-
paradoxes can be recognized as characteristics of tional, developmental, and personality attributes
a creative mind. which can condition the efficiency of process appli-
Guilford (1950) offers a conception that cation. (p. 99)
brings attention to a particularly important trait:
In practice problem-solving is often conceptu-
“Creative productivity in everyday life is
alized as descriptive expression of steps or phases.
undoubtedly dependent upon primary traits
While there is no universally accepted approach,
other than abilities. Motivational factors
generically the process has four basic phases
(interests and attitudes) as well as temperament
(Beecroft et al. 2003; Puccio 2002):
factors must be significant contributors” (p. 454).
Continuing on the importance of motivation,
Amabile (1987) offers insight into the impor- • Clarification
tance of motivation, particularly intrinsic moti- – Define and clarify the opportunity or
vation: “There is abundant evidence that people challenge.
will be most creative when they are primarily • Ideation
intrinsically motivated, rather than extrinsically – Generate ideas.
motivated by expected evaluation, surveillance, – Evaluate and select an idea(s).
competition with peers, dictates from superiors, • Development
or the promise of rewards” (p. 39). – Transform ideas into solutions.
Amabile’s Components of Creative Perfor- – Test, refine, and strengthen solution.
mance (1983) informs the conception of the attri- • Implementation and maintenance
butes necessary to consider in the creative person – Implement solutions.
dimension with creativity-related skills, domain- – Evaluate solution over time.
related skills, as well as task motivation.
Teaching and training that supports the devel-
Process opment or improvement of creativity and
Process can be the specific cognitive and affective problem-solving abilities most often addresses
abilities that are applied as well as a framework process. The work of Scott et al. (2004) was a
that defines the steps or phases that are common to meta-analysis of 70 studies of creativity training
creative problem-solving. The importance of program evaluations that concluded “that more
innovation to organizational creativity, and the successful programs were likely to focus on
requirement of a creative concept to be taken to development of cognitive skills and the heuris-
fruition for there to be innovation, demonstrates tics involved in skill application, using realistic
that process must advance creativity through exercises appropriate to the domain at hand”
implementation or commercialization. (p. 361).
992 Four Ps in Organizational Creativity
This research brings the focus to an under- to these pressures also establishes the conditions
standing that creative problem-solving is about that will support or detract from creative efforts.
having an awareness of the unique mental func- Climate. The creative climate can vary among
tion required for the task at hand. This understand- work teams even within the same organization.
ing is conceptualized by The Thinking Skills However, the more consistent the creative climate
Model (Puccio et al. 2011) which articulates spe- is throughout an organization, the more consistent
cific cognitive and affective abilities associated and sustainable the creative contribution will be
with each process step. With its focus on cognitive throughout the organization.
and affective abilities, The Thinking Skills Model Ekvall (1996) defines creative climate to
connects the discussion of process to the creative describe how behaviors and attitudes work to
person. According to Puccio et al. (2011) open- shape the creative output in an organization. Ten
ness to novelty, tolerance for ambiguity, and tol- factors are identified which collectively describe
erance for complexity underlie all steps in the the creative climate of the organization. These
creative problem-solving process. This offers spe- factors are (a) challenge, (b) freedom, (c) idea
cific consideration of creativity-related skills in support, (d) trust/openness, (d) dynamism/liveli-
the context of a creative process. ness, (e) playfulness/humor, (d) debates,
The discussion of process also leads directly to (e) conflicts, (f) risk taking, and (g) idea time.
the topic of teams and their relationship to the four A discussion of press leads directly to the
Ps, since a characteristic of effective teams is a importance of leadership. Leadership that does
commitment to a common approach, a process, of not deliberately work to encourage organizational
working together (Katzenbach and Smith 1993). creativity by development and support of the four
Ps can be an adverse part of the press that needs to
Press be overcome. However, effective leadership is
The interaction of person, process, and teams that instrumental in creating the conditions that will
is required to generate creative products does not develop and support organizational creativity, and
occur in a vacuum. The practice of organizational this begins with recognition of the importance of
creativity must contend with a multitude of forces each of the four Ps as well as teams.
internal and external to the organization that influ-
ence the needs, requirements, and effectiveness of
the effort. These forces, pressures, are the press. Beyond the Four Ps
Discussion of press includes a macro view of
the dynamic operating environment, external It is only by looking at the four Ps in combination
forces that organizations cannot control but must with teams and leadership that a complete picture
respond to, and progresses to internal consider- of product, person, process, and press in the con-
ations that can be managed in a deliberate manner text of organizational creativity is formed. The
that will help develop and support organizational four Ps can be seen as the foundation of organiza-
creativity. tional creativity, but the additional considerations
The dynamic operating environment. There of teams and leadership are integral to the practice
are external pressures on an organization that are of organizational creativity and influence the
beyond the control of the organization. These dimensions of the four Ps as significantly as each
include customer expectations, shareholder of the four Ps influences and interacts with each
requirements, technology advances, competitive other.
factors, economic conditions, legal and regulatory
considerations, and globalization. This dynamic Teams
operating environment establishes the need for Within organizations, creative products are often
consistent and sustainable innovation simply to the result of collaborative efforts with multiple
keep pace with the change made necessary by individuals making a contribution. A team is
outside forces. But how an organization responds more than the sum of its parts. Teams need to be
recognized as more complex entities than a col- Leadership

lection of individuals. Interpersonal dynamics The effective application of organizational crea-
ensure that this will be the case. Teams are defined tivity requires a foundation of leadership. The
by a collective work product (Katzenbach and dynamic operating environment establishes the
Smith 1993). This directly relates the function need for consistent and sustainable innovation.
and importance of teams to the purpose of orga- The executive leadership of an organization deter-
nizational creativity to produce creative product. mines the approach the organization uses and, in
Amabile (1998) makes it clear, “If you want to thought, words, and deeds, sets the tone for how
build teams that come up with creative ideas, you the organization responds to these pressures.
must pay careful attention to the design of such Leadership is a topic that is broad in scope.
teams” (p. 82). Effective teams are mutually sup- Particularly relevant to this discussion are mental
portive groups with a diversity of expertise, expe- models and the role that leadership plays in F
riences, and thinking styles. Members of effective establishing and reinforcing the dominant mental
creative teams share and contribute to excitement models Schwenk (1989) that define the beliefs and
about their objective, have a willingness to help attitudes that govern perceptions, reasoning, and
teammates overcome challenges and setbacks, behavior in an organization. Senge (2006) defines
and appreciate the unique knowledge and per- mental models as:
spective the other team members have to offer. Deeply ingrained assumptions, generalizations, or
“These factors enhance not only intrinsic motiva- images that influence how we understand the world
tion but also expertise and creative-thinking and how we take action. Very often we are not
skills” (p. 82). consciously aware of our mental models or the
effects they have on our behavior. (p. 8)
The conditions that promote team effective-
ness extend beyond the composition of the group Caughron et al. (2009) extend the concept to
and require attention to the collective experience organizations by conceptualizing dominant men-
of the group. Tuckman’s model for team develop- tal models “as a form of shared mental model that
ment (Tuckman and Jensen 1977) highlights that extends beyond the group level into broader social
teams will not be fully operational at inception contexts such as organizations” (p. 11). Dominant
and must be given the opportunity to evolve. The mental models often reflect the influence of indi-
model presents five stages that teams progress viduals in positions of authority (Schwenk 1989).
through as they develop the ability to successfully Organizational creativity will flourish when
work together. leadership supports and applies a dominant men-
tal model that recognizes and promotes the value
1. Form: The team is brought together and learns of creativity and the conditions that are conducive
about each other and about the opportunity and to creative performance.
challenges it faces. With a foundation of leadership, it becomes
2. Storm: Personal conflicts are exposed. Team possible to establish a supportive climate.
members confront each other’s ideas and per- Research supports the connection between lead-
spectives. Different ideas compete for consid- ership and climate. Ekvall (1999) provides a par-
eration. Not every team gets through storming. ticularly compelling statistic; leadership behavior
3. Norm: Team members often work through this accounted for a range of 30–60% of the reported
stage by agreeing on rules, values, professional variances in his research of creative climate. Con-
behavior, shared methods, and tools. ditions that support organizational creativity can-
4. Perform: Teams are able to function as a unit as not be sustained without leadership that brings
they find ways to get the job done efficiently intention and attention to the task of establishing
and effectively without inappropriate conflict and maintaining a creative climate.
or the need for external supervision. The connection between climate and leader-
5. Adjourn: The required task is complete the task ship leads directly to the topic of polarity manage-
and the team is disbanded. ment. Polarities are ongoing. They are not
994 Four Ps in Organizational Creativity
problems that can be solved. They cannot be person, teams, and process. The model shows
eliminated regardless of the money, time, or the interaction of person, teams, and process,
resources directed toward this purpose. They operating within the influence of press to produce
involve two apparently conflicting, but actually an outcome of a creative product. The arrows from
interdependent positions (Johnson 1996). product back to the other dimensions indicate that
The climate dimensions (Ekvall 1996) of free- the assessment of product begins a feedback cycle
dom, risk taking, and idea time can each easily leading to continuous learning and improvement.
viewed as one side of a polarity. While each offers Ekvall (1996) recognizes that outcomes influence
a benefit to the practice of creativity, there is an climate and resources which is a description of
opposing force that will also benefit the organiza- this feedback.
tion in some way. Freedom/accountability, risk-
taking/sound business practices, and idea time/
producing tangible results are all polarities that Conclusion and Future Directions
are introduced with the discussion of creative
climate. Leadership must manage these polarities Examination of the four Ps in organizational cre-
to establish a creative climate. By establishing a ativity has implications for leadership, organiza-
creative climate, the conditions exist for individ- tional development, as well suggesting directions
uals, teams, and processes to develop in a way that for creativity research.
will produce creative products. Since the work of Support and development of the four Ps is
Ekvall (1996) and Amabile et al. (1996) substan- instrumental to organizational creativity. And
tiate that climate, including perceived climate, while it may seem simplistic, the opposite corol-
influences creativity and innovation, it is reason- lary is also true; factors specific to organizational
able to conclude that climate is also exerting influ- creativity that inhibit its practice can be viewed in
ence on person, process, and teams, since it is the terms of a failure to develop and support the
interactions of these dimensions within the cli- conditions that contribute to organizational crea-
mate that produce the creative product. tivity. The implications for leadership and organi-
Figure 1 presents a view of organizational cre- zational development are clear.
ativity with a foundation of the four Ps. Support Individuals must be provided appropriate train-
and development of the organizational competen- ing and support to develop domain-related exper-
cies required to achieve effective and sustainable tise as well as creative problem-solving abilities.
creative performance begins with leadership. The Process must provide a commonly understood
arrows extending out from the leadership box framework that facilitates the type of outcomes
reflect the influence of leadership on press, that are expected and required. Teams must be
Four Ps in
Organizational
Creativity, Fig. 1 The
four Ps in organizational
creativity ©2012 Russell
Schneck
created with attention to diversity of skills and ▶ Creativity and Innovation: What Is the
perspectives. They must be given adequate oppor- Difference?
tunity to develop in order to perform effectively. ▶ Creativity from Design and Innovation
There must be deliberate attention to establish and Perspectives
maintain a climate supportive of creativity. This ▶ Creativity Management
needs to be actively monitored with interventions ▶ Creativity, Intelligence, and Culture
for improvement as needed. Leadership must sup- ▶ Divergent Versus Convergent Thinking
port development of each of these components ▶ Entrepreneurial Organizations
and consistently demonstrate a commitment to ▶ Four Ps of Creativity
organizational creativity to ensure that the impor- ▶ In Search of Cognitive Foundations of
tance organizational creativity remains a domi- Creativity
nant mental model. Evaluation of creative ▶ Innovation and Entrepreneurship F
product provides the feedback that is necessary ▶ Invention and Innovation as Creative Problem-
to support the ongoing development of organiza- Solving Activities
tional creativity. ▶ Measurement of Creativity
The interrelated, interdependent nature of the ▶ Measuring Organizational Climate for Creativ-
four Ps of creativity is consistent with research ity and Innovation
considerations. Mumford (2003) expressed the ▶ Mental Models and Creative Invention
need for more integrative models as well as ▶ Multiple Models of Creativity
increased attention to the effects of creativity on ▶ Organizational Creativity
people and social systems. The former consider- ▶ Research on Creativity
ation could be viewed as a need to examine the ▶ Social Psychology of Creativity
combined influences that contribute to the produc- ▶ Techno-globalization and Innovation
tion of creative product that is reflected by the
interdependence of the four Ps. The latter
describes looking at the complex phenomenon of
creativity and the influence its practice has on the References
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Scott G, Leritz LE, Mumford MD. The effectiveness of
of them emphasize originality; without original-
creativity training: a quantitative review. Creat Res
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learning organization. New York: Currency Double- but not sufficient for creativity. There must also be
day; 2006. some effectiveness, usefulness, or fit. Without
Takeuchi H, Taki Y, Hashizume H, Sassa Y, Nagase T,
Nouchi R, et al. Failing to deactivate: the association
that, original things may be bizarre and useless.
between brain activity during a working memory task Creativity things are thus both original and effec-
and creativity. NeuroImage. 2011;55(2):681–7. tive. This applies to artifacts and products, such as
Tuckman BW, Jensen MC. Stages of small group develop- inventions, artworks, and designs, but also applies
ment revisited. Group Organ Stud. 1977;2:419–27.
Vehar J. Creativity and innovation: a call for rigor in
to the personality traits that are shared by creative
language. In: Puccio GJ, Burnett C, Cabra JF, Fox individuals. These traits give the individual the
JM, Keller-Mathers JM, Murdock MC, Yudess MC, capacity to generate original and effective ideas.
Four Ps of Creativity and Recent Updates 997
Indeed, the bipartite definition recognizing origi- Still, the person view of creativity is much like
nality and effectiveness applies to all expressions more general theories of personality. Traits pro-
and definitions of creativity. vide the potential to respond and behave in par-
Fifty years ago, an alliterative scheme was pro- ticular ways. They do not guarantee specific
posed in an attempt to account for approaches to actions. Personality theory recognizes that mani-
creativity. It is usually called the four P topology, fest behavior is based in part on traits and capac-
but as the title of this entry denotes, that label is out ities but also on the environment and context. This
of date. This entry covers the four Ps, but it also is why later versions of the 4P topology include
goes into some detail about what has occurred in potential as one of the Ps or categories. It is also
creativity and innovation studies since the scheme why there are many theories of creativity that
was first proposed. As such, this entry is a kind of focus on the environment or context. The original
review of creativity studies, using the alliterative 4P framework was developed over 50 years ago, F
P framework as a way of structuring the various at a time when environmental influences were
theories of and perspectives on creativity. labeled “press factors,” the idea being that the
environment imposes pressures on the individual.
Person
Press and Place
The first P in the 4P framework represents person,
or personality. The crux is that certain individuals The original “Analysis of Creativity” article, from
have a personality profile that supports creative 1961, labeled environmental factors “press,” and
thinking and behavior. The core characteristics of at that point two kinds of presses were posited.
this personality profile include openness to expe- According to Henry Murray, who wrote exten-
rience, wide interests, autonomy, flexibility, non- sively about environmental influences, there are
conformity, and intrinsic motivation. Each of alpha presses and beta presses. Alpha press is the
these is actually a somewhat general label. Auton- label given to environmental pressures which
omy, for example, is sometimes labeled indepen- influence behavior regardless of an individual’s
dence. More important is that there are logical ties interpretation. They are almost reflexive. Beta
among these traits. A nonconformist, for example, press also depends on environmental pressures,
will appear to be autonomous, and someone with but these have an impact only when individual
wide interests will probably be flexible and open perceives and assigns significance to them. This is
to diverse experiences. The person perspective on an important distinction because each individual
creativity does not entirely focus on personality. It has different perspectives and interpretive tenden-
includes other personal tendencies and capacities, cies and thus reacts to the environment in unique
some of which are intellectual, temperamental, or ways. The same environment may positively
attitudinal, and others reflect habit, values, and influence some people but not others. It is another
self-concept. Some theories also include particu- example of why “potential” should be included in
lar defense mechanisms (e.g., sublimation). creativity theory. The environment may put some-
There are critics of the personality (or “person”) one in a position where creative action is likely, or
perspective on creativity. They point to the fact that even encouraged, but the actual impact is uncer-
the presence of most or even all of the traits listed tain. Interpretations significantly influence the
above does not guarantee creative behavior. Addi- result. Environmental press factors thus only
tionally, it appears that there are notable variations have potential impact.
among domains. Someone creative in the sciences A clear example of alpha press could be stimuli
may be dissimilar to someone who is creative in the that lead our sensory system to react automati-
arts, just to name one example. Individuals in dif- cally, such as a loud noise. When a loud noise
ferent domains seem to have different profiles, so stimulates the sensory system, people perceive the
there is no single profile of a creative person. sound as unappealing. Music, however, is a beta
998 Four Ps of Creativity and Recent Updates
press: There is room for interpretation and varia- process was outlined by Graham Wallas in his
tions among individuals as to what is comforting, book from1926, The Art of Thought. He described
exciting, and esthetically appealing. four stages: preparation, incubation, illumination,
There are probably more beta presses than and verification. In the preparation stage, individ-
alpha influences on creative behavior. In educa- uals define problems and gather information
tional settings, different students may require dif- which may contribute to solutions. Preparation
ferent things before they are comfortable being may involve observing, listening, asking, reading,
unconventional and creative. This is illustrated collecting, comparing, contrasting, and analyzing.
by one of the many resources that may be consid- More current research includes problem identifi-
ered when trying to construct an environment that cation and problem definition as part of prepara-
is clearly conducive to creativity, namely, time. tion. These are quite important for creative
Creative work often requires time. Time is an thinking. More than once creative breakthroughs
important resource. Time-limits can motivate have been attributed to problem finding more than
some students, while for others time-limits are problem solving.
distractions that inhibit the creative process. In a The second stage is incubation, which allows
corporate setting, budgets and resources of all individuals to step back from the problem and
sorts represent beta factors. Consider a company contemplate a wide range of solutions and perhaps
that relies on effective advertising to promote its consider alternatives and previous relevant expe-
products. When budgetary constraints are rience. In this stage, individuals are relaxed and
imposed, some organizations and members of take time away from the task. Very likely the
organizations may not be able to produce effec- incubation occurs when the conscious mind is
tive, attractive advertising. For others, “necessity directed off task. The length of optimal incubation
is the mother of invention,” and limited resources depends on each individual and each situation. It
can stimulate the innovative use of what resources could last minutes, days, and even several months.
are in fact available. That is of course consistent with the idea of beta
presses, or at least consistent with the view that
there are individual differences rather than an
Process Perspective absolute and universal process.
“Illumination,” the third stage, occurs at a
The paragraph above described how certain envi- moment of insight when an idea makes itself
ronmental factors may have an impact, especially known. Illumination is often equated with “the
after individuals interpret their significance. This Ah ha!” or “Eureka!” moment. It is characterized
is just one of the many ways whereby creative by a sudden realization. Importantly, it may just be
products – be they ideas, patents, inventions, that the realization is sudden, but the process
designs, or whatever – depend on a process. The leading up to it is, as Howard Gruber (1981) put
environmental factor is not perceived simulta- it in his case studies of famous scientific discov-
neously with the interpretation; the latter follows eries, protracted.
the former. Time elapses. Interpretation is a pro- The final stage is “verification.” During this
cess. This is a huge simplification because, in stage, new ideas or solutions can be carefully
actuality, there are probably a large number of evaluated and implemented and tested to insure
potential influences on the individual, and the that they work. This is quite important because
process is in fact quite complex. It is not just one creativity is more than originality. A creative solu-
press factor and one interpretation. No wonder tion must solve a problem. A creative idea must
creativity is often viewed as a syndrome or even indeed work. If an idea or tentative solution is not
a “complex.” effective, the individual can go back to the previ-
Many process theories of creativity delineate ous stages if they think that the ideas should be
the process and attempt to identify specific stages. prepared or incubated again. This return to earlier
The best known stage model of the creative stages is known as recursion.
Four Ps of Creativity and Recent Updates 999
Although dating back to 1926, Wallas’ stage employed for reliable judgments. But to apply
model is still cited more than any other. Newer findings from product research to the creative
models have been proposed, but most parallel that process or to the fulfillment of potential requires
of Wallas. There is a two-tiered model, for instance, inference. Investigating products is a bit like
which includes problem finding, ideation, and eval- enjoying a sporting competition by looking at
uation on the primary tier and knowledge the final score. You only learn something about
(procedural and declarative) and motivation the result and have no idea how it came about.
(intrinsic and extrinsic) on a secondary tier. Another Perhaps the clearest finding from studies of crea-
fairly new model was proposed by Michael Mum- tive products is that the quantity of productivity is
ford, in the Creativity Research Journal. It points to related to its quality. Yet this too may characterize
(a) problem finding, (b) information gathering, experts and eminent creators and not all creativity
(c) information organization, (d) conceptual combi- (see ▶ “Personal Creativity”). F
nation, (e) idea generation, (f) idea evaluation,
(g) implementation planning, and (h) solution mon-
itoring. The parallels with the creative process and Persuasion
Wallas’ (1926) model are no doubt quite clear.
Dean Keith Simonton, in an article from the 1995
Creativity Research Journal, suggested that the
Products original 4P framework is no longer adequate for
coverage of creativity studies and that a fifth cat-
Creative products are remarkably varied. Rhodes egory, which he called persuasion, would be a
felt that creative products were tangible forms useful addition. The central idea is that highly
which materialize from an idea. Immediate prod- creative people or products change the way that
ucts, such as ideas, can be distinguished from ulti- others think. They are in that sense persuasive.
mate products, like inventions, novels, and patents. There is some overlap with the product approach,
There are intermediate products as well, such as at least in the sense that products and perfor-
paintings, poems, designs, musical compositions, mances require socially recognition. The empha-
or some type of performance. These may be sis on persuasion is more of a social and
performed at a professional level, or they may be attributional perspective, however, for the empha-
more personal with no competition, social judg- sis is on social reactions to creative efforts rather
ment, or lasting impact. Note that some products than on the tangible product. It does apply best to
may be intangible, but they can still be counted as the highest level of creative activity, and espe-
products. Ideas, for example, are intangible, but cially the creative work of eminent individuals
there are methods for quantifying, measuring, and who are in a position to influence the way that
counting ideas (see ▶ “Ideas and Ideation”). others think. The persuasion perspective does not
The vast majority creative products examined apply well to the creative efforts of individuals
by research are socially recognized and influen- who are merely involved in self-expression rather
tial. Such investigations tell quite a bit about pro- than professional achievement. It clearly does not
fessional levels of creative talent. They indicate apply at all to creative potential, for that is latent
what kind of political and cultural milieu is con- and can exert no social influence until it is trans-
ducive to creative work and how productivity formed into creative activity.
varies through the lifespan, just to name two One way to view the efforts that could be
types of analyses. But investigations of profes- judged to be creative and thus are persuasive is
sional products say nothing about everyday with Csikszentmihalyi’s systems theory, which
creativity, intangible creative efforts (e.g., self- was also outlined in the Creativity Research Jour-
expression), and creative potentials. They have nal. It describes how an individual may draw from
the advantage of being highly objective: Products an existing field and produce something of note
can be counted and experts can be identified and that may attract the attention of gatekeepers
1000 Four Ps of Creativity and Recent Updates
working within that same domain (e.g., architec- sort (usually a product), while the others
ture, mathematics, the visual arts), who change (personality, process, press) assumed that creative
their ideas about what is useful and original. potential was valuable. With this in mind, the highest
After a time, if a critical mass of gatekeepers in a level of the hierarchical theory has two categories:
field uses the new idea or method, the entire field creative potential and creative performance. Figure 1
may absorb them, and they are no longer new and presents a summary of this hierarchical theory.
different but have become part of the knowledge Hierarchical theory acknowledges that the
base of the field. At that point, the ideas can things under creative potential do not guarantee
influence individuals who are new to the field – actual productivity. It is practical in that it allows a
and the cycle beings all over again. Clearly the discussion of the creative potentials of children,
first product of note, which got the cycle started, who are not productive and “persuasive,” as well
must be persuasive. Experts in the domain in as the creative achievements of eminent individ-
question must attribute value and originality to it. uals. It is a functional view because it is easy to see
how things representing creative potential might
develop such that actual performance is likely.
Hierarchical Theory of Creativity Again, the actual creative performances are not
always guaranteed. Then again, it could be that
An even newer and more dramatic restructuring of one of the attractions of the theory captured in
the original 4P topology was proposed by Runco Fig. 1 is that it points to things that can be encour-
(2007, 2008). It identified bridges and processes aged (i.e., certain traits, supportive environments,
among the 4Ps and acknowledges persuasion and divergent thinking) in order to insure that the
systems and attributional sorts of theories as well. It creative potentials of everyone – not just those
was a restructuring in that a hierarchy was formed already creatively productive – are fulfilled, and
and replaced the previous 4P structure (i.e., four creative accomplishment is highly probable. This
unrelated categories). The hierarchy was suggested would certainly be beneficial for society as a
by the fact that several of the perspectives (i.e., whole. There may be no greater benefit from
products, persuasion) had assumed that creativity creativity research than just that – the fulfillment
required a performance or manifestation of some of creative potentials.
Four Ps of Creativity and

Recent Updates,
Hierarchical Theor y of Creativit y
Fig. 1 Hierarchical theory Creative Potential Creative Performances
of creativity for “Four Ps of
Person Products
Creativity and Recent
Updates” Traits Immediate (ideas)
Attitudes Ultimate (Publications, Patents, Inventions)
Motives Persuasion
Process Attributions by Judges
Problem Solving Historical Reputation
Problem Finding Systems (Individual, Field, Domain)
Incubation
Place and Presses

Zeitgeist
Culture
School Settings
Organizational Settings
Freedom and Constraints in Creativity 1001
Conclusions and Future Directions References
Interesting new research is being conducted with Csikszentmihalyi M. The domain of creativity. In: Runco
MA, Albert RS, editors. Theories of creativity.
all kinds of products of and influences on the
Newbury Park: Sage; 1990.
creative process. There are studies of websites, Gruber HE. On the relation between ‘aha’ experiences and
for example, and even studies of culinary pre- the construction of ideas. Hist Sci. 1981;19:41–59.
sentations. Personality research is also going Rhodes M. An analysis of creativity. Phi Delta Kappan.
1961;42:305–10.
strong, with a particular interest in self-efficacy
Runco MA. A hierarchical framework for the study of
as related to creativity. Related research is exam- creativity. New Horiz Educ. 2007;55(3):1–9.
ining the role of values in the formation of the Runco MA. Creativity and education. New Horiz
personality that is likely to invest in creative Educ. 2008;56(1):107–15.
Simonton DK. Exceptional personal influence: an integra-
behaviors. Future research should examine the
tive paradigm. Creat Res J. 1995;8:371–6. F
hierarchical framework and especially its predic- Wallas G. The art of thought. New York: Harcourt Brace;
tions about a separation of potential from perfor- 1926.
mance. It would be enormously useful to be able
to identify the kind of potential that is the most
likely to eventually turn into actual creative per-
formance. A related direction for research would Fractal
be to find out what it takes to make the fulfillment
of potential the most likely. Surely educators, ▶ Polynomiography and Innovation
parents, and managers would appreciate know-
ing how to fulfill potential! Even though this goal
of bridging the factors under the potential col-
umn of Fig. 1 with the manifestations under the Fractal Pages
performance column is predicated on the hierar-
chical view, this is not to say that the original 4P ▶ Multiple Models of Creativity
framework is entirely outdated. Indeed, future
research might use modern brain imaging meth-
odologies in order to investigate the creative
process. This has been the most difficult area to Frame of Reference
study because the process is a moving target, and
a subjective one at that, but brain imaging might ▶ Creativity in Puzzles, Inventions, and Designs:
capture the workings of the creative process The Sudden Mental Insight Phenomenon
without stopping the flow. Clearly there is much
yet to be done in studies of what is among the
most important of human capacities, namely,
creativity. Freedom and Constraints in
Creativity
John Haworth
Manchester Metropolitan University, Manchester,
Cross-References UK
▶ Creativity, Experiential Theories This entry draws on practice-led research by the
▶ Four Ps in Organizational Creativity author into creativity and embodied mind in dig-
▶ Nature of Creativity ital fine art (Haworth 2010) www.creativity-
▶ Product Innovation, Process Innovation embdiedmind.com. Freedom and constraints are
1002 Freedom and Constraints in Creativity
central to the creative process in fine art. This is claimed “that modes of thought correspond to
particularly the case where the making of fine art technical methods, and that to use Goethe’s phrase
utilizes digital media. Large numbers of images ‘what is inside is also outside’” (“Sense and Non-
can be taken with the digital camera, and the sense” 1964c, p. 59). As Merleau-Ponty indicates,
mobile phone camera readily facilitates recording we do not see the world but see with the world. In
the visual in everyday life. With digital tablets and artistic terms, different media with which we
artists’ software, images can be manipulated in interact have different voices which play a part
situ, if desired. Access to laptop and personal in the creation of enriched being, perception, and
computers makes possible extensive rapid manip- consciousness.
ulation and exploration of the visual. This can be Research conversations undertaken by Haw-
combined with additional visual material and text orth (1997) using the perspectives of Merleau-
scanned into the computer. Outputs from digital Ponty were held with internationally famous
media can be presented in a wide range of formats, artists in order to gain further insights into the
including video installations, CD-ROMs and creative process. The artists included the print-
e-books, large format and small-scale photos, maker Michael Rothenstein, who can be consid-
and prints, on a wide range of materials, which ered a paradigmatic case for Merleau-Ponty’s
can also be combined with additional drawing, theory of art. They also included the conceptual
painting, and collaged material. 2D and 3D struc- artist Sol LeWitt, whose statements emphasizing
tures can be produced without the intervention of the importance of “the idea” would at first sight
the hand by rapid processing technologies. This appear to contradict this theory. An investigation
extensive freedom results in a wide choice in the of the working process of Sol LeWitt, however,
creative process and the necessity for selection, shows support for Merleau-Ponty’s theory, while
which is significantly influenced by constraints also pointing to the importance of capitalizing on
based on personal, cultural, systemic, and social randomness. These and other “research conversa-
factors. tions” undertaken by the author into the creative
A significant factor in the interaction of free- process in fine art support the view of cognition as
dom and constraints in the production of art work embodied action and emphasize the importance of
is the nature of the creative process. Scattered both pre-reflexive and reflexive thought in guid-
throughout the writings of Merleau-Ponty is an ing action. They show a search for viable alterna-
Embodiment Theory of Art, which he uses to tives, rather than a search for the ideal, and an
support his embodiment theory of perception intimate reciprocal influence between the person
(Haworth 1990, 1997). This views the artwork and the artwork in the various ways of probing the
as “enriched being” in its own right, as distinct environment.
from an analog for an external truth or essence, as Johnson-Laird (1988) argues that freedom of
traditional aesthetic theory claims. It proposes that choice occurs par excellence in acts of creation,
this enriched being is not produced primarily by but that the set of choices is constrained, and that
intentional acts, the traditional view, but by the the paradox of creativity leads to the view that
reciprocal influence of consciousness, body, tech- there are many criteria on which the creator must
niques, and materials. It “gives visible existence rely and that by no means all of them are available
to what profane vision believes to be invisible” to overt inspection. Some of these are common to
(Merleau-Ponty, “Eye and Mind” 1964a, p. 166). many practitioners and constitute the genre or
Merleau-Ponty (1964a) drew on the writings of paradigm. Other criteria are unique to individuals
modern artists and concluded that the painter’s and constitute an individual style of thought
vision is not a view on the outside but a concen- within the more general framework. Merleau-
tration or coming to itself of the visible (p. 181). Ponty (1964b) in his writings on the embodied
He considered that works of art contain matrices nature of creativity and consciousness emphasizes
of ideas that have their origins in embodiment that an artist’s style is not something developed
(Merleau-Ponty 1964b in Signs, p. 77). He also consciously in order to depict the world but is an
“exigency that has issued from perception” p. 49. cases commences with a photograph. The digital
It is a personal system of equivalencies that the print medium, with its fine surface quality and
artists make for themselves for the work, which potential to incorporate and transmute imagery,
manifests the world as they see it: “it is the uni- is particularly attractive as a conduit for the idea
versal index of the ‘coherent deformation’ by of the vibrant transience of reality. This is
which he (the artist) concentrates the still scattered explored while probing the pixels and listening
meanings of his perception and makes it exist to the voices emanating from the medium. The
expressively” (Merleau-Ponty 1964b). resulting work shows the important interaction
with technology in the way we see and portray
the world. The prints also show an important
Practice-Led Research influence of geographical place, culture, and
events. The work has been exhibited internation- F
A project by the author combining research and ally. Examples of the prints can be seen in the
practice investigated “creativity and embodied gallery at www.creativity-embodiedmind.com
mind in digital fine art.” and www.absolutearts.com and on CD-ROMs
The project was funded under the Innovation deposited at the British Lending Library.
Awards Scheme of the Arts and Humanities During the making of the prints, a log is kept of
Research Board in the UK. It commenced in both the technical and thought processes
January 2002 and lasted for 1 year (Haworth involved. Notes are made on the interaction with
2010). The first person method of investigation the medium, and on the development of the work
used in the project was concerned with the prac- and emergent meanings, and reflections on the
tice of digital fine art printmaking, which at some creative process. An account follows in relation
stage in the working process involves the com- to one of the prints (Fig. 1), as an example of the
puter using Photoshop software, and in many documentation undertaken, and an illustration of
Freedom and
Constraints in Creativity,
Fig. 1 “Fragmenting
Square”: (90 90 cm on
canvas and on paper)
freedom and constraint in the creative process. of paper, making marks with broad pallette
A further print (Fig. 2) shows the potential of a knives. Other imagery was from the light of the
personal body of art work for enhancing freedom sun setting on water on a harbor front, the surface
of thought, stimulating innovative connections, of which was whipped by the wind. Some of the
and embryonic themes, though it is also recog- colors and lines came from front page pictures of
nized that routine themes can perhaps constrain the September tragedy. A previous edge print was
creativity. Another print (Fig. 3) shows the value about the contrasting sharp glow of life in the
of an interdisciplinary approach to creativity. Arizona desert. The fragmenting square was in
This entry then addresses the interaction part about the breakup of this. When the four
between freedom and personal, cultural, systemic, prints were put together and printed, the image
and social constraints noted in the introductory looked uninspired compared with each of the
paragraph. individual images. The combined image was
This print was made shortly after the tragedy of altered using the auto-levels and equalize functions,
September 11th in the USA. However, it drew on and the Gaussian blur filter which helped to com-
elements which had been worked on before that bine and change some of the shapes, while at the
date and imagery that emerged afterward. It is same time integrating them. The contrast function
composed of four prints done separately but with was then used to reduce most of the blur, which
an overarching concern about the vibrant tran- seemed excessive in this print. Various areas of the
sience of reality. The prints were fading edge, print were then selected and colors changed. As is
fragmenting edge, broken edge, and fallen square. well known, the square has been an important ele-
Some of the material and imagery in these prints ment in the work of modernist artists searching for
came from scanned textures and colors made pure form and beauty and absolute truth and mean-
using turpentine on printing inks on large pieces ing. The postmodern age questioned the viability of
Freedom and
Constraints in Creativity,
Fig. 2 New Square 90
90 cm on canvas and on
paper
exhibition at the Tate Modern and the occupation

at St Paul’s Cathedral in London. Photographs
were taken of the occupation, which was pro-
testing about inequality and the unfair way aus-
terity was being implemented. The occupation
was by people from different backgrounds com-
ing together to discuss change. There were no set
leaders, more a heterogeneous group. It followed
similar occupations in different countries, includ-
ing Tahrir Square. Another influence was a visit to
Tenerife and an appreciation of the black volcanic
lava which can help to sustain growth in the arid F
country and which is often formed in a circle with,
sometimes, an outer band of lighter colored rock,
the formation supporting a plant. Drawings of
this and the circle at Tahrir Square were made,
as well as shots taken of protests at the square
shown on the TV. Fragmenting square hangs in
the studio. Work on New Square was layered
onto the digital image of fragmenting square,
with different possibilities explored. Further
explorations will be undertaken, in what could
be an emerging theme. Interestingly, photos of
the circular Large Hadron Collider are in today’s
papers 13 12 11 with news imminent of the
Higgs boson and the implications for the origins
of the cosmos.
“A day in the life of—————” shown in
Fig. 3 is part of a project on “The Way We are
Now” combining the author’s practice-led
research into digital art with his research into
well-being, funded by the Economic and Social
Research Council in the UK www.wellbeing-esrc.
com, Haworth (2011). This interdisciplinary work
is an example of recent developments in art-
science research in the UK, where artists and
scientists combine to bring scientific insights to a
wider audience, using the medium of art. “The
Way We are Now” is a digital art work first pre-
Freedom and Constraints in Creativity, Fig. 3 “A day sented at the 5th IMPACT International Print
in the life of———” 60 163 cm on paper suspended Making Conference in Tallinn, Estonia, October
from wooden poles
2007. The conference had a concern with investi-
gating slices of time and the production of
this. September 11 saw further crumbling of the political-poetic statements. The project used the
certainties. But perhaps the print contains delicate mobile phone/camera to take a picture of what one
potentials for growth and relationships. was doing and answer several questions on sub-
The print shown in Fig. 2 was made after jective well-being in response to a signal pre-
visiting the Gerhard Richter retrospective programmed on a random basis in the mobile
phone, eight times a day for 7 days. Additional involves a deep knowledge of the art world. The
photos of events in the newspaper each day were artist is situated in a tradition of art, which influences
also taken. The images for the 7 days were produced perception. It influences the way we see things and
on a large format print on canvas. A paper on “The the possibilities we have for expression. Any art-
Way We are Now,” including the image, can be work is influenced by a conscious awareness of
downloaded from the websites at www.haworthjt. tradition, even if it is fighting against that tradition.
com. Prints could be produced for each of the four These potentialities are both informed and appraised
seasons. “A day in the life of———” is 1 day from by communities of practice. Thus, both “actor cen-
a 7-day print. An innovation is that the answers to tered” and “veridical” decision-making are
the questions on subjective well-being are color intertwined in the process of selection.
coded and shown alongside each image. “A day in As part of a further Arts and Humanities
the life of ——” with instructions on how to under- Research Board award for practice-led research,
take the project, and the color codings, was shown in a workshop was held on “Freedom and Constraint
a gallery of art works specially curated to accom- in the Creative Process in Digital Fine Art,” Haw-
pany an international conference on “Towards a orth et al. (2005) (see also workshop 2 at www.
Science of Consciousness” in Hong Kong 2009. creativity-embodiedmind.com and Haworth
The project could be undertaken by different size (2006)). The workshop was attended by interna-
groups, locally (Kellock et al. 2011), regionally, tionally known British artists and academics from
nationally, and globally, and made available on a different disciplines. Papers presented at the
dedicated website, and shown in exhibitions, to workshop showed that:
produce a social mirror of consciousness. Some
work along these lines is now being undertaken by • Computer-aided art manifests a diversity of
other researchers and by the BBC. practice, in which the fusion of thought and
The practice-based research making many dig- action is critical to the creative process.
ital art prints shows that the process of exploration • Technology influences perception and think-
with the computer generates and reveals possibili- ing, while at the same time concepts, ideas,
ties and visual experiences, as well as speaking to and feelings influence the use of technology.
initial expectations. The process of exploration • In the use of technology in the process of
becomes a vehicle for seeing which is influenced making art, many unexpected effects can
by the technology. Visual explorations undertaken occur. These can be critical to the creative
with the computer can influence what one “sees” in process, enhancing freedom of choice. In
the world, what comes into focus, and what turn, however, choice can be tyrannical, if it
demands attention, influencing what is recorded is not embedded in constraints, which may
experientially, mentally, and digitally. In turn, this originate from the individual, group, and
influences further explorations with the computer. society.
Artistic vision is constantly reshaping itself in • Advanced technology is leading to the emer-
interaction with the world, including technology, gence of a tacit digital creative practice and a
geographical place, culture, and events. As cogni- nurturing environment.
tion and emotion are intertwined, feelings influ- • Dynamic interactive techniques enable the
ence seeing, as well as the reverse. Expression is viewer to have an active role in creating or
also influenced by the tools and techniques that are changing the art object.
available, and with the interaction with materials,
with different potentialities and “voices” emerging. In line with new conceptions of what it is to be
As variations on images can be produced a human being in the world, and how we come to
extremely rapidly in digital art, selection is neces- understand things and act in innovatory and crea-
sary. This can involve a “feel” for the image, against tive ways, the workshop emphasized that creative
an overarching concern, which itself may have taken thought can be largely unconscious. Also, that
years to emerge and be still unfolding. It generally creativity involves the interaction of thought,
body, techniques, and materials. The importance and innovation requires cognizance of all these
of bringing tacit knowledge into visibility was factors and a consideration of who innovation
recognized. is for.
In a systemic view of creativity,
Csikszentmihalyi (1988) argues that creativity is
the product of three main shaping forces: a set of
Cross-References
social institutions, or field, that selects from the
variations produced by individuals; a cultural
domain that will preserve and transmit the selected
▶ Creative Behavior
new ideas or forms to the following generation; and
▶ Creative Brain
the individual who brings about some change in the
domain which the field will consider to be creative. F
Abuhamdeh and Csikszentmihalyi (2002) consider
▶ Creative Styles
that the field has a perpetual need for novelty and
▶ Creativity and Emotion
that as a result the field’s aesthetic preference is
▶ Imagery and Creativity
guaranteed to change constantly. The field includes
▶ Imagination
all the individuals who act as gatekeepers to the
domain, including art critics, art historians, art
Creativity
dealers, art collectors, and artists. Arguably, digital
art and its practitioners are expanding the range of
▶ Multiple Models of Creativity
ideas and forms considered acceptable by the field,
while at the same time broadening and democra-
tizing the field (see Paul 2004). It can also be added
that social factors, including government policies
▶ Role of Intuition in Creativity
and funding, also have a significant influence on
▶ Social Psychology of Creativity
both the field and the freedoms and constraints
influencing creativity, such as education, training,
and access to resources.
References
Of course, the field is not a unified whole. There
are separate overlapping divisions. In the Man- Abuhamdeh S, Csikszentmihalyi M. The artistic personal-
chester Buy Art Fare in 2011, one floor containing ity: a systems perspective. In: Sternberg RJ, Grigorenco
many galleries from around the country showed EL, Singer JL, editors. Creativity: from potential to
primarily works of art done by the hand, including realization. Washington, DC: American Psychological
Association; 2002. p. 31–42.
paintings, drawings, and some non-digital prints. Csikszentmihalyi M. Society, culture and person: a sys-
On the floor above, the Manchester Contemporary tems view of creativity. In: Sternberg RJ, editor. The
hosted more conceptual and digital art. An artist nature of creativity: contemporary psychological per-
has the freedom to chose fields or, as is increasingly spectives. Cambridge: Cambridge University Press;
1988. p. 325–39.
being done, combine traditions. But there are con- Haworth JT. The embodiment theory of pre-reflexive
straints of what feels right, of what sells, and of thought and creativity. In: Gilhooly KJ, Keane MTG,
who art is for. Logie RH, Erdos G, editors. Lines of thinking, vol.
2. Chichester: Wiley; 1990.
Haworth JT. Beyond reason: pre-reflexive thought and
creativity in art. Leonardo. 1997;30(2):137–45.
Conclusion and Future Directions Haworth JT. Creativity, technology and embodied mind:
proceedings of a workshop on freedom and constraint
In conclusion, it can be seen that there is a com- in the creative process in digital fine art. Manchester:
Manchester Metropolitan University. British Lending
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in creativity, involving personal, technological, Haworth JT. Explorations in creativity, technology and
and social factors. The enhancement of invention embodied mind. In: Freire T, editor. Understanding
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positive life: research and practice on positive psychol-

ogy. Lisboa: Escolar Editora; 2010. p. 429–44. From Personal to Impersonal
Haworth JT. Creativity, embodied mind and well-being:
innovative practice led research in digital fine art. Man- Exchange in Ideas
chester: Manchester Metropolitan University. British
Lending Library; 2011. CD Rom, ISBN 978-1- Eskil Ullberg
900139-33-5, ISSN 1750 1571. Interdisciplinary Center for Economic Science,
Haworth JT, Gollifer S, Faure-Walker J, Coldwell P,
Kemp T, Pengelly J. Freedom and constraint in the GeorgeMason University, Fairfax County, VA,
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workshop. Creativity & cognition 2005. In: Conference
proceedings, Goldsmiths University, London; 2005.
p. 310–17. New York: The Association for Computing
Machinery, ISBN 59593-025-6. Synonyms
Johnson-Laird PN. Freedom and constraint in creativity.
In: Sternberg RJ, editor. The nature of creativity: con- Development economics; Economic develop-
temporary psychological perspectives. Cambridge: ment; North-south economic integration; Patent
Cambridge University Press; 1988. p. 202–19.
Kellock A, Lawthom R, Sixsmith J, Duggan K, exchange; Patent markets
Mountian I, Haworth J, Kagan C, Brown DP, Griffiths
JE, Hawkins J, Worley C, Purcell C, Siddiquee
A. Using technology and the experience sampling Introduction
method to understand real life. In: Hesse-Biber S, edi-
tor. Emergent technologies and social research. Oxford:
Oxford University Press; 2011. p. 542–62. Technology – human ideas on using the laws of
Merleau-Ponty M. Eye and mind. In: Eddie JM, editor. The nature – has always been at the heart of economic
primacy of perception. Evanston: North Western Uni- development. With the patent system, first intro-
versity Press; 1964a.
Merleau-Ponty M. Indirect language and the voices of duced in Venice in 1474, technical ideas became
silence. In: Wild J, editor. Signs. Evanston: North West- tradable in their own rights. Such exchange prom-
ern University Press; 1964b. ises gains in impersonal markets based on the
Merleau-Ponty M. Sense and nonsense. Evanston: North patents, changing the economic organization and
Western University Press; 1964c.
Paul C. Digital art. London: Thames and Hudson; 2004. structure, and shifting the risk bearing and risk
sharing between specialized firms for invention,
Websites intermediary trading/investment, innovation, and
www.absolutearts.com customers, resulting in a potentially more efficient
www.creativity-embodiedmind.com sharing of risk and thus potentially a more
www.haworthjt.com performing economic system.
www.wellbeing-esrc.com
The topic discussed here are mechanisms and
contracts for coordination between hierarchies,
rather than within hierarchies, based on the patent
system as an exchange system. Government sub-
Friends and Family Funding sidies and secrecy are replaced by markets (using
excluding and transferrable rights for economic
gains through private investments) and openness
(publication of the ideas for social gains) as eco-
nomic policy, by the use of the patent system,
providing private and tradable property rights on
From “We Are All Leaders” to the ideas themselves. The performance and
“Followers Count” to behavioral characteristics of such market designs
“Leaderless Movements” for patents with prices are elaborated upon with
reference to experimental economics studies.
▶ Topsy-Turvy: Innovation of Political Technically licensing contracts on patents or pat-
Leadership ent bundles may be the “items” traded, not only
From Personal to Impersonal Exchange in Ideas 1009
the patents themselves (transfers). The entry out- here: technology value (personal exchange), pat-
lines the general economic proposition and dis- ent value (impersonal exchange), and consumer
cusses such exchange markets, based on value (product and service exchange).
principles and practices of the patent system and Patents are tradable private property rights on
individuals, firms, and nations exchanging tech- technical ideas. Patents are granted by the state
nology based on the patent system. and give the holder excluding, transferrable, and
The first section deals with the economic history licensable rights for technical ideas in exchange
of the patent system (productivity). The economic for disclosure of these ideas through publication.
principles (exchange) that it was built on and its Recently in the USA, nontechnical ideas related to
impact on economic structure (specialization) then business processes have also been granted pat-
follow. Finally, emergent and experimental imper- ents. Other intellectual property rights have simi-
sonal exchange mechanisms (mechanism design lar properties for other ideas, such as copyrights, F
for coordination) are discussed. trademarks, etc. There are currently seven intel-
lectual property rights granted under the World
Trade Organization (WTO) agreement on Trade-
The Patent System as a Trade System Related Aspects of Intellectual Property Rights
(the TRIPS agreement): Copyright and related
Technology has always been at the heart of eco- rights, Trademarks, Geographical Indications,
nomic development. This knowledge has been Industrial designs, Patents, Layout designs of
kept private by a variety of means throughout integrated circuits, Protection of undisclosed
history, but through the patent system, technol- information. (In addition, provisions for national
ogy has become tradable in its own right. An control of anticompetitive practices in contractual
excluding and tradable asset – a private property licenses are granted, to stop practices that may
right on an idea to solve a technical problem – is have adverse effect on trade and impede transfer
created that opens for a market in technical ideas, and dissemination of technology.)
a process that has been going on for more than However, the standard literature on the eco-
half a millennium. nomic analysis of patents has mostly been based
The theme here is the transition of trade in on the products and expressed in terms of diver-
technical knowledge and ideas from a personal gence between social and private gains (Arrow
exchange of know-how, trade secrets, etc. to an 1962; Plant 1934; Nordhaus 1969, 1972) or
impersonal exchange of patents in organized mar- increased return from international trade in prod-
kets with transparent prices. This is thus a political ucts (Krugman 1990; Schumpeter 1934). In the
economic problem. The transition has today standard analysis, patent rights on technology are
reached a stage in which patents have become mostly treated as product monopolies. However,
similar to physical assets with respect to validity, there are a lot of different technologies, public
tradability, and geographic presence. This transi- and private as well as hundreds or thousands of
tion has an increasing impact on general economic patents from tens to hundreds of inventors/owner
activity, given the key importance technology has that go into a single product or service today.
for economic development. The more tradable This takes the discussion of a product monopoly
intellectual property rights (like patents) create far from the core of the economic process at
the foundation for efficiency gains which are at hand: creating new technical solutions, and com-
the heart of economic activity. Similar gains from bining it with extant technology that typically
specialization to those of industrial products and come from different sources, creating a coordi-
services can be expected. The mechanism nation problem.
described is thus a producer market in patent- Such an analysis, based on monopoly pricing of
protected technical ideas used (or not used) in products (product value) – which is a process-less
new products and services in the consumer mar- static analysis based on monopoly theory assuming
ket. There are three values to be concerned with perfect information and has no institutions – may
1010 From Personal to Impersonal Exchange in Ideas
miss essential gains from a patent system coming The economic relevance of these arguments is
from the dynamic, and often highly competitive shown in two controlled laboratory experiments
exchange in technology, between specialized exploring the performance and behavioral proper-
agents trading the patent rights (technology ties of markets in patents (Ullberg 2011).
value), and may lead to results that exclude trade
aspects of technology altogether.
The results of exchange in ideas between The Economic History of the Patent
agents, on the other hand, may then result in: System: Productivity
1. The risks are shifted from the inventor toward Intellectual property and technology in particular
the innovator (and ultimately the consumer) have always been at the center of economic devel-
when competitive demand-side bidding is pre- opment. Technological progress is considered by
sent. Such shift results in a more competitive many sociologists, and economic historians and
technology market and thereby technology- technology historians, the single most important
based economic growth. factor that has raised the standard of living for
2. The dynamic market efficiency (as measured mankind (Leslie White, Gerhard Lenski, Alvin
by the use of technology by innovators) is Toffler, others). Such knowledge has been pro-
likely to increase when demand-side bidding tected for private use through a variety of means
is present due to the dynamic value of the of nondisclosure throughout history, such as
patent system. guilds, trade secrets in firms, vertical integration,
3. Coordination through price signals would explicit nondisclosure agreements, joint ventures,
guide the investments in new technology mergers and acquisitions, and classified military
areas. This view means that the demand for secrets. Guilds had private rules to pay for inven-
new technology, due to need for productivity tive activity within the community with royalties
increase, in turn creates demand for research on their use to keep the art private within that
(not the other way around). North (1981, “industry.” As firms became organized
p. 17) comments “one can view the expan- (hierarchy), they began remuneration of in-house
sion of basic knowledge as a derived demand inventors. But through the patent system, techni-
for technological advance.” The contention in cal has become tradable, impersonally and in its
this entry is that it is very difficult (“impossi- own right. The development of the patent system
ble”) to dynamically efficiently allocate has taken place over a period of more than
resources for invention and execute the alloca- 530 years, beginning in Venice in 1474.
tion of a patent right under real world conditions This step was thus preceded by the guilds
in a linear fashion without a market, thus trying system and other ways to keep knowledge private.
to explain the key role of the patent system in An even earlier step is claimed by Kaufer (1989,
this coordination process. There are simply too pp. 1–2) to be a change in view in society of
many combinations. The role of the patent sys- manual labor, during the early Middle Ages
tem thus plays an important role in coordinating (520 AD-), from “not deemed worthy of educated
the ideas of the world in a market. Krugman men” to “manual labor as cooperation with God in
(1985) contends that supply side investments in the task of creation.” Kaufer continues: “In the
technology (by governments) – thus a linear Middle Ages, the pace of technological change
approach – may simply lead to excess capacity accelerated dramatically. Italian cities like Flor-
and disappointment. The problem of compara- ence, Lucca, Milan and Venice became leaders in
tive advantage between nations when it comes artisan production. However, secrecy, often
to technology (knowledge) may therefore be enforced in the Italian city-states by draconian
solved through markets in ideas with demand- penalties, was used to protect technological
side competition, expressing their expected advantages and avoid the disclosure of important
values ultimately through prices. know-how. This propensity changed with the
emergence of a patent system.” The recognition of 1836 in the USA, examination was “invented”
the rights to intellectual work that was made in the and patents were granted with presumed validity
fifteenth century – 950 year after manual work and in 1982, also in the USA, the benefit of the
was considered worthy of educated men in doubt was given to the inventor, the agent taking
Europe – appears to have opened the way for a the risks. This last step turned patents into assets
policy on impersonal exchange in technical much like physical assets with respect to legal
knowledge. validity and tradability, starting what is now com-
These initial “industrial” patents can be seen as monly referred to as the “Pro-Patent era.”
issued to attract, i.e., import, technology for the When patents are granted by the patent office,
benefit of economic development of the city and they are only presumed valid. They can always be
later nation state. The value was in the challenged in courts and deemed valid (upheld) or
manufacturing of the inventions. This appears to invalid (invalidated). Until 1982, the burden of F
be a political economic motivation. Venice had proof was on the patent holder when a patent
lost trade (years before fall of Constantinople in was challenged, giving the benefit of the doubt
1453) and needed to renew economic develop- to society, but after 1982, the benefit of the doubt
ment. These patents spread north and in the UK was given to the inventor, making the patent a
were often sold or given to “the friends of the much more asset-like private right.
king” (Klee 1998) who traded them in exchange On the international scene, the Paris con-
for market access to the UK for often imported vention from 1883 opened for international
manufacturing technologies. In 1623, in the UK, protection of patents and processes under non-
the crown’s “industrial” monopolies were discriminatory terms (national treatment) and
abolished after government abuse (using sale of giving the inventor a 1-year priority to file inter-
monopolies to fund wars with France) and nationally (from date of invention/filing),
replaced by 14-year patents for product and pro- expanding the export of patented technology, ini-
cess inventions, limiting the scope of protection tially often accompanied by manufacturing (“for-
from manufacturing areas to a much narrower eign direct investments”), and in 1994 through the
product or process scope (de facto importing tech- TRIPS agreement by WTO, minimum standards
nology and exporting products). The parliament for patent protection were set for member coun-
now controlled the issue of patents, not the King. tries, including provisions for transfer and licens-
The UK transition to a patent system can be seen ing of patents, creating provisions for a global
as a battle of who should decide on what patents to exchange in technology.
be granted. The patents should also be given to the Regional and global harmonization attempts
“true and first inventor,” thus the originator of the are the Patent Cooperation Treaty (PCT), the
idea, not the “importer” of the idea. The concept international filing system run by the World Intel-
of “honoring the inventor” of 1474 now appears to lectual Property Organization (WIPO) in Geneva,
be expressed in more stringent terms. and the European Patent Convention (EPC), the
This step probably also introduced “blocking” European filing and granting system run by
as a strategy as competing technologies were European Patent Office and Organization (EPO).
developed. Another motivation across Europe The PCT has recently adopted provisions, making
was, according to some, to bring out technology it one step closer to a global patenting system by
from the guilds (who developed much of the tech- amending Chapter II. PCT was originally thought
nology in preindustrial Europe and much opposed of to be an “extension” of the Paris convention. In
the development of a patent system) and make the the end, all patents are still national or legal equiv-
technical knowledge more useful to society by alents to national patents.
making it more public (through disclosure) and There are increasingly calls for global harmo-
keeping its ownership private at the same time nization of the patent system. This may create a
(giving excluding rights to inventors). The UK “one size fits all” patent system, asking nations to
patent law is also the model of US patent law. In give up national sovereignty over patentability to
a world economic organization. It may be prefer- there have been calls for a global patent system
able from an institutional learning and economic (harmonization) from industry and WIPO and for
efficiency point of view to have, at least for now, patent reforms in many countries, including the
competing national/regional systems. Competi- USA. However, competing systems may foster
tion means that certain economic qualities may better economically viable patent systems over
develop better (such as exchange). This does not time than a standard set by administrators from
mean that the procedure has to be that different essentially the developed nations. The general
but that certain provisions are made for countries theme now seems to be adaptations for a more
with national competitive advantage in certain standardized way to deal with patents in a global
areas. This is in any way how the system has economy, a key issue being to keep the incentives
been used historically. One can compare it with to invent and trade technology with the develop-
the international monetary system in this aspect. ing nations, thus preserve property rights for a
The trend, however, is clearly toward harmoniza- competitive market in new technology expanded
tion, especially since the TRIPS agreement. Legal to North-South exchange.
harmonization was tried before 1883 but a system
of principles of national treatment and priority year
was put in place instead. At some point, a world The Economic Principles of the Patent
economic standard may be useful on patents. System: Social and Economic Exchange
A central theme in the development of the
patent system can be characterized as moving A Market Exchange
from a personal exchange (secrecy, guilds, joint The patent system includes both a social exchange
ventures, etc.) toward an impersonal exchange of mechanism, through its public disclosure of the
technical knowledge by means of developing more invented technical solution, and a market
asset-like and internationally valid patents. The risk exchange mechanism, by receiving an excluding
in such transactions is thereby reduced – through and transferrable right to use that idea for a
proper integration of information and rules in insti- limited time.
tutions with good governance – and incentives for With respect to market exchange, the patent
trade are created. Efficiency gains can be expected systems of today typically give the holders these
from such impersonal exchange. See Fig. 1. two rights: the right to exclude and to transfer or
This long history and acceptance in a majority license that right, creating the fundamentals for a
of nations makes the patent system one of the market in ideas. These rights are thus transferrable
more global economic systems today, and least for the holder and limiting action rights for others.
regulated from a trade perspective. Most recently, In statute law, Intellectual Property Rights, of
Personal Exchange Æ Intermediaries Æ Impersonal exchange
First patent Examination Paris Contract, market

system system and policy issues
(Venice) (US) (?)
WTO
Statute of Patents presumed

monopolies valid on grant
(UK) (US)
1474 1623 1832 1982 20..?

1883 1994
From Personal to Impersonal Exchange in Ideas, Fig. 1 From personal towards impersonal exchange in patents
which patents are one of today seven (in TRIPS), least developed economies who begin to put an
are construed as a “chose in action” which differ emphasis on education and property rights. The
from physical assets which are construed as a key issue then becomes market access for
“chose in possession.” However, Coase’s view research, manufacturing, and sale of products/ser-
that physical property rights are really a bundle vices. Patent active companies create portfolios of
of limiting action rights (“. . .a right to perform patents which they trade with other firms, for
certain (physical) actions.,” (Coase 1960), p. 44) example, in manufacturing countries for market
suggests that there may be some important simi- access in other countries through licensing, cross-
larities in the economic value between these two licensing, etc.
assets. Patents are in this aspect similar to other rights
The excluding right also gives the patent two and assets that create market access. Today, for all
strategic values: to exclusively use the technology practical purposes, a single product contains hun- F
in new, better products and services for a compet- dreds or thousands of patents, creating more of a
itive advantage when compared by the consumer competitive market for technology than anything
with alternatives not having these features or effi- close to a monopoly. For example, a car may
cient processes, or to block others from using the contain 20003000 patents from 200 to 300 differ-
competitive technology by “sitting on” the con- ent patent holders (Source: EPO). A smart-phone
tract and instead using existing technologies of the may contain 250,000 patent claims which may
firm. These values will be referred to as the invest- represent tens of thousands of patents from hun-
ment value and the blocking value. Here a dreds of patent holders. (Source: public news
dynamic is introduced that appears not to be cap- sources.) Such a fragmented patent landscape
tured in the neoclassical product monopoly (the also creates a complex combinatorial problem to
competitive selection, allocation, and exchange obtain access to a complete “technology portfo-
process of technical ideas appear not to be lio” that is practically useful in a product. The
included, at least not explicitly). latter problem is a market organization problem.
These rights are today used in very sophisti- The lack of exchange mechanisms for these
cated and strategic ways: to exclude others, to valuable and dispersed rights may also be a driv-
collaborate by cross-licensing portfolios of tech- ing factor to try to develop mechanisms for
nology, to collaborate in global standards, to exchange of quality patents. In the telecom busi-
license for money, etc. Thus introducing exchange ness, where interoperability is a key, international
in technology through intermediary of monetary standards are negotiated and when including pat-
and financial markets. This allows extending the ents (because patents are by definition state-of-
number of people and firms in the cooperation, the-art and therefore helpful in getting acceptance
thus potentially increasing the value from for the standards), patent holders must sign off
exchange in the ideas themselves. their rights under “Fair, Reasonable, And Non-
Since scientific and technical research is a Discriminatory” terms (RAND or FRAND).
global activity since some time, manufacturing is These kinds of problems are described, for exam-
almost global and product and service markets are ple, by Heller (2010) in Gridlock economy. An
becoming global, protection of new ideas is often answer may be combinatorial auction markets to
sought where there is competition in research, recombine “too narrow” rights in useful blocks.
manufacturing, or sale of products/services. The A characteristic of this development is therefore
system is used to protect the coordination of activ- the use of the patent system for strategically using
ities performed in different nations, making use of or blocking competitive market access.
national competitive advantages. This means that
not only the main developed economies are criti- A Social Exchange
cal for protection (“the West”), but also the devel- The patent holder still has to pay for the right like
oping economies where much manufacturing and in the early days. Firstly, inventors “pay” by dis-
also increasingly research is done and soon the closing the invention at a level such that a “man
skilled in the art can reduce it to practice” However, research indicates that about 50% of
(Typical patent system criteria for disclosure of ideas are protected by trade secrets (keeping the
inventions). This informs everybody else about ideas private) and roughly 30–35% are patented,
where the company is going with their products making trade secrets still the most common way to
(it takes time between invention and production). protect ideas (EU Project research report).
This “social contract” is a key incentive to further Secondly, there is a fee to the patent office (the
research by “teaching the world” about the state), typically starting low and growing expo-
inventions. A more subtle side of this is that by nentially, allowing the inventor to pay if the
seeking patent protection you are also disclosing invention is successful or drop it before any
what problems you are working on as a firm value has been realized.
which may reveal a future strategic positioning, In the USA, a fixed fee has been used but the
making the timing of patenting a rather difficult fee structure is under change to a system more like
issue. the European exponential fees. These have the
However, such information obtained through advantage that commercially viable patents are
disclosure data also informs competitors and often renewed and other patents dropped. This
research organizations where not to put their has resulted in an average economic life of
research money and therefore directs the research European patents of about 7 years (around
in other fields, an alternative to head-on technol- 2005), far from the 20 years of legal life. The
ogy competition. The social exchange thus has a exponential pricing means “subsidy” of short–
coordinating function for research as well, driven lived poor quality patents by longer-lived quality
by the economic potential of creating a compet- patents, an issue of interest for competition
itive privately held technology. Whether com- authorities.
mercially successful or not, it will be known in This fee was originally given by “the friends
due time. Others may then try other areas with of the king” to the king but now typically goes to
outcome observed. There is thus a possibility for the patent office (often ministry of justice or
one company to intentionally try a new field for commerce) or directly to the treasury, often gen-
the benefit of others – there may be something erating a revenue to the state. There is thus a
out there for everyone – hoping that others will financial incentive for the state to have quality
reciprocate later, competing and cooperating at patents, which are used for a long time. There is
the same time. (This is not to be confounded with also an incentive for the inventor to reduce time
a joint-venture type of research effort). This may to market (or the blocking right) not only for the
be seen as a social exchange among inventive limited time a patent is granted but also for the
companies made possible by the patent system. increasing renewal fees. The successful inventor
As mentioned in the previous section, making then still “gives back” some of the profits to the
private technology publicly known was also a state.
motivating factor behind the patent system. The scope of claims in one patent differs
Today, the publication system of the patent office between systems. In the USA, many claims are
(after the 18 months) allows for public informa- allowed for one invention, whereas in Japan, only
tion about patent applications, grants, and expired one claim is allowed per patent. This makes US
patents to be accessible by all. The patent products and EU patents broader and, if upheld, powerful,
are therefore publicized by the state. whereas Japanese patents are weaker. The distinc-
A possible R&D agenda for companies with tion is a result of an ongoing debate on the scope
respect to patents is therefore: (1) learning about of a patent. Broad patents may lead to more risk-
technology through disclosures and staying out of taking and investment in radically new ideas,
infringement claims; (2) using expired technology whereas narrow patents may lead to smaller
and getting new ideas; (3) developing new ideas “inventive step” in the patents. See, for example
into their own inventions; and (4) protecting and Nordhaus 1969 and others. A resent short study
using them for products or trade. by Crouch (2008) shows that the complexity of
the applications is increasing in initial claims and on the main land controlled by Venice (Kaufer
total claims measured by issued claims. 1989). Later on, the international system
These rights and obligations refer to the two (1883) allowed for export of patent-protected
parts of a patent: the disclosures (description of products, thus, import of technology for the
the invention) and the claims (list of granted receiving country, leading to economic develop-
excluding and transferrable rights). The patent ment through, among other things, foreign direct
system can therefore be considered an exchange investment. This appears to be the same mecha-
system between inventors (information) and the nism at play as in Venice but at a product and
state (money). This makes the patent system a process level.
complex policy issue and in a market analysis as
in this case, the patent system becomes an agent Litigation or Cooperation
(a legal environment). Negative effects of this kind of trade have also F
developed. Since 1982, the rights have become
The Economic Principle of Trade in more valuable as the burden of proof changed and
Technology infringements leading to litigation became costly.
The principles have thus remained more or less The average court settlement was around $m1–2
the same for the 530 years since its legal concep- in the 2000s.
tion, but the Crown is now replaced by parlia- This has led to the emergence of a “patent
ments, broad “industrial” privileges replaced by market” in litigation. In this market, the judges
narrower product and process inventions given to set the prices. In order to avoid litigation, licens-
individual inventors or assigned to firms (after ing agreements are increasingly made as out-of-
some compensation) and “unlimited” or variable court settlements under the threat of litigation
temporal rights, largely with a standardized time costs (and/or uncertainty outcomes). Such settle-
period of 20 years. ments may “crowd out” smaller inventors as court
An important characteristic of the historic nar- costs literally explode. This can be both a good
rative – briefly presented here – is that the devel- and a bad development. So-called patent trolls
opment of the patent system appears to have been amass patent portfolios secretly and then ask for
motivated by trade in technology. This motivation licensing fees. The good part is that users are more
is different from the motivation referred to in most careful with what technology is used, but the
economic textbooks of creating incentives for inventors must be able to defend their newly
inventions in a closed economic environment acquired rights.
(Plant, Arrow, Nordhaus, et al.) without including The rights have thus become tradable and the
national comparative advantages (as Richardo, licensing has allowed gains from specialization to
Hecksher-Olin, et al.), economies of scale emerge. One example is the university and (small)
(as Krugman et al.), or other motivational factors business patent collaboration (the Bayh-Dole act
of trade. According to Plant, the patent system as in the USA). Other examples are technologies
such lacks theoretical economic principle (Plant such as IT and biotech where technology is often
1934, p. 51), simply creating scarcity, but looking developed by smaller companies or specialized
at the system as an exchange (trade) system intro- research centers and development by patent port-
duces the economic principle of trade and special- folio holding “marketing” companies.
ization as a motivational ground for the patent A broadening of patentable subject matter to non-
system. technology (business methods) has also been
In summary, the intention appears to origi- made, primarily in the USA. One motive has
nally have been to attract inventions made else- been to give protection for new nontechnologies
where and import them to Venice to further such as financial “technologies” and software.
economic development there. The first patents This is a very contentious issue and may well be
were related to water pumping, a German mining reversed back to technology, the original patent
technology imported to Venice for use in mines system idea.
The change in the presumption of validity value” of the patent system to be realized. Since
appears not to have been followed up by a legal the 1982 changes in the USA, when the legal
procedure to give incentives to negotiate but to validity and possibilities to litigate patents
litigate. increased drastically, patent licensing has liter-
ally exploded and today accounts for up to
$0.5trillion in the USA and $1trillion in IP trade
The Economic Structure and the Patent (including patents, copyrights, etc.), which is
System: Specialization about 1% of the USA’s total trade in products
and services. (See, for example, US census
Economic Organization and the Patent bureau on international trade and licenses and
System www.inventionstatistics.com on US patent
The development of the patent system as a trade licensing.) Similar developments can be seen in
system has given rise to specialized agents for other countries. The specialization enabled by
different economic activities related to using the patent system has gradually changed
technology, which is a dynamic economic the business model from the hierarchically inte-
change. The principle of personal exchange is grated firm as basis for economic organization
here at work: the economic organization toward a business model in which specialized
changes. After the 1836 patent reform in the agents coordinate their activities through a mar-
USA, the possibility of impersonal patent trade ket ultimately with prices. See Fig. 2.
led to a rise in specialized inventors and market Such trade and specialization in patents
trade in patents, facilitated by specialized patent described in the previous sections clearly give rea-
attorneys acting as intermediaries in this market son to believe that there are also essential gains
(Lamoreaux and Sokoloff 1999, 2001). How- from trade in technology made possible through
ever, after some time, the integrated hierarchical the patent systems. The development of the patent
model dominated. The reason why mergers and system to make patents more tradable like physical
acquisitions dominated as an innovation strategy assets is thus resulting in a reorganization of the
for the first 150 years is likely to be a problem of: economic activity at the core of the economy.
(1) transaction costs favoring M&A strategies; Assuming the historic importance of technol-
and (2) the way the patent system claims are ogy to economic development, any changes in
organized, i.e., how the rights are construed, gains from trade in patents with respect to this
affecting the success of the underlying principle “new” economic organization will therefore “mul-
of tradability. It seems the patent policy focus has tiply” into the whole economic system. Baumol
been on granting patents on technology and pos- (2002), Schumpeter (1934), and others contend
sibly less on the economic use of patents for that the greatness of the capitalist system lies in
trade. A shift to a “patent trade policy” may be its incentive to create inventions. Several attempts
economically efficient, facilitating the “trade in the last 10 years have been made to trade patents
Hierarchy Coordination in a Market with Prices
Integrated Organized
Inventor User
firm Exchange
Functions:
Manager,
Research,
Marketing,
Finance Trader
From Personal to Impersonal Exchange in Ideas, Fig. 2 Change in economic organization using a patent market
in more asset-like markets like patent auctions, but (or contributing to market failure), these will be
to date, no organized markets with transparent discussed first. In this case, a more subtle aspect is
prices similar to the impersonal trade of commod- also how the patent system itself is important, how
ities in commodity markets and shares in financial the rights are construed and granted, and how the
market have emerged. An important reason for this validity of patents is realized. One could say that the
market failure is that it appears to be difficult to find contract between the patent holder and the state is
ways (rules) to create efficient trading – it has to incomplete upon grant. See (Hart 1988) and others
reduce the risk in the interaction between firms. on incomplete contracts. The intermediaries’ role
At the heart of the development from hierarchy (traders) in creating the dynamics is also discussed
to coordination in markets can therefore be seen briefly.
the patent system’s ability, as an institution, to
reduce risk in the system in trading technical A Linear Contract F
knowledge and the dynamic efficiency of the To capture the dual values of the patent, the
mechanism designs for such markets. blocking value and the investment value,
I propose using a linear contract. (There is a rich
literature on linear contracts. Basically these con-
Impersonal Exchange Mechanisms for a tracts are contingency contracts on, for example,
Market in Patents with Prices: revenues.) There are two reasons for the choice of
Coordination linear contract. Firstly, the linear contract is a
common contract that is used in today’s personal
In the previous sections, it was shown how the exchange. It is difficult to get access to pricing
patent system gives economic incentives for a information on patent contracts but one source of
shift from personal to impersonal exchange in data on patent licensing contracts informs that
technology through the dual rights of exclusion 50% of contracts are linear, i.e., there is some fix
and transfer which leads to a new economic orga- component such as a lump sum payment com-
nization of specialized agents. The coordination in bined with a royalty component on revenues in
a hierarchy (firm) is (gradually) replaced by coor- unit or dollar sales (Royalty Patents Inc., in
dination through a market (institution) with prices. Washington DC). See Table 1. This suggests that
In this section, I propose to present key real in half of the cases, there is an incentive to give a
world considerations placed on a dynamic micro- fixed payment upfront and in others, not. There
economic system design. appears, however, always to be a royalty. They are
The focus on transparent prices and coordination only in 50% conditional on “signing” for the
makes the emphasis on factors important for increas- royalty part sometimes conditional (milestone). In
ing dynamic market efficiency. Since the contract other words, risk sharing is always present but risk
used to trade and the mechanism designs (rules) are transfer only in 50% of the cases and then some-
key factors in obtaining market efficiency times conditional (milestone). The typical transition
From Personal to Impersonal Exchange in Ideas, Table 1 Types of payments in patent agreements
Royalty only 50% Royalty only 29%

Royalty only 29% Lump-Sum
Tiered royalty rates 21% Tiered Royalty Rates
Minimum Payment
Milestone 21%
Fix payment and Royalty 50%
13%
Milestone Payment 12%
Lump sum payment 24%
Minimum Payment 13% 24% 12%
from personal to impersonal markets often follows, A Linear Contract Mechanisms

when it comes to the contract, the contract already Mechanisms to trade such a linear contract are in
used in the personal exchange. The NY stock mar- the beginning of development. Similar contracts
ket is an example here and commodities markets. appeared at the heart of “the marginal cost contro-
However, there is at some point an agreement, or versy” where Coase (1946) suggested that an
standardization, upon what kind of contracts that optimal system of prices may not be a single
can be traded. This agreement is an important factor price per unit but instead a multi-part system of
in creating efficiency and transparency. pricing. This approach goes hand in hand with the
observations and discussion regarding an optimal
The Linear Contract and Risk Sharing pricing system for technical ideas based on the
Typical linear contracts studied in the literature patent system. Mechanism design efforts may be
have followed similar functional characteristics useful to develop solutions for institutionalized
with input from fields other than patents. These trading with public prices.
contracts allow for a royalty to kick in at a certain
level (minimum volume), tiered (different royalty Leveraging the Human Capital Formation
rates given the usage/volume), flat fee, flat royalty, Through Markets in Patents
or a strict linear combination (minimum pay- In the last decades, 100s of millions of people have
ment). See Fig. 3. It is the simple linear contract been highly educated in the developing countries
that is chosen in this study to capture both a fix as well. Markets in patents thus provide an impor-
(minimum) and a (constant) royalty payment. tant way for them to leverage their human capital
With reference to Arrow (1962), a fix-price formation as well. However, most of these nations
market is used to transfer the risk and separate lack this mechanism in practice. The future devel-
derivate markets, one for each state of nature, are opment of mechanisms should therefore include
used to share the risks (Arrow-Debreu securities). the special issues related to developing countries
The linear contract combines, in one contract, as well as developed countries needs for a more
what the functioning of a fix-price transfer market efficient mechanism. See Ullberg (2018). These
and derivate markets for each and every state of include: general awareness of the patent system
nature do to achieve optimal allocation of risk as a trade system, negotiation and valuation skills,
sharing and risk bearing in the economic system. a culture of charging for technology developed by
In the proposed study, risk transfer and risk shar- public and private universities, and broadening the
ing are thus negotiated in the same contract, understanding of the management of patent licens-
reducing the number of markets needed to one. ing and transfers (and other intellectual property
rights) by businesses and policy makers.
Contract Conclusions and Future Directions

payment
The transition of exchange in technical ideas has
come far in the first 500 years and attained an
important role in coordinating firms, universities,
f + r ∗ revenues and inventors in their pursuit of technical solu-
tions for increased productivity. The impact of the
patent system is now approaching the doorstep – it
seems – of organized exchange in ideas.
Revenues from Advances in mechanism design (institutionalized
using licensed
technology
rules of trade) and contract design (standard con-
tracts) may be what are needed to make such
From Personal to Impersonal Exchange in Ideas, organized markets efficient enough as a system
Fig. 3 Different types of linear contracts of pricing for technical ideas.
Cross-References ▶ University Research and Innovation

▶ Academic Entrepreneur, Academic
Entrepreneurship
▶ Academic Entrepreneurship References
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Coase RH. The marginal cost controversy. London:
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ership Wrecks Markets, Stops Innovation, and Costs
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come from? 1998. pp. 135–139.
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Theory) NBER. 1999.
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Ullberg E. Trade in ideas – performance and behavioral
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1020 Future Innovations in Next Centuries
some hypotheses, addressing a few of the crucial

Future Innovations in Next phenomena. In the conclusion, finally, we raise
Centuries some more questions, which are also far more
far-reaching.
David F. J. Campbell1,2,3,4 and
Benjamin J. J. Bösch5,6
1
Department of Political Science, University of The Current Transformation of Industry
Vienna, Vienna, Austria 4.0
2
and Educational Technologies, Center for In the following hypotheses on the transformation
Educational Management and Higher Education of Industry 4.0, and how these may relate with an
Development, Danube University Krems, Krems, Industry 5.0 and a Democracy 5.0 that are arising
Austria on the horizon, we want to suggest for a further
3
Unit for Quality Enhancement (UQE), discussion:
Austria 1. Hypothesis #1 – The transformation of
4
Faculty for Interdisciplinary Studies (IFF), Industry 4.0 will destroy labor, and the
Department of Science Communication and transformation of Industry 4.0 will create
Higher Education Research (WIHO), Alpen- new labor, so finally there even may be
Adria-University Klagenfurt, Vienna, Austria more (new) labor: Historically, there always
5
Vienna University of Economics and Business have been major changes in the economic
(WU), Vienna, Austria structure, for example the transformation of
6
Boston College, Boston, MA, USA an agriculture-based economy to industry-
based and service-based economies. This was
accompanied mostly by (massive) changes in
Synonyms labor. In principle, this also is the current trans-
formation process of Industry 4.0 (Benedikt
Academic firm; Basic dimensions of democracy; and Osborne 2013). Contemporary specifics
Coevolution; Conceptualization of democracy; of course are the speed and rapidness of the
Democracy; Democracy 5.0; Democracy theory; transformation, its global stretch, and the ram-
Democratic innovation; Democratizing innova- ifications of (disruptive) artificial intelligence.
tion; Development; Epistemic governance; Indus- However, should labor and education be
try 4.0; Industry 5.0; Innovation of democracy; reorganized and innovated in progressive
Innovative democracy; Knowledge democracy; approaches, then the net gain of new labor
Model of quadruple Felix structures; Quadruple has the full potential of even to outpace the
helix; Quadruple helix innovation systems; Qua- losses of old labor. Competences of persons,
druple helix structure of democracy; Quadruple- people, and humans must be developed and
dimensional structure of democracy; Quality of developed further in a way so that they cannot
democracy; Sustainable development be replaced by automation effects (for exam-
ple, digitalization or computerization) or by
artificial intelligence (at least not in simple
Introduction ways). In a recent study (OECD 2019), the
OECD (Organization for Economic
How society, economy, and democracy are devel- Co-operation and Development) estimates
oping (and evolving), this is currently changing in that within the OECD world (the world of
the context of a transformation process, also being advanced economies), an average of 14% of
conceptualized (sometimes) as Industry 4.0 or the current jobs is at risk to be replaced by
Industry 5.0. In the following, we are providing automatization (and 32% of the jobs are likely
Future Innovations in Next Centuries 1021
to change in a considerable or even dramatic artificial intelligence (AI) and human intelli-
way). However, this risk or effect varies across gence overlap, and where AI performs better.
the different countries. Crucial are here, there- This has consequences for the organization of
fore, multi-facetted competences, where disci- labor, and this will have (and already has) the
plinary professional knowledge is being potential of destruction of certain types of
augmented and recombined with interdisci- human labor. However, the challenge is to
plinary and transdisciplinary (also crossdis- organize labor (and the economy, society, and
ciplinary) skills and competences. For this democracy) in a way, so that human intelli-
also the metaphors of T-competences and gence is using artificial intelligence for the
M-competences are being used. Within the pic- purpose of supporting (and carrying higher)
ture of the metaphor of T-competences and human intelligence and human labor. Because
M-competences, the T and M, the vertical there are areas for which artificial intelligence F
lines refer to disciplinary competences and is better prepared, but clearly there are also
the horizontal lines to interdisciplinary and areas, in which artificial intelligence is
transdisciplinary competences. Creativity performing weaker than human intelligence.
and creativity skills are crucial in driving inno- Artificial intelligence is better in (data) corre-
vation, which again is advancing the evolution lations, but weaker in reasoning and thinking
of knowledge society, knowledge economy, in the categories of causality. Artificial intelli-
and knowledge democracy (In’t Veld 2010). gence is better in syntax, but weaker in seman-
Arts and artistic research represent crucial tics and understanding (the understanding of
components in an advanced innovation system meaning). Artificial intelligence is better in
(Bast et al. 2015, 2018; Campbell 2013; data-based (old-data-based) predictions, but
Carayannis and Campbell 2014; Carayannis weaker in evaluation and assessment. Artificial
and Campbell 2015; Pantelić 2019). Interdis- intelligence may be (or may be not) better in
ciplinarity and transdisciplinarity are requiring offering answers (based on provided data and
furthermore trans-sectoral mobility and net- models), but is weaker in asking good and
working, sometimes with international and creative questions. Therefore, the idea is to
global connotations, ramifications, and speak more of a co-evolution of artificial intel-
follow-ups, to better address the Global Chal- ligence and of human intelligence, but where
lenges. Knowledge workers should have the the humans are in the position of control and
ability and opportunity of working (and to sovereign decision making. Artificial intelli-
work) simultaneously in different contexts. gence can provide (model-based) predictions;
Changes in labor also require changes in edu- however, the humans are the ones who are
cation (Bast et al. 2019; Campbell et al. 2018; making the decisions or who engage in “mak-
Reichle 2018; University of Applied Arts ing the decision-making.” For such forms of
Vienna and Bast 2018). In educational systems working-together of human intelligence and of
(higher education systems), there is a necessity artificial intelligence also, the metaphor of a
for more interdisciplinary and transdisciplinary “Centaur Intelligence” has been introduced
competences and skills, and educational sys- and used. In that sense (or thought further),
tems (also higher education institutions and artificial intelligence resembles something
universities) have to develop further, to support like an advanced or next-stage (next-
and offer life-long learning and continuing generation) IT (information technology).
education to their students (graduates) and to Cyber-society, cyber-economy, and cyber-
society in general. democracy require advancing IT and artificial
2. Hypothesis #2 – Artificial intelligence will intelligence, but they are more than an IT con-
not replace human intelligence, but artificial cept (only) and therefore transcend IT con-
intelligence will complement human intelli- cepts, because the challenge here is to
gence: There are areas (of performance), where organize society, labor, and education in ways
to create and progress knowledge society, democracies, in the sense that the authoritarian
knowledge economy, and knowledge democ- political systems actually are profiting tremen-
racy (Carayannis et al. 2018). We can specu- dously from the knowledge developments in
late, to which extent human civilization will the freer democracies and freer societies
extend into the solar system and perhaps (Campbell 2019, p. 339; Popper 1945; Böning
beyond the boundaries of our solar system and Ellrich 2019): “. . . finally, as a last note
into deep (and bright) galaxy, during the fur- and thought: perhaps the economic successes
ther course of the twenty-first and twenty- of non-democracies or autocracies
second centuries (and later on). This will (authoritarian and semi-authoritarian regimes)
require more fundamental technological pro- are being overestimated anyway, because
gress, with artificial intelligence representing autocracies are also benefitting from the
one of the crucial key components here. Indus- knowledge production and innovation systems
try 4.0 perhaps can provide one of the bases for of democracies and semi-democracies, so in
making such technological progress to happen, that sense autocracy is depending on democ-
but probably we will need a further Industry 5.0, racy and the knowledge and innovation of
without knowing (for now) what Industry 5.0 democracy in a global system” (Campbell
will mean in concrete terms, and what the dif- 2019, p. 339). In reference to the example
ferences are between an Industry 4.0 and 5.0 and metaphor of a society of free women and
(Schwab 2016). free men in ancient Greece (the democratic
3. Hypothesis #3 – Democracy and quality of polis in Athens, but were we also should add
democracy can act and will act as an inno- that in ancient Greek society there were not
vation enabler for Industry 4.0 (Industry only free people, but also slaves), we can spec-
5.0) and Democracy 5.0: There is this idea ulate, how in Industry 4.0 the artificial intelli-
that advanced knowledge manifests itself in a gence and other advanced technological means
diversity of knowledge modes and innovation could be used and utilized to carry out the
modes, and that this pluralism of knowledge (boring) standard work, whereas persons, peo-
also requires a political pluralism, which is a ple and humans are focusing then more on the
characteristic (“characteristicness”) and com- interesting work. This could be phrased and
ponent clearly of democracy. In metaphorical paraphrased as a type of Renaissance of
terms, this also was described and portrayed as (interesting) labor in the Age of Knowledge
a “democracy of knowledge” (Carayannis and and Innovation. However, should such a trans-
Campbell 2009, p. 208). For the full unfolding formation occur and take place, this still would
of knowledge and innovation and their not be the (simple) output of a (linearly)
momentum and momenta, the context of a planned economy, but would have to follow
democracy or the context of a knowledge the principles and logic of a market economy,
democracy are necessary (Campbell 2019). driven by innovation, entrepreneurs, and entre-
Democracy as innovation enabler, or the qual- preneurship. So what are then the new (and
ity of democracy as an innovation enabler, they old) forms of entrepreneurship and of creative
emphasize the connectedness and interconnec- innovation in Industry 4.0 (or Industry 5.0 in a
tedness of (a) knowledge development and of later phase), what can artificial-intelligence-
(b) democracy development and democracy based entrepreneurship possibly mean? Some
evolution (Campbell 2019). In the current of the ramifications for labor and education we
world, perhaps there is a race and competition already explored and discussed briefly
between democracies and autocracies (on options and possibilities for applying AI,
(Carayannis and Campbell 2014). But one fur- artificial intelligence, to organizations, see
ther assertion here is that we may be actually Burgess 2018). In the long run, there is evi-
overestimating the performance of autocracies dence that the evolution of a knowledge econ-
and underestimate the performance of omy apparently is linked to an evolution of
Future Innovations in Next Centuries 1023
knowledge democracy. In this regard, we can a life on earth. (d) A brain could be connected
say that Industry 4.0 requires a Democracy 4.0 through “interfaces” more directly with infor-
(for possible characteristics of a Democracy mation technology, computers, and Artificial
4.0, see Filzmaier 2018). But we can and Intelligence (perhaps in network arrange-
should move forward. What Industry 4.0 really ments). (d) In the world of science fiction liter-
needs is a Democracy 5.0. If there is Art and ature and science fiction movies, there are
Democracy, we also should think about the Art already speculative examples, how this all
of Democracy. may work (and work together).
3. Are there limits to life expectancy and to the
speed of travelling? It would not contradict a
Conclusion and Future Directions natural law, to change human genetics in a way,
so that humans would not die a death of age F
For a further stretching of our reflections, we raise anymore, because the biological body would
the following questions: keep its juvenility (“forever”). We do not
know, what the implications of this on society
1. Will humanity leave earth? Looking back on may are or may be. In the near future, there will
history and evolution, there are indications that be more the phenomena of an increase in life
humanity will intend to (also) leave earth, to expectancy (at least in terms of the scientific
expand into the solar system and (perhaps) also and technological capabilities). Different is the
beyond the solar system into the galaxy. Also situation concerning the speed of travelling. Is
the economy has a tendency of wanting to the Relativity Theory correct, then the speed of
expand, by this acting as a further driver for light defines an absolute maximum, and noth-
humanity, to expand beyond earth. In which ing can accelerate beyond this limit. So is
form this will be organized, this of course is “infinite life expectancy” trapped in the “bot-
still open, and will depend crucially on the tleneck of the speed of light”? For speculations
technological evolution and the technological on possible future developments, these two
capabilities. This expansion may also take the poles of possibilities almost contradict each
form, at least partially, that it will be techno- other. So what are their consequences on the
logical devices (machines, robots, computers, options of humanity for leaving earth? An ulti-
Artificial Intelligence) leaving earth. mate question of course would be, already
2. Can the human mind leave the human body? If (partially) crossing-over into science fiction,
our mind can “move” to other (technological) perhaps in the sense of: Even if the speed of
devices, this, of course, is for the moment light is the maximum speed for travelling
mainly a speculative question. What in princi- “through” space, could there also be ways of
ple would be possible is to move the mind and changing locations in space de-facto faster
the brain from its current body and to imple- than the speed of light?
ment the mind and brain into a new body, into 4. Is the average human mind fit for the further
new bodies, or even into proxies of a body development of our economic system? The idea
(machines, for example). This may be also a here is that for every job lost a new job is being
form how humans could leave earth and move created. Let us for a moment assume that said
into space (within our solar system or beyond). theory would be right. This assumes that for
Further options can be: (a) A brain could be every job that has been lost for example in a
further grown. (b) A brain perhaps could grow factory, a new job somewhere in the tech
into several brains, perhaps could grow back industry is being created. How do we move
into one brain. (c) A brain could be exposed to those who have lost their old job into these
stimuli, so (for example, when travelling newly created positions? The idea that every-
through space) there also a “virtual reality” body, who (for example) has worked a substan-
could be augmented, simulating (for periods) tial amount of their lives as a truck driver will,
even with substantial amounts of education in ▶ Quintuple Innovation Helix and Global
said field, become (for example) a software Warming: Challenges and Opportunities for
engineer, seems very optimistic. Even among Policy and Practice
the younger generations, there is a shortage of ▶ Systems Theory and Innovation
those who are willing or able to work in com- ▶ Transdisciplinary Research
puter sciences or other STEM fields. This may (Transdisciplinarity)
raise the question whether or not in the future, ▶ Triple Helix of University-Industry-Govern-
in order to keep our current economic system ment Relations
afloat, one will have to look deeper into the ▶ University Research and Innovation
Question #2 (see above). A more conventional
approach emphasizes here the principles and
qualities of continuing education for a life-long References
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The questions, raised here, define some of the
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Campbell GS. Speaking pictures: innovation in fine arts.
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▶ Innovation in Interdisciplinarity: Four Different Campbell DFJ, Uzunidis D (associate editors). Ency-
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▶ Innovations in Presidential Elections: The United enabler. Measuring democracy for success. New York:
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https://www.dieangewandte.at/digitale_transformationen
Social Ecology Carayannis EG, Campbell DFJ. “Mode 3” and “Quadruple
▶ Multilevel Systems of Innovation Helix”: toward a 21st century fractal innovation ecosys-
▶ National Innovation Systems (NIS) tem. Int J Technol Manag. 2009;46(3/4):201–34. http://
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&year¼2009&vol¼46&issue¼3/4 and http://www.
▶ Political Leadership and Innovation inderscience.com/search/index.php?action¼record&rec_
▶ Quality of Democracy and Innovation id¼23374&prevQuery¼&ps¼10&m¼or
Future of Innovation 1025

versus emerging autocracies: arts, democracy, and Future of Innovation
innovation in quadruple helix innovation systems.
J Innov Entrep. 2014;3:12. http://www.innovation-
entrepreneurship.com/content/pdf/s13731-014-0012-2. Karl-Heinz Leitner
pdf and http://www.innovation-entrepreneurship.com/ Center for Innovation Systems and Policy, AIT
content/3/1/12 Austrian Institute of Technology, Vienna, Austria
Carayannis EG, Campbell DFJ. Art and artistic research in
quadruple and quintuple helix innovation systems. In:
Center for Entrepreneurship and Applied
Bast G, Carayannis EG, Campbell DFJ, editors. Arts, Business Studies, University of Graz, Graz,
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Synonyms
tors. Handbook of cyber-development, cyber- F
democracy, and cyber-defense. New York: Springer; Innovation future; New forms of innovation; New
2018. https://www.springer.com/de/book/9783319090 innovation models; New patterns of innovation
689 and https://link.springer.com/referencework/10.
1007/978-3-319-06091-0
Filzmaier P. Demokratie 4.0: Die Neuschreibung der The way innovation is organized is changing. One
Politischen Theorie? In: University of Applied Arts hundred years ago, the Austrian economist
Vienna, Bast G, editors. Digitale Transformationen. Schumpeter (1911) saw the entrepreneur and the
Gesellschaft, Bildung und Arbeit im Umbruch. development lab as prime locus of innovation.
Vienna: Brandstätter Verlag; 2018. p. 52–77.
https://www.dieangewandte.at/digitale_transformati Today innovation is seen as something happening
onen anywhere at any time. New forms of organizing and
In’t Veld RJ, editor. Knowledge democracy. Consequences doing innovation such as open innovation
for science, politics, and media. Heidelberg: Springer; (Chesbrough 2003), user innovation (von Hippel
2010. http://www.springer.com/de/book/97836421138
02 and https://link.springer.com/book/10.1007%2F97 2005), Crowdsourcing (Howe 2006), or community
8-3-642-11381-9 innovation (Tuomi 2002) have raised much attention
OECD. The future of work. Paris: OECD; 2019. https:// in academia, business, and policy in the last decade.
www.oecd.org/employment/future-of-work/ The proponents of these models often highlight the
Pantelić I. Areas of innovation in arts: innovation and
where to look for it. In: Carayannis EG (editor-in-
need to adopt these approaches in order to increase
chief), Dubina IN, Peris-Ortiz M, Campbell DFJ, competitiveness in the global innovation race or to
Grigoroudis E (associate editors). Encyclopedia of cre- explore new inroads for tackling major societal chal-
ativity, invention, innovation and entrepreneurship. lenges. New paths and arrangement for developing
and adopting new products, services, and solutions
Popper KR. The open society and its enemies. London:
Routledge; 1945. are driven by new technologies, the willingness of
Reichle I. Teaching for the future. Anforderungen an eine customers and citizens to contribute to innovations
Hochschulbildung der Zukunft. In: University of and global economic competition and rising educa-
Applied Arts Vienna, Bast G, editors. Digitale Trans-
tional backgrounds. While individual new forms of
formationen. Gesellschaft, Bildung und Arbeit im
Umbruch. Vienna: Brandstätter Verlag; 2018. innovation have been discussed intensively in recent
p. 206–219. https://www.dieangewandte.at/digitale_ years, there is little systematic exploration about the
transformationen potential in different areas, the underlying mecha-
Schwab K. The fourth industrial revolution: what it means,
nisms, and the implications for economy and soci-
how to respond. Geneva: World Economic Forum/
WEF; 2016. https://www.weforum.org/agenda/2016/ ety in the long term.
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how-to-respond/ New Forms of Innovation: Selected
University of Applied Arts Vienna, Bast G, editors.
Digitale Transformationen. Gesellschaft, Bildung
Important Examples
und Arbeit im Umbruch. Vienna: Brandstätter
Verlag; 2018. https://www.dieangewandte.at/digitale_ In the literature, a number of new forms of inno-
transformationen vation have been proposed which describe the
1026 Future of Innovation
way how actors innovate, i.e., the innovation pro- the term arguing that in order to exploit all techno-
cess from invention to the diffusion. However, logical possibilities, companies must combine the
new forms of innovation are also often related to knowledge generated inside their company with
the innovation output such as more social or envi- compatible outside knowledge from institutions
ronmentally friendly products. Thus, the process and other companies. He defines open innovation
of innovation and the outcome and purpose of as “a paradigm that assumes that firms can and
innovation are contingent. Important new forms should use external ideas as well as internal ideas,
of innovation debated in recent literature are: and internal and external paths to market, as the
firms look to advance their technology”
User-Led Innovation and User Innovation (Chesbrough 2003, xxiv). Open innovation is a
User innovation and user-led innovation reflect situ- very broad concept and companies can pursue very
ations in which users play a central role in the devel- different routes and implement different methods
opment of new products and services (e.g., von and practices to realize open innovation strategies.
Hippel 2005). Customers, for instance, can create
and adapt their own products, while the manufacturer Crowdsourcing
provides the tools necessary for these tasks. The use Howe (2006) first coined the term crowdsourcing,
of new information and communication technologies which is the idea that problems are broadcasted to
(ICTs) and the scope they open for online collabora- an unknown group of solvers in the form of an
tion is one of the factors facilitating the integration of open call for solutions. Crowdsourcing can be
users in the innovation process. Empirical literature interpreted as a way of applying the open source
has illustrated a number of sectors (e.g., software, concept to physical products that do not lend
sports equipment, scientific instruments, household themselves well to the open source type of peer
products) in which user-driven innovation play a production in current economic framework con-
dominant role and users are even the dominant ditions. In contrast to open source software devel-
source of innovation (von Hippel 2005). opment, a client deliberately initiates the activity.
Any products or solutions generated by the crowd
Community Innovation become the property of the client.
The concept of innovation communities is closely
related to the importance of user innovation. This Social Innovation
community started in the 1980s with software The concept of social innovation – although not
users willing to share freely their developments entirely new – has gained interest and importance
thus generating and benefitting from an increase in academia, society, and policy as well. While
in the number of researchers and developers pro- some others (e.g., Mulgan et al. 2007) argue that
ducing software developments available to the social innovation are characterized by their aim to
whole community. Innovation communities typi- meet social needs others (e.g., Manzini 2008)
cally consist of individuals or firms connected by argue that social innovations change the way indi-
the Internet and other means of communication to viduals or communities act to get a result and
develop and diffuse new products, services, and often emerge from bottom-up processes. Particu-
processes (Tuomi 2002). Open Source Software larly, on the European level, policy makers have
development is one form of a community-based also started to promote social innovations in order
innovation. Linux, the Apache web server and to address various societal challenges. However,
computer games are the most well-known exam- social innovations are also often considered as
ples of this type of innovation. prerequisite for the successful introduction of
technological innovations.
Open Innovation
Open Innovation is amongst the most prominent Frugal Innovation
concepts heavily discussed in the academic literature The trend to serve markets characterized by low
and business press. Chesbrough (2003) introduced income with very specific products is often
termed “frugal innovation” or “bottom-of-the products, and other forms of user involvement all
pyramid” approach (Ray and Ray 2010). General provide evidence for this development. This
Electric’s portable ultrasound machine devel- development is not just driven by companies,
oped to meet the needs of doctors and hospitals which for instance, organize innovation contests
in rural areas in India is one example of this or crowdsourcing projects. Flexible working pat-
strategy that requires adaptation of existing busi- terns, outsourcing, and the increasing number of
ness models focusing on high-tech innovations professional freelancers foster and enable the
to low cost and low-tech innovations for emerg- emergence of new innovation strategies. The fur-
ing markets. Thereby it is argued that the devel- ther individualization of society is a driver for this
opment of affordable, simplified but nevertheless development, which, as one effect among others,
robust products requires a specific approach and increases peoples’ ambitions to express them-
process. selves. By influencing the design of products, F
individuals may change the functionality of solu-
tions and services according to their individual
Underlying Key Patterns for the Future needs. This development is complemented by
of Innovation the observation that the role of market mecha-
nisms as the main mediators between innovation
In the context of the outlined major trends in inno- demand and supply is challenging. Coordination
vation, the question about the underlying drivers, mechanisms such as self-organized user commu-
common mechanisms, and consequences becomes nities, web-based codesign platforms, or innova-
relevant for academia and practice. The OECD tion initiatives on the city level involving public
(2009), for instance, summarizes the essence of and private actors are on the rise and are comple-
new innovation model as follows: “Co-creation, mentary to market mechanisms or even substitut-
user involvement, environmental and societal chal- ing them. Citizens and customers will play a more
lenges increasingly drive innovation today. Collab- prominent role in innovation in the future, both in
orative, global networking and new public private deciding on innovation priorities and in contrib-
partnerships are becoming crucial elements in uting to the research and innovation process.
companies’ innovation processes” (OECD 2009).
Based on the results of two recently conducted Dimension 2: Motivation
foresight projects about the future of innovation The motivation for innovation is changing. Intrin-
(Leitner et al. 2011; Schaper-Rinkel 2013), some sically motivated users, communities, citizens, and
common trends for the future of innovation can be social entrepreneurs contribute to companies’ inno-
identified. These underlying major trends can be vation activities without necessarily expecting an
described as “dimensions of change” and are com- economic return, thus complementing profit orien-
mon patterns of the various forms of innovation we tation as the typical driving force. Solving societal
can observe today in economy and society. problems is becoming an important motivation for
conducting research and innovation, for companies
Dimension 1: Participation and Coordination and research-performing organizations, as well as
This major trend describes that collaboration in for individuals. Several examples identified within
research and innovation intensifies and tends to the foresight projects mentioned above (Leitner
involve a broader spectrum of actors and stake- et al. 2011; Schaper-Rinkel 2013) reveal that indi-
holders. The trend towards a further opening of vidual actors are motivated to contribute to research
the innovation process will continue and become and innovation activities, e.g., by launching
even stronger in the coming years. Innovation crowdsourcing initiatives or idea competitions
models and examples presented, such as the orga- for their pleasure and outside of the boundaries
nization of innovation contests, crowdsourcing of established organizations. Active involvement
projects, innovation camps, open source software in the innovation process is driven by different
development, online voting to the approval of new motivations: it could be trendy amongst a certain
social group or originate from the need to create Dimension 4: Spatial Shifts
very specific individual products. The growing Research and innovation are changing their spatial
awareness of climate change, social tensions, patterns in different regards. On the one hand, local
and the inefficient use of resources are driving elements are likely to gain relevance, resulting in
forces for changes in innovation patterns, too. more distributed innovation scenery, with cities
Due to the growing awareness of customers and playing a key role as knowledge hubs. At the
citizens to shape the direction of innovation and same time, new regions emerge as key actors in
enhance the quality of the innovation output, the global innovation chains; chains which themselves
innovation process becomes more and more delib- have expanded globally. Thus, there is a need for
erative and consultative. more global but also local collaboration at the same
time, which, though, is contingent on the specific
strategy, a company might pursue. Research and
Dimension 3: Automatisation, Digitalisation innovation has been an important element and
and Virtualisation driver of internationalization and globalization;
ICT is expected to play an ever-growing role in and innovation in several domains is driven by
research and innovation as demonstrated by several globalization in research and innovation. Processes
international examples described in academic liter- of internationalization and globalization occur
ature and press (Leitner et al. 2011). From a tech- within an innovation landscape that is influenced
nological perspective, especially new Web 2.0 by many political, technological, infrastructural,
applications and software algorithms are bringing social, and economic drivers, affecting structures,
about changes in innovation patterns, as they make patterns, and trends in collaboration.
sharing of knowledge and collaboration easier and
more affordable on a global scale. Many innova- Dimension 5: Systemic Sustainable Innovation
tion futures are driven by the growing ability and Innovation patterns fostering system transitions
willingness of everyday people to deal with social towards sustainability rather than isolated product
media and collaboration tools. Proponents of big developments become more and more important
data applications promise a new data-driven mode when it comes to tackling societal challenges. This
of knowledge production and enhanced transpar- requires, for example, that social and ecological
ency of the research process as well. From the criteria are considered during the entire innovation
companies’ perspectives, ICT offers new opportu- process, e.g., by designing circular resource flows
nities of tracking changes in consumer preferences following a cradle-to-cradle strategy (Braungart
and new ideas in real time on the web, by using and McDonough 2006). Many proponents aiming
sophisticated semantic web-filters. Ultimately, this to achieve truly sustainable solution often advocate
allows them to automatically spot and extract inno- a highly participatory approach that starts as a
vations with outstanding market potential. More grassroots movement on the regional level. How-
and more innovation steps may become automated, ever, bottom-up patterns alone do not necessarily
e.g., by using a web crawler to identify novel ideas guarantee that novel ideas and visions can be
on the Internet. However, the increased use of web- achieved. Experiences of highly participative ini-
based tools, algorithms, and information technolo- tiatives on the community level have shown that
gies raises also new (and old) questions concerning up-scaling, transfer, and regulation are needed to
the protection of intellectual property and data realize sustainable solutions, too. While a top-
security, but also concerning the sophistication, down implementation of systemic sustainability
quality, and depth of innovation outcomes. After innovation is rejected, there is the awareness that
all, a strong reliance on standardized or even some forms of regulation, coordination, and up-
automatized forms of knowledge production pro- scaling activities are required. Not least reflected
cesses may hamper creativity and thus, hinder the in the orientation towards Grand Challenges by
radical and transformative potential of research and policy makers on the international level, research
innovation in the future. agendas are increasingly motivated and legitimized
by making reference to the need for systemic tran- as positive, the acceleration of the innovation
sitions. Sustainability as a driver of change in inno- process and new organizational models of inno-
vation patterns thus implies much more than just vation may also have some unintended and
the direction of innovation efforts towards green negative impacts on economic and social
products and services. Rather, the innovation pat- development.
terns themselves need to change to enable transfor- The extensive use of ICT enables wider partic-
mative and systems innovations underpinning ipation in research and innovation activities by
transitions that can only be achieved through social involving citizens in scientific activities, for
and technological innovation in close alignment, supporting the search for new solutions, for the
requiring top-down and bottom-up initiatives. identification of customer demands on the web,
for web-based product testing, simulations and so
Dimension 6: New Infrastructures on. However, even if the widespread integration F
A number of new innovation models are associ- of ICT in its various forms may indeed enable new
ated with the emergence of new infrastructures. In research and innovation practices and speed up
particular enabling infrastructures for community the process of exploration, the long-term impact
innovation, such as innovation camps, shared fab- on innovativeness is still poorly understood. Fur-
labs, living labs, and co-working spaces, are likely thermore, although that extensive participation
to become more important in the next years. Com- may well “democratize” research and innovation,
panies benefit from new collective innovation it may also result in lukewarm solutions and lead
infrastructures, as these enable them to learn to a research and innovation fatigue in the long
together with users to acquire an enhanced under- run.
standing of societal embedding of innovations. In An uncontrolled reliance on new open and
addition, virtual or digital global innovation infra- participatory patterns of research and innovation
structures may become increasingly vital. Private may easily lead to the exclusion of specific groups
and public actors may support the setting-up of and pave the way towards a rejection of innova-
such infrastructures (meeting places, living-labs, tion by parts of society. In this case, new innova-
innovation camps, co-working spaces, etc.) with tion patterns will bring about short-term benefits
low entry barriers for people from all kinds of for specific groups but negative side effects for
backgrounds and thereby enable widespread society as a whole. Society is thus facing a unique
self-production beyond the “creative class.” window of opportunity for actively modulating a
changing innovation landscape in a way that
allows to reap the potential benefits, but one
Conclusions and Future Directions needs to be cautious about the many caveats that
this may entail.
While most studies to date have investigated spe- Active participation in innovation activities by
cific and single new forms of research and innova- a range of new actors raises issues of compensa-
tion and their expected effects for economy and tion for their contributions made to realize these
society (e.g., Henkel and von Hippel 2005), more innovations. Matters of intellectual property may
research is needed to understand their co-evolution- arise, pointing beyond the current system of for-
ary process and the manifold consequences they mal intellectual property rights.
may have on economy, society, and environment. Taking these trends together also raises the
Although, undoubtedly, innovation has the question of whether we may be facing an “inno-
potential to solve everyday life problems, provide vation crisis” in the future if we are not prepared to
enjoyable products, create wealth, and drive eco- approach the new emerging forms of innovation
nomic development, the question of the intensity in a highly reflexive manner. While incremental
and direction of innovation becomes increasingly innovation flourishes, there may be fewer radi-
relevant when innovation becomes pervasive. cally new pathways explored and a gap may
Nowadays, innovation is often uncritically seen open up between those who can participate in
the shaping of research and innovation and those ▶ Interdisciplinary Research (Interdisciplinarity)
who cannot. The attention may thus have to shift ▶ Joseph A. Schumpeter and Innovation
from looking just at the economic opportunities of ▶ Linguistic Dimension of Creativity, Invention,
new concepts of research and innovation, serving Innovation, and Entrepreneurship
competitive weapon for some companies (in some ▶ Mode 1, Mode 2, and Innovation
industries), towards the important issues that they ▶ Mode 3 Knowledge Production in Quadruple
raise for society. Helix Innovation Systems: Quintuple Helix and
To conclude, while it is probably correct to Social Ecology
envisage the future of research and innovation as ▶ Multilevel Systems of Innovation
more open, and more socially driven, as faster and ▶ National Innovation Systems (NIS)
global, it would be too simple and easy just to look ▶ Nonlinear Innovations
at the promises behind the new forms of research ▶ Political Leadership and Innovation
and innovation. It is necessary to understand them ▶ Preparing a “Creative Revolution”: Arts and
as embedded in society, and thus look at the reper- Universities of the Arts in the Creative Knowl-
cussions that these developments may have for edge Economy
society. We will see more participation, though ▶ Quality of Democracy and Innovation
one should ask when the limits of participation ▶ Quintuple Innovation Helix and Global
are reached and when too much participation may Warming: Challenges and Opportunities for Pol-
have detrimental effects. The pace of change will icy and Practice
continue to accelerate in the future. Yet, one must ▶ Rigidity of Scientific Thought Hinders
take care to avoid the potential negative outcomes Innovation
of such a development. Individual, organizational, ▶ Social Ecology and Quintuple Helix Innovation
and public actors will be part of research and Systems
innovation processes, influencing the direction ▶ Speaking Pictures: Innovation in Fine Arts
of change. However, joint efforts are needed to ▶ Systems Theory and Innovation
shape this development and unlock the potential ▶ Transdisciplinary Research (Transdisciplinarity)
of research and innovation to solve the needs of ▶ Triple Helix of University-Industry-Government
society. Relations
Cross-References
References
▶ Academic Firm
▶ Applied Design Thinking Lab and Creative Braungart M, McDonough W. Cradle to cradle: remak-
ing the way we make things. New York: Mcmillan;
2006.
▶ Artistic Research Chesbrough H. Open innovation. The new imperative for
▶ Arts, Research, Innovation, and Society: ARIS creating and profiting from technology. Boston: Har-
▶ Epistemic Governance and Epistemic Innova- vard University Press; 2003.
Henkel J, von Hippel E. Welfare implications of user
tion Policy innovation. J Technol Transfer. 2005;30(1/2):73–87.
▶ Genius Howe J. The rise of crowdsourcing. Wired Magazine, 14,
▶ Innovation and Democracy 6. 2006. http://www.wired.com/wired/archive/14.06/
▶ Innovation in Interdisciplinarity: Four Different crowds.html. Accessed Nov 2009.
Leitner K-H, Jegou F, Warnke P, Mahn J, Steinmüller K-H,
Dimensions Rhomberg W, von Salvern S, Schirrmeister E, Watkins
▶ Innovation Policies (Vis-à-Vis Practice and V. Innovation futures: a foresight exercise on emerging
Theory) patterns of innovation – visions, scenarios and impli-
▶ Innovations in Presidential Elections: The United cations for policy and practice. Vienna: INFU Final
Report, AIT; 2011.
States, France, and Austria in Comparison Manzini E. A laboratory of ideas. Diffuse creativity and
▶ Innovations of Direct Democracy new ways of doing. In: Meroni A, editor. Creative
communities people inventing sustainable ways of liv- Schaper-Rinkel P. Exploring the future of research. Trends
ing. Milan: Polidesign; 2008. and drivers in doing and governing research, RIF
Mulgan G, Rushanara A, Halkett R, Sanders B. In and out research report. Vienna: AIT; 2013.
of sync. The challenge of growing social innovations. Schumpeter A. Theorie der wirtschaftlichen Entwicklung.
London: NESTA Research Report; 2007. Berlin: Dunker & Humblot; 1911.
OECD. New nature of innovation. Paris: OECD; 2009. Tuomi I. Networks of innovation: change and meaning in
Ray PK, Ray S. Resource-constrained innovation for the age of the internet. Oxford: Oxford University
emerging economies: the case of the Indian telecom- Press; 2002.
munications industry. IEEE Trans Eng Manag. 2010;57 von Hippel E. Democratizing Innovation. Cambridge, MA:
(1):144–56. The MIT Press; 2005.
F
G
Game Theory The Levels of Game-Theoretic Analysis

of Innovation
▶ Game Theory and Innovation Analysis
The main directions of game-theoretic analysis of
innovation can be divided into three levels of
innovation interactions or three types of innova-
Game Theory and Innovation
tion games:
Analysis
1. Intraorganizational game, which is played
Igor N. Dubina
within a firm; in this game, main players are
The Faculty of Economics, Novosibirsk State
an innovator (idea generator, project initiator
University (NSU), Novosibirsk, Russia
or implementer, etc.), a project manager,
The International Institute of Economics,
and/or resource administrator.
2. Interorganizational game, where the main
State University (ASU), Barnaul, Russia
players are a firm, its competitors, its partners
(e.g., venture inventors, distributors, suppliers,
outsourcing allies, research centers), clients
Synonyms
(customers), and sometimes a patent or other
intellectual property holder.
Game theory; Innovation; R&D
3. Metaorganizational game, where the main
players are a social planner (innovation policy
Definition maker, government, a social or government
institution, e.g., a research foundation) and an
Game theory is a mathematical approach to the aggregate innovative entrepreneur. The struc-
modeling of strategic interaction among indepen- ture of all levels and their relations are depicted
dent agents that recently become one of the most in Fig. 1.
powerful analytical tools in economics, especially
in microeconomics and industrial organization. In
particular, game theory, among other applications, The main objective of analysis on the
offers a way to formulate predictions, delivers intraorganizational level is:
prescriptions and recommendations for decision
makers, and helps to develop and implement effi- 1. To find and substantiate optimal variants of
cient strategies. organizational and economic interaction of
https://doi.org/10.1007/978-3-319-15347-6
1034 Game Theory and Innovation Analysis
Game Theory and

Innovation Analysis,
Fig. 1 Innovation game
levels: (1)
intraorganizational game,
(2) interorganizational Clients \ Consumers Competitors
game, (3)
metaorganizational game
(Source: The author’s own
conceptualization) Innovator \ Project
1 Implementer
2
Project Resource
Manager Administrator
Partners Patent holder
Innovation policy maker
innovation process participants (inventor, optimal configuration of intellectual property rights

innovation entrepreneur, project manager, (IPR) policy? What are the welfare implications of
investor, project implementers, etc.) licensing? Which industry and market structure
2. To secure a high level of creative activity of provides the highest incentive to innovate? Game-
idea generators and project implementers theoretic approach helps to construct the optimal
3. To effectively stimulate knowledge sharing in government policy with respect to innovation
the firm activity, to maximize the capitalized value of net
social surplus, to enhance technological innovation
The existing literature mostly concentrates on and international competitiveness, etc.
the interorganizational and metaorganizational It is important to note that a model initially
levels. On the level of interorganizational interac- developed for innovation analysis on one level
tion, game theory models help to define optimal can be often adapted to the analysis on another
competition and cooperation strategies, in particu- level (model transfer). For example, an
lar, to determine optimal R&D expenditure, opti- intraorganizational knowledge sharing agent-
mal mechanism of financial relationships for based model can be also adapted for the analysis
innovation participants (royalty, fixed payment, of interorganizational interactions in an innova-
innovation project profit or revenue sharing tion consortium.
amount, etc.), the best time to introduce a new The reviewed literature concentrates mostly on
product into a market (time to launch innovation), noncooperative games; however, cooperative
to develop the most profitable licensing agreement, game models are also used, mostly to solve the
to select the right project or make a right choice of problem of optimal sharing of innovation project
investment alternatives or innovation strategy, etc. outcomes among the member of innovation alli-
On the macrolevel, innovation games describe ances. In most cases, the specificity of innovation
the interaction between an innovator and a social process is often “hidden” in a model. It is typically
planner of innovation policy (e.g., government). assumed that an innovation process results in low-
The main questions are the following: What is the cost or quality improvement technology. Hence,
Gender and Creativity 1035
Game Theory and Innovation Analysis, Table 1 Analyzed problems and modeling techniques for different types of
interaction games
Level of interaction Modeled problems Types of model
Intraorganizational Team building in R&D A static game of two or n players
Stimulation of innovative activity Dynamic two-player games
Knowledge sharing in an innovative firm A static two-player game
Interorganizational The choice of an R&D strategy (R&D expenditure, A Stackelberg game of n players
product differentiation, etc.)
The choice of an innovation strategy (independent, A differential game of n players
initiative, cooperative, etc.)
The choice of optimal parameters of a licensing contract A two-player game
The interrelation of a patent holder and innovative firms A dynamic noncooperative game
Patent race A cooperative game
The cooperation of R&D consortium partners An asymmetric game of two
players G
A static or iterated “prisoner’s
dilemma” game
Metaorganizational Optimal innovation policy and government interventions A Stackelberg game of n players
in R&D A dynamic game of n players
A cooperative game
Source: The author’s own conceptualization
researchers often go from latent and non- Cross-Reference

measurable variables (e.g., R&D effort) to some
aggregate variables (e.g., R&D costs depending ▶ Creativity Management Optimization
on R&D effort). ▶ Innovation Policies (vis-à-vis Practice and
A survey by Baniak and Dubina (2012) dem- Theory)
onstrates a clear tendency of stable and rapid
growth of a number of publications on game the-
ory applications to innovation analysis during the References
last three decades. The summary of the innovation
problems modeled with game theory and model Baniak A, Dubina I. Innovation analysis and game theory:
a review. Innov Manag Policy Pract.
types used is given in the Table 1.
2012;14(2):178–91.

Gazelle
Game theory models sometimes result in conclu-
▶ Startup
sions contrary to intuition and common sense, but
these conclusions, as numerous computer and lab-
oratory experiments and real practice demon-
strate, are often more useful and applicable than Gender
intuitive decisions and common sense. A wide
spectrum of successfully analyzed and solved ▶ Diversity and Entrepreneurship
problems as well as the powerful logical and
mathematical methodology of game theory give
an idea that the game-theoretic approach will take Gender and Creativity
an important role in innovation research during
the next decade. ▶ Women Creativity in Patriarchal Culture
1036 Gender and Innovation
(Schiebinger 2008, p. 4). In this entry, the prevalent

Gender and Innovation research of gender and innovation will be summa-
rized and reviewed in order to clarify the scope and
Malin Lindberg1 and Helene Schiffbaenker2 effects of this dawning field of research.
1
Department of Business Administration, The entry starts with introducing two theoretical
Technology and Social Sciences, Luleå concepts intended to clarify the relation between
University of Technology, Luleå, Sweden gender and innovation: doing gender and gender
2
Joanneum Research, Vienna, Austria mainstreaming. This is followed by a review of
existing research on gender and innovation,
which is synthesized in the light of the two theo-
Synonyms retical concepts presented at the start. Finally, con-
clusions are drawn and future directions in research
Creativity; Men; Norms; Women on gender and innovation are distinguished.
Introduction Concept No 1: Doing Gender
This entry describes, defines, synthesizes, and In order to understand how gender is relevant to the
reviews the topic of gender and innovation, field of innovation, the theoretical concept of doing
which is an emerging field of research evoked by gender will here be highlighted. This concept pro-
the need for more inclusive innovation policies, vides a framework for understanding how gender
innovation networks, and innovation processes. can be analyzed in policies and organizations. Doing
Over the last two decades, innovation has gender constitutes nowadays one of the main
become an increasingly common subject of politi- approaches employed in contemporary gender
cal action and scientific studies in Europe and research (Gunnarsson et al. 2003). According to
worldwide. This interest emanates from the wide- the doing gender approach, gender is not a given
spread understanding that development and dissem- natural dimension but is constructed in social inter-
ination of innovations transforms the economy to actions, and by this, existing gender differences can
become more dynamic and knowledge-based. This be analyzed and changed. Gender is then regarded
vision permeates OECD’s innovation strategy as as an ongoing activity and interaction performed
well as the new European Union strategy Europe among and between women and men in organiza-
2020 and its flagship initiative Innovation Union. tions and society (West and Zimmermann 1987).
Simultaneously, the need for more inclusive and Everyday practices and activities are thereby related
creative policies, processes, and networks of inno- to an institutional and structural level. Gender is
vation has been articulated by gender scientists consequently related to innovation by policies, pro-
and gender equality officials (Lindberg 2014: cesses, and networks of innovation being character-
Schiebinger 2008; Schraudner 2010). This need is ized by gendered practices and frameworks at
motivated by the fact that most Western policies and individual, relational, structural, and symbolical
research studies on innovation have prioritized a level. By viewing gender as an accomplishment, as
narrow range of actors, areas, and innovations at in the doing gender approach, the attention is shifted
the expense of other creative and innovative spheres “from individuals to interactional and institutional
(cf. Blake and Hanson 2005; Lindberg 2012; arenas, thus opening up opportunities for change”
Pettersson 2007). Innovation is an area that tradi- (Danilda and Thorslund 2011, p. 51).
tionally has been characterized “either by gender- One of the classic contributions of gender
blindness or male dominance” (Ranga and research relies on the principles of doing gender
Etzkowitz 2010, p. 1). Nevertheless, gender ana- as it exposes how gender often is done in ways
lyses have a “potential to enhance human knowl- that create dichotomies, e.g., between men
edge and technical systems by opening them to new and women or between femininity and masculin-
perspectives, new questions and new missions” ity (Hirdman 1990). This leads not only to
Gender and Innovation 1037
segregation – e.g., on the labor market – but also mainstreaming.” It was introduced at the end of the
to hierarchies where areas associated with men last century after the United Nations Fourth World
and masculinity often are ascribed higher value – Conference on Women in Beijing 1995 to involve
e.g., by higher wages, faster careers, and political broader areas of policies and actors into gender
prioritization (Gunnarsson et al. 2003; Lindberg equality targets. Gender mainstreaming is primarily
2012; Schiffbänker 2011). This implies an used as an overarching strategy of gender equality
uneven distribution of power and resources efforts in policies and organizations. As a strategy,
between women and men. Gender is conse- it implies that gender equality is to be addressed by
quently related to innovation by the uneven dis- all policy and organizational areas as well as in all
tribution of power, resources, and status between phases of decision-making and implementation
women and men, as well as between services and (Rees 2005). In research, gender mainstreaming is
manufacturing industries, in policies, processes, analyzed theoretically due to its varying content
and networks of innovation (Blake and Hanson and effects. Walby (2005) and Squires (2005)
2005; Lindberg 2014; Pettersson 2007). have launched two alternative ways of classifying G
Contextual variations are an important part of efforts to mainstream gender in policies and orga-
doing gender, distinguishing how gender is done nizations, which both cast a light on the relation
in different ways in different times and places. The between gender and innovation.
focus on everyday practices underlines the possibil- There are many ways of defining gender
ity of doing things differently (Gunnarsson et al. mainstreaming and many ways of implementing
2003). According to the doing gender approach, it it in practice (Walby 2005). One definition is
is not compulsory that the doing of gender ends up provided by Rees (2005, p. 560), stating that
in segregating and hierarchical patterns. It is possi- gender mainstreaming is “the promotion of gen-
ble, at the individual level, is possible to act in ways der equality through its systematic integration into
that break this trend, opening up – at the structural all systems and structures, into all policies, pro-
level – for more dynamic and nuanced perceptions cesses and procedures, into the organization and
of the world. Such acts can be interpreted as a way its culture, into ways of seeing and doing.”
of “undoing gender” (Deutsch 2007; Wetterer Another definition is maintained by True and
1999). Concerning the relation between gender Mintrom (2001, p. 28), proposing that gender
and innovation, such a change in the doing of gender mainstreaming is to be understood as “efforts to
could imply a different pattern of prioritization, scrutinize and reinvent processes of policy forma-
esteeming actors, industries as innovations not by tion and implementation across all issue areas to
their gendered nature but by their potential to evoke address and rectify persistent and emerging dis-
creativity and societal development (Andersson parities between men and women.”
et al. 2009; Lindberg 2012; Lindberg et al. 2015). Walby (2005, pp. 323–324) highlights two gen-
However, it is not always easy to bring about eral ways in which gender can be mainstreamed.
change, since the dominating structures can be tena- Firstly, there is a strategy of integrationism that
cious, reacting with resistance when challenged. promotes gender mainstreaming as “a way of more
The resistance reveals that there are power relations effectively achieving existing policy goals” and thus
involved, requiring negotiations about “what men fails to challenge prevalent policy paradigms. Sec-
and women are allowed to do, how they are allowed ondly, there is strategy of agenda setting that implies
to behave and how men and women are to be ranked “the transformation and reorientation of existing
and valued” (Kvande 2003, pp. 37–38). policy paradigms, changing decision-making pro-
cesses, prioritizing gender equality objectives, and
rethinking policy ends.” In this context, the term
Concept No 2: Gender Mainstreaming transformation is to be understood as “neither the
assimilation of women into men’s ways, nor the
In order to understand how gender is relevant to maintenance of a dualism between women and
the field of innovation, this entry will now be men, but rather something new, a positive form of
continued by highlighting the concept of “gender melding.” As Walby notes, while the strategy of
agenda setting means that gender mainstreaming is Gender Research on Innovation

less likely to be rejected in mainstream policy mak-
ing and organizations, it is more likely to have only Having set the scene by introducing the gender
a limited impact on segregating and hierarchical theoretical concepts of doing gender and gender
gender relations. mainstreaming, this section summarizes and
Squires (2005, pp. 368–371) suggests a differ- reviews prevalent gender research on innovation.
ent way of categorizing efforts to mainstream Gender has been advocated as a relevant aspect
gender in policies and organizations. She discerns in relation to innovation within a number of research
three types of strategies: inclusion, reversal, and fields, e.g., Feminist Science and Technology Stud-
displacement. She connects the strategy of inclu- ies, Political Science, History of Science, Business
sion to a liberal type of feminism, seeking gender Economics, and Human Geography (c.f. Hacker
neutrality and conceiving people as autonomous. 1989; Blake and Hanson 2005; Lindberg 2012;
What is mainstreamed in this category is primarily Lindberg et al. 2015; Papouschek et al. 2006;
formal equality of opportunities, realized by Pettersson 2007; Schiebinger 2008; Ranga and
bureaucratic policy processes. The strategy of Etzkowitz 2010; Schraudner 2010; Ekman et al.
reversal is associated with the stream of radical 2011). There it has been highlighted how the dom-
feminism, seeking recognition for a specifically inating image of innovation and innovators builds
female gendered identity and explicitly talking of on stereotypical notions of gender, promoting men
women as a given category. Mainstreaming is here and masculinity as the norm. According to Nyberg
seen as a way to include women’s voices. Squires (2009), this gender imbalance leaves innovative
links the strategy of displacement to a postmodern opportunities unexploited, thus hampering political
type of feminism, using gender as a verb instead prospects of continuous economic growth. In order
of as a noun. It is problematized how discourses to make better use of these innovative opportunities,
ascribe gender to people, attributes, and activities. Ghaye and Gunnarsson (2009) suggest the creation
Gender mainstreaming is then equivalent to norm of “cultures of appreciation,” improving innovation
diffusion, acknowledging a broad spectrum of within organizations. Such cultures effectively
identities, experiences, and visions. address gender issues since the positive and creative
Walby and Squires thus identify a range of sides of the organization and the employees are
manners in which gender can be mainstreamed in accentuated, reaching beyond hampering gender
policies and organizations. These manners do not stereotypes. Schiebinger and Schraudner (2011,
necessarily have to be seen as alternatives to each p. 154) mention the innovation potential of “gen-
other. Squires underlines that the three strategies dered innovations” which are defined as “the pro-
she discerns are to be regarded as complementary cess that integrates sex and gender analysis into all
rather than competing or incompatible. Ultimately, phases of basic and applied research to assure excel-
she concludes that gender mainstreaming is most lence and quality in outcomes.”
likely to be truly transformative when all three Existing gender stereotypes in policies, pro-
strategies are implemented side by side. In theoret- cesses, and networks of innovation can be chal-
ical studies of gender mainstreaming – as well as in lenged by acknowledging that innovative
practical efforts to mainstream gender in policies – activities occur also “in economic sectors and by
it is however important to distinguish which strat- actors that are typically ignored or undervalued by
egy that is being employed. This is since the dif- current research and by policy” (Blake and
ferent types differ in their effects on gendered Hanson 2005, p. 681). Integrating other innova-
structures in policies and organizations. These dif- tive employment fields like services and creative
fering effects are relevant not least when relating industries – both in the private and public sector –
gender to innovation, since policies, processes, and widens the understanding of innovation and
networks of innovation are gendered in different acknowledges the contribution by women-
ways. This will be exemplified in the last section of dominated professions (Lindberg 2012; Lindberg
this entry. et al. 2015; Nählinder 2010; Papouschek et al.
2006; Pettersson 2007; Schiffbänker 2008). This 3. Innovation policy and research often describe
can be reinforced by acknowledging the impor- innovations and innovation networks with ref-
tance of the nonprofit sector for innovation erence to mechanical machines and technolog-
besides the public, private, and academic ones, ical products rather than human relationships
implying an expansion of the triple helix model and services, which can be interpreted as mas-
of innovation networks into a quadruple helix culine traits
model (Carayannis and Campbell 2010; Lindberg
et al. 2012). A democratization of innovation can Fürst Hörte (2009) discerns two levels of gen-
thus take place “through extending the circle of der aspects in innovation policy: gendered struc-
actors who take part in the process,” which also tures in innovation policy programs and gendered
increases the likelihood of evoking “responsible structures within the innovation networks being
innovations” (Gustavsen 2011, pp. 4–5). Thereto, promoted by such programs. Pettersson (2007)
a broader view on innovation has been suggested, clarifies that gendered divisions in innovation pol-
embracing not only technological/manufacturing icies are seldom elaborated in national policy pro- G
innovations but also social and organizational grams. Pettersson and Saarinen (2005) state the
innovations (Blake and Hanson 2005; Lindberg same for the innovation networks being promoted
et al. 2015). Consumers are thereto claimed to be by such programs. In order to address both these
interested in products that “break with traditional levels, a double strategy has been suggested, pro-
gender stereotypes” (Danilda and Granat moting gender mainstreaming in already-
Thorslund 2011, p. 55). In these ways, gender prioritized innovation networks at the same time
aspects are increasingly acknowledged in studies as promoting innovation networks within indus-
of knowledge production and innovation (Alsos tries employing most women (Alsos et al. 2013,
et al. 2013, 2016; Andersson et al. 2012). 2016; Andersson et al. 2012; Lindberg 2012).
Some of the gender research performed on inno- Within innovation networks, nonnormative think-
vation has specifically focused on innovation poli- ing might strengthen weak links innovation
cies, since they affect the availability of financial milieus, by allowing them to reach beyond gen-
resources for initiating innovation networks and dered stereotypes. Normative thinking is thus
innovation processes. Sweden and Norway are pre- regarded as an obstacle to innovative thinking,
dominant in the pioneering work performed on since gender diversity is claimed to improve cre-
gender in innovation policies, but some studies ativity and decision-making (Andersson et al.
have also been carried out in the United Kingdom 2009; Ghaye and Gunnarsson 2009).
and the United States. Some of the Swedish and Within innovation policy programs, the impor-
Norwegian research studies include Pettersson tance of broadening the spectrum of actors, areas,
(2007), Andersson et al. (2012), Lindberg (2012), and innovations being prioritized has been empha-
Alsos et al. (2013, 2016), and Lindberg et al. (2015). sized (Blake and Hanson 2005; Lindberg 2014;
The studies in Britain and the United States have Pettersson 2007; Rees 2000). This suggestion is
been performed by, e.g., Rees (2000) and Blake and motivated by a survey of prioritization within inno-
Hanson (2005). Some of the conclusions uniting vation policies and regional growth policies of
several of these studies encompass: different innovation networks in Sweden from
2002 to 2007 (Lindberg 2012). The results exposed
1. Innovation policy and research primarily pri- that in 80% of the cases, manufacturing industries
oritize male-dominated networks and male- and new technologies (e.g., ICT, biotech, fiber
dominated/symbolically masculine sectors of optics) industries were prioritized, both of them
the economy representing men-dominated industries. In a fifth
2. Innovation policy and research are hampered of the cases, services and creative industries were
by gendered stereotypes, ignoring the innova- prioritized, representing industries employing
tion potential among certain actors, industries, most women. This pattern of prioritization creates
and innovations a segregation and hierarchy between men and
women in relation to innovation, since these two transformed perspective harmonizes with Rees’
groups are being unequally involved in policy pro- (2005) definition of gender mainstreaming, stating
grams promoting innovation due to a difference in that a gender perspective is to be integrated into
the estimation of their importance for innovation. ways of seeing and doing, into systems and struc-
Broadening the spectrum of actors, areas, and tures, into all policies, processes, and procedures,
innovations being prioritized in innovation policies and into the organization and its culture. It is also
to a less gender segregating pattern would mean to supported by Schiebinger’s (2008, p. 4) definition
include services and creative industries to a greater of gendered innovations as “transformations in the
extent than today. This would increase the inclu- personnel, cultures, and content of science and
sion of women in innovation policies and ascribe engineering brought about by efforts to remove
women and men equal importance for innovation, gender bias from these fields.” Such transforma-
thus making the segregation and hierarchy between tions seem to be supported by the overall trend in
these two groups less distinct (Lindberg 2012; innovation theory and practice, pinpointed by
Pettersson 2007). An increased emphasis upon ser- Ranga and Etzkowitz (2010, p. 3):
vices and creative industries in innovation policies Innovation theory and practice is in the midst of a
is in line with predominant policy efforts to trans- shift in focus from product and process innovation,
form Western societies and economies to become primarily in the private sector, to innovation in
more knowledge-based (cf. Rees 2000). Pioneering services that are located in the public as well as
the private sector. This transition has profound con-
research studies expose, however, that these indus- sequences for the visibility of the gender dimension
tries entail a complicated reconciliation of working in innovation.
time and free time (Papouschek et al. 2006;
Schiffbänker 2008). People in these industries suf- Synthesizing Gender and Innovation
fer from long working hours, work extending to
evenings and weekends, difficulties with planning This section synthesizes the review of existing
ahead, dependency on commissioners, and eco- research on gender and innovation using the two
nomical risks. This means that the diminishing theoretical concepts of doing gender and gender
gender segregation and hierarchy attained by mainstreaming.
including services and creative industries in inno- The ongoing construction of gender, pinpointed
vation policies might be counterpoised by the poor by the concept of doing gender, is detectable in
working conditions in these industries, making it innovation policies, processes, and networks
hard to maintain a bearable work-life balance. It is (Gunnarsson et al. 2003; West and Zimmermann
thereby not guaranteed that “broadly framed net- 1987). In the promotion and practices of innova-
works [...] necessarily produce responsible innovation policies and networks, gender is done when
tion” (Gustavsen 2011, p. 5). certain actors, sectors, and innovations are distin-
In order to challenge and change prevalent gen- guished in a manner that is congruent with the
dered structures in innovation policies and prac- sex-segregated labor market, thus reinforcing the
tices, suggested measures have to be able to reach gendered pattern of keeping women and men apart.
beyond the distinction between “men” and On the symbolical level, gender is done when
“women” and provide the grounds for an equal differing value is ascribed to the distinguished
estimation of different groups of industries, actors and sectors in relation to innovation and
irrespective of their gender distribution (Lindberg economic growth, thus reinforcing hierarchical
2012). Gender mainstreaming in innovation poli- gender relations (cf. Alsos et al. 2013, 2016;
cies and practices requires a transformed perspec- Andersson et al. 2012; Blake and Hanson 2005;
tive on economic development and innovation and Lindberg 2012; Pettersson 2007).
increased reflection on which actors are seen as Efforts to integrate gender in innovation poli-
assets and what sectors of the economy are seen cies, processes, and networks are reflected in
as “strong” or useful in innovation policies and the concept of gender mainstreaming (Rees
innovation networks (Pettersson 2007). Such a 2005; Squires 2005; Walby 2005). One of the
mainstreaming strategies – integrationism – is vis- analyze how gender is “done” in each situation,
ible in the attempts to relate gender and innovation ascribing women and men different attributes,
by assuming that there is a potential for gender competences, and interests, and thus limiting peo-
equality to contribute to increased economic ple’s prospects to contribute to creativity and
growth. As a strategy of integrationism, this kind innovation (cf. Squires 2005; Walby 2005).
of relation does not challenge existing policy para- In relation to the classifications of gender
digms and thus has limited likeliness to change mainstreaming, the doing gender approach
masculine norms in innovation policies and prac- seems to share more features with the strategy of
tices. However, its coherence with all-embracing agenda setting than the strategy of integrationism
policy goals, such as economic growth, increases (cf. Walby 2005). This is since the first-mentioned
its likeliness to be accepted by policy makers and strategy tends to bridge dualistic gender construc-
brought into the policy agenda (cf. Walby 2005). tions and challenge their static appearance in a
Similarly, the attempts to relate gender and innova- way that accords with the understanding of gender
tion by securing equal access for women and men as continuously constructed as advocated in doing G
to apply for funding of innovation networks and gender. Those links between gender and innova-
innovation processes – thus using the strategy of tion that embrace the strategy of integrationism
inclusion – is more likely to be integrated in the are hence more likely to challenge and change
policy agenda since they “only” demand formal- prevailing gendered norms in policies, processes,
ized rights to gender equal influence and benefit and networks of innovation. The deconstructive
from regional policy programs and projects. They stance of the strategy of displacement is similar to
do not promote a gender perspective on the goals of the understanding of gender as continuously
innovation policies, nor do they challenge the seg- constructed and thus possible to change, as pro-
regating notions of “women” and “men” as uni- claimed in the doing gender approach (cf. Squires
fied – but separate – groups (cf. Squires 2005). 2005). The links between gender and innovation
In contrast, the attempts to relate gender and that cohere with this strategy are thus more likely
innovation by highlighting the contribution made to evoke less segregating and hierarchical gender
by women in services and creative industries – relations in innovation policies, processes, and
thus using the strategies of agenda setting and networks than the ones accepting the dominant
reversal – do challenge existing policy paradigms gendered norms of innovation. As Squires empha-
by reorienting existing policy goals, for example, sizes, however, the different strategies of gender
by highlighting alternative ways to achieve inno- mainstreaming are not to be regarded as mutually
vation and societal development. They thus chal- exclusive. Instead, they are most likely to be truly
lenge masculine norms in innovation policies and transformative when implemented side by side.
practices. At the same time, they lower their
likeliness to be accepted on the policy agenda.
They recognize the importance of including a Conclusion and Future Directions
multitude of experiences and perspectives in pol-
icies, processes, and networks of innovation. But The review of prevalent research on gender
they also tend to reinforce those very dualistic research and innovation reveals four explanations
notions of gender that constitute the base of seg- of the relevance of gendered structures on inno-
regating and hierarchical gender orders. The vation policies, processes, and networks. These
attempts to relate gender and innovation by four explanations are:
questioning the differing estimation of women
and men – and of services and manufacturing • The potential for gender equality to contribute
industries – in relation to innovation reflect the to innovation and growth
strategy of displacement. Such attempts assume • Differing estimation of women and men – and
that there are so many individual variations within of services and manufacturing industries – in
each of these categories that it is more fruitful to relation to innovation
• The contribution to innovation by services and References

creative industries
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Each of these explanations relies on specific strat- book on gender and innovation. Cheltenham: Edward
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policies, processes, and networks. The main conclu- Middle managers as change agents – action oriented
gender research. Hudiksvall: Fiber Optic Valley; 2009.
sion to be drawn is that their understanding of gender
Andersson S, Berglund K, Thorslund J, Gunnarsson E,
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and hierarchical notions of gender in practice. This innovation and the environment relate to each other?
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Deutsch FM. Undoing gender. Gend Soc. 2007;21(1):
established policies, processes, and networks promot-
106–27.
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more capable of changing segregating and hierarchi- tors. Learning regional innovation – Scandinavian
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1044 Gender-Bias-Free Parenting for Creativity
the society is rooted in patriarchy and supports or femininity to conform others’ gender bias.
gender bias. It has supported men and young Parental openness to creativity and nonconfor-
boys as they defy authority and fight for their mity to gender bias facilitates children’s
beliefs while women and young girls are taught creativity. Parents’ fostering children’s openness
to conform to and hold tight to traditional roles. to creativity at an early age is associated with
Boys grow into men who may find success in their early adolescence’s creativity. Parental
business or may become figures of authority influence over children’s creativity may begin
and power within their communities and homes. from the moment expecting parents learn the
On the other hand, girls become women who find sex of their child, which leads to the purchase
themselves juggling career and domestic roles as of gender-biased clothing and embellishments
they strive for a sense of gender equality. Despite for the nursery (Kim 2016; Peters 2004; Freeman
the resurgence of women’s rights in the 1960s 2007; Kane 2006; Mullineaux and Dilalla 2009;
and 1970s, the society has yet to truly embrace O’brien and Md-Yunus 2007; Wood et al. 2002).
a gender-bias-free attitude, and parents are still
perpetuate gender bias onto their young children.
Although stereotyping may help the brain to Children’s Gender Bias Development
categorize information, it often decreases
flexibility in thought. One of the 27 characteristics Children often possess the ability to classify
that most greatest innovators in history exhibit adult male and female faces by 9 months, and
is the gender-bias-free attitude, which is rejecting they are good at labeling gender between 30 and
stereotypes based on gender, and it is about 36 months. Their gender bias often occurs at
diversity and removing limitations to gender an early age and remains with them for a lifetime.
expressions. Innovators are often nonconforming Over age of 1 year, they often prefer toys associ-
to the mainstream norm. They are flexible ated with the same gender, and by age of 2 years,
and seek out the perspectives of both males they demonstrate not only gender-biased toy
and females, and they accept suggestions and preference but also engage in gender-biased
observations openly. They are resilient and get behavior. By age of 4 years, they are aware of
more social support during times of hardship. gender-biased roles and are able to differentiate
Creative sons identify themselves more with between masculine and feminine traits.
their mothers than fathers, while creative daugh- Adults socialize children to gender-biased
ters identify themselves more with their fathers play and toys by exposing them to toys and activ-
than mothers, which indicate that creative ities specific to their gender based on societal
individuals incorporate opposite gender’s charac- expectations of gender differences. Early sociali-
teristics more readily than others do. They are zation influences toy choice and play for not
expressive and express both traditionally mascu- only individual children but reinforces their
line and feminine traits. Resisting gender bias, expectations for their peers. Parents are the first
which helps creative individuals be flexible exposure children have to gender-biased toys,
and adaptable, enables them to use a variety of and they present children with ideas of what is
different thinking strategies and techniques and is not appropriate for their given gender,
beyond those prescribed for their own gender. greatly influencing children’s gender-biased
It also enables them to resist other social thoughts. Due to parental involvement in play
norms, which further fuels their creativity. To and the reinforcement of gender bias, boys and
be creative, children need to connect with girls engage in play differently (Kim 2016;
their softness, sensitivity, and other traditionally Freeman 2007; Kane 2006; Garaigordobil and
feminine traits, and to achieve intellectual Berreuco 2011; Stagnitti et al. 1997; Querido
independence and other traditionally masculine et al. 2002; Campenni 1999; Fearon et al. 2013).
traits. However, some children sacrifice their Today’s parents are more gender-bias-free
creativity in order to maintain their masculinity in labeling toys than parents 60 years ago,
Gender-Bias-Free Parenting for Creativity 1045
especially when a child shows interest in a toy that act in certain ways; and they celebrate diverse gen-
is not traditionally associated with their der expressions. Because they encourage chil-
gender. Gender-bias-free play and toy selection dren’s gender-bias-free interests, their children do
among today’s young children is also growing. not have to sacrifice their creativity to live up to
These findings might indicate a cultural shift expectations for their particular gender. They
towards parenting that supports gender-bias-free diverge from the traditional gender norms, which
play, allowing children to engage in play based draws upon diversity to create unique ways of
on their interests rather than gender bias. thinking for innovation (Kim 2016; Peters 2004;
However, although parents accept and encourage Freeman 2007; Kane 2006; Wood et al. 2002;
daughters’ gender-bias-free attitude, they – espe- Garaigordobil and Berreuco 2011; Fearon et al.
cially fathers – still push sons into gender bias. 2013; Kemple and Nissengberg 2000).
They encourage sons for the roles and traits
traditionally associated with the male authority
figure while discouraging them from showing G
emotions or participating in activities such as
Creative potential exists in everyone, but creativity
dance or traditionally feminine play. Additionally,
is at peak in the preschool years and then drastically
parents acknowledge sons’ interest in domestic
decline somewhere between kindergarten and sixth
play, which fosters compassion and empathy,
grade. Creativity is influenced by family with par-
but they often reject sons’ behaviors such as
ents playing a key role in fostering a child’s creativ-
dress-up, dancing, and playing a Barbie-like
ity. With parents and families playing a key role,
doll. Thus, traditionally feminine toys are more
children’s creativity can be regained. Only through
frequently gender-biased than traditionally mas-
purposeful, open-minded parenting, which supports
culine toys, and boys show more gender-biased
gender-bias-free attitude, do they transform their
play than girls do (Kim 2016; Freeman 2007;
playful, curious, open-minded preschoolers into
Kane 2006; Wood et al. 2002; Stagnitti et al.
individuals capable of future innovation (Kim
1997; Campenni 1999; Martin 2005).
2016; Peters 2004; Freeman 2007).
Gender-Bias-Free Parenting Cross-References
Parental support and advocating environments ▶ Creativity and Confucian Parenting

for children’s interest in early childhood, rather ▶ Creative Attitudes: The 4S (Soil, Sun, Storm,
than pushing them into gender bias, encourage and Space) Attitudes
children’s creativity development. Creative individ- ▶ Creative Climates: Soil, Sun, Storm, and Space
uals often grow up in an environment where they Climates
have the freedom to explore their areas of interests, ▶ Creative Thinking Skills: Inbox, Outbox, and
regardless of their gender, in a playful manner. Newbox (ION) Thinking Skills
Supporting the gender-bias-free attitude in play in ▶ Play for Creativity
early childhood opens children’s minds to creativ- ▶ Women Creativity in Patriarchal Culture
ity. Fostering creative thinking skills through a
gender-bias free parenting among preschool-aged
children, when imagination and curiosity is at a References
peak, is necessary before they are cemented in the
primary and middle school years. To do this, par- Campenni CE. Gender stereotyping of children’s toys:
a comparison of parents and nonparents. Sex Roles.
ents need to maintain familial environments that
1999;40(12):121–37.
value individualism over gender bias. Parents of Fearon DD, Copeland D, Saxon TF. The relationship
innovators reject gender-role expectations and gen- between parenting styles and creativity in a sample of
der stereotypes; they do not expect girls and boys to Jamaican children. Creat Res J. 2013;25(1):119–28.
1046 Gender-Free Parenting
Freeman NK. Preschoolers’ perceptions of gender

appropriate toys and their parents’ beliefs about Genius
gendered behaviors: miscommunication, mixed
messages, or hidden truths? Early Childhood Educ
J. 2007;34(5):357–66. https://doi.org/10.1007/s10643- Andrei G. Aleinikov
006-0123-x. International Academy of Genius, Montery, CA,
Garaigordobil M, Berreuco L. Effects of a play program USA
on creative thinking of preschool children. Span
J Psychol. 2011;14(2):608–18.
Kane EW. “No way my boys are going to be like that!”
parents’ responses to children’s gender nonconformity. Synonyms
Gend Soc. 2006;20:149–76.
Kemple K, Nissengberg S. Nurturing creativity in early
childhood education: families are part of it. Early Brilliance; Superachiever; Superior creative
Childhood Educ. 2000;28:67–71. power; Superior intellectual power
American innovation. Amherst: Prometheus Books;
2016.
Martin KA. William wants a doll. Can he have one? Definition
Feminists, child care advisors, and gender-neutral
child rearing. Gend Soc. 2005;19(4):456–79. A genius is a person top valued by the society for
Mullineaux PY, Dilalla LF. Preschool pretend play the uniquely expressed highly innovative vision
behaviors and early adolescent creativity. J Creat
Behav. 2009;43:41–57. of the world.
O’brien L, Md-Yunus S. For parents particularly:
how parents can encourage creativity in children.
Child Educ. 2007;83(4):236–7. Introduction
Peters JP. Gender remembered: the ghost of “unisex” past,
present, and future. Women’s Stud. 2004;34(1):67–83.
https://doi.org/10.1080/00497870590903496. A popular online encyclopedia directly states at the
Querido JG, Warner TD, Eyberg SM. Parenting styles beginning of the article on genius, “There is no
and child behavior in African American families scientifically precise definition of genius, and
of preschool children. J Clin Child Psychiatry.
2002;31:272–7. indeed the question of whether the notion itself
Stagnitti K, Rodger S, Clarke J. Determining gender- has any real meaning is a subject of current debate”
neutral toys for assessment of preschool children’s (Genius, Wikipedia, retrieved Dec. 23, 2011).
imaginative play. Aust Occup Ther J. 1997;44:119–31. The mission of this article is to prove the oppo-
Wood E, Desmarais S, Gugula S. The impact of parenting
experience on gender stereotyped toy play of children. site: to provide a scientific definition of genius and
Sex Roles. 2002;47(1):39–49. to prove that the phenomenon of genius exists and
is worth researching.
The issue of genius is extremely complex. It
involves biological, psychological, and social
aspects of human beings whose achievements
Gender-Free Parenting are considered to be extraordinary. Since the phe-
nomenon of genius falls under the jurisdiction of
▶ Gender-Bias-Free Parenting for Creativity many sciences, the approaches differ dramati-
cally, the opinions on the issue are contradictory,
and the myths are abundant. The fact that may
strike an independent observer most is that there is
no special science studying genius.
Generative Algorithms This situation may be called the genius paradox.
Geniuses like Aristotle, Giordano Bruno, Galileo,
▶ State Space Paradox of Computational Copernicus, Isaac Newton, Louis Pasteur, Albert
Research in Creativity Einstein, and Madam Curie created the scientific
Genius 1047
basis for modern civilization. Many of them are it. (Salny 2009, Retrieved from http://permianbasin.
credited with establishing new sciences: Euclid – us.mensa.org/resources/questionofgenius.html
Dec.23, 2011)
geometry, Claude Bernard – physiology,
N. Zhukovsky – aerodynamics, and Gregor Men- In reality, the IQ tests show that individuals
del – genetics (with the theory of inherited features). who score high have wide knowledge and are
As a top achievement, Hermann von Helmholtz is able to solve intellectual puzzles (problems).
sometimes called the “father of three sciences.” However, it is only the real life that can show
However, those who made all those scientific dis- how impressive their achievements would be in
coveries and created all sciences have not been order to be considered geniuses.
studied scientifically. It looks like a proverbial situ- The same may be stated about the Torrance
ation “shoemaker without the shoes” reached the Tests of Creative Thinking (Torrance 1974).
level of genius because geniuses that created all They measure creative abilities (some score
sciences have not created the science of genius itself. lower, some higher), but whether these abilities
Therefore, to resolve the genius paradox, will be used to get the top achievements to be G
geniusology, a science of genius, was offered. recognized as geniuses is up to the person and
Geniusology was first mentioned at the teachers’ society he or she lives in.
conference in Singapore in 2003 and first published Another example of the term “genius” being
in 2004 (Aleinikov 2004). Some elements of extremely popular and attractive is the creation of
geniusology, like the new definition of genius, the MacArthur Fellowship, nicknamed “genius
megacreativity, and genius classification, appeared award.” It is given by the John D. and Catherine
earlier (Aleinikov 2002a, b). T. MacArthur Foundation each year to 20–40
Americans showing “exceptional merit and prom-
ise for continued and enhanced creative work.”
Traditional and Modern Views on Genius This award actually is a genius way to support
potential geniuses, who, as Oscar Wilde states,
There are thousands of books and articles on “are born, not paid,” and whose work is often
intelligence and creativity as well as hundreds of “nothing for use or profit” (Schopenhauer).
definitions of genius. Since the most popular def- Traditionally, the phenomenon of genius is
initions call genius “a super intellectual power” or defined through:
“extraordinary creative power,” many researchers
study psychosocial background, developmental, • Hard work – “Genius is one percent inspiration
cognitive, educational, and other aspects of a and ninety-nine percent perspiration”
genius to figure out how a person may have (T. Edison). H.W. Austin echoes Edison by
achieved the top level of creativity or intelligence. saying, “Genius, the power which dazzles
Meanwhile, the term “genius” became very human eyes, is oft but perseverance in
popular and overused. For example, after the disguise.”
introduction and popularization of IQ tests, some • Intellect – Genius is a superior intellectual
applied the term “genius” to those who scored power, and people with a high IQ are geniuses
high on the tests. However, Dr. Abbie F. Salny, (as in Stillson 1998).
supervisory psychologist, American Mensa, clar- • Creativity – Genius is a superior creative
ified the confusion by answering the question, power (Gelb 1998; Michalko 1998; Simonton
“Are there really any true geniuses?”: 1999; Sobel 1996; Thorpe 2000).
Genius may be in the eye of the beholder. Further- • Some dominant feature (imagination or sensi-
more, a true genius may not score particularly well tivity) – “The source of genius is imagination
on a standard group IQ test. We know a Nobel
alone, the refinement of the senses that sees
Prize winner who never scored at Mensa level on
a school IQ test. . . And really, those who are what we what others do not see, or sees them differ-
may call a genius don’t need a score to prove ently” (Eugène Delacroix).
1048 Genius
• Some unusual ability – “Genius is an ability to The path to establishing a new science repeats
see through to the essential” (unknown author). itself in many domains. As in many other fields,
“To see things in the seed – that is genius” literature comes first. Numerous literary biogra-
(Lao-tzu). phies of geniuses provide metaphoric, poetic, and
• Power of talent – “Talents are buffaloes, and picturesque descriptions that depict the sociocul-
the most powerful of them are geniuses” (Jules tural background of the phenomenon. Then some
Renard). well-established branches of science research sep-
• Originality – “The principal mark of a genius is arate aspects of genius that form a kind of a
not perfection but originality, the opening of transition from mythology to science with its pre-
new frontiers” (Arthur Koestler). cise terms, abstract notions, and repeatable and
• Error, mistake, and incident – “It [genius] is testable objective data. Finally, the need for gen-
personality with a penny's worth of talent. eralizing the research data on genius becomes
Error which chances to rise above the com- obvious, and consequently, there appears a sepa-
monplace” (Pablo Picasso). rate science with a multidisciplinary approach to
• Madness or mental disease – Mad genius con- coordinate and organize these findings. This sci-
troversy (Durrenberger 1999). ence, geniusology, has its own objective and its
own research methodologies to discover the reg-
Many of the studies of genius are individual ularities and laws of genius development.
centered, while in reality, the concept of genius is In the history of science, when a new science
both social and individual in nature. A simple appears, it unites the efforts of an individual
mental experiment makes it obvious. Even in the researcher and research groups which contribute
case of the most well-known definition stating that to a common goal – an adequate reflection of the
genius is an extraordinary intellectual power, phenomenon.
there is no such thing as an extraordinary intellec- To follow this path of the development, it
tual power individual who grows up in isolation would be correct to start with mythology.
and lives alone somewhere on a desert island. In
such a hypothetical case, first of all, there would
be no learning from the society, no language, and
Myths of Genius
no societal problems to solve; second, there is no
comparison against the other minds in the field for
The issue of genius is surrounded by a number of
measuring social achievements; and third, there is
myths that feed public imagination. Some of the
no social recognition, and consequently there is
most popular myths are summarized below:
no genius. From this point of view, genius is a
social status (name, concept) given by the grateful
society as an “award” to some individuals with Geniuses Are Born
outstanding contributions to humanity. When people say that geniuses are born, not
In some works on genius, authors choose to made, they mean that the main contributor to
take one fate, one individual, and research one life genius is genetics. Inherited features do matter,
while trying to reveal the genius behind (Gleick but without proper upbringing and education,
1993; Seifer 1998). Then there are those who even the best genetic material is doomed. “Genius
compare a few geniuses in hope to deduce a list without education is like silver in the mine”
of common features (Gardner 1993) and those (Benjamin Franklin). On the other hand, even
who research larger groups (Bloom 2002). Many the best training and education would not make a
authors attribute genius to a divine intervention genetic imbecile a genius. The approach is not
(see William Crashaw’s idea in the list of quotes “nature or nurture,” as some people tend to state
below). Some try Darwinian (scientific) approach it, but “nature and nurture.” Only a combination of
to creativity and genius (Simonton 1999). both produces proper results.
Genius 1049
Genius Must Be Visible in Childhood These discoveries may seem accidental, but both
This myth comes from the confusion of prodigy Röntgen and Becquerel were researchers, and had
and genius. It is prodigy that is visible in child- complex equipment in their labs, and
hood. Only 5% of prodigies show up on the experimented with cathode tubes and uranium
genius level – the others burn out and end up in ore. If not them, then earlier or later somebody
oblivion. On the other hand, many of the recog- else would have had such an “accident.”
nized geniuses were considered dumb in child-
hood. Einstein, for example, who was a dyslexic, Geniuses Are Mad
began to speak at about three and needed tutoring The myth about geniuses being mad is supported
in school. Another example, little Pablo Picasso by literature and movie industry. For instance, the
survived elementary school only by having his movie A Beautiful Mind dramatized the genius/
father sit in the classroom (to protect him from madness relationship of the Nobel Laureate John
ridicule). Nash. Some people state it less offensively: a
genius and an insane person are two points of a G
Genius Is Talented in Everything (Gifted) cut-and-open circle. Some authors show that
The idea that geniuses are well rounded and tal- highly creative people have a larger chance of
ented in everything is very popular. Otto being mentally ill. Others disagree. Genius,
Weininger calls it “universality” (see quotes however, is more visible and attractive to media,
below). This myth is only partially true. There while thousands and millions of mentally ill peo-
are geniuses in history, like Leonardo da Vinci, ple stay in mental clinics, kept away from the
Johann Wolfgang von Goethe, and Mikhail public and publicity. In any case, the issue is so
Lomonosov, who were talented in everything; attractive that the first in the world Encyclopedia
however, there were also hundreds of recognized of Creativity – an outstanding collection of
geniuses who were not that gifted but exhibited research in itself – does not have an article on
brilliance only in one field. genius but offers an article on genius/madness
controversy (Durrenberger 1999).
Genius Is Accidental On the other hand, since genius is always far
This point of view is supported by serendipity – ahead of the society he or she lives in, the society
the science of accidental discoveries. The discov- is often merciless and does a lot to make this
ery of x-rays by Röntgen is one of the classical genius seem mad (see the citation by Jonathan
examples. History states he “accidentally” noticed Swift, Oliver Wendell Holmes, and Heinrich
some shimmering lights in the darkness of the Heine below). Moreover, some societies are
room when an electrical discharge was passed mad. Take, for example, the Nazi Germany from
through the cathode tubes blocked by cardboard where Einstein and other scientists had to run
that should prevent light from escaping. He called away. The answer to the question, “Who is cra-
the unknown rays “X-rays.” Another famous zier?”: Einstein poking his tongue out (very pop-
example of “serendipity” is Henri Becquerel’s ular photo) or the society that burns books in the
discovery of radioactivity. There was no sunshine streets and Jews in the concentration camps is
needed for his experiments for several days; so he obvious.
put the uranium compound crystals away to the
drawer on the photo paper. Then “accidentally” or
in impatience he developed films and found white Modern Views on Genius (Highlights)
spot in the form of the crystal on the film. He
correctly concluded that uranium compound crys- Media Approach
tal even without being exposed to sunlight emits Contemporary media is glorifying genius on the
some rays that penetrate the light-resistant paper. one hand and making fun of it on the other, but the
This is how radioactivity has been discovered. fact is media is attracted to genius. Some popular
1050 Genius
magazines dedicate entire issues to genius. There • The principal mark of a genius is not perfection
are articles, books, and Web sites on genius. The but originality, the opening of new frontiers.
issue of genius continues to attract the public. The (Arthur Koestler)
case of Grigory Perelman, who solved the • When a true genius appears in this world, you
Poincaré conjecture, was named “a mathematical may know him by this sign that the dunces are
genius” but refused to receive the Fields Medal all in confederacy against him. (Jonathan Swift)
and $1,000,000 prize, is but one of the recent • Thousands of geniuses live and die
examples. undiscovered – either by themselves or by
others. (Mark Twain)
• The world is always ready to receive talent
Genius Quotes
with open arms. Very often it does not know
Some quotes about genius (retrieved from http://
what to do with genius. (Oliver Wendell
www.theabsolute.net/minefield/genqtpg.html) to
Holmes)
reflect the common knowledge include:
• Genius is the ability to reduce the complicated
to the simple. (C. W. Ceran)
• Geniuses are like thunderstorms. They go • Genius without education is like silver in the
against the wind, terrify people, and cleanse mine. (Benjamin Franklin)
the air. (Kierkegaard) • Everyone is a genius at least once a year; a real
• A genius is one who can do anything except genius has his original ideas closer together.
make a living. (Joey Adams) (G. C. Lichtenberg)
• Genius is born, not paid. (Oscar Wilde) • When human power becomes so great and
• Genius is not so much about new ideas as it is original that we can account for it only as a
about clarity of ideas. Two people can have the kind of divine imagination, we call it genius.
same idea yet it will be genius in the one and (William Crashaw)
mediocrity in the other. (Kevin Solway) • Everyone is born with genius, but most people
• Genius is the ability to act rightly without only keep it a few minutes. (Edgard Varese)
precedent – the power to do the right thing • Every man is a potential genius until he does
the first time. (Elbert Hubbard) something. (Sir Herbert Beerbohm)
• Intellectuals solve problems; geniuses prevent • Universality is the distinguishing mark of
them. (Albert Einstein) genius. There is no such thing as a special
• Philosophy becomes poetry and science imag- genius, a genius for mathematics, or for
ination, in the enthusiasm of genius. (Disraeli) music, or even for chess, but only a universal
• Neither a lofty degree of intelligence nor imag- genius. The genius is a man who knows every-
ination nor both together go to the making of thing without having learned it. (Otto
genius. Love, love, love, that is the soul of Weininger)
genius. (Wolfgang A. Mozart) • Society is a republic. When an individual
• The first and last thing required of genius is the endeavors to lift himself above his fellows, he
love of truth. (Johann Wolfgang Von Goethe) is dragged down by the mass, either by means
• Genius does what it must, and talent does what of ridicule or of calumny. No one shall be more
it can. (Owen Meredith Earl of Lytton) virtuous or more intellectually gifted than
• Andy Warhol is the only genius with an IQ of others. Whoever, by the irresistible force of
60. (Gore Vidal) genius, rises above the common herd is certain
• Oh! How near are genius and madness! Men to be ostracized by society, which will pursue
imprison them and chain them or raise statues him with such merciless derision and detrac-
to them. (Denis Diderot) tion that at last he will be compelled to retreat
• Genius is the capacity to see ten things where into the solitude of his thoughts. (Heinrich
the ordinary man sees one. (Ezra Pound) Heine)
Genius 1051
• It is the genius in reality and not the other who as a deity or spirit that watches over each person
is the creator of history, for it is only the genius from birth. At that time, it was customary to
who is outside and unconditioned by history. glorify the genius of the emperor, the genius of
The great man has a history; the emperor is commanders, as well as on the lower level, to
only a part of history. The great man transcends propitiate the spirits, like the genius of the loca-
time; time creates and time destroys the tion, house, and even gates for protection. This
emperor. (Otto Weininger) genius spirit was associated with wit, talent, some
• Genius is its own reward; the work of genius may prophetic skills, and even generative powers. Ety-
be music, philosophy, painting, or poetry; it is mologically, the Latin word genius came from the
nothing for use or profit. To be useless and unprof- root gignere – beget, produce. The common root
itable is one of the characteristics of genius; it is gen – produce – is now seen in the words gener-
their patent of nobility. (Schopenhauer) ation, genesis, genetics, etc. The first usage of the
word genius in the contemporary meaning “per-
In the research on genius, a genius should be son of natural intelligence or talent” is recorded in G
clearly differentiated from: the seventeenth century. The path of the meaning
change from god genius to human genius resem-
• A hero (one time act – usually a bravery act, bles the path the word creator and its derivatives
often known to one country, like war or revo- went through (see the definition entry on ▶ “Cre-
lution heroes, but sometimes to the whole ativity” in this Encyclopedia).
world, like Yury Gagarin – the first cosmonaut,
astronaut)
• A celebrity (known to the people of the same Research of Genius
generation but may be forgotten as time passes
and culture forges ahead) Modern research on genius ranges from measur-
• A talent (bright, sparkling individuality, easy to ing the weight of Einstein’s brain (after he died in
learn, easy to produce but lacking originality, per- 1955) to psychological research on genius/
sistence, or dedication for high-level innovation) madness connection (see, e.g., http://www.
• A national leader (political figures – well scienceagogo.com/news/20020422222106data_
known to the public but just in line with other trunc_sys.shtml Dec. 22, 2011).
leaders. And leaders come and go) Dean Keith Simonton, for example, developed
the chance-configuration theory to analyze the
Genius is none of these with the exception of scientific genius by using characteristics such as
very innovative political leaders whose achieve- exceptional productivity, lifestyle, motivation,
ments are extremely valued by the society, like age and achievements, family background, edu-
Peter the Great. Often, a genius may be unknown cation, and role models. Convinced that creativity
during one’s lifetime but will be known in centu- can be understood best as a Darwinian process of
ries to follow. Geniuses stay forever; see the pro- variation and selection, he also made it clear that
found thought of Otto Weininger in the quotes, genius belongs to the level of metasciences, like
“The great man transcends time; time creates and philosophy, sociology, and psychology of science
time destroys the emperor.” (Simonton 1999).
The research on genius, however, is contradic-
tory, and some researchers openly express their
Origins and History of the Concept frustration with the situation:
Development
After hours of research, days of discussion, inter-
views of few, and surveys of many, our attempts at
Historically, the word genius can be traced back to discovering the exact definition and cause of
Latin. In ancient Rome, a genius was understood “genius” have been almost futile. There are no two
1052 Genius
sources that will give the same definition of genius, processes fall into some well-defined and logi-
and in talking to several experts in the field of cally differentiated categories. Classifications
psychology, nobody could come to a consensus on
what made a genius a genius (Arielle Olicker at make reality much simpler. For example, the peri-
http://www.sciencenet.emory.edu/mismeasure/ odic table of elements (Mendeleev) introduced
genius/conclusion.html). order into the large number of chemical sub-
stances. The genius idea that allowed Mendeleev
Similar to the research situation with the defi-
to create such a classification was to use the
nition of creativity (Aleinikov et al. 2000), there
atomic weight of chemical elements for this
are four ways to deal with this multiplicity:
purpose.
First of all, the science of genius can employ
• To select one definition the classifications of geniuses available in litera-
• To accept multiplicity ture and in reality. Then geniusology can create an
• To consider all of the definitions, including the ideal (deductive logic) classification that includes
future ones, as being a reflection on the com- all available and yet undiscovered types of
plexity of the phenomenon geniuses, that is, a matrix with possible fill-ins.
• To offer a universal (scientific) definition that Real-life classifications (prescientific) are
would simplify the issue to its essence “Genius often a conglomerate of empirical observations
is the ability to reduce the complicated to the and theoretical explanations. Traditionally, they
simple” (C. W. Ceran). “Genius is the ability to form a necessary foundation for large-scale
see through to the essential” (unknown author). generalizations.
Since geniuses are human, and humans have to
Many researchers choose the first option and work for a living, the most obvious category of
use the selected definition as a working definition. classification can start with the occupation:
Dr. E. Paul Torrance, “the creativity man,” pre-
ferred the second option. While commenting on • Science genius (like Isaac Newton and Albert
the situation with thousands of creativity defini- Einstein)
tions described in the book MegaCreator: From • Technology genius (like Thomas Edison)
Creativity to Mega-, Giga-, and InfiCreativity • Composing genius (like Wolfgang Amadeus
(Aleinikov 1999b), he said, “Definitions will con- Mozart and Ludwig van Beethoven)
tinue endlessly, but people will learn not to be • Medical genius (like Hippocrates)
disturbed by it and continue finding out more • Teaching genius (like Maria Montessori)
about creativity” (Torrance 2002). • Business genius (like Henry Ford and Bill
Geniusology, the science of genius, employs Gates)
the last two options on the list. First of all, it • Military genius (like Alexander the Great)
accepts all available definitions as a prescientific • Organizational genius (like Napoleon: con-
stage of studying a genius, and second, it offers a trary to the popular opinion, he was not a
scientific definition. military genius – he lost a number of wars
and battles, but when defeated, he could come
back to Paris and organize another army for
Scientific View on Genius: Geniusology, another campaign within months)
the Science of Genius • Artistic genius (like Pablo Picasso, Vincent
van Gogh, etc.)
Geniusology, a new science of genius, was first • Performing genius (like Charlie Chaplin,
mentioned in 2003 (in Singapore) and then offi- Nicolo Paganini, etc.)
cially published in the USA in 2004 (Aleinikov
2004). This classification is naturally unlimited – new
The results of research in science are professions or fields appear and will arise. Ath-
represented by classifications. Objects and letes may say, “Why is there no athletic genius
Genius 1053
(like Hercules, Mohamed Ali, Michael Jordan, and heuristic act). Another one is based on the
and Pele)?” Cooks may say, “Why not a cooking matrix of physical reality offered by Bartini and
genius?” By the way, it was Abraham Maslow the scientific discoveries called the laws of con-
who said that a first-rate soup is more creative servation (Aleinikov 2005).
than a second-rate painting.
The next classification category is the degree of
propagation of self-expression: Scientific Model and Definition of Genius
• Sleeping genius (never awake, passive, not Genius, in the traditional understanding (in the
applied) versus active majority of cases, as it was mentioned above), is
• Hidden genius (actively creating, but never the peak of intellectual achievement or creative
seen, like Copernicus who allowed to publish expression in some field (medium) for which the
his work only after his death) versus open person is “awarded” this title by society.
• Open genius (discovered, often suffering, like In all definitions above, there is one element G
Galileo) missing: the reflection system, the language, or
• Accidental genius (serendipity genius) – one- the sign. The thing is that the achievement of a
time event, momentous genius, like Joseph genius should be expressed in some semiotic sys-
Rouget de Lisle, the composer of the tem – the system of signs – and then published,
Marseillaise (French national anthem), who, exhibited, and publicized. Whether it is a formula,
according to Stephan Zweig, never meant it to a theory, a discovery, a melody, a painting, a sculp-
be an anthem and was even fighting against his ture, or a pedagogical approach, it must be
song usage but later buried near Napoleon expressed in a system of signs. With this element
• True genius (longtime performing genius, like added, the genius situation becomes a particular
Mozart, Beethoven, Titian) case in the universal state of order depicted by the
universal model of sign, language, language
Finally, the next obvious category of classifi- awareness, speech, and heuristic act, first devel-
cation is the degree of recognition: oped for creative linguistics (see ▶ “Creative Lin-
guistics” and Aleinikov 1988). This is a four-sided
• Unrecognized genius (0, zero recognition) like model in three dimensions. When a symbolic sys-
in the case of Gregor Mendel for 50 years tem is added to the equation, it allows people to
before he was discovered and many others visualize the genius activity of producing newness
who have not been discovered yet. and transferring this newness to the society (see
• Recognized genius (from 1 to about ▶ “Novology” in this encyclopedia).
1,000,000) – already called a genius but still Here is how the universal model of sign, lan-
in the stage of recognition. Sometimes, the guage, speech act, and heuristic act looks.
Nobel Prize winners make their top discoveries In general, as Fig. 1 shows, an individual (A) is
in young age but get the prize recognition for the person who creates a vision of the world (D),
their contribution much, much later. expresses it in symbols of the system (C), and
• Megarecognized (true) genius (over a million sends it to the society (B). Society is understood
of citations, mentioning the name in prolonged as any person, or persons, speaking the same
time (centuries) and space (over the country language or using the same semiotic system. The
borders)). message (AB) is received by the society (B),
evaluated, and appreciated or not appreciated.
These empirical classifications of genius lead The size and the depth of the message can be
to a theoretically sound scientific classification of easily reflected by the size and the depth of the
geniuses. One of them is built on the scientific model. That is why some messages would be
model of genius in general (universal four-sided ordinary (low creative) and quickly forgotten,
model of language, language awareness, speech, while the others – deep and original (highly
1054 Genius
Note that this definition does not mention cre-

B ativity or intellect (to avoid controversy) but men-
Society tions checkable and repeatable elements, like
A
symbolic expression, level of innovation, and
top societal evaluations. This definition is also
Individual domain-free because it can be used for science,
for technology, for arts, for education, etc. It fits
all of the domains.
“House”
C A properly built scientific definition should
include only necessary and sufficient elements.
Symbolic system
D World (Reality) The necessity is usually tested by mentally omit-
ting one element and checking whether the con-
Genius, Fig. 1 Universal model of sign, language, lan- cept still stands. The sufficiency is checked by
guage awareness, speech, and heuristic act applying the definition to real examples and
checking whether all elements of the definition
creative) – would be remembered (valued) for together are sufficient to cover life examples,
centuries. where nothing else is needed.
In the particular case of a genius, the message Checking the primary elements of the defini-
(AB) is so uniquely expressed in a symbolic sys- tion for necessity:
tem (C) and reflects such a highly innovative
vision of the world (D) that it is top valued by • No person (individual) – no genius: neither
the society (B) – that is why this individual (A) is machines (objects) nor groups of people are
named a genius. called geniuses.
Therefore, the model of genius must include • No society – no genius: there is no social
four absolutely necessary elements – elements evaluation at all, so there is no top evaluation.
that are generic (universal for all): • No uniquely expressed highly innovative vision –
no genius: non-expressed originality cannot be
• Individual (to learn, to comprehend social seen, read, heard, and consequently evaluated.
problems, to act) • No world behind the uniquely expressed
• Society (to teach individual first and to evalu- highly innovative vision (empty, meaning-
ate the contributions later) less) – no genius: a nonmeaningful expression
• Symbolic system (to express the vision – lan- like accidental set of symbols, crazy, and stu-
guage, mathematics language, visual arts lan- pid combinations, etc., do not count for genius.
guage, musical language, etc.)
• World (to be reflected by individual) Checking the secondary elements (dependent
on the primary) for necessity:
In addition to the universal (generic) elements
of the situation, the description of a genius • B1 “top valued” – genius is the highest verbal
includes some more elements that characterize award for a human being from the society. So it
individuals that are specifically genius and not is not just “highly valued” (prize, fellowship,
referring to all people. These specific elements or medal) or “valued” – it is top valued. There
are “top valued” by the society, “uniquely is no higher evaluation in the society than the
expressed,” and of “highly innovative vision.” rank of a genius. Rich and famous may be
Therefore, a scientific definition of genius forgotten, geniuses are forever. No wonder,
reads as follows: a genius is a person (A) top there are so many self-proclaimed geniuses
valued by the society (B) for the uniquely and so much media noise about geniuses. For
expressed highly innovative vision (C) of the the definition check, no “top valued” – no
world (D). genius.
Genius 1055
• C1 “uniquely expressed” – articles, books, • William Shakespeare (A) in unique poetic

paintings, sculptures, movies, etc., all are forms (C1) expressed (C) his highly innovative
unique expressions – no compilation and no vision (C2) of the world of human feelings
plagiarism accepted. No unique expression – (D) for which he is top honored (B1) by the
no genius. grateful society (B). By the way, out of 17,000
• C2 “highly innovative vision” – level of inno- words that he used in his poetry 1,700 were
vation matters: world-level innovation, versus new words! A very high level of innovation!
country-level innovation, city-level innova- • Van Gogh (A) in uniquely thick strokes and
tion, and plant-, school-, company-, street-, basic color paints (C1) expressed (C) his highly
family-level innovation. No world-level inno- innovative vision (C2) of the visual world
vation (highly innovative vision) – no genius. (D) thus contributing to the creation of the
new style of arts – impressionism. For this
So, both the primary elements and the second- world-level innovation in the field of visual
ary elements are necessary. arts, he is top valued (B1) by the society (B). G
Checking the terms for sufficiency, here are As an example, one of his simplest paintings –
some examples from science, technology, and “Chair” – was once auctioned for $37,000,000.
arts domains: • Andy Warhol (A) in uniquely multiplied same-
ness of the screen printed images of popular
• Isaac Newton (A) in simple formulas (C1) personalities and artifacts (C1) expressed
expressed his unique vision (C) of the world’s (C) his highly innovative vision (C2) of the
mechanics (D), which saved the society modern repetitious and full of advertising
(B) huge amount of resources that could have world (D), thus founding a new style of fine
been wasted without calculations. For this arts – pop art, for which the society (B) calls
highly innovative vision (C2) of the world, he him a genius (B1).
is considered a genius; mechanics is now • Charlie Chaplin (A) in his uniquely entertain-
called Newtonian physics, and there is a unit ing manner (C1) expressed (C) his highly
named Newton in honor of his name (B1). innovative vision (C2) of the “little-guy-in-
• Albert Einstein (A) uniquely (C1) expressed the-big-city” world (D) for which the grateful
his highly innovative vision (C2) of the world (laughing to tears) society (B) calls him the
(D) in the theory of relativity (C) that advanced genius of silent film (B1).
the science of astronomy and led to many other
discoveries, as well as the introduction of a First of all, notice how the pattern repeats itself
new cosmological constant, for which the in the explanations above. It is exactly what sci-
grateful society (B) top valued (B1) his contri- ence is: it provides testable and repeatable knowl-
butions and considers him a genius. edge. Second, note how the scientific definition
• Thomas Edison (A) in over 1,000 patents cuts off:
(C) uniquely expressed (C1) his highly innova-
tive vision (C2) of the technology world (D), • Computer poetry and music (no A, individual).
which advanced social development • Self-proclaimed geniuses, as well as lower-
immensely for which the grateful society level producers, who write, exhibit, perform,
(B) calls him a technological genius (B1). etc., but are not innovative enough and, there-
• Wolfgang A. Mozart (A) in numerous music fore, not top valued (no B, society; no B1,
compositions (C) uniquely expressed (C1) his recognition).
highly innovative vision (C2) of the world • Intellectuals or IQ test high-scored individuals
sound harmony (D) that opened a new era in that do not develop new vision and do not
classical music, for which he is highly honored express it in writing and publishing, painting
(B1) by society (B), and his music can be heard and exhibiting, dancing, singing, reciting,
everywhere. performing, etc. They may be lazy, too shy,
1056 Genius
and so on – reasons do not matter. Since there is now communicates to the society) is much larger
no production expressed in symbols, no unique than the old part (what society already knows).
expression, no highly innovative vision, there This is what the model of interaction in general
is no basis for rewards (no C1, unique expres- looks like: As Fig. 3 suggests, an individual
sion; no C2, highly innovative vision). (A) creates a new vision of the world (D),
• Senseless, meaningless production in writing expresses it in the language (C) also known to the
or performing – like “monkey typing” or men- society (B), and sends a message (AB) consisting
tally sick doodling that has no reflection of the of known volume (pBCD) and also new volume
world (no D, real world). (pACD). This is the modification of the figure
published first in the article titled “Humane Crea-
On the basis of such a universal model and tivity” (Aleinikov 1999a) to show how creative
definition, it is easy “to see” the essence of the acts expand the society’s culture domain.
genius and to visualize the genius situation. Now, applying it to the issue of genius, this is
A genius is certainly not just the high IQ which what the graph would look like.
is often simply knowledge of already known facts As Fig. 4. illustrates, genius often makes a
and patterns – far from something really new. needle-shape shot into the future, and it takes several
These are not “new frontiers” (see the quote of followers (disciples), then hundreds of researchers,
Arthur Koestler). What new frontiers could be and finally, thousands of commentators to explain
found in the book of puzzles or tests already the genius creative act, thus stretching the social
created by somebody? The test taker merely fol- culture (common knowledge, traditions, rituals) to
lows the test creator and hundreds of those who the height of the genius ideas. Christianity and other
took the test before in order to check its validity. religions are a great example.
This graphic model (ABCD) also allows This model also explains why the society does
researchers to visualize the most important aspect not understand genius and descends to ridicule (see
for the explanation of the genius activity. It is the above what Heinrich Heine, Mark Twain, and Oli-
differentiation plane that cuts the old and the new ver Wendell Holmes said). The needle-shaped long
in the message. This is how the cutting plane shot looks like having no or little foundation in the
(CDp) looks in general: It can be explained as culture domain. It is often seen as “crazy”; it ter-
illustrated by Fig. 2 – any statement (report, arti- rifies people as a statement or vision lacking “foun-
cle, book, research, painting, music show, theatri- dation” (see the quote by Kierkegaard). Certainly,
cal performance, etc.) consists of the old (BCDp) if genius is 50–200 years ahead of the society, it
and the new (ACDp) parts. In the case of genius, would take society 50–200 years of development to
this new part (what genius has discovered and catch up with the genius. Only then, the society will
appreciate the intellectual or creative power of the
person and call this person a genius.
This model also shows that a genius is the
B fastest culture expander. A genius either pro-
p Old
New Society duces ten/hundred times more (i.e., faster) than
A
a talented person or is the first to arrive at a
discovery (a highly innovative vision of the
Individual world). This is the essence of a genius and
another short definition: genius is the fastest
“House”
culture expander!
C Speaking about speed, preliminary research
Symbolic system shows that geniuses produce about ten times
D World (Reality) more new ideas than talented people and about
100–1,000 times more than ordinary people.
Genius, Fig. 2 The new/old plane in the model Geniuses produce so many new ideas that it
Genius 1057
Genius, Fig. 3 Model of

creative act expanding Culture domain
culture
Old B
A New P
Society
Individual
C
Symbolic System D World (Reality)
Genius, Fig. 4 Genius Individual creative acts

creative act expanding Genius creative act expanding culture
culture
Culture domain
Society
Individual creative acts

expanding culture
dazzles the bystanders (see the quote of Ezra concepts of decacreativity (10), hectocreativity
Pound above). (100), kilocreativity (1,000), megacreativity
To measure the genius ideation productivity, in (1,000,000), and gigacreativity
addition to Torrance’s measuring of creative abil- (1,000,000,000) as the numerically defined con-
ities (Torrance 1974) and Kirton’s creative style cepts for measuring the efficiency of creative out-
measurement (Kirton 1994), geniusology intro- put (Aleinikov 1999b, 2002a).
duced the ideation efficiency measurement and a In addition to the first (scientific) and second
new measurement unit (one idea per second ¼ 1 (graph based) definition, geniusology offers a
Alein). Consequently, there would appear new “genius-type” definition of genius. It was
1058 Genius
developed in one of genius thinking classes dur- power.” Then finding a genius (the person extremely
ing the so-called genius definition exercise, where famous for one’s innovation) but not having a supe-
participants were allowed to use only two words rior intellectual power would be considered a coun-
for a definition. Such a two-word definition of a terexample. For instance, Gore Vidal calls Andy
genius is megarecognized megainnovator. As in Warhol, one of the founding figures of pop art, “a
the case of megacreativity (Aleinikov 2002a), the genius with the IQ of a moron.” So the definition
words are spelled together. Only the Microsoft with “superior intellectual power” does not work for
editing program and human editors prefer the all geniuses. If there is at least one counterexample,
spelling in four words. Even in four words, it is the definition is not true.
probably the shortest definition of a genius: mega Note that the definitions, offered by geniusology,
recognized mega innovator. withstand such a counterexample. Andy Warhol is
Since genius is “the ability to reduce the com- certainly:
plicated to the simple” (C. W. Ceran) and genius is
“not so much about new ideas as it is about clarity • A person top valued by the society for the
of ideas” (Kevin Solway), geniusology, the sci- uniquely expressed highly innovative vision
ence of genius, offers a simple, short as a formula of the world
and numerically precise “genius-type” definition: • A mega recognized mega innovator
genius is a mega recognized mega innovator. • The fastest culture expander
Note: In more traditional (less precise) words,
it might be “a super recognized super innovator.” The fact is that his influence spread over all
The term mega, however, is preferable because it medium from fine arts to TV and film industry,
means “million” in science (megawatt, mega- from literature to theater, and then to philosophy.
hertz), while the word super does not have any It was even called the Andy Warhol “empire,” and
mathematical equivalent. some people rightfully doubt it could be done by a
A genius, therefore, according to this “genius- person with low IQ. Much closer to truth is the
type” definition, has two sides united in one: hypothesis that it was his play – the desire to be
controversial, careless, and mysterious which
• Social recognition (over a million references, attracted more viewers to the art, as was in the
quotations, records in time and in space, i.e., Salvador Dali’s case as well.
over the centuries and over the country borders).
• The activity that caused (earned) this recogni-
tion – the activity of innovation that either Practical Applications of Geniusology
includes over a million innovative acts or
involves one or several acts that led to a million In Science
of innovative acts after its discovery. A good Studying geniuses and using genius methods of
example of the latter is the discovery of X-ray thinking brings outstanding results. As a case in
(Roentgen) that spread to medicine, technology, point, studying the methods of Robert Oros di
geology, astronomy, and many other fields. Bartini (Soviet air designer and physicist), the
group of researchers from Monterey and Santa
Finally, from the societal point of view, genius Cruz in California:
is a social phenomenon of highly appreciated
(valued) individual greatness. Genius is just a • Developed a new – mathematically simple and
social verbal award for individual’s outstanding physically sound – vision of the world
contributions for the benefit of society. • Introduced five new sciences and three new
In general, in order to be accepted as a scientific fields of research
definition, a definition should withstand counterex- • Discovered 11 new laws of conservation (for
amples (mental experiments). For example, some- comparison: Isaac Newton discovered one,
body states that “genius is a superior intellectual Johann Kepler two)
Genius 1059
• Offered 12 new measurement units for new thinking method (creative activity), entered it
physical reality (Aleinikov and Smarsh 2011) in a contest in Japan (innovation activity), won
the contest, traveled to Japan to participate in
In Education the ceremony, received $1,500 as winning
The new scientific model of genius allowed edu- prize, and gave his father $500 for “being a
cators to determine precise steps in developing good father.”
genius habits, skills, knowledge, creativity, and • A 12-year-old girl from Felton, California,
innovation patterns both for children and adults. who studied Bartini’s methods, discovered
Genius Education Methodology (GEM) began its two new laws of conservation and used one
practice in 1995 with the opening of School of of them to solve the Great NASA Gravity
Genius in Montgomery, Alabama and quickly Mystery (“Pioneer 10, 11 Anomaly”). For
spread around the world (Germany, India, details see http://globalscience.ru/article/read/
Russia, Singapore, South Africa, Pakistan, 212/ and http://globalscience.ru/article/read/
Thailand, and the USA). GEM showed outstand- 321/). G
ing results in elementary, middle and high
schools, colleges, and universities, in teachers’ The main achievement of GEM, however, is
and principals’ education (for more details see that teachers after this pedagogical intervention
▶ “Creative Pedagogy”). see their students and their own professional
First of all, in its philosophy, GEM considers duties in a totally different way. For saving
that there is a genius in every child and adult. It geniuses in children and adults on four continents,
looks for what Plato seriously calls “peculiar bent media labeled Genius Education Methodology
of the genius” in each (echoed in the speech of (GEM) “the GEM of education.”
Singapore’s Minister for Education, Wong 2001) For comparison, there are other approaches to
and many other authors mention with irony (see genius education and training. Genrikh Altshuller,
Mark Twain, G. C. Lichtenberg, Edgard Varese, for example, teaches the genius life strategies as
and Sir Herbert Beerbohm in quotes). chess game strategies (weak move, better move,
Then GEM defines five steps to the genius the best move), and a person can follow these
level and develops specific methodologies to strategies to win the game of life and after life
maintain the interest of the learner until it becomes (Altshuller and Vertkin 1994).
internal motivation and makes the person being China Daily reports that several “genius train-
educated an idealearner (genius learner), who ing camps” have been established in major cities
learns by oneself – no other motivators (exams, across China, with one in Beijing (retrieved from
tests, grades, diplomas, awards) needed. Just as http://www.chinadaily.com.cn/china/2006-05/19/
Schopenhauer stated, “Genius is its own reward.” content_594875.htm). The approach, however, is
Learning genius thinking methods makes children the “genius ¼ high IQ” approach.
so interested in studying that it changes their lives.
Some examples of teaching the genius thinking
methods to children: Conclusion and Future Directions
• Thirteen worst sixth graders of the school, Genius is an extremely complex subject to study,
selected by teachers out of 1,200 students as and therefore, a separate science, geniusology, is
“doomed to fail,” after a 3-day intervention, evolving to study it. The science of genius is
pass all the exams (math, science, english, created with the purpose of understanding what
and mother tongue) and proceed to the next genius is and how it is affected and reflected at all
level of academic education. This is 100% levels, ranging from the physical to the societal.
success (Jiemin Primary School, Singapore). Its mission is to research genius lives, genius
• One of these pupils, an 11-year-old boy, learning, genius thinking, genius solutions, genius
invented a new skateboard by using a genius ideas, genius imagination, genius character,
1060 Genius
genius feelings, genius habits, genius skills, creates a passionate tribute to the genius of crea-
genius upbringing, genius environment, genius tion, genius of arts, genius of education, and cer-
growth and decline, etc. Every aspect of genius tainly genius of science!
and every bit of knowledge about genius is In the future, geniusology must unite the stud-
extending human understanding of genius, thus ies of intelligence and multiple intelligences with
increasing the probability of improving the studies on creativity (see ▶ “Science of Creativ-
humanity scientific, technological, educational, ity”) and innovation (social newness) because
and social achievements. Geniusology is being genius is the combination of the top intelligence,
built around one object to study, which unifies top creativity, and top social orientation.
research efforts, but it also incorporates diverse, Geniusology must study the strategies of genius
multidisciplinary approaches (see ▶ “Transdisci- thinking and the strategies of genius living, the
plinary Research (Transdisciplinarity)”) to be strategies of genius solutions of the open-ended
developed by academics, scholars, and and ambiguous problems. Geniusology must
researchers from all disciplines. Geniusology investigate creative methodologies and innovative
embraces cognitive, computational, mathemati- leaps, motivational, emotional, and social con-
cal, and educational approaches. The first texts of genius lives, as well as sociocultural,
geniusology results include both theoretical and economic, political, historical, and environmental
practical achievements, such as a new vision of factors, causing genius and developing the genius.
the genius world, new definitions of genius, new Geniusology must study cross-cultural (see
model of genius, new measurements, new mea- ▶ “Creativity Across Cultures”) and intra-cultural
surement unit, and finally Genius Education genius. It must develop measurements of genius
Methodology that applies the research results to activities, abilities, and even products. It must find
the educational practice. The inclusion of the edu- out the roots of greatness and eminence and gift-
cational aspect ensures that geniusology does not edness and talent in all spheres of human life from
become a pure science: it needs testing and arts and science to politics and war.
retesting in education; it needs educational and Geniusology achievements can result in new
industrial applications to save geniuses, to learning technologies, including intelligent
develop geniuses, and to model geniuses. tutoring systems, new visualization tools,
Geniusology, as a new science with its “love” computer-supported collaborative environments,
(Wolfgang A. Mozart) for genius and “love of new digital libraries, and real-time assessment
truth” (Johann Wolfgang Von Goethe) about tools. Obviously, there is a place for mathemati-
genius, is a vast field of research that is open to cal, statistical, and computational modeling that
thousands of researchers. It opens new horizons or will help to develop new tools and technology to
“new frontiers” (Arthur Koestler) for discoveries support the science of genius. Countries that begin
(see ▶ “Invention Versus Discovery”). It to apply the science of genius and its innovative
embraces all previous empirical findings, all the methodologies can achieve a breakthrough in
data gathered by researchers, and builds new the- development in 10–20 years when children who
ories. Just as “philosophy becomes poetry” went through GEM grow into genius thinkers,
(Disraeli), the poetry becomes philosophy, and a make their genius discoveries, patent and imple-
set of definitions randomly taken from the list is ment their inventions, and create their master-
used for illustration of the new science. pieces in arts.
Geniusology analyzes all types of reasoning: anal-
ogy reasoning and mathematical reasoning. It
must research all types of logic: formal, modal, Cross-References
dialectical, deontic, and even “iron” logic and all
types of problem solving: trial and error, lay and ▶ Creative Linguistics
scientific problem solving, creative problem solv- ▶ Creative Pedagogy
ing, innovative problem solving, etc. Geniusology ▶ Creativity Definitions: Approaches
Geometrical Design 1061
▶ Invention Versus Discovery Gleick J. Genius: the life and science of Richard Feynman.
▶ Inventive Problem Solving (TRIZ), Theory New York: Vintage Books; 1993.
Kirton M, editor. Adaptors and innovators. Styles of crea-
▶ Novology tivity and problem solving (revised). New York:
▶ Science of Creativity Routledge; 1994.
▶ Transdisciplinary Research (Transdisciplinarity) Michalko M. Cracking creativity: the secrets of creative
genius. Berkeley: Ten Speed Press; 1998.
Olicker A. Conclusion. Genius research. Retrieved 25 July
2003., from http://www.sciencenet.emory.edu/mis
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retical foundations, problems, and perspectives. Pro- p. 1–10.
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1062 Geopolitics
a global social system that comprises all commu-

Geopolitics nications and actions and makes them mutually
accessible. There exists no social entity outside
▶ Empty Spaces in Space world society, and only events and actors which
are processed in communication can be part of
society. Without being established in communica-
tion, society cannot deal with them.
Global Innovation Ecosystems All other social systems can be regarded as
internal structures of world society, which are
▶ Epidemiology of Innovation: Concepts and also composed of communications and actions.
Constructs The main types of social systems are society itself
(segmentally differentiated in function systems),
organizations and interaction systems. Social sys-
tems of different types are not mutually exclusive
Global Language but rather overlap (or interpenetrate) each other.
▶ Linguistic Dimension of Creativity, Invention, Function Systems

Innovation, and Entrepreneurship Functional differentiation can be seen as the dom-
inant structural principle of world society. While
premodern societies were societally stratified
(dominated by one vertical hierarchy that claimed
Global University System validity for all social spheres), modern society
(understood as one world society) is internally
▶ Global University System in World Society segmented in a growing plurality of thematically
specialized function systems. Function systems
are thematic specifications of communication
like politics, the economy, law, religion, art,
Global University System in sports, the health system, the mass media, science,
World Society and education. A societal function system
emerges when it succeeds in establishing a unique
Thomas Pfeffer (functionally specialized) communicative
Department for Migration and Globalization, domain, which clearly distinguishes itself from
Danube University Krems, Krems, Austria other domains.
Institute for Science Communication and Higher To distinguish itself from its environment, each
Education Research, Klagenfurt University, function system uses its own, unique symbolic
Vienna, Austria generalizations as success media and binary
codes for processing its operations. For example,
the political system uses the medium of power and
Synonyms operates in the code of powerful/subject to power,
the economic system deals with the medium of
Global university system; World society money and operates along the binary distinction
of paying/not paying, and the legal system com-
municates in the medium of law and uses the code
Key Concepts and Definition of Terms legal/not legal. Media and binary codes increase
the probability of otherwise improbable commu-
World Society nication (e.g., the exchange of money against
From the perspective of modern systems theory in goods) and allow for subsequent communication
the tradition of Niklas Luhmann, world society is of the same type (e.g., using received money for
Global University System in World Society 1063
further purchases). The binary code makes it pos- behavioral expectations toward their members
sible to identify communications of the same type. inside. Decisions, which can be attributed to
By linking them, operational closure and the self- their members or to the organization as such, are
production of a function system can take place. the core operations of organizations. The recur-
Each of the success media and respective binary sive connection of its own decisions leads to oper-
code only has validity within the thematic domain ational closure of the organization. This
of its function system. operational closure of the organization is the pre-
Two crucial consequences follow from this requisite for its informational openness. Only on
concept. First, the arrangement of function sys- the basis of its own decisions, an organization can
tems in world society is segmental. They exist in observe its environment and communicate exter-
parallel to each other in a nonhierarchic order. nally (Luhmann 1997: 835ff).
Interdependencies between function systems The formal organization represents a principle,
may exist, but no function system can subordinate which is orthogonal to functional differentiation
or substitute the operations of another one. Sec- (Stichweh 2011: 5). Organizations can (and have G
ond, the thematic focus of each function system is to) switch between different functional domains.
per se a universal one which cannot be reduced to However, they also tend to focus on the binary
a local or regional context. Globalization is not code of respectively selected function systems.
only driven by the political and/or the economic This leads to the emergence of specialized types
system but also by the emergence and expansion of organizations, for example, to companies and
of all other function systems as well, which all banks in the economic system or to courts and
claim worldwide relevance for their thematic prisons in the legal system.
specialization.
While function systems constitute thematically Nation States
specialized communicative domains of global After WW II, a major structural change in the
reach, they cannot interact with other systems in political system of the world society came to
their environment. They observe their environ- completion. The formerly stratified structure of
ment for events which can be dealt with in their colonial states and large empires, which subordi-
respective code. But this is only internal commu- nated local regimes as provinces or colonies in
nication within the function system. To commu- their respective sphere of political control, was
nicate with other social systems, function systems substituted by a segmented structure of formally
depend on organizations (Luhmann 1997: 843). equal nation states (Stichweh 2010: 299), a devel-
opment that led to the establishment of more than
Organizations 130 new nation states since 1945 (Meyer et al.
Organizations are another crucial structural com- 1997: 158).
ponent of world society. The emergence of formal Nation states are territorially bound. Since they
organizations is closely related to the genesis of are political organizations, their primary function
function systems (Stichweh 2007: 137). One can is to generate collectively binding decisions for
speak of a coevolution of both types of social their members by which they facilitate the inclu-
system. Functional differentiation is a prerequisite sion of their members in the global political sys-
for the emergence of organizations, while organi- tem. Modern states can also be regarded as welfare
zations simultaneously promote the expansion states insofar as they moderate the inclusion in
and the unfolding of the internal complexity of other function systems (e.g., the economic, the
function systems. legal or the health system, the education or the
Organizations distinguish themselves from science system). However, nation states cannot
their environment via the principle of member- politically control these function systems. Rather
ship, which is tied on conditions and regulated they have to focus on providing access opportu-
formally. Membership allows organizations to nities to autonomously operating function sys-
define their boundaries to the outside as well as tems, for example, by providing pools of
1064 Global University System in World Society
candidates for inclusion into the respective the- Political actors may set political limits to these
matic domains (Stichweh 2010: 305). activities and try to influence the organizational
structure of universities, and economic actors may
Universities offer incentives for universities to focus their
In mediaeval times, the university emerged as a activities on certain topics. Both may link specific
place to accumulate societally relevant knowl- utilitarian expectations with their engagement.
edge, knowledge that could claim universal rele- And (especially American) universities have
vance. The most important knowledge domains proven to be responsive to their poly-contextual
were law, medicine, and theology, supplemented environments. But external interventions and util-
by various types of arts (e.g., grammar, rhetoric, itarian expectations cannot determine the way in
arithmetic) (Stichweh 2006: 33f). Since this time, which a university operates internally, which is
the main function of universities has been to pro- the communication in the codes of the education
vide (higher) education. Following Kade (2005: and the research system and the communication in
19f), one can claim that universities (in their role its own decisions as an organization. In this
as entities of the education system) use two related “focus of trusteeship” in the development of sec-
success media, knowledge and certificates, in con- ular knowledge and learning, the university is
junction with their respective binary codes know- “perhaps the most important structural compo-
ing/not knowing and passed/not passed. nent of modern societies that had no direct coun-
In the eighteenth century, the amount of terpart in earlier types of society” (Parsons 1961:
socially available knowledge started a huge 261).
expansion, a process that also led to the differen-
tiation of scientific disciplines and disrupted the The Global University System
former hierarchy between knowledge domains. The global university system is not a function
Research as a systematic activity to generate system in the sense described above. Rather it is
new knowledge became a professional activity. an interorganizational system that is based on
Universities became the main places where relationships of observation, interaction, cooper-
research is performed and the validity of knowl- ation, and competition between organizations
edge is certified. In their role as entities of the (Stichweh 2009: 2).
research system, universities use two other suc- While in the past, the development of univer-
cess media, truth and (scholarly) publications in sities largely depended on the development of
conjunction with their respective codes true/not their respective national university systems,
true and published/not published. Scholarly pub- which only occasionally learned from each other,
lications rather than classic texts became the con- mainly from the perceived centers of the global
tent of higher education; the systematic and never university system, the situation is fundamentally
ending test of its validity (true/not true) rather than changing since the midst of the twentieth century,
the mere reproduction of knowledge became a especially since the 1960s. International govern-
crucial principle to gain insight during the educa- mental organizations, like the OECD (e.g.,
tional process. “Education at a Glance”), UNESCO (e.g., the
Combining these considerations, one can say ISCED-classification), or the World Bank, started
that universities produce and reproduce them- to gather data on education and research to
selves by three types of communication: “the systematically compare and to offer advice to
communication of knowledge, called ‘teaching’ national systems.
[or better: ‘education’]; the communication of Based on these data, one can, for example,
problems and questions of ignorance, called observe an increase of the participation rate in
‘research’; and the communication of decisions higher education between 1900 and 2000 from
on teaching [education] and research, called less than 1% to about 20% of the age cohort
‘the organization of a university’” (Baecker worldwide. Enrolment ratios continue to climb
2010: 358). rapidly; in some industrialized countries, they
are well beyond 50% already (Schofer and Meyer example, the European Qualifications Framework
2005). Especially since the 1960s, exponential (EQF), the Southern African Development Com-
growth took off on a global scale. This growth in munity Qualifications Framework, or the South-
enrolment ratios is accompanied by a rapid pro- east Asian Nations Framework Arrangement.
liferation of universities and the differentiation of Having been squeezed between the academic
types of higher education institutions. The Inter- profession and the state, the traditional university
national Association of Universities (IAU) cur- (especially in Europe) had much resemblance
rently lists more than 17,500 institutions with both an assembly of a guild and a subunit
worldwide, a number that is growing constantly. of the state bureaucracy but often lacked a strong
The emergence of higher education research organizational identity of its own. Its members
as a distinct research field also can roughly be tended to have stronger loyalty to their respective
dated in this time. Authors like Joseph Ben-David disciplinary communities and to the state admin-
(1977) or Burton Clark (1983) started to system- istration than to their home institution, which left
atically compare selected national systems mainly the internal organization of the university G
from European and North American origin. More fragmented in small fiefdoms, a situation that led
recent research also compares clusters of national to the description of the university as a loosely
systems. For example, Pechar and Andres (2011) coupled system. External relations were often
analyze different types of welfare regimes and maintained as personal relations of individual pro-
their impact on higher education: conservative fessors. This situation has been changing in recent
regimes (in Continental European countries) com- decades since universities are increasingly turn-
bining medium public expenditures on higher ing into organizational actors. Krücken and
education with low/no tuition fees, social demo- Meier (2006) identified four related elements,
cratic regimes (in Scandinavian countries) com- which characterize this transformation: the trend
bining high public expenditures with no tuition toward accountability and external quality assur-
fees, and liberal regimes (in Anglo-Saxon coun- ance (which addresses the university as an auton-
tries) combining medium/high public expendi- omous organization), the definition of
tures with high tuition fees. Similarly, Marginson organizational goals (which requires internal
(2011) identifies a “Confucian model” coordination of expectations), the emergence of
(in Southeast Asian countries), which combines formal structures (which represent a growing vari-
low, but focused public expenditures with high ety of administrative and supportive instead of
tuition fees. These are important differences in traditional academic tasks), and the raise of the
the global university system. management profession (which specializes in
An even more interesting phenomenon is the performing these organizational task).
emergence of regional, transnational forms of This emerging organizational actorhood is a
coordination between national systems. The prerequisite for universities to develop organiza-
most prominent example is the Bologna process, tional relationships, for example, for the
which is establishing the European Area of Higher exchange of larger amounts of staff and students,
Education (EAHE) via the introduction of a joint for the cooperation in joint research projects, or
academic degree structure, of the European Credit for the provision of joint study programs. It also
Transfer System as a joint measure to weight and offers universities the possibility to create and join
transfer course certificates, and of joint standards organizational associations based on criteria of
and guidelines for quality assurance in higher location (e.g., European University Association),
education. The Latin American and Caribbean disciplinary specialization (e.g., Association to
Area for Higher (ENLACES) seems to aim in a Advance Collegiate Schools of Business, World
similar direction, but is less developed yet. More Veterinary Association), or status consideration
advanced seems to be the emergence of regional (e.g., League of European Research Universities).
qualifications frameworks, which foster transna- These organizations of organizations serve as
tional comparisons and the transfer of degrees, for exclusive clubs, which promote joint interests
but also develop expectations and set standards becomes a strategic endeavor for universities,
for the behavior of their members, similarly to even if they remain territorially located organiza-
what scientific associations did for individual aca- tions. However, this peculiarity of universities is
demic members. beginning to change as well. In difference to eco-
Another phenomenon that addresses individual nomic multinationals, which have a long tradition
universities and fosters their observation, compar- in establishing subsidiaries in other countries,
ison, and competition is the emergence of national universities have started to experiment with off-
and global rankings of universities. At a national shore branch campuses only in the 1990s. In the
level, the first rankings based on reputational meth- meantime, 162 branch campuses have been
odology have been established in the USA a few established, predominantly in the Middle East
decades ago and can currently be found in more and in Southeast Asia (Wildavsky 2010: Chap. 2).
than 40 countries. At a global level, university Digital media contribute to many of these devel-
rankings only exist since the turn of the century. opments and lead to the virtualization of universi-
Their most prominent examples are the Shanghai ties. In their aim to establish presence in the World
ranking and the Times Higher Education Supple- Wide Web, universities create self-descriptions of
ment ranking. Even if the methodologies of these increasing complexity and post them on their home
rankings are still contested, but their results have pages or portals. These self-descriptions, but also
gained tremendous attention and huge influence on centralized enterprise systems for accounting,
the self-perception and the decision making of reporting, and documentation, foster the integra-
universities. While in the past, institutional com- tion of universities as organizations and their
parisons were rather restricted to a regional space addressability for external communication. Com-
(and universities were often content to blend in into puterized or at least computer-aided forms of
their regional contexts), national league tables and research become widespread in all disciplines, but
global rankings expand the cognitive spaces for additionally, digital media change the ways in
comparisons (and encourage competition among which research is organized, communicated, and
universities to improve or defend their status). published. Similarly, digital media change the
Remarkably, global rankings also seem to steer production, distribution, and accessibility of learn-
the competition between national systems by offering materials, which has consequences on the
ing indicators to measure progress of their devel- production structure of higher education. Given
opments. One of the results is the aspiration of the ubiquitous availability of content, assessment
several national governments to heavily invest in of self-directed learning will become a more
selected institutions to push them into the per- important part of education than the mere distribu-
ceived league of world-class universities, even if tion of knowledge. And, if higher education is
the rationale behind these plans in some cases about the alphabetization at an academic level
seems to be one of national pride and of politically (i.e., educating students in the ability to read and
profitable ambition rather than of sorrow economic to write scholarly texts), it becomes a new task for
calculation (Wildavsky 2010: Chap. 4). For some universities to foster literacy in selecting, analyzing
countries, this also means a step toward more strat- and understanding digital forms of academic
ification and a departure from prior attempts to knowledge resources and databases, and in produc-
create homogenously composed national univer- ing academic publications in new digital formats
sity systems. and genres (Pfeffer 2012).
Mobility of staff and students always has been
an important characteristic of universities. In this
sense, they always have been international orga- Theoretical Background and Open-
nizations even if this mobility has often been a Ended Issues
random or at least unsystematic effect. Becoming
more entrepreneurial, the search for talents and World society is a distinct layer of reference, the
for revenues on international and global markets starting point of macro-sociological analysis, not its
empirical result (Hasse and Krücken 2005: 187). observe the increasing complexity in the environ-
There are not too many theoretical concepts avail- ment of universities, the multiplicity of contexts to
able that deal with the analysis of world society. refer to and the increasing variety of organiza-
Maybe the most prominent alternative to modern tional actors to deal with.
systems theory is the strain of neo-institutionalism From a theoretical perspective, it seems
that has been developed by John Meyer and the crucial to conceptualize and analyze phenomena
so-called Stanford School, which also conceives like international organizations, regional (tran-
the nation state as an organizational phenomenon snational) organizations, and organizations of
within world society. In this concept, world society organizations in the global university system
comes to existence through global processes of without following merely political or economic
modernization which spread “world cultural considerations. From a political perspective,
models” or “taken-for-granted scripts.” The world- nation states should depart from ideas of unilateral
wide dissemination of these rationalistic models or control of their universities, or of nationally
scripts shapes organizational forms and assumptions closed higher education and research markets, G
on which activities have to be done. This neo- which requires new, innovative concepts of higher
institutional approach has also led to an impressive education and research policies. From the practi-
body of empirical research. The studies on the pro- cal perspective of the individual university, it
liferation of the modern nation state and on the seems reasonable to acknowledge the limitations
exponential growth of participation in higher educa- (and benefits) of any given local or national envi-
tion are important examples, which have been men- ronment. But simultaneously, every university
tioned above already. should use the expanding cognitive space of the
However, given its specific interest in the pro- global university system to search for the most
liferation of world cultural models or global appropriate peer organizations to compare with, to
scripts, this approach focuses on the observation compete with, and to cooperate with. The better a
of processes of standardization, on significant university is in positioning itself within the global
similarities, and on trends toward isomorphism. university system, the lesser it will be passive
In difference to that, systems theory is more inter- object of external influences.
ested to observe the evolving complexity and
differentiation of world society. It is therefore
better equipped to deal with phenomena of inno- Conclusions and Future Directions
vation at the level of society, which mainly take
place when new functions emerge and new orga- While in the midst of the twentieth century, the
nizational forms are developed. global university system could adequately be
described as a system of national university sys-
tem, the situation is heavily changing since the
Implications for Theory, Policy, and 1960s. All over the world, participation rates in
Practice higher education grow exponentially, the organi-
zational types of higher education institutions
Theories of the world society in general and the diversify, and their overall number continues to
concept of the global university system in partic- expand. In many countries, universities have
ular can help to avoid methodological national- started to break loose from rigid administrative
ism, the tendency to take the nation state as the control by their national governments and are
main source, the dominant actor, and the sole end increasingly developing organizational identities
of innovation, and social developments, espe- and actorhood. Additionally, new organizational
cially when it comes to universities. This does actors of various types gain importance.
not mean that the global level is the only relevant To observe further innovations in the global
for further considerations, which substitutes all university system, a wide range of questions
other structures. Rather, these concepts help to emerges:
• What are the most important international ▶ National Innovation Systems (NIS)
organizations for the global university system ▶ Quality Assurance and Quality Enhancement in
(in addition to OECD, UNESCO, the World Higher Education and Innovation
Bank, etc.)? How can they be compared and ▶ Social Innovation
analyzed in their influence on the global uni- ▶ Social Networks and Entrepreneurship
versity system? ▶ Techno-Globalization and Innovation
• What are the most significant examples of ▶ University Research and Innovation
regional (transnational) coordination between
national systems? Can similar coordination
mechanisms be found within large national References
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are reshaping the world. Princeton/Oxford: Princeton Entrepreneurship
Abdelillah Hamdouch1 and Marc-Hubert Depret2
1
Planning Department, Polytechnic School,
University of Tours, Tours, France
2
Globalization and University of Poitiers, CRIEF, IRIAF, Poitiers
Entrepreneurship (campus of Niort), France
▶ Entrepreneurship in International Context

Synonyms
Cleantech; Environmental innovations; Green

economy; Green growth; Renewable energy; Sus-
Glocality tainable development
▶ Topsy-Turvy: Innovation of Political

Leadership Introduction
The last few years have seen the emergence and

gradual development of a number of innovative
Governance environmental products, services, and technolo-
gies, hence the rapid growth of a tangible “green”
▶ Innovation Policies (vis-à-vis Practice and business/economy which is developing today all
Theory) around the world and which is becoming increas-
ingly organized through the formation of coali-
tions/clusters/networks of “green entrepreneurs.”
However, green entrepreneurship remains
understudied in the literature. Therefore, the con-
Government Commands tours of the phenomenon are rather fuzzy. At the
same time, green entrepreneurs are still facing
▶ Planned Economy and Entrepreneurial substantial economic and noneconomic barriers
Function that hamper their development.
1070 Green Business and Entrepreneurship
Environmental Innovations and “Green The global turnover generated by the market of
Business”: A Great Potential post-carbon and environmental goods and ser-
Entrepreneurship Opportunity vices exceeds $5,000 billion (BERR 2009). This
estimation is recouped by various other indicators
Broadly speaking, environmental innovations can or concrete evolutions observable in several spe-
be defined as new or modified processes, tech- cific areas (environmental technologies, environ-
niques, practices, systems, and products to avoid mental goods and services, clean technologies or
or reduce environmental harms. When widening energies, renewable, etc.). Indeed, most available
the scope, it comprises all the activities related to studies emphasize the fact that green markets are
the environment, all sectors of cleantech (fuel now reaching a “critical mass,” display high
cells, new materials, energy efficiency, etc.) and growth rates, and should continue to develop in
renewable energies (agro-fuels, solar and wind the next future, particularly in renewable energies
energy, biomass, etc.), and all the activities desig- and energy efficiency.
nated as being “low carbon.” At the corporate level, a growing number of
For many experts, the challenging issues companies are now adopting a “corporate social
related to sustainable development (SD), to the responsibility” (CSR) and sustainable develop-
preservation of the environment, and to the atten- ment (SD) approach in their organizational and
uation of climate change effects give rise to a strategic orientations and are also investing and
continuous stream of significant innovations diversifying more and more in green activities. At
that may even constitute a “new techno- the same time, following the Kyoto Protocol rat-
industrial paradigm.” For the entrepreneurs (and ification, R&D expenditures, as well as the num-
investors), green business is therefore a great ber of patents and of commercialized innovations
opportunity of profit in many sectors. Indeed, in the environmental field has literally boomed.
various converging trends provide clear evidence Lastly, there is now a move toward the formation
that “green markets” are now substantial and of networks and clusters focusing on activities,
grow rapidly. research, and innovation in these environmental
This structural momentum – that President fields (Depret and Hamdouch 2012).
Obama has designated as being a “Sputnik This fast-growing trend is also observable in the
moment” in his 2011 State of the Union address – world of finance where both the number and the
reflects a change in the way different stakeholders size of merger and acquisition deals have substan-
perceive environmental issues in four key areas tially risen in the recent period. Equally, some key
(Hamdouch and Depret 2010). Firstly, the environ- actors in the financial field (venture capital compa-
ment has become a global and long-term challenge. nies, ethical funds, and several pension and invest-
Secondly, the deterioration of the environment can ment funds) are more and more attracted in
no longer be solely attributed to industrial produc- investing in the environmental business. Finally,
tion processes, and consumption patterns now fea- one should notice the recent fast development of
ture prominently in the equation. Thirdly, the emission or pollution bonds and carbon fund mar-
limited, corrective, and local management of eco- kets within the key financial places.
logical and climatic degradation is gradually being At the institutional level, the context for the
replaced by the conviction that protecting actively development of the green business is also increas-
the environment is not necessarily harming growth, ingly becoming more favorable thanks to various
job creation, and competitiveness. Fourthly and factors, especially the works of the IPCC, the
lastly, decision-makers have understood that a sus- “TEEB report,” and the “Stern report”; the
tainable innovation policy is likely to promote rad- increase and volatility of raw materials and energy
ical environmental innovations with the ability to set prices; the installation of the Obama Administra-
in motion the cumulative and long-term develop- tion in the United States; the financial, economic,
ment of competitive green sectors at a global and and social consequences following the subprime
continental level. crisis; etc. Equally, and in relation with the factors
noted above, the “new green economy” ambition considered (Hamdouch and Depret 2010; Depret
is now provoking a growing commitment in many and Hamdouch 2012).
countries and regions of the public authorities but Still, several statistical data and stylized facts
also of the civil society. This commitment stems are available which attest of the reality and ongo-
partly from an emergent and consolidating change ing dynamism of green entrepreneurship in the
in mentalities and behavior of consumers/citizens key developed and emerging countries.
but also from the conviction that recovery from From an economic point of view, the markets of
the crisis requires a more sustainable economic “post-carbon and environmental goods and services
growth pattern. By a matter of fact, this new are concentrated around only few key Developed
“ecological awareness” translates very concretely Countries and Emergent ‘players’” (BERR 2009).
in the privileged role given to the “green growth” Indeed, most leading green clusters are located
theme in public policies, as asserted by the new in these countries (Depret and Hamdouch 2012).
institutional, fiscal, and social policy orientations This is a core factor for spurring green entrepre-
which aim at creating favorable conditions for the neurship as innovation clusters and networks G
economic development/consolidation of green facilitate greatly the creation of start-ups through
industries (Hamdouch and Depret 2010). the provision of human resources (especially
managerial skills) and the funding needed in the
accomplishment of entrepreneurial projects (see
Missing Green Entrepreneurs in the entry ▶ “Clusters” in this volume).
Economic and Managerial Literature By a matter of fact, the green entrepreneurship
phenomenon relies heavily on the growing sup-
For all the reasons examined above, green markets port of funding and investment institutions that
appear today as a great strategic opportunity for are attracted by the economic potential of inno-
many entrepreneurs who see in them the chance to vating projects in the environmental field. Invest-
win the new global competitive race based on SD, ments in cleantech have increased rapidly during
CSR, and green growth approaches. the last few years (see UNEP and Bloomberg New
It may then appear surprising that this entrepre- Energy Finance 2011).
neurship phenomenon around environmental activ- From a technological point of view, about three
ities has barely been addressed in the economic and quarters of financial investments in renewables
managerial literature on entrepreneurship and clus- are devoted to wind energy and take the form of
tering that has proliferated in recent years (see this asset finance of utility-scale projects due to the
volume). Even worse, there are hardly any publica- very high cost induced by this king of energy
tions, case studies, or best practices released by generation. Indeed, venture capital (VC) and pri-
academics, journalists, or experts on “green entre- vate equity (PE) firms invest very few in wind
preneurs” though some of such entrepreneurship energy. Rather, they invest in solar energy or, to a
dynamics is a truly visible phenomenon today in lesser extent, in biofuels, particularly because they
many countries (see Cooney 2008; Isaksson 2009; consider that the chance is higher for a new entrant
Warren 2009; Horwitch and Mulloth 2010; Koester to take competitive advantage in the latter than in
2010; Wüstenhagen and Wuebker 2011). the former sectors.
From a geographical point of view, financial
investments attracted by China, India, and Brazil
Green Entrepreneurship: A Reality, But a were as important as those attracted by the USA
Contrasted Phenomenon and Europe taken together. Developing countries
are today far more important than developed
The contours of the green entrepreneurship phe- countries on public market investments and in
nomenon remain rather fuzzy, notably because asset finance for utility-scale projects. However,
green entrepreneurship displays differentiated VC and PE investments in cleantech are clearly
realities depending on the countries or sectors concentrated in North America, while Europe and
South America lag behind and Asia is nearly and non-strictly economic (mainly psychological
absent regarding these sources of funding. and institutional) inhibiting factors and obstacles
(Depret and Hamdouch 2012).
In Search of Specific Green The Economic/Financial Constraints and

Entrepreneurship Policies Barriers are Clearly the Most Important Green
Entrepreneurs Must Deal with
The main green clusters are located precisely in Firstly, green technologies often depend upon the
those countries and regions where the public availability or constitution of a critical mass of
authorities (national, regional, or local) adopt an knowledge, (multidisciplinary) competences, and
active environment and innovation policies (human and managerial) resources that are com-
(Hamdouch and Depret 2010). Indeed, depending plex, cumulative, and, for the most, still embry-
on their geographical location, green entrepreneurs onic or difficult to access. This is notably the case
benefit from a contrasted specific green entrepre- for human capabilities as green jobs require new
neurship (national) institutional context with its “blocks of competence” for the integration of the
strengths and weaknesses. environmental dimension in work attitudes and
However, and paradoxically, including in the professional behavior. From this point of view,
main countries engaged in green growth strate- considerable efforts must be devoted for the mobi-
gies, “green entrepreneurship policies” are practi- lization and training of the manpower, for the
cally nonexistent. For the most, the policies acquisition of new knowledge and know-how,
dedicated to the “green business” are not specifi- and for informing employees about new green
cally oriented toward green entrepreneurs. At technologies and services and their market poten-
best, these policies target small and medium enter- tial. Equally important here is the need for a close
prises that are innovating in green sectors and coordination among a great number of heteroge-
offer to them support via financial, fiscal, or reg- neous and geographically dispersed actors. This
ulatory mechanisms that have been used for other coordination often goes through the formation of
high-tech sectors (IT, biotechnology, etc.): “loan interest coalitions, vertical and horizontal partner-
guarantee programs” (which back private loans to ships, interorganizational networks as well as
promising companies with new technologies); social and political networks, clusters, etc. (see
regional clusters technical and financial assistance above).
(by facilitating access to angel investments and Secondly, green business implies huge R&D,
VC) to entrepreneurs and early stage companies; production, and commercialization costs, notably
business plan contests (prize awarded to winning in energy sectors. Indeed, investing in greentech is
competitors to help them finance their project); usually more costly than investing in polluting
subsidies, grants, and tax exemptions; public- technologies because “green entrepreneurs” must
private partnerships for R&D; etc. At worse, the face the problem of “double (environmental and
policies engaged support as much – if not more – technological) externality” that environmental
the “Greening Goliaths” (large companies or innovations bear. Following this, the financial
incumbents) as “Emerging Davids” or new uncertainties that usually characterize investments
entrants (Hockerts and Wüstenhagen 2010). in the green business can be high enough to dis-
courage risk bearing by private or even public
investors. This is particularly the case for emerg-
Green Entrepreneurship and the ing green technologies that require costly research
Development and Diffusion of the Green infrastructures and huge basic research efforts that
Business: A Hurdle Race both can hardly be engaged by the private sector.
Also, given the challenges characterizing the
The development of green technologies is ongoing and future environmental and climatic
constrained by a series of both economic/financial issues, the (very) long-time scale underlying the
required investments is obviously beyond the character of some green technologies, the uncer-
financial short-medium constraining time horizon tainties surrounding the relevant business models
that most private investors and entrepreneurs must to be implemented, and the difficulty to exit from a
usually face. Moreover, as financial markets are still too narrow market are the main reasons for such
both incomplete (future generations do not con- reluctant attitude of VC and PE investors. This
tribute to the funding of current investments; the explains, in turn, why the supply of VC and PE
market does not allow an efficient inter-temporal funding for clean energy is concentrated among
allocation of risk bearing) and imperfect (risk few key players (Ghosh and Nanda 2011). At the
aversion and excessive cautious attitude of inves- same time, it is perhaps not surprising that some of
tors and savers, lack of fair valorization of natural the biggest VC/PE deals in renewable energy were
resources and pollution costs, risks related to spill- made by companies supported by government loan
overs appropriation, incomplete information, guarantees (UNEP and Bloomberg New Energy
etc.), long-term and risky projects can hardly Finance 2011). Equally important as an explanation
find their required financing. is the fact that VC and PE are primarily invested in G
Thirdly, green entrepreneurs need to get access to early stage projects, which are less capital intensive
differentiated sources of funding depending on the than more mature (and highly capital consuming)
evolution stage of their project: public subsidies, projects (Ghosh and Nanda 2011). Finally, as some
seed capital, public equity, and VC for the first of the most massive environmental technologies
stages of the project and savings and banking (wind turbines, utility-scale solar infrastructures,
resources during the further development of the energy efficiency technologies, etc.) are supported
project. Moreover, depending on the type of project by incremental rather than radical innovations and
they undertake, the risk is high for green entrepre- are also run by large companies, their funding rely
neurs to get trapped within a technological, com- more on project finance resources, bank loans,
mercial, or managerial “valley of death” at one and stock markets than on VC or PE investments.
moment or another of their evolution (see Table 1). Moreover, VC investments “have begun to move
One key obstacle here that green entrepreneurs away from radical technologies related to energy
(especially those involved in radical innovation production and are increasingly focused on
fields) must face relates to the structural weakness energy efficiency, software, energy-storage and
of VC and PE investments. Indeed, less than 4% of transportation” (Ghosh and Nanda 2011, p. 2).
total financial investment comes from VC and Fourthly, green entrepreneurs are confronted
PE. The explanation for this situation is threefold. with important risks (scientific or technological,
First of all, venture capitalists are rather cautious economic, and legal) that render their financial
regarding green sectors, which they still consider prospects even more problematic. These risks
as being too new and risky. The very emergent are susceptible to generate sunk costs (related to
Green Business and Entrepreneurship, Table 1 Technology risk/capital intensity green projects funding matrix
Technological risk
Low High
Capital High Project finance/existing firms Hard to fund (“valley of death”)
intensity E.g.: wind farms, utility-scale solar, “first-gen” E.g.: first commercial plants for
of project biofuel refineries, fabs for solar cells using, unproven solar cell technologies,
established technologies advanced biofuel refineries, offshore
wind farms, carbon sequestration
Low Bank debt/existing firms Venture capital
E.g.: wind and solar components of proven E.g.: energy efficiency software,
technologies, internal combustion engines, lighting, electric drive trains, fuel cells/
insulation/building material, energy efficiency power storage, wind and solar
services components of unproven technologies
Source: Authors, adapted from Ghosh and Nanda (2011, pp. 8–9)
the infrastructure, the maintenance of equipment, generates different forms of inertia and resistance
the training of workers, etc.) that may prove to be (stemming from the sectors that should bear the
significant. This is particularly the case in certain costs for this transition and from their lobbies) that
industries (automobiles, energy, building mate- can slow/block the development of green markets
rials, etc.) where several alternative (and non- and, as a consequence, discourage green
compatible) green technologies are competing entrepreneurship.
within a standardization process. In this context, Secondly, purchasing behavior of key clients
there is a risk that “the winner takes it all” and/or (households, companies, local public authorities,
important switching costs arise for those trapped etc.) for green technologies/products/services can
in “loosing” technological choices. Equally, learn- hardly been anticipated ex ante. This is the case on
ing and experience effects, network effects, and the one hand because this behavior depends on the
other kinds of “increasing returns to adoption” can evolution of the preferences of the actors
deter the entry of pioneer entrepreneurs in green (sensitivity to the economic environment, quality
markets, especially those which are either emerg- of the available information, “fashion” and “band-
ing ones or hardly “contestable” by newcomers. wagon” effects, influence of eco-labels, etc.).
For all these reasons, the transitory intervention of These preferences cannot be easily quantified
public actors (whatever their nature and forms of and are traditionally rather conservative and
intervention) along with the risks taken by the entre- routine-based. On the other hand, clients’ price
preneurs is often indispensable for the emergence sensitivity and their consent to pay for green prod-
and development of a viable green business. Specif- ucts depend greatly on the changes affecting rela-
ically, only the State is able to mitigate market uncer- tive prices, which themselves are influenced by
tainties, both through the pooling of the diversifiable many exogenous factors: increase in the prices of
risks and by directly taking in charge the conse- key natural resources and energy sources; eco-
quences of the extreme and nondiversifiable risks. nomic life duration of technical equipment; level
Besides, the State should also create a “favorable of eco-taxes, nature of environmental regulations,
environment” for long-term investors. and importance of public subsidies in favor of
However, public funding is not a panacea environmental R&D efforts; degree of standardi-
because it also creates at least three additional zation and substitutability of the alternative green
sources of uncertainty for the entrepreneurs or technologies/products/services that are available;
investors. The first one relates to the possible intensity of learning effects and their impact on
capture by a small number of powerful/better costs/prices reduction over time; etc. As a conse-
informed “players” (large companies or lobbies) quence, there still are many uncertainties regard-
of a large portion of the public funds offered. The ing the growth rhythm, the robustness, and the
second source of uncertainty is the creation, solvability of the demand for green products,
through the public intervention, of “bubbles” even if the trend is positively oriented.
around green technologies or market niches that Thirdly, green entrepreneurs often face techni-
may ultimately prove to be economic or techno- cal or institutional problems relatively hard to be
logical “deadlocks.” Finally, unless the public overcome. This is the case when some key infra-
policies devoted to the development of green mar- structures or technical networks (energy, trans-
kets and technologies are clear, credible, and ports, etc.) are weak or even lacking. There is
coherent over time in their deployment, it is likely also a difficulty related to the scarcity of some
that the public intervention results in a failure. natural resources or raw materials that are indis-
pensable for certain green technologies. This scar-
Psychological and Institutional Obstacles also city is problematic not only because it increases
Play an Inhibiting Role, Though not as Visible the price for such resources but also because it
as Economic and Financial Barriers confers a monopoly power to those actors
The first difficulty comes from the fact that the (notably, certain large companies and countries)
transition toward a green or carbon-free economy that own, preempt, or produce them (Depret and
Hamdouch 2012). Finally, extra-economic bar- underlying entrepreneurial behavior in green sec-
riers relate frequently to administrative or bureau- tors and on the territorial-institutional specific set-
cratic rules and behavior, especially when these tings that favor at best green entrepreneurship at
are connected to political/strategic reasons the geographical level.
(national security, sovereignty, geostrategic
bargaining power. . .). Equally important is the
absence or weakness of adapted regulations and Cross-References
financial public support to green entrepreneurship
and business development. ▶ Clusters
▶ Entrepreneurship
Conclusion and Future Directions ▶ Innovation
▶ Networks
As it stands today, green entrepreneurship ▶ Sustainable Development G
becomes more and more a visible phenomenon ▶ Technology
though its very industrial bases and development
patterns remain unclear. In particular, the eco-
nomic, political, competitive, and psychological References
context which conditions this development is as
uncertain as contrasted from one country to BERR Department for Business Enterprise & Regulatory
Reform. Low carbon and environmental goods and
another. To be sure, whatever the place, green
services: an industry analysis. Winsford Cheshire:
entrepreneurs need “green (new) business John Sharp: Innovas Solutions Ltd; 2009.
models,” “green (academic or technical) educa- Cooney S. Build a green small business: profitable ways to
tion and training, “green customers/citizens,” become an ecopreneur. New York: McGraw-Hill;
2008.
“green investors,” and “green governments” and
Depret M-H, Hamdouch A. Clean technologies and per-
“green entrepreneurship policies.” spectives of the “green economy” in emergent and
At the same time, one can wonder if green developing countries: foundations, opportunities and
entrepreneurship should be envisaged and ana- constraints (forthcoming). In: Laperche B, Levratto N,
Uzunidis D, editors. Innovation, growth and sustain-
lyzed as a specific phenomenon or if it relies on
able development: the new eco-tech paradigm. Chel-
the more standard factors that support innovative tenham: Edward Elgar; 2012.
entrepreneurship generally speaking, whatever Ghosh S, Nanda R. Venture Capital investment in the clean
the business sector or innovation field considered. energy sector. Harvard Business School working paper,
11–020; 2011.
More precisely, are risks borne by green entrepre-
Hamdouch A, Depret M-H. Policy integration strategy and
neurs higher than for other kind of entrepreneurs? the development of the “green economy”: foundations
Does green innovation emergence and dissemina- and implementation patterns. J Environ Plan Manag.
tion depend on the same support mechanisms 2010;53(4):473–90.
Hockerts K, Wüstenhagen R. Greening goliaths versus
(clustering and networking dynamics, partner-
emerging Davids: theorizing about the role of incum-
ships with large companies, etc.) than innovation bents and New entrants in sustainable entrepreneurship.
in general? J Bus Ventur. 2010;25:481–92.
Finally, the emphasis put today on greentech is Horwitch M, Mulloth B. The interlinking of entrepreneurs,
grassroots movements, public policy and hubs of inno-
probably excessive as it is likely that green ser-
vation: the rise of Cleantech in New York city. J High
vices, the emergence of new amenities, and the Technol Manag Res. 2010;21(1):23–30.
search for solutions toward better quality of life Isaksson A. Cleantech entrepreneurs: attributes, intentions
may well also constitute significant opportunities and performance. Front Entrep Res. 2009;29(5):19.
Koester E. Green entrepreneur handbook: the guide to
for green entrepreneurs. building and growing a green and clean business.
These issues are still under question and New York: CRC Press; 2010.
require further theoretical and empirical investi- UNEP, Bloomberg New Energy Finance. Global trends in
gation, both on the motivations and strategies sustainable energy investment 2011: analysis of trends
1076 Green Economy
and issues in the financing of renewable energy. Frank- importance of cultural, historical, social, and eco-
furt: UNEP Collaborating Centre for Climate & Sus- nomic factors? Results from this study, including
tainable Energy Finance Frankfurt School of Finance &
Management; 2011. theoretical reflections, will be used here as illus-
Warren L. Sustainable innovation and entrepreneurship. Int trative examples of green enterprising.
J Entrep Behav Res. 2009;15(3):315–6. Entrepreneurship today became a banner word,
Wüstenhagen R, Wuebker R. Handbook of research on seen often both in developed and developing
energy entrepreneurship. London: Edward Elgar; 2011.
countries as a solution to many societal and eco-
nomic problems. The meaning of this term how-
ever, varies as there are many different
interpretations and understandings. Mainstream
Green Economy definitions have their roots in the ideas of classical
and neoclassical economists’, who, according to
▶ Green Business and Entrepreneurship Schumpeter (1954) and Blaug (2000), fail to dis-
tinguish the role of entrepreneurs from the capi-
talist, the owner of capital or manager with an
emphasis on profit maximizing. Entrepreneur is
Green Enterprising and Green often identified narrowly as the rational calculat-
Entrepreneurs ing man, homo oeconomicus who acts according
to preferences, based on the rationality of his/her
Aljona Sandgren choice.
School of Business, Åbo Akademi University, During recent years there are attempts to
Turku/Åbo, Finland broaden the view of entrepreneurship, and new
Department of Physical Geography and terms arise such as cultural (Wickham 1998),
Quaternary Geology, Stockholm University, social/public (Steyaert and Hjorth 2006; Nicholls
Stockholm, Sweden 2006; Bjerke et al. 2007; Gawell et al. 2009),
academic (Etzkowitz and Leydesdorff 2001;
Shane 2004), green (Isaak 1998; Schaper 2005,
To have innovative ideas is not enough; one needs 2010), or entrepreneurship for sustainable devel-
to bring innovations to society. Entrepreneurs are opment. The main driver for social/cultural entre-
the necessary link in bringing new ideas to the preneurship, for example, as Kirby (2003) argues
market and society (Audretsch 2007). Green is not wealth creation or business capability but
enterprising is a relatively new concept which creativity, the enrichment of life, by challenging
needs to be further developed, denoting a convention and by opening up ways of thinking
bottom-up approach to solutions to environmental and behaving that previously did not exist.
challenges, broader than cleantech as it is not just Referring to social and/or public entrepreneur-
about technology. There is a general need for ship, researchers emphasize that entrepreneurship
rethinking our understanding of entrepreneurship belongs to society and not just the economy: The
and entrepreneurs, our present practices and pro- focus is on citizens not merely consumers. Social
cesses, applying new social science perspectives. entrepreneurship, as mentioned above, is about
Meaning and understanding, how you think about making a difference, solving a problem, and the
phenomena, is important as this influences our willingness to bring change into society. In con-
actions. The aim of this entry is to offer an anal- nection to social entrepreneurship, it would be
ysis of entrepreneurship in general and green important to mention another significant feature
entrepreneurship in particular, based on a litera- of entrepreneurship pointed out by some
ture review supported by results from case studies researchers such as organizing (Bjerke et al.
of entrepreneurs, focused on environmental solu- 2007). Organizing, creating organizations for the
tions, in Sweden and Russia. What are the main realization of visions, ideas, and opportunities,
drivers of green entrepreneurs? What is the characterizes entrepreneurship as a form of
Green Enterprising and Green Entrepreneurs 1077
interhuman creativity. This means that it is not process, and (3) it includes many varieties of
only about creating new products or services but social endeavors not easily classified as entrepre-
also about forming associations, communities, neurial activity.
and commitments to activities in the public In order to understand the nature of entrepre-
arena. It is necessary to keep in mind, however, neurship and green entrepreneurship in particular,
that such interhuman activity is rooted in its own the author of this entry prefers to take as the point
cultural context – habits, traditions, and attitudes. of departure Schumpeter’s (1911) definition, which
is nonmainstream, with its emphasis on break-
through innovation and which allows us to con-
Green Entrepreneurship/Enterprising sider entrepreneurs as change agents in society. As
Michael Schaper (2005) underlines, economies –
Among researchers focusing on green entrepre- and societies, for that matter – do not change sim-
neurship theory there exists a clear distinction ply because of inevitable sets of circumstances or
between commercial and social entrepreneurs, trends; they can only transmute when there are G
for example, commercial and social ecopreneurs people who individually set new directions, sug-
(Pastakia 1998), green and green–green (ideal gest new ways of doing, and then successfully
type) (Schaper 2005). According to the become role models. In line with the ideas of
researchers, commercial ecopreneurs are those Schumpeter and Schaper, entrepreneurs are such
who seek to maximize personal (organizational) individuals. It is important to notice that entrepre-
gains by identifying green business opportunities. neurs are to be found not only within SMEs but
Social ecopreneurs are those who seek to promote also within large enterprises, as so-called intrapre-
eco-friendly products/technologies either through neurs, according to Pinchot (1985), and within the
market or nonmarket routes. However, based on public or not for profit sector – as mentioned above.
the discussion in this entry and the broader under- The term green enterprising functions as an
standing of the nature of entrepreneurship, the umbrella concept, including all aspects and activ-
division between commercial and noncommercial ities of contemporary entrepreneurs, people with
entrepreneur seems problematic. proactive attitude to life and challenges, acting
The definition suggested here is: Green enter- with passion for the better of others and self to a
prising is based on bottom-up approaches, chal- certain degree, are involved in different kind of
lenge driven rather than market or technology economic activities such as searching funds,
driven. It is about the process of creating and investments, and project financing. Enterprising
acting, finding and implementing innovations here is about entrepreneurship in a broader under-
and/or solutions to environmental challenges, standing which will be developed below.
new creative combinations of phenomena which Greening of business is a term for making an
could be old or recently invented, learned/ enterprise greener, decreasing harmful environ-
developed. mental impact (not just paying lip service to envi-
The meaning of green in this context is “the ronmental concerns in society, by superficial
coherent pursuit of social and environmental aims means, so-called greenwashing).
while being sustainable, not damaging to the envi- Green enterprising is broader than cleantech,
ronment or preventing environmental damage” seen as an investment category (or sometimes, as
(GEF 2011). It is a mindset and an intention, or in EU, overlapping with environmental technol-
it is an existentialist commitment as suggested by ogy, ETAP 2004). Green enterprising includes
Isaak (1998). technology, products, services, practices and pro-
The word enterprising here was chosen cesses, new solutions or combinations, sometimes
(1) partly because of the rather confusing conno- a system of solutions. The underlying idea could
tations linked to the narrow understanding of the appear simple but none the less prove to be smart
word entrepreneurship, (2) partly because it is a (as crayfish used for cleaning water, Vodokanal,
verb form, highlighting the ongoing activity or Russia).
1078 Green Enterprising and Green Entrepreneurs
Green entrepreneurship could materialize for from recycled materials, are provided for
many reasons and be: other companies. Some new products are
based on super high molecular polyurethane
• Driven by intention, challenge or problem research together with information technology
based, emanating from environmental and in cooperation with universities.
social concerns. In the interview cases, Swedish
SME’s Solvatten and Scarab, both focused on
Motivation and Intentions
innovative solutions, based on research, for pro-
viding clean water in developing countries, the
Analyzing the difference between entrepreneurs
guiding motivation being a concern with pov-
in general and green or social entrepreneurs in
erty and disease in developing country contexts.
particular, the argument here is that motivation
• Based on an innovative idea (invention or pro-
and intentionality are the significant
cess): Swedish Biofuels has developed,
distinguishing features. The intentions and goals
through advanced research, an alternative fuel
of entrepreneurs, their consciousness, and their
made from biomass, which could, in part, sub-
values based on moral principles (Bromme
stitute fossil fuels in jet engines.
2011) play a crucial role for the direction of their
• Based on solution: In this case, there is a new
entrepreneurial activity.
solution for financing and ownership of alter-
There is a common view in Western societies,
native power. O2 Vindel, a Swedish wind
however, that market is the main driving force
power company, develops, runs, and sells
behind social and green entrepreneurship. Gov-
wind power. Many of the plants are owned by
ernment’s role is to regulate opportunities for
smaller private companies or by Swedish
market and quasi-market solutions to be used by
municipalities. Ecoprom, based in Russia, ser-
the self-driven, energetic, and calculating individ-
vicing companies in the field of water supply,
ual. USA has a developed system of supporting
sewage, and ecology, and organizing solutions
entrepreneurs by different structures, incentive
in disaster areas, based on biotechnology.
system, a network of venture capitalists, and busi-
• By chance or by seeing a green opportunity:
ness angels. During the annual Swedish–US
The Russian company Promelektronica was
entrepreneurial forum, aiming at generating eco-
originally developing advanced navigation
nomic opportunities for green entrepreneurship in
equipment for ships, filling a gap after the
Sweden and the United States (ESBRI 2011), a
dissolution of the Soviet Union. They also,
question was raised: How entrepreneurship could
including monitoring the quality of the marine
be promoted in Sweden?
environment, developed computer-based
In countries such as Sweden or France, with
antennas and aerials, meteorological support
traditions of large enterprises and strong govern-
and parameters of the marine environment or
ment, people are more likely to choose the secu-
subsystem. Mobile monitoring devices now
rity of working within established enterprises,
developed can provide automatic reporting
having regular income rather than living under
about water quality.
great uncertainty as entrepreneurs do. It is not
• Greening of business: The Research and Pro-
the case in Russia, however, where entrepreneur-
duction Enterprise n.a. Komsomolskaya
ship is a way of survival (Sandgren 2004).
Pravda is a research based company in Russia
focused on energy savings and recycling of
plastics. Also, they are now treating their own Passion or Interest?
waste water and are not polluting anymore. Understanding the sources of human motivation
They have developed a scientific production behind green entrepreneurship can be helpful in
and an association for recycling. They produce answering the above mentioned question. Is it
light diodes and power efficient lighting fit- really the market which drives people in their
tings. Plastic materials and products, made actions? Roger Scruton (2012) argues, however,
Green Enterprising and Green Entrepreneurs 1079
that market solutions subsume human motivation Being Proactive

under the model of cost and benefit by seeing ratio- There are debates in media and research about
nality in instrumental terms. According to him our what role individuals can and should play in
moral motive is bound up with our sense of who we solving the societal/environmental problems. Is
are. It is intrinsic, and not instrumental values are it the responsibility of the government to act for
behind our moral motives. This argument is fully the better of its citizens, leaving to individuals the
supported by the interviewed entrepreneurs and more passive duty of not to harm as some
green entrepreneurs in particular: I am a person researchers suggest (Bromme 2011, forthcom-
driven by personal interest and involvement. ing)? The argument here, however, is that proac-
I must be able to be that in everything...I want to tive attitudes and a bottom-up approach to solving
contribute something in the wider context (LM). . .I societal/environmental problems are significant
wanted to make a difference, to solve a problem: characteristics of the entrepreneurs and in partic-
I wanted to do something for the environment ular, social and green entrepreneurs. Proactive
. . .Saw the problem: polluted water. Wanted to behavior or doing the thing (I am a doer, LM, G
help women (PW) I have always been engaged in 2011) also means that you are not waiting for
social problems, since 1968, poverty and environ- somebody to take care of your problems and that
mental problems, developing countries (ASä). you are willing to make a difference yourself, that
Passion/love, an idea or vision is what drives is, meaning here that individuals matter.
entrepreneurs and not possible future profits as This raises another dilemma, can such entrepre-
expressed in interviews: . . .without passion you neurs be considered as activists, as some
cannot stand all failures and rejections..You burn researchers suggest? If activism is defined broadly,
for an idea and spread your passion to others many social and green entrepreneurs could be con-
(from an interview, PW, 2011). The reason behind sidered as activists to a certain degree, but it would
is as interviewees say: It takes a long time before be going too far to identify them as activists fully.
you can make any profit/get results (ASä, 2011). Entrepreneurship is not just an idealistic action,
Therefore, the idea behind enterprising should be even pursuing idealistic goals; it always includes
strong enough to keep entrepreneurs going all the some kind of economic activity. This issue, pro-
way, despite failures and often a long time, toward blematizing the possibility of combining material
success. It takes at least 2 or 3 years before one can gains for oneself with altruism toward others, again
get positive results, and it often demands a lot of leads to the issue of separation of passion from
efforts and extra working hours. interest. To conclude, there is a gray zone, making
The dichotomy between passion and interest was it difficult to decide whether our actions should be
discussed by Albert O. Hirschman already in 1977, considered idealistic or entrepreneurial (even in its
as pointed out by Hjorth and Johannisson (1997) broader meaning). This is one of the reasons for the
noticed that passion was separated and replaced by preference here for the term green enterprising,
interest in the development of capitalist society, with its broader more inclusive connotation.
which needed control over citizens. Passion with As discussed above, entrepreneurs act
its roots in spontaneity intuition and chaos rather according to their own ideas, values, and moral
than order is not easy to control. Interest (mostly principles, not waiting for the market or govern-
materialistic wealth) in opposite can be steered and ment to take the initiative. This is of course not to
regulated by law, rules, and structures. Therefore, say that government policies or support structures
the emphasis has been on the calculating rational do not play a significant role; entrepreneurs need
man, homo oeconomicus, and not on the passionate support and encouragement in different forms,
one. This separation of passion from interest, how- first of all, financing in different forms, as invest-
ever, is problematic, as could be concluded from the ments and grants, or crowd funding as a possible
interviews and stories told by entrepreneurs, who alternative, as well as tax incentives and regula-
build their businesses and create possible profits on tory infrastructure, as mentioned by the inter-
the basis of their passions. viewees in Sweden and in Russia.
1080 Green Enterprising and Green Entrepreneurs
Entrepreneurship: A Liberating Force? Intrapreneurs do not easily accept the status quo
of things in the organization, and their ideas may
Entrepreneurship is about freedom and the possibil- lead to change in the organization where they
ity to influence and steer your own time (LM) work. Being able to go the alternative way requires,
as mentioned, a strong sense of autonomy and
Another motivation mentioned by the interviewees
courage. Contrarians, as Edward C. Johnson,
is freedom. Being able to raise money for what you owner of Fidelity Investments (1996), calls them,
want to do, becoming self-reliant, makes entrepre- oppose orthodox thinking, and according to him,
neurship, to a certain degree, a liberating force. As
this is the company’s key to success. Through
interviewees confirmed, they choose to become freedom to try new ideas, learning from mistakes,
entrepreneurs because they wanted to be in charge
the company builds on its successes. In any case, it
of their own time and to work on their own terms,
is a great challenge for leadership and management
even though it could mean more work and less to consider such contrarians as assets in the orga-
security as well as no guarantee for success. Uncer-
nization, providing them with an allowing and
tainty and risk is the price they pay for such free-
encouraging atmosphere or giving them a space
dom. Risk here, however, should be seen from a for play, as Hjorth (2006) argues. Intrapreneurs
broader perspective as ownership is not a necessary
need a space where they can try out their new or
characteristic of entrepreneurs, according to
crazy, at least in the eyes of others, ideas for finding
Schumpeter, but instead in relation to one’s own new creative solutions. Otherwise there is a risk of
reputation in case of failure, etc. Attitudes in soci-
losing such people or their commitment.
ety which allow for failure are important for entre-
In this context it is important to point out the
preneurship to develop, as you learn from your difference between management and entrepre-
mistakes. In some countries/cultures, however,
neurship as representing two different rationalities
such as in Sweden, failure is not easily accepted
(Hjorth and Johannisson 1997; Sandgren 2012).
by the society, which influences entrepreneurship Management and managerialism as an ideology is
negatively, because of the tendency not to trust an
striving for control and order which is contradic-
entrepreneur who has once failed in business.
tory to some distinguishing features of entrepre-
Emphasizing the importance of freedom and neurship and entrepreneurs, mentioned above,
autonomy for entrepreneurs, it should be made
such as the strong sense of autonomy and passion
clear that this does not always make entrepreneurs
as their primary motivation.
comfortable to work with. They could cause tur- Another significant factor is the breakthrough
moil in organizations, especially large hierarchical
nature of innovations, which presupposes critical
establishments with strong emphasis on control.
thinking, questioning of norms and established
orders, searching for alternative ways and solutions

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Elias G.

With 481 Figures and 105 Tables

ISBN 978-3-319-15346-9 ISBN 978-3-319-15347-6 (eBook)

The Encyclopedia of Creativity, Invention, Innovation, and Entrepreneur-

The CI2E Encyclopedia Second Edition, published in 2020, has a total of

Professor of Science, Technology Elias G. Carayannis

The CI2E Encyclopedia has a total of 274 entries including deﬁnitions /

Washington, DC, USA Elias G. Carayannis

Creativity Creative Pedagogy

Directed Evolution ® Technology Corporate Creativity

Measuring Innovation Applied Design Thinking Lab and

Rigidity of Scientiﬁc Thought Hinders Entrepreneurship and National Culture

Patents and Entrepreneurship Social Capital of the Entrepreneur

Dr. Elias G. Carayannis is Full Professor of Sci-

with Springer, CRC Press, Praeger/Greenwood,

Academic Proﬁle – Selected Works

sharing at the education sector of the World

• Springer Journal of Innovation and

Major Reference Works

David F. J. Campbell is an Associate Professor

Systems (Springer, 2019, https://www.springer.

Journal of the Knowledge Economy (JKEC)

Igor N. Dubina is Professor of Mathematical

France, Germany, Hungary, Japan, Kazakhstan,

Evangelos Grigoroudis is Professor of Manage-

Marta Peris-Ortiz is Full Professor of Entrepre-

Arvind Ashta Finance, Control and Law, CEREN, EA 7477, Burgundy

Shubhasheesh Bhattacharya Symbiosis Institute of International Business,

Marc Bühlmann Année Politique Suisse, Institute of Political Science, Uni-

Cinzia Colapinto Department of Management, Ca’ Foscari University Ven-

Faridah Djellal Clersé-CNRS, University Lille 1 and RRI, Villeneuve

Alexandra Fabrykowska Department of Political Science, University of

Robert M. Gemmell Department of Strategy and Entrepreneurship, Robin-

Yi Hao The College of William & Mary, Williamsburg, VA, USA

Jonathan Impett School of Media and Performing Arts, Middlesex Univer-

David A. Kolb Department of Organization Behavior, Weatherhead School

José M. Merigó Lindahl Department of Management Control and Informa-

Kamisah Osman Faculty of Education, Universiti Kebangsaan Malaysia,

Paola Plaza-Casado Departament of Business Administration, Faculty of

Renaud Redien-Collot Novancia Business School Paris, Paris, France

Martina Schwarz-Geschka Geschka & Partner Unternehmensberatung,

Gregory Tassey National Institute of Standards and Technology, Gaithers-

Peter Webster Scholarly and Professional Studies, Scholar-in-Residence,

Abductive, Deductive, and Academic Entrepreneur,

Academic ﬁrm; Entrepreneur; Entrepreneurship

Absorptive Capacity Introduction

© Springer Nature Switzerland AG 2020

“intellectual enterprise,” in which universities the societies (¼ oriented toward innovation).

University Academic Entrepreneur

Academic Entrepreneur, Academic Entrepreneurship, Fig. 1 The academic entrepreneur

Mode 1 Mode 2 Triple Helix Quadruple Helix Quintuple Helix

Academic Entrepreneur, Academic Entrepreneurship, Fig. 2 The models of innovation

be achieved with academic entrepreneurships, research activities done as political scientist at

and targeted exchange between the academic References

Key Concepts Audretsch and Thurik (2001), we are now living

SBEFs (Science-based entrepreneurial ﬁrms): to be seen in the context of the strengthening of

generated applications in the framework of a com- academic entrepreneurship is a recent “top-down”

▶ Innovation and Entrepreneurship Tidd J, Bessant J, Pavitt J. Managing innovation: integrat-

Knowledge Application Knowledge Application

Higher Education System, Academic Firm

Knowledge Production Knowledge Production

Organizational Aspects of the perform either within an organization or within

▶ Areas of Innovation in Arts: Innovation and References