Analysing and documenting innovation and innovation processes


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Presented by Ranjitha Puskur at a training workshop, Mekelle, Ethiopia, 16 April 2007.

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  • Presentation will focus primarily on the ability of a developing country to use science and engineering as an engine of economic growth within a national innovation strategy (NIS)
  • People: Integration of research/training/utilization (ex. Egwang’s operation) – connect directly to local environment/needs Policy environment (including financing): will not say much about policy environment Not an expert Many good studies – issues well understood Lacking is implementation of what is known Infrastructure Equipment to carry out R&D/applications (instrumentation including maintenance, upgrades, technical support) Communications (ICT – access to relevant literature) Will not say much about ICT – also well known and under active implementation – give examples of HEP and Mellon in South Africa
  • Analysing and documenting innovation and innovation processes

    1. 1. Analysing and documenting innovation and innovation processes A training workshop Ranjitha Puskur Mekelle, Ethiopia 16 April 2007
    2. 2. Overview of the presentation <ul><li>Purpose of this training workshop </li></ul><ul><li>Orientation to the week </li></ul><ul><li>Concepts of innovation systems </li></ul><ul><li>Tools to analyse and document innovation and related processes </li></ul><ul><li>Strategies for M&E and Scaling out </li></ul>
    3. 3. Purpose of the training workshop <ul><li>concepts of innovation, innovation capacity and innovation processes </li></ul><ul><li>skills and tools to understand and document </li></ul><ul><li>importance of establishing a learning based Monitoring and Evaluation system with appropriate indicators and indigenized methods of information gathering </li></ul><ul><li>processes and linkages required for scaling out of sustainable innovation processes </li></ul>
    4. 4. What is innovation? <ul><li>Change in practices, in the established way of doing things – technological, organisational, institutional </li></ul><ul><li>Use of new knowledge or new use of existing knowledge and its application for social and/or economic use </li></ul>
    5. 5. What is innovation? <ul><ul><li>Indigenous knowledge of one community may become an innovation for another community </li></ul></ul><ul><ul><li>Can be induced or self-initiated </li></ul></ul><ul><ul><li>Radical or incremental </li></ul></ul><ul><ul><li>Can be triggered in many ways – market, knowledge, resource, policy </li></ul></ul>
    6. 6. Why is innovation important? <ul><li>Economic improvement is largely a result of the application of knowledge in productive activities and the associated adjustments in social institutions </li></ul><ul><li>Innovation and technology are also needed to transform countries from reliance on the exploitation of natural resources to technological innovation as the basis for development. </li></ul>
    7. 7. What is an Innovation system? <ul><li>a network of organizations, enterprises, and individuals focused on bringing new products, new processes, and new forms of organization into economic use, together with the institutions and policies that affect their behavior and performance. </li></ul><ul><li>The innovation systems concept embraces not only the science suppliers but the totality and interaction of actors involved in innovation. </li></ul>
    8. 8. AIS
    9. 9. Partnerships form the core.. <ul><li>Purpose </li></ul><ul><ul><li>knowledge sharing </li></ul></ul><ul><ul><ul><li>Constraints, Opportunities, Technology, production contexts, market conditions </li></ul></ul></ul><ul><li>Outputs </li></ul><ul><ul><li>learning </li></ul></ul><ul><ul><ul><li>development and deployment of new products and processes </li></ul></ul></ul><ul><ul><ul><ul><li>social and economic change </li></ul></ul></ul></ul>
    10. 10. <ul><li>Important is how patterns of relationships, habits and practices either nurture or hinder knowledge flows, sharing and process of learning (learning by doing or by interacting) </li></ul><ul><li>Arbitrary and situational boundaries </li></ul>
    11. 11. <ul><li>Innovation is a social process involving many different actors </li></ul><ul><li>Innovation processes can be enhanced by creating more possibilities for actors to interact </li></ul><ul><li>Concern here is not with scientific research on innovation systems but rather with finding practical ways and means of improving these systems </li></ul>
    12. 12. <ul><li>Innovations are the result of learning emerging from right networks of actors working together in certain ways.. </li></ul><ul><li>These certain ways are rules and norms or routines – called institutional arrangements </li></ul><ul><li>Emphasis is on getting the right actors together and getting them to work in certain way </li></ul>Simply speaking ..
    13. 13. Ingredients in an IS <ul><li>People </li></ul><ul><li>Policy Environment </li></ul><ul><li>Infrastructure </li></ul><ul><li>Institutions </li></ul><ul><ul><ul><ul><ul><li>and especially </li></ul></ul></ul></ul></ul><ul><li>Political will </li></ul>
    14. 14. The four main elements <ul><li>key actors and their roles , activities in which they are involved </li></ul><ul><li>the actors’ attitudes and practices ( collaboration, potential inefficiencies, patterns of trust, existence of a culture of innovation) </li></ul><ul><li>the effects and characteristics of patterns of interaction ( networks and partnerships, inclusion of the poor, existence and functions of potential coordination and stakeholder bodies ) , and </li></ul><ul><li>the enabling environment ( policies and infrastructure) - role of policies related to science, technology, and fiscal concerns; the role of farmer and other organizations in defining research and innovation challenges; and the significance of legal frameworks </li></ul>
    15. 15. IS Perspective <ul><li>Technologies alone not enough to bring about innovation </li></ul><ul><li>Multiple sources of innovation </li></ul><ul><li>Partnerships are vital for innovation </li></ul><ul><li>Service delivery systems and capacity to innovate are critical in defining the innovation process </li></ul><ul><li>Roles and interactions of diverse agents => Knowledge exchange, technological and institutional change </li></ul>
    16. 16. What is Innovation capacity? <ul><li>capacity in the sense of the nature and patterns of linkages and interaction and the ways of working, mechanisms of governance and the policy environment needed to bring about pro-poor innovation </li></ul><ul><li>capacity to respond to changing conditions (production, marketing, policy etc) </li></ul>
    17. 17. 2 elements of Innovation capacity <ul><li>patterns of partnership between scientific, developmental, service delivery organizations and poor farmers and the way this can lead to collective investigation and design of location specific technologies, agricultural practices and institutional arrangements. </li></ul><ul><li>the new skills and insights that farmers, NGOs, market actors, service delivery agencies and scientists get from each other when they interact through partnerships. </li></ul>
    18. 18. What is Innovation capacity? <ul><li>increasingly what is required is not generic technical solutions to agricultural problems, but instead local capacities to identify problems and develop solutions </li></ul><ul><li>this does not mean that farmers can solve all their problems themselves. Rather that there is a need to embed farmers in a network of supportive partnerships so they can draw knowledge from others, and combine this with their own and generate innovations in farm practice </li></ul><ul><li>the most important implication for policy of this is that common ways of promoting innovation in farm practice such as technology transfer need to be supplemented by approaches which focus on developing rural innovation capacity in this more holistic sense </li></ul>
    19. 19. Innovation capacity depends on.. <ul><li>Social and institutional arrangements to mobilise different sorts of knowledge that create novelty on a continuous basis </li></ul><ul><li>Knowledge support arrangements that are flexible, relevant, responsive and multi-organisational </li></ul><ul><li>Institutional arrangements and partnership patterns which should be continuously adjusting through learning and in response to changing circumstances </li></ul><ul><li>Innovation capacity development is highly context specific and needs to be built in a locally relevant manner </li></ul><ul><li>Need for new habits and practices that promote the behaviour needed to sustain the above </li></ul><ul><li>There are no ‘ optimal’ arrangements, but only ‘ adaptive’ </li></ul>
    20. 20. <ul><li>Innovation is not about hiring an Einstein or creating a slogan. Everybody is capable of it, and the first sign that it is happening is when people work together, excited because they want to be there, focused on finding a solution to a challenge they all understand (Smit 2000) </li></ul>
    21. 21. Implications .. <ul><li>Trust </li></ul><ul><ul><li>Attitudes, habits and previous experiences determine the presence and/or extent </li></ul></ul><ul><li>Capacity development </li></ul><ul><ul><li>Should be developed on a system basis </li></ul></ul><ul><ul><li>Also in marketing, entrepreneurial and business skills </li></ul></ul><ul><ul><li>Capacity to forge linkages and manage the partnership processes – ‘changing to cope with change’ </li></ul></ul>
    22. 22. Implications.. <ul><li>Enabling environment </li></ul><ul><ul><li>Organizational transformation – culture which promotes linking and learning </li></ul></ul><ul><ul><li>Safe spaces for experimentation and learning </li></ul></ul><ul><ul><li>Incentive and reward system which encourages innovation and outcome orientation </li></ul></ul><ul><li>Drawing on principles and experiential learning Vs blueprints to go to scale </li></ul><ul><li>Partnerships need to be stimulated- do not happen automatically - Who plays the boundary spanning role – institutionalising / formalising </li></ul>
    23. 23. Implications.. <ul><li>creating space for reflection and learning in the crowded schedule of innovation partnerships.. </li></ul><ul><li>systematizing the reflection and learning process </li></ul>
    24. 25. <ul><li>Tools for IS understanding and analysis </li></ul><ul><li>Actor analysis </li></ul><ul><li>Actor linkage analysis </li></ul><ul><li>Innovation systems mapping </li></ul>
    25. 26. Actor Analysis <ul><li>Purpose: to identify and assess the importance of key people, group of people, or institutions that may significantly influence the success or failure of the intervention/project </li></ul><ul><li>To define whom to try to involve in designing a multi-stakeholder process and in which way, and it allows to find out whose information needs must be considered. </li></ul><ul><li>Can assess the organizational ownership – willingness to undertake and stick with the intervention over time. </li></ul>
    26. 27. Opportunities and limitations <ul><li>Opportunities: avoid major mistakes up front </li></ul><ul><ul><ul><li>Can suggest strategies for overcoming opposition </li></ul></ul></ul><ul><ul><ul><li>Conflicting interests must be addressed </li></ul></ul></ul><ul><ul><ul><li>Being a flexible, context specific paradigm that helps focus attention on specific problems, actors, and opportunities for change. </li></ul></ul></ul><ul><li>Limitations: interpreting data that is largely subjective and context specific </li></ul><ul><ul><ul><li>Tends to be used at the beginning – stakeholders and their interests and views may evolve, issues and/or actors may change over time. </li></ul></ul></ul>
    27. 28. Actor Linkage Analysis <ul><li>Purpose: identifying actors who are the actual drivers or hindrance to change </li></ul><ul><li>emphasis is on identifying specific social groups or actors, in a specific location at a given point in time. </li></ul><ul><li>Tools used: Actor linkage maps, Actor linkage matrix, Actor determinant diagrams, Actor time lines and Actor learning and response analysis. </li></ul>
    28. 29. Actor Linkage Map <ul><li>Key actors are shown in a map, arrows between them indicating flows of information </li></ul><ul><li>Single two headed arrows are never used – main point is to examine – power relationship in the control and flow of information on different directions. </li></ul><ul><li>The intensity of the flow can be illustrated by the width of the arrow. </li></ul><ul><li>As the number of actors increase, the map becomes complicated. </li></ul>
    29. 30. Example of a actor linkage map Farmer Research Extension Department Co-op
    30. 31. Example- Actor linkage maps
    31. 32. Actor Linkage Matrix <ul><li>Actors are listed along the vertical and horizontal axes </li></ul><ul><li>Cells represent flows of information from the actors in the rows to actors in the columns </li></ul><ul><li>All cells can be identified by their co-ordinates </li></ul><ul><li>Strength can be indicated by using symbols: </li></ul><ul><ul><li>s = Strong, m = Medium, w = Weak, dn = Don’t know </li></ul></ul>
    32. 33. Example- Actor linkage matrix CBO’s NGOs Private seed cos Donors Farmers NARO  Seed  Train farmers  Seed for dissemination  Feedback  Breeder seed  Provide feedback  Funds  Training farmers  Seed  Feedback CBO’s (Organized seed group)  Sell seed  Sell seed NGOs  Sell seed  Funds  Seed  Train farmers  Sell seed Private seed companies  Funds  Sell seed Donors
    33. 34. Another actor linkage matrix..
    34. 35. Advantages of Actor Linkages Matrix <ul><li>Can deal with complex situation and more actors </li></ul><ul><li>It has a cell for every possible linkage – explore all possibilities </li></ul><ul><li>Helps to pinpoint significant links – more useful for planning, implementation, monitoring, and evaluating change. </li></ul><ul><li>Enable users to condense and store a lot of information about linkages </li></ul>
    35. 36. Actor Determinant Diagram <ul><li>Similar to problem tree </li></ul><ul><li>A group discussion tool to analyse the nature of a particular linkage </li></ul><ul><li>The starting point is a linkage in the map – one that is particularly significant, need to be strengthened, weakened, or learnt from. </li></ul><ul><li>Diagram maps weakening and strengthening focus on the linkages and helps a group to identify possible areas of intervention </li></ul><ul><li>Often carried out with key actors who would be involved in the “implementation” of suggested actions. </li></ul>
    36. 37. Actor Determinant Diagram Farmer/NARS Linkage Strengthening factors Weakening factors What to do? What to do? Adoption of participatory approaches Farmers approached NARS for new varieties NARS to develop capacity in PRA approaches Not enough transport facilities to reach out Strengthen links with DAs and work through them
    37. 38. Actor Time lines <ul><li>Lists key past events in the evolution of an innovation </li></ul><ul><li>Key question: which actor made key important decisions at what time in the past </li></ul><ul><ul><li>Who? </li></ul></ul><ul><ul><li>What decision? </li></ul></ul><ul><ul><li>When? </li></ul></ul><ul><ul><li>Where? </li></ul></ul><ul><li>Establish causal effect relationship </li></ul>
    38. 39. Actor Time line (Cont’d) <ul><li>It is a learning and reflection tool to guide future action. </li></ul><ul><li>Representation </li></ul><ul><ul><ul><li>List of events with dates </li></ul></ul></ul><ul><ul><ul><li>Figure with a sequenced bar chart of actor event over time. </li></ul></ul></ul>
    39. 40. Septagram <ul><li>A tool that is used to demonstrate the relative influence of the different actors – those who give leadership, most influence what happens within the system </li></ul><ul><li>Each actor has their own influence </li></ul><ul><li>Some may exert more influence than others </li></ul><ul><li>Tools helps us to identify those who “exert” most influence, drivers of change </li></ul><ul><li>Can be drawn for different sub-groups </li></ul>
    40. 41. An example 10=100% controlling 1=100% following
    41. 42. Constructing a Septagram <ul><li>Identify all the important actors in the innovation system under consideration </li></ul><ul><li>Ask who exerts most influence </li></ul><ul><li>On a scale of 1-10 ask them to identify the relative influence </li></ul><ul><li>Draw a septagram consisting of a circle, and assign one line for each type of actor </li></ul><ul><li>Let the group decide where to place a sticker on the line representing a particular group of actor </li></ul><ul><li>Connect the points to form the septagram </li></ul><ul><li>The stronger the influence, further away from the centre; weaker the influence, closer to the centre </li></ul>
    42. 43. Innovation system “mapping” <ul><li>Five key elements in describing IS </li></ul><ul><li>Context – policy, trade conditions, market, socio-political environment, NR base </li></ul><ul><li>Key actors and their roles – activities, appropriateness of roles </li></ul><ul><li>Their attitudes and practices – collaboration, potential inefficiencies, patterns of trust, culture of innovation </li></ul>
    43. 44. <ul><li>Patterns of interactions and the effects – networks and partnerships, co-ordination and stakeholder bodies – existence and functions </li></ul><ul><li>Enabling environment for innovation – role of S&T policies, fiscal policies, funding mechanisms, role of stakeholders in defining problems </li></ul>
    44. 45. Why construct them? <ul><li>To enable innovation we must first understand how it happens </li></ul><ul><li>The accounts of how innovation happens is rarely written down </li></ul><ul><li>In agricultural research innovation narratives are often blind to personalities, conflicts, roles of other actors, luck, etc. </li></ul><ul><ul><li>Introduction, Methods, Results, Discussion, Conclusions - does not describe process </li></ul></ul><ul><li>Construction of IHs with stakeholders can bring about learning and change </li></ul><ul><li>Can lend plausibility to impact assessment </li></ul>
    45. 46. Key questions to steps in scaling out process <ul><li>What factors can be identified as critical for making sustainable </li></ul><ul><li>an innovation? </li></ul><ul><li>How to identify end-users , stakeholders and parties directly or </li></ul><ul><li>indirectly affected by the introduction of innovation ? </li></ul><ul><li>How to perform a stakeholder analysis ? </li></ul><ul><li>What are the tools that could be used to make an innovation </li></ul><ul><li>accepted by end users and stakeholders ? </li></ul><ul><li>How can be different stakeholders involved in the innovation </li></ul><ul><li>process ? </li></ul><ul><li>At which stage and to what extent they may influence the change ? </li></ul><ul><li>What is the best level of participation ? </li></ul>
    46. 47. <ul><li>For dissemination and scaling up: </li></ul><ul><li>- Principles and methods of stimulating local innovation processes </li></ul><ul><li>- Lessons from experience in supporting institutional change </li></ul><ul><li>- Lessons in building multi-stakeholder partnerships to create enabling conditions for local innovation processes </li></ul>
    47. 48. Innovation and sustainability
    48. 49. <ul><li>Innovation has to be deemed useful according to the best </li></ul><ul><li>interest of community </li></ul><ul><li>The world of R&D has to better respond to the needs of </li></ul><ul><li>society to increase the chances of success and </li></ul><ul><li>decrease the societal unease </li></ul><ul><li>Technological improvements should achieve the goals </li></ul><ul><li>set in the sustainability development agenda </li></ul>
    49. 50. <ul><li>Social integration of innovation </li></ul><ul><li>relates to impact on people and </li></ul><ul><li>communities : stakeholders and </li></ul><ul><li>employees contentment, child </li></ul><ul><li>labour, health & safety, </li></ul><ul><li>discrimination, transparency, </li></ul><ul><li>outside communication, etc . </li></ul>
    50. 51. A road map for sustainability
    51. 52. <ul><li>A tool for the analysis , planning and implementation of </li></ul><ul><li>sustainable actions </li></ul><ul><li>• A means to create a balanced relationship between </li></ul><ul><li>society, technology and the environment </li></ul><ul><li>• A technique that makes use of participatory methods for </li></ul><ul><li>visioning and reviewing activities </li></ul><ul><li>• A systematic approach for dialogue and co-operation </li></ul><ul><li>between groups of local actors </li></ul><ul><li>• A simple and effective way to handle risks and </li></ul><ul><li>opportunities of stakeholders’ demand and builds </li></ul><ul><li>relationships with them </li></ul>
    52. 53. <ul><li>Awareness rising / make an innovation accepted by </li></ul><ul><li>end users and stakeholders </li></ul><ul><li>How to communicate effectively the benefits of bio-lubricants to </li></ul><ul><li>potential users (Llincwa) </li></ul><ul><li>􀂙 Enabling a soft and durable integration of innovation in the </li></ul><ul><li>local context. </li></ul><ul><li>How to embed an advanced fish-farm in the socio-economic </li></ul><ul><li>system of a peripheral region in Iceland (Mistral Mar) </li></ul><ul><li>􀂙 Definition of strategic options in the innovation development </li></ul>
    53. 54. <ul><li>Shaping future scenarios as strategic tool for innovation development </li></ul><ul><li>Definition of distinctive features in the future virtual network of competencies (E-bsan) </li></ul><ul><li>Promoting joint/concerted actions to ensure the long term success of innovation </li></ul><ul><li>How to involve public sector in undertaking actions and policies for the energy utilization </li></ul>
    54. 55. Steps <ul><li>Awareness building and stakeholders involvement </li></ul><ul><ul><li>Assessment of potential impact on external environment and area of reference </li></ul></ul><ul><ul><li>Internal awareness building as a direct outcome </li></ul></ul><ul><ul><li>External awareness building as as spin-off </li></ul></ul><ul><li>Vision making </li></ul><ul><ul><li>Generation of a commonly shared future vision by creating divergent scenarios related to the technological and innovation problem faced (visions on a sustainable future) </li></ul></ul><ul><li>Idea generation </li></ul><ul><ul><li>Generation of ideas on how the shared vision might be realised. </li></ul></ul><ul><li>Action plan </li></ul><ul><ul><li>Concrete commitment from the participants on the planned initiatives </li></ul></ul>
    55. 57. <ul><li>Thank you!!! </li></ul>