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Innovation management systems and standards: a systematic literature review and guidance for future research.

innovation management literature review

1. Introduction

2. methodology: article selection.

  • As a first step, “Innovation Management” was searched as a keyword in the title, as is consistent with the current literature [ 9 , 12 , 13 , 14 ]; after combining the results from databases, 7476 outcomes were found.
  • They should be peer-review published papers.
  • The papers should be written in English.
  • The publication dates should range from 2006 to 2020; 2006 is the year in which Spanish UNE 166002: 2006 standard was issued by the Spanish Association for Standardization and Certification, which was a major improvement in innovation management systems and standards. These characteristics excluded papers that may have had less scientific rigor, such as monographs, book chapters and other non-refereed journals.
  • In the third step, the sample was reduced to 431 titles after removing duplicates from the article list.
  • The fourth step, after having collected all of the results using reference management software, was to review all of the titles and abstracts in order to determine whether the basic relevance criteria were met [ 14 , 15 ], and then we excluded those beyond our context [ 12 , 16 , 17 ], i.e., articles not concerned with innovation management systems or standards were deemed irrelevant. As a result, 68 studies were accepted [ 18 ].
  • Finally, we manually resumed the search and tracked citations [ 14 , 16 , 19 ], which resulted in the addition of five more articles. In the end, samples of 73 publications were collected. Table 1 shows the above-mentioned steps, and Appendix A shows a list of the relevant papers.

3. Descriptive Results: Analysis

3.1. analysis of the article years, type, effect and recurrence, 3.2. analysis of the countries of origin, 4. comprehensive review of ims/st, 4.1. group a: theoretical studies, 4.2. group b: experimental qualitative studies, 4.3. group c: experimental quantitative studies, 5. discussion.

  • IMS/St needs to be studied in relation to the added values which have been mentioned for each of the new models above, in order to validate whether IMS/St (specially ISO 56000) covers each of them, and if not, to find the needed improvements for IMS/St to fulfill the needs of companies for these added values. The conformity of IMS/St with various sectors of services and industry could also be a very interesting topic for further investigation.
  • Various management standards (environmental management standards, sustainability management standards, social responsibility management standards, quality management standards, etc.) have been adopted in companies. The method of the adoption of IMS/St needs to be clearly studied in order to make the adoption process successful, and to reduce opportunities for conflict between these management standards and IMS/St.
  • More standard analysis of the present IMSts is still needed.
  • A comparative study on IMS/St standards is still needed in order to find the strengths and weaknesses of each of them (although one paper [ 26 ] considered here did address this issue). This provides a good opportunity to develop IMS/St standards.
  • The impact of IMS/St on each type of innovation still needs more research in order to give better understanding of it.
  • The impact of IMS/St on innovation performance should be tested and evaluated in different sectors.
  • The connection between IMS/St and value creation should be investigated.
  • The impact of IMS/St on the performance of companies in detail and overall, also deserves more attention, as the impact of IMS/St is linked to the readiness of companies to invest real money in the implementation of IMS/St.

6. Conclusions

Author contributions, institutional review board statement, informed consent statement, data availability statement, conflicts of interest.

Ref No.TitleYearPurpose
1A measurement scale for product innovation performance [ ]2006Review the findings of the research aiming at envisaging and establishing accurate measurements for two main dimensions of the efficiency of the performance of product innovation in the framework of firm competition.
2A model for corporate renewal requirements for innovation management [ ]2010Enhance the awareness of the constant renewal of the enterprise.
The study addresses the management of innovation, strategic renewal, organizational learning, and organizational change and adapting. It intends to provide a detailed viewpoint on these four different approaches to enterprise renewal.
3A Proposed Innovation Management System Framework: A Solution for Organizations Aimed for Obtaining Performance [ ]2012In order to achieve the real success of the company, the authors suggest a model for the development of an innovation management system to address all significant aspects of the firm system.
4A systematic literature review on firm-level innovation management systems [ ]2015
5Achieving Performance of Organization by Developing a Model of Innovation Management [ ]2013Propose an innovation management framework for marketing innovation, product innovation, process innovation, network innovation, human resources advancement in innovation, administrative innovation, strategic innovation and vision and policy of innovation.
6An innovation management system to create growth in mature industrial technology firms [ ]2015Suggest a multi-case study research framework that links critical components of the innovation system with growth performance.
7Application of the IUMSS methodology in an R&D-oriented nanotechnology setting [ ]2010Examine the usability of management system standards (MSSs) in a nanotechnology setting geared towards R&D.
8Are National Systems of Innovation Converging ? the Case Are National Systems of Innovation Converging ? the Case of Cen/Ts 16555 [ ]2015Study of recent efforts to unify European-level innovation management as a practical measure of the degree of internationalization of national innovation systems.
9Building knowledge for innovation management: The experience of the Umanlab research team [ ]2012Assess the production conditions of methodological expertise for innovation management.
10Business Models for Corporate Innovation Management: Introduction of A Business Model Innovation Tool for Established Firms [ ]2018Supply existing companies with Business Model Innovation Tool
11Chief technology officer’s views and behaviors in the dual innovation management system [ ]2009Introduce the concepts of a Dual Innovation management system consisting of an innovation management system for managing the existing business areas and one for developing new business areas.
12Cognitive Approach in Development of Innovation Management Models for Company [ ]2012Consider the ability to use the cognitive approach to develop CIM models and implement successful innovation management systems.
13Development and Operationalization of a Model of Innovation Management System As Part of an Integrated Quality-Environment-Safety System [ ]2017Establish a relationship between innovation and unified management systems by suggesting, as part of an integrated quality, environmental and safety management system, an innovation management system model.
Innovation management and its correlation to other systems of management.
Provide an innovation management system model to companies as part of an integrated management system.
14Diffusion of the UNE166002 Innovation Management Standard: a forecast model approach towards Internationalization [ ]2014Study the spread of UNE 166002 standard for innovation management in Spain and predict the model of a hypothetical future standard for innovation management internationally.
15Does innovation lead to performance? An empirical study of SMEs in Taiwan [ ]2007Explore the nature and form of everyday innovation activities of Taiwan’s small- and medium-sized enterprises (SMEs) from a multi-dimensional perspective. In addition to discussing the relationship between innovation and organizational performance.
16Effects of innovation management system standardization on firms: evidence from text mining annual reports [ ]2017Study of the effects of the standardization of values and attitudes concerning the innovation in Spanish companies.
17Emerging technologies-beyond the chasm: Assessing technological forecasting and its implication for innovation management in Korea [ ]2016Evaluate technological prediction within a framework for innovation management.
18R + D + I Teams. Bases for the development of R + D +I teams in companies in the Department of Quindío-Colombia [ ]2016Study the possible integration of the public sector’s innovation and quality management practices.
19Fostering innovation with KM 2.0 [ ]2010Develop a general framework that explains how the use of KM 2.0 technologies will benefit new generations of agile innovation processes.
20Importance of an Innovation Management System [ ]2013Respond to two questions. Firstly, what are the benefits of implementing an RDI management based on a certified system? Secondly, what is the impact of implementing a certified innovation management system depending on a Portuguese sample?
21Innovation and ontologies: Structuring the early stages of innovation management [ ]2009Analyse ontology as a modelling, analysis and comparison approach to the vague front-end of innovation management, especially the evaluation and selection of ideas.
22Innovation Management (Une-Cen/Ts 16555-1:2013) Applied To Superior Education: Integration of Disruptive Technologies for the Teaching of Chemistry [ ]2015Introduce disruptive technologies integration in chemistry teaching from an innovation management perspective.
23Innovation management and Romanian SME’s [ ]2010Understand the relation between innovation and SMEs development in Romania.
24Innovation management as part of the general management of the organization [ ]2018Examine innovation management viewpoints and how companies can execute their innovation management practices and be prepared to face emerging challenges.
25Innovation Management in Global Competition and Competitive Advantage [ ]2015Assess the effect of innovation management on the competitive advantage by stressing the value of management of innovation.
26Innovation management measurement: A review [ ]2006Innovation measurement, conceptualized as a process, gives a way for a series of separate studies. The result is a lack of an overall framework that covers the various activities needed to convert the concepts into useful and marketable products. We’re attempting to address this gap.
27Innovation management processes, their internal organizational elements and contextual factors: An investigation in Brazil [ ]2014Study of the relationship between internal organizational components and the influence of contextual variables associated with the innovation management and its challenges.
28Innovation management standards. A Comparative analysis [ ]2011Analyse and compare the first two global standards of innovation management: Spain’s UNE 166002:2006 and United Kingdom’s BS 7000-1:2008.
29Innovation management system based on performance drivers: A study applied to the Brazilian electric power sector [ ]2017Suggest an innovation management system powered by performance motivators.
30Innovation Management System of Ecuador [ ]2015Clarify the emergence of Ecuador’s national system of innovation management and review the public policies and financial movements to enhance this system.
31Innovation management techniques and tools: Its impact on firm innovation performance [ ]2018Discuss how the use of innovation management techniques (IMTS) affects the innovation performance of the company.
32Innovation programs models: Design and management [ ]2019Establish technological capabilities and measure innovation program performance for value creation for micro, small and medium-sized enterprises.
Develop innovation programs as organized processes that integrate innovation in product, service, processes, marketing and business models, while at the same time developing capabilities that allow the company’s leaders to take innovative action.
33Innovation types and innovation management practices in service companies [ ]2007Examine the various types of innovation prevalent in UK service industry companies, the degree of innovation, and the innovation-related practices and their relationship with the firm’s performance.
34Integration of market pull and technology push in the corporate front end and innovation management-Insights from the German software industry [ ]2009Present a conceptual framework focused on theory and can be applied in today’s corporate environment.
35Investigating the use of information technology in managing innovation: A case study from a university technology transfer office [ ]2012Analyse the use of information technology for innovation management.
36ISO 50500 series innovation management: overview and potential usages in organizations [ ]2017This paper discusses ISO 50500 series and motivates their anticipated effect on the creation of an innovation culture.
37IT-supported innovation management in the automotive supplier industry to drive idea generation and leverage innovation [ ]2013Identify the basic scheme of the innovation management system aimed at promoting current automotive supplier innovation management.
Introduce a strategy through IT facilities to enhance innovation management.
38Management innovation through standardization: Consultants as standardizers of organizational practice [ ]2012Claim that consultants-led management innovation is generally highly standardized.
39Management innovation: A systematic review and meta-analysis of past decades of research [ ]2019Conduct a systematic review and meta-analysis of the literature to have an insight into the current empirical research on management innovation.
40Management Innovation: Correcting Mistakes [ ]2015Discuss the issues of Kazakhstan’s innovation development in view of the implementation of the programs approved in the industrial innovative development in the country.
41Management of Innovation Processes in Company [ ]2015This study aims to pursue a thorough analysis of the literature and research realized to create a model for the management of the company’s innovation processes.
42Management of Research, Development and Innovation Systems and the New Np 4457 Standard: an Implementation [ ]2008Explain Brisa’s innovation approach and the modification process carried out to satisfy all the criteria of the new standard.
43Managing the implementation of innovation strategies in public service organisation-how managers may support employees innovative work behavior [ ]2019Identify which management strategies can be used by public managers to improve their employees’ innovative behaviour.
44MIM3: Methodology of Innovation Management for Obtaining the Level 3 of I2MM [ ]2017Create a methodological framework for enhancing innovation maturity management in order to achieve level 3 of the Integrated Innovation Maturity Model (I2MM), taking into account a holistic methodological approach involving good management practices in the following management areas: (a) strategic management; (b) project management; (c) innovation models and methods; (d) innovation management standards, (e) knowledge management, and (f) financial management.
45Model for Systematic Innovation in Construction Companies [ ]2014Define the methods and reasons for encouraging innovation in the construction firms.
46Models with graphical representation for innovation management: a literature review [ ]2017Suggest the type of innovation management models.
47Organizational improvement through standardization of the innovation process in construction firms [ ]2012Specify the innovation’s motivators, success factors, advantages, and challenges in a medium-sized construction firm with a standardized system of innovation management.
48Organizational innovation as an enabler of technological innovation capabilities and firm performance [ ]2012Evaluate the relationship between organizational innovation and technical innovation capabilities and use a resource-based theoretical framework to study their effect on the firm’s performance.
49Organizational innovation management: An organization-wide perspective [ ]2008Establish an organization-wide OIM framework and verify it.
50Organizational innovation: The challenge of measuring non-technical innovation in large-scale surveys [ ]2008Evaluate and monitor organizational innovations by using large-scale surveys.
Identify and measure the organizational innovations in more detail by classifying them and comparing the different approaches for measuring them.
51Self-certification framework for technological innovation: A case study [ ]2016Propose a framework for self-certification to assess technological innovation and approve quality products.
How and why the company’s efforts to introduce self-certification program will contribute to product and process innovation.
52Semantic Innovation Management System for the extended enterprise [ ]2011Propose a Semantic Innovation Management System (SIMS) framework.
53Smart innovation management in product life cycle [ ]2016Develop a framework of product smart innovation management that enables entrepreneurs and organisations to technically and rapidly implement the innovation process, as this framework would store expertise and previous innovation experiences with different products.
54Standardised innovation management systems: A case study of the Spanish standard UNE 166002:2006 [ ]2011Examine the possibility of standardized innovation management.
55Standardization and Innovation Management Letter from Standardization [ ]2017Is standardization an innovation driver or an obstacle?
56Standardization as open innovation: Two cases from the mobile industry [ ]2009Present standardization as a neutral field of open innovation. The numerous open membership policies in the standardization initiatives result in different processes of open innovation.
57Standardizing innovation management: An opportunity for SMEs in the aerospace industry [ ]2019Illustrate how real SMEs apply R+D+I management system by identifying and even testing the need to implement it.
58The challenge of integrating innovation and quality management practice [ ]2016Study the possible integration of the public sector’s innovation and quality management practice.
59The impact of standardized innovation management systems on innovation capability and business performance: An empirical study [ ]2016Study the impact of Standardized Innovation Management System (SIMS) on the firm’s innovation capability, innovation performance, and firm’s results.
60The need for innovation management and decision guidance in sustainable process design [ ]2016Support the effective conversion of emerging technologies into innovation and industrial adoption within Europe. Innovation management and a new decision-making approach are advocated by the authors to enhance a holistic understanding of the economic, environmental and social challenges that new technologies need to respond to.
61The performance implications of the UNE 166.000 standardised innovation management system [ ]2019Examine the impact of the implementation of Standardized Innovation Management System (SIMS) in compliance with Spanish standard UNE 166.000 on technological and administrative innovations and the companies’ performance.
62The Role of Management Innovation in Enabling Technological Process Innovation: An inter-organizational perspective [ ]2013Address the gap that the role of management innovation in fostering technological process innovation in the inter-organizational context has not been fully explored.
63The sources of management innovation: When firms introduce new management practices [ ]2009Innovation in management and its precedents and ramifications for individual enterprises.
64The standardization model of innovation: case of HTEs high-technology enterprises [ ]2016This paper explores how to develop successful innovation management with standardization as an objective for HTEs.
65Toward a multistage, multilevel theory of innovation [ ]2011Suggest a cross-level theory to explain the terms in the process of innovation and outline the main concepts and themes that emerge in innovation research through analysis levels.
66Toward a New Innovation Management Standard. Incorporation of the Knowledge Triangle Concept and Quadruple Innovation Helix Model into Innovation Management Standard [ ]2017In perspective of the quadruple innovation helix model and the knowledge triangle concept, European Committee for Standardization (CEN) has established a critical review of European innovation management system as a technical specification.
67Towards an integrated approach to improving innovation management system of mining companies [ ]2019Identify the key elements of the innovation management system aimed at preserving the company’s innovation practices, improving its innovation performance and enhancing its capacity to innovate, thus constantly expanding the opportunities for future innovation-oriented activities.
68Towards Systematic Business Model Innovation: Lessons from Product Innovation Management [ ]2012Systematically examine the similarities and discrepancies between innovation model of product and business to evaluate the potential of the transfer of insights and best practices.
69Implementing an innovation management system at national research and development institute for industrial ecology–ECOIND [ ]2020Presents the activities performed for the implementation of the innovation management system integrated into the existing quality, environmental, and occupational health and safety management system of the ECOIND institute
70Communities of learning as support for one knowledge and innovation management system: A case study [ ]2020Proposes the creation of a community of learning as a space for innovation within the organization
71Does Standardized Innovation Management Systems Matter For Innovative Capability And Business Performance [ ]2020Assessed whether standardized innovation management systems framework matter for innovative capability and business performance of companies.
72Making ‘hidden innovation’ visible: A case study of an innovation management system in health care [ ]2020Finding a way to make ‘hidden innovations’ visible is important if innovation is to be managed strategically within and across hospitals
73Managing innovation in complicatedly organized facilities [ ]2020To reveal the features and stages of innovation management in complicatedly organized facilities on the example of the city.
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FilterDescriptionGoogle ScholarMendeley ElsevierStep Total
Step 1Articles with selected keywords532021727476
Step 2After applying release date and peer review restrictions 599
Step 3Removing the duplicates 431
Step 4After reading the title and abstract, relevant articles remained 68
Step 5Citation tracking 5
Total73
Journal NameImpact Factor 2019Case StudyTheoreticalSurveyTotal
Journal of Engineering and Technology Management--3003
Procedia: Social and Behavioral Sciences--0303
Technovation0.7562013
European Journal of Innovation Management1.6761012
International Journal of Innovation Management2.1131102
Procedia Economics and Finance0.6290112
Vine 1102
IEEE International Technology Management0.5241001
Advances in Intelligent Systems and Computing 1001
Canadian Journal of Administrative Sciences4.6911001
Chinese Management Studies1.60112
Creativity and Innovation Management1.6670101
R and D Management3.7270011
Dyna (Spain)1.2630101
Edulearn15: 7th International Conference on Education and New Learning Technologies----1001
Engineering Management Journal----0101
European Management Review----0011
International Association for Management of Technology Conference,----0101
Industrial Management and Data Systems----0011
Information Technology and People0.9960101
Innovar----0101
Innovation and Ontologies: Structuring the Early Stages of Innovation Management7.60101
International Journal of Advanced Engineering and Management Research4.1110101
International Journal of Economics and Management Engineering----0101
International Journal of Innovation Science----0011
International Journal of Management Reviews4.0280101
International Journal of Operations and Production Management6.3950011
International Journal of Quality and Reliability Management2.7340011
ISPIM Innovation Symposium3.3470101
Journal of Business Research----0011
Journal of Cleaner Production----0011
Journal of Construction Engineering and Management1.3050101
Journal of Innovation Management Caetano JIM----1001
Journal of Software: Evolution and Process----1001
Journal of the Knowledge Economy--0101
Management Research News--0011
PICMET: Portland International Centre for Management of Engineering and Technology--0011
Proceedings of the 8th European Conference on Innovation and Entrepreneurship--0101
Processes1.9631001
ProQuest Dissertations and Theses--1001
Public Enterprise Half-Yearly Journal--0011
R and D Management2.9081001
Recent Advances in Business Administration 0101
Revista Estudos e Pesquisas em Administração--1001
Scientometrics5.4251001
Technological Forecasting and Social Change--0011
TMQ Techniques, Methodologies and Quality--1001
Total Quality Management and Business Excellence2.771001
VTT Publications0.7311001
Espacios3.8150000
Research Policy1.8670000
American International Journal of Business Management (AIJBM)6.6060011
Technology Analysis and Strategic Management--1001
Systems Research and Behavioral Science2.1811001
Romanian Journal of Ecology & Environmental Chemistry--1001
Journal of Environmental Treatment Techniques01001
TitleYearModelMain FindingsModel’s Added ValueStudy Classification
A Proposed Innovation Management System Framework–A Solution for Organizations Aimed for Obtaining Performance20121New model“Identifying the degree of innovation in any field of the enterprise at any time
Establishing an environment in which innovation includes every stakeholder as a natural activity
Concept analysis suggests ways to enhance ideas and boost the possible added value offered” [ ]
Theoretical
A Systematic Literature Review on Firm-Level Innovation Management Systems2015 “Proposes an interpretative framework of innovation management system and provides recommendations on how the proposed model can be used for implementation.” [ ] Theoretical: literature analysis
Achieving Performance of Organization by Developing a Model of Innovation Management20131New model“Identifying the degree of innovation in any field of the enterprise at any time
Establishing an environment in which innovation includes every stakeholder as a natural activity
Concept analysis suggests ways to enhance ideas and boost the possible added value offered” [ ]
Theoretical
Business Models for Corporate Innovation Management: Introduction of a Business Model Innovation Tool for Established Firms20181“BMI’s management approach differs from the approach needed for product or process innovation.” [ ]“Recognizing concepts, activities or projects in the company, eventually helping to achieve market success” [ ]Theoretical: literature analysis
Cognitive Approach in Development of Innovation Management Models for a Company20121“The models can determine the innovative development concept of the company under challenging conditions of shifting resources and innovation-based economies.” [ ] Theoretical
Fostering Innovation with KM 2.020101 “Customers and other people having roles in the innovation process
Web 2.0 and Enterprise 2.0 technologies as significant enablers” [ ]
Theoretical, data analysis
Innovation and Ontologies: Structuring the Early Stages of Innovation Management20091 “Action-oriented consequences of methodology execution in business reality.” [ ]Theoretical, data analysis
Innovation Management and Romanian SME’s2010 “The continuous incremental innovations made every day by employees will provide the company with the consistent growth it needs.
Sustained innovation is generated by enabling the creativity of employees and teaching them how to identify unconventional opportunities.” [ ]
Theoretical: literature analysis
Innovation Management as Part of the General Management of the Organization2018 “Innovation Management System enables businesses to create and execute strategic plans.
Good innovation management provides an advantage with a major effect.
Innovative projects, with an average of around 20%, contribute 6 to 30% of the increased revenue.
Innovative management, with an average of almost 10%, can also generate savings.” [ ]
Theoretical: data analysis
Innovation Management in Global Competition and Competitive Advantage2015 “Innovation management, including knowledge, technology, staff, vision, leadership and organizational structure, is a multidimensional concept. All dimensions should be controlled by appropriate strategies in order to be efficient.” [ ] Theoretical: literature analysis
Innovation Management Measurement: A Review20061 “Practitioners will be allowed to evaluate their activities in the field of innovation management, identify gaps, shortcomings or defects, and improve possible areas of extraction where innovation is only nominally used in their processes and identify areas where interest and resources could be focused.” [ ]Theoretical: literature analysis
Innovation Management Standards: A Comparative Analysis2011 Theoretical
Innovation Management System Based on Performance Drivers: A Study Applied to The Brazilian Electric Power Sector2017 “Innovation management system intents to strengthen/develop: (I) transparency in decision-making process of innovation, (II) innovation culture, by innovative thinking of the employees, (III) strategic business alignment of projects, (IV) risk mitigation of financial investment on projects, and (V) profit leverage through new creative solutions.” [ ] Theoretical: literature analysis
Innovation Management System of Ecuador2015 “Domestic innovation process (financing, research and results) has not been successfully demonstrated by National Innovation System.” [ ] Theoretical: literature analysis
ISO 50,500 Series Innovation Management: Overview and Potential Usages in Organizations2017 “Through the use of these documents, organizations can raise their awareness of the value of innovation management, broaden innovation capacities, and eventually generate more value for the company and its stakeholders.” [ ]
For innovative organizations, using a systematic approach to handling innovation is an essential step.
Theoretical
Management Innovation: A Systematic Review and Meta-Analysis of Past Decades of Research2019 “Innovation management is positively associated with organizational size, information management, organizational learning, overall performance of the company, and financial performance.” [ ] Theoretical: literature analysis
Management Innovation: Correcting Mistakes2015 “A national agency, Innovative Development Office, must be established in order to simplify the national innovation policy and save resources.” [ ] Theoretical: literature analysis
MIM3: Methodology of Innovation Management for Obtaining the Level 3 Of I2MM20171 “Good practices in the following fields of management: (a) strategic management, (b) project management, (c) innovation models and innovation methods, (d) innovation management standards, (e) knowledge management, and (f) financial management.” [ ]Theoretical
Models with Graphical Representation for Innovation Management: A Literature Review2017 Classify innovation management models, and illustrate the model’s biases, gaps, strengths and weaknesses [ ] Theoretical: literature analysis
Smart Innovation Management in Product Life Cycle2016 “Based on the previous innovative experiences of similar products, innovation can be achieved on technological grounds.
Current decision-making events may be preserved for future use in an organized manner.” [ ]
Theoretical
Standardization and Innovation Management2017 “Innovation Management Standards can be used as management tools to enable information absorption by organizations, support stakeholders in speeding up their distribution and adoption, and create dynamic capabilities to sustain competitiveness and generate value.” [ ] Theoretical
Toward a Multistage, Multilevel Theory of Innovation2011 “Innovation is a multi-level phenomenon that emerges through individual creative efforts which, at the individual, group, organization, and social levels, are converted into innovative outcomes that emphasize the importance of organizational behavior in innovation.” [ ] Theoretical
Toward a New Innovation Management Standard: Incorporation of the Knowledge Triangle Concept and Quadruple Innovation Helix Model into Innovation Management Standards2017 “European Innovation Management Technical Specifications are tools for transforming concepts and research findings into innovations carried out by trained and motivated workers.
Technical specifications of Innovation Management System (IMS) should be paired with Knowledge Triangle and Quadruple Helix approaches in order to prevent isolating the organization from carrying out innovation activities. ” [ ]
Theoretical
Towards an Integrated Approach to Improving the Innovation Management Systems of Mining Companies2019 “A framework for defining the key management areas that mining companies should consider in order to enhance their capacity for innovation and increase the efficiency of innovation.” Theoretical
TitleYearModelMain FindingsModel’s Added ValueStudy ClassificationSamples Size
A Model for Corporate Renewal Requirements for Innovation Management20101New modelUtilization and exploration methods from the front end of the innovation process in order to be shared at the same stage of implementation, and continuing to create a shared understanding of the vision and the use information and resourcesCase study5
Application of the IUMSS Methodology in an R&D-Oriented Nanotechnology Setting2010 R&D standards are consistent with ISO 9001:2000 and maintain R&D&I MS Case study1
Building Knowledge for Innovation Management: The Experience of the Umanlab Research Team2012 Different requirements within the rigor significance dilemma that affect information production. Case study1
Development and Operationalization of a Model of Innovation Management System as Part of an Integrated Quality-Environment-Safety System2017 To have a positive impact on the company’s capacity and experience in innovation actions and to increase the effectiveness of innovation that directly affects the organization performance. Data analysis122 out of 500
Diffusion of the UNE166002 Innovation Management Standard: A Forecast Model Approach to Internationalization2014 The diffusion of UNE 166,002 follows a logistic S-shaped curve.
It would approach 85,000 European certificates and, if it were an ISO standard, more than 1,200,000.
Data analysis
Effects of Innovation Management System Standardization on Firms: Evidence from Text Mining Annual Reports2017 ‘‘Trust’’ is the predominant emotion associated with the
innovation.
The increasing relevance of emerging technologies in the company’s innovative efforts and the declining of older technologies.
Data analysis243
Bases for the Development of R+D+I Teams in Companies in the Department of Quindío, Colombia2016 It is possible to process innovation and quality management in parallel and promote each other, rather than to disadvantage each other. Case study, data analysis2 cases
460 data
Innovation Management (Une-Cen/Ts 16555-1:2013) Applied to Superior Education: Integration of Disruptive Technologies for the Teaching of Chemistry2015 Techniques in innovation management can be used to organize high-level educational activities that can have a beneficial effect on student learning and achievement. Case study1
Innovation Management Processes, their Internal Organizational Elements and Contextual Factors: An Investigation in Brazil2014 Failure to assess innovation systems as a homogeneous maturity block and orientation towards innovative performance.
Managing uncertainty and risk and cross-functional coordination challenges are the core challenges of innovation.
Case study4
Innovation Programs Models: Design and Management2019 Innovation in products and services is focused on four axes: environment scanning, interactive learning, gamification, lean thinking, and design thinking.
Although business model innovation based on the same processes and methodologies needs additional capabilities and resources, all of them concentrate on the business context, consumers as value co-creators, digital channels, and ecosystems.
Case study8 service company
Integration of Market Pull and Technology Push in the Corporate Front End and Innovation Management: Insights from the German Software Industry20091It cannot be assumed that technology promotion and market pull are the right or wrong way to sustainable innovation.
The effect of “regulatory drive” is also important.
Company’s market demands, market pull and technology promotion activities to integrate technology and innovation management are leading to incremental and radical product and process innovations.Case study1
Investigating the Use of Information Technology in Managing Innovation: A Case Study from a University Technology Transfer Office20121 Development based on the integration of technology adoption, marketing and innovation managementCase study1
IT-Supported Innovation Management in the Automotive Supplier Industry to Drive Idea Generation and Leverage Innovation20131 A model focused on the combination of stakeholder’s concept and information miningCase study
Management of Research, Development and Innovation Systems and the New Np 4457 Standard: An Implementation2008 Implementation of SIMS Np 4457 supports value creation by innovation activities. Case study1
Model for Systematic Innovation in Construction Companies2014 It is not obvious that a correlation exists between the implementation of an innovation management system and the enhancement of the competitiveness of construction companies. This condition may be due to the fact that these processes were in the early stages of implementation when the study was conducted.The model tested and its result approved by case studyCase study, data analysis24
Organizational Improvement through Standardization of the Innovation Process in Construction Firms20121Innovation management can be standardized, which can lead to the company being improved in an organizational way. At the same time, this improvement promotes organizational problem-solving regularly, and enhances technical skills, information management, business profit and customer satisfaction.Providing the managers with guidance so that they can innovate systematicallyCase study1
Self-Certification Framework for Technological Innovation: A Case Study2016 Self-certification program success depends on the ability of the company to manage processes.
It is essential to develop an internally guided motivation and ensure the firm commitment of the top management.
It has a positive effect on performance in innovation and marketing.
Case study1
Semantic Innovation Management System for the Extended Enterprise2011 The effectiveness and possibility of using semantic web technologies to enhance innovation management. Case study1
Standardized Innovation Management Systems: A Case Study of the Spanish Standard UNE 166002: 20062011 The standard facilitates innovation and improvement of internal transition and technology assimilation procedures, thus promoting improved outcomes of innovative products and services. Case study1
Standardization as Open Innovation: Two Cases from the Mobile Industry2009 In neutral areas such as standardization, open innovation can occur. Case study2
Standardizing Innovation Management: An Opportunity for SMEs in the Aerospace Industry2019 Standardized innovation management would increase the competitiveness of the company and enable it to continue to improve over time by better managing all its R+D+I activities, allowing it access to a range of preferential advantages (tax deductions, special tenders, additional funding lines, etc.). Case study1
The Challenge of Integrating Innovation and Quality Management Practice2016 Quality management practices are contributing to a decline in innovation space.
It is possible to process innovation and quality management in parallel and to promote each other rather than disadvantage each other.
Organizational culture and HR management analysis and development to build more fertile ground for an innovative environment, and to pay more attention to the structures and procedures of addressing innovation issues on a daily basis.
By paying more attention to innovation management, superior consumer value can be achieved.
Case study2
The Need for Innovation Management and Decision Guidance in Sustainable Process Design20161 Supporting decision-making of innovative sustainable process design and encouraging development teams to set their own most informative requirements, appropriate approaches, and main objectivesCase study2
The Standardization Model of Innovation: Case of High-Technology Enterprises20161Three key elements of innovation need to be stressed in standardizing the innovation model: strategic innovation planning, internal R&D practices and external cooperative innovation.
It should be noted that IPR management, market focus and cooperation across industry chains are important.
Note IPR management, consumer focus and cooperation along industry chains for HTEs (high-technology companies)Case study1
Towards Systematic Business Model Innovation: Lessons from Product Innovation Management20121A more systematic and comprehensive approach may be effective as it expands the best practices already developed for product innovation management.Consider and integrate the degree of innovation (incremental or radical).Case study11
Implementing an Innovation Management System at the National Research and Development Institute for Industrial Ecology (ECOIND)2020 Identify, introduce and describe the processes related to innovation and establish the interaction of these processes with the other processes of the management system Case study1
Communities of Learning as Support for one Knowledge and Innovation Management System: A Case Study20201Practice methodology that fosters the creation and strengthening of a community of learning composed of mentors and apprentices within the organizationCreation of a community of learning as a space for innovation within the organizationCase study1
Making “Hidden Innovation” Visible: A Case Study of an Innovation Management System in Health Care2020 The system has contributed to some extent to making hidden innovations more visible, and to enabling sharing and learning not only among the hospitals, but also with external partners. Case study1
Managing Innovation in Complicatedly Organized Facilities20201New sources and ways of incorporating innovations into the existing system of urban planning, as well as transformation of the innovation management system itself by taking into account the interests of the city’s stakeholders.The system-based nature allows to present in detail the structure of the object in the aggregate of all connections; its synergism determines the possibility of multidimensional development of the object and their management in the conditions of not only external but also internal innovations.Case study1
TitleYearMain FindingsModel’s Added ValueStudy ClassificationSample SizeSubject
A Measurement Scale for Product Innovation Performance2006The operational measures developed here satisfy the criteria for unidimensionality, reliability, and validity. Survey132 out of 253 targetedPerformance
Do Standardized Innovation Management Systems Matter for Innovative Capability and Business Performance?2020Significant connections exist between standardized innovation management systems, innovative capability and business performance. Survey217Performance
An Innovation Management System to Create Growth in Mature Industrial Technology Firms2015New model Penetrate the glass ceiling of exploitation and establish new undisputed growth flows.
A systematic process to establish innovation streams outside of the existing comfortable exploitation region can be followed by management teams in mature technology industries.
Highly important in the efforts to pursue profitable growth.
Interview-survey28, from 6 firmsPerformance
Does Innovation Lead to Performance? An Empirical Study of SMEs in Taiwan2007Innovation is poorly related to company sales, although administrative innovation has become the most important element in explaining sales rather than technological innovation. Survey763 out of 877Performance
Emerging Technologies Beyond the Chasm: Assessing Technological Forecasting and Its Implications for Innovation Management in Korea2016There is a gap in the process of commercialization.
Interaction between innovation practitioners is about overcoming the gap.
Government support is quite helpful.
Survey218 out of 256Inn-Performance
Importance of an Innovation Management System2013When the company has not yet reached a reasonable size and is willing to certify IMS, this is often overloading it.
Commercialization and diffusion for product/service and innovation achievements benefit even more from reinforcing a formal innovation management system when IMS organizational strategy of innovation is applied.
Survey4 + 5 certifiedPerformance
Innovation Management Techniques and Tools: Its Impact on Firm Innovation Performance2018Using IMTs in the companies could predict their innovation success, particularly when considering incremental innovation results. Survey 566 Performance- management
Innovation Types and Innovation Management Practices in Service Companies2007In the telecommunications and financial sectors, product innovation is emphasized more than in the transport and retail sectors, while service innovation is emphasized more in the retail and transport sectors.
Radical and incremental innovations are related to innovation performance.
Radical innovations are related to innovation management practices.
Survey47% of 214Performance
Organizational Innovation as an Enabler of Technological Innovation Capabilities and Firm Performance2012Development of technological innovation capabilities is encouraged by organizational innovation. Organizational innovation and products and processes technological capabilities will contribute to outstanding company performance. Survey144Performance
The Impact of Standardized Innovation Management Systems on Innovation Capability and Business Performance: An Empirical Study2016Innovation management Standards have a strong positive relation with the company’s Innovation Capability (IC) and Business Performance (BP). Survey1000Performance
The Performance Implications of the UNE 166.000 Standardized Innovation Management System2019All types of innovation and its achievements are endorsed by the implementation of SIMS.
The relationship between administrative and technological development is positive.
Survey200Performance- St
The Sources of Management Innovation: When Firms Introduce New Management Practices2009Management innovation is the product of the internal context of the company and the external quest for new information, as management innovation correlated with the co-occurrence of “context and search” is negatively affected.
Management innovation positively affects company performance in the form of subsequent productivity growth.
Survey3668 out of 8172Performance
TitleYearModelMain FindingsStudy ClassificationStudy PurposeSample SizeSubject
Are National Systems of Innovation Converging? The Case of Cen/Ts 165552015 The standard of innovation management is ineffective due to the lack of consensus among European countriesInterviewsAnalyze the recent efforts to standardize innovation management at European level as a practical test of the degree of internationalization of national innovation systems33Standard
Chief Technology Officer’s Views and Behaviors in the Dual Innovation Management System2009 Successful CTOs strive actively to obtain technical information and information about their companies’ social environment.
Consider and act based on their philosophy and knowledge.
Show great attention in nurturing human resources.
SurveyDescribe the concept of Dual Innovation Management System, consisting of two innovation management systems, one for processing existing business areas and the other for developing new business areas50Management
Management Innovation Through Standardization: Consultants as Standardizers of Organizational Practice2012 When agendas and methods are standardized, the management innovation process within the organizations may have a significant effect, in other words, the more standardized company innovation processes are, the more incremental innovations take place in the organization rather than more exploratory and revolutionary changes Standardization is a key feature of the organizationsSurveyArgue that consultant-led management innovation is usually highly standardized90 in 30 organizationManagement
Management of Innovation Processes in Company20151Successful realization of the innovation processes requires a supportive environment for innovation creation.SurveyAnalyze the literature and research in detail to create a model for the company’s innovation processes management321Management
Managing the Implementation of Innovation Strategies in Public Service Organizations—how Managers May Support Employees’ Innovative Work Behavior2019 Understanding innovation strategies, encouraging management, risk tolerance culture and autonomy are valuable innovation management tools Strategic management communication and economic rewards are not related to any stage of innovative work behaviorSurveyIdentify which management strategies public managers can use to enhance their employees’ innovative behavior.1405Management
Organizational Innovation Management: An Organization-Wide Perspective20071 SurveyDevelop and validate an organization-wide OIM framework.201 out of 2100Management
Organizational Innovation: The Challenge of Measuring Non-Technical Innovation in Large-Scale Surveys2008 Four key reflections for assessing organizational innovation: (1) Complexity of organizational innovation; (2) Life cycle of organizational innovation; (3) Extent of use of organizational innovation; (4) Quality of organizational innovation.SurveyMeasure and monitor organizational innovations by large-scale surveys.
Define and measure the organizational innovations in more detail by classifying them and comparing the different approaches of measuring them.
1450Management
The Role of Management Innovation in Enabling Technological Process Innovation: An Inter-Organizational Perspective2013 Explain the interlinkages of the two innovations types over time.
Management innovation theory extended by conceptualizing management innovation in an inter-organizational context.
SurveyAddress the gap that the role of management innovation in promoting technological process innovation in the inter-organizational context has not been fully explored. Management
Research SubjectArticles
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SubtopicArticles
Compatibility6
Impacts on companies7
Standard analysis2
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Idris, M.-C.; Durmuşoğlu, A. Innovation Management Systems and Standards: A Systematic Literature Review and Guidance for Future Research. Sustainability 2021 , 13 , 8151. https://doi.org/10.3390/su13158151

Idris M-C, Durmuşoğlu A. Innovation Management Systems and Standards: A Systematic Literature Review and Guidance for Future Research. Sustainability . 2021; 13(15):8151. https://doi.org/10.3390/su13158151

Idris, M-Chukri, and Alptekin Durmuşoğlu. 2021. "Innovation Management Systems and Standards: A Systematic Literature Review and Guidance for Future Research" Sustainability 13, no. 15: 8151. https://doi.org/10.3390/su13158151

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European Journal of Innovation Management

ISSN : 1460-1060

Article publication date: 10 June 2020

Issue publication date: 27 May 2021

Innovation is considered an important stage in the process of competitiveness of companies. While there is an extensive literature in the management and innovation field that shows the characteristics that enhance a firm's ability to innovate, there is still no consensus on its determinants and nature. This study aims to advance the understanding of innovation capability (IC) by conducting a systematic review of relevant literature at the firm level.

Design/methodology/approach

The study reviews the literature by applying the categorization and contextualization of qualitative strategies. The study gathered 137 peer-reviewed papers from Scopus and Web of Science databases.

The papers were analysed and synthesized into an integrated framework that links IC with its internal and external determinants, and its consequences. In doing this, this study proposes directions for future investigations that might enlighten a better understanding of IC.

Practical implications

The study provides elements that can be useful during the design and implementation of innovative initiatives in a firm.

Originality/value

The paper jointly examines in the same model the nature, antecedents and consequences of IC. In the same vein, the framework provides the little-researched links between those themes in the IC literature.

  • Consequences
  • Determinants
  • Innovation capability
  • Literature review

Acknowledgements

The author would like to thank the anonymous reviewers for their valuable comments and suggestions.

Mendoza-Silva, A. (2021), "Innovation capability: a systematic literature review", European Journal of Innovation Management , Vol. 24 No. 3, pp. 707-734. https://doi.org/10.1108/EJIM-09-2019-0263

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Home > Books > National Security in the Digital and Information Age

The Front End of Innovation in Defense: A Comprehensive Literature Review

Submitted: 18 January 2024 Reviewed: 02 March 2024 Published: 30 April 2024

DOI: 10.5772/intechopen.1005191

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Innovation management, a multifaceted organizational process encompassing opportunities and ideas from inception to implementation, demands a systematic approach, particularly in the critical initial phase known as the Front End of Innovation (FEI). This pivotal phase significantly influences the entire innovation management chain. Despite its recognized importance, FEI in the defense sector has yet to be systematically addressed in the academic literature. Recognizing the vital role of FEI in the defense sector, this study addresses this deficiency through a systematic review, scrutinizing 24 documents from the scientific literature (Scopus and Web of Science databases) and gray literature (government defense documents). This research systematically maps key activities identified in seminal FEI models. These activities include the identification and analysis of opportunities; generation, enrichment, and screening of ideas; product concept definition; and consideration of influencing factors. Concurrently, this work aligns defense practices with established innovation models and provides valuable insights for optimizing the management dynamics of the military innovation process. Through this systematic inquiry, this study contributes to a nuanced understanding of the FEI in the defense sector, offering practical implications for enhancing defense innovation development.

  • front end of innovation
  • literature review

Author Information

Romullo girardi *.

  • Military Institute of Engineering, Rio de Janeiro, Brazil
  • INESC TEC and Faculty of Engineering, University of Porto, Porto, Portugal

Juraci Ferreira Galdino

Paulo césar pellanda.

*Address all correspondence to: [email protected]

1. Introduction

Innovation management, a complex and broad organizational process covering the entire spectrum, from identifying new opportunities and ideas to their practical implementation, poses significant challenges for managers across all organizational levels [ 1 ].

Notably, innovation seldom fails due to a lack of creativity; instead, it is the absence of discipline that plays a pivotal role in innovation failures [ 2 ]. From this perspective, Boeddrich [ 3 ] contends that systematic and structured procedures in the early phase, known as the Front End of Innovation (FEI), are imperative to avert adverse effects throughout the innovation management chain.

Multiple researchers emphasize that enhancing FEI activities contributes positively to organizational outcomes, bolstering the likelihood of successful innovation development [ 3 , 4 , 5 , 6 , 7 , 8 , 9 ]. Yet, the successful adoption of a FEI model requires considering some factors like organizational size and culture, as well as decision-making styles [ 10 , 11 ].

Despite the increasing attention to FEI as a complex and multidisciplinary field [ 12 ], the defense context of FEI has not been sufficiently addressed in the academic literature, a gap this study endeavors to address. Therefore, this research aims to unravel the dynamics of FEI in the military sector through a systematic literature review, focusing on the research question: How can the current literature on the early phase of the innovation process in defense be mapped within seminal FEI models?

This question is pertinent given the Armed Forces’ distinct organizational culture, demanding innovation to sustain high-tech operational capabilities and mainly requiring innovations capable of inducing technological surprise in the theater of operations. Aligning defense practices with established models in innovation literature can furnish invaluable insights for improving the management dynamics of the military’s initial innovation phase. Moreover, by reviewing approaches used by different countries, the study recognizes that the suitability and significance of FEI management practices can differ across national defense contexts. It emphasizes how cultural and procedural nuances impact the development and adoption of new technologies in military settings.

Structured around the research question, this paper is organized as follows: Section 2 provides a theoretical foundation on FEI, seminal FEI models, and defense peculiarities. Section 3 outlines the research methodology. Section 4 delineates the mapping of the FEI in the defense sector within seminal FEI models. Section 5 discusses salient aspects identified throughout the study. Finally, Section 6 highlights the concluding remarks, outlining directions for future research.

2. Theoretical foundation

Before exploring the current literature on the early stage of the innovation process in defense, it is essential to understand the foundational topics involved: the FEI concept, the seminal FEI models, and the unique aspects of the military sector.

2.1 Front end of innovation (FEI)

The Fuzzy Front End (FFE) refers to the earliest stage in the New Product Development (NPD) process. This term was popularized by Smith and Reinertsen [ 13 ], as pointed out by Khurana and Rosenthal [ 10 ].

In 2002, Koen et al. [ 14 ] proposed the term Front End of Innovation (FEI), considering that the adjective “fuzzy” is “mysterious, lacks accountability, and cannot be critically evaluated” ([ 14 ], p. 30). The new term dissociated the idea that the initial phase of the innovation process was nebulous and uncontrollable. In this approach, the FEI is described as “those activities that come before the formal and well-structured NPD process” ([ 14 ], p. 30).

Figure 1 illustrates the breakdown of the product innovation management process into three phases: FEI, NPD, and implementation (the commercialization of the product in the market). The circular shape of the FEI suggests that ideas should flow and iterate until the formal definition of products is developed. In contrast, the NPD phase is depicted as a series of sequential, well-structured, and chronologically ordered steps [ 14 , 15 ].

innovation management literature review

Breakdown of the product innovation management process. Source: Adapted from Koen et al. [ 14 , 15 ].

The FEI emerges as a crucial driver of positive outcomes for new products and, consequently, the overall success of the business [ 16 ]. Markham [ 6 ] underscores the profound impact of early-phase activities on product performance, emphasizing that the success of the front end stands as the strongest independent predictor of all NPD performance variables.

Selecting an appropriate FEI model requires careful consideration of various factors, including organizational size and culture, as well as decision-making style [ 10 , 11 ]. As a response to these diverse organizational needs, numerous FEI models have been developed over time, offering distinct approaches to navigate their complexities, as detailed in the next section.

2.2 Seminal FEI models

In an integrative literature review, Pereira et al. [ 12 ] found that 26% of articles related to FEI contributed in terms of frameworks, models, processes, tools, and methodologies, exemplifying endeavors to structure the early phase of the innovation process in specific contexts.

While recent contributions are significant, seminal works have produced models that served as reference points for structuring the FEI. Table 1 provides an overview of the four seminal models identified by Pereira et al. [ 12 , 20 ].

ReferencesModelOverview
Cooper [ , ]Stage-GateProposes a system with well-defined stages to launch new products into the market. The early stages represent the front end of innovation and make use of control gates.
Khurana and Rosenthal [ , ]Three Phase Front EndPresents an approach that connects business and product strategy with specific product-related decisions.
Koen et al. [ , ]New Concept DevelopmentProvides methods, tools, and techniques suitable for managing the front end of innovation. Moreover, the authors seek a common vision and terminology for the FEI.
Reid and De Brentani [ ]The Fuzzy Front End of New Product Development for Discontinuous InnovationsDetails an approach focusing on disruptive innovation, proposing a structure based on a reverse flow of information (from the outside world into the organization).

Seminal FEI models.

Source: Adapted from Pereira et al. [ 12 , 20 ].

Stage 0 (Discovery) : In this inaugural stage, the organization actively generates ideas for new products.

Gate 1 (Idea screen) : Ideas undergo a concise evaluation based on strategic, feasibility, and market criteria. Financial considerations are deferred at this point. Accepted ideas proceed to the next phase.

Stage 1 (Scoping) : The accepted idea transitions into a project, initiating a dual evaluation process:

Market evaluation : Involves research, user contact, and conceptual testing to determine market size and acceptance.

Technical evaluation : Encompasses feasibility, costs, and development timelines.

Gate 2 (Second screen) : Comprehensive information from market and technical evaluations prompts a reassessment of the project’s viability. If approved, the project advances to the next stage.

Stage 2 (Build business case) : Positioned just before product development, this stage involves:

Assessing the project’s attractiveness.

Defining clear objectives.

Conducting market, technical, operational, and financial evaluations.

Gate 3 (Development) : A pivotal decision point where the organization determines resource allocation for project development [ 17 , 18 ].

innovation management literature review

The FEI within the stage-gate model. Source: Adapted from Cooper [ 17 ].

Pre-Phase Zero : This initial phase concentrates on the continuous identification of opportunities within the organization. It involves generating ideas and conducting technological and market analyzes. When a promising opportunity is identified, it triggers the transition to Phase Zero. The authors emphasize that this phase should occur continuously within the organization.

Phase Zero : This phase is initiated when Pre-Phase Zero identifies a promising opportunity. Its primary objective is to define the concept of a new product.

Phase One : Following the conceptualization of the new product, Phase One focuses on analyzing feasibility and planning the project to initiate the NPD process formally. It is crucial to maintain a constant interface with the organization’s product and portfolio strategy throughout the entire process.

innovation management literature review

Three Phase Front End model. Source: Khurana and Rosenthal [ 11 ].

The New Concept Development (NCD) model, proposed by Koen et al. [ 14 , 15 ], is a theoretical construction composed of the three fundamental concepts: controllable activities, “engine” and influencing factors. Controllable activities represent the elements that the organization can control. The “engine” encompasses the controllable aspects of the organization that are responsible for driving the activities of the FEI. Finally, the influencing factors are variables that have an impact on the FEI and are relatively outside of the organization’s control [ 14 , 15 ]. Table 2 details the structure of the NCD model. In the structure of the NCD model, organizational capabilities are classified as an influencing factor because they usually change very slowly and are therefore uncontrollable. Alternatively, organizational capabilities can be incorporated into the “engine” to the extent that the organization can modify and control them [ 14 ].

ConceptsElements
Controllable activitiesOpportunity identification
Opportunity Analysis
Idea generation
Idea enrichment
Idea selection
Concept definition
“The engine”Culture
Leadership
Business strategy
Influencing factorsOrganizational capabilities
The outside world
Customer and competitor influences
Enabling sciences and technology

Structure of the NCD model.

Source: Koen et al. [ 14 ].

The model proposed by Reid and De Brentani [ 19 ] provides a unique focus on disruptive innovations, highlighting their distinct entry into the organization compared to incremental innovations. According to this model, disruptive innovations typically originate from the external environment. Figure 4 illustrates how the front end of the innovation process initiates its flow based on information from the external environment, involving the identification of unstructured problems and the recognition of opportunities. This model emphasizes that disruptive innovations follow a distinctive path, with the FEI process being strongly influenced by external inputs. The opportunities identified undergo thorough analyzes and decisions at various organizational levels before being formally integrated into an NPD project [ 19 ].

innovation management literature review

The Fuzzy Front End of new product development for discontinuous innovations. Source: Reid and De Brentani [ 19 ].

The seminal models presented – Cooper’s Stage-Gate Model, Khurana, and Rosenthal’s Three Phase Front End Model, Koen et al.’s New Concept Development (NCD) Model, and Reid and De Brentani’s Model for Discontinuous Innovations – vary in focus, approach, depth, and structuring of activities. Despite these differences, a common thread emerges as they collectively address the FEI through key activities: identification and analysis of opportunities, generation, enrichment, and screening of ideas, product concept definition, and consideration of influencing factors (encompassing the outside world, market and technology information, scenario planning, competitive analysis, and organizational issues such as culture, leadership, strategy, portfolio, and capabilities).

The ultimate objective of these FEI activities is to formulate a well-defined product concept before entering the formal NPD stage. Table 3 establishes the correspondence between FEI activities and the structures of the seminal models.

ActivitiesStructure of the seminal models
]

]

]

]

]

]

]

]

]

]

]

]


The outside world, market and technology information, scenario planning, competitive analysis, and organizational issues (culture, leadership, strategy, portfolio, and capabilities)
]

]

]

]

FEI activities and their relationship with the seminal models.

To mitigate potential ambiguities in the interpretation of certain terms related to the FEI, Table 4 provides standardized reference definitions. This table serves as a reference guide, providing clear and standardized definitions for key terms associated with the FEI, enhancing clarity and consistency in their interpretation.

TermDefinition
Opportunity“A business or technology gap, that a company or individual realizes, that exists between the current situation and an envisioned future in order to capture competitive advantage, respond to a threat, solve a problem, or ameliorate a difficulty” ([ ], p. 7).
Ideia“The most embryonic form of a new product or service. It often consists of a high-level view of the solution envisioned for the problem identified by the opportunity” ([ ], p. 7).
Product concept“A well-defined form, including both a written and visual description, that includes its primary features and customer benefits combined with a broad understanding of the technology needed” ([ ], p. 7).
The outside world“Distribution channels, law, government policy, customers, competitors, and political and economic climate” ([ ], p. 8).
Organizational culture“A pattern of shared basic assumptions that was learned by a group as it solved its problems of external adaptation and internal integration, that has worked well enough to be considered valid and, therefore, to be taught to new members as the correct way to perceive, think, and feel in relation to those problems” ([ ], p. 17).
Organizational leadership“It is originally the source of the beliefs and values that get a group moving in dealing with its internal and external problems” ([ ], p. 36). “Leadership is needed to help the group identify the issues and deal with them” ([ ], p. 407).
Organizational strategy“A shared understanding of core mission, primary task, and manifest and latent functions” ([ ], p. 88).
Organizational portfolio“Collection of projects, programs, and other activities that are grouped together to meet strategic business objectives. The practice of portfolio management is integral to the implementation of an organization’s overall strategic plan” [ ].
Organizational capacityIn the context of dynamic capabilities theory, it is defined as “the firm’s ability to integrate, build, and reconfigure internal and external competences to address rapidly changing environments” ([ ], p. 516).

Definitions for terms related to the FEI.

2.3 Defense sector

High technological level : The defense industry requires substantial investments in research, development, and innovation to create sophisticated products such as aircraft, ships, weapons, and systems. These must operate safely and reliably under severe conditions [ 25 ], often characterized as Complex Products and Systems (CoPS). CoPS involve customization, production in small quantities by a few companies, integration of diverse knowledge areas, and a lifecycle spanning decades [ 26 ].

Technological duality : Innovations developed for military purposes may have civilian applications (spin-off) and vice versa (spin-in) [ 27 , 28 ]. Dual-use technologies, like GPS and the Internet, initially developed for defense, now find widespread civilian applications.

Governmental dependence : The defense market is highly regulated and relies on government contracts, resulting in a strong dependence on public resources. From a demand perspective, the defense market operates as a monopsony, with the State being the primary purchaser of goods and services [ 29 , 30 , 31 ].

High market concentration : Global defense market dominance by a few companies leads to limited competition and protectionist practices. Oligopolies in the defense market can collude, manipulate prices, limit competition, or engage in practices like dumping [ 32 ] to control strategic interests [ 31 , 33 ].

Vulnerability to geopolitical issues : The demand for defense equipment is influenced by geopolitical conflicts and international relations, resulting in a volatile market subject to sudden changes. Companies may exploit geopolitical issues for financial or strategic reasons, impacting commitments during times of national crisis [ 31 , 34 ].

In summary, the defense sector is characterized by its strategic importance, technological advancement, dual-use nature, governmental dependence, market concentration, and vulnerability to geopolitical issues. This situation is a combination of a monopoly/oligopoly, where a few major global players dominate the supply, and a monopsony, where the State centralizes the demand. Recognizing these peculiarities highlights the need for a comprehensive exploration of FEI dynamics within the defense sector.

3. Methodology

Databases : Scopus and Web of Science (WoS), aligning with the methodology outlined by Ferreira et al. [ 36 ].

Search string : The search string was crafted by combining key terms related to the FEI and the defense sector. The FEI-related terms were derived from a frequency analysis of authors’ keywords, following the methodology of Ferreira et al. [ 36 ]. To capture the comprehensive scope of the defense sector, terms related to aerospace were also incorporated, acknowledging that certain countries treat both topics as a unified strategic theme. For instance, the United States has the U.S. Space Force under its Department of Defense [ 37 ]. The search was conducted on September 21, 2023, focusing on terms found in the title, abstract, and keywords:

Scopus database: TITLE-ABS-KEY((“front end of innovation” OR “front-end of innovation” OR “front end innovation” OR “front-end innovation” OR “fuzzy front end” OR “fuzzy front-end”) AND (“military” OR “defense” OR “defense” OR “navy” OR “army” OR “air force” OR “aerospace” OR “aeronautic*” OR “astronautic*” OR “avionics”)).

WoS database: TS = ((“front end of innovation” OR “front-end of innovation” OR “front end innovation” OR “front-end innovation” OR “fuzzy front end” OR “fuzzy front-end”) AND (“military” OR “defense” OR “defense” OR “navy” OR “army” OR “air force” OR “aerospace” OR “aeronautic*” OR “astronautic*” OR “avionics”)).

Inclusion criteria : publications in English, Portuguese, or Spanish were considered, and the accessibility of the entire document was taken into account. Additionally, the publication had to address explicitly the FEI in the defense context.

The academic literature search yielded five documents from the Scopus database and two from WoS. Upon analysis, one redundancy was identified, resulting in six unique documents. Subsequently, it was observed that two articles did not meet the inclusion criteria, leaving four documents within the review scope. Following this initial search, the snowball technique was applied to identify relevant documents citing or cited by the selected publications. Additional efforts were made to explore works authored by the selected publications’ authors, uncovering three more documents.

In parallel with the academic literature search, the exploration of government defense management agencies’ websites led to the identification of 17 more documents. Therefore, while the academic literature contributed documents presenting general aspects of FEI in the defense sector, the gray literature addressed defense management in specific nations, ensuring representation across continents and encompassing both developed and developing countries. The nations (or alliances) covered included Australia, Brazil, China, India, NATO (North Atlantic Treaty Organization), the United Kingdom, the United States, and South Africa.

Thus, a total of 24 documents were selected for review. It is noteworthy that, during the research, no review works similar to this article were found. The steps of the review are represented in summary in Figure 5 , using the Preferred Reporting Items for Systematic reviews and Meta-Analyses (PRISMA) diagram, a tool for presenting the flow of information through the different phases of a systematic literature review [ 38 ].

innovation management literature review

Stages of the systematic literature review. Source: Adapted from Page et al. [ 38 ].

4. Front end of innovation in the defense sector

The investigation of FEI in the defense sector is structured based on content mapping of the selected review documents, focusing on key FEI activities outlined in Section 2.2. These activities include the identification and analysis of opportunities; generation, enrichment, and screening of ideas; product concept definition; and consideration of influencing factors.

4.1 Identification and analysis of opportunities

The identification and analysis of opportunities serve as the primary catalyst for the FEI process. It occurs when an organization recognizes a gap, whether related to business or technology issues. This gap represents the difference between the current state and a desired future state, presenting an opportunity that can be exploited to gain a competitive advantage, address a threat, solve a problem, or enhance a situation [ 14 ]. As stressed by Khurana and Rosenthal [ 11 ], the phase of identifying and analyzing opportunities should be an ongoing and continuous process within an organization.

In the defense sector, the identification and analysis of opportunities are intricately tied to Capability-Based Planning (CBP), a central process in strategic defense management [ 39 , 40 ]. This strategic planning paradigm, initially utilized in the United States Nuclear Program during the 1960s, saw broader adoption by the U.S. Department of Defense in 2001, becoming a reference for armed forces worldwide [ 41 ]. From this standpoint, Table 5 provides a mapping of the phase of identification and analysis of opportunities within the documents reviewed.

DocumentsApproachesNational context
United States [ ]CBP is implemented through the Joint Capabilities Integration and Development System (JCIDS). The strategic approach begins by identifying scenarios for the U.S. Armed Forces’ operations. Then, the necessary capabilities for each scenario are determined. Finally, existing capabilities are evaluated, and gaps are identified (a process called Capabilities-Based Assessment – CBA). The assessment of capabilities follows the acronym DOTmLPF-P, which incorporates the following elements: Doctrine, Organization, Training, Materiel, Leadership and education, Personnel, Facilities, and Policy.USA
NATO [ ]CBP is implemented following the acronym DOTMLPF-I, which incorporates the following elements: Doctrine, Organization, Training, Materiel, Leadership, Personnel, Facilities, and Interoperability. Notably, the interoperability element is included in the approach, considering NATO comprises 32 member countries, listed alphabetically as follows: Albania, Belgium, Bulgaria, Canada, Croatia, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Italy, Latvia, Lithuania, Luxembourg, Montenegro, North Macedonia, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Turkey, the Netherlands, the United Kingdom, and the United States.NATO
United Kingdom [ ]Implements CBP following the DLOD concept, referring to Defense Lines of Development. DLOD encompasses Training, Equipment, Personnel, Information, Doctrine & Concepts, Organization, Infrastructure, Logistics, and Interoperability. The latter is only sometimes listed as a separate line of development but is essential for combined operations with allies.United Kingdom
Australia [ ]Implements CBP following the FIC concept, which stands for Fundamental Inputs to Capability. FICs include Organization, Command and management, Personnel, Collective training, Major systems, Facilities and training areas, Supplies, Support, and Industry.Australia
Barton [ ]Implements CBP similarly to the U.S. DOTmLPF-P approach.China
India [ ] and South Africa [ ]They highlight the capability-based approach without defining specific analysis elements.India and South Africa
Brasil [ , ]CBP is implemented following the acronym DOAMEPI, which includes the following elements: Doctrine, Organization (and/or processes), Training, Materiel, Education, Personnel, and Facilities. It is worth noting that Brazil maintains a capabilities catalog to support its CBP.Brazil
Helfat and Peteraf [ ], Salvato and Rerup [ ], and Wallin et al. [ ]They emphasize the importance of the capability-based approach in supporting planning for the development of new technological products.Generic (academic literature)

Approaches to identification and analysis of opportunities within the review documents.

4.2 Generation, enrichment, and screening of ideas

According to Koen et al. [ 14 ], the generation and enrichment of ideas follow the identification and analysis of opportunities. An idea, as conceptualized by the authors, represents the most preliminary form of a new product or service, typically outlining a high-level vision for the planned solution related to the identified opportunity [ 14 ]. Cooper [ 17 ], in the stage-gate model, underscores that ideas for new products must undergo initial screening, known as gate 1, before being integrated into an organization’s project [ 17 ]. Reid and De Brentani [ 19 ] also stress the importance of a formal analysis of opportunities/ideas at the corporate level before progressing to the project level [ 19 ].

In the defense sector, as outlined in Table 6 , the identification of the need for a new product occurs when a capability gap analysis indicates the necessity for a new materiel solution. This triggers the formal process of acquiring a defense product. Table 6 provides a mapping of the phase of generation, enrichment, and screening of ideas within the reviewed documents.

DocumentsApproachesNational context
United States [ , ]The American approach prioritizes non-materiel solutions when addressing capability gaps, incorporating adjustments in Doctrine, Organization, Training, Leadership and education, Personnel, Facilities, and/or Policy (DOTmLPF-P). The lowercase “m” in the acronym signifies this approach. If a materiel solution is deemed necessary, an Initial Capabilities Document (ICD) is drafted, justifying the need for a new acquisition process. The ICD outlines the identified capability gap, the concept of operations (CONOPS) detailing the expected operational context of the materiel solution, and associated risks. A validated ICD is mandatory for a Materiel Development Decision (MDD), initiating the life cycle of the new product.USA
United Kingdom [ ]Following a model similar to that of the USA, the identification of the need for a materiel solution and the elaboration/approval of the concept of operations initiate the life cycle of a new product.United Kingdom
Australia [ ]Australia
India [ ]India
South Africa [ ]South Africa
Brasil [ ]Brazil

Approaches to idea generation, enrichment, and screening within the review documents.

4.3 Product concept definition

According to Koen et al. [ 14 ], a well-defined product concept should entail a comprehensive configuration, offering both written and visual descriptions that encapsulate the primary features, customer benefits, and a broad understanding of the required technologies. This stage in product development represents the final step preceding the formal NPD process [ 14 ]. The models proposed by Khurana and Rosenthal [ 11 ], Reid and De Brentani [ 19 ], and Cooper [ 17 ] also emphasize the significance of product concept development, feasibility analysis, project planning, and decision-making as crucial prerequisites before formally entering the NPD phase.

In the defense sector, the Armed Forces commonly adopt the systems engineering lifecycle concept to structure their acquisition processes [ 56 ]. Within this framework, the product concept undergoes development through a top-down approach, comprising two distinct phases: logical description (problem domain) and physical description (solution domain). The logical or functional description essentially outlines the intended functionalities of the new product from the user’s perspective, providing an operational view. Building upon the logical description, the physical description then defines the high-level architecture of the product elements, encompassing systems, subsystems, assemblies, and/or components, from a technical perspective [ 57 , 58 , 59 ]. Table 7 provides a mapping of the product concept definition phase within the reviewed documents.

DocumentsApproachesNational context
United States [ , ]The US approach divides the life cycle of a defense product into six phases: Materiel Solution Analysis (MSA), Technology Maturation & Risk Reduction (TMRR), Engineering & Manufacturing Development (EMD), Production & Deployment (PD), Operations & Support (OS), and Disposal. The FEI phases (before NPD), MSA and TMRR, involve significant requirements engineering effort. MSA uses the CONOPS to define operational requirements, establishing operational performance parameters and attributes – Key Performance Parameters (KPPs) and Key System Attributes (KSAs). The physical description is preliminary, analyzing technical alternatives for product acquisition. MSA concludes with the approval of the Capability Development Document (CDD) Draft. The CDD Draft evolves during the TMRR phase, refining technical product requirements into the Request For Proposals (RFP), inviting companies to submit development proposals. TMRR concludes with the approval of the Preliminary Design Review (PDR), ensuring technological risks are mitigated and the product concept is ready to advance to the formal NPD stage.USA
Innovations [ ] and United Kingdom [ ]Divide the product life cycle into six phases: concept, assessment, demonstration, manufacture, in-service, and disposal. The FEI phases are concept and assessment. The concept phase develops the logical and physical descriptions of the product. The subsequent phase refines these descriptions through evaluations for risk reduction before entering NPD. Risk reduction is exemplified by technology competitions promoted by the UK Ministry of Defense to mature/identify alternatives for technological components of the product before its development/integration.United Kingdom
Australia [ ]Divides the product life cycle into five phases: Strategy and Concepts, Risk Mitigation and Requirement Setting, Acquisition, In-Service, and Disposal. The FEI phases are Strategy & Concepts and Risk Mitigation & Requirement Setting. These phases define the logical and physical descriptions of the product and conduct risk reduction activities before entering NPD.Australia
India [ ]Adopts distinct workflows depending on the acquisition modality: Buy, Buy and Make, Leasing, Make, Design and Development, and Strategic Partnership Model. In all cases, logical and physical descriptions are developed, in greater or lesser detail, to support the acquisition of a defense product.India
South Africa [ ]Divides the life cycle of a defense product into four phases: Design, Development, Operation & Maintenance, and Disposal. The phase belonging to the FEI is the Design phase, where the product concept is developed before entering NPD.South Africa
Brasil [ ]Divides the life cycle of a defense product into five phases: conception, acquisition, production, operation and support, and disposal. The phase belonging to the FEI is conception. The most important step of the conception phase is integrated design, which establishes the logical description (doctrinal/operational constraints and operational requirements) and the physical definition (technical requirements, conceptual design, technology map, integrated logistics support plan, and test and evaluation plan) of the product before entering NPD.Brazil
Clegg et al. [ ], Larsson et al. [ ] and Johansson et al. [ ]In the aerospace and defense context, they present simulators or methodologies to support collaborative product concept development before entering NPD.Generic (academic literature)

Approaches to product concept definition within the review documents.

4.4 Consideration of influencing factors

According to Koen et al. [ 14 ], influencing factors are variables that impact FEI and are relatively outside the organization’s control. Table 8 maps the influencing factors considered in the review documents.

DocumentsInfluencing factorsNational context
United States [ , , , ]National guidelines (notably the National Security Strategy – NSS), budget management (PPBE process – Planning, Programming, Budgeting, and Execution), scenario planning, and the strategic portfolio of programs/projects/capabilities. Emphasis on analyzes of alternatives, feasibility, technological criticality (list of critical and emerging technologies), and technological maturity (TRL - Technology Readiness Levels of 6 or higher as reference value before entering NPD). Selection and continuity of leadership (military and/or civilian) in NPD project planning.USA
NATO [ ]Emphasizes interoperability as a relevant factor, considering it integrates 32 member countries.NATO
United Kingdom [ , ]Technological criticality (critical technological areas guided by the “Integrated Force Plan 2030”) and technological maturity (TRL 7 and SRL – System Readiness Level – 4 as reference values before entering NPD). Continuity management in NPD project planning.United Kingdom
Australia [ , ]Government Office for Critical Technologies Policy Coordination periodically publishes a list of technologies to be prioritized in national technological projects, especially in the defense area. Action plan for the development of technological products to ensure mastery of critical technological areas.Australia
IEDI [ ]Defines “frontier” technologies to reduce dependence on foreign components and supply chains in these areas. Emphasis on dual-use technologies, especially in basic research phases, where it is possible to circumvent international embargoes and undertake research in critical areas with developed countries.China
India [ ]Emphasizes critical technological areas following “Make” or “Buy and Make” strategies. The Indigenous Content (IC) factor specifies the percentage that defense technological capability acquisition contracts should allocate to national investments.India
South Africa [ ]Defines key areas to be prioritized in the development of the defense industrial base to reduce technological dependency.South Africa
Brasil [ , ]Technological criticality (priority areas defined in the strategic plan) and technological maturity (product development must have critical component technologies with a TRL of 6 or higher). The concept of technological duality gains importance for extra-budgetary resources and the integration of military and civilian sectors.Brazil

Influencing factors within the review documents.

5. Discussion

After presenting the review results, it is essential to delve deeper into key findings and considerations identified throughout the study.

5.1 Synthetic diagnosis of the results

Table 9 provides a condensed overview, offering a synthetic diagnosis of the results derived from the review. It succinctly outlines FEI activities in the defense sector and establishes connections with the influencing factors under consideration.

ActivityDescriptionInfluencing factors
Identification and analysis of opportunities National guidelines, public budget, scenario planning, geopolitical issues, and strategic portfolio.
Generation, enrichment, and screening of ideas
Product concept definition

FEI activities in the defense sector.

5.2 Peculiarities of FEI in the defense sector

After systematically mapping the FEI in defense sector against established FEI models, several distinct aspects specific to the military context have emerged, as shown in Table 10 .

AspectMilitary FEISeminal FEI models
Systems engineering approachGovernment documents highlight the prevalent use of systems engineering activities, particularly in requirements engineering and systems lifecycle management, during the early phases of military innovation.Often, they overlook the systems engineering approach, emphasizing the need for innovation models tailored to the defense sector.
National strategic focusThe optimization of FEI primarily serves the common good, development, and survival of the State, differing from the profit-driven motives of commercial entities.
Consideration of geopolitical aspects and alignment with high-level national guidelines becomes crucial in this context.
Generally designed for technology product manufacturing companies, lacking emphasis on the broader national scope inherent in defense innovation.
Technological dualityThe defense sector incorporates the concept of technological duality, where innovations or technologies intended for military use may find civilian applications (spin-off), and vice versa (spin-in). This dual-use perspective is essential in the defense sector, influencing decisions on resource allocation and fostering collaboration between military and civilian technological advancements.The emphasis is typically on generating ideas and concepts within a specific industry or market to meet customer needs or address market gaps. The models may not explicitly consider the dual-use potential or the transferability of technologies between military and civilian domains.
Technological criticalityFEI in the military context is closely tied to the concept of technological criticality. Investments in defense prioritize mapping critical technological areas to promote strategic sectors in the national industrial base.The strategic mapping of critical technologies for national development, as seen in the defense sector, is a specific consideration that goes beyond the scope of traditional FEI models.
Technological maturityDefense innovation involves assessing the maturity of critical technologies to mitigate risks before entering the formal NPD stage. The TRL scale is commonly used for this assessment. The TRL scale, and in some cases, the SRL, plays a crucial role in gauging the readiness of critical technologies, ensuring they meet the required standards before advancing to NPD.While traditional FEI models may indirectly touch upon aspects of technology readiness, they typically do not incorporate a formalized assessment process like the TRL scale. The emphasis in traditional FEI models is often on customer-centric aspects, market dynamics, and the development of innovative solutions.
Organizational capabilities as the “engine”FEI, in defense, places organizational capabilities at the core, considering capability-based planning as a central element in identifying and analyzing opportunities, as well as in generating, enriching, and screening ideas. Organizational capabilities are integral to the military FEI “engine,” contradicting the notion that they change slowly and are uncontrollable.Organizational capabilities are classified as an influencing factor and not as part of the FEI’s “engine”, considering that they usually change very slowly and are therefore uncontrollable.
“Implementation” of innovationIn defense, the concept of “implementation” extends beyond market introduction. It is realized when a new product is effectively incorporated into the capability’s portfolio of an Armed Force, necessitating adjustments in various non-technological aspects. The symbiosis between technological and doctrinal advancements defines military innovation, emphasizing the harmonization of both aspects for successful implementation.It aligns with the definition from the Oslo Manual [ ] which asserts that the “implementation” of a product innovation is realized when a new or significantly improved product is introduced to the market, i.e., is commercialized.
Continuity in project leadershipProject leadership continuity is a crucial influencing factor, given the extended duration of defense product development and high turnover among military leaders. Mitigating leadership turnover is addressed through strategies like the continuity of civilian leadership, ensuring stability throughout the NPD phase.They emphasize the significance of organizational leadership in the context of the FEI, but do not explicitly address managing leadership continuity in NPD project planning.

Peculiarities of FEI in the defense sector.

5.3 Contributions to the FEI literature

Use of systems engineering approach : The defense sector prominently employs systems engineering activities during the early phase of military innovation. This approach encompasses requirements engineering and systems lifecycle management, aspects not explicitly emphasized in traditional FEI models.

Relevance of technological duality, criticality, and maturity : Concepts such as technological duality, criticality, and maturity play a crucial role in military FEI. These factors, while not extensively covered in established FEI models, are instrumental in decision-making processes, risk mitigation, and the strategic development of defense capabilities.

Organizational capabilities as the “engine” of FEI : In contrast to seminal NPD models that classify organizational capabilities as influencing factors, the defense sector integrates organizational capabilities as a fundamental component of the FEI “engine.” Capability-based planning is a central element in identifying and analyzing opportunities, as well as in generating, enriching, and screening ideas.

“Implementation” of military innovation : The implementation of military innovation necessitates a broader interpretation compared to traditional FEI models. In defense, implementation occurs when a new or improved product is seamlessly integrated into the capability’s portfolio of an Armed Force. This integration involves adjustments in various non-technological aspects, emphasizing the symbiosis between technological and doctrinal advancement.

Continuity in project leadership : Recognizing the high turnover of military leaders and the extended durations of defense projects, the continuity of leadership emerges as a critical consideration. Seminal FEI models do not explicitly address managing leadership continuity in NPD project planning.

Moreover, it is noteworthy that recent contributions in the FEI literature have started to delve deeper into the alignment between organizational strategy and FEI activities. Unlike seminal models that treat this issue generically, recent works, such as the integrative ontologies developed by Pereira et al. [ 20 ] and Castro and Ferreira [ 72 , 73 ], provide management artifacts designed to align organizational strategic vision with FEI activities. Employing the design science paradigm, these artifacts integrate constructs, models, methods, and instantiations, thereby enriching the strategic dimension of FEI literature.

5.4 Contributions to the defense literature

The defense sector, encompassing products ranging from CoPS to mass-produced items, presents a unique challenge due to its diverse complexity and production volume [ 74 ]. While the CoPS research area has an established connection with systems engineering literature, the realm of mass-produced products aligns more closely with the theoretical foundations of the FEI literature. Notably, defense documents predominantly draw from the CoPS approach, sparingly incorporating principles from mass production. However, recognizing that the military context spans both worlds, the integration of these approaches becomes crucial, and mapping established FEI models within the dynamics of the initial phase of the military innovation process serves as a valuable step in achieving this harmonization.

Moreover, the FEI literature, characterized by well-defined seminal models and recent integrative ontologies (as discussed in the previous section), contrasts with the more heterogeneous nature of the systems engineering literature. The latter encompasses diverse authors, countries, organizations, and standardization bodies, each adhering to distinct management models with unique nomenclatures and structures [ 43 , 44 , 45 , 47 , 48 , 54 , 55 , 57 , 58 , 59 ]. In this context, the FEI literature emerges as a unifying force, facilitating the creation of a common representation of knowledge related to the early stage of the military innovation process. This not only streamlines communication among specialists, decision-makers, managers, researchers, entrepreneurs, and other stakeholders in the defense field but also promotes greater efficiency in navigating the diverse landscape of defense innovation.

5.5 Limitations

Selection of seminal FEI models : The identification of seminal FEI models relied on findings from Pereira et al. [ 12 , 20 ] and co-citation analysis of FEI-related works available in the Scopus and WoS databases. Alternative criteria for model selection might yield a different set of seminal documents, potentially influencing the analysis.

Data collection in gray literature : The exploration of gray literature related to FEI in the military sector was constrained by the availability of documents on government websites of defense management agencies. This limitation could result in an incomplete representation of the landscape.

Scope of mapping : The review presented an initial mapping of FEI in the defense sector within seminal models. A more comprehensive and structured mapping could be achieved through the adoption of more robust methodological approaches, such as the design science paradigm [ 75 , 76 ]. This suggests that there is potential for a more in-depth and detailed examination of FEI activities in the defense sector.

Acknowledging these limitations is essential for a nuanced understanding of the scope and implications of the study, guiding future research endeavors in this domain.

6. Conclusion

This study aimed to comprehensively explore the dynamics of FEI in the defense sector through a systematic review encompassing 24 documents from both academic and gray literature. By analyzing seminal FEI models, the research mapped key activities within the defense context, including the identification and analysis of opportunities, generation, enrichment, and screening of ideas, product concept definition, and consideration of influencing factors.

The study’s contributions extend to both FEI and defense literature, introducing original perspectives. Notably, it emphasized the systems engineering approach, national strategic focus, technological duality, technological criticality, technological maturity, organizational capabilities as the “engine”, the unique concept of “implementation” in military innovation, and the importance of continuity in project leadership.

Acknowledging limitations, such as the criteria for selecting seminal FEI models, constraints in accessing gray literature, and the preliminary nature of the mapping, the study calls for future research to employ more robust methodologies, like the design science paradigm [ 75 , 76 ], for an in-depth understanding of the initial phase of the military innovation process.

In conclusion, this research lays a foundation for further exploration and synthesis of knowledge, contributing to the advancement of both FEI theory and its application in the defense sector.

Acknowledgments

This work was supported by the Brazilian Army (Atv PCENA V23-011).

We thank Dr. João José Pinto Ferreira (INESC TEC and Faculty of Engineering, University of Porto) for his expertise and help in writing the manuscript.

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Innovation projects management: a systematic literature review

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 Purpose: To highlight how the theme innovation unfolds within the scope of project management and how both have been addressed in scientific literature in the last two decades Methodology: This research is a Systematic Literature Review, where procedures were applied in the selection of articles in Scopus and Web of Science databases, for the identification and interpretation of the main publications on the topic in the scientific literature, seeking to understand its relevance and evolution the last twenty years. Findings: The obtained sample, based on the Web of Science (WoS) and Scopus databases, totaled 13 articles from different sectors and areas of knowledge, with a predominance of publications linked mainly to the research and development area, with greater progress in innovation projects. Practical Implications: This research contributes to improving the understanding of the benefits of the practice of managing innovation projects. Social implications: The findings of this ...

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Systematic review of institutional innovation literature: towards a multi-level management model

  • Published: 02 February 2022
  • Volume 73 , pages 731–785, ( 2023 )

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innovation management literature review

  • Hameeda A. AlMalki 1 &
  • Christopher M. Durugbo 1  

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Institutional innovation creates smart institutions that idiosyncratically thrive in a world of exponential change. Through policy-driven interventions and experiential learning, managers of institutions become adept at delivering praxis- and crisis-driven innovations required for survival and success. Similarly, the management of institutional innovation remains an interest in research due to links of this form of innovation to economic growth, and the demands of on-going major socioeconomic transformations due to technological advances, increased occurrences of major crises, and emerging socioeconomic challenges. Accordingly, a key question arising from the literature concerns the range of determinants and priorities that influence institutional innovation for delivering society value. Thus, the onus is on scholarship to capture and advance knowledge for harnessing the potency of institutional innovation. The purpose of this article is to analyse the current state of research on institutional innovation. Using the systematic review methodology, we identify and critically appraise 485 peer-reviewed scientific publications between 1969 and 2021. The review finds key determinants and management priorities with a view to developing a multi-level management model of institutional innovation. Guided by insights from the review, the article sets a research agenda for future management studies of institutional innovation.

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1 Introduction

For institutions like governments and businesses, pressures to stay abreast with social changes and scientific advances in society, serve as the impetus for innovation, Footnote 1 i.e., institutional innovation, which changes not only global competition but also the basis of competition itself within, and between institutions. Existing viewpoints on institutional innovation expand management strategy and policy horizons for institutions to include processes such as supply chain management, product innovation, and customer relationship management. These viewpoints redefine roles and relationships across independent entities to accelerate and amplify learning and to reduce risks (Hagel and Brown 2013 ; Fuentelsaz et al. 2018 ; Gretchenko et al. 2018 ). The institutional innovation perspective also depends on mechanisms for building scalable, long-term trust-based relationships through learning capabilities (Hao and Yunlong 2014 ; Chittoor et al. 2015 ; Phornlaphatrachakorn 2019 ) and increasing awareness of environmental pressures (Chu et al. 2018 ; Tang et al. 2020a ). Consequently, institutional innovation underpins the government, educational, training, and corporate policies that solve complex social problems, particularly through systematic collaborations between government agencies, universities, industries, and users.

In the management literature, the main problem for institutional innovation research remains questions on the legitimacy of institutions (Tingey and Webb 2020 ) and the necessary characteristics of novel initiatives that address socio-economic challenges such as income inequality (Biurrun 2020 ). Fittingly, there is on-going and increasing theoretical and empirical interest in the determinants of innovation (Molina-Morales and Mas-Verdu 2008 ; Li et al. 2020 ). For this line of inquiry, an important focus is on a working hypothesis that conformance to institutional frameworks underpinned by innovation has the potential to deliver societal value (Ventura et al. 2020 ; Chebrolu and Dutta 2021 ). Such frameworks highlight the dynamic nature of institutional environments, context-specific nature of innovations, and proactivity of innovators within institutions. Another area of interest (e.g. Pfister et al. ( 2021 ) and Tang et al. ( 2020b )), lies in understanding the priorities of institutions for managing the increasingly sophisticated policy toolbox used by governments to facilitate institutional innovation for public sector composition, creation of tax credits, investment in indigenous talent, intellectual property strategies, environmental protection regulations, funding for research and enterprise, etc. Here, the emphasis is on the nature of deep innovation and reviews of institutional structures needed to sustain livelihoods during times of historic change (Beunen and Kole 2021 ; Gongbuzeren et al. 2021 ; Hughes et al. 2021 ). In view of these on-going interests, there is a need to review and capture the current state of research on institutional innovation regularly for advancing domain knowledge and highlighting paths for future research.

The aim of this article is to review existing literature on institutional innovation based on a systematic approach. The review examines the trends of research methodologies and theories in studies, analyses key determinants, and synthesises management priorities for institutional innovation. Using knowledge captured from the review process, the article proposes a multi-level management model and sets a research agenda that challenges management researchers to advance the field of institutional innovation.

For this review, the interest lies in enriching the on-going work by researchers, managers, and policymakers to analyse the main determinants and priorities of institutional innovation. Such analysis remains critical for two reasons. First , innovation management studies that link institutional factors to economic growth contribute to a well-established domain of management research. This domain remains the focus of current studies (Jiang and Zhang 2020 ; Edwards and King 2021 ) to underscore the role of new ventures, market creation, inclusivity, and assistance afforded by institutions for the growth of economies and technological trajectory. Here, innovative activities within institutions act a central force to economic growth because they determine sharing rules within society and complement other growth explanations such as frugality, resilience, geography, trade, and capital (Gande et al. 2020 ; Tomizawa et al. 2020 ; Nkundabanyanga et al. 2020 ). Second , the world is at the brink of a major socioeconomic transformation due to the effects of technological revolutions like Industry 4.0, increased occurrences of major crises (e.g., natural disasters, health emergences, regional conflicts, terrorism, and economic recessions), and emerging challenges associated with climate change, rise of populism and geo-political tensions, environmental biodegradation, and rising inequality. Coping with this transformation remains complex and challenging. With thin mind, this review intends to contribute to management research and discourse on institutional innovation based on the rationale that a multi-level management model of institutional innovation could deepen and enhance understanding of determinants and priorities for supporting economic growth and confronting emerging challenges of major socioeconomic transformations. This review confronts the following research question:

What are the main determinants and management priorities of institutional innovation in the literature?

The remainder of this review proceeds as follows. The next section gives an overview of institutional innovation, followed by the review methodology and findings on key determinant and management priorities, respectively. The review then presents the multi-level management model followed by a discussion of potential future questions and challenges for management research on institutional innovation.

2 Institutional innovation: an overview

Institutions are social constructs defined as “the rules of a society or of organisations that facilitate coordination among people by helping them form expectations which each person can reasonably hold in dealing with others” (Ruttan and Hayami 1984 , p. 204). These rules govern behaviour, produce more long-standing facets of human systems, and steer societies along specific development paths (McCann 2004 ; Woodhill 2010 ) but depend on the will and creativity of individuals (Shaffer 1969 ). Through formal (e.g. laws) and informal (e.g. social norms) mechanisms, institutions concomitantly emerge from and determine socio-economic exchanges (North 1991 ; Scott 2006 ) within public and private spheres of human endeavour. In this context, some researchers argue that ‘institutional void’, i.e. the absence of formal institutional mechanisms, triggers the use of informal institutional mechanisms for guiding and supporting interactions (Raghubanshi et al. 2021 ). An alternate view argues that the emergence of institutions stems from constant-cause (same factors) and path-dependence (different factors) explanations (Parrado 2008 ). Recognising that institutions are ‘rules of the game’ (North 1990 ; Edquist 2006 ; Scott 2006 ), recent studies (e.g. Chebrolu and Dutta ( 2021 ) and Hughes et al. ( 2021 )) argue that radical perturbations, such as the Coronavirus Disease 2019 (COVID-19) pandemic, are ‘game changers’ that cause socio-economic distress and disrupt the status quo. Yet, these perturbations also pose opportunities for innovation to reimagine existing institutions and to transform the supportive ecosystems of such institutions.

According to Hagel and Brown ( 2013 , p. 4), institutional innovation is a shift from scalable efficiency to scalable learning, such that organisations “can become more adept at generating richer innovations at other levels, including products, services, business models, and management systems”. Similarly, Raffaelli and Glynn ( 2015 , p. 409) define institutional innovation as “novel, useful, and legitimate change that disrupts, to varying degrees, the cognitive, normative, or regulative mainstays of an organisational field”. For Li et al. (2020b; p.115801), institutional innovation is “the creation of a new and more effective system to encourage people’s behaviour, and the realisation of social sustainable development and innovation under the existing production and living environment”. This form of innovation emerges from injections of investments and initiatives reinforced by policies and strategies as posited by the ‘institutional-pump’ model (Durugbo et al. 2020a ), which contrasts with technology-push and market-pull theories on innovation (Martin 1994 ), as summarised by Fig.  1 . For instance, ‘pumps’ of investment underscore directed actions that implement institutional changes proposed via contracts, internalisation, regulation, and referendums (Polopolus 1969 ; Hug 2005 ).

figure 1

Comparing the institutional-pump model to technology-push and market-pull theories of innovation (Durugbo et al. 2020a )

Using systems thinking, Johannessen ( 2008 ) attempts to explain changes due to institutional innovation along pattern, functional, historical, and cybernetic forms of causal processes. The author suggests these different processes account for legitimacy taken for granted (cognitive) or engrained in social pressures from institutional actors (normative). Similarly, Woodhill ( 2010 ) applies a systems complexity standpoint to argue for institutional innovation capacity that involves navigating complexity; learning collaboratively; engaging politically; and being self-reflective. Irrespective of the characterisation, institutional innovation as a concept has some lawful implications for organisational actors. Like other innovations, institutional innovation concerns novelty and utility, but differs in that it is also “legitimate, credible and appropriate” (Raffaelli and Glynn 2015 , p. 407). Institutional innovation rose to prominence due to development in sectors such as healthcare and manufacturing, with research on the subject gaining traction in the mid-1970s. Major management changes spurred by research undertaken in England and Wales in 1963 and 1973 as well as in France and North America account for most of this growing interest (Sewell et al. 2005 ). Here, insights provided from studies over the years underscore how institutions stimulate innovation to reduce uncertainties, coordinate the use of knowledge, mediate conflicts, and provide incentives.

Literature offers three main viewpoints on institutional innovation, as compared by Table 1 . The first viewpoint, induced institutional innovation (Ruttan and Hayami 1984 ; Ruttan 1989 , 2006 ), posits that resource imbalances due to institutional constraints motivates a dialectic interaction between demand for and supply of innovation. This interaction also considers the influence of technological and cultural changes in society. Here, innovators harness potential opportunities associated with overcoming institutional disequilibrium due to changes in market sizes, government rules, etc. (Grabowski 1991 ; Godden 1991 ; Ruttan 2006 ). The next viewpoint, continuous institutional innovation, notes the rapid advances and waves in technological breakthroughs (Li et al. 2020 ; Xie and Yang 2021 ) that improve democratic governance (Biggs 2008 ; Fung 2012 ). These breakthroughs emerge from and deliver provisioning in four main forms: (i) technological infrastructure that enact innovative policies; (ii) high technology that engineer complex solutions; (iii) computer-based information systems that enable innovative business processes; and (iv) digital technologies that enhance service delivery (Durugbo et al. 2020a ). The third viewpoint, collective institutional innovation (Hargrave and Van De Ven 2006 ), uses social movement and technology innovation literature to argue for a model of collective action for change that is field-dependent and occurs according to the exchanges between actors within the field. The viewpoint also highlights four perspectives on institutional innovation involving adaption, diffusion, design, and collection action—according to varying actor level foci and reproduction/ construction modes of change.

Institutional innovation is important for accelerating economic activities and contributes to added economic value. This is because this form of innovation shapes the behaviour of organisations (Edquist 2006 ) and motivates institutional actors to plan modifications that spur a variety of collective activities carefully (Schickler 2001 ; Veiga et al. 2020 ). Institutions also favour innovation because the process gives rise to stability necessary for fluid knowledge exchanges and learning processes (Carlsson 1997 ). In discussions concerning the role of innovation for economic growth, recent research accentuates the need to explore selective forms of interventions that support internationalisation in spheres of education (Foray and Woerter 2021 ; Fumasoli and Rossi 2021 ), the public sector (Buchheim et al. 2020 ), and business (Hernández et al. 2021 ). Some key areas of interest for interventions include fostering innovative work behaviour (AlEssa and Durugbo 2021 ), and reducing barriers (Hueske and Guenther 2015 ). Using transformative policies, pro-innovation institutions also attempt to address inequality in economic systems (Biurrun 2020 ; Perry 2021 ), manage immigrant integration that boosts cultural diversity (Nyseth and Ventura López 2021 ), and confront the conflating challenges of energy development and environmental protection (Gao et al. 2020 ). Yet, institutional innovation is difficult and faces unease, disagreement, and conflict due to the dynamic nature and tension between institutional persistence and innovative change (Hargadon and Douglas 2001 ). Evidence also suggests that the application of innovation generates additional risks for some institutions (e.g. financial institutions) due to the peculiar complex nature of delivered services (Mishchenko et al. 2021 ). Furthermore, there are arguments that institutional innovation negatively creates “certain structural and distributional biases” against the backdrop of economic value for institutional actors and participants (Farrell and Runge 1983 ). Such biases threaten the legitimacy and question the efficacy of the innovation by institutions.

Although, related reviews adopt the systematic approach to review institutional change research (van der Heijden and Kuhlmann 2017 ; Bakir and Gunduz 2017 ), the work presented in this article is unique in its focus on institutional innovation. Motivated by the need to deepen knowledge on institutional innovation determinants and priorities, the review presented in this article, seeks to enrich the discourse on factors and actions required for managing institutional innovation and revising existing institutional structures.

3 Methodology

Motivated by RQ , this article applies the systematic review methodology (Khan et al. 2003 ) to analyse research studies on institutional innovation. The process for this review, shown in Fig.  2 , consists of three main phases: planning, conducting, and reporting (Kitchenham and Charters 2007 ; Durugbo et al. 2020b ). Planning the review involves creating an initial protocol that concretises and formalises the review plan. Table 2 outlines the review protocol concerning the context for the research, the specific research questions, the planned search strategy, and the criteria for publication selection.

figure 2

Systematic literature review process (Kitchenham and Charters 2007 )

Conducting the review is the phase entailing the selection of studies, quality assessment to include studies, data extraction and monitoring, and the data synthesis. Selection concentrates on sources available on two online databases. First, Scopus ( https://www.scopus.com ), which is a scientific search engine with the most inclusive coverage of published peer-reviewed research. The database provides access to over 26,000 + scientific, technical, and medical (STM) journal titles from over 7000 + publishers. Second, Web of Science ( www.webofscience.com ), which is a citation database that tracks and provides access to over 171 million records with about 1.9 billion cited references. Using Scopus and Web of Science, the review identifies, screens, and accumulates sources related to institutional innovation. The search process for the review applies a range of search strings to identify and screen sources based on titles, keywords, and abstracts of articles. The specific strings that serve as the basis for this review are “institution AND innovation”, “innovation AND institution”, “institution innovation”, and “institutional innovation”. This search generated 1600 and 1515 results on Scopus and Web of Science respectively, and further refined searches limiting results to journal articles published in English produced 983 and 893 results on Scopus and Web of Science, respectively. Cross-referencing to identify duplicates and screening for relevance yielded 485 articles published between 1969 and 2021 that serve as the basis for this review. Figure  3 shows the yearly distribution of the review articles, indicating a growing trend and interest in the topic, particularly in the past 7 years. The review relies on empirical and theoretical peer reviewed journal articles as the main inclusion criteria. Consequently, this process excludes conference proceeding papers, doctoral dissertations, master’s theses, textbooks, and unpublished working papers.

figure 3

Yearly distribution of institutional innovation publications

For reporting the review , data analysis initially presents trends and classifications of studies. This phase derives data from preceding steps to inspect, clean, transform, and model review data on methodologies and theories within studies. Figure  4 a shows that the main methodologies used in the literature are case studies (171 articles), econometric models based on longitudinal panel data (111 articles), surveys based mainly on cross-sectional data (52 articles), and essays involving critiques, discussions, and historical analyses (50 articles). The review also contains studies using mixed methods (29 articles), literature reviews (24 articles), conceptual pieces (25 articles), decision analysis using techniques such as simulation and multi-criteria decision analysis (12), experimentation (5 articles), action research (4 articles), and meta-analysis (3 articles).

figure 4

Analysis of review data according to a methodologies and b management theories used in studies

The analysis also finds, as shown in Fig.  4 b, strong theoretical underpinnings for institutional innovation studies, with institutional theory, rather unsurprisingly, dominating coverage with use in 95 sources (82 usages in isolation and an additional 13 usages from the 28 studies with multiple theories). Some other theories used in the literature include systems of innovation, transaction cost, resource-based view, absorptive capacity, dynamic capabilities, regulatory focus, and social network theories, as presented by Table 3 . The reporting phase also involves a synthesis of the findings, consistent with the research protocol, and geared towards presenting the extracted data in a manner that is coherent with the review objective and intended outcomes (Kitchenham and Charters 2007 ). Synthesis during the review is descriptive and intended to present clusters and outlines of the key determinants and management priorities for institutional innovation. In establishing the determinants, the review creates categories of concepts that serve as the phenomena investigated. For management priorities, the review applies clustering to capture themes that underscore focal points for management and interventions to enhance institutional innovation. Applying conceptual and thematic analysis is consistent with the systematic review methodology (Khan et al. 2003 ; Durugbo 2020 ) and enables the review to present the findings in a form suitable for dissemination. The next section reports the findings of the synthesis of articles.

4 Main determinants of institutional innovation

Literature suggests institutional innovation management exists in four main contexts: organisational, environmental, social, and governmental. These innovation contexts strengthen the contribution of intangible resources (e.g., proximity, relational capital, cooperation, and learning) as sources of economic growth. Constructs such as the quadruple helix (Schütz et al. 2018 ), Footnote 2 posit on actors and systems for these contexts with institutions pursuing radical (Gao et al. 2015 ; Martínez-Pérez et al. 2019 ; Qing et al. 2019 ; Ventura et al. 2020 ), incremental (Vermeulen et al. 2007b ), and in some cases, frugal (Kunamaneni 2019 ; Ananthram and Chan 2021 ; Jayabalan et al. 2021 ) innovations.

Organisational innovation presents the core context for institutional innovation, harnessing the potentials of open and technological innovations, and delivering breakthrough processes and products in areas such as healthcare (Laurell 2018 ), finance (Boulanger and Gagnon 2018 ), and education (Sein-Echaluce et al. 2017 ; Boroujerdi et al. 2020 ; Thani et al. 2021 ). Delving into complexities of intra- and inter-organisational innovation underlines the significance of new ventures and enterprise (Fuentelsaz et al. 2018 ), innovativeness and innovative behaviour (Sun et al. 2017 ; Da Silva 2019 ), and innovative investment and funding (Huston et al. 2015 ) for sustaining economic growth of cities and communities. With increasing awareness of an emergent environmental crisis, institutions also pursue environmental (green and eco forms of) innovations aimed at sustainable development (Adomssent and Michelsen 2006 ; Wang et al. 2019a ). Eco-friendly energy sources (e.g., solar, hydro and wind) and practices (e.g. reverse logistics) afford institutions with opportunities for enhancing nature's resilience to environmental pressures and for promoting responsible and accountable use of natural resources (Huang and Yang 2014 ; Polzin et al. 2016 ; Chen et al. 2018 ). This context motivates studies of management strategies such as stringent environmental regulations (Chu et al. 2018 ; Yao et al. 2019 ), reverse logistics (Aguilera-Caracuel and Ortiz-de-Mandojana 2013 ; Huang and Yang 2014 ), brand equity (Yao et al. 2021 ), and mobilisation of private finance (Polzin et al. 2016 ). Additionally, institutions chase social innovations in efforts to address complex social problems such as income inequality, poverty alleviation, urban mobility, and persistent societal and endemic violent conflicts. The intent is to create societal value (Turker and Vural 2017 ) and promote social enterprise (Kolk and Lenfant 2015 ; Venugopal and Viswanathan 2019 ) in conflict-affected areas plagued by institutional gaps. Co-creating and legitimating social innovation (Onsongo 2019 ; Kumari et al. 2020 ) becomes paramount as institutions explore agents of social change for sectoral diffusion patterns (Peirce 1991 ; Windrum et al. 2018 ) along with empowerment in public welfare for marginalised citizens and local communities that creates opportunities for positive change (Andersen and Bilfeldt 2017 ). Governmental (regulatory or policy (Costa-Font and Puig-Junoy 2007 )) innovation involves initiatives by governments that seek to confront discrepancies between the existing and attainable quality of life for citizens (Shaffer 1969 ). These discrepancies stem from issues surrounding employability, inequality in advanced economies, over-concentration of wealth for few at the top of the income distribution (Biurrun 2020 ; Fumasoli and Rossi 2021 ). Examples of policy innovations include the New Deal legislation of the 1930s that generated economic value in the form of reduced risk and increased rewards for farmers (Farrell and Runge 1983 ) and the Federal Reserve Act of 1913 for supporting bankers (Ferderer 2003 ). Intergovernmental bodies also implement policy innovation, e.g., the Birds and Habitats Directives that targets the sustainable conservation of natural habitats and species (Beunen and Kole 2021 ). Traditionally the mode for socioeconomic advances by contemporary societies (Rickards et al. 1996 ; Tingey and Webb 2020 ), recent studies highlight the increasing use of innovative policy toolboxes by local, national, and regional governments of emerging economies (May 2008 ; Helleiner and Wang 2018 ; Tang et al. 2020b ) for boosting collaboration (Gachie 2020 ) and effectiveness (Rodríguez-Pose and Zhang 2020 ).

In view of these contexts, this analysis of the literature identifies four categories of determinants for institutional innovation: (i) institutional quality and control, (ii) institutional diversity and reputation, (iii) institutional value and output, and (iv) institutional reform and improvement. Table 4 summarises these key determinants, and the next subsections outline the main concepts within the categories.

4.1 Institutional quality and control

Topically, the most investigated category of determinants and independent variables is institutional quality and control that influences efficiency and dexterity of innovation inputs. Studies focus on institutional quality because empirical evidence suggests this concept influences the ability of firms to acquire advanced technologies (Wu et al. 2016 ; Kawabata and Camargo Junior 2020 ) along with the probability, capacity, and intensity of innovation (Rodríguez-Pose and Zhang 2020 ; Mosconi and D’Ingiullo 2021 ). Total quality management (TQM) offers a critical paradigm for ensuring quality (Wiklund et al. 2003 ; Sharma et al. 2010 ; Kasperavičiūtė-Černiauskienė and Serafinas 2018 ) while control is a determinant that investigative studies generally agree on but underscore in varying research foci. Examples of these control foci include institutional gatekeepers (Ferguson and Carnabuci 2017 ), institutional structures (Fischer and Tello-Gamarra 2017 ), institutional governance (Bekhet and Latif 2018 ), and internal control quality (Ruan and Liu 2021 ). However, the most stressed quality and control determinants are patent systems characterised by high levels of formalism (Barros 2015 ; Ervits and Zmuda 2018 ) and intended for managing Intellectual Property Rights (IPR) (Malva et al. 2013; Huang et al. 2017 ; Hou et al. 2018 ). An alternative but complementary perspective in the literature identifies ownership as a mechanism for quality (Yi et al. 2017 ) due to links with strategic human resource management that support innovation-oriented business strategies (Cooke and Saini 2010 ). Research also suggests that institutional strategies embed control in an array of managerial tools, such as institutional support systems that prioritise quality controls for shaping R&D efforts within innovation systems, especially in terms of labour productivity and patenting behaviour (Fischer and Tello-Gamarra 2017 ). In these circumstances, managerial sense-making (Lee and Yoo 2008 ; Weber et al. 2019 ) remains essential to achieving sound long-term performance, on which the legitimacy and sustainability of the selective governance constellation rest.

Although researchers agree on the importance of high performing and pro-innovation institutions, the spotlight on quality and control determinants tend to vary. Measuring efficacy and changeability offers the main interest for some researchers (Bennett and Nikolaev 2020 ; Afshari-Mofrad et al. 2021 ), while others analyse factors related to innovation performance (Asiedu et al. 2020 ; Bentzen et al. 2021 ; Godlewska 2021 ) or the performance of institutional entities such as firms (Li et al. 2020 ; Hussen and Çokgezen 2021 ), and universities (Sharma and Sharma 2021 ). The latter interest informs the use of analytical constructs like the quadruple helix, which add a layer of network control for engagement (Schütz et al. 2018 ; Kang and Jiang 2020 ). This layer taps into huge potentials for high quality collaborative innovation for confronting grand challenges (e.g., climate change and urban mobility) facing modern societies.

4.2 Institutional diversity and reputation

Next, institutional diversity and reputation offer the next category of determinants investigated by researchers. Here, the emphasis remains on understanding the roles of heterogeneous (de Zubielqui et al. 2015 ) and diverse (van Wijk et al. 2019 ) actors in mobilising the emotional energy and reflexive awareness necessary to disrupt the status quo, generate (and negotiate) alternatives, and embed solutions in institutional contexts to produce profound change. Diversity foci vary in several studies with interests including urban diversity (Smith and Thomas 2015 ), firm-university partnership diversity (Whitley 2014 ), and environmental technology diversity (Aragon-Correa and la Hiz 2016 ). These authors recognise variations in the idiosyncratic capabilities of firms for acquiring and allocating resources (Li 2015 ; Kang and He 2018 ) and how these capabilities influence the ability of institutions to generate environmental, social, and economic value for stakeholders (Yeung 2015 ). For some studies, inequality entrenched in long-standing institutional arrangements is a diversity management challenge for strategies to foster gender inclusivity (Krech 2020 ) and policies to redress social inequality and poverty (Zapata-Cantu and González 2021 ). More broadly, highlighted as a puzzle for management scholars, understanding the link between institutional innovation and inequality (Biurrun 2020 ) is a research focus accentuated by recent macroeconomic shocks due to the global financial crisis of 2007–2008 and COVID-19 pandemic. Due to these shocks and radical perturbations, some researchers (Tomizawa et al. 2020 ; Hughes et al. 2021 ) differ in their opinions on the role of diversity, arguing for emphasis on alternate inclusive institutional arrangements that foster inequality due to the breakdown of institutions stemming from major socio-economic and technological transformations in society.

In the literature, institutional reputation contains intrinsic ties to diversity (Wu et al. 2015 ) and indicates success (d’Agostino and Scarlato 2019 ). Reputation, in this context, concerns institutional (and organisational) credibility and integrity as viewed by a wide spectrum of stakeholders, including citizens, governmental agencies, customers, and industry. While strong institutional policies build reputation for top-down, up-and-up implementations, focus on organisational level reputation offers a bottom-up, divide-and-conquer alternative. Considering these prospects, researchers examine how carefully considered innovation strategies enable organisations to boost their reputation (Pesti et al. 2019 ) for attracting top talent (de la Mothe 2004 ; Dahm et al. 2021 ), and how institutional information and externalities influence institutional reputation (de Zubielqui et al. 2015 ).

4.3 Institutional value and output

Insights from the literature suggest that the category for institutional value and output offers the most investigated dependent variables for institutional innovation. In the context of institutions, some researchers with ‘contributory foci’ measure innovation outputs (e.g., using patent numbers and citations (Kim et al. 2019 ), revenues of new products (Hou et al. 2019 ), and costs of equity capital (Lui et al. 2016 ), while arguing that these outputs are part of a multi-faceted structure involving knowledge creation and diffusion (Kwan and Chiu 2015 ). In contrast, some studies with ‘critical foci’ investigate the decline of innovative outputs in the context of ties to policy efforts (Kunamaneni 2019 ), technology use (Mohsen et al. 2021 ), and the political economy of micro-level institutions (Haggard and Zheng 2013 ). There are also studies with ‘consequential foci’ examining the significance of the institutional environment from which organisations operate (Barasa et al. 2017 ) and the nature of collaboration between institutional entities (e.g., multinational companies and small-sized life science companies) for harnessing entrepreneurial and creative capacities (Styhre and Remneland-Wikhamn 2016 ).

Value, which is more inherently beneficiary-oriented and relational, also preoccupies researchers (Styhre and Remneland-Wikhamn 2016 ; Cestino and Berndt 2017 ), for public value creation that enhances the life of citizens (Yang 2016 ) and customer value propositions in transaction rules that benefit clients, buyers, end-users, and so on (Wallman 2009 ). Overall, determinants in this category strive for an integration of community indicators and government performance management in an iterative cycle of engagement, legitimacy, and execution, with structural developments across borders between civil society, politics, and administration.

4.4 Institutional reform and improvement

Institutional reform and improvement describe a category of determinants essential for transformative processes (i.e., methodical, management and process innovation) within institutions in such a way that different modus operandi and modus vivendi respect human rights, maintain the rule of law, and are accountable to constituents. Primarily the focus of earlier studies (Polopolus 1969 ; Ruttan and Hayami 1984 ; Grabowski 1988 ) and more recent discussions and conceptualisations (Sus 2019 ; Hughes et al. 2021 ; Perry 2021 ), interest in this category centres on discourse surrounding the genesis and metamorphosis of institutions. Earlier works stress the role of agents of change (Ebegbulem 1974 ; Pred 1978 ) while more recent expositions give prominence to the implementation of ambitious projects (Williams 2002 ; Chien 2007 ), and transparent public–private partnerships (Zhang and Tan 2019 ; Oppong and Andrews 2020 ; Yu 2020 ). Similarly, the nature of change varies among scholars with debates that highlight differing emphasis on socioeconomic and political change (Halpern 2005 ), change in the new power topology (Clapp et al. 2016 ), technological change (Mia 2020 ; Perry 2021 ), managerial change (Parrado 2008 ), and technical change for economic development and knowledge acquisition processes (Oyelaran-Oyeyinka 2006 ; Ruttan 2006 ). Some studies argue that reform for institutional improvement is crucial, not only to boost quality levels of outputs (Azadegan et al. 2013 ) but also procedurally to ensure quality exchanges within cooperative networks (Brinckmann 1998 ). However, other researchers offer a contrasting perspective that considers negative impacts of limits and constraints such as institutional voids in areas of inadequate support (Turker and Vural 2017 ), triggering a rethinking and reimagining of existing formal institutional frameworks (Onsongo 2019 ; Chebrolu and Dutta 2021 ).

Regional policies embed reform and deliver disruptive (hence economic) capabilities and capacities for improvements. In literature, capabilities tend to represent the most essential determinant in institutional innovation (Sawang et al. 2017 ), and even though this determinant spans different categories of determinants in literature as shown in Table 4 , the reform and improvement category heightens the role of capabilities. Insights from policy making and the development of technical standards advance this line of reasoning (Smink et al. 2015 ) as policy makers wrestle with necessary blends of heterogeneous actions (radical or incremental) (Turker and Vural 2017 ; Ventura et al. 2020 ), agents (internal or external) (Villavicencio et al. 2015 ), and arrangements (formal or informal) (Fischer and Tello-Gamarra 2017 ) for successful innovations. Capacities and other conditions for successful institutional reforms also preoccupy scholars with policy suggestions for eased foreign direct investment (McCarthy et al. 2014 ) and entrepreneurial endeavours that transcend the institutional constraints of national innovation systems (Hung 2000 ). Some studies view national and local reform in the context of structural and behavioural logics that legitimise social meanings required for reform and improvement (Lazer et al. 2011 ; Waldorff 2013 ; Kooijman et al. 2017 ), with scholars analysing speeds and directions of radical innovation. Although varied in focus, there is somewhat of a consensus on the role of reform and improvements for realising substantial economic growth, and for overcoming challenges of unemployment, inequality, and deprivation.

5 Management priorities for institutional innovation

Synthesis of review data finds six management priorities for enhancing institutional innovation. This review determines these priorities based on appraising management contributions within the literature. These priorities are: (i) network engagement, externalities, and relationships (NEER), (ii) institutional logic, capabilities, and constraints (ILCC), (iii) economic conditions, policies, and intermediaries (ECPI), (iv) institutional strategies, ownership, and governance (ISOG), (v) technology readiness, transfer, and support (TRTS), and (vi) institutional synergies, incentives, and entrepreneurship (ISIE). Table 5 summarises these priorities and the next subsections outline their importance.

5.1 Network engagement, externalities, and relationships

The first of the priorities, NEER, reflects the growing significance of managerial social networks for institutional innovation (Kraft and Bausch 2018 ) in relation to transdisciplinary and interdisciplinary engagement within institutional networks (Blättel-Mink and Kastenholz 2005 ; Moore 2011 ) and ecosystems (Boisvert et al. 2013 ). This thematic group considers dynamics of organisational networks (Hage and Hollingsworth 2000 ; Schøtt and Jensen 2016 ), domesticated market networks (Van Bockhaven et al. 2015 ), inter-organisational relations (Nooteboom 2000 ), innovation networks (Lyu et al. 2019 ), connectedness of regional institutions (Liu 2016 ), networking practices (Minh and Hjortsø 2015 ), and cohesive networks (Kraft and Bausch 2018 ). Here, there are management interests in social capital (Nieto and González-Álvarez 2014 ; Smith and Thomas 2015 ), social and institutional trust (Audretsch et al. 2018 ; Didenko et al. 2020 ), and relationship ties that include managerial ties (Gao et al. 2017 ; Ventura et al. 2020 ) and social ties (Chen et al. 2021 ).

Network partnerships within this theme consider managing interactions in public–private (Kidd 1996 ; Rosário et al. 2013 ), state-market (Yu 2020 ), and industry-academia (Krishnan and Jha 2012 ) partnerships. Literature also provides other network arrangements in the form of collaborations among industry, university, and research institutions (Yingbo et al. 2010 ), R&D collaborations (Hou et al. 2019 ), helix innovation networks (Schütz et al. 2018 ), public research institutions (Fritsch and Schwirten 1999 ), university-industry links (Kunamaneni 2019 ), and multi-level institutional linkages (Rodima-Taylor et al. 2012 ). Significant in institutional collaborations and partnerships is the role of institutional actors (Lounsbury and Crumley 2007 ; Chen 2018 ) who substantially influence the creation of new practice, innovation capability, commercialisation of new technology, and institutional arrangements. Specifically, research studies allude to network actors such as executive and middle managers (Radaelli et al. 2017 ), beneficiaries (Llopis and D’Este 2016 ), fierce competitors (Frey et al. 2012 ), suppliers (Nordberg et al. 2003 ), external actors (Sun et al. 2017 ), and elites (Geels 2004 ). These salient actors play a role in shaping innovation networks by influencing the preservation of socioeconomic order and investment in innovation. With this in mind, some studies concentrate on the multi-faceted nature of institutional actors through probes of actor perceptions, activities, and diversity (Lynn et al. 1996 ; van Wijk et al. 2019 ), institutional learning (Buttoud et al. 2011 ), and the increasing use of innovation ‘offshoring’ that creates global innovation networks (Desai 2009 ).

This theme also prioritises the management of institutional knowledge–related imperatives stemming from network interactions. Example of these imperatives are knowledge externalities (d’Agostino and Scarlato 2019 ), knowledge spirals (Sein-Echaluce et al. 2017 ), and knowledge acquisition (Rutherford 2001 ; Chittoor et al. 2015 ; Liao 2018 ) that influence innovation orientation. There are also interests in links between knowledge and creativity (Boudreaux 2017 ), new knowledge bases (Asheim and Coenen 2006 ; Rolfstam 2012 ), and the knowledge infrastructure that facilitates knowledge creation, diffusion, and accumulation in institutions (Hamdouch and Moulaert 2006 ; Gittelman 2006 ; Iqbal 2021 ).

5.2 Institutional logic, capabilities, and constraints

The second priority is ILCC , which encompasses configuration- and proficiency-related management for problem solving and optimising decisions under constraints. Contributions in this thematic grouping consider improvements in the configurations of institutional logic (Kooijman et al. 2017 ; Cinar and Benneworth 2021 ), institutional logic differences (Azadegan et al. 2013 ; Llopis and D’Este 2016 ), interplay of logics (Vickers et al. 2017 ), service dominant logic (SDL) and servitization (Cestino and Berndt 2017 ), and legacies (Baark 2007 ). Grounding these logics are distinctive capabilities (Kunamaneni 2019 ) in areas of governance structures (Rasiah et al. 2016 ), forecasting and planning of skilled labour (Gretchenko et al. 2018 ), institutional readiness (Webster and Gardner 2019 ), and so on. These sources offer a discourse suggesting diversity of capabilities as a source of innovative strength for institutions. Thus, context assumes an important role for institutional innovation with varying interests in institutional (Colwell and Narayanan 2010 ; Lindelöf 2011 ), country (Lee and Yoo 2008 ), and cultural (McCarthy et al. 2014 ; Piana et al. 2015 ) contexts.

Yet, empirical evidence suggests these positive enabling priorities may possess negative constraining concerns contingent on circumstances. For instance, there are studies on institutional inhibitors such as organisational slack (Malen and Vaaler 2017 ), institutional voids (Turker and Vural 2017 ; Onsongo 2019 ), and institutional misalignments (Bunduchi et al. 2015 ). This contradiction motivates studies on institutional environments with focus on corporate governance (Yi et al. 2012 ), and professional resistance (Radaelli et al. 2017 ). Institutional theory also posits on isomorphic, coercive, normative, and mimetic pressures as affecting environments that enact institutional innovation with interests in links with religion (Assouad and Parboteeah 2018 ), and alliances (Alexander 2012 ). The complexity of environments within which institutions operate also elevates the importance of designs for innovation systems and new international ventures (Hargrave and Van De Ven 2006 ; Boudreau and Lakhani 2016 ).

5.3 Economic conditions, policies, and intermediaries

ECPI is the next priority with themes detailing management of production and consumption conditions. Financial management lies at the heart of economic imperatives for commercialisation, investment, managerial incentives, costs, profitability, and shareholding in terms of institutional innovation. These imperatives motivate research interest, particularly in relation to financial (Vermeulen et al. 2007b ) and microfinance (Elle 2017 ) services for addressing concerns such as investment horizons (Kim et al. 2019 ), economic returns (Heher 2006 ), transaction costs (Aziz et al. 2019 ), and financial fraud (Yang et al. 2017 ). These constructs aid in examining innovation outputs (e.g., patents), composition of the firms in joint ventures, and investment objectives for incremental and radical innovation.

Economic policies are themes involving guidelines, procedures, or processes for achieving rational objectives and outcomes. Policies considered within the literature include public (Adebowale 2012 ; Doblinger et al. 2016 ; Allen et al. 2020 ), innovation (Liu et al. 2011 ; May and Schedelik 2019 ), community (Molnár 2004 ), institutional (Niosi 2010 ), technology (Harding 2000 ; George and Prabhu 2003 ; Vasudeva 2009 ), and antitrust (Hart 2001 ) policies. Effective management under these policies depend on legitimacy, investment efforts, risk-taking behaviour, technological stalemate, and evolutionary trajectories. Studies also identify institutional intermediaries (Watkins et al. 2015 ; Landoni 2017 ) and their economic impact on innovativeness for climate change, innovative capability for public procurement, brokering knowledge in networks, and commercialisation of technologies.

5.4 Institutional strategies, ownership, and governance

ISOG is the management priority that steers and coordinates efforts towards enhancing innovation levels and improving institutional performance. In this context, institutional innovation scholarship proposes governing procedures and practices in concepts of governance structure (Whitley 2000 ; Casper and Matraves 2003 ), governance institution quality (Bekhet and Latif 2018 ), financial governance (Hyvärinen 2006 ), corporate governance (Yoshikawa et al. 2007 ; Yang et al. 2017 ), participatory governance (Forde 2020 ; Kalinowski 2020 ), and institutional arbitrage (Clausen 2014 ). Challenges to empower stakeholders spur increasing shifts from government to governance (Nielsen et al. 2004 ; Clapp et al. 2016 ) with goals of gaining legitimacy from transformational and executive leadership that facilitates institutional change and reform (Williams 2002 ; Asiedu et al. 2020 ). The literature also accentuates institutional strategies (Brinckmann 1998 ; Villavicencio et al. 2015 ; Smink et al. 2015 ), legitimacy (Hung and Whittington 2011 ), open innovation strategies (Kitagawa and Robertson 2011 ; Smink et al. 2015 ; Abramov et al. 2019 ), strategic transactions and dialogue (Wallman 2009 ), offshoring innovation strategies (Sartor and Beamish 2014 ), and growth strategies (Koh 2006 ). For other scholars, ownership of rights and control serves as the foundation for strategies on institutional innovativeness. Here, the interest of research lies in the mechanisms that structure institutional ownership (Cooke and Saini 2010 ; Yi et al. 2017 ), equity ownership and institutional investors (Sakaki and Jory 2019 ), and state ownership (Yi et al. 2017 ).

5.5 Technology readiness, transfer, and support

The next management priority is TRTS , which plays a crucial role in institutional innovation levels and economic progress for countries (Clark 2002 ). The suggestion is that technology readiness to fulfil the needs of institutions remains a focal point for research (Webster and Gardner 2019 ; Markey-Towler 2020 ; Mohsen et al. 2021 ), and motivates studies on technology co-evolution, employment relations, institutional conflicts (Hung 2000 ; Costa and Horn 2021 ), and technological institutional reform (Clark 2002 ). In some technology readiness studies, researchers focus on technology development (Lee 2012 ) and available technological capabilities (la Hiz et al. 2019 ) for global innovations. Authors also explore institutional readiness in the context of technological foresight for facing future challenges (Quiroga and Martin 2017 ). From earlier emphasis on adoption and rejection stemming from institutional bandwagon pressures, the debate in the literature somewhat shifts to diffusion trajectories of continuous self-propagating technological innovation by institutions (Matzner 1985 ; Abrahamson and Rosenkopf 1993 ; Nagamatsu et al. 2006 ). Examples of these technologies include big data analytics (Yau and Lau 2018 ), telemedicine (Oborn et al. 2021 ), electronic cash transfers (Zhang and Putzel 2016 ), the Internet of Things (Xie and Yang 2021 ), and smart contracts based on financial technologies (Mishchenko et al. 2021 ).

In furtherance of readiness, technology transfer and support tend to play crucial roles in institutions of some emerging economies and sectors with low technological intensity. Empirical evidence in some studies link technology transfer to innovation diffusion patterns (Zweifel 1995 ; Kwon et al. 2009 ; Barbosa and Faria 2011 ) and knowledge transfer (Mason and Wagner 1999 ). Other studies consider internationalisation (Kumar et al. 2013 ; Suzuki 2015 ) and innovation offshoring (Rosenbusch et al. 2019 ) in the context of technological barriers and institutional arbitrage strategies. Within the literature, IPR is a technology-related concept crucial to supporting innovation. Here, the focus is on patents as a protection entity with research examining IPR in terms of geographical indicators (Juk and Fuck 2015 ), rights (Malva et al. 2013; Huang et al. 2017 ), sources (Abereijo et al. 2009 ), patent behaviour (Barros 2015 ), and domain-spanning patent applications (Ferguson and Carnabuci 2017 ). Management challenges confronted within existing IPR research for institutional innovation include patenting strategies, infringements of property rights, and new SME production and knowledge recombination strategies.

5.6 Institutional synergies, incentives, and entrepreneurship

The final priority is ISIE that influences the pooling of complementary resources for new ventures by institutions and institutional actors. Recognising the need for synergies to deliver new solutions and systems, researchers tend to agree on the need for co-creation (Kumari et al. 2020 ; Sharma and Sharma 2021 ), co-management (Léopold et al. 2019 ; Casagrande et al. 2021 ), and co-decisions for institutional resources (Shackleton and Raunio 2003 ). For instance, modern innovative drugs increasingly require co-development by pharmaceutical enterprises and scientific research institutions (Wang and Huang 2020 ). Thus, the complementary nature of institutions (Da Silva 2019 ), institutional roles (Garrick et al. 2011 ) and institutional arrangements (Lee and Yoo 2008 ; Corsi and Prencipe 2019 ), serves as foci for some studies seeking to improve integration and accountability in institutions.

Alternate perspectives note the need to manage convergence into cross-border innovations, symbiotic relationships, and collaborative agglomeration for regions (Singh and Allen 2006 ; Li and Xing 2020 ; Knickel et al. 2021 ). Technically, there are also enduring institutional challenges for co-generation e.g. of heat and electricity (Chartock et al. 1985 ). In these contexts, synergetic innovation serves as the mission for arrangements such as industry-university-research collaboration (Xu et al. 2020 ), and public–private partnership (Zhang and Tan 2019 ; Cechin et al. 2021 ).

For some scholars, entrepreneurship is the cornerstone of strategies for institutional innovation. However, these authors vary in their underlying viewpoints, with interests in institutional entrepreneurs (Wang and Swanson 2007 ; Jensen and Fersch 2019 ), entrepreneur roles (Tumbas et al. 2018 ), entrepreneurial mind-sets (Cowden and Bendickson 2018 ), the influence of quality on entrepreneurship (Veiga et al. 2020 ), and interfaces between entrepreneurship and marketing (Laurell 2018 ). Irrespective of the viewpoint, the necessity- and opportunity-based nature of entrepreneurs guides researchers in positing and analysing entrepreneurship links with economic growth (Galindo-Martín et al. 2020 ). Closely linked to motivating entrepreneurial endeavours within institutions is the role of incentives, which literature links to the overcoming of market failures (Tang et al. 2020b ) and the implementation of regulations (Costa-Font and Puig-Junoy 2007 ). In the literature, there are additional accounts on the importance of executive incentives (Wang and Deng 2021 ), producers’ incentives (Desmet et al. 2020 ), incentive properties of income-sharing arrangements (Tyson 1979 ), and managerial incentives (Hyvärinen 2006 ; Jun and Weare 2011 ; Tang et al. 2020a ). Yet, it is worth noting that the presence of conflicting incentives may ultimately undermine innovation efforts (Carney and Zheng 2009 ).

6 Future research directions for institutional innovation scholarship

Using insights from the literature, this review contributes to research by proposing a multi-level model for managing institutional innovation, as shown by Fig.  5 . Premised on a background of literature arguing for induced, collective, and continuous genesis of institutional innovation, and supported by injections or ‘pumps’ of investments, the model advances knowledge by summarising the findings of the review in terms of key institutional determinants and management priorities. The main argument of the model is that innovation contexts shape the key determinants within institutions and that these determinants influence management priorities for institutional innovation. Our multi-level framing of priorities, determinants, and contexts, offers a set of factors that adds to the discourse concerning the need for more holistic assessments of institutional foundations, which current research elaborates in the form of deep institutional foci (Hughes et al. 2021 ), and co-evolution processes (Costa and Horn 2021 ). However, in practice, far from suggesting a panacea for managing the challenges and opportunities in institutions, the model, through the systematic insights from the literature, offers a research perspective on potential critical factors for stage-managing and enacting organisational, social, environmental, and governmental changes via contracts, internalisation, regulation, and referendums. In this section, we use insights from the review to set a research agenda that entails three potential paths for future research.

figure 5

Multi-level management model of Institutional Innovation

To begin with, a critique of the theoretical and methodological space in literature provides the first path for future studies. In this context, in current studies and as shown in Fig.  4 b, the balance of the theoretical base appears tilted towards institution-oriented theories, particularly institutional theory treated in 95 studies. This raises the prospect for more innovation studies to offset this imbalance by testing existing innovation theories (e.g., diffusion of innovation) in different contexts, examining theories with limited coverage (e.g., the Bass model) in an institutional milieu, and proposing new theories. Current determinants analysed from the review mainly consider the institutional aspects for innovation, as shown by Sect.  4 . Thus, examinations driven by more framings of innovation could generate new insights on potential innovation-oriented determinants such as creativity, mindfulness, foresight, innovative climate, etc. Methodologically , researchers seem to favour case studies, surveys, essays, and econometric analysis. To a lesser extent, the review indicates interest in the use of decision analysis, meta-analysis, action research, and field experiments. Thus, there is a need for further investigations of the conceptual space for institution innovation using lesser-applied methods along with studies applying novel methods such ethnography, online research, meta-synthesis, phenomenography, and grounded theory. Existing management priorities in the literature mainly reflect macro- and meso-level considerations of institutional innovation, particularly in the context of regional, national, sectoral, and organisational concerns. Accordingly, there is a need for further studies of micro-level considerations, i.e., individual factors that enable or inhibit institutional innovation. For instance, grounded theory or ethnography-based studies could explore and theorise on personas, personalities, and motivations of institutional actors that play major roles in inducing, coordinating collective action, or championing continuous change. Similarly, online research or phenomenography could underpin explorations on the role and factors of technology (e.g., social media) use by institutional actors in relation to embedded and established routines for innovation stages (e.g., ideation) in institutions.

In line with current studies, this review challenges researchers to explore policy void in industrialised and social contexts (Mehmood 2016 ; Onsongo 2019 ) and investigate the role of institutional mediators and factors (Laurell 2018 ; Tomizawa et al. 2020 ) in relation to institutional adaptation for regional innovations. There are also challenges to detangle institutional variations concerning how formal and informal institutions shape innovation types, practices, and processes (Chadee and Roxas 2013 ; Filiou and Golesorkhi 2016 ; Huang et al. 2017 ). Further challenges exist regarding the multi-faceted role of institutional environments that positively endorse and enable, or negatively inhibit and inactivate institutional innovations (Whitley 2000 ; Wang and Swanson 2007 ; Mueller et al. 2013 ; Wu et al. 2016 ; Fischer and Tello-Gamarra 2017 ; Nite and Washington 2017 ; Kadriu et al. 2019 ; Wu and Park 2019 ).

Derived from reflections on the management priorities of the previous section, the third path for future studies extends the synthesis from the review for topical viewpoints that strategically advance the field of institutional innovation. In the next subsections, we present these paths, detail current related efforts, and elaborate on some specific research challenges for management scholarship concerning institutional innovation.

6.1 Institutional contracting

The first challenge involves studies of institutional contracting (mainly from reflections on NEER ) that examine the process of engagement, building relationships, and bargaining with contractors for formulating and implementing contracts. Accordingly, studies of institutional contracting advance NEER management, and in the proposed model of Fig.  5 , NEER management maintains social exchanges within institutions in accordance with contingency, agency, and transaction cost theories. With increasing global trends towards privatisation, urbanisation, internationalisation, and digitalisation, the indications are that contracts remain crucial for maintaining transdisciplinary and interdisciplinary engagement within institutions. In current literature, new forms of contracts serve as the focus of innovation by agricultural institutions for contract farming (Escobal 2000 ; Bhanot et al. 2021 ) and supplier contracts with research institutions (Nordberg et al. 2003 ). There are also discussions on the value of smart contracts developed by financial institutions (Mishchenko et al. 2021 ). Although contracts are well-established as a form of institutional innovation (Polopolus 1969 ), studies on the nature of contracting remains limited. Therefore, we urge for research exploring the nature of contracting that enables institutional innovation and critical success factors of this contracting process. With evidence suggesting that contract enforcement challenges may cause the emergence of new institutions (Dimitri 2002 ), future research could theorise on and empirically investigate enforcement mechanisms for sourcing and contracting institutional innovation. Research also suggests that inadequate contracting processes account for several regulatory failures (Costa-Font and Puig-Junoy 2007 ), challenging future studies to expand on normative frameworks for contracting within institutions.

6.2 Institutional reimagining

The next challenge relates to research on institutional reimagining (from reflections on ILCC ) to offer a critical view that complements existing analytical insights from studying opportunities and challenges of induced, continuous, and collective institutional innovation. Hence, research on institutional reimagining furthers ILCC management, and in the proposed model of Fig.  5 , ILCC management involves coordinating capabilities under institutional constraints that reflect resource-based, dynamic capabilities, absorptive capacities, and institutional-pump framings. This coordination requires awareness and support for the construction of institutional narratives (Schofield 2000 ) and consciousness capabilities of new global imaginaries (Hughes et al. 2021 ). In furtherance of these efforts, we propose that researchers assess institutions critically on an on-going basis to promote transdisciplinary efforts that avert institutional stagnation when confronting societal challenges. With insights from the literature and in line with institutional theory, this review highlights the need for critical reflections on the measures and pressures that shape innovation success. Multi-level analysis could aid in uncovering the micro, meso, and macro levels that are critical to promoting success and averting collapse of institutions. Critiques could also compare up-and-up and divide-and-conquer strategic plans to highlight instances of wasteful tax-and-spend policies.

Recognising the threat of institutional obsolescence discussed in early research (Polopolus 1969 ; Shaffer 1969 ), we also propose future research on the collapse of institutions, in the context of failed institutional logics for innovation to capture reasons, detail lessons learnt, review existing policy toolboxes, and reimagine failed institutions. For instance, the collapse of financial institutions in 2008 and economic collapse due to the COVID-19 are instances of institutional collapse with negative global consequences. Thus, this line of research could strive to analyse innovation determinants for recovery or reconstruction of institutions. Questions guiding such research efforts include ‘how can governments innovatively reconstruct collapsed institutions?’ and ‘what structural and behavioural attributes contribute to the collapse of institutions?’ Future research could also use insights from lessons learnt to provide innovative forecasting tools to avert institutional collapse.

6.3 Institutional intelligence

Another challenge for studies involves analysing institutional intelligence (from reflections on ECPI ). Research concerning institutional intelligence encompasses assessments of the data analytic capacities (e.g. big data analytics (Yau and Lau 2018 )) that harness the potentials of institutional information, and the intelligent intermediaries (Chen et al. 2015 ) that facilitate innovation, particularly in relation to recruiting, retaining, and developing intelligent employees. Consequently, institutional intelligence research advances ECPI management, which represents a fundamental component of the proposed multi-level management model, as represented by Fig.  5 , and determines economic benefits from institutional innovation, in line with economic theory. Although, this review incorporates studies on the need to attract top talent for innovative research in higher education (Dahm et al. 2021 ) and innovation ‘offshoring’ to emerging countries (Desai 2009 ), this line of inquiry remains limited in the context of institutional innovation research. Accordingly, we challenge academia to explore the range of data analytics for institutional innovation further, along with concepts such as institutional optimisation, innovative talent capacity building, institutional intelligence, and talent management strategies. Studies may also consider intelligence and talent management in relation to roles of actors in constructs like the quadruple helix, and control mechanisms, e.g., managerial incentives and corporate governance. Since intelligence and talent are human capital constructs, there are questions concerning effectiveness of top-down and bottom-up strategies within institutions. Some questions include ‘how effective is upper management in retaining talent for innovation?’ and ‘what is nature of team involvement in selecting and sourcing analytic capabilities for institutional innovation?’.

6.4 Institutional stewardship

For management researchers, there are future opportunities to examine institutional stewardship (mainly from reflections on ISOG ). With emphasis on responsibility and accountability, stewardship progresses ISOG management and embodies the control and sense of duty demanded by on-going shifts from government to governance (Clapp et al. 2016 ) for boosting participation and empowerment for institutional innovation. ISOG management, in the proposed model of Fig.  5 , involves governance that promotes pro-innovation institutions and is in line with agency and actor network theories. In this review, studies offer insights on related challenges for participatory governance (Forde 2020 ) and leadership (Williams 2002 ; Asiedu et al. 2020 ) that trend towards a sense of duty by institutional actors. Despite these research efforts, the literature provides limited bottom-up insights on the potential role of stewards in promoting institutional innovation and innovation contexts, i.e., organisational, environmental, social, and governmental. Future research could study specific roles of institutional stewards for radial and incremental innovations. Although, empirical evidence suggests links between stewardship behaviour and the success of innovation (Domínguez-Escrig et al. 2019 ), there are opportunities for studies to test this relationship in normative and cognitive institutional contexts. Future research may also view challenges of institutional stewardship in isolation or in conjunction with existing inadequacies due to institutional pressures, voids, and barriers.

6.5 Institutional preparedness

Another potential research direction involves studies of institutional preparedness (mainly from reflections on TRTS ), in the context of more frequently occurring macroeconomic shocks and technological transformations in society that threaten the legitimacy of institutions. Traditionally a focus of studies on agents of change (Ebegbulem 1974 ), research on readiness in an institutional context increasingly focuses on preparedness that supports trajectories of self-propagating technologies (Nagamatsu et al. 2006 ). Institutional preparedness, in this context, refers to how institutions are equipped in terms of capabilities and capacities to respond to new challenges and opportunities. The proposed multi-level model of Fig.  5 advances TRTS management for technology readiness as an element of institutional preparedness, with conceptual underpinnings from contingency and diffusion theory. Yet, there remain challenges to understand future innovation contexts and preparedness by institutions for praxis and crisis situations, proactively and reactively. For instance, recent dengue, Zika, and coronavirus outbreaks have challenged the role of traditional innovation-driven approaches, which focus on opportunity, and shifted the attention to ingenuity to cope with adversity. In addition, there are challenges to examine the infusion and routinisation (beyond the adoption and diffusion foci of current research (e.g., Genus 2012 ; Oborn et al. 2021 )) of technologies emerging due to the Fourth Industrial Revolution (e.g., synthetic data, biotechnology, and 3D printing). Thus, future studies may consider challenges such as institutional roadmaps with foresights for emerging technologies and institutional skilling needs. Other investigations could consider preparedness constructs for innovative institutions and crisis-driven innovation contexts for institutions.

6.6 Institutional complementarities

The final challenge involves research on institutional complementarities (mainly from reflections on ISIE ) for examining the ability of institutions to supplement other institutions in the quest for innovation, or the degree to which institutional arrangements, roles, factors, and innovation emphasise or improve each other. Just as innovation complements other explanations of economic growth (e.g., geography, and international trade), opportunities exist to investigate the complementarities for institutional innovation. For this reason, studies of institutional complementarities further ISIE management, and in the proposed model of Fig.  5 , ISIE management ensures integration and incentivisation within institutions in accordance with resource-based and dynamic capabilities views. Discussions in the literature on compatibility and substitutability (Corsi and Prencipe 2019 ; Da Silva 2019 ) reinforce the role of strategies for complementarities in sustaining synergies and incentivising entrepreneurial ventures within institutions. Yet, questions remain on the scope, range, and forms of complementarities that facilitate institutional innovation. For instance, the prospect of ‘creative complementarities’ that supply creativity-driven resources and know-how (Durugbo et al. 2020a ), suggests possibilities for implementation, adoption, and continuance forms of complementarities that incentivise induced, continuous, and collective institutional innovation. Lines of inquiry could examine the nature of complementarities that (dis)incentivise entrepreneurial endeavours within institutions. Such focus is needed because the literature in this review suggests that conflicting incentives within institutions inevitably deter innovative activities (Carney and Zheng 2009 ). Further studies could also examine institutional complementariness for innovation in the context of determinants such as quality, productivity, diversity, and so on. In addition, complementary viewpoints may consider and explore the role of complementarities in addressing challenges of inequality, sustainability, security etc.

7 Conclusions

In the words of Pablo Picasso, “learn the rules like a pro, so you can break them like an artist”. This saying underscores the need for ingenuity and innovation by institutions, as the rules of societies or of organisations to deliver value for a range of stakeholders such as citizens, governmental agencies, customers, and industry. Additionally, innovation in an institutional milieu faces pressures, voids, and barriers that force institutions to shift from scalable efficiency to scalable learning in efforts to expand management strategy and policy horizons. Consequently, transdisciplinary insights on the key determinants and management priorities of institutional innovation are critical to cope with the inherent dynamic nature and tension between institutional persistence and innovative practices. These determinants and priorities aid institutions deliver breakthrough processes and outcomes that require review on an on-going basis to update scholarship and practice. With this in mind, this review confronts the following research question: “What are the main determinants and management priorities of institutional innovation in the literature?” ( RQ ).

Driven by a systematic approach that seeks to address RQ , this review summarises its findings in a multi-level management model for institutional innovation in terms of innovation contexts, institutional determinants, and management priorities. Grounded on organisational, social, environmental, and governmental contexts for innovation, the review identified four key determinants concerning (i) innovation quality and control; (ii) institutional diversity and reputation; (iii) innovation value and output; and (iv) institutional reform and improvement. Similarly, the review captured six management priorities concerning network engagement, externalities, and relationships; institutional logic, capabilities, and constraints; economic conditions, policies, and intermediaries; institutional strategies, ownership, and governance; and technology readiness, transfer, and support; and institutional synergies, incentives, and entrepreneurship.

There are two main limitations of this review. First, the review focus is limited to capturing the main determinants and management priorities of institutional innovation. In this context, there is a need for additional insights on aspects such as innovation activities, the behaviour of institutional actors, and institutional arrangements. Second, the review approach is restricted to a systematic methodology that applies thematic analysis. Hence, there are prospects for deeper insights based on other review methodologies such as meta-analyses and meta-syntheses that offer more focused and extensive knowledge on constructs, dependencies, and links between variables within qualitative and quantitative studies of institutional innovation. Further analysis of co-citations could offer knowledge on the nature of citation dynamics and potential connections between publications.

Guided by insights from the findings on management priorities, the review identifies six strategic areas for future management research on institutional contracting, reimagining, intelligence, stewardship, preparedness, and complementarities. In summary, the review anticipates that the necessities and niceties of these proposed areas will aid in strengthening existing knowledge on institutional innovation and in uncovering new and exciting institutional phenomena, prospects, and potentials as managers set ground rules on contexts for innovation and run the rule over determinants within institutions.

Innovation is defined here according to the 2018 Oslo Manual as an outcome (business innovation), i.e. “new or improved product or business process (or combination thereof) that differs significantly from the firm's previous products or business processes and that has been introduced on the market or brought into use by the firm”, and as a process (innovation activities), i.e. “developmental, financial and commercial activities undertaken by a firm that are intended to result in an innovation for the firm” (OECD/Eurostat 2018; p. 33).

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AlMalki, H.A., Durugbo, C.M. Systematic review of institutional innovation literature: towards a multi-level management model. Manag Rev Q 73 , 731–785 (2023). https://doi.org/10.1007/s11301-022-00259-8

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Tool support for data-driven service innovation: a systematic literature review.

  • BERNDT JESENKO  and 
  • STEFAN THALMANN

https://orcid.org/0000-0001-6274-9859

CAMPUS 02, University of Applied Sciences, Koerblergasse 126, 8010 Graz, Austria

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Karl-Franzens University, Universitätsstraße 15, 8010 Graz, Austria

Data-driven technologies changed the way how service innovation is conducted in organisations. The literature discusses the potential of Data-Driven Service Innovation (DDSI) processes, but it is not clear yet what tool support for DDSI looks like. This structured literature review examines the tool support for each phase of DDSI processes. We found clear differences between the DDSI phases and different tools for each phase. In the first phase, tools with batch processing capability are employed for methods like text mining and sentiment analysis, helping to capture evolving customer behaviour and trends to increase the speed of innovation rate. In the second phase, immersive technologies, real-time sentiment analysis and stream analytics are used for the validation of service development processes to increase the likelihood of market success. In the third phase, AI tools with the capability to continuously learn from emerging data and Big Data Analytics tools are combined.

  • Big data analytics
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Received 10 April 2024 Revised 11 August 2024 Accepted 16 August 2024 Published: 26 September 2024

The Scholarly Kitchen

What’s Hot and Cooking In Scholarly Publishing

Embracing Innovation: Insights from Peer Review Leaders on Managing Technological Change

  • Business Models
  • Organizational Management
  • Peer Review

Peer Review Week 2024 celebrates a theme that is rapidly reshaping the academic publishing landscape: Innovation and Technology in Peer Review. As we look ahead, the tools and systems driving efficiency and quality in peer review are becoming increasingly sophisticated, from AI-powered manuscript checks to automated reviewer matching systems. But, as exciting as these innovations are, the real challenge lies not just in implementing the technology, but in managing the human and organizational changes required to make these innovations stick.

In this post, we go beyond the surface of technological advancements to explore what it truly takes to integrate these tools into the fabric of peer review processes. We’re talking about change management — the strategic, and sometimes complex, process of preparing teams, adjusting workflows, and aligning organizational culture to adapt to these innovations. Without careful management, even the most promising technologies can falter if the people behind them aren’t properly equipped to embrace the changes they bring.

We’ve invited three peer review managers from leading publishing groups to share their insights into how they are leading their teams through these transformative processes. Today we hear from Laurie Webby, Peer Review Manager at the American Society for Microbiology (ASM), Alison Denby, Vice President, Journals, at Oxford University Press (OUP), and my co-worker Erika Mann, Peer Review Operations Manager at the Public Library of Science (PLOS). From practical tools like checklists and plagiarism detection software, to fostering cross-departmental collaboration, their stories offer a roadmap for others navigating similar journeys. Through their perspectives, we’ll learn not only about the innovations themselves but also the critical strategies for ensuring these technologies are successfully adopted and embedded into everyday practice.

Five people stand on a set of parallel arrows that are reshuffling in different directions

How do you drive innovation in your everyday peer review practices?

Innovation takes many forms, from incremental improvements to sweeping transformations in peer review. For these peer review leaders, innovation is not just about adopting the latest tools but also about fostering a culture of adaptability and continuous improvement.

Erika : Incremental progress towards improving processes! At PLOS, there’s been a recent shift towards agility when it comes to improvement and problem-solving, which is a relatively new method of working for us. In the past, we worked under a more ‘traditional’, linear model of solutioning; that is, identifying a problem and solution, and then tracking whether the solution works once it’s already been implemented. It can be hard to adapt to new ways of working and convince people that it might lead to better outcomes, but it’s important to keep an open mind and be willing to take some risks. 

Laurie : I believe innovation can stem from many different sources — whether it’s from colleagues, editors, authors, reviewers, or even readers. I regularly audit our peer review workflow and processes to assess what is working well for our authors and what could be improved. My primary goal is to streamline the initial submission process at ASM, making it as quick and straightforward as possible. By focusing only on the essential requirements for review, we aim to ensure that authors receive timely decisions on their submissions.

What have you learned from introducing new peer review technologies?

Implementing new technologies often reveals both the strengths and weaknesses of current workflows. Our experts reflect on the unexpected challenges they faced when bringing innovations to their teams and the lessons learned through trial, error, and eventual success.

Alison : Experiment, experiment, experiment. There’s substantial scope to improve the act of peer review and, in doing so, enhance the value we’re adding to research for authors, and attempt to reduce some of the existing biases. You should also carefully consider the type of peer review work you’re experimenting with. Often, Generative AI based on LLMs (Large Language Models) is only one tool and often it isn’t the most effective solution for specific needs, particularly within our highly technical and specialist area.  Take for example tools designed to assist editorial staff with securing reviewers. Often the biggest challenge isn’t in finding the right reviewer – it’s in how you approach a suitable person at the right time, in the right way to persuade them to act as a reviewer. While technology is rapidly evolving and we’re adapting in response, the fundamental principles remain unchanged – high-quality work, carefully reviewed and enhanced, to maximize impact in its broadest senses. 

An even more specific example is the use of language editing tools before submission, to help level the playing field for authors for whom English is not a first language. We have seen a reduction in the rejection rate for content where a language editing tool has been used.

Erika : I’ve been doing some research on what other publishers are doing, specifically what tools they use to manage peer review and ensure that papers meet journal policies and expectations. From this research, I’ve learned that a lot of organizations are creating tools that leverage AI and emphasize real-time collaboration between contributors and the journal office. I find a lot of value in a more collaborative peer review process, both on the management side and for improving research, so I’m excited to see how those tools shape up and how we can use those learnings to improve processes at PLOS.

What tools, processes, or checklists have been most critical in managing these innovations?

From AI-based plagiarism detection to automated reviewer matching, peer review teams are increasingly leveraging new tools to streamline their workflows. Our experts share which technologies have been the most impactful, why they chose them, and how these tools have reshaped their processes.

Alison : At OUP, we have introduced a wide range of tools and processes. Our primary focus has been on a plug-and-play approach to pull together a combination of best-in-class capabilities that will continue to evolve as the technologies change.

Erika : Over the last three years, PLOS has launched a new suite of journals. With each launch came new ways the Peer Review Operations Team had to learn to work. Specifically, we introduced a new mechanism in our peer review management tool, for our vendor to more effectively escalate questions to PLOS staff. Rather than add staff to discussions, we use ‘Editorial Tasks’ in Editorial Manager, a feature that allows us to directly assign work to staff. This seemingly minor innovation has allowed for much-needed accountability in our workflows. Content doesn’t get lost and we can develop better reporting. With this new tool we can effectively track submission volumes and specific types of escalations, and additionally, we can adjust any of our workflows as needed. This seemingly minor innovation in our work, I’d argue, has been essential for keeping peer review timelines intact and contributing to a better author experience than our previous method. It’s also allowed staff to prioritize their work efficiently. 

Can you provide an example of an innovation or technology you’ve introduced and the hurdles you faced during its implementation?

Transformational change doesn’t come without its challenges. Each expert shares a real-world example of a tool or process they’ve implemented, highlighting the key hurdles they encountered during the change management process and how they overcame them.

Alison : At OUP, we’ve tested and are currently using many different tools to support multiple stages of the peer review process:

  • Integrity detection tools: AI in peer review from language editing and testing other things like “fact-checking” e.g., does a lab have the equipment to undertake the research presented?
  •   Journal audits and checklists – understanding the nuance between disciplines – what’s an acceptable editorial practice in one field might be flagged as a concern in another – tools need to be appropriately tailored
  •   Editor education and training
  •  Persistent Identifiers ( PIDs) and things like CRediT – for author accountability and understanding the funder/institution – improved metadata around all content. These identifiers help to flag potentially problematic content but also help to make connections – e.g., understanding if an author has an APC discount as a society member, or as part of a Read and Publish (R&P) deals
  • Collecting information on data availability

The biggest challenge we have encountered is bringing the whole community around a journal, ( authors, reviewers, editors, and society partners) along with us in the face of a lot of change. Many changes add work for an editorial team. Where possible, we try to remove the administrative work (particularly in areas where subject matter expertise is not critical) away from our editors so they can focus on content.

Laurie : One improvement we implemented across all our journals was the automatic review assignment system. I made this decision because previously, only half of our journals were utilizing it, while the other half were not. By standardizing this feature, we aimed to relieve our editors from the daily task of manually checking on reviewer availability, as the system automatically assigns a new reviewer if one declines. This also helps prevent overburdening our reviewer pool with unnecessary emails, particularly in situations where they are invited to review but later informed that their participation is no longer needed.

The most challenging aspect has been gaining full support from the editors. Some feel that this process takes longer, although data shows that journals using the system correctly have comparable turnaround times to those that do not. However, overcoming this perception has been a persistent challenge.

Have you experienced cross-collaboration with teams or departments that typically don’t intersect with peer review?

The intersection of peer review with other departments and external collaborators is increasingly necessary for successful innovation. Whether working with IT, data science teams, or even external vendors, collaboration has become critical to scaling innovation across organizations. Our contributors reflect on their experiences forming new partnerships and how their teams adapted to these evolving changes.

Laurie :  Since the launch of journal portfolios — which in itself is an innovative new business model ASM introduced to better position our journals for a more sustainable future — the peer review team has been collaborating more closely with the editorial teams to implement various innovations suggested by the editors. This marks a shift for us, as the editorial teams have only been part of the strategic plan for about four years. For over half of my peer review team, this is a new experience, as they previously worked directly with the editors before this change. As a result, it has been an adjustment in terms of how they receive information, who they receive it from, and how they process and act on that information.

Alison : There’s an increasingly necessary interconnectivity from all we do to initially attract a submission, manage the submission, publish, promote, and sell. Each element relies on another – e.g., we need a Ringgold ID in the production process to know whether an author can benefit from a read-and-publish agreement. We see journal publishing as a holistic process and work across functions to support each stakeholder. We collect performance data and metadata throughout the workflow.

We are very fortunate at OUP to have exceptionally good cross-functional collaboration. Critical to success has been exceptional communication, but also a willingness for departments to understand the potential consequence of their actions elsewhere and sometimes to compromise with program objectives and success in mind over individual areas. There are painful moments and difficult decisions, but we’re fortunate to have a team prepared to tackle conflict, listen, and compromise. We are also fortunate to be a part of the University of Oxford and able to take a mid-to-long-term view in terms of strategic positioning, which has allowed us to be consistent in approach.

Erika : Absolutely! At PLOS project teams have become more cross-functional, involving folks from entirely different departments. When you’re in meetings with collaborators who perform different tasks than your own, you learn right away that you must adjust your communications to make sure everyone is on the same page. Not only in terms of styles but also in content. What may be understandable to you may be completely incomprehensible to someone else. In a way, it’s been a great form of self-reflection. 

Another essential change we’ve had to make is not being afraid of asynchronous work. We have folks from different time zones, so it’s not always feasible to meet in person. 

What else can peer review teams learn from your experience?

Our contributors wrap up their insights by reflecting on the broader implications of Peer Review Week’s 2024 theme — how innovation in technology can shape the future of peer review. Their final thoughts offer actionable advice for teams looking to navigate the rapidly changing landscape of peer review.

Alison : I’d offer three major points of advice:

  • Experiment and learn
  • Stay true to your mission and strategic priorities
  • Don’t underestimate the human aspect of effective change management

Laurie : Don’t hesitate to explore new ideas! Take the time to thoroughly research and pilot any initiative that you believe could enhance the peer review process for authors, reviewers, and editors.

Erika : Be willing to take calculated, data-driven risks, and remember that progress, no matter how ‘small’, is progress.

Join the Conversation

As we conclude, we invite the broader peer review community to share their own experiences. What have you learned from implementing new technologies in peer review? How have you managed change, overcome hurdles, and supported your teams through these transitions? Your insights could provide valuable guidance to others on the same path, contributing to the collective knowledge around innovation and change management in peer review.

Jasmine Wallace

Jasmine Wallace

Jasmine Wallace is the Senior Production Manager at the Public Library of Science (PLOS). She is responsible for the production processes and day to day production and publication operations for the PLOS journal portfolio. Previously, she was the Peer Review Manager at the American Society for Microbiology (ASM). She was responsible for ensuring peer review practices, workflow, processes, and policies were up-to-date and applied consistently across the entire portfolio of journals. She served as Treasurer for the Council of Science Editors and was the creator and host of their podcast series S.P.E.A.K. In the past, she was a Teaching Assistant at George Washington University for a course on Editing for Books, Journals, and E-Products.

Laurie Webby

Laurie Webby is Peer Review Manager at the American Society for Microbiology.

Alison Denby

Alison Denby is Vice President, Journals, at Oxford University Press.

Erika Mann is a Peer Review Operations Manager at PLOS where she manages vendors, workflow optimization efforts, and a team of direct reports, alongside her fellow Peer Review Operations Managers. Prior to PLOS, Erika spent several years in the tech industry as a marketing and PR specialist. Her favorite pastime outside of work is cozying up with a good book.

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