CORPORATE INSOLVENCY:
COMPANIES ACT 2016
Business is a combination of war and sport!!
- Andre Maurois
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INSOLVENCY –
Insolvency – what does it mean?
Cessation of companies
New Corporate rescue mechanisms
Insolvent companies – what options are available?
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Insolvency is inability to pay debts.
When a company is unable to pay its debts, it may be subject to various insolvency proceedings.
The aim of insolvency approaches is for the insolvency administrator to take over the affairs of the debtor company in order to settle the debts of the creditors and distribute the insolvency proceeds to the rightful persons in accordance with law and equity.
Receivership
Compromise & Arrangement
Reconstruction and amalgamation of companies
Insolvency : Alternative Mechanisms
Corporate recovery plans
Cessation of business
Additional measures –introduced in CA2016
The aim is to help financially distressed companies to allow them to restructure their debts, to remain as a going concern and to avoid winding up.
Corporate Voluntary Arrangement (CVA)
Judicial Management (JM)
Winding up
Members’ voluntary winding up
Creditors’ voluntary winding up
Winding up by Court (compulsory)
Striking off
RECEIVERSHIP
Let’s start by briefly discussing on how lender’s interests are protected
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Receivership
“A company going into receivership would mean that its affairs are being managed by a ‘receiver’ or a ‘receiver and manager’. The company is not in liquidation except that the directors will have to surrender their rights to run the company’s business to the ‘receiver’ or ‘receiver and manager’ as a going concern”.
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INTRODUCTION TO RECEIVERSHIP
When a financial institution / debenture holders provides a financial loan or facility (or other creditors provide credits) to a company, the financial institution would want to have some form of security to recover the debt.
One form of security is through a charge on the immovable property of the company. The charge can take a form of fixed charge or floating charge.
The fixed and floating charge will commonly be set out in the debenture. The terms of the debenture will commonly allow for the appointment of a ‘receiver’ or ‘receiver and manager’ and has duty to realise the charged assets and utilise the proceeds to repay the financial institution.
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RECEIVERSHIP
A company goes into receivership when receiver is appointed by the debenture holder (or trustee) under a power contained in debenture or trust deed, or Court upon application.
The appointment by debenture holder is normally made in the event of a breach by the co of the conditions attached to the debentures.
The powers of the receiver under this form of insolvency administration are usually specified in a contractual agreement between the secured creditor and the company.
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RECEIVERSHIP
A receivers’ task is to take possession of assets cover ...
2. INSOLVENCY –
Insolvency – what does it mean?
Cessation of companies
New Corporate rescue mechanisms
Insolvent companies – what options are available?
1
2
3
4
Insolvency is inability to pay debts.
When a company is unable to pay its debts, it may be subject to
various insolvency proceedings.
The aim of insolvency approaches is for the insolvency
administrator to take over the affairs of the debtor company in
order to settle the debts of the creditors and distribute the
insolvency proceeds to the rightful persons in accordance with
law and equity.
Receivership
Compromise & Arrangement
Reconstruction and amalgamation of companies
3. Insolvency : Alternative Mechanisms
Corporate recovery plans
Cessation of business
Additional measures –introduced in CA2016
The aim is to help financially distressed companies to allow
them to restructure their debts, to remain as a going concern and
to avoid winding up.
Corporate Voluntary Arrangement (CVA)
Judicial Management (JM)
Winding up
Members’ voluntary winding up
Creditors’ voluntary winding up
Winding up by Court (compulsory)
Striking off
RECEIVERSHIP
Let’s start by briefly discussing on how lender’s interests are
protected
6
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4. Receivership
“A company going into receivership would mean that its affairs
are being managed by a ‘receiver’ or a ‘receiver and manager’.
The company is not in liquidation except that the directors will
have to surrender their rights to run the company’s business to
the ‘receiver’ or ‘receiver and manager’ as a going concern”.
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5. INTRODUCTION TO RECEIVERSHIP
When a financial institution / debenture holders provides a
financial loan or facility (or other creditors provide credits) to a
company, the financial institution would want to have some
form of security to recover the debt.
One form of security is through a charge on the immovable
property of the company. The charge can take a form of fixed
charge or floating charge.
The fixed and floating charge will commonly be set out in the
debenture. The terms of the debenture will commonly allow for
the appointment of a ‘receiver’ or ‘receiver and manager’ and
has duty to realise the charged assets and utilise the proceeds to
repay the financial institution.
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RECEIVERSHIP
A company goes into receivership when receiver is appointed by
the debenture holder (or trustee) under a power contained in
debenture or trust deed, or Court upon application.
The appointment by debenture holder is normally made in the
6. event of a breach by the co of the conditions attached to the
debentures.
The powers of the receiver under this form of insolvency
administration are usually specified in a contractual agreement
between the secured creditor and the company.
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RECEIVERSHIP
A receivers’ task is to take possession of assets covered under
the charge, to safeguard them and to receive the income from
them for the benefit of secured debenture holder.
A receiver can only dispose of the asset charged, pay off the
debts due to the secured creditors.
He may be also appointed as a “receiver and manager” to
empower him to continue managing the business as a going
concern until the secured debt is discharged.
The director will remain in the office but their power to deal
with assets of co in charge cease.
The ultimate objective of contractual agreement is repayment of
that secured creditor.
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7. SCHEMES OF ARRANGEMENT
Let’s see how the co can make a compromise & arrangement
with creditors & shareholders
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SCHEMES OF ARRANGEMENT
a statutory mechanism to carry out a formal compromise to bind
all dissenting participants.
an arrangement in which parties of conflicting interests agree
to accommodate each side by adjustment or modification of
their interests.
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Compromise & Arrangement with creditors & members (sec
366)
Court may direct a co to hold a meeting to agree with resolution
of C&A by majority of 75% of total value of creditors or
members present and voting.
The provision in CA2016 remain the same as previous Act
except:
1. The Court may appoint an approved liquidator to assess the
viability of the scheme of arrangement proposed and prepare a
report for submission to the meeting of creditors and members.
This is on the basis that an independent liquidator will be able
to adopt a more objective assessment of the commercial
viability of a proposed scheme, and accordingly provide
necessary assistance to the Court.
2. Limits the maximum duration for a restraining order (RO) to
3 months with extensions to a not more than 9 months only.
3. A restraining order cannot be applied against:
(a) any action or proceeding to be taken against company by the
CCM or the SC
(b) any action or proceeding against any person of the co
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9. Procedures
1.A Court order on an application by either the company, any
creditor or member of the company, liquidator or judicial
manager (if the company is under judicial management), to
summons for a meeting is to be obtained [S. 366].
2.A notice summoning such meeting is to be send to every
creditor or member of the company, accompanied by [S. 369
(1)];
(a)An explanatory statement of the effect of the arrangement
and any material interests of the directors and the effect of the
arrangement (if it has different effect on different class of
creditors or members) and
(b)Advertisement of the notice.
3.Next is the putting forth of the scheme at the meeting to
creditors and members of the company to be agreed upon by a
majority of 75% of total value of creditor present and voting,
either in person or by proxy or at the adjourned meeting [S.
366(3)].
4.Upon obtaining the requisite approval, a further order by the
Court is to be obtained to sanction the scheme of arrangement
[S. 366(3)].
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10. Corporate Voluntary Arrangement (CVA)
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Relevant provisions in CA 2016:
S395 – 402; and Seventh and Eight Schedule
What is CVA?
What are the key features?
Any excluded companies?
What is the process?
11. 1) What is CVA?
“Voluntary Arrangement” means a composition in satisfaction
of a company’s debts or a scheme of arrangement of a
company’s affairs.
It is a procedure which allows a private company to put up a
proposal to its creditors for a ‘voluntary arrangement’ without
the need for the compromise or arrangement to be approved by
the Court.
The CVA relies on the involvement of a nominee who must be a
qualified insolvency practitioner who will supervise and
implement the scheme – the trustee/supervisor.
The scheme however will originate from management, making it
suitable in situations where the shareholders and creditors still
have confidence in existing management.
12. 2) What are the key features?
directors appoint an approved person (approved liquidator) as
nominee and he gives positive opinion on the proposed CVA.
papers filed in Court and 28-day moratorium.
meeting of members and creditors called within the 28 days.
S395 – CVA cannot apply to:
Public companies
Licenced institution etc. under Bank Negara laws
A company subject to the Capital Market Services Act 2007
A company which creates a charge over its property or any of
its undertaking
3) Any excluded companies?
13. 4) What is the process?
Stage 1: Nominee for CVA (S397)
directors of company submit to nominee the proposed CVA and
statement of affairs
nominee issues statement with his view on whether the
proposed CVA has reasonable prospect of being approved and
implemented
Stage 2: Filing and Moratorium (S398)
directors to file with the Court the necessary documents, e.g.
proposed CVA, consent from nominee, and nominee’s statement
Moratorium automatically applies for 28 days (Can be extended
for not more than 60 days if approved by 75% creditors and
consent of nominee).
[moratorium means during this period no proceedings may be
-up,
no Judicial Manager can be appointed, no security can be
14. enforced, no shares can be transferred etc.]
[However, a secured creditor may appoint a receiver to deal
with the charged property of a company during the moratorium.
**]
Stage 3: Calling of meeting
within 28 days (with 14 days of notice given) of the
moratorium period, the nominee shall summon a meeting of the
company and a meeting of its creditors at the time, date, and
place as the nominee thinks fit.
The proposed CVA can be approved by:
a simple majority of shareholders; and
at least a majority of 75% in value of creditors present and
voting at a creditor's meeting.
15. Stage 4: CVA takes effect
Once approved, the arrangement shall be binding on ALL
creditors.
at conclusion of the meetings, Chairman of meetings to report
the result of the meetings to the Court and give notice to the
Registrar
Judicial Management
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16. Judicial Management
Judicial Management : S403 - 430
A judicial management is a temporary court-supervised rescue
plan for ailing companies but not available to companies
licensed by BNM or regulated by SC.
Management of company placed in hands of an approved
liquidator (Judicial Manager)
JM to draw up rescue plan acceptable to majority creditors
Plan implemented once approved by creditors and sanctioned by
Court.
Judicial Management
When there is a reasonable probability of rehabilitating an
17. insolvent company as a going concern, the shareholders,
directors or creditors of the company may apply to Court to
place the management of the company in the hands of an
independent and qualified Judicial Manager.
The aim of JM is to strive to resuscitate a distressed company
and nurse it back to financial health under the supervision of the
Court.
Judicial Management
The Court can only make an order for JM if – and only if – the
company is or will be unable to pay its debts**; and the making
of the order will be likely to achieve one or more of the
following purposes:
The survival of the company, or the part of its undertaking as a
going concern;
The approval of a compromise or arrangement between the
company and its creditors; and
A more advantageous realisation of he company’s assets than
winding up.
** unable to pay its debts – as defined under s466.
18. Judicial Management
After a judicial management order is granted:
a moratorium of 180** days takes effect during which the
company cannot be wound-up, no receiver can be appointed, no
security can be enforced, no shares can be transferred etc..
The board of directors ceases to function
The Judicial Manager will be appointed to:
(a)assess the condition of distressed company; to resuscitate a
distressed company and nurse it back to financial health under
the supervision of the Court.
(b)Formulate a proposal to manage the company; the Judicial
Manager will prepare a workable restructuring plan which must
be approved by a majority of 75% in value of creditors present
and voting at a creditor's meeting. and
(c) Once the proposal is approved by the requisite number of
creditors and sanctioned by Court , the restructuring plan will
be implemented.
**the period can be extended by Court for a further 6 months,
on application of Judicial Manager.
19. Effect of Judicial Management
:
no resolution can be passed for winding up of the company;
no steps can be taken to enforce any charge on or security over
the company’s property or to repossess any goods in the
company’s possession under any hire-purchase agreement,
chattels leasing agreement or retention of title agreement,
except with leave of the Court; and
no other proceedings and no execution or other legal process
can be commenced or continued and no distress may be levied
against the company or its property except with the leave of the
Court.
WINDING UP
Let’s now continue with discussion on how companies life are
ended
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20. Winding Up
“The winding up of a company is the process of bringing an end
to a company. The company’s assets are sold off and then used
to pay off the company’s debts. Any excess proceeds are then
returned to the shareholders of the company”.
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✋
WU order made by Court
S432(1)(a) – order made by the Court
21. WINDING UP MAY BE EFFECTED BY:
Voluntary WU
S432(1)(b) – WU process is carried out without the need for
Court order
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MODES OF WINDING UP (s432)
Compulsory WU order made by Court
There are 12 grounds upon which a WU order can be made; one
of the most common one is where the Court finds that the
company is unable to pay its debts (s465(1)(e).
Voluntary WU effected by a resolution:
by a members’ voluntary WU where:
The company is solvent; and
The liquidator is appointed by the members at the members’
meeting
22. Voluntary WU effected by a resolution:
by a creditors’ voluntary WU where:
The company is insolvent; and
The liquidator is appointed by the creditors at the creditors’
meeting**.
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Circumstances for Winding Up
Voluntary Winding Up
When a period fixed for the duration of the co by constitution,
or occurrence of the event which the constitution provide that
the co to be dissolved and has passed ordinary resolution in
General Meeting.
If the co so resolves by special resolution.
(Sec 439)
23. Compulsory Winding UP
Done usually upon petition by
Refer to sec 464
Circumstances in which court may order WU
Refer to sec 465
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A) MEMBERS’ Voluntary WU - Procedures
Declaration of Solvency (s443) – majority of directors make a
written declaration that (i) the directors have made inquiry into
the affairs of the company; and (b) at a meeting of directors, the
directors have formed an opinion that the company will be able
to pay its debts in full within 12 months after the
commencement of the WU.
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24. Members’ Voluntary WU - Procedures
Pass Members’ Resolution (s439) – pass special resolution at
members meeting; the company shall cease to carry on its
business except liquidator is in the opinion that it is beneficial
for the WU.
Appointment of liquidator – a liquidator is appointed at
members meeting. On the appointment of liquidator all the
powers of the directors shall cease.
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B) CREDITORS’ Voluntary WU - Procedures
Directors Statutory Declaration of Solvency (s440) –directors
make the necessary statutory declaration that (i) the company
cannot by reason of its liabilities continues its business; and (b)
that meetings of the company and its creditors have been
summoned for a date within 30 days of the date of the
declaration.
[The lodgement of statutory declaration will trigger the
commencement of the creditors’ voluntary WU.]
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B) CREDITORS’ Voluntary WU - Procedures
Appointment of interim liquidator – upon the lodgement of the
statutory declaration, the directors must appoint an approved
‘interim liquidator’ in CA 2016 replaces the term ‘provisional
liquidator’ under old Act
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B) CREDITORS’ Voluntary WU - Procedures
Meeting of the company members– directors must hold the
26. meeting of the company members within 30 days of the date of
the statutory declaration made under s440 of the CA 2016. At
this meeting the members may pass the special resolution
requiring the company to be wound up voluntarily.
[the members shall nominate a liquidator during this meeting.
However, the creditors’ choice of liquidator will take priority
over the members’ choice of liquidator]
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B) CREDITORS’ Voluntary WU - Procedures
Meeting of the company’s creditors– due to the insolvency of
the company and with insufficient assets to repay the creditors’
debt, the creditors’ interests must be safeguarded. Creditors can
nominate their choice of liquidator to manage the realisation
and distribution of the insolvent company’s assets. A meeting of
the company’s creditors must be held on the same day or the
next day of the meeting of the company’s members.
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27. B) CREDITORS’ Voluntary WU - Procedures
Appointment of liquidator – on the appointment of the
liquidator, all the powers of the directors shall cease.
Note: in creditors’ voluntary WU, the liquidator may also be
appointed at the members’ meeting and where the creditors
choose not to nominate a liquidator
[committee of inspection – optional; this is to protect creditors’
interests – act as check and balance of the powers of liquidator]
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Power of the Liquidator in a Voluntary WU
In a voluntary WU, the liquidator may exercise the powers and
duties as specified in the Eleventh Schedule of CA 2016.
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28. C) COMPULSORY WINDING UP
A compulsory WU – is by way of a winding up order made by
the court.
Sec 465 – circumstances in which company may be wound up by
court.
Sec 466(2) – a petition to wind up a company shall be filed in
the court within 6 months from the expiry date of the notice of
demand.
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Circumstances in which court may order WU
29. (Sec 465)
The company has by special resolution resolved that the
company is to be wound up by the Court;
The company defaults in lodging the statutor y declaration under
subsection 190(3);
The company does not commence business within a year from
its incorporation or suspends its business for a whole year;
The Court is of the opinion that it is just and equitable
The company has no member;
The company is unable to pay its debts;
the directors have acted in their own interests rather than in the
interests of the members as a whole or acted in any other
manner which appears to be unfair or unjust to members;
when the period, if any, fixed for the duration of the company
by the constitution expires or the event, if any, occurs on the
occurrence of which the constitution provide that the company
is to be dissolved;
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Circumstances in which court may order WU (cont.)
the Court is of the opinion that it is just and equitable that the
company be wound up;
the company has held a licence under the Financial Services Act
30. 2013 or the Islamic Financial Services Act 2013, and that the
licence has been revoked or surrendered;
the company has carried on a licensed business without being
duly licensed or the company has accepted, received or taken
deposits in Malaysia, in contravention of the Financial Services
Act 2013 or the Islamic Financial Services Act 2013, as the case
may be;
the company is being used for unlawful purposes or any purpose
prejudicial to or incompatible with peace, welfare, security,
public interest, public order, good order or morality in
Malaysia; or
the Minister has made a declaration under section 590.
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Inability to pay debts
Sec 466(1) – the company is indebted in a sum exceeding the
amount as may be prescribed by the Minister and a creditor by
assignment or otherwise has served a notice of demand, by
himself or his agent, requiring the company to pay the sum due
by leaving the notice at the registered office of the company,
and the company has for 21 days after the service of the demand
neglected to pay the sum or to secure or compound for it to the
satisfaction of the creditor.
31. “Sec 466 notice” – statutory demand issued to company by or
on behalf creditors. Statutory demand can be made if debt
exceed RM10,000 (Gazette dated 26 Jan 2017).
Sec 466(2) – a petition to wind up a company shall be filed in
the court within 6 months from the expiry date of the notice of
demand.
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Procedures for winding up
General procedures for WU are similar although the modes of
WU may differ:
A special resolution is passed or Court makes an order for the
co to be wound up;
A liquidator is appointed by the members and/or creditors or by
Court to oversee the entire process of liquidation; The co’s
assets and affairs generally pass into the hands of the liquidator;
The liquidator converts the assets into cash, calls in any
uncalled capital and pays the creditors in order of priority. Any
surplus is distributed to the members of the company; and
The company is dissolved.
32. 47
Statutory Duties of Liquidator
Liquidator’s account (S514) – statement of receipts and
payments
Need to be lodged within thirty days
after expiration of the period of 6 months from the date of
appointment of liquidator;
of every subsequent period of 6 months after his appointment;
and
after he ceases to act as a liquidator.
Be audited by an approved co auditor. For the purpose,
liquidator shall furnish the auditor with such vouchers and
information required.
Auditor may inspect any book of accounts kept by liquidator.
Cost of audit fixed by official Receiver and be part of expenses
of winding up.
A copy of account shall be kept by liquidator and shall be
opened to the inspection by any creditors or any person
interested at the office of the liquidator
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Statutory Duties of Liquidator
Annual meeting (S458)- if VWU continues for more than a
year, within 3 month of each anniversary of the commence ment
of WU summon a
33. meeting of members -in case of members’ WU
meeting of members and creditors - in case of creditors’ WU
Unclaimed asset (S508)- pay all unclaimed dividend and other
money which remained unclaimed for more than 6 months the
moneys become payable; and all unclaimed money arising from
the property after making final distribution.
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STAY AND TERMINATION OF WINDING UP
Stay of Winding Up
Sec 492(1) – provides power to court to stay the winding up of
a company for a specified time.
The liquidator, creditor or contributory of the company can
apply for a stay; the wound up company cannot apply for a stay.
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34. STAY AND TERMINATION OF WINDING UP (Cont.)
Termination of Winding Up
Sec 493 – new provision under CA 2016; Court may order
termination of compulsory WU on the application of the
liquidator or of any creditor or of contributory.
Sec 493(2) – the court will take into consideration the following
facts:
the satisfaction of the debts;
any agreement by the liquidators, creditors, contributories, and
other interested parties; or
other facts that the court considers appropriate.
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Options available to secured creditors in the event of winding
up – Section 524
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35. Realise property subject to charge
Value the charged property and claim for the balance as an
unsecured creditor
Surrender the charged property and claim the whole amount as
unsecured creditor
OPTION 1
OPTION 2
OPTION 3
Sec 524(8) provides that the liquidator may at any time, by
notice in writing, require a secured creditor , within 21 days
from the receipt of the notice to elect which of the powers the
creditor wishes to exercise;
If the secured creditor fails to exercise any of the options
(having received the notice from the liquidator as referred to in
sec 524(8) , it is taken as having surrendered the charge to the
liquidator for the general benefit of creditors, and hence may
only claim in liquidation as an unsecured creditor for the whole
debt (sec 524 (9).
STRIKING OFF
Finally, let’s look at how companies are removed from register
36. by SSM
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STRIKING OFF
Strike off means remove the name of the co from the register
a. by CCM (S549) or
b. upon an application by a director, member or liquidator
(S550)
Sec 549 – allows the CCM to strike off a co if:
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37. the company is not carrying on business or is not in operation;
the company has contravened this Act;
the company is being used for unlawful purposes or any purpose
prejudicial to or incompatible with peace, welfare, security,
public interest, public order, good order or morality in
Malaysia;
in any case where the company is being wound up and CCM has
reasonable cause to believe that—
no liquidator is acting;
the affairs of the company are fully wound up and for a period
of six months the liquidator has been in default in lodging any
return required to be made by him; or
the affairs of the company has been fully wound up under a
winding up by the Court and there are no assets or the assets
available are not sufficient to pay the costs of obtaining an
order of the Court dissolving the company.
Strike off upon application (S550) The following requirements
need to be fulfilled :
The resolution of the shareholders have been passed for the
initiation of the application on the basis that the company is not
carrying on business or not in operation
has no assets and liabilities at the time when the application is
made
38. has no outstanding charges in the Register of Charges
has no outstanding penalties or offer of compounds under the
CA 2016
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has no outstanding tax or other liabilities with any Government
Department or Agency
The information of the company with the Registrar is up to date
not involved in any legal proceeding within or outside Malaysia
has not made any return of capital to the shareholders
not a holding company
not a “Guarantor Corporation”
Source:
http://www.ssm.com.my/Pages/Legal_Framework/Document/Gu
idelines%20for%20Striking%20Off%20_Section%20 549_19041
9.pdf
39. LET’S REVIEW SOME CONCEPTS
Strike off
xxxxx
Compromise & Arrangement
xxxxxx
Receivership
xxxxx
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Members’ Voluntary WU
xxxxx
Creditors’ Voluntary WU
xxxxx
Compulsory WU by Court
xxxxx
40. “When you take risks you learn that there will be times when
you succeed and there will be times when you fail, and both are
equally important.” - Ellen DeGeneres
“You build on failure. You use it as a stepping stone. Close the
door on the past. You don't try to forget the mistakes, but you
don't dwell on it. You don't let it have any of your energy, or
any of your time, or any of your space.” - Johnny Cash
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“Failure should be our teacher, not our undertaker. Failure is
delay, not defeat. It is a temporary detour, not a dead end.
Failure is something we can avoid only by saying nothing,
doing nothing, and being nothing.” - Denis Waitley
DON’T BE AFRAID OF FAILURE
42. (Administration and Planning Unit)
ONU, Francis Madueke
University of Nigeria, Nsukka, Nigeria, Department of
Vocational Studies
Nigeria, like other countries in the world, has joined the global
competitions and comparisms.
Unfortunately, none of her universities was ranked among the
owners of world’s great universities
or the world-class universities in the previous and current
rankings. Nigerian universities, especially
those in the South-East (SE) are making every effort to attain
the world-class university status
(WCUS), come next ranking. The purpose of this study is to
investigate if Entrepreneurship
Management ETM is a factor to the attainment of WCUS by SE
Nigerian universities. A descriptive
survey research design was employed for this study. A
multistage sampling technique was used to
select 450 academicians, administrators and university students
from three out of the ten universities
in the SE of Nigeria, used for the study. A-37 – item researcher
designed instrument, was used after
a face validation by three expects and a trial testing. With a
0.77 reliability coefficient obtained
after a Cronbach Alpha coefficient analysis, the instrument was
found reliable. The data was analyzed
using means, standard deviation for the six research questions
and ANOVA for the one hull hypotheses
that guided the study. The results show that ETM can lead to
WCUS to a Large Extent in the SE
Nigerian universities. The hypotheses tested also show no
significant difference in the mean scores
of the participants in this regard. It was concluded that WCUS
can be attained in SE universities
43. if ETM is employed by the management of the universities. It
was therefore recommended among
others that principal officers of the universities should be
appointed based on their ETM abilities
and also that the members of the university management should
be trained in ETM, while all
Administrators, Planners, Post graduates and undergraduates of
all universities in Nigeria should
be taught Elements of ETM to enable then practice same in their
places of work so that world-class
status can be attained in Nigeria at all levels of the educational
system.
INTRODUCTION
Glo baliza tion h as g iv en rise to m illen n ium
development and global competitions which have
not only awakened the minds of many nations
including Nigeria to clamor for global recognitions
but also to ensure that they are not left behind in
technological and other forms of developments. As
a result, Nigeria has mapped out strategies not only
for global competitions but also to become one of
the words ranking economies by Gross Domestic
Product (GDP) through her vision 20-20-20, (Imogie,
2010). To achieve the vision 20-20-20 Nigeria needs
to develop her knowledge economy which has to be
done through her institutions of higher learning.
At 50, Nigeria can boost of over 90 universities. This
implies that quantity is no longer the problem of
higher education in Nigeria, but quality.
The quali ty and stand ar d of Niger ian
universities have been seriously and severally
criticized, since (after the Nigerian civil war of the
late 1960s). The complaints range from lack of
45. observed that universities referred to as WCU are
great universities that have excellence in all
educational ramifications, including excellence in
resources management, r esear ch, qual ity of
lecturers and students as well as contributions to
the society. In this study WCU is conceived as a
university with basic features that will make
any university prestigious in her programmes,
research, publications, personnel management,
(especially for academic staff and students)
innovations, collaborations, industrial linkages
and entrepreneurship through international
acknowledgements and or certificates. This implies
that world-class can be measured by international
awards to the universities and university staff,
university management or the vice-chancellor, as
a result of the achievements recorded by individuals
or by management. World class also involves
excellence in all forms of students’ education
including high quality research, knowledge sharing,
and knowledge management, teaching and learning
management, staff developments, socio-cultural and
scientific activities of the university community. A
close look at the concept of world-class university
indicates that becoming a WCU is not an easy task
and so requires an innovative type of management
which only be provided by entr epreneurship
management.
Entrepreneurship is a relatively new concept in
the field of management. It involves building trust,
eff ective commu nic ati on, an d seek ing se lf-
improvement, possessing technical skills, making
good decisions, being a role model and a risk taker,
or an innovation (Fernald, Solomon and Terabishy
2005). To Fer nal d et al, (2005) entrepreneurial
46. leaders ar e inn ovator s, par adigm pionee rs,
visionaries and trust leaders. The role of the
leadership and or management in ac hieving
organizational goals cannot be over-emphasized.
Manage ment means g etting thing s done
through others or machines (including computers).
It is a catalyst that initiates actions, arranges
human and material resources for achievement of
visi ons. I t is t he mos t impo rtant factor of
production. This definition under sc ores the
importance of management in the attainment of
WCUS in So uth Ea st (SE ) Nige ria. M any
prof ession als, e con omi sts, adminis tratio ns,
behaviour scientists and psychologists believe that
management has a lot to do with the way and to
where an organization moves. (Chiaha, 2004).
The criteria for measuring WCU have been the
concern of two major studies – The H igher
Education Supplement (THES) and the Shanghai
Jiao Jong University Studies (SHJU) (Fernald
et al, 2005).The THES published the world’s
university ranking in 2004 and 2005. It and listed
200 best universities in 31 countries of the world.
In this ranking no African university was in this
list. The universities were from Europe, Australia,
US, Canada and Brazil and two in Russia. The 2005
ranking benchmark was based on a survey of 2,375
academicians’ world over representing 40% of the
total score. The participants include academicians
in science, technology, social science, biomedicine
and arts on equal representation. Other measures
include:
• number of times that research papers are
47. cited by academicians,
• staff-student ratio,
• measure based on the views of international
employers on which universities they prefer
to recruit from (added for the 2005 ranking),
and peer review score. (Levin et al 2006:
4 & 5).
This ranking was criticized for not considering
quality in terms of institutional characteristics that
affect quality such as quality research, quality
students and quality lecturers and because nothing
is indicated on teaching process or its effectiveness.
ENTREPRENEURSHIP MANAGEMENT AS A FACTOR IN
ATTAINMENT OF WORLD-CLASS… 151
The SHJU ranking also did not indicate quality but
used; alumni score, that is prestigious prizes
received by the alumni, to indicate quality of the
university.
Both studi es, ho wever, r anke d Har v ard
University as the best WCU.
Whi le some peo ple pe rc eiv e WCUS as
advantageous and would want to sent their wards
to such universities others frown at it because in
Shanker’s (1996) opinion, it could do more harm
than good to average students since high scoring
will, “raise the failure rates of students who are just
getting by”. He further noted that students of
48. average ability are not just university–bound
achievers because they meet much higher academic
standard than their peers. This situation may not
likely to occur in a university management by an
Entrepreneur as he will device a means of ensuring
that all students benefit from the world class
policies and practices.
Management ability is seen as an essential
ingredient of an entrepreneur. (Akeredolu &
Adetokubo in Sulaiman (2010). Sulaiman (2010)
desc ribes entre pren eu r ship as a p r oc ess of
identifying developing and bringing a vision of life
which results in creation of new ideas under risky
conditions. Usman and Aminu (2010) perceive it as
a change agent. Like Schumpeter, the researcher
believes that a WCU manager will not only
transform the Nigerian university and restore their
old glory but also help in achieving the much desired
WCU status in Nigeria.
There are several theories of entrepreneurship;
Sulaiman (2010), identified seven of them but this
study is interested in the Schumpeter’s theory.
Schumpeter who was a mathematical economist
believed in combinations. This implies that no one
particular theory or management style is the best.
There is need to combine theories to get the best
out of all. Entrepreneurial management is a
combination of participative, innovative and
transformational management.
Si x t heor i es of educat i onal management and
l eader shi p wer e pr opounded by Bush (2003). They
i ncl ude t he for mal , col l egi al , pol i t i cal , subj ect i ve
am bi gu i t y an d a cu l t u r al m odel w i t h t h ei r
49. cor r espon di n g l eader sh i p st yl es.Th i s st u dy i s
i n t er est ed i n col l egi al model wh i ch r ecogn i zes
exper t i se an d en cou r ages par t i ci pat i on of al l
st akehol der s and pr ofessi onal s i n t he management
of t he uni ver si t i es. Accor di ng t o Bush (2003: 68)
“t h e col l egi al m odel has been adopt ed by m ost
u ni ver si t i es,” Gat t er i n B ush (2003) per cei ves
u ni ve rs it ie s as “ bo tt o m he av y an d ad vi se d
that management should reflect wide distribution
o f kn o wl ed g e an d c omp et e nc e. Su pp o rt in g
collegiality, William and Blackstone (1983:94)
asserts that, “any organization which depends on
high level professional skills, operates more
efficiently with col legial management. This
s ee ms to in di c at e t ha t a n e nt r ep r en eu r ia l
man ager has t he capaci t y of appl yi ng col l egi al
management and i t s cor r espondi ng par t i ci pat i ve
an d t r an sf or m at i on al l eader sh i p st y l e i n
i nst i t ut i onal admi ni st r at i on.
Thi s st udy at t empt ed t o i nvest i gat e how st aff
and students of Sout h-East er n Niger i an univer si ti es
per cei ve t he management of t hei r i nst i t ut i ons wi t h
r egar ds t o t he effor t s of t he management t owar ds
at t ai nment of WCU S.
STATEMENT OF THE PROBLEM
The South-Eastern part of Nigeria comprises of
five states that have suffered most during the
Nigerian civil war. Since the war in the early
1970s, efforts are being made by these states to
catch up with other universities in Nigeria. Added
to thi s is the cur rent r ac e f or W orld - Cla ss
University Status (WCUS) in which they are
51. as perceived by the stakeholders.
RESEARCH QUESTIONS
The following six research questions guided the
study:
1. To what extent can building trust by the
management lead to the attainment of
WCUS?
2. To what extent can visionary leadership of
management lead to the attainment of
WCUS?
3. To what extent can making good decisions
by management lead to the attainment of
WCUS?
4. To what extent role modeling by management
lead to the attainment of WCUS?
5. To what extent can self-improvement by
management lead to the attainment of
WCUS?
6. To what extent can risk-taking and being
innovative by management lead to the
attainment of WCUS?
HYPOTHESES
One hull hypothesis guided this study.
HO
1
52. : There is no significant difference between
the mean ratings of academic staff,
adm inistr ative staf f and stude nts
with regards to the extent to which
entrepreneurship management can lead
to the attainment of WCUS?
METHODOLOGY
A descriptive survey research design was adopted
for this study. The population consisted of all the
ten universities in the South-East zone of Nigeria
and all the academic staff, administrative staff and
students of the ten universities under study. A
multi-stage proportionate sampling technique was
used to select 55 academicians, administrators and
students each from three of the institutions (two
federal and one state university) making a total of
495 respondents. The instrument is a researcher
constructed Likert-type 37-item questionnaire,
titled World-Class University Entrepreneurship
Management Factor Questionnaire (WCUEMFQ)
with six clusters in line with the research questions.
Cluster one has ten items for collecting data on
buil ding t rust. Cluste r two is on visi on ary
leadership with five items; Cluster three has six
items for collecting data on making good decisions.
Cluster four deals with role modeling and has five
items while cluster five has six items for gathering
data on self-improvement. Finally the last cluster
deals with taking risks and being innovative and
has five items. The demographic data deals with
type of university, location, status of respondent and
gender. The instrument has options of very large
53. extent (VLE); large extent (LE), small extent (SE)
and very small extent (VSE) and weighted 4,3,2,1
respectively.
The face validation was done using three
experts each in entrepreneurial studies, educational
administration & planning and measurement &
evaluation at the University of Nigeria, Nsukka.
The reliability was ascertained after a trial testing
of the instrument on 15 participants, five students,
five administrators and five academics from a
private university in Enugu. After the analysis
using a Cronbach Alpha coefficient a reliability
coefficient of 0.77 was obtained. Data collected was
analyzed using means, and standard deviation for
the research questions and analysis of variance
(ANOVA) for the null hypothesis. The decision level
was reached using real limits of numbers according
to the following mean ranges.
Mean Range Decision Level
3.05 and above VLE
2.05 – 3-04 LE
1.05 – 2.04 SE
0.00 – 1.04 VSE
Using three research assistants the instrument
was administered and collected immediately by
hand. Out of the 495 instruments administere d, 450
were returned and used for the study.
RESULTS
The results of this study are presented in the seven
tables below.
54. Table 1 shows that out the six items the
respondents, the respondents perceived only that
two, giving immediate solution to staff and student’s
problems and building confidence in staff and
students can lead to WCUS to a very large extent.
The total grand mean ratings of the participants
on the extent building trust by management can
lead to world-class university status is 2.88 (Large
Extent).
ENTREPRENEURSHIP MANAGEMENT AS A FACTOR IN
ATTAINMENT OF WORLD-CLASS… 153
Table 1
Mean Rating of Participants on the Extent Building Trust by
Management can Lead to WCUS
Academic staff Admini. Staff Students
N = 150 N = 150 N = 150
Sl. No. Questionnaire Items x SD Dec x SD Dec x SD Dec Total
x
1. Hard work by management. 3.58 0.94 VLE 3.07 0.87 VLE
2.82 0.83 LE 3.15 VLE
2. Giving immediate solutions to staff 3.49 0.93 VLE 3.38 0.91
VLE 2.91 0.84 LE 3.26 VLE
and students’ problems.
3. Maintaining constant communication 2.88 0.84 LE 2.94 0.85
LE 2.96 0.86 LE 2.92 LE
with staff and students.
55. 4. Making staff and students perform 2.06 0.71 LE 2.28 0.75 LE
2.00 0.70 SE 2.11 LE
highly beyond expectations.
5. Believing in staff and students’ 2.49 0.78 LE 2.72 0.82 LE
3.13 0.88 VLE 2.78 LE
abilities to Attain word-class status.
6. Building confidence in staff and 2.96 0.86 LE 3.06 0.87 VLE
3.20 0.89 VLE 3.07 VLE
students.
Grand Mean 2.19 0.84 LE 2.90 0.84 LE 2.83 0.83 LE 2.88 LE
Table 2
Mean Ratings of Participants on the Extent Visionary
Leadership can Lead to WCUS
Academic staff Admini. Staff Students
N = 150 N = 150 N = 150
Sl. No. Questionnaire Items X SD Dec X SD Dec X SD Dec
Total X
1. Articulation of vision and mission 2.80 0.83 LE 3.07 0.87
VLE 3.01 0.86 LE 2.96 LE
statements towards building a WCU
2. Being very enthusiastic about the vision 2.92 0.85 LE 2.78
0.83 LE 2.79 0.83 LE 2.83 LE
3. Communicating the vision to all 2.06 0.71 LE 2.99 0.86 LE
2.82 0.83 LE 2.62 LE
stakeholders.
4. Constantly reminding staff and 3.54 0.93 3.00 0.86 LE 3.20
0.89 SE 3.24 VLE
56. students aboutthe vision.
5. Committing staff and students to 2.19 0.84 LE 1.90 0.68 SE
2.13 0.72 VLE 2.31 LE
achieve thevision.
Grand Mean 2.84 0.83 LE 2.74 0.82 LE 2.79 0.82 LE 2.79 LE
Table 2 shows that out of five items, only one,
constantly reminding staff and students about the
vision, was perceived to a very large extent. The
grand total mean rating of participants on the
extent visionary leadership can lead to WCUS is
2.79 (Large extent).
Table 3
Mean Ratings on the Extent can Led to WCUS Making Good
Decision
Academic staff Admini. Staff Students
Sl.
N = 150 N = 150 N = 150
No. Questionnaire Items X SD Dec X SD Dec X SD Dec Total X
1. Involving students in decision-making. 3.38 0.91 VLE 3.04
0.87 LE 3.30 0.90 VLE 3.24 VLE
2. Use of experts in decision-making. 2.17 0.73 LE 1.79 0.66 SE
1.94 0.69 SE 1.96 SE
3. Immediate withdrawal of unpopular decisions. 3.56 0.94 VLE
3.11 0.87 VLE 3.05 0.87 VLE 3.24 VLE
4. Using only Professors in decision-making. 2.19 0.73 LE 1.84
0.67 LE 1.88 0.68 SE 1.97 SE
5. Making timely decisions. 2.94 0.85 LE 3.00 0.86 LE 2.79
58. behaivours(high intellectual behaivours).
3. Engagement of Nobel Laureates in 2.17 0.73 LE 1.96 0.7 SE
2.05 0.71 LE 2.60 LE
the university
4. Clear about staff and students’ 1.64 0.64 SE 3.03 0.86 SE
1.88 0.68 SE 2.18 LE
expectations of management.
5. Well exposed/experienced in 3.13 0.88 VLE 3.10 0.87 VLE
2.94 0.69 LE 3.05 VLE
international affairs.
Grand Mean 2.55 0.76 LE 2.78 0.82 LE 2.50 0.75 LE 2.61 LE
Table 4 shows out the five items only one,
wel l expo sed in inter nation al aff aires was
perceived to a very large extent while the total
gr a nd mea n sco r e of parti cipan ts on the
extent role modeling can lead to WCUS is 2.61
(Large Extent).
Table 5
Mean Ratings on the Extent. Self-improvement by Management
can Lead to WCUS = N 450
Academic staff Admini. Staff Students
Sl. N = 150 N = 150 N = 150
No. Questionnaire Items x SD Dec x SD Dec x SD Dec Total
1. Management ready to learn. 2.80 0.83 LE 3.02 0.86 LE 2.70
0.84 LE 2.90
2. Encouraging staff and students to develop 3.07 0.87 VLE
59. 2.99 0.86 LE 2.89 0.84 LE 2.98
themselves.
3. Have a competitive mindset. 2.42 0.77 LE 2.92 0.85 LE 2.72
0.82 LE 2.68
4. Have an entrepreneurship mindset. 2.79 0.83 LE 2.81 0.83 LE
2.80 0.83 LE 2.79
5. Experienced in the management of 3.08 0.87 VLE 2.78 0.83
LE 2.52 0.79 LE 2.79
world-class university.
6. Produced by a world-class university. 1.83 0.67 SE 2.00 0.70
LE 1.72 0.65 SE 1.85
Grand Mean 2.66 0.80 LE 2.75 0.82 LE 2.59 0.79 LE 2.67
Table 5 shows that out of the six items, none
was perceived to a very large extent. The total grand
mean score of the participants on the extent self-
improvement can lead to WCUS is 2.67 (Large
Extent).
Table 6 shows that out of five items only one,
searching for new ways of doing things, was perceived
to a very large extent. The total grand mean ratings
of the participants on the extent risk taking and being
innovative can lead to WCUS is 2.94 (Large Extent).
Table 6, shows that the f-value, 10.3291 is lower
than the table value 3.0426. the decision level is
not significant.
FINDINGS
The study found that building trust, visionary
leadership, making good decisions, role modeling,
60. self improvement, risk taking and being innovative
can lead to WCUS to a large extent. This implies
that entrepreneurship management can lead to
ENTREPRENEURSHIP MANAGEMENT AS A FACTOR IN
ATTAINMENT OF WORLD-CLASS… 155
WCUS in the universities South East of Nigeria to
a large extent. This finding is supported by the
hypothesis which shows that there is no significant
differ ence between the mean r atings of the
academic, administrative staff and students in this
regard.
DISCUSSION AND CONCLUSION
It is not surprising that the participants perceived
that entrepreneurship management can lead to the
attainment of WCUS to only a large extent instead
of to a very large extent. The findings also show
that the hypotheses tested supports the finding as
there is no significant difference between the three
groups of participants in their perception on the
extent ETM can lead to WCUS. This is probably
bec ause entrep r en eu r ship educa tion and
entrepreneurship management are still new and are
currently being introduced in the universities
following the National University Commission
(NUC) directive that entrepreneurship education
should be introduced in Nigeria. The findings seem
to suggest that the university community is recently
realizing the importance of ETM in our educational
system. However the findings support other studies
61. on the relevance of entrepreneurship management
in achieving excellence and quality in organizations.
RECOMMENDATIONS
It is recommended that;
1. Effort should be made to appoint university
leaders with entrepreneurship leadership
skills to manage Nigerian Universities.
2. The university managements in Nigeria
should be encouraged to use ETM practices
in their administration.
3. All university principal officers should be
made to undergo conferences and seminars
on entrepreneurship management as soon
they assume duty as new managers so that
WCUS can be attained in SE universities
in Nigeria.
4. Entrepreneurship education should be
made compulsory to students of educational
management, administration and planning,
so that they can practice ETM where ever
they are employed to work.
5. All students should be taught entrepreneur-
ship education no matter the discipline or
course of study.
References
Bush, T., (2003), Theories of Educational Leadership
and Management. Ed. 3rd London: Sage Publications.
62. Cater, A. M. (1996), An Assessment of Quality in
Graduate Education, 80.
Chi ah a, G.T. U. a n d Ez e, J. U. ( 2009) , Y o uth
Preparation for Entrepreneurship in Nigeria
Universities. Journal for Educational Review
(JER). 2.(2) India. Serial Publications, pp. 269-278.
Table 6
Mean Ratings on the Extent Risk Taking and Innovations can
Lead to WCUS N = 450
Academic staff Admini. Staff Students
Sl. N = 150 N = 150 N = 150
No. Questionnaire Items X SD Dec X SD Dec X SD Dec Total X
1. Challenging old ways of doing things. 3.11 0.87 VLE 2.86
0.84 LE 2.76 0.83 LE 2.19 LE
2. Rewarding creativity, imagination and 3.15 0.88 VLE 2.97
0.86 LE 2.84 0.84 LE 2.98 LE
Originality, and not necessarily success.
5. Searching for new ways of doing things. 3.17 0.88 VLE 3.34
0.91 VLE 3.11 0.87 VLE 3.20 VLE
4. Encouraging research and knowledge 2.80 0.83 LE 3.00 0.86
LE 3.11 0.87 VLE 2.97 LE
sharing.
5. Ready to do anything to attain WCUS/ 2.04 0.71 LE 2.89
0.84 LE 2.91 0.84 LE 2.61 LE
have a Great passion for building WCUS
Grand Mean 2.85 0.83 LE 3.01 0.86 LE 2.94 0.85 LE 2.93 LE
64. Imogie, A. I. (2010), A New Paradigm for Teachers
Preparation. Paper Presented at the 2010 Annual
National Conference Organized by the Institute
of Education UNN. April 26-29.
Levin, H. M., Jeong, D. W and Ou, D. (2006), What is
a World-Class University? Paper. Presented at the
Conference of the Comparative and International
Education Society, Honolulu, Hawai: March 6.
Okafor, C. (2010), The Effects of Entrepreneurship
Education on Students Entrepreneurial Actions:
A Study of Covenant University and Babcock
Universities Students M. S. Sagagi and J. Mitra
Readings on African Entrepreneurship. Kano;
Bayecio University and Essex Business School,
University of Essex, U.K. p. 83.
Oyebode, A. (2008), The Vision 20-20-20 and Nigerian
University. Convocation Lecture Delivered at Koki
State University, Oct. 10.
Shanker, A. (1996), Defining World-Class Standards.
Organization for Quality Education. New York
Times October 29, 1995, What Secondary Schools
Abroad are Expected to know, p. 5.
Sulaiman, S. N. (2010), Entrepreneurship: Theories,
Concept and Perspectives: Kano, Nigeria. Triumph
Publishing Company Ltd.
Copyright of Journal of Educational Review is the property of
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Policy Network and its content may not be copied or emailed to
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permission. However, users may print,
download, or email articles for individual use.
FEATURE ARTICLE
Serial Innovators
How Individuals Create and Deliver Breakthrough Innovations
in Mature Firms
Benefiting from the unique abilities of serial innovators
requires not only recognizing them, but developing and
managing them
in very particular ways.
Bruce A. Vojak, Raymond L. Price, and Abbie Griffin
OVERVIEW: For over 25 years, research on innovation has
taken the perspective that new product development can be
managed like any other (complex) process. In sharp contrast to
this process view, we reframe the problem by exploring a
people perspective on innovation, focusing on the cutting-edge
serial innovators who repeatedly create and deliver break-
through innovations in large, mature organizations. These
employees are powerhouses who solve customer problems and
contribute substantially to their firm's financial value. In this
paper, we provide an overview of who serial innovators are
and how they develop novel products; we also share insights
about how to better understand, emulate, enable, support, and
manage these unique individuals for long-term corporate
success.
66. KEYWORDS: Breakthrough innovation. Serial innovators
Over the past decade, we have had the privilege to interview,
study, and collaborate with a set of powerful and capable
Bruce A. Vojak is associate dean for administration in the
College of
Engineering at the University of Illinois at Urbana-Champaign
and adjunct
professor of electrical and computer engineering and of
industrial and
enterprise systems engineering. Additionally, he teaches and
conducts
research on innovation and serves on the board of directors of
Midtronics,
Inc. Before joining the university, he was a director of advanced
technol-
ogy at Motorola and earlier held business development and
research
positions at Amoco Corporation. He earned BS, MS, and PhD
degrees in
electrical engineering from the University of Illinois at Urbana-
Champaign
and an MBA from the University of Chicago's Booth School of
Business.
[email protected]
Raymond L. Price holds the William H. Severns Chair of
Human Behavior in
the College of Engineering at the University of Illinois at
Urbana-Champaign
and is the codirector of the Illinois Foundry for Innovation in
Engineering
Education. Prior to joining the university, he held management
positions at
Allergan, Boeing, and Hewlett-Packard. He earned a PhD in
67. organizational
behavior from Stanford University. His research focus is on
innovation, cre-
ativity, and new product development. He collaborated with
Charles H.
House to author The HP Phenomenon: innovation and Business
Transforma-
tion (Stanford University Press, 2009). [email protected]
Abbie Griffin holds the Royal L. Garff Presidential Chair in
Marketing at the
University of Utah's David Eccles School of Business. She
earned a BS in
chemical engineering from Purdue University, an MBA from
Harvard, and a
PhD in management of technology and marketing from MIT.
Her research
investigates how to measure and improve the process of new
product de-
velopment. She has been the editor of the Journal of Product
Innovation
Management and has served on the board of directors of
Navistar Interna-
tional Truck and Engine, [email protected]
DOI: 10.5437/08956308X5506899
individuals whom we label "serial innovators."' These are
people who have been credited by managers and colleagues
alike with creating and bringing to market multiple break-
through innovations. These are not CEOs or senior managers
but unique individuals embedded in their organizations who
contribute disproportionately to these fortunate companies'
innovation output. And they are very rare, appearing in ma-
ture organizations at the rate of 1 in 100 to 1 in 500 of techni-
cal staff members. While every company would like to have
the kind of results that serial innovators deliver, many don't
know how to engage with them. Benefiting from their ex-
68. pertise and unique abilities requires not only recognizing
them, but developing and managing them in very particular
ways. What's more, the entire organizational culture must be
innovator friendly if these individuals are to emerge.
Interestingly, the three of us embarked on this study inde-
pendently, yet on similar paths, more than a decade ago. We
each were intrigued by the role of people in innovation, in
contrast to the more commonly held process perspective,
with Abbie approaching it from the perspective of her exper -
tise in marketing and new product development, Ray from
the standpoint of his work in organizational behavior, and
' The key findings and themes presented here, and in a related
presentation
at IRI's Annual Meeting, Indian Wells. CA, May 2012, are
discussed in
detail in our recent book, Serial Innovators: How Individuals
Créale and Deliver
Breakthrough Innovations in Mature Firms (Palo Alto, CA:
Stanford University
Press, 2012).
4 2 I Research-Technology Management • November—
December 2012
The Study
These individuals were employees of mature U.S.-based
technology-dependent corporations. All of the firms studied
were technology-driven companies v»/ith over $1.5 billion in
an-
nual revenue relying on innovation for long-term success; the
firms represented a range of industries:
69. • Aerospace and defense
• Automotive and transport
• Chemicals
• Computer hardware
• Computer services
• Consumer products manufacturers
• Electronics
• Industrial manufacturing
• Medical equipment
• Telecommunications equipment
In most cases, we studied innovators in more than one company
within the industry. To identify serial innovators, we networked
with our corporate liaison contacts, asking them to identify in-
dividuals in their firms who were viewed within the
organization
as being responsible for an innovation (and involved in it from
its inception to its finish) that represented a significant break-
through, one which successfully came to market and
significantly
impacted their firm and its customers. These individuals also
typically had track records of other significant innovative
contri-
butions, although not all at the identical level of impact.
The research was conducted in five broad phases:
1. We began by asking 10 technology managers to define the
characteristics most frequently observed in serial innova-
tors. We then conducted a large-sample survey of over 400
industrial physicists in order to determine, through statisti -
cal analysis, how important and pervasively observed these
characteristics were (Vojak et al. 2006).
2. As a means of exploring serial innovator characteristics in
70. depth, as well as the processes they employ and how they
navigate organizational politics, we conducted an in-depth
investigation of how 11 of the 33 still-living inductees of the
Electronic Design Engineering Hall of Fame created their
breakthrough innovations (Griffin et al. 2009).
3. Next, to understand how serial innovators are best man-
aged, we explored serial innovator motivation and
demotivation through structured in-depth interviews with
24 serial innovators from 17 companies, as well as with
their 22 direct managers and 18 human resource managers
(Hebdaetal. 2007, 2012).
4. To distinguish between the contributions of serial innova-
tors and the roles of other key participants in the innovation
process, we conducted in-depth interviews with three serial
innovators, two inventors, two champions, and two imple-
menters in one organization, as well as 17 of their coworkers
and managers (Sim et al. 2007).
5. Finally, we conducted a more comprehensive study, inter-
viewing 19 additional serial innovators, in most cases several
times, about their approach to innovation and to navigating
organizational politics to bring innovations to market. In
addition, we interviewed over 30 of their coworkers and
managers, producing a very rich set of data (Price et al.
2009).
In total, we interviewed over 160 individuals involved in
breakthrough innovation in mature firms; nearly 60 were se-
rial innovators. With the exception of the motivation and de-
motivation study (in phase 3, in which we asked specifically
about motivators and demotivators and their efficacy), the in-
terviews with serial innovators focused on two or three of the
interviewee's success stories. Similarly, our interviews of their
managers and coworkers addressed the innovators' actions
71. and behaviors around these same successes, as perceived by
the interviewee.
All inten/iews were recorded and transcribed. The tran-
scripts were reviewed by two members of the research team to
identify key themes. Relevant phrases were coded for their rel-
evance to particular themes, at which point the entire research
team gathered to review each coded phrase, seeking recur-
ring patterns of responses. By repeating this process across the
various studies, we were able to discern common personal
characteristics, patterns of innovation processes, ways in which
innovators navigated organizational politics, and motivators
and demotivators.
Bruce from the context of strategic technology management.
As we learned of each other's work and interests, the collabo-
ration grew naturally, with our combined perspectives offer -
ing new insight into how breakthrough innovations have
occurred in mature firms. With each successive study we
conducted, we uncovered more definition about how serial
innovators operate and how to manage them. Thus, each
study led us to ask either deeper or broader questions in a
subsequent study.
In this research stream, carried out in five phases, we con-
ducted over 160 in-depth interviews with serial innovators,
their managers, and their coworkers (see "The Study,"
above). By engaging with these exceptional individuals and
their colleagues and managers, we have come to understand
more clearly who serial innovators are, how they create, and
how they navigate within their organizations. This has
helped us see just how unique they are and understand how
to identify, develop, manage, and support them.
Serial Innovators
72. Tom Osborn was a serial innovator who had significant im-
pact on the feminine hygiene product industry during his
career at Procter & Gamble. When he began in this industry,
the generally held perspective was that the purpose of a
feminine hygiene product was merely to catch fiuid, simi-
larly to the way in which a diaper performs, and the goal of
Serial Innovators November—December 2012 43
Managers and colleagues recognize
serial innovators as passionate, positive
contributors to the organization.
innovation was to improve performance within this diaper
paradigm. Tom, however, sought to understand the problem
in a deeper, more nuanced way. He did so through various
methods, such as working with medical models, reconsider-
ing commonly held assumptions, testing prototypes, and
constantly iterafing. In doing so, he realized that he needed to
reframe the problem, from a diaper to a garment paradigm—
that is, a paradigm in which the product behaved like a gar-
ment, yielding a more comfortable fit while still performing
as required. This reframing, he believed, could provide great
benefit to P&G's customers and shareholders, as well as to his
coworkers and management. While he nearly lost his job in
the process, Tom was able to navigate his organization effec-
tively, ultimately gaining strong management advocacy, re-
sulting in a breakthrough innovative product. Always Ultra,
now one of P&G's billion-dollar brands. In recognition of his
contributions, Tom was inducted into P&G's Victor Mills So-
ciety, the highest technical-ladder level and honor in the
company.
73. Serial Innovators: Who They Are
Tom is an exemplar serial innovator. He exhibits all of the
characteristics and behaviors that make these rare individu-
als stand out. So what are the marks of a serial innovator?
Serial innovators are self-motivated to solve customer
problems. They seek good, challenging problems for which a
solution would benefit customer, colleague, and company
alike. Serial innovators come to their organizations as agile
learners, with both breadth and depth of knowledge. They
are curious systems thinkers, creatively connecting the dots
as they make new insights. Yet, they understand that contri-
bution at this level does not come easily. They are tenacious,
seeing challenges through to completion. While our study
focused entirely on innovations with a technical component,
serial innovators see technology as the means to an end.
They not only understand and accept that businesses exist to
create value and make profits, they embrace this concept.
Yet, they are not cold, hardened economic machines; they
are passionate about doing their best for customers. Nor are
they independent heroes or lone rangers. They value people,
treating others with respect while exhibiting the courage to
move the organization from within.
Perhaps the best way to identify potential serial innova-
tors is by considering how individuals engage with problems,
projects, business, and people. In observing how serial inno-
vators engage with problems, we observe their curiosity, sys-
tems thinking, and creativity. In their engagement with
projects, we observe their tenacity, their determination to see
projects through to completion. In their engagement with
business, we observe their belief that businesses exist to cre -
ate value and that technology is only a means to an end. Fi -
nally, In their engagement with people, we observe their
74. valuing of others, seeing the strengths and enlisting the help
of their peers and colleagues.
Although this constellation of characteristics separates se-
rial innovators from their coworkers, these traits do not
alienate them from others. Instead, managers and colleagues
recognize serial innovators as passionate, positive contribu-
tors to the organization.
Serial Innovators: How They Navigate Their Organizations
Virtually all of the serial innovators we have interacted with
began their industry careers with the naive view that inven-
tion is sufficient, that there is intrinsic value in an invention.
They expected managers to recognize and act on their inven-
tive insights and carried the belief that their tasks were com-
plete once the invention was developed.
In sharp contrast to other inventors within the firm, how -
ever, serial innovators "cross the bridge" to accept personal
responsibility for promoting their inventions to the rest of the
firm. They become willing to engage, to apply their profound
creative problem-solving abilities to the political task of navi-
gating an organization. They recognize that innovation re-
quires the participation of, and contributions from many
people. As a result, they work outside their technical comfort
zones, seeking investment and resources from management
and active contributions from colleagues.
Their ability to negotiate organizational politics reveals the
highly integrated nature of serial innovators' characteristics.
That they accept responsibility to move the organization is
closely tied to their self-motivation. That they succeed in do-
ing so reflects their creative problem-solving abilities, now
turned on the political task. That they value others leads
them to engage managers and colleagues, not merely tolerate
or, even worse, disdain them.
75. Serial Innovators: How They Create Breakthrough
Innovations
Serial innovators also approach the innovation process in a
different way. In contrast with the prevailing linear combina-
tion of a fuzzy front end followed by a gated process, the se-
rial innovator's path to innovation is more consistent with
the hourglass model of innovation (Figure 1). Not a process
to be followed like a recipe, but a collection of recursive, it-
erative, contingent activities, the hourglass model truly char-
acterizes serial innovators' practice in pursuing breakthrough
innovation. The considerable retracing of their steps that is
apparent in serial innovator behavior as captured in this
model—occurring at both macro and micro scales—implies
a great deal of nonlinearity in their process of innovation.
Such nonlinearity suggests a deep complexity, with all of the
associated implications regarding the chaotic nature of break-
through innovation.
The hourglass model represents neither a technology-
push nor a market-pull approach. Similarly, serial innovators
4 4 I Research-Technology Management Serial Innovators
Motivation
to Innovate
Interesting
Problem
Launch
Flawlessly
FIGURE 1. The hourglass model of innovation
76. Source: From Bruce A. Vojak, R. L Price, and A. Griffin,
"Corporate in-
novation," in Oxford Handbook of Interdisciplinarity, ed. R.
Froderman,
J. Thompson Klein, and C. Mitcham (Nev/York: Oxford
University Press,
2010), p. 551. By permission of Oxford University Press,
www.oup.com.
continually adjust their focal attention, between customers
and technology—back and forth—with an occasional foray
into the market in aggregate, ultimately converging on a
solution that addresses technology, customer, and market.
Finally, we observed patterns of holistic discovery from
serial innovators. They simultaneously synthesize the many
facets of a highly constrained system, ranging from cus-
tomer, market, and technology to manufacturing, finance,
and distribution, grasping these insights collectively. Their
systems thinking capabifities enable them to envision
breakthrough innovation and understand how it fits in the
organization.
Managing Serial Innovators
The implications of the serial innovator's organizational en-
gagement and ways of working are perhaps most novel for
their direct managers. Because serial innovators, on their
own, are inclined to serve customer, colleague, shareholder,
and firm alike, they must be unleashed, not driven. They
must be protected from unproductive activities, enabled in
their desire to engage with customers, and supported and en-
couraged as they develop their influence skills.
Serial innovators' systems thinking
capabilities enable them to envision
breakthrough innovation and understand
77. how it fits in the organization.
Managing serial innovators requires a relatively unique,
highly individualized, relational form of management. The
patience that comes with understanding that breakthrough
innovation is not simply a process to be accelerated and
the authority to provide time and resources is a must. This
might be succinctly stated as a willingness to accept uncer -
tainty while expecting serendipity. To benefit most effec-
tively, managers must recognize that serial innovators are
unique individuals to be appreciated and understood in
unique ways.
Dennis Andersh, currently senior vice president and
Dayton regional executive at Science Applications Interna-
tional Corporation (SAIC), is an exemplar when it comes to
managing breakthrough innovators. Hired by the founder of
a technology-based company, Dennis led the firm in its sale
to SAIC and its transition to being an SAIC operation. After a
few years as part of SAIC, Dennis recognized that his unit's
innovation pipeline was drying up. In response, he rehired
the founder (a serial innovator) and provided him and other
technology leads in the operation the time and resources to
understand customer needs more deeply and develop inno-
vative ways to address them, reestablishing the fiow of new
ideas and products. Not only did Dennis exhibit sound judg-
ment in making these moves, he also exhibits a unique rich-
ness of understanding when he speaks of the serial innovators
in his organization. It is precisely this relational nuance and
insight that Dennis demonstrates in his interactions with se-
rial innovators that is key to his ability to manage serial in-
novators. By having a firm grasp on who they are as
individuals, Dennis is able to understand their needs and ad-
dress them in ways that other managers are unable to do.
Although what would generally be considered good man-
78. agement practices are evident in Dennis's actions, the key
element is that serial innovators do not appear sufficiently
frequently for most managers to develop a sense of how to
manage them. Generally recognized good management prac-
tices are designed to create economies of scale and scope by
minimizing unexpectedness, uncertainty, and other vari-
ables. With serial innovators, managers must accept uncer-
tainty, expecting serendipity. It is this ability to accept the
role of serendipity, provide an environment that encour-
ages it, and establish a context for its acceptance that sepa-
rates Dennis from the pack of direct managers just as
clearly as serial innovators differentiate themselves from
other, very capable technologists. That our results have
struck resonance with all practitioners—and especially
Serial Innovators November—December 2012 | 45
Managing serial innovators requires a
relatively unique, highly individualized,
relational form of management.
with the serial innovators—with whom we have discussed
them suggests that exemplar managers of serial innovators
are also rare.
Since the best managers understand serial innovators
in ways that others do not, they also are able to address
their needs in ways that others do not grasp. Understand-
ing that breakthrough innovation takes time, these man-
agers accept the long latency associated with it, exhibiting
patience with and trust in the serial innovator. They en-
able their serial innovators to focus by running interfer-
ence with more senior levels of management and by
enabling the Innovators to have contact with customers.
79. What we see is that the best manager-serial innovator
pairs exhibit an informal, highly relational interaction; they
know each other and complement each other. Like ball-
room dancers, they are keenly aware of their environment
and each other's moves, and move together fluidly. As we
heard during our interviews, when the manager-serial
innovator relationship works well, it is almost magical.
While serial innovators are intrinsically motivated, when
the serial innovator-manager relationship fails, serial innova-
tors can become distracted and lose motivation. Among the
most obvious failures in managing serial innovators are those
who either micromanage or are distant and aloof. Without
exception, the worst managers are transactional, rather than
relational. Less obvious, but equally important shortcomings
include managers who are stingy with resources and im-
patient, pressing innovators for results too early in the
effort, or those who take credit for the serial innovator's
contributions.
Of particular interest is that both the strengths of the best
managers of serial innovators and the weaknesses of the
worst are informal management techniques. Having said
this, formal techniques also play an important role. Most no-
tably, serial innovators seek rewards in the form that the
company values most, money. While they are not in it for the
great financial gain that may be realized by successful entre-
preneurs, serial innovators recognize that managers prove
that they value an innovator's contribution by compensating
that person accordingly. Conversely, by rewarding the
"wrong" people, those whose contributio ns are minimal or
fabricated, management demonstrates a lack of insight and
understanding.
It is critical to note that this high degree of relational man-
agement is not appropriate for every employee. It works only
80. by virtue of the serial innovator's unique talent and the man-
ager's insight, relational skill, and ability to protect and
provide.
The Executive's Responsibility
Proven serial innovators are concerned. Although they are
themselves typically valued and recognized in their compa-
nies, almost to a person, they expressed major concerns
about the current focus and culture in their organizations.
Collectively, they are concerned that:
• They and, more importantly, those with their skill sets
and orientations would not be hired today.
• The next generation of breakthrough innovators is not
being adequately identified, developed, supported, and
encouraged.
• Due to extreme pressure to accelerate innovation and
deliver near-term results, the time required to develop
truly breakthrough innovations is increasingly difficult
to find.
• The financial controls in their firm are so tight that there
is little fiexibility to "hide" exploratory projects or to pur -
sue interesting, serendipitous ideas and insights.
• Great managers of innovation are hard to find, even in
R&D organizations.
• It is challenging to find the organizational patience to
stay with new ideas until they have matured sufficiently
to transform the market.
They see their firms losing people with breakthrough inno-
vation skills, not hiring people with the potential for break-
81. through innovation, not developing people with the potential
to grow into this role, investing insufficiently in break-
through innovation and losing what was left of an innovator -
friendly culture, while becoming increasingly incremental
and short term in their focus.
Yet, as senior executives told us, they have trended in this
direction for some very understandable reasons. Their educa-
tion and experience base increasingly reinforce the belief that
the most important elements of business are both operational
and measurable. Their near-term focus is more and more
driven by financial markets, the press of which means that
their time and attention are in short supply. As a result, ex-
ecutives only have the time to understand in order to decide.
In sharp contrast, serial innovators understand in order to
master and create. Thus, executives and serial innovators
think differently.
Collectively, these pressures and patterns unfortunately
set up a challenging tension within the firm—the tension be-
tween the optimization culture that sustains the existing
business and an innovator-friendly culture that enables the
firm to regularly transform itself through breakthrough in-
novation. The optimization culture is characterized by pre-
dictability, stability, and reliability. Those individuals who
contribute to and thrive in an optimization culture require
structure, are looking for predictability, and focus on cost re-
duction. In contrast, the innovator-friendly culture is charac-
terized by a level of surprise, uncertainty, and volatility. Those
individuals who contribute to and thrive in an innovator-
friendly culture navigate challenges with agility, engaging in
their roles in a personalized way as they work in the midst of
a complexity that others see as chaos.
4 6 I Research-Technology Management Serial Innovators
82. The challenge for executives is to establish and maintain a
healthy tension between coexisting cultures rather than let-
ting the optimization culture drive out innovation, which it
frequently does. Unfortunately, it is easier and cleaner, al -
though deadly in the long term, for the firm to avoid dealing
with the tension. But not dealing with it will eventually push
the firm into irrelevance as competitors release new innova-
tive solutions. In contrast, addressing the tension requires
executives to invest personally, take responsibility for ac-
tively encouraging an innovator-friendly culture, gain an ap-
preciation of the value of breakthrough innovation, and
resist the tendency to drive every part of the business toward
optimization. Executives must understand that breakthrough
innovation is not merely another process to be optimized; it
requires refiection and time to understand both the break-
through process and the culture required to sustain it. Be-
cause breakthrough innovation is a highly personal act,
executives must also give those with the skill to contribute at
this level "permission to think," along with the time and re-
sources necessary to realize true breakthrough innovation.
So, once they have made the commitment to develop an
innovator-friendly culture, how can senior executives assess
and enable their organization's ability to sustain the critical
tension between optimization and innovation? We suggest
they begin by refiecting on three key questions:
• Are we identifying and developing the next generation
of serial innovators?
• Are we investing sufficiently in breakthrough
innovation?
• Are our breakthrough innovation efforts getting results?
83. First, we suggest they ask themselves whether they are iden-
tifying and developing the next generation of serial innova-
tors. A quick review of the pipeline of existing and potential
serial innovators is a place to start. Is the firm losing the for-
mula, benefitting from the contributions of current serial in-
novators with no obvious heirs to assume the role? Is the
pipeline talent rich but innovator light, with a number of
promising individuals but no experienced serial innovators to
guide the aspiring next generation? Or, is the pipeline full
and fruitful, populated both by experienced serial innovators
and promising, young talent in development?
If the pipeline is anything other than full, executives
would be well served to dig deeper, questioning their firms'
hiring assumptions. With the rise of increasingly professional
and intentional human resource practices focused on securing
very specific skills, we have observed that some important
but not easily quantified skills related to breakthro ugh inno-
vation may inadvertently be filtered out of organizations. Be-
yond hiring, we encourage executives to refiect on their
firms' investment in developing aspiring serial innovators.
Do rising innovators have the opportunity to develop their
understanding with varied assignments? Are they assigned
to direct managers who know how to develop their talents?
We observe that funding to help managers become better op-
timizers is nearly always available. In contrast, funding for
innovator development is typically almost nonexistent. As a
The challenge for executives is to
maintain a healthy tension between
coexisting cultures rather than letting the
optimization culture drive out innovation.
84. result, firms spend increasing amounts on the diminishing
returns associated with optimization, often missing the
critical—albeit highly uncertain—opportunities for break-
through innovation. In firms where optimization is most
comprehensively implemented, even a relatively modest in-
vestment in innovator development can be expected to re-
turn in unexpected, manifold ways.
Second, we suggest executives ask whether they are in-
vesting sufficiently in breakthrough innovation. Once the
right people are hired, identified, and effectively developed,
they must be provided the resources to make breakthrough
innovation happen. In response to the press of current busi -
ness and the relative certainty offered by investment in in-
cremental innovation, we find most firms pursuing a modest
level of incremental innovation and almost no breakthrough
innovation. As a result, even a slight redistribution in the di -
rection of breakthrough innovation has the potential to de-
liver a significantly different future for the firm.
Third, we encourage executives to think critically about
whether their firms' breakthrough innovation efforts are
truly yielding results. In no way do we imply that break-
through innovation is, in and of itself, what the firm should
pursue. In the end, without a clear contribution to new rev-
enue growth and a strong financial return on investment,
attempts at breakthrough innovation represent nothing
more than window dressing. Investment in breakthrough in-
novation must be held to the same high standards that all
parts of the company must meet. However, we also caution
that the leading metrics and evaluations applied to optimiza-
tion activities typically do not work well to assess break-
through innovation efforts. Instead of considering only
acceleration, firms also should determine whether they have
exercised sufficient persistence, perseverance, and tenacity in
85. seeing potential breakthrough concepts through to the mar-
ket. Thus, a more nuanced and insightful evaluation of pre-
liminary results is necessary to realize the desired financial
return.
The most senior level of executives in the firm must lead
the cultural transformation that will enable an innovator-
friendly culture to survive and thrive in tension with the op-
timization culture. They must take ownership of the change
to ensure that their firm develops broad skill in identifying
and developing serial innovators within the organization.
They must identify and develop managers with the skills nec-
essary to unleash serial innovators. They must give permis-
sion to their direct reports to invest wisely in breakthrough
Serial Innovators November—December 2012 47
innovation. And, they must monitor results and performance
metrics with nuanced insight.
Concluding Thoughts
In the end, successful breakthrough innovation hinges on
three factors:
• The right people—serial innovators and their managers
and colleagues;
• Deep, personal, and relevant insight by all participants;
and
• An innovator-friendly culture thriving in tension with a
healthy optimization culture.
How senior executives in mature firms respond to these fac-
86. tors will have significant and lasting implications for the
long-term viability of the firm. These senior executives are
critical because they set the tone for what is important in
their organization, determining if the organization will focus
on growth over the long term or on short-term, quarterly
performance. They will determine if serial innovators will
find a welcome home.
Our hope is that our results encourage the most senior
executives to believe that breakthrough innovation can oc-
cur in their large, mature firms and that serial innovators and
their direct technical managers are critical to making this
happen. Our fear is that they may be pulled too easily into
the tyranny of the optimization impulse, guided too much by
the immediate needs of the business cycle.
Our expectation and challenge, then, is that senior execu-
tives take our message to heart. In doing so, they will have
served all, playing a key role in bringing important new
products to customers and fulfilling the most challenging in-
vestor expectations, both near and long term. If they don't
rise to the challenge, although their organizations will very
likely survive comfortably for some time, they will eventu-
ally lose the ability to remake themselves. Rather than grow-
ing, they will wither.
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1
Sample Annotated Bibliography
Student Name Here
University
Sample Annotated Bibliography
Autism
research continues to grapple with activities that best serve the
purpose of fostering positive interpersonal relationships for
89. children who struggle with autism. Children have benefited
from therapy sessions that provide ongoing activities to aid
autistic children’s ability to engage in healthy social
interactions. However, less is known about how K–12 schools
might implement programs for this group of individuals to
provide additional opportunities for growth, or even if and how
school programs would be of assistance in the end. There is a
gap, then, in understanding the possibilities of implementing
such programs in schools to foster the social and thus mental
health of children with autism.
Annotated Bibliography
Kenny
, M. C., Dinehart, L. H., & Winick, C. B. (2016). Child-centered
play therapy for children with autism spectrum disorder. In A.
A. Drewes & C. E. Schaefer (Eds.), Play therapy in middle
childhood (pp. 103–147). Washington, DC: American
Psychological Association.
In this chapter, Kenny, Dinehart, and Winick provided a case
study of the treatment of a 10-year-old boy diagnosed with
autism spectrum disorder (ADS). Kenny et al. described the
rationale and theory behind the use of child-centered play
therapy (CCPT) in the treatment of a child with ASD.
Specifically, children with ADS often have sociobehavioral
problems that can be improved when they have a safe therapy
space for expressing themselves emotionally through play that
assists in their interpersonal development. The authors outlined
the progress made by the patient in addressing the social and
communicative impairments associated with ASD. Additionally,
the authors explained the role that parents have in implementing
CCPT in the patient’s treatment. Their research on the success
of CCPT used qualitative data collected by observing the patient
in multiple therapy sessions
.
CCPT follows research carried out by other theorists who have
identified the role of play in supporting cognition and
90. interpersonal relationships. This case study is relevant to the
current conversation surrounding the emerging trend toward
CCPT treatment in adolescents with ASD as it illustrates how
CCPT can be successfully implemented in a therapeutic setting
to improve the patient’s communication and socialization skills.
However, Kenny et al. acknowledged that CCPT has
limitations—children with ADS, who are not highly functioning
and or are more severely emotionally underdeveloped, are likely
not suited for this type of therapy
.
Kenny et al.’s explanation of this treatments’s implementation
is useful for professionals in the psychology field who work
with adolescents with ASD. This piece is also useful to parents
of adolescents with ASD, as it discusses the role that parents
can play in successfully implementing the treatment. However,
more information is needed to determine if this program would
be suitable as part of a K–12 school program focused on the
needs of children with ASD
.
Stagmitti, K. (2016). Play therapy for school-age children with
high-functioning autism. In A.A. Drewes and C. E. Schaefer
(Eds.), Play therapy in middle cildhood (pp. 237–255).
Washington, DC: American Psychological Association.
Stagmitti discussed how the Learn to Play program fosters the
social and personal development of children who have high
functioning autism. The program is designed as a series of play
sessions carried out over time, each session aiming to help
children with high functioning autism learn to engage in
complex play activities with their therapist and on their own.
The program is beneficial for children who are 1- to 8-years old
if they are already communicating with others both nonverbally
and verbally. Through this program, the therapist works wi th
autistic children by initiating play activities, helping children
direct their attention to the activity, eventually helping them
begin to initiate play on their own by moving past the play
91. narrative created by the therapist and adding new, logical steps
in the play scenario themselves. The underlying rationale for
the program is that there is a link between the ability of
children with autism to create imaginary play scenarios that are
increasingly more complex and the development of emotional
well-being and social skills in these children. Study results from
the program have shown that the program is successful:
Children have developed personal and social skills of several
increment levels in a short time. While Stagmitti provided
evidence that the Learn to Play program was successful, she
also acknowledged that more research was needed to fully
understand the long-term benefits of the program.
Stagmitti offered an insightful overview of the program;
however, her discussion was focused on children identified as
having high-functioning autism, and, therefore, it is not clear if
and how this program works for those not identified as high-
functioning. Additionally, Stagmitti noted that the program is
already initiated in some schools but did not provide discussion
on whether there were differences or similarities in the success
of this program in that setting.
Although Stagmitti’s overview of the Learn to Play program
was helpful for understanding the possibility for this program to
be a supplementary addition in the K–12 school system, more
research is needed to understand exactly how the program might
be implemented, the benefits of implementation, and the
drawbacks. Without this additional information, it would be
difficult for a researcher to use Stigmitti’s research as a basis
for changes in other programs. However, it does provide useful
context and ideas that researchers can use to develop additional
research programs.
Wimpory, D. C., & Nash, S. (1999). Musical interaction
therapy–Therapeutic play for children with autism. Child
Language and Teaching Therapy, 15(1), 17–28.
doi:10.1037/14776-014
