Tom Allen Recommended Reading List
Surveys and Overviews
Pavitt, Keith (1990). “What We Know about the Strategic Management of Technology.”
California Management Review, Vol. 32, No. 3 pp. 17-26.
Roberts, Edward B. (1988). “Managing Invention and Innovation: What We’ve Learnt.”
Research•Technology Management, Vol. 31, No. 1, Jan-Feb.
Tidd, Bessant, and Pavitt (1997). Managing Innovation. Sussex: John Wiley & Sons Ltd.
Utterback, James M. (1974). “Innovation in Industry and the Diffusion of Technology.”
Science, Vol. 183, February 15. pp. 620-626.
Van de Ven, Andrew (1986). “Central Problems in the Management of Innovation.”
Management Science, Vol. 32, No. 5, May. Reprinted in Readings in the Management of
Technological Innovation, Tushman and Moore, (eds.), 1988, New York: Harper Collins.
Patterns of Technological Change – Basic Issues
Clark, Kim B. (1985), "The Interaction of Design Hierarchies and Market Concepts in
Technological Evolution", Research Policy, Vol. 14, pp. 235-251.
Nelson, R. and R. and S. G. Winter (1977). “In Search Useful Theory of Innovation.” Research
Policy, Vol. 6, No. 1. pp. 36-76.
Pavitt, Keith (1984). “Sectoral Patterns of Technical Change: Towards a Taxonomy and a
Theory.” Research Policy, Vol. 13, No. 6. pp. 343-373.
Rosenburg, Nathan (1982). Inside the Black Box: Technology and Economics. Cambridge
(UK): Cambridge University Press. Chapters 3, 6, 7.
Rosenberg, Nathan (1994), "Neglected Uncertainties in the Economics of Technical Change",
Conference on Growth and Development working paper, CEPR, Stanford University.
Creative Destruction and Evolutionary Change
Abernathy, William J. and James M. Utterback (1978). “Patterns of Industrial Innovation.”
Technology Review, Cambridge: MIT Press, pp. 40-47.
Abernathy, William J. and Kim Clark (1985). “Innovation: Mapping the Winds of Creative
Destruction.” Research Policy, No. 14, p. 3-22.
Nelson, R. and S. Winter (1982). An Evolutionary Theory of Economic Change. Cambridge
(MA): Harvard University Press, pp. 1-136.
Schumpeter, Joseph (1942). Capitalism, Socialism, and Democracy, 2nd Edition. London:
George Allen & Unwin Ltd. pp. 72-120.
Tushman, Michael L. and Philip Anderson (1986). “Technological Discontinuities and
Organizational Environments.” Administrative Science Quarterly, Vol. 31. pp. 439-465.
Tushman, Michael L. and Lori Rosenkopf (1992), "Organizational Determinants of
Technological Change: Towards a Sociology of Technological Evolution", in Research in
Organizational Behavior, eds. B. M. Staw and L. L. Cummings, JAI Press, Greenwich, CT, pp.
311-347.
Utterback, James M. (1994), Mastering the Dynamics of Innovation, Boston (MA): Harvard
University Press, chapters 3,4,6,7.
Technological Trajectories
Christensen, Clayton M. and Richard S. Rosenbloom (1995), "Explaining the Attacker’s
Advantage: Technological Paradigms, Organizational Dynamics and the Value Network",
Research Policy, Vol. 24, pp. 233-257.
Dosi, Giovanni (1982), "Technological Paradigms and Technological Trajectories", Research
Policy, Vol. 11, No. 3, pg. 147-162.
Foster, R (1986), "The S-curve: A New Forecasting Tool.", Innovation: The Attacker’s
Advantage, New York: Summit Books, pp. 88-111.
Rosenberg, Nathan, "Directions of Technological Change: Inducement Mechanisms and
Focusing Devices", Economic Development and Cultural Change, pg. 1-24.
Sahal, D. (1985), "Technology Guide-Posts and Innovation Avenues", Research Policy, Vol. 14,
No. 2, pp. 61-82.
Incumbents and Entrants
Henderson, Rebecca M. (1993). “Underinvestment and Incompetence as Responses to Radical
Innovation: Evidence from the Photolithographic Alignment Equipment Industry.” Rand
Journal of Economics, Vol. 24, No. 2, Summer. pp. 248-270.
Henderson, Rebecca M. and Kim Clark (1990). “Architectural Innovation: The Reconfiguration
of Existing Product Technologies and the Failure of Established Firms.” Administrative Science
Quarterly, Vol. 35. pp. 9-30.
University and Basic Scientific Research
Allen, Thomas J. "Distinguishing Science from Technology", The Human Side of Managing
Technological Innovation, ed. Ralph Katz, New York: Oxford University Press, pp. 307-319.
Nelson, R. (1959). “The Simple Economics of Basic Scientific Research.” Journal of Political
Economy, Vol. 67, No. 3. pp. 297-306.
Nelson, R. (1962). “The Link between Science and Invention: The Case of the Transistor.” The
Rate and Direction of Inventive Activity, NBER, New Jersey: Princeton University Press. pp.
549-586.
Rosenberg, Nathan (1990). “Why Do Firms Do Basic Research (With Their Own Money?”
Research Policy, Vol. 19, No. 2, April. pp. 165-174.
Technology Strategy and Firm Performance
Porter, Michael E., “The Technological Dimension of Competitive Strategy.” Research on
Technological Innovation, Management and Policy, Vol 1, pp 1-33. JAI Press, 1983.
Timing and the Dynamics of Technology Strategy
Bower, Joseph L. and Clayton M. Christensen (1995), "Disruptive Technologies: Catching the
wave", Harvard Business Review (Jan-Feb), pp. 43-53.
Christensen, Clayton M. (1992), "The Limits of the Technology S-Curve", Parts I and II,
Production and Operation Management.
Christensen, Clayton M., Fernando F. Suárez and James M. Utterback (1998), "Strategies for
Survival in Fast-Changing Industries", Management Science, Vol. 44, No. 2 (Part 2 of 2), pp.
S207-S220.
Cockburn, I. And R. Henderson (1994), "Racing to Invest? The Dynamics of Competition in
Ethical Drug Discovery, Journal of Economics and Management Strategy, Vol. 3, pp. 481-519.
Reinganum, J. F. (1989), "The Timing of Innovation: Research, Development and Diffusion",
Handbook of Industrial Organization, eds. R. Schmalensee and R. D. Willig, B.V.: Elsevier
Science Publishers, Vol. I, chap. 14, pp. 850-908.
Knowledge and Capabilities
Kogut, Bruce and Udo Zander (1992). “Knowledge of the Firm, Combinative Capabilities, and
the Replication of Technology.” Organization Science Vol. 3, No. 3, August. pp. 383-397.
Rosenbloom, Richard S. and Michael A. Cusumano (1987). “Technological Pioneering and
Competitive Advantage: The Birth of the VCR Industry.” California Management Review…
Teece, David J., Gary Pisano, and Amy Shuen (1997). “Dynamic Capabilities and Strategic
Management.” Strategic Management Journal, Vol. 18, No. 7. pp. 509-533.
Inter-Organizational Technological Relationships
Gans, Joshua S. and Scott Stern (1997). “Incumbency and R&D Incentives: Licensing the Gale
of Creative Destruction.” mimeo, MIT Sloan School and Melbourne Business School.
Katz, Michael (1987), "R&D Rivalry with Licensing or Imitation", American Economic Review,
Vol. 77, No. 3 (June).
Freeman, Christopher (1991). “Networks of Innovators: A Synthesis of Research Issues.”
Research Policy, Vol. 20, No. 5. pp. 499-514.
Hagedoorn, John and Geert Duysters (1997), "External Appropriation of Innovative Capabilities:
The Choice Between Strategic Technology Alliances and Mergers and Acquisitions", Academy
of Management Meeting, (TIM Division Best Paper)
Hagedoorn, John and Jos Schakenraad (1994), “The Effect of Strategic Technology Alliances on
Company Performance”, Strategic Management Journal, Vol 15, 291-309.
Kogut, Bruce (1988), "Joint Ventures: Theoretical and Empirical Perspectives", Strategic
Management Journal, Vol. 9, pp. 319-332.
Technology and Economics
Porter, Michael E. (1981), "The Contributions of Industrial Organization to Strategic
Management", Academy of Management Review, Vol. 6, No. 4, pp. 609-620.
Porter, Michael E. (1996), "What Is Strategy?", Harvard Business Review, Nov.-Dec., pp. 61-78.
The Innovation Process, Knowledge, and Learning
Katz, Ralph and Thomas J. Allen, "Organizational Issues in the Introduction of New
Technologies", The Human Side of Managing Technological Innovation, ed. Ralph Katz, New
York: Oxford University Press, pp. 384-397.
Roberts, Edward B. (1979). “Stimulating Technological Innovation – Organizational
Approaches.” Research Management, Vol. XXII, No. 6, November.
Arrow, K. (1969). Classificatory Notes on the Production and Transmission of Technological
Knowledge.” American Economic Review Papers and Proceedings, Vol. 59. pp. 29-35.
Bohn, Roger (1994). “Measuring and Managing Technological Knowledge.” Sloan
Management Review, Fall.
Leonard-Barton, Dorothy (1995). Wellsprings of Knowledge: Building and Sustaining the
Sources of Innovation. Boston: Harvard Business School Press.
Polyani, Michael (1962). Personal Knowledge: Towards a Post-Critical Philosophy. New York:
Harper Torchbooks.
Simon, Herbert A. (1981). The Sciences of the Artificial, Second Edition. Cambridge (MA):
MIT Press. Chapters 1-3.
Tyre, Marcie and Eric von Hippel (1997). “The Situated Nature of Adaptive Learning in
Organizations.” Organization Science, Vol. 8, No. 1, January/February. pp. 71-83.
Van de Ven, Andrew H. and Douglas Polley (1992). “Learning While Innovating.”
Organization Science, Vol. 3, No. 1. pp. 92-117.
von Hippel, Eric and Marcie Tyre (1995). “How Learning by Doing Is Done: Problem
Identification in Novel Process Equipment.” Research Policy, Vol. 24, No. 1. pp. 1-12.
von Hippel, Eric (1988). The Sources of Innovation. New York: Oxford University Press.
von Hippel, E. (1994). “Sticky Information and the Locus of Problem Solving: Implications for
Innovation.” Management Science, Vol. 40, No. 4. pp. 429-439.
Managing R&D Professionals; Communications
Allen, Thomas J. (1977), Managing the Flow of Technology, Cambridge (MA): MIT Press,
reprinted 1993, chapters 4-8.
Allen, Thomas J. and Ralph Katz (1992), "Age, Education and the Technical Ladder", IEEE
Transactions on Engineering Management, Vol. 39, No. 3 (August).
Ancona, Deborah G. and David F. Caldwell (1997). “Making Teamwork Work: Boundary
Management in Product Development Teams.” Managing Strategic Innovation and Change,
Tushman and Anderson (eds.). New York: Oxford University Press.
Bailyn, Lotte (1985), "Autonomy in the Industrial R&D Lab", Human Resource Management,
Vol. 24, No. 2, pp. 129-146.
Katz, Ralph and Thomas J. Allen, "Project Performance and the Locus of Influence in the R&D
Matrix", Academy of Management Journal, Vol. 28, No. 1, pp. 67-87.
Katz, Ralph, Michael Tushman and Thomas J. Allen (1995), "The Influence of Supervisory
Promotion and Network Location on Subordinate Careers in a Dual Ladder RD&E Setting",
Management Science, Vol. 41, No. 5 (May), Pg. 848-863.
Maidique, Modesto A. (1980), "Entrepreneurs, Champions, and Technical Innovation", Sloan
Management Review (Winter), Vol. 21, No. 2 pp. 59-76, reprinted in Readings in the
Management of Technological Innovation, eds. Tushman and Moore (1988), New York: Harper
Collins.
Roberts, Edward B. and Alan R. Fusfeld (1981). “Staffing the Innovative Technology-Based
Organization.” Sloan Management Review, (Spring).
Sakakibara, Kiyonori and D. Eleanor Westney (1992), "Japan’s Management of Global
Innovation: Technology Management Crossing Borders", reprinted in Managing Strategic
Innovation and Change, eds. Tushman and Anderson, New York: Oxford University Press.
Shane, Scott and S. Venkataraman (1996), "Renegade and Rational Championing Strategies",
Organization Studies, Vol. 17, No. 5, pp. 751-771.
Organizational Change; Adopting and Using Technology
Leonard-Barton, D. (1988), "Implementation as Mutual Adaptation of Technology and
Organization", Research Policy, Vol. 17, pp. 251-267.
Orlikowski, Wanda J. (1992), "The Duality of Technology: Rethinking the Concept of
Technology in Organizations", Organization Science, Vol. 3, No. 3, pp. 398-427.
Tyre, Marcie J. and Oscar Hauptman (1992), "Effectiveness of Organizational Responses to
Technological Change in the Production Process", Organization Science, Vol. 3, No. 3, pp. 301321.
Tyre, Marcie J. and Wanda J. Orlikowski (1994), "Windows of Opportunity: Temporal Patterns
of Technological Adaptation in Organizations", Organization Science, Vol. 5, No. 1 (Feb), pp.
98-118.
Tyre, Marcie J. and Wanda J. Orlikowski (1993), "Exploiting Opportunities for Technological
Improvement in Organizations", Sloan Management Review (Fall).
Van de Ven, Andrew H. and Marshall Scott Poole,(1995), "Explaining Development and Change
in Organizations", Academy of Management Review, Vol 20, No. 3 (July).
Organizational Economics of Technology
Aghion, Philippe and Jean Tirole (1994), "The Management of Innovation", The Quarterly
Journal of Economics, Nov '94, Pg. 1185-1209.
Athey, Susan and A. Schmutzler (1995), "Product and Process Flexibility in an Innovative
Environment", Rand Journal of Economics, Vol. 26(4), pp. 557-574.
Athey, Susan and Scott Stern (1996), "An Empirical Framework for Testing Theories About
Complementarity in Organizational Design", MIT Working paper.
Brynjolfsson, Erik (1994), "Information Assets, Technology, and Organization", Management
Science, Vol. 40, No. 12.
Gibbons, Robert, "Game Theory and Garbage Cans", forthcoming in Nonrational Elements of
Organizational Decision Making, eds. R. Stern and J. Halpern, Cornell University Press.
Granovetter, Mark (1985), "Economic Action and Social Structure: The Problem of
Embeddedness", American Journal of Sociology, Vol. 91, No. 3 (Nov), pp. 481-510.
Holmstrom, Bengt (1989), "Agency Costs and Innovation", Journal of Economic Behavior and
Organization, Vol. 12(3), pp. 305-327.
Milgrom, P. and John Roberts (1990), "The Economics of Modern Manufacturing: Technology,
Strategy and Organization", American Economic Review, pp. 511-528.