Beruflich Dokumente
Kultur Dokumente
t
t
|
=t
0
and
E
S0CC
st
= I
st
| (1 -FAII
t
|)
t
t
|
=t
0
where I
st
| = 1 if surgeon s performed a minimally invasive cardiac procedure on patient i at time t
between the beginning of our study period (t
0
) and time t, and 0 otherwise. Also, SUCC
it
= 1 if the
minimally invasive procedure performed on patient i at time t was successful, and FAII
t
| = 1 otherwise.
E
SUCCst
and E
FAILst
are thus the cumulative volumes of successes and failures for surgeon s at time t,
respectively. Similarly, we define E
FAIL_OTHERSst
and E
SUCC_OTHERSst
to be the cumulative failures and
successes of the other cardiac surgeons who work in the same hospital as surgeon s.
To explore the impact of individual failures and successes, and those of others, we employ the
following empirical specification.
2
2
We use counts of our experience variables, rather than their logs for two reasons. First, the log-linear learning
curve model is derived from theory, and supported empirically while the log-log learning curve model is just from
empirical results (Levy 1965; Lapr, Mukherjee, and Wassenhove 2000). Second, if experience has been gained
prior to the start of the dataset then the log-log learning curve model will yield biased coefficients (Lapr and
- 14 -
ln_
Pi(H0RI
st
= 1|X
t
)
1 -Pi(H0RI
st
= 1|X
t
)
_
= o +X
|t
[
0
+S
s
+I
t
+[
1
E
S0CC
st
+[
2
E
PAIL
st
+[
3
E
S0CC_01HLRS
st
+[
4
E
PAIL_01HLRS
st
+e
st
S
s
denotes the surgeon fixed effect. This allows us to account for unobserved surgeon-level
heterogeneity, including reputation, training and medical background. Some surgeons practice at more
than one hospital, we also include the hospital fixed effect, H
h
, which allows us to account for unobserved
hospital-level heterogeneity. The vector T
t
includes temporal factors, including time period when the
surgery was performed (specifically, a unique identifier for month and year of a procedure) as well as its
day of the week. The time fixed effect allows us to account for any changes in the underlying technology
over time. Our estimators of concern are
1
and
2
which capture the effect of an additional unit of
experience (i.e., one more single cardiac procedure) from a success and failure for surgeon s in reducing
the likelihood of risk-adjusted mortality for patient i at time t.
isht
is the random error term. Likewise,
3
and
4
capture the effect of learning from the failure or success of a co-worker in reducing the likelihood
of risk-adjusted mortality for patient i at time t. A larger negative value for
1
compared to
2
would
provide support for hypothesis H1. Similarly, a larger negative value for
4
compared to
3
would provide
support for hypothesis H2. We note that the above specification follows a long line of research in cardiac
risk stratification that link patient risk variables to outcomes using a logistic regression (see also,
Parsonnet, Dean, and Bernstein 1989; Higgins et al. 1992; Nashef et al. 2002). We augment this prior
work to examine the effect of cumulative individual failures and successes as well as those of others.
We next consider the interaction effects that we hypothesized earlier. Specifically, we are
interested in examining the moderating effect of individual success on individual failures, as well as the
moderating effect of the failures of others on the failures of individuals. The following empirical
specification includes these interaction terms:
ln_
Pi(H0RI
st
= 1|X
t
)
1 -Pi(H0RI
st
= 1|X
t
)
_
= o +X
|t
[
0
+S
s
+I
t
+[
1
E
S0CC
st
+[
2
E
PAIL
st
+[
3
E
S0CC_01HLRS
st
+[
4
E
PAIL_01HLRS
st
+y
1
E
S0CC
st
E
PAIL
st
+y
2
E
PAIL
st
E
PAIL_01HLRS
st
+e
st
1
captures the interaction effect of individual successes and failures. A negative value for
1
would provide support for hypothesis H3. Similarly
2
captures the effect of synergy (or lack thereof)
Tsikriktsis 2006). Some surgeons have experience prior to the start of our dataset and so a log-linear model is
preferred.
- 15 -
between individual failures and the failures of others. A negative value would provide support for
hypothesis H4.
Finally, for completeness, we use the empirical specification reported above, but include also the
interaction effect of individual successes and others successes:
3
E
SUCCst
x E
SUCC_OTHERSst
Attribution
theory would not lead us to a particular prediction for this coefficient. In this model,
3
captures the effect
of a possible synergy (or lack thereof) between individual successes and others successes. If individuals
are more likely to learn from collective successes, we would find a negative coefficient for the interaction
(
3
< 0); if the collective successes of others do not have such synergistic effects, then we would find a
non-significant effect.
4. Results
Our first hypothesis predicted that an individuals prior success would have a greater positive effect on
the individuals performance than her prior failure. Note that as our dependent variable is patient
mortality a negative coefficient is related to lower predicted mortality and therefore positive performance.
To test our first hypothesis, we examined the impact of ones own prior successes and failures on
individual learning. As shown in Table 2, we find that individual failure does not lead to an improvement
in surgical outcome, as demonstrated by the positive and statistically significant coefficient of cumulative
volume of minimally invasive surgical procedures (coefficient = 0.1709, p < 0.05). This corresponds to a
decline in surgical performance by 76% for a standard deviation increase in the number of unsuccessful
procedures for the surgeon. Individual success, instead, is associated with improved surgical outcomes,
as demonstrated by the negative and statistically significant effect for individual surgeon related
experience (coefficient = -0.00727, p < 0.05). This corresponds to an improvement in surgical outcome by
a factor of 46% for a standard deviation increase in the number of successful procedures for the surgeon.
The month and year fixed effects capture the effect of temporal improvements (e.g. through better
technology) during the period of study. Therefore, our individual surgeon estimates are obtained from
cumulative experience above and beyond these temporal factors. The patient-level controls, where
statistically significant, all have the expected signs. The coefficients for the effects of individual prior
success and individual prior failures are statistically different (p = 0.02), which provides support for the
hypothesis that individual prior success has greater positive effect on performance than does individual
prior failure.
Our second hypothesis predicted that the prior failures of other workers would have a greater
effect on an individuals performance than do the prior successes of others. We find that the failures of
others (coefficient = -0.0354, p < 0.1) have a significant beneficial effect in improving outcomes of
individual surgeons. When comparing the magnitude of these two effects on individual learning, we find
- 16 -
that the coefficient for the effect of prior failures of other workers is larger in magnitude that the
coefficient that captures the effect of prior successes of other workers (p = 0.08), which provides support
for Hypothesis 2.
Next, we examine our third hypothesis, which predicted that an individuals prior failures and
prior successes would have a positive, complementary effect on the individuals performance. To test this
hypothesis, in Table 3 (Model 1) we include the interaction effects between individual successes and
failures. As predicted by Hypothesis 3, we find that with each additional success, a failure offers greater
opportunity to learn (coefficient = -0.00189, p < .01). Finally, we consider the interaction effect of
individual failures and the failures of others to test our last hypothesis, which predicted that an
individuals prior failures and the prior failures of others would have a positive, complementary effect on
the individuals performance. Consistent with this hypothesis, we find (Model 2) that individual failures
and the failures of others interact to have a beneficial learning experience (estimate = - 0.00699, p <
0.01).
Finally, for completeness, we also consider the interaction effect of individual successes and the
successes of others even if we did not develop a specific hypothesis about the nature of this interaction.
As shown in Model 3 of Table 3, we do not find a statistically significant effect for this interaction term.
Thus, it appears that an individuals prior successes and the prior successes of others do not have a
complementary effect on ones own learning.
In order to rule out the possibility of patient selection as a possible driver of our results, we
examined the correlation between patient pre-operative risk and the failures of individual surgeons. The
pre-operative risk was obtained by using the patient and procedural risk factors to predict the mortality
rate. We find a lack of statistically significant correlation between the pre-operative mortality risk and the
previous failures for a given surgeon (p = 0.419), which rules out the possibility of a statistically
significant effect of patient selection or matching. As an additional check of robustness, we estimate the
cumulative successes and failures of surgeons at other hospitals. We then include these newly constructed
measures in our empirical specification. We find that the failures and successes at other hospitals do not
have a statistically significant effect on a surgeons learning. This rules out the possibility of other
industry or technology related confounders for our estimates.
5. Discussion and Conclusion
5.1 Discussion of Results
Research on organizational learning notes that prior experience with success and failure may
change an organizations motivation to learn as well as the knowledge acquired that enables learning
- 17 -
(Chuang and Baum 2003; Baum and Dahlin 2007; Madsen and Desai 2010). This rationale suggests that
failure will prove more consequential for learning than will success (Sitkin 1992; Cannon and
Edmondson 2005). However, attribution theory in psychology (Ross and Nisbett 1991; Gilbert and
Malone 1995) suggests that when considering learning from success and failure at the individual level, the
story may be more nuanced.
In this paper we examined how individuals learn directly from their own past experience, and
indirectly from the past experience of others. Drawing on attribution theory, we proposed that individuals
systematically misattribute the causes of their own and others successes and failures. Specifically, when
it comes to interpreting their own prior experience, they will tend to make self-serving attributions about
their own successes, believing that they are primarily the results of their abilities and actions. At the same
time, they will tend to attribute their failures to external factors, believing they were caused by something
outside of their control. This reasoning leads to our hypothesis that individuals will learn more from their
own prior successes than they will from their own prior failures. Our analysis using data from over 6,500
minimally invasive cardiac surgeries conducted by seventy-one surgeons supports this hypothesis. Not
only does individual prior success have a greater positive impact on learning than does individual prior
failure, but individual prior failure has a negative relationship with performance (controlling for initial
skills and talent).
We proposed that the attributions people make are just the opposite when they analyze the prior
experience of others. In this case, people attribute others failures to internal causes and others successes
to external factors. Consistent with the predictions from attribution theory, we find that the prior failures
of other surgeons have a greater effect on the surgeons learning than do the prior successes of other
surgeons. Together with the results about the effects of an individuals prior experience, these findings
indicate that individuals learn the most from their own successes and the failures of others possibly
because in both cases they attribute the outcomes to internal rather than external factors.
In addition to considering the main effects of success and failure for oneself and others we also
examine how individuals can overcome their inability (or unwillingness) to learn from their failures. We
proposed that individuals are more open to learning from their own failure when they experienced success
in the past and when they observed others fail. Consistent with this reasoning, our results show that an
individuals own prior successes have a positive, complementary effect on performance. This finding
indicates that individuals may be more open to reflect on their own failures and learn from them when
they have greater experience with success. One of the reasons why an individual may misattribute failure
experience is that such experience constitutes a potential threat to ones abilities and positive self-concept.
With greater prior successful experience an individual may perceive failure as less threatening to their
abilities and sense of worth, and therefore gain the potential to learn from such failure (c.f., Campbell and
- 18 -
Sedikides 1999). Additionally, with a greater amount of prior successful experience an individual may
have better information with which to interpret and learn from the failure.
Similarly, the interaction of an individuals failure and the prior failures of others has a positive
relationship with performance. We suggested that observing others fail is likely to change the way people
think about their own failures. Seeing failures in others makes failure not only more acceptable, but it also
makes ones own failure less threatening to ones own identity. In addition, the failure of others provides
valuable knowledge that can be used for ongoing problem solving. Thus, both ones own prior successes
and the failures of others render ones own failures less threatening to ones own sense of competence and
provide a the right terrain to overcome the failure to learn from ones own failures.
5.2 Theoretical Contributions and Managerial Implications
Our research makes several theoretical contributions to research in operations management,
organizational learning, and health care. First, as work grows increasingly fragmented more specialized
and divided into smaller tasks, the role of individuals in understanding organizational learning increases
in importance (Argote and Miron-Spektor 2011; Malone et al. 2011; Staats and Gino 2012). By focusing
the attention on individuals, we gain a more nuanced understanding of how success and failure influence
performance in organizations. While prior work has examined the impact of these two types of
experiences at the organizational level, we bring the study down to the level of an individual. In doing so,
we find that the effects of success and failure on organizational learning (Madsen and Desai 2010) follow
a different pattern at the individual level. By drawing on attribution theory, we hypothesize and find that
individuals learn more from their own success than from the success of others rather than the opposite.
Second, our research contributes to work on vicarious learning by studying how individuals learn from
the success and failure of others within their organization (i.e., hospital). Consistent with attribution
theory, we find that the failure of others has a greater positive effect on individual performance than does
others successful experience. Third, we examine how ones own prior experience and the experience of
others can alter the failure to learn from failure. Our results show that certain types of experience help to
counteract individuals errors of attribution and thus make them more open to learning from their failures.
Together, our results advance our understanding of individual learning by drawing on research in
psychology on attribution theory.
Our research has implications for healthcare and organizations more generally. Recent studies
suggest that despite the increased focus on medical errors and investigation, hospitals are not getting safer
(Landrigan et al. 2010). While we cannot draw a causal connection from our results to this finding, by
improving individuals ability to learn from prior experience it may be possible to also improve future
outcomes. Given that performance in healthcare is quite literally a matter of life and death, it is important
- 19 -
for individuals to learn from both their successes and failures. Existing inquiry boards and the potential
for legal liability may complicate the ability of an individual to learn from his own failures, and it thus
even more important for organizations to find ways to help individuals learn from their own mistakes.
While existing systems may help others to learn from an individuals failure, it seems necessary to design
systems that help an individual to learn from his own failure (Edmondson 1996; Edmondson 1999).
Our results also show that the past experiences of oneself and others may contribute to ones own
attempts to improve. Organizations may need to find other ways to make their members feel capable and
interpret failures in ways that do not threaten their self-image.
5.3 Limitations
Although our findings are robust to various empirical specifications, there are limitations that
should be noted. First, we are able to track the detailed chronological experience of all individuals in the
state of Massachusetts that completed the minimally invasive surgical procedure over a ten-year period of
time. Therefore, we can identify when one success or failure occurred before another; however, we cannot
know what information individuals actually observe amongst one another. Operating rooms are social
communities where information is commonly observed and shared; in addition, when failures occur in
hospitals they invoke inquiry boards to examine the events that led to a failure. Prior work at the
organizational level suggests that organizations may under sample failures and therefore draw incorrect
conclusions (Denrell 2003). While our reported results are statistically valid, future work can and should
explore what knowledge is known and shared under different conditions and also seek to identify the
precise micro-mechanisms at work.
Second, we focus our attention on one particular performance outcome, the quality of the surgery.
While this measure is commonly used in healthcare settings (e.g., Huckman and Pisano 2006; KC and
Staats 2012), and is clearly an important one given the stakes involved, future work could explore these
relationships by using other outcome measures. For instance, using data from software projects one could
use time of project completion and delivery compared to predetermined deadlines as the performance
measure. Similarly, in service settings, one could use customer satisfaction as the outcome measure.
Third, the surgical process is not completed by only the surgeon. There are other individuals in
the operating room providing assistance to the cardiothoracic surgeon. However, the cardiothoracic
surgeon is responsible for executing the critical surgical processes on the heart. As is the case in other
healthcare studies, we only have information about the surgeons, not the rest of the team (e.g., Novick and
Stitt 1999; Reagans et al. 2005; Huckman and Pisano 2006). Prior work notes that shared experience
between team members can improve performance (Edmondson et al. 2003; Huckman, Staats, and Upton
- 20 -
2009; Huckman and Staats 2011), and so an interesting future extension would be to explore how
familiarity between team members affects our reported results.
Fourth, prior work suggests that the effects from attribution theory are stronger in more
individualistic cultures as compared to more collective cultures for example, Western cultures, as
compared to Eastern cultures (Gilbert and Malone 1995). Future work should seek to explore how
learning from failure or success operate in different cultures.
Fifth, in our setting we are able to clearly distinguish between failures (i.e., the patient dies after
surgery) and successes (i.e., the patient survives). However, there are other sub-categories of success and
failure that warrant further study. One of them is near misses, defined as an experience that was almost
a failure, but ended up as a success. Prior research suggests that, as in the case of failures, organizations
often fail to learn from near-misses (Dillon and Tinsley 2008). While our data does not provide us with
this information, future research examining when and how individual learn from near-misses in the field
and in healthcare in particular would be valuable. A second subcategory is that of expected rather than
unexpected failures and successes. For instance, in a healthcare context, expected failure may result from
a complicated case that went wrong, while unexpected failure may result from an easy case that went
wrong. Examining the consequences for individual learning of both expected and unexpected failures (as
well as successes) could be valuable. The mortality rate in our data is 3%, which limits our ability to split
the sample to distinguish between expected and unexpected failures, and draw valid statistical inferences.
It is possible that the effects of attribution theory would be heightened for an individuals own expected
failure and weakened for unexpected failure. This is a possibility that future research could investigate in
other contexts where expected and unexpected failures (or success) are equally likely. One such context
could be sports, where teams often have information about the competitors they are about to play and can
form expectations about their likelihood to beat them. An additional, related question for further
examination involves the probability of success versus failure. In our setting success is more likely than
failure. How might our results change if success was rare and failure was common (e.g., searching for a
cure for cancer)?
Finally, another limitation is related to individual differences across surgeons. While we have
anonymous surgeon identifiers in our dataset in order to control for individual-level fixed effects, it is
possible that specific individual differences among surgeons could provide further explanatory power in
our regressions. We do not have such information, but future work could examine whether factors such as
gender or educational background have differential effects for the relationships we investigated in the
paper.
- 21 -
5.4 Directions for Future Research
Each of the results we summarized above suggests interesting venues for further investigation.
For instance, the findings about the influence of ones own prior successes and failures on individual
learning point to at least two areas that warrant further study regarding possible ways to increase learning
from individual failure. First, future research could investigate how organizations or teams can encourage
individuals to learn from their own failures (Sitkin 1992; Edmondson 2011). By building a culture of
psychological safety (Edmondson 1999), organizations and teams alike can assure that members will be
more willing and likely to take risks, but it is unclear whether such efforts can also increase members
self-reflection and willingness to learn from their failures. Possibly, psychologically-safe environments
may also reduce members self-enhancement motives and positive self-views (Taylor and Brown 1988;
Dunning 1999) in the face of their own failures. Future studies examining these possibilities would
further our understanding of how individuals can effectively learn from their own failures. Second, future
work could examine what individual characteristics or feelings may influence (and possibly reduce) the
effects of ones own success on performance that we observed. Experiencing success may lead
individuals to experience feelings of power or control, and, as a result, also overconfidence (e.g., Tost,
Gino, and Larrick 2012). Overconfidence may blind individuals from asking questions related to why
they obtained the results they achieved (Gino and Pisano 2011) and could also lead them to discount their
own failures. As a result, both factors may prevent them from learning.
The findings regarding the effects of the prior experience of others on ones own learning also
raise a number of questions that warrant additional exploration. Attribution theory predicts that people
will be more likely to learn from others failures rather than others successes, since they will focus on the
actions and abilities of others as the main cause of failure. This faulty attribution may create unintended
side effects in the case in which individuals are members of a team or of an organization. Interpreting
ones own failures as caused by situational factors while attributing other members failures to their
abilities may raise conflict and thus lead to decreases in both knowledge sharing among members and
knowledge integration. In turn, these factors are likely to negatively impact future team performance (e.g.,
Gardner, Gino, and Staats 2012). Additionally, our results raise the possibility that individuals may fail to
learn as much as they can from the successes of others (Gino and Pisano 2011). If an individual writes off
the success of other members as a function of the situation (anyone could have done it), then they waste
a valuable opportunity to learn. Examining environments where individuals in the team or organization
treat the successes and failures of others as equally important sources of information and knowledge
could be an area of further research.
Finally, the findings regarding how an individuals own successes as well as the failures of others
can help people overcome their inability to learn from failure also point to venues for further work that
- 22 -
examines in more details how exactly these mechanisms might work. We suggested that both types of
experience reduce the potential that individuals will find their failures threatening. However, our data did
not allow us to examine the emotional and psychological consequences of experiencing failure, nor how
such experience may differ when one reflects on past successes or past failures of others. Understanding
the micro-mechanism behind these effects through controlled laboratory studies may further advance our
understanding of how individuals can internalize their failures and effectively learn from them.
Our hope is that our findings will inspire future research on these questions as well as related
others. By using a variety of empirical approaches, including laboratory and field experiments as well as
qualitative work, future investigations can help to shed further light on the drivers of individual learning.
- 23 -
Tables
Table I
Patient Summary Statistics
Variable Mean Standard Deviation Median
Risk Adjusted Mortality 0.0353 0.06625 0.0122
Age 67.53 11.16 69
Gender (Female = 1) 0.287 0.453 0
Charlson Score 0.909 1.034 1
Cerebrovascular Disease 0.0904 0.287 0
COPD
0.157 0.364 0
Diabetes 0.290 0.454 0
Diabetes with Complications 0.0517 0.221 0
Chronic Renal Failure 0.050 0.218 0
Incidence of Myocardial
Infarction
0.292 0.454 0
PTCA 0.0395 0.195 0
N=6516 Patients
- 24 -
Table II
Effects of Cumulative Successes and Failures on Outcome
Estimates (Standard errors in parentheses)
Individual Cumulative Failure 0.1709 (0.077) **
Individual Cumulative Success -0.00727 (0.0036) **
Others Cumulative Failure -0.0354 (0.0197) *
Others Cumulative Success -0.00019 (0.00162)
Surgeon Fixed Effect Yes
Hospital Fixed Effect Yes
Time Fixed Effect (Month, Year) Yes
Day of Week Yes
Patient Race Yes
Patient Age Yes
Patient Gender Yes
Charlson Score Yes
Cerebrovascular Disease Yes
COPD
Yes
Diabetes Yes
Diabetes with Complications Yes
Chronic Renal Failure Yes
PTCA Yes
Previous Myocardial Infarction Yes
Length of Stay Yes
Number of Vessels Bypassed Yes
Likelihood Ratio (Pro > ChiSq) < 0.0001
N = 6516 Asymptotic standard errors clustered by surgeon in parentheses * 10% Statistical Significance, ** 5 %
Statistical Significance, *** 1 % Statistical Significance
- 25 -
Table III
Interaction Effect of Cumulative Successes and Failures on Outcome
(1) (2) (3)
Individual Cumulative Failure 0.521 (0.099) *** 0.458 (0.139) *** 0.707 (0.159) ***
Individual Cumulative Success 0.00097(0.00378) -0.00951 (0.00336)*** -0.0109 (0.00933)
Others Cumulative Failure - 0.0263 (0.022) 0.014 (0.0223) 0.013 (0.0288)
Others Cumulative Success -0.0076 (0.00163) -0.00015 (0.00017) -0.00216 (0.00299)
Individual Cum. Success x
Individual Cum. Failure
-0.00189 (0.0003) *** - -0.0014 (0.0006) **
Individual Cum. Failure x
Others Cum. Failure
- -0.00699 (0.00226)*** -0.00618 (0.0034) *
Individual Cum. Success x
Others Cum. Success
- - 0.000013 (0.000015)
Surgeon Fixed Effect Yes Yes Yes
Hospital Fixed Effect Yes Yes Yes
Time Fixed Effect (Month,
Year)
Yes Yes Yes
Day of Week Yes Yes Yes
Patient Race Yes Yes Yes
Patient Age Yes Yes Yes
Patient Gender Yes Yes Yes
Charlson Score Yes Yes Yes
Cerebrovascular Disease Yes Yes Yes
COPD
Yes Yes Yes
Diabetes Yes Yes Yes
Diabetes with Complications Yes Yes Yes
Chronic Renal Failure Yes Yes Yes
PTCA Yes Yes Yes
Previous Myocardial Infarction Yes Yes Yes
Length of Stay Yes Yes Yes
Number of Vessels Bypassed Yes Yes Yes
Likelihood Ratio (Pro > ChiSq) < 0.0001 < 0.0001 < 0.0001
N = 6516 Asymptotic standard errors clustered by surgeon in parentheses * 10% Statistical Significance, ** 5 %
Statistical Significance, *** 1 % Statistical Significance
- 26 -
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