The RECORD Manual A Methodology for Benchmarking Innovative Research Organisations in Accession Coun

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The RECORD ManualA Methodology for Benchmarking
Innovative Research Organisations in Accession
Countries

• CENTRIM
• Dr Theo Papaioannou
• On Behalf of the RECORD Network Members

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The RECORD Project

• Objective assist learning of benchmarking RTDI
  organisations
• Focus organisational and not policy levels
• Participants research organisations from CEECs
  countries and research institutes from Western
  Europe
• Output 4 workshop Proceedings during 2002-2004,
  A Manual of Benchmarking, and An Experimental Map

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Fundamental Concepts

• Benchmarking a management tool that can be used
  to measure performance of different organisations
  and identify good practices.
• Innovation the successful production,
  assimilation and exploitation of novelty in the
  economic and social spheres (EC 2003).
• Research and Technology Development and
  Innovative (RTDI) Organisations generate,
  utilise and diffuse knowledge, providing RD and
  technology services to companies and the public
  sector.
• Centres of Excellence (CoE) public or private
  research and technology development organisations
  that have had substantial knowledge input into
  important (European/International) innovations
  that contribute to domestic value added, welfare
  and quality of life

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Types of CoE

• International CoE have substantial knowledge
  input to international-market oriented
  innovations.
• National CoE bring substantial value added for
  and mostly with the domestic economy.
• CoE Specialised for a Market Niche highly
  innovative centres with international and
  national impact

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Areas of Benchmarking Focus

• Knowledge Generation enable the development of
  new scientific knowledge. Processes include
  particular research activities and attitudes.
• Knowledge Utilisation refer to formal and
  informal processes through which an RTDI
  organisation utilises research results. They
  include in-house utilisation, platforms of close
  collaboration with industry, particular
  operational structures of research
  commercialisation etc.
• Knowledge Diffusion formal and informal
  processes through which basic and applied
  research results become public. They include
  undergraduate and postgraduate taught programmes,
  workshops, conferences, publications, etc., but
  also selling the knowledge product on the
  broadest possible market.

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Types of Benchmarks

• Qualitative Benchmarks to identify Good Practises
  within RTDI Organisations
• Quantitative Benchmarks to measure performance of
  RTDI Organisations

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Factors of Influence

• Internal Factors under the direct control of an
  RTDI organisation.
• Negotiated Factors over which an organisation
  has some limited influence.
• External Factors outside the influence of an
  organisation.

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GENERAL BENCHMARKS

• Socio-Economic and Policy Context knowledge
  processes always depend on the socio-economic and
  policy context within which the organisation
  operates. The context can either result
  positively or negatively for the analysed
  organisation.
• Mission and Values the mission and value system
  of the RTDI organisation indicate the general
  principles and objectives, which guide research
  activities and organisational processes.

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Cases Collected on General Benchmarks
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INTERNAL FACTORS (1)

• Critical Mass
• Skilled Researchers the benchmark linked with
  human resources is highly skilled researchers and
  the share of highly skilled researchers as
  compared with the total number of researchers.
• Infrastructure Standardised equipment, library
  facilities, laboratory space, journal
  subscriptions and standardised computer time
  would all be possible measures (Frascati Manual
  (2002) for collecting data on research
  infrastructure.
• RD Investment Intramural expenditures are all
  RD expenditures for RD performed within the
  research organisation during a specific period.
  Both current and capital expenditures are
  included. Expenditures made outside the research
  organisation but in support of internal RD are
  also included (Frascati Manual 2002)

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Cases Collected on Critical Mass Benchmarks
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INTERNAL FACTORS (2)

• Progressive Management
• Defined Strategy determines the way the mission
  is implemented.
• Strategic Management aims at implementing the
  strategy.
• Project Management refers to the practice when
  there are leaders assigned to the research
  projects.
• Leadership A leader can direct an RTDI
  organisation towards particular knowledge
  processes.
• ICT Infrastructure indicates the extent to which
  ICT equipment and networks, can influence the
  knowledge processes.
• Image Building influencing the socio-cultural
  and economic environment and strengthening the
  prestige can substantially contribute to the
  success of the RTDI organisation.

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Cases Collected on Progressive Management
Benchmarks
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INTERNAL FACTORS (3)

• Good HR Management
• Training and Staff Development Organisations in
  which research and administration staff regularly
  update their skills appear to do better than
  organisations in which employees do not update
  their knowledge.
• Career Development Plans refers to the planning
  of future human resource (HR) needs in line with
  the internal development of competences and
  responsibilities.
• Age Profile employing younger or staying
  attractive to young researchers is a strategic
  issue for future development.
• Flexible Organisational Structure adapt to new
  internal or external environments and changes in
  accordance with emerging organisational needs.

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Cases Collected on Good HR Management Benchmarks
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INTERNAL FACTORS (4)

• Creative and Innovative Team
• Innovations the RTDI organisation had
  substantial contribution to an innovation if at
  least 1/3 of the new knowledge comes from the
  RTDI organisation.
• Patents the total number of patents granted, the
  number of domestic patents granted and the number
  of international patents granted.
• ISI Publications society publication counts and
  citation counts are the most frequently used
  journal-based bibliometric indicators.
• Research Projects projects that had been
  finished in the last 3 years and the total budget
  of which exceeded EUR 20,000.
• Spin-Offs data collection on spin-off creating
  past and potential.
• PhD Supervision The number of Ph.D. students,
  who received supervision from the organisation
  and acquired their Ph.D. degree.
• Awareness for Knowledge Diffusion influences
  positively the performance.

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Cases Collected on Creative and Innovative Team
Benchmarks
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NEGOTIATED FACTORS (1)

• International Research Mobility
• Foreign Researchers Hosted the total number of
  foreign researchers hosted for more than 1.5
  months in the last 3 years.
• Own Researchers Abroad the total number of own
  researchers sent abroad for more than 1.5 months
  in the last 3 years.

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Cases Collected on Research Mobility Benchmarks
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NEGOTIATED FACTORS (2)

• Links with Users
• Research Financed on Competitive Basis
  composition of financial resources available for
  research indicate innovation focus.
• Learning From Firms-Industrial Input depends on
  the good will of a research organisation and its
  scientific staff but also on the interests of
  firms.
• Attitude of Researchers Towards Industry depends
  on research values within Centres of Excellence
  but also on how industry perceives research
  organisations.
• Market Responsiveness indicates whether
  responses of the market towards particular
  research developments forces organisations to
  improve their knowledge processes.
• Pricing Policy and its Implementation is a
  benchmark for the competitiveness position of
  research undertaken in a CoE.
• Networking is a particular institutional
  activity for the success of knowledge processes.
• International Consulting the number of
  consulting projects performed at the request of
  an international or national organisation
  indicates whether knowledge of the RTDI
  organisation is part of the international
  'bloodstream' of scientific and technology.

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Cases Collected on Links with Users Benchmarks
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NEGOTIATED FACTORS (3)

• Government Lobbying
• Links to Policy Making can be an important
  qualitative success factor.
• Government Commitment commitment towards the
  financial support of RTDI but also commitment
  towards the institutional support of knowledge
  processes
• Good Financial Position
• Consistent Funding without the continuous
  financial support from governments, some RTDI
  organisations in the Accession States would be
  unable to operate.

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Cases Collected on Benchmarks for Lobbying and
Financial Position
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EXTERNAL FACTORS (1)

• Advanced Stage of Transition
• Independence of RD from Political Parties
  because of the substantial government funding in
  RTDI, in many Accession States politicians have
  influence on shaping the RD sector.
• Independence of Corporate Decisions because of
  the incomplete transition process, there are
  industrial and service branches still dominated
  by the state.
• Functioning Market for fin Innovation A
  well-functioning capital market for financing
  innovation can be a catalyst for increased
  innovation processes.
• Stable Policy Environment long-term decisions on
  innovations require a stable policy environment,
  i.e. stable governmental policies towards
  institutional and financial support of knowledge
  processes.
• Innovation Friendly Policy policies such as
  development of telecommunication infrastructure
  and policy backing of RTDI organisations are
  important for innovation.

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Cases Collected on Benchmarks for Advanced Stage
of Transition
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EXTERNAL FACTORS (2)

• Sectoral and National Economy Decisions
• Demanding Users force research organisations to
  create or improve organisational processes
  through which research results can be utilised.
• Favourable Industry (Sectoral) Conditions is a
  benchmark that has a generally favourable impact
  on the context in which the RTDI organisation
  operates.
• Stable Macroeconomic Conditions have made a
  positive impact on the knowledge processes in the
  Accession States.

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Cases Collected on Benchmarks for Sectoral and
National Economy Conditions
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Thank you for your attention