Growing Research in New Universities

Dr Ellen HazelkornIMHE/OECD, Paris and DIT, Dublin

‘Managing the University Community -– Building a Research Strategy and Funding It’

EUA conference, Barcelona, June 2004

Themes of Presentation

Context

Institutional Research Strategy

‘Best Practice’

Policy Implications for Government and Higher Education

1. Context

For the first time, a really international world of learning, highly competitive, is emerging. If you want to get into that orbit, you have to do so on merit. You cannot rely on politics or anything else. . .  

Research is a core element of the mission of higher education. The extent to which higher education institutions are engaged in research and development activities has a key role in determining the status and the quality of these institutions and the contribution, which they make to economic and social development.

HE Research as Economic Driver

Global knowledge-economy → Strategic importance of national research strategy

National and regional development → production of new knowledge, knowledge transfer and economic performance

Role and mission of HE → task of growing research capability and capacity no longer optional

Innovation, application and knowledge specialization competitive advantage and performance

Institutional Context

National and regional economy

Institutional history and development

Research experience, capability and capacity

HE system and role of individual HEIs

Challenges of Growing Research

Poor institutional infrastructure

Limited scale and critical mass

Academic staff often without necessary prerequisites

Not traditionally resourced for research

Academic workload tensions

New disciplines without research tradition

2. Institutional Research Strategy

‘Sustain academic and professional reputation in knowledge-based economy’

‘Align academic activities with economic development of region’

‘Retain and improve position’

‘Attract and retain high quality faculty and students’

‘Maintain cutting-edge curriculum’ and ‘create stimulating learning environment’

Why do Research?

Identifying Institutional Goals

Research informed

Research based

Research active

Research led

Research intensive

Strategic Planning and Priority-setting

Shape what should do, not simply what can or are best equipped to do

Optimal use of scarce resources (financial, human and physical)

Align institutional competencies with external environment and national aspirations

Balance existing capability with potential and opportunities

Priority-setting Process

Centralised or top-down: priorities and funding are determined by Pro-Vice Chancellor for Research

De-centralised or bottom-up: priorities set by individual researchers or departments

Combination: priorities set via involvement of different vertical levels of university personnel, boards and groups

Identifying Objectives

To grow research capability and capacity

To ensure strong research-teaching nexus

To link research to wider societal responsibilities

To increase and allocate resources to facilitate productivity and reward excellence

To establish research clusters/centres of excellence

To enhance institutional status and mission

Identifying Priorities

Applied research Industry-related Basic research

Institutional significance Collaboration Interdisciplinary Regional or local significance New or emerging domain Creative practice

Defining Research

‘Our main focus is applied research…with outcomes in consulting and experimental production.’

‘We normally use the term research and other scholarly activities…’

‘For government, we distinguish between basic and applied research and development. However, our activities are so diversified …’

‘Our research strategy is built around making a difference to all R&D partners – be they enterprises, industry sectors, government or communities. . .’

Widening the Definition of Research

Basic vs applied

Disciplinary vs interdisciplinary (Mode 1 vs Mode 2)

Professional and creative practice

Knowledge and technology transfer

Research vs Scholarship – Research and Scholarship?

Organizing Research (1)

T = R Inclusive departments

T & R Departments + units/centres

T R Departments + autonomous centres

T R University + autonomous institutes

Organising Research (2)

Determining the teaching and research nexus

Distinguishing between ‘discipline oriented’ and

‘problem solving’ research

Linking research/commercialisation to society via

boundary-crossing units

Building collaborative research teams with other

universities, research labs, industry, organisations, etc.

Building Competence

Recruit

Re-invigorate

Train

Re-orient

Enable

Incentives and Rewards

Greater research time

Targeted grants

Promotional opportunities

Enhanced facilities

Internships with industry or other partners

Salary increases

Sabbatical leave

Research Office

Professional One-stop Shop

Financial and budget advice

Identify funding opportunities

Project preparation

Project management

Research training and mentoring

Ph.D. programmes

Intellectual property and commercialisation advice

Financing Research

Government funding is declining

Rise in competitive external funding

Diversify funding base

Income generation via consultancy, services,

commercialisation, IP

Investment strategies

Resource Allocation Model

Criteria influenced by national/international benchmarks

Institute or faculty assessment panels

Peer-review publications, research income, citations, PhDs

Role of professional or creative practice? consultancy?

Formulaic funding to match institutional/national objectives and priorities

Difficulties Encountered

Institutional ethos

Rigidity or lack of flexibility

Faculty response

Funding

Numbers of researchers

Speed by which decisions implemented

Evaluation process

3. ‘Best Practice’

What Works

Director/Pro-Vice Chancellor for Research

Research office

Research strategy and management plan

Priority-setting and evaluation process

Research units/centres with special resources

Indicative Research Structure

V-P Research

Research StrategyCommittee

Research OfficeTechnology Transfer

Office

Research Centres and Units

Science Parks and Incubator Centres

Graduate Students

Research Active Faculty

Targeted Approach

Invest

Aggressive use of performance indicators

Limited number of research priorities

Research teams/centres

‘Graduate School’

Strategic alliances and collaboration

Align funding, recruitment, etc. to priorities

Building a ‘Culture of Scholarship’

Not everyone needs to be involved in research

Policies should enhance nexus between research and teaching

Range of services, awards and rewards to encourage and facilitate research should be introduced

Wider definition of scholarship, rather than a traditional dichotomous view of basic and applied, would provide more encouraging environment

Strategic Choices

Recruit or grow?

T+R vs T/R?

Research culture vs culture of scholarship?

Individual researchers vs research teams?

Targeted/niche vs seed-corn/universal funding?

Institutional funding vs competitive funding?

Decentralised vs centralised management structure?

Process of Growing Research

Context Strategy Organisation

Global knowledge economy

National & regional economy

HE system & investment

HEI history & experience

Evaluation & benchmarking

Strategic plan & priority setting

Match competences with niche

Investment strategy

Align funding, recruitment to priorities

RAM

Alliances & collaboration

V-P Research

Research & KT/TT Office

Research teams & centres

‘Science parks’

Graduate School

HR policies

Infrastructure

Government vs HEI Mission? Teaching vs Research vs Scholarship? World-class vs National vs Region; S&T vs SS&H

4. Policy Implications for Government and Higher Education

Two Scenarios

Few research universities concentrate all world class research across all disciplines; rest concentrate on undergraduate or professional teaching with limited locally relevant applied research.

Spread of teaching and research excellence with universities as ‘main proximity knowledge providers’ driven to specialise because of relevance and competences.

Late-developers and Newcomers

Barriers or restricted barriers to entry

Disadvantages of starting late from poor base

Market forces devastating impact on late developer or newcomer

Close relationship between policymakers and dominant groups

Criteria and rules for research funding are antipathetic to new HEIs

Policy Initiatives (1)

Underpin and build on diverse university missions in research and innovation

Enhance regional/spatial strategy: innovation networks, learning regions, community engagement

Widen funding metrics to support research (basic and applied), creative/professional practice, knowledge and technology transfer

Investment strategy to grow research capability and capacity

Policy Initiatives (2)

‘Head-start’ grants to overcome late development

Target staff development, mobility and HR strategies

Support research training and career development Strengthen institutional/research management and

leadership

Principal Conclusions

Important challenges impeding late-developers and newcomers

Market conditions not sufficient to meet/overcome challenges

New knowledge production requires new structures & frameworks

Role of government and policy instruments is critical

Barriers to entry rising

Gap widening between ‘research rich’ and ‘research poor’

ellen.hazelkorn@dit.ie

www.oecd.org/edu/higher