Growing Research in New Universities Dr Ellen Hazelkorn IMHE/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 Strategy Committee Research Centres and Units Science Parks and Incubator Centres Graduate Students Research Active Faculty Research Office Technology Transfer Office

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 ContextStrategy 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’