Alan Pettigrew11 August 2013 Issue No:282
It is commonly acknowledged that nations are reliant on the capacity of their society to find solutions to problems, improve knowledge and transfer this knowledge into innovations that provide economic and social benefit. It is also well known that there is considerable variation in national capacity in these endeavours, especially in developing economies. The OECD’s IHERD project set out in part to document the state of the world ‘knowledge economy’.
It is also well known that there is considerable variation in national capacity and capability in these endeavours throughout the world, especially in developing economies. There are many reasons why this is the case, not the least of which are variations in political history over many years and the availability of resources that can be applied to processes of discovery and innovation.
The OECD’s project on Innovation, Higher Education and Research for Development – IHERD – which has been sponsored by the Swedish International Development Cooperation Agency, set out in part to document the current state of the world ‘knowledge economy’, particularly in the period since the global economic disruption of 2008-09.
This part of the study observes that there has been a realisation by governments that “policies for research, innovation and tertiary/higher education have assumed new levels of importance as essential components for national development” (Kearney 2013: Chapter 2 in Olsson and Meek 2013. OECD Publishing – forthcoming).
In today’s world, the challenges that arise for many nations include determining the level of resources to be applied to these systems, as well as organisational and operational parameters of their systems and the capacity of the research and innovation workforce.
The effectiveness of leadership and management at many levels is a primary factor that affects the outcomes of investment in research and innovation systems. But what are the skills and knowledge required to be an effective leader and manager in these systems? How uniformly are these skills and knowledge applied?
There is an increasing level of international interest in the provision of training and development programmes for research leaders and managers. In another part of the IHERD study, the range of such development programmes with a web presence was determined through an internet search (Barros de Barros 2013: Appendix C in Olsson and Meek 2013. OECD Publishing – forthcoming).
This information formed the basis for a third aspect of the IHERD study, namely, compiling a typology of knowledge and skills required for effective management of research and innovation (Pettigrew et al 2013: Chapter 3 in Olsson and Meek 2013. OECD Publishing – forthcoming).
The aim of this part of the overall IHERD project was to document a conceptual base against which the current practices in selected countries could be compared, which was the fourth component of the project (Olsson and Meek 2013. OECD Publishing – forthcoming).
The outcome of all this work so far is informing the next stage of development of a project to assist countries where there is an identified need to enhance development of leadership and management in research and innovation, as a foundation for their longer term economic and social growth.
With these overall aims in mind, the authors of the typology were conscious of the variations that occur between institutions in different countries that have very different political systems, cultures and histories. Thus, the typology is not a one-size-fits-all outcome but represents an attempt to compile the myriad factors that need to be considered in providing leadership in research and innovation.
Where does leadership and management of research and innovation start?
In compiling this typology, the authors agreed to adopt a top-down approach and that leadership at government level was the place to start.
This was based on the premise that research and innovation systems are dependent on policy settings, regulatory frameworks, and public funding by governments, all of which are strong determinants of the operation and effectiveness of institutions and agencies where research and innovation is conducted.
Theme 1 of the typology posits that governance and leadership of research and innovation by government requires broad knowledge and skills in understanding the implications of decisions on funding levels, the methods of determining the distribution of funding (for example, by simple allocation or through performance-based mechanisms that are based on input and output factors of varying credibility and value), and the feasibility and applicability of regulatory and reporting requirements.
In today’s globalised world of research, government officials also need to have skills and knowledge in the complexities of international financial, tax and intellectual property environments.
The role of governments in establishing legislative or regulatory instruments governing ethics, integrity and conduct of research are all matters that require an understanding and close knowledge of research and research processes, as well as an understanding of the inherent drivers, passion and commitment of researchers and innovators.
Leadership of research in institutions forms Theme 2 of the typology and includes seven main areas where both skill and knowledge are required. While the typology is principally concerned with research and innovation in public institutions, many of the principles outlined are equally applicable to leadership in private or commercial research entities. These include:
Management to support leadership of research in institutions is Theme 3 of the typology. Consistent with many texts that draw out the differences between leadership and management, Theme 3 comprises a range of areas where skills and knowledge in management are fundamental and essential to the success of any research institution. These include:
The next three themes of the typology deal with the more personal aspects of leadership and management in research and innovation.
In summary, Theme 4 concerns the skills and understanding required to provide leadership of researchers in institutions. These are creative, imaginative and often passionate individuals who are committed to their chosen area of enquiry.
Starting at the beginning of the usual research career, leaders need to ensure that research students have access to programmes for induction to research practice, methods, regulatory requirements and report writing, as well as preparation of grant proposals, dealing with intellectual property, preparing publications and developing communication and entrepreneurial skills. For newly independent researchers, continued mentoring and development programmes should be available, along with training in supervision and other staff responsibilities.
Leadership of these and more established researchers in an institution is founded on many factors that often include consideration of mechanisms for recognition and reward. These can vary in number, form and value, but they must all be applied fairly and through proper process. Leaders should ensure that all staff are aware of their roles, responsibilities, reporting requirements and the expectations required of them in the context of the institution’s plans and aspirations.
The more challenging aspect of leadership in research comes when strategic change due to internal or external factors is required that affects any number of staff. Leadership skills in these circumstances include honesty, engagement, planning, communication and empathy.
In terms of Theme 5, Management to support leadership of researchers, the typology identifies 23 primary activities and a range of related activities that are usually undertaken by specialist management staff in organisational units such as a postgraduate research office or a human resources unit. The functions relate to all aspects of student and staff administration, support and advice and it is a responsibility of leaders to ensure that these are in place and operating effectively.
The final Theme 6 of the typology concerns the personal behaviours and qualities of research leaders and managers. These ‘skills’ are often, but not always, innate and many of them are learned through experience. Many of these skills are also found in the private or commercial sector.
The challenge for leaders in research institutions is that the personal and professional aspirations and competitiveness among staff are prominent in a situation where cooperation and collegiate behavior is required. Above all, showing respect is paramount.
Other factors include setting and monitoring performance expectations with honest and regular appraisal, providing feedback, being transparent and consistent in decision making, dealing effectively with misconduct, and delegating with trust. Leaders must also, among many other things, fully accept the responsibility and accountability of their position and demonstrate honesty and integrity.
Conclusion
It is anticipated that the typology will be helpful in defining the requirements for the development of skills in leadership and management of research in many settings.
Even when different national histories, economic and political circumstances and cultural issues are evident, the basic feature of research and innovation systems is that they are all dependent on the intellectual input, drive and commitment of people. There are many features of the typology that are common to these human dimensions, regardless of other circumstances.
In the next stage of the SIDA-funded project, the typology will form the basis of leadership and management award courses to be offered in selected countries in Africa and South East Asia at policy and institutional levels.
The award courses will be developed jointly by the University of Lund in Sweden and the LH Martin Institute at the University of Melbourne in Australia. More information on these courses will be made available shortly on the LH Martin website. Further information on the IHERD project to date can be found here, and the full documents referred to above will be available soon on the OECD website.
* Alan Pettigrew is a professorial fellow of the LH Martin Institute at the University of Melbourne, an adjunct professor at the Australian National University, and an adviser to the Chief Scientist of Australia. He was formerly the inaugural CEO of Australia’s National Health and Medical Research Council and vice-chancellor and CEO at the University of New England.
It is also well known that there is considerable variation in national capacity and capability in these endeavours throughout the world, especially in developing economies. There are many reasons why this is the case, not the least of which are variations in political history over many years and the availability of resources that can be applied to processes of discovery and innovation.
The OECD’s project on Innovation, Higher Education and Research for Development – IHERD – which has been sponsored by the Swedish International Development Cooperation Agency, set out in part to document the current state of the world ‘knowledge economy’, particularly in the period since the global economic disruption of 2008-09.
This part of the study observes that there has been a realisation by governments that “policies for research, innovation and tertiary/higher education have assumed new levels of importance as essential components for national development” (Kearney 2013: Chapter 2 in Olsson and Meek 2013. OECD Publishing – forthcoming).
In today’s world, the challenges that arise for many nations include determining the level of resources to be applied to these systems, as well as organisational and operational parameters of their systems and the capacity of the research and innovation workforce.
The effectiveness of leadership and management at many levels is a primary factor that affects the outcomes of investment in research and innovation systems. But what are the skills and knowledge required to be an effective leader and manager in these systems? How uniformly are these skills and knowledge applied?
There is an increasing level of international interest in the provision of training and development programmes for research leaders and managers. In another part of the IHERD study, the range of such development programmes with a web presence was determined through an internet search (Barros de Barros 2013: Appendix C in Olsson and Meek 2013. OECD Publishing – forthcoming).
This information formed the basis for a third aspect of the IHERD study, namely, compiling a typology of knowledge and skills required for effective management of research and innovation (Pettigrew et al 2013: Chapter 3 in Olsson and Meek 2013. OECD Publishing – forthcoming).
The aim of this part of the overall IHERD project was to document a conceptual base against which the current practices in selected countries could be compared, which was the fourth component of the project (Olsson and Meek 2013. OECD Publishing – forthcoming).
The outcome of all this work so far is informing the next stage of development of a project to assist countries where there is an identified need to enhance development of leadership and management in research and innovation, as a foundation for their longer term economic and social growth.
With these overall aims in mind, the authors of the typology were conscious of the variations that occur between institutions in different countries that have very different political systems, cultures and histories. Thus, the typology is not a one-size-fits-all outcome but represents an attempt to compile the myriad factors that need to be considered in providing leadership in research and innovation.
Where does leadership and management of research and innovation start?
In compiling this typology, the authors agreed to adopt a top-down approach and that leadership at government level was the place to start.
This was based on the premise that research and innovation systems are dependent on policy settings, regulatory frameworks, and public funding by governments, all of which are strong determinants of the operation and effectiveness of institutions and agencies where research and innovation is conducted.
Theme 1 of the typology posits that governance and leadership of research and innovation by government requires broad knowledge and skills in understanding the implications of decisions on funding levels, the methods of determining the distribution of funding (for example, by simple allocation or through performance-based mechanisms that are based on input and output factors of varying credibility and value), and the feasibility and applicability of regulatory and reporting requirements.
In today’s globalised world of research, government officials also need to have skills and knowledge in the complexities of international financial, tax and intellectual property environments.
The role of governments in establishing legislative or regulatory instruments governing ethics, integrity and conduct of research are all matters that require an understanding and close knowledge of research and research processes, as well as an understanding of the inherent drivers, passion and commitment of researchers and innovators.
Leadership of research in institutions forms Theme 2 of the typology and includes seven main areas where both skill and knowledge are required. While the typology is principally concerned with research and innovation in public institutions, many of the principles outlined are equally applicable to leadership in private or commercial research entities. These include:
- Maintaining awareness of local, national and international policy
settings, funding and collaborative opportunities, and general trends in
research and innovation, as well as institutional capacity, capability
and performance.
- Maintaining and supporting strong institutional governance and oversight.
- Planning for the development and future operations of the institution, with the support of the staff and the governing body.
- Implementing institutional change, with appropriate attention
to workforce and infrastructure requirements that are aligned with the
agreed plans and timeframes for achieving outcomes.
- Creating and maintaining a strong research culture and ethos that supports integrity in research.
- Identifying and dealing with risks inherent in research and research environments.
- Communication with staff, stakeholders, benefactors, communities and governments.
Management to support leadership of research in institutions is Theme 3 of the typology. Consistent with many texts that draw out the differences between leadership and management, Theme 3 comprises a range of areas where skills and knowledge in management are fundamental and essential to the success of any research institution. These include:
- Establishing an effective and efficient structure of organisational units within the institution that will facilitate achievement of outcomes and encourage collaboration while meeting appropriate management and operational requirements.
- Establishing an effective and efficient executive and
management support structure with clearly defined and documented roles,
responsibilities and reporting requirements.
- Establishing an effective and efficient committee structure
that meets, and does not exceed, the needs for consultative and
communicative decision making.
- Ensuring that research management and administration is
effective, efficient and appropriate to meet institutional needs and
external reporting requirements; the typology identifies 31 primary
activities in this category, and a range of related activities.
The next three themes of the typology deal with the more personal aspects of leadership and management in research and innovation.
In summary, Theme 4 concerns the skills and understanding required to provide leadership of researchers in institutions. These are creative, imaginative and often passionate individuals who are committed to their chosen area of enquiry.
Starting at the beginning of the usual research career, leaders need to ensure that research students have access to programmes for induction to research practice, methods, regulatory requirements and report writing, as well as preparation of grant proposals, dealing with intellectual property, preparing publications and developing communication and entrepreneurial skills. For newly independent researchers, continued mentoring and development programmes should be available, along with training in supervision and other staff responsibilities.
Leadership of these and more established researchers in an institution is founded on many factors that often include consideration of mechanisms for recognition and reward. These can vary in number, form and value, but they must all be applied fairly and through proper process. Leaders should ensure that all staff are aware of their roles, responsibilities, reporting requirements and the expectations required of them in the context of the institution’s plans and aspirations.
The more challenging aspect of leadership in research comes when strategic change due to internal or external factors is required that affects any number of staff. Leadership skills in these circumstances include honesty, engagement, planning, communication and empathy.
In terms of Theme 5, Management to support leadership of researchers, the typology identifies 23 primary activities and a range of related activities that are usually undertaken by specialist management staff in organisational units such as a postgraduate research office or a human resources unit. The functions relate to all aspects of student and staff administration, support and advice and it is a responsibility of leaders to ensure that these are in place and operating effectively.
The final Theme 6 of the typology concerns the personal behaviours and qualities of research leaders and managers. These ‘skills’ are often, but not always, innate and many of them are learned through experience. Many of these skills are also found in the private or commercial sector.
The challenge for leaders in research institutions is that the personal and professional aspirations and competitiveness among staff are prominent in a situation where cooperation and collegiate behavior is required. Above all, showing respect is paramount.
Other factors include setting and monitoring performance expectations with honest and regular appraisal, providing feedback, being transparent and consistent in decision making, dealing effectively with misconduct, and delegating with trust. Leaders must also, among many other things, fully accept the responsibility and accountability of their position and demonstrate honesty and integrity.
Conclusion
It is anticipated that the typology will be helpful in defining the requirements for the development of skills in leadership and management of research in many settings.
Even when different national histories, economic and political circumstances and cultural issues are evident, the basic feature of research and innovation systems is that they are all dependent on the intellectual input, drive and commitment of people. There are many features of the typology that are common to these human dimensions, regardless of other circumstances.
In the next stage of the SIDA-funded project, the typology will form the basis of leadership and management award courses to be offered in selected countries in Africa and South East Asia at policy and institutional levels.
The award courses will be developed jointly by the University of Lund in Sweden and the LH Martin Institute at the University of Melbourne in Australia. More information on these courses will be made available shortly on the LH Martin website. Further information on the IHERD project to date can be found here, and the full documents referred to above will be available soon on the OECD website.
* Alan Pettigrew is a professorial fellow of the LH Martin Institute at the University of Melbourne, an adjunct professor at the Australian National University, and an adviser to the Chief Scientist of Australia. He was formerly the inaugural CEO of Australia’s National Health and Medical Research Council and vice-chancellor and CEO at the University of New England.
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