Knowledge Management Analysis of the Research & Development
& Transference Process at HEROs: a Public University Case
Jon Landeta Rodríguez
(University of the Basque Country (UPV/EHU)-Spain
egplaroj@bs.ehu.es)
Arturo Rodríguez Castellanos
(University of the Basque Country (UPV/EHU)-Spain
egprocaa@bs.ehu.es)
Stanislav Y. Ranguelov
(University of the Basque Country (UPV/EHU)-Spain
egdraxxs@bs.ehu.es)
Abstract: In Higher Education and Research Organisations (HEROs),
one of the most important activities in the R&D process is the effective
management of knowledge transference. A correct analysis and diagnosis
of that process through knowledge management methodology is essential for
the correct orientation of organisation strategy. The aim of this paper
is to describe the analysis carried out in order to diagnose the research
& development & transference (R&D&T) activities at a public
university in Spain. The diagnosis analyses the key phases in the knowledge
transference process, because these different stages define important implications
for the monitoring of the intellectual capital and the organisation's performance.
Also with in the diagnostic analysis preformed here an methodological innovation
is introduced related with the cause and effect relations of the knowledge
collaboration and a process witch deals mainly with intangibles
Key Words: Knowledge Management at Universities, Research and
Development Management, Process Analysis
Categories: A.0, A.1, E.1, K.4
1 Introduction
In Higher Education and Research Organisations (HRROs), one of the most
important activities in the R&D process is the effective management
of knowledge transference. In most cases the research results are intangibles
assets and they represent an important portion of organization's intellectual
capital [Leitner, 2002]. A correct analysis and diagnosis
of that process through knowledge management methodology is essential for
the correct orientation of organisation strategy.
Recent literature states that some management policies and programmes
can drive the performance of intangibles or intellectual capital, and even
tries to quantify this relationship [Lev, 2001; Hurwitz
et al., 2002].
Although this line of research is very interesting, our opinion is that
management practices do not act directly as drivers of intellectual capital
but stimulate and promote key knowledge types that are the genuine drivers
of intellectual capital. Consequently, a basic task for knowledge management
analysis is to thoroughly analyse the current state of the process and
then discover those management practices that promote change and learning
in the organisation.
The aim of this paper is therefore to describe the analysis carried
out in order to diagnose the Research & Development & Transference
(R&D&T) activities at a public university in Spain. This diagnosis
analyses the key process phases in the knowledge transference process,
such as establishing the first contact, developing the collaboration and
exploiting common results. These different stages act as drivers for the
process and define important implications for monitoring the intellectual
capital of the organisation's performance.
The research work presented here is part of the project "Knowledge
Management at a Public University: The process of Research, Development
and Transference of Scientific and Technical Knowledge" funded in
2000 and 2001 by the Spanish Ministry of Science and Technology and the
project "Design of a model of transfer of research results based on
Knowledge Management" funded by the Basque Regional Government in
2002-2003. This project was set up at the University of the Basque Country
(UPV/EHU) in Spain and brought together a multi-disciplinary group of researchers
with the purpose of drawing up a new model for knowledge management that
could cover the whole process, from pure research to the transference of
scientific and technical knowledge from universities to businesses, institutions
and other social agents [Rodriguez et al, 2001;
Rodriguez et al,2004].
The knowledge management analysis was carried out bearing in mind three
different complementary approaches, each requiring different methodologies:
- Current level of the types of knowledge that are key to the process,
identified in the knowledge map analysis.
- Diagnosis of the current knowledge management of that process in the
University.
- Analysis of other aspects that can have an influence on how the process
is carried out, as well as estimating the risks involved in its future
implementation.
This paper presents the activities carried out in the second phase of
the research, concerning the analysis and diagnosis of the current practices
to generate and transfer scientific and technical knowledge from the University
of the Basque Country (UPV/EHU) to companies and institutions.
The University of the Basque Country is public university of medium
size (40,000 students and 3,000 teachers/researchers), with a campus in
each of the territories of the Basque Country and with similar characteristics
to those of most Spanish universities and many European ones. The circumstances,
problems and possible solutions detected in this diagnosis can therefore
very possibly be extrapolated to the general situation for university institutions.
2 Methodology
The analysis and diagnosis of the process to generate and transfer scientific
and technical knowledge from the UPV/EHU to businesses and organisations
required information obtained from the main agents involved in this process:
researchers and companies.
The performed analysis of the state of the art did not provide us with
published works exactly matching the research in question that could be
used as a reference, but there are some publications that study similarly
processes [Bueno, 2002, 2003;
Garnett, 2001; Oliver et
al, 2003]. Consequently, the design of the research, selection
of the research activities and of the habitual practices and the drawing
up of the initial questionnaire were carried out exclusively by the multi-disciplinary
research team. From this point onwards, the research was carried out in
four different phases:
- Exploratory study
- Surveys on samples of researchers and companies
- Analysis of findings
- Diagnosis of strengths and weaknesses
2.1 Exploratory Study
We carried out an initial exploratory study with a group of renowned
researchers external to the project (12 researchers with significant scientific
production and with transference to companies, from different areas of
knowledge), via personal interviews. Based on these scientists' answers
and comments, we validated the research activities chosen (research projects
with transference to companies, contracts with transference and research
projects without transference), the practices initially selected and the
questions referring to these practices for the researchers.
2.2 Surveys1
In the study we distinguished between four different strata or groups
with specific questions for each of them, although with common questions
for common activities. These groups and their random samples were as follows:
- Main researchers of projects and contracts with transference of results
to companies. Sample of 84 researchers (level of certainty 95.5% and maximum
error 10 %)
- Main researchers of projects and contracts without transference of
results to companies. Sample of 81 researchers (level of certainty 95.5%
and maximum error 10 %)
- Companies that have been collaborating with the UPV/EHU in R&D
activities via contracts and projects in the period 1998-2002. In the survey
process, preference has been given to R&D directors and to general
and functional directors. Sample of 83 companies and 7 institutions (level
of certainty 95.5% and maximum error 9.7 %)
- Companies that have not been collaborating with the UPV/EHU in R&D
activities but that do use other external R&D suppliers. Sample of
90 companies (level of certainty 95.5% and maximum error 9.72 %).
1The
research team for these phases was formed by Jon Landeta (team co-ordinator),
Ana Blanco, Macarena Larrauri, Ana María Martín, Arturo Rodríguez,
Pilar Zorrilla and Stanislav Ranguelov.
Information was gathered via telephone survey, carried out by a specialised
firm during the months of June and July 2003.
The survey was oriented towards a rating of how the pre-selected tasks
or activities are carried out by the UPV/EHU and a comparison with the
actions and results of other agents supplying R&D to the companies.
Clear, concise questions were drawn up (with YES/NO answers) on whether
the proposed practices were carried out and about the quality of the transference
(Likert scale questions).
Analysis phase/areas |
RWT |
RNT |
EC |
ENC |
1- External R&D agents the company has a relationship with |
|
|
x |
x |
2- Reasons for Not having a relationhip with the UPV/EHU |
|
|
|
x |
3- Success factors in an R&D collaboration with other companies |
|
|
x |
x |
4- Ways of finding out about projects being planned |
x |
x |
|
|
5- Existence of lines of research prior to carrying out projects |
x |
x |
|
|
6- Ways of funding lines of research |
x |
x |
|
|
7- Frequency of the relationship UPV/EHU/Company or External R&D
Agent/Company |
x |
|
x |
x |
8- Ways of establishing first contact UPV/EHU/Company or External Agent/Company |
x |
|
x |
x |
9- Satisfaction of company with results |
x |
|
x |
x |
10- Follow-up by researchers of the industrial application of results |
x |
|
|
|
11- University or external agent participation in company exploitation
of the results |
x |
|
x |
x |
12- Comparison of UPV/EHU/Other suppliers in terms of quality of decisive
variables in R&D transference |
|
|
x |
|
Table 1: Phases in the transference process analysed and
groups involved.
The questionnaire was adapted to each segment of the sample. The researchers
working on projects without direct transference to companies answered questions
on fewer activities, whereas the companies answered from their own perspective
on how the activities were carried out constituting the transference process
in which they were involved. Those with a relationship with the UPV/EHU
answered on how this relationship was developed, and those who were not
connected with the university answered on how they related to their R&D
suppliers. The questionnaires for both types of companies were therefore
similar but not identical.
The questionnaires also included items on the factors contributing to
the success of a collaboration with an external R&D agent and a comparison
of the quality of UPV/EHU's attributes with those of the other R&D
suppliers regarding the transference process studied.
In Table 1, the marked areas shows the factors on
which each group answered questions on (RWT: Researchers WITH Transference;
RNT: Researchers WITHOUT transference; EC: Enterprises Clients of the UPV/EHU;
ENC: Enterprises Not clients of the UPV/EHU)
2.3 Analysis of Findings
We carried out different analyses with the data obtained from the survey;
comparative, statistical, descriptive and multi-variant, as well as by
classification variables. Below we present a summary of the main findings.
2.3.1 Definition of the Line of Research
A line of research normally exists prior to the project or contract
related to it (92% of the researchers confirm this). Various ways of funding
of the research tend to be used, with preference for public funding (93%),
followed by funding from contracts with companies (80.5%). The researchers
have information about possible sources of funding by means of the University
(86%) and by permanently search for open calls for research (70%), although
researchers working with companies usually use more sources of information.
2.3.2 Company Relationship with the UPV/EHU or External R&D Centres
2.3.2.1 Establishing Contact
The most usual way of establishing contact is directly, between the
research group and the company and, to a much lesser extent, via the University
administration or its website. The way in which companies that do not collaborate
with the UPV/EHU make contact with their R&D suppliers is relatively
similar (see table 2 for results relative to the researchers "RWT",
the companies collaborating with the UPV/EHU "EC" and those working
with other R&D centres "ENC")
Forms of contact |
RWT |
EC |
ENC |
The company contacts a member of the research group |
86.7% |
68.2% |
59.7% |
The company uses the University website |
21% |
16.3% |
6.5% |
The company contacts the University and is directed to the research
group |
22.9% |
39.1% |
44.1% |
The group itself offers its services to the company |
60.2% |
44.7% |
|
Other forms |
27.7% |
11.1% |
31.4% |
Table 2: Forms of contact Companies-R&D Agents
2.3.2.2 R&D suppliers with Whom Companies Have Relationship
The companies that have a relationship with the UPV/EHU show significantly
different behaviour (with a maximum error level lower than 0.01- chi-squared
comparison) compared with those who do not have this relationship.
In general, these companies have a more intense relationship with a
wider set of external agents (principally technological centres and private
universities) than those companies that do not work with the UPV/EHU.
In general, companies that have a relationship with the UPV/EHU have
also some kind of collaboration with technological centres and, at a lower
percentage, with other universities and external agents. Those companies
that do not have a liaison with the UPV/EHU do not have a relationship
with any university as an R&D provider and their external suppliers
are technological centres and other external agents.
- An analysis of the findings by classificatory variables reveals some
statistically significant particularities:
- Geographical proximity is a decisive factor in choosing an external
supplier, in spite of the relatively short distance between all the companies
and R&D suppliers under consideration (less than 100 km)
- The legal form of the company also influences the choice, due especially
to the behaviour of Foundations and Public Institutions (with relatively
more relationships with universities) and cooperative companies located
in the region (preferring to deal with their corporate university -Mondragon
University-, and with technological centres.
- Companies with a high technological level maintain significantly higher
relationships with private technological universities and technological
centres.
- On the other hand, and as expected, the larger the company is, both
in terms of turnover and employees, the more contact they have with all
the agents under consideration.
2.3.2.3 Frequency of the Relationship
In general, the companies that work with the UPV/EHU have a less frequent
contact with the university than that maintained with other R&D agents
they also collaborate with, as for example the technological centres. The
relationship held by business sphere with the UPV/EHU as a direct supplier
of R&D is therefore of a more sporadic, individual nature than that
with other external suppliers.
2.3.2.4 Reasons for the Lack of Relationship
Most of the companies that do not have contracts or projects with the
UPV/EHU state that they do not use the UPV/EHU's services because there
are other external research agents that offer these services (59.1%), 38.6%
admitting that they are unaware of the services UPV/EHU might provide and
36.4% not knowing the way in which they could establish an initial relationship
with this organisation.
2.3.4 Results of the Collaboration
2.3.4.1 Satisfaction with the Collaboration
After carrying out the collaboration, in most of the cases companies
claim to be highly satisfied with the results (68%). This results are higher
than the satisfaction degree (only 54%) showed by companies that do not
collaborate with UPV/EHU referencing theirs R&D suppliers.
2.3.4.2 Exploitation of the Results of the Collaboration
Approximately half the researchers normally follow up the business
application of the results.
The ways in which the results are used afterwards by the company
are not normally known, in part because, in many cases, there is no
exploitation (41% in the case of the UPV/EHU, and 21% in the case of
collaboration with other agents). Although when there is some
exploitation, a relatively significant proportion of the companies
(over 50%) state that they share the benefits with the university
researchers (this proportion is four times higher than that for
companies that collaborate with other R&D suppliers).
The researchers exploit the results academically, normally
publishing in scientific journals (95%), and in about 50% of the cases
in other publications and always like a complementary action.
Consequently, the results are not exploited sufficiently by the company
and the university together, rather each of the parts does so in its own
field, and this could be related to the low volume of permanent collaborations.
2.3.5 Comparison of the UPV/EHU with Other Suppliers
In the table 3 are showed the average scores µ and standard
deviations
of the assessments for services provided by the UPV/EHU and technological
centres. In this comparison, the findings show that the UPV/EHU is in a
favourable position regarding the key aspects of the transference process:
human and physical resources, and the quality of the result related to
its price. However, its position is weaker in variables defining the relationship
during the research and transference process: communication language, information
and deadlines. Lastly, its position is deficient with respect to the variables
defining the initiation of the process: accessibility, speed of response
and simplicity of the process. Another significant drawback over the capacity
of the UPV/EHU is the greater standard deviation in the assessments for
all the UPV/EHU's variables (with exception of the quality of its human
resources). This reveals a lower institutional capacity to control the
process per se and this is therefore an added difficulty in its
improvement.
|
UPV/EHU |
Technolog. Centres |
|
Variables |
µ |
|
µ |
|
Sp.µ |
Sp.
|
Capacity of the staff to meet needs |
3.94 |
0.71 |
3.9 |
0.72 |
0.04 |
-0.01 |
Value for money |
3.74 |
0.90 |
3.17 |
0.86 |
0.57** |
0.04 |
Availability of resources and equipment to carry out project |
3.71 |
0.80 |
3.78 |
0.69 |
-0.07 |
-0.11 |
Understandable communication language between researchers and company |
3.69 |
0.88 |
3.86 |
0.72 |
-0.17 |
-0.16* |
Information and advice |
3.36 |
0.96 |
3.52 |
0.72 |
-0.16 |
-0.24** |
Compliance with deadlines |
3.36 |
0.99 |
3.56 |
0.81 |
-20 |
-0.18* |
Accessibility and response speed |
3.18 |
0.95 |
3.71 |
0.73 |
-53** |
-0.22** |
Simplicity in documentation process |
3.12 |
1.12 |
3.51 |
0.92 |
-0.39** |
-0.20* |
** significant differences with a maximum error level of 5%
* significant differences with a maximum error level of 10%
Table 3: Rating of the services provided by the UPV/EHU and
Technological Centres
2.4 Diagnosis of Strengths and Weaknesses
Based on the empirical study data and via a group discussion of the
researchers and university directors, we extracted the strengths and weaknesses
of the process of generating and transferring knowledge from our university,
which can be summarised as follows:
2.4.1 Strengths:
- Availability and well structures university research centres and groups
throughout the Basque Country
- Existence of good infrastructures to carry out R&D
- Existence of sufficiently qualified human resources to carry out applied
research, integrated in groups capable of establishing relationships with
companies and institutions
- Better value for money in the services provided with respect to the
other agents carrying out R&D
- Existence of excellent groups in the field of applied research that
can act as a reference point for the rest of the university groups and
for potential external clients
- Satisfaction of companies and institutions with the work carried out
by the groups of the UPV/EHU, better than that achieved with other agents
- Greater confidence in the UPV/EHU to undertake basic research of a
pre-competitive nature with greater scientific risk.
2.4.2 Weaknesses
- Deficiency in overall accessibility of the university for the business
world in order to carry out R&D activities in cooperation
- Complicated administrative procedure establishing research contracts
and projects
- Lack of common guidelines to certify the quality of the applied research
collaboration activities. Weakness due to the lack of standardised quality
procedures applied effectively
- Deficit in the external image of the university as a body that also
carries out applied research and that possesses a wide range of services
in this respect
- Weak institutional action by the university in the intermediation for
collaboration with companies and institutions
- Less kind relationship on the part of the researchers with the companies
during research compared with other R&D agents: slower initial response
to a company request, worse information and advice to companies, less understandable
language, less thorough in meeting deadlines
- Weak non-academic exploitation of the results on the part of researchers
(patents and social divulgation).
- Less possibility of business and industrial application of the results
of collaborations in research with companies * Little attention paid by
the researchers to the interests and needs of the market
3 Conclusions
The UPV/EHU, possibly like most public universities, is notable for
its human and technical resources and for the quality of the research it
carries out. Its professionals provide it with high potential to generate
and transfer knowledge. However, the greatest difficulties in transferring
the research results in an effective manner come from the lack of commercial
orientation and institutional flexibility in order to attend quickly to
the needs of companies. Also there is relatively little interest shown
by many researchers in orienting their activity towards the requirements
of companies and institutions. Greater commitment on the part of the university
to become a true interface between companies and research groups could
notably contribute to mitigating this weakness, together with a necessary
reorientation of researchers' professional incentives, encouraging them
to value this kind of applied research more highly.
Finally the main methodological innovation introduced with in the diagnostic
analysis preformed here is related with the cause and effect relations
of the knowledge collaboration and a process witch deals mainly with intangibles.
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Journal of Intellectual Capital, 5,3, 2004. next publication
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