Ing. Jenny Marcela Sánchez, PhDConsultant for the Main Research’s Office

Assistant professor Engineering School. National University of Colombia

Carolina Rivera. MScConsultant for the Main Research’s Office

A model for measuring research capacity using an intellectual capital-based approach in a Colombian higher education institution1

1 This paper is a result of an institutional initiative sponsored by UNAL Main Research office, and it is a component of the building research capacities program defined by the Global Development Planning 2007 -2009 of National University of Colombia

Agenda1. Background2. Methodology3. Conceptual frame- work4. Model5. Test and results

1- Background

Knowledge Society generates challenges for Colombian SocietyImprove Colombia’s levels of competitiveness and productivity.Colombia requires profound productive and social transformation.

Colombian Universities have thus become the fundamental support for achieving such productive transformation

Generating knowledge endowing added value to those goods and services which the country has opted Universities are the main actor in the NSTIS (OCyT,2008)

3,322 active research groups SCienTI platform3,090 Universities 1,416 groups belong to private Universities

1,674 to public universties

Hypothesis - ObjectiveHypothesis

Knowledge Society Challenges for Colombian SocietyCan universities contribute towards developing products: goods and services having high added-value in determinedeconomic sectors from the basis of those knowledge-generating processes which they are advancing? What are Colombian universities’ capacities in terms of generating knowledge?How can Colombian universities give an account of knowledge-generating and -transmitting processes?

ObjectivePresent a model to measure research capacity of universities in Colombia using an approach based on intellectual capital to try to answer Knowledge Society challenges

2- MethodologyConceptual Frame Work

Model for measuring research capacity using an intellectual capital-based

Intellectual Capital Concepts

CapacityConcepts

Analysis differentR&D indicators systems: National and International

Test the model in aColombian higher education institution

Feedback for the model

Feedback for UNAL

3- Conceptual Frame-WorkSC Refers to the infrastructure incorporating, preparing and sustaining HC. This includes the set of knowledge which is basically an organisation’s property and stays there in spite of people leaving it, the organisational capacity it has regarding physical aspects used for transmitting and storing intellectual material(Edvinsson and Malone, 1997; the MERITUM project, 2002; CIC, 2003).

RC The university’s set of external relationships. (Roos et al., 1997; Stewart, 1997 and Brooking, 1996 cited by Tan et al (2008); Euroforum, 1998; Sánchez, Chaminade and Olea,2000; MERITUM project, 2002).

HC The know-how, knowledge, abilities, values and attitudes of the people working in the university . (Roos, Roos, Edvinsson and Dragonetti, 1997; Sveiby, 2001; Jaramillo and Forero, 2001; MERITUM project, 2002).

Capacities understood as being that which it is known how to do, including personnel, organisational, technological and structural capacities providing an organisation’s activities with value

The paradigm of generating capacities as a way of evaluating research being centred on the impact of financing R&D projects, forming scientific human capital in their social aggregates and generating new uses of knowledge (Bozeman and Dietz, 2001)

HC – RC –SC continued interaction (Lopez et al, 2004)

Conceptual Frame-Work

Constructing institutional capacities reflects accumulative dynamics of knowledgeBased on R&D indicators systems: international EUO, OECD and RiCyT and Colombian experiences (SUE public

universities performance, OCyT and CNA)Based on international –EOU, Austrian, Spanish: OEU,2005, European

Commission, 2006, Sánchez and Elena, 2006 - and Colombian Intellectual Capital approach using on Universities - Ballesteros and Ballesteros,2004, Medina et al 2007, Rivera, 2007, Bucheli and Villaveces,2007.

Evaluating research capacity is a process which, depending on the availability of information, will be applied in phasesPropose a suitable alternative for measuring universities capacity regarding research through thematic areas or economic sectors.

4- Model

43 indicators, 33 research activities, 4 formation activities 6 to third mission activities

5- Test and Results

Reporting research capacity through ICConstructing base-lines for years in the present decade Identifying UNAL’s scientific profile in its set and in each of its sites, without the detriment of possibly having to descend to faculty or basic academic unit levelConstructing an initial map of capacities for specific areas of knowledge from national and regional referents and break the data down according to the composition of the HEI structure

Research managementFeedback and learning processes

Human capitalNumber of active researchers involved in HEINumber of active researchers / Number of full-time teachersTeachers’ time dedicated to researchNumber of administrative personnel involved in research groups or research projectsNumber of HEI research groups classified by COLCIENCIASNumber of research group members (researchers, students)Total economic resources for research/ number of active researchers Number of undergraduate and postgraduate research assistant studentsNumber of PhD-MSC/MA- specialisation-specialty and undergraduate students Entry rate for PhD, MSC/MA, specialisation, specialty and undergraduate programmesNumber of postgraduate study-grants / Number of postgraduate students

Human Capital: Researchers

842research groups

577 research groups categorized by Colciencias

Fuente: VRI, 2009

22% PhD42% M Sc368 Foreigners Professors

7286 researchers belongs to research groups

4368 researchers have or have had a link with UN (as professors or students)

2993 Professors belong to UNAL

1828 Professors belong to research groups

Constructing base-lines for years in the present decade

Structural capital (I)Number of projects presented to state financing entities discriminated by institution (COLCIENCIAS-MADR, Ministries, Banco de la Republica, etc). Approved cf non-approvedNumber of research projects leading to support from national and international processes for drawing up norms’ commissions, participating in formulating long-term programmes, public policy studiesTotal economic resources for research (own+public+private) discriminated by items. Total budget appropriated-executed (expenses for personnel is not included)Total economic resources destined for teachers’ PhD formation Economic resources awarded cf economic resources requested for financing projectsPrivate and public sector economic resources supporting research and extension projects (value of contracts with private and public sectors)Public sector economic resources supporting research projects/ total economic resources for researchPrivate sector economic resources supporting research projects/ total economic resources for research

Structural capital (II)Number of research projects. Number of Products or results generating new knowledge

Technical and natural areasHuman, Socials and Arts

Number of products arising from a group’s research activities related to forming researchersNumber of products related to extending a group’s research activities and their results: social appropriation of knowledgeNumber of articles published per institution in indexed journalsNumber of articles from an HEI in expanded ISI Number of citations of articles by an HEINumber of citations of articles from an HEI in ISINumber of requests for registering HEI intellectual property

Products without registry

StructuralStructural capital: capital: scientificscientific productionproduction

Productsare registred on

SCienTI

Products without points

ProductsWith points

SpecialanalystToWeb ofScience – ISIPUBLINDEX

WoS

Structural capitalStructural capital

Articles, Books Products Arts Products

Academic products

Branch BOGOTÁ

Products by year

Products Types

Dissertation Products Proceedings Products

Source: VRI (2009) based on ScienTI - Colciencias.

Constructing time series for years in Constructing time series for years in the present decade: articles, patents, the present decade: articles, patents, project and so onproject and so on

Identifying Identifying UNALUNAL’’ss scientific profilescientific profile

Relational capitalNumber of HEI teachers in other institutionsNumber of teachers not belonging to HEI / visitorsNumber of teachers-researchers participating in networks / number of teachers-researchersNumber of external recognitions, prizes and distinctions awardedfor an institution’s research workNumber of spin-off companies Number of networks in which HEI researchers participate Number of graduate works involved with the production sectorNumber of intellectual property requests registered with other institutionsNumber of research projects discriminated by beneficiary

International International RelationalRelational Capital Capital basedbased onon ISI ISI –– ExpandedExpanded

Fuente: ISI WoS 2001-2008. Cálculos: VRI. Universidad Nacional de Colombia. Febrero de 2009

NationalNational RelationalRelational Capital ISI Capital ISI –– ExpandedExpandedArticlesArticles

Source: VRI (2009) based on ISI WoS 2001-2008.

Constructing base-lines for years in the present decade

5- Results thematic Portfolio Component

Thematic areasMap of thematic areas capacitiesHuman Capital

Researchers (How many and who?)Research Groups ( How many and who?)Research Institutes

Relational Capital Institutions (Who has done UN work for?)

Structural Capital Academic production Research and Third Mission Projects

Map of thematic areas capacities on Map of thematic areas capacities on Biodiversity and EnvironmentBiodiversity and Environment

Número de Investigadores1

1

map of capacities for specific areas of knowledge

Research Capacities on Hydro resourcesResearch Capacities on Hydro resources–– Human CapitalHuman Capital

A profile of capacities for specific areas of knowledge

Research capacities on Hydro Resources Research capacities on Hydro Resources –– Structural CapitalStructural Capital

A profile of capacities for specific areas of knowledge

Research Capacities on Hydro Resources Research Capacities on Hydro Resources –– Structural Capital ProjectsStructural Capital Projects

0

5

10

15

20

25

30

35

40

BOGOTÁ MEDELLÍN PALMIRA MANIZALES

LETICIA

Proyectos de Investigación 37 38 24 8 1

Proyectos de Extensión 20 38 4 16 1

108  Research  projects  and  79  third  mission projects.

Fuente: VRI a partir de sistema  QUIPU. Diciembre 31 de 2008

Research Projects

3 Mision Projects

A profile of capacities for specific areas of knowledge

Research capacities on Biodiversity. Relational CapitalResearch capacities on Biodiversity. Relational Capital

14 Institutions have made at least 4 research projects and third-mission projects

A profile of capacities for specific areas of knowledge

Test and Results

Research management: INPUTS to design S&T policy procedures were available for constructing and debuggingeach proposed indicator measuring HC to define policy guidelines in areas of knowledge in which they had consolidated capacities measuring RC led to strengthening formation and internationalization strategies and mobility strategy measuring RC to promote research activities Measuring SC led to obtaining policy input orientated towards consolidating the academic community in terms of strengthening production having national and international visibility.

Test and Results

Feedback and learning processesIntellectual Capital approach implied recognising that reporting indicators was a cyclical process.An effort to homogenise its information systemsstimulated within the university for understanding the measuring process’ importance and scopeconstructing capacities for areas of knowledge becomes improved and receives feed-back in the sense that the databases for the indicators were debugged and the actors involved in the measuring process acquired abilities for suitably developing the process

Next step

Apply the model of our thematic areas (13 areas) in order to build our portfoliosApply the model with the most important public universities TO KNOW Colombians’capacities. We have 65% of the research groups

Team Team WorkWork

Vicerrector de InvestigaciónRafael Molina

Asesores Investigación:J. Marcela SánchezJorge MolanoRafael HurtadoCarlos RodríguezJorge Martínez CollantesLuis Colón

Asesores Extensión:Edna BonillaLucia Bohórquez

Proceso de convalidación(Oficina Nacional de Planeación)

José Vidal BetancurCarlos Reverón

Indicadores de extensiónEquipo de trabajo

Lucia BohórquezLuz Mila BecerraJulián ToroJorge Rodríguez

Coordinación Proyecto IndicadoresJ. Marcela Sánchez

Indicadores de InvestigaciónEquipo de trabajo

Sandra Carolina RiveraAna Carolina GómezLina LandínezClaudia LuengasNidia RodriguezAlvaro Cuesta

Estudiantes Auxiliares:Sofía RamírezAlex BruñezHéctor Castellanos

Gracias!!!!!!!-Thank you-

jmsanchezt@unal.edu.coscriverat@unal.edu.co