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Suggested Citation:"Front Matter." National Research Council. 2012. Best Practices in Assessment of Research and Development Organizations. Washington, DC: The National Academies Press. doi: 10.17226/13529.
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Best Practices in Assessment of
Research and Development Organizations

Panel for Review of Best Practices in Assessment of
Research and Development Organizations

Laboratory Assessments Board

Division on Engineering and Physical Sciences

NATIONAL RESEARCH COUNCIL

                   OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS
Washington, D.C.
www.nap.edu

Suggested Citation:"Front Matter." National Research Council. 2012. Best Practices in Assessment of Research and Development Organizations. Washington, DC: The National Academies Press. doi: 10.17226/13529.
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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW Washington, DC 20001

NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the panel responsible for the report were chosen for their special competences and with regard for appropriate balance.

This study was supported by Contract No. SB134106Z011 between the National Academy of Sciences and the U.S. Department of Commerce. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the views of the agency that provided support for the project.

International Standard Book Number-13: 978-0-309-26626-0

International Standard Book Number-10: 0-309-26626-2

Copies of this report are available from

Laboratory Assessments Board

Division on Engineering and Physical Sciences

National Research Council

500 Fifth Street, NW

Washington, DC 20001

Additional copies of this report are available from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); http://www.nap.edu.

Copyright 2012 by the National Academy of Sciences. All rights reserved.

Printed in the United States of America

Suggested Citation:"Front Matter." National Research Council. 2012. Best Practices in Assessment of Research and Development Organizations. Washington, DC: The National Academies Press. doi: 10.17226/13529.
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THE NATIONAL ACADEMIES

Advisers to the Nation on Science, Engineering, and Medicine

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.

The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering.

The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine.

The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council.

www.national-academies.org

Suggested Citation:"Front Matter." National Research Council. 2012. Best Practices in Assessment of Research and Development Organizations. Washington, DC: The National Academies Press. doi: 10.17226/13529.
×

PANEL FOR REVIEW OF BEST PRACTICES IN ASSESSMENT OF RESEARCH AND DEVELOPMENT ORGANIZATIONS

JOHN W. LYONS, National Defense University, Chair

EDWARD A. BROWN, The MITRE Corporation

W. WARNER BURKE, Columbia University

ROSS B. COROTIS, University of Colorado at Boulder

WILLIAM W. CRAIG, Lawrence Livermore National Laboratory

C. WILLIAM GEAR, Princeton University

WESLEY L. HARRIS, Massachusetts Institute of Technology

ELENI KOUSVELARI, Sandia National Laboratories

BERNARD S. MEYERSON, IBM Corporation

ELSA REICHMANIS, Georgia Institute of Technology

JOEL M. SCHNUR, George Mason University

LYLE H. SCHWARTZ, Air Force Office of Scientific Research (retired)

Staff

JAMES P. MCGEE, Board Director

CY BUTNER, Senior Program Officer

LIZA HAMILTON, Administrative Coordinator

EVA LABRE, Program Associate

Suggested Citation:"Front Matter." National Research Council. 2012. Best Practices in Assessment of Research and Development Organizations. Washington, DC: The National Academies Press. doi: 10.17226/13529.
×

LABORATORY ASSESSMENTS BOARD

JOHN W. LYONS, National Defense University, Chair

CLAUDE R. CANIZARES, Massachusetts Institute of Technology

ROSS B. COROTIS, University of Colorado at Boulder

JOSEPH S. FRANCISCO, Purdue University

C. WILLIAM GEAR, Princeton University

HENRY J. HATCH, U.S. Army (retired)

LOUIS J. LANZEROTTI, New Jersey Institute of Technology

ELSA REICHMANIS, Georgia Institute of Technology

LYLE H. SCHWARTZ, Air Force Office of Scientific Research (retired)

CHARLES V. SHANK, Howard Hughes Medical Institute

DWIGHT C. STREIT, Northrop Grumman Space Technology

Staff

JAMES P. MCGEE, Board Director

CY BUTNER, Senior Program Officer

LIZA HAMILTON, Administrative Coordinator

EVA LABRE, Program Associate

Suggested Citation:"Front Matter." National Research Council. 2012. Best Practices in Assessment of Research and Development Organizations. Washington, DC: The National Academies Press. doi: 10.17226/13529.
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Suggested Citation:"Front Matter." National Research Council. 2012. Best Practices in Assessment of Research and Development Organizations. Washington, DC: The National Academies Press. doi: 10.17226/13529.
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Acknowledgment of Reviewers

This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for clarity, objectivity, and responsiveness to the charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report:

David E. Borth, Motorola, Inc. (retired)

Jennie S. Hwang, H-Technologies Group and Case Western Reserve University

Miriam E. John, Consultant

Cherry A. Murray, Harvard University

Richard R. Paul, Unites States Air Force (retired)

Julia M. Phillips, Sandia National Laboratories

Dwight C. Streit, University of California, Los Angeles

Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, and they did not see the final draft of the report before its release. The review of this report was overseen by Joseph S. Francisco, Purdue University. Appointed by the National Research Council, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.

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Research and development (R&D) organizations are operated by government, business, academe, and independent institutes. The success of their parent organizations is closely tied to the success of these R&D organizations. In this report, organizations refers to an organization that performs research and/or development activities (often a laboratory), and parent refers to the superordinate organization of which the R&D organization is a part. When the organization under discussion is formally labeled a laboratory, it is referred to as such. The question arises: How does one know whether an organization and its programs are achieving excellence in the best interests of its parent? Does the organization have an appropriate research staff, facilities, and equipment? Is it doing the right things at high levels of quality, relevance, and timeliness? Does it lead to successful new concepts, products, or processes that support the interests of its parent?

This report offers assessment guidelines for senior management of organizations and of their parents. The report lists the major principles of assessment, noting that details will vary from one organization to another. It provides sufficient information to inform the design of assessments, but it does not prescribe precisely how to perform them, because different techniques are needed for different types of organizations.

Best Practices in Assessment of Research and Development Organizations covers three key factors that underpin the success of an R&D organization: (1) the mission of the organization and its alignment with that of the parents; (2) the relevance and impact of the organization's work; and (3) the resources provided to the organization, beginning with a high-quality staff and management.

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