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.
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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
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Laboratory Assessments Board
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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.
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
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
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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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Contents
Call For the Study by the National Institute of Standards and Technology
2 FRAMEWORK FOR EXAMINATION OF ASSESSMENT PROCESSES
Timescales and Multidimensionality of R&D Organizations
What Constitutes an Effective R&D Organization?
Summary of Assessment Framework Considerations
6 GUIDELINES FOR CONSIDERATION DURING ASSESSMENT
Assessing the Quality of Scientific and Technical Work
B Importance of Alignment Between an Organization’s Vision and Its People
D Example of Peer Advice During the Planning Phase of R&D
F The Army Research Laboratory’s Process for Ensuring Relevance
H Questions Pertaining to Assessment of Leadership and Management
I Sample Crosscutting Assessments
K Examples of Peer Review Conducted at Federal R&D Organizations
L Metrics Applied by National Research Council Panels to Assessment of the Army Research Laboratory