RDM 201 Concepts and Principles of R&D Management PDF

Concepts and Principles of R&D Management Rogelio V. Cuyno University of the Philippines OPEN UNIVERSITY Concepts and Principles of R&D Management By Rogelio V. Cuyno Copyright © 1997 Rogelio V. Cuyno and the University of the Philippines UP Open University Apart f...

Concepts and Principles of R&D Management Rogelio V. Cuyno University of the Philippines OPEN UNIVERSITY Concepts and Principles of R&D Management By Rogelio V. Cuyno Copyright © 1997 Rogelio V. Cuyno and the University of the Philippines UP Open University Apart from any fair use for the purpose of research or private study, criticism or review, this publication may be reproduced, stored or transmitted, in any form or by any means ONLY WITH THE PERMISSION of the author and the UP Open University. Published in the Philippines by the UP Open University Office of Academic Support and Instructional Services 2/F National Computer Center C.P. Garcia Avenue, Diliman, Quezon City 1101 Telephone 63-2-426-1515 Email [email protected] ISBN 961-767-030-7 First printing, 1997 Second printing, 2009 Layout by Cecilia Geronimo-Santiago Printed in the Philippines  Table of Contents Unit I – Framework of General Management Module 1 The Tasks of Management, 3 Objectives, 3 Tasks of Management, 4 Planning - Objective and Means, 4 Organizing and Coordinating Talent, 5 Promoting Organizational Values, 6 Comment, 7 Developing People, 7 Comment, 8 Communicating Plan, 8 Comment, 9 Directing Operation, 9 Comment, 10 Controlling Deviations, 10 Comment, 11 Solving Problems, 11 Comment, 12 Framework of General Management, 12 Management and Administration, 14 Summary, 16 References at the end of the course, 17 Module 2 Levels of Management, 19 Objectives, 19 Levels of Management, 19 Executive Level, 20 Mid-management Level, 20 Supervisory Level, 20 Summary, 24 Module 3 Human Resource: The Key to Productivity, 25 Objectives, 25 Summary, 29 Module 4 Parameters of Organizational Performance, 31 Objectives, 31 Parameters of Organizational Performance, 31 Productivity, 32 Effectiveness, 33 Efficiency, 34 Worker Well-Being, 36 Impact on Client, 36 Sustainability, 37 Comment, 38 Summary, 38 Module 5 Managers or Leaders, 39 Objectives, 39 Managers or Leaders, 41 Summary, 42 Module 6 Total Quality Management (TQM) as Organizational Culture, 43 Objectives, 44 Organizational Culture, 44 What is TQM?, 44 Summary, 48 Unit II Uniqueness of Research and Development (R&D) Management Module 7 Managing for Creativity and Innovativeness, 51 Objectives, 51 Creativity, 51 Innovativeness, 54 Summary, 54 Module 8 The Scientific Process, 55 Objectives, 55 The Scientific Process, 55 Summary, 58 Module 9 Characteristics of Researchers/Scientists and their Management Implications, 59 Objectives, 59 Characteristics of Researcher/Scientists, 59 Comment, 63 Summary, 63 Unit III Management of the Research-Technology Continuum Module 10 Technology and Technology Management, 67 Objectives, 67 Technology Defined, 68 Forms of Technology, 69 Technology Management, 70 Summary, 71 Module 11 Technology and Society, 73 Objectives, 73 Technology and Society, 73 Role of Technology Policy, 74 Technology Policy Process, 75 Technology Assessment, 75 Summary, 76  Unit I Module 1 1 Unit I Framework of General Management O ver the years the field of general management has accumulated much knowledge and wisdom from writings of scholars as well as practi- tioners. In modern times management has overtaken in importance the factors of production such as land, labor, and capital. Through advances in management tools, thinking and techniques, firms are able to expand and control enterprises spanning continents. Resources give rise to more resources and more resources produce economic growth through practice of better organization and management principles. Human and material resources make up an enterprise. But it is manage- ment that turns the engine of enterprise on and controls its pace. It is management that enables different kinds of resources to produce the chemistry that makes the elements come up with a whole that is larger than their sum. Such chemistry is not self-evident. A hand, mind, will and energy of a chemist make it happen. Let us take human resource. To produce a commercial product, a variety of human skills and knowledge are needed: designers, engineers, chemists, accountants, economists, technicians and blue collar workers, etc. To make them contribute their know-how in the best way possible and in the end to achieve a common product does not happen by chance but by design, direction and control. This is the handiwork of manage- ment. UP Open University 2 R&DM 201: Concepts and Principles of R&D Management Objectives At the end of this unit, you should be able to: 1. Identify the tasks of management; 2. Differentiate the levels of management; 3. Identify the role of human resources in organizational performance; 4. Explain how the performance of an organization is measured; 5. Differentate between management and leadership; and 6. Discuss the concept of TQM as organizational culture. UP Open University  Unit I Module 1 3 Module 1 The Tasks of Management I n the life of a manager, there are certain activities that he/she does from the start of work in the morning until the day closes. Much of what what managers do is related to people, leading them, controlling excesses and deficiencies and instructing them on what needs to be done. But there are other related Objectives tasks that are performed by managers such as: instilling positive work ethics, structur- At the end of this module, ing various work units and working on the you should be ale to: acquisition and utilization of all kinds of resources. 1. Discuss the essence of management and the What is the essence of the profession of man- various tasks that man- agement? agers do to achieve organizational objec- Drucker (1989) emphasized that the funda- tives; and mental because he realizes that in this mod- 2. Make a distinction ern world of functional delineation and spek between management knowledge when made to act independently and administration. do not produce the desired goal. Ability to work with others is now an important qualification for professional success. No individual can succeed in any human under- taking in sheer individual personal effort and skill. UP Open University 4 R&DM 201: Concepts and Principles of R&D Management Tasks of Management Planning – Objective and means Simply put, planning is deciding what needs have to be responded to, identifying what have to be achieved and determining what means to use to get the job done. Good planning therefore requires a match between objective and means. Planning involves decision-making on the part of the planners. It is there- fore a mental process in which information is needed for wise judgement— information about needs or problems that have to be solved or attended to; technical and financial feasibility of proposed solutions; and social, environmental and political implications of the proposed solutions. Planning is future-oriented designed to improve the present situation to achieve desired goal. Modern managers make it a point to involve participation of more people in the system specially those with vital and relevant information. The other tasks of management is designing the appropriate structure of the organization. How will the organization be government or set-up (by a Board of Trustees? a Council? by Authority? a Cooperative? a Public corporation, Private corporation, etc.). To whom will the officers be ac- countable? How will the departments be created? (by product, commod- ity, clientele, function, discipline)? Internally, how will the different units be coordinated? Who will report to whom? How will decisions be made? What responsibilities will be decentralized, devolved and what will be centralized? These are questions related to organizational structure. Figure 1.1 Good planning will need matching goals and means. UP Open University  Unit I Module 1 5 Organizing and Coordinating Talent How to make people work together, with their own strengths and capa- bilities, to achieve a common goal, is what makes a good manager. In this view of management the manager is like a chemist or an orchestra con- ductor. A good chemist has an idea of the reaction or product that has to be produced. The ingredients are secured which are then mixed together in the right proportion, at the right time, sometimes stirred, sometimes warmed over a flame. In the process the chemist makes adjustments here and there until the desired product comes out. Figure 1.2 A vital function of a leader-manager is to mobilize individuals with talents and then motivating and coordinating them to produce collective result. Activity 1-1 Think about your present boss. What values has he/she been try- ing to promote in your organization? What has he been doing to promote these values? Is he succeeding? UP Open University 6 R&DM 201: Concepts and Principles of R&D Management Promoting Organizational Values Promoting organizational values is also an important task of manage- ment according to Drucker (1989) because it guides human conduct and it makes people identify with the firm and with the other workers. Orga- nizational values are those considered by the system as desirable and be- liefs that insiders hold dearly. It is a force for internal consistency and reliability. It is the heart and soul of the organization. How does a manager promote organizational value? The manager wields certain power and resources that put him/her in a great position to influ- ence employees to internalize certain values. He/she can do this through positive and negative reinforcement, modeling and reward system. Figure 1.3 Through power of rank, functional authority and by example, the leader-manager is in a vantage position to introduce and promote organizational values. Activity 1.2 In no more than three (3) typewritten pages (double space) write an essay to show an analogy of a symphony orchestra or a choir to organizational management. UP Open University  Unit I Module 1 7 Comment Some values that are so opposite of the present practices are harder to introduce like asking researchers to be accountable to the people instead of the institute. The boss has to work harder and with consistency over a longer time period to succeed in imparting such values. Developing People Since organizational productivity is a product of human effort, talent and expertise, management has the obligation to upgrade and keep current the level of skills, knowledge and professionalism of its workers. High competence of the workers through continuing professional education will directly translate into sustained organizational productivity, effec- tiveness, efficiency and impact. Figure 1.4 For long range sustainability in performance, managers must plan for continuous improvement of skills, knowledge and personality of their people. Activity 1-3 Answer privately. When was the last time you attended a seminar or short course at the expense of your company/organization? Did this one help you in your work? UP Open University 8 R&DM 201: Concepts and Principles of R&D Management Comment Continuing education activities their pay-off in terms of organizational performance and individual growth. Communicating Plan The manager has the responsibility of insuring that there is a plan for any activity or project. A good manager taps his employees in the develop- ment of any plan. The implementation of a plan requires the effort of a lot of people. Details of the plan like specific target, specification of the out- puts to be produced, schedule, reporting system, budget parameters, roles of people, etc. have to be shared with all concerned. Figure 1.5 To insure good coordination, cooperation and participation of employees, managers must communicate plans to employees concerned. Activity 1-4 Think of an activity or project in your organization which led to much confusion because of lack of knowledge or information or misinformation about details or the plan. UP Open University  Unit I Module 1 9 Comment Plans have to be known by all concerned through a variety of means— memo, bulletin board, meeting or personal conference. Directing Operation Directing operation in management means that someone is around to give orders and instructions to subordinates when the activity or project is in progress. It involves coaching, guiding and synchronizing efforts of implementors. Figure 1.6 In directing operation, there is no substitute for being around and instructing workers what to do. Activity 1-5 Reflect on this question: Can actual on-the-spot face to face super- vision be replaced by modern communication system like a cell phone, a cassette recorder? Explain. UP Open University 10 R&DM 201: Concepts and Principles of R&D Management Comment Supervision and directing operation requires direct coaching, guiding and correcting by a supervisor of actions of a subordinate. Controlling Deviations No plan is perfect. The best plans could go haywire at implementation because the planner may not have had relevant or accurate information during the planning process. Also, not all events can be predicted. Such events could prevent smooth implementation. Managers must correct any deviation from the plan. Otherwise the goal for the project or activity will not be met. This function of management is called controlling. Figure 1.7 Successful operation needs someone with authority to correct deviation from expectations. Activity 1-6 Answer privately. Have you experienced riding in a vehicle or driving it yourself when the road got so slippery and the vehicle could not be controlled? Did you anything bad happen? Could this incident have been avoided? UP Open University  Unit I Module 1 11 Comment Management should be given information, authority and means to be able to effectively prevent or correct deviations from plan. Solving Problems In management, a problem occurs whenever plans do not come out as expected because of intervention by a factor, for example, a lack or a surplus of a resource. Problem-solving is applying a solution to the situa- tion that will remove the cause of the problem. A car does not start in the morning because the battery is weak already. This can be solved by charg- ing the battery or changing the old with a new battery. Figure 1.8 Managers are expected to fix problems by first accurately determining the cause then removing the cause by using a solution. Activity 1-7 Answer privately. When was the last time you solved a problem? How did you discover that you had a problem? What was the key to the solution? What was the cause of the problem? UP Open University 12 R&DM 201: Concepts and Principles of R&D Management Comment A problem unidentified will remain unattended. They key to solving a problem is the discovery of the causal factor. Framework of General Management Figure 1.9 shows a framework of general management. The end results to which management is obligated to deliver include (to be elaborated later): productivity, effectiveness, efficiency, worker’s well-being, impact on client, and and sustainability. The means and instruments that are used and controlled by management to produce the results are the various kinds of resources or the 7Ms (see Figure 1.10), namely, manpower, machine, materials and supplies, money, minutes (time), message (information) and method and technology. The specific tasks of management revolve around the 7Ms. A manage- ment plan figures how to use resources to achieve goals; organizes and coordinates them for efficiency; develops skills and knowledge of work- ers; communicates plans; directs efforts of employees; controls resource use according to plan and solves day-to-day problems regarding resource use. UP Open University  Unit I Module 1 13 TASKS OF MANAGEMENT 1. Planning—Objective and Means 2. Organizing and Coordinating Talent 3. Promoting Organizational Values 4. Developing People 5. Communicating Plan 6. Directing Operation 7. Controlling Deviations 8. Solving Problems RESULT (Objective) Resources l Productive l Effective l Efficient l Worker’s Well-being l Manpower—most important l Impact on Client l Money l Sustainability l Machine l Materials and Supplies l Minutes (Time) l Message (Info) l Method and Technology Figure 1.9 Framework of general management. 7M anpower achine aterials and supplies oney inutes essage ethod and technology Figure 1.10 Resources in management (7Ms). UP Open University 14 R&DM 201: Concepts and Principles of R&D Management SAQ 1-1 How are results produced by managers? How do you differentiate a sucessful from an unsuccessful manager? ASAQ 1-1 Results are produced by the use of resources through good planning, husbandry and control. Managers become successful because of the way they perform their tasks: planning, organizing and coordinating talents, developing people, communicating skills, exercising good supervision, controlling skills and solving problem. Management and Administration One aspect of organizational sustainability and efficiency is stability and certainty of behavior of people and of the organization itself. While inno- vation and change are favored for growth, other factors are needed for stability. These factors include established internal systems and proce- dure and efficiency of operation of organization. Through administrative control and prerogative, resources are wisely spent, risk reduced and order established. A system that emphasizes control and regulation is commonly referred to as more bureaucratic. It is characterized by: a. The belief that public interest is best served when costs are controlled and rules are followed. UP Open University  Unit I Module 1 15 b. Assigning different functions to specialized and delineated bodies c. Delegating responsibilities to lower management d. Respect for formal structure irrespective of personalities e. Centralization of certain decisions f. Management by rules and standardization of conduct and behavior of people and in disposition of issues presented for action g. Top-down planning and initiation of action The field that studies this process is called administration. Another field is needed to counteract the traditional and status quo orientation of adminis- tration. Without a counterforce the organization that has become too bureaucratic will mistake stability, certainty and efficiency for goal attain- ment which is really the bottom line in organization. There are trends in modern management concepts and practices which insure goal attainment and organizational peformance: a. high productivity is not in structure and hierarchy but it turned-on people and people who feel valued; b. shift from top-down authoritative system to collegial and interactive system; c. shift from centralized to participative, spontaneous and self-initiating response to problem; d. shift from too much control (“don’t do that, don’t do this”) style of management to great freedom and autonomy for lower managers; e. shift from independence of specialized units to inter-dependence and teamwork (collective effort); f. customer satisfaction (service and quality) as measure of success and not good control and efficiencey; and g. final accountability of the organization is to the customers, tax payers or the stakeholders whose contribution and resources support the organization. UP Open University 16 R&DM 201: Concepts and Principles of R&D Management Activity 1-8 Take a moment and compare the two frames below (Figure 1.11) Discussions questions: 1. Which of the two ways of management will produce high performance? 2. How do you differentiate the two management styles? Figure 1.11 shows the contrast between a kind of style/orientation which is progressive and directional style (Frame A) and the control and mainte- nance-oriented (Frame B). In Frame B, management (hand) is contented with controlling events and behavior and in holding down performance to the status quo. Summary In this section, we have characterized the essential tasks of a manager. We argued that the most basic job of a manager is to make people work together toward attainment of an objective. The other important tasks of a manager are designing the organizational structure, promoting certain values in the organization, developing capability of people and wisely spending money and other resources. The section ended by drawing a distinction between the science and the art of management and adminis- tration. UP Open University  Unit I Module 1 17 References at the end of the course Read the articles “Management’s New Role” and “The Once and Future Manager” which are found in the Reader Volume. In your own words, summarize the main points of these articles and write down your reflections on the space provided after each article. If you are interested to compare your summary with mine, please refer to the highlights I provided at the last section of the Reader Volume. UP Open University  Module 2 Levels of Management I n this section, we show the distinction among different contextual levels of man- agement and the demands of each level. At Objectives the end, a case is presented to test if students At the end of this module, can apply concepts and principles. you should be able to: 1. Distinguish the differ- Levels of Management ences among the three (3) management levels: Management roles, functions and skills re- executive, mid-manage- quired vary depending on the level of man- ment and supervisory agement (Figure 2.1 and Figure 2.2). levels; and 2. Cite the skills and a) demands required of the three (3) levels men- tioned above. b) d) Executive Level c) Mid-Management Level Supervisory Level Figure 2.1 Management levels. 20 R&DM 201: Concepts and Principles of R&D Management Executive Level Executives are concerned with setting goals and envisioning the desired future of the organization. They think of the impact of the organization on the well-being of its clientele (mission) by being relevant to their needs and problems. Linkaging or seeking collaboration and cooperation with other agencies is necessary for resource generation and external coordi- nation. The communicating role is crucial to ensure the cooperation and commitment of lower managers and rank and file workers. In their role and function the executives pass on programs, ideas, policies, priorities, opportunities and value orientation to lower officers and workers. The basic skill for the effective functioning of an executive is conceptualization and forecasting. The executive’s functions and duties include long-range planning, resource generation and resource allocation. Mid-management Level The mid-level managers translate the organizational vision and mandate into program and budget. Their skills will have to be in program decision- making and coordination. Functionally, they are asked to translate strate- gic thoughts into operational programs, prepare program budgets and set up control mechanisms. Supervisory Level The operational management level or floor supervisors are those who are face-to-face with workers, facilities, equipment and the work itself. Their expertise is in production; they are expected to function in terms of on- the-job workers’ training coaching and guiding. UP Open University  Unit I Module 2 21 Skill Position Function l Conceptualization Research Executive l Long-range planning l Total system view l Resource generation l Resource allocation (strategies) l Designing Mid-Level l Translation into operational plans l Coordinating l Budget preparation l Control (quality and financial) l Supervision of job Operational l Production (task-people- (Supervisory) l Discipline machines) l On-the-job training l Guiding l Coaching Figure 2.2 Comparison of three management levels in function of skills. In an organization, the EXECUTIVE level has four (4) major responsibili- ties: a. setting goals and long-range direction of the organization b. setting the mission and the vision for the organization c. establishing linkages and transactions with various systems in the en- vironment (regulators, customers, clients, collaborators, supplies and competitors); and d. communicating and sharing visions, policies, long-range plans, val- ues and decisions with sub-managers and rank-and-file. The MID-LEVEL managers translate long-range plans, vision and priori- ties into operational plans and budget. The OPERATIONAL level supervisors control and direct production, guide and coach workers. UP Open University 22 R&DM 201: Concepts and Principles of R&D Management Activity 2-1 Read the following case entitled “A Carbon Copy”. Analyze the case using the discussion questions at the end of the case in at least two pages. A Carbon Copy? It is already close to six o’clock in the evening and Dr. Alfredo Regalado, the new Director of the National Herbal Medicine Re- search and Development Center, is still reading the reports sub- mitted by the different department heads and project leaders. Sev- eral papers requiring his immediate attention are piled up on his desk. He has not touched the said documents the whole day. He feels a strain in his eyes so he decides to call it a day and bring the papers home. Dr. Regalado, an excellent researcher (PhD in Pharmacology), has just been appointed to the position. He rose from the ranks and his last appointment before this was as head of the Pharmacology department. He is the most senior among the four technical de- partments heads. Center Director Administrative Division Finance Clerical Property Personnel Pharmacology Clinical Agronomy Training and Division Division Extension Div. Figure 2.3 The organizational chart of the Center. UP Open University  Unit I Module 2 23 Activity 2-1 continuation The former Center Director was promoted to Assistant Minister of Health, who has administrative and supervisory authority over health research in the country. Before he left the Center he made it known that Dr. Regalado was accountable to him on all adminis- trative and technical matters of the Center. With that instruction, Dr. Regalado lost no time in making his pres- ence felt by the system. He personally took a direct hand in han- dling personnel matters, such as leaves and absences, use of equip- ment, purchase and issuances of supplies, in addition to supervis- ing research activities. He ordered all division heads to submit de- tailed weekly reports before 12 noon every Monday. Dr. Regalado is very much concerned with details. In reports, he could easily spot inconsistencies and errors in analysis. He would call persons concerned and ask them to explain figures. He is fond of making regular inspections and in his rounds of the different laboratories and offices, he feels pleased when everybody seems busy. In such a short time since Dr. Regalado became Center Di- rector, the different unit heads have developed the tendency to play safe with him. They would consult him on all major and mi- nor decisions. On one occasion, Dr. Regalado was asked by the Assistant Minis- ter to attend a meeting for five (5) days. While at a meeting, he has extremely anxious about what is going on in the office, a thousand miles away. His long distance telephone bill during this brief pe- riod amounted to P2,000. 1. At what management level is Dr. Regalado operating right now? What are his functions? 2. How is he doing at this level? 3. What is your criticism of Dr. Regalado in his management style and behavior? 4. At which management level would Dr. Regalado’s manage- ment style be more appropriate? UP Open University 24 R&DM 201: Concepts and Principles of R&D Management Summary In this section, we highlighted, conceptually and in practice, the differ- ences among three (3) management levels: executive, middle and supervi- sory. The executive level position demands skills in conceptualization, vi- sioning, linkaging, missioning or prioritizing and communicating. The mid-level manager operationalizes the organizational goals into plans and budget. The supervisors work with workers and with equipment at the production point providing workers training, guidance, instruction, quality control and discipline. UP Open University  Module 3 Human Resource: The Key to Productivity T his module focuses on the human variable in organizational perfor- mance. It includes analysis of what a worker brings to the job and generalization on how to bring about the highest outputs from workers. Organizational structure, facilities, equip- ment, programs, funds, leaders and manag- Objectives ers, policies and institutional mandate are important determinants of organizational At the end of this module, productivity, growth and sustainability. But you should be able to: not one of them can outdo the individual in terms of the creative and energy inputs to pro- 1. Explain the contribution duce a product. If individuals decide not to of the individuals to work or decide to work improperly or become organizational perfor- a nuisance in an organization, no output/ mance; and product will be produced even if other ele- 2. Cite tested principles on ments (funds, equipment, facilities, etc.) are how to maximize pro- present. ductivity of the worker in an organization. What does the person bring to the job? The person’s equity to the production system con- sists of his energy, talent, time, attitude, knowledge, skills and information. It is the job of the manager to draw and channel all these from individuals so that goals are attained. The managers will have to pull out principles and practices from his motiva- tion bag so that the right climate and treatment are created for the person to be highly motivated and be productive. 26 R&DM 201: Concepts and Principles of R&D Management While many modern management principles and practices originated from the USA, Japanese firms have institutionalized them. This contributed immensely to the dramatic industrial growth of Japan. These manage- ment principles have gone back to the USA and many works written by Americans have made these management teachings popular throughtout the world. SAQ 3-1 1. Answer true or false, then elaborate. In modern management, the key to organizational productivity is: computerization, au- tomation and operations research. 2. What are the contributions of the individual to organizational performance? ASAQ 3-1 1. False. Modern inventions such as computerization, automa- tion and operations research are only tools that augment the individual factor. Still, then as now, the most essential element for organizational performance is the individual. 2. Creativity, energy, attitude, knowledge, expertise, talent and information. Below are some relevant generalizations about human resources that are often seen in modern day management literature: l Joint ownership of an idea results in greater commitment and support from those who participated in its development. This is the whole idea of participative management. Companies that practice partici- pative management in effect practice democracy in the work place. Japanese and American firms that have adopted this policy not only increase worker productivity. The workers also become more active in originating technological and management innovations and they are certainly putting in more of their energies, time and talents into the job. UP Open University  Unit I Module 3 27 Figure 3.1 When workers are involved in idea development and planning they usually identify with the plan and support its implementation. z Individual effort is important for company productivity. But many times more important is joint effort. Personal effort is no longer suffi- cient for high organizational performance. As the workforce in mod- ern organization becomes more specialized, there is even a greater need to coordinate and integrate or complement the work of the spe- cialized units. Otherwise the organization will be reduced to frag- ments. Figure 3.2 Collective effort will lead to high productivity. UP Open University 28 R&DM 201: Concepts and Principles of R&D Management While the general theories and principles of management are universal in application, management becomes an integral part of national culture. Operationally, there are behavioral nuances among country-branches of multi-national companies. Figure 3.3 Bosses who do not come from the same culture as the workers must try to understand the culture. Management is about people and culture is people. Jocano (1990), a Filipino anthropologist said the management involves people communicating and relating with each other which in turn “in- volves attitude, values, and sentiments…their roots in culturally shared experiences of people in the communities where they were born and raised prior to joining the company” (Jocano 1990). z Commitment to common goals and shared values (Drucker 1989) by workers contribute to sustained organizational performance. z Values and capacities are added to human resources when their skills are upgraded, knowledge and insights are widened, new tools are acquired, proper attitudes intensified, and personalities enhanced. z “Management is more than technology. It deals with people, their values, their growth and development…management is deeply in- volved in spiritual concerns—the nature of man, good and evil” (Drucker 1989). UP Open University  Unit I Module 3 29 Activity 3-1 Go to a firm/company and ask the boss for the name of the best worker. Then interview this person, his colleagues and boss and write an essay/story/case about this person. What makes this per- son outstanding compared to other workers? Summary In this section, we have underscored the importance of human resource in the organization. Innovative approaches to the management of this resource are necessary to be able to keep the workers well-motivated in contributing to the organization’s goals. The success of many American and Japanese firms indeed attest to the principle that the ability to bring out the best from each worker is mutually beneficial to both the organiza- tion and the individual. UP Open University  Module 4 Parameters of Organizational Performance A ny organization finds itself being evalu- ated by its governing body or the public all the time. To aid in this process of assess- Objectives ment, it is crucial to have a clear idea of the At the end of this module, basis on which organizations are judged. The you should be able to: overall standing of an organization is a com- posite picture of a number of results and in- Cite and explain the kinds of dicators. results or outcomes managers are expected to produce in the organization. Parameters of Organizational Performance When do we say that an organization is performing well? Figure 4.1, cites the results managers are expected to produce through a combination and wise use of resources. These results are also the same parameters on which performance of organization can be made account- able and be judged. 32 R&DM 201: Concepts and Principles of R&D Management SAQ 4-1 See if you can suggest some criteria for evaluating the performance of an organization. ASAQ 4-1 If your list includes any of the following: (1) producing what is expected of the organization; (2) accomplishing goals; (3) creating the desired impact, then you have a pretty good idea of what we will cover in this module. Productivity An organization is productive if outputs are being produced. This implies that people are working and means are available for people to work. In effect, this is the minimum criterion for organizational performance. An example of productivity performance: In a research institute, it would be number of completed researcher for the year as reported in the institute’s annual report. Another example would be the number of publications. Can you think of other productivity measures? UP Open University 34 R&DM 201: Concepts and Principles of R&D Management Efficiency Efficiency is tied up with resource use in relation to outputs. Assuming that an organization is productive and effective, a question should be asked—at what cost? It is not enough that there is productivity and effec- tiveness; the cost of producing the product is essential in good manage- ment. The reason for this is that resources have opportunity cost. Resources that do not yield much results are wasted because they could have been used elsewhere. An example of efficiency performance of a research agency is a cost re- duction measure for producing the power source of its research labora- tory through use of solar power. Another example is producing the pub- lications at low cost to reach a larger audience. Projected Budget Actual Expenditure Cost Figure 4.3 Efficiency is spending less while meeting expectations. UP Open University  Unit I Module 4 35 SAQ 4-2 See if these measure of organizational performance are clear to you by matching the terms in Column A with the closest situation in Column B. Column A Column B 1. Productive a. If products produced are consistent with organizational mandates and thrusts 2. Effective b. If workers can produce many outputs in a given time period 3. Efficient c. If conditions of client are improved d. If more outputs are produced through wise use of inputs ASAQ 4-2 1. b is the correct answer. You may have answered a or d. It’s easy to confuse productive with effective and/or efficient. The defining characteristic of productivity is quantity of outputs pro- duced; effectiveness is consistency of outputs with agency thrusts; and efficiency is economy of resource use. 2. If you answered a, you are right. 3. d What follows are the other measures of organizational performance: worker well-being, impact on client and sustainability. UP Open University 38 R&DM 201: Concepts and Principles of R&D Management Activity 4-1 In a scale of 1-5 (1 lowest and 5 highest), rate a research organiza- tion that you are very familiar with (could be your own if appli- cable) using the criteria of effectiveness, efficiency, impact on cli- ent, worker well-being and sustainability. Comment A complete research organization is one which scores high on all the cri- teria discussed above. Summary In this module, we defined the parameters by which an organization’s performance may be measured. These are: productivity, effectiveness, ef- ficiency, worker well-being, impact on client and sustainability. To be able to maintain its competitive standing in today’s fast-paced environment, an organization must ensure the use of it that resources is maximized in trying to be successful in each of the seven measures. UP Open University  Unit I Module 5 41 Managers or Leaders Are managers different from leaders? What do organizations need, man- agers or leaders? Analytically, management is different from leadership. But there is an overlap. Not all leaders are managers but all effective managers have to be good leaders. The task of managers revolve around resource control and husbandry to achieve the organizational goal. Resources to managers are like chess pieces to chess players. By strategically and tactically moving the pieces (each kind has different flexibility and constraint like the bishop can only move diagnonally while the rook’s movement is both vertical and horizontal, the queen, on the other hand, can move freely in any direction) the chess player gains position and ground until victory is attained. By intelligently deploying resources, managers achieve objectives. Managers need to have an organizational venue to function. They get legitimacy from somebody with an appointment authority or through an election process. Rewards to managers come from achieving targets, fulfilling assigned mission or delivering products or services at the lowest cost. On the other hand, leaders move people with their ideas, ideals, passion and personality. They don’t really need resources to make people follow them. People respond to their call because leaders inspire them and are saying things that people like to hear. Their resources are their charis- matic personality, powerful ideas, clear vision and communication skills. The success of leaders comes through the effort of others because what they do is to enable others to act as a team. Leaders make workers go for higher levels of achievement through encouragement and motivation. While we tried to separate and analyze managers and leaders, in organi- zation setting, we need both. In fact, it is not easy to draw the line be- tween them. It is futile to pit one against the other. While not all leaders are managers, managers cannot be that effective if they lack leadership skills and qualities. It is therefore imperative for managers to acquire the dimension of leadership so that organizational objectives are realized. UP Open University 42 R&DM 201: Concepts and Principles of R&D Management Activity 5-1 Read the following articles which can be found in the Reader Vol- ume: “Some Truths About Leadership”, “Principle-Centered Lead- ership”, “Leaders Center Their Assumptions on People Rather Than Structures” for further understanding of the manager-leader relationship. Summary Management and leadership are two distinct but closely related concepts. In this module, we distinguished between a manager and a leader. We emphasized, however, that there is an overlap in the roles they play in an organization. While the leader embodies the vision which inspires people to move, the manager has the legitimacy of authority and structure to move resources towards organizational goals. UP Open University  Module 6 Total Quality Management (TQM) As Organizational Culture T he world of business has been generating innovations elsewhere. Due to worldwide competition traded goods and services have become cheaper and the quality better. Companies have been constantly finding better and cheaper ways of producing products and with higher quality to boot. One of these innovations in business that has become widespread is Total Quality Management (TQM). Its philosophy and the principles behind it have been applied to government and to other types of organizations— religious, military, hospital, schools, etc. Michael Barzelay (1992) has written a book—“Breaking Through Bureau- cracy” which documents the state of Minnesota’s award-winning pro- gram “Striving Toward Excellence in Performance” (STEP). The book shows how ideas and innovations in business were applied to govern- ment. Another book “Reinventing Government” (Osborne and Gaebler, 1992) describes the notion of entrepreneurial government. In the past entre- preneurship was used in the context of business when somebody makes profit through risk-taking ventures and by pursuing doggedly an oppor- tunity. Osborne and Gaebler are saying that the meaning of this French word—“entrepreneur”, is using resources in new ways to heighten pro- ductivity and effectiveness and that this definition according to them, applies equally to the private as well as the public sector.  44 R&DM 201: Concepts and Principles of R&D Management In this section of the course, we treat the intro- Objectives duction of TQM as a change in organizational culture. TQM is regarded as an organizational At the end of this module, philosophy in which the overriding mission of the you should be able to: firm or institution is to satisfy continuously the customers or clientele with quality product and 1. Describe the evolution of quality service. Not only that, TQM philosophy TQM; extends to quality of life and increase in human 2. Explain how TQM affect welfare of the workers through people-oriented performance of an management and improvement in working and organization; and employment condition. 3. Apply TQM concepts to the R&D organizations. While all the above examples are in business, the concept or idea of TQM is thoroughly applicable to research operation. Organizational Culture Since we have claimed that TQM is becoming a philosophy of the entire organization or a part of organizational culture, we have to know a little bit of what organizational culture is. Andrew Pettigrew (Peters and Waterman, 1982) describes organizational culture as symbols, ideologies, language, beliefs, rituals, myths which af- fect the structure of organization is structured and the technology it uses. Culture in an organization has the ability to bind and coordinate mem- bers together, generate a sense of commitment and purpose. It is acquired by members through the process of organizational socialization (Schein, 19__) which is a process learned through interaction and reinforced by applying the forces to positive reward and sanction. To Bower (1966), organizational culture is simply “the way we do things around here.” What is TQM? Let’s go back in time to see the beginning of TQM. Total quality manage- ment was preceeded by industry concern for product quality, bottom line profit, top-line sales and market share. To capture market share, the sup- pliers of products have to insure that their products possess attributes that contribute to acceptability. When done constantly and consistently, these attributes become the distinguishing work of the product, hence maintaining or increasing the market share. UP Open University  Unit I Module 6 45 For food products quality is defined in terms of desirable sensory attributes like color, texture, odour, and taste (ITC, 1991). The “product-orientation” in quality was followed by “user-requirement orientation” of quality. The prevailing consideration is the customer and what the product might do to that customer. Product quality here is mea- sured in terms of utility function from the viewpoint of the end-user. It is called ‘fitness for use’ (cited in ITC, 1991). The questions commonly asked here are: Did the product come at the time when it was needed, was it covenient to use, did it conform to the preference of the customer? From product to end-user orientation, the trend moved to organization- orientation. This is the flow of concept development of total quality man- agement. The organization-orientation brings the process all the way back to pre-production then to production phase and finally post-production phase. Total quality management is the product-quality, user-fitness, and sup- plier-orientation taken together. The general function of total quality man- agement is to ‘maintain product fitness for use.’ Its motto is “doing the right things well all the time.” The major concerns of the supply organi- zation are: prevention of poor quality products, and integrated use of men, materials, method and machines. The essence of total quality man- agement is enhancing people productivity through participation, proper motivation, sharing of responsibilities, improvement in working condi- tion for employees and effective internal control through monitoring and corrective action. As Salazar (1995) has written, “quality is no longer the preserve of in- spectors in white coats. It has entered the boardroom as a central man- agement concern” and if we may add as management philosophy. Quality consciousness is becoming an integral part of the organization’s culture. The pursuit of quality in any organization should pre-occupy us from wake up time in the morning up to the time of retirement in the evening. It is a never ending process that starts at home, continues at work, and goes on in the social activities in which we participate. It consists of activities we all strive to do with varied degrees of perfection through continuous practice and conscientious effort to be the best at what we do. It is doing the right things consistently. Attributes that are valuable to attain the desired total quality are: l First, quality must begin with oneself. l Second, will power is having the will to win the daily private battles. UP Open University 46 R&DM 201: Concepts and Principles of R&D Management l Third, the habits of proactivity where planning is the key to direct activities without losing much energy and resources. l Fourth, the habit of maintaining a balanced emotional bank account with people we deal with—our wife/husband, children, subordinates, su- periors. l Fifth, the habit of balance as against monstrosity. An over-developed social life and/or workaholics are clearly a disadvantage that will only hasten the strands of misconduct and misunderstanding. l Sixth, quality is the capacity for visioning. Vision is a mental journey from the known to the unknown creating the future from the synthe- sis of current facts with future hopes, dreams and opportunities. l Seventh, quality is the ability to wait as against the desire for instant gratification. We may be the type who wants instant rewards, instant recognition for everything we do that would sometimes result in half- baked, underdeveloped ideas. Seasoning and maturing together with learning and relating is the name of the game. l Lastly, quality is an aspect of human virtues. Human virtues can be expressed as values of love for freedom, love for the truth, industri- ousness, fortitude, joy, cheerfulness and optimism. (_____, 19__). SAQ 6-1 Match each item in Column A with a statement in Column B which describes it. Column A Column B 1. Product orientation a. Must fit the requirement of the cus- tomer. 2. End-user orientation b. Product quality in order to maxi- mize profit 3. Organization orientation c. Quality consciousness from pre- production, production and post- production processes d. Product must be advertised for high market share UP Open University  Unit I Module 6 47 ASAQ 6-1 1. b 2. a 3. c Letter d does not figure in TQM. The essence of product-orienta- tion is superiority in product features. End-user orientation is to satisfy and it the customer’s requirement while organization-ori- entation is total and complete aspects of the organization. The three principal blocks of any organization are: l Hardware – facilities and equipment l Software – systems, methods and procedure l People – user of facility and systems Successful organizations depend on a harmonious interplay of these three building blocks. However, people is most valuable. Quality people is enhanced through continuous relevant training, both formal and informal, which are all designed to improve the skills as well as promote certain values. TQM implies openness, and receptive to change and to all good things that can be learned. It means learning and doing the right things well all the time, adding value to whatever passes through our hands in what- ever station in life, wherever we happen to be. But the fact that we fail should not discourage us. When we fail but keep struggling to rise, we inspire the people around us to make the same struggle. It was pointed out that the productivity in an organization is defined by the productivity of the employees. The team or unit to which the employ- ees belong has a vital role in promoting individual productivity. The work- ing relationship and internal climate within the unit and in the larger setting of the organization can be a facilitating factor for the individual productivity. To maintain excellence in the organization’s performance there has to be a balance between meeting organizational and individual needs. On the part of the individual, the person brings to the organization professional competence (knowledge, skills, techniques), information, attitudes, val- UP Open University 48 R&DM 201: Concepts and Principles of R&D Management ues, time, commitment and personality as his/her equity. On the other hand, the organization provides financial compensation to the employee as well as social and physical work environment where he/she can grow, develop and mature. In the team-building workshop that ensued, certain team-enducing and group-coordinating factors surfaced. They include: commonality of goal/ purpose, sensitivity to the needs of team members, positive action/will- ingness to respond to the needs of the members, subordination of per- sonal interest for the group, open communication or sharing of infor- mation and needs, and active participation in group activity. There are also certain “teamwork busters” such as putting team members down, ego-centrism of members, individualism and eccentrism, hugging or taking all the credits alone and ‘me first’ orientation. Summary Total quality management (TQM) is not simply having the ability to de- liver according to client’s expectations It’s really outdoing yourself in all areas of operation with excellence in mind. TQM becomes part of the organizational culture once all members become committed to a concern for product quality and service for both internal and external customers. Experience has shown that TQM does not just happen. It is something planned and invested in, and before it can become a way of life, a great deal of training, upgrading and restructuring has to be done. To keep itself at par, today’s organization has to continually assess its capacity for competition. But the bottomline figures have changed. Instead of profit, an organization’s competitive advantage is now determined by its drive for quality. Activity 6-1 1. Answer the question - “Is TQM applicable to a research orga- nization?” 2. In a scale of 1-5, with 1 as highest and 5 as lowest, how do you rate your own organization in terms of quality consciousness and practices? To be specific, what are the good and bad points of your organization with respect to total quality management. UP Open University  Unit II Uniqueness of Research and Development (R&D) Management F ormer UP President and Ambassador S.P. Lopez once said, “While management is important it cannot be more important than what is being managed.” Graduate business schools in the US and in other coun- tries are being criticized for the inordinate emphasis in their curriculum on finance, quantitative analysis, marketing and human and organiza- tion behavior at the expense of production and technical areas. Much thinking has been done to insure that the management system fits the unique culture and characteristic of the scientific and innovation pro- cess and of the workers in it. While the general management principles are certainly applicable to a wide arena there are nuances in research and technology development which stresses the need to establish a sub-disci- pline of management of research and technology. Why is it necessary to build a sub-discipline within management and de- velop a different breed of managers? The answer is it takes somebody who has internalized the way of life of a scientist and who understands the research and scientific processs to run the enterprise of research and science effectively. To begin with the researchers/scientists listen to a dif- ferent drum beat as they go about in their day-to-day grind. There are general rules, standards and norms in scientific process which constitute the code of behavior of researchers and scientists. 50 R&DM 201: Concepts and Principles of R&D Management Due to the self-consciousness of scientists as a class, it is extremely diffi- cult for someone without credentials as a scientist to administer or man- age scientists. Even in business organizations, R&D units are headed by former or practicing scientists. Non-scientists would not be respected or would have no credibility in the eyes of scientists. Since the leadership choice in science and technology is limited to science practitioners, it is imperative then to tap scientists with leadership talent and interest for management responsibility. But they have to be retooled, reoriented and made knowledgeable of management perspectives, tools, principles and learn some new skills. Objectives At the end of this unit, you should be able to: 1. Discuss creativity and innovativeness and show how management can facilitate their release from scientists; 2. Cite and explain the stages/elements in a scientific process; and 3. Describe the characteristics of scientists and point out their implica- tions to management. UP Open University  Unit II Module 7 49 Module 7 Managing for Creativity and Innovativeness T he most valuable resource that translates into scientific and techno logical outputs and which defines excellence in a research and scien- tific organization is creativity and innovative spirit. Creativity is controlled by some kind of energy. Creating a climate within an organization that is conducive to the release of creative energy and encourages an innovative spirit is the main job of a research manager. Objectives Creativity At the end of this module, What is creativity and the innovative spirit? you should be able to: Creativity is the ability to generate new ideas. It is the “bringing into existence something 1. Define and explain the for the first time.” It generates new products process of creativity as it and also new ways of doing things. Mayers relates to research; (1982) said that it comes when the person pro- 2. Discuss the conditions cesses diverse, seemingly unrelated informa- that favor the creative tion and ideas, making combinations of them process in individuals resulting in a new, original and meaningful and organizations; and configuration. It makes a series of breakaways 3. Define and explain with the past which leads to an unpredict- innovativeness and how able conclusion. “It comes only after a period it relates to technology of study, hibernation, inspiration and perspi- development. ration and after cross fertilization of ideas” (Cuyno 1989). UP Open University 52 R&DM 201: Concepts and Principles of R&D Management SAQ 7-1 Match the concepts in Column A with letters in Column B best describing or defining the items. Column A Column B 1. Creativity a. Producing ideas to solve a problem 2. Innovativeness b. Being hardworking c. Producing something new for the first time ASAQ 7-1 1. c 2. a Being hardworking is a trait also possessed by a creative and an innovative person. But being hardworking is not a sufficient nor necessary condition for a creative and innovative person. Creativ- ity is using a new combination not done before. Innovativeness is solving a problem with new ideas Creativity does not come to an unprepared mind or in a vacuum. It is similar to a problem solving situation. A problem solver emerges from the situation which gives rise to a problem. He/she collects data through ob- servation, studies and processes the same and understands its nature. Only then are possible solutions considered. The creative solution is usu- ally direct, simple, elegant and effective. It is not possible to program when that precise creative moment will come. We cannot tell the brain when to produce that original, elegant and unique product. The brain has its own rhythm and seems to wait until the right combination of inputs gel. We can only stimulate and create an atmosphere that will make the brain always active. For a new and unique idea to be useful, it has to be sub- jected to a practical test. Hence we see creative people do a lot of tinker- ing, trial and error, piloting and verifying. UP Open University  Unit II Module 7 53 There are two factors that interact a creative process. One is inside the person—his needs for accomplishment, personal satisfaction, problem- solving, feeling of personal adequacy and his own valuing of a creative product. The other factor is external to the person—climate of exploration, free- dom, safety, challenge presented, tolerance and encouragement, incen- tive, and group stimulation through interaction. When an organization and management style rewards and encourages creativity, workers be- come infected with the spirit and the creative process comes easily. What are some of these organizational and management practices that seem to enhance creative process in an organization? Below are some of the research findings: 1. Colleagiality and professionalism. A relatively small degree of formal- ization of relationships among the workers and superiors. 2. Open communication channels interconnecting or networking all those knowledgeable units relevant to a particular problem area. 3. Relatively large areas of discretion and healthy amounts of participa- tion and autonomy for those who are expected to exhibit creativity. 4. Decreased likelihood of management by direction and control. (This will probably mean flatter or at least nonpyramidally shaped struc- tures). 5. Measurements of results and the associated evaluation of personnel based on their attainment. 6. Output-oriented management. A tendency to utilize actual results accomplished rather than the adherence to minutely prescribed pro- cedures, as the standard for evaluation and measurement. Activity 7-1 Read the articles “How to Manage Creativity” and “Research Man- agement: The Meeting of Creativity and Productivity” which are found in your Reader Volume. Using these learning aids, synthe- size on a paragraph or two, the importance of creativity, analyti- cal skills and disciplined reasoning in managing a research enter- prise. UP Open University 54 R&DM 201: Concepts and Principles of R&D Management Innovativeness What about the innovative spirit? Innovation is the product of the cre- ative process. Before an innovative product is produced, the creative en- ergy has to be released. Creativity is an input to produce innovation. The innovative spirit is the drive to channel the creative process to solve a problem or to put it to good use. The innovative spirit is creativity plus utility or positive use of a new idea. In the context of technology development, the innovation process can be viewed as a continuous flow of activities involving research, invention, trial, piloting and commercialization. When put into a development pro- gram in an area, these technological innovations create opportunities to generate individual and corporate wealth (Cuyno et al. 1994). Activity 7-2 Give an example each of a research-generated and a non-research- based technological innovation (local inventor, model farmer, etc.). Describe each briefly in terms of their characteristics, how they were were promoted and spread and their present status. Summary In this section, we have tried to understand the atmosphere within the organization that fosters creativity and innovativeness. Both individual and organizational factors contribute to enhance the creative process. While creativity generates new ideas, innovativeness makes possible the translation of these ideas into products that could solve a problem or find some practical use. Research and development institutions must actively pursue organizational practices that favor the continuous flow of creativ- ity and innovativeness to allow scientists and researchers to fully explore and develop original ideas. UP Open University  Module 8 The Scientific Process T he adherence to the scientific process is what binds all scientists regardless of time and place. While there might be variation Objectives from one discipline to another in terms of re- At the end of this module, search and procedure and measurements, sci- you should be able to: entists basically follow a common regimen and reasoning process to arrive at the truth. 1. Cite and briefly describe This is called the scientific process and this the steps in the scientific module is about this process. process; and 2. Explain how manage- ment will bring to bear The Scientific Process on the scientific process. A unique characteristic of research manage- ment is that the management functions, processes, tools and behavioral aspect are applied to a specific and distinctive process—the scientific pro- cess. The flow of the process is shown in Figure 8.1. Each step is briefly described below. Step 1 Identifying the Research Problem. This is the question to which the researcher wants to find an answer. As a problem it has to be resolved with a cause-effect explanation. The way a research problem is formulated will determine the research hypothesis, research procedure, the research variable and the type of analy- sis needed. 56 R&DM 201: Concepts and Principles of R&D Management Step 2 Reviewing Previous Work. This is to insure continuity of sci- ence and prevent repeat of an already completed study (hence a substantial saving which gives leads to the present study.) Step 3 Formulating a Specific Research Objective. This will identify what data need to be collected, what scientific contribution is expected and the outputs intended. Step 4 Formulating the Hypothesis. The hypothesis is a statement de- scribing how at least two variables are expected to relate with each other. The question of what will happen to variable B in the presence of variable A will be answered in a hypothesis. As an example, it can be postulated that the weight of substance B will increase by 50 percent every time substance A appears. Step 5 Designing the Research Procedure. What treatments and how will they be introduced? What method will be used to collect data? Who will be the respondents or subject of the research? These are some of the question asked in determining the re- search procedure. Step 6 Collecting Data. This includes making the observation and re- cording the same. Step 7 Organizing and Analysing data. This process puts the obser- vation in a table, graph, etc. to allow easier interpretation. Step 8 Formulating the Conclusion. Here the data is compared against the hypothesis or the expectation. Is there evidence to confirm or reject what was expected or hypothesized? Step 9 Reporting. Finally the results and conclusion of the study are made known to other researchers and the public. UP Open University565  Unit II Module 8 57 Report Findings Formulate Conclusion Identity Research Problem Organize and Analyze Review of Previous Work Collect Data Formulate Specific Research Design Objective Research Procedure Formulate Hypothesis Figure 8.1 The scientific process. The objective of applying tools, techniques and management principles to the research process is to make the process more efficient and cost effec- tive. Considering that there are other alternative uses for resources, it is important to optimize the values from them. There was a time when the realization of science in terms of financial management was not a prob- lem because research support to certain highly regarded scientific person- alities came from royalties and rich individuals. In modern times, funds for research usually come from public and business sources which de- mand accountability and payoff. UP Open University 58 R&DM 201: Concepts and Principles of R&D Management Activity 8-1 Interview a researcher to find out if he/she follows the steps in the scientific process. Find out which steps are the most problematic for her/him. Why? Comment All nine steps in the scientific process are necessary. Any step could be problematic. Step 6 (data collection) however provides the raw material for arriving at the conclusion. Invalid and unreliable data leads to unwar- ranted conclusions. Summary In this module, we have described the steps involved in the scientific pro- cess. By getting information from a scientist/researcher first-hand, famil- iarity with how such a process is carried out in the real setting and in- sights on its effectiveness in field practice were gained. UP Open University  Unit I Module 9 59 Module 9 Characteristics of Researchers/Scientists and their Management Implications T he biggest multiplier in management is the people factor. People ab sorb inputs and then convert them into outputs many times more valuable. Some people are able to produce great amounts and quality of outputs for certain inputs. Objectives Scientists are a different breed of people. They require, therefore, a treatment that will bring out At the end of this module, their maximum productivity. you should be ale to: 1. Cite the characteristics Characteristics of of scientists; and Researcher/ 2. Discuss ways to manage scientists to Scientists get optimum contribu- tion from them. What are the characteristics of scientists that managers need to appreciate so that they are tuned-in to each other? First, scientists have highly specialized and advanced training. They have developed expertise and depth of knowledge that make them more knowl- edgeable on certain fields than their bosses. The boss cannot therefore UP Open University 60 R&DM 201: Concepts and Principles of R&D Management claim superiority over the scientists in the field of research on the pretext of rank and seniority Figure 9.1 Researchers/Scientists posses expertise and specialization which is their strength. They should be assigned tasks that will capitalize on their strength. Second, scientists develop loyalty to their peers, often greater than loyalty to the organization and their bosses. They give more value to the approval of and recognition from fellow researchers in the fields than what they obtain from their own organization. Memo from Boss Professional Association TRASH Figure 9.2 Often, scientists identify more with peers than with their bosses. Third, scientists like to work alone, tend to be self-directed and would not want to be encumbered by stiff restrictions, rules, demands and control from the bureaucracy or administrative system. They value autonomy, flexibility and freedom of thought. UP Open University  Unit I Module 9 61 Personnel Accountants Budget people Purchasing Figure 9.3 Scientists like to work undisturbed by rules and administrative routines. But like other normal human beings, scientists also are “worldly about their salaries, compensation, treatment and working condition.” Can scientists be managed? The answer is yes! But they have to be man- aged differently from other groups. Because scientists need resources to be productive, they have very little choice but to adapt to management and institutional constraints and priorities. Productivity is important for scientists to define their place in the scientific community. Therefore they learn to negotiate with higher management for time, financing, equip- ment, facilities and ideas and research agenda. How should a research manager treat scientists to get optimum contribu- tion from them? First, the manager and the scientists agree on what needs to be done. In return for their salary and other perks, they can be required to perform according to their responsibilities. Second, it should be clear to them from the very beginning that their accountability is to the organization and its mission and not to themselves or their peers. In no instance should scientists be given the opportunity to be diverted or distracted from their responsibilities for the organization can lose a lot of time and money. UP Open University 62 R&DM 201: Concepts and Principles of R&D Management Third, the scientists should not be loaded with chores/tasks they are not being paid. Scientists are paid for their creativity, expertise, scientific knowl-edge, intelligence. Don’t distract them away from these with trivia, volu-minous and detailed paper work and “endless and useless meetings to which they cannot contribute and from which they get nothing.” In line with these, they should be provided with efficient support services so sci-entists can concentrate on what they are good at. Fourth, scientists should be extended support in terms of tools needed, time, facilities, and a favorable working environment. Fifth, high standards and challenges should be set before them. As in sports competition, when scientists are pushed to high expectation, they tend to give it their best effort. Sixth, their efforts and achievements which are considered valuable and preferred by the organization should be rewarded. It is the job of man-agement to channel the contribution of scientists to the goal of the organi-zation. The reward system is a mechanism to steer scientists tal- ent, time, effort and expertise towards certain goals. Seventh, scientists should not be managed through control but through professionalism and accountability of outputs. Management should moni-tor their program of work, establish constant professional stimulat- ing in-teraction, and show genuine interest in their work by finding time to join them in the laboratory or in the field. Scientists should have some free-dom and a long leash but it should be clear that outputs are expected from them. Eighth, scientists are motivated when management shows pride in their achievement and by championing their work. Management should be the Number One cheerleader. Ninth, the management should create a collective climate and teamwork. The manager should instill in scientists the culture of joint performance and interdependence rather than isolationism and rugged individualism. Scientific achievement in modern times is attained through complemen-tation and collaboration rather than sheer individual isolated effort. UP Open University  Unit I Module 9 63 Activity 9-1 Answer privately. In your own experience, what are some of the difficulties in managing researchers? Comment Scientists and researchers are motivated by the challenge of the problem and by the thought of possible discovery of solution if not by greater understanding of his/her subject. Activity 9-2 This module is one of the more important modules of this unit. To further help you appreciate the main points herein presented, read the articles “What You Should Know About Scientists,” “Transi-tion from Science to Management: The Case of the Re- search Man-agement Center of the University of the Philippines at Los Baños,” “Introduction” of John Nickel’s book, and “Can Sci- entists Man-age Science?” and briefly comment on these articles. For your reference, I have included in the second section of the Reader Vol-ume what I thought were the highlights of these ar- ticles. Please refer to them if you find them useful. Summary In this module, we have dealt with the uniqueness of scientists and the implications of their uniqueness to research managers. As scientists pos-sess their traits and characteristics uniquely their own, there is need to manage them differently. Though they appear indifferent to things other than the pursuit of their individual research interests, they can, in fact, be managed. By knowing what works for scientists, managers get around the difficulty posed by such traits and even succeed in drawing out their potential for maximum productivity. UP Open University  Unit III Module 10 65 Unit III Management of the Research-Technology Continuum T here is an ambivalence in the attitude of the public and higher authorities to research and scientists. On the one hand because of their high education and training and simple lifestyle they have high credibility and enjoy public trust. On the other hand because their work is little understood, and it takes a long time to produce results, public funding is not assured. Besides, scientists have a tendency to work independently. The management of the research enterprise and activities has become a necessity. Due to increasing public expectations and demands, research enterprises have to learn to be accountable to their supporters. They have to learn to communicate what is their work and show results that the public wants and needs not simply they are interested in pursuing. Also, the process and the composition of the work force in the workplace have been changing. Interdisciplinary and multidisciplinary teams have replaced the individual or the knowledge worker. Today, a scientist must not only be good in his/her discipline to make scientific and developmental contribution. He/she must learn to relate with others from a variety of disciplines and produce a common product. And the scientific process is now shared with “non-scientific” functions that scientists abhor or are unfamiliar with such as budgeting, personal grievance, policy advocacy, resource generation and building of facilities or construction work. UP Open University 66 R&DM 201: Concepts and Principles of R&D Management This unit will help show the students how the research enterprise has changed and what are the demands of society on those who are leading and managing the said enterprise. Objectives At the end of this unit, you should be able to: 1. Cite and explain the management demands from scientific enterprises; and 2. Discuss how technology induces changes in society and how society influences the technological development process. UP Open University  Unit III Module 10 67 Module 10 Technology and Technology Management D ue to the growing role of technological innovation in the process of development in practically all aspects of living, it is vital to Objectives understand what it is, how it affects the deve- At the end of this module, lopment process and what are the conditions you should be ale to: favoring its occurrence. 1. Give the definition of With knowledge of the anatomy and process technology; of technology, managers of firms, programs 2. Cite and give examples and products will have a better grip of it so of various forms of tech- that tech nology can fulfill its promise of being nology; a catalyzer and primeover of development 3. Rationalize technology process. Furthermore, since technological as part of the develop- innovation is a product of human creativity and ment process; and effort, it is important to know the environment 4. Argue the need for that will be conducive to its occurrence. institutionalizing and professionalizing There is one teaching in theology which states technology manage- that God’s creation is an ever continuing ment. process. The Creator may have set it off in the beginning but man takes over to continue His work. Man has been given the intellectual and physical capacity to participate in this creation process. With such capacities, man can maintain his/her control of nature or environment and collective destiny. Hence it is often said in development literature that we can design and create our desired future. This view of development is equated with the ability of society to exercise control, that is, to proceed with development process at will. This includes not only the short run utility of nature and UP Open University 68 R&DM 201: Concepts and Principles of R&D Management environment to serve man’s pleasure and welfare but the long range fate of society and humanity itself. Part of this co-creation process between the Creator and man is the deve- lopment of devices or tools and their management or use. For maximum result it is not sufficient to invent the device or tool. One must learn how to use the device or tool. As man develops new ideas of a good life, as such ideas following the Malthusian path and as the natural environment becomes exhausted, it becomes necessary to expand human control. There- fore, man must invent new technology to cope with all these changes and insure survival. In this thinking, technology is a liberator (from constraints imposed by natural environment), an aid for getting things done more efficiently to cope with increasing demand and, a device to construct to satisfy emerg- ing needs. Technology Defined Technology is defined here in its broadest and most generic sense to wit: it refers “collectively to any human-made tool and the know-how for making/or using that tool” (Sharif, 1986). In the past science or the systematic process of knowing, understanding and predicting phenomena— followed technology; that is, the technology that previous generations had invented and used through trial and error to insure survival and growth, were collated, coded, verified, put into theory and documented to become part of the state-of-the-art. At present, however, the trend has been reversed. It is now scientific knowledge and advancement which is spawning and spinning techno- logical progress. Also, instead of a more stable technological product existing over time, we now see a fast changing technological innovation production process. As scientific knowledge grows and as more people in society assimilate and use this knowledge, more people use this base to create and will invent new technologies. Implied here is the realization that what is important is “what people do with what they know” (Sharif, 1986). Thus, another definition is needed to capture this trend. We can then say that technology is “any systematized practical knowledge, based on experimentation and/or scientific theory, which is embodied in product- ive skills, organization or machinery (Gendron, 1977). UP Open University  Unit III Module 10 69 Technology is man-made and for it to benefit society techniques and procedures must be created to manufacture, commercialize and distribute the tool, the process and the product. Technology enables man to extend capacities and enhances capabilities of the mind and muscle. Forms of Technology Since technology has become an integral part of modern living and has become part of our physical, social, cultural, and economic environment, it has taken many forms. Sharif (1986) has suggested four (4) different elementary forms. They are: l Object-embodied such as machine and materials. l Know-why type which includes knowledge of how something works, skills and experience. l Know-how type such as processes, techniques, methods, pertinent facts and relationships. l Institution-embodied which includes those with catalytic role to make a system produced or function. These are instituion-based informa- tion, services, media, policy that activates decisions and commitments. SAQ 10-1 Encircle the best answer. In the past, a. (science/technology) followed b. (science/techno- logy). While at the present it is the reverse, c. (science/technology) follows d. (science/technology). UP Open University 70 R&DM 201: Concepts and Principles of R&D Management ASAQ 10-1 a. science b. technology c. technology d. science In the past, technology was invented to help man solve problems, meet his needs or to get something done more efficiently. Science came later to explain why technology works. But now because of numerous basic knowledge and principles made possible by science, applications are explored ending up in a techno- logical product. Technology Management In the past the creation and production of technology was basically done by individuals and families as part of coping with life and adjusting to environmental forces. Now it has become an enterprise and institution- based. The setting for new technological innovations has become well organized. Institutions have been founded with specific mandates and created by legal instrument. Resources flow into these institutions (R&D, Laboratories, Centers, Institutes, Think Tanks, etc.) from public and private sources and they are made to account for these resources based on a mission, thrust, and program of work. There is therefore a need to professionalize and institutionalize the tech- nological innovation and development process. Resources have to be generated, wisely used and accounted for. A linkage between resources and right results have to be made. Research has to be justified in terms of return on investment. This enterprise would need an expertise beyond science, invention, and tech- nological production. It would need entrepreneurial skills, resource genera- tion savvy, public relation know-how, planning and financial management proficiency, consensus and team-building ability, organizational designing knowledge, and familiarity with commercialization and market process. Thus, the need for professionalizing the management process and requiring another form of technology—institutional management technology. UP Open University  Unit III Module 10 71 Activity 10-1 Write an essay with a theme “Technology is What People Do With What They Know and the Role of Management In It,” based on the article “Technology Transfer: A Universal Process” which is found in the Reader Volume. Summary In this module, we have learned that technology has graduated from simply being an instrument of survival and coping into an instrument for control, liberation, and self-fulfillment. It is a product of human creativity and effort which can be facilitated and enhanced by institutionalized and professionalized management. The scope of technological forms range from object, know-why type, know-how type and institutional-embodied. UP Open University  Unit III Module 11 73 Module 11 Technology and Society T echnology is like a double-edged sword. On the one hand it has motored economic gains due to increased productivity of the firm Objectives and individuals. It has also created new oppor- At the end of this module, tunities thus democratizing access to a potent you should be ale to: resource and spreading benefits more equit- ably across the society. Public funds used to 1. Discuss how technology generate technology have multiplied returns, affects the conditions thus, making it a very sound investment. and well-being of society; On the other hand, new technologies have 2. Explain the role of tech- produced indirect and unintended adverse nology policy in rational consequences on employment, families, environ- planning; and ment’s socio-economic structure. 3. Explain how technology policies are prepared. These two effects happen at the same time thus making choices difficult. Technology and Society Technology has become a strategic variable in the development process. While it is a product (of research, inventions) it is also a process inducing spin off and spillover effects throughout society. Many countries now include a chapter on technology policy in their mid-term and long-term plans. UP Open University 74 R&DM 201: Concepts and Principles of R&D Management It is the wish of any government administration to use technology for good social purpose and to solve social problems and at the same time to minimize its negative outcomes. Governments do this by creating policies that will provide incentives and investment assistance to induce techno- logical initiatives and efforts. To balance these efforts and mitigate side effects, governments create regulatory mechanisms. Technology indeed affects society. As Mesthene (Teich Ed, 1977) concluded— “technology tends toward and appears to require the emergence of new values, new forms of economic activity, and new political orga