Best Practices in Assessment of Research and Development Organizations

Research and development (R&D) organizations are operated by government, business, academe, and independent institutes. The success of their parent organizations is closely tied to the success of these R&D organizations. In this report, organizations refers to an organization that performs research and/or development activities (often a laboratory), and parent refers to the superordinate organization of which the R&D organization is a part. When the organization under discussion is formally labeled a laboratory, it is referred to as such. The question arises: How does one know whether an organization and its programs are achieving excellence in the best interests of its parent? Does the organization have an appropriate research staff, facilities, and equipment? Is it doing the right things at high levels of quality, relevance, and timeliness? Does it lead to successful new concepts, products, or processes that support the interests of its parent?This report offers assessment guidelines for senior management of organizations and of their parents. The report lists the major principles of assessment, noting that details will vary from one organization to another. It provides sufficient information to inform the design of assessments, but it does not prescribe precisely how to perform them, because different techniques are needed for different types of organizations.Best Practices in Assessment of Research and Development Organizations covers three key factors that underpin the success of an R&D organization: (1) the mission of the organization and its alignment with that of the parents; (2) the relevance and impact of the organization's work; and (3) the resources provided to the organization, beginning with a high-quality staff and management.Table of ContentsFront MatterSummary1 Introduction2 Framework for Examination of Assessment Processes3 Assessing Management4 Assessing Technical Quality5 Assessing Impact6 Guidelines for Consideration During AssessmentAppendix A Biographical Sketches of the Panel for Review of BestPractices In Research and Development OrganizationsAppendix B Importance of Alignment Between an Organization's Visionand Its PeopleAppendix C Validating the AssessmentAppendix D Example of Peer Advice During the Planning Phase ofR&DAppendix E Relevant Statutes and Requirements Documents for U.S.Government Laboratories and U.S. Government ResearchAppendix F The Army Research Laboratory's Process for AssuringRelevanceAppendix G Examples of StakeholdersAppendix H Questions Pertaining to Assessment of Leadership andManagementAppendix I Sample Crosscutting AssessmentsAppendix J Assessment at the National Institute of Standards andTechnology, Army Research Laboratory, and Sandia NationalLaboratoriesAppendix K Examples of Peer Review Conducted at Federal R&DOrganizationsAppendix L Metrics Applied by National Research Council Panels toAssessment of the Army Research Laboratories