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A Research Impact Framework for Higher Education Institutions

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A Research Impact Framework for Higher Education Institutions Ana Sofia Coutinho de Almeida Dinis Esteves Mestre em Biotecnologia A RESEARCH IMPACT FRAMEWORK FOR HIGHER EDUCATION INSTITUTIONS Dissertação para obtenção do Grau de Doutor em Engenharia Industrial Orientador: Virgílio Cruz Machado, Professor Catedrático, Faculdade de Ciências e Tecnologia da Universidade Nova de Lisboa Júri: Presidente: Prof. Doutora Elvira Júlia Conceição Matias Coimbra Arguentes: Prof. Doutor João Carlos de Oliveira Matias Prof. Doutor António Carlos Bárbara Grilo Vogais: Prof. Doutor Virgílio António Cruz Machado Prof. Doutora Susana Maria Palavra Garrido Azevedo Prof. Doutor António Manuel Ramos Pires Prof. Doutor Henrique José da Rocha O’Neil Prof. Doutora Maria do Rosário de Meireles Ferreira Cabrita Prof. Doutora Ana Correia Moutinho Doutor Pedro Manuel Moreira da Rocha Vilarinho OutuBro 2019 Ana Sofia Coutinho de Almeida Dinis Esteves Mestre em Biotecnologia A RESEARCH IMPACT FRAMEWORK FOR HIGHER EDUCATION INSTITUTIONS Dissertação para obtenção do Grau de Doutor em Engenharia Industrial Orientador: Virgílio Cruz Machado, Professor Catedrático, Faculdade de Ciências e Tecnologia da Universidade Nova de Lisboa Júri: Presidente: Prof. Doutora Elvira Júlia Conceição Matias Coimbra Arguentes: Prof. Doutor João Carlos de Oliveira Matias Prof. Doutor António Carlos Bárbara Grilo Vogais: Prof. Doutor Virgílio António Cruz Machado Prof. Doutora Susana Maria Palavra Garrido Azevedo Prof. Doutor António Manuel Ramos Pires Prof. Doutor Henrique José da Rocha O’Neil Prof. Doutora Maria do Rosário de Meireles Ferreira Cabrita Prof. Doutora Ana Correia Moutinho Doutor Pedro Manuel Moreira da Rocha Vilarinho OutuBro 2019 A RESEARCH IMPACT FRAMEWORK FOR HIGHER EDUCATION INSTITUTIONS © 2019 Ana Sofia Coutinho de Almeida Dinis Esteves Universidade Nova de Lisboa – Faculdade de Ciências e Tecnologia Copyright A Faculdade de Ciências e Tecnologia e a Universidade Nova de Lisboa têm o direito, perpétuo e sem limites geográficos de arquivar e publicar esta dissertação através de exemplares impressos reproduzidos em papel ou de forma digital, ou por qualquer outro meio conhecido ou que venha a ser inventado, e de a divulgar através de repositórios científicos e de admitir a sua copia e distribuição com objetivos educacionais ou de investigação, não comerciais, desde que seja dado crédito ao autor e editor. Dedication Dedicated to all who do not give up flying! To all those that aim and trace goals to positively impact the world while developing themselves. i ii Resumo De forma genérica, o modelo e operação e financiamento às Universidades tem sofrido, na última década, intensas alterações devido à exigência de uma nova missão destas organizações, que inclui a produção de impacto socio-económico. Esta transformação tem sido intensificada pela adoção de uma agenda baseada no impacto da investigação, a qual tem vindo a ser operacionalizada de diversas formas em diferentes partes do mundo. Apesar da importância atribuída ao “impacto societal” que deverá resultar das atividades de investigação académica, a definição deste conceito, bem como as abordagens e modelos de avaliação do mesmo, são tema de discussão e de grande controvérsia entre académicos, gestores de universidades e policymakers. Atendendo a esta situação e aos desafios da agenda de investigação baseada no impacto, esta tese propôs, o desenvolvimento de uma framework conceptual para o impacto da investigação que possa dar resposta a alguns dos desafios existentes e assim promover o impacto da investigação produzida nas instituições de ensino superior. Para tal, foi realizada uma primeira fase de investigação que permitiu aprofundar o conhecimento existente sobre os desafios de implementação desta agenda, como também conhecer um conjunto de crenças e valores da comunidade académica, que independentemente do contexto de investigação, podem entrar em tensão com políticas e instrumentos de promoção do impacto. Os resultados obtidos nesta primeira fase de investigação permitiram ainda validar a necessidade e interesse no desenvolvimento de uma framework para o impacto centrada na análise do processo de investigação académica. Assim sendo, numa segunda fase da investigação, foram analisadas as condições (recursos) que poderão ter efeitos na produção de diferentes tipos de impacto, aqui designadas por condições de impacto. As oitos categorias de condições de impacto aqui obtidas, categorizadas em três diferentes categorias, serviram de base para o desenvolvimento de uma framework conceptual do impacto da investigação académica. Esta framework juntamente com a ferramenta de avaliação do impacto aqui proposta poderá vir a ser utilizada por equipas de gestão das instituições de ensino superior e organizações de investigação, para avaliar a atual situação das organizações, bem como para fundamentar a iii definição e implementação de estratégias que possam melhorar o seu desempenho no que respeita à produção de impacto da investigação. Os resultados obtidos neste estudo poderão ainda, no futuro, produzir efeitos nas políticas e procedimentos de avaliação do impacto da investigação e contribuir para um maior envolvimento da comunidade académica neste assunto, e desta forma aumentar a eficiência e eficácia do impacto produzido pelos resultados obtidos nos processos de investigação académica. Termos chave: impacto da investigação; investigação académica; impacto societal; instituições de ensino superior iv Abstract In general, models of operation and funding of universities has undergone intense changes over the last decade, caused by the demand for a new organizational mission, which includes the production of socio-economic impact. This transformation has been intensified by the adoption of a research impact-based agenda, which has been operationalized in different ways around the globe. Despite the raising importance attributed to the “societal impact” that should result from academic research activities, the definition of this concept, as well as the assessment approaches and models to assess it, are subject to discussion and shrouded in controversy among academics, university managers and policymakers. Considering this situation and the challenges of the impact-based research agenda, this study proposed the development of a conceptual framework for research impact which can address some of the current problems and then contribute to the promotion of research impact produced by higher education and research institutions. Given this objective, a first phase of research was conducted which allowed to deepen the existing knowledge about the implementation challenges of the impact-based agenda, as well as, to unveil a common set of beliefs and values shared by the academic community, which regardless of the research context, may come into tension with policies and other instruments of impact promotion. The obtained results also validated the need and interest in developing a framework for impact focused on the analysis of the academic research process. Thus, in a second phase of the investigation, the conditions (resources) that could have a positive effect on the production of different types of impacts, referred to as impact conditions, were analyzed. The eight categories of impact conditions here obtained, which were dived into three different categories, served as the basis for the development of a process-based conceptual framework for the impact of academic research. This framework, together with the impact assessment tool here proposed can be used by management teams of higher education institutions and research organizations to assess the current performance of the organization in what respects to research impact, as well as, to support v the definitions an implementation of strategies that can take the organization towards and increased production of research impact. The results obtained in this study may also produce effects on research impact assessment policies and procedures, as well as, contribute to a better involvement of the academic community in these topics and therefore increase the efficacy and efficiency of the impact produced by the results obtained in the academic research activities. Keywords: research impact; academic research; societal impact; higher education institutions vi vii Table of Contents 1 INTRODUCTION ................................................................................................................... 1 1.1 BACKGROUND AND AIM ................................................................................................ 1 1.2 OBJECTIVES ....................................................................................................................... 4 1.3 RESEARCH QUESTIONS AND METHODOLOGICAL APPROACH ....................... 4 1.4 STRUCTURE OF THIS THESIS ....................................................................................... 7 2 THE IMPACT-BASED RESEARCH AGENDA ............................................................... 11 2.1 CHANGING SOCIETAL ROLE OF HEI AND THE IMPORTANCE OF RESEARCH IMPACT ............................................................................................................... 11 2.2 RESEARCH IMPACT DEFINITION ............................................................................. 13 2.2.1 The perspective of policymakers ............................................................................ 13 2.2.2 The perspective of the academic community ......................................................... 15 2.3 IMPACT-BASED RESEARCH AGENDA IN PRACTICE .........................................
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