Competing for Public Research Funding: A Strategic Approach for the Institute of Advanced Studies at the Brazilian Aerospace Technology Center

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1 Competing for Public Research Funding: A Strategic Approach for the Institute of Advanced Studies at the Brazilian Aerospace Technology Center Ligia Maria Soto Urbina 1, Wilson José Vieira 2 1 Instituto Tecnológico de Aeronáutica, CTA. Praça Marechal Eduardo Gomes, São José dos Campos, Brazil 2 Institutos de Estudos Avançados, CTA. Rodovia dos Tamoios, São José dos Campos, Brazil Abstract--Since the last decade, budget constraint problems led the Brazilian government to establish a new approach to financing Research, Development and Innovation (R&D&I). It was created public funds, which are designed either to promote specific sectors or to finance the development of a broader spectrum of R&D&I. This new approach for funding has stimulated a healthy competition among research institutions. In this context, public research institutions must develop a strategy that strengthens their abilities to compete with sustainable advantages in this new financial resources market. Thus, the main objective of this paper is to propose a strategic approach to planning the attraction of these public resources for the case of the Institute for Advanced Studies a public Brazilian aerospace research center. At first, it is argued that the financing strategy adopted by the Institute has to be aligned to the main institutional strategic planning, and has to help to implement the strategic R&D&I project portfolio. Additionally, it is discussed that the competition strategy for public research funding should be mission-oriented, focusing on those funds that allow to implement strategic projects, while supporting the development of the Institute s core competencies, by improving internal competencies, and by building partnerships with other research centers. I. INTRODUCTION In recent years, Brazilian research institutions have faced very large changes in their environment. First, the development of a global infrastructure for communications and information has allowed the expansion of knowledge networks, which have thus contributed to accelerate the creation of new knowledge. Therefore, in order to participate in these creative processes, an organization has to track the progress of science, technology and innovation, it must gain flexibility, and it has to become a learning organization. That is, it has to become an organization skilled at creating, acquiring and transferring knowledge, and at modifying its behavior to reflect new knowledge and insights [9]". Moreover, there are boundaries for the learning capability of the organization and, consequently, for its internal capability to develop new knowledge. Therefore, the organizational performance will depend on the understanding that the job should be developed with the help of other organizations, which complement the internal knowledge base, allowing the organization to create new knowledge. In this context, the boundaries of the organization must become flexible and dynamic, and can be expanded and redefined by building the partnerships necessary to undertake projects to achieve strategic objectives. Brazilian research institutions have faced difficulties to cope effectively with challenges posed by this new scientifictechnical revolution. In the last two decades, they have faced significant financial constraints, resulting from the long crisis in public finances since the early 1980 up to recently [8] [21]. As a main consequence, the organizations resource and capabilities bases were not strengthened, inhibiting their potential for growth and social contribution. More recently, in the late 1990s, the Brazilian government, aware of the growing importance of innovations for national product growth, sought to stimulate public institutions dedicated to research on science, technology development, and innovation ((R&D&I), through financial support. Thus, there were created public funds, which are designed either to promote specific sectors or to finance the development of a broader spectrum of R&D&I. These resources are allocated through competitive evaluation mechanisms. Therefore, this new approach for funding has stimulated a healthy competition among research institutions [3] [27]. To increase their chances of success in this competition arena, it was recommended that public research institutions should reorganize themselves [22] [23]. In their view, the first step of this reorganization process should be an institutional diagnosis, seeking to clearly identify their core competencies, to know their customers and markets. According to these authors, this process is important because it will allow organizations to reflect on their mission, taking into account the social demands and their internal capabilities. Additionally, in an evolutionary scientifictechnological environment, they recommended that organizations should look at different scenarios that help them face new possibilities and undertake new paths, and help them to build a vision of a desirable and possible future [22], [23]. Based on that analysis, organizations would be able to choose strategic objectives that would allow them to grow and evolve taking into account a long term perspective [28]. From studies conducted in public research organizations, Bonacelli [2] noted that the reorganization process of these institutions must find solutions for four critical vectors, which are considered key to the promotion of innovative potential, and consequently of its effectiveness and sustainability: (a) Strategies and ability to leverage funding and resources for research and innovation activities; (b) Collaborative work, formation and participation on scientific and technical networks, and on innovation and R&D&I management networks. (c) Knowledge appropriation and technology transfer; and 1460

2 (d) Attraction, development and training policies for human resources. According to [22], these solutions must emerge from a process of strategic management that is built from the integration of views, visions and collective perceptions, and must also be harmonized and aligned with institutional strategic objectives. Several research Brazilian institutions such as Embrapa, IPT, Fiocruz, among others, have chosen to adapt to new times, through institutional reorganization [16], [24]. This was also the choice of the Institute of Advanced Studies (IEAv), a military organization (OM) subordinated to the General Command of Aerospace Technology (CTA), which in turn is subordinated to the Aeronautics Command (COMAER) of the Ministry of Defense (MD). The first phase of the reorganization process was consolidated into a Management Master Plan, whose objectives were to find solutions to the critical vectors cited above. Institutions such as IEAv, devoted to R&D&I, are not focused on the production of services. Their projects, in general, have as main clients the Ministry of Defense and the Aeronautics Command, and are mainly financed by budgetary funds. However, these resources have become scarce, inducing the IEAv to look for extra-budgetary resources. This activity[22]: "may be divided between direct and indirect, being the first related to the institution's ability to capture resources through its own projects or trough projects under its coordination, and the second, related to the institution's participation in projects and research programs of others, acting as co-participant in their development. Existing sources for direct or indirect public financial resources are diverse: from competitive public resources (such as C&T general resource lines from public funding agencies, or those tied to specific programs - such as the Support Program to the Scientific and Technological Development (PADCT), which is financed by resources from the World Bank and the Brazilian National Treasury), up to resources obtained in financial markets (ex. venture capital, initial public offerings, public offerings, development banks funds, private funds promoted by tax incentives, and funds created by taxing diverse economic sectors - as electricity, telecommunications, agriculture, etc.) At IEAv, the Institutional Relations Coordination Office (CRI) has been responsible for searching funding opportunities for the various activities of the Institute. Thus, given the emergence of the competitive public financial funds, it was necessary to define a strategic approach to planning the attraction of these public resources. In this context, this paper proposes guidelines to design a financing strategy that conducts the planning for extrabudgetary resources attraction. Thus, it is argued that the financing strategy adopted by the Institute has to be aligned to the main institutional strategic planning, and has to help to implement the strategic R&D&I project portfolio. That strategy should also contribute to enhance the institutional capabilities that allow the organization to fulfill its mission. This financing strategy should also consider the R&D&I networks that complement, expand and provide flexibility to the internal scientific and technological capabilities. More specifically, it is assumed here that the financing strategy should be based on integrated view that considers three dimensions. The first is the institutional strategic dimension, which would provide the strategic priorities (of the CTA, COMAER, and MD), which would guide the selection of, both, the projects, and the scientific and technological capabilities to be developed. The second dimension would consider internal capabilities, taking into account that a dynamic interdependence occurs between these capabilities and the R&D&I projects that the organization is able to develop over time. Finally, the third dimension would be centered on the establishment of partnerships with other research institutions, seeking to strengthen strategic capabilities, in order to improve the conditions to expand the financing of the R&D&I projects portfolio, which it is in compliance with the institutional mission. As being mission-oriented, the financing approach adopted by the IEAv differs from the more flexible strategies followed by universities at national or international level [5] [6] [19]. However, this approach seems to be appropriated whenever government has long-term objectives for development[25]. II. THE INSTITUTE OF ADVANCED STUDIES - IEAV The work of reorganization of CTA and its Institutes produced the definitions of mission, vision and core competencies for these organizations [4] [14] [15]. The Management Master Plan for IEAv provides these definitions for the Institute], [14], [15]. IEAv's mission is: "To prospect, create, and develop scientific and technological solutions to strengthen Aerospace Power, contributing to national sovereignty and the progress of Brazilian society, through research, development, innovation, training and technology services." IEAv defined its vision as "To be recognized in Brazil and abroad as an Institute of excellence in advanced technologies, research, development and innovation in the Aerospace and Defense Sector." The core competencies of IEAv were identified from a set of functions, described below: (a) Applied research and experimental development in aerospace technologies and systems; (b) Basic research to acquire new knowledge about fundamental phenomena and observable facts, with the aim of future application in aerospace technologies and systems; (c) Training of human resources through the guidance of academic work and training expertise, from intermediate up to post-doctoral levels, and (d) Services in activities related to the industrial technology base. 1461

3 Item (a) comprises the main projects and activities of IEAv. Items (b) and (c) are functions with average level of performance and item (d) represents projects that can now be passed to private companies and defense industries. IEAv has its main projects in the areas of Photonics, Remote Sensing, Aerothermodynamics and Hypersonics, Applied Physics, Nuclear Energy, and Decision Support. Below are discussed the main vectors that can support the Strategic Management in IEAv in alignment with the Strategic Plans of higher instances III. CAPTURING THE RESEARCH FUNDING THAT SUPPORTS INSTITUTIONAL STRATEGY It is usually presumed that private organizations would be market driven, formulating strategies to improve their ability to compete with advantages in markets, while public organizations would be social driven, devoted to fulfill their mission. Despite their differences, it is been argued that public organization, in order to accomplish their mission, should also implement a strategic approach. Thus, it is argued that strategies should be developed with the participation of members of the organization that together should make up the vision, mission and strategic goals that should reflect collective aspirations for the organization s future [22]. Ideally, public institutions that are subordinated to higher instances should build a strategy that should be aligned with the national strategy, which is outlined in the Brazilian Federal National Action Plan (Plano Plurianual de Ação PPA). Thus, according to Obadia and Rondinelli [17]: "The PPA is currently the main planning instrument of actions of the federal public administration, and it is structured taking into account that expenses should generate results for society. Therefore, it is considered to be a propelling instrument of social and economic changes and for national development [...] The PPA organizes the government action into Programs that orient public administration spending towards social results, thereby complementing the management approach for public organizations, which are guided by their missions. Obadia and Rondinelli [17] discuss the fact that multiannual plans have evolved, increasingly, towards a better integration and alignment between public sector actions and society s demands. They acknowledge, however, that there is still a bridge to be built between the strategic planning at the national level and the strategies of the executing units. Despite these difficulties, these authors note that the new PPA is changing the organizations culture, since it has induced public institutions to adapt their planning processes to the model of the PPA. In various public organizations, this adjustment, guided by a focus on results, has required: "the implementation of a strategic planning process that [allows] the identification of institutional strategic components, namely: Mission, Vision of Future, Values and Key Factors of Success in addition to the formulation of objectives and strategic goals, with their respective performance indicators, as well as the implementation of practices that analyses critically results, and establish plans for continuous improvement [17]." In this context, it is perceived that research public institutions, even when constrained in their actions by budgetary restrictions, are encouraged to improve and align their strategic planning with national planning. This alignment is necessary and must arise as a result of the implementation of a reorganization process that changes culture, incorporating Strategic Management as a systematic and ongoing practice. Under this organization integrated management approach, administrators could be able to maintain the organizations integrated to its environment and in the right direction of development, ensuring that they achieve the objectives and goals set. Following these management tendencies, CTA and its Institutes, including IEAv, started its reorganization process, which was consolidated in Management Master Plans for each institute [4] [14] [15]. Thus, from a diagnosis of their problems and their internal capabilities, it is proposed: "... the construction of new organizational patterns, which prepare them to face the opportunities and challenges that are ahead. It was used the Institutional Foresight Methodology, which presumes that planning must incorporate the understanding of the forces that shape the future of institutions. Thus, the process of institutional reorganization of the CTA was performed in three basic stages: preparation of a diagnosis to understand their current situation, and the identification of their core competencies to understand their identity; the construction of possible scenarios for identify the future trends and their implications; and finally, the construction of a desirable and possible future, chosen from the universe originally designed, and supported by the proposed strategic actions... The work was, accordingly, performed by combining planning, vision of the future, and network of relationships. Hence, there were combined internal and external perspectives, both dealing with individuals who work at the organization, and with those who are part of their context and their universe of relations. The participation of all was the key to achieving the goals of convergence and creation of the necessary commitment for institutional reorganization [4]". In the construction of the Master Plans were identified strategic components for CTA and IEAv, namely: Mission and Vision of Future, Strategic Objectives and Values. The main issue behind the process was the commitment to maintain coherence and alignment between the strategic components proposed, and those defined for COMAER and 1462

4 MD, which in turn are aligned with the PPA. Thus, Master Plans keep consistency and alignment with national interests, which are well characterized in the mission of the CTA and its Institutes, including IEAv [4] [14] [15]. The continuity of this process of institutional change requires the maintenance of a strategic approach that can be seen as "... a pattern that includes, cohesively, the main objectives, policies and actions of the organization [26]". This pattern allows to select long-term objectives and goals, emerging from a consensus guided by institutional vision and mission, and internal base capabilities and core competencies. From this work, it is possible to choose a strategy to achieve goals set. In other words, it is selected the pattern of organizational decisions that allows the achievement of a cohesive and integrated set of actions, allocating its resources and capabilities based on priorities assigned in order to achieve the strategic objectives proposed. It should be noted that insofar as public institutions incorporate the culture of strategic management, the pattern of decisions will have a better alignment with the interests of society. "This systematic and continuous process of managerial action is intended to ensure the organization, simultaneously: a sense of direction and continuity in the long term, flexibility and agility in a daily basis. It focuses on the potential for future performance of the organization [26]". From the considerations raised above, it is possible to argue that the financing strategy designed by the IEAv must also maintain a strategic alignment with institutional strategy. Therefore, considering a perspective of unfolding strategy, the guidelines that conduct such financing strategy should, first, maintain the priority on the timeline of the portfolio of selected R&D&I projects, when seeking to strengthen the financial and scientific-technological capabilities of the project portfolio. Moreover, these guidelines should also foster the development of the institutional capability to develop the prioritized projects, mainly through building partnerships that complement and expand the internal scientific and technological capabilities. Based on these guidelines, the activities of the CRI would be part of a cohesive and integrated set of actions implemented to achieve the strategic objectives of IEAv, which, by its alignment with the higher hierarchical levels, would reflect national interests. In practice, the process of strategic management would move to define selection criteria for projects that would be aligned with, both, institutional mission and long-term strategic objectives for all hierarchical levels. It should be noted, that these criteria would consider the conflict between the demands imposed by long-term strategic objectives and the restrictions imposed by the base of resources and competencies. In this context, the adoption of a strategic approach for financing the selected project portfolio would contribute to alleviate this conflict; first, because a well prioritized project portfolio would improve chances of getting financing for the main projects; and, second, because the defined project portfolio priorities would allow to identify and fulfill the gap between portfolio needs and the actual base of resources and capabilities, through partnerships building. Hereafter, it is examined in greater detail the management of institutional and network capabilities so as to improve the ability to develop projects aligned with strategic intentions. IV. MANAGEMENT OF CAPABILITIES AND STRATEGIC R&D&I PROJECT PORTFOLIO In the case of public research institutions, restrictions imposed by internal environment are crucial to determine the strategy to be selected. Thus, in light of the resource-based view perspective [20], it is considered that the organization s set of resources and capabilities are the base to achieve competitive advantage. As, explained in [1]: resources are the number of assets or "things" that organization needs (equipment, human capital, patents, information systems, etc.). And capabilities are "things" that the firm does (functional abilities, technology, product development, integration of systems, coordination of business networks, etc.). Although they can be developed, resources and capabilities are scarce, valuable, expensive and difficult to imitate, because they can not be transferred or copied by another organization, as they are embedded in organizational routines. So they create asymmetries that distinguish organization, and that enable it to achieve its strategic objectives [1]. That is, these resources and capabilities, when used as a source of competitive advantage that distinguish the organization from its rivals become core competencies [13]. From Prahalad and Hamel [20], [2] define the core competencies of public research organizations, such as: "The specific assets, capabilities and know-how that the organization has, and which make it different from similar organizations, enabling it to compete in its areas of expertise, and to interact with other organizations." In the dynamic scenario presented by Hamel and Prahalad, competition is based on a strategy that strengthens, rebuild and create new core competencies, which make possible to launch core products that enable the firm to maintain its market leadership in the future. In this approach, these competencies evolve and reflect "the collective learning in the organization" [10]. With this concept in mind, it should be noted that in the case of public research institutes, such leadership opportunities for participation in the future will depend on their ability to understand these competencies. They not only need to be identified, but must be managed in order evolve and sustain a long-run institutional strategy. According to [23], management of competencies, through the building and leveraging of core competencies, will strategically conduct organizational development. According to Fine [7], there is a dynamic process, shown in Fig. 1, which links core competencies development to organizational strategy. Thus, [7] argues that, on one hand, existing core competencies of an organization limit the 1463

5 amount of projects that the company is able to run in a profitable way, while, on the other hand, these competencies also serve as the asset base on which the company will built its next project. The implementation of projects creates competencies, which, in turn, enable organization to launch successful projects. CORE COMPETENCIES NEW PROJECTS (New basic research; new developments; new technologies; and innovations) Fig. 1. Dynamic interdependence of core competencies and R&D&I projects. Source: Adapted from [7]. In a broader perspective, the relationship between projects and core competencies can be extended to consider the interdependence that exists between strategies and core competencies, as shown in Fig. 2. Thus, in a dynamic scenario, it must be consider that strategy construction should take into account, on one side, the organizational core competencies and projects that can be effectively developed. On the other side, this construction must consider that strategy itself induces changes in core competencies, even if slowly. When considering this dynamic interdependence, it is realized that strategy construction should be a participatory process that expresses a negotiated solution to the conflict that emerges between social demands and organizational contributing possibilities. This approach facilitates the alignment of strategies at the various hierarchical levels. This dynamic interdependence between strategy, competencies and the ability to develop key projects is indeed reflected in learning processes. Therefore, the more efficient are these processes the better will be that interdependence. Under this view, innovation projects are authentic learning process, where learning is both a key input of innovation process, and a product of the process itself. Thus, project implementation, while as generating new knowledge, increase the organizational ability to assimilate and exploit existing knowledge [11]. This allows the creation and development of competencies, which in turn enhance the ability to do things. Therefore, "knowledge, accumulation of knowledge and learning [generated in the projects] are the basis for the creation, support and reconstruction of competencies [12]". STRATEGY (Nacional, Sectorial, Ministerial, Organizacional) CORE COMPETENCIES NEW PROJECTS (New basic research, developments, technologies, and innovations) Fig. 2. Dynamic interdependence of strategy, competencies and R&D&I projects. Source: Adapted from [7]. 1464

6 The vision proposed by Fine [7] that there is a dynamic interdependence between projects and core competencies is closely related to the idea that the ability to develop R&D&I projects has as key issues the identification and management of different capabilities and knowledge involved and developed in ongoing projects. In the case of IEAv, its core competencies are revealed in the R&D&I projects that can be developed with a competitive advantage, when compared with other public research institutions. This advantage is primarily anchored by the set of expertise, or scientific and technological capabilities, held by IEAv, because they provide ability for R&D&I projects in certain areas of knowledge [12]. In other words, this capabilities basis can be seen as the domain of expertise in specific fields of knowledge related to organizational singular experience with research methods, specialized human resources and materials such as laboratories. This is the foundation of capabilities that allows the R&D&I organization actors to learn, generate and disseminate new scientific knowledge and new technologies [11]. From these considerations, it is realized the importance of identifying scientific and technological capabilities that define IEAv s areas of activity, in order to define strategies for capability management that develop and leverage those areas. These strategies should start from the premise that the institutional scientific and technological basis is not immutable and can be strengthened and/or expanded, through construction/hiring of new capabilities, or through creation of strategic partnerships. V. NETWORK MANAGEMENT AND FINANCING STRATEGY FOR THE STRATEGIC R&D&I PROJECT PORTFOLIO A strategy that promotes network building among research institutions is increasingly important for the development of basic research, technology and innovation, because: "... New technologies are becoming less the result of isolated efforts of a person or of a particular firm. They are increasingly being created, developed, launched into markets, and disseminated through complex mechanisms based on linkages and inter-organizational relations. In the case of R&D&I activities, the need for cooperation arises from particular aspects of scientific and technological "information", and from the strong tendency of fusion of disciplines and technical fields previously separated [11] [18]". Currently, the strategy of collaborative working has been increasingly important for improving the implementation of projects and leverage project portfolio finance. So, to paraphrase Fine [7], it should be noted that "for the case of a research institute, the most important capability now is the ability to manage the portfolio of scientific and technological capabilities, which ensures that organization achieves its strategic objectives ". This portfolio is not limited to institutional borders, but includes the whole collection of capabilities of the network of organizations that must be built in order to achieve specific objectives, usually in the form of projects. Thus, network components vary as the project portfolio is developed. Therefore, partnerships management capability should be dynamic, reflecting the organizational development encouraged by strategy. STRATEGY (Nacional; Sectorial; Ministerial; Organizational) CORE COMPETENCIES NEW PROJECTS (New basic research; new developments; new technologies; and innovations) Fig. 3. Dynamic interdependence of strategy, competencies, R&D&I projects, and R&D&I networks. Source: Adapted from [7]. 1465

7 The construction of capability networks aligned with strategy increases the amount of projects that a research public organization is able to perform. Thus, an R&D&I financing strategy must take into account that exists a dynamic interdependence among strategy, competencies, R&D&I projects, and R&D&I networks, as shown in Fig.3. Therefore, the implementation of the organizational strategy should strengthen the financial capability to run the strategic project portfolio, through construction of appropriate R&D&I networks, which in turn improves the chances of getting funding for the mission-oriented project portfolio. VI. CONCLUSION It was considered in this work that the Brazilian research institutions have been facing in recent years with very marked changes in their environment, which intensively requires the development of scientific knowledge, new technology, and innovations, in order to accomplish institutional missions. During this period, it was observed that a structural reduction of the budget dedicated to these institutions caused the decline of internal capacity to develop activities of R&D&I activities. More recently, Brazilian government offered public extra-budgetary funds that are allocated in a competitive way, stimulating thus a healthy competition for these resources. In order to strengthen and increase chances of raising funds, the Brazilian public research have searched for funds, through project development, often in partnership with other institutions. However, in order to improve strategic alignment and mission accomplishment, this work supports the idea that is necessary to define a strategy for project finance. Thus, the main objective of this paper was to propose a strategic approach to planning the attraction of these public resources for the case of the Institute for Advanced Studies a public Brazilian aerospace technology research center. It was argued that the Institute s finance strategy has to be aligned to the main institutional strategic planning, and has to help to implement the strategic project portfolio. The importance of a review of institutional strategy was emphasized, noting that the restructuring of organizations such as IEAv provides an evaluation and redefinition of institutional mission, taking into account its resources and capability basis, and maintaining an alignment with higher hierarchical institutional levels, so that its mission reflect the interests of society and the glimpsed institutional developments. Additionally, it was discussed that the Institute s research financing planning should be designed to create and develop its core competencies, which may be supported by internal competencies and by its ability to build partnerships with other research institutes. The main conclusions of this work were, first, the Institute s research financing strategy should prioritize fundraising for the portfolio of strategic projects. Second, research financing strategy should strengthen internal capabilities that provide advantage to compete in the development of strategic projects. Third, research financing strategy should strengthen and support the creation of partnerships with other research institutions, in order to enhance core competences, and as a result improving the ability to increase fundraising that is in compliance with institutional mission. REFERENCES [1] Besanko, D. Dranove and Shanley, M. Economics of Strategy, 2 nd edition, Chicago: John Wiley & Sons, Inc [2] Bonacelli, M. B. and S. L. M. Salles-Filho, Institutos e Centros de P&D Situação Atual e Avaliação do Potencial Inovativo. Programa Nacional de Apoio à Administração Fiscal para os Estados Brasileiros. BRA/97/032 IPEA/ PNUD. Campinas, p.03, 2004,. 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