TO MEASURE RESEARCH CAPACITIES OF HIGHER EDUCATION INSTITUTION IN COLOMBIA USING AN

APPROACH BASED ON INTELLECTUAL CAPITAL1

SÁNCHEZ-TORRES J. Marcela (National University of Colombia. e-mail: jmsanchezt@unal.edu.co)2
RIVERA-Torres Sandra Carolina (Colombian Observatory of Science and Technology. e-mail: crivera@ocyt.org.co)3

1. Introduction
In order to improve levels of competitiveness and productivity in Colombia it is required a deep social and
economic change, it is expected that the country has a dynamic economy by offering goods and services with
high added value (Medina et al, 2008). Indeed, in this context, Colombian universities would be a mainstone to
support that economic change.
First at all, universities are the main actor of Colombian Innovation System; due to their nature, they are in charge
to generate knowledge to add value to strategic goods and services, secondly, universities are the leader in terms
of human capital. Therefore, in this context, several questions arise i.e. are Colombian universities capable to
generate knowledge to develop goods and services with add value in certain economic sectors? In this sense,
what are the capacities to generate knowledge? those questions in turn suggest new ones, What are the
capacities of Colombian Universities in terms of generating knowledge? and How can Colombian universities
account for the generation and transmission of knowledge?
The aim of this paper is to present a model to measure research capacity of universities in Colombia using an
approach based on intellectual capital. The model lets to identify skills and competences of the universities, and
strengths for internal management of these institutions in order to obtain inputs to design Science, Technology
and Innovation policies. Also, the model contributes to strengthening relationships between universities and public
and private organizations thorough showing universities’ profile.

2. Methodology:
To design a model to measure research capacity at universities, first at all, it is necessary to develop a conceptual
framework, based on concepts capacity and its implications from an intellectual capital –IC concept, its relations
with the Knowledge Society and some approaches to assess the results of the R&D process using different
approaches and exploring the indicator systems used in Colombia for evaluating research results as well as
referents from international indicator systems. Secondly, one of the model’s components (i.e. an indicator system)
was established from the conceptual elements which could give an account of HEIs’ research activities in different
IC settings. Another of the model’s components involved designing a procedure for identifying research capacity
in a particular area of knowledge or specific economic sector, called thematic capacity portfolio. This procedure
goes beyond identifying an HEI’s aggregate capacity and leads to constructing a specific scientific profile for one
or more areas established by the HEIs.
Once the model is made up, a pilot test was applied to the most relevant public university in Colombia. Besides
the specific results for universities, there were found strengths and weaknesses of the methodology. It is clarified
that both the results as the strengths and weaknesses are inputs to feedback the model.

3. Model to measure research capacities of universities using an approach based on intellectual capital
There are two main points in order to build a model to measure research capacities of universities: one, to use an
approach based on IC as a framework, because nowadays universities have new challenges imposed by
knowledge society, and also IC framework let universities to account its activities (Sanchez, 2008B). And, two,
funding used to do R&D activities are an investment, as long as these resources are transformed into capacities
makes a dynamic processes associated with the generation of knowledge and provide added value to
universities.
This model is constructed from: i) the consensus on the categories of IC, ie, human capital HC, relational capital
RC and structural capital SC (Brooking, 1996, Roos et al, 1997; Stewart, 1997; Edvinson and Malone, 1997;
Euroforum 1998, Sanchez et al 2000, Sveiby, 2001; and Jaramillo H. Forero, C., 2001; MERITUM project, 2002,
Center for Research on the Knowledge Society, 2003). ii) A generation capacity process implies to give value to
an organization; iii) to assets R&D activities it is necessary to focus on the impact of funding the R&D projects,
scientific HC training, and how Scientifics works inside research networks and development new knowledge
1
This paper is a result of an institutional initiative sponsored by UNAL Main Research office, and it is a component of the building research capacities
program defined by the Global Development Planning of National University of Colombia. The authors would like to thank the Universidad Nacional de
Colombia for its support, especially the team from the Vice-rector for Research’s office led by Rafael Alberto Molina Gallego (the vice-rector) and for his
wholehearted support during different stages of the project.
2
Associated Professor Universidad Nacional de Colombia. e-mail: jmsanchezt@unal.edu.co
3
Researcher Observatorio Colombiano de Ciencia y Tecnología and PhD student Universidad Nacional de Colombia, Scholar of the COLCIENCIAS.
(Bozeman et al, 2001), iv) interaction between different categories of IC allows the development of institutional
capacities. (Bozeman et al, 2001; Lopez et al, 2004); v) institutional capacities building process is dynamic and
cumulative, because it is based on knowledge and its intangible nature, due to a combination of the components
of IC, in other words, the research capacities are increased and, generally observed as a result, because of
growth in the components of IC; vi) assessment of research capacities is a process that, depending on the
availability of information, applies in phases. The proposed model has the followings components: a IC
measuring module and a module for identifying capacity by thematic portfolios. Figure 1 shows the model with its
components, inputs and outputs.
Figure 1. Model components

Source: prepared by the authors

The IC measurement module is aimed at identifying HEIs’ accumulated capacity expressed through their general
scientific profile from the results obtained from constructing the indicator system. The module tries to integrate
observing HC, SC and RC into a system of indicators accounting for the activities arising from HEIs knowledge
generating processes. -43 indicators, 33 indicators are directly related to research activities, four related to
teaching and six related to activities of the third mission-.
Once a structured system of indicators is defined, in order to apply the model it is necessary a stage for searching
and gathering information to obtain serial times for the indicators using internal and external databases. After that,
there is a stage to analyze indicators. In other words, universities can account their research capacities and
identify their scientific profile. As showed in Figure 1 there are others outputs like a procedure to debug and unify
information, a clean and debug databases set and times-series for the defined indicators.
The module for characterising capacity by thematic portfolios was aimed at constructing specific thematic profiles
which would lead to establishing whether HEIs’ capacities really did respond to determined economic sectors’
needs or detailed demands. This module involved a process of identifying HEIs’ specific capacities and
competencies so that the HEIs’ specific thematic or scientific profiles could be recognised and constructed. This
component of the model became a way for HEIs to account for their potential and research activity for determined
areas of knowledge or regarding certain productive sectors
Figure 1. A map comparing capacities

Source: the authors’ own work taken from information provided by the Vice-Rector for Research’s Office, Universidad Nacional de Colombia.
The procedure for the construction of these phases has three stages: an initial definition of the areas of
knowledge or productive sector and characterization of these areas; a second stage to search and collect
information and to establish the capacities using text mining techniques and construction of indicators of
HC,SC,RC of each area, and a final phase for information analysis.
A profile was obtained for an economic area or sector from the foregoing which could then be compared to other
profiles, in the sense that each thematic profile could be represented. It was thus established that the “x” axis
reflected normalised HC on the map and the “y” axis the sum of normalised RC and SC. Figure 1 presents a
preliminary map of scientific profiles in different subareas related to the environment and indicates the compared
capacities of the investigators so involved and the products arising from new knowledge.

Results: Application of the model at the National University of Colombia – UNAL.

UNAL is a reference point for Colombian universities. To apply the model to the National University of Colombia,
there are two main stages: a stage of indicators system Construction related to University research, involving a
stage of search and gather information, it was built from August 2008 to April 2009. And a next phase for building
University portfolios, this phase started in January 2009 with a portfolio prototype on environment and territorial
development area.
The implementation of this exercise suggests three types of results. The first one is related to the report of the
universities research capacities; the second one is related with the research management process and its policy
inside of UNAL; and the third one is related to the feedback and learning to adjust the process of applying the
model and measurement of research capacity in universities.

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