SIST-TP CEN ISO/TR 56004:2020

SLOVENSKI STANDARD
kSIST-TP FprCEN ISO/TR 56004:2020
01-september-2020
Ocenjevanje upravljanja inovacij - Navodilo (ISO/TR 56004:2019)
Innovation Management Assessment - Guidance (ISO/TR 56004:2019)
Évaluation du management de l'innovation - Lignes directrices (ISO/TR 56004:2019)
Ta slovenski standard je istoveten z: FprCEN ISO/TR 56004
ICS:
03.100.40 Raziskave in razvoj Research and development
03.100.50 Proizvodnja. Vodenje Production. Production
proizvodnje management
kSIST-TP FprCEN ISO/TR 56004:2020 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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kSIST-TP FprCEN ISO/TR 56004:2020
TECHNICAL ISO/TR
REPORT 56004
First edition
2019-02
Innovation Management
Assessment — Guidance
Évaluation du management de l'innovation — Lignes directrices
Reference number
ISO/TR 56004:2019(E)
©
ISO 2019

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ISO/TR 56004:2019(E)

COPYRIGHT PROTECTED DOCUMENT
© ISO 2019
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting
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Phone: +41 22 749 01 11
Fax: +41 22 749 09 47
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
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Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Reasons for carrying out an Innovation Management Assessment.2
5 Choosing the Innovation Management Assessment approach . 3
5.1 General . 3
5.2 Understanding different approaches to Innovation Management Assessment . 3
5.2.1 Performance criteria for Innovation Management. 5
5.2.2 Options for implementing the Innovation Management Assessment . 6
5.3 Type and quality of Innovation Management Assessment output(s) . 6
5.4 Formats of Innovation Management Assessment output(s) . 7
6 The Innovation Management Assessment process . 7
7 Prepare the Innovation Management Assessment . 9
7.1 The Innovation Management Assessment’s strategic intent and scope . 9
7.2 Innovation Management Assessment’s design suitable for the organization .10
7.3 Expected results of the Innovation Management Assessment .10
7.4 Performance metrics for the Innovation Management Assessment .10
7.5 The resources required (internal and external) .11
7.6 Organization’s ability and willingness to change .11
7.7 Prepare for the set-up of the Innovation Management Assessment .11
8 Conduct the Innovation Management Assessment .13
8.1 Set-up of the tool(s) .13
8.2 Data collection (quantitative and qualitative) .13
8.3 Data analysis .14
8.3.1 Data cleansing .14
8.3.2 Data interpretation and gap identification .14
9 Conclude the Innovation Management Assessment .15
9.1 Document findings .15
9.2 Innovation Management Assessment report structure and content .15
9.2.1 Examples of the data analysis results organized by topic/theme .15
9.2.2 Examples of the data analysis results organized by urgency or complexity .16
9.3 Communication of the Innovation Management Assessment results .16
9.4 Recommendations for Innovation Management improvement .17
10 Improvement of the Innovation Management Assessment itself .18
10.1 Recommendations for improving the Innovation Management Assessment .18
10.2 Determine the roadmap for enhancing future Innovation Management Assessments .18
10.3 Implement roadmap actions .18
Annex A (informative) Principles of Innovation Management Assessment .19
Annex B (informative) Presenting results from the Innovation Management Assessment
(examples of visuals) .26
Bibliography .30
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Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www .iso .org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso
.org/iso/foreword .html.
This document was prepared by Technical Committee ISO/TC 279, Innovation Management.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www .iso .org/members .html.
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Introduction
Innovation is the key driver for organizations to create value from new products, services, processes,
or business models. Therefore, innovation needs to be managed in a systematic manner. Many
organizations have already established their innovation management (IM). This might build on key
success factors such as the innovation strategy and objectives, the operations for innovation including
the processes and organizational structures, and the innovation-enabling factors, the innovation
support, including among others the innovation culture, tools and methods, competencies, human
and financial resources. Managing innovation in a systematic manner creates value and secures the
organization’s future. As a consequence, organizations seek guidance on continuously developing
their innovation management capabilities and performance. A pre-requisite is transparency of the
organization’s current performance of its IM. To achieve necessary transparency here, regular and
effective assessments of the IM are essential. In this context, this document is designed to answer the
following over-riding question: How can an Innovation Management Assessment (IMA) contribute to
the future development of an organization and its IM?
This document provides guidance on why it is beneficial to implement an IMA, what you can expect from
a good IMA, how to carry it out, and act upon the results of the IMA. More specifically, the document
provides the fundamentals for considering an IMA and provides the foundation for carrying out such a
process. It is intended to help the user to understand the:
— value and benefits of carrying out an IMA (reasons behind carrying out an IMA);
— different approaches for an IMA;
— IMA process, its steps and impact;
— improvement potential for the IM, the IMA and, as a result, for the assessed organization.
Before continuing further, the reader is encouraged to consult Annex A of this document, which outlines
the key principles behind a good IMA.
1)

Details of an Innovation Management System (IMS) can be found in ISO 56002 with particular
reference to Clauses 9 and 10 which cover performance evaluation and improvement. For details on
specific innovation and innovation management tools or techniques, consult ISO 56003 and following
2)
documents in the series. The common innovation management terminology can be found in ISO 56000 ,
“Fundamentals and Vocabulary”.
1) Under preparation. Stage at the time of publication: ISO/DIS 56002
2) Under preparation. Stage at the time of publication: ISO/CD 56000
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kSIST-TP FprCEN ISO/TR 56004:2020
TECHNICAL REPORT ISO/TR 56004:2019(E)
Innovation Management Assessment — Guidance
1 Scope
This document will help the user understand why it is beneficial to carry out an Innovation Management
Assessment (IMA), what to assess, how to carry out the IMA, and thus maximize the resulting benefits,
which are universally applicable to:
— organizations seeking sustained success in their innovation activities;
— organizations performing IMAs;
— users and other interested parties (e.g. customers, suppliers, partners, funding organizations,
universities and public authorities) seeking confidence in an organization’s ability to manage
innovation effectively;
— interested parties seeking to improve communication through a common understanding of
Innovation Management (IM), via an assessment;
— providers of training, assessment, or advice in IM;
— developers of related standards;
— academics interested in research related to IMA.
Further, this document is intended to be applicable to:
— all types of organizations, regardless of sector, age, size, or country;
— all approaches to IM regardless of their level of sophistication, and complexity;
— all modalities of managing innovation whether centralized or decentralized;
— all ways to innovate, e.g. internal, collaborative, open, user-, market- or technology-driven innovation;
— all types of innovation such as product, service, process, business model, organizational innovation
from incremental to radical.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https: //www .iso .org/obp
— IEC Electropedia: available at http: //www .electropedia .org/
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3.1
innovation
new or changed entity, realizing or redistributing value
Note 1 to entry: Novelty and value are relative to, and determined by the perception of, the organization and
interested parties.
Note 2 to entry: An innovation can be a product, service, process, model, method etc.
Note 3 to entry: Innovation is an outcome. The word “innovation” sometimes refers to activities or processes
resulting in, or aiming for, innovation. When “innovation” is used in this sense, it should always be used with
some form of qualifier, e.g. “innovation activities”.
Note 4 to entry: For the purpose of statistical measurement, refer to the Oslo Manual (OECD/Eurostat 2018):‘New
or changed entity’ corresponds to ‘a new or improved product or process, or combination thereof, that differs
significantly from the unit’s previous products or processes’. ‘Realizing or redistributing value’ corresponds to
‘and that has been made available to potential users or brought into use by the unit’.
[SOURCE: ISO 9000:2015, 3.6.15, modified by using the term “entity” instead of “object” and by
adding notes]
3.2
innovation management
management with regard to innovation (3.1)
Note 1 to entry: Innovation management can include establishing an innovation vision, innovation policy and
innovation objectives, and innovation strategies, innovation processes, structures, roles and responsibilities
and innovation support, to achieve those objectives through innovation planning, innovation operations,
performance evaluation, improvement and other activities.
3.3
innovation process
process with regard to innovation (3.1)
Note 1 to entry: Innovation processes are generally planned and carried out under controlled conditions to
realize value.
Note 2 to entry: Innovation processes are designed to manage uncertainty with innovation as the intended result.
Not all innovation processes are resulting in innovation.
Note 3 to entry: An innovation process consists of several innovation activities or process elements e.g.
identification of insights and opportunities, ideation, prototyping , development, deployment
Note 4 to entry: Innovation processes can be implemented within an organization or across organizations in the
case of e.g. collaborative innovation, innovation clusters, value networks or ecosystems.
4 Reasons for carrying out an Innovation Management Assessment
Before initiating an IMA, it is preferable that the organization gains a thorough understanding of the
reasons for carrying out an IMA, and about its current IM performance. There may be the need for
clarity on the IM and how it is performing, or there may be the need for change in the organization to
perform better. In the first case, the IMA’s objective is to provide insights into the current performance
- both strengths, weaknesses and gaps to the desired value creation through better IM. This will be the
basis for defining and implementing actions for improvement. In the second case, the IMA may yield
a transformation roadmap including organizational changes to reach the level of a high-performing
innovator. The following reasons may trigger an organization to initiate an IMA.
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Table 1 — Possible reasons for an organization to carry out an IMA
Gain a better understanding of IM Determine the performance of the current IM
— Learn what the key success factors for effective — Discover the aspects of IM that lead to performance
IM are, and how to leverage them gaps, e.g. between value creation targets and
actual results
— Better understand how the key success factors
of IM are integrated within, and leveraged by — Evaluate the organization’s position based on value
the organization creation from innovation
— Identify misalignment in the organization (activities,
structures, processes, responsibilities, culture, HR,
finance etc.) that impede IM results
— Compare the organization’s performance with
external points of reference: such as known
innovation leaders/growth champions, competitors,
or other external stakeholders and identify best
practices in IM
Improving the performance and increasing the value
Meeting internal/external requirements
of the organization
— Meeting strategic goals/objectives — Structured input into a roadmap and the resources
needed for enhancing the IM performance
— Comply with requirements for funding for
innovation projects or qualification of the — Fostering an innovation, learning and dynamic
organization in the context of due diligence culture to support the evolution of the organization
Note that the motivations in Table 1 are not exhaustive, nor are they intended to outline all possible
benefits of performing an IMA. The reasons for initiating an IMA will guide its scope, strategic intent,
required resources and – most important – the resulting level of change.
5 Choosing the Innovation Management Assessment approach
5.1 General
When choosing the most suitable IMA approach, the organization is expected to have a clear
understanding of the:
— different IMA approaches;
— scope of the IMA;
— type and quality of the IMA output(s);
— formats of the IMA output.
These considerations may serve as selection criteria for the most suitable IMA approach.
5.2 Understanding different approaches to Innovation Management Assessment
Different IMA approaches include check-list assessments or benchmarking assessments. Check-lists
provide a list of issues to be considered when assessing the IM and its deployment. Benchmarking
assessments build on defined internal or external peer group’s IM scores and provide transparency of
the organization’s IM performance and competitiveness.
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Table 2 — Potential approaches for an Innovation Management Assessment
Independent of whether the IMA is performed based on a check-list or on a benchmarking approach, the
IMA can be designed along several dimensions as shown in Table 2.
— The “IMA Objective” will be defined as a first step when planning an IMA. The scope and, as a result,
the questions asked will differ whether the IMA aims at compliance with defined targets, the value
created from an enhanced IM, or at the organization’s IM capability for improvement.
— The “Extent of IMA (Breadth)” covers the entire unit, defined either by a common profit and loss
statement or by an annual performance statement. Within this unit, all success factors of the IM will
be addressed in the IMA to reflect their interdependency;
— The selection of the “Assessed Objects (Focus)” ensures that the IMA results reflect the
interdependencies of the organization’s innovation strategy, culture/leadership, innovation process,
for example. Only then underlying root/causes for IM improvement are identified.
— Deciding on the “Expertise Involvement” the organization takes a sober decision on the quality,
availability and independence of internal resources. The recommendations from an external third
party might have more credibility and impact on the implementation of the necessary improvements.
— The “Data Collection” will be determined by the defined scope of the IMA and by the availability of
data that has been defined for the IMA.
— Selecting the “Tools for Data Collection” especially for small and medium-sized enterprises
(SMEs) has become easier as there are proven online tools available that provide a comprehensive
questionnaire reflecting the interdependencies of the innovation strategy, innovation organization
and culture, as well as the innovation processes for example, and presenting the organization’s IM
performance within a mouse click in a well-structured report.
— “Data Types” - qualitative or quantitative – are usually used in combination to measure the
effectiveness and efficiency of an organization’s IM.
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— “Methods of Data Analysis” will be fully automated when using an online IMA tool that offers this
service. However, effective interpretation of the IMA results will take into account the organization’s
level of ambition, competitive/external pressure to change, available resources and capabilities to
drive the change.
— The selection of the “Reference Type” and “Comparison Types” depends on the organization’s access
to reference data. When an organization performs an IMA the first time, internal data are not
available. Here the defined targets or the external benchmarks might serve as a reference.
— The “Data Interpretation” ideally provides actions for further improvement of the IM. However, the
“Data Interpretation” might also describe possibilities or predict what might happen as a result of
certain actions.
— On the “IMA Output Format” the organization defines which types of actionable output they require
for which level of hierarchy in the organization to achieve the necessary transparency and impact
from the IMA.
— The “IMA Recommendations” reflect the full scope defined for the IMA. The recommendations may
also affect the entire assessed organization or even their value networks.
5.2.1 Performance criteria for Innovation Management
For each of the IM’s success factors such as the innovation strategy, innovation organization and culture,
innovation processes, innovation-enabling factors and innovation results, performance criteria may
include quantitative and qualitative measures. Quantitative measures allow for numerical analysis,
while qualitative measures will complement this with additional richness and depth.
The criteria are selected to provide insights into the IM’s impact on the organization’s value-creation
from innovation. This can be defined for example by value via:
— growth in:
— revenue from innovation;
— profit from innovation;
— market share from innovation;
— number of employees;
— geographic reach from innovation;
— number of beneficiaries (e.g. of social businesses or of public sector organizations) that are
reached by the innovation offered;
— value-created for the beneficiaries reached, social development and/ or environmental
sustainability;
— its ability to set the pace for innovation by:
— optimizing the innovation lifecycle;
— speed of innovation;
— its efficiency based on:
— resources allocated to achieve the defined value;
— defined timeframes that were met or even accelerated;
— defined quality levels reached or even exceeded.
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5.2.2 Options for implementing the Innovation Management Assessment
The IMA may be a very simple high-level scan, based on only a few questions gaining a first idea on
the IM’s performance, or very detailed investigation, based on a greater range of qualitative and/or
quantitative questions. Both a simple and more detailed IMA can be carried out as part of a stepwise
IMA approach, where required. For large organizations with many separate organizational units, or
geographically spread units there may be several different IM approaches in place. In such cases, there
can be a benefit for running several parallel assessments to fully assess the overarching (or individual)
IM performance. Efficiency and effectiveness of the IMA increases if proven automated tools are used.
The IMA can be performed internally by a dedicated team, with the help of external experts or completely
driven by resources from an external party. The team can use a combination of interviews, surveys and
desk research which will ideally produce both quantitative and qualitative results (Figure 1).
Figure 1 — Key components of, and approaches to, Innovation Management Assessment
Response formats might be of different types such as 5-7-point Likert (psychometric) scales, colour
abacus or other forms of normalized scales. The respondents can include managers, employees, external
clients, and/or partners.
5.3 Type and quality of Innovation Management Assessment output(s)
The quality of the IMA outputs depends on the quality of the data that is collected and documented as
well as on the reports that present the IMA results.
For all types of IMA approaches, it is important to match the effort required from the respondents to
the desired level of detail. Aspects to be ensured are:
— the validity of the underlying assumptions used to build the dataset/database;
— the consistency of responses, through detailed guidance or sufficiently simple and unambiguous
questions;
— the validity of the results, through a sufficient number of responses in relation to the size of the
organization.
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Good support for analysis and action planning is based on a well-defined dataset that allows for
filtering, benchmarking and/or correlation analysis in order to:
— analyse data to report strengths, weaknesses and/or capability gaps in the IM;
— compare and contrast assessment data with earlier assessments or with the benchmark;
— compare and contrast assessment data with relevant data from other sources.
When comparing with external databases, the quality of the database can be evaluated by its accuracy,
size, age, confidentiality, and integrity of the data.
The output of the IMA is expected to be a well-structured report highlighting the strengths and
weaknesses of the IM. These insights form the basis for a set of recommendations for improving the IM
and further IMAs. The quality of the report is defined by its relevance to the original objectives of the
IMA, its completeness, statistical validity, clarity of structure and language, and the possibility to use it
as the basis for futu
...