Innovation Management Assessment - Guidance (ISO/TR 56004:2019)

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.

Évaluation du management de l'innovation - Lignes directrices (ISO/TR 56004:2019)

Le présent document aidera l'utilisateur à comprendre pourquoi il est avantageux de réaliser une évaluation du management de l'innovation (EMI), quoi évaluer, comment procéder à l'EMI et ainsi maximiser les avantages qui en résultent, qui sont universellement applicables:
— aux organisations qui cherchent à assurer le succès durable de leurs activités d'innovation;
— aux organisations qui effectuent des EMI;
— aux utilisateurs et autres parties intéressées (clients, fournisseurs, partenaires, organisations de financement, universités et autorités publiques, par exemple) qui cherchent à avoir confiance dans la capacité d'une organisation à gérer efficacement l'innovation;
— aux parties intéressées qui cherchent à améliorer la communication grâce à une compréhension commune du management de l'innovation (MI), au moyen d'une évaluation;
— aux prestataires de services de formation, d'évaluation ou de conseil en MI;
— aux développeurs de normes connexes;
— aux universitaires qui s'intéressent à la recherche liée à l'EMI.
En outre, le présent document est destiné à être applicable à:
— tous les types d'organisations, quels que soient leur secteur d'activité, leur âge, leur taille ou leur pays;
— toutes les approches du MI, quels que soient leur niveau de sophistication et leur complexité;
— toutes les modalités de management de l'innovation, qu'elle soit centralisée ou décentralisée;
— toutes les façons d'innover, par exemple en interne, collaborative, ouverte, axée sur l'utilisateur, le marché ou la technologie;
— tous les types d'innovation tels qu'un produit, un service, un procédé, un modèle d'affaires, une innovation organisationnelle, qu'elle soit incrémentale ou radicale.

Ocenjevanje upravljanja inovacij - Navodilo (ISO/TR 56004:2019)

General Information

Status
Published
Public Enquiry End Date
16-Sep-2020
Publication Date
03-Nov-2020
Technical Committee
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
29-Oct-2020
Due Date
03-Jan-2021
Completion Date
04-Nov-2020

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SLOVENSKI STANDARD
SIST-TP CEN ISO/TR 56004:2020
01-december-2020
Nadomešča:
SIST-TS CEN/TS 16555-7:2016
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: CEN ISO/TR 56004:2020
ICS:
03.100.40 Raziskave in razvoj Research and development
03.100.50 Proizvodnja. Vodenje Production. Production
proizvodnje management
SIST-TP CEN 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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SIST-TP CEN ISO/TR 56004:2020
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SIST-TP CEN ISO/TR 56004:2020
CEN ISO/TR 56004
TECHNICAL REPORT
RAPPORT TECHNIQUE
October 2020
TECHNISCHER BERICHT
ICS 03.100.01; 03.100.40 Supersedes CEN/TS 16555-7:2015
English Version
Innovation Management Assessment - Guidance (ISO/TR
56004:2019)
Évaluation du management de l'innovation - Lignes
directrices (ISO/TR 56004:2019)

This Technical Report was approved by CEN on 18 October 2020. It has been drawn up by the Technical Committee CEN/TC 389.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,

Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway,

Poland, Portugal, Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and

United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels

© 2020 CEN All rights of exploitation in any form and by any means reserved Ref. No. CEN ISO/TR 56004:2020 E

worldwide for CEN national Members.
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SIST-TP CEN ISO/TR 56004:2020
CEN ISO/TR 56004:2020 (E)
Contents Page

European foreword ....................................................................................................................................................... 3

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SIST-TP CEN ISO/TR 56004:2020
CEN ISO/TR 56004:2020 (E)
European foreword

The text of ISO/TR 56004:2019 has been prepared by Technical Committee ISO/TC 279 "Innovation

management” of the International Organization for Standardization (ISO) and has been taken over as

CEN ISO/TR 56004:2020 by Technical Committee CEN/TC 389 “Innovation Management” the

secretariat of which is held by UNE.

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. CEN shall not be held responsible for identifying any or all such patent rights.

This document supersedes CEN/TS 16555-7:2015.
Endorsement notice

The text of ISO/TR 56004:2019 has been approved by CEN as CEN ISO/TR 56004:2020 without any

modification.
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SIST-TP CEN ISO/TR 56004:2020
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SIST-TP CEN 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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SIST-TP CEN ISO/TR 56004:2020
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

on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address

below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Fax: +41 22 749 09 47
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO 2019 – All rights reserved
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SIST-TP CEN ISO/TR 56004:2020
ISO/TR 56004:2019(E)
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

© ISO 2019 – All rights reserved iii
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SIST-TP CEN ISO/TR 56004:2020
ISO/TR 56004:2019(E)
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.
iv © ISO 2019 – All rights reserved
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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.

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

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
© ISO 2019 – All rights reserved v
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SIST-TP CEN 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/
© ISO 2019 – All rights reserved 1
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SIST-TP CEN ISO/TR 56004:2020
ISO/TR 56004:2019(E)
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.
2 © ISO 2019 – All rights reserved
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ISO/TR 56004:2019(E)
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.
© ISO 2019 – All rights reserved 3
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ISO/TR 56004:2019(E)
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.
4 © ISO 2019 – All rights reserved
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SIST-TP CEN ISO/TR 56004:2020
ISO/TR 56004:2019(E)

— “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.
© ISO 2019 – All rights reserved 5
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SIST-TP CEN ISO/TR 56004:2020
ISO/TR 56004:2019(E)
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 pro
...

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.

---------------------- Page: 1 ----------------------
kSIST-TP FprCEN ISO/TR 56004:2020
---------------------- Page: 2 ----------------------
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
---------------------- Page: 3 ----------------------
kSIST-TP FprCEN ISO/TR 56004:2020
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

on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address

below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Fax: +41 22 749 09 47
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO 2019 – All rights reserved
---------------------- Page: 4 ----------------------
kSIST-TP FprCEN ISO/TR 56004:2020
ISO/TR 56004:2019(E)
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.

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

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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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
...

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