Creating an environment Innovation management
When performing OKR, the following stages are established:
1) development:
preliminary design (DS);
technical project (TP);
working design documentation (WDC) for the manufacture of a prototype product;
2) manufacturing a prototype of a product (a prototype of a midrange product) and conducting preliminary tests;
3) conducting state tests of a prototype product (interdepartmental tests of a prototype of a midrange product);
4) approval of working design documentation for organizing industrial (serial) production of products.
Stage of development of preliminary design
The EP development stage is carried out in accordance with the requirements of the technical specifications for development work and the plan joint work to carry out design and development work (if it was developed) in order to establish fundamental (design, circuit, technological, etc.) solutions for the product, giving a general idea of the operating principle and (or) design of the product and its components, fulfillment of the requirements specified in the technical specifications for their operational characteristics, as well as the possibility of manufacturing in an industrial environment. At this stage, product options are being worked out and considered, while data, materials and results of previously conducted research and the latest achievements of science and technology, including foreign analogues, are analyzed.
The set of electronic design documents carried out during the development work includes design documents in accordance with the requirements of GOST 2.102 - 68 “ESKD. Types and completeness of design documents" and GOST 2.119-73 "ES KD. Preliminary design".
The preliminary design, in addition to design documentation, includes materials from expert and calculated assessments of product characteristics.
Product performance assessments included in the preliminary design:
Strength;
Environmental safety;
Resistance of the product to special factors;
Compliance of the technical level of the product being developed with advanced achievements of science and technology;
Assessing the manufacturability of the product and the correct choice of means and methods of control and testing;
Evaluation of the results of manufacturing and testing of product prototypes;
Assessment of product reliability based on the results of theoretical and theoretical experimental work, marking the principles of product operation.
Technical project development stage
This stage is carried out on the basis of an approved EP or technical specifications, if an EP has not been developed, and in accordance with the joint work plan for the implementation of development work. The purpose of this stage is to identify the final technical solutions on the product, giving a complete picture of the design of the product (mid-range product) and fundamental technological solutions for its manufacture in industrial conditions.
When performing technical tasks (if provided for in the technical specifications), the lead R&D executive develops proposals for promising areas for further improvement of the product, its components, taking into account their suitability for subsequent modernization, as well as, if possible, the creation of modifications based on the product being developed.
When performing TC, relevant documents must be developed. To be honest, the TP includes design documents in accordance with the requirements of GOST 2.102-68 “ESKD. Types and completeness of design documents" and GOST 2.120-73 "ESKD. Technical design”, provided for in the technical design statement.
Composition of the technical design of the product:
Design design documentation of the TP for the product (SP of the product) that meets the requirements of GOST 2.902 and solutions for the selected option from those considered in the EP;
Necessary calculations, including those confirming the fulfillment of the technical and economic requirements specified in the technical specifications;
Protocols (materials) for coordinating the use of purchased components;
Necessary circuit diagrams of connections, etc.;
Instructions on the rules for replacing and expanding software and information modules; list of modules to be included in the algorithm fund;
Report on patent research conducted;
Draft test program and methodology;
Proposals and design solutions to ensure modernization at the operational stage;
Applications for the development of new instrumentation, measuring instruments and materials used in the product under development (MF product);
Technical solutions to ensure reliability requirements established in the technical specifications and electronic documentation. if it was being developed;
Documentation for mock-ups, their production and testing;
Program and methods for conducting metrological examination; justified lists of measured parameters and characteristics of the product and its components, permissible deviations on them and measurement errors; justified methods and means of measurement, means (systems) of product control; proposals (with justification) for the need to develop new methods, measuring and control instruments; proposals (with justification) for the product metrological support program;
A table comparing the main technical characteristics and indicators of the created product and its components with corresponding and developed (including foreign) analogues;
Technology development program for inclusion in the product experimental development program (if the latter is developed in agreement with the customer);
List (composition) of educational and training facilities, as well as special repair and technological equipment and accessories intended to ensure operation, maintenance and routine repair of the product;
The technological part of the technological process with justification for its technological feasibility, including, if necessary, the final directive technological documentation;
Drawings of assembly units and product parts, if this is caused by the need to issue assignments for the development of specialized equipment for their manufacture.
"Current issues of accounting and taxation", 2012, N 16
The company carried out experimental design work (R&D) within the framework of the state defense order according to the technical specifications of a foreign customer (Chinese company). The specificity of this transaction is that, given the special regulation of relations in the field of military-technical cooperation with foreign states, it was concluded not directly with a foreign partner, but within the framework of a commission agreement with a state intermediary for the export (import) of military products.
Disputes with controllers regarding the issue of determining the place of implementation of the specified work for the purpose of VAT taxation reached the Presidium of the Supreme Arbitration Court of the Russian Federation. Looking ahead, let's say that the operative part of the decision at the time of publication of this material already known. Let's intrigue the reader - we won't voice it right away. We believe that it is necessary to understand this confusing story step by step.
Circumstances of the dispute
So, the state enterprise entered into a contract with Chinese company for the import and export of products, having assumed obligations to provide military-technical support for the work.
Due to the fact that this contract was concluded in the field of military-technical cooperation with foreign states, it was assumed that the transaction would be carried out by the enterprise as a state intermediary for the export (import) of military products on its own behalf, however (!) at the expense of the company with which this company has concluded commission agreement, in accordance with the terms of which the company undertakes to carry out development work according to the technical specifications of the foreign customer and transfer a set of documentation and a prototype under the conditions stipulated contract, prisoners state enterprise with a foreign customer.
Features of the sphere of interaction
Before delving into the dispute itself, which was the subject of litigation, we consider it necessary to note the following. The sphere of interaction between the above three counterparties (foreign customer, contractor and committing company), namely military-technical cooperation, is very specific and difficult. It is possible to carry out only those types of activities that are expressly permitted, and by those persons who are expressly permitted to do so.
Relations in the field of military-technical cooperation of the Russian Federation with foreign states, state regulation and financing of work in it, the procedure for participation in the implementation of this cooperation of developers and manufacturers of military products are established by Law N 114-FZ<1>, in accordance with Art. 1 of which military-technical cooperation means activities in the field international relations related to the export and import, including the supply or purchase, of military products, as well as the development and production of military products, which include weapons, military equipment, works, services, results of intellectual activity, including exclusive rights to them (intellectual property) and information in the military-technical field. This includes the results OCD on the creation, modernization and (or) destruction (disposal) of weapons and military equipment (paragraph 17 of article 1 of Law No. 114-FZ).
<1>Federal Law of July 19, 1998 N 114-FZ “On military-technical cooperation Russian Federation with foreign countries."
In accordance with the provisions of the State Military Standard of the Russian Federation GOST RV 15.203-2001<2>(hereinafter referred to as the Standard) R&D recognizes a set of works on the development of design and technological documentation for a prototype of a military equipment (MT) product, the manufacture and testing of a prototype (pilot batch) of a VT product, carried out during the creation (modernization) of a VT product according to tactical and technical specifications state customer (customer) (clause 3.1.1 of the Standard).
<2>"System for developing and putting products into production. Military equipment. The procedure for carrying out experimental design work to create products and their components." Came into force on January 1, 2003.
Article 12 of Law No. 114-FZ establishes the right of organizations engaged in foreign trade activities in relation to military products to participate in military-technical cooperation of the Russian Federation with foreign states. Thus, according to paragraph 1 of this article, foreign trade activities in relation to military products can be carried out by federal state unitary enterprises (state intermediaries), created by decision of the President of the Russian Federation, joint stock companies, 100% of whose shares belong to the Russian Federation or a state corporation, as well as the state corporation "Rostechnologies"<3>.
<3>The Russian Federation was created on the basis Federal Law dated November 23, 2007 N 270-FZ “On the State Corporation “Russian Technologies”.
Note. It is prohibited to carry out foreign trade activities by Russian individuals(Clause 4, Article 6 of Law No. 114-FZ).
This activity can also be carried out by other Russian organizations, but subject to a number of conditions: firstly, these must be developers and manufacturers of military products; secondly, these persons must receive the right to carry out foreign trade activities in relation to military products; thirdly, at least 51% of the shares (shares) of such persons must belong to the Russian Federation.
Note! Subjects civil relations in the field of export of military products there can be not any, but strictly defined persons who have received the right to do so in the prescribed manner.
Characters
As you can note, there are no strangers in this area. So, the characters in our story:
- Chinese company (hereinafter referred to as the foreign customer);
- federal state unitary enterprise (hereinafter referred to as the executor). Indeed, the Rosoboronexport enterprise, which has entered into a contract with a foreign customer, is a state intermediary in the implementation of foreign trade activities in relation to military products (clause 1 of the enterprise’s Charter<4>), in accordance with Art. 1 Law N 114-FZ, which is a military product for the purpose of implementing state policy in the field of military-technical cooperation of the Russian Federation with foreign countries and making a profit from this activity (clause 10 of the enterprise’s Charter);
- the company with which the contractor entered into a commission agreement and which is the main character, since as a result of the on-site tax audit carried out in relation to it, disputes arose with controllers, which led to a series of legal proceedings. According to the commission agreement society(committee) is obliged to carry out design and development work, produce and supply design documentation for the special product, its mathematical model and prototype<5>on the terms provided for in the contract concluded by the contractor with a foreign customer<6>.
<5>A prototype of a VT product is a VT product manufactured during R&D according to newly developed working design and technological documentation for adoption (supply, operation, intended use) and production (clause 3.1.11 of the Standard).
<6> Government contract for the implementation of design and development work - a contract concluded by the customer and the performer of the design and development work, stipulating the obligations of the parties and their responsibility for the implementation of design and development work (clause 3.1.17 of the Standard).
Taxpayer position
The company, believing that it was carrying out design and development work as part of the fulfillment of obligations to a foreign customer, proceeded from the fact that the territory of the Russian Federation is not recognized as the place for the implementation of these works (clause 4, clause 1.1, article 148 of the Tax Code of the Russian Federation) and, accordingly, these operations are not the object of VAT taxation (clause 1 of article 146 of the Tax Code of the Russian Federation).
Let us remind readers that the above norms establish the rule for determining the place of implementation of work (services). Here the main criterion is the buyer’s place of business. Thus, the territory of the Russian Federation is considered the place of activity of the buyer in the event of its actual presence in the territory of the Russian Federation on the basis state registration organization, and in its absence - on the basis of the place specified in the constituent documents of the organization, the place of management of the organization, the location of the permanent executive body, location of the permanent representative office (if the work (services) are provided through this permanent representative office) (paragraph 2, paragraph 4, paragraph 1, article 148 of the Tax Code of the Russian Federation). That is, if the buyer carries out activities on the territory of the Russian Federation, the place of implementation of the work is recognized as the territory of the Russian Federation and, accordingly, the amount of VAT is subject to payment to the budget of the Russian Federation. This provision applies, in particular, when carrying out research and development work. Thus, if the buyer specified services is a foreign entity registered and operating on the territory of a foreign state, the territory of the Russian Federation is not recognized as the place of sale of services and, accordingly, these services are not subject to VAT in the Russian Federation (Letters of the Ministry of Finance of Russia dated September 8, 2011 N 03-07-08/276, Federal Tax Service of Russia in Moscow dated May 19, 2011 N 16-15/49161).
Tax authorities' position
The controllers, on the contrary, came to the conclusion that the company had unlawfully applied the provisions of Art. 148 of the Tax Code of the Russian Federation, determining the place of implementation of work (services), considering that the result of the taxpayer’s fulfillment of obligations was export delivery through a commission agent for a complex of military property (technical documentation and prototype). We believe that the basis for such conclusions was the following. The contractor (in accordance with the commission agreement - commission agent) within the framework of the agreement assumes, in particular, obligations for:
- providing legal and banking support for export operations related to the performance of work, delivery of property and documentation to the customer;
- ensuring, at the expense of the principal, the receipt of an export license for the work performed, supplied property and documentation, as well as the preparation of a transaction passport;
- registration of an export license with the customs authority by a customs broker, customs clearance property and documentation;
- organizing ground processing of property and documentation at the airport of shipment, as well as organizing air transportation and forwarding of property and documentation.
Taking into account the specifics of legal regulation in the field of military-technical cooperation with foreign states, having analyzed the terms of the contract and commission agreement presented as part of the tax audit, and also having studied the documents available in the case (invoices, customs declaration, etc.), the inspection established that the contractor under the contract was issued a conclusion for the export of military products supplied under the commission agreement. The export of technical documentation was formalized by licenses for the export of military products. In the contract, the parties agreed on the terms of delivery of products, requirements for the delivery procedure, containers and packaging. According to controllers, cargo customs declarations confirm the export of technical design documentation.
Tax officials drew attention to another important point. According to the provisions of Art. 1371 of the Civil Code of the Russian Federation, exclusive rights to an invention, utility model or industrial design created during the execution of a contract for the implementation of R&D are granted to the customer, subject to the presence of an appropriate condition in the contract. In the absence of such a condition, exclusive rights belong to the performer. In this case, the customer has the right, unless otherwise provided by the contract, to use the invention, utility model or industrial design created in this way for the purposes for which the corresponding contract was concluded, under the terms of a simple (non-exclusive) license during the entire validity period of the patent without payment for this is the use of additional rewards.
In the case under consideration, exclusive rights to intellectual property obtained during the development work under an agreement with a foreign customer remained on the territory of the Russian Federation. As follows from the case materials, the enterprise transferred documentation and a prototype product to the foreign customer, but (in accordance with the agreement) did not transfer exclusive rights to the result of intellectual property. Moreover, due to the peculiarities of the concluded transaction, these rights remained with the contractor, that is, on the territory of the Russian Federation. The fact is that, in accordance with the concluded contract, all exclusive rights to intellectual property, including inventions, designs and other scientific and technical results, belong to the contractor.
Due to the fact that the contractual relationship in question cannot be qualified as the implementation of design and development work, since exclusive rights to the results of the work were not transferred to the foreign customer, the inspection considered that the export delivery of the product (design documentation for the special product, its mathematical model and prototype) was carried out in its favor ). Accordingly, the place of implementation of R&D, according to tax authorities, is Russia, and a transaction with a foreign counterparty is an export of goods, the sale of which is taxed at a rate of 0%.
As a result, the inspectorate charged the company VAT at a rate of 18% due to the failure to provide, after 180 days, the documents necessary to confirm the zero rate (Article 165 of the Tax Code of the Russian Federation).
Fight to the bitter end
The courts of three instances supported the position of the controllers regarding the company’s actions to export products. Nevertheless, we believe that the taxpayer initiated a review of this case in the Supreme Arbitration Court of the Russian Federation with the greatest possible results, especially since the cost of the issue is considerable - for this episode of the case under consideration it amounted to over 15 million rubles. By challenging the conclusions of the courts, the company “played” on the peculiarities of the legal nature of the concluded agreement.
Legal regulation of relations related to the creation of new results of intellectual activity is carried out by Ch. 38 Civil Code of the Russian Federation. The definition of a contract for the implementation of design and development work is given in paragraph 1 of Art. 769 of the Civil Code of the Russian Federation, in accordance with the norms of which the contractor undertakes to develop a sample of a new product, design documentation for it or new technology, and the customer - to accept the work and pay for it. In other words, contracts for the implementation of R&D formalize the relationship for the creation of new results of intellectual activity, primarily scientific and technical products: new materials, devices, technologies, as well as the direct conduct of the research itself on their creation. The contractor undertakes, on the basis of the customer’s technical specifications, to develop a sample of a new product and design documentation for it, and the customer undertakes to accept the work and pay for it. Further, reasoning in a given manner, society distinguishes between a “contract for the implementation of R&D” and a “supply contract.” In his opinion, the main difference is that under a supply contract, the buyer is given an item purchased from third parties or manufactured by the supplier, but does not have individual characteristics(serial model), while under the contract for the implementation of R&D, a sample of a new product is developed in accordance with the needs determined by the customer in the technical specifications. At the same time, the implementation of R&D is always associated with obtaining a certain result that has a tangible character - a sample of a new product or design documentation.
Proving that the concluded contract by its nature is an agreement for the implementation of design and development work, the place of execution of which is recognized as the location of the customer (in this case, the territory of a foreign state), and motivating its point of view by the terms of the concluded contract, the company argues as follows. The contract establishes that in order to fulfill the customer’s technical specifications, the contractor will do the work, and will also give him documentation And property. The content of these terms is also determined by the contract:
- the term “work” means design and development work on the development of documentation, manufacturing of a special product, services provided by the contractor to the customer for the delivery of property and documentation, as well as consultations on the results of the work performed;
- the term “documentation” means a set of design documentation for a special product and a mathematical model developed by the contractor for transfer to the customer;
- The term “property” means a sample of a special product developed by the contractor in accordance with the technical specifications of the foreign customer.
Accordingly, the concluded contract by its nature is an agreement for the implementation of design and development work, the place of execution of which is recognized as the location of the customer (foreign state). And the fact that the exclusive rights to the result of the work were not transferred to the foreign customer cannot be considered as a basis for a different qualification of the subject of the contract.
The bottom line is this. The panel of judges of the Supreme Arbitration Court of the Russian Federation in the Ruling dated May 10, 2012 N VAS-2296/12 on the transfer of this case to the Presidium of the Supreme Arbitration Court of the Russian Federation, disagreeing with the conclusions of the lower courts, indicated that the resolution of the issue of ownership of the exclusive right to the results of intellectual activity created during the implementation of R&D , does not affect the qualification of this agreement as a contract type agreement.
* * *
At a meeting held on July 17, 2012, the Presidium of the Supreme Arbitration Court of the Russian Federation overturned the decisions of the lower courts without remitting the case for a new trial. Let us note that at the time of preparation of the editorial material, only the operative part of the decision was known. However, in order to draw final conclusions regarding this situation, it is necessary to wait for the text of the judicial act itself, the appearance of which we mandatory Let's inform the reader.
N.V. Firfarova
Magazine editor
"Current issues
accounting and taxation"
| Stage number | Stage name | Main tasks and scope of work |
| Development of technical specifications for R&D | Drawing up a draft technical specification by the customer. Development of the draft technical specifications by the contractor. Establishing a list of counterparties and agreeing on private specifications with them. Coordination and approval of technical specifications. | |
| Technical proposal (is the basis for adjusting the technical specifications and performing a preliminary design) | Identification of additional requirements for the product, its technical specifications and quality indicators that cannot be specified in the technical specifications: – development of research results; – study of scientific and technical information; – preliminary calculations and clarification of technical specifications requirements. | |
| Schematic design (serves as the basis for technical design) | Development of fundamental technical solutions: – selection of basic technical solutions; – development of structural and functional diagrams of the product; – selection of main structural elements. | |
| Technical design | The final choice of technical solutions for the product as a whole and its components: – development circuit diagrams; – clarification of the main parameters of the product; – carrying out the structural layout of the product and issuing data for its placement on site; – development of draft technical specifications (technical conditions) for the supply and manufacture of products. | |
| Development of working documentation for the manufacture and testing of a prototype | Formation of a set of design documents: – development of a complete set of working documentation; – its coordination with the customer and the manufacturer of serial products; – checking design documentation for unification and standardization; – production of a prototype; – setup and comprehensive adjustment of the prototype. | |
| Preliminary tests (without customer participation) | Checking the compliance of the prototype with the requirements of the technical specifications and determining the possibility of presenting it for testing: – bench tests; – preliminary tests on site; – reliability tests. | |
| Tests with customer participation | Assessment of compliance with technical specifications requirements and the possibility of organizing production. | |
| Development of documentation based on test results | Making necessary clarifications and changes to the documentation. Transfer of documentation to the manufacturer. |
For R&D, one of the key parameters is time, which in turn depends on the following groups of factors:
· organizational: planning, control, coordination, personnel, finance;
· scientific and technical: technical equipment, depth of research work.
It is clear that by reducing the time spent on R&D, we increase the overall economic efficiency of the project (Fig. 3.4.).
Rice. 3.4. Impact of R&D Project Implementation Timing
on its commercial result
Basic methods for reducing new product development time:
1. R&D organization:
· ensuring close communication between marketing and R&D services;
· parallel implementation of research and development processes;
· improving the quality of examination;
· priority of time control over cost control.
2. Control:
· focus on management by objectives (MBO – Management By Objectives);
· strengthening cooperation, improving corporate culture;
· staff development;
· staff motivation.
3. Resources:
· improvement material base research;
· improvement information support R&D:
– implementation of special information systems for documentation support of research and development processes (Lotus Notes);
– use of special computer systems for project management (Microsoft Project).
· use of CAD tools. System computer-aided design- this is what it is software, with which you can carry out all the design work. Currently, there are many types of CAD: for designing structures (bridges, buildings, etc.), electrical circuits, hydraulic or gas networks, etc. Using CAD, you can not only draw the structure of the designed object, but also carry out the necessary engineering calculations: strength, hydrodynamic, current calculations electrical networks and so on.
4. Product:
· a clear R&D strategy - the better we imagine what should be the output of the design and development process, the better the result of this process will be;
· development of a larger number of options during the research phase;
· minimizing changes after the R&D phase.
The last two approaches mean the following. As you know, in personnel management there are different leadership styles, for example the following:
· democratic;
· conniving, etc.
An innovation project manager must be flexible enough to manage the team in different styles at different stages of the project. At the R&D stage, the most appropriate management style is democratic, i.e. consideration and consideration of all points of view, making a decision only after agreement, using predominantly persuasion rather than instructions, etc. What does this one give? Generally speaking, this of course slows down the research process, but if at this stage we consider the maximum number of product options from the point of view of their advantages and disadvantages, then there is a chance of making a mistake that will be revealed at stages of OCD or, even worse, at the pre-production stage, it is greatly reduced. Thus, it is better to spend more time on R&D than to later lose much more time and money if some error is discovered in the product at subsequent stages of the innovation process.
At the OCD stage it is required authoritarian style management. As soon as there is certainty about the product in terms of its design, functionality, etc., then you need to stick to the decisions made. If the manager begins to take into account all points of view and endless disputes, alterations, etc. begin, then the project risks dragging on indefinitely, which will lead to the depletion of money and the stopping of all work, which cannot be allowed to happen - this will be regarded as a personal failure of the manager.
3.4. Preparation for serial production new products
Preparing for production at a serial manufacturing plant is the final stage part of the innovation life cycle that precedes the introduction of a new product or service to the market. Organizationally, production preparation is a process no less complex than R&D, because Almost all departments of the plant are involved in its implementation. The input information for pre-production is a set of design documentation and marketing assessment production program for a new product. As noted above, production preparation usually goes through two stages: small-scale production and flow production.
Small-scale production it is necessary, firstly, to create a small batch of products to carry out test marketing, and, secondly, to work out production technology to solve various problems that may arise during the production line.
Direct production preparation includes the following types of work:
· design pre-production (KPP);
· technological preparation of production (TPP);
· organizational preparation of production (OPP).
The purpose of the checkpoint is to adapt the design documentation of the development and development work to the conditions of the specific production of the manufacturer. As a rule, design documentation for R&D already takes into account the production and technological capabilities of manufacturing enterprises, but the conditions of small-scale and continuous production have significant differences, which leads to the need for partial or even complete reworking of design documentation for R&D. Thus, the checkpoint involves working mainly with design documentation.
The following main tasks are solved during the TPP process:
· product testing for manufacturability;
· development of technological routes and processes;
· development of special technological equipment;
· technological equipment of production;
· technical support for the production of a trial batch and production line.
The task of the Chamber of Commerce and Industry is to ensure the full technological readiness of the plant for the production of new products with the specified technical and economic indicators:
· high technical level of production;
· required level product manufacturing quality;
· minimum labor and material costs for the planned production volumes.
Functions of OPP:
· planned: calculations of equipment loading, movement material flows, release at the development stage;
· providing: personnel, equipment, materials, semi-finished products, financial resources;
· design: design of sites and workshops, equipment layout.
Just as in the case of R&D, the key parameter of the pre-production process is time. To reduce the time for this work, special software is used for:
· improvements to design documentation;
· preparation of technological systems and equipment;
· production planning;
· coordinating the work of different departments involved in preparation, etc.
In general, we can say that the more automated and computerized an enterprise is, the less time is spent preparing it for the release of new products.
3.5. Financing innovation
activities and financial analysis
effectiveness of the innovation project
Sources of financing innovation activities can be divided into two groups: private investors and public investors. For most countries Western Europe and the United States is characterized by an approximately equal distribution of financial resources for R&D between public and private capital.
Private investors include:
· enterprises;
· financial and industrial groups;
· venture funds;
· private individuals, etc.
State (budgetary) sources of financing innovation activities that exist in Russia are presented in Fig. 3.5.
Rice. 3.5. State (budgetary) sources of financing innovation activities in Russia
The main organizational forms of financing innovation activities accepted in world practice are presented below in Table 3.4. As can be seen from the table above, the available forms of financing innovation activities for individual enterprises are equity and project financing.
Table 3.4.
Organizational forms of financing innovation
activities
| Form | Possible investors | Recipients of borrowed funds | Benefits of using a form | Difficulties in using the form in our country |
| Deficit Financing | Foreign governments. International financial institutions. Enterprises and organizations of the Russian Federation | Government of the Russian Federation | Possibility of state regulation and control of investments | Non-targeted nature of financing. Growth of external and internal public debt. Increasing budget expenditures |
| Equity (venture) financing | Commercial banks. Institutional investors (technology parks, business incubators, venture funds) | Corporations. Enterprises | Variability in the use of investments by an enterprise | Non-targeted nature of investments. Work only on the securities market, and not on the market of real projects. High level investor risk |
| Project financing | Governments. International financial institutions. Commercial banks. Domestic enterprises. Foreign investors. Institutional investors | Investment project. Innovation project | Targeted nature of financing. Risk distribution. Guarantees of participating states financial institutions. High level of control | Dependence on the investment climate. High level of credit risks. Unstable legislation and tax regime |
Project financing in world practice usually means this type of financing organization when the income received from the implementation of the project is the only source of repayment of debt obligations.
If venture (risk) capital can be used to organize financing of scientific activities at any stage, then the organizer project financing cannot take such a risk.
Innovative venture business allows for the possibility of failure of the funded project. As a rule, during the first years the project initiator is not responsible to financial partners for the expenditure of funds and does not pay interest on them. For the first few years, risk capital investors are content with purchasing a block of shares in a newly created company. If an innovative company begins to make a profit, then it becomes the main source of remuneration for risk capital investors.
Funds invested in innovation are a form of investment, therefore all financial instruments created for the analysis of investment projects are applicable to an innovative project. However, when comparing financial analysis investments in industrial capacity and in R&D, the following difference can be noted. Financial information when making a decision, for example, to build a plant, it is more reliable than for most scientific and technical projects, especially in the early stages. On the other hand, innovative projects have the advantage that they can usually be terminated with less financial loss.
In the process of developing an innovative project, certain “control points” take place:
· decision to develop a complete set of working documentation;
· decision to produce a prototype;
· decision to create a production base.
In case of a positive decision, at each “control point” the corresponding financial resources. Therefore, before moving to the next phase of the project, it must be revalued using financial analysis methods. In this case, the purpose of the analysis is to reduce the economic and technical uncertainty of the project, i.e. risk reduction. Financial analysis also plays a very important role in preparing a business plan, because one of its key sections is “ Financial plan" The data from this section has a decisive influence on the decision-making process on financing an innovative project.
For financial assessment innovation project is most often used next system indicators:
· integral effect;
· profitability index;
· rate of return;
· payback period.
3.5.1. Integral effect
The integral effect E int is the magnitude of the differences between results and investment costs for the calculation period, reduced to one, usually the initial year, that is, taking into account discounting of results and costs.
,
T r – accounting year;
D t – result in t-th year;
Z t – investment costs in the t-th year;
– discount factor (discount factor).
The integral effect also has other names, namely: net present value, net present or net present value, net present effect, and in English literature is referred to as NPV - Net Product Value.
As a rule, the implementation of R&D projects and preparation of production stretches over a significant period. This necessitates a comparison of cash investments made in different time, that is, discounting. Taking this into account, projects that are nominally the same in terms of costs may have different economic significance.
For R&D, the typical discounting time is the start of the project, and for a project that includes production, typically all revenues are discounted to the start of mass production and costs to the start of investment.
When choosing a project for financing, experts give preference to those that have highest value integral effect.
The innovation profitability index has other names: profitability index, profitability index. In English-language literature it is referred to as PI - Profitability Index. The profitability index is the ratio of present income to investment expenses given as of the same date. The profitability index is calculated using the formula:
P – profitability index;
D t – income in period t;
Z t – the amount of investment in innovation in period t.
The above formula reflects in the numerator the amount of income reduced to the moment of the start of innovation implementation, and in the denominator - the amount of investment in innovation, discounted by the time the investment process begins. In other words, we can say that two parts of the payment flow are compared here: income and investment.
The profitability index is closely related to the integral effect: if the integral effect E int is positive, then the profitability index P > 1, and vice versa. When P > 1, an innovative project is considered cost-effective. Otherwise (P< 1) – проект неэффективен.
In conditions of severe shortage of funds, preference should be given to those innovative solutions for which the profitability index is the highest.
Let's look at the example of the difference between the integral effect and the profitability index. Let us have two innovative projects.
Table 3.5.
Comparison of the integral effect and index
profitability of projects
As can be seen from Table 3.5, from the point of view of the integral effect, the projects do not differ. However, judging by the profitability index, the second project is more attractive. Thus, if an investor has a choice between projects where he invests 100,000 and 50,000, but ultimately receives 110,000 and 60,000, then it is obvious that he will choose the second project, because it uses investments more efficiently.
3.5.3. Profitability rate
The rate of return Ep represents the discount rate at which the amount of discounted income for a certain number of years becomes equal to investment. In this case, the income and costs of the innovation project are determined by reduction to the calculated point in time.
And 
The rate of return characterizes the level of profitability of a specific innovative solution, expressed by the discount rate at which the future value cash flow from innovation is reduced to the real value of investment funds. The rate of return indicator also has the following names: internal rate of return, internal rate of return, rate of return on investment. In the English-language literature, this indicator is called the internal rate of return and is designated as IRR - Internal Rate of Return.
The rate of profitability is defined analytically as a threshold value of profitability that ensures that the integral effect calculated over the economic life of innovation is equal to zero.
The value of the rate of return is most easily determined by the graph of the dependence of the integral effect on the value of the discount rate. To do this, it is enough to calculate two values of E int for any two values and construct a dependence in the form of a straight line passing through two points corresponding to the two calculated values of E int. The desired value of Ep is obtained at the point of intersection of the graph with the abscissa axis, i.e. Ep = at E int = 0. More precisely, the rate of profitability is defined as the solution of the algebraic equation:
,
which is found using special numerical methods implemented in software used for financial analysis, such as Project Expert software.
It is clear that the higher the project’s rate of return, the greater its chances of receiving financing.
The value of Ep found by calculation is compared with the rate of return required by the investor. The issue of making an investment decision can be considered if the value of Ep is not less than the value required by the investor.
Abroad, calculating the rate of return is often used as a first step. quantitative analysis investments and for further analysis those innovative projects are selected whose internal rate of return is estimated to be no lower than 15-20%.
If the initiator of innovation acts as an investor, then the decision to invest, as a rule, is made based on restrictions, which primarily include:
· internal production needs - the volume of necessary own funds for the implementation of production, technical, social programs;
· the rate of bank deposits (in the case of reliable banks such as Sberbank) or the yield on government securities;
· interest on a bank loan;
· conditions of industry and inter-industry competition;
· project risk level.
The management of an innovative company is faced with at least one investment alternative - to invest temporarily available funds in bank deposits or government securities, receiving a guaranteed income without additional high-risk activities. The rate of bank deposits or the yield on government securities is the minimum acceptable value of the project's rate of return. This value can be obtained from official sources - average yields on bank deposits and government securities are regularly published in specialized publications. Thus, the price of capital is defined as the net return on alternative financial investment projects.
If funds for the project are expected to be obtained from a bank, then the minimum level of the project’s rate of return should not be lower than the loan rate.
As for the influence of competition on determining the internal rate of profit, when establishing the rate of profit based on average profitability values, it must be commensurate with the scale of production. This is because average industry profitability may be higher than the innovator's operating profitability. Sometimes large companies deliberately lower prices, providing a sufficient amount of profit with significant sales volumes.
Investors who decide to finance innovative projects take into account the level of risk as a premium to the expected rate of return. The amount of this premium can vary within very wide limits and largely depends on both the nature of the project and the personal characteristics of those making investment decisions. The table below shows 3.6. contains information that can be relied upon when determining the investor's expected return.
Table 3.6.
Dependence of the rate of profit
investment project on the risk level
| Investment groups | Expected return |
| Replacement investments - subgroup 1 (new machinery or equipment, vehicles, etc., which will perform functions similar to the equipment being replaced) | Cost of capital |
| Replacement investments - subgroup 2 (new machines or equipment, vehicles, etc., which will perform functions similar to the equipment being replaced, but are technologically more advanced, their maintenance requires more highly qualified specialists, the organization of production requires other solutions) | Cost of capital + 3% |
| Replacement investments - subgroup 3 (new auxiliary production facilities: warehouses, buildings that replace old analogues; factories located on a new site) | Cost of capital + 6% |
| New investments - subgroup 1 (new facilities or equipment associated with the main production, with the help of which previously produced products will be produced) | Cost of capital + 5% |
| New investments - subgroup 2 (new facilities or machines that are closely related to existing equipment) | Cost of capital + 8% |
| New investments - subgroup 3 (new capacities and machines or takeover and acquisition of other firms that are not related to the existing technological process) | Cost of capital + 15% |
| Investments in scientific research - subgroup 1 (applied research aimed at certain specific purposes) | Cost of capital + 10% |
| Investments in scientific research work - subgroup 2 (fundamental research work, the goals of which are not precisely defined and the result is not known in advance) | Cost of capital + 20% |
3.5.4. Payback period
Payback period This is one of the most common indicators for assessing the effectiveness of investments. In English literature it is referred to as PP - Pay-off Period. In contrast to the indicator “payback period of capital investments” used in domestic practice, it is based not on profit, but on cash flow with the reduction of funds invested in innovation and the amount of cash flow to the present value.
Payback period formula, where:
Z – initial investment in innovation;
D – annual cash income.
Investing in market conditions involves significant risk, and this risk is greater the longer the investment payback period. Both market conditions and prices may change too significantly during this time. This approach is invariably relevant for industries in which the pace of scientific and technological progress and where the emergence of new technologies or products can quickly depreciate previous investments.
Finally, focusing on the “payback period” indicator is often chosen in cases where there is no confidence that the innovative project will be implemented, and therefore the owner of the funds does not risk entrusting the investment for a long period.
Thus, investors give preference to projects that have the shortest payback periods.
3.5.5. Main characteristics of the innovative project
Among the characteristics of an innovative project that are most often considered when performing financial analysis are the following:
· sustainability of the project;
· sensitivity of the project in relation to changes in its parameters;
· project break-even point.
Project sustainability is understood as the maximum negative value of the analyzed parameter, at which the economic feasibility of the project is maintained. Project parameters used to analyze its sustainability include:
· capital investments;
· volume of sales;
· current expenses;
· macroeconomic factors: inflation rate, dollar exchange rate, etc.
The stability of the project to changes in the analyzed parameter is calculated based on the condition that if the project parameters deviate by 10% for the worse from the nominal values, the integral effect remains positive.
Sensitivity to parameter changes is also determined from the condition that the analyzed parameter changes by 10% towards a negative deviation from its nominal value. If after this E int changes insignificantly (less than 5%), then innovation activity is considered insensitive to changes in this factor. If there is a significant change in E int (more than 5%), then the project is considered risky for this factor. For parameters in relation to which a particularly high sensitivity of the project has been identified, it is advisable to conduct an in-depth analysis in order to more accurately predict their changes during the implementation of the project. Such an analysis will make it possible to predict possible problems, plan appropriate actions, provide the necessary resources for them, i.e. minimize project risk.
In addition to stability and sensitivity analysis, the break-even point of an innovative project is often also determined. It is determined by the volume of product sales at which all production costs are covered. This parameter obviously reflects the degree of dependence of the project results on marketing risks - errors in determining demand, pricing policy and competitiveness of the new product.
Currently, financial analysis is carried out, as a rule, using special software. For example, the Project Expert product, widely used in our country, allows you to carry out all the analysis described above, as well as perform many other operations, the consideration of which requires a special training course. The output of the Project Expert software is a ready-made business plan, designed in accordance with the standards accepted in our country.
* Commercial development of research organizations in Russia. – M.: SCANRUS, 2001, pp. 231-237.
* Commercial development of research organizations in Russia. – M.: SCANRUS, 2001, pp. 321-237.
Scientific research work (R&D) – these are scientific developments related to searching, conducting research, experiments in order to obtain new knowledge, test hypotheses, establish patterns, scientific justification projects.
The implementation of research work is regulated by the following regulatory documents: GOST 15.101-98 “Procedure for carrying out research work”, GOST 7.32-2001 “Preparing a report on research work”, STB-1080-2011 “Procedure for performing research, development and experimental technological work on the creation scientific and technical products”, etc. (Appendix 10).
Distinguish fundamental, search and applied Research
Fundamental and exploratory work is, as a rule, not included in the product life cycle, but on their basis ideas are generated that can be transformed into applied research.
Basic Research can be divided into “pure” (free) and targeted.
“Pure” fundamental research– these are studies whose main goal is to discover and understand unknown laws and patterns of nature and society, the causes of phenomena and the discovery of connections between them, as well as to increase the volume of scientific knowledge. In “pure” research there is freedom to choose the field of research and methods of scientific work.
Targeted basic research are aimed at solving specific problems using strictly scientific methods based on available data. They are limited to a certain area of science, and their goal is not only to understand the laws of nature and society, but also to explain phenomena and processes, to more fully understand the object being studied, and to expand human knowledge.
This basic research can be called goal-oriented. They retain the freedom to choose work methods, but unlike “pure” fundamental research, there is no freedom to choose research objects; the area and purpose of the research are tentatively set (for example, the development of a controlled thermonuclear reaction).
Basic Research carried out by academic research institutes and universities. Results of fundamental research - theories, discoveries, new principles of action. The probability of their use is 5 - 10%.
Exploratory Research cover work aimed at studying ways and means practical application results of fundamental research. Their implementation presupposes the possibility of alternative directions for solving an applied problem and the choice of the most promising direction her decisions. They are based on known results of fundamental research, although as a result of the search, their main provisions may be revised.
The main purpose of exploratory research– use of the results of fundamental research for practical application in various fields in the near future (for example, searching and identifying opportunities for using lasers in practice).
Exploratory research may include work on the creation of fundamentally new materials, metal processing technologies, research and development scientific foundations optimization of technological processes, search for new medicines, analysis of the biological effects of new chemical compounds on the body, etc.
Exploratory research has varieties: exploratory research of a broad profile without a special application to a particular production and of a narrowly focused nature for solving issues of specific industries.
Search work is carried out in universities, academic and industry research institutes. In individual sectoral institutes of industry and other sectors of the national economy specific gravity search work reaches 10%.
Probability practical use search research is about 30%.
Applied research (R&D) are one of the stages of the life cycle of creating new types of products. These include research that is carried out for the purpose of practical use of the results of fundamental and exploratory research in relation to specific tasks.
The purpose of applied research is to answer the question “is it possible to create a new type of product, material or technological process based on the results of fundamental and exploratory research, and with what characteristics.”
Applied research is carried out mainly in industrial research institutes. The results of applied research are patentable designs, scientific recommendations proving the technical feasibility of creating innovations (machines, devices, technologies). At this stage you can high degree likelihood of setting a market target. The probability of practical use of applied research is 75 - 85%.
Research work consists of stages (phases), which are understood as a logically justified set of works that has independent significance and is the object of planning and financing.
The specific composition of the stages and the nature of the work performed within them are determined by the specifics of the research work.
According to GOST 15.101-98 “Procedure for carrying out research work,” the main stages of research work are:
1. Development of technical specifications (TOR)– selection and study of scientific and technical literature, patent information and other materials on the topic, discussion of the data obtained, on the basis of which an analytical review is compiled, hypotheses and forecasts are put forward, and customer requirements are taken into account. Based on the results of the analysis, areas of research and ways to implement the requirements that the product must satisfy are selected. A scientific report is being compiled technical documentation by stage, the necessary performers are determined, technical specifications are prepared and issued.
At the stage of developing technical specifications for research work, the following types of information are used:
· object of study;
· description of the requirements for the object of research;
· list of functions of the research object of a general technical nature;
· a list of physical and other effects, patterns and theories that may be the basis for the operating principle of a new product;
· technical solutions (in forecasting studies);
· information about the scientific and technical potential of the research performer;
· information about production and material resources research performer;
· marketing research;
· data on the expected economic effect.
Additionally, the following information is used:
· methods for solving individual problems;
· general technical requirements (standards, environmental and other restrictions, requirements for reliability, maintainability, ergonomics, and so on);
· projected timing of product updates;
· offers of licenses and know-how on the subject of research.
2. Choosing the direction of research– collection and study of scientific and technical information, drawing up an analytical review, conducting patent research, formulating possible directions for solving problems set in the research specifications and their comparative assessment, choosing and justifying the adopted direction of research and methods for solving problems, comparing the expected indicators of new products after implementation of research results with existing indicators of analogous products, assessment of the approximate economic efficiency new products, development of a general research methodology. Drawing up an interim report.
3. Conducting theoretical and experimental research– development of working hypotheses, construction of models of the research object, justification of assumptions, scientific and technical ideas are tested, research methods are developed, the choice of various types of schemes is justified, calculation and research methods are selected, the need for experimental work is identified, and methods for their implementation are developed.
If the need for experimental work is determined, the design and manufacture of mock-ups and an experimental sample are carried out.
Bench and field experimental tests of the sample are carried out using developed programs and methods, the test results are analyzed, and the degree of correspondence of the data obtained on the experimental sample to the calculated and theoretical conclusions is determined.
If there are deviations from the specifications, then the experimental sample is revised, additional tests are carried out, and if necessary, changes are made to the developed diagrams, calculations, and technical documentation.
4. Registration of research results– drawing up reporting documentation on the results of research work, including materials on the novelty and feasibility of using the results of research work, on economic efficiency. If positive results are obtained, then scientific and technical documentation and a draft technical specification for development work are developed. The compiled and executed set of scientific and technical documentation is presented to the customer for acceptance. If private technical solutions are new, they are registered through the patent service, regardless of the completion of all technical documentation. Before presenting the research work to the commission, the topic leader draws up a notice of its readiness for acceptance.
5. Topic acceptance– discussion and approval of the research results (scientific and technical report) and signing of the customer’s act of acceptance of the work. If positive results are obtained and the acceptance certificate is signed, the developer transfers to the customer:
An experimental sample of a new product accepted by the commission;
Protocols acceptance tests and acceptance certificates for a prototype (mock-up) of the product;
Calculations of economic efficiency of using development results;
Necessary design and technological documentation for the production of an experimental sample.
The developer takes part in the design and development of a new product and, along with the customer, is responsible for achieving the product performance guaranteed by him.
Comprehensive research work on a specific target program allows not only to solve a scientific and technical problem, but also to create a sufficient reserve for more efficient and high-quality development work, design and technological preparation of production, as well as significantly reduce the amount of modifications and the time frame for creation and development new technology.
Experimental design developments (R&D). A continuation of applied research is technical developments: experimental design (R&D), design and technological (PTR) and design (PR) developments. At this stage, new technological processes, samples of new products, machines and devices are created, etc.
The conduct of R&D is regulated by:
· STB 1218-2000. Development and production of products. Terms and Definitions.
· STB-1080-2011. “The procedure for carrying out research, development and experimental-technological work to create scientific and technical products.”
· TKP 424-2012 (02260). The procedure for developing and putting products into production. Technical Code. The provisions of the technical code apply to work on the creation of new or improved products (services, technologies), including the creation of innovative products.
· GOST R 15.201-2000, System for development and production of products. Products for industrial and technical purposes. The procedure for developing and putting products into production.
· etc. (see Appendix 10).
The purpose of the development work is the development of a set of working design documentation in the volume and quality of development sufficient to launch production of a certain type of product (GOST R 15.201-2000).
Experimental design work for its purposes is a consistent implementation of the results of previously conducted applied research.
Development work is mainly carried out by design and engineering organizations. The tangible result of this stage is drawings, projects, standards, instructions, prototypes. The probability of practical use of the results is 90 - 95%.
Main types of work, which are included in the OKR:
1) preliminary design (development of fundamental technical solutions for the product, giving a general idea of the principle of operation and (or) design of the product);
2) technical design (development of final technical solutions that give a complete understanding of the design of the product);
3) design (design implementation of technical solutions);
4) modeling, experimental production of product samples;
5) confirmation of technical solutions and their design implementation by testing mock-ups and prototypes.
Typical stages OCD are:
1. Technical task – the source document on the basis of which all work on the creation of a new product is carried out, developed by the manufacturer of the product and agreed upon with the customer (main consumer). Approved by the leading ministry (to whose profile the product being developed belongs).
The technical specifications determine the purpose of the future product, carefully justify its technical and operational parameters and characteristics: productivity, dimensions, speed, reliability, durability and other indicators determined by the nature of the future product. It also contains information about the nature of production, conditions of transportation, storage and repair, recommendations for completing the necessary stages of development of design documentation and its composition, feasibility study and other requirements.
The development of technical specifications is based on completed research work, marketing research information, analysis of existing similar models and their operating conditions.
When developing technical specifications for R&D, information similar to that used for developing technical specifications for research and development work is used (see above).
After coordination and approval, the technical specification is the basis for the development of a preliminary design.
2. Preliminary design consists of a graphic part and an explanatory note. The first part contains fundamental design solutions that give an idea of the product and the principle of its operation, as well as data defining the purpose, main parameters and overall dimensions. It gives an idea of the future design of the product, including drawings general view, functional blocks, input and output electrical data of all nodes (blocks) that make up the overall block diagram.
At this stage, documentation for the production of mock-ups is developed, their production and testing are carried out, after which the design documentation is adjusted. The second part of the preliminary design contains the calculation of the main design parameters, a description of operational features and an approximate schedule of work for technical preparation of production.
The product layout allows you to achieve a successful layout of individual parts, find more correct aesthetic and ergonomic solutions and thereby speed up the development of design documentation at subsequent stages.
The tasks of the preliminary design include the development of guidelines for ensuring manufacturability, reliability, standardization and unification at subsequent stages, as well as drawing up a list of specifications of materials and components for prototypes for their subsequent transfer to the logistics service.
The preliminary design goes through the same stages of coordination and approval as the technical specifications.
3. Technical project is developed on the basis of an approved preliminary design and provides for the implementation of graphic and calculation parts, as well as clarification of the technical and economic indicators of the product being created. It consists of a set of design documents containing final technical solutions that provide a complete understanding of the design of the product being developed and the initial data for the development of working documentation.
The graphic part of the technical project contains drawings of the general view of the designed product, assemblies in the assembly and main parts. Drawings must be coordinated with technologists.
The explanatory note contains a description and calculation of the parameters of the main assembly units and basic parts of the product, a description of the principles of its operation, justification for the choice of materials and types of protective coatings, a description of all schemes and final technical and economic calculations. At this stage, when developing product options, a prototype is manufactured and tested. The technical project goes through the same stages of coordination and approval as the technical specifications.
4. Working draft is further development and specification of the technical project. This stage is divided into three levels: development of working documentation for a pilot batch (prototype); development of working documentation for the installation series; development of working documentation for serial or mass production.
The result of R&D is a set of working design documentation (WDC) for launching production of a new type of product.
Detailed design documentation (DKD)– a set of design documents intended for the manufacture, control, acceptance, delivery, operation and repair of a product. Along with the term “working design documentation,” the terms “working technological documentation” and “working technical documentation” are used with a similar definition. Working documentation, depending on the scope of use, is divided into production, operational and repair work documentation.
Thus, the result of R&D, or in other words scientific and technical products (STP), is a set of design and development documents. Such a set of design documentation may contain:
· actual design documentation,
· software documentation,
· operational documentation.
In some cases, if provided for by the requirements of the technical specifications, technological documentation may also be included in the working technical documentation.
Various stages The R&D, as they are carried out, must contain their characteristic results, such results are:
· technical documentation based on the results of preliminary technical design;
· mock-ups, experimental and pre-production samples made during the implementation of development work;
· test results of prototypes: preliminary (PI), interdepartmental (MI), acceptance (PRI), state (GI), etc.
Related information.
5. The R&D process and the strategic objectives of its individual stages
5.6. R&D is the most important link in the implementation of the corporation’s strategy
After completion of applied research, subject to positive results economic analysis that satisfies the firm in terms of its goals, resources and market conditions, begin to carry out development work (R&D). R&D is the most important link in the materialization of the results of previous research projects. Its main task is to create a set of design documentation for mass production.
Main stages of development work (GOST 15.001-73):
1) development of technical specifications for development work;
2) technical proposal;
3) preliminary design;
4) technical design;
5) development of working documentation, production of a prototype;
6) preliminary tests of a prototype;
7) state (departmental) tests of a prototype;
8) development of documentation based on test results.
Approximate list of works for stages of OCD reflected in table. 5.13.
Table 5.13
Approximate list of works at the stages of development work
|
Stages of OCD |
Main tasks and scope of work |
|
Development of technical specifications for R&D |
Drawing up a draft technical specification by the customer. |
|
Technical proposal (is the basis for adjusting the technical specifications and performing a preliminary design) |
Identification of additional or clarified requirements for the product, its technical characteristics and quality indicators that cannot be specified in the technical specifications: |
|
Schematic design (serves as the basis for technical design) |
Development of fundamental technical solutions: |
|
Technical design |
The final choice of technical solutions for the product as a whole and its components: |
|
Development of working documentation, production of a prototype |
Formation of a set of design documents: |
|
Preliminary tests |
Checking the compliance of the prototype with the requirements of the technical specifications and determining the possibility of submitting it for state (departmental) tests: |
|
State (departmental) tests |
Assessment of compliance with technical requirements and the possibility of organizing mass production |
|
Development of documentation based on test results |
Making necessary clarifications and changes to the documentation. |
Design is a set of activities that ensure the search for technical solutions that meet specified requirements, their optimization and implementation in the form of a set of design documents and a prototype (samples), subjected to a cycle of tests for compliance with the requirements of the technical specifications.
Any modern complex technical device is the result of complex knowledge. The designer must know marketing, the economy of the country and the world, the physics of phenomena, numerous technical disciplines (radio engineering, computer engineering, mathematics, mechanical engineering, metrology, organization and production technology, etc.), operating conditions of the product, guidelines technical documents and standards.
In addition, you should take into account: the characteristics of the team and the requirements of real life, other people's experience, the ability to receive and evaluate information.
Not the least requirement for a designer is complexity of thinking and the ability to work with a large number of organizations. This skill is especially necessary for the developer of a product that is part of a more complex complex (for example, a radio station for a ship, an aircraft) or associated with other systems (for data output, power supply, control, etc.).
As an illustration, let us consider the typical procedure for the development and mastery of new technology in the interests of a specific department (Ministry of Defense, geological departments, Agroprom, etc.), see also table. 5.13:
|
Performers |
Works |
|
Academic Research Institute |
Search research, problem |
|
Research institute, head research institute of the industry, OKB |
Applied research (research into the possibility of creating a product) |
|
Research performer |
Development of technical specifications for R&D |
|
Technical proposal (determining the possibility of obtaining characteristics according to the technical specifications) |
|
|
customer research institute |
Specification of technical specifications |
|
Research Institute, OKB |
Draft design (definition of basic technical solutions, possible options performance) |
|
Technical design (definition of the main development option, main technical solutions) |
|
|
Detailed draft (development of prototype documentation) |
|
|
Research Institute, Design Bureau, |
Production of a prototype |
|
Preliminary (bench) testing of a prototype |
|
|
Research institute, design bureau, pilot plant, object manufacturer |
Installation of a prototype on a carrier object |
|
Preliminary tests of the prototype on site |
|
|
State commission of the customer with the participation of research institutes, design bureaus |
State tests |
|
Development of documentation based on test results |
|
|
Transfer of documentation to the series manufacturer |
|
|
Plant, research institute, design bureau |
Preparation of production at a serial plant |
|
Release of a pilot batch |
|
|
Plant, research institute, design bureau |
Correction of documentation based on the results of the production of a pilot batch |
|
Release of installation series |
|
|
Established serial production |
The logical model of a developer's decision making can be stated as follows. Many technical solutions to satisfy i-th constraint, we denote A i. Then the set of technical solutions admissible under n restrictions will be defined as the intersection of the sets. First of all, the developer must find out that the last set is non-empty. Next, solutions and elements are identified from this set X which meet all the criteria specified in the technical specifications:
.
When designing any system, you can establish its input and output signals (in the information sense), external conditions and criteria for the success of the solution. In a general sense, the input of a system is the reaction of the environment to the system, and the output is the reaction of the system to the environment. External conditions can manifest themselves in two aspects: design constraints and the set of situations in which the system must operate.
The most complex and least developed task is the convolution of many criteria into a single one (objective function) (see, for example,).
The choice of specific technical solutions mathematically represents an optimization problem, for the solution of which well-known methods of the theory of operations can be used (direct calculation, classical method of differentiation, Lagrange multiplier method, calculus of variations, numerical search methods, linear and nonlinear programming, Pontryagin's maximum principle).
The ISO standard recommends comparing its characteristics with the corresponding characteristics of an analogue as a method for assessing the quality of a new product. Naturally, the validity of the assessment depends on the correct choice of the analogue. First of all, you should choose an analogue that is closest in functional purpose, present on the market with a stable market price and known technical and economic characteristics. If the designed product replaces several existing products in its functional purpose, then their totality is used as an analogue. Assessment of the quality level of developed products is made on the basis of a comparison of the main groups of technical and operational parameters: purpose, reliability, manufacturability, unification, ergonomics, patent-legal and environmental. The choice of the range of indicators is made in accordance with available materials (standards, industry materials, etc.) or is made by the developer himself. The justification for such a choice should be contained in the R&D reporting materials. For example, for different groups radio-electronic equipment Various functional indicators are recommended (Table 5.14.).
For each of the selected indicators for comparison, a coefficient of its weight (importance) must be determined by expert means.
As already indicated, the presentation form complex indicator quality cannot be clearly justified. Therefore, you should use the requirements of regulatory documents or justify your choice.
Table 5.14
Composition of functional indicators
for different groups of radio-electronic equipment (REA)
|
Indicators |
radio |
radio transmitter |
radio measuring equipment |
TV receiver |
||
|
Sensitivity |
||||||
|
frequency range |
||||||
|
Range |
||||||
|
Range resolution |
||||||
|
Angle resolution |
||||||
|
Radiated power |
||||||
|
Process performance |
||||||
|
Memory |
||||||
|
Time of perestroika |
||||||
|
Power efficiency |
||||||
|
Information processing time |
||||||
|
Noise immunity |
||||||
|
Contrast |
||||||
|
Nonlinear distortion |
||||||
The most widely used are two main forms of integral quality indicator:
1) additive
Where g i- weight coefficient i-th parameter; A i- quality indicator for i-th parameter; n- the number of parameters by which comparison is made;
2) multiplicative
The additive form (weighted average summation) is the most common, although its disadvantage is the possibility of “compensating” for the quality level for some parameters at the expense of others. In addition, it allows for a situation where the integral quality indicator is significant when one or more parameters are zero. In this sense, the multiplicative form of representation is preferable, although it should be noted that the multiplicative form is easily converted to additive by simple logarithm.
Other forms of estimates are also possible, which nevertheless reduce to the two listed monotonic transformations. For example, relative estimates of the potential of a project option are used in the following form:
where is the degree of influence i- option to achieve design goals;
– probability of the designer choosing this option.
For i th assessment of the total potential, then the summation of the partial potentials is performed. Since when assessing project options or the resulting effectiveness of design and development work, relative assessments are made (that is, the absolute value of the complex quality indicator is not significant), the rules for using private criteria, their weights and the rules for making final decisions on the continuation and termination of the project are much more important. As already indicated, it is also important to take into account the possible compensation of some partial assessments at the expense of others in the additive form of a complex quality criterion. The author has repeatedly given the following example in various discussions on this issue. Suppose two versions of a vessel are being compared. The particular criteria of one of them have some average, mediocre values, and the other - all are excellent, with the exception of one - buoyancy, which is equal to zero. The formal application of the additive form of a complex quality criterion can lead to a paradoxical result - the second vessel will be preferred. In the multiplicative form, the equality of one of the partial criteria to zero leads to a zero rating for the entire project. If such a criterion is unimportant, then it is better to exclude it from the list of criteria altogether. Another problem is of significant importance - bringing the compared options to a comparable form in terms of areas and operating conditions, regulatory framework calculation of costs and beneficial results, the final beneficial effect.
Comparability across areas and operating conditions is ensured by selecting appropriate design options.
Comparability in terms of useful results is necessary when there are differences in the technical and operational parameters used. Reduction to comparability using reduction factors is usually used. Essentially, they provide comparability for some selected reference parameters (energy, number of parameters and modes, accuracy, etc.). Thus, they indicate, for example, that in a comprehensive comparison of the radiated power of a radar and its reliability, the failure rate should be used for the latter parameter, rather than the probability of failure-free operation. This is due to the fact that both the emitted power and the failure rate correlate with hardware costs in the same direction and approximately equally.
The coefficients of reduction to a comparable form are contained in table. 5.15.
Table 5.15
Reduction coefficients for various REA parameters
|
Parameter |
Calculation formula |
|
|
Performance |
Annual volume of work of an analogue and a new product |
|
|
Versatility |
The number of analogue and new product objects required to simultaneously receive information from a certain number of points Number of working channels |
|
|
Accuracy of measurements |
|
The probability of obtaining a result with a given limit of permissible error between an analogue and a new product |
|
Communication range |
Ranges of analogue and new products |
|
|
Reliability |
|
Probabilities of failure-free operation of an analogue and a new device |
|
Receiver sensitivity |
Sensitivity of analogue and new product |
|
|
Radiated power |
Radiated powers of the analogue and new product |
The consumption price serves as an integral economic indicator of a new product when comparing it with an analogue. It is expressed by the following formula:
Where TO– one-time capital costs (for acquisition, transportation, installation, as well as related costs);
Z e– operating costs for the entire operating time of the product.
With a long service life, naturally, dynamic estimates must be made using discounting. If, as a result of a change in the reliability of a new product compared to an analogue, the assessment of damage changes (including in adjacent units), this must be taken into account. In the same way, the associated positive results of using a new product should be taken into account. These include, in particular:
– reducing the dimensions and weight of aircraft and ships when installing new products on them instead of analogues;
– increasing the accuracy and speed of the control system ( aircraft, ship, movement air transport etc.), which reduces the path length, and therefore reduces fuel consumption and management costs.
Thus, the complete formula for determining the integral economic indicator has the form
where is the total amount of damage from failures;
R s– accompanying positive results from using the new product.
It is convenient to assess the technical and economic efficiency of a new product using the table. 5.16.
Table 5.16
Assessment of the technical and economic efficiency of a new product
|
Parameter, |
New product |
||||
|
weightiness |
|||||
|
Integral technical indicator |
|||||
|
Integral cost indicator |
|||||
|
Technical and economic efficiency |
|||||
|
Relative technical and economic efficiency of R&D |
|
||||
The integral cost indicator can hardly be more or less accurately calculated in the early stages of development work. This is due to the incompleteness of design documentation and the lack of technological documentation. The only way out is to compare this indicator with the price of a product similar in element base, technology and design. It is advisable to isolate large and complex components of the product and evaluate them separately. In accordance with international standards ISO 9000 (GOST 40.9000) comparison of the efficiency and quality of a new product is made by comparing it with an analogue.
As indicated in, attempts to extremely formalize the work of developers and impose a strict program of actions on them are usually harmful, and in fact cannot be implemented. The methods proposed by some authors to fully automate the stages of search and conceptual design mainly come down to the creation of developed information and expert systems. It was indicated above that even when trying to formally assess the quality technical systems Serious fundamental difficulties arise related to the so-called second Gödel theorem, which states that within the framework of the created system it is fundamentally impossible to assess its quality. Criteria for assessing the quality and effectiveness of the system must be formulated within the supersystem. It should be noted that there is no such thing as purely technical design. Any design is technical and economic and, therefore, the previously expressed considerations on the problems of mathematical modeling of economic and economic-production systems are applicable to it. However, such unity of the technical and economic aspects of design is often forgotten. Thus, the fundamentals of a systematic approach to the design process are set out as follows:
- project development proceeds from the general to the specific, and not vice versa;
- the designer should take on solving specific problems only after working on the general ones;
- when developing particular problems, it is necessary to take into account technical solutions (TS) adopted at earlier stages of design;
- new technical solutions appear as a result of a creative process that has an iterative nature of successive approaches to the goal;
- obtaining a rational technical solution is achieved by developing the maximum number of options and their in-depth analysis;
- when making a decision, the requirements for the optimal functioning of a technical device (TS) prevail over others, for example, economic ones;
- the maximum design parameters of technical means are dictated only by physical and technical, and not economic factors, therefore, when designing, it is necessary to start with engineering calculations;
- the design of products is carried out taking into account the possibility and complexity of their production;
economic assessment of the design is always an important incentive to obtain rational solutions, but can not be done until options appear that meet the requirements for the functioning of the product and are technically feasible;
- when designing, it is necessary to make maximum use of known technical solutions, which represent a generalization of the vast experience of previous generations of engineers;
- to evaluate the decisions made, the designer must take into account the entire set of criteria contained in such indicators of the quality of technical means as operation, reliability, manufacturability, standardization and unification, as well as ergonomic, aesthetic and economic indicators;
- patent and legal indicators - necessary criteria for assessing new competitive technical solutions;
- when designing new technical means, you should think about their painless disposal after the expiration of their service life.
It is obvious that the author is inconvenient for the long-recognized principles of a unified technical and economic design, inclusion in the design strategic issues, marketing approach and so on. This is all the more strange since such an article was published in a journal published by the Institute of Management Problems of the Russian Academy of Sciences, and the author is an employee of one of the leading technical universities (MSTU). Nevertheless, a consistent presentation of approaches to the design of technical means is of some interest.
The described system design scheme consists of four stages of setting the problem of creating a new technical tool, exploratory design, conceptual design and engineering design.
At the stage of setting the task of creating a new technical tool, based on an understanding and in-depth analysis of the problem of the emergence of an urgent need, a system model of the new product is formed, describing its connections and relationships with the external environment (Fig. 42).
Consideration of this model allows us to formulate the general task of creating a new technical tool - to formulate its service purpose, determine the restrictions and boundary conditions for the implementation of the work function, evaluation criteria, etc. When analyzing a problem for novelty and technical feasibility, the ways of further solving it are determined: using an existing technical solution, designing a new technical tool, or re-examining the problem with the formulation of currently realistic problems. This stage should answer the questions: is a new technical tool needed and what problems should it solve? If these issues are resolved positively, a task is drawn up in which the general task of creating a new product is finally formulated, which is the basis for completing the stages of the design and construction process.
Rice. 42. Scheme of system design of technical means and systems:
1 – problem statement
Rice. 43. Scheme of system design of technical means and systems:
2 – exploratory design
Rice. 44. Scheme of system design of technical means and systems:
3 – conceptual design
Rice. 45. Scheme of system design of technical means and systems:
4 – engineering design
The exploratory design stage should answer the question - what should the future technical means be like (Fig. 43). To do this, its service purpose is clarified, the boundaries of the system and its connections with the external environment are determined. When analyzing the general task, the working function of the new technical tool is clearly formulated and the components of the task are determined - parameters, decision factors, goals and evaluation criteria, time allocated to complete the project. The operating principle of the future technical object is determined (selected or invented). If today the task of creating a new technical tool turns out to be technically infeasible, then it is necessary to return to the formulation of the task of its creation, clarifying or changing its service purpose. When the principle of operation is clear and the working diagram of the object being created is known, then the limiting modes of operation of the design object should be determined. The result of this stage is a formalized technical specification for the design of a new technical tool, which must contain an unambiguous description of its service purpose, quality indicators and project evaluation criteria.
The conceptual design stage resolves the issue of technical implementation of the concept of the future design (Fig. 44). Development and analysis of various options fundamental decisions(functional, layout, kinematic and other diagrams) gives a design concept. At this stage, an economic assessment of the selected options is carried out. The result of the conceptual design stage should be a formalized technical proposal, which should determine the design concept of the future technical device and the technical and economic feasibility of its creation.
At the engineering design stage (Fig. 45), options are developed essential elements technical means (ETS), which are analyzed and specified (draft design). Then technical and detailed design is carried out, which gives a complete and final idea of the structure and functioning of the future product, and provides for detailed design by developing drawings for each manufactured element. The scope of the design documentation set should answer the questions - what the future technical device should actually be like, how it works, how to repair it, transport it, etc.
The diagrams also show the elements of the necessary information support for the design and construction process. They are catalogs of known technical solutions of technical means and their elements (K.01), reference books on physical effects, methods and methods of converting matter, energy and information (K.02 and K.03), collections of proven rules for the synthesis of technical solutions for technical means of various types (K.05), methods for analyzing options for technical solutions (K.06) and decision-making methods (K.07) at different stages of design, a description of the recommended rules for calculating technical and economic indicators (TEI) of new technical means and their elements (K.04). Documentation must be completed in accordance with the requirements of ESKD and ESTD.
It should be noted that in Fig. 44 development of fundamental block diagrams precedes the calculation of technical and economic indicators. In this sequence, the calculation of technical and economic indicators essentially turns into an economic justification for already adopted technical decisions. In fact, the development of circuits itself should be carried out in conjunction with TEP calculations. Otherwise, for example, it is not clear how to take into account reliability requirements. By the way, this parameter most clearly characterizes the technical and economic unity of development. The author repeatedly answered his question “What reliability should the development ensure?” I heard the answer “The higher the better.” And to the next question: “Why, in this case, don’t you use tenfold redundancy and make all the contacts from gold?” the answer followed: “It’s expensive,” after which the respondent himself came to the elementary truth about the inseparability of technical and economic design. What is known to a qualified engineer sometimes gives rise to strange interpretations by serious authors. Thus, in the work, the reliability of the system is classified as a qualitative criterion, as opposed to such quantitative criteria, in the opinion of the authors, as measurement error, weight and size characteristics, labor intensity of development, etc. It is known that any R&D report contains a calculation of the overall reliability of the system, no matter how complex it is. These indicators are necessarily included in technical specifications on the system.
IN last years Issues of combinatorial system design are widely studied. The article alone provides a bibliographic list of 52 titles. The author believes that “the design of complex solutions in many applications is now based on the selection of local design options and their composition into the resulting system.” The concept of a decomposed system (consisting of parts for which alternative design options exist) is introduced. The approach to designing decomposable systems includes the following stages:
– setting requirements for the system and its components;
– formation of the system structure;
– generation of design alternatives for components;
– evaluation and ranking of the latter;
– composition of components;
– analysis of components and their improvement.
Basic assumptions in this case:
– the designed system has a hierarchical tree structure;
– the quality (efficiency) of a system is an aggregation of the quality of its components and the quality of their compatibility;
– multi-criteria characteristics of the quality of parts and their compatibility can be displayed on certain ordinal agreed upon scales.
These assumptions and approaches proceed from the fact that the effectiveness of a system is one or another combination of the qualities of its components, which in the general case is far from true. When creating a system, a fundamentally new property arises and it is this that is the essence of the system’s effectiveness. If two metal sheets are connected by bolts and nuts, this does not mean that the quality of this system is the sum of the qualities of the sheets, nuts and bolts. When connected, some new quality appeared (for example, a box-shaped design, which is what the consumer needs). There is nothing fundamentally new in using existing components, especially standard ones, it is just a normal design method that in itself does not solve any previously noted problems.
Since reengineering of information systems is mentioned as one of the examples of the application of combinatorial systems design, this example of system design should be considered in more detail. The material from the works was used as the basis for the consideration. These works define the principles and methods of a new system design (NSD) of an information system (IS) based on new information technologies.
In many new methods, project plans of development or consulting firms, BPR (or BPR+) procedures include a large number of similar elements. Summarizing them and somewhat supplementing them, we can obtain the following set of main works of the NSP. and corresponding methods. However, in order for the specification of these works and methods to correspond specifically to the context of the NSP, it is necessary to formulate the following fundamental provisions.
1. It is not expected that these works will be performed exactly in the order they are listed, nor in any other fixed order. As will be described below, the volume, content and the very need to perform work of each type are determined by the conditions and results obtained in the process of performing other work. Scheme organization of work should be planned as adaptive, but not as cascade. In addition to the fact that iterations must be within the scope of each work, all work can be included in global project iterations of the organizational chart, and can also be performed in parallel.
2. The execution of work in the general case is aimed at the formation of an effective and beneficial state of the IS “for today” with planning of transitions to the next, largely unknown today states of the IS “for tomorrow” (in contrast to planning the IS as some result, and therefore - receiving IP tomorrow in the form of “as it should” or “as it should be”, but from the point of view of “yesterday”).
3. Based on the principles of NSP, without separating business reengineering and aspects of labor psychology from IS design, a list of works is given indicating the types of instrumental components and IT methods used.
4. The list, and most importantly the substantive scope of work and methods, is not exhaustive. It is assumed that there are additions (primarily in comparison with those described in foreign methods design work), which should be used to take into account the position of the enterprise in the domestic market and factors of national, professional and corporate culture.
5. The proposed description gives only a partial idea of the IT methods used in NSP, since it represents the multidimensional structure of NSP in one context. Other dimensions of NSP are characterized by a description of new architectural aspects of information systems or new approaches to the design of corporate databases (see, for example).
As indicated, work in the NSP is used in a sequence that is adapted to the conditions of a particular enterprise and IP project. In accordance with this, Fig. 46 illustrates the NSP work below in the form of a “daisy” model.
List of main NSP works and methods used in them:
1) regulations of the enterprise. Methods and software tools are used: financial analysis of the enterprise’s position ( financial stability, balance sheet liquidity, business activity ratios, etc.); the degree and dynamics of profitability of individual goods and processes (products, services, technologies, works); marketing analysis(products and services, image of the enterprise and competitors, etc.) in various market sectors, marketing forecast; socio-psychological analysis (attitudes of enterprise management, other groups of workers, personnel situation in general), its information support and automation.
2) Analysis of strategic goals enterprise and critical factors for its success. A conclusion is made about technological, market and social trends and the capabilities of the enterprise, the provisions of a new business architecture or, in the case of more radical reengineering, the provisions of a new business platform are formulated (see Henderson model).
Forecast functions in analytical marketing systems, precedent databases, lines of open market information, information about the most successful competitors, etc. are used.
3) Analysis of enterprise risk factors in relation to the implementation of business reengineering programs in the personnel aspect (for strict BPR, total reengineering, structural reorganization, etc.) and the ability to manage these factors.
Methods of socio-psychological examinations are used, the possibility of restructuring personnel attitudes is assessed, personnel training is planned, starting with the management of the enterprise, and the sequence of other steps to prepare personnel for reengineering is modeled.
4) Inventory and assessment of the state of the enterprise's IP: on applied application systems, information classification and coding systems, information composition of databases, decision support methods, the use of local and global network technologies, the composition of the computer park, open architecture and other indicators of the quality of applied IT. In addition, the useful result that each subsystem (automated task, function) contributes to the activities of the enterprise is assessed.
Information and functional systems modeling tools are used (separate tools for describing IT models, CASE systems, DD/D systems, automated thesaurus systems, local computer network modeling systems, etc.), logical rules classification of concepts, well-known classification and coding systems, use information about standards in the field of IT, industrial technologies, which serve as typical and promising representatives of IT in their classes. Quantitative cost estimates of the efficiency of using each subsystem are used (if it is impossible to obtain them, estimates in natural units or qualitative).
5) Detailed inspection of the enterprise(or its parts) and building models of the existing structure of the organization, procedures and performance indicators (the current state of the organizational structure, regulations enterprises, performance indicators of departments and the enterprise as a whole), analysis of documents and regulations used in production processes. The useful result that each automated task and set of functions brings to the enterprise’s activities is assessed.
CASE systems and separate special modeling tools are used: tools for an enlarged formal description of an object (for example, a description of the hierarchy of functions and departments), declarative detailed functional models of business procedures, simulation models in terms of queuing, dynamic models on Petri nets, declarative descriptions of information elements and data structures that make up data streams; a thesaurus of concepts that make up an enterprise-specific conceptual model and define professional jargon is built (or supplemented), active conceptual models are built based on frame representations, etc. Quantitative cost estimates of the effectiveness of automation of tasks (sets of functions) are used; if it is impossible to obtain them, estimates in natural terms are used units or quality.
6) End-to-end analysis and synthesis of new business processes: their contribution to the production activities, primarily in the form of final results and performance indicators.
Methods of functional and organizational design are used: isolating the main or defining new key functional roles of workers with their focus on the results of business processes as a whole, designing the amount of power and resources necessary for these workers to perform all functions in the process; designing new organizational structures and processes, planning transformations of existing processes and the existing organizational structure to strengthen the functional roles of employees in business processes and minimize the number of decision-making employees; introducing measurability into business processes, allowing us to know the state of affairs at every moment of time, expressed in monetary units, percentage growth, forecast of completion time or deviation from planned indicators, etc.
Target models of the enterprise are built (subsequently reconstructed): conceptual, organizational, informational, functional, territorial, etc., while using: software tools (components of CASE systems, individual programs) for modeling and assessing business processes, using methods of formalized static description , functional-cost business analysis (ABC, “activity-based costing”), dynamic modeling (CP models, models based on the JPSS language, etc.); CASE systems for recording decisions made in the form of new functional, informational, object-oriented and other models.
7) Introduction of required elements marketing organization firm as a producer of market goods (services).
Information and analytical systems are developed or purchased to support the implementation of marketing expertise in life cycle goods, data warehouse support systems (Data WareHouse - DWH) and operational analytical processing (OLAP) are used.
8) Designing a reduced number hierarchical levels of management and their support using: socio-psychological methods for arranging new structures and relationships (special trainings, monitoring relationships, adjusting the types and forms of motivation); means of automated support for group work in new conditions: workflow tools, group development systems, parallel design, etc.; Database of templates for working documents, standards, constant monitoring of the real current situation with the resources available to the employee; corporate mail, teleconferences and video conferences connected to them, with databases and workflow tools for planning and execution of orders, including for the transition from managing directly subordinates in a ratio of 1:7 to a ratio of 1:15 or more.
9) Creation and information support of autonomous and mobile business units and workers, providing “field” engineers and repairmen, rescue teams or ambulances with constant communication with the corporate IS.
Various technical means IT, for example: laptops with modem (including radio) connections and communication programs that have a user-friendly interface that is simple for non-programmers; the use of replication (replication) of documents and databases, asynchronous modes of working with information systems in three-tier architectures “client - application server - database server”, etc.
10) Ensuring the growth of capabilities of each employee, performance of maximum functions in business processes by the employee receiving the final result.
Technical methods and tools of new IT are also used: tools
access to all necessary data in the modes of using distributed databases, data replication tools, event management in data and transaction processing processes; concept and software tools of DWH, OLAP tools, rapid application development (RAD) for creating an “executive information system” (EIS), creation of decision support tools (DSS) based on DWH, OLAP and EIS; the use of DSS tools based on logical inference methods, neural networks and neurocomputers, precedent analysis, etc.; offering a single user interface for working with different components of data and applications, using in this interface tools that increase the ease of searching for information and accessing specific application functions, for example, interfaces of geoinformation systems, natural language, speech input.
11) Development of the concept and structure of a corporate database for a new IS, implementation of the database structure and management of its development.
Applied: methods of component design of subject databases for both operational and historical databases of data warehouses, document archives, geoinformation data, etc.; development of procedures for component changes in the corporate database when business procedures, types of activities, applications used and geographic location of the enterprise change; constant updating of the conceptual model of the enterprise to take into account new concepts that arise both when replacing application components with functionally similar ones, and when changing the types of activities of the enterprise; connecting the corporate database to the channels of the global information highway, granting rights to include information from it in the database to employees of all hierarchical levels; dynamic administration of fragments of a distributed corporate database when their logical structure, frequency of use and location change.
12) Development of the concept and structure of internal corporate network.
Technical standards of open systems are used (for example, Internet and WWW technologies for building a corporate network similar to the Internet).
A minimum of operational reservation of network resources is laid down to remove restrictions on its development and reconfiguration.
13) Application system development as a set of components based on a common conceptual model and available for refurbishment by including new ones, primarily purchased components.
The following are used: DBMS and database models using languages (data models) that meet industrial legal standards for data presentation and processing; tested legal standards of open systems regarding the exchange of requests, data, documents, objects; development of applications based on portable RAD systems (including elements of object-oriented programming).
In the future, it is possible to use new standards in the field
object-oriented environments.
14) Information and functional support for business globalization.
The enterprise is connected to global communications. Used: global digital (computer) networks and their services, for example, the Internet, building exits from corporate networks to the Internet; tools and tools for working in global networks: tools for hypertext viewing of databases of WWW (World Wide Web) servers, applications for remote financial settlements, etc.; regimes and standards of the information superhighway for widespread access to information of any kind - from price lists and standard conditions of possible business partners to dynamic flows of market and reference information general; refusal to embed restrictions on the capabilities of computer communication in the hardware architecture, communication channel architecture, software or in a dedicated center for remote administration of a distributed corporate network; means of protecting confidential data that do not limit the ability of subscribers to freely contact the desired address (except special occasions, in which the creation of “computer islands” is justified); operating modes of communications and information systems in 24*365 mode.
15) Construction of a support and document management system as part of a system for implementing a current set of business procedures.
The use of such a system as a means of planning the organization of work, measuring performance indicators, monitoring and self-control of execution.
For this purpose, corporate and global resources are used Email, electronic archives of documents, instrumental and infrastructure systems of the groupware and workflow classes, writing and administering specific regulations (business procedures) covering enterprise employees, providing each employee with dynamic reports on the situation with the implementation of regulated work, the achieved values of estimated indicators, etc.
16) Retraining and advanced training of personnel.
Providing employees with maximum basic information as a basis for making independent decisions. Forming their knowledge and skills using all IT tools in training programs that reduce subsequent employee overhead costs for implementing business procedures to a minimum, for example: multimedia training computer programs with dynamic scenarios simulating various situations; context clues, hypertext help guides, context-sensitive tutorials; use of workflow tools for supplying and training with current business procedures, etc.
17) Planning the set and sequence of transition steps from the current state of the enterprise business architecture to the new one (with an assessment of the cost of transition).
Planning such steps in terms of personnel training, in terms of resource and project management, in terms of financial accounting and analysis, etc., including using project management software systems (construction and dynamic recalculation of linear and network schedules, resource planning, evaluation project cost).
18) Planning and executing the transition from the current state of the enterprise's IT architecture and its functioning IS to a new one.
For example, in terms of reconstruction of a corporate database and application complexes, the following are used: software systems for managing IS development projects; use of software for the development and implementation of database transfer and reengineering schemes; development of programs for interface use of existing (inherited) or newly integrated components: applications, subject databases and subsystems in a new IS, implementation of technical and semantic aspects of the joint functioning of components, application of known methods and software tools for reengineering existing ones application programs into a new environment (changes in programming language, database interfaces, etc.).
19) Documenting design processes and results and redesign of both business processes and computer IS components.
The following are used: means for issuing reports and certificates of CASE systems and other special modeling programs; developed tools for text and graphics editors (maybe with elements of animation or multimedia) for creating high-quality documentation on business conditions, procedures and processes; inclusion of current documents in the corporate network, training programs, contextual assistance, etc.
20) Creation of external documentation programs for the production and supply of goods and services of the enterprise’s core activities at a competitively high level.
Output streams of information are generated aimed at clients, business partners, government circles, and the general public, for the formation of which the following are used: the editors described above, computer layout systems, animation and multimedia for creating interactive reference applications, video discs, catalogs, price lists, etc.; object programming systems that provide the recipient with “remote interpretation” of the content of the above interactive help applications, video disks, catalogs, price lists, etc.; WWW server programming, other information superhighway opportunities for posting your external documentation of your core business.
21) Providing prompt feedback from potential consumers, commercial clients, business partners, etc.
Methods and systems of marketing monitoring and analysis are used to obtain primary and secondary information. IT methods and tools are used to: create applications that provide feedback with clients and consumers through global network systems; ensuring round-the-clock functioning of the enterprise’s information system for the purpose of informing, receiving and fulfilling customer requests and claims; administration of operational databases for this purpose with non-stop functioning of OLTP.
NSP does not impose on the customer and developer a common standard scheme for mandatory implementation full cycle work on BPR, or total reengineering, or something similar. Taking into account the real situation with IP, the real needs of the enterprise and its real readiness for BPR, the work that this enterprise can master is carried out. However, in general, the NSP examines the need and possibility of performing all types of work potentially necessary for the enterprise. Because of this, the construction of flexible organizational design schemes is proposed, which consists in the construction and dynamic refinement of an adaptive organizational scheme focused on the specifics of a particular enterprise, its internal state and external position.
Adaptability is also manifested in the fact that a scheme is constructed, according to which, in the process of performing work, the design option and future information system for which the enterprise is ready or can be prepared in an acceptable time is selected.
The initial ones are analytical expert procedures that determine the state of the enterprise and its need for BPR and readiness for it.
Example of an adaptive scheme
Below is a simplified and truncated example of a variant of such an organizational chart.
1) Situational and diagnostic analysis position of the enterprise.
(Situational analysis of the external position of the enterprise and the availability internal requirements to conduct BPR.)
2) Does the enterprise require BPR?
Yes– carry out an assessment of the enterprise’s readiness for BPR.
No - plan the feasibility study and pre-feasibility study stages for an improved waterfall scheme.
3) Performance(sociopsychological and financial) examination of the enterprise’s readiness for BPR.
4) Is the enterprise ready for BPR?
Yes - carry out the stages of IS development according to the BPR scheme adapted to the given enterprise.
No– develop a report on the critical factors of the enterprise and complete the work (or plan with the management of the enterprise the procedures for preparing the enterprise to a state in which it is possible to begin work on BPR).
5) Development of a critical factors of the enterprise.
6) Execute as the first step BРR mobilization stage (a BРR team is formed, resources are planned, orders are issued).
Upon successful completion, proceed to the strategic analysis stage.
7) Strategic analysis, formulating the strategic goals of the enterprise and critical factors for its success.
(The current external state of the enterprise, its declared and other goals, the state of organizational structures, business procedures, databases, etc. are documented, and basic general recommendations are developed.)
8) Execution for existing organizational structures, business processes and IS examinations such as “review” and “inventory” at an enlarged level.
9) Implementation of the strategic stage planning.
(The concept is being developed strategic planning BPR and IS).
A synthesis of extremely generalized basic models of BPR and IS is carried out - perhaps on the basis of additional survey procedures: conceptual, functional, informational, organizational, recommendations and plans are developed for the detailed design of business procedures and IS, including general architecture, organizational, functional, informational, hardware, network, system-wide software, application software, etc. parts.)
10) Complete the first development cycle priority components of the IP (maybe in the style of prototyping or the spiral method).
10.1) Conduct clarifying detailed information and functional analysis and synthesis for the component being prototyped.
10.2) Develop a prototype (design, programs, database, documentation) of the component.
10.3) Perform expert assessment of the progress of the project.
11) Develop transition procedures from the existing state to the new one - in the areas of system support.
12) Perform receiving procedures quality IP component.
13) Carry out commissioning IS component with the implementation of procedures for the enterprise’s transition to a new IS state.
(Personnel training, integration of the component with existing ones, etc.)
14) Repeat, including– in parallel, stages 10 – 13 a planned but regulated number of times, if necessary, perform additional examinations included in clauses 2, 3, 6, 8 and 10.3.
The principles of NSP involve the use of many new design methods and a new look at the application of classical approaches. We need to have an answer to the question: how radically should system design really be changed? It is advisable to maintain a healthy immunity to revolutions (see). This means relying on a combination of two rules: not to succumb recklessly to the “hot” slogans of fashion trends and, at the same time, not to miss the real changes that should be included in design practice.
Such a detailed presentation of approaches to the IS design methodology in relation to reengineering tasks is given here, since it best demonstrates what a real systems approach in R&D is, what the role of the conceptual design stage is, how we must not forget for a minute about the economic side of the project and at the same time This is a clear illustration of the strategic role of R&D not only for a specific enterprise (indeed, the greater the number of partner enterprises that are subjected to such reengineering, the more efficiently each of them will work). And lastly: the complexity, multi-stage, high cost of creating a reengineering IS is really justified if a business architecture solution is designed that will provide a “breakthrough,” that is, an organization of business processes that in reality can provide a radical increase in efficiency by 100% or more .
It's obvious that Information Systems“cyber corporations” are far from the most voluminous and strategically significant object of R&D. An example is the so-called complex special-purpose systems. They are understood as systems whose operational goals are of national importance. These include, for example, systems for space exploration, development of the transport network, energy, national security, etc.
Their main features:
– the goals of their functioning are formulated based on state interests;
– achievement of goals is ensured not only by the presence of the necessary systems, but also by the creation and development of the necessary organizational structure with the inclusion of bodies in it government controlled;
– the basis for the implementation of such systems is centralized budget financing;
– management of their creation and development is a state monopoly and is carried out by special state bodies.
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