Promoting Research Excellence : New Approaches to Funding.

219 Pages·2014·2.363 MB·English

by  OECD

Promoting Research Excellence
NEw APPRoAchEs to FuNdiNg
Contents Promoting Research
Executive summary
Chapter 1. Research excellence initiatives: A new form of competitive research funding
Excellence
Part i. oEcd/RihR survey results on funding for research excellence initiatives
Chapter 2. Research excellence initiatives and government ministries
NEw APPRoAchEs to FuNdiNg
Chapter 3. Research excellence initiatives and centres of excellence
Chapter 4. Research excellence initiatives and host institutions
Part ii. country case studies
Chapter 5. Denmark: Centres of excellence
Chapter 6. The German Excellence Initiative
Chapter 7. Japanese experience with centres of excellence
Chapter 8. Norwegian centres of excellence
Chapter 9. Research excellence in Portugal and its funding
Chapter 10. Research excellence initiatives in Slovenia
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92 2014 02 1 P

Promoting Research
Excellence
NEW APPROACHES TO FUNDING
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FOREWORD –

Foreword
This publication is the final report of the OECD Working Party on Research
Institutions and Human Resources (RIHR) project on new forms of incentive funding for
public research. National research systems face an increasingly competitive environment
for ideas, talent and funds, and governments have turned to more competitive forms of
funding to promote efficiency and innovation. They have shifted funds from institutional
core funding to project funding, often on a competitive basis, or reward success in raising
third-party funds in performance-based funding schemes. In this evolving situation, the
question of the adequacy of current public funding instruments arises. And it is in this
context that “research excellence initiatives” (REIs) have emerged. These are instruments
designed to encourage outstanding research by providing large-scale, long-term funding
to designated research units. They provide funds for research and research-related
measures, such as the improvement or extension of physical infrastructure, the recruit-
ment of outstanding researchers from abroad and researcher training.
The publication presents new evidence on how governments steer and fund public
research in higher education and public research institutions through REIs. It can help
inform discussions on future government policy directions by providing information on
how REIs work and on the functioning and characteristics of institutions that host centres
of excellence. The findings show some of the benefits to be gained through REIs and note
some pitfalls to be avoided.
The project was managed by Ester Basri of the OECD Directorate for Science,
Technology and Industry, Science and Technology Policy Division. The OECD
Secretariat would like to thank Dominic Orr and Johannes Wespel from the Deutsches
Zentrum für Hochschul- und Wissenschaftsforschung (DZHW), Germany, for their
substantial contribution to the project. Chapter 1 was prepared by Dominic Orr and
Johannes Wespel (DZHW) and Ester Basri, Fabio Manca and Richard Scott (OECD
Secretariat). Chapter 2 was written by Dominic Orr and Johannes Wespel. Chapters 3 and 4
were prepared by Fabio Manca and Ester Basri. The case studies presented in Chapters 5 to
10 were prepared by Sune Kaur-Pedersen (Chapter 5), Anton Geyer (Chapter 6),
Schinichi Kobayashi and Yoshiko Saitoh (Chapter 7), Siri Brorstad Borlaug and Liv
Langfeldt (Chapter 8), Isabel Reis, Maria João Corte-Real, Luisa Henriques (Chapter 9)
and Radojka Ver(cid:254)ko (Chapter 10). Laura-Victoria Garcia (OECD Secretariat) was the
research assistant for the publication.
The report benefited from the input of the project steering group, with representatives
from Denmark, Finland, Germany, the Netherlands and Norway, as well as from
comments and input from RIHR delegates. The OECD Secretariat would also like to
thank delegations for their generous financial assistance for the project.
Finally, the Secretariat would particularly like to thank respondents from government
ministries and funding agencies, centres of excellence and host institutions who took the
time to complete the surveys that underpin much of the analysis in this publication.
PROMOTING RESEARCH EXCELLENCE: NEW APPROACHES TO FUNDING © OECD 2014

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TABLE OF CONTENTS –
Table of contents
Foreword..................................................................................................................................................... 3
Abbreviations and acronyms .................................................................................................................. 11
Acronyms ............................................................................................................................................... 11
Abbreviations ......................................................................................................................................... 13
Executive summary .................................................................................................................................. 15
Chapter 1. Research excellence initiatives: A new form of competitive research funding ............... 19
Introduction ............................................................................................................................................ 20
REIs as research funding instruments .................................................................................................... 22
Characteristics of government research funding .................................................................................... 26
Scope of the project and structure of the report ..................................................................................... 29
Main messages from the study ............................................................................................................... 30
Outlook ................................................................................................................................................... 33
Notes ...................................................................................................................................................... 36
References .............................................................................................................................................. 37
PART I. OECD/RIHR SURVEY RESULTS ON FUNDING FOR RESEARCH
EXCELLENCE INITIATIVES .............................................................................................................. 39
Chapter 2. Research excellence initiatives and government ministries .............................................. 41
Introduction ............................................................................................................................................ 42
Data sources and methodology............................................................................................................... 42
Description of REIs ................................................................................................................................ 46
Evaluations and experiences with REI ................................................................................................... 64
Summary ................................................................................................................................................ 70
Notes ...................................................................................................................................................... 71
References .............................................................................................................................................. 73
Annex 2.A1. Additional tables ............................................................................................................... 74
Chapter 3. Research excellence initiatives and centres of excellence .................................................. 77
Introduction ............................................................................................................................................ 78
Data source and methodology ................................................................................................................ 78
Basic characteristics of CoEs ................................................................................................................. 80
Age profile of centres ............................................................................................................................. 82
Management structures and relations between hosts and CoEs ............................................................. 93
Measuring the impact of research in CoEs ........................................................................................... 101
The contribution of REIs ...................................................................................................................... 102
Another example of excellence funding ............................................................................................... 106
Summary of the results ......................................................................................................................... 108
Notes .................................................................................................................................................... 110
References ............................................................................................................................................ 111
Annex 3.A.1. List of REIs, COEs and selected variables by country .................................................. 112
PROMOTING RESEARCH EXCELLENCE: NEW APPROACHES TO FUNDING © OECD 2014
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Chapter 4. Research excellence initiatives and host institutions ....................................................... 115
Introduction .......................................................................................................................................... 116
Data source and methodology .............................................................................................................. 116
Characteristics of host institutions ....................................................................................................... 117
Administrative arrangements and objectives ....................................................................................... 118
Funding schemes .................................................................................................................................. 121
The link between HIs and CoEs funding .............................................................................................. 124
Perceived effects of REIs and CoEs ..................................................................................................... 127
Summary of the results ......................................................................................................................... 129
Notes .................................................................................................................................................... 131
References ............................................................................................................................................ 132
PART II. COUNTRY CASE STUDIES ............................................................................................... 133
Chapter 5. Denmark: Centres of excellence ........................................................................................ 135
Public research excellence initiatives: An overview ............................................................................ 136
Investment capital for university research ............................................................................................ 137
Notes .................................................................................................................................................... 143
Chapter 6. The German Excellence Initiative ..................................................................................... 145
Background and framework conditions ............................................................................................... 146
The universities’ approach to the Excellence Initiative ....................................................................... 148
What makes the Excellence Initiative special? .................................................................................... 149
The universities’ view on the application and selection procedures .................................................... 151
Internal governance .............................................................................................................................. 152
Budget and administration of funds ..................................................................................................... 153
Recruitment and recruitment strategies ................................................................................................ 154
Collaboration with other universities and with non-university research institutions ........................... 155
International visibility .......................................................................................................................... 157
Collaboration between departments and scientific disciplines ............................................................. 158
Impact on doctoral training .................................................................................................................. 158
Summary and conclusions .................................................................................................................... 160
Note ...................................................................................................................................................... 162
References ............................................................................................................................................ 163
Chapter 7. Japanese experience with centres of excellence ............................................................... 165
R&D activities and tertiary education in Japan .................................................................................... 166
The development of research excellence initiatives ............................................................................. 167
Global COE Programme ...................................................................................................................... 170
World Premier International Research Centre Initiative ...................................................................... 174
Centres interviewed for the case study ................................................................................................. 177
Summary of interviews: GCOE Programme ........................................................................................ 178
Summary of interviews: WPI ............................................................................................................... 180
REIs from the perspective of host organisations .................................................................................. 181
Conclusion ............................................................................................................................................ 184
Notes .................................................................................................................................................... 186
References ............................................................................................................................................ 186
PROMOTING RESEARCH EXCELLENCE: NEW APPROACHES TO FUNDING © OECD 2014
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TABLE OF CONTENTS –
Chapter 8. Norwegian centres of excellence ........................................................................................ 187
Introduction .......................................................................................................................................... 188
General characteristics of the CoEs ...................................................................................................... 189
Funding and internal governance of the Norwegian CoEs ................................................................... 190
Responsibilities and division of labour ................................................................................................ 192
Staff and recruitment ............................................................................................................................ 194
General assessment and experiences .................................................................................................... 196
Concluding remarks ............................................................................................................................. 197
Notes .................................................................................................................................................... 199
References ............................................................................................................................................ 199
Chapter 9. Research excellence in Portugal and its funding .............................................................. 201
Introduction .......................................................................................................................................... 202
Portuguese centres of excellence .......................................................................................................... 203
Funding and internal governance ......................................................................................................... 206
Conclusion ............................................................................................................................................ 209
Notes .................................................................................................................................................... 210
References ............................................................................................................................................ 210
Chapter 10. Research excellence initiatives in Slovenia ..................................................................... 211
Policy setting in Slovenia ..................................................................................................................... 212
The “centres of excellence” research excellence initiative .................................................................. 212
Implementation of the programme ....................................................................................................... 212
Mid-term evaluation of the centres of excellence (2009-13) ............................................................... 213
Summary and conclusions .................................................................................................................... 215
Notes .................................................................................................................................................... 215
Figures
Figure 1.1. Schematic definition of REI ............................................................................................... 24
Figure 1.2. Research funding mechanisms in comparison .................................................................... 25
Figure 1.3. Percentage of GOVERD and HERD financed by government, OECD 1981-2010 ........... 26
Figure 1.4. Percentage of GOVERD financed by government sector, 2011 or latest available year .... 27
Figure 1.5. Percentage of HERD financed by government sector, 2011 or latest available year ......... 27
Figure 1.6. Government expenditure on HERD, 2011 or latest available year ..................................... 28
Figure 1.7. Government expenditure on GOVERD, 2011 or latest available year .............................. 28
Figure 1.8. Project organisation and participation ................................................................................ 30
Figure 2.1. Dimensions in which REIs may differ ................................................................................ 46
Figure 2.2. Share of OECD countries (plus the Russian Federation) with REIs, by start date ............. 47
Figure 2.3. Rationales for REIs by assessment of importance .............................................................. 48
Figure 2.4. Activities eligible for funding in REIs ................................................................................ 49
Figure 2.5. Investment and stability, maximum funding period and maximum investment per
funded research unit ............................................................................................................ 50
Figure 2.6. General organisation of REI funding procedures ............................................................... 56
Figure 2.7. Financial allocation for REI funding cycles and REI centres, share of government
funding of R&D and selectivity .......................................................................................... 62
Figure 3.1. Specificity of CoEs research ............................................................................................... 81
Figure 3.2. Average size of research teams ........................................................................................... 82
Figure 3.3. REIs and the establishment of CoEs ................................................................................... 83
Figure 3.4. Primary research focus of CoEs.......................................................................................... 84
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Figure 3.5. Most frequent types of activities supported by REI funding .............................................. 85
Figure 3.6. Average number of co-operating bodies by type of partner ............................................... 88
Figure 3.7. Average number of co-operating bodies by research field ................................................. 89
Figure 3.8. Co-operation activities and application for funding ........................................................... 90
Figure 3.9. Average number of co-operating bodies by age of the CoE ............................................... 90
Figure 3.10. Average number of foreign researchers employed by CoEs (full time equivalent) ............ 91
Figure 3.11. Average number of foreign researchers employed by primary research fields .................. 92
Figure 3.12. CoE status and international visibility ................................................................................ 92
Figure 3.13. Freedom to allocate and manage funds ............................................................................... 93
Figure 3.14. Age of CoEs and freedom to manage funds ....................................................................... 94
Figure 3.15. Length of the funding cycle and freedom to manage funds ................................................ 94
Figure 3.16. Management structure ........................................................................................................ 96
Figure 3.17. Support provided by host institutions ................................................................................. 96
Figure 3.18. Special conditions of employees at the CoE compared to the host institution ................... 98
Figure 3.19. Effects of a CoE on the host institution .............................................................................. 99
Figure 3.20. Interdisciplinary research .................................................................................................... 99
Figure 3.21. Reasons to pursue interdisciplinary research .................................................................... 100
Figure 3.22. Mechanisms to undertake interdisciplinary research ........................................................ 101
Figure 3.23. CoEs and performance monitoring to measure impact ..................................................... 101
Figure 3.24. Perceived effects of the REI on the national research system .......................................... 103
Figure 3.25. Usefulness and impact of the REI in supporting the development of new kinds of
research activities .............................................................................................................. 104
Figure 3.26. Perception of the lasting effects of CoE when REI ends .................................................. 104
Figure 3.27. Perception of the lasting effects of CoE when REI ends by research field ...................... 105
Figure 4.1. Initiative to apply for REI funding ................................................................................... 118
Figure 4.2. Expected results from supporting a CoE .......................................................................... 119
Figure 4.3. Effects of the CoE on the perceptions of external stakeholders ....................................... 120
Figure 4.4. Administrative linkages and division between HIs and CoEs .......................................... 121
Figure 4.5. REIs’ funding requirements, HIs and CoEs ...................................................................... 121
Figure 4.6. Funding schemes .............................................................................................................. 122
Figure 4.7. Other means of support for CoEs’ activities ..................................................................... 123
Figure 4.8. Arrangements for the end of the REI ................................................................................ 124
Figure 4.9. Funding schemes by CoEs’ share of the HI’s total research budget ................................. 126
Figure 4.10. Financial effects by CoE funding intensity ....................................................................... 126
Figure 4.11. Perception of the effects of REIs ...................................................................................... 127
Figure 4.12. REI’s lasting effects on the national research system ....................................................... 128
Figure 7.1. Japan’s graduate education, with standard number of years for completion .................... 166
Figure 7.2. Competitive research funds in the government’s original budget .................................... 168
Figure 9.1. CoEs by number of researchers and scientific fields in comparison with the total
number of centres funded by FCT and total number of researchers in Portugal, 2010 .... 204
Figure 9.2. Number of CoEs and funding by scientific field, 2010 .................................................... 204
Figure 9.3. Evolution of funding to ALs by scientific field, 2003-10 ................................................. 205
Figure 9.4. Evolution of researchers (FTE) in ALs by scientific field, 2003-11 ................................ 205
Tables
Table 2.1. Overview of REIs in responding countries ......................................................................... 44
Table 2.2. Fields of science eligible for funding in REIs .................................................................... 51
Table 2.3. Eligible hosts and partners in REI applications .................................................................. 55
Table 2.4. Number of centres funded by REIs and selection rates in most recent funding cycle ........ 58
PROMOTING RESEARCH EXCELLENCE: NEW APPROACHES TO FUNDING © OECD 2014