NEw APPRoAchEs To FuNdiNg Promoting Research Contents .

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Promoting ResearchExcellenceNew Approaches to Funding

Promoting ResearchExcellenceNEW APPROACHES TO FUNDING

This work is published on the responsibility of the Secretary-General of the OECD. Theopinions expressed and arguments employed herein do not necessarily reflect the officialviews of the OECD or of the governments of its member countries.This document and any map included herein are without prejudice to the status of orsovereignty over any territory, to the delimitation of international frontiers and boundariesand to the name of any territory, city or area.Please cite this publication as:OECD (2014), Promoting Research Excellence: New Approaches to Funding, OECD -enISBN 978-92-64-20745-5 (print)ISBN 978-92-64-20746-2 (PDF)The statistical data for Israel are supplied by and under the responsibility of the relevant Israeli authorities. The useof such data by the OECD is without prejudice to the status of the Golan Heights, East Jerusalem and Israelisettlements in the West Bank under the terms of international law.Photo credits: Cover fotogestoeber - Fotolia.comCorrigenda to OECD publications may be found on line at: www.oecd.org/about/publishing/corrigenda.htm. OECD 2014You can copy, download or print OECD content for your own use, and you can include excerpts from OECD publications, databases andmultimedia products in your own documents, presentations, blogs, websites and teaching materials, provided that suitableacknowledgment of the source and copyright owner is given. All requests for public or commercial use and translation rights should besubmitted to rights@oecd.org. Requests for permission to photocopy portions of this material for public or commercial use shall beaddressed directly to the Copyright Clearance Center (CCC) at info@copyright.com or the Centre français d’exploitation du droit de copie(CFC) at contact@cfcopies.com.

FOREWORD – 3ForewordThis publication is the final report of the OECD Working Party on ResearchInstitutions and Human Resources (RIHR) project on new forms of incentive funding forpublic research. National research systems face an increasingly competitive environmentfor ideas, talent and funds, and governments have turned to more competitive forms offunding to promote efficiency and innovation. They have shifted funds from institutionalcore funding to project funding, often on a competitive basis, or reward success in raisingthird-party funds in performance-based funding schemes. In this evolving situation, thequestion of the adequacy of current public funding instruments arises. And it is in thiscontext that “research excellence initiatives” (REIs) have emerged. These are instrumentsdesigned to encourage outstanding research by providing large-scale, long-term fundingto designated research units. They provide funds for research and research-relatedmeasures, such as the improvement or extension of physical infrastructure, the recruitment of outstanding researchers from abroad and researcher training.The publication presents new evidence on how governments steer and fund publicresearch in higher education and public research institutions through REIs. It can helpinform discussions on future government policy directions by providing information onhow REIs work and on the functioning and characteristics of institutions that host centresof excellence. The findings show some of the benefits to be gained through REIs and notesome 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 OECDSecretariat would like to thank Dominic Orr and Johannes Wespel from the DeutschesZentrum für Hochschul- und Wissenschaftsforschung (DZHW), Germany, for theirsubstantial contribution to the project. Chapter 1 was prepared by Dominic Orr andJohannes Wespel (DZHW) and Ester Basri, Fabio Manca and Richard Scott (OECDSecretariat). Chapter 2 was written by Dominic Orr and Johannes Wespel. Chapters 3 and 4were prepared by Fabio Manca and Ester Basri. The case studies presented in Chapters 5 to10 were prepared by Sune Kaur-Pedersen (Chapter 5), Anton Geyer (Chapter 6),Schinichi Kobayashi and Yoshiko Saitoh (Chapter 7), Siri Brorstad Borlaug and LivLangfeldt (Chapter 8), Isabel Reis, Maria João Corte-Real, Luisa Henriques (Chapter 9)and Radojka Verþko (Chapter 10). Laura-Victoria Garcia (OECD Secretariat) was theresearch assistant for the publication.The report benefited from the input of the project steering group, with representativesfrom Denmark, Finland, Germany, the Netherlands and Norway, as well as fromcomments and input from RIHR delegates. The OECD Secretariat would also like tothank delegations for their generous financial assistance for the project.Finally, the Secretariat would particularly like to thank respondents from governmentministries and funding agencies, centres of excellence and host institutions who took thetime to complete the surveys that underpin much of the analysis in this publication.PROMOTING RESEARCH EXCELLENCE: NEW APPROACHES TO FUNDING OECD 2014

TABLE OF CONTENTS – 5Table of contentsForeword. 3Abbreviations and acronyms . 11Acronyms . 11Abbreviations . 13Executive summary. 15Chapter 1. Research excellence initiatives: A new form of competitive research funding . 19Introduction . 20REIs as research funding instruments . 22Characteristics of government research funding . 26Scope of the project and structure of the report . 29Main messages from the study . 30Outlook . 33Notes . 36References . 37PART I. OECD/RIHR SURVEY RESULTS ON FUNDING FOR RESEARCHEXCELLENCE INITIATIVES . 39Chapter 2. Research excellence initiatives and government ministries . 41Introduction . 42Data sources and methodology. 42Description of REIs . 46Evaluations and experiences with REI . 64Summary . 70Notes . 71References . 73Annex 2.A1. Additional tables . 74Chapter 3. Research excellence initiatives and centres of excellence . 77Introduction . 78Data source and methodology . 78Basic characteristics of CoEs . 80Age profile of centres . 82Management structures and relations between hosts and CoEs . 93Measuring the impact of research in CoEs . 101The contribution of REIs . 102Another example of excellence funding . 106Summary of the results . 108Notes . 110References . 111Annex 3.A.1. List of REIs, COEs and selected variables by country . 112PROMOTING RESEARCH EXCELLENCE: NEW APPROACHES TO FUNDING OECD 2014

6 – TABLE OF CONTENTSChapter 4. Research excellence initiatives and host institutions . 115Introduction . 116Data source and methodology . 116Characteristics of host institutions . 117Administrative arrangements and objectives . 118Funding schemes . 121The link between HIs and CoEs funding. 124Perceived effects of REIs and CoEs . 127Summary of the results . 129Notes . 131References . 132PART II. COUNTRY CASE STUDIES. 133Chapter 5. Denmark: Centres of excellence . 135Public research excellence initiatives: An overview . 136Investment capital for university research. 137Notes . 143Chapter 6. The German Excellence Initiative . 145Background and framework conditions . 146The universities’ approach to the Excellence Initiative . 148What makes the Excellence Initiative special? . 149The universities’ view on the application and selection procedures . 151Internal governance . 152Budget and administration of funds . 153Recruitment and recruitment strategies . 154Collaboration with other universities and with non-university research institutions . 155International visibility . 157Collaboration between departments and scientific disciplines . 158Impact on doctoral training . 158Summary and conclusions . 160Note . 162References . 163Chapter 7. Japanese experience with centres of excellence . 165R&D activities and tertiary education in Japan . 166The development of research excellence initiatives . 167Global COE Programme . 170World Premier International Research Centre Initiative . 174Centres interviewed for the case study . 177Summary of interviews: GCOE Programme . 178Summary of interviews: WPI . 180REIs from the perspective of host organisations . 181Conclusion. 184Notes . 186References . 186PROMOTING RESEARCH EXCELLENCE: NEW APPROACHES TO FUNDING OECD 2014

TABLE OF CONTENTS – 7Chapter 8. Norwegian centres of excellence . 187Introduction . 188General characteristics of the CoEs. 189Funding and internal governance of the Norwegian CoEs . 190Responsibilities and division of labour . 192Staff and recruitment . 194General assessment and experiences . 196Concluding remarks . 197Notes . 199References . 199Chapter 9. Research excellence in Portugal and its funding. 201Introduction . 202Portuguese centres of excellence . 203Funding and internal governance . 206Conclusion. 209Notes . 210References . 210Chapter 10. Research excellence initiatives in Slovenia . 211Policy setting in Slovenia . 212The “centres of excellence” research excellence initiative . 212Implementation of the programme . 212Mid-term evaluation of the centres of excellence (2009-13) . 213Summary and conclusions .

Promoting Research Excellence NEw APPRoAchEs to FuNdiNg Contents Executive summary Chapter 1. Research excellence initiatives: A new form of competitive research funding Part i. oEcd/RihR survey results on funding for research excellence initiatives Chapter 2. Research excellence initiatives and government ministries Chapter 3.

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