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Behavioural Additionality Behavioural Additionality in Strategic Basic in Strategic Basic
ResearchResearch
‘‘New Frontiers in Evaluation’New Frontiers in Evaluation’Vienna, 24 April 2006Vienna, 24 April 2006
Jan Larosse, EC-DG RTDJan Larosse, EC-DG RTDPaul Schreurs, IWT FlandersPaul Schreurs, IWT Flanders
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OutlineOutline
1.1. Why new evaluation concepts?Why new evaluation concepts?
2.2. What is BA?What is BA?
3.3. Context IWTContext IWT
4.4. SBO programmeSBO programme
5.5. ‘‘Internalising’ BA in the programme Internalising’ BA in the programme designdesign
6.6. ConclusionsConclusions
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1. Why new evaluation concepts?1. Why new evaluation concepts?
Shift in Policy RationaleShift in Policy Rationale– Lisbon Lisbon StrategyStrategy: R&D for ‘growth and jobs’: R&D for ‘growth and jobs’– Linking science and industry: new Linking science and industry: new
incentivesincentives for academic researchers for academic researchers– SystemSystem approach: ‘ approach: ‘extendedextended’ additionality’ additionality
Shift in Policy evaluationShift in Policy evaluation– From context of policy From context of policy legitimationlegitimation to to
context of policy context of policy learninglearning– Evaluation as Evaluation as partpart of policy cycle (design) of policy cycle (design)
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2. What is BA?2. What is BA?
AdditionalityAdditionality– ‘‘Making the difference’Making the difference’– Traditional reference to ‘market failure’Traditional reference to ‘market failure’– Externalities are everywhereExternalities are everywhere
BehaviourBehaviour– Input additionality = investment behaviourInput additionality = investment behaviour– Opening the ‘black box’ of the innovation Opening the ‘black box’ of the innovation
processprocess– Behavioural Additionality is everywhereBehavioural Additionality is everywhere
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3. Context IWT3. Context IWT
Innovation Agency in ‘Innovation Agency in ‘bottom-upbottom-up’ ’ governance modelgovernance model
One-stop shop for business R&D; One-stop shop for business R&D; coordinator intermediating servicescoordinator intermediating services
Gradual Gradual expansionexpansion of portfolio of portfolio Interest in ‘additionality’Interest in ‘additionality’
– Conferences 6CP 1997, 2003Conferences 6CP 1997, 2003– Evaluations (large scale survey on BA in Evaluations (large scale survey on BA in
2006 running)2006 running)
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Additionality ‘in figures’Additionality ‘in figures’
2005
48%
24%
28%
2004
24%
24%52% Algemeen
kennisverruimend(fundamenteel)onderzoek:"no stringsattached"
Strategischbasisonderzoek
Toegepast onderzoek
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4. SBO-programme4. SBO-programmeSBO = "competence centre"-type of programme SBO = "competence centre"-type of programme
financial support of 2,5 to 3 million euros to allow the financial support of 2,5 to 3 million euros to allow the funding of a team of 5 to 7 researchers for a period of funding of a team of 5 to 7 researchers for a period of four years (open to all disciplines, all actors). four years (open to all disciplines, all actors).
"high risk-high potential" strategic basic research "high risk-high potential" strategic basic research integrated in a strategic knowledge integrated in a strategic knowledge platformplatform
with with wide opportunities for the application or wide opportunities for the application or
exploitation of the research resultsexploitation of the research results
+ an active + an active commitmentcommitment to contribute to the effective to contribute to the effective utilization of the research output by utilization of the research output by companies or companies or social profit organisationssocial profit organisations
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Main distinctive "Behavioural Additionality" of SBO-Main distinctive "Behavioural Additionality" of SBO-platforms relative to pure academic research platformsplatforms relative to pure academic research platforms
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Concerns for system failuresConcerns for system failures
- cultural differences and - cultural differences and barriersbarriers in in industry-science relations; lack of mutual industry-science relations; lack of mutual trust and compatibility;trust and compatibility;- dominant - dominant culture of internally culture of internally oriented academic researchoriented academic research; ; - lack of - lack of industrial backingindustrial backing, commitment , commitment or absorption capacityor absorption capacity- risk of ‘lip service’ or opportunistic - risk of ‘lip service’ or opportunistic behaviour.behaviour.
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Challenges and tensionsChallenges and tensionsnot necessarily unique to smaller regions not necessarily unique to smaller regions but can be reinforced in smaller regional but can be reinforced in smaller regional innovation systems:innovation systems:
- Balance between - Balance between internationalinternational research research networking and the expected focus towards the networking and the expected focus towards the ‘economic return to the ‘economic return to the regionregion’;’;- Match between the - Match between the sciencescience base and the base and the economy or society. Missing links in the chain of economy or society. Missing links in the chain of value creationvalue creation. . - Missing links in the chain of knowledge creation. - Missing links in the chain of knowledge creation. GapsGaps may be present in the available expertise may be present in the available expertise within the region.within the region.
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5. Adaptations in programme 5. Adaptations in programme design to enhance BA.design to enhance BA.
1)1) to haveto have a phased or multi-stage evaluation a phased or multi-stage evaluation processprocess in three consecutive selection rounds in three consecutive selection rounds
-round 1 : focus on the eligibility and the strategic fit of the -round 1 : focus on the eligibility and the strategic fit of the proposal within the programmeproposal within the programme-round 2 : focus on the scientific quality of the proposal-round 2 : focus on the scientific quality of the proposal-round 3 : focus on the utilisation or valorisation value of the -round 3 : focus on the utilisation or valorisation value of the proposalproposal
2) 2) to have a to have a balanced expert assessmentbalanced expert assessment involving two types of essential expertiseinvolving two types of essential expertise
--international high-level scientific experts with strong scientific international high-level scientific experts with strong scientific expertise in the core of the proposalexpertise in the core of the proposal-highly experienced experts who can judge the economic or -highly experienced experts who can judge the economic or social/societal exploitation potential / absorption capacity of the social/societal exploitation potential / absorption capacity of the research output in the Flanders regionresearch output in the Flanders region
3)3) to provide to provide interaction and feedback interaction and feedback opportunities for applicantsopportunities for applicants
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Internalising BA in the SBO programme designInternalising BA in the SBO programme design
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System Failures
Targeted behaviour of researchers
Incentives in SBO
Additionality
Missing linkages between science and industry
Capabilities of researchers to link research to usages
Multi-stage procedure and feed-back to improve ‘utilisation’
Learning effect on attitudes and capabilities
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6. Conclusions6. Conclusions
BA as a BA as a heuristicheuristic for policy learning for policy learning Evaluation: linking Evaluation: linking systemsystem failures to failures to
incentives for incentives for behaviouralbehavioural change change New type of programme New type of programme managersmanagers / new / new
type of type of agenciesagencies BA and Strategy: implicit vs explicit BA and Strategy: implicit vs explicit
choiceschoices Develop BA evaluation Develop BA evaluation methods and methods and
modelsmodels
