European Research Council EU/US Workshop on Peer Review: Assessing broader impact in research grant applications Bruxelles, 13 December 2010 Helga Nowotny.

European Research Council

EU/US Workshop on Peer Review:

Assessing „broader impact“ in research grant applications

Bruxelles, 13 December 2010

Helga Nowotny

Which Impact? Anticipated and unanticipated consequences

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The broader context/framing

investment into STI seen as motor of economic growth

reworking the concept of intellectual value and use of academic knowledge production

impact as metrics of allocating, redistributing and regulating research funding (e.g. RAE in the UK will shift to metrics-based REF).

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Global investment in R&D in absolute and relative terms, 2007 (for selected countries and regions)

Source: UNU-MERIT based on data from the UNESCO Institute for Statistics and World Bank

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BERD/GDP ratio for selceted countries 2000-2007 (%)

Source: UNU-MERIT based on data from UNESCO Institute of Statistics

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Impact: what to look for and what to measure

impact definition and measurement produces a culture of anticipation

may produce perverse effects and ‘gaming’

at grant proposal level: following the script or leaving room for improvisation

A culture of anticipation produces anticipated and unanticipated outcomes/ consequences

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Anticipated outcomes/consequences

scientific value: publications as contributions to the world pool of open knowledge

transmission of academic knowledge production to outside world

economic benefits: return of the linear model in guise of „innovation chain“?

training of people in relevant skills and knowledge

wider educational impact/ knowledge society

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The culture of anticipation – part 1

Culture of anticipation produces anticipated and unanticipated consequences, how?

funding agencies as „principal agent“ between government and researchers

information asymmetry and inherent uncertainty of research process

delicate balance: too much and too little pressure may lead to underperformance

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The culture of anticipation – part 2

impact as product and producer of practices of anticipation enacted as consequential culture of compliance, esp.among younger researchers (streamlining of careers etc.)

practice of anticipation may become an end in itself

institutional support reinforces knowledge policy narratives (how the world is) and defines/restricts space for action

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Impact of frontier research: the example of the ERC

Ideas programme leads to first time ever competition at EU level: EU-added value

ERC grants: high reputational gains

institutional impact on universities and research institutions

raising standards of national funding agencies

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Primary impact: setting up European charimanship

ERC establishes the first European championship in frontier research

fair and open competition in championship „excellence only“

best researchers compete, reputational gains accrue to individuals, host institutions and countries

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Secondary impact of European championship in „excellence only“

push for continued modernization of (continental) European universities, e.g. greater autonomy, administration, services

push for more internationalization of universities (UK and CH host institutions as “winners”)

identification, recognition and cultivation of younger researchers

earlier scientific independence, portability of grants

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Secondary impact of championship „excellence only“, ctd.

excellence training in knowledge and skills as boost for next generation

1400 ERC grantees employ at least 2 post-docs and 2 Ph.D. students each with high degree of international mobility

genuine European funding and evaluation culture in the making (raising standards, changing practice of recognizing excellence, keep it simple’) complementing national funding agencies

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Scientific specialization of the Triad, BRIC countries and Africa, 2008

Source: UNU-MERIT based on data from Thomson Reuters (Scientific) Inc. Web of Science (Science Citation Index Expanded)

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Conclusion: Impact as “making a difference”

ERC continues to make a difference through primary and secondary impact

belief systems have real consequences, in this case belief in „excellence only“

broader impact in research grant applications: make sure what you target as primary goal (anticipated impact)

allow for secondary impact (unanticipated impact)