Who gets Horizon 2020 research grants? Propensity to apply and probability to succeed in a two-step analysis
- 1.1k Downloads
This paper presents a timely analysis of participation in the 8th European Framework Programme for Research and Innovation (EU FP) Horizon 2020. Our dataset comprises the entire population of research organizations in Norway, enabling us to distinguish between non-applicants, non-successful applicants, and successful participants. We find it important to distinguish two stages of the participation process: the self-selection stage in which organizations decide whether they wish to apply for EU funding, and the second stage in which the European Commission selects the best applications for funding. Our econometric results indicate that the propensity to apply is enhanced by prior participation in EU FPs and the existence of complementary national funding schemes; further, that the probability of succeeding is strengthened by prior participation as well as the scientific reputation of the applicant organization.
KeywordsHorizon 2020 EU Framework Programs Research funding Research policy Higher education institutions Public research organizations
We would like to thank two anonymous referees of this journal for valuable comments and suggestions. The authors are solely responsible for any remaining error and omission. Work on this paper was supported by the Norwegian Research Council’s Public Sector Ph.D. Program (Grant Number 246964/H20).
- Annerberg, R., Begg, I., Acherson, H., Borrás, S., Hallen, A., Maimets, T., et al. (2010). Interim evaluation of the seventh framework programme: Report of the expert group. Brussels: European Commission.Google Scholar
- Dinges, M., & Lepori, B. (2006). Public project funding of research activities: National differences and implications for the creation of a European Research Council. Paper presented at the Platform fteval Conference—New Frontiers in Evaluation, 24–25 April.Google Scholar
- Eurostat. (2008). Statistical regions for the EFTA countries and candidate countries. Brussels: European Commission.Google Scholar
- Geuna, A. (1996). The participation of higher education institutions in European Union Framework Programmes. Science and Public Policy, 23(5), 287–296.Google Scholar
- Gornitzka, Å., & Langfeldt, L. (2008). The internationalisation of national knowledge policies. In A. Gornitzka & L. Langfeldt (Eds.), Borderless knowledge. Understanding the “New” Internationalisation of Research and Higher Education in Norway (Vol. 22, pp. 141–169). Amsterdam: Springer.Google Scholar
- Greene, W. H. (1994). Accounting for excess zeros and sample selection in Poisson and negative binomial regression models. New York University, Stern School of Business, Working paper 94-10, 3.Google Scholar
- Hakala, J., Kutinlahti, P., & Kaukonen, E. (2002). Becoming international, becoming European: EU research collaboration at Finnish universities. Innovation: The European Journal of Social Science Research, 15(4), 357–379.Google Scholar
- Henriques, L., Schoen, A., & Pontikakis, D. (2009). Europe’s top research universities in FP6: Scope and drivers of participation. JRC Technical Notes (Vol. 53681): European Commission.Google Scholar
- Hoekman, J., Scherngell, T., Frenken, K., & Tijssen, R. (2012). Acquisition of European research funds and its effect on international scientific collaboration. Journal of Economic Geography, 1–30. doi: 10.1093/jeg/lbs011.
- Lepori, B., Veglio, V., Heller-Schuh, B., Scherngell, T., & Barber, M. (2015). Participations to European Framework Programs of higher education institutions and their association with organizational characteristics. Scientometrics, 105(3), 2149–2178. doi: 10.1007/s11192-015-1768-2.CrossRefGoogle Scholar
- Miranda, A., & Rabe-Hesketh, S. (2006). Maximum likelihood estimation of endogenous switching and sample selection models for binary, ordinal, and count variables. Stata Journal, 6(3), 285–308.Google Scholar
- Nokkala, T., Heller-Schuh, B., & Paier, M. (2011). Ranking lists and European Framework Programmes: Does university status matter for performance in Framework Programmes? In P. T. D. Dill (Ed.), Public vices, private virtues? Assessing the effects of marketization in higher education (pp. 111–139). Rotterdam: Sense Publishers.CrossRefGoogle Scholar
- Norwegian Ministry of Education and Research. (2014). Strategy for research and innovation cooperation with the EU—Horizon 2020 and ERA. Oslo: Norwegian Ministry of Education and Research.Google Scholar
- Norwegian Ministry of Education and Research. (2015). Forskningsbarometeret 2015. Oslo: Norwegian Ministry of Education and Research.Google Scholar
- Research Council of Norway. (2015). Det norske forsknings- og innovasjonssystemet - statistikk og indikatorer. Oslo: Research Council of Norway.Google Scholar