The Funding of Research in Higher Education: Mixed Models and Mixed Results

  • Ben Jongbloed
  • Benedetto Lepori

Abstract

This chapter will look into the question of how governments have organized the public funding of research and how that funding has changed in recent years. To make their national economies more knowledge driven, innovative and competitive, many governments have introduced reforms in their national research system. This is the case in Europe — the prime focus of this chapter — as well as in the rest of the world.

Keywords

Europe Income Expense Crest Allo 

Preview

Unable to display preview. Download preview PDF.

Unable to display preview. Download preview PDF.

References

  1. Aghion, P., Dewatripont, M., Hoxby, C. M., Mas-Colell, A. and A. Sapir (2009) The Governance and Performance of Research Universities: Evidence from Europe and the US, Cambridge MA: National Bureau of Economic Research, Working Paper.CrossRefGoogle Scholar
  2. Aghion, P., Dewatripont, M., Hoxby, C., Sapir, A. and A. Mas-Colell (2007) Why reform Europe’s universities? Bruegel Policy Brief Issue #04 (Brussels: Bruegel).Google Scholar
  3. Barker, K. (2007) ‘The UK research assessment exercise: The evolution of a national research evaluation system’, Research Evaluation, 16(1), 3–12.CrossRefGoogle Scholar
  4. Boer, H. de., B. Jongbloed, P. Benneworth, L. Cremonini, R. Kolster, A. Kottmann, K. Lemmens-Krug and H. Vossensteyn (2015) Performance-Based Funding and Performance Agreements in Fourteen Higher Education Systems. Report for the Ministry of Education (Enschede: CHEPS).Google Scholar
  5. Bonaccorsi, A. and C. Daraio (2007) Universities and Strategic Knowledge Creation. Specialization and Performance in Europe (Cheltenham: Edward Elgar).CrossRefGoogle Scholar
  6. Bonaccorsi, A., Daraio, C., Lepori, B. and S. Slipersaeter (2007) ‘Indicators on individual higher education institutions: addressing data problems and comparability issues’, Research Evaluation, 16(2), 66–78.CrossRefGoogle Scholar
  7. Bonaccorsi, A. (2009) ‘Division of academic labour is limited by the size of the market. Strategy and differentiation of European universities in doctoral education’, in M. McKelvey and M. Holmén (eds) Learning to compete in European universities (pp. 90–127) (Cheltenham, UK: Edward Elgar).Google Scholar
  8. CHEPS (2010) Progress in Higher Education Reform across Europe. Funding Reform (Brussels: European Commission).Google Scholar
  9. CREST OMC Working Group (2009) Mutual Learning on Approaches to Improve the Excellence of Research in Universities (Brussels: European Commission).Google Scholar
  10. Daraio, C., Bonaccorsi, A., Geuna, A., Lepori, B. and et. al. (2011) ‘The European university landscape: a micro characterization based on evidence from the Aquameth project’, Research Policy, 40(1), 148–164.CrossRefGoogle Scholar
  11. Dill, D. D. and F. A. van Vught (eds) (2010) National Innovation and the Academic Research Enterprise: Public Policy in Global Perspective (Baltimore: The Johns Hopkins University Press).Google Scholar
  12. Estermann, T. and A. Claeys-Kulik (2013) Financially Sustainable Universities. Full Costing: Progress and Practice (Brussels: European University Association).Google Scholar
  13. ETER (2015) ‘European tertiary education register’, http://eter.joanneum.at/imdas-eter/ (retrieved 7 January 2015).
  14. European Commission (2011) Innovation Union Competitiveness Report (Brussels: European Commission).Google Scholar
  15. Feller, I. (2009) ‘Performance measurement and the governance of American academic science’, Minerva, 47(3), 323–344.CrossRefGoogle Scholar
  16. Geuna, A. (2001) ‘The changing rationale for European university research funding: are there negative unintended consequences?’ Journal of Economic Issues, XXXV(3), 607–632.CrossRefGoogle Scholar
  17. Geuna, A. and B. Martin (2003) ‘University research evaluation and funding: an international comparison’, Minerva, 41, 277–304.CrossRefGoogle Scholar
  18. Gulbrandsen, M. and S. Slipersaeter (2007) ‘The third mission and the entrepreneurial university model’, in A. Bonaccorsi and C. Daraio (eds) Universities and Strategic Knowledge Creation. Specialization and Performance in Europe (pp. 112–143) (Cheltenham: Edward Elgar).Google Scholar
  19. Hicks, D. and J. S. Katz (2011) ‘Equity and excellence in research funding’, Minerva, 49, 137–151.CrossRefGoogle Scholar
  20. Hicks, D. (2012) ‘Performance-based university research funding systems’, Research Policy, 41(2), 251–261.CrossRefGoogle Scholar
  21. Himanen, L., Auranen, O., Puuska, H. and M. Nieminen (2009) ‘Influence of research funding and science policy on university research performance: a comparison of five countries’, Science and Public Policy, 36(6), 419–430.CrossRefGoogle Scholar
  22. Jongbloed, B. (2004) Funding Higher Education: Options, Trade-Offs and Dilemmas (Enschede: CHEPS).Google Scholar
  23. Jongbloed, B. (2008) ‘Creating public-private dynamics in higher education funding. A discussion of three options’, in J. Enders and B. Jongbloed (eds) Public-Private Dynamics in Higher Education Funding (pp. 113–138) (Bielefeld: Transcript).Google Scholar
  24. Jongbloed, B. (2009) ‘Steering the Dutch academic research enterprise: universities’ responses to project funding and performance monitoring’, in P. Clancy and D. D. Dill (eds) The Research Mission of the University. Policy Reforms and Institutional Response (pp. 79–94) (Rotterdam: Sense Publishers).Google Scholar
  25. Jongbloed, B. (2010) ‘The regional relevance of research in universities of applied sciences’, in Kyvik and B. Lepori (eds) The Research Mission of Higher Education Institutions Outside the University Sector (pp. 25–44) (Dordrecht: Springer).CrossRefGoogle Scholar
  26. Jongbloed, B. (2011) ‘Funding through contracts’, in J. Enders, H. F. de Boer and D. F. Westerheijden (eds) Reform of Higher Education in Europe (pp. 173–191) (Rotterdam: Sense Publishers).CrossRefGoogle Scholar
  27. Jongbloed, B. and H. de Boer (2012) ‘Higher education funding reforms in Europe and the 2006 modernisation agenda’, The Modernisation of European Universities: Cross-National Academic Perspectives, 1, 127.Google Scholar
  28. Kenna, R. and B. Berche (2011) ‘Critical mass and the dependency of research quality on group size’, Scientometrics, 86(2), 527–540.CrossRefGoogle Scholar
  29. Larédo, P. and P. Mustar (2001) Research and Innovation policies in the new global economy. An international comparative analysis.Google Scholar
  30. Laudel, G. (2006) ‘The art of getting funded: how scientists adapt to their funding conditions’, Science and Public Policy, 33(7), 489–504.CrossRefGoogle Scholar
  31. Leisyte, L., Enders, J. and H. de Boer (2009) ‘The balance between teaching and research in Dutch and English universities in the context of university governance reforms’, Higher Education, 58(5), 619–635.CrossRefGoogle Scholar
  32. Lepori, B. (2011) ‘Coordination modes in public funding systems’, Research Policy, 40(3), 355–367.CrossRefGoogle Scholar
  33. Lepori, B., Benninghoff, M., Jongbloed, B., Salerno, C. and S. Slipersaeter (2007a) ‘Changing models and patterns of higher education funding: some empirical evidence’, in A. Bonaccorsi and C. Daraio (eds) Universities and Strategic Knowledge Creation. Specialization and Performance in Europe (pp. 85–111) (Bodmin, Cornwall: MPG Books Limited).Google Scholar
  34. Lepori, B., van den Besselaar, P., Dinges, M., van der Meulen, B., Potì, B., Reale, E., Slipersaeter, S. and J. Theves (2007b) ‘Indicators for comparative analysis of public project funding: concepts, implementation and evaluation’, Research Evaluation, 16(4), 243–255.CrossRefGoogle Scholar
  35. Lepori, B., Dinges, M., Reale, E., Slipersaeter, S., Theves, J. and P. Van den Besselaar (2007c) ‘Comparing the evolution of national research policies: what patterns of change?’ Science and Public Policy, 34(6), 372–388.CrossRefGoogle Scholar
  36. Lepori, B. and S. Kyvik (2010) ‘The research mission of universities of applied science and the future configuration of higher education systems in Europe’, Higher Education Policy, 23, 295–316.CrossRefGoogle Scholar
  37. Lepori, B., Huisman, J. and M. Seeber (2013a) ‘Convergence and differentiation processes in Swiss higher education: an empirical analysis’, Studies in Higher Education, 39(2), 197–218.CrossRefGoogle Scholar
  38. Lepori, B., Usher, J. and M. Montauti (2013b) ‘Budgetary allocation and organizational characteristics of higher education institutions. A review of existing studies and a framework for future research’, Higher Education, 65(1), 59–78.CrossRefGoogle Scholar
  39. Lepori, B., Heller-Schuh, B., Scherngell, T. and M. Barber (2014) Understanding factors influencing participation to European programs of higher education institutions. STI 2014, Leiden.Google Scholar
  40. Liefner, I. (2003) ‘Funding, resource allocation, and performance in higher education systems’, Higher Education, 26(4), 469–489.CrossRefGoogle Scholar
  41. Massy, W. F. (2004) ‘Markets in higher education. Do they promote internal efficiency?’ in P. Teixeira, B. Jongbloed, D. Dill and A. Amaral (eds) Markets in Higher Education (pp. 13–36) (Dordrecht: Springer).CrossRefGoogle Scholar
  42. Nieminen, M. and O. Auranen (2010) ‘University research funding and publication performance — an international comparison’, Research Policy, 39, 822–834.CrossRefGoogle Scholar
  43. OECD (2002) Frascati Manual. Proposed Standard Practice for Surveys on Research and Experimental Development (Paris: OECD).Google Scholar
  44. OECD (2014) Promoting Research Excellence. New Approaches to Funding (Paris: OECD).Google Scholar
  45. Paradeise, C., Reale, E., Bleiklie, I. and E. Ferlie (2009) University Governance. Western European Comparative Perspectives (Dordrecht: Springer).Google Scholar
  46. Pollitt, C. and G. Bouckaert (2000) Public Management Reform: A Comparative Analysis (Oxford: Oxford University Press).Google Scholar
  47. Radosevic, S. and B. Lepori (2009) ‘Public research funding systems in central and eastern Europe between excellence and relevance’, Science and Public Policy, 36(9), 659–666.CrossRefGoogle Scholar
  48. Sivertsen, G. (2014) Performance-based funding. Workshop on national research funding systems. Dialogic/EC DG Research/ERC.Google Scholar
  49. Skrbinjek, V. and D. Lesjak (2014) Changes in higher education public funding during economic and financial crisis. Conference paper, 1377–1386.Google Scholar
  50. Smith, S., Ward, V. and A. House (2011) ‘“Impact” in the proposals for the UK’s research excellence framework: Shifting the boundaries of academic autonomy’, Research Policy, 40(10), 1369–1379.CrossRefGoogle Scholar
  51. Stiles, D. R. (2000) ‘Higher education funding patterns since 1990: a New Perspective’, Public Money & Management, 20(4), 51–57.CrossRefGoogle Scholar
  52. Teixeira, P., Jongbloed, B., Dill, D. and A. Amaral (2004) Markets in Higher Education. Rhetoric or Reality? (Dordrecht: Kluwer Academic Publishers).Google Scholar
  53. van den Besselaar, P., Hemlin, S. and I. van der Weijden (2012) ‘Collaboration and competition in research’, Higher Education Policy, 25(3), 263–266.CrossRefGoogle Scholar
  54. van Raan, A. F. J. (2004) ‘Measuring science’, in H. F. Moed, W. Glänzel and U. Schmoch (eds) Handbook of Quantitative Science and Technology Research (pp. 19–50) (Dordrecht: Kluwer Academic Publishers).CrossRefGoogle Scholar
  55. van Steen, J. (2012) Modes of Public Funding of Research and Development: Towards Internationally Comparable Indicators (Paris: OECD Publishing).CrossRefGoogle Scholar
  56. van Vught, F. A. (2012) University Profiles. International Rankings, Institutional Maps and the Need to Discuss the Structure of Dutch Higher Education. Opening of Academic Year 2012/13 (Maastricht: Maastricht University).Google Scholar
  57. Viner, N., Green, R. and P. Powell (2006) ‘Segmenting academics: resource targeting of research grants’, Science and Public Policy, 33(3), 166–178.CrossRefGoogle Scholar
  58. von Tunzelmann, N., Ranga, M., Martin, B. and A. Geuna (2003) The Effects of Size on Research Performance: A SPRU Review (Brighton: SPRU).Google Scholar
  59. Whitley, R. and J. Glaser (2007) The Changing Governance of the Sciences. The Advent of Research Evaluation Systems (Dordrecht: Springer).CrossRefGoogle Scholar

Copyright information

© Ben Jongbloed and Benedetto Lepori 2015

Authors and Affiliations

  • Ben Jongbloed
  • Benedetto Lepori

There are no affiliations available

Personalised recommendations