Trying to capture additionality in Framework Programme 5 - main findings

Abstract

This paper describes an attempt to identify additionality in the projects carried out in the European Union's 5th Framework Programme for Research and Technological Development (FP5) in the context of the recent five-year assessment of FP5. It briefly discusses the various meanings of the concept of additionality and the results of a survey among the participants in FP5. Main findings indicated substantial input and behavioural additionality for a majority of participants. On the other hand, the portfolio of projects included a large number of projects with low risk and of a comparably small size. Design of future FPs should take this into account.

Public R&D funding: does the source determine the strategy?

“…Most of the studies on additionality in behaviour are based on firm-survey responses (see Polt and Streicher 2005;and OECD 2006). Many of the cited firms state that without public funding some projects would never have got underway, or at least not on the same scale or at the same speed.…”

“…Most of this work adopts one of three analytic approaches: the influence of policies on R&D input levels (Branstetter and Sakakibara 1998;Almus and Czarnitzki 2003;García-Quevedo 2004), the influence on innovation behaviour (Huggins 2001;Polt and Streicher 2005;OECD 2006) and the influence on the outcome of the innovation process (Branstetter and Sakkibara 1998;Klette and Moen 1999;Huggins 2001;Benfratello and Sembenelli 2002;Bayona-Sáez and García-Marco 2010).…”

Impact of Swiss technology policy on firm innovation performance: an evaluation based on a matching approach

“…See also Science and Public Policy (34(10), 679-752) dedicated to 'New frontiers in evaluation '. Finally, see OECD (2006a) for an analysis more from the point of view of the policy-maker; Polt et al (2001) for the role of framework conditions for the evaluation of industry-university collaborations; and Polt and Streicher (2005) for the evaluation of large programmes such as the Framework Programmes of the European Union. 2.…”

Moving beyond the ‘black box’ approach to public interventions promoting research, development and innovation. The concept of behavioural additionality

“…' Additionality' can be characterised as net changes which are brought about over and above what would take place anyway without public intervention (a program, project or policy) (Polt and Streicher, 2005;Georghiou and Clarysse, 2006). Therefore, assessing the additionality effect requires being sensitive about two critical issues.…”

“…The composition of a reliable control group was not always feasible. Polt and Streicher (2005), for instance, in order to confirm the high additionality found among beneficiaries did a cross-check in a parallel survey of a sample of rejected applicants. Falk also compares responses of successful applicants with failed applicants.…”