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Evaluating and Monitoring the Socio-
Economic Impact of Investment in Research
Infrastructures
www.technopolis-group.com
Table of Contents
1. Introduction 1
1.1 Why evaluate the socio-economic impact of research infrastructures? 1
1.2 Previous evaluations of the impact of research infrastructure investment 2
1.3 The aim of this guidance document 3
2. Logical framework for socio-economic impacts of investment in research
infrastructure 4
2.1 Design and construction phase 4
2.2 Operational phase 7
3. Impact assessment methods and tools 13
3.1 Impacts on economy 13
3.2 Impacts on human resource capacity 14
3.3 Impacts on innovation 14
3.4 Impacts on scientific activity 15
3.5 Impacts on society 15
3.6 IA implementation process, its challenges and limitations 17
Bibliography 18
Table of Figures
Figure 1: Typology of research infrastructures ................................................................ 1
Figure 2: Stakeholders and beneficiaries of investment in research infrastructure ....... 2
Figure 3: Logical framework for socio-economic impact assessment of investment in
research infrastructure ..................................................................................................... 5
Figure 4: Indicators for economic impacts of RI construction phase ............................. 6
Figure 5: Indicators of innovation impact of RI construction phase .............................. 7
Figure 6: Indicators for economic impact of RI operational phase ................................. 8
Figure 7: Indicators for impact of RI operation on human resource capacity ................ 9
Figure 8: Indicators for impacts on innovation of RI operational phase ...................... 10
Figure 9: Indicators for impact on scientific activity ..................................................... 12
Figure 10: Indicators for impacts on society .................................................................. 13
Figure 11: Implementation of an impact assessment of research infrastructure .......... 16
1. Introduction
1.1 Why evaluate the socio-economic impact of research infrastructures?
Research infrastructures (RI) refer to facilities, resources (including human) and
related services needed by the research community to conduct research in any
scientific or technological field. Research infrastructures include:
• Major equipment or group(s) of instruments used for research purposes;
• Permanently attached instruments, managed by the facility operator for the
benefit of researchers, industrial partners and society in general;
• Knowledge-based resources such as collections, archives, structured
information or systems related to data management, used in scientific
research;
• Enabling information and communication technology-based (ICT) or ‘e-
infrastructures’ such as grid, computing, and software communications;
• Any other entity of a unique nature that is used for scientific research.1
Due to the large number of research communities and complex research needs, there
are very different types of research infrastructures with specific characteristics. Figure
1 provides an overarching typology of RIs.
Figure 1: Typology of research infrastructures
Type of research
Description Examples
infrastructure
Unified body of High-performance laser system,
Single-site facility equipment at one physical clean room, coastal observatory,
location centre of competence
Network of distributed ELI: European Light
instrumentation or Infrastructure; Council of
Distributed facility
collections, archives and European Social Science Data
scientific libraries Archives
Mobile vehicles specially
Research vessels, satellite and
Mobile facility designed for scientific
aircraft observation facilities
research
ICT-based system for
European Grid Computing
scientific research,
Infrastructure; Digital Research
Virtual facility including high-capacity
Infrastructure for the Arts and
communication networks
Humanities (DARIAH)
and computing facilities
2 Rizzuto, C. (2012) Benefits of Research Infrastructures beyond Science, presentation at ERF Workshop
“The Socio-Economic Relevance of Research Infrastructures”, 31 May-1 June 2012, Hamburg
3 See, for example, project Research Infrastructures: Foresight and Impact (RIFI), project on Evaluation of
Research Infrastructures in Open innovation and research systems (EVARIO), Research Infrastructure
Group of UK Science & Technology Facilities Council, Czech Metodika: Evaluation Methodology for
Research Infrastructures
4 Simmonds, P. et.al (2013) Big Science and Innovation. Report for the UK Department for Business,
Innovation & Skills
5 Multipliers - Further economic activity (e.g. jobs, expenditure or income) associated with the inputs to or
outputs from the project. According the European Commission (DG REGIO) an income multiplier is a
secondary effect resulting from increased income and consumption generated by the public intervention
(investment). Multiplier effects are cumulative and take into account the fact that part of the income
generated is spent again and generates other income, and so on in several successive cycles. In each cycle,
the multiplier effect diminishes due to purchases outside the territory. The effect decreases much faster
when the territory is small and when its economy is open.
6 Horlings, E. et.al (2012) The societal footprint of big science. Report of the Rathenau Instituut, the Hague,
the Netherlands
7 http://www.fenriam.eu/
9 Bianchi-Streit, M. et al (1984) Economic utility resulting from CERN contracts (second study). Report of
the European Organisation for Nuclear Research (CERN)
http://indico.cern.ch/event/66952/contribution/0/2/material/paper/0.pdf
10 For the theoretical background of this nexus see work of von Hippel, E. (1976) The Dominant Role of
Users in the Scientific Instrument Innovation Process, Research Policy 5 (3)
11 http://www.innovatiefaanbesteden.be/files/409
Sciences
14 Bozeman, B. (2000) Technology transfer and public policy: a review of research and theory. Research
Policy, 29(4–5)
15 ERF Workshop “The Socio-Economic Relevance of Research Infrastructures”, 31 May – 1 June 2012,
Hamburg, Germany
16 The metric is used by the Scottish Government to measure as a proxy measure of the quantity, but not the
quality, of knowledge exchange activities undertaken by Scottish universities.
http://www.gov.scot/About/Performance/scotPerforms/TechNotes/knowledge
17 See e.g. Clarke, S. et.al. (2013) Project Preparation and CBA of RDI Infrastructure Projects. JASPERS
Staff Working Paper
Data requirements
• Database of researchers working on the RI
• Relevant official statistics and structured monitoring data
• Annual activity reports
Autio, E. (2014) Innovation from Big Science: Enhancing Big Science Impact Agenda.
Report to UK Department for Business, Innovation & Skills. Available at:
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/28
8481/bis-14-618-innovation-from-big-science-enhancing-big-science-impact-
agenda.pdf
Autio, E., Streit-Bianchi, M., and Hameri, A.-P. (2003) Technology Transfer and
Technological Learning Through CERN’s Procurement Activity, CERN Scientific
Information Service. Geneva
Bianchi-Streit, M. et al (1984) Economic utility resulting from CERN contracts (second
study). Report of the European Organisation for Nuclear Research (CERN). Available
at: http://indico.cern.ch/event/66952/contribution/0/2/material/paper/0.pdf
Bozeman, B. (2000) Technology transfer and public policy: a review of research and
theory. Research Policy, 29(4–5)
Clarke, S. et.al. (2013) Project Preparation and CBA of RDI Infrastructure Projects.
JASPERS Staff Working Paper. Available at:
http://www.jaspersnetwork.org/display/for/Project+Preparation+and+CBA+of+RDI
+Infrastructure+Projects
European Strategy Forum on Research Infrastructures (2011) Evaluation Report 2011.
Available at:
http://ec.europa.eu/research/infrastructures/pdf/esfri_evaluation_report_2011.pdf
Fotakis, C. (2010) Analyses of FP7 supported Research Infrastructures initatives in the
context of ERA. Available at:
http://ec.europa.eu/research/evaluations/pdf/archive/fp7-evidence-
base/experts_analysis/c.%20fotakis_-_research_infrastructure.pdf
Hallonsten, O., Benner, M. and Holmberg. G (2004) Impacts of Large-Scale Research
Facilities- A Socio-Economic Analysis. A study done at the Research Policy Institute,
Lund University. Available at:
http://rifi.gateway.bg/upload/docs/public_doc_REPORT_impact_of_large_scale_R
I.pdf
von Hippel, E. (1976) The Dominant Role of Users in the Scientific Instrument
Innovation Process, Research Policy 5 (3)
Hickling Arthurs Low Corporation (2013) Return on Investment in Large Scale
Research Infrastructure. Report for National Research Council Canada. Available at:
http://www.triumf.ca/sites/default/files/HAL-ReturnOnInvestmentStudy-May-
2013.pdf
Horlings, E. et.al (2012) The societal footprint of big science. Report of the Rathenau
Instituut. Available at: http://www.rathenau.nl/en/publications/publication/the-
societal-footprint-of-big-science.html
National Research Council Canada (2013) Return on Investment in Large Research
Infrastructure. Available at: http://www.triumf.ca/sites/default/files/HAL-
ReturnOnInvestmentStudy-May-2013.pdf
OECD (2014) International Distributed Research Infrastructures: Issues and Options.
Available at: http://www.oecd.org/sti/sci-tech/international-distributed-research-
infrastructures.pdf
OECD (2014) Report on the Impacts of Large Research Infrastructure on Economic
Innovation and on Society: Case Studies at CERN. Available at:
http://www.oecd.org/sti/sci-tech/CERN-case-studies.pdf
Front cover photo: Centre for New Pharmaceutical and Health Technologies of the
Santaka Valley, Kaunas, Lithuania. Source: http://www.mitnija.lt/