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Evaluating transformative research programmes: A case study of the NSF Small Grants for Exploratory Research programme

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  • Caroline S. Wagner
  • Jeffrey Alexander
Abstract
This article describes an evaluation of the National Science Foundation's Small Grants for Exploratory Research (SGER) programme conducted for NSF by SRI International (a non-profit research company). SGER was a 16-year programme sponsored by NSF and operating across the agency from 1990 until 2006 to encourage programme directors to invest in high-risk, high-reward research that might not pass the traditional peer review process. This article provides a detailed background of SGER; a description of the outcomes of the programme; details about the methodology used to evaluate the SGER programme; and the findings of the evaluation. The analysis shows that SGER was highly successful in supporting research projects that produced transformative results as measured by citations and as reported through expert interviews and a survey. However, the NSF programme directors as a whole underutilized the tool for most of the years it was in operation spending far less than the allowable funds allocated to exploratory research; this suggests that internal actions to take risks may not have been rewarded. Moreover, the programme itself was successful beyond expectations. A high-risk programme would be expected to have transformative results in just a few cases. SGER had transformative research results tied to more than 10% of projects. This suggests that programme managers remained risk averse and continued to support projects that were likely to produce positive outcomes. Copyright The Author 2013. Published by Oxford University Press. All rights reserved. For Permissions, please email: journals.permissions@oup.com, Oxford University Press.

Suggested Citation

  • Caroline S. Wagner & Jeffrey Alexander, 2013. "Evaluating transformative research programmes: A case study of the NSF Small Grants for Exploratory Research programme," Research Evaluation, Oxford University Press, vol. 22(3), pages 187-197, June.
    • Handle: RePEc:oup:rseval:v:22:y:2013:i:3:p:187-197
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    File URL: http://hdl.handle.net/10.1093/reseval/rvt006
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    Cited by:

    1. Laudel, Grit & Gläser, Jochen, 2014. "Beyond breakthrough research: Epistemic properties of research and their consequences for research funding," Research Policy, Elsevier, vol. 43(7), pages 1204-1216.
    2. Chiara Franzoni & Paula Stephan & Reinhilde Veugelers, 2022. "Funding Risky Research," Entrepreneurship and Innovation Policy and the Economy, University of Chicago Press, vol. 1(1), pages 103-133.
    3. Seolmin Yang & So Young Kim, 2023. "Knowledge-integrated research is more disruptive when supported by homogeneous funding sources: a case of US federally funded research in biomedical and life sciences," Scientometrics, Springer;Akadémiai Kiadó, vol. 128(6), pages 3257-3282, June.
    4. Gerald Schweiger & Adrian Barnett & Peter van den Besselaar & Lutz Bornmann & Andreas De Block & John P. A. Ioannidis & Ulf Sandstrom & Stijn Conix, 2024. "The Costs of Competition in Distributing Scarce Research Funds," Papers 2403.16934, arXiv.org.
    5. Jacqueline N. Lane & Misha Teplitskiy & Gary Gray & Hardeep Ranu & Michael Menietti & Eva C. Guinan & Karim R. Lakhani, 2022. "Conservatism Gets Funded? A Field Experiment on the Role of Negative Information in Novel Project Evaluation," Management Science, INFORMS, vol. 68(6), pages 4478-4495, June.

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