NIFU STEP Studies in Innovation, Research and Education The Norwegian model and the indicators chosen Gunnar Sivertsen Norwegian Institute for Studies in Innovation, Research, and Education

Overview of this presentation 1.Performance based funding 2.Bibliometric datasources 3.An overview of models 4.Definition and delimitation of data 5.Comparable measurement (the publication indicator) 6.The effects so far 7.Conclusions

Overview of this presentation 1.Performance based funding 2.Bibliometric datasources 3.An overview of models 4.Definition and delimitation of data 5.Comparable measurement (the publication indicator) 6.The effects so far 7.Conclusions

”The dual funding system” (A simplified model excluding international sources, etc.) Government Direct grants Historical, Political Strategic Performance based Higher Education Institutions Research Councils Projects and Programmes Competition Research Evaluation

Same aims, methods, and effects? Government Direct grants Historical, Political Strategic Performance based Higher Education Institutions Research Councils Projects and Programmes Competition Research Evaluation

Motivation in Norway: The need for more emphasis on research in the overall funding model for the Higher Education Sector Budget for HES Basic: 60%Education: 25%Research: 15% StrategicPerformance based Scholarly publications Dissertations External funding Since 2006: “Publication points” “Study points” since 2002

The model in Norway Panel evaluation, rankings External funding  Peer reviewed  Contract research, etc. Dissertations Metric indicators  Publication output  Citations  Patents Level of analysis:  Individuals  Groups  Programmes  Departments  Institutions  Countries

The publication indicator was developed in for the Government by the Norwegian Association of Higher Education Institutions The Norwegian Higher Education Sector: The Norwegian Government required: 17,000 researchers… 10,000 scientific and scholarly publications annually… Collect complete, standardized, verifiable and analyzable data for all publications! From theology to geology, from internal medicine to international relations, from macroeconomics to nano-technology… Weight the publications in a comparable way that at the same time stimulates research of good quality! Seven universities and forty-seven other HE institutions with different missions and subject areas… Make the sector agree on the model!

Overview of this presentation 1.Performance based funding 2.Bibliometric datasources 3.An overview of models 4.Definition and delimitation of data 5.Comparable measurement (the publication indicator) 6.The effects so far 7.Conclusions

The standard (so far) database for bibliometric studies

Another starting point: Institutional information systems

Stockholms universitets publikationer But publishing is a shared activity in shared publication channels

Göteborgs universitets publikationer This publication comes from Lund, Stockholm and Gothenburg

Another challenge: Sociologisk Forskning is indexed by ISI, but Statsvetenskaplig tidsskrift is not

Publication types in five major fields Based on (fractionalized) Norwegian publications from

Coverage of all scientific publications in Norway’s HE sector Based on (fractionalized) publications from

From ISI From Norart One shared national database for all universities. Imported references from bibliographic data sources are validated by researchers or their assistants. Missing references are added. Books

Principles behind the use of institutional data on a national level Completeness: All scholarly publications should be included Simplicity: All scholars can understand the measurement and its effects Transparency: Every institution can see and check all other institutions’ data. The national database is also online and open to society at large. Participation: The indicator is developed and maintained in collaboration between the institutions and the authorities Multiple use of the data: CV’s, applications, evaluations, annual reports, internal administration, bibliography for Open Archives, links to full text, etc.

The next step: Norwegian Science Index from 2011 An open nation-wide database of publications from  The Higher Education Sector  The Institute Sector  The Hospital Sector Co-authored publications will not be duplicated, but shown as a common publication from two or more institutions References in the database may lead on to the full texts of publications Will be used by the Research Council instead of individual publication lists in  Applications  Evaluations

The next step: Norwegian Science Index from 2011 An open nation-wide database of publications from  The Higher Education Sector  The Institute Sector  The Hospital Sector Co-authored publications will not be duplicated, but shown as a common publication from two or more institutions References in the database may lead on to the full texts of publications Will be used by the Research Council instead of individual publication lists in  Applications  Evaluations Will be part of a new national Current Research Information System in Norway (CRISTIN)

Overview of this presentation 1.Performance based funding 2.Bibliometric datasources 3.An overview of models 4.Definition and delimitation of data 5.Comparable measurement (the publication indicator) 6.The effects so far 7.Conclusions

Models for performance-based funding of research institutions Panel evaluation, ranking Bibliometric models All disciplines; all publications Selected disciplines; Citation databases N GB B DK S SF ? AUS

Overview of this presentation 1.Performance based funding 2.Bibliometric datasources 3.An overview of models 4.Definition and delimitation of data 5.Comparable measurement (the publication indicator) 6.The effects so far 7.Conclusions

The three components of the model 1:Delimitation and documentation 2: Comparable measurement 3: Incentives and funding A system of ”weigths” takes into consideration different publishing traditions and make them comparable in the same measurement of ”Publication points” at the level of institutions A definition defines, and the publication database records and validates, structured and standardized bibliographic references to different types of scholarly publications in all fields of research. Author names and addresses are at the same time connected to persons and institutions. In the overall budget each year, a certain percentage of the basic annual funding from the Government is redistributed between the institutions according to their shares in the total Publication points.

Delimitation of publication data by definition Definition A scientific or scholarly publication must: 1.present new insight 2.in a form that allows the research findings to be verified and/or used in new research activity 3.in a language and with a distribution that makes the publication accessible for a relevant audience 4.in a publication channel with peer review*) *) In addition: Publication channels with authors coming mainly from only one institution are not included.

Three main publication types Channel Type E.g. scientific article in Nature or scholarly ISBN- title on Oxford University Press. 1) Article in ISSN-title 2) Article in ISBN-title 3) ISBN-title

Dynamic records of scientific and scholarly ISSN-titles og ISBN- publishers Africa Today African Affairs African American Review African Archaeological Review African Arts African Development Review African Economic History African Entomology African Identities African Journal of Biotechnology African Journal of Crop Science African Journal of Ecology African Journal of Environmental Assessment and Management African Journal of Food, Agriculture, Nutrition African Journal of Neurological Sciences African Literature Today CABI Publishing Cambridge University Press Cappelen Akademisk Forlag Carfax Publishing Carl Heymanns Verlag Carlsson bokförlag Catholic University of America Press Central European University Press Channel View Publications Chinese University Press Christian Ejlers´s Forlag 18,000 ISSN-titles and 1,000 book publishers so far

All channels can be searched, and new channels can be suggested

Overview of this presentation 1.Performance based funding 2.Bibliometric datasources 3.An overview of models 4.Definition and delimitation of data 5.Comparable measurement (the publication indicator) 6.The effects so far 7.Conclusions

Dynamic records of scientific and scholarly ISSN-titles og ISBN- publishers Africa Today African Affairs African American Review African Archaeological Review African Arts African Development Review African Economic History African Entomology African Identities African Journal of Biotechnology African Journal of Crop Science African Journal of Ecology African Journal of Environmental Assessment and Management African Journal of Food, Agriculture, Nutrition African Journal of Neurological Sciences African Literature Today CABI Publishing Cambridge University Press Cappelen Akademisk Forlag Carfax Publishing Carl Heymanns Verlag Carlsson bokförlag Catholic University of America Press Central European University Press Channel View Publications Chinese University Press Christian Ejlers´s Forlag 18,000 ISSN-titles and 1,000 book publishers so far

Publication channels on two levels Level 2: Higher points to 20 % of the publications Level 1: Normal points to 80 % of the publications Level 2 represents the most prestigous channels and is defined in collaboration with the national councils in each field

Differentiated criteria for nomination to level 2 Physics Economics Literature Only most prestigous high-impact journals Leading journals, series and book publishers with authors from several countries

Publication points Publication typeLevel 1Level 2 Article in ISSN-title13 Article in ISBN-title0,71 ISBN-title58 Publication Author 1 Institution A Author 2 Institution B Institution C Author 3 Institution C Publication points are fractionalized if the publication originates from more than one institution

A comparison of the faculties for the Humanities and for Medicine at the University of Oslo (2005)

Institutional research profiles in three different universities (based on publication points )

Overview of this presentation 1.Performance based funding 2.Bibliometric datasources 3.An overview of models 4.Definition and delimitation of data 5.Comparable measurement (the publication indicator) 6.The effects so far 7.Conclusions

Publication points in Norway’s Higher Education Sector

Shares in the world’s scientific output (ISI ) Source: National Science Indicators (NSI), Thomson Reuters

Effects on the institutional level  The institutions have stronger incentives to facilitate research for their researchers  Research is now perceived as a common and institutional responsibility, not only as an individual task  New publications receive attention, not only from external peers, but also internally from the institution  Research management improves with the aid of complete bibliometric information about the research activities

An example of effect at department level: Poster in the toilets of The Centre of Excellence in linguistics at the University of Tromsø

Overview of this presentation 1.Performance based funding 2.Bibliometric datasources 3.An overview of models 4.Definition and delimitation of data 5.Comparable measurement (the publication indicator) 6.The effects so far 7.Conclusions

Electronic information is here to stay

Differences in publication patterns can be recognized

Incomplete representations create tensions within universities

Complete representations support transparence, visibility, and comparability