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www.nifustep.noNIFU 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
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%
Strategic Performance 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 2003-2004 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
Stockholms universitets publikationer
But publishing is a shared activity in shared publication channels
Publication types in five major fields Based on 33.000 (fractionalized) Norwegian publications from 2005-2008
Coverage of all scientific publications in Norway’s HE sectorBased on 33.000 (fractionalized) publications from 2005-2008
From ISIFrom 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-title2) Article in ISBN-title
3) ISBN-title
Dynamic records of scientific and scholarly ISSN-titles og ISBN-publishers
0001-9887 Africa Today
0001-9909 African Affairs
1062-4783 African American Review
0263-0338 African Archaeological Review
0001-9933 African Arts
1017-6772 African Development Review
0145-2258 African Economic History
1021-3589 African Entomology
1472-5843 African Identities
1684-5315 African Journal of Biotechnology
1021-9730 African Journal of Crop Science
0141-6707 African Journal of Ecology
1438-7890African Journal of Environmental Assessment and Management
1684-5378African Journal of Food, Agriculture, Nutrition
1015-8618 African Journal of Neurological Sciences
0065-4000 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
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
0001-9887 Africa Today
0001-9909 African Affairs
1062-4783 African American Review
0263-0338 African Archaeological Review
0001-9933 African Arts
1017-6772 African Development Review
0145-2258 African Economic History
1021-3589 African Entomology
1472-5843 African Identities
1684-5315 African Journal of Biotechnology
1021-9730 African Journal of Crop Science
0141-6707 African Journal of Ecology
1438-7890African Journal of Environmental Assessment and Management
1684-5378African Journal of Food, Agriculture, Nutrition
1015-8618 African Journal of Neurological Sciences
0065-4000 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 type Level 1 Level 2
Article in ISSN-title 1 3
Article in ISBN-title 0,7 1
ISBN-title 5 8
Publication points are fractionalized if the publication originates from more than one institution
Institutional research profiles in three different universities (based on publication points 2005-2008)
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 2004-2009
-1 000
1 000
3 000
5 000
7 000
9 000
11 000
13 000
2004 2005 2006 2007 2008 2009 0 %
5 %
10 %
15 %
20 %
25 %Level 2
Level 1
Level 2 (%)
Shares in the world’s scientific output (ISI 2000-2009)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