The state authorities in Germany used to fund public sector research without controlling the performance of the research units.
This has changed during past decade, where the dominant mechanism by which formerly unconditional state funds are allocated
nowadays is indicator-based performance measurement. The indicator sets used to measure the research-related performance in
the German public science sector are usually very narrow, often consisting exclusively of finished doctoral theses and third-party
funds. Using a unique dataset of 473 German research units from astrophysics, nanotechnology, economics and biotechnology,
this paper outlines principles for the construction of sensible indicator sets for the performance measurement of scientific
research groups. It is argued that scientific production is multidimensional. Thus one-sided indicator sets that fail to cover
the relevant output dimensions give rise to incentives that will ultimately lower the performance of the science sector in
total. Indicator sets should strive for sustainable incentives, which can be guaranteed if the sets are broad enough. As a
starting point it is shown that the very common performance indicator ‘acquired third-party funds’ may affect research efficiency
negatively, especially if the level of third-party funds is already very high. Therefore, we conclude that third-party funds
should be used with great care, if at all.
Recently there has been huge growth in the number of articles displayed on the Web of Science (WoS), but it is unclear whether this is linked to a growth of science or simply additional coverage of already existing journals by the database provider. An analysis of the category of journals in the period of 2000–2008 shows that the number of basic journals covered by Web of Science (WoS) steadily decreased, whereas the number of new, recently established journals increased. A rising number of older journals is also covered. These developments imply a crescive number of articles, but a more significant effect is the enlargement of traditional, basic journals in terms of annual articles. All in all it becomes obvious that the data set is quite instable due to high fluctuation caused by the annual selection criteria, the impact factor. In any case, it is important to look at the structures at the level of specific fields in order to differentiate between “real” and “artificial” growth. Our findings suggest that even-though a growth of about 34 % can be measured in article numbers in the period of 2000–2008, 17 % of this growth stems from the inclusion of old journals that have been published for a longer time but were simply not included in the database so far.
Patent statistics are a frequently used innovation indicator for the description and analysis of technological strengths and
weaknesses, both on the macro and the micro level. Patent data has a broad coverage, high reliability, allows a very differentiated
perspective and the data has become easier in availability and accessibility. Especially when cross country comparisons and
comparative assessments are intended, a deep knowledge and understanding of patent systems is required. In the 1990s Triadic
patents, which were able to balance the home advantage of domestic applicants/inventors. An increasing internationalisation
and globalisation makes it also necessary to adapt the patent analyses to this new world order. In this paper the so called
Transnational patents are suggested, which allows to grasp the new relations and relative positions between the industrialised,
industrialising and emerging countries. The existing concepts are presented and discussed and contrasted against the concept
of Transnational Patents.
This article deals with the role of internationally co-authored papers (co-publications). Specifically, we compare, within
a data-set of German research units, citation and co-publication indicators as a proxy for the unobserved quality dimension
of scientific research. In that course we will also deal with the question whether both citations and co-publications are
considerably related. Our results suggest that, although there is a strong partial correlation between citations and co-publications
within a multivariate setting, we cannot use reasonably normalised co-publication indicators as an alternative proxy for quality.
Thus, concerning quality assessment, there remains a primer on citation analysis.
Authors:Hariolf Grupp, Ulrich Schmoch, and Sybelle Hinze
Many international comparisons of the publication performance at themacro level are based on direct counts of citation frequencies
in the ScienceCitation Index. However, these comparisons may reveal a significant negativelanguage bias for non-English-speaking
countries, or other selection biases,which can be illustrated by the relation between research budgets of scientificinstitutions
and SCI publications. Against this background, a two-dimensionalrepresentation, specifying for the international alignment
of the nationalpublications and the journal-standardized citation impact, proves to be amore appropriate indicator base to
assess the citation performance of countriessuch as Germany. In the light of a ten countries' benchmark, time seriesof these
indicators for the nineties show a considerable impact of the Germanunification with a recent trend towards an adaptation
of publication behaviourin East Germany towards the Western patterns.
Authors:Icíar Lacasa, Hariolf Grupp, and Ulrich Schmoch
This contribution deepens the feasibility issues of building state-of-the-art patent indicators with historical patent documents
available in electronic form from the German Patent Office since the introduction of the Patent Law for the German Empire
in 1877. The paper is divided into two parts: a methodological discussion and a case study on the chemical sector in Germany.
The development of the technology sector defined matches remarkably well with stylised facts that institutional analysis in
the chemical sector have provided us with so far. Moreover, the possibility of varying the level of aggregation in the analysis
of technological areas discloses empirical evidence for the path-dependent development in the chemical sector after the advent
of the organic chemistry and its application in the chemical synthesis of dye stuffs. Our findings enhance institutional and
historical contributions about technological change in the chemical sector and suggest new research questions for innovation