Abstract
This paper argues that evaluations of basic research are best carried out using a range of indicators. After setting out the reasons why assessments of government-funded basic research are increasingly needed, we examine the multi-dimensional nature of basic research. This is followed by a conceptual analysis of what the different indicators of basic research actually measure. Having discussed the limitations of various indicators, we describe the method of converging partial indicators used in several SPRU evaluations. Yet although most of those who now use science indicators would agree that a combination of indicators is desirable, analysis of a sample ofScientometrics articles suggests that in practice many continue to use just one or two indicators. The paper also reports the results of a survey of academic researchers. They, too, are strongly in favour of research evaluations being based on multiple indicators combined with peer review. The paper ends with a discussion as to why multiple indicators are not used more frequently.
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E.g.J. H. Westbrook, Identifying significant research,Science, 132 (1960) 1229–1234;N. Wade, Citation analysis: a new tool for science administrators,Science, 188 (1975) 429–432.
J. Irvine, B. R. Martin, What direction for basic scientific research?, Chapter 5 inM. Gibbons, P. Gummett, B. M. Udgaonkar (eds.),Science and Technology Policy in the 1980s and Beyond, London, Longman, 1984, pp. 67–98.
B. R. Martin, J. Irvine, Assessing basic research: some partial indicators of scientific progress in radio astronomy,Research Policy, 12 (1983) 61–90.
E.g.Anon, Is your lab well cited?,Nature, 227 (1970) 219;Anon, More games with numbers,Nature, 2228 (1970) 698–699.
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The sixth, CERN, was left to a subsequent study two years later. The results were published in a series of three articles:B. R. Martin, J. Irvine, CERN: past peformance and future prospects-I-CERN's position in World High-Energy Physics,Research Policy, 13 (1984) 183–210;J. Irvine, B. R. Martin, CERN: past performance and future prospects-II-The scientific performance of the CERN accelerators,Research Policy, 13 (1984) 247–284; andB. R. Martin, J. Irvine, CERN: Past performance and future prospects-III-CERN and the future of world high-energy physics,Research Policy, 13 (1984) 311–342.
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Martin, Irvine, ——op. cit., note 3. This article appeared in April 1983 even though it had been accepted for publication in September 1980.
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For example, the evaluation of government-funded applied research in Norway employed a combination of peer review and ‘customer review’-seeJ. Irvine, B. R. Martin, M. Schwarz, K. Pavitt, R. Rothwell,Government Support for Industrial Research in Norway: A SPRU Report, Oslo: Universitetsforlaget Norwegian Official Publication NOU 30B, 1981.
See Fig. 1 on p. 64 inMartin, Irvine, ——op. cit., note 3.
A good example here would be popular books by scientists such asStephen Hawking.
Ibid., note 3, p. 64.
Kostoff,op. cit., note 12R. N. Kostoff,The Handbook of Research Impact Assessment (Fifth Edition), DTIC Report Number ADA296021, 1995, p. 8.
Martin, Irvine, ——op. cit., note 3, p. 75.
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For an example of how the educational technological outputs from basic research may be assessed, see the references cited in note 21.J. Irvine, B. R. Martin, The Economic Effects of Big Science: The Case of Radio Astronomy,Proceedings of the International Colloquium on the Economic Effects of Space and Other Advanced Technologies, Strasbourg, 28–30 April 1980, Paris, European Space Agency, ESA SP-151, 1980;
J. Irvine, B. R. Martin,The Economic Effects of Big Science: The Case of Radio Astronomy,Proceedings of the International Colloquium on the Economic Effects of Space and Other Advanced Technologies, Strasbourg, 28–30 April 1980 Paris, European Space Agency, ESA SP-151, 1980; andB. R. Martin, J. Irvine, Spin-Off from Basic Science: The Case of Radio Astronomy,Physics in Technology, 12 (1981) 204–212.
Over 150 scientists were interviewed in the ‘Big Science Project’.
This section draws heavily onMartin, Irvine,op. cit., note 3 61–90.
See, for example, the discussion in Ibid. p. 67.
T. Luukkonen, The cognitive and social foundation of citation studies-why we still lack a theory of citation, submitted toScience, Technology and Human Values (1995).
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See also the related distinction between ‘quality’ and ‘relevance’ inHansen, Jørgensen,op. cit., note 11, p. 3.
Martin, Irvine,op. cit., note 3, p. 70.
Ibid..
Ibid..
Ibid..
Examples of this in the field of experimental high-energy physics can be found inMartin, Irvine,op. cit., note 6.
T. S. Kuhn,The Structure of Scientific Revolutions, Chicago, University of Chicago Press, 1970.
Martin, Irvine,op. cit., note 3,idem.,op. cit., note 6 CERN: past performance and future prospects-I-CERN's position in World High-Energy Physics,Research Policy, 13 (1984) 183–210.
Martin, Irvine,op. cit., note 3.
J. Irvine, B. R. Martin, Assessing basic research: The case of the Isaac Newton Telescope,Social Studies of Science, 13 (1983) 49–86.
B. R. Martin, J. Irvine, Internal criteria for scientific choice: an evaluation of the research performance of electron high-energy physics accelerators,Minerva, XIX (1981) 408–432.
Martin, Irvine op. cit., note 6.
L. M. Baird, C. Oppenheim, Do citations matter?,Journal of Information Science, 20 (1994) 2–15 (quote on p. 13).
Kostoff,op. cit., note 12The Handbook of Research Impact Assessment (Fifth Edition), DTIC Report Number ADA296021, 1995. p. 37.
Ibid.R. N. Kostoff,The Handbook of Research Impact Assessment (Fifth Edition), DTIC Report Number ADA296021, 1995 p. 118
A. H. Rubenstein, E. Geisler, Evaluating the outputs and impacts of R&D/innovation,International Journal of Technology Management, 6 (1991).
Not all scientometric analysts are guilty of this. For example, the ISI analysts who periodically publish lists of leading research institutes inScience Watch normally use three indicators-papers, citations and citations per paper.
Full details of the study and the results can be found inB. R. Martin, J. E. F. Skea,Academic Research Performance Indicators: An Assessment of the Possibilities, Brighton, SPRU, 1992.
See Table 12 inibid..
Kostoff,op cit, note 12R. N. Kostoff,The Handbook of Research Impact Assessment (Fifth Edition), DTIC Report Number ADA296021, 1995, p. 8.
Hansen, Jørgensen,op. cit., note 11, p. 5.
Martin, Skea,op. cit., note 44,. p. 75.
Ibid. p. 75.
J. P. de Greve, A. Frijdal, Evaluation of scientific research prolife analysis — a mixed method,Higher Education Management, 1 (1989) 83–90.
Kostoff,op. cit., note 12The Handbook of Research Impact Assessment (Fifth Edition), DTIC Report Number ADA296021, 1995. p. 9.
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Martin, B.R. The use of multiple indicators in the assessment of basic research. Scientometrics 36, 343–362 (1996). https://doi.org/10.1007/BF02129599
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DOI: https://doi.org/10.1007/BF02129599