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Sustainability of incentives for excellent research — The German case

Author

Listed:
  • Ulrich Schmoch

    (Fraunhofer Institut for Systems and Innovation Research)

  • Torben Schubert

    (Fraunhofer Institut for Systems and Innovation Research
    University of Karlsruhe and Karlsruhe Institute of Technology (KIT))

Abstract

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.

Suggested Citation

  • Ulrich Schmoch & Torben Schubert, 2009. "Sustainability of incentives for excellent research — The German case," Scientometrics, Springer;Akadémiai Kiadó, vol. 81(1), pages 195-218, October.
    • Handle: RePEc:spr:scient:v:81:y:2009:i:1:d:10.1007_s11192-009-2127-y
    DOI: 10.1007/s11192-009-2127-y
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    References listed on IDEAS

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    Cited by:

    1. Ana Rute Cardoso & Paulo Guimarães & Klaus F. Zimmermann, 2010. "Comparing the early research performance of PhD graduates in labor economics in Europe and the USA," Scientometrics, Springer;Akadémiai Kiadó, vol. 84(3), pages 621-637, September.
    2. Alona Zharova & Janine Tellinger-Rice & Wolfgang Karl Härdle, 2018. "How to Measure a Performance of a Collaborative Research Centre," SFB 649 Discussion Papers SFB649DP2018-001, Sonderforschungsbereich 649, Humboldt University, Berlin, Germany.
    3. Schubert, Torben & Kroll, Henning & Chavez, Cecilia Garcia, 2023. "The effects of sustainability orientation on research and teaching efficiency in German universities," Socio-Economic Planning Sciences, Elsevier, vol. 88(C).
    4. Torben Schubert, 2014. "Are there scale economies in scientific production? On the topic of locally increasing returns to scale," Scientometrics, Springer;Akadémiai Kiadó, vol. 99(2), pages 393-408, May.
    5. Grimpe, Christoph, 2012. "Extramural research grants and scientists’ funding strategies: Beggars cannot be choosers?," Research Policy, Elsevier, vol. 41(8), pages 1448-1460.
    6. Alona Zharova & Janine Tellinger-Rice & Wolfgang Karl Härdle, 2018. "How to measure the performance of a Collaborative Research Center," Scientometrics, Springer;Akadémiai Kiadó, vol. 117(2), pages 1023-1040, November.
    7. Bolli, Thomas & Somogyi, Frank, 2011. "Do competitively acquired funds induce universities to increase productivity?," Research Policy, Elsevier, vol. 40(1), pages 136-147, February.
    8. Yang, Guo-liang & Fukuyama, Hirofumi & Song, Yao-yao, 2018. "Measuring the inefficiency of Chinese research universities based on a two-stage network DEA model," Journal of Informetrics, Elsevier, vol. 12(1), pages 10-30.
    9. Robin, Stéphane & Schubert, Torben, 2013. "Cooperation with public research institutions and success in innovation: Evidence from France and Germany," Research Policy, Elsevier, vol. 42(1), pages 149-166.
    10. Fernando Jiménez-Sáez & Jon Mikel Zabala-Iturriagagoitia & Jose Luis Zofío, 2013. "Who leads research productivity growth? Guidelines for R&D policy-makers," Scientometrics, Springer;Akadémiai Kiadó, vol. 94(1), pages 273-303, January.
    11. María-Jesús Luengo-Valderrey & Julián Pando-García & Iñaki Periáñez-Cañadillas & Amparo Cervera-Taulet, 2020. "Analysis of the Impact of the Triple Helix on Sustainable Innovation Targets in Spanish Technology Companies," Sustainability, MDPI, vol. 12(8), pages 1-20, April.
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    13. Brandt, Tasso & Schubert, Torben, 2012. "Is the University Model an Organizational Necessity? Scale and Agglomeration Effects in Science," Papers in Innovation Studies 2012/1, Lund University, CIRCLE - Centre for Innovation Research.
    14. Tasso Brandt & Torben Schubert, 2013. "Is the university model an organizational necessity? Scale and agglomeration effects in science," Scientometrics, Springer;Akadémiai Kiadó, vol. 94(2), pages 541-565, February.
    15. Chiang Kao & Shiang-Tai Liu & Hwei-Lan Pao, 2012. "Assessing improvement in management research in Taiwan," Scientometrics, Springer;Akadémiai Kiadó, vol. 92(1), pages 75-87, July.

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