IDEAS home Printed from https://ideas.repec.org/a/eee/infome/v17y2023i2s1751157723000251.html
   My bibliography  Save this article

Efficiency of universities and research-focused institutions worldwide: The introduction of a new input indicator reflecting institutional staff numbers

Author

Listed:
  • Bornmann, Lutz
  • Gralka, Sabine
  • Anegón, Félix de Moya
  • Wohlrabe, Klaus

Abstract

One of the core indicators in the field of scientometrics is the number of papers published by a unit within a given period. However, such indicators can only be assessed properly by considering the unit's available resources. When evaluating the efficiency of institutions worldwide, the problem concerning the availability of internationally standardized data arises. While on the output side consistent publication indicators are available, these data are frequently not available on the input side. We therefore introduce a new input indicator reflecting the number of unique authors mentioned on the institutions’ papers. To demonstrate the new input indicator, we calculate efficiency scores for more than 3100 institutions from the higher education sector using output and the new indicator. It is the first time that an efficiency analysis is being performed for a multitude of institutions worldwide using a standardized input indicator. We present the results of two analyses: (1) Correlations of the new indicator with available staff numbers for institutions in single countries demonstrate that the numbers are closely related. (2) We utilize the standard data envelopment analysis (DEA) approach and variants. The DEA shows that the Harvard University is the best performing institution (in all years) followed by other institutions from Northern America or Europe. The institutional results correspond to what one knows from international university rankings. The results of both analyses reveal that the new input indicator based on co-authors is suitable for reflecting institutional staff numbers.

Suggested Citation

  • Bornmann, Lutz & Gralka, Sabine & Anegón, Félix de Moya & Wohlrabe, Klaus, 2023. "Efficiency of universities and research-focused institutions worldwide: The introduction of a new input indicator reflecting institutional staff numbers," Journal of Informetrics, Elsevier, vol. 17(2).
    • Handle: RePEc:eee:infome:v:17:y:2023:i:2:s1751157723000251
    DOI: 10.1016/j.joi.2023.101400
    as

    Download full text from publisher

    File URL: http://www.sciencedirect.com/science/article/pii/S1751157723000251
    Download Restriction: Full text for ScienceDirect subscribers only
    File URL: https://libkey.io/10.1016/j.joi.2023.101400?utm_source=ideas
    LibKey link: if access is restricted and if your library uses this service, LibKey will redirect you to where you can use your library subscription to access this item
    ---><---

    As the access to this document is restricted, you may want to search for a different version of it.

    References listed on IDEAS

    as
    1. Benedetto Lepori & Aldo Geuna & Antonietta Mira, 2019. "Scientific output scales with resources. A comparison of US and European universities," PLOS ONE, Public Library of Science, vol. 14(10), pages 1-18, October.
    2. Per Andersen & Niels Christian Petersen, 1993. "A Procedure for Ranking Efficient Units in Data Envelopment Analysis," Management Science, INFORMS, vol. 39(10), pages 1261-1264, October.
    3. Kristof De Witte & Laura López-Torres, 2017. "Efficiency in education: a review of literature and a way forward," Journal of the Operational Research Society, Palgrave Macmillan;The OR Society, vol. 68(4), pages 339-363, April.
    4. Marcel Clermont, 2016. "Effectiveness and efficiency of research in Germany over time: an analysis of German business schools between 2001 and 2009," Scientometrics, Springer;Akadémiai Kiadó, vol. 108(3), pages 1347-1381, September.
    5. Gnewuch, Matthias & Wohlrabe, Klaus, 2018. "Super-efficiency of education institutions: an application to economics departments," EconStor Open Access Articles and Book Chapters, ZBW - Leibniz Information Centre for Economics, vol. 26, pages 610-623.
    6. Gralka, Sabine, 2018. "Stochastic frontier analysis in higher education: A systematic review," CEPIE Working Papers 05/18, Technische Universität Dresden, Center of Public and International Economics (CEPIE).
    7. Léopold Simar & Paul W. Wilson, 1998. "Sensitivity Analysis of Efficiency Scores: How to Bootstrap in Nonparametric Frontier Models," Management Science, INFORMS, vol. 44(1), pages 49-61, January.
    8. Aragon, Y. & Daouia, A. & Thomas-Agnan, C., 2005. "Nonparametric Frontier Estimation: A Conditional Quantile-Based Approach," Econometric Theory, Cambridge University Press, vol. 21(2), pages 358-389, April.
    9. Johnes, Jill, 2006. "Data envelopment analysis and its application to the measurement of efficiency in higher education," Economics of Education Review, Elsevier, vol. 25(3), pages 273-288, June.
    10. Eva M. de la Torre & Tommaso Agasisti & Carmen Perez-Esparrells, 2017. "The relevance of knowledge transfer for universities’ efficiency scores: an empirical approximation on the Spanish public higher education system," Research Evaluation, Oxford University Press, vol. 26(3), pages 211-229.
    11. Cazals, Catherine & Florens, Jean-Pierre & Simar, Leopold, 2002. "Nonparametric frontier estimation: a robust approach," Journal of Econometrics, Elsevier, vol. 106(1), pages 1-25, January.
    12. Tommaso Agasisti & Sabine Gralka, 2019. "The transient and persistent efficiency of Italian and German universities: a stochastic frontier analysis," Applied Economics, Taylor & Francis Journals, vol. 51(46), pages 5012-5030, October.
    13. Klaus Wohlrabe & Félix de Moya Anegon & Lutz Bornmann, 2019. "How Efficiently Do Elite US Universities Produce Highly Cited Papers?," Publications, MDPI, vol. 7(1), pages 1-15, January.
    14. Henk F. Moed & Gali Halevi, 2015. "Multidimensional assessment of scholarly research impact," Journal of the Association for Information Science & Technology, Association for Information Science & Technology, vol. 66(10), pages 1988-2002, October.
    15. Abbott, M. & Doucouliagos, C., 2003. "The efficiency of Australian universities: a data envelopment analysis," Economics of Education Review, Elsevier, vol. 22(1), pages 89-97, February.
    16. Mehdi Rhaiem, 2017. "Measurement and determinants of academic research efficiency: a systematic review of the evidence," Scientometrics, Springer;Akadémiai Kiadó, vol. 110(2), pages 581-615, February.
    17. Dag. W. Aksnes & Gunnar Sivertsen & Thed N. van Leeuwen & Kaja K. Wendt, 2017. "Measuring the productivity of national R&D systems: Challenges in cross-national comparisons of R&D input and publication output indicators," Science and Public Policy, Oxford University Press, vol. 44(2), pages 246-258.
    18. Timothy J. Coelli & D.S. Prasada Rao & Christopher J. O’Donnell & George E. Battese, 2005. "An Introduction to Efficiency and Productivity Analysis," Springer Books, Springer, edition 0, number 978-0-387-25895-9, September.
    19. Diana Hicks & Paul Wouters & Ludo Waltman & Sarah de Rijcke & Ismael Rafols, 2015. "Bibliometrics: The Leiden Manifesto for research metrics," Nature, Nature, vol. 520(7548), pages 429-431, April.
    20. R. D. Banker & A. Charnes & W. W. Cooper, 1984. "Some Models for Estimating Technical and Scale Inefficiencies in Data Envelopment Analysis," Management Science, INFORMS, vol. 30(9), pages 1078-1092, September.
    21. Bolli, Thomas & Olivares, Maria & Bonaccorsi, Andrea & Daraio, Cinzia & Aracil, Adela Garcia & Lepori, Benedetto, 2016. "The differential effects of competitive funding on the production frontier and the efficiency of universities," Economics of Education Review, Elsevier, vol. 52(C), pages 91-104.
    22. Kaare Aagaard & Jesper W. Schneider, 2016. "Research funding and national academic performance: Examination of a Danish success story," Science and Public Policy, Oxford University Press, vol. 43(4), pages 518-531.
    23. Kumbhakar,Subal C. & Lovell,C. A. Knox, 2003. "Stochastic Frontier Analysis," Cambridge Books, Cambridge University Press, number 9780521666633.
    24. BERBEGAL MIRABENT, Jasmina & SOLÉ PARELLADA, Francesc, 2012. "What Are We Measuring When Evaluating Universities’ Efficiency?," Regional and Sectoral Economic Studies, Euro-American Association of Economic Development, vol. 12(3).
    Full references (including those not matched with items on IDEAS)

    Most related items

    These are the items that most often cite the same works as this one and are cited by the same works as this one.
    1. Lutz Bornmann & Sabine Gralka & Félix de Moya Anegón & Klaus Wohlrabe, 2020. "Efficiency of Universities and Research-Focused Institutions Worldwide: An Empirical DEA Investigation Based on Institutional Publication Numbers and Estimated Academic Staff Numbers," CESifo Working Paper Series 8157, CESifo.
    2. Gralka, Sabine, 2018. "Stochastic frontier analysis in higher education: A systematic review," CEPIE Working Papers 05/18, Technische Universität Dresden, Center of Public and International Economics (CEPIE).
    3. Sabine Gralka & Klaus Wohlrabe & Lutz Bornmann, 2018. "How to Measure Research Efficiency in Higher Education? Research Grants vs. Publication Output," CESifo Working Paper Series 7055, CESifo.
    4. Klaus Wohlrabe & Félix de Moya Anegon & Lutz Bornmann, 2019. "How Efficiently Do Elite US Universities Produce Highly Cited Papers?," Publications, MDPI, vol. 7(1), pages 1-15, January.
    5. Marcel Clermont & Julia Schaefer, 2019. "Identification of Outliers in Data Envelopment Analysis," Schmalenbach Business Review, Springer;Schmalenbach-Gesellschaft, vol. 71(4), pages 475-496, October.
    6. Klaus Wohlrabe & Felix de Moya Anegon & Lutz Bornmann, 2018. "How efficiently produce elite US universities highly cited papers? A case study based on input and output data," ifo Working Paper Series 264, ifo Institute - Leibniz Institute for Economic Research at the University of Munich.
    7. Manuel Salas-Velasco, 2020. "Measuring and explaining the production efficiency of Spanish universities using a non-parametric approach and a bootstrapped-truncated regression," Scientometrics, Springer;Akadémiai Kiadó, vol. 122(2), pages 825-846, February.
    8. Heinz Ahn & Marcel Clermont & Julia Langner, 2022. "The impact of selected input and output factors on measuring research efficiency of university research fields: insights from a purpose-, field-, and method-specific perspective," Journal of Business Economics, Springer, vol. 92(8), pages 1303-1335, October.
    9. Mehdi Rhaiem & Nabil Amara, 2020. "Determinants of research efficiency in Canadian business schools: evidence from scholar-level data," Scientometrics, Springer;Akadémiai Kiadó, vol. 125(1), pages 53-99, October.
    10. Gnewuch, Matthias & Wohlrabe, Klaus, 2018. "Super-efficiency of education institutions: an application to economics departments," EconStor Open Access Articles and Book Chapters, ZBW - Leibniz Information Centre for Economics, vol. 26, pages 610-623.
    11. Cristian Barra & Roberto Zotti, 2016. "Measuring Efficiency in Higher Education: An Empirical Study Using a Bootstrapped Data Envelopment Analysis," International Advances in Economic Research, Springer;International Atlantic Economic Society, vol. 22(1), pages 11-33, February.
    12. Klaus Wohlrabe & Sabine Gralka & Lutz Bornmann, 2019. "Zur Effizienz deutscher Universitäten und deren Entwicklung zwischen 2004 und 2015," ifo Schnelldienst, ifo Institute - Leibniz Institute for Economic Research at the University of Munich, vol. 72(21), pages 15-21, November.
    13. Muhammad Dimyati & Adhi Indra Hermanu, 2023. "Evaluating Research Efficiency in Indonesian Higher Education Institution," Evaluation Review, , vol. 47(2), pages 155-181, April.
    14. Amara, Nabil & Rhaiem, Mehdi & Halilem, Norrin, 2020. "Assessing the research efficiency of Canadian scholars in the management field: Evidence from the DEA and fsQCA," Journal of Business Research, Elsevier, vol. 115(C), pages 296-306.
    15. Yolanda Fernández-Santos & Almudena Martínez-Campillo & José Miguel Fernández-Fernández, 2015. "Determinantes de la eficiencia en las universidades públicas españolas: un análisis DEA en dos etapas," Investigaciones de Economía de la Educación volume 10, in: Marta Rahona López & Jennifer Graves (ed.), Investigaciones de Economía de la Educación 10, edition 1, volume 10, chapter 25, pages 491-508, Asociación de Economía de la Educación.
    16. Christian von Hirschhausen & Astrid Cullmann, 2008. "Next Stop: Restructuring?: A Nonparametric Efficiency Analysis of German Public Transport Companies," Discussion Papers of DIW Berlin 831, DIW Berlin, German Institute for Economic Research.
    17. Aparicio, Juan & López-Torres, Laura & Santín, Daniel, 2018. "Economic crisis and public education. A productivity analysis using a Hicks-Moorsteen index," Economic Modelling, Elsevier, vol. 71(C), pages 34-44.
    18. Lars Herberholz & Berthold U. Wigger, 2020. "Efficiency of European Universities: A Comparison of Peers," CESifo Working Paper Series 8044, CESifo.
    19. Samira El Gibari & Trinidad Gómez & Francisco Ruiz, 2022. "Combining reference point based composite indicators with data envelopment analysis: application to the assessment of universities," Scientometrics, Springer;Akadémiai Kiadó, vol. 127(8), pages 4363-4395, August.
    20. Alexandr Gedranovich & Mykhaylo Salnykov, 2012. "Productivity analysis of Belarusian higher education system," BEROC Working Paper Series 16, Belarusian Economic Research and Outreach Center (BEROC).

    More about this item

    Keywords

    Bibliometrics; Efficiency; Data Envelopment Analysis; Universities; Research-focused Institutions; World; Partial frontier analysis;
    All these keywords.

    JEL classification:

    • I21 - Health, Education, and Welfare - - Education - - - Analysis of Education
    • I23 - Health, Education, and Welfare - - Education - - - Higher Education; Research Institutions
    • D61 - Microeconomics - - Welfare Economics - - - Allocative Efficiency; Cost-Benefit Analysis
    • H52 - Public Economics - - National Government Expenditures and Related Policies - - - Government Expenditures and Education

    Statistics

    Access and download statistics

    Corrections

    All material on this site has been provided by the respective publishers and authors. You can help correct errors and omissions. When requesting a correction, please mention this item's handle: RePEc:eee:infome:v:17:y:2023:i:2:s1751157723000251. See general information about how to correct material in RePEc.

    If you have authored this item and are not yet registered with RePEc, we encourage you to do it here. This allows to link your profile to this item. It also allows you to accept potential citations to this item that we are uncertain about.

    If CitEc recognized a bibliographic reference but did not link an item in RePEc to it, you can help with this form .

    If you know of missing items citing this one, you can help us creating those links by adding the relevant references in the same way as above, for each refering item. If you are a registered author of this item, you may also want to check the "citations" tab in your RePEc Author Service profile, as there may be some citations waiting for confirmation.

    For technical questions regarding this item, or to correct its authors, title, abstract, bibliographic or download information, contact: Catherine Liu (email available below). General contact details of provider: http://www.elsevier.com/locate/joi .

    Please note that corrections may take a couple of weeks to filter through the various RePEc services.

    IDEAS is a RePEc service. RePEc uses bibliographic data supplied by the respective publishers.