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Über dieses Buch

"Mouritzen and Opstrup's book is a most welcome addition to the subject of the management of academic performance. It is certainly well-worth reading and considering."—Bruno S. Frey, Permanent Visiting Professor at the University of Basel and Research Director CREMA - Center for Research in Economics, Management and the Arts, Switzerland
"This superb book should be read by anyone interested higher education evaluation as well as by those who are subjected to it."—Barry Bozeman, Regents' Professor, Arizona Centennial Professor of Technology Policy and Public Management, School of Public Affairs, Arizona State University, USA
"In Performance Management at Universities, Mouritzen and Opstrup definitively answer the question: What are the effects of national university performance-based funding schemes that use bibliometric indicators? The authors marshal comprehensive data on the Danish university system to sift through the many predictions commonly made by academics newly subject to these systems to identify what actually happened to Danish research as the system took hold."—Diana Hicks, Professor, School of Public Policy, Georgia Institute of Technology, USA, and first author on the Leiden Manifesto on research metrics
This book gives an account of what can happen when performance management is introduced at universities. How do scholars – for better or worse – respond to a system which counts the number of articles and books? Many myths exist about scholar’s reactions: They cheat, slice their production to the least publishable unit, become more risk averse and will go for the low-hanging fruits; in short, they develop a “taste for publication” at the cost of a “taste of science”. Systematic knowledge about the consequences of such systems for the motivation, behavior and productivity of university scholars is in short supply. The book is a major contribution to remedy this situation.

Inhaltsverzeichnis

Frontmatter

Introduction

Frontmatter

Chapter 1. Performance Management Strikes Danish Universities

Abstract
This introductory chapter discusses the Bibliometric Research Indicator (BRI) as an example of performance management at universities and the use of performance-based university research funding systems. The chapter describes the background and context of the BRI as well as the goals and expectations behind the system and its main principals, namely the point system which is used to score publications according to type (monograph, journal article, etc.) and level (‘normal level,’ known as Level 1, and ‘high level,’ known as Level 2). Finally, the strength of the financial incentives for individual universities based on the BRI is explained.
Poul Erik Mouritzen, Niels Opstrup

Chapter 2. Design of the Study

Abstract
This chapter presents the analytical scheme and research questions guiding the study of the Bibliometric Research Indicator (BRI). The design, methods and data sources are presented, and different methodological issues are discussed. The analyses are based on quantitative and qualitative data in the form of questionnaires (surveys) and interviews with university employees, from ordinary researchers all the way up to the rector of the university, as well as official documents and different sources of statistical data, among these the BRI database. The study applies pre-intervention and post-intervention measurement with two waves of data collection in 2011 and 2015 as well as variations across organisational units (universities, faculties and departments) and between individual university scholars according to how the BRI has been implemented locally.
Poul Erik Mouritzen, Niels Opstrup

Chapter 3. Trickling Down to the Individual

Abstract
This chapter examines how the BRI is implemented locally at universities. A distinction is made between hard and soft implementation. Hard implementation indicates the extent to which BRI points are used in the distribution of resources while soft implementation refers to other uses of the BRI system as a management tool. The chapter also develops a measure of the extent to which the BRI has reached the individual faculty member. What is evident from these analyses is the existence of considerable differences in the degree of implementation across universities and departments. The implementation variable is obviously one of the major explanatory factors included in most of the subsequent chapters.
Poul Erik Mouritzen, Niels Opstrup

Motivational and Behavioral Effects

Frontmatter

Chapter 4. Incentive Systems Surrounding the Modern Scholar

Abstract
Like other institutions, the institution of science has developed an elaborate system for allocating rewards to those members who live up to its norms. The BRI, meanwhile, can be understood as an externally imposed set of authoritative criteria for what is to be considered ‘good’ publication behaviour, which it attempts to stimulate via economic incentives at the university level. The question is then how this new set of incentives fits and interacts with the norms and traditional incentive systems in academia. Do researchers reject it or follow it—or has the system somehow ‘colonized’ the existing incentives? How large a role does the BRI play for Danish university scholars’ publication decisions compared to other academic ‘incentive systems,’ and to what extent do they perceive the BRI system as controlling or supportive?
Poul Erik Mouritzen, Niels Opstrup

Chapter 5. Gaming the System

Abstract
There are huge differences between universities and even faculties within the same university in terms of how BRI registration is organized. In some places, the process is centralized, others registration. These differences in what might be termed the technical implementation leave room for gaming, i.e. misrepresentation by organizational units and researchers of their scientific production. The central aim of this chapter is to investigate to what extent gaming takes place, how it takes place and whether it is related to the strength of the local incentive system, i.e. the degree of BRI implementation.
Poul Erik Mouritzen, Niels Opstrup

Chapter 6. Strategic Decisions About Research and Publications

Abstract
In this chapter, the focus is on how the research strategies of Danish university researchers have changed since the introduction of the BRI and what effect the local implementation of the BRI system has on university scholars’ research and publication decisions. The use of different ‘counterstrategies’ is also studied, including the use of slicing strategies or so-called salami publication and how such strategies have developed since the BRI was introduced. Overall, the introduction of the BRI system does not seem to have resulted in major changes. However, local implementation seems to matter. The more strongly the BRI is implemented at the department level, the more weight the department’s researchers place on quantity relative to quality. Similarly, stronger implementation is associated with a lower weight on long-term research processes relative to those which can lead to quick publications.
Poul Erik Mouritzen, Niels Opstrup

Chapter 7. For Love or Money?

Abstract
What motivates researchers at Danish universities, to what extent does their current work situation fulfil their expectations of the ideal job and has this has changed since the BRI was introduced? The starting point in this examination is a discussion of the normative structure of science and what factors can be expected to motivate university researchers. There is no evidence that the traditional ‘ethos of science’ as codified in the CUDOS norms has been endangered by the BRI. In general, intrinsic motivational factors are more important than extrinsic factors. However, when it comes to how their current work situation fulfils the preferences Danish researchers have for their ideal job, extrinsic factors seem rather unimportant.
Poul Erik Mouritzen, Niels Opstrup

Chapter 8. From a ‘Taste for Science’ to a ‘Taste for Publications’?

Abstract
This chapter goes deeper into the analysis of how the BRI has affected researchers’ motivation by testing the so-called crowding-out hypothesis. It has been argued that ‘governance by numbers’ and evaluation of research by output control will decrease scholars’ intrinsically motivated curiosity and substitute a ‘taste for science’ with a ‘taste for publications’ (Osterloh in Anal & Krit 2: 276, 2010). Based on both qualitative data and quantitative analysis, there is no evidence that the BRI has changed what motivates Danish university researchers, but the BRI system may cause crowding-out effects with regard to how intrinsically motivated researchers are in their current job and the goodness of fit they experience between their preference for intrinsic motivational factors and how these are fulfilled in their current work situation.
Poul Erik Mouritzen, Niels Opstrup

Chapter 9. Under Pressure?

Abstract
How has the BRI has affected the psychosocial work environment at Danish universities? Has it increased strain on employees? Do Danish university scholars report higher levels of stress? And have they become less satisfied with their work environment? Based on two of the most influential theoretical models in occupational stress research, the Demand-Control model and the Effort-Reward-Imbalance model, it is argued that the BRI can be expected to have both positive and negative effects on the psychosocial work environment and researchers’ level of stress. The latter position is supported by the evidence. The more strongly the BRI is implemented at a department, the less satisfied the researchers are with the psychosocial work environment and the higher the levels of stress they report.
Poul Erik Mouritzen, Niels Opstrup

Chapter 10. Effort Substitution?

Abstract
Has the introduction of the Bibliometric Research Indicator affected the status and priority of other tasks, most notably teaching and knowledge dissemination activities? Based on researchers’ self-reported weekly working hours and how their time allocation has changed, there are no indications of teaching activities being given a lower priority. On the contrary, research time has decreased while time spent on teaching activities has increased. However, these results indicate that efforts to disseminate research results may have been reduced as a consequence of the BRI and how it has been implemented locally.
Poul Erik Mouritzen, Niels Opstrup

Output and Outcomes

Frontmatter

Chapter 11. How Great Expectations on Bredgade Were Dashed at Frue Plads

Abstract
It was expected that research productivity would increase because of the BRI. This chapter examines to what extent this expectation has been met. Productivity did not increase overall, quite the contrary. By one indicator, it was close to constant; and by another, it fell by five per cent. The obvious conclusion is that the BRI did not have its expected effect. This conclusion, however, is not entirely warranted. The BRI did have an effect: the more the BRI was implemented, the more research grew in quantitative terms. In other words, had there not been an indicator to implement, it is likely that research productivity in Denmark would have dropped even more than it did.
Poul Erik Mouritzen, Niels Opstrup

Chapter 12. Publication Profiles

Abstract
This chapter investigates how the publication profile of Danish research has changed since the introduction of the BRI. Monographs and articles published in anthologies have become less common channels for Danish scholars, following a decrease in the status assigned by the BRI to these publication channels. However, the BRI has not been followed by an increase in publication in the most prestigious journals. The more the BRI is implemented locally, the higher the relative share of Level 1 points (as opposed to ‘high level’ Level 2 publications). The chapter also examines the extent to which the BRI led to changes in language. In contrast to what was intended, Danish-language publications are clearly in retreat.
Poul Erik Mouritzen, Niels Opstrup

Chapter 13. The International Impact of Danish Research

Abstract
Whether it was an official goal or merely an expectation among central policymakers that the international impact of Danish research would improve with the introduction of the Bibliometric Research Indicator, it was fulfilled in only one respect: the number of Danish research articles increased considerably from 2009. But it is heroic to attribute this increase to the BRI, since it is almost equivalent to the increase in the number of university researchers—taking into consideration that the profile of research has shifted from books to articles. In all other respects, it is difficult to find evidence that supports these original hopes. In fact, a couple of years after the introduction of the BRI, the impact of Danish research started to fall slightly and consistently.
Poul Erik Mouritzen, Niels Opstrup

Conclusions

Frontmatter

Chapter 14. Havoc or Heaven?

Abstract
This chapter summarizes the study’s findings. An obvious starting point here is the goals and expectations formulated early in the process by the central policymakers. Were they met? The chapter then describes how the BRI trickled down to the individual researcher and how it has started to colonize adjacent incentive systems. The most prevalent myths surrounding the BRI are then addressed in the light of the study’s conclusions. Finally, several cross-cutting conclusions are listed.
Poul Erik Mouritzen, Niels Opstrup

Chapter 15. Lessons from the Study

Abstract
The practical and theoretical lessons from the study are summarized in this chapter. What can policymakers learn from the Danish case? The paradoxes and contradictory goals that may arise when a performance-based research funding system such as the BRI is introduced are discussed. The second set of lessons is those relevant for university management, in particular related to the problems of using systems like the Bibliometric Research Indicator vis-à-vis individuals. The chapter concludes with a short discussion of lessons for future research.
Poul Erik Mouritzen, Niels Opstrup

Backmatter

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