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Theory of systems change: An initial, middle-range theory of public health research impact 系统变迁理论:关于公共卫生研究影响的一种初步的中等理论
4区 管理学 Q1 INFORMATION SCIENCE & LIBRARY SCIENCE Pub Date : 2023-10-19 DOI: 10.1093/reseval/rvad030
Melinda Craike, Bojana Klepac, Amy Mowle, Therese Riley
Abstract There is increasing attention on evidencing research impact and applying a systems thinking perspective in public health. However, there is limited understanding of the extent to which and how public health research that applies a systems thinking perspective contributes to changes in system behaviour and improved population health outcomes. This paper addresses the theoretical limitations of research impact, theory-based evaluation and systems thinking, by drawing on their respective literature to develop an initial, middle-range Theory of Systems Change, focused on the contribution of public health research that takes a systems perspective on population health outcomes. The Theory of Systems Change was developed through four phases: (1) Preliminary activities, (2) Theory development, (3) Scripting into images, and (4) Examining against Merton’s criteria. The primary propositions are: that well-functioning systems create the conditions for improved population health outcomes; the inter-related properties of, and practices within, well-functioning systems include adaptation, alignment, collaboration and evidence-driven action and learning; and public health research contributes to population health outcomes by embedding capacity in the system. The Theory of Systems Change can guide researchers in developing project-specific theories of change and creates the theoretical architecture for the accumulation of learning. The Theory of Systems Change is necessarily incomplete and an initial attempt to develop a theory to be scrutinized and tested. Ultimately, it seeks to advance theory and provide evidence-based guidance to maximize the contribution of research. We provide examples of how we have applied the Theory of Systems Change to Pathways in Place.
证据研究的影响和系统思维视角在公共卫生领域的应用越来越受到关注。然而,对于应用系统思维视角的公共卫生研究在多大程度上以及如何有助于改变系统行为和改善人口健康结果,人们的理解有限。本文解决了研究影响、基于理论的评估和系统思维的理论局限性,通过借鉴各自的文献,发展了一个初步的、中等范围的系统变化理论,重点关注公共卫生研究的贡献,从系统的角度来看待人口健康结果。系统变化理论的发展经历了四个阶段:(1)初步活动,(2)理论发展,(3)脚本化为图像,(4)根据默顿标准进行检验。主要主张是:运作良好的系统为改善人口健康结果创造条件;运转良好的系统的相互关联特性和内部实践包括适应、协调、协作以及循证行动和学习;公共卫生研究通过在系统中嵌入能力来促进人口健康结果。系统变化理论可以指导研究人员发展特定项目的变化理论,并为学习积累创造理论架构。系统变化理论必然是不完整的,它是发展一种有待仔细审查和检验的理论的初步尝试。最终,它寻求推进理论并提供基于证据的指导,以最大限度地发挥研究的贡献。我们提供了如何将系统变化理论应用于路径的例子。
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引用次数: 1
The effect of applied research institutes on invention: Evidence from the Fraunhofer centres in Europe 应用研究机构对发明的影响:来自欧洲弗劳恩霍夫中心的证据
4区 管理学 Q1 INFORMATION SCIENCE & LIBRARY SCIENCE Pub Date : 2023-10-13 DOI: 10.1093/reseval/rvad028
Pedro Llanos-Paredes
Abstract This study examines the impact of the Fraunhofer Society, Europe’s largest network of applied research institutes, on patent applications. A difference-in-differences strategy was employed exploiting the establishment of five new Fraunhofer centres in the 2000s. The panel includes 65,963 European applicants (both firms and independent inventors) between 1980 and 2019. The results show that establishing a centre increases patent output by at least 13%, robust to using applicants of cities that established a centre by the end of the 2010s as an alternative control group. The effect is driven by an increase in applicants’ productivity and not by agglomeration dynamics.
摘要本研究考察了欧洲最大的应用研究机构网络弗劳恩霍夫学会对专利申请的影响。在2000年代建立了五个新的弗劳恩霍夫中心,采用了差异中的差异策略。该小组包括1980年至2019年期间的65963名欧洲申请人(包括公司和独立发明家)。结果表明,在2010年代末建立中心的城市的申请人作为替代对照组,建立中心至少增加了13%的专利产出。这种效应是由申请人生产力的提高而不是由集聚动力驱动的。
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引用次数: 0
Research impact seen from the user side 从用户角度看研究影响
4区 管理学 Q1 INFORMATION SCIENCE & LIBRARY SCIENCE Pub Date : 2023-09-27 DOI: 10.1093/reseval/rvad027
Richard Woolley, Jordi Molas-Gallart
Abstract Impact assessment research has developed theory-based approaches to trace the societal impact of scientific research. Impact assessment typically starts from the perspective of a research investment, organization, or project. Research users, non-academic actors involved in knowledge production, translation, and application, are well represented in many of these approaches. Researcher users are usually positioned as contributors to research, recipients of research outputs, or beneficiaries of research-driven outcomes. This paper argues that impact assessment would benefit from a more comprehensive understanding and analysis of research valorization processes from the user perspective. The first half of the paper reviews key impact assessment literature to identify how research users are positioned and portrayed in relation to valorization processes. In the second half of the paper, we use the results of this review to propose a set of principles to guide a systematic approach to constructing user perspectives on research impact. We suggest four concepts for operationalization of this approach. The paper concludes that the addition of a more comprehensive research user perspective on research valorization would complement and enhance existing impact assessment approaches.
影响评估研究发展了基于理论的方法来追踪科学研究的社会影响。影响评估通常从研究投资、组织或项目的角度开始。研究用户,参与知识生产、翻译和应用的非学术参与者,在许多这些方法中都有很好的代表。研究者用户通常被定位为研究的贡献者、研究产出的接受者或研究驱动成果的受益者。本文认为,从用户的角度对研究价值增值过程进行更全面的理解和分析将有利于影响评估。本文的前半部分回顾了关键的影响评估文献,以确定研究用户如何定位和描绘与价值增值过程有关。在论文的后半部分,我们利用这篇综述的结果提出了一套原则,以指导系统的方法来构建研究影响的用户视角。我们为这一方法的实施提出了四个概念。本文的结论是,增加一个更全面的研究用户对研究价值的看法将补充和加强现有的影响评估方法。
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引用次数: 0
Aggregate level research governance effects on particle physics: A comparative analysis 粒子物理学的综合水平研究治理效应:比较分析
4区 管理学 Q1 INFORMATION SCIENCE & LIBRARY SCIENCE Pub Date : 2023-09-27 DOI: 10.1093/reseval/rvad025
Mayra M Tirado, Maria Nedeva, Duncan A Thomas
Abstract This paper contributes to understanding the effects of research governance on global scientific fields. Using a highly selective comparative analysis of four national governance contexts, we explore how governance arrangements influence the dynamics of global research fields. Our study provides insights into second-level governance effects, moving beyond previous studies focusing primarily on effects on research organizations rooted in national contexts. Rather than study over 100 countries across which our selected CERN-based particle physics global research field operates, we explore conditions for changing the dynamics of global research fields and examine mechanisms through which change may occur. We predict then minimal effects on the epistemic choices and research practices of members of the four local knowledge networks despite variations in governance arrangements, and hence no second-level effects. We assert a research field’s independence from governance depends on its characteristics and the relative importance to researchers of research quality notions. This paper contributes methodologically and has practical implications for policymakers. It suggests governance arrangements affect the epistemic choices and research practices of the local knowledge networks only when certain conditions are met. Policymakers should consider the context and characteristics of a field when designing governance arrangements and policy.
本文有助于理解研究治理对全球科学领域的影响。通过对四个国家治理背景的高度选择性比较分析,我们探讨了治理安排如何影响全球研究领域的动态。我们的研究提供了对第二级治理效应的见解,超越了以往主要关注植根于国家背景的研究机构的影响的研究。我们不是研究我们选择的基于cern的粒子物理全球研究领域运作的100多个国家,而是探索改变全球研究领域动态的条件,并研究可能发生变化的机制。我们预测,尽管治理安排存在差异,但对四个地方知识网络成员的认知选择和研究实践的影响最小,因此没有第二级效应。我们认为,一个研究领域是否独立于治理取决于它的特点和研究质量观念对研究人员的相对重要性。本文在方法上有所贡献,对政策制定者具有实际意义。研究表明,只有在满足一定条件的情况下,治理安排才会影响地方知识网络的认知选择和研究实践。决策者在设计治理安排和政策时应该考虑一个领域的背景和特征。
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引用次数: 0
Warnings of declining research productivity: Does Italy buck the trend? 科研生产力下降的警告:意大利能逆势而上吗?
4区 管理学 Q1 INFORMATION SCIENCE & LIBRARY SCIENCE Pub Date : 2023-09-17 DOI: 10.1093/reseval/rvad026
Giovanni Abramo, Ciriaco Andrea D’Angelo
Abstract The paper takes a scientometric approach to measure the change in research productivity of Italian academics before the COVID-19 pandemic outbreak. We propose a composite output/input bibliometric indicator and apply it at the field level, conducting a longitudinal analysis. Although the number of academics in the national academic system has decreased, we register very strong growth in both the number of publications and their scholarly impact. The growth in productivity, with only rare exceptions, crosses almost all fields. However, in areas that are traditionally very internationalized (Biology, Physics, and Chemistry), growth is less sustained than overall average, and also the variability of productivity across fields seems reduced. The main reason for this detail would be the smaller margins for improvement in the fields that had already reached high international standing. What emerges from the analysis goes counter to some alarms of declining scientific productivity at the global level. The Italian case is partly explained by the historic adoption of policies aimed at strengthening competitive mechanisms, in particular through the introduction of systems of performance-based research funding, and bibliometric accreditation for professorship.
摘要本文采用科学计量学方法,对新冠肺炎疫情爆发前意大利学术界科研生产力的变化进行了测算。我们提出了一个复合的输出/输入文献计量指标,并将其应用于实地水平,进行纵向分析。虽然国家学术体系中的学者数量减少了,但我们发现,在出版物数量和学术影响方面,他们都有了非常强劲的增长。生产率的增长几乎遍及所有领域,只有极少数例外。然而,在传统上非常国际化的领域(生物、物理和化学),增长的可持续性低于整体平均水平,而且各领域生产率的可变性似乎也有所降低。这一细节的主要原因是,在已经达到很高国际地位的领域,改进的余地较小。从分析中得出的结论与全球科学生产力下降的一些警告背道而驰。意大利之所以出现这种情况,部分原因在于该国历史性地采取了旨在加强竞争机制的政策,特别是通过引入基于绩效的研究经费制度和对教授职位进行文献计量学认证。
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引用次数: 0
Do funding modes matter? A multilevel analysis of funding allocation mechanisms on university research performance 融资模式重要吗?高校科研经费分配机制对科研绩效的多层次分析
4区 管理学 Q1 INFORMATION SCIENCE & LIBRARY SCIENCE Pub Date : 2023-09-04 DOI: 10.1093/reseval/rvad023
Thomas Zacharewicz, Noemi Pulido Pavón, Luis Antonio Palma Martos, Benedetto Lepori
Abstract Over the last decades, most EU countries have profoundly reshaped their public research funding systems by shifting from traditional institutional block-funding towards more project-based mechanisms. The main rationale underlying this evolution builds on the assumption that project funding would foster research performance through the introduction of competitive allocation mechanisms. In contrast with the general increase of project funding, evidence is mixed regarding a positive effect of competitive funding mechanisms on research performance, as some studies find a positive impact, other a negative one or no impact. Differences also appear across studies regarding research actors, funding streams, and research outputs considered. This article integrates these different approaches through a multilevel design gathering funding inputs for 10 countries and 148 universities between 2011 and 2019 and assesses their impact on the quantity and quality of publications. Results highlight no impact of national and university-level competitive funding mechanisms on universities highly cited publications and no clear effect on the quantity of publications.
在过去的几十年里,大多数欧盟国家已经深刻地重塑了他们的公共研究资助体系,从传统的机构块资助转向更多的基于项目的机制。这一演变背后的基本原理建立在这样一个假设之上,即项目资助将通过引入竞争性分配机制来促进研究绩效。与项目资助的普遍增加相比,关于竞争性资助机制对研究绩效的积极影响的证据是混合的,因为一些研究发现了积极的影响,其他研究发现了消极的影响或没有影响。在研究参与者、资金流和研究产出方面,研究之间也存在差异。本文通过多层设计整合了这些不同的方法,收集了2011年至2019年期间10个国家和148所大学的资金投入,并评估了它们对出版物数量和质量的影响。结果表明,国家级和校级竞争性资助机制对高校高被引出版物没有影响,对出版物数量也没有明显影响。
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引用次数: 0
How unpredictable is research impact? Evidence from the UK’s Research Excellence Framework 研究的影响有多不可预测?来自英国卓越研究框架的证据
IF 3.3 4区 管理学 Q1 INFORMATION SCIENCE & LIBRARY SCIENCE Pub Date : 2023-07-14 DOI: 10.1093/reseval/rvad019
O. Yaqub, D. Malkov, Josh Siepel
Although ex post evaluation of impact is increasingly common, the extent to which research impacts emerge largely as anticipated by researchers, or as the result of serendipitous and unpredictable processes, is not well understood. In this article, we explore whether predictions of impact made at the funding stage align with realized impact, using data from the UK’s Research Excellence Framework (REF). We exploit REF impact cases traced back to research funding applications, as a dataset of 2,194 case–grant pairs, to compare impact topics with funder remits. For 209 of those pairs, we directly compare their descriptions of ex ante and ex post impact. We find that impact claims in these case–grant pairs are often congruent with each other, with 76% showing alignment between anticipated impact at funding stage and the eventual claimed impact in the REF. Co-production of research, often perceived as a model for impactful research, was a feature of just over half of our cases. Our results show that, contrary to other preliminary studies of the REF, impact appears to be broadly predictable, although unpredictability remains important. We suggest that co-production is a reasonably good mechanism for addressing the balance of predictable and unpredictable impact outcomes.
尽管影响的事后评估越来越普遍,但研究影响在多大程度上如研究人员所预期的那样出现,或者是偶然和不可预测过程的结果,人们还不太清楚。在这篇文章中,我们使用英国卓越研究框架(REF)的数据,探讨了在资助阶段对影响的预测是否与实现的影响一致。我们利用可追溯到研究资助申请的REF影响案例,作为2194个案例-资助配对的数据集,将影响主题与资助者汇款进行比较。对于其中209对,我们直接比较了它们对事前和事后影响的描述。我们发现,在这些案例中,影响索赔-拨款对往往是一致的,76%的案例显示,在资助阶段的预期影响与REF中最终索赔的影响之间是一致的。研究的共同生产,通常被视为有影响力研究的模型,是我们一半以上案例的特征。我们的研究结果表明,与REF的其他初步研究相反,尽管不可预测性仍然很重要,但影响似乎是广泛可预测的。我们认为,联合制作是一种相当好的机制,可以解决可预测和不可预测的影响结果之间的平衡。
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引用次数: 0
Turning academics into researchers: The development of National Researcher Categorization Systems in Latin America 从学者到研究人员:拉丁美洲国家研究人员分类系统的发展
IF 3.3 4区 管理学 Q1 INFORMATION SCIENCE & LIBRARY SCIENCE Pub Date : 2023-07-13 DOI: 10.1093/reseval/rvad021
Federico Vasen, N. Sarthou, Silvina A. Romano, Brenda D Gutiérrez, Manuel Pintos
Evaluation procedures play a crucial role in science and technology systems, particularly within academic career structures. This article focuses on an approach to evaluation that has gained prominence in Latin America over the past four decades. This scheme assesses the individual performance of academics based on their academic activities and outputs and assigns them a ‘researcher category’, which carries prestige and, in many cases, additional monthly rewards. Initially implemented in higher education contexts with limited research focus, these systems aimed to bolster knowledge production by involving more academics in research. In this study, we define National Researcher Categorization Systems (NRCSs) and distinguish them from other evaluation systems. Subsequently, we present a comparative analysis of NRCSs in seven countries, identifying common trends. Additionally, we discuss categorization systems within the broader context of strategies employed to incentivize academic research, and we explore the potential structural effects that arise when NRCSs assume a central role in a science system. Through our research, we have identified a family of systems in five countries (Mexico, Argentina, Uruguay, Paraguay, and Panama) that share a common history and structure. Furthermore, we emphasize that NRCSs may reinforce a traditional model of the academic researcher, potentially impeding the development of professional profiles aligned with research directed toward social objectives. In summary, our study sheds light on NRCSs, providing insights into their nature, comparative analysis across countries, and implications within the broader academic research landscape.
评价程序在科学和技术系统中起着至关重要的作用,特别是在学术职业结构中。本文重点介绍了过去四十年来在拉丁美洲获得突出地位的一种评估方法。该计划根据学者的学术活动和产出评估他们的个人表现,并给他们分配一个“研究人员类别”,这一类别具有声望,在许多情况下,还会获得额外的每月奖励。这些系统最初是在研究重点有限的高等教育背景下实施的,旨在通过让更多的学者参与研究来促进知识生产。在本研究中,我们定义了国家研究人员分类系统(NRCSs),并将其与其他评价系统区分开来。随后,我们对七个国家的nrcs进行了比较分析,确定了共同趋势。此外,我们在激励学术研究的策略的更广泛背景下讨论了分类系统,并探讨了当nrcs在科学系统中发挥核心作用时产生的潜在结构效应。通过我们的研究,我们已经确定了五个国家(墨西哥、阿根廷、乌拉圭、巴拉圭和巴拿马)的一个系统家族,它们具有共同的历史和结构。此外,我们强调,nrcs可能会强化学术研究者的传统模式,潜在地阻碍与面向社会目标的研究相一致的专业概况的发展。总之,我们的研究揭示了nrcs,提供了对其性质的见解,跨国家的比较分析,以及在更广泛的学术研究领域的影响。
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引用次数: 0
Can journal reviewers dependably assess rigour, significance, and originality in theoretical papers? Evidence from physics 期刊审稿人能否可靠地评估理论论文的严谨性、重要性和原创性?来自物理学的证据
IF 3.3 4区 管理学 Q1 INFORMATION SCIENCE & LIBRARY SCIENCE Pub Date : 2023-06-30 DOI: 10.1093/reseval/rvad018
M. Thelwall, J. Hołyst
Peer review is a key gatekeeper for academic journals, attempting to block inadequate submissions or correcting them to a publishable standard, as well as improving those that are already satisfactory. The three key aspects of research quality are rigour, significance, and originality but no prior study has assessed whether journal reviewers are ever able to judge these effectively. In response, this article compares reviewer scores for these aspects for theoretical articles in the SciPost Physics journal. It also compares them with Italian research assessment exercise physics reviewer agreement scores. SciPost Physics theoretical articles give a nearly ideal case: a theoretical aspect of a mature science, for which suitable reviewers might comprehend the entire paper. Nevertheless, intraclass correlations between the first two reviewers for the three core quality scores were similar and moderate, 0.36 (originality), 0.39 (significance), and 0.40 (rigour), so there is no aspect that different reviewers are consistent about. Differences tended to be small, with 86% of scores agreeing or differing by 1 on a 6-point scale. Individual reviewers were most likely to give similar scores for significance and originality (Spearman 0.63), and least likely to for originality and validity (Spearman 0.38). Whilst a lack of norm referencing is probably the biggest reason for differences between reviewers, others include differing background knowledge, understanding, and beliefs about valid assumptions. The moderate agreement between reviewers on the core aspects of scientific quality, including rigour, in a nearly ideal case is concerning for the security of the wider academic record.
同行评审是学术期刊的关键看门人,试图阻止不充分的投稿或将其更正为可发表的标准,并改进那些已经令人满意的投稿。研究质量的三个关键方面是严谨性、重要性和独创性,但之前没有任何研究评估期刊评审员是否能够有效地判断这些方面。作为回应,本文比较了《科学邮报物理》杂志上理论文章的审稿人在这些方面的得分。它还将它们与意大利研究评估演习物理评审员的一致性分数进行了比较。SciPost物理学的理论文章给出了一个近乎理想的案例:一门成熟科学的理论方面,合适的审稿人可能会理解整篇论文。然而,前两位评审员对三个核心质量分数的组内相关性相似且中等,分别为0.36(原创性)、0.39(显著性)和0.40(严谨性),因此不同评审员在这方面没有一致性。差异往往很小,在6分制中,86%的分数一致或相差1分。个体评论者在显著性和独创性方面最有可能给出相似的分数(Spearman 0.63),在独创性和有效性方面最不可能给出类似的分数(斯皮尔曼0.38)。虽然缺乏规范参考可能是评论者之间存在差异的最大原因,但其他因素包括背景知识、理解和对有效假设的信念不同。在几乎理想的情况下,评审员之间在科学质量的核心方面(包括严谨性)达成了适度的一致,这关系到更广泛学术记录的安全。
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引用次数: 0
The forms of societal interaction in the social sciences, humanities and arts: Below the tip of the iceberg 社会科学、人文科学和艺术中的社会互动形式:冰山一角之下
IF 3.3 4区 管理学 Q1 INFORMATION SCIENCE & LIBRARY SCIENCE Pub Date : 2023-06-01 DOI: 10.1093/reseval/rvad016
E. Giménez-Toledo, Julia Olmos-Peñuela, Elena Castro-Martínez, François Perruchas
Science policymakers are devoting increasing attention to enhancing the social valorization of scientific knowledge. Since 2010, several international evaluation initiatives have been implemented to assess knowledge transfer and exchange practices and the societal impacts of research. Analysis of these initiatives would allow investigation of the different knowledge transfer and exchange channels and their effects on society and how their effects could be evaluated and boosted. The present study analyses the transfer sexenio programme, which is a first (pilot) assessment that was conducted in Spain to evaluate the engagement of individual researchers in knowledge transfer to and knowledge exchange with non-academic stakeholders, including professionals and society at large. The breadth of the information and supporting documentation available (more than 16,000 applications and 81,000 contributions) allows an exploration of knowledge valorization practices in terms of the transfer forms used and the researchers involved—distinguishing between the Science, Technology, Engineering and Mathematics (STEM) and Social Sciences, Humanities and Arts (SSHA) areas. By focusing on SSHA fields, we explore knowledge dissemination via enlightenment or professional outputs. We conduct quantitative and qualitative analysis which provide a more comprehensive overview of knowledge transfer practices in Spain in the SSHA field, in particular, and has implications for future assessment exercises.
科学政策制定者越来越重视提高科学知识的社会价值。自2010年以来,已经实施了若干国际评估举措,以评估知识转移和交流实践以及研究的社会影响。对这些举措的分析将有助于调查不同的知识转移和交流渠道及其对社会的影响,以及如何评价和促进其影响。本研究分析了转移性计划,这是在西班牙进行的第一次(试点)评估,以评估个人研究人员对非学术利益相关者(包括专业人员和整个社会)的知识转移和知识交流的参与程度。可用的信息和支持文件的广度(超过16,000份申请和81,000份贡献)允许在使用的转移形式和涉及的研究人员方面探索知识增值实践-区分科学,技术,工程和数学(STEM)和社会科学,人文和艺术(SSHA)领域。我们聚焦SSHA领域,探索以启蒙或专业输出的方式传播知识。我们进行了定量和定性分析,提供了一个更全面的概述,特别是在西班牙的SSHA领域的知识转移实践,并对未来的评估工作有影响。
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引用次数: 1
期刊
Research Evaluation
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