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SOCIAL SCIENCES & HUMANITIES RESEARCH IMPACT INDICATORS Harry Hillman Chartrand ©
Commissioned Report for: |
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0.1
The
objective of this report is to present a preliminary conceptual schema
to order collection, development and display of an integrated set of
Social Sciences & Humanities (SSH) Research Impact Indicators (RII).
RII are intended to serve as indices of the relative
strengths, weaknesses and changing character of social sciences and
humanities research in Canada.
0.2 The
report provides definition of the progressive impact of SSH
research as embracing three broad, interactive spheres of Canadian
society. Primary Impact
occurs within the research community operating in an environment
composed of universities, colleges and research institutes - academe.
Impact is motivated by the search for knowledge for the sake of
knowledge. Secondary Impact
occurs within the decision-making apparatus of private and public
enterprise - the societal guidance mechanism.
Impact is motivated by the search for knowledge for the sake of
decision. Tertiary Impact
occurs within the aggregate economy and the community as a whole - the
ethos of society. Impact is
motivated by the search for knowledge for both the sake of insight into
oneself and one’s community, and, for the sake of the profits to be
made selling such insight, i.e. commercial distinct from scientific and
technical media.
0.3
The
report proposes an integrated set
of SSH research impact indicators which deal primarily with human
and physical resources, i.e. an economics bias
is present. This bias also
reflects practical limits of available data sources. However, the report
also includes discussion of more abstract, archetypical, ephemeral,
ethereal characteristics of research impact.
Within any sphere of impact RII account for interaction
between the relevant SSH Establishment, its environment, and, the
resulting flow of SSH Research
0.4
In
addition to the main report, six appendices are attached.
Appendix #1 lists SSH disciplines recognized for purposes of
the Social Sciences & Humanities Research Council’s Research
Grants Program. Appendix #2
lists SSH Industries which rely entirely, or to a significant
degree, upon the use and application of social sciences and humanities
knowledge. The list of
SSH Industries has been developed from the Standard Industrial
Classification Manual of Statistics Canada. Appendix #3 lists SSH
Occupations which rely entirely, or to a significant degree, upon the
use and application of social sciences and humanities knowledge.
The list of SSH Occupations has been derived from the
Occupational Classification Manual of Statistics Canada.
0.5
Appendix
#4 provides an up-to-date research bibliography concerning social
sciences and humanities research utilization.
The bibliography has been derived from the computer bibliography
service of the National Library of Canada and other sources.
Appendix #5 provides précis of selected books and articles
concerning SSH Research Impact.
Appendix #6 provides review of published data sources from which
the proposed RII can be developed.
0.6
It
is hoped that the proposed conceptual schema and integrated set of
Research Impact Indicators will assist the Social Sciences &
Humanities Research Council, its officers and Board, in following
changes in the social sciences and humanities, and their component
disciplines, over time, and thereby assist in revealing emerging
strengths and weaknesses in the Canadian system of SSH research, as
they develop.
1.01
A discipline can be considered a generalized theory akin to
a language. A theory, i.e.
a supposition or system of ideas explaining a phenomenon, is generally
couched in certain words and concepts which, when numerous enough,
elevate it to the rank of discipline.
Hence economics is a language of thought that possesses, like all
languages, a vocabulary and rules of syntax.
Rules of syntax differ, to some degree, between the disciplines,
since most pride themselves in particular methodologies
made-to-measure for problems encountered (1).
1.02
The social sciences can be considered a complex of
disciplines concerned with the behavior and interactions of
people and social institutions (2).
The humanities can be considered a complex of disciplines
concerned with modes of expression and interpretation of human thought
and emotion. Together the
social sciences and humanities share a common interest in the human
dimension of reality. Both
are concerned with actual and potential
goals and values for the individual and human communities.
A listing of the social sciences and humanities, recognized for
purposes of the Research Grants Program of the Social Sciences &
Humanities Research Council of Canada, is attached as Appendix #1.
1.03
Social science research can be considered
investigation, according to established rules for performing
observations and testing the soundness of conclusions, regarding the
behavior and interactions of people and social institutions.
Humanities research can be considered as critical study,
interpretation or inquiry, according to generally accepted practice,
regarding modes of expression and interpretation of human thought and
emotion. The substantive
results of SSH research take the form of ideas and insights
1.04
Implicit in the SSH research process is an integral time
dimension. At any point in
time, researchers generate new or collate old facts.
However, over time, such facts coalesce into the assumptions and
theories of established disciplinary knowledge.
In turn, it is this growing body of disciplinary knowledge which
universities, in their teaching function, pass on to students.
Thus, there are distinct flow and stock dimensions
to SSH research .
1.05
Unlike the natural sciences and engineering, where facts,
techniques and/or assumptions can be more readily subjected to rigorous
empirical testing, SSH research results tend to be fundamentally
conditioned by Space/Time (3). Relativity is reflected in a
conservation of existing intellectual capital (4).
Further, controversy exists, in a number of disciplines, concerning the
relevance of research on one culture, or sub-system of it, by social
scientists and humanists of another (5).
1.06
The form of SSH research results relates to the substance of SSH research through the publication process.
Thus the substantive results of SSH research, i.e. new ideas
and insights, tend to become embodied in publications, i.e. articles and
books on paper, electronic or other media.
It is through production, distribution and consumption of
research publications, i.e. the flow of SSH research results,
that new ideas and insights accrue to the stock of SSH
knowledge.
1.07
The substance of a research publication is an idea or set of
ideas, i.e. an abstract, archetypical, ephemeral, ethereal (6) product of
the mind, which forms part of the Quaternary Sector (7)
of the modern economy. In
Marxists economies, the National Accounts record only the activities of
Primary and Secondary Industries. Unlike
Market economies, Marxist nations do not directly record all activities
of Tertiary Industries, e.g. banking
and finance. Increasingly,
however, both types of economies are, de facto, recognizing the
contribution of the Quaternary Sector, i.e. innovative artistic,
cultural, scientific, social and technological products, processes and
services. The Quaternary
Sector embraces the whole spectrum of creation, production,
distribution, consumption and conservation of abstract goods and
services. These include Scientific and Technical Inventiveness,
Excellence in the Arts, Quality of Life, Community Development, National
Unity, Natural Rights of the Environment (8), Excellence in Physical
Culture and other abstract, but highly valued and motivating aspects of
contemporary life.
1.08
Quaternary commodities are highly valued by society.
However, they are not marketed in the conventional sense of the
word. Rather, they must be
transformed through public mechanisms before value-in-exchange
(9) can be created, and thereby, free-riders excluded.
In the time of Shakespeare, for example, the Bard could not stop
publication of his work by publishers who paid nothing for the product
of his genius. In modern
society, creative effort is transformed, and, to a greater or lesser
degree, protected from piracy through Intellectual Property
Legislation. In the natural
sciences and engineering, legislation creates patents and registered
industrial designs. In the
arts, social sciences and humanities, legislation creates copyright and
trade marks.
1.09
Intellectual Property Legislation can be justified as a
protection, and, incentive to human creativity.
In return for this protection, society expects creators will make
their work available to the society as a whole, and, that a market will
be created in which such work can be bought and sold.
But while society wishes to encourage creativity, it does not
wish to foster harmful market power.
Accordingly, society builds in limitations to the rights granted
to the creator. Such limitations embrace both Time and Space.
Rights are granted for a fixed period of time, and, protect only
the fixation of works of human creativity in material form, i.e.
copyright protects the form in which an idea is expressed, not the
idea itself.
1.10
Like other cultural industries, however, it is not just the
revenue flows implicit in copyright which acts as the primary or, often,
even a major incentive, to publication of research in the social
sciences and humanities. Rather, social scientists and humanists are generally
concerned with the question of authorship, i.e. credit for
their contribution to the stock and flow of knowledge, and, thereby
academic or professional status. Accordingly,
copyright, which, in some nations, embodies the moral rights
of the author, provides legal and moral protection from plagiarism.
1.11
International copyright conventions, and their ancillary
protocols, commit most Western, and many Third World countries, to
equal treatment of foreign and domestic authors.
There are two international conventions.
These are the Berne Union and the International Copyright
Convention. Each has a
number of ancillary agreements or protocols.
Historical abstention from the Berne Convention by the United
States permitted exercise of a Manufacturing Clause within the U.S.
Copyright Act. This clause
restricts the importation of manufactured books by American authors, or
permanent residents. Eastern
Bloc countries have failed to ratify any international convention, and,
accordingly, can copy and reproduce books by foreign authors without
paying royalties. Canada’s
recent accession to the Florence Agreement (10), sponsored by UNESCO,
will eliminate duties and other impediments to the international flow of
educational, cultural and scientific commodities, including books.
1.12
The results of SSH research, i.e. new ideas and insights, impact
society in the form of invisible innovations, i.e. amplification,
modification or other change, of cognitive processes and/or by revealing
actual or potential goals and values for the individual and human
communities. Accordingly,
the social sciences and humanities:
(i)n their attempt to describe and
analyze social reality more effectively, ... provide the individual with
a deeper insight into his community and, conversely, contribute to mould
the ways in which the community sees itself.
They modify the interpretation of social realities, and in so doing
become an instrument by which these realities are influenced. (11)
1.13
Implicit in the above are three cumulative orders of impact of
social sciences and humanities research.
Primary Impact occurs within the academic or research community. The research community, which is embraced by the
universities, colleges and affiliated research institutes, has been
traditionally motivated by the search for knowledge for the sake of
knowledge. The strength and
importance of university or academic research lies in the ability of its
practionners to undertake independent fundamental studies that are not
restricted by their immediate applicability in a given situation or
context (12). In addition, university research is the principal means of
training research manpower required in other sectors of the economy
(13).
1.14
Traditionally the universities have played host to the research
community. Three inter-acting forces currently affect the capacity of
the Canadian university to continue playing this role.
First, the traditional provincial focus upon teaching and tying
university funding to student enrolment has resulted in little direct
provincial support to research (14).
Second, the problems of an aging professoriate (15) affects the
research potential of the universities (16). Third, the
decline in university enrolment resulting from changing phases of the
demographic process and a declining university participation rate,
which, in turn, contributes to a decline in university funding and in
openings within the professoriate.
1.15
Secondary Impact occurs within the societal guidance mechanism of
society which requires knowledge and technique for purposes of policy
development and direction.
Policy-makers, within private and public enterprise, are
motivated by the search for knowledge for the sake of decision. In the private sector, SSH research is chiefly used in
organizational planning and marketing activities.
The private sector has tended to borrow selected techniques from
the social sciences. Such techniques include demographic and economic
analysis, opinion polling and surveys, information processing and the
assembly of research data.
Unfortunately, little attention has been paid, in the literature, to the
application of SSH research by the private sector.
Further, no published statistics are currently available
concerning the level or composition of private sector SSH research
activities. In the public
sector, however, SSH research has been the subject of relatively
extensive review and has been increasingly brought to bear in public
policy making. However,
(t)he social sciences cannot be
considered simply as instruments for administrative management; nor is
their policy relevance confined to some residual area of concerns
labeled "social policy".
Of course, the areas of recognized social problems and
interventions is one in which the use and development of social science
knowledge is of central importance; but they also have a contribution to
make in most areas of government policy, not least those concerned with
generation, diffusion and general application of technology (17).
1.16 It is appropriate to consider potential
negative secondary impact of SSH research.
To many observers a threat to society exists in the implicit potential
of SSH research for social control and manipulation.
The threat is mitigated, in the private and public sectors, by
four factors. First there exist fundamental difficulties in transliterating
practical policy problems into terms of the SSH disciplines, i.e. policy
problems rarely correspond to the structures of a single discipline
(18).
Second, the gap between research findings and practical
recommendations often requires assumptions which are either not true,
or, not acceptable to policy makers.
Third, SSH research results involve risks due either to
error or uncertainty concerning the full range of forces acting on the
policy maker. Fourth, policy decisions involve events within a future
timeframe. Research results, however, tend to be based upon known events
of the past or present.
Such research is often a poor basis for decision concerning
future unforeseen events or developments (19).
However, to minimize this threat, some observers propose that a
society should be increasingly concerned with real equality in access to
SSH knowledge and technique (20), i.e. optimize Tertiary Impact.
1.17 However, within the public and private sectors, SSH
knowledge tends to be combined with knowledge from other Disciplines.
This tendency towards interdisciplinary application of SSH knowledge is
reflected in a proliferation of research bodies outside of the
universities and the emergence of hybrid disciplines (21) such as Policy
Sciences and Futures Studies.
The social scientific research system is tending to divide into
functionally different units.
Basic disciplinary research tends to be conducted within universities.
Research concerning specific social or policy problems tends to
be conducted within administrative departments or independent research
centers funded through contract. This development is leading to an increasing separation
between theoretical research and application, with a corresponding
communications gap between the university and administrative research
units. As well, the
increasing use of short-term contracts has, particularly in European
countries, has resulted in job insecurity for many social scientists
(22).
1.18 Further, within the public and private sector, the
social sciences tend to be in competition with natural sciences and
engineering approaches and prescriptions. Technological solutions tend
to reflect a tendency towards social control and manipulation as an
’easy’ solution (23). Such
technological ’fixes’ contrast with the social sciences which can
generally only clarify options in light of current research knowledge
and assumptions.
1.19 Tertiary Impact occurs within society as a whole, and
results in the amplification or modification of the ethos of society,
i.e. the characteristic spirit and beliefs of a community, people or
individual. The concerned
citizen is motivated by the search for knowledge for the sake of insight
into community and his/her own ways of life.
The results of SSH research contribute to a molding of the ways
in which the individual and the community self-perceive.
Further, the results of SSH research contribute to organizational
and institutional change which foster, or discourage, innovation of new
products and processes resulting from research in the health, natural
sciences and engineering.
Thus SSH research is increasingly being called upon, by judicial,
public and private decision-makers, to assess the social impact and
returns from technological innovation (24).
1.20 As noted in paragraph 1.16, to many observers a threat
to society exists in the implicit potential of SSH research for social
control and manipulation, by the public and/or the private sector.
Such potential has tertiary impact in the emergence of serious ethical
questions in the electronic future of the community at large.
By way of example,
... there is the problem posed by
the potential misuse or manipulation of social science knowledge and
"findings"... these dangers ...,in fact, ... become severe only in
conditions of secrecy... The problem of statistical and scientific
analysis of confidential administrative data for purposes of public
enlightenment is however a real one, involving on the one hand the need
for stringent safeguards of personal privacy and anonymity and, on the
other, understanding on the part of the public of the difference between
abstract and quantitative analysis of data on matters of social concern,
and breaches of individual privacy (25).
1.21 Further, SSH research, particularly with respect to its
concern with revealing actual or potential values for the individual and
human community, impacts the emerging social question of societal
direction which is:
... a core issue in today’s
"crisis of civilization" -- the reconciliation of the "two parallel
paths" of human understanding, that of rational empirical science and
that of the inner search via the mind of intuition and creative
imagination (26).
The importance of this synthesis
is not just that it reconciles some old conflicts. It has deep social significance as well.
In the end, societies support the pursuit of knowledge because
that knowledge is useful either useful in terms of generating technology
and "know-how", or in terms of revealing suitable values and goals for
individuals and societies.
Modern society has been learning more and more about how to do
things, and has become less and less sure about what is worth doing.
It is in regard to this matter of regaining our lost sense of
"right" direction that this emerging synthesis is so important (27).
1.22 Tertiary Impact results from the diffusion of SSH
research through two distinct channels.
First, Tertiary Impact is effected through the day-to-day work
and educational activities of the individual citizen.
Second, Tertiary Impact is effected through leisure-time
consumption of popularizations of SSH research in the popular mass
media, e.g. popular magazines like Psychology Today and
television programs such as Bronowski’s Ascent of Man, Clark’s
Civilization and Galbraith’s Age of Uncertainty.
1.23 Recall paragraph 1.13:
"Implicit in the above are three cumulative orders of impact of
social sciences and humanities research."
Accordingly, Primary Impact diffuses into the spheres of
Secondary and Tertiary Impact, i.e. the research community and public
and private enterprise.
Similarly Secondary Impact and Tertiary Impact diffuse into each others
spheres of Impact, and, into the sphere of Primary Impact, i.e. all
three spheres of impact are cumulative, interactive and mutually
reinforcing.
1.24
Unified by development of general systems theory (28), two
distinct trends can be identified within the Social Indicator Movement
(29). First, there is
continuing inquiry concerning development of an integrated set of
social accounts to monitor and measure the holistic state and
performance of society (30).
Second, there is a trend towards specialized, sectoral indicators for
measuring the state and performance of specific sub-systems or sectors
of society (31). In both
trends, human society, or a specialized sector, is perceived as existing
within a variable environmental setting.
Specification of interactions between human society, or a
specialized sector, and its environment, in terms of open-systems
dynamically changing through time, is required.
The relationship between these twin trends is the scientific
measurement of social change:
What we
must have, minimally, are quantitative statements about social
conditions and social processes, repeatedly through time, the
reliability and validity of which are competently assessed and meet
minimal standards. If such
statements - ’social measurements’ can be organized into accounts ... so
much the better. If some
combination of measurements or quantities derived from elementary
magnitudes can be shown to serve a clear interpretative purposes as
’indicators’, so much the better.
As accounting schemes, models of social processes, and indicators
are developed and tested, our idea of what to measure will, of course,
change. But that does not
alter the principle that the basic ingredients are the measurements
themselves (32).
1.25 Social indicators tend to be of two types.
These are:
Output/Flow Indicators and Input/Stock Indicators. The relationship
between types of Indicators is expressed in the following:
Quantitative social indicators
possess both stock (structure) and flow (performance) aspects.
The output indicators are essentially flow-oriented as, for example, are
cognitive or affective skill development in the goal area of basic
education, or the various types of morbidity rates within the goal area
of health. Many of the relevant inputs, on the other hand, have stock
characteristics, such as the educational levels of teachers and the
library facilities for the goal area of basic education... Some inputs,
however, such as the effect of certain morbidity conditions on the
occurrence of other types of morbidity in the goal area of health, could
conceivably be considered flow-oriented.
Essentially, the term ’stock’ and ’flow’ used here are analogous
to the same terms used in economics with respect to the production of
goods and services (flows) by physical and human capital (stocks) (33).
1.26 Recall paragraph 1.04:
"Implicit in the SSH research process is an integral time
dimension. At any point in
time, researchers generate new or collate old facts.
However, over time, such facts coalesce into the assumptions and
theories of established disciplinary knowledge. In turn, it is this growing body of disciplinary knowledge
which universities, in their teaching function, pass on to students.
Thus, there are distinct flow and stock dimensions to SSH
research ."
1.27 Accordingly, Research Impact Indicators (RII) must
account for two stock/flow relationships.
First, RII must account for the stock/input of knowledge from
which research flows/output, and, to which research accrues - the limits
of knowledge. Second, RII
must account of the flow/output of research which results from a
stock/input of SSH physical and human capital which is used to achieve
other SSH objectives, e.g. in the case of the universities, teaching and
community service.
1.28
Recall in paragraph 1.23:
"In both trends, human society, or a specialized sector, is essentially
seen as existing within a variable environmental setting. Specification
of interactions between human society, or a specialized sector, and its
environment, in terms of open-systems dynamically changing through time,
is required."
1.29
Accordingly, RII should account for interactions between SSH
research, considered as a socio-technical sub-system of society and the
turbulent environment in which it functions (34).
This environment embraces primary, secondary and tertiary impact and
includes international, national, regional and local dimensions.
This environment evolves through time and exhibit growth and
decline.
1.30 For purposes of RII, each order of impact is considered
to occur within three distinct but inter-related institutional
environments. Primary
Impact is considered to occur within an environment composed of
universities, colleges and associated/affiliated research institutes,
i.e. the global Canadian research community, including the natural,
engineering and medical sciences.
Secondary Impact is considered to occur within an environment composed
of the decision- making apparatus of private and public sector
enterprise, i.e. the societal guidance mechanism.
Tertiary Impact is considered to occur within an environment composed of
the aggregate economy and society as a whole, i.e. the social ethos.
1.31 Environment, Input and Output RII’s should be time
series exhibiting trends of growth or decline, which, it is generally
accepted and recognized, are best measured by the average annual growth
rate calculated using a restricted least squares technique (35).
1.32 A conceptual schema capable of serving to order
collection, development and display of a set of integrated Social
Sciences and Humanities Research Impact Indicators should take account
of the following:
(1)
The social sciences can be considered a complex of disciplines
concerned with the behavior and interaction of the individual
and social institutions; the humanities
can be considered a complex of disciplines concerned with modes of expression and interpretation
of human thought and emotion.
(2)
SSH research results in invisible innovations, i.e. ideas and
insights, which affect the cognitive processes and perception of actual
and potential goals and values for the individual and human communities.
SSH research results tend to become embodied in
publications.
(3)
SSH research has three orders of impact. Primary Impact
occurs within the research community itself.
The research community has been traditionally motivated by the
search for knowledge for the sake of knowledge.
Secondary impact occurs within the societal guidance mechanism
which requires knowledge and technique for purposes of policy
development and direction. Public and private policy-makers are
motivated by the search for knowledge for the sake of decision.
Tertiary Impact occurs within the economy and society, as a
whole, and results in amplification or modification of the ethos, i.e.
the characteristic spirit and beliefs of a community, people or
individual. The concerned
citizen is motivated by the search for knowledge for the sake of insight
into community and one’s own ways of life.
(4)
Research Impact Indicators (RII.) should account for two stock/flow relationships.
First, RII. must account for the stock/input of knowledge from
which research flows/output, and, to which it accrues - the limits of
knowledge. Second, RII. must take account of the flow of research which results from a
stock/input of SSH physical and human capital also used to achieve
other SSH objectives.
(5)
RII. should account for interactions between SSH research,
considered as a socio-technical sub-system of society, and, the
turbulent environment in which it functions. These environments
include: the global Canadian research community; the Canadian societal
guidance mechanism; and, the Canadian ethos.
Each should, ideally, be viewed at the international, national,
regional and local perspectives. These
environments evolve and change through time and exhibit trends of
growth and decline.
(6)
Environment, Input and Output RII.’s should be time series
exhibiting trends of growth or decline, best measured by the average
annual growth rate.
2.01 Figure 1 provides graphic representation of a
conceptual schema for the collection, development
and display of Social Science & Humanities Research Impact
Indicators. The schema
takes account of the six summary definitions provided in paragraph 1.32.
The proposed conceptual schema should be considered relevant at
the international, national, provincial and local. Further, it should
be considered as if moving through time,
in annual stages, and, exhibiting relative and/or absolute growth and
decline.
2.02 Social Sciences & Humanities
Disciplines are displayed at the left edge of the decision block. Disciplines are grouped into three occupational clusters,
i.e. the Social Sciences,
Professions and Humanities.
Practionners of the Social Sciences, for purposes of Figure 1,
tend, a priori, to work within, or be closely affiliated with,
universities, colleges or research institutes, i.e. sphere of Primary
Impact. Practionners of the Professions tend, a priori, to work
within public and private sector enterprise, i.e. the sphere of
Secondary Impact. Practionners of the Humanities tend, a priori, to work within
universities and colleges and/or through the cultural media, i.e.
spheres of Primary and Tertiary Impact.
Indicators should, ideally, be developed for each and all
disciplines, including sub-sets, e.g. the Social Sciences, Professions
and the Humanities. SSH
researchers can be considered a sub-set of SSH practionners who, in
total, embody the most immediate, receptive but highly heterogenetic
market (36) for the results of SSH research.
2.03
The results of SSH research become embodied, at all three
orders of impact, in social scientific and humanities literature,
including scholarly books and learned journals; in the confidential,
internal research reports of private and public enterprise; and, in the
popular cultural media including broadcasting, books, magazines, and
newspapers. Scholarly
SSH research results tends to be published by specialized, often
university publishers; disseminated through libraries in private and
public enterprise and universities; and, subjected to rigorous peer
review. SSH research conducted by private and public sector
enterprise, generally intended for decision-making, tends to be
published when deemed to serve the purposes of such enterprise. Results of SSH research conducted by the popular media
or non-profit enterprise, generally intended for commercial or
educational use, tends to be published when deemed profitable or in the
public interest. Accordingly SSH research results, at progressively
higher orders of impact, tend to be published at ever decreasing levels
of specificity and subject to decreasing intensity of peer review.
It should be noted that electronic publishing
is an emerging medium for the dissemination of the results of SSH
research.
2.04 Research Impact is displayed, from left to right,
as Primary, Secondary and Tertiary Impact.
Primary Impact is motivated by the search for knowledge for
the sake of knowledge. It
occurs within an environment composed of universities, colleges and
associated/affiliated research institutes, i.e. the global Canadian
research community, including the natural, engineering and medical
sciences. Secondary Impact is motivated by the search for knowledge
for the sake of decision. It occurs within the decision-making apparatus of private and
public enterprise, i.e. the societal guidance mechanism.
Tertiary Impact is motivated by the search for knowledge for
the sake of ethos. It
occurs within the aggregate economy and society, as a whole.
Society is used in a residual, non-economic sense.
It is recognized that society can, and should, be further
sub-divided for purposes of RII. (37).
However, alternative sub-divisions are not proposed in this
preliminary conceptual schema (38).
2.05 Indicators are displayed, from front to rear,
Environment, Input/Stock and Output/Flow.
All three types of RII. are relevant, and should be developed,
at the international, national, regional and local levels.
All three types of RII. are relevant at all three orders of
impact. All RII. should
be considered as time series exhibiting trends of growth and decline
best measured by the average annual growth rate.
2.06 Environment refers to alternative institutional
environments impacted by SSH research.
Primary Impact occurs within the academic or research
community. The research
community functions within an institutional environment composed of
universities, colleges and affiliated research institutes. Secondary Impact
occurs within the societal guidance mechanism of society, i.e. private
and public decision-making apparatus which requires knowledge and
technique for purposes of decision.
Tertiary Impact occurs within the economy and society, as a
whole, and results in amplification or modification of the ethos, i.e.
the characteristic spirit and beliefs of a community, people or
individual.
2.07 Input/Stock and Output/Flow Indicators account for two
stock/flow relationships. First,
RII. must account for the stock/input of knowledge from which research
flows, and, to which it accrues - the limits of knowledge. Second, RII. account for the flow of SSH research,
e.g. projects,
publications, recruitment, revenue and expenditure, from a stock/input
of SSH physical and human capital, i.e. the SSH Establishment
in all three spheres of impact. In
Primary Impact, the SSH Establishment includes administration,
enrolment, teaching and research libraries, laboratories, personnel,
revenue and expenditure. This
stock is also used to achieve other SSH objectives, e.g. teaching
and community service. In
Secondary Impact, the SSH Establishment includes administration,
finance, SSH planning and research units and
SSH related libraries.
In Tertiary Impact, the SSH Establishment includes the
aggregate contribution of the SSH Industries (see Appendix 2) and
the SSH Occupations (see Appendix 3) to the economy and society, as
a whole. Qualitative
indicators, e.g. accounting for frictions inhibiting the flow of
SSH research, should also be developed, for all three spheres of
impact (see Appendix #5 for reviews of many studies concerning frictions
inhibiting the diffusion of SSH research).
2.08 In summary, the proposed conceptual schema provides for
nine distinct, but related, dimensions of SSH research.
First, it allows for three differing, a priori, occupational clusterings of the social sciences and humanities, i.e. Social Sciences,
Professions and Humanities. Second,
the schema provides for three differing spheres of SSH research
impact, i.e. Primary = Scholars, Secondary = Decision- makers, and,
Tertiary = General Public. Third,
the schema provides for indicators of the institutional environment in
which SSH research is conducted, and, the Input/Stock, i.e.
SSH Physical and Human Capital, and Output/Flow, i.e.
SSH Research flowing from the Input/Stock of SSH
Physical Capital.
3.01
In each sphere of impact, RII provide dynamic measurement of:
(i) the environment in
which SSH research takes place; (ii) the size and composition of
the SSH Establishment operating within that environment; and, (iii)
the output of SSH research generated by a given SSH
Establishment.
3.02
Environment Indicators embrace SSH ratios of relevant
environment totals, e.g. SSH Revenue & Expenditure as a
percentage of total university, college & research institute revenue
and expenditure; SSH Personnel and Enrollment as a percentage of
total academic personnel and enrollment; and, SSH Capital Stock,
including library resources, as a percentage of total academic capital
stock.
3.03 Stock/Input or Establishment
Indicators embrace ratios of relevant SSH financing,
personnel, enrollment and capital stock by source of revenue, object of
expenditure, type of personnel or enrollment, and, capital stock
category.
3.04 Flow/Output or Research Flow Indicators
embrace ratios of relevant SSH research financing, research
studies, projects, publications, assessments, policy innovations,
recruitment, graduation and capital stock accumulation by source of
revenue, object of expenditure, type of study, project, publication,
assessment, policy innovation, personnel and graduate status and capital
stock category.
3.05 Primary Impact
Environment (1) SSH Ratios of Relevant Totals for Universities, Colleges,
Research Institutes and Other Education Aggregates
SSH
Stock/Input
(1)
Revenue & Expenditure Ratios
(2)
Personnel & Enrollment Ratios
(3)
Capital Stock Ratios
SSH
Flow/Output
(1)
Research Revenue & Expenditure Ratios
(2)
Awards, Citation & Publication Ratios
(3)
Recruitment & Graduation Ratios
(4)
Capital Accumulation Ratios
3.06 Secondary Impact
Environment
(1) SSH
Ratios of Relevant Totals for Private and Public Sectors
SSH
Stock/Input
(1)
Revenue & Expenditure Ratios
(2)
Personnel Ratios
(3)
Capital Stock Ratios
SSH
Flow/Output
(1)
Research Revenue & Expenditure Ratios (2) Assessment, Citation, Publication, Policy Innovation &
Verdict Ratios
(3)
Recruitment Ratios
(4)
Capital Accumulation Ratios
3.07 Tertiary Impact
Environment
(1) SSH
Ratios of Relevant Totals for Economy and Society
SSH
Stock/Input
(1)
Revenue & Expenditure Ratios
(2)
Personnel & Enrollment Ratios
(3)
Capital Stock Ratios
SSH
Flow/Output
(1)
Research Revenue & Expenditure Ratios
(2)
Comprehension & Popularization
(3)
Recruitment & Graduation Ratios
(4)
Capital Accumulation Ratios
3.08 Proposed RII, at the aggregate SSH level,
can, to a greater or lesser degree, be developed from available
sources reviewed in Appendix #6. Generally,
Primary Impact can be developed more completely that Secondary Impact;
and, in turn, Secondary Impact can be developed more completely than
Tertiary Impact. With respect to Secondary Impact, public sector
indicators can be more completely developed than private sector
indicators, for which there are no currently available Canadian
statistics. With respect to
Tertiary Impact, economic indicators can be more readily developed than
more qualitative social indicators, for which original research would be
required to generate necessary statistical information.
4.01 The
objective of the research contract was to prepare a preliminary
conceptual schema to order collection, development and display of an
integrated set of Social Sciences & Humanities (SSH) Research
Impact Indicators (RII).
RII
are intended to serve as indices of the emerging strengths, weaknesses
and changing character of SSH research in Canada.
4.02 The
report provides definition of the progressive impact of SSH
research as embracing three broad, interactive spheres of Canadian
society. Primary Impact
occurs within the research community which exists in an environment
composed of universities, colleges and research institutes - academe.
Impact is motivated by the search for knowledge for the sake of
knowledge. Secondary Impact occurs within the decision-making
apparatus of private and public enterprise - the societal guidance
mechanism. Impact is
motivated by the search for knowledge for the sake of decision.
Tertiary Impact occurs within the aggregate economy and the
community as a whole - the ethos of society.
Impact is motivated by the search for knowledge for the sake of
insight into oneself and one’s community, and, for the sake of profits
realized in selling such insight, i.e. commercial as distinct from
scientific and technical media.
4.03 The
report proposes an integrated trinary set of SSH research impact
indicators which deal primarily with human and physical resources, i.e.
an economics biasan economics bias is present.
This bias also reflects the practical limits of available data
sources. The report does,
however, present discussion of more abstract, archtypical, ephemeral,
ethereal characteristics of research impact.
Within any of the three spheres of impact RII account for
interaction between the relevant SSH Establishment, its
environment, and, the resulting flow of SSH Research.
4.04 A first approximation
of the proposed RII can be actualized from available data sources.
However, significant gaps exist with respect to two main types of
RII FirstFirst, qualitative indicators require original research and
development to fill an existing lacunae. Original research would include development of awards,
citations, publications, policy assessments, innovations, juridic and
quasi-juridict verdicts and popular media indices of SSH research
impact.
4.05 Second,
private sector Secondary Impact indicators are not currently available.
With three minor modifications, at an unestimated cost, the Annual
Review of Science Statistics survey could provide an acceptable estimate
of private sector SSH activity.
Specifically, the survey explicitly excludes: (i) economic
research, market research and management studies; (ii) design and
drawing not in direct support to natural science R&D; and, (iii)
patent and license work. If
all three categories were collected under separate cover the survey
could provide an acceptable estimate of private sector SSH activity.
4.06 In
summary, the proposed conceptual schema, to order collection,
development and display of an integrated set of Social Sciences &
Humanities (SSH) Research Impact Indicators (RII), can be
actualized, in great part, using published data sources.
The RII could significantly assist the Social Sciences &
Humanities Research Council, its officers and Board, as well as sister
agencies and departments, by revealing emerging strengths, weaknesses
and the changing character of social sciences and humanities research in
Canada.
(1)
Valaskakis, K., "The Eclectics Paradigm: a proposed methodology for
futures studies, Futures, December 1975, 452-3.
(2)
O.E.C.D., Social Sciences in Policy Making, O.E.C.D., Paris, 1979, p.
12.
(3)
ibid, p.18.
(4)
Keynes, J.M., The General Theory of Employment, Interest and Money,
Macmillan, London, 1936 (1967 printing), p.383-4.
(5)
e.g. in economics, see:
Myrdal,
G., Asian Drama: An Inquiry into a the Poverty of Nations, Pantheon,
N.Y., 1968.
Streeten,
P.P., "Social Science Research on Development: Some Problems in the
Transfer of Intellectual Technology", Journal of Economic
Literature, V.12, N.4, 1974, p.1290-1300.
(6)
O.E.C.D., op. cit., p. 16.
(7)
Thompson, G.B., Memo from Mercury: Information Technology is Different,
Institute for Research on Public Policy, Occasional Paper #10, Montreal,
June 1979.
(8)
Valaskakis, K., op.cit. In
a more recent work, Socio-Political Impacts of the Informations Economy,
Valaskakis, K., I. Martin, Gammma, Montreal, draft, October, 1979,
Valaskakis introduces the concept of the Information Information Economy
instead of developing his concept of the quaternary good
metaphor of the article cited. The
Information Economy is estimated to represent 51.7% of U.S. G.N.P.
(9)
Deloria, V., The Metaphysics of Modern Existence, Harper & Row,
N.Y.,1979.
(10)
Garnham, N. "Towards a Political Economy of Culture", New
Universities Quarterly, Summer, 1977.
(11)
Bureau of Management Consultants, Study of the Impact on the Canadian
Book Trade of Ratification of the Florence Agreement and Canadian
Exemption from the Manufacturing Clause of the U.S. Copyright Act,
Secretary of State, Ottawa, October, 1977.
(12)
Fortier, C., Universities and Academic Research at the Crossroads,
Thirteenth Annual Report, 1978-79, Science Council of Canada, Ottawa,
1979, p.42.
(13)
MoSST, Federal Funding of University Research: Major Issues, Ministry of
State for Science & Technology, Ottawa, November, 1979, pp. 2-3.
(14)
Fortier, op. cit., p.32.
(15)
Forecasting Division, The Aging of the Canadian Professoriate: A
Technical Note, Ministry of State for Science & Technology, Ottawa,
August, 1977.
(16)
Fortier, op. cit. p.37.
(17)
O.E.C.D., op. cit., p.16.
(18)
Dror, Y., Ventures in Policy Sciences: Concepts and Applications, Elsvier, NY,1971.
(19)
Mayer, R.R., Social Science and Institutional Change, University of
North
(20)
O.E.C.D., op. cit., p.15.
(21)
Piaget, J., Main Trends in Interdisciplinary Research, Harper Torchbooks,
Toronto, 1970,
"Indeed,
one of the most striking features of the scientific movements of recent
years is the increased number of new branches of knowledge born
precisely from the union of neighbouring fields of study, but in fact
adopting new goals that impact upon the parent sciences and enrich them.
We might speak of a sort of ’hybridization’ between two
fields of study that were originally heterogeneous, but the metaphor is
meaningless unless the term
’hybrid’
is understood not in the meaning it had in classical biology fifty years
ago, when hybrids were thought of as infertile, or at least impure, but
as the ’genetic recombinations’ of contemporary biology, which prove
more balanced and better adapted than pure genotypes, and which are
gradually replacing mutations in our conceptions of the mechanism of
evolution (p.12)."
(22)
O.E.C.D., p.27.
(23)
ibid, p.24.
(24)
Tester, F.J., Social Impact Assessment: Coping with the Context of Our
Times,
(25)
O.E.C.D., op. cit., p. 21.
(26)
Harman, W., "Mind Research & Human Potential, Congressional
Clearinghouse
(27)
ibid, p.3.
(28)
Segal, B, Sociology, Policy Science and Social Policy:
Some Comments on
(29)
Brusegard, D., Social Indicators and Public Policy, mimeo, Social
Sciences &
(30)
Gross, B., The State of the Nation: Social System Accounting, Social
Science
(31)
in the natural science and engineering see:
Terleckyi,
N.E., The State of Science and Research: Some New Indicators, Westview,
Bolder, Colorado, 1977.
N.S.B.,
Science Indicators: 1976, National Science Board, National Science
Foundation, Washington, 1977.
(32)
Duncan, O.D., quoted by E.B. Sheldon, in Federal Statistics: Report of
the
(33)
Henderson, D.W., Social Indicators: A Rationale and Research Framework,
(34)
Emery, F., E. Trist, Towards a Social Ecology, Plenum, London, 1972.
(35)
E.C.C., Staff Papers to the Ninth Annual Review, Annex 1 to Paper #1,
(36)
Futures, The Canadian Cultural Industries, Arts Research Monograph #3,
(37)
Stone, L.O., comments on a paper by E.L. Snider, presented at the
Symposium
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