A first look at Germany, the UK and Japan
Hanna Hottenrott
TUM School of Management
Technische Universität München
Cornelia Lawson
International Research Fellow of the
Japan Society for the Promotion of Science
July 12
th
2016
Multiple Institutional Affiliations in Academia
• Affiliation to an institution linked to
o identity and prestige (Di Leo, 2003; Long, 1978; Long and McGinnis,
1981; Fox, 1983)
o creates bonds but also exclusion (Di Leo, 2003)
o resource access and research infrastructure (Stephan, 2012)
o collaboration and opportunities (Melin and Persson, 1996)
• Institutional affiliations highly influential in academic culture
• But what about multiple institutional affiliations?
2
Why are affiliations interesting?
3
• Universities want to attract leading talent (assessment / competition)
e.g. Universities in China or Saudia Arabia created special part-time
positions to attract leading foreign scholars (Xin and Normile, 2006;
Bhattacharjee, Y. 2011)
• Researchers want to increase opportunities
e.g. additional resources, visibility, network, option to return to academia
• Side effects of academic employment market
e.g. documented by increase in part-time and fixed term positions amongst
junior academics
Country and field-specific factors may affect the extent and the forms of
multiple affiliations
4
Why do we see multiple affiliations?
• What is the extent of multiple affiliations in
• bioscience, chemistry, engineering, economics/management
• Germany, Japan and the United Kingdom?
• What types of multiple affiliations are most common by
• institution type combination
• institutions’ geographic locations?
• Are publications with multiple affiliated authors different in terms of
impact through
• network
• visibility
• access to resources or
• selection?
5
In this talk
6
Germany, UK and Japan?
Germany Japan UK
Structure Egalitarian ‘Ivy-League’ style Competition
Academic institutions Public universities and
UAS
National, Regional and
Private Universities
Publicly funded and
regulated
Autonomy Low autonomy Low autonomy (but
recent reforms)
Autonomous
Evaluation State-level;
Excellence initiative
National evaluation
system since 2008
National evaluation
system since 1986
Promotion model Habilitation, some
transition to tenure track
In transition to tenure-
track
Tenure
Place of academic
research
Universities and PROs Universities and PROs Universities
Industry research median high low
Internationalisation median low high
• Journal publications (articles, proceedings, book chapters) from web of science
• Making use of the new author institution tag available since 2008
7
Data
• Journals selected based on 2013 journal citation report
• Sorted by eigenfactor score, a rating of journal importance based on the
number of incoming, journal-weighted citations
• Bottom 50% discarded
• Five journals randomly drawn from each quartile of the eigenfactor
distribution for each scientific field
20 journals per field stratified by eigenfactor score
• Manual checking of addresses
• All articles with authors in Germany, Japan or UK
• Period 2008 to 2014 (citations until April 2016)
8
Sample selection
• 29,582 items
• 36,035 authors with at least one address in Germany
• 57,604 with an address in Japan
• 31,648 with an address in the UK
• Semi-manual coding of institutions by type
• Maximum number of addresses observed for one author is seven!
Regression analysis author-based
• co-author count
• funding acknowledgement
• citations received up to April 2016
9
Data
10
CountrySubject No.ofauthors
No.ofauthorswith
multipleaffiliation
Proportion
(%)
Japan
Biology 34,294 1,993 5.81
Chemistry 18,242 1,297 7.11
Engineering 4,273 350 8.19
Economics/Business 796 45 5.65
Germany
Biology 12,180 1,183 9.71
Chemistry 16,034 1,480 9.23
Engineering 5,971 417 6.98
Economics/Business 1,851 367 19.83
UK
Biology 10,317 1,050 10.18
Chemistry 11,069 630 5.69
Engineering 6,355 355 5.59
Economics/Business 3,907 434 11.11
Number of Authors by field, and number of authors with addresses in multiple institutions
(based on author-publication pairs for the years 2008-2014)
11
Share of authors with multiple affiliations
12
Share of articles with multiple affiliation author(s)
13
Affiliations by type of institution (all authors)
Discipline Country Public
univ.
a
Private
univ.
Other
HEI
b
PRO Bus. Gover
nment
NGO Other
Bio
Germany 71.75 0.07 0.72 24.80 4.98 1.35 0.27 0.21
Japan 53.04 16.94 6.22 11.10 14.95 0.84 0.78 0.13
UK 81.73 0.00 0.00 5.68 4.37 2.01 7.57 0.10
Chem Germany 70.53 0.03 0.94 19.08 8.15 4.52 0.81 0.04
Japan 56.16 21.35 5.29 13.01 6.34 0.89 1.13 0.13
UK 87.48 0.00 0.04 1.97 7.06 3.84 0.45 0.17
Engin Germany 53.44 0.00 1.97 23.87 16.65 6.88 1.09 0.02
Japan 52.06 15.15 6.11 13.37 16.57 0.54 0.82 0.21
UK 90.04 0.02 0.02 2.03 5.90 2.91 0.02 0.03
Econ Germany 67.91 6.00 1.51 19.50 4.05 6.92 0.49 0.70
Japan 53.39 29.90 3.77 4.27 2.14 5.90 0.88 0.88
UK 93.06 0.03 0.03 0.36 2.61 0.92 0.82 3.86
a
InthecaseofJapanthiscolumndenotesnationaluniversities.
b
UniversitiesofAppliedSciencesinGermanyandregional(public)universitiesandcollegesinJapan.
14
How international are the multiple affiliations?
Cross-affiliationsamongstauthorswithanaddressinGermany,JapanortheUKasshareof
allauthors
15
16
International vs. Cross-sector?
A – High
International
Low Cross-sector
B – Balanced
C – Low
International
High Cross-sector
DEBio
JPBio
UKBio
DEChem
DEEng
DEEcon/Bus
JPChem
JPEng
JPEcon/Bus
UKChem
UKEng
UKEcon/Bus
10.50
0
0.5
1
Cross-sectoraffiliation
InternationalCross-affiliation
A
C
B
Cross-affiliationsamongstacademicswiththeiruniversityaddressinGermany,JapanortheUK
17
What about impact?
• Measured as the number of citations
• We take the log (plus the unit) to normalise the highly skewed
citation distribution
highly field and year sensitive: we follow Lee et al. (2015)
and consider papers that are in the top 1% (10%) of citations in
their field in each year as papers with high scientific impact
• Only 3,163 authors in our sample are in the top 1%, we therefore
also consider the top 10% as an alternative measure (21,139
articles)
18
Citations per publication
Top1%-citedpaper(in%)
Top10%-citedpaper(in%)
Single-affil Multi-affil Single-affil Multi-affil
Bioscience Germany 4.2 11.8 *** 20.9 37.0 ***
Japan 0.7 3.5 *** 4.5 12.6 ***
UK 5.4 10.9 *** 24.8 39.8 ***
Chemistry Germany 1.9 3.1 ** 19.0 30.0 ***
Japan 0.7 1.2 9.9 23.9
***
UK 2.4 0.9
**
22.0 27.0
**
Engineering Germany 0.6 0.0 11.3 15.4
**
Japan 0.6 1.5 10.1 12.8
UK 1.3 1.8 13.6 18.8
**
Economics Germany 2.1 2.5 18.0 23.9
**
Japan 0.0 0.0 5.4 13.0
**
UK 2.0 5.1 *** 20.4 28.3 ***
19
Citation distributions
Kerneldensityestimatesofthenumberofcitationsbyaffiliationtype
20
What about impact?
• Accounting for other factors explaining citations
• Article level
• Author level
21
Author level
22
Probability to be in top 1%
23
Probability to be in top 10%
24
Probability to be in top 10% by country
Dependent:Top10%cited Japan Germany UK
Domesticmultiaffil
0.038*** (0.013) 0.035** (0.014) 0.010 (0.022)
Internationalmultiaffil
0.061*** (0.011) 0.043** (0.017) 0.026 (0.022)
Reference:Engineering
Bioscience
0.000 (0.048) 0.162** (0.069) 0.128** (0.065)
Chemistry
0.044 (0.034) 0.164*** (0.045) 0.077 (0.057)
Econ/Business
0.048 (0.036) 0.309*** (0.061) 0.264*** (0.058)
Reference:JournalQualityQuadrant1
Quadrant2
-0.088 (0.061) -0.184*** (0.052) -0.151*** (0.038)
Quadrant3
-0.149** (0.067) -0.274*** (0.047) -0.224*** (0.038)
Quadrant4
-0.144** (0.063) -0.246*** (0.049) -0.262*** (0.039)
Authorcount
0.004** (0.002) 0.015*** (0.003) 0.013*** (0.004)
Fundingacknowledgement
0.044*** (0.015) 0.095*** (0.023) 0.124*** (0.036)
N
57604 36035 31648
25
Probability to be in top 10% by country
Dependent:Top10%cited Japan Germany UK
Univ&Univ
0.025*** (0.009) 0.017* (0.010) 0.024 (0.023)
Univ.&Industry
0.034** (0.014) 0.054* (0.028) 0.010 (0.039)
Univ.&PRO/NGO
0.052*** (0.016) 0.052*** (0.013) 0.018 (0.025)
Univ.&Other
0.023 (0.024) -0.002 (0.048) 0.014 (0.037)
Reference:Engineering
Bioscience
-0.000 (0.048) 0.162** (0.070) 0.128** (0.065)
Chemistry
0.044 (0.034) 0.165*** (0.045) 0.077 (0.057)
Econ/Business
0.050 (0.037) 0.309*** (0.062) 0.264*** (0.058)
Reference:JournalQualityQuadrant1
Quadrant2
-0.088 (0.061) -0.185*** (0.052) -0.152*** (0.037)
Quadrant3
-0.149** (0.067) -0.274*** (0.047) -0.224*** (0.038)
Quadrant4
-0.144** (0.064) -0.246*** (0.049) -0.262*** (0.039)
Authorcount
0.004** (0.002) 0.015*** (0.003) 0.013*** (0.004)
Fundingacknowledgement
0.044*** (0.015) 0.096*** (0.023) 0.124*** (0.036)
N
57604 36035 31648
• Multiple affiliations have increased in all fields and countries
• reported by authors on 23% of academic papers in 2014, up from 10% in
2008
• Cross-sector affiliations are higher for Germany and Japan, reflective of the
stronger public research sectors in both countries
• Cross-country affiliations are highest for the UK (UK attractive as international
partner / more international researchers)
• Articles with multiple affiliation authors receive more citations which may be
indicative of their higher impact
• Especially international multi affiliations and
• cross sector and with public research organisations
• No effect for UK author: no additional benefits from affiliations?
26
What’s new?
Improved publication analysis
• Look at full author profile (track record; in and out of multi affil)
• Consider quality/resources of affiliations
Survey of academics in Japan, Germany and UK
• Approx. 2600 academics contacted in each country.
• Questions on multiple affiliations but also on open science and science
collaboration
• Project: http://science-careers.wi.tum.de/science-survey.html
More insights soon!
27
What’s next?
28
Thank you for letting me get
to this slide!
Contact:
Hanna Hottenrott
TUM School of Management
Technische Universität München
hanna.hottenrott@tum.de