Parallel session 2 - Wednesday 21 September 2016

1. The “Research Core Dataset” as a standard
for research information
Towards quality-assured and comparable data on research processes
and outputs
OECD Blue Sky Forum, Ghent – 21 September 2016
Dr. Sophie Biesenbender

2. 2The “Research Core Dataset” as a standard for research information
The “Research Core Dataset” (RCD) as a
standard for research information
1. Why standards for research information
(RI)?
2. What makes the German case a
particular one?
3. How to develop RI standards in a
multilevel science system?
4. What are the results of the RCD project
and what comes next?

3. 3The “Research Core Dataset” as a standard for research information
1. Why standards for research
information (RI)?
• research information: information on research
processes (of individuals, departments,
institutions etc.)
 research information ≠ research data
• research information used for institutional
reporting (including to official statistics) and
indicator construction
• RI standards needed
 for research institutions to reduce efforts with the
collection and processing of RI
 to ensure data quality and comparability and to enable
evidence-based policy making

4. 4The “Research Core Dataset” as a standard for research information
2. What makes German case a particular
one?
• collection and processing of RI particularly
fragmented in the German science system
– distributed legislative and regulatory authority for the
governance of research institutions (state and federal
governments)
• new public management (NPM) since the 1980s
– growing autonomy of institutions
– growth of third-party and performance-based funding
– increasing relevance of rankings and need for
transparency

5. 5The “Research Core Dataset” as a standard for research information
2. What makes German case a particular
one?
• increased need for reporting of research
information (in Germany)
– external: rankings, ratings, output-oriented
reporting to ministries and funding
organisations, official statistics, Council of
Science and Humanities, the implementation of
performance-based funding systems
– internal: development of internal governance
processes for evaluation, controlling,
management, communication

6. 6The “Research Core Dataset” as a standard for research information
3. How to develop RI standards in a
multilevel science system?
• developing RI standards in the German
science system requires
– a central (and independent) actor to develop
voluntary RI standards (similar to de-jure
standards)
– RI standards that are established by dominant
use, i.e. a voluntary standard (similar to de-
facto standards)

7. 7The “Research Core Dataset” as a standard for research information
3. How to develop RI standards in a
multilevel science system?
• principles of the RCD
– not a (central) dataset in the strict sense (but
a standard specification for the decentralized
processing of RI)
– does not create new reporting obligations for
research institutions but intended to be used
for existing ones
– development of a “flexible” specification that
can be customized for different reporting
purposes

8. 8The “Research Core Dataset” as a standard for research information
3. How to develop RI standards in a
multilevel science system?
• principles of the RCD project (cont.)
– a carefully designed development process
• involving as many stakeholders as possible
• gradually increasing transparency of the development
process (from closed expert groups to public request
for comments) [process legitimacy]
• open documentation and visualization of the
development process, the discussions and the pros
and cons of single decisions and definitions [output
legitimacy]
• little interference with decentralized RI management
in research institutions

9. 9The “Research Core Dataset” as a standard for research information
4. What are the results of the RCD
project and what comes next?
• RCD specification contains standard definitions for RI on
– employed researchers
– young researchers (including structured doctoral programs)
– third-party funded projects
– patents and spin-offs
– publications
– research infrastructures
• (voluntary) implementation of the RCD standard by
research institutions
• (voluntary) adaptation of information and reporting
requests to the RCD standard
• establishment of a so-called “helpdesk” to facilitate
implementation process

10. 10The “Research Core Dataset” as a standard for research information
Thank you very much for your attention!
Further information:
http://www.kerndatensatz-forschung.de/
Dr. Sophie Biesenbender
German Centre for Higher Education Research and Science
Studies (DZHW)
Schützenstraße 6a | 10117 Berlin | www.dzhw.eu | Germany
eMail: biesenbender@dzhw.eu