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SOCIAL
SCIENCES & HUMANITIES RESEARCH IMPACT INDICATORS
Harry
Hillman Chartrand, FUTURES
©
Contract Report to:
Social
Sciences & Humanities Research Council of Canada
Ottawa, 1980
0.0
Introduction
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.
1.0
DEFINITIONS
SSH Disciplines
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.
SSH
Research
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.
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