Evaluating Research: Do Bibliometric Indicators Provide the Best
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EUGENE GARFIELD lNSTITUTE FOR SCIENTIFIC lNFOUMATIONe 3501 MAR KETST PHILADELPHIA PA 191C4 Evaluating Research: Do Bibliornetric Indicators Provide the Best Measures? Number 14 April 3, 1989 In recent months we have reprinted sever- Beginning with an examination of the peer al studies, originally published elsewhere, review system, King goes onto assess vari- involving the use of biblio-scientometric ous bibliometric indicators, including pub- measures to evaluate research. In one such lication counts, citation and co-citation study, Michael R. Hrdperin and Alok K. analysis, journal impact factors, and a newer Chakrabarti, Drexel University, Philadel- method known as co-word analysis. (For phia, examined the relationship between the reasons of space, we have omitted King’s volume of scientific and technical papers discussion of other indicators, such as pa- produced by industrial scientists and the tent analysis, measures of estwm [which in- characteristics of the corporations employ- clude attraction of outside funding, mem- ing them. 1 Another study, by economist bership in professional societies, winning of Arthur M. Diamond, Jr., University of Ne- international prizes, and so on], and input- braska, Omaha, evaluated the role that ci- output studies. ) She concludes by recom- tations play in determining salaries.z And mending continued development of new we recently reprinted an article from the methods, including online techniques for Times Higher Education Supplement publication and citation retrieval. (London) in which I discussed the strengths Discussing citation and co-citation analy- and weaknesses of citation analysis as a mea- sis, King cites various critical assessments sure of research performance in individual of these techniques. Since we have ad- university departments.q dressed many such criticisms on previous From those specific studies, we move to occasions,3$7 I will not do so here. I will a more general discussion by Jean King, simply present King’s paper, which is a then at the Agricultural and Food Research thorough and valuable review. As budgets Council, London, UK, now aftliated with and funding for science come under increas- the Cancer Research Campaign, London. ing scrutiny at rdl levels, it is essential that Her review originally appeared in the Jour- evahtative methods be as accurate, as nal of Inforrrdon Science, sponsored by the balanced, and as appropriately applied as Institute of Information Scientists. The ar- possible. ticle discusses a variety of bibliometric mea- ***** sures and the implications of their use in re- search evahtation.~ King kindly abridged My thanks to Chris King for his help in her paper for publication here. the preparation of this essay. wowN REFERENCES 1. Garffeld E. Measurins R&D productivity through scicntotnetrics. Current Conrems (30):3-9, 25 July 19S8. 2, —. Can researchers bank on citation analysis? Current Gmrents (44):3-12, 3 I October 198S. 3. ——. The impact of citation counts-a UK pxspectiv.. Current Cotients (37):3-5, 12 September 198S. 4, King J. A review of bibliometric and other science indicators and their role in research evaluation. J. inform Sci. 13:261-76, 1987. 5. Garfield E, Can criticism and documentation of research papers be automated? E.mays of an infomwion scientist. Philadelphia 1S1 Press, 1977. Vol. 1, p. 83-%. 6 —----- How to use citation analysis for faculty evaluations, and when is it relevant? Parts 1 & 2. 16id., t9S4. Vol. 6. p. 354-72. 7. ———. Uses and misuses of citation frequemcy. Ibid., 19S6. Vol. 8. p. 403-9. 93 A review of bibliometric and other science indicators and their role in research evaluation. Jean King Recent reductions in research budgets have led to the capital intensity of research (e.g. the ‘sophisti- need for greater selectivity in resource atkation. Ma- cation’ factor; the growth of ‘Big Science’); ex- Surcs of past pzrfomszncc are stilt snwng the most prOm- panding objectives and opportunities, with msmy ising mans of deciding between competing interests. new fields emerging; an increase in collaborative, B!bhometry, the measurement of scientific publications often multidisciplinary, research projects which and of their impact on the scicnti conrrnuni ty, assessed by the citations they attmct, provides a portfolio of in- require coordination; a coateacence of basic and dicators that can bc combined to give a useful picture applid research, with much research now of a of recent research actwiry, fn this stateaf-tk-arl review strategic mfure (i.e. long-terns basic research un- the vsrious methodologiesthst hsve been developed sre dertaken with fairly specific applications in view); outlined in terms of their strengths, weaknessessnd P- finally, economic constraints require choices to ttcular applications. The present limitations of science be made between different disciplines, fields and mdicafors in research evaluation are considered and research proposafs. 1The peer review process has some future directions for developnwm in techniques thus come under increasing pressure. are suggested. 1. Introduction 3. The peer review system In recent years policy makers and research The peer review system has been criticized on managers have become increasingly interested in several counts: the tssc of indicator-s of scientific output. The back- (1) The partiality of peers is an increasing prob ground to this development is considered, and in lem as the concentration of research facilities in Sections 2 and 3, the need for accountability and fewer, larger centres makes peers with no vested the current pressures on the peer review process interest in the review increasingly diffietdt to fid. are outfined. The types of bibliometric indicators (2) The ‘old Lmy’network often results in older, that may have vafue in assessment studies are re- entrenchd fields receiving greater recognition viewed in Section 4, ranging from weffdcctsme.rrt- than new, emerging areas of research, whife de- ed and widely applied approaches such as publi- clining fields may be protected out of a sense of cation counting, citation frequency analysis and loyalty to colleagues. Thus the peer review pro- co-citation mapping, to less-well-known methods cess may often be ineffective as a mechanism for such as journal-weighted citation analysis ad eo- restructuring scientific activity. word mapping. Directions for frshsre research are (3) The ‘Mo’ effect may restdt in a greater fike- suggested that may lead to more widely applicable Iihood of fmschng for more ‘visible’ scientists and and more routinely available indkwors of scien- for higher status departments or institutes. tific performance. (4) Reviewers often have quite different ideas abut what aspects of the research they are assess- ing, what criteria they should use and how these 2. Accountability in scienee should be interpreted. The review itself may vary Prior to the 1%0’s, funding for scientific re- from a brief assessment by post to site visits by search in the UK was relatively unrestricted, Re- panels of reviewers. sources were allocated largely on the basis of in- (5) The peer review process assurncs that a high ternal scientific criteria (criteria generated from level of agreement exists among scientists about within the scientific tield concerned), which were what constitutes good quafity work, who is doing evafuated by the peer review process. Various fac- it and where promising lines of enquiry lie, art tors have resulted in a need for greater selectivi- assumption that may not hold in newer ty in the allocation of ftrnds: an increase in the specialities. Abndsed verwo” of an mrick tit cmsmatly appuaj m du Journal oJ/nfomcion Scwnce 135. 1987, pp. 261-76 Repnntrd wrh pemussIon of Ekvier of ElscvIer Fubkbers B.V 94 (6) Resource inputs to the review process, Mb ticle with its acconrparryirrg list of citations has in terms rf administrative costs and of scientists’ always beers the accepted medium by which the time, are considerable but usually ignored. scientific community reports the results of its in- Various studies have addressed these criticisms. vestigations, However, while a publication count For example, art arudysis of National Science gives a measure of the total volume of research Foundation (NSF) review outcomes found little output, it provides no indication as to the quality evidence of bias in favour of eminent researchers of the work performed. or institutiorrs.z However, a later study, in which Other objections include: independently selected panels re-evahsated fund- (1) Informal and formal, non-joumsJ methods ing decisions by NSF reviewers. found a high lev- of communication in science are ignored.7 el of disagreement among peers over the same (2) Publication practices vary across fields and proposals, It concluded that the chances of receiv- between journals. Also, the social and political ing a grant were determined about 50% by the pressures on a group to publish vary according characteristics of the propml and prirtciprd in- to country, to the publication practices of the em- vestigator and 50% by random elements i.e. the ploying institution and to the emphasis placed on ‘luck of the reviewer draw’. 3 The interpretation number of publications for obtaining tenure, pro- of this data has beerr questioned, however, and motion, grants etc. the fact that most disagreement was found in the (3) It is often very difficult to retrieve all the mid-region between acceptance arrd rejection em- papers for a particular field, and to define the phasized. 4 In another study,