OECD Science, Technology and Industry Working Papers 1997/01 Bibliometric Indicators and Analysis of Research Yoshiko Okubo Systems: Methods and Examples https://dx.doi.org/10.1787/208277770603 General Distribution OCDE/GD(97)41 STI WORKING PAPERS 1997/1 BIBLIOMETRIC INDICATORS AND ANALYSIS OF RESEARCH SYSTEMS: METHODS AND EXAMPLES Yoshiko Okubo ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT Paris 51765 Document complet disponible sur OLIS dans son format d'origine Complete document available on OLIS in its original format STI Working Papers Series This Working Papers Series of the OECD Directorate for Science, Technology and Industry is designed to make available to a wider readership selected studies prepared by staff in the Directorate or by outside consultants working on OECD projects. The papers included in the series are of a technical and analytical nature and deal with issues of data, methodology and empirical analysis in the areas of work of DSTI. The Working Papers are generally available only in their original language – English or French – with a summary in the other. Comment on the papers is invited, and should be sent to Directorate for Science, Technology and Industry, OECD, 2 rue André Pascal, 75775 Paris Cedex 16, France. The opinions expressed in these papers are the full responsibility of the author(s) and do not necessarily reflect those of the OECD or of the governments of its Member countries. Copyright OECD, 1997 Application for permission to reproduce or translate all or part of this publication should be made to: Head of Publications Service, OECD, 2 rue André Pascal, 75775 Paris Cedex 16, France. 2 Bibliometric indicators and analysis of research systems: Methods and examples Yoshiko Okubo* This report – linked to the technical documents of the OECD manuals for the measurement of R&D activities (“Frascati Family”) – presents the essential elements of bibliometrics and its application to the analysis of research systems. Bibliometrics is based on the enumeration and statistical analysis of scientific output in the form of articles, publications, citations, patents and other, more complex indicators. It is an important tool in evaluating research activities, laboratories and scientists, as well as the scientific specialisations and performance of countries. The report, having set the background for the development of bibliometrics, presents the databases on which bibliometrics is built, as well as the principal indicators used. Twenty-five examples are presented at the end of the document, illustrating the various uses of bibliometric methods for analysing research systems. These indicators measure scientific output, by counting the number of papers; the impact of papers on scientific disciplines, by counting the number of co-citations; the extent of international co-operation, as evidenced by joint signatures; the scientific content of patents, etc. * The original version of this paper was written in French by Yoshiko Okubo, Laboratoire Stratégie & Technologie, École Centrale Paris, Grande voie des Vignes, 92295 Châtenay-Malabry Cedex, France. Telephone: +33 [0]1.41.13.10.24. Fax: +33 [0]1.46.83.99.17. E-mail: [email protected]. This English-language version is a translation by the OECD. The author would like to thank the following people for their help in gathering data, and for their criticism: Jennifer Bond, Tibor Braun, L. Grauls, Shlomo Herskovic, Terttu Luukkonen, Aris Kaloudis, Maurits Pino, Rosa Sancho, Per O. Seglen, Gunnar Sivertsen, Henry Small, Anthony Van Raan, Jan C.G. Van Steen and Gunnar Westholm, as well as Jean-Éric Aubert of the OECD Secretariat, for the preparation of this report in view of its publication. 3 TABLE DES MATIERES INTRODUCTION .................................................................................................................................... 6 CHAPTER 1. WHAT IS BIBLIOMETRICS?........................................................................................... 8 CHAPTER 2. THE ADVENT OF BIBLIOMETRICS .............................................................................10 Background..........................................................................................................................................10 The need to evaluate research ...............................................................................................................11 Bibliometrics and the measurement of science......................................................................................12 CHAPTER 3. BIBLIOMETRIC DATABASES.......................................................................................14 The main bibliometric databases...........................................................................................................14 Problems posed by databases in general................................................................................................15 Types of literature ................................................................................................................................15 The Science Citation Index (SCI) database ...........................................................................................16 Structure and potential of the SCI database .......................................................................................16 The Science Citation Index and its limitations...................................................................................17 Why do authors use citations? .......................................................................................................17 “Negative citations”.......................................................................................................................17 The “uncited” ................................................................................................................................18 “Self-citation” ...............................................................................................................................18 The language factor .......................................................................................................................18 The breakdown by scientific discipline ..........................................................................................18 CHAPTER 4. USING BIBLIOMETRIC INDICATORS AND THE PRECAUTIONS TO TAKE ...........20 Introduction..........................................................................................................................................20 The problems of co-authorship – “whole counting” or “fractional counting”?.......................................21 The problem of database coverage ........................................................................................................22 The marketing of bibliometric data and analysis ...................................................................................23 What does the future hold for bibliometric indicators?..........................................................................23 CHAPTER 5. THE MAIN BIBLIOMETRIC INDICATORS AND THEIR APPLICATIONS................24 Introduction..........................................................................................................................................24 Indicators of science and technology activity........................................................................................24 The number of papers (Examples 1-4)...............................................................................................24 The number of citations (Examples 5 and 6)......................................................................................25 The number of co-signers..................................................................................................................25 The number of patents (Examples 10 and 11)....................................................................................26 The number of patent citations (Example 12) ....................................................................................27 Relational indicators (Examples 13 to 16).............................................................................................28 Co-publications.................................................................................................................................28 4 The affinity index (Example 17)........................................................................................................28 Scientific links measured by citations (Examples 18 and 19).............................................................29 Correlations between scientific papers and patents (Examples 20-22)................................................29 Co-citations (Example 23).................................................................................................................29 The “co-occurrence” of words (Example 24) .....................................................................................30 Visual representation techniques for scientific fields and countries (Examples 25, 25A and 25B)......30 LIST OF EXAMPLES.............................................................................................................................32 NOTES....................................................................................................................................................61 REFERENCES........................................................................................................................................62