Springer Handbook oƒ Science and Technology Indicators Glänzel Moed Schmoch Thelwall Editors 123 Springer Handbook of Science and Technology Indicators SpringerHandbooksprovide aconcisecompilationofapproved key information on methods of research, general principles, and functionalrelationshipsinphysical andappliedsciences.Theworld’s leading experts in the fields of physicsandengineeringwillbeas- signedbyoneorseveralrenowned editorstowrite thechapterscom- prisingeach volume.Thecontent is selected by these experts from Springersources(books,journals, onlinecontent)andothersystematic andapprovedrecentpublicationsof scientificandtechnicalinformation. Thevolumesaredesignedtobe usefulasreadabledeskbooktogive afastandcomprehensiveoverview and easy retrieval of essential re- liable key information, including tables,graphs,andbibliographies. Referencestoextensivesourcesare provided. H Springer Handbook of Science and Technology Indicators Wolfgang Glänzel, Henk F. Moed, Ulrich Schmoch, Mike Thelwall (Eds.) With279Figuresand223Tables K Editors WolfgangGlänzel ECOOMandFacultyofEconomicsandBusiness KULeuven Leuven,Belgium HenkF.Moed Amsterdam,TheNetherlands UlrichSchmoch CompetenceCenterPolicy–Industry–Innovation FraunhoferInstituteforSystemsandInnovationResearchISI Karlsruhe,Germany MikeThelwall FacultyofScienceandEngineering UniversityofWolverhampton Wolverhampton,UK ISBN978-3-030-02510-6 e-ISBN978-3-030-02511-3 https://doi.org/10.1007/978-3-030-02511-3 ©SpringerNatureSwitzerlandAG2019 Thisworkissubjecttocopyright.AllrightsarereservedbythePublisher, whether the whole or part of the materialis concerned, specifically the rights of translation, reprinting, reuse of illustrations,recitation, broadcasting,reproductiononmicrofilmsorinanyotherphysicalway,and transmissionorinformationstorageandretrieval,electronicadaptation, computersoftware,orbysimilarordissimilarmethodologynowknownor hereafterdeveloped. The use ofgeneral descriptivenames,registerednames,trademarks, servicemarks,etc.inthispublicationdoesnotimply,evenintheabsence ofaspecificstatement,thatsuchnamesareexemptfromtherelevant protectivelawsandregulationsandthereforefreeforgeneraluse. Thepublisher,theauthorsandtheeditorsaresafetoassumethattheadvice andinformationinthisbookarebelievedtobetrueandaccurateatthedate ofpublication.Neitherthepublishernortheauthorsortheeditorsgivea warranty,expressorimplied,withrespecttothematerialcontainedherein orforanyerrorsoromissionsthatmayhavebeenmade.Thepublisher remainsneutralwithregardtojurisdictionalclaimsinpublishedmapsand institutionalaffiliations. ThisSpringerimprintispublishedbytheregisteredcompanySpringer NatureSwitzerlandAG,partofSpringerNature. The registeredcompany address is:Gewerbestrasse11, 6330 Cham, Switzerland V Preface The SpringerHandbookof Scienceand TechnologyIndicators offers a collection of state-of-the-art contributions on quantitativescience and technology research. Orga- nizedinsixparts,theindividualchaptersfocusonvariousaspectsofthedevelopment andapplicationofindicatorsderivedfromdataonscholarlypublications,patents,and electronic communication. The 44 chapters are written by leading specialists in the topicsselected forthisSpringerHandbook.Thesechaptersdealwiththeoreticaland methodologicalissues,illustrateapplications,highlighttheirpolicycontextandrele- vance,andpointtofutureresearchdirections.Inparticular,theauthorspresentasurvey oftheresearchtopicstheyaddress,andshowtheirmostrecentachievementsandcon- tributiontotheadvancementofquantitativestudiesofscienceandtechnology. Thechaptersarearrangedintosixparts: PartA: Analysisofdatasourcesandnetworkanalysis PartB: Advancementofmethodologyforresearchassessment PartC: Sciencesystemsandresearchpolicy PartD: Newindicatorsforresearchassessment PartE: Advancementofmethodologyforpatentanalysis PartF: Patentsystem,patents,andeconomics. TheEditors’Introductionprovidesafurtherspecificationofthehandbook’sscope andofthemaintopicsaddressedinitschapters.ThisSpringerHandbookaimsatfour distinctgroupsofreaders:practitionersinthefieldofscienceandtechnologystudies; researchstudentsinthisfield;informationscientistsaandpractitionersininformatics; scientists,scholars,andtechnicianswhoareinterestedinasystematic,thoroughanaly- sisoftheiractivities;policy-makersandadministratorswhowishtobeinformedabout thepotentialitiesandlimitationsofthevariousapproachesandabouttheirresults. ThecurrenthandbookcanbeconsideredasuccessoroftheHandbookofQuanti- tativeScienceandTechnologyStudieseditedbyAnthonyvanRaanandpublishedin 1988andtheHandbookofQuantitativeScienceandTechnologyResearch.TheUseof PublicationandPatentStatisticsinStudiesofS&TSystemseditedbyHenkF.Moed, WolfgangGlänzel,andUlrichSchmochin2004. Weare grateful to all contributors for their enormousefforts to share their long- standingexperienceasexpertsintheirresearchtopicsandtoprovideuswithexcellent chaptersforthishandbook. WolfgangGlänzel HenkF.Moed UlrichSchmoch MikeThelwall VII Editors’ Introduction TheSpringerHandbookofScienceandTechnologyIn- proved accessibility to research results and broadened dicators continues the tradition and scope set by two the usage of published information, while scientific predecessorreference works:TheHandbookofQuan- bloggingprovideda platform to communicatescience titative Studies of Science and Technology, edited by to major stakeholders and the public. The extension Anthony F.J. van Raan and published in 1988, and of communication and publication channels with new a little more than 15 years later, the Handbook of actorandusergroupsintroducedthenecessityandpos- Quantitative Science and Technology Research (edi- sibility of building new measures of usage exchange tors:HenkMoed,WolfgangGlänzel,UlrichSchmoch). andnetworks,whichmakesitpossibletoexaminenew Similarlytothepreviousvolumes,thishandbookdeals kindsofimpact,andtostudysocietalimpactbeyondthe withquantitativestudiesofthescienceandtechnology traditional scholarly domain. With the growth of user (S&T)systemwhichisconceivedasapartofthevari- groups and communities and the wide scope of data ousnationalorregionalinnovationsystems. sourcesforinformationtransferandusagethedemand Thecurrentworkprovidesthestateoftheartofthe for connectability and interoperability with the neces- development and application of methods and models sity of harmonization,standardization, and integration thathavebeendevelopedtounderstandandstudypro- ofdataemerged(DaraioandGlänzel,2016). cesses and networks of scientific communication, the Software development in recent decades and pub- indicators for the S&T system that are derived from licly available data sources, such as Google Scholar the documented output of research and patenting ac- andacademiclicensesforcommercialabstractandcita- tivities.Besidesreportingandreviewingmethodologies tiondatabaseswithbibliometricfeatures, haveopened andapplicationfields,thereisastrongfocusontracing up bibliometrics to a broader user group among sci- thedevelopmentsthattookplaceinthefieldofquanti- entists, librarians, and bibliometric semiprofessionals. tative S&T studies since the first and second volumes This hasfostered uninformeduseofbibliometricsand appeared. The three decades since the publication of technometrics, most notably in an evaluative context. vanRaan’sHandbookwerecharacterizedbyincreasing Thisdevelopmentunderlinesthenecessityofproviding internationalization,thedualityofglobalcollaboration anup-to-datehandbookonquantitativeS&Tresearchto andcompetitioninscienceandtechnology,challenges scientistsandpractitioners,notonlyreportingthestate to S&T studies that have also created opportunities of the art in the disciplinebut also giving guidanceto and proved to be one of the main driving forces for practitionersandpotentialusersofS&Tindicators. the advancement of our field, and the gradual supple- ThecontributionstotheSpringerHandbookofSci- mentationandreplacementoftraditionalpublishingby ence and TechnologyIndicators reflect a wide variety electroniccommunicationmediaandpublicationchan- of attributes of the contemporary S&T system. Most nels. Several of these and related issues had already central concepts have not changed since the previous found their way into the second handbook, including editionastheseincludescientificortechnologicalper- the science-technology interface, research collabora- formance,andtheproductivityorefficiencyoftheS&T tion and network analysis, emerging economies and system and its constituent parts. The question of how thechangingglobalresearchlandscape,theinternation- performance or productivity could be measured also alization of knowledge generation, and data and text remains a crucial issue but contexts and applications miningforS&Tstudiesandwebometrics. have created new challenges, data provide more and Thenewmillenniumhasspedupdevelopmentand betterinformation,thegeneraltrendtowardsthemeso brought new challenges but also solutions. Increased and increasingly micro level has continued, requiring computing capacity, practically infinite storage capac- more accuracy and finer granularity. The question of ities, and the development of new algorithms have how the various parts in an S&T system react with helped researchers to cope with the challenges of big oneanotherandhowthisinteractionaffectstheoverall datathatemergedduringthelastdecade.Boththequan- performance is still of foremostimportance. The need tity and quality of data now allow the analysis and formeasuringtheimpactofresearchbeyondscholarly linkageofhugedocumentcorpora,large-scaletextmin- communication,includingpolicyimpactandimpacton ing, and study of the evolutionof hugedocumentand society, called broaderimpact, has becomeoneofthe actornetworks.Openaccessandopensciencehaveim- driving forces for the development of our field. This VIII Editors’Introduction also includes the necessity of exploiting and mining yet that gives good evidence of public interest in re- unstructured and nonstandardized sources for relevant search. Forthis,mediamentionsare probablythebest information, a new challenge of big-data processing proxy available. Indicators like download counts are that has broadened our field further towards computer particularlyusefulforinvestigatingthescholarlycom- and information science with the developmentof new munication process by giving insights into patterns of algorithmsandnewretrievaltechniques.Thesesources usefordocuments,includingbyscholarsandstudents. and techniques are not replacing the traditional ones In the following, we will give an overview of the based on well-standardized bibliographic and patent chaptersthatareincludedinthishandbook. databases but they essentially extend traditional quan- titativescienceand technologystudiesbygivingthem Part A: Analysis ofData Sources a new perspective and dimension. To stay abreast of and Network Analysis thesechanges,thishandbookincludesanewpartonthe developmentandapplicationofnewindicators(PartD: ThechapterbyVincentLarivièreandCassidyR.Sugi- NewIndicatorsforResearchAssessment). motodealswiththejournalimpactfactor,probablythe Many new web indicators have been developed most widely used bibliometric construct. They argue since the last handbook was published. In addition to that this indicator is, by far, the most discussed bib- a small set of webometrics, the Altmetrics initiative, liometricindicator,and hasbeen widelydissectedand started by Jason Priem in 2010, led to the creation of debated by scholars of every disciplinary orientation. a wide range of new indicators derived from social Their chapter presents a brief history of the indicator websources.Italsoledtothecreationoforganizations and highlights a series of well-known limitations, and devoted to collecting and selling altmetric values, in- draws on the existing literature as well as on original cludingImpactStory,Altmetric.com,andPlumAnalyt- research. They highlighttheadverseeffects oftheuse ics.Altmetricsarenowwidelydeployedbypublishers ofthisindicatoronauthorsandpublishers,anddescribe in their digital libraries alongside citation counts and alternativejournal-basedindicators.Theirchapterends are being considered for (limited) research evaluation with a call for responsibleapplication of journal indi- contexts. Their promise is that they may reflect non- cators, and a commentary on future developments in scholarlytypesofimpactsthatareignoredbycitations journalindicators. fromotherjournalarticles,and/orthattheymayappear Subject delineation has become one of the promi- more quickly than citations, allowing earlier impact nenttasks in bibliometricdomainstudies.Michel Zitt, evidence.Mostalternativeindicatorsarealsoeasilyma- Alain Lelu, Martine Cadot, and Guillaume Cabanac nipulatedand subjecttoirrelevantuses,however.This describe this complex task using three models as makes them difficult to use in most research evalua- aquestionofdisciplinesversusinvisiblecolleges.The tion contexts. Nevertheless, they can be valuable for models, which can be favorably combined with each self-evaluationandongoingmonitoringpurposes(e.g., other, are existing classification schemes, information byfundingorganizations),ifusedcarefully.Theymay retrieval, andclusteringexercises. Theauthorsdiscuss also be useful on an ad-hoc basis to support narrative the opportunities and limitations of the bibliometric claimsfornonscholarlyimpacts.Forexample,thereare techniquesunderlyinginformationretrieval, dataanal- instancesofthistypeofuseinthecasestudypartsofthe ysis, and network analysis. They show how multiple 2016UKResearchExcellenceFrameworkevaluations. network approaches allowthe comparisonand combi- In terms of individual new indicators, counts of nation of bibliometricnetworks. The authors focus on readers in the social reference manager Mendeley are textual and citation networks, but outline possibilities worthaspecialmention.Thesearelikecitationcounts and methods for hybridization.The chapter concludes in that they primarily reflect scholarly impact but ap- withadiscussionoftypicalsubjectdelineationschemes pear a year earlier, allowing timelier evaluations. In andprotocols. contrast, Altmetric.com scans many policy documents Intheirchapter,Ronald Rousseau,Lin Zhang,and for citations to academic research. Policy mentions Xiaojun Hu providea systematicreview of interdisci- giveclear evidenceofimportantnonscholarlyimpacts plinarity in scientific research. First, they examine the for academic research. There are also alternative indi- phenomenon of interdisciplinary research (IDR) from cators that reflect arts and humanities impacts (e.g., aconceptualperspectiveanddiscussitscharacteristics Google Books citations, online reviews), educational and driving forces. The second part is devoted to its impacts (syllabus mentions), and commercial impacts quantification and measurement from the information (e.g.,GooglePatentscitations).Oneofthebest-known science perspective. The authors proceed from the as- indicators,tweetcounts,appeartoprimarilyreflectpub- sumptionthatIDRismirroredinthepublishedresearch licity, however, and there is no alternative indicator documentsbytheintegrationofknowledgefromdiffer- Editors’Introduction IX entsubjects.Theauthorsreviewexistingapproachesto importantrolein quantitativesciencestudies.Thefol- measure knowledge integration and show their limita- lowingthreechapterstacklethisimportanttopicwithin tions. Proceeding from the notion by Stirling, Rafols, contemporaryscientometricresearch.Thefirstgivesan and Meyer proposing three main components of in- overview of the advanced bibliometric tool for struc- terdisciplinarity(diversity,variety,andevenness),they tural analysis and visualization.The second chapteris proposeatruediversitymeasure.Anexamplefromthe devotedtothechallengesoftheanalysisoflarge-scale fieldofsyntheticbiologyprovidesanillustrationandthe bibliometricnetworksandthethirddealsaboveallwith chapterconcludeswithsuggestionsforfutureresearch. fundamentalmethodologicalquestionsofsciencemap- Emilio Delgado López-Cózar, Enrique Orduna- pingandtopicidentification. Malea,andAlbertoMartín-Martínarguethatthelaunch Sciencemappinginvolvesthedevelopmentandap- ofGoogleScholar(GS)markedthebeginningofarev- plicationofcomputationaltechniquesforthevisualiza- olutioninthescientificinformationmarket,becauseof tion, analysis, and modeling of scientific and techno- itsautomaticindexingofinformationdirectlyobtained logical activities. It is an advanced bibliometric tool from the web, its ease of use, and its wide coverage. to analyze and mine scientific output. Jose A. Moral- Their chapter lays the foundations for the use of GS Munoz, Antonio G. López-Herrera, Enrique Herrera- asasupplementarysourceforscientificevaluation,by Viedma, and Manuel J. Cobo review six freely avail- giving an overview of how GS works, and providing able, comprehensivescience mapping tools: Bibexcel, statistics about its size, coverage, and growth rate. In CiteSpaceII, CitNetExplorer, SciMAT, Sci2 Tool,and addition, the authors conduct a systematic analysis of VOSviewer.Theauthorsdiscussthestrengthsandlimi- the main limitations of GS as an evaluation tool, and tationsofthesetoolsrelatedtodataprocessing,analysis compareGSwithtraditionalcitationindexes.Theycon- options,andvisualization.Theyarguethateachtoolhas cludethatGSpresentsabroaderviewoftheacademic differentproperties,andthechoiceofoneoveranother world than the traditional indexes as it includes many depends on the type of actors to be analyzed and the previouslyinvisiblesources. typeofoutputexpected. The nextchapter is devoted to the analysis of cur- KevinBoyackandRichardKlavanspointtothenew rent publication trends in gold Open Access (OA). In challenges thathaveemerged sincethelastHandbook thefirstpart,DanielTorres-Salinas,NicolasRobinson- of QuantitativeScience and TechnologyResearch was Garcia,andHenkF.Moedgiveacomprehensivereview published. The recent science mapping evolution has of the current literature on Open Access, specifically beenfacilitatedbytheavailabilityoffulltextdatabases, inrelationtoits“citationadvantage.”Thischapterhas increased computingcapacity, andthedevelopmentof threedimensions:countries,subjectfields,andjournals. newalgorithms.Thishasallowedmappingtechnology Inthelightofthis,theauthorsinvestigatenationalgold to transition from the analysis of small networks to OApublicationpatterns,OAjournalcharacteristicsand large-scale exercises. The focus is on the analysis of citationdifferencesbetweengoldOAandnongoldOA large-scale, global bibliometric networks. The authors publications, and factors that may affect differences giveastate-of-the-artreportanddiscussthecommonly in citation impact between OA and conventional, toll- used data sources and methods from a historical per- accessjournals.Theauthorsalsodiscussscientists’OA spective, continuing to the most recent developments. publicationstrategiesandpatternsaswellastheroleof Theirownlarge-scaletopic-levelmodelisusedtoillus- predatoryOAjournals. trate the analysis of large-scale bibliometric networks Forecasting future developments in science, tech- andpotentialapplications. nology, and innovation (STI) is the subject of the In his chapter, Bart Thijs identifies three drivers chapterbyKatyBörnerandStašaMilojevic´.Suchfore- of scientometric mapping of science: information- casts are based on advanced mathematical-statistical technological innovation;improved community detec- and computational models of the STI system, and are tion; and methodologicaladvancements in the field of facilitated by advancesin computationalpowerand in scientometrics itself. The author shows that sciento- the availability of numerous “big” datasets containing metric methodologies using citation-link and lexical not only bibliometric, but also funding, stock market, approaches lagged the development of the first two socialmedia,and othertypesofdata. Advancedmod- drivers. He discusses methodological issues related to elscanbeusedtosimulateandunderstandthestructure community detection. The different approaches to the and dynamics of the STI system, and enhance human creation of global maps and the possibility of achiev- decision-making. ing comparable results at higher levels of granularity Science mapping in the form of studies of struc- are contrasted with the fine-grained solutions possible turalaspectsofdocumentandactornetworksplaysan fromlocalmapping. X Editors’Introduction Part B: Advancementof Methodology attentionispaidtothetheoretical,mathematicalandax- for ResearchAssessment iomaticbackgroundandvariousapplicationsaswellas thepossibilityofapplyingtheh-indexasanetworkin- AnthonyF.J.vanRaangivesacomprehensiveoverview dicator. of the methodology and application of advanced bib- The method of Characteristic Scores and Scales liometric indicators and introduces bibliometrics as (CSS) was originally proposed in the second half of apowerfulinstrumentforthestudyofscience.Hishis- the1980s,whentheirlarge-scalecalculationswerestill toricalreviewstartsfromthebeginningofprofessional a computational challenge. Because of increased data bibliometrics and covers the role of citation indexing availabilityandcomputationalcapacity,themethodhas in the emergence of the discipline of scientometrics. now become practical. Wolfgang Glänzel, Bart Thijs, Thereviewdiscusseshowcitationindexingrevolution- and Koenraad Debackere provide an overview of the izedquantitativesciencestudiesandcontinuesuntilthe variousfieldsofapplicationofthismethod,whichaims stageofcontemporarybibliometricsintheinternetage. toreplacethetraditionallinearapproachtocitationim- This introduction is followed by a description of ad- pact evaluation by a distributional one with a focus vanced state-of-the-art bibliometrics with its rationale on the high end of performance. A discussion of the andpracticalneeds.Theauthorproceedsfromthetwo mathematical background and statistical properties is mainpillars,citationanalysisandmappingofscience, followed by the implementation of the method in as- which can be reduced to a single principle. The au- sessmentexercisesatdifferentlevelsofaggregationas thor deduces a set of main indicators to be used for well as in various disciplinary and multidisciplinary research performance assessment with regard to the contexts. developments at the Leiden Institute. The conceptual- The development and application of bibliometric methodological part is followed by applications of indicatorsofresearchperformanceatthelevelofindi- indicators in an evaluative context with various real- vidualauthorsisoneofthemostdebatedandcomplex lifeexamples.Inthiscontext,theauthordiscussesalso issues in quantitative science and technology stud- problematicandcontroversialissues,suchastheuseof ies. Lorna Wildgaard presents a critical overview of journalimpactfactors,theh-index,publicationassign- the development of this type of indicator. She dis- ment,subjectdelineation,anduniversityrankings.The cusses characteristics and mathematical properties of lastpartofthechapterdealswiththeabove-mentioned 68author-levelindicators,andhighlightstheirpotential secondpillarofbibliometrics,themappingofscience. andlimitations.Themajorthemeofhercontributionis Hybridtechniques,thecombinationofcitationanalysis settingtheargumentfortheneedtomonitorandevalu- andsciencemapping,andnewfieldsofapplicationare atecurrentindicatorproduction. describedanddiscussed. Policyimplementationofrelevantscience,technol- LudoWaltmanandNeesJanvanEckpresentacom- ogy,andinnovationindicatorsrequiresappropriatedata prehensive overview of a class of bibliometric indica- managementmethods,anddataintegrationhasbecome torsthatareamongthemostimportantinbibliometrics, a central issuein thisregard. Two mainapproaches to namely field-normalized indicators. The term field in- dataintegrationarein use:proceduralanddeclarative. dicates a branch of knowledge, such as a research MaurizioLenzeriniandCinziaDaraiofollowthelatter discipline, specialty, or topic. Field-normalized indi- approachbyfocusingontheontology-baseddatainte- cators make corrections for differences among fields, gration (OBDI) paradigm. They discuss the five main so that groups of researchers from different fields can principles of this paradigm and the challenges of data be compared with one another. The authors give an integration.Finally,Sapientia(theontologyofmultidi- overviewofthevariousfield-normalizationapproaches. mensional research assessment and its OBDI system) Most importantly, they also illustrate how indicators developedatSapienzaUniversityofRomeisprovided themselves can be evaluated, and how the choice of asanexampleofanopenandcollaborativeplatformfor anapproachmayaffecttheoutcomesofabibliometric researchassessment. analysis. Synergy in innovation systems is studied by The h-index and its derivatives have become per- Loet Leydesdorff, Inga Ivanova, and Martin Meyer haps the most popular and most commonly used bib- within the framework of the Triple Helix model of liometric indicators besides the journal impact factor. university–industry–governmentrelations.Thisisused ResearchandapplicationsofHirsch-typeindexeshave asametaphorinmodelingtheknowledge-basedecon- consequently yielded a large body of literature within omy and innovation. Synergy is introduced and an- our field over the last decade. András Schubert and alyzed here in the context of the generation of re- Gábor Schubert provide a guided bibliometric tour dundancy, the measures of which are derived from an through more than 3000 papers on this topic. Special information-theoreticmodel.Usingexamplesfromsev-