RESEARCH ARTICLE
A large-scale validation of the relationship
between cross-disciplinary research and its
uptake in policy-related documents, verwenden
the novel Overton altmetrics database
Keine offenen Zugänge
Tagebuch
Henrique Pinheiro
, Etienne Vignola-Gagné
, and David Campbell
Science-Metrix, an Elsevier company, Montreal, Quebec, Kanada
Zitat: Pinheiro, H., Vignola-Gagné,
E., & Campbell, D. (2021). A large-scale
validation of the relationship between
cross-disciplinary research and its
uptake in policy-related documents,
using the novel Overton altmetrics
database. Quantitative Science
Studien, 2(2), 616–642. https://doi.org
/10.1162/qss_a_00137
DOI:
https://doi.org/10.1162/qss_a_00137
Peer Review:
https://publons.com/publon/10.1162
/qss_a_00137
zusätzliche Informationen:
https://doi.org/10.1162/qss_a_00137
Erhalten: 2 Dezember 2020
Akzeptiert: 20 April 2021
Korrespondierender Autor:
David Campbell
d.campbell@elsevier.co
Handling-Editor:
Ludo Waltman
Urheberrechte ©: © 2021 Henrique Pinheiro,
Etienne Vignola-Gagné, and David
Campbell. Published under a Creative
Commons Attribution 4.0 International
(CC BY 4.0) Lizenz.
Die MIT-Presse
Schlüsselwörter: altmetrics, cross-disciplinary research, interdisciplinary research, policy outcomes, Programm
evaluation, societal outcomes of research
ABSTRAKT
Cross-disciplinary research (multi-/interdisciplinarity) is incentivized by funding agencies to
foster research outcomes addressing complex societal challenges. This study focuses on the link
between cross-disciplinary research and its uptake in a broad set of policy-related documents.
Using the new policy-oriented database Overton, matched to Scopus, logistic regression was
used in assessing this relationship in publications from FP7- and H2020-supported projects.
Cross-disciplinary research was captured through two lenses at the paper level, namely from
the disciplinary diversity of contributing authors (DDA) and of cited references (DDR). DDA
increased the likelihood that publications were cited in policy documents, with DDR possibly
making a contribution, but only when publications result from the work of few authors. Citations
to publications captured by Overton were found to originate in scientific advice documents,
rather than in legislative or executive records. Our approach enables testing in a general way
the assumption underlying many funding programs, namely that cross-disciplinary research
will increase the policy relevance of research outcomes. Findings suggest that research
assessments could benefit from measuring uptake in policy-related literature, following
additional characterization of the Overton database; of the science-policy interactions it
captures; and of the contribution of these interactions within the larger policymaking process.
1.
EINFÜHRUNG
With the increasing emphasis that funding organizations place on the longer-term socioeco-
nomic impacts from research, an increasing number of funding programs promote cross-
disciplinary research (XDR), assuming these scientific practices are more likely to fuel such
policy-related returns (Gleed & Marchant, 2016; Rylance, 2015). This argument linking
cross-disciplinary research and societal outcomes is supported by limited evidence concerning
the ability of the first to bring about the second (Chavarro, Tang, & Rafols, 2014) or whether
policymakers generally succeed in fostering the first (Garner, Porter et al., 2012). In addition to
these issues, existing quantitative measurement strategies for societal outcomes of research
tend to be restricted in scope (z.B., patent-based metrics).
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The relationship between cross-disciplinary research and its uptake in policy-related documents
Altmetrics methods, insbesondere, citations to the peer-reviewed literature in policy documents,
offers potential to broaden the spectrum of societal outcomes that can be assessed in a robust
quantitative manner. Altmetrics capture instances of uptake or mentions towards peer-reviewed
publications in a range of potential knowledge transfer contexts, including in journalistic news
outlets, Facebook posts, Wikipedia entries, and the like. Kürzlich, path-breaking studies have
focused specifically on policy citations towards peer-reviewed publications, specifically those
recorded in the Altmetric.com database. These studies reported that only low numbers of papers
get cited in policy documents. They also reported a high skewness in citation distribution; A
concentration of citedness in applied life sciences and social science fields; and technical issues
with the Altmetric.com database (Bornmann, Haunschild, & Marx, 2016; Haunschild &
Bornmann, 2017; Tattersall & Carroll, 2018). Based on detailed content analysis of citing policy
documents, Newson and colleagues found multiple instances of research mentions that were not
made as formal citations, concluding that “[C]itation rates are likely to provide an underestimation
of research use by policy agencies” (Newson, Rychetnik et al., 2018, P. 10).
Despite the potential of altmetric methods, definitive attribution of research outcomes to
specific funding programs (such as the instruments promoting cross-disciplinary approaches
that interest us) is challenging for several reasons:
1. A lack of suitable data sets to confidently discard confounding factors (such as local and
global trends in research systems; or the combination of impacts that comes with combining
multiple streams of funding in research) in testing the effects of specific programs using
quantitative approaches such as econometric modeling and difference-in-differences
(Buenstorf & Koenig, 2020; Hird & Pfotenhauer, 2017); Zum Beispiel, data sets related to
funding programs specifically building on XDR are often too small to offer adequate statis-
tical power in the complex model specifications required to resolve attribution.
2. A lack of unbiased and well-characterized (altmetrics) data sources, making it difficult
to explore/rank the longer-term impacts of research in a quantitative manner.
3. Uncertainty regarding the phenomena captured by altmetrics and their exact associa-
tion with the goal of increasing societal outcomes from research (Haustein, 2016).
To circumvent these constraints, we devise a methodological framework to assess, in a generic
Weg, the likely effects of research and innovation policy interventions tapping on a specific
mechanism (z.B., cross-disciplinary research), rather than aiming to directly assess the effect of
a specific intervention. In this way, the proposed approach enables testing the underlying
assumption of a specific mechanism rather than a specific intervention, thereby partially circum-
venting the first limitation mentioned above. To address the other two limitations, we make use of
the new Overton database, an altmetrics source dedicated to documenting some of the policy
outcomes produced by research.
Our three starting research questions were as follow:
A. Can altmetrics offer a practical, reliable, generalizable method for capturing societal
outcomes of research in the form of informing policymaking?
B. Do higher degrees of XDR found in peer-reviewed publications increase the odds of
these articles being cited in policy documents?
C. Can policy interventions (mainly funding) promoting XDR increase the odds of resulting
findings supporting evidence-based policymaking?
To address Question A, the citation context of a random sample of 50 publications cited by
documents indexed in Overton was assessed qualitatively to determine the extent to which
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The relationship between cross-disciplinary research and its uptake in policy-related documents
such citations reflect research input into decision making (see Section 3.2 for the corresponding
Methoden). This process was also used in validating the accuracy of Overton’s linkages between
policy documents and the cited literature.
To address Question B, statistical modeling was performed on a sample of papers funded
through the Framework Programmes (FPs) for Research and Technological Development (d.h.,
FP7 or H2020), and the extent of cross-disciplinarity was captured at the paper level through two
lenses: disciplinary diversity of contributing authors (DDA) and disciplinary diversity of cited
Verweise (DDR), which tracks diversity of integrated knowledge (see Section 3.3). The DDA
is often a target of policy intervention when funders require certain collaborative formats to
teams applying to grants targeted for XDR research. It is expected that this diversity will bring
to projects the variety of tools required for real-world problem solving, including to tackle
policy-relevant problems (Belcher & Hughes, 2020; Rylance, 2015; Schneider, Buser et al.,
2019). Disciplinary diversity in references would indicate that this diversity in tools and
approaches has been integrated within the intellectual fabric of the publication’s text itself.
This result, Jedoch, could be independent of team composition and may even be achieved
by individual researchers that achieve “individual interdisciplinarity” (Calvert, 2010). If DDA
and DDR are properly captured, one would thus expect a positive, but not necessarily strong,
correlation between them. By selecting papers from projects supported by FP7 or H2020, es war
also possible to control for some characteristics of these projects in assessing the association
between cross-disciplinary research and subsequent policy uptake. The addition of numerous
controls to the model specification enabled moving away from a simple analysis of correlation to
the assessment of a causal link.
The model was tested first on a subset of UK papers and then expanded to the broader set of
EU papers. By first restricting the analyses to a sample of UK papers, we limited the possible
effects of coverage biases in the Overton database, which was used to track citations in policy
documents (it is produced by a UK-based company with a better coverage of policy docu-
ments from the Anglo-Saxon world, in particular from the United Kingdom).
The analyses were subsequently expanded to a larger pool of about 126,000 FP7/2020-
funded papers from all European countries (see Section 4.2.2; see Section 3.3 for the corre-
sponding methods). By testing the replicability of the study findings for the UK sample on this
larger EU data set, we intended to assess if Overton’s coverage bias may be large enough to
distort the conclusions of similar studies covering non-Anglo-Saxon countries, as well as to
make this study’s conclusions more generally applicable to the broader European context.
Dabei, we acknowledge that not all European countries are equally represented in this
broader data set. In der Tat, the larger players (z.B., France and Germany) weigh heavily here and
are still better covered in Overton than the smaller Eastern European countries.
Endlich, Question C was answered by combining the findings for Questions A and B. Für
Beispiel, if a positive answer is obtained for both A and B, it would be fair to argue that funding
programs promoting XDR increase the odds of the resulting findings supporting evidence-based
policymaking.
Going forward, the term UPRL (“uptake in policy-relevant literature”) will be preferred when
discussing references from policy-relevant documents towards peer-reviewed publications. Das
abbreviation takes stock of our findings for Question A (Abschnitt 4.1). In brief, the “policy docu-
ments” whose citations are captured in Overton were not so much markers of legislative change
as markers of scientific advice and evidence synthesis activities targeted towards policymakers.
Before moving to a more detailed description of methods (Abschnitt 3) and results (Abschnitt 4) aus
the empirical investigation, the literature review is presented in Section 2 to provide an overview
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The relationship between cross-disciplinary research and its uptake in policy-related documents
of the evidence currently available on the following chain of assumptions that underpin our
research questions:
(cid:129) Wissenschaft, Technologie, and innovation (STI) policy increasingly supports cross-disciplinarity
Forschung (Abschnitt 2.1)
(cid:129) cross-disciplinary research practices can be fostered through funding instruments and
other policy interventions (Abschnitt 2.2)
(cid:129) bibliometric indicators offer promise to robustly measure intensity in the deployment of
XDR research practices, at scale (Abschnitt 2.3)
(cid:129) cross-disciplinary research leads to improved societal outcomes (Abschnitt 2.4)
(cid:129) altmetrics could offer a robust quantitative strategy to capture societal outcomes from
Forschung (Abschnitt 2.5)
(cid:129) altmetrics relying on policy documents citing the scientific literature could offer a robust
quantitative strategy to capture societal outcomes from research specifically on the topic
von (governmental, NGO, or think tank) decision-making (Abschnitt 2.6)
2. LITERATURE REVIEW
This article uses the term cross-disciplinary research (XDR) to collectively refer to several
research practices and organization modalities that are often referred to as interdisciplinarity
Forschung (IDR) in the literature, but also multidisciplinarity and even transdisciplinarity
(Chavarro et al., 2014; van der Hel, 2016).
2.1. Policy Interest in Cross-Disciplinarity
Policy interventions often aim to address complex challenges (z.B., the UN Sustainable
Development Goals) requiring input from a broad range of stakeholders. It is commonly assumed
that the diversity of stakeholders needed to inform such interventions can span multiple dimen-
sionen, such as their activity sector, geographic location, and disciplinary background (Rylance,
2015). With the increasing emphasis that funding organizations place on the longer-term socio-
economic impacts from research, an increasing number of funding programs promote scientific
collaboration across these dimensions, assuming that it will fuel such returns. The following is
a small sample of pre-eminent policies and interventions targeting interdisciplinarity and
boundary-spanning collaboration as policy goals:
(cid:129) the EC FP’s Responsible Research & Innovation agenda
(cid:129) the EC FP’s European Research Council (ERC) funding mechanism
(cid:129) H2020 and especially its Future and Emerging Technologies and Societal Challenges
pillars (LERU, 2016)
(cid:129) EC COST actions, including thematic subfunding programs such as BiodivERsA, welche
emphasize interdisciplinarity
(cid:129) multiple US National Science Foundation (NSF) initiatives, including Convergence
awards, Research Coordination Networks, Science and Technology Centers, Und
Synthesis Centers (Hackett, Leahey et al., 2021)
(cid:129) large areas of research at the US National Institutes of Health (NIH) that fall under the
concept of the “translational sciences”
(cid:129) a small group of multilateral or intergovernmental funders including, vor allem, Die
Human Frontier Science Program (HFSP) (Science-Metrix, 2018), the Belmont Forum
(Technopolis Group & Science-Metrix, 2020) and Future Earth
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The relationship between cross-disciplinary research and its uptake in policy-related documents
(cid:129) a set of interventions that fall within the category of “excellence” competitive national
funding to universities, including the Canada First Research Excellence Fund (CFREF),
China’s Double First Class University Plan and its predecessors, Germany’s Excellence
Initiative and Excellence Strategy, and Japan’s Word Premier International Research
Center Initiative
An international survey of national research funding agencies sponsored by the Global
Research Council—a multilateral knowledge exchange mechanism for more than 20 National
funding councils—found that, although “[M]ost of the funding agencies we interviewed were
open in stating that they do not have formal policies relating to interdisciplinarity, [Sie] do have
practices to encourage and support it” (Gleed & Marchant, 2016, P. 8). Support for interdis-
ciplinary research (writ large) can therefore be safely considered a ubiquitous feature of STI
policy in 2020.
But what justifies this flurry of policy interventions? Interdisciplinarity is advocated as the
preferred tool to realize a number of central policy objectives for governments and societies.
As a member of an EC expert committee on Research, Innovation, and Science Policy put it,
fostering interdisciplinary research could result in
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crossing departmental boundaries and inter-disciplinarity to generate new knowledge of
transformative power … exploit[ing] new types of problem-driven and user-oriented R&D
research programmes that go way beyond well-established modes of targeted, incenti-
vised R&D top-down … Stimulat[ing] disruptive innovations to accelerate value creation
across different industries and branches of knowledge through intellectual fusion, combi-
nations and interfaces (Allmendinger, 2015, P. 4).
While the citation above may potentially capture an excessively optimistic view of the out-
comes of XDR practices, it is nevertheless indicative of the very high stakes ascribed to these
practices in policymaking for science and innovation.
2.2. Fostering of Interdisciplinary Research Practices Through Funding Instruments and
Other Policy Interventions
Of the assumptions that underpin the research presented here, perhaps the most fragile is the one
that policy interventions can foster increased interdisciplinarity in the research groups they target.
Zum Beispiel, many studies have documented trends towards increased interdisciplinarity in
Forschung, but without specifically linking this shift to policy interventions (Dworkin, Shinohara, &
Bassett, 2019; Okamura, 2019; Porter & Rafols, 2009) oder, as we just did above, they note the
multiplication of interdisciplinarity initiatives and narratives originating from policymakers. Wenn
proved effective, these initiatives could be very important in fostering cross-disciplinary research,
as there is quantitative evidence demonstrating that traditional grant mechanisms tend to be
conservative and to shy away from cross-disciplinarity. Bromham and colleagues, examining the
interdisciplinarity and multidisciplinarity (defined here in the same terms as we did above) intensity
of proposals to the Australia Discovery grants, found that interdisciplinarity in proposals was
“consistently negatively correlated with funding success.” Multidisciplinarity was positively corre-
lated with peer-review scores but at a very small magnitude (Bromham, Dinnage, & Hua, 2016).
Most of the restricted body of work on the policy mechanisms through which funding
interventions foster interdisciplinary research is qualitative and based on case studies, often
resulting in recommendations for the management of these programs (Lyall, Bruce et al.,
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The relationship between cross-disciplinary research and its uptake in policy-related documents
2013; Molas-Gallart, Rafols, & Tang, 2014). Elsewhere, program evaluations have used peer-
review panels to assign scores to projects or initiatives and therefore measure achievements in
interdisciplinarity in a semiquantitative manner (European Research Council, 2018).
Lyall and colleagues find that despite high-profile initiatives and policy exhortations to en-
gage in interdisciplinarity, transdisciplinarity, and/or knowledge transfer, still only a modest
volume of STI policy practices in the United Kingdom meaningfully engage with these ap-
proaches in practice (Lyall, Meagher, & Bruce, 2015).
Porter, Garner, and Crowl (2012) have provided one of a few specific evaluations of a policy
instrument’s effect on levels of interdisciplinary integration within supported scientific projects.
The authors characterized the set of publications originating from the US NSF Research
Coordination Network. This program aimed to foster novel research networks around interdisci-
plinary intellectual projects. They found this program to have succeeded in achieving high net-
working and interdisciplinarity metrics in related papers, although the authors noted that
successful applicants to the program already displayed higher scores on these dimensions prior
to the support period in comparison to nonsuccessful applicants. Ähnlich, Science-Metrix, verwenden
a difference-in-differences approach (the control group was selected using a regression disconti-
nuity design), quantitatively demonstrated a positive association of one of the HFSP’s funding
mechanisms (d.h., cross-disciplinary fellowships) on the level of interdisciplinarity achieved by
its awardees (Science-Metrix, 2018). While both the awardees and control group scored highly
prior to funding, HFSP funding appeared to have enabled the former group to maintain its level of
interdisciplinarity during funding, whereas this was not the case for the latter. A sustainable and
positive effect was also perceptible after funding for awardees who did increase their score by a
greater margin than the control group by that time. Jedoch, the authors noted the lower reliability
of the findings for this group given its size, and most of the other HFSP funding mechanisms did not
appear to further increase the level of interdisciplinarity of the awardees. Trotzdem, HFSP stood out well
relative to other funders for the overall interdisciplinary level of its supported papers.
2.3. Bibliometric Characterization of XDR Research Practices
While Porter, Garner, and Crowl (2012) provide one of the few available examples linking quan-
titative measures of XDR to funding program interventions, the field of bibliometrics has pro-
duced multiple measurement strategies and indicators with an aim to quantitatively assess the
degree of XDR achievements in research publications. One important stream of bibliometric
studies on XDR practices has emerged in the last 15 Jahre (Stirling, 2007). Initial studies in this
stream shared a few core methodological parameters:
(cid:129) the integration of three core dimensions (variety, balance and disparity) of XDR through
the Rao-Stirling formula
(cid:129) characterizing the disciplinary location of cited references in the publication set of in-
terest as the main bibliometric phenomenon of interest (and used a proxy for XDR
knowledge integration)
(cid:129) common use of Web of Science ( WoS), All Science Journal Classification (ASJC), or na-
tional evaluation categories as the reference classifications against which to map the
diversity of disciplines encountered (but see Rafols and Meyer (2010) for an early
bottom-up, citation-network driven approach)
Excellent overviews and summaries of this research stream already have already been pro-
duziert, notably in Abramo, D’Angelo, and Zhang (2018); we will not recapitulate them here.
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The relationship between cross-disciplinary research and its uptake in policy-related documents
Keeping foundational insights from the “Rao-Stirling stream” but also integrating outcomes
from important recent studies that have sometimes operated outside this stream yields, in our
view, four main strategies to move forward:
(cid:129) exploring bibliometric phenomena to be used as proxies for attributing disciplinary loca-
tions to publications beyond cited references, einschließlich:
o disciplinary diversity in author affiliations (Abramo et al., 2018; Zhang, Sun et al.,
2018; Zuo & Zhao, 2018)—although the roots of this approach predate Rao-
Stirling-centered methods)
o disciplinary diversity in author prior publications (Moschini, Fenialdi et al., 2020; Zuo
& Zhao, 2018)
o disciplinary diversity in author prior publications’ cited references (Moschini et al.,
2020)
o disciplinary diversity in citations received by the publication set of interest (Moschini
et al., 2020)
o disciplinary diversity in topical clusters of concepts retrieved in publications’ texts
(Hackett et al., 2021; Zuo & Zhao, 2018)
(cid:129) using undirected clustering strategies to create emergent classifications of publications,
notably when measuring XDR intensities through citation links or textual clusters
(Hackett et al., 2021; Zhang et al., 2018; Zuo & Zhao, 2018); but also Rafols and
Meyer (2010)
(cid:129) assigning publications or researchers to vectors of relative disciplinary engagement (cut-
ting across all categories in a classification) rather than to single disciplines or categories
(Adams, Loach, & Szomszor, 2016; Zuo & Zhao, 2018)
(cid:129) considering of mathematical alternatives to Rao-Stirling to calculate a composite indi-
cator of intensity in XDR practice, including “div,” or the interpretation and analysis of
the constituent dimensions of the Rao-Stirling indicator individually (Hackett et al.,
2021; Wang, Thijs, & Glänzel, 2015)
2.4. Prior Evidence on Improved Societal Impacts for Cross-Disciplinary Research
By the early 2010s and onwards, there appeared to be “a consensus in the literature that so-
cially relevant research is most often interdisciplinary” (Chavarro et al., 2014). Despite this
consensus, broad scope quantitative evidence on the capacity of cross-disciplinarity research
to produce improved societal outcomes was still sparse (Rylance, 2015). Interdisziplinarität
may have become somewhat conflated with the notion of intersectoral collaboration or
engagement, which is a precondition of knowledge and technology transfer, the latter them-
selves being clear instances of societal impact. The vast literature on technology transfer,
academic entrepreneurship and “mode 2” research may have underpinned the emergence
of a consensus on the societal relevance of interdisciplinarity. Trotzdem, there is surprisingly little
in the way of overt, generalizable evidence to support this collective assumption, especially in
a way that applies to multiple pathways and modalities of interdisciplinary practice.
To review the literature on the contributions of academic entrepreneurship and mode 2 Re-
search practices to societal outcomes would be out of scope in the current brief. The research
that has focused on a stricter definition of interdisciplinarity has, for its part, mostly relied on case
Studien. Disciplinary diversity in researchers’ background has been found to be associated with
increased chances to engage in entrepreneurship and technology transfer (Deste, Mahdi et al.,
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2012). Qualitative research has also shown that stakeholders and users in interdisciplinary
projects share the perception that the approach is conducive to generating useful outcomes
for these stakeholders’ problems, although the extent to which these perceptions were realized
was highly dependent on the type of strategies used (Molas-Gallart et al., 2014).
On the quantitative side, Chavarro and colleagues found that, in a set of WoS publication
records with at least one coauthor from Colombia, papers with higher scores on certain (Aber
nicht alle) dimensions of interdisciplinarity that they measured were indeed associated with a
greater orientation towards local issues (Chavarro et al., 2014). Campbell and colleagues also
found that the odds of research uptake in the patent literature was positively and significantly
related to the multidisciplinarity of research teams on scientific papers, accounting for field of
research and a number of additional variables (Campbell, Struck et al., 2017). Wang and Li
(2018) found similar results looking at the effect of the scope of integrated knowledge on up-
take in patents.
2.5. Altmetrics to Measure Societal Outcomes of Research
In the decade spanning 2010–2020, a novel quantitative research evaluation tool emerged with
the launch of databases recording the uptake of journal-based (or proceedings-based) scientific
outputs in social media, blogs, news, and educational resources, among other sources. Diese
Daten, because they are hoped to track usage beyond academic circles as traditionally captured in
bibliometric indicators, are often referred to as alternative data (or altmetrics). Included in the
databases’ coverage are platforms such Facebook and Twitter, a selection of blogging platforms,
journalistic and news websites, Wikipedia, Reddit, Stack Exchange, and library holding data-
bases. These mentions are usually tracked through document identifiers such as DOI, PMID,
and the URL of the article.
New altmetrics approaches continue to emerge, as in the case of the Overton policy data-
base that will be deployed in the empirical component of this study. Arguably, other analytical
strategies, such as examining citations to scientific publications from patent or clinical guide-
line records can also be included within the broader definition of altmetrics, especially as the
field relates to broad societal outcomes of research (Tahamtan & Bornmann, 2020).
The value of altmetrics mentions to journal articles is that they may capture degrees of read-
ership, uptake, and engagement in an audience that is theoretically not restricted to peers.
Such findings could in principle be obtained at scale for a fraction of the levels of effort typ-
ically required by qualitative approaches. Expectations for the contributions of altmetrics to
decision-making and evaluation have been high, as illustrated by the contentions of an expert
group on altmetrics recently convened by the European Commission:
Altmetrics also have potential in the assessment of interdisciplinary research and the impact
of scientific results on the society as a whole, as they include the views of all stakeholders
and not only other scholars (as with citations). Somit, altmetrics can do a better job at
acknowledging diversity (of research products, reflections of impact etc.), Bereitstellung einer
holistic view of users as well as providers of scientific products, and enhancing exploration
of research results (European Commission Expert Group on Altmetrics, 2017, P. 11).
Weiter, the same group summarizes the potential advantages of altmetrics as broadness
(inclusion of multiple stakeholder types), Diversität (type of outputs measured), multifaceted
(different signals for a given output), and speed (readership of an article typically taking place
faster than the uptake of its findings in ulterior research).
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Like citation counts, observations on altmetric mentions or interactions can be processed in
multiple ways to compute different indicators. Wieder, as in computations with citation data,
altmetric observations have been shown to be shaped by varying disciplinary features, zeitlich
trends, and database coverage biases, meaning that raw volume counts are almost never useful
(Thelwall, 2016). Basic normalization procedures used for citation indicators can also be
applied for altmetric indicators (normalization by subfield and by year). Thoughtful interpreta-
tion of altmetrics findings should also consider several limitations identified in the specialized
Literatur.
Endlich, we note that most altmetrics-based strategies are geared towards the capture of
broader societal attention towards scientific publications issued in journals or conference
Verfahren. Yet it could be argued that nonscientific or hybrid outcomes are increasingly
becoming the focus of transdisciplinary, coproductive, or locally oriented research projects
(Koier & Horlings, 2015). Altmetrics approaches have still to be convincingly deployed for these
kinds of outcomes, and the collective amount of explorative effort conducted to try and do so
has been low. Assessment of these kinds of outcomes must—until large-scale efforts for their
indexation materialize—make use of qualitative, expert review, or survey methods.
2.6. Measuring Citations from Policy Documents to Measure the Outcomes of Research on
Decision-Making
The capacity of a given altmetrics research strategy to effectively capture societal outcomes of
research is closely associated with the basic features of the phenomenon recorded through its
main data source (Haustein, 2016; Tahamtan & Bornmann, 2020). Altmetric data on Twitter has
been shown to be of restricted relevance for capturing deep knowledge transfer or public
engagement processes, and instead to capture online buzz around publications. Pulido and
colleagues conducted in-depth examinations of the content of Twitter and Facebook posts on
scientific articles, with an aim to determine whether these posts provided evidence of societal
change achieved through the research (rather than online discussion and interaction strictly)
(Pulido, Redondo-Sama et al., 2018). They found that this was only the case in 0.5% of social
media mentions to more than 5,000 journal articles from EU-funded projects. Data sets on
clinical guideline and patent citations towards publications, andererseits, are considered
to have good precision in measuring activities that are components of important knowledge
transfer processes (Thelwall & Kousha, 2015).
There are reasons to argue that measurements of citations in policy documents towards
scientific publications would, in principle at least, also feed into a precise indicator of societal
outcomes of research. While policy citations, just like scientific citations, are likely to be prac-
ticed for a variety of reasons, governmental or quasigovernmental use of scientific results in the
formulation and implementation of public policies is widely regarded as a desirable research
outcome. This mechanism of knowledge transfer has also been observed and studied before
(Bornmann et al., 2016; Tahamtan & Bornmann, 2020).
Preliminary work from a handful of studies that have used the Altmetric.com database’s
policy citation records makes it possible to infer some of the basic features of policy documents
as a source of altmetric information. To our knowledge, no work has been produced yet on other
altmetric databases covering policy documents, such as Overton.
Haunschild and Bornmann (2017) have examined policy document citations from the
Altmetric.com database to a publication set consisting of more than 11.25 million WoS in-
dexed articles issued between 2000 Und 2014. They found 0.32% to have at least one policy
Zitat. The set of papers for the year 2005 displayed the highest share of policy citation
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(almost 0.5%), indicating potentially much longer lags from publication to citation peak year
in comparison to citations from other journal articles. Publication sets in the fields of
Agricultural Economics and Policy (2.97%), Tropical Medicine (2.64%) and Economics
(2.18%) had the highest chances of receiving policy citations.
Bornmann et al. (2016) examined policy citations from the Altmetric.com database towards
records in their custom-built set of more than 190,000 papers on climate change. A share of
1.2% of these papers had at least one policy citation in Altmetric.com. Of these papers, 78.7%
received only one policy citation. The authors found citation peaks to occur between two to
4 years after publication, but those documents with the highest levels of policy citations had
citation peaks occurring later than the overall figure.
Tattersall and Carroll (2018) considered policy citations to journal articles published by the
University of Sheffield. They report a share of 1.41% of the overall Sheffield publication set to have
been cited by at least one policy document. The disciplinary distribution of these citations very
much followed what has been reported above for other policy citation studies and studies that
capture other altmetric dimensions. Much like in bibliometrics generally, citation distributions
were also highly skewed, with only a few articles achieving citation counts above 1. One finding
from this team is worrisome: Manually validating 21 policy citations to University of Sheffield
articles, they found seven for which attribution to the University of Sheffield or to the Sheffield
article was problematic. Another finding from this study that acts as a call for caution is that there
were a number of duplicate policy citations in the Sheffield set, sometimes because individual
chapters of a full policy report are published separately. Zusätzlich, some of the policy citations
were found to originate in journal articles rather than actual government reports.
Newson and colleagues have used a “backward tracing” approach to understanding policy
citations, starting from policy documents and trying to characterize how they use citations. Sie
selected a number of Australian policy documents relating to the topic of childhood obesity.
Diese 86 childhood obesity policy documents made 526 unique references to topically relevant
research content, of which half were peer-reviewed publications and a fifth were nonpeer-
reviewed research publications. They concluded that in many cases (they did not compute a
share of the overall citation data set), textual context for the citations does not make it possible
to unambiguously attribute impact on the policy process for the research findings cited. As in
citations within the scientific community, the purposes and intentions for making a citation
appeared diverse. The authors also found multiple instances of mentions to research that were
not accompanied by an attendant formal citation, concluding that “[C]itation rates are likely to
provide an underestimation of research use by policy agencies and the method has the potential
to miss research that was in fact impactful, and place undue importance on cited research”
(Newson et al., 2018, P. 10).
3. METHODEN
3.1. Data Sources
To perform this study, lists of publications produced through FP7- and H2020-supported pro-
jects were obtained from OpenAIRE (https://www.openaire.eu/ (FP7)) and CORDIS (https://
cordis.europa.eu/projects (H2020)) and matched to Scopus and Overton. Choosing papers that
could be matched to specific grants made it possible to control for some funding characteristics
in modeling the relationship between XDR and UPRL (see Section 3.3).
Scopus is a global repository tracking publication of peer-reviewed articles and other sci-
entific communications. The match of FP7- and H2020-supported papers to Scopus was based
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on the digital object identifiers that were available in the lists of publications and complemen-
ted by a fuzzy matching algorithm building on information such as the author names, publi-
cation year, and title.
Overton—a novel database established with an explicit goal to increase the coverage and
comprehensiveness of policy-focused altmetrics—was used to track the uptake of publications
in a range of policy documents. Overton records are built from combining a broad panel of
government sources with web crawling. The base list of governmental sources in Overton in-
cludes a long tail of repositories with just a few documents each. The database indexes more
than two million policy documents produced by national governmental entities, International
governmental organizations and think tanks. While the UPRL dimension presented here was
measured mostly from citations towards peer-reviewed publications originating in evidence
syntheses, scientific advice reports, and some forms of grey literature documents, Overton does
index legislative and executive documents, including governmental white papers or transcripts
of parliamentary sessions. While close to 75% of these records are provided by US, Vereinigtes Königreich, Und
intergovernmental sources, the database also contains more than 100,000 entries from Japan
Und 70,000 from Germany, to take just some examples. Overton coverage extends to the year
2020. FP7- and H2020-supported papers in Scopus were subsequently matched to Overton
using their DOIs.
3.2. Assessing Whether Citations to the Scientific Literature in Overton Reflect Research Input into
Policymaking (Question A)
Despite the shortcomings generally identified for altmetrics approaches, uptake in the policy-
relevant literature (UPRL) stand as arguably the next best candidate to sit alongside patent cita-
tions and clinical guideline citations within the upper tier of comparatively reliable quantitative
indicators of societal outcomes (Wilsdon, Allen et al., 2015). Policy mentions stand a high
chance of capturing a well-defined societal impact in the form of a scientific contribution to
evidence-based policymaking (Bornmann et al., 2016). Citation in policy documents was one
of eight indicators rated as highly important for the evaluation of societal outcomes by the
stakeholders consulted by Willis, Riley et al. (2017).
Prior studies on policy citations used the Altmetric.com database and uncovered a number of
issues (see Section 2.5) worth assessing in the context of the new Overton database, which was
used for this study. Using a random sample of 50 FP-supported publications cited by documents
indexed in Overton, we qualitatively assessed the extent to which UPRL reflect research input
into decision making to address Question A. When some of these publications registered more
than one citation from a policy document in Overton, only the first citation was assessed. Der
original, citing, document was retrieved and reviewed to validate the existence and locate the
citation to the peer-reviewed publication of interest; assess the overall character and content of
the citing document (executive or legislative document; grey literature; affiliations of its authors;
publishing organization, usw); and assess referencing practices (format and presentation of
citations made, as well as apparent motivations for making a citation) in the documents of
interest. Endlich, the lag to UPRL and the share of publications with at least one such citation
were also computed.
By way of additional validation and characterization of the Overton database, and in collabora-
tion with the Overton team, additional measurements of UPRL, beyond FP7- and H2020-supported
Papiere, were taken across the 174 subfields contained in the Science-Metrix classification
(Archambault, Beauchesne, & Caruso, 2011; Rivest, Vignola-Gagné, & Archambault, 2021)
in Scopus. This was achieved by taking a random sample of 1,000 peer-reviewed publications
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The relationship between cross-disciplinary research and its uptake in policy-related documents
(mostly articles, Bewertungen, and conference papers) in each of those subfields. The samples were
restricted to papers published between 2008 Und 2016 for comparability with our core data set
of FP7- and H2020-supported papers (see Section 3.3). Post 2016, the citation window would
also be quite short (see Section 4.1). These publications’ DOIs were then queried against
the Overton database to retrieve information on their UPRL. The Overton team returned, für
each paper in the provided samples, a link to the Overton records that cited it. This data set
enabled estimating the degree of UPRL, of publications in the full Scopus database as well as by
scientific subfield. Endlich, additional qualitative validations of the citation contexts recorded
in Overton were also conducted in two random samples within this ancillary experiment: In
50 randomly chosen citation records irrelevant of subfield; und in 50 randomly chosen records
for the specific subfield of Development Studies, given the high uptake measured in this spe-
cific case.
3.3. Modeling the Relationship Between XDR and UPRL (Question B)
The outcome variable was coded as 1 for papers cited at least once in Overton records and 0
ansonsten. The data set was restricted to publications produced until 2016 (inclusively) erlauben-
ing, mindestens, for a 4-year policy citation window (publication year plus three). This choice
balanced the need to maximize the number of observations with information on the lag from
publication to eventual UPRL (siehe Abbildung 1 in Section 4.1). Statistical models were tested with
and without the publication year as a control, knowing that older papers have a higher chance
of having been cited in a policy document. The final data set contained 126,441 Papiere
published between 2008 Und 2016. These papers were paired to FP7/H2020 project funding,
sometimes more than one, resulting in ~137,000 observations.
Cross-disciplinarity at the paper level was captured through two lenses: DDR (tracks diversity
of integrated knowledge) and DDA. The former is equivalent to the integration metrics of Porter
and Rafols (2009) relying on Science-Metrix’s classification of science (Archambault et al.,
2011) to classify a paper’s cited references by subfield. While the original version of the classi-
fication used journal-level categorization, an updated, hybrid ( journal- and article-level) Ausführung
of the classification has been used here (Rivest et al., 2021). This updated version notably indi-
vidually redistributes articles in generalist journals into the classification categories with support
from deep learning approaches.
The DDA indicator measured diversity as reflected in the prior disciplinary background of a
paper’s coauthors (team multidisciplinarity). Authors were disambiguated using Scopus author
IDs, which produce reliable results at scale (Campbell & Struck, 2019). Science-Metrix sub-
fields were assigned to authors based on their prior publications. DDA was designed to
increase for teams involving authors from different subfields, particularly where these subfields
are not frequently connected in Scopus. This was achieved by adapting the metrics by Porter &
Rafols to the disciplinary profile of coauthors (see the supplementary materials for more
details on the computation of DDA and DDR). DDA and DDR were normalized by sub-
field to avoid coverage biases (Campbell, Deschamps et al., 2015). Other diversity indica-
tors were computed, including the share of women authors, number of authors, and number of
Länder.
The model’s specification accounted for additional characteristics of a paper: subfield/year-
normalized (intraresearch) citation counts and CiteScore, document type, and average number
of prior papers per author. It also accounted for specific characteristics of the papers’ research
projects that are absorbed by the fixed effects (z.B., research teams’ proximity to policymaking,
amount funded, main topic of interest).
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UPRL being measured as a binary variable, this justified the choice of logistic regression to
test the associations between bibliometric variables and UPRL. The estimated coefficients
linked the explanatory variables to the odds that a scientific publication impacts policy. Der
logit function is expressed as
(cid:3)
(cid:1)
log
P
1 − p
¼ α
k
þ
Xq
β
1
jxj þ u
Conditional logistic regression (Agresti, 2012) was used because papers from the same
project may be more similar. Roughly, this specification allowed for each research project to
have a different baseline impact on policy. In the equation above, this is represented by the
subscript k in the α intercept, which was allowed to be different for each research project.
This model is more suited to accounting for the unobserved characteristics of different pro-
jects that could affect estimates in “usual” logistic regressions (if we were able to measure
ihnen). Zum Beispiel, the chances of being cited in written policy may be higher if the lead
of a research team actively collaborates with policymakers.
Different transformations of the same indicators were tested across different models, to test
the robustness of the signal and significance of the estimates and to allow for a better assessment
of the effect sizes of each variable. Erste, the logarithmic forms of highly skewed explanatory
variables were used to reduce the effect of outliers (normalized citation counts, normalized
CiteScore, DDA, DDR, number of authors/countries, and average number of papers per author).
The remaining less skewed variables were not transformed. The second model was based
on the original form of all variables. In the third specification the explanatory variables were
divided by their standard deviations (except for the variable document type). daher, Die
odds ratios from this specification refer to the changes in the odds of UPRL associated with
one standard deviation in the explanatory variable. This allowed for comparisons across vari-
ables in Model 3, although caution is advised, as changes of one standard deviation in highly
skewed variables are usually less likely. The standardized model (d.h., third specification) War
the base of the main observations regarding effect sizes in this study. Further alternative spec-
ifications were used to test the robustness of the study’s findings (see Section 4.2.2).
4. ERGEBNISSE
4.1. General Statistics on the Level of, and Lag to, UPRL, as well as an Assessment of the Citation
Context (Question A)
Prior work reported between 0.32% Und 1.41% of publication sets being cited by at least one
policy document (Bornmann et al., 2016; Haunschild & Bornmann, 2017; Tattersall & Carroll,
2018). Our results strongly contrast this work, with a figure of 6.0% for the entire data set of
FP-funded publications, 8.6% for the subset limited to UK publications, Und 5.1% für die
subset of nonUK publications. The difference between the three groups could reflect the
coverage bias of Overton in favor of the United Kingdom.
While other studies could not provide robust data on intervals to policy citation peak (In
terms of share cited), results from our global data set of FP7- and H2020-supported papers
shows that this peak may take place around the third year after publication year for 2008–
2011 Papiere (dotted line, Figur 1); for 2012–2015 papers, the peak was between the second
and third years after publication year (data not shown). About 50% of the papers cited in policy
had received their first citation 3 years after publication year (solid line, Figur 1). Diese
findings also hold true for the subset of papers from the United Kingdom. Das deutet darauf hin
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Figur 1. Uptake in policy-relevant documents of FP7- and H2020-funded papers by number of year(S) after publication, 2008–2011 (source:
Scopus and Overton).
policy altmetrics could find practical use in midterm or expost (near the end as opposed to well
nach) program evaluations, to a greater extent than previously envisaged.
The qualitative assessment of a subset of UPRL found that none of 50 UPRL citations were a
“technical false positive,” that is, a mention to the cited publication that could not be retrieved
in the original, citing, policy-relevant document. A group of six Overton records of UPRL
could be considered “conceptual false positives,” in that the original citing documents were
found to really be scientific publications rather than grey literature reports or governmental
white papers. These were copies of articles made available online on institutional websites
rather than on journal websites. An additional four citations were made from “hybrid” docu-
ments authored by academic authors but published by governmental or think tank organiza-
tions and whose content was judged to be very similar to that of formal peer-reviewed research
output. The remaining 40 citations originated from policy documents that must be considered
part of the “regulatory science” or science advisory branches of governance systems. Most of
these documents appeared to have been authored by government scientists (sometimes in col-
laboration with academic scientists or scholars). Many consisted of syntheses and reviews of
research findings without explicit conclusions for policy formulation or implementation. Also,
while these citations should not be interpreted as indicative of advanced policy outcomes of
research directly reaching the legislative or executive processes, they can be seen as achieve-
ments in contributing to the first stages of these processes, at the intersection between gover-
nance and academia. Within the 44 citations that can be considered valid, only four did not
make a clear reference to the cited publication in the body of the document’s text. These made
use of the reference to provide prior findings, or support theory- or method-building. Endlich,
only in six cases was the reference made as part of a grouped citation containing multiple
Quantitative Science Studies
629
The relationship between cross-disciplinary research and its uptake in policy-related documents
Verweise (four or more citations). Examples of policy-relevant documents found in the sample
for the qualitative analysis included:
1. multiple IPCC reports, including an IPCC expert testimony before the U.S. House of
Representatives Select Committee on the Climate Crisis
2. a “literature review and horizon scanning” from the U.K. Animal and Plant Health
Agentur
3. a EC Directorate-General for Employment, Social Affairs and Inclusion research brief
conducted by a researcher at the London School of Economics and Political Science
4. a position report from the Ghanaian think tank IMANI Center for Policy and Education
5. an OECD country-level analysis for Sweden on immigration and diversity issues
6. an evidence synthesis written by an international team of researchers for the Arctic
Council.
7. an evidence synthesis written for Interpol forensic science managers by a mixture of
university researchers and forensics professionals
8. a World Health Organization white paper titled The global plan to stop TB 2011–2015:
9.
transforming the fight towards elimination of tuberculosis
the World Meteorological Organization report Seamless prediction of the Earth system:
from minutes to months
10. a workshop report on legal, ethical and societal issues related to Human enhancement
and the future of work, jointly organized by the Royal Society, the Academy of
Medical Sciences, and the British Academy. Rather than presenting the presentations
made by researchers at the workshop themselves, the committee members (beide
academics and nonacademics) synthesize observations and arguments across around
themes of their own invention
Results on the share of publications with at least one UPRL citation within the random sam-
ples of the Scopus database show that the results described above for FP7- and H2020-funded
papers likely hold in a broader context. By aggregating (using a weighted average) the results
obtained with the random samples taken across all subfields, it was estimated that 5.8% (sta-
bility intervals of 5.7%–5.9%) of Scopus records between 2008 Und 2016 received at least one
UPRL citation in Overton. Jedoch, results varied greatly by year as well as by Science-Metrix
subfield or domain. Figur 2 illustrates this observation for the main domains in the Science-
Metrix classification. Table S5 in the supplementary materials shows that the share of publi-
cations with at least one UPRL citation range from 47.0% for Development Studies to 0.1% für
Mathematical Physics and Drama & Theater.
Here again, qualitative validation of Overton citations indicates that these measurements some-
what overestimate the proportions of peer-reviewed publications to achieve UPRL. In the sample
von 50 random publications taken from all subfields, there was one technical false positive (the cited
peer-reviewed publication could not be located in the policy-relevant document), Und 12 concep-
tual false positives. These conceptual false positives included many borderline cases that are
unlikely to be correctly classified by automated means alone, einschließlich
(cid:129) three instances of PhD dissertations conducted seemingly in collaboration with govern-
mental agencies, posted on these agencies’ websites and categorized as policy docu-
ments by Overton
(cid:129) two UK NICE medical guidelines where the citation was traced back to the “excluded
studies” section of the bibliography
(cid:129) cases of governmental institutes listing their own publications within their annual reports
Quantitative Science Studies
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Figur 2.
2008–2016 (source: Scopus and Overton).
Estimated share of publications with at least one UPRL citation in Overton for the whole of Scopus as well as research domain,
We would suggest that in some research or evaluation designs, these instances (most notably
cases of PhD dissertations that could be confirmed to have been expressly conducted with a clear
aim for application in policymaking contexts) may even be considered as true positives.
In the subset of UPRL citations to Development Studies publications, we have 41 validated
entries. The other records included instance of a policy-relevant document no longer being
available online and disallowing the validation attempt; one technical false positive; Und
seven conceptual false positives.
4.2. Modeling the Link Between Cross-Disciplinary Research and Uptake in Policy-Relevant
Unterlagen (Question B)
4.2.1.
FP-supported papers with at least one UK-based author: Main specifications
Tisch 1 summarizes the main results from statistical modeling for the sample of FP7- Und
H2020-funded papers with at least one UK-based author. Coefficients were mostly significant
at an alpha of 0.01, while some were only so at 0.05. Assessment of effect sizes in terms of
probability is challenging, even when using the standardized odds ratios (Modell 3). The effect
on the probability of being cited depends not only on the change in the explanatory variable,
but also on the initial value of the probability (d.h., the relationship between the odds ratio and
variation in probability is not linear). Hier, we focused on the effect sizes of the standardized
coefficients (Modell 3) for initial values roughly corresponding to our sample’s share of papers
cited in policy documents (d.h., a baseline probability of 10%).
Using this standard, this paper mostly focuses on DDA and DDR coefficients, as they are the
ones directly related to our core research question, the others being included as controls.
Quantitative Science Studies
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Results of logistic regression for UPRL, of FP-funded publications with at least one UK-based author, 2008–2016 (source: Scopus and Overton)
Logistic regression for variables in logarithmic form and in level
Variable
Normalized citation score
Log-transformed (Modell 1)
Coefficients
0.960*** (0.035)
Odds ratio
2.613
Level (Modell 2)
Level – for one standard dev. (Modell 3)
Coefficients
0.086*** (0.006)
Odds ratio
1.09
Coefficients
0.613*** (0.043)
1.846
Odds ratio Δp (baseline = 10%)
Normalized CiteScore
0.024 (0.063)
1.024
0.153*** (0.021)
Document type (Review = 1)
0.727*** (0.101)
2.07
0.507*** (0.096)
Multidisciplinary (DDA)
0.234*** (0.058)
1.264
0.109*** (0.026)
Interdisziplinarität (DDR)
0.017 (0.125)
1.017
0.07 (0.089)
Number of authors
−0.111** (0.048)
0.895
−0.006*** (0.001)
Number of countries
0.163*** (0.063)
1.178
0.074*** (0.011)
Proportion of female authors
0.300** (0.152)
1.35
0.152 (0.143)
Avg. number of papers
0.107*** (0.040)
1.113
0.003*** (0.001)
1.166
1.661
1.115
1.073
0.994
1.077
1.164
1.003
0.207*** (0.029)
1.23
0.507*** (0.096)
1.661
0.129*** (0.031)
1.138
0.032 (0.041)
1.033
−0.780*** (0.176)
0.458
0.279*** (0.040)
1.322
0.033 (0.031)
1.033
0.115*** (0.039)
1.122
per author
Beobachtungen
Log Likelihood
Wald Test (df = 9)
LR Test (df = 9)
37,897
−3,446.58
1,046.660***
1,345.617***
Score (Logrank) Test (df = 9)
1,316.022***
37,897
−3,754.04
528.910***
730.702***
766.147***
37,897
−3,754.04
528.910***
730.702***
766.147***
7.0%
2.0%
5.6%
1.2%
0.3%
−5.2%
2.8%
0.3%
1.1%
Notiz: Binary logarithms of normalized citation counts, normalized CiteScore, DDA, DDR, number of authors/countries, and average number of papers per author were used in Model 1.
daher, the odds ratio of these coefficients refers to the variation in odds associated with a twofold change in the explanatory variables. *P < 0.1; **p < 0.05; ***p < 0.01.
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The relationship between cross-disciplinary research and its uptake in policy-related documents
Results for DDA suggested that bringing together authors from different subfields of science
is positively associated with UPRL, with an associated increase in the probability of 1.2 per-
centage points for each additional standard deviation in this variable (Model 3, Table 1). DDR
was not statistically associated with UPRL after controlling for DDA, but it was without con-
trolling for DDA (Table 2, Model 7) (see further discussion of this result in Section 4.2.2). The
models, with or without publication year as a control, provided similar results (Supplementary
material Table S4 Model 15). Controlling for authors’ seniority, prior publication visibility
(through the CiteScore indicator), and prior publication citation impact likewise did not sub-
stantially alter the previous results (Supplementary material Table S4 Model 16).
4.2.2. Alternative model specifications
Table 2 expands the previous analysis, reporting on the findings from statistical models similar
to Model 3 from Table 1. Models 4 and 5 reproduced Model 3, but for different sets of papers
(see Table S3 in the supplementary material for odds ratios):
(cid:129) Europe (Model 4), corresponding to all FP-supported papers, regardless of the authors’
affiliation countries
(cid:129) Europe nonUK (Model 5), corresponding to all papers in the data set except those having
at least one UK-based author (i.e., those in the data set for Model 3)
The coefficients for DDA and DDR showed the same signs and statistical significance in the
three models. However, the lower coefficient observed for DDA in Model 5 (non-U.K. authors)
suggests that multidisciplinary collaboration had less importance in driving UPRL for nonUK
publication output, or that the coefficient in this model was affected by the lower coverage of
Overton outside the United Kingdom. This latter hypothesis may very well be at play consid-
ering the lower share of papers cited in Overton for non-U.K. papers (5.1%) compared to U.K.
papers (8.6%).
The coefficients of most of the remaining variables were also comparable across the three data
sets used in Models 4 and 5 (Table 2). In two cases (number of authors and average number of
papers per author), the coefficients in the non-U.K. data set were no longer statistically different
from zero. These two indicators were included as control variables with no prior expectations
regarding their signs. As with DDA, these differences may have reflected cross-countries
differences in the coefficients or may have resulted from differences in coverage among dif-
ferent countries. The fact that none of the coefficients presented different signs in these different
data sets pointed to some degree of robustness in this indicator as one way to capture UPRL.
Models 6, 7, and 8 (Table 2) are based on the same set of U.K. authors from Table 1.
However, they were set up to provide additional insights into the association between each
variable of XDR (DDA or DDR) and UPRL. The first point to be highlighted is that the associ-
ation between DDA and UPRL is less dependent on model choice. This association was pos-
itive and significant whether DDR was controlled for or not, and in other models provided in
the supplementary material (Table S4). The exception was for the model that included an in-
teraction term for DDA and DDR (Table S4 Model 9). This interaction variable, however, in-
troduced excessive collinearity in the model, resulting in estimates that were not statistically
significant for DDA, DDR, or DDA*DDR1.
1 The variance inflation factors ( VIF) in the model with the interaction term were: 6.4 for DDA*DDR, 5.2 for
DDA, and 1.68 for DDR. The high VIFs for DDA and DDA*DDR explained the lack of statistical significance
for these terms in this model.
Quantitative Science Studies
633
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Table 2.
Results of logistic regression for UPRL of FP-funded publications, 2008–2016: alternative specifications (source: Scopus and Overton)
Logistic regression for variables in level
Models for one standard deviation
Variable
Normalized citation score
UK base
Model 3
0.613*** (0.043)
EU
Model 4
0.604*** (0.022)
EU nonUK
Model 5
0.655*** (0.028)
UK_a
Model 6
0.615*** (0.043)
UK_b
Model 7
0.618*** (0.043)
UK_c
Model 8
0.612*** (0.043)
Normalized CiteScore
0.207*** (0.029)
0.146*** (0.015)
0.101*** (0.021)
0.208*** (0.029)
0.209*** (0.029)
0.208*** (0.029)
Document type
(Review = 1)
0.507*** (0.096)
0.722*** (0.054)
0.813*** (0.071)
0.489*** (0.095)
0.497*** (0.095)
0.510*** (0.096)
Multidisciplinary (DDA)
0.129*** (0.031)
0.101*** (0.016)
0.065*** (0.021)
0.142*** (0.029)
0.132*** (0.032)
Interdisciplinarity (DDR)
0.032 (0.041)
0.021 (0.021)
0.015 (0.025)
0.088** (0.038)
0.014 (0.042)
Number of authors
−0.780*** (0.176)
−0.635*** (0.076)
−0.008 (0.018) −0.768*** (0.174)
−0.776*** (0.175)
−0.775*** (0.176)
Number of countries
0.279*** (0.040)
0.251*** (0.018)
0.106*** (0.017)
0.277*** (0.040)
0.295*** (0.040)
0.276*** (0.040)
Proportion of female
0.033 (0.031)
0.021 (0.016)
0.022 (0.020)
0.03 (0.031)
0.031 (0.031)
0.032 (0.031)
authors
Avg. number of papers
0.115*** (0.039)
0.052*** (0.020)
0.035 (0.025)
0.119*** (0.039)
0.101*** (0.039)
0.118*** (0.039)
per author
Fewer than 2 authors
(Fewer than 2 authors) *
DDR
Observations
Log Likelihood
Wald Test
LR Test
37,897
−3,754.04
137,419
−12,927.03
99,522
−7,756.73
38,426
−3,793.02
37,897
−3,762.98
37,897
−3,752.12
528.910*** (df = 9) 1,836.020*** (df = 9) 1,004.670*** (df = 9) 534.920*** (df = 8) 510.950*** (df = 8) 532.400*** (df = 11)
730.702*** (df = 9) 2,473.643*** (df = 9) 1,413.255*** (df = 9) 738.604*** (df = 8) 712.811*** (df = 8) 734.541*** (df = 11)
−0.592* (0.305)
0.230* (0.120)
Score (Logrank) Test
766.147*** (df = 9) 2,714.351*** (df = 9) 1,410.890*** (df = 9) 777.312*** (df = 8) 748.805*** (df = 8) 769.708*** (df = 11)
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The relationship between cross-disciplinary research and its uptake in policy-related documents
Model 7 revealed a positive association between DDR and UPRL when DDA is excluded
from Model 3 (Table 2). Model 8 further investigates the association between DDR and UPRL,
while accounting for DDA, to reveal conditions under which both XDR variables might be
associated with UPRL. Briefly, a variable indicating papers written by one or two authors
was interacted with DDR to estimate the correlation between DDR and UPRL within this
group of papers, where DDA is not expected to be of major importance2. The results showed
that, at least for this group of papers (with one or two authors), the model was able to capture a
positive association between DDR and UPRL3. It is possible that the existing correlation be-
tween DDA and DDR for papers involving a higher number of authors may be affecting the
estimated effect of DDR on UPRL in Model 3. Within this hypothesis, the association between
DDR and UPRL could not be measured for papers involving more authors due to collinearity
between DDA and DDR.
Other specifications were tested to assess the robustness of the estimates for the relationship
between XDR and UPRL. Except for the case described in the previous paragraph, the signal
and coefficient of DDA remained stable in models including quadratic terms4 for DDA, DDR,
number of authors, and countries. The results were also stable for models including year fixed
effects (in the form of dummies for year of publication of the papers).
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5. DISCUSSION AND CONCLUSIONS
5.1. Discussion of Main Findings
While prior studies using quantitative analysis of (what they called) policy citations towards
research publications saluted the comparatively sound conceptual basis of the use of citations
originating in policy documents and made towards peer-reviewed publications to monitor
some of the societal outcomes of research, they found cause for caution in the current infra-
structure available for its implementation. Here, the feasibility of this altmetrics approach to
the quantitative measurement of societal outcomes of research was assessed in a large data set
of publications (~117,000) resulting from FP7 and H2020 projects using Overton—a novel
database focused on policy documents and on policy-related outcomes of research.
5.2. Question A
Following a preliminary quantitative and qualitative assessment of Overton data in this context
(Question A), the new database appears as an important addition to the quantitative toolbox of
altmetrics and other instruments for tracking such societal research outcomes. Indeed, at least
one UPRL could be found for as many as 6% of publications from these EU-funded research
projects using Overton, a much higher figure than reported in any of the previous studies using
alternative data sources, although the publication sets used were admittedly quite differently
constructed in each study (Bornmann et al., 2016; Haunschild & Bornmann, 2017; Tattersall &
Carroll, 2018). In fact, this figure was as high as 42% and 72% in some subfields (Political
Science & Public Administration; and Economics). The value of Overton in the altmetrics
toolbox is also supported by the observation of numerous citation peaks between years 2
and 3 after publication, which means this data source shows potential for informing
2 By definition, DDA is 0 for single-authored papers. The DDA of papers with two authors may be heavily
impacted by copublications between professors and PhD students (which is prone to have low DDA).
3 With the effect estimated by adding the coefficient of DDR (0.014) and (one or two authors) × DDR (0.230) =
0.244; se = 0.1168, p = 0.037.
4 To test the possibility of nonlinear associations.
Quantitative Science Studies
635
The relationship between cross-disciplinary research and its uptake in policy-related documents
decision-making in a timely manner. Additionally, in an ancillary qualitative evaluation of the
reliability of Overton data, it was found that the number of false positives in that database
should be low, and that the motivations behind citation acts were generally clear and
convincing.
This research has identified evidence synthesis reports, scientific advice reports, and other
grey literature as the main type of citing documents retrieved in the Overton database. We
certainly cannot argue that these documents capture in-depth societal or policy change that
might have been set in motion by the findings contained in the peer-reviewed publications
under study. Nevertheless, they likely indicate an incremental gain in the likelihood of policy
impact above the cited peer-reviewed articles, an interpretation supported by studies that
highlight policymakers’ continued appreciation for knowledge syntheses and grey literature
reports (Lawrence, 2018; Lawrence, Houghton et al., 2014). To capture definitive evidence
of policy impact from research, qualitative or expert assessment methods remain necessary
in the future, although it must be noted that even these exercises face their own set of difficul-
ties and are by no means straightforward to conduct and interpret, nor inexpensive (Fowle,
Wells et al., 2020).
We fully recognize the complex, nonlinear features of interaction between “evidence-
making” and policymaking practices (Brownson, Chriqui, & Stamatakis, 2009). To us, this general
argument motivates the use of quantitative proxy indicators that capture increased probabilities
for policy–evidence interactions—complemented by careful interpretation—as a useful albeit
imperfect addition to the toolbox of societal outcomes measurement. This is especially so given
the fact that most executive and legislative documents should not be expected to make clear
references, in the style of scientific citations, to specific studies. There are two reasons for this.
First, policy impact is expected to derive from a collectively produced body of research and
evidence than from any single project taken individually (Weiss, 1979). Secondly, even in
those rare cases where legislative or executive change can be pinpointed to specific studies
(Warner & Tam, 2012), the association is not often made in the relevant texts in a format that
can be automatically retrieved through text mining or other techniques. Typically, mentions of
academic research findings in a parliamentary document may take the form of an expert
testimony by a participant in a relevant research project, but with no clear mentions toward
discrete research articles.
We would argue that given the inherent difficulty of tracking science policy interactions,
and given the shortcomings of prior strategies, the addition of even an imperfect quantitative
strategy offers a net gain for the toolbox on measuring the societal outcomes of research.
Levels of “science advice citations” can be triangulated with findings from qualitative
methods, or can be used in mixed-methods strategies to focus more demanding investigations
towards a subset of promising developments. On their own, UPRL measurements are likely to
indicate groups of publications with a higher pull for policymakers. We contend that they are
more likely to contribute to the aggregate body of knowledge that policymakers draw from
during complex policy formulation and implementation processes.
5.3. Questions B and C
The assumption that XDR is more likely to foster broad societal outcomes than disciplinary
research has been highly prevalent in current policymaking and research, but there is surpris-
ingly little work that directly tests this relationship. In their basic formulation (Model 3), our
regression models using the above sample of FP7- and H2020-publications showed that higher
UPRL is associated with collaborative XDR (DDA) but not intellectual integration of
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disciplines, narrowly defined (DDR). However, complementary analyses using alternative
specifications showed that DDR has a positive link to UPRL when DDA is not accounted
for, or when both DDA and DDR are included, adding an interaction term between DDR
and a binary variable to identify papers with one or two authors.
As previously explained, high DDR can be achieved by single authors or small teams even
though the likelihood of high DDR increases with DDA, which itself partly correlates with
team size. The correlation between DDR and DDA would provide a potential explanation
to the pattern observed in Model 3 (Table 1) where the effect of DDA could be encapsulating
those of DDR, meaning that DDR could still have an effect in larger teams. Under this hypoth-
esis, Model 8 (Table 2) would be able to show a relationship between DDR and UPRL for
papers with one or two authors as, for this group, lower levels of correlation between DDR
and DDA are observed (Pearson coefficient = 0.22 vs. 0.38 for all papers). An alternative
explanation for the results from Model 8 would be that the relationship between DDR and
UPRL is only valid for papers with one or two authors, with no effect of DDR in larger teams.
Given all the findings (from multiple models) presented here, we see no evidence to reject a
potential effect of DDR on UPRL, even in larger research teams, and this relationship should
be considered in future research. Overall, the models presented in this paper (and the supple-
mentary material) offer more evidence of an effect of DDA on UPRL and suggest a plausible
relationship between DDR and UPRL that may not have been fully uncovered in our models
due to the existence of collinearity between the two variables used to measure XDR.
We contend that our positive findings for Question A and Question B provide a basis for
selecting instruments that implement DDA when designing research funding programs with an
explicit goal to increase societal outcomes, in the form of increased knowledge transfer to-
wards policymakers (Question C). This conclusion holds implications for the conduct and
evaluation of policies and programs aiming to support research with an orientation towards
societal impact, and especially, towards impact on research-informed policymaking. Based on
our findings, if those programs’ publications in the aggregate do display higher DDA than prior
publications by the same team, then these papers should tendentially exhibit greater UPRL. Of
course, not all programs promoting XDR, and even projects within a program, will be equally
successful at driving XDR and in generating subsequent policy uptake; XDR is at best expected
to be one out of many contributing factors influencing the complex phenomenon driving
UPRL, possibly none with a large size effect. Accordingly, even if the answer to Question C
is that programs promoting XDR increase the odds of their research outputs being taken up in
policy, it should not be used as a justification to bypass actual measurements of a program’s
achievement in ex-post research evaluations.
We also found that scientific citations correlate quite strongly with UPRL citations, indicat-
ing that policymakers may rely on traditional markers of excellence when seeking out scientific
evidence to support their activities; or that work with a higher relevance for policy may also
tend to be more highly cited. Reverse causality is a relevant hypothesis for the correlation
observed between scientific and policy UPRL citations. In many cases, UPRL could even have
preceded scientific citations, included in the models mainly to control for a possible indirect
link between cross-disciplinarity and UPRL through a higher impact within the scientific
community.
5.4. Limitations
Going forward, it will be possible to deploy the Overton database as well as the research strat-
egies implemented here in two core contexts: in quantitative research on XDR, societal
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outcomes of research, and/or the development of altmetrics, and also in the applied context of
(research and innovation) program evaluation. In the later context, we advocate for UPRL
analysis to be used in an investigative manner, to answer well-defined research questions that
elucidate major mechanisms of action for the program under review. This use of the metric in
benchmarking exercises should provisionally be paired with very cautious interpretation. For
instance, our results are subject to a number of limitations:
(cid:129) UPRL captures only a subset of science policy interactions, with prior reports showing
that most knowledge transfer takes place through tacit and local engagement rather than
formal channels; nevertheless, the high shares of policy citedness among EU-funded
papers reported here may indicate that the importance of formal channels for knowledge
transfer towards policy has been underestimated.
(cid:129) The Overton database has yet to be the subject of sustained investigation in the alt-
metrics and bibliometrics communities; further work is necessary to better understand
the limitations of this data set. Particularly, the citations from policy-relevant documents
retrieved for the set of publications examined originated to a large extent from regula-
tory science or scientific advisory documents rather than executive or legislative docu-
ments. This observation indicated that although some societal impact had been
achieved by the peer-reviewed publications examined, this impact was located very
much in the first steps of the evidence-based policymaking process, rather than in the
deeper stages of integration. Note that Overton does contain records on executive and
legislative documents, and that our finding may be a function of the specific publication
set used here.
(cid:129) The binary indicator used to represent UPRL does not capture the differences in the num-
ber of UPRL citations received by scientific papers. Papers are treated similarly whether
they have been cited only once or many times in policy documents. This option was
shaped by the low proportion of papers being cited in policy and by the observation that
the number of citations received may be a less precise indicator compared to the binary
variable chosen, especially in a database that has not been frequently used before in such
types of work.
(cid:129) As described in Section 4.1, the qualitative assessment of Overton showed that some of its
citation records did not fall under the concept of UPRL employed in this paper. These false
positives and the fact that Overton does not cover all policy-related documents reveal that
even the binary indicator of UPRL may carry errors that would introduce noise in the
models reported. The most likely consequence of this situation is a reduction in our ability
to detect links between explanatory variables and UPRL. Future improvements in Overton
or future research should allow for more precise estimates of the relationships reported
here.
(cid:129) Our results indicate that caution should be exerted if using Overton-based metrics in a
program evaluation context. First, the results reported are based on a sample of publi-
cations from the FPs for Research and Technological Development (i.e., FP7 or H2020).
Whether these results are valid for other types of funding initiatives remains open for
further research. However, the results should be useful to inform funding bodies and
programs with similar characteristics and goals.
(cid:129) A second limitation of using Overton-based metrics in research evaluations is coverage
bias, highlighted by the lower share of papers cited in Overton for non-U.K. papers
(5.1%) compared to U.K. papers (8.6%). Similarly, research does not appear to be equally
relevant to policy across disciplines, highlighting the importance of accounting for such
differences in comparatives studies.
Quantitative Science Studies
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(cid:129) Causal claims about regression coefficients based on observational data sets are usually
unlikely. Nevertheless, the models reported here accounted for a considerable selection
of confounders and for fixed effects for research projects. It should help to approximate
these coefficients to the actual causal relationship, compared to simple measures of cor-
relations that do not account for the effect of confounders. However, the closeness of the
reported coefficients and the true causal relationships is hard to be assessed.
Triangulation with future work, quantitative or qualitative, should help to validate the
findings reported in this paper.
Future research work could test for potential effects, on the XDR-UPRL relationship, of a
number of additional factors: shared authorship between scientific publication and policy-
relevant documents (i.e., including self-citation); or the use of disciplinary diversity indicators
beyond DDA and DDR (Hackett et al., 2021; Leydesdorff, Wagner, & Bornmann, 2019).
ACKNOWLEDGMENTS
The authors wish to thank Euan Adie of Overton for offering generous access to the database
and his contributions to its characterization. The study team also acknowledges key contribu-
tions from Maxime Rivest in the implementation of the DDA indicator in the Science-Metrix
implementation of Scopus. Colleagues and participants in an internal Elsevier Research
Analytics & Data Services, as well as Athina Karvounaraki and Tiago Pereira from DG
Research & Innovation, provided useful comments on preliminary findings related to this pub-
lication. We thank Beverley Mitchell for support in copyediting.
AUTHOR CONTRIBUTIONS
Henrique Pinheiro: Conceptualization, Data curation, Formal analysis, Investigation,
Methodology, Software, Validation, Visualization, Writing—original draft, Writing—review &
editing. Etienne Vignola-Gagné: Conceptualization, Data curation, Formal analysis,
Investigation, Methodology, Validation, Writing—original draft, Writing—review & editing.
David Campbell: Conceptualization, Data curation, Formal analysis, Funding acquisition,
Investigation, Methodology, Project administration, Software, Supervision, Validation, Writing—
original draft, Writing—review & editing.
The three authors consider that their differentiated contributions to this article’s research
and writing strictly balance out in value and intensity.
COMPETING INTERESTS
The authors are employees of Science-Metrix, an Elsevier company.
FUNDING INFORMATION
This research was funded through mandated work conducted for the European Commission
Directorate General for Research and Innovation.
DATA AVAILABILITY
We have added extensive supplementary materials to the article, which should help clarify
many of the methodological choices, and provide high-level descriptions of the data sets, used
by the research team. Overton is a commercial database for which access was partially
secured on a fee-for-service basis by Science-Metrix, as part of its own service offer to the
Quantitative Science Studies
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The relationship between cross-disciplinary research and its uptake in policy-related documents
European Commission DG Research and Innovation. Overton provided additional comple-
mentary access for the purposes of this publication. The authors are not able to provide
unaggregated Overton data under their license agreement. Article-level normalized findings
for interdisciplinarity and multidisciplinarity are proprietary data of Elsevier.
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