主成分分析与因子分析法适合科技评价吗?——以学术期刊评价为例

Are Principal Component Analysis and Factor Analysis Suitable for Scientific and Technological Evaluation?——Taking Academic Journals as an Example

针对主成分分析和因子分析广泛应用于科技评价,但是对评价方法选用缺乏检验问题。本文建立了主成分分析与因子分析评价方法适用性的检验框架与检验体系,从评价前检验、评价中检验、评价后检验3个角度进行检验。评价前检验包括KMO检验、Bartlett检验、正态分布检验;评价中检验主要是评价指标信息损失检验;评价后检验主要包括主成分或公共因子的解释力检验、代表性检验、指标单调性检验和权重合理性检验。并以JCR 2015经济学期刊为例进行了实证分析,研究认为,采用主成分分析和因子分析评价必须进行方法适用性检验;因子分析在信息损失较大时不适用于科技评价;主成分分析并不适合评价对象较多的情况。

Principal component analysis and factor analysis were widely used in science and technology evaluation,however,the selection of evaluation methods was lack of inspection. In this paper,the test framework and test system for the applicability of principal component analysis and factor analysis were established. It had three perspectives： pre evaluation,test in evaluation,and post evaluation test. The pre test includes KMO test,Bartlett test and normal distribution test; Test in evaluation included information loss test of evaluation index; The post test includes the explanatory power test,the representativeness test,the index monotonicity test and the weight rationality test. This paper suggested that the method suitability test should be carried out by principal component analysis and factor analysis; Factor analysis was not generally applicable to science and technology evaluation; Principal component analysis was not suitable for the evaluation with more objects.