本文選題：睡美人文獻(xiàn) + 王子文獻(xiàn)��； 參考：《南京大學(xué)》2017年博士論文

【摘要】：科學(xué)中的"睡美人"文獻(xiàn)這一概念是從文獻(xiàn)計(jì)量學(xué)角度對科學(xué)社會學(xué)領(lǐng)域延遲承認(rèn)現(xiàn)象所做的定量描述,是指文獻(xiàn)在發(fā)表后相當(dāng)長一段時期內(nèi)被引次數(shù)為零或被引極少,仿佛是在"沉睡",而在一個時間點(diǎn)后突然高被引,就象被喚醒一樣,起喚醒作用的文獻(xiàn)常被稱為"王子"文獻(xiàn)。睡美人文獻(xiàn)和延遲承認(rèn)現(xiàn)象的本質(zhì)是科學(xué)研究的超前性或變革性。本文針對睡美人文獻(xiàn)的識別方法與喚醒機(jī)制開展系統(tǒng)研究,目的是希望能找到睡美人文獻(xiàn)的若干線索。這樣,在潛在睡美人文獻(xiàn)被引次數(shù)很少時就能夠及時發(fā)現(xiàn)其睡美人潛質(zhì)并推薦給學(xué)術(shù)共同體,以縮短重要科學(xué)發(fā)現(xiàn)的認(rèn)可時滯。"睡美人"文獻(xiàn)的識別方法與重要特征研究。借鑒美麗指數(shù)(B指數(shù))基本框架,將"年度被引次數(shù)"優(yōu)化為"年度被引次數(shù)累積百分比",提出一個新的無參數(shù)指標(biāo)——Bcp指數(shù)。該指數(shù)考慮了觀察期內(nèi)論文全部的引文曲線,且對早期被引次數(shù)較低且總被引次數(shù)不算特別高的睡美人文獻(xiàn)更敏感,不僅符合睡美人文獻(xiàn)早期零被引和低被引的特征,有利于挖掘平常易被忽視的非高被引文獻(xiàn)中睡美人文獻(xiàn)的存在規(guī)律,也解決了不同學(xué)科領(lǐng)域論文被引規(guī)模差異導(dǎo)致的難以給出睡美人文獻(xiàn)統(tǒng)一的操作性定義的問題。通過數(shù)據(jù)分析和典型案例研究揭示了睡美人文獻(xiàn)的一些重要特征,一是多出自跨學(xué)科研究和綜合性期刊,二是多具有潛在的技術(shù)與應(yīng)用屬性,而非人們直觀認(rèn)為的純科學(xué)屬性。例如,睡美人文獻(xiàn)的研究內(nèi)容多為應(yīng)用導(dǎo)向型研究,睡美人文獻(xiàn)與普通文獻(xiàn)相比,更易被專利引用,被專利首次引用年也常早于喚醒年;產(chǎn)品(如新藥)核心專利引用過的非專利文獻(xiàn)中,"睡美人"文獻(xiàn)的比例更高。三是近年諾獎得主的高質(zhì)量論文(作為一組樣本)從其整個被引生命周期來看多表現(xiàn)出被引延遲的特征。王子文獻(xiàn)的識別方法與睡美人文獻(xiàn)的喚醒機(jī)制研究。針對目前學(xué)界對"王子-睡美人"文獻(xiàn)有直接施引關(guān)系和同被引關(guān)系兩種理解,本文提出一個適于變革性研究的文獻(xiàn)計(jì)量學(xué)框架,用于識別王子文獻(xiàn):①發(fā)表于被引突增的附近年份;②本身被引次數(shù)較高;③與睡美人文獻(xiàn)的同被引次數(shù)高;④在年度被引次數(shù)曲線上,王子對睡美人文獻(xiàn)的"牽引"作用應(yīng)非常顯著,即在睡美人文獻(xiàn)被引突增的臨近年份,王子的年度被引次數(shù)應(yīng)高于睡美人。超前性研究往往超前于現(xiàn)有認(rèn)知領(lǐng)域,科學(xué)共同體不知其存在或意識不到其潛在知識價值,因此易被忽視;變革性研究由于顛覆現(xiàn)有研究范式,科學(xué)共同體對此保持較大的心理距離,從而低估其知識價值,因此易被抵制。王子文獻(xiàn)出現(xiàn)后,才促使學(xué)術(shù)共同體了解到睡美人文獻(xiàn)的創(chuàng)新思想;有了王子文獻(xiàn)率先施引或作為線索,才促使后續(xù)學(xué)者開始頻頻引用睡美人文獻(xiàn),或?qū)?王子-睡美人"文獻(xiàn)同時引用。喚醒當(dāng)時,學(xué)術(shù)共同體對王子文獻(xiàn)的熟悉程度要高于睡美人文獻(xiàn),因此王子文獻(xiàn)的年度被引次數(shù)也應(yīng)高于睡美人文獻(xiàn)。對2014年諾貝爾化學(xué)獎——超分辨率熒光顯微鏡(打破物理學(xué)領(lǐng)域衍射極限的傳統(tǒng)范式)案例研究顯示,采用該框架識別出的王子文獻(xiàn)與該領(lǐng)域科學(xué)史事實(shí)一致。在此基礎(chǔ)上,本文識別出幾篇典型的睡美人文獻(xiàn)的王子文獻(xiàn),對睡美人文獻(xiàn)被引突增過程中,王子文獻(xiàn)的誘導(dǎo)或牽引作用進(jìn)行了深入分析,歸納出六種喚醒機(jī)制:①從理論到實(shí)踐的轉(zhuǎn)化式喚醒;②跨學(xué)科領(lǐng)域喚醒;③多篇睡美人文獻(xiàn)孕育的重大突破被同一篇王子文獻(xiàn)喚醒;④新型技術(shù)規(guī)避安全風(fēng)險后被喚醒;⑤二次文獻(xiàn)引薦型喚醒;⑥技術(shù)驅(qū)動重大科學(xué)發(fā)現(xiàn)/理論的喚醒。零(低)被引論文潛在價值的關(guān)鍵標(biāo)志研究。Faculty of 1000數(shù)據(jù)庫從專家評議角度對全球生物醫(yī)學(xué)領(lǐng)域有重要創(chuàng)新價值和科學(xué)貢獻(xiàn)的文獻(xiàn)進(jìn)行推薦和評論,可作為科研評價的一類重要數(shù)據(jù)源。論文尚處于零被引或低被引階段時,通過Faculty of 1000中的專家評議信息可了解其知識價值與科學(xué)貢獻(xiàn)。通過設(shè)計(jì)"高推薦-低被引"和"低推薦-高被引"對照研究,探索有潛在價值的零被引或低被引文獻(xiàn)的典型標(biāo)志。結(jié)果表明,"新發(fā)現(xiàn)"、"確認(rèn)"、"技術(shù)進(jìn)步"、"臨床試驗(yàn)"、"綜述/評論"型論文得到了相對高的被引但卻少被同行推薦,多為證據(jù)累積型研究,對應(yīng)托馬斯·庫恩(ThomasKuhn)科學(xué)范式概念中的"累積式漸進(jìn)";"有趣假設(shè)"、"爭議"、"反駁/顛覆"、"提供新藥靶點(diǎn)"、"能改變臨床實(shí)踐"型論文則受到專家的高頻推薦但被引次數(shù)卻相對較少,多為變革性研究和轉(zhuǎn)化型研究,對應(yīng)著庫恩范式中的導(dǎo)致科學(xué)革命的創(chuàng)新性研究。分析挖掘睡美人文獻(xiàn)的科技政策啟示。(1)睡美人文獻(xiàn)與變革性研究。挑戰(zhàn)傳統(tǒng)研究范式的變革性研究可視為早期預(yù)測睡美人文獻(xiàn)的核心線索。建議基金資助機(jī)構(gòu)應(yīng)完善從非共識學(xué)術(shù)爭議中甄別發(fā)現(xiàn)原創(chuàng)思想的工作機(jī)制,探索加強(qiáng)對挑戰(zhàn)傳統(tǒng)范式的變革性研究的資助力度;圖書情報界、科學(xué)計(jì)量學(xué)界應(yīng)加強(qiáng)對變革性創(chuàng)新早期識別方法的研究。通過文本術(shù)語(如disagree、overcome、break、dispute…)識別出的疑似變革性研究,要注意這些文獻(xiàn)追蹤是否早期被專利引用,或被權(quán)威的二次文獻(xiàn)推薦和引用。通過科學(xué)計(jì)量學(xué)方法發(fā)現(xiàn)變革性研究類文獻(xiàn)所占比例,以及如何早期識別,是下一步需要研究的內(nèi)容。(2)睡美人文獻(xiàn)與研究前沿。情報學(xué)擅長的研究熱點(diǎn)分析多以"快速高被引"的論文為基礎(chǔ)資料,而科學(xué)家眼中的研究前沿則可能是緩慢高被引、目前處于爆發(fā)前萌芽狀態(tài)、引文曲線符合睡美人文獻(xiàn)特征的研究內(nèi)容。關(guān)注低被引現(xiàn)象的意義在于盡早發(fā)掘低被引文章中意義重大的文章。目前學(xué)界多關(guān)注最高被引論文,可能忽視了次高被引論文中睡美人的存在。本文提出的Bcp指數(shù)可用于挖掘正處于沉睡-喚醒萌芽期的論文。把這類平時不易觀察到,但又有潛在重大意義的研究工作識別出來,對于前瞻部署科技前沿、識別有潛力的研究冷門、乃至預(yù)測諾貝爾獎得主等提供了新的思路、工具和方法。(3)睡美人文獻(xiàn)與學(xué)術(shù)評價。延遲承認(rèn)指數(shù)(相對曇花一現(xiàn)型引文曲線)可作為評價論文學(xué)術(shù)質(zhì)量的一個重要參考指標(biāo)。鑒于重大創(chuàng)新成果與熱點(diǎn)追蹤式成果相比往往遭遇延遲承認(rèn),建議適度延長評價周期。建議文獻(xiàn)計(jì)量學(xué)指標(biāo)用于學(xué)術(shù)評價時應(yīng)區(qū)分創(chuàng)新類型,如證據(jù)累積型創(chuàng)新研究論文、變革性研究或高風(fēng)險創(chuàng)新研究論文、轉(zhuǎn)化型研究論文等。
[Abstract]:The concept of "Sleeping Beauty" in science is a quantitative description of delayed recognition in the field of Sociology of science from a Bibliometrics point of view. It means that the literature has been cited as zero or less cited for a considerable period of time after publication, as if it is "sleeping", and suddenly high, as after a time point, like being awakened. The literature of awakening is often referred to as the "Prince" literature. The essence of the sleeping beauty literature and the phenomenon of delayed recognition is the advance or change of the scientific research. In this paper, a systematic study of the identification and awakening mechanism of the sleeping beauty literature is carried out in the hope of finding some clues to the humanities in the beauty of sleeping beauty. It is possible to find the sleeping beauty latency in time and recommend it to the academic community to shorten the time lag of recognition of important scientific discoveries. Study on the identification methods and important features of the "Sleeping Beauty" literature. Use the basic framework of the beauty index (B index) to optimize the "annual cited times" as "the cumulative percentage of the annual cited times". A new nonparametric index, the Bcp index, which takes into account the full citation curve of the paper during the observation period, is more sensitive to the sleeping beauty literature which has a lower cited frequency and is not particularly highly cited. It is not only in line with the characteristics of the early zero citation and low citation of the sleeping beauty literature, but also helps to excavate the common and easily neglected non high levels. The law of the existence of the sleeping beauty literature in the quotation has also solved the problem which is difficult to give the operational definition of the unification of the sleeping beauty literature caused by the scale difference in different subject fields. Through data analysis and typical case studies, some important features of the sleeping beauty literature are revealed, one is from interdisciplinary research and comprehensiveness. Periodicals, two, have many potential technical and application attributes, rather than pure scientific attributes that people intuitively think. For example, the research content of sleeping beauty literature is mostly applied oriented research. The sleeping beauty literature is more easily cited by patents than ordinary literature. The first reference year of the patent is often earlier than the awakening year; the product (such as new medicine) is the core patent. The proportion of the "Sleeping Beauty" literature is higher in the non patent literature used. Three is the high quality paper (as a group of samples) of the Nobel Prize winner in recent years (as a group of samples) from its whole life cycle. The identification method of the prince's literature and the awakening mechanism of the sleeping beauty literature. There are two understandings of direct citation and co citation. This paper proposes a Bibliometrics framework suitable for transformational research to identify the prince's Literature: (1) published in a nearby year that has been increased; (2) the number of cited times itself is higher; (3) the number of times with the sleeping beauty literature is higher; (4) on the annual citation curve, the prince The effect of "pulling" on the literature of sleeping beauty should be very significant, that is, the number of the prince's annual citation should be higher than the sleeping beauty in the years of the increase of the literature of sleeping beauty. In order to subvert the existing research paradigm, the scientific community maintains a greater psychological distance and underestimates its knowledge value, so it is easy to be resisted. After the appearance of the prince's literature, the academic community has prompted the academic community to understand the innovative ideas of the sleeping beauty literature. The beauty literature, or the "Prince Sleeping Beauty" literature, was quoted at the same time. The academic community was more familiar with the prince's literature than the sleeping beauty literature, so the annual citation of the prince's literature should also be higher than the sleeping beauty literature. The 2014 Nobel prize for chemistry, super-resolution fluorescence microscope (breaking the diffraction pole in the field of Physics) The case study shows that the prince's literature identified by the framework is consistent with the history of Science in this field. On this basis, this paper identifies several typical princes literature of the sleeping beauty literature, and analyses the induction or traction of the prince's literature during the process of the bibliography of the sleeping beauty, and concludes six The awakening mechanism: (1) arousal from theory to practice; (2) arousal in the interdisciplinary field; (3) the major breakthrough in the interdisciplinary field; (3) the major breakthroughs in the literature of many sleeping beauty were awakened by the same Prince's literature; (4) the new technology was awakened after the risk of avoiding security; (5) the two referral type of literature awakening; (6) technology driven major scientific discovery / theory awakening. Zero (low) cited The key mark of the potential value of the paper research.Faculty of 1000 database recommends and comments on the literature of the global biomedical field which has important innovation value and scientific contribution from the expert review point of view. It can be used as an important data source for scientific research evaluation. The paper is still in the zero cited or low lead stage, through the Faculty of 1000 Expert review information can understand its knowledge value and scientific contribution. Through the design of "high recommendation low cited" and "low recommendation high cited" control study, the potential value of zero cited or low cited literature is explored. The results show that "new discovery", "confirmation", "technical progress", "clinical trial", "review / review" type papers have been relative. High cited but rarely recommended by the peer, most of the evidence cumulative research, corresponding to the Thomas Kuhn (ThomasKuhn) scientific paradigm concept of "cumulative gradual"; "interesting hypothesis", "dispute", "refutation / subversion", "provide new drug targets", "can change clinical practice" type papers are highly recommended by experts but less frequently cited times. For Transformational Research and transformational research, it corresponds to the innovative research that led to the scientific revolution in the Kuhn paradigm. To analyze the scientific and technological policy implications of digging the sleeping beauty literature. (1) the sleeping beauty literature and the change research. The reform of the traditional research paradigm can be regarded as the core clue to the early pretest of the sleeping beauty literature. The organization should improve the working mechanism of identifying original ideas from unanimous academic disputes, and explore strengthening the financial support for changing research on challenging traditional paradigms. The library and intelligence community should strengthen the research on the early recognition methods of revolutionary innovation. Through the terms of the text (such as disagree, overcome, break, dispute... ) the identification of suspected change studies should be paid attention to whether these documents are traced early by patent, or are recommended and cited by the two authoritative literature. Through scientific metrology, the proportion of the literature of change research and how to identify early is the next step to be studied. (2) the literature and research frontier of sleeping beauty. The research hotspots of the study are mainly based on the "fast and high cited" paper, and the research frontier in the eyes of the scientists is likely to be slow and highly cited, at present it is in the bud before the outbreak and the citation curve is in accordance with the characteristics of the sleeping beauty literature. The significance of the phenomenon of low citation is to explore the low cited article as soon as possible. The Bcp index proposed in this paper can be used to excavate a paper that is in the period of sleeping and awakening the germination period. At the forefront of science and technology, it provides new ideas, tools and methods to identify potential research on cold doors and even to predict Nobel prize winners. (3) literature and academic evaluation of sleeping beauty. The delayed admission index (relative short-lived citation curve) can be used as an important reference index for evaluating the academic quality of the paper. The traced results often encounter delayed recognition and suggest a moderate extension of the evaluation cycle. It is suggested that the Bibliometrics indicators should be used to distinguish the types of innovation, such as the evidence cumulative innovation research paper, the Transformational Research or the high risk innovation research paper, and the transformational research paper.
【學(xué)位授予單位】：南京大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2017
【分類號】：G353.1
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本文編號：1993708