“睡美人”文献的识别方法与唤醒机制研究

发布时间：2018-06-08 01:16

  本文选题：睡美人文献 + 王子文献　； 参考：《南京大学》2017年博士论文

【摘要】：科学中的"睡美人"文献这一概念是从文献计量学角度对科学社会学领域延迟承认现象所做的定量描述,是指文献在发表后相当长一段时期内被引次数为零或被引极少,仿佛是在"沉睡",而在一个时间点后突然高被引,就象被唤醒一样,起唤醒作用的文献常被称为"王子"文献。睡美人文献和延迟承认现象的本质是科学研究的超前性或变革性。本文针对睡美人文献的识别方法与唤醒机制开展系统研究,目的是希望能找到睡美人文献的若干线索。这样,在潜在睡美人文献被引次数很少时就能够及时发现其睡美人潜质并推荐给学术共同体,以缩短重要科学发现的认可时滞。"睡美人"文献的识别方法与重要特征研究。借鉴美丽指数(B指数)基本框架,将"年度被引次数"优化为"年度被引次数累积百分比",提出一个新的无参数指标——Bcp指数。该指数考虑了观察期内论文全部的引文曲线,且对早期被引次数较低且总被引次数不算特别高的睡美人文献更敏感,不仅符合睡美人文献早期零被引和低被引的特征,有利于挖掘平常易被忽视的非高被引文献中睡美人文献的存在规律,也解决了不同学科领域论文被引规模差异导致的难以给出睡美人文献统一的操作性定义的问题。通过数据分析和典型案例研究揭示了睡美人文献的一些重要特征,一是多出自跨学科研究和综合性期刊,二是多具有潜在的技术与应用属性,而非人们直观认为的纯科学属性。例如,睡美人文献的研究内容多为应用导向型研究,睡美人文献与普通文献相比,更易被专利引用,被专利首次引用年也常早于唤醒年;产品(如新药)核心专利引用过的非专利文献中,"睡美人"文献的比例更高。三是近年诺奖得主的高质量论文(作为一组样本)从其整个被引生命周期来看多表现出被引延迟的特征。王子文献的识别方法与睡美人文献的唤醒机制研究。针对目前学界对"王子-睡美人"文献有直接施引关系和同被引关系两种理解,本文提出一个适于变革性研究的文献计量学框架,用于识别王子文献:①发表于被引突增的附近年份;②本身被引次数较高;③与睡美人文献的同被引次数高;④在年度被引次数曲线上,王子对睡美人文献的"牵引"作用应非常显著,即在睡美人文献被引突增的临近年份,王子的年度被引次数应高于睡美人。超前性研究往往超前于现有认知领域,科学共同体不知其存在或意识不到其潜在知识价值,因此易被忽视;变革性研究由于颠覆现有研究范式,科学共同体对此保持较大的心理距离,从而低估其知识价值,因此易被抵制。王子文献出现后,才促使学术共同体了解到睡美人文献的创新思想;有了王子文献率先施引或作为线索,才促使后续学者开始频频引用睡美人文献,或将"王子-睡美人"文献同时引用。唤醒当时,学术共同体对王子文献的熟悉程度要高于睡美人文献,因此王子文献的年度被引次数也应高于睡美人文献。对2014年诺贝尔化学奖——超分辨率荧光显微镜(打破物理学领域衍射极限的传统范式)案例研究显示,采用该框架识别出的王子文献与该领域科学史事实一致。在此基础上,本文识别出几篇典型的睡美人文献的王子文献,对睡美人文献被引突增过程中,王子文献的诱导或牵引作用进行了深入分析,归纳出六种唤醒机制:①从理论到实践的转化式唤醒;②跨学科领域唤醒;③多篇睡美人文献孕育的重大突破被同一篇王子文献唤醒;④新型技术规避安全风险后被唤醒;⑤二次文献引荐型唤醒;⑥技术驱动重大科学发现/理论的唤醒。零(低)被引论文潜在价值的关键标志研究。Faculty of 1000数据库从专家评议角度对全球生物医学领域有重要创新价值和科学贡献的文献进行推荐和评论,可作为科研评价的一类重要数据源。论文尚处于零被引或低被引阶段时,通过Faculty of 1000中的专家评议信息可了解其知识价值与科学贡献。通过设计"高推荐-低被引"和"低推荐-高被引"对照研究,探索有潜在价值的零被引或低被引文献的典型标志。结果表明,"新发现"、"确认"、"技术进步"、"临床试验"、"综述/评论"型论文得到了相对高的被引但却少被同行推荐,多为证据累积型研究,对应托马斯·库恩(ThomasKuhn)科学范式概念中的"累积式渐进";"有趣假设"、"争议"、"反驳/颠覆"、"提供新药靶点"、"能改变临床实践"型论文则受到专家的高频推荐但被引次数却相对较少,多为变革性研究和转化型研究,对应着库恩范式中的导致科学革命的创新性研究。分析挖掘睡美人文献的科技政策启示。(1)睡美人文献与变革性研究。挑战传统研究范式的变革性研究可视为早期预测睡美人文献的核心线索。建议基金资助机构应完善从非共识学术争议中甄别发现原创思想的工作机制,探索加强对挑战传统范式的变革性研究的资助力度;图书情报界、科学计量学界应加强对变革性创新早期识别方法的研究。通过文本术语(如disagree、overcome、break、dispute…)识别出的疑似变革性研究,要注意这些文献追踪是否早期被专利引用,或被权威的二次文献推荐和引用。通过科学计量学方法发现变革性研究类文献所占比例,以及如何早期识别,是下一步需要研究的内容。(2)睡美人文献与研究前沿。情报学擅长的研究热点分析多以"快速高被引"的论文为基础资料,而科学家眼中的研究前沿则可能是缓慢高被引、目前处于爆发前萌芽状态、引文曲线符合睡美人文献特征的研究内容。关注低被引现象的意义在于尽早发掘低被引文章中意义重大的文章。目前学界多关注最高被引论文,可能忽视了次高被引论文中睡美人的存在。本文提出的Bcp指数可用于挖掘正处于沉睡-唤醒萌芽期的论文。把这类平时不易观察到,但又有潜在重大意义的研究工作识别出来,对于前瞻部署科技前沿、识别有潜力的研究冷门、乃至预测诺贝尔奖得主等提供了新的思路、工具和方法。(3)睡美人文献与学术评价。延迟承认指数(相对昙花一现型引文曲线)可作为评价论文学术质量的一个重要参考指标。鉴于重大创新成果与热点追踪式成果相比往往遭遇延迟承认,建议适度延长评价周期。建议文献计量学指标用于学术评价时应区分创新类型,如证据累积型创新研究论文、变革性研究或高风险创新研究论文、转化型研究论文等。
[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.
【学位授予单位】：南京大学
【学位级别】：博士
【学位授予年份】：2017
【分类号】：G353.1
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本文编号：1993708