知识流动理论框架下的科学前沿与技术前沿研究
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摘要
随着人类社会进入知识经济时代,科技决策与科技管理工作越来越重视对知识的计量研究。在现代信息技术环境下,科技文献数据的类型和科技知识的分类都得到了极大的丰富和发展,这就要求科技情报研究人员不断探索新的研究体系和分析方法,以满足实际工作的需要。本文在借鉴了国内外相关研究成果的基础上,从理论和实证两个方面进行了研究。
首先,基于引文分析理论、知识网络理论和知识进化论等理论思想,建立了形成科学技术前沿的知识流动理论框架,详细分析了从知识基础到科学技术前沿的知识流动作用机制及其主要路径。在此基础上,确立了本研究所遵循的知识计量学研究范式,构建了基于科技文献的研究前沿辨识模型,同时针对知识单元、知识链和知识群等概念,提出了系统的分析指标和计量方法。
其次,以太阳能电池领域的科学论文和专利文献数据为例,利用共被引网络分析方法,分别构建了论文-论文科学知识图谱和专利-专利技术知识图谱,针对关键节点文献形成的知识单元,共被引关系形成的知识链,以及共被引文献聚类形成的知识群,从产生过程的共时性与历史性角度,对科学前沿和技术前沿进行了分析和探测。分析结果显示,以关键节点文献为代表的知识基础与聚类知识群相对应的研究前沿之间具有极强的知识继承关系,其形成的知识流动路径可以有效地辨识科学与技术研究前沿及其演化趋势；同时,由关键节点专利文献形成的知识单元不仅对某一具体应用技术研究的发展起到了知识基础的作用,而且使不同的技术研究方向之间产生了技术的交叉与互补。
最后,应用同一组专利文献数据,分别构建了论文-专利和专利-专利共被引网络,通过比较两种类型知识网络中的知识单元、知识链和知识群在描述技术知识结构方面的特征,对两种知识流动路径共同作用下的应用技术前沿进行了辨识分析；同时,结合对被引文献标题的共词分析,揭示了科学知识对应用技术发展所起到的促进作用以及两者的知识关联特征。研究结果显示,科学研究到技术研究的知识转移主要体现在与科学理论解释、表征方法等相关的研究领域,而应用技术研究之间的知识转移主要集中在材料的制备工艺、合成结构等方面,并体现出明显的“共性技术”特征。
本文的研究结果表明,在知识流动理论框架下,基于科技文献的知识发现理论与科技前沿探测方法,可以系统有效地为科技决策过程提供数据支持,为科技管理工作提供一种重要的辅助手段。
With the coming of knowledge economy, the study of knowledge measurement plays a more and more important role towards S&T decision making and management. Under the modern information technology circumstances, both of the type of S&T literatures and the classification of S&T knowledge have been greatly enriched and developed, which requires the exploring of new research system and analysis approaches should be put forward by S&T information researchers so as to meet the practical demands. Both of the theoretical and empirical studies are demonstrated in this dissertation based on the exsiting research results at home and abroad.
First, this dissertation constructs knolwdge flow theory frame of S&T frontiers based on the citation analysis theory, knowledge network theory and knowledge evolutionary theory. Moreover, the mechanisms and the main paths from intellectual base to research frontiers of S&T are analyzed. Then, research frontiers identification model based on S&T literatures is established, following research framework of knowmetrics above-mentioned. Meanwhile, systematic analysis indicators and quantitative methods are put forward against the concepts concerning knowledge units, knowledge chains and knowledge clusters.
Second, the scientific literatures and patent data, in the case of solar cell, are used to construct Article-Article and Patent-Patent knowledge maps by the means of co-cited network analysis method. The S&T frontiers are detected and analyzed temporally with aiming at the knowledge units, knowledge chains and knowledge clusters. Main results show that the relationship between intellectual base and research frontier are inheritable and the knowledge flow path can effectively identify the S&T research frontier and its evolution trend. Meanwhile, knowledge units supported by core patent data are not only playing a role of intellectual base toward a certain application technology, but also they can adcance the intercrosses on different technology study directions.
Last, Article-Patent and Patent-Patent co-citation networks are extracted by using the same dataset mentioned above. Through comparing the knowledge units, knowledge chains and knowledge cluster within these two different knowledge networks, applied frontiers under the two knowledge flow paths are identified and analyzed. Furthermore, co-words analysis is used to reveal the positive effects of scientific knowledge towards application techonology development and the knowledge connections between both of them. The results show that knowledge transfer from science to technology is mainly reflected in the fields of theoretical interpretations and characterizations etc. While knowledge transfer among technologies is mainly presented in semiconductor materials and semiconductor composite structures, and it demonstrates the obvious features of "Generic Technology"
In summary, this dissertation indicates that, from the perspective of knowledge flow theory, the S&T frontiers detecting methods and knowledge discovery theory based on the scientific and technological literatures are quite effective and practical to provide data supports in decision-making and supportive means in S&T management.
首先,基于引文分析理论、知识网络理论和知识进化论等理论思想,建立了形成科学技术前沿的知识流动理论框架,详细分析了从知识基础到科学技术前沿的知识流动作用机制及其主要路径。在此基础上,确立了本研究所遵循的知识计量学研究范式,构建了基于科技文献的研究前沿辨识模型,同时针对知识单元、知识链和知识群等概念,提出了系统的分析指标和计量方法。
其次,以太阳能电池领域的科学论文和专利文献数据为例,利用共被引网络分析方法,分别构建了论文-论文科学知识图谱和专利-专利技术知识图谱,针对关键节点文献形成的知识单元,共被引关系形成的知识链,以及共被引文献聚类形成的知识群,从产生过程的共时性与历史性角度,对科学前沿和技术前沿进行了分析和探测。分析结果显示,以关键节点文献为代表的知识基础与聚类知识群相对应的研究前沿之间具有极强的知识继承关系,其形成的知识流动路径可以有效地辨识科学与技术研究前沿及其演化趋势；同时,由关键节点专利文献形成的知识单元不仅对某一具体应用技术研究的发展起到了知识基础的作用,而且使不同的技术研究方向之间产生了技术的交叉与互补。
最后,应用同一组专利文献数据,分别构建了论文-专利和专利-专利共被引网络,通过比较两种类型知识网络中的知识单元、知识链和知识群在描述技术知识结构方面的特征,对两种知识流动路径共同作用下的应用技术前沿进行了辨识分析；同时,结合对被引文献标题的共词分析,揭示了科学知识对应用技术发展所起到的促进作用以及两者的知识关联特征。研究结果显示,科学研究到技术研究的知识转移主要体现在与科学理论解释、表征方法等相关的研究领域,而应用技术研究之间的知识转移主要集中在材料的制备工艺、合成结构等方面,并体现出明显的“共性技术”特征。
本文的研究结果表明,在知识流动理论框架下,基于科技文献的知识发现理论与科技前沿探测方法,可以系统有效地为科技决策过程提供数据支持,为科技管理工作提供一种重要的辅助手段。
With the coming of knowledge economy, the study of knowledge measurement plays a more and more important role towards S&T decision making and management. Under the modern information technology circumstances, both of the type of S&T literatures and the classification of S&T knowledge have been greatly enriched and developed, which requires the exploring of new research system and analysis approaches should be put forward by S&T information researchers so as to meet the practical demands. Both of the theoretical and empirical studies are demonstrated in this dissertation based on the exsiting research results at home and abroad.
First, this dissertation constructs knolwdge flow theory frame of S&T frontiers based on the citation analysis theory, knowledge network theory and knowledge evolutionary theory. Moreover, the mechanisms and the main paths from intellectual base to research frontiers of S&T are analyzed. Then, research frontiers identification model based on S&T literatures is established, following research framework of knowmetrics above-mentioned. Meanwhile, systematic analysis indicators and quantitative methods are put forward against the concepts concerning knowledge units, knowledge chains and knowledge clusters.
Second, the scientific literatures and patent data, in the case of solar cell, are used to construct Article-Article and Patent-Patent knowledge maps by the means of co-cited network analysis method. The S&T frontiers are detected and analyzed temporally with aiming at the knowledge units, knowledge chains and knowledge clusters. Main results show that the relationship between intellectual base and research frontier are inheritable and the knowledge flow path can effectively identify the S&T research frontier and its evolution trend. Meanwhile, knowledge units supported by core patent data are not only playing a role of intellectual base toward a certain application technology, but also they can adcance the intercrosses on different technology study directions.
Last, Article-Patent and Patent-Patent co-citation networks are extracted by using the same dataset mentioned above. Through comparing the knowledge units, knowledge chains and knowledge cluster within these two different knowledge networks, applied frontiers under the two knowledge flow paths are identified and analyzed. Furthermore, co-words analysis is used to reveal the positive effects of scientific knowledge towards application techonology development and the knowledge connections between both of them. The results show that knowledge transfer from science to technology is mainly reflected in the fields of theoretical interpretations and characterizations etc. While knowledge transfer among technologies is mainly presented in semiconductor materials and semiconductor composite structures, and it demonstrates the obvious features of "Generic Technology"
In summary, this dissertation indicates that, from the perspective of knowledge flow theory, the S&T frontiers detecting methods and knowledge discovery theory based on the scientific and technological literatures are quite effective and practical to provide data supports in decision-making and supportive means in S&T management.
引文
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