基于科技引用網絡結構算法的科學計量新方法研究
本文選題:TSU引用網絡 切入點:引用代 出處:《浙江大學》2012年博士論文
【摘要】:研究評價及其計量指標是科學學與科學技術管理過程中的重要決策工具。本文圍繞目前科學計量學領域面臨的科學進化過程中的復雜網絡與評價指標的“平面化”、科學與技術的飛速發(fā)展與評價指標的“重論文、輕專利”之間的矛盾與挑戰(zhàn),以及引文分析存在的對專利計量關注不夠、缺乏結構關聯度指標、對參考文獻的計量研究偏少等薄弱點與亟待解決的問題,進行了基于引用網絡結構算法的科學計量新方法研究。 本研究將圖論與引用網絡分析相結合,主要涵蓋了以下一些問題:(1)基于"TSU-CN+E-CN"結構觀的系列新指標的理論定義;(2)新指標的一般應用;(3)基于TSU-CN而展開的多個引用代科學計量方法的機理研究及其深層研究的具體應用;(4)新指標在專利引用網絡中的延伸發(fā)展及其具體應用。本論文的研究內容和研究成果主要有以下幾個方面: 第一,在圖論基礎上,創(chuàng)造性地提出了基于引用網絡“目標節(jié)點-子網-全網”的TSU-CN結構分析框架。將TSU-CN與向心引用網絡(E-CN)相結合,可以合理解析科學研究基于前人積累而進化的特點以及科學研究中“研究個體-小科學-大科學”的相對特性。經過本研究大量的理論研究與現實數據分析表明,在"TSU-CN+E-CN"結構框架下,可以解析引用代影響力的分析機理、文獻結構指標的算法機理、專利結構指標的算法機理。因此,"TSU-CN+E-CN"結構分析法有望為引用網絡的科學計量提供新的分析框架。 第二,本研究針對目前涉及論文間接影響力的算法中存在的沒有考慮網絡的方向性和節(jié)點的重復性問題,引入集合與多重集合理論,將圖論、數學、信息分析理論與技術、復雜網絡分析技術、可視化分析技術有效結合并加以改進,首次提出了科學引用代結構概念及代結構的幾個分型Gs,Gm,Hs,Hm,并應用指數母函數算法,成功解決了科技引用網絡中前后三代影響力的算法問題(同時考慮直接影響和間接影響),在研究方法和分析技術上突破了國際科學界科學家影響力計算只考慮直接引用的現狀,包括總引用代指數、跨代指數、跨代h指數、總影響指標、引用代總h指數(Th)、引用代總影響力(TI)、反向引用代總聚合度(CG)的系統(tǒng)定義及精確算法。為準確評價論文的學術貢獻提供了一套工具。 第三,在假設專利“可視技術價值”與“利潤”呈正相關的基礎上,應用"TSU-CN+E-CN"結構分析原理,創(chuàng)造性地將專利技術價值評價與目標專利在動態(tài)專利引用網絡中的專利子網結構中的“表現”相對接,并將現實世界專利技術價值測量與專利子網結構特性分析相聯系,對Rousseau教授的論文向心引用網絡結構指標,進行了在“專利環(huán)境”下的進一步改良和OI(P)、RR (P)、CC(P)、RC (P)的定義。實證研究結果表明,本研究設計的結構指標在表征專利技術價值上有顯著意義。經計算機大樣本模擬分析,驗證了“實證研究”數據與結果的可靠性和穩(wěn)定性。 第四,基于引文分析的應用需求,本研究首次提出“結構研究應該成為引文分析三大基本應用功能之一”,首次將新型的引用網絡結構指標外部生長指數與時間序列分析技術結合應用,根據不同時間維度提出外部生長指數的年序堆積序列、同步序列、同步累積序列、矩陣型序列的理論定義及算法。根據現實世界中的真實樣例觀察,上述不同維度的時間序列能從不同角度映射論文影響力生長的內部特征,不僅適合于評估實踐中對單篇論文的評價,也適合于對一組論文集合進行多角度評價。 本論文研究結果在基于引用網絡結構算法的科學計量理論方面提出了系列新概念和新指標,包括基于引用網絡的TSU-CN結構分析框架;科學引用代結構概念及代結構的幾個分型Gs, Gm, Hs, Hm,引用網絡前后三代影響力的系列算法與定義;引用網絡結構指標的概念和理論算法,用于動態(tài)引用網絡分析的四種時間序列分析模型;提出并驗證了用專利子網結構指標評估某專利技術價值的假設與理論。同時,本研究建立的在引文分析和專利技術價值的創(chuàng)新分析方法,可以為研究評價實踐中提供指導和方法工具。
[Abstract]:The research and evaluation and its measurement indexes are important decision - making tools in the process of science and technology management . This paper focuses on the contradictions and challenges between the " planarization " of complex networks and evaluation indexes in the process of scientific evolution in the field of scientific metrology , the contradictions and challenges between the rapid development of science and technology and the " heavy paper and light patent " of the evaluation indexes , as well as the problems of insufficient attention to patent measurement , lack of structural correlation degree indexes , and the like of references , and the scientific measurement new method based on the reference network structure algorithm .
This study combines graph theory with reference network analysis , which mainly covers some of the following problems : ( 1 ) the theoretical definition of the series of new indicators based on " TSU - CN + E - CN " structure view ;
( 2 ) General application of new index ;
( 3 ) Based on TSU - CN , the mechanism research and concrete application of several reference generation methods are studied .
( 4 ) The extension development of the new index in the patent reference network and its application . The research contents and the research results of this paper mainly include the following aspects :
First , on the basis of graph theory , the TSU - CN structure analysis framework based on the reference network " target node - subnet - global network " is creatively put forward . By combining the TSU - CN and the centripetal reference network ( E - CN ) , it is possible to analyze the analysis mechanism of the reference generation influence , the algorithm mechanism of the document structure index and the algorithm mechanism of the patent structure index in the framework of the " TSU - CN + E - CN " structure . Therefore , the " TSU - CN + E - CN " structural analysis method is expected to provide a new analysis framework for the scientific measurement of the referenced network .
Secondly , aiming at the problems of network directionality and node ' s repeatability existing in the algorithm involving the indirect influence of the paper , we introduce the theory of graph theory , mathematics , information analysis theory and technique , complex network analysis technology and visual analysis technology .
Third , on the basis of the positive correlation between the " visible technology value " and " profit " of the patent , the paper applies the " TSU - CN + E - CN " structure analysis principle , and creatively combines the value evaluation of the patent technology with the " performance " in the patent sub - network structure in the dynamic patent reference network .
Fourthly , based on the application requirement of citation analysis , the first proposed structure research should be one of the three basic application functions of citation analysis . The new reference network structure index external growth index and time series analysis technique are firstly used in combination with the application . According to the real example in the real world , the time series of the above different dimensions can map the internal characteristics of the influence growth of the paper from different angles , which is not only suitable for the evaluation of single articles in the evaluation practice , but also for the multi - angle evaluation of a set of paper collections .
The results of this paper put forward a series of new concepts and new indexes in the theory of scientific measurement based on the reference network structure algorithm , including the framework of TSU - CN structure analysis based on the reference network ;
A series of algorithms and definitions of the influence of three generations before and after the network are referenced by the concepts of structure and structure .
Based on the concept and theory algorithm of network structure index , four time series analysis models for dynamic reference network analysis are introduced .
This paper puts forward and verified the hypothesis and theory of using patent net structure index to evaluate the value of a patent technology . At the same time , this study establishes an innovative analytical method in citation analysis and patent technology value , which can provide guidance and method tools for the research and evaluation practice .
【學位授予單位】:浙江大學
【學位級別】:博士
【學位授予年份】:2012
【分類號】:G647
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