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Article(id=1315372050403930330, tenantId=1146029695717560320, journalId=1308397381743640680, issueId=1315372022658613552, articleNumber=null, orderNo=null, doi=null, pmid=null, cstr=null, oa=null, hot=null, price=null, onlineType=0, articleFormat=0, articleType=null, articleTypeStr=research-article, receivedDate=1733068800000, receivedDateStr=2024-12-02, revisedDate=1736179200000, revisedDateStr=2025-01-07, acceptedDate=null, acceptedDateStr=null, onlineDate=1791538735179, onlineDateStr=2026-10-09, pubDate=1773504000000, pubDateStr=2026-03-15, doiRegisterDate=null, doiRegisterDateStr=null, onlineIssueDate=1791538735179, onlineIssueDateStr=2026-10-09, onlineJustAcceptDate=null, onlineJustAcceptDateStr=null, onlineFirstDate=null, onlineFirstDateStr=null, sourceXml=null, magXml=null, createTime=1791538735179, creator=13701087609, updateTime=1791538735179, updator=13701087609, issue=Issue{id=1315372022658613552, tenantId=1146029695717560320, journalId=1308397381743640680, year='2026', volume='44', issue='3', pageStart='449', pageEnd='672', issueExtLink='null', onlineDate='null', pubDate='1773504000000', pubDateStr='2026-03-15', beforeIssueId=null, nextIssueId=null, price=null, status=1, issueComplete=1, articleOrder=1, issueType=-1, specialIssue=null, createTime=1791538728624, creator='13701087609', updateTime=1791538856865, updator='13701087609', preIssue=null, nextIssue=null, articleTotal=null, ext={EN=IssueExt(id=1315372560565523080, tenantId=1146029695717560320, journalId=1308397381743640680, issueId=1315372022658613552, language=EN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=), CN=IssueExt(id=1315372560569717385, tenantId=1146029695717560320, journalId=1308397381743640680, issueId=1315372022658613552, language=CN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=)}, issueFiles=null, downloadFileDto=null}, startPage=610, endPage=620, ext={EN=ArticleExt(id=1315372052580774107, articleId=1315372050403930330, tenantId=1146029695717560320, journalId=1308397381743640680, language=EN, title=Research on the factors influencing the generation of disruptive research achievements——Taking Astronomy as an example, columnId=1309226334803550422, journalTitle=Studies in Science of Science, columnName=Innovation Explorations, runingTitle=null, highlight=null, articleAbstract=

Disruptive research achievements in basic research are not only the core drivers of advancing new productivity but also an essential component of achieving high-level scientific and technological self-reliance and self-strengthening. These breakthroughs often serve as the cornerstone for groundbreaking discoveries and technological innovations that can transform industries and societies. In the context of scientific research, disruptive achievements are those that fundamentally alter existing paradigms, challenge conventional wisdom, and lead to paradigm shifts across various scientific fields. In this study, the focus is placed on the field of astronomy, where such research achievements have historically played a pivotal role in expanding the boundaries of human knowledge and shaping technological progress.

The research adopts a Grounded Theory approach, a qualitative research methodology that emphasizes the systematic collection and analysis of case data to develop theoretical insights grounded in empirical evidence. By examining a diverse set of case studies in the field of astronomy, the study seeks to uncover the underlying patterns and mechanisms that contribute to the generation of disruptive research achievements. The findings of this study suggest that the generation of disruptive research achievements is influenced by a combination of three primary dimensions: (1) the researchers themselves, (2) scientific research activities, and (3) the scientific research results. Each dimension includes multiple sub-factors that contribute to the overall process. Firstly, the dimension of researchers, as the core subject of scientific research, plays a decisive role in the production of disruptive research achievements. This dimension can be categorized into three main aspects: internal factors, environmental factors, and scientific research capabilities. Internal factors refer to those characteristics that reflect an individual's inherent traits and motivations, such as scientific interests, personality traits, and a broad range of interests. Environmental factors encompass the external conditions and influences that shape a researcher’s development, including family background, access to research platforms, and the influence of key mentors or collaborators. Scientific research capabilities, on the other hand, refer to the comprehensive qualities and skills that enable a researcher to conduct innovative work within their field, including formal education, early career recognition, engineering experience, leadership in projects, and strategic foresight. Researchers who are able to integrate interdisciplinary approaches and draw insights from various scientific domains are more likely to contribute to groundbreaking innovations that disrupt existing paradigms. Secondly, in the process of generating disruptive research achievements, various critical factors influence each stage of the research lifecycle, from the proposal of the project to its execution and eventual outcomes. During the project formulation phase, the selection of cutting-edge topics, the orientation of the research, and the integration of interdisciplinary approaches are key factors that shape the potential for groundbreaking discoveries. In the project implementation phase, factors such as clear research objectives, the composition of the research team, the availability of scientific instruments, and funding support play crucial roles in driving the production of disruptive results. Lastly, in the stage of achieving results, scientific collaboration and academic exchanges significantly influence the sharing and dissemination of research findings. Finally, many groundbreaking scientific discoveries arise from serendipity—unexpected observations or occurrences that were not initially anticipated. Serendipitous scientific discoveries, or "Serendipity," refer to phenomena that scientists stumble upon while investigating something else. In the case studies presented in this paper, serendipitous discoveries can be categorized into two types: first, chance encounters, such as the unexpected recording of neutrinos from a supernova during proton decay detection; and second, accidental results, such as unintended discovery of the radio signals from the center of the Milky Way while attempting to solve short-wave communication interference. These serendipitous discoveries, while often highly uncertain, can lead to disruptive research achievements with profound implications. The question of whether scientific policies can effectively plan for or cultivate such serendipitous findings remains an open topic for further exploration in the academic community.

Based on these findings, the paper offers several recommendations aimed at promoting the generation of disruptive research achievements. One key suggestion is to provide young researchers with more opportunities to engage with cutting-edge scientific endeavors from an early age. This could be achieved through dedicated programs that spark their interest in scientific research and cultivate the spirit of scientific inquiry. Additionally, fostering an environment where young scientists are given leadership roles, enabling them to develop critical skills in engineering practice and organizational leadership, is crucial for nurturing the next generation of innovators. Encouraging more scientific collaboration and academic exchange is another key recommendation. By promoting interdisciplinary research and facilitating the sharing of research outcomes, the scientific community can accelerate the development and dissemination of disruptive innovations.

, authors=Lin-wei CUI1, 2, Jia-min YANG1, Yue CHEN1, Chun YANG1, authorsList=Lin-wei CUI, Jia-min YANG, Yue CHEN, Chun YANG, authorCompany=null, correspAuthors=Yue CHEN, authorNote=null, correspAuthorsNote=null, copyrightStatement=null, copyrightOwner=null, extLink=null, articleAbsUrl=null, sourceXml=null, magXml=null, pdfUrl=null, pdf=null, pdfFileSize=null, pdfExtLink=null, richHtmlUrl=null, mobilePdfUrl=null, reviewReport=null, pdfFirstPage=null, abstractGraph=null, abstractGraphContent=null, abstractVideo=null, citation=null, cebUrl=null, magXmlContent=null, mapNumber=null, fund=null), CN=ArticleExt(id=1315372060927439072, articleId=1315372050403930330, tenantId=1146029695717560320, journalId=1308397381743640680, language=CN, title=颠覆性科研成果生成的影响因素探究——以天文学为例, columnId=1309226334996488408, journalTitle=科学学研究, columnName=创新探索, runingTitle=null, highlight=null, articleAbstract=

基础研究领域颠覆性科研成果是催生新技术、新产业的重要驱动力,是发展新质生产力的核心因素。文章立足于天文学领域,采用扎根理论研究方法,通过系统收集和分析天文学领域颠覆性科研成果的案例资料,构建颠覆性科研成果影响因素模型,为基础研究领域颠覆性科研成果的发现和培育策略提供理论参考。研究发现,颠覆性科研成果生成的影响因素主要包括科研人员维度(内部因素、环境因素、科研能力)、科研活动维度(项目提出、项目开展、项目达成)和科研结果维度三个维度,三个维度共同作用于颠覆性科研成果的生成,文章通过具体案例对各要素的影响进行了解读。基于此,文章提出了促进颠覆性科研成果生成的启示建议:为青少年提供更多接触科研的窗口,从小培养其科研兴趣和科学家精神;为青年科学家提供更多“挑大梁”机会,提升其工程实践和组织领导能力;鼓励科学家更多开展科研合作和学术交流,促进科研成果的共享和推广。

, authors=崔林蔚1, 2, 杨嘉敏1, 陈悦1, 杨淳1, authorsList=崔林蔚, 杨嘉敏, 陈悦, 杨淳, authorCompany=null, correspAuthors=陈悦, authorNote=

崔林蔚(1993-),女,副教授,博士后。

杨嘉敏(1998-),女,博士研究生。

杨淳(1983-),男,副教授。

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陈悦(1975-),女,教授、博士生导师, E-mail: 。
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杨嘉敏(1998-),女,博士研究生。

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注:标灰的为诺贝尔奖获奖成果。

, figureFileSmall=yL1sgdaLq4abhj9E4C0u5A==, figureFileBig=c83QyNx1IKfRZ5DLE3ts+w==, tableContent=null), ArticleFig(id=1315372067655102726, tenantId=1146029695717560320, journalId=1308397381743640680, articleId=1315372050403930330, language=EN, label=Figure 2, caption=Model of factors influencing the generation of disruptive research achievements, figureFileSmall=UqBkU9XYBHMoVX7bL2MSfQ==, figureFileBig=pQbV2Paqu1lP4DJ8I8GmPw==, tableContent=null), ArticleFig(id=1315372067734794503, tenantId=1146029695717560320, journalId=1308397381743640680, articleId=1315372050403930330, language=CN, label=图2, caption=颠覆性科研成果生成的影响因素模型, figureFileSmall=UqBkU9XYBHMoVX7bL2MSfQ==, figureFileBig=pQbV2Paqu1lP4DJ8I8GmPw==, tableContent=null), ArticleFig(id=1315372067810291976, tenantId=1146029695717560320, journalId=1308397381743640680, articleId=1315372050403930330, language=EN, label=Table 1, caption=

Analysis of related concepts

, figureFileSmall=null, figureFileBig=null, tableContent=
相关概念 概念含义 来源 侧重点
变革性研究 有能力彻底改变原有研究范式,或能够导致新范式或者新研究领域产生,挑战现有认知并通向新前沿的研究。 美国国家自然科学基金[8] 影响规模更大、更深远
革命性科学 科学发展中的一种非连续性阶段,在这一阶段中,科学领域发生了深刻的范式转变。 The Structure of Scientific Revolutions[9] 影响规模更大、更深远
突破性研究 通常与发现相关,往往被认为具有创造性、变革性和突破性。其重要性体现在解决极其广泛且复杂的研究问题,挑战既定的理论和科学范式,彻底创新使用方法,以及对不同研究视角的跨学科整合。 芬兰科学院[10] 相对既有研究的重大进步
原创性研究 具备原始性和唯一性,其中,原始性是指科学研究的思想、研究的方法是首次提出,这一研究成果将开拓新的领域,为科学带来新的发展;唯一性是指该研究成果在此之前从未有第二人提出或实践过。 叶鑫生(国家自然科学基金委员会)[11] 相对宽泛
从0到1的研究 从无到有的创造,意味着一种新的突破性创新或变革,例如前所未有的产品、技术、或思想的出现。 Zero to One: Notes on Startups,
or How to Build the Future[12]		 首创性开辟新领域
), ArticleFig(id=1315372067885789449, tenantId=1146029695717560320, journalId=1308397381743640680, articleId=1315372050403930330, language=CN, label=表1, caption=

相关概念辨析

, figureFileSmall=null, figureFileBig=null, tableContent=
相关概念 概念含义 来源 侧重点
变革性研究 有能力彻底改变原有研究范式,或能够导致新范式或者新研究领域产生,挑战现有认知并通向新前沿的研究。 美国国家自然科学基金[8] 影响规模更大、更深远
革命性科学 科学发展中的一种非连续性阶段,在这一阶段中,科学领域发生了深刻的范式转变。 The Structure of Scientific Revolutions[9] 影响规模更大、更深远
突破性研究 通常与发现相关,往往被认为具有创造性、变革性和突破性。其重要性体现在解决极其广泛且复杂的研究问题,挑战既定的理论和科学范式,彻底创新使用方法,以及对不同研究视角的跨学科整合。 芬兰科学院[10] 相对既有研究的重大进步
原创性研究 具备原始性和唯一性,其中,原始性是指科学研究的思想、研究的方法是首次提出,这一研究成果将开拓新的领域,为科学带来新的发展;唯一性是指该研究成果在此之前从未有第二人提出或实践过。 叶鑫生(国家自然科学基金委员会)[11] 相对宽泛
从0到1的研究 从无到有的创造,意味着一种新的突破性创新或变革,例如前所未有的产品、技术、或思想的出现。 Zero to One: Notes on Startups,
or How to Build the Future[12]		 首创性开辟新领域
), ArticleFig(id=1315372067961286922, tenantId=1146029695717560320, journalId=1308397381743640680, articleId=1315372050403930330, language=EN, label=Table 2, caption=

Examples of open coding

, figureFileSmall=null, figureFileBig=null, tableContent=
原始资料 开放编码
现象摘要 概念化 范畴化
幼年时赖尔就喜爱上天文学,中学时他又对无限电这门新兴学科产生了浓厚的兴趣。成为一名经验丰富的业余无线电爱好者,还拥有自己的发射机。1939年,他一毕业就到卡文迪什实验室从事雷达天线的研制,但很快就因为第二次世界大战的爆发应征入伍,其无线电专长帮助他立下了战功,曾从事研制波长1.5m的机载雷达天线系统。 a1:幼年就喜欢天文学
a2:中学成为业余无线电爱好者
a3:毕业到卡文迪许实验室工作
a4:二战以无线电专长立功		 aa1:幼时梦想
aa2:兴趣驱动
aa3:工作平台
aa4:入伍经历		 A1:科研兴趣
A2:科研平台
A3:工程经验
), ArticleFig(id=1315372068036784395, tenantId=1146029695717560320, journalId=1308397381743640680, articleId=1315372050403930330, language=CN, label=表2, caption=

开放式编码(部分示例)

, figureFileSmall=null, figureFileBig=null, tableContent=
原始资料 开放编码
现象摘要 概念化 范畴化
幼年时赖尔就喜爱上天文学,中学时他又对无限电这门新兴学科产生了浓厚的兴趣。成为一名经验丰富的业余无线电爱好者,还拥有自己的发射机。1939年,他一毕业就到卡文迪什实验室从事雷达天线的研制,但很快就因为第二次世界大战的爆发应征入伍,其无线电专长帮助他立下了战功,曾从事研制波长1.5m的机载雷达天线系统。 a1:幼年就喜欢天文学
a2:中学成为业余无线电爱好者
a3:毕业到卡文迪许实验室工作
a4:二战以无线电专长立功		 aa1:幼时梦想
aa2:兴趣驱动
aa3:工作平台
aa4:入伍经历		 A1:科研兴趣
A2:科研平台
A3:工程经验
), ArticleFig(id=1315372069659980044, tenantId=1146029695717560320, journalId=1308397381743640680, articleId=1315372050403930330, language=EN, label=Table 3, caption=

The main categories formed by axial coding

, figureFileSmall=null, figureFileBig=null, tableContent=
主范畴 初始范畴 范畴内涵
内部因素 科研兴趣 对科研问题、科研活动本身及过程感兴趣
性格特质 个人在科研中的行为和决策风格
爱好广泛 广泛的兴趣爱好对科研成果的影响
环境因素 家庭背景 成长环境和家庭成员的影响
科研平台 具有良好设施和资源的机构或平台
重要他人 导师、合作伙伴等对个人发展的支持
科研能力 科班出身 具有接受过专业学术训练的背景
年少成名 早期取得的成就对职业发展的影响
工程经验 参与工程实践的经验对后续成果的影响
担纲项目 领导或管理过重大科研项目
战略眼光 对未来科研方向的把握和规划
项目提出 选题前沿 选择具有前瞻性的研究课题
工作导向 科研问题来自于工作场景
学科交叉 跨学科研究的机会和影响
项目开展 目标明确 科研目标清晰而具体
科研团队 团队成员的协同和支持
科学装置 前沿尖端科研设备的使用
经费资助 研究资金的支持
成果达成 学术合作 与其他研究机构和同行学者的合作
会议交流 通过学术会议进行知识分享
偶然性因素 偶然性因素 造成与预期研究结果不符的偶然和意外观察结果
), ArticleFig(id=1315372069731283213, tenantId=1146029695717560320, journalId=1308397381743640680, articleId=1315372050403930330, language=CN, label=表3, caption=

主轴式编码形成主范畴

, figureFileSmall=null, figureFileBig=null, tableContent=
主范畴 初始范畴 范畴内涵
内部因素 科研兴趣 对科研问题、科研活动本身及过程感兴趣
性格特质 个人在科研中的行为和决策风格
爱好广泛 广泛的兴趣爱好对科研成果的影响
环境因素 家庭背景 成长环境和家庭成员的影响
科研平台 具有良好设施和资源的机构或平台
重要他人 导师、合作伙伴等对个人发展的支持
科研能力 科班出身 具有接受过专业学术训练的背景
年少成名 早期取得的成就对职业发展的影响
工程经验 参与工程实践的经验对后续成果的影响
担纲项目 领导或管理过重大科研项目
战略眼光 对未来科研方向的把握和规划
项目提出 选题前沿 选择具有前瞻性的研究课题
工作导向 科研问题来自于工作场景
学科交叉 跨学科研究的机会和影响
项目开展 目标明确 科研目标清晰而具体
科研团队 团队成员的协同和支持
科学装置 前沿尖端科研设备的使用
经费资助 研究资金的支持
成果达成 学术合作 与其他研究机构和同行学者的合作
会议交流 通过学术会议进行知识分享
偶然性因素 偶然性因素 造成与预期研究结果不符的偶然和意外观察结果
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颠覆性科研成果生成的影响因素探究——以天文学为例
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崔林蔚 1, 2 , 杨嘉敏 1 , 陈悦 1 , 杨淳 1
科学学研究 | 创新探索 2026,44(3): 610-620
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科学学研究 |创新探索 2026 , 44 (3) : 610 -620
颠覆性科研成果生成的影响因素探究——以天文学为例
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崔林蔚1, 2, 杨嘉敏1, 陈悦1 , 杨淳1
作者信息
  • 1 大连理工大学科学学与科技管理研究所暨WISE实验室, 辽宁大连 116024
  • 2 辽宁大学信息资源管理学院, 辽宁沈阳 110136
通讯作者:
陈悦(1975-),女,教授、博士生导师, E-mail: 。
作者简介:

崔林蔚(1993-),女,副教授,博士后。

杨嘉敏(1998-),女,博士研究生。

杨淳(1983-),男,副教授。

Research on the factors influencing the generation of disruptive research achievements——Taking Astronomy as an example
Lin-wei CUI1, 2, Jia-min YANG1, Yue CHEN1 , Chun YANG1
Affiliations
  • 1 Institute of Science of Science and S&T Management & WISELab, Dalian University of Technology, Dalian 116024, China
  • 2 College of information resource management, Liaoning University, Shenyang 110136, China
出版时间: 2026-03-15
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摘要
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基础研究领域颠覆性科研成果是催生新技术、新产业的重要驱动力,是发展新质生产力的核心因素。文章立足于天文学领域,采用扎根理论研究方法,通过系统收集和分析天文学领域颠覆性科研成果的案例资料,构建颠覆性科研成果影响因素模型,为基础研究领域颠覆性科研成果的发现和培育策略提供理论参考。研究发现,颠覆性科研成果生成的影响因素主要包括科研人员维度(内部因素、环境因素、科研能力)、科研活动维度(项目提出、项目开展、项目达成)和科研结果维度三个维度,三个维度共同作用于颠覆性科研成果的生成,文章通过具体案例对各要素的影响进行了解读。基于此,文章提出了促进颠覆性科研成果生成的启示建议:为青少年提供更多接触科研的窗口,从小培养其科研兴趣和科学家精神;为青年科学家提供更多“挑大梁”机会,提升其工程实践和组织领导能力;鼓励科学家更多开展科研合作和学术交流,促进科研成果的共享和推广。

基础研究  /  颠覆性科研成果  /  影响因素  /  天文学

Disruptive research achievements in basic research are not only the core drivers of advancing new productivity but also an essential component of achieving high-level scientific and technological self-reliance and self-strengthening. These breakthroughs often serve as the cornerstone for groundbreaking discoveries and technological innovations that can transform industries and societies. In the context of scientific research, disruptive achievements are those that fundamentally alter existing paradigms, challenge conventional wisdom, and lead to paradigm shifts across various scientific fields. In this study, the focus is placed on the field of astronomy, where such research achievements have historically played a pivotal role in expanding the boundaries of human knowledge and shaping technological progress.

The research adopts a Grounded Theory approach, a qualitative research methodology that emphasizes the systematic collection and analysis of case data to develop theoretical insights grounded in empirical evidence. By examining a diverse set of case studies in the field of astronomy, the study seeks to uncover the underlying patterns and mechanisms that contribute to the generation of disruptive research achievements. The findings of this study suggest that the generation of disruptive research achievements is influenced by a combination of three primary dimensions: (1) the researchers themselves, (2) scientific research activities, and (3) the scientific research results. Each dimension includes multiple sub-factors that contribute to the overall process. Firstly, the dimension of researchers, as the core subject of scientific research, plays a decisive role in the production of disruptive research achievements. This dimension can be categorized into three main aspects: internal factors, environmental factors, and scientific research capabilities. Internal factors refer to those characteristics that reflect an individual's inherent traits and motivations, such as scientific interests, personality traits, and a broad range of interests. Environmental factors encompass the external conditions and influences that shape a researcher’s development, including family background, access to research platforms, and the influence of key mentors or collaborators. Scientific research capabilities, on the other hand, refer to the comprehensive qualities and skills that enable a researcher to conduct innovative work within their field, including formal education, early career recognition, engineering experience, leadership in projects, and strategic foresight. Researchers who are able to integrate interdisciplinary approaches and draw insights from various scientific domains are more likely to contribute to groundbreaking innovations that disrupt existing paradigms. Secondly, in the process of generating disruptive research achievements, various critical factors influence each stage of the research lifecycle, from the proposal of the project to its execution and eventual outcomes. During the project formulation phase, the selection of cutting-edge topics, the orientation of the research, and the integration of interdisciplinary approaches are key factors that shape the potential for groundbreaking discoveries. In the project implementation phase, factors such as clear research objectives, the composition of the research team, the availability of scientific instruments, and funding support play crucial roles in driving the production of disruptive results. Lastly, in the stage of achieving results, scientific collaboration and academic exchanges significantly influence the sharing and dissemination of research findings. Finally, many groundbreaking scientific discoveries arise from serendipity—unexpected observations or occurrences that were not initially anticipated. Serendipitous scientific discoveries, or "Serendipity," refer to phenomena that scientists stumble upon while investigating something else. In the case studies presented in this paper, serendipitous discoveries can be categorized into two types: first, chance encounters, such as the unexpected recording of neutrinos from a supernova during proton decay detection; and second, accidental results, such as unintended discovery of the radio signals from the center of the Milky Way while attempting to solve short-wave communication interference. These serendipitous discoveries, while often highly uncertain, can lead to disruptive research achievements with profound implications. The question of whether scientific policies can effectively plan for or cultivate such serendipitous findings remains an open topic for further exploration in the academic community.

Based on these findings, the paper offers several recommendations aimed at promoting the generation of disruptive research achievements. One key suggestion is to provide young researchers with more opportunities to engage with cutting-edge scientific endeavors from an early age. This could be achieved through dedicated programs that spark their interest in scientific research and cultivate the spirit of scientific inquiry. Additionally, fostering an environment where young scientists are given leadership roles, enabling them to develop critical skills in engineering practice and organizational leadership, is crucial for nurturing the next generation of innovators. Encouraging more scientific collaboration and academic exchange is another key recommendation. By promoting interdisciplinary research and facilitating the sharing of research outcomes, the scientific community can accelerate the development and dissemination of disruptive innovations.

basic research  /  disruptive research achievements  /  influencing factors  /  Astronomy
崔林蔚, 杨嘉敏, 陈悦, 杨淳. 颠覆性科研成果生成的影响因素探究——以天文学为例. 科学学研究, 2026 , 44 (3) : 610 -620 .
Lin-wei CUI, Jia-min YANG, Yue CHEN, Chun YANG. Research on the factors influencing the generation of disruptive research achievements——Taking Astronomy as an example[J]. Studies in Science of Science, 2026 , 44 (3) : 610 -620 .
正文
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在2024年全国科技大会、国家科学技术奖励大会、两院院士大会上,习近平总书记深刻指出,我国建成科技强国的基本要素之一,就是要“拥有强大的基础研究和原始创新能力,持续产出重大原创性、颠覆性科技成果”。基础研究领域关注的颠覆性科研成果是指原创的基础性、原理性新发现,并可能在未来创造新产业和新业态的科学突破[1]。近年来,我国基础研究持续快速发展,产生了一批标志性成果,但整体还处于跟跑阶段,重大原始性创新成果稀缺。为从根本上破解“卡脖子”问题,抢占未来发展主动权,亟需加强前瞻性基础研究,催生颠覆性科研成果,实现引领性发展。这一过程不仅需要政策的支持和引导,更需要科研人员的不懈努力和创新精神。
当前,颠覆性科研成果的生成受到多层面因素的影响,研究主要集中在以下几个核心领域,宏观的技术环境和制度环境层面、中观的团队构成和组织协作层面、微观的科学发现和知识创造层面。在宏观层面,科技进步、科研组织模式和科研资助是关键因素。例如,AI for Science的兴起使科学家能够将更多精力投入到新思想的产生和突破性探索上[2]。然而,颠覆性科研的高风险性与科研资助的风险规避倾向之间存在矛盾,这限制了颠覆性科研的开展。在中观层面,科研团队的构成和组织环境支持至关重要。跨学科合作[3]、面对面协作[4]以及小规模团队[5]往往更有可能产生颠覆性和创新性的成果。此外,基础设施、技术支撑和资金稳定性也是影响科研成果创新性的重要因素[6]。在微观层面,知识基础和创造性思维是产生颠覆性科研成果的关键。科研成果的知识来源越广泛、影响力越大、新颖性越高,以及知识整合能力越强,其颠覆性潜力通常越大[7]。
综合现有研究成果,我们发现大多数研究倾向于孤立地探讨单一因素对颠覆性科研成果的影响,而缺乏对多种因素综合作用的系统性挖掘与分析。针对这一研究空白,本研究选取天文学领域作为切入点,使用扎根理论方法,全面搜集并深入分析该领域内颠覆性科研成果的典型案例。通过这一过程,我们旨在构建一个综合的影响因素模型,该模型将为我国在基础研究领域中识别和培育颠覆性科研成果提供理论依据和政策指导。
1 颠覆性科研成果的界定
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在基础研究领域,有一系列术语,如“变革性研究”“革命性科学”“突破性研究”“原创性研究”以及“从0到1的研究”,都被用来描述那些具有颠覆性成果的科研工作。尽管这些术语在特定情境下可能相互替换,但每一个都有其独特的侧重点和内涵(详见表1)。这些术语都描述了相关研究与现有知识体系的不同关系,但却精妙地区分了基础研究中不同层面的创新和影响,为我们提供了一个更为细致和精确的语言工具,以捕捉和表达科学研究中的深刻变革。
综上所述,本文将颠覆性科研成果视为颠覆性研究(disruptive research)的直接成果。所谓颠覆性研究,指的是那些能够显著改变现有科学技术知识体系、技术发展路径或市场格局的创新性研究。在基础研究领域,颠覆性研究特别强调对科学技术知识体系的变革,具体体现在以下四个方面:
一是理论突破。科学知识体系的变革往往开始于理论层面的突破,当新的科学理论或概念被提出并得到验证时,它们便有能力颠覆或重构现有的理论框架,正如相对论和量子力学。二是技术发展。技术的进步和创新同样可能引发科学知识体系的变革。例如,互联网和人工智能推动了相关科学领域的知识体系发展,AlphaFold在预测蛋白质结构方面的成就便是一个典型例证。三是方法创新。新的研究方法和工具的开发也可能导致科学知识体系的改变。大数据和计算能力的提升使得科学家能够处理和分析以前无法处理的复杂问题,从而推动知识的边界,地球大数据科学工程就是这一变革的体现。四是学科融合。不同学科之间的交叉和融合能够带来全新的视角和方法,推动科学知识体系的创新和扩展,纳米医学的发展正是学科融合力量的体现。
2 研究设计
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当前学界尚未构建起一个系统性的理论框架来全面解释基础研究领域颠覆性科研成果的生成机制。扎根理论方法,是一种行之有效的探索性研究方法,以其质性研究的深度和程序化的编码过程,成为探索和归纳现象影响因素的有效途径。该方法强调从数据中自下而上地构建理论,特别适合解释复杂现象背后的动因,并全面把握事物的本质。
本研究选取天文学领域的颠覆性科研成果作为研究对象,是考虑到天文学作为基础研究学科的综合性和在科学与工程中的融合性,及其在探索宇宙的起源、结构和演化,推动物理学理论发展等方面的不可替代作用。同时,天文学领域的科研成果丰富多样,是研究颠覆性科研成果生成影响因素的理想领域。诺贝尔奖的评审标准强调成果的意外性和对传统范式的挑战,这些获奖成果往往预示着新领域的诞生,并最终成为领域内的重要科学里程碑[13],也因而常被视为颠覆性科研成果典型案例。因此,本研究将诺贝尔物理学奖中天文学领域的获奖成果纳入研究样本,数据采集与整理步骤如下:
第一步,选择颠覆性科研成果,构建基础样本库。基础样本库的构建基于两个方面:一是诺贝尔物理学奖中的天文学成果(共19项);二是天文学的学术论文和专著中提及到的其他重要成果[14,15](共8项)。由此,共确定样本27项,其时间线分布如图1所示。
第二步,构建“科学家-成果”矩阵,确定研究案例。考虑到科学家个体因素及成果本身特点对颠覆性科研成果生成的重要影响,本研究将上述成果进行拆分,扩展为43个“科学家-成果”一对一的独立案例,并保留年份最早的5份案例文本留作饱和度检验。
第三步,收集多源信息,丰富案例资料。通过科学家官方主页、诺贝尔奖及相关奖项网站、天文学网站、维基百科等公开途径,系统收集各案例生成过程的文本信息,采集与上述天文学案例生成相关的文本内容。
第四步,开展扎根理论分析,实现内容编码。基于扎根理论的三级编码方式,对原始资料进行编码,归纳凝练出影响因素的理论模型,并用预留5份案例对模型进行饱和度检验。
3 颠覆性科研成果生成的影响因素模型构建
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本文采取经典扎根理论编码过程,逐级采取开放性、主轴和选择性编码的方式对数据资料进行分析,在编码过程中,以2位核心成员的背对背编码,多次进行团队讨论对编码结果进行商讨、修正,确保编码的客观合理。最后,开展理论饱和检验,直至不再产生新的概念类属和新的理论内涵,形成扎根研究的理论模型。
(1)开放式编码。将原始文本资料打散,分别赋予其不同概念,再通过求同分析将相近概念收敛组合起来进行范畴化。具体来讲,通过背对背编码,对涉及颠覆性科研成果生成影响因素的关键语句进行标注,并对初始概念进行合并和整合,归纳提炼出21个初始范畴(表2),开放式编码示例如表1。
(2)主轴式编码。在开放式编码的基础上,对初始范畴进一步归纳和凝练,将主题相近的范畴收敛为一类(表2)。编码过程中形成7个主范畴,即内部因素、环境因素、科研能力、项目提出、项目开展、成果达成、偶然性因素。其中前3个主范畴是科研活动主体端的影响因素,接下来3个主范畴为科研活动过程端的影响因素,最后一个偶然性因素,属于科研活动结果端的影响因素,即与预期结果不符的偶然性因素。
(3)选择式编码。基于对各案例中主范畴关系的理解,本研究确定了核心范畴,即颠覆性科研成果的生成。基于此,本研究构建颠覆性科研成果的影响因素模型如图2所示,包括科研人员维度(内部因素、环境因素、科研能力)、科研活动维度(项目提出、项目开展、成果达成)和科研结果维度(偶然性因素),这3个方面共同影响了颠覆性科研成果的生成,即科研人员维度+科研活动维度+科研结果维度—>颠覆性科研成果。
(4)饱和度检验。通过对预留的5份案例材料采用同样方法进行扎根理论分析,发现其均在已有概念和范畴中,未产生新的范畴,该模型通过饱和度检验。
4 模型阐释与研究发现
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根据上述模型,本文结合相应案例从科研人员、科研活动和科研结果三个维度探讨影响颠覆性科研成果生成的因素及作用机理。其中,科研人员是科研成果的形成主体,科研活动是科研成果的形成过程,对偶然性科研结果的观察、研究和解读与颠覆性科研的“另辟蹊径”有着关联。
4.1 科研人员维度:科研成果形成主体的影响因素
科研人员作为科研主体,其特征对颠覆性科研成果的产出具有决定性作用,具体体现在内部因素、环境因素和科研能力三个方面。
(1)内部因素
内部因素是指那些表征个人内在特征和动机的因素,潜在影响着科研人员开展科研活动的动机和过程。
①科研兴趣。科研兴趣很大程度上影响了科研人员能否坚持从事科学研究活动,进而影响颠覆性科研成果的产生。天文学领域很多颠覆性科研成果都是在科学家的科研兴趣驱动下诞生的,如雷伯(Grote Reber,1911-2002)作为一个业余天文学爱好者,在无经费来源、无研究时间、无车间厂房的条件下,自费在家里建造了世界上第一台射电望远镜,用业余时间绘制了人类第一张射电天图。赖尔(Martin Ryle,1918-1984)、赫茨普龙(Ejnar Hertzsprung,1873-1967)等均是从幼时起就对天文学产生了浓厚的兴趣,驱使其从事天文学研究。
②性格特质。科学家的性格特质,如好奇心、耐心、批判性思维等均会影响其科学研究的行为和决定,进而影响颠覆性科研成果能否生成。开创X射线天文学的贾科尼(Riccardo Giacconi,1931-2018)曾说过“搞基础研究要有好奇心,有将工作深入进行下去的决心。”如学生时期的赫尔斯(Russell Alan Hulse,1950-)在完成其博导泰勒(Joseph Hooton Taylor Jr,1941-)交代的脉冲星巡天计划时,以惊人的毅力和工作热情发现了40颗新脉冲星,同时凭借其科研敏锐度发现了其中一颗脉冲星的周期变化规律,进而证实了脉冲星双星系统;钱德拉塞卡(Subrahmanyan Chan drasekhar,1910-1995)在博士期间坚持修正老师已经受到公认的理论,同时面对国际天文学联合会主席的两次激烈反对,他绝不屈服,最终其成果受到了学界认可。
③爱好广泛。广泛的兴趣爱好不仅会丰富科学家的生活,也会为科学家的科学研究带来新的视角和灵感,进而促成颠覆性科研成果的产生。如赫斯(Victor Francis Hess,1883-1964)在研究“空气漏电之谜”时,设计了高空实验要排除地面放射性的影响,而他恰好是一名气球飞行运动爱好者,这种兴趣爱好为他开展高空探测提供了条件,在多次探测逐一排除后发现了宇宙线;钱德拉塞卡一生更换了7个不同的天文学研究领域,每个都从头开始做出丰硕并出色的研究成果。
(2)环境因素
环境因素是指外部环境中存在的各种条件和影响,这些因素一方面影响着内部因素的形成和发展,另一方面影响着科研能力形成,进而作用于颠覆性科研成果的产生。
①家庭背景。父母的教育水平、家庭的文化氛围以及对科学事业的支持和鼓励,都在潜移默化中塑造着科学家的早期兴趣和职业道路。如施密特(Maarten Schmidt,1929-2022)的童年受到了作为药剂师与业余天文学家的叔叔的启发,正是在叔叔的引导下,他用两块透镜和一个纸筒制作了自己的第一台望远镜,从而在心中埋下了天文学的种子。赫茨普龙从小在父亲的熏陶下对天文学产生了浓厚的兴趣,尽管因父亲毕业于天文系就业困难而改行,他在大学学习了化学专业并从事化学工程师工作,但仍在业余时间从事天文学研究,最终还是全职投身天文学界,并在短短的3年内取得了突破性的科研成果。这些事例表明,家庭的支持和鼓励是科学家成长道路上不可或缺的一部分,它们为科学家的探索之旅提供了最初的动力和持续的灵感。
②科研平台。受教育机构的科研环境及水平、工作所在平台的科研资源和氛围均会影响科学家的成长和发展,尤其对于天文学领域科学家来讲,科研平台所提供的前沿的观测设施和基础条件会极大影响到科学家颠覆性科研成果的达成。如威尔逊天文台为沙普利(Harlow Shapley,1885-1972)提供了很好的观测条件;贝尔实验室为彭齐亚斯(Arno Penzias,1933-2024)和威尔逊(Robert Woodrow Wilson,1936-)提供了开展射电天文学研究的基础材料;施密特(Brian Schmidt,1967-)曾说“我来澳大利亚时才27岁,那时就能够充分利用这里的资源和条件并管理一个国际团队,这是一个非常难得的机会。我十分感谢澳大利亚国立大学对我当时这样一个年轻人给予的所有工作支持”。
③重要他人。在科学家的教育和职业发展过程中,“重要他人”扮演着举足轻重的角色。这些人或群体可以是导师、同事、合作伙伴,甚至是朋友,他们为科学家的成长提供了宝贵的指导、支持和激励。在许多颠覆性科研成果的背后,我们不难发现师承名门的共同特点。以贝特(Hans Bethe,1906-2005)为例,这位揭示太阳和恒星能量来源的科学家,在慕尼黑大学师从著名的索末菲,出色地完成了博士研究。此后,贝特的学术旅程遍布世界各地,包括英国剑桥卡文迪什实验室,师从卢瑟福,在罗马与费米合作,在哥本哈根与玻尔共事。贝特的学术生涯中,他不仅成为了众多世界级科学巨匠的学生和合作伙伴,而且培养了他卓越的交流和合作能力。正是在参加伽莫夫组织的物理学讨论会上,贝特确定了他颠覆性科研成果的研究课题,这一成就不仅彰显了师承名门的影响力,也体现了科学家在交流合作中激发创新思维的重要性。
(3)科研能力
科研能力是指科学家在其专业领域内进行科学研究和创新的综合素质和技能。这些能力决定了科学家能否高效、有效地开展研究工作,解决复杂的科学问题,并在学术界取得显著的成果。
①科班出身。系统的专业教育和学术训练,扎实的理论基础和专业知识,能使科学家敏锐找到颠覆性研究问题并顺利开展。本研究样本中超半数科学家毕业于顶尖大学的物理学/天文学专业,如威尔逊的博士论文就与其产出颠覆性成果息息相关,而赫尔斯的颠覆性科研成果更是其博士就读期间产出的。
②年少成名。在早期职业生涯中取得显著的科研成果获得同行认可,较早展示出其突出的科研潜力和能力,为其后期能够取得颠覆性科研成果打下基础。如索恩(Kip Thorne,1940)在30岁时就已经成为加州理工学院历史上最年轻的教授,其研究涉及物理学各个分支领域;阿尔文(Hannes Alfvén,1908-1995)还是博士研究生的时候,就创立了一个关于宇宙辐射起源的理论。
③工程经验。实际工程参与的经验,有助于将理论知识应用于实践,为科学家后期开展颠覆性科研项目提供实践经验。如贾科尼曾经在美国科学与工程学公司工作了14年,后因美国宇航局的需求,发现了各种X射线源,为其后来发明掠射式X射线望远镜、主持研制爱因斯坦天文台奠定了基础。
④担纲项目。科学家具有独立承担和领导重大科研项目、项目管理和组织协调的经历和能力,尤其是对于大科学时代下的天文学研究来说尤为重要。如马瑟(John C. Mather,1946-)统领了成员多达千人以上的COBE卫星项目、麦克唐纳(Arthur B. McDonald,1943-)在接手SNO项目后,把团队多达273位成员紧密团结在自己周围、巴里什(Barry Barish,1936-)曾主持过国际直线对撞机项目(ILC),因优异的科研管理经验而担当LIGO项目主任,他把“各自为政”的几个研究小组成功转化为有1000多名科学家参与的高效的国际大科学合作工程。
⑤战略眼光。具有前瞻性和全局观,能够识别和把握学术研究中的重要方向和关键问题至关重要。如在奥尔特(Jan Oort,1900-1992)的推动下,1956年荷兰建成了口径25m的射电望远镜,一度成为当时世界上最大的射电望远镜;泰勒的博士课题本不是脉冲星,在得知脉冲星的研究发现后,立刻下定决心要研究脉冲星,在博士论文撰写过程中,挤出时间参与脉冲星研究,后取得了颠覆性研究成果。
4.2 科研活动维度:科研成果生成过程的影响因素
在颠覆性科研成果生成过程中,从项目提出、项目开展到成果达成的各环节中,均会有影响其生成的各种关键因素。
(1)项目提出
在项目提出阶段,研究者确定研究方向、明确研究问题,并制定初步的研究方案,该阶段的问题确定对未来颠覆性科研成果的产生具有决定性影响。
①选题前沿。选择具有前瞻性和创新性、具有颠覆性潜力的研究问题,是颠覆性科研成果生成的最重要一步。如泰勒有一句名言“有可能产生重大意义的研究,再困难也得试一试。”赖尔选择的研究问题“射电望远镜空间分辨率远低于光学望远镜和不能成像”是当时的研究难点;而戴维斯(Raymond Davis,1914-2006)敢于挑战新领域,是20世纪50年代唯一敢于探测太阳中微子的科学家。
②工作导向。来源于工作场景下的研究问题,紧密结合科学界或社会中的重大问题和需求,也是颠覆性科研成果的重要来源。如央斯基(Karl Guthe Jansky,1905-1950)发现银河系射电的源头是其工作机构贝尔实验室需要让他解决“短波通信中有天电干扰”的实际问题;汤斯(Charles H. Townes,1915-2015)预言星际分子存在的源头是所承担的“把雷达工作波长缩短,减小雷达面积”的军方任务。
③学科交叉。课题来源于其他学科领域,利用不同学科的知识和方法,形成新的研究视角和解决方案。如作为一名核物理学家的贝特,参加了伽莫夫组织的物理学讨论会,凭借核反应方面的积淀迅速破解了恒星能源问题;作为一名数学家的彭罗斯(Roger Penrose,1931-)应用完善的黎曼几何修正了爱因斯坦的引力理论,证明了黑洞是广义相对论的理论预言。
(2)项目开展
项目开展阶段的管理和执行效果,以及人员、设备、经费等人力物力资源直接影响颠覆性科研成果能否顺利产生。
①目标明确。研究目标清晰具体,研究工作有明确的方向和重点,以便集中资源和精力攻克关键问题。如泰勒在博士就读期间就下定决心要研究脉冲星,年仅28岁就发表了8篇脉冲星论文,在研究过程中目标明确要发现一批周期比较短、距离比较远、流量密度比较弱的脉冲星,并策划了高灵敏度脉冲星巡天;小柴昌俊(1926-2020)策划要用足量多的水来探测质子衰变,计划与我国物理学家唐孝威共同开展研究未获批准后,自己回国坚持研制了神冈质子衰变探测器。
②科研团队。高效、专业的科研团队是项目成功的关键,近些年天文学研究尤其需要大科研团队的支撑。如在获得诺贝尔奖之后,韦斯(Rainer Weiss,1932-)说“我认为这是对背后千名科研人员的认可”;麦克唐纳总是谦和地说,这是团队所有人努力的结果。
③科学装置。先进的大科学装置(大型望远镜)是高质量研究的保障,是能够实现天文学颠覆性科学发现的关键条件。如哈勃(Edwin Hubble,1889-1953)使用当时世界最大的胡克望远镜进行观测;梶田隆章(1959-)使用超级神探测器以观测中微子;赫尔斯使用当时世界上口径最大的阿雷西博射电望远镜进行观测;盖兹(Andrea M. Ghez,1965-)小组在观测一开始就使用凯克望远镜等。
④经费资助。政府的资金支持是天文学科研项目顺利开展的重要保证。如马瑟和斯穆特(George Smoot,1945-)在项目伊始就向NASA提案,NASA决定将其组合形成COBE卫星项目,该项目精确测量了宇宙微波背景辐射黑体谱和各向异性;由于原有神冈探测器在观测大气中微子反常问题上能力不足,日本政府拨款建造超级神冈探测器,对梶田隆章发现大气中微子振荡具有重要影响。
(3)成果达成
在成果达成阶段,研究团队通过系统的分析和解读,确认研究成果,通过各种渠道将成果分享和传播。
①科学合作。在项目结果基本达成之后,与其他科研机构或团队进行合作,共同验证和进一步发展研究成果。如彭齐亚斯和威尔逊通过精确的测量和噪音去除后发现了一个多余的噪声温度,但这属于未涉足过的宇宙学领域,他们向宇宙学专家迪克团队寻求帮助,而迪克团队的皮布尔斯彼时已经在导师指导下预言了宇宙微波背景辐射的存在,恰逢彭齐亚斯和威尔逊的科学发现,进而双方合作下确定了这就是宇宙微波背景辐射,并一同发表了理论和发现的论文。
②会议交流。通过学术会议、研讨会和其他学术交流平台,向学术界和公众展示和分享研究成果,确认首发权。如罗素(Henry Norris Russell,1877-1957)和赫茨普龙各自独立发现了恒星分类与演化规律(赫罗图),虽然赫茨普龙发现的更早,但是其所发表论文并未受到学界关注(大家并不知晓他的发现),而罗素在论文发表前就在两次重要学术会议上作报告,受到学界广泛关注,“罗素关系图”就已受到认可。直至若干年后北欧天文学家为赫茨普龙说话,才使得其成果获得承认,人们将这类恒星光度-光谱图称为“赫罗图”。
4.3 科研结果维度:偶然性因素的影响
对偶然性科研结果的深入关注和研究,往往能够孕育出颠覆性科研成果。值得注意的是,这种偶然性贯穿于科研人员和科研活动的各个层面。科研人员的敏锐与耐心、跨学科的视角,以及科研活动中诸多意外条件,都可能催生出截然不同的科研发现。
许多科学发现源于偶然和意外的观察,所谓的偶然性科学发现(Serendipity)是指科学家在特定研究中意外发现原本未被预见的现象或信号[16]。默顿认为[17],偶然性科学发现模式是指意外的、异常的和战略性数据的观察经验有可能发展出新理论或者扩展现有理论。Yaqub[18]通过比较大量案例,总结出四种偶然性科学发现的机制:理论导致、观察研究者导致、失误错误导致以及社交网络导致。在本文案例中,偶然性科学发现主要分为两种情形:一是偶然的时机,如小柴昌俊在探测质子衰变的过程中意外记录了超新星爆发产生的中微子;二是偶然的结果,如央斯基在解决短波通信干扰时意外发现了银河系中心的射电信号,休伊什(Antony Hewish,1924-2021)在搜寻类星体时发现了脉冲星,彭齐亚斯和威尔逊在测量射电源时发现了宇宙微波背景辐射。这类偶然发现的颠覆性科研成果具有极大的不确定性,科学政策能否规划或培育这些偶然性科学发现,仍是学界探索的课题。
偶然性在科学发现中的作用无可否认,但其背后往往隐藏着深刻的必然性。这些发现时科学家长期探索、知识积淀和经验沉淀的必然结果。明确的科学目标、发现新现象的能力、项目团队的研究水平[19]构成了重大天文发现的必然性。以小柴昌俊的发现为例,尽管超新星爆发是偶然的,但他精心设计的实验和设备成功捕捉到了这一现象,这背后无疑是科学家对实验设计的严谨、对问题的深刻理解以及对可能性的开放态度的必然结果。央斯基、休伊什以及彭齐亚斯和威尔逊的发现亦是如此,他们对“异常”现象的细致分析和执着追求,最终引导他们实现了科技史上的重要突破。科学家们正是因为具备了扎实的理论基础和开阔的视野,才能在偶然中抓住契机,实现颠覆性的科研成果。
因此,政策制定者应注重科学家的综合素质培养,特别是其创新思维、批判性分析能力和科学敏感性,使其能够更好地捕捉偶然中蕴含的科学契机。同时,鼓励不确定性但可能带来颠覆性成果的探索性研究,激励更多科学家敢于探索未知领域,从而提升科学发现的整体可能性。
5 研究结论与启示
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本文以基础研究领域代表性学科天文学为例,系统收集了天文学颠覆性科研成果案例的相关文本材料,通过扎根理论分析方法,构建了颠覆性科研成果生成的影响因素模型,系统挖掘了颠覆性科研成果生成的多元系统性因素构成。研究发现,颠覆性科研成果生成主要受到科研人员、科研活动和科研结果三个维度的影响,这三方面互相作用、共同造就了颠覆性科研成果的生成。其中,科研人员作为科研主体,其特征对颠覆性科研成果的产出具有决定性作用,包括内部因素(科研兴趣、性格特质和爱好广泛)、环境因素(家庭背景、科研平台和重要他人)以及科研能力(科班出身、年少成名、工程经验、担纲项目和战略眼光);在颠覆性科研成果生成的科研活动过程中,项目提出(选题前沿、工作导向和学科交叉)、项目开展(目标明确、科研团队、科学装置和经费资助)以及成果达成(学术合作和会议交流)各环节都会有关键的影响因素存在;除此之外,偶然性因素会在某些偶然情况下单独作用于科研活动过程,促进颠覆性科研成果的生成。基于上述研究发现,可以从以下4方面展开对颠覆性科研成果的培育工作:
(1)为青少年提供更多接触科研的窗口,从小培养其科研兴趣和科学家精神。研究发现,科研兴趣是激发科学家开展并坚持科学研究的重要驱动力,严谨、批判和坚定的科学家精神是推动科学家取得颠覆性科研成果的内在重要保障。通过系统性的科研启蒙和实践训练,帮助青少年在成长过程中建立科学思维、养成科学探究的习惯,并培养出坚韧不拔、严谨求实的科学家精神,让更多青少年能够成长为具备创新能力和科学素养的新时代科学家,为颠覆性科研成果生成奠定人才基础。
(2)为青年科学家提供更多“挑大梁”机会,提升其工程实践和组织领导能力。研究发现,工程实践经验是影响科学家颠覆性科研成果生成的重要因素。大科学时代,科学规模日益庞大,通过承担更具挑战性和责任感的科研项目和工程实践,青年科学家可以在实际操作中积累经验,提升技术能力和解决复杂问题的能力。此外,通过参与团队管理和项目协调,培养他们的组织领导能力,为未来开展颠覆性科研成果的研究打下坚实基础。
(3)鼓励科学家更多开展科研合作和学术交流,促进科研成果的共享和推广。研究发现,在颠覆性科研成果的生成周期中,积极的科研合作和会议交流有助于促进成果的生成,并且尽早被学界认可。而当前我国高校评价体制中对于科研人员的学术产出大多只认同第一作者和通讯作者的方式,无形中打击了科学家开展学术合作的积极性。有必要通过健全评价体制机制,鼓励科学家开展跨学科、跨机构、跨国家的学术交流和合作,加快科学发现的生成和传播效率,促进科研成果的实际应用和推广。
(4)关注科研成果过程管理,完善从选题到传播的颠覆性科研成果培育链条。研究发现,从项目选题、项目开展到成果达成的颠覆性科研成果生成过程中会有诸多因素影响成果的生成。因而,不止要关注科学家本身的培育,更要关注科研成果生成的过程管理,在项目选题时给予充分的自由选题空间,在项目开展时通过经费资助、组建国家实验室等方式提供必要的资源支持,在成果达成后鼓励其积极开展学术传播,以确保科研过程的科学管理和高效运行,保证颠覆性科研成果顺利生成。
基金
收起
  • 教育部人文社会科学重大课题攻关项目(22JZD021)
  • 国家自然科学基金专项项目(L2324108)
  • 国家自然科学基金青年项目(72404115)
文献
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2026年第44卷第3期
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  • 接收时间：2024-12-02
  • 首发时间：2026-10-09
  • 出版时间：2026-03-15
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  • 收稿日期：2024-12-02
  • 修回日期：2025-01-07
基金
教育部人文社会科学重大课题攻关项目(22JZD021)
国家自然科学基金专项项目(L2324108)
国家自然科学基金青年项目(72404115)
作者信息
    1 大连理工大学科学学与科技管理研究所暨WISE实验室, 辽宁大连 116024
    2 辽宁大学信息资源管理学院, 辽宁沈阳 110136

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陈悦(1975-),女,教授、博士生导师, E-mail: 。
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小菇科 Mycenaceae 2 12 5.74 丝盖伞属 Inocybe 5 2.39
多孔菌科 Polyporaceae 8 14 6.70 蜡蘑属 Laccaria 5 2.39
红菇科 Russulaceae 3 23 11.00 小皮伞属 Marasmius 6 2.87
小菇属 Mycena 11 5.26
光柄菇属 Pluteus 5 2.39
红菇属 Russula 17 8.13
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