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ISSN 1003-2053 CN 11-1805/G3

科学学研究 ›› 2025, Vol. 43 ›› Issue (10): 2199-2211.

• 前沿与观点 • 上一篇    下一篇

顶层设计与自由探索是否带来了科研突破? ———基于国家重点实验室的实证研究

易涛1,汤超颖2   

  1. 1. 中国科学院大学经济与管理学院
    2. 中国科学院大学 经济与管理学院
  • 收稿日期:2024-09-29 修回日期:2024-11-05 出版日期:2025-10-15 发布日期:2025-10-15
  • 通讯作者: 汤超颖
  • 基金资助:
    国家自然科学基金面上项目:“高层次科技人才流入与研发团队创造力的关联研究”;国家自然科学基金重点项目“高新技术产业突破性创新的形成机制与模式研究”子课题;基于制度逻辑的科研团队突破性创造力形成机理:以国家重点实验室为例

Do the number of “top design” and “free exploration” projects bring more scientific breakthroughs? —— An empirical study on the State Key Laboratories

  • Received:2024-09-29 Revised:2024-11-05 Online:2025-10-15 Published:2025-10-15

摘要: 隶属高校与研究所的国家重点实验室(以下简称为‘学科国重’)和隶属企业的国家重点实验室(以下简称为‘企业国重’)是我国科技创新的重要力量。两类国重所承担的“顶层设计”类项目与“自由探索”类项目的数量能提升其科研突破概率吗?两者的关系与国重的学科知识网络有关吗?对185家国重2010-2022年度实验室报告和论文数据的实证分析发现:两类国重“顶层设计”项目数量正向影响此类项目的科研突破概率,而“自由探索”类项目数量没有显著影响效应;“顶层设计”类项目数量对科研突破概率的贡献受国重学科知识网络的中介中心势与聚集系数双重调节;“自由探索”类项目数量对科研突破概率的贡献,在学科国重中受学科知识网络中介中心势与聚集系数正向调节,但在企业国重中则不存在调节效应。本文的结论为国家科技项目评价改革、国家重点实验室创新战略制定提供了新的参考视角。

Abstract: State Key Laboratories (SKLs) include labs affiliated with universities and research institutes (hereinafter called ‘Academic State Key Laboratories’, ASKLs), and labs affiliated with enterprises (hereinafter called ‘Enterprise State Key Laboratories’, ESKLs). SKLs are important drivers of China’s scientific and technological innovation. This study investigates the relationship between the number of “top design” projects and “free exploration” projects undertaken by SKLs and their impact on the probability of achieving scientific breakthroughs. Additionally, it examines the moderating effects of the structure of disciplinary knowledge networks on this relationship. The results of this study provide a comprehensive understanding of how project types and organizational characteristics simultaneously influence scientific breakthroughs. The empirical analysis was based on a dataset that came from annual laboratory reports and publication data from 185 SKLs spanning from 2010 to 2022. The dataset included 108 ASKLs and 77 ESKLs. The publication data was retrieved from the Web of Science Core Collection, which included a total of 87,329 papers published by these SKLs, including 8,047 highly cited papers. The establishment of disciplinary knowledge networks was based on the co-occurrence relationships among the disciplines indicated by SKL publications. Ucinet software was used to create a dynamic network with a rolling three-year window, resulting in 1,499 disciplinary knowledge networks. Based on the above, we obtained a non-balanced panel dataset covering the years 2010 to 2022. Our findings revealed that the number of “top design” projects was positively correlated with the probability of achieving research breakthroughs. In contrast, the number of “free exploration” projects had no statistically significant effect on breakthrough probabilities. This suggests that SKLs have more pronounced advantages in scientific research in the context of “top design” projects. Furthermore, the relationship between the number of “top design” projects and their breakthrough probabilities was moderated by two characteristics of disciplinary knowledge networks: betweenness centralization and cluster coefficient. These insights highlight that SKLs with strong interdisciplinary research backgrounds and deep engagement in specific fields are better able to leverage their “top design” projects to achieve scientific advancements. However, the influence of disciplinary knowledge networks on the breakthrough probability of “free exploration” projects is significant only for ASKLs, while no such effect is observed for ESKLs. This indicates that ESKLs' innovative capacities, particularly for “free exploration” projects, may rely more on the innovative capabilities of individual researchers than on their existing knowledge base. The academic contributions of this study include: First, it is the first time that the influence of the number of "top design" projects and "free exploration" projects on the probability of scientific research breakthroughs has been empirically demonstrated, which enhances the understanding of the advantages of national scientific research breakthroughs. Second, it provides the first empirical evidence that scientific research breakthroughs depend not only on the knowledge base but also on the types of research projects. Third, it shows that the contribution of the knowledge base to scientific breakthroughs is related to the type of laboratories. For "free exploration" projects, the moderating effect of the disciplinary knowledge network exists only for ASKLs, not for ESKLs. This means that it is difficult for Chinese enterprises to improve the probability of "free exploration" scientific research breakthroughs by relying solely on their own knowledge base. The practical suggestions of this study include the following: First, the evaluation of "top design" science and technology projects should consider the characteristics of the applicant's disciplinary knowledge network (such as betweenness centrality and clustering coefficient), and focus on its disciplinary accumulation and cross-disciplinary application experience. Second, labs with rich disciplinary knowledge bases should be encouraged to apply for "free exploration" projects, but the names of the labs should be anonymized to avoid potential biases from reviewers based on lab prestige. Meanwhile, the rules of the project application process should allow applicants to fully present their high-quality academic achievements. Third, national innovation strategies should emphasize the cultivation of a conducive knowledge environment, facilitate the formation of disciplinary knowledge networks, and promote interdisciplinary research through flexible talent policies and cross-disciplinary project funding.