知识单元视角下“零引文专利”技术新颖性比较分析  

Comparative Analysis of Technological Novelty of"Zero-Reference Patents"from the Perspective of Knowledge Units

作　　者：宋超[1] 陈悦[1] 王康[1] 王玉奇 孙希科 Song Chao;Chen Yue;Wang Kang;Wang Yuqi;Sun Xike(Institute of Science of Science and S&T Management and WISE Lab,Dalian University of Technology,Dalian 116024;Weichai Power Co.,Ltd.,Weifang 261061)

机构地区：[1]大连理工大学科学学与科技管理研究所暨WISE实验室,大连116024 [2]潍柴动力股份有限公司,潍坊261061

出　　处：《情报杂志》2022年第8期62-68,61,共8页Journal of Intelligence

基　　金：国家重点研发计划项目“颠覆性技术识别理论、方法与专家预判系统”(编号:2019YFA0707201);中央高校基本科研业务费资助项目“技术供给侧的人工智能技术颠覆性轨迹及其发展规律研究”(编号:DUT20RW202)研究成果之一。

摘　　要：[研究目的]专利引文分析方法被学术界广泛应用于不同技术类型及其特征比较问题,但该方法长期未关注到“零引文专利”这类情形,此类专利所表征的“先驱型技术”的新颖性问题值得深入探讨。[研究方法]首先根据专利引文的情况,将专利表征的技术分为“基于科学的技术”“基于技术的技术”和“先驱型技术”三种类型,利用N-gram模型提取专利的技术知识单元,结合TF-IDF和Burst算法得到差异性和新颖性知识单元,运用多项Logit模型实证研究知识单元多维指标与技术类型的关系,分析和比较“零引文专利”所表征的“先驱型技术”的新颖性问题。[研究结论]以“基于技术的技术”作为参照方案,重点比较分析了“基于科学的技术”和“先驱型技术”的特征差异。研究发现,“先驱型技术”一般包含更少的知识单元,但是却具备明显的新颖性特征,这类新颖性知识往往由少数精通隐性知识的发明人所掌握,“先驱型技术”可能正体现出隐性知识显性化的过程。[Research purpose]The patent citation analysis method is widely used by the academic community to compare different technology types and their characteristics,however,this method has not paid attention to the situation of"zero-citation patent"for a long time.The technical novelty of the"pioneering technology"represented by this kind of patent is worthy of in-depth discussion.[Research method]This study firstly divides the technologies represented by patents into three types,such as"science-based technology","technology-based technology"and"pioneering technology",according to the citations of patents,and uses the N-gram model to extract the technical knowledge units of patents,combines with TF-IDF and Burst algorithms to obtain the knowledge units of difference and novelty.Then,we use Multinomial Logit Model to quantitatively study the relationship between multi-dimensional indicators of knowledge units and technology types.Furthermore,we analyze and compare the novelty of the"pioneering technology"represented by the"zero-citation patent".[Research conclusion]The study uses"technology-based technology"as a base category,and focuses on the comparative analysis of the characteristic differences between"science-based technology"and"pioneer technology".It shows that the"pioneering technology"generally contains fewer knowledge units,but has obvious novelty characteristics.This kind of novel knowledge is often mastered by limited number of inventors who are proficient in tacit knowledge.The"pioneering technology"may reflect the translation process from tacit knowledge to explicit knowledge.

关 键 词：专利引文分析 零引文专利 先驱型技术 技术新颖性 知识单元 多项Logit模型 

分 类 号：G306.0[文化科学]