新颖性不同的四类专利及其被引状况

武夷山

Research Policy杂志2015年10月号发表美国亚利桑那州立大学Deborah Strumsky女士和亚利桑那州立大学人类进化与社会变革学院副教授Jose Lobo合著的论文，Identifying the sources of technological novelty in the process of invention（识别发明过程中技术新颖性的源头）。

文章利用美国专利商标局赋予专利文献的技术分类代码，将技术新颖性的源头分为四类（这里不详加解释）：

Origination：原创。用于分类的所有代码都是新的；

Novel combination：新组元。参与技术组合的至少一个组元的代码是新的；

Combination：新组合。组元都是已有的，组合方式是新的；

Refinement：改进。组元及组合方式都是过去出现过的。

文章还探讨了专利新颖性与被引状况的关系。

博主正在率领一个团队研究论文零被引问题。零被引论文不一定是垃圾论文，也可能是“养在深闺人未识”的“睡美人”论文。同理，技术新颖性很高的专利也会遭遇零被引。

下表是两位论文作者整理的一些重要专利的被引状况，其中有不少是零被引，很有意思。我把表中零被引和高被引专利的名称给大致翻译一下，若翻译错了请行家指正。

Appendix C. Selected significant patents（附录：一些重要专利）

下面的每一行，从左到右依次为：

序号；Patent #（专利号）； Year filed（专利申请年份）； Year granted（专利颁发年份）； Citations （被引用次数）；Novelty classification（新颖性类别）； Title/description（专利文献标题/描述）

1 132 1837 1837 0 Origination Electric motor，电动机

2 3633 1844 1844 3 Novel combination Vulcanized rubber

3 6281 1849 1849 0 Novel combination Safety Pin，安全别针

4 8080 1851 1851 0 Origination Ice machine，制冰机

5 8294 1851 1851 0 Refinement Singer sewing machine，胜家缝纫机

6 15553 1856 1856 0 Refinement Concentrated milk，炼乳

7 19783 1858 1858 3 Origination Lead-pencil and eraser

8 25532 1859 1859 2 Origination Electrical heating surface

9 53561 1866 1866 2 Origination Social game – first board game

10 79265 1868 1868 1 Novel combination Typewriter

11 79965 1868 1868 2 Refinement Tape measure

12 88633 1869 1869 0 Novel combination Celluloid (first synthetic plastic)，赛璐珞

13 105583 1870 1870 0 Refinement Can opener，开罐头器

14 126352 1872 1872 0 Origination Improvement in car-axle lubricators (first algorithm)， 车轴润滑剂的改善（最早的算法）

15 174465 1876 1876 6 Combination First telephone

16 195603 1877 1877 4 Combination Stapler

17 200521 1877 1878 9 Origination Phonograph or speaking machine

18 207559 1878 1878 4 Novel combination Qwert keyboard

19 220925 1879 1879 0 Refinement Flat-bottomed paper bags，平底纸袋

20 223898 1880 1880 22 Novel combination Light bulb

21 271363 1882 1883 0 Combination Cash register and indicator，收银机

22 306577 1884 1884 0 Refinement Winshester lever-action repeating rifle，温切斯特连发步枪

23 355139 1885 1886 1 Novel combination First practical mechanical dishwasher

24 430804 1887 1890 1 Novel combination Electric adding machine

25 425663 1889 1890 0 Combination Tractor，拖车

26 468226 1891 1892 11 Combination Twist metal cap

27 526130 1892 1894 1 Novel combination Tabulating machine

28 520040 1893 1894 2 Refinement Mechanical calculator

29 544657 1895 1895 4 Combination Gas operated machine gun

30 549160 1895 1895 0 Novel combination One of the first automobile patents，最早的汽车专利之一

31 558393 1895 1896 3 Combination Breakfast cereal

32 581901 1896 1897 2 Combination Paper clip

33 649621 1897 1900 92 Refinement Apparatus for transmission of electrical energy (Tesla’s AC current)

34 617,592 1898 1899 3 Novel combination Flashlight

35 644077 1898 1900 3 Origination Aspirin

36 678937 1900 1901 3 Combination Heavy machine gun

37 775134 1901 1904 3 Novel combination Shaving razor

38 775600 1903 1904 0 Combination Rotating cement mixer，旋转式水泥搅拌机

39 821393 1903 1906 22 Novel combination Flying machine

40 808897 1904 1904 19 Combination Air conditioner

41 803684 1905 1905 1 Combination Thermionic diode

42 841387 1906 1907 4 Novel combination Device for amplifying feeble electrical currents

43 879532 1907 1908 0 Novel combination Space telegraphy，太空电报

44 942699 1907 1909 4 Combination Bakelite (first commercially successful plastic)

45 998631 1907 1911 1 Combination Punch card system used for tabulation (IBM’s first patent)

46 971501 1909 1910 0 Novel combination Production of ammonia，氨水生产

47 1105263 1911 1914 0 Combination Portable fire-extinguisher，便携式灭火器

48 1049667 1912 1914 0 Novel combination Manufacture of gasolene，汽油的生产

49 1203495 1913 1916 4 Combination Vacuum tube

50 1115674 1914 1914 1 Origination Brassiere

51 1,266,766 1914 1918 4 Combination Cellophane

52 1133236 1915 1915 6 Refinement Crescent wrench

53 1242872 1916 1917 6 Combination Self-serving store

54 1394450 1920 1921 2 Combination Bread-toaster

55 1385682 1921 1921 3 Novel combination First underwater robotics patent

56 1475197 1921 1923 2 Refinement Food blender

57 1392704 1921 1921 2 Combination First athletic shoe

58 1682366 1925 1928 3 Refinement Foot-measuring instrument

59 1721034 1926 1929 6 Novel combination Polyvinyl chloride (PVC)

60 1773980 1927 1930 9 Novel combination Television transmission system

61 1800156 1927 1931 37 Combination Aerosol spray can

62 1867377 1928 1932 2 Refinement Machine for slicing an entire loaf of bread at a single operation

63 1821525 1929 1931 12 Refinement Hair drier

64 1982851 1929 1934 3 Combination Artificial horizon

65 1929435 1930 1933 4 Combination Variable pitch and reversible propeller

66 1941066 1930 1933 0 Refinement Frequency modulation (FM) receiver，调频收音机

67 1926039 1932 1933 9 Novel combination Neoprene (first synthetic rubber)

68 2013616 1932 1935 30 Combination Cocktail shaker

69 2032695 1934 1936 15 Combination Pocket lighter

70 2171765 1934 1935 30 Novel combination Plexiglass

71 D104289 1937 1937 9 Refinement Electric blender

72 2196066 1938 1940 20 Combination Contact lens

73 2196914 1938 1940 7 Refinement Shopping cart

74 2230654 1938 1941 48 Combination Teflon

75 2262982 1938 1941 24 Combination Toothbrush

76 2266828 1939 1941 89 Combination Paper cup

77 2299328 1939 1942 5 Combination Television viewing apparatus

78 2292387 1941 1942 60 Combination Early technique for spread spectrum communications and frequency hopping

79 2442141 1945 1948 13 Refinement Method for production of penicillin

80 2495429 1945 1950 18 Novel combination Microwave oven

81 2545017 1947 1951 39 Combination Hypodermic syringe

82 2547541 1948 1951 7 Refinement Magic marker

83 2569347 1948 1951 141 Novel combination Shockley transistor

84 2612994 1949 1952 76 Novel combination Bar code

85 2642679 1949 1953 19 Combination The zamboni

86 2649759 1950 1953 26 Refinement Cat litter

87 2752339 1950 1956 11 Combination Cortisone

88 2663157 1951 1953 8 Combination Picnic cooler

89 D164227 1951 1951 0 Refinement Fender guitar，爵士吉他

90 2833280 1952 1958 10 Combination Disposable syringe

91 2,825,721 1953 1956 356 Novel combination High-density polyethylene (HDPE)

92 2780765 1954 1957 14 Combination First patented silicon solar cell

93 2892931 1955 1959 5 Combination Transistor radio

94 2895584 1955 1959 14 Combination Selectric typewriter printing head

95 2917217 1956 1959 67 Combination Styrofoam

96 2912586 1957 1959 20 Novel combination Xerographic photocopying machine

97 2947611 1958 1960 60 Combination Synthetic diamonds

98 3411433 1966 1968 10 Combination Aluminum foil

99 3481554 1966 1969 22 Combination Spinning reel

100 3,541,541 1967 1970 169 Combination Computer mouse

101 3953566 1970 1976 1213 Combination Gore-tex ，戈尔特斯防水透气布料，这个被引超过1200次的专利，属于“新组合”，新颖性并不高

102 3728480 1971 1973 91 Combination First video game

103 3757306 1971 1973 99 Combination Computing systems cpu

104 3759161 1972 1973 7 Combination Drip coffeemaker

105 3819921 1972 1974 15 Combination Handheld calculator

106 3896814 1972 1975 28 Novel combination Collagen based surgery thread

107 4259444 1972 1981 25 Novel combination Bacterium capable of breaking down crude oil

108 3821715 1973 1974 135 Refinement Intel 4004 microprocessor

109 3922552 1974 1975 31 Combination CAT-Scan

110 4053845 1974 1977 78 Combination Optically pumped laser amplifiers

111 4004591 1975 1977 43 Refinement Modern condom

112 4058430 1975 1977 590 Combination Atomic layer deposition

113 4107288 1975 1978 162 Novel combination Injectable nanoparticles

114 4161436 1977 1979 54 Combination Method of energizing a material (laser)

115 4405829 1977 1983 1096 Combination First public-key cryptography algorithm，第一个公约密码算法，被引超过1000次，也属于“新组合”

116 4363877 1978 1982 49 Combination Human growth hormone

117 4468464 1978 1984 112 Combination Genetic engineering

118 4237224 1979 1980 299 Novel combination Genetic engineering

119 4309611 1980 1982 6 Refinement Scanner for positron emission computed tomography

120 4384255 1980 1983 13 Refinement Nuclear magnetic resonance systems (MRI)

121 4399216 1980 1983 439 Novel combination Simultaneous transformation of two or more genes

122 D268584 1980 1983 3 Refinement Personal computer

123 4476541 1982 1984 5 Combination Computer-on-a-chip

124 4504982 1982 1985 117 Origination An intraocular lens for permanent implantation into a human eye

125 4438032 1983 1984 73 Combination Use of cancerous cells for research

126 4558302 1983 1985 313 Refinement High speed data compression and decompression apparatus and method (.gif)

127 4634665 1983 1987 162 Combination

128 4622557 1984 1986 65 Combination GPS device

129 4663230 1984 1987 314 Combination Fine fibers made of carbon

130 4736866 1984 1988 359 Novel combination Genetically modified mouse useful for studying cancer

131 4740470 1984 1988 14 Combination Genetic engineering

132 4701745 1985 1987 172 Refinement Data compression system

133 4733665 1985 1988 2187 Combination Cardiac stent device，心脏支架装置，被引超过2100次，也属于“新组合”

134 4668865 1986 1987 82 Novel combination Scanning tunneling microscope

135 4723129 1986 1988 2034 Combination Desk jet printer，喷墨打印机，被引超过2000次，仍属于“新组合”

136 4724318 1986 1988 156 Novel combination Atomic force microscope

137 5194299 1986 1993 77 Combination Post-it note

138 4840175 1988 1989 139 Refinement Lasik surgery

139 5149636 1988 1992 6 Combination Splicing DNA sequences

140 5123902 1989 1992 131 Combination Using a laser to cut tissue during surgery

141 5184830 1989 1993 166 Combination Game boy

142 5068916 1990 1991 267 Combination Transfer of wireless signal from tower to tower

143 5074437 1990 1991 78 Combination Super soaker water gun

144 5181200 1990 1993 207 Combination Handoff of wirelss signal among link adapters.

145 5143745 1991 1992 13 Combination Method to synthesize monomolecular thin film nanotube coatings

146 5179017 1991 1993 107 Refinement Inserting DNA into a Hamster’s ovary cells

147 5193056 1991 1993 313 Refinement Data processing system for hub and spoke financial services configuration

148 5225539 1991 1993 549 Combination Using recombinant DNA to produce an altered antibody

149 5275705 1992 1994 5 Combination Fullerenes

150 5301348 1992 1994 50 Novel Combination Progress bar on computer

151 5410326 1992 1995 716 Novel combination Universal remote

152 5712327 1992 1998 29 Combination Soft contact lens

153 5321542 1993 1994 156 Combination Fiber optical wireless systems

154 5348253 1993 1994 32 Refinement Winglet at tip of airplane wings

155 5424054 1993 1995 193 Novel combination Carbon fibers and method for their production

156 5462535 1994 1995 41 Refinement Insulin pen

157 6469012 1994 2002 18 Refinement Viagra

158 5579430 1995 1996 169 Refinement Digital encoding process (.mp3)

159 5710835 1995 1998 142 Combination Storage and retrieval of large digital images (.jpeg)

160 5770429 1995 1998 188 Combination Production of high affinity human antibodies from transgenic mice

161 5844119 1995 1998 33 Refinement Genetic engineering of tobacco plants

162 6455275 1995 2002 7 Refinement Insering DNA into eucaryotic cells for producing proteins

163 5843780 1996 1998 218 Refinement Primate (including human) embryonic stem cells

164 5778814 1997 1998 2 Refinement Sunfish sailboat mast design

165 5920859 1997 1999 331 Combination Google page ranking system

166 6235176 1997 2001 36 Refinement Disability insurance for defined contribution pension plans

167 6597949 2000 2003 10 Combination Modern defibrillator

168 6791432 2001 2004 60 Combination Left handed composite media (metamaterials)

169 6690134 2002 2004 121 Combination Independently mobile mini robot

170 7029178 2002 2006 8 Refinement Ziploc

171 7260426 2002 2007 74 Combination Radiation therapy tracking system

172 7555727 2005 2009 73 Combination Smartphone integration

173 D591,741 2006 2009 24 Refinement The kindle

174 7956847 2007 2008 58 Refinement Apple’s swipe/multipoint input

175 8705177 2011 2014 0 Refinement Google glasses，谷歌眼镜