基于引证的专利丛林识别——以高铁制动技术为例

科研管理 ›› 2021, Vol. 42 ›› Issue (4): 123-130.

基于引证的专利丛林识别——以高铁制动技术为例

冯灵^1，2，袁晓东³

1.湖北师范大学经济管理与法学院，湖北黄石435002；
2.湖北师范大学资源枯竭型城市转型与发展研究中心，湖北黄石435002；
3.华中科技大学管理学院，湖北武汉430074

收稿日期:2020-05-01 修回日期:2020-09-22 出版日期:2021-04-20 发布日期:2021-04-19
通讯作者: 冯灵
基金资助:
国家自然科学基金项目：“政策引导创新模式下的专利集成问题及其政策优化研究”(71774058)；湖北师范大学资源枯竭城市转型与发展研究中心2020年度开放基金资助项目（KF2020Y02,2020.01—2020.12）。

Identification of patent thickets based on citation analysis——A case study by taking the high-speed train braking technology as an example

Feng Ling^1，2, Yuan Xiaodong³

1. School of Economics, Management and Law, Hubei Normal University, Huangshi 435002, Hubei, China; 2.Resource-Exhausted City Transformation and Development Research Center，Hubei Normal University, Huangshi 435002, Hubei, China; 3. School of Management, Huazhong University of Science and Technology, Wuhan 430074, Hubei, China

Received:2020-05-01 Revised:2020-09-22 Online:2021-04-20 Published:2021-04-19

摘要/Abstract

摘要： 专利丛林是企业在创新活动中必须关注的技术陷阱之一。专利越分散、专利权的交叉和重叠现象越严重，专利丛林越多。对专利丛林进行识别和分析可以有助于相关企业预测及规避本技术领域潜在的专利风险，在一定程度上减少技术创新中的障碍。本文拟以高铁制动技术为例，以小见大，对高铁技术领域的专利丛林问题展开研究。利用专利引证三元组计算法对高铁制动技术领域的专利丛林进行测量和识别。随后，基于有效专利时间序列的系统聚类分析，分析高铁制动技术领域对专利丛林演变进程。实证分析结果显示，高铁技术领域存在专利丛林问题，在经历了专利丛林的萌芽期、成长期及成熟期后，现阶段正处于专利丛林的衰退期。

关键词: 专利丛林, 三元组, 有效专利, 系统聚类, 高铁

Abstract: Patent thicket is one of the forms of patent traps, which have attracted widespread attention because of its hindrance to technological innovation. The more serious of patent rights fragment and overlapping, the more patent thickets. Patent jungle has therefore become one of the technological traps that companies must pay attention to in innovation activities. Given concerns about the consequences of the patent thicket, identifying and analyzing the patent thicket is necessary as it can help companies predict and avoid related patent risks, and to a certain extent reduce obstacles in technological innovation.With the implementation of China′s high-speed train "going abroad" strategy, intellectual property issues, especially patent issues in the field of high-speed train make the exporting of China′s high-speed train facing potential technical risks. In this context, this paper intends to take the high-speed train braking technology as an example, study the patent thicket problem in the field of high-speed train technology. The empirical analysis of this paper involved two steps, including the identification of the patent thickets and the evolution process analysis of the patent thickets. The patent citation triples method is used to measure and identify the patent thicket in the field of high-speed train braking technology. With this method, only when any two of the three innovation subjects have mutual citation relationship, and then form a closed ring of citation relationship among these three innovation subjects, a complete triple can be formed. Then, based on the systematic cluster analysis of the effective patent time series, the evolution of patent thicket in the field of high-speed train braking technology is analyzed. Thicket patents that have a certain influence on other innovation subject′s innovative activities are valid patents in the protection period. Therefore, the change of the number of valid patents is taken as an analysis index to measure the evolution process of patent thickets in this paper. The empirical analysis results show that there is a patent thicket problem in the field of high-speed train technology. After experiencing the germination period, growth period, and maturity period of the patent thicket, the patent thicket is currently in the decline stage. With the increase of invalid patents in the existed patent thicket, the stock of valid patents is continuously decreasing. For the latecomer Chinese high-speed train enterprises, the resistance and obstacles to innovation are relatively reduced. In view of the patent thicket problems in the high-speed train industry and its stage, this paper proposes two suggestions for Chinese high-speed train related companies. Firstly, they should deepen the cooperation of the high-speed train technology alliance, promote the sharing of knowledge and patents, and jointly avoid the obstacles to technological innovation caused by the patent thicket. Secondly, technical standards for high-speed trains should be established while realizing the standardization of patented technologies of Chinese high-speed train companies.

Key words: patent thicket, patent citation triples, active patent, systematic cluster analysis, high-speed train

冯灵, 袁晓东. 基于引证的专利丛林识别——以高铁制动技术为例[J]. 科研管理, 2021, 42(4): 123-130.

Feng Ling, Yuan Xiaodong. Identification of patent thickets based on citation analysis——A case study by taking the high-speed train braking technology as an example[J]. Science Research Management, 2021, 42(4): 123-130.

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