基于引证的专利丛林识别——以高铁制动技术为例

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。     

Mapping the importance of the real world: The validity of connectivity analysis of patent citations networks

Recent empirical findings have questioned the use of patent citations as a measure. This points to the need of validation of patent citations methodologies, which we address by testing a recent methodology for studying technological evolution, namely connectivity analysis of citation networks. We find connectivity analysis to be a valid tool to identify the reliable knowledge which opens the way to further technological evolution of a surgical prosthesis, the artificial spinal disc. We also illustrate how connectivity analysis represents how this reliable knowledge differs depending on the stage of technological evolution. The corroborated validity of connectivity analysis of patent citations may trigger a renaissance in the use of this kind of patent data.     

Innovation as co-evolution of scientific and technological networks: exploring tissue engineering

The question of exactly how science is commercialized is an important one. While the social structures of “science” and “technology” are distinctive, recent work suggests that scientific and technological ideas in fact co-evolve. This paper addresses the dynamics of such co-evolution: are scientific networks deeply co-mingled with networks through which technology is created and if so how? It does so in a study of an emerging area of biomedicine—tissue engineering. The research is based on a novel methodology that takes advantage of the fact that an idea is often inscribed in both a patent and paper, thus forming a patent–paper pair. Starting with the pair, it is possible to trace the citation network of patents, papers, inventors and authors, combining traditional bibliometric analysis with in-depth interviews to provide new insights. The results show that for this case there exist distinctive scientific and technological networks. Furthermore, while there is evidence of overlap, it is neither co-publishing nor citation as might be predicted from current literature. Rather co-mingling exists through founding, licensing, consulting and advising. This has implications for our understanding of the processes through which spillovers arise, the way in which commercialization and technology transfer should be structured and for recent debates on conflict of interest in biomedicine.     

Challenges of scholarly publications on the Web to the evaluation of science—A comparison of author visibility on the Web and in print journals

This article reveals different patterns of scholarly communication in the XML research field on the Web and in print journals in terms of author visibility, and challenges the common practice of exclusively using the ISI’s databases to obtain citation counts as scientific performance indicators. Results from this study demonstrate both the importance and the feasibility of the use of multiple citation data sources in citation analysis studies of scholarly communication, and provide evidence for a developing “two tier” scholarly communication system.     

Federal funding and the rate and direction of inventive activity

Leveraging a new measure of patent citation trees (Corredoira and Banerjee, 2015), we demonstrate that research funded by the federal government is associated with more active and diverse technological trajectories. Our findings tie government funding to breakthrough inventions. The differences are especially evident at the upper percentiles of the distribution of long term patent influence and stem primarily from research conducted outside the federal government and sponsored by the DOD, HHS and NSF. Government funded patents are inputs into a broader range of technologies. Additional analyses indicate that federal programs invest in some technological areas that private corporations eschew, and federally funded university patents are in different technological classes than non-federally funded university patents. In this sense, the government may play an irreplaceable role in the rate and direction of inventive activity.“Generally speaking, the scientific agencies of Government are not so concerned with immediate practical objectives as are the laboratories of industry nor, on the other hand, are they as free to explore any natural phenomena without regard to possible economic applications as are the educational and private research institutions.” - Vannevar Bush, Science the Endless Frontier”, 1945.     

基于企业引用网络的技术影响力评价研究

 专利作为企业间技术竞争情报的重要信息源,从中可以发现竞争对手的技术发展战略及趋势。利用专利引用关系构建了企业引用网络,借鉴链接分析中PageRank算法的思想,提出了企业技术影响力的评价方法,并以USTPO美国专利数据库1975至1999年液压制动领域的专利为数据样本进行了实证分析。分析结果表明,与基于被引次数的传统评价指标相比,新评价方法综合考虑了引用企业数量、企业自身影响力、企业间引用强度三方面的因素,因此可以更加客观地评估企业的技术影响能力,进而帮助企业准确识别行业内的技术竞争对手。     

基于遍历数局部最优的专利引证主路径分析算法研究

[目的/意义]旨在揭示某领域技术发展历程。[方法/过程]在深化、拓展连接度算法基础上,提出一种专利引证主路径分析算法。按照有界深度优先搜索策略,运用搜索路径遍历数测度专利引证路径权重,遵循遍历数局部最优法则,寻找贯穿整个专利引证网络的主路径。在燃料电池领域开展实证研究,采集专利数据和专利引证数据,构建燃料电池领域专利引证网络。应用Pajek作连接度分析,挖掘得到了燃料电池领域的主路径。[结果/结论]极少数专利引证路径聚合绝大多数权重,体现了主路径挖掘效果,验证了本文算法的可行性和有效性。     

基于专利引证网络的技术进化路线分析——以数据挖掘领域为例

应用搜索路径连接统计法和搜索路径节点对统计法计算引证路径的连接度,提出了一种基于专利引证网络的技术进化路线提取算法。从美国专利数据库中采集了5073项1975年至1999年授权的数据挖掘领域的相关专利,分析了专利的地区分布情况和年度分布情况。从专利数据集NBER中查询得到专利引证关系,利用网络分析软件Pajek构建专利引证网络,提取了数据挖掘领域的技术进化路线。由实验结果可知,技术进化路线包含创新、扩散和突破,是一个渐进式创新和根本性突破相结合的过程。根据专利内容将主要进化轨迹分为三段,从继承性和延续性的角度分析了各阶段技术的发展情况。最后对下一步的研究工作进行了展望。     

论基于专利引文的科学-技术关联探测方法中存在的问题

基于专利引文的科学—技术关联探测方法包括三大步骤:以引用关系为纽带,建立代表技术知识的专利方数据集与代表科学知识的论文方数据集之间的对应关系;确定论文方所代表的科学学科和专利方所代表的技术领域;建立科学学科与技术领域间的映射,描述并显示双方的知识溢出关系。但这三大步骤中分别存在以下问题:一是不区分专利对论文的引用类型将导致探测误差;二是依据IPC的分类方法不能反映专利方子技术领域的知识类别;三是现有探测方法中缺失科学论文对技术创新的反向引用计量。     

利用德温特分析家软件开展专利情报研究

本文针对如何利用德温特分析家软件开展专利情报研究进行了讨论。通过使用德温特分析家软件对德温特专利数据库中的太赫兹相关专利数据进行分析，从专利数量、归属情况、技术分布、引文情况、以及数据组配等几个方面入手，深度挖掘软件的各种功能，实现了利用该软件进行专利情报研究的工作。     

基于专利计量的颠覆性技术识别方法研究

颠覆性技术作为技术创新的重要组成部分,已成为推动新一轮技术变革浪潮的强力引擎。如何在激烈的市场竞争中,更早地发现和识别颠覆性技术,对企业和国家把握技术发展机遇具有重要意义。为此,本文在总结颠覆性技术特征的基础上,基于专利视角,从技术融合性、新颖性、扩张性和影响力四个维度,运用熵权法和模糊一致性矩阵方法,构建了一套系统的颠覆性技术识别模型。此外,为证实该模型的可行性和有效性,本文选取5个技术领域开展实证研究,分别从同领域传统技术与颠覆性技术对比、不同领域颠覆性技术对比、以及颠覆性技术在不同时间段的对比三个维度开展分析,一方面验证了本文模型的可行性,同时探究了各技术颠覆性潜力指数的有效性和适用性。     

大规模科技文献深度解析和检索平台构建

[目的/意义] 在信息检索、科技论文评价和知识结构演化方面,引文分析都起着至关重要的作用。随着格式化全文数据库的出现,引文分析迈入了4.0时代——全文引文分析阶段。但是,目前还没有中文的格式化全文数据库,这极大地制约了全文引文分析在我国科技文献中的研究和应用。[方法/过程] 在本文中我们提出建立高效的中文全文引文分析依赖的数据集和检索平台的方法,主要包括：1）提出了基于规则和SVM分类方法的论文元数据和引用提取方法;2）提出基于Spark平台的实现高效引文内容分析标准化数据集生成方法;3）提出建立引用内容的科技文献检索平台。[结果/结论] 引文内容分析标准化数据集的建立将全面提升全文引文分析在我国科技领域中的研究效能,提高科技文献查找精度。     

Bibliometric maps of field of science

The present paper is devoted to two directions in algorithmic classificatory procedures: the journal co-citation analysis as an example of citation networks and lexical analysis of keywords in the titles and texts. What is common to those approaches is the general idea of normalization of deviations of the observed data from the mathematical expectation. The application of the same formula leads to discovery of statistically significant links between objects (journals in one case, keywords — in the other). The results of the journal co-citation analysis are reflected in tables and map for field “Women’s Studies” and for field “Information Science and Library Science”. An experimental attempt at establishing textual links between words was carried out on two samples from SSCI Data base: (1) EDUCATION and (2) ETHICS. The EDUCATION file included 2180 documents (of which 751 had abstracts); the ETHICS file included 807 documents (289 abstracts). Some examples of the results of this pilot study are given in tabular form . The binary links between words discovered in this way may form triplets or other groups with more than two member words.     

基于专利网络的技术演进研究方法探索

技术演进研究可用于梳理技术领域的发展脉络和内部技术活动的发展历史及现状,对政府和企业的科技战略管理具有重要意义。专利引文分析在技术演进研究中存在难以准确判断专利的技术主题相似度、分析的范围和潜在信息的丰富性有限等缺陷,而文本挖掘方法可以对专利的文本内容进行深度分析,能在一定程度上弥补专利引文分析的缺陷,因此探索将专利引文分析与文本挖掘方法相结合,在专利引用关系矩阵和专利文本相似度矩阵的基础上创建C-T（Citation-Text）专利网络,并对C-T专利网络进行聚类分析和可视化展示来研究技术的演进过程,旨在进行技术演进研究方法的创新,丰富技术演进研究的方法体系。     

专利指标与科技进步的关联性研究

针对我国有关专利和科技进步的研究只有定性描述的现状,借助于SPSS软件,利用回归分析法,选取各个省区的专利申请量、专利授权量、专利有效累计量、各地区专利实施许可备案量、专利纠纷立案量等指标数据,计算出其与科技进步水平指数的相关系数,并建立回归模型,以便科学地认识和了解专利作用科技进步的具体途径,科学控制相关因素,实现专利促使科技进步的作用最大化。     

The determinants of AI innovation across European firms

Using patent data for a panel sample of European companies between 1995 and 2016 we explore whether the inventive success in Artificial Intelligence (AI) is related to earlier firms’ innovation in the area of Information and Communication Technology (ICT), and identify which company characteristics and external factors shape this performance. We show that AI innovation presents strong dynamic returns (learning effects) and benefits from complementaries with knowledge earlier developed in the area of network and communication technologies, high-speed computing and data analysis, and more recently cognition and imaging. AI patent productivity increases with the scale of firm innovation, and is lower for companies with narrow technological competences. There is evidence of knowledge spillovers from ICT innovators to AI innovators, but this effect is confined to the frontier firms of the new technological field. Our findings suggest that, with the take-off of the new technology, the technological lead of top AI innovators has increased due to the accumulation of internal competences and the expanding knowledge base. These trends help explain the concentration process of the world’s data market.     

技术内卷的测度：方法研究与案例分析

近年来,全球范围的技术发展面临新的挑战,一方面是专利、论文等的数量持续快速增长;另一方面,技术发展趋向于局部改进和渐进创新,少见原创性的技术创新,这实质上是技术领域的内卷化。面对技术内卷的涌现蔓延,开展研究工作的前提是对其进行科学测度。为科学测度技术内卷,避免专利数量的过快增长干扰研究,从专利类别分析入手开展研究;将发明专利划分为基本专利和同族专利,同族专利是围绕基本专利衍生形成的,反映领域技术的细微改进和渐进创新;选择同族专利为突破口,研究构建测度内卷的技术内卷指数。然后,以化学电池技术为研究样本,针对长周期的技术发展过程,运用研究构建的技术内卷指数,定量测度和划分技术内卷的演进阶段,分析得出技术内卷的阶段特征。     

基于面板数据的专利与科技进步关联性研究/FONT

    摘要：专利制度已成为建设创新型国家的重要制度保证,其推动科技进步的作用在实践中已得到充分体现,但二者之间相互依存关系的密切程度还没有定量研究。本文选择专利授权率、发明专利授权量、专利有效累计量等10个专利表征指标,基于面板数据,采用灰色关联分析法定量研究了这些指标与科技进步的关联性。结果表明专利与科技进步有着很大的关联性,并且专利制度的不同运用方式对科技进步的贡献度明显不同,表现为不同的专利指标和科技进步的关联性不一样,其中专利授权率与科技进步关联度最大,而专利授权量、PCT申请量与科技进步的关联度相对较小。       

面向企业技术创新决策的专利数据挖掘研究综述(上)

在对企业技术创新的策略、过程和本质的阐述基础上,重点对国内外面向企业技术创新决策的专利数据挖掘的几个主要研究方向——基于TRIZ的专利知识挖掘、基于专利地图的专利著录特征项统计分析、专利组合战略分析、专利引证分析和专利内容挖掘等进行梳理和综述。最后,提出了基于专利挖掘的企业技术创新决策支持方阵和系统模型。     

基于专利引文的企业间技术溢出可视化研究

专利间的引用关系是研究技术溢出的重要途径之一,为分析技术知识的流动提供了客观的测度依据。本研究以专利引文作为衡量技术溢出的途径,从当前特定技术领域内企业间技术溢出研究的薄弱环节——研究内容和结果表达上入手,提出了专利互引、专利他引和专利自引3种专利引文形式在企业间技术溢出分析中的具体应用,创新性地引入可视化概念,构建了基于专利引文的企业间技术溢出研究框架与方法体系。并以公路工程领域为例,对该领域组群层面和个体层面的企业间技术溢出情况进行深入细致的可视化分析,以图为技术创新实践提供决策信息支持。