基于引证的专利丛林识别——以高铁制动技术为例

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

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。

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.