基于文献计量的全球标准必要专利理论研究:图谱特征、情报价值及实践启示

A Theoretical Study on Global Standard Essential Patents Based on Bibliometrics:Mapping Characteristics,Intelligence Value,and Practical Implications

标准必要专利(SEP)作为技术创新模式和产业结构变革产物,是竞争的高级形态,其对创新主体的影响正逐步细化和深化,日益引起务实探讨与学者关注。为揭示SEP理论研究全貌并深入挖掘其中蕴含的情报价值以指导实践决策,构建“图谱特征-情报价值”两阶段研究框架。首先,以中外近20年来466篇SEP主题文献作为分析基础,利用CiteSpace呈现研究趋势、热点、前沿及学科分布等维度的图谱特征并进行中外比较,据此识别核心研究文献并对其内容进行深入解读发现,SEP理论研究所关注的问题领域和分析视角分别与SEP实践的活动环节和决策主体产生了映射;在此基础上,进一步引入“SEP环节-决策主体”二维分析框架,以此揭示SEP理论研究在不同决策层次和情形下的情报价值贡献与实践启示。结果显示:(1)SEP研究成果数量总体呈现波动上升趋势,在2013年进入发文高峰阶段,禁诉令、平行诉讼、中国表现是近年来关注热点;(2)中外研究在知识结构、话题侧重及关注视角方面存在明显差异;(3)宏观研究高度集中在国家标准化战略、许可行为的法律规制话题,从制度建设方面为引导SEP活动合法开展及有效维护国家司法主权提供保障;(4)微观及中观研究更为分散地关注企业标准化能力、许可费计算以及标准制定组织政策等主题,对企业SEP研发竞争决策以及产业发展轨道调整提供了重要参考。最后针对中国在微、中观层面的研究储备不足,提出未来应关注SEP产生条件、实践效果及诉讼对策等话题。

Standard essential patent(SEP),as a product of technological innovation models and industrial structural transformation,represents an advanced form of competition.The impact of SEP on innovation entities is gradually becoming more refined and profound,increasingly attracting practical discussions and scholarly attention.To reveal the full scope of SEP theoretical research and deeply explore the intelligence value contained in it to guide practical decision making,this paper constructs a two-stage research framework of"mapping features-intelligence value".First,based on the analysis of 466 SEP-themed publications from the past 20 years,both domestic and international,the CiteSpace software is used to present the mapping features of existing literature in terms of research trends,hotspots,frontiers,and disciplinary distribution,and a comparison between domestic and international studies is conducted.The identification of core research literature and in-depth interpretation reveal that the areas of concern in SEP theoretical research and the analytical perspectives correspond to the stages of SEP practice and decision-making bodies.Based on this,a two-dimensional analytical framework of"SEP stages-decision-making entities"is further introduced to reveal the intelligence value contributions and practical insights of SEP theoretical research at different decision-making levels and scenarios.The results show that:(1)The number of SEP research has generally exhibited a fluctuating upward trend,reaching a publication peak in 2013,with focus on injunctions,parallel litigation,and China's performance.(2)There are significant differences between domestic and international research in terms of knowledge structure,topic emphasis,and perspectives of interest.(3)Macro-level research is highly concentrated on topics such as national standardization strategy and legal regulation of licensing behavior,providing institutional support for guiding SEP activities and safeguarding national judicial sovereignty.(4)Micro-and meso-level research more diversely focuses on topics such as corporate standardization capabilities,royalty fee calculation,and standard-setting organization policies,offering critical references for corporate SEP R&D competition and industrial development path adjustments.However,China lacks sufficient research at the micro-and meso-levels,and future studies should focus on topics such as the conditions for SEP generation,practical outcomes,and litigation strategies.