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

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

摘要:

标准必要专利(Standard Essential Patent,SEP)作为技术创新模式和产业结构变革的产物,是竞争的高级形态。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,文章构建了“图谱特征—情报价值”的两阶段研究框架。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呈现现有文献在研究趋势、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,这为进一步挖掘SEP研究的情报价值提供了合理维度,也为通过理论分析解决实践问题提供了具体的可行通道。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、中国表现是近年来的关注热点；(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。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SSO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,我国在微、中观层面的研究储备不足,未来应关注SEP产生条件、实践效果及诉讼对策等话题。

Abstract:

Standard essential patent (SEP), as a product of the change of technological innovation model and industrial structure, is an advanced form of competition.In order to reveal the whole picture of SEP theoretical research and to deeply explore the intelligence value contained in it for the purpose of guiding practice, this article constructs a two-stage research framework of "mapping characteristics-intelligence value". Firstly, CiteSpace was used to analyze 466 literature about SEP in China and abroad in the past 20 years, and to present the mapping characteristics of existing literature in the dimensions of research trends, hot topics, frontiers and disciplinary distribution, and to compare them in China and abroad. Based on this, the core research literature is identified and its contents are deeply interpreted, and it is found that the problem fields and analysis perspectives concerned by SEP theoretical research are mapped to the activities and decision-making bodies of SEP practice respectively, which provides a reasonable dimension for further mining the intelligence value of SEP research and a concrete and feasible channel for solving practical problems through theoretical analysis. We further introduce a two-dimensional analysis framework of "SEP process-decision body" to reveal the contribution of intelligence value and practical inspiration from SEP theoretical research in different decision-making situations.We find (1) the overall literature show a fluctuating upward trend and enter the peak of publication in 2013, with anti-suit injunctions, parallel litigations, and Chinese performance being the hot-spots of attention in recent years;(2)There are significant differences between Chinese and foreign studies in terms of knowledge structure, topic focus and focus perspective;(3)Macro studies are highly focused on the topics of national standardization strategy and legal regulation of licensing behavior, which provide guarantees for guiding the legal development of SEP activities and effectively maintaining national judicial sovereignty from the aspect of institutional construction. Micro and meso studies are more scattered to focus on topics such as enterprise standardization capability, license fee calculation and SSO policies, which provide important references for enterprise SEP R D competition decisions and industry development track adjustment.Finally, China"s research reserves at the micro and meso levels are insufficient, and future attention should be paid to topics such as SEP generation conditions, practical effects and litigation countermeasures.