摘要
随着科学技术体系日益复杂和多样化,科学技术的创造发明影响着国家、行业和企业的科学技术竞争力。因此,技术专利的申请数量和拥有数量就成为衡量国家、企业的科学技术竞争力的重要指标之一。专利文献是技术知识的载体,浓缩着研发人员的研发成果。因此,如何基于专利文献从知识网络视角揭示专利技术主题的结构及变化,是本文研究的主要目的。
首先,在知识网络、知识计量基本理论及相关概念的基础上,建构了专利技术主题结构的理论基础,界定了专利技术主题的相关概念,阐释了专利技术主题结构的形成就是知识网络中的知识单元游离与重组的过程,分析了从技术术语到专利技术主题的形成机理,提出了专利技术主题结构分析的主要路径。在此基础上,构建起以技术术语共现矩阵与技术主题关联矩阵为手段,以知识单元的游离与重组为内容的专利技术主题结构的分析模型、计量指标和分析方法。
其次,以第三代移动通信技术领域的专利文献为例,从专利文献的标题和摘要中抽取技术术语,并以余弦指数构建技术术语共现矩阵,利用卡龙的共词分析方法和原则,运用战略坐标分析方法从位置维度对专利技术主题象限结构进行静态和动态分析。专利技术主题象限结构的静态分析显示,核心专利技术主题不仅在技术发展中起着重要的作用,而且与其他专利技术主题之间具有交叉和融合的趋势。专利技术主题象限结构的动态分析,显示了专利技术主题结构的变迁与不同时段技术术语的共现关系和强度有着密切关联,由此可以有效地揭示某技术领域的研究内容和方向的变化。
最后,应用同一专利文献数据,分别构建了专利技术主题的关联矩阵和最大外联度的技术术语共现矩阵,从关系维度对专利技术主题的关联结构和强链接结构进行静态和动态分析。分析结果显示,中间中心度高的专利技术主题在知识网络中起着重要作用,与其他专利技术主题有交叉和融合的趋势；最大外联度的技术术语间的共现强度决定专利技术主题之间的强链接结构。不同时段专利技术主题的中间中心度和强链接的变化,表征了专利技术主题的继承与更新、新专利技术主题及新链接的形成、专利技术主题间链接强度的增强等。
本文研究结果显示,知识网络视角的专利技术主题结构分析虽然不能全面揭示专利技术主题演进变化的机理,但仍可以客观地展示某技术领域的知识单元游离与重组过程,在一定程度上显示出专利技术主题发展的周期性、互联性和可预见性,从而为科学技术管理政策的制定、项目规划与资助提供理论和方法支持,为专利技术研发和推进技术发展提供借鉴和参考。
With the development of system of science and technology, the inventions have changed the national innovation competitiveness in the macro level, influenced the industrial progress in the meso perspective, and affected the firm's prosperity in the micro scope. So the filing and granted patent are adopted to assess the technology competitiveness of the country and company. At the same time, patent document, the technological knowledge carrier, contains the innovation fruits of researchers. So, how to represent the structure and evolvement of patent technological topics, has to be an important issue that must be solved in the front of researchers.
At first, the theoretical frame is built from the concepts of knowledge network and knowometrics, and then the meaning of patent technological topic is defined. After that, we explain that the formulation of patent technological topic is the result of division and recombination of knowledge units, at the same time, the mechanism from technological term to technological topic is analyzed to further study the main path to technological topic. Furthermore, the analysis models, analysis indicators and analysis methods are constructed based on the matrix of co-occurrence technological terms and the matrix of association between technological topics.
Secondly, taking the patents of3G mobile communication technology as example, the paper extracts the terms from title and abstract to represent the technological topics. Furthermore, cosine index is implemented to compute the similarity of the technological topics to form co-topics network, in which the node shows the topic and the link means the co-occurrence of topics. Then the paper employs strategic coordinate to reveal the structure and transformation of technological topics, based on the idea of co-occurrence words introduced by Collon. In the co-topic network, the core topics play the important role in the technology development, and they have the tendency of crossover and mergence. With the analysis on the dynamic network, it shows that the changement of the network structure has great relationship with the correalation between the technological topics in different periods. With all above, the evolution of the research content and its direction could be revealed.
At last, with the same patent data, we construct the matrix of correlation and the matrix of co-occurrence maximum outer connection for the patent technological topics. Then, the correlation structure and the strong link structure of the technological topics are made analysis from the perspective of relationship. We find that the topics with higher betweenness are most important, with the trend of crossover and convergence, while the ones with higher maximum ounter degree influence the strong link structure. With the time goes on, the betweenness and maximum outer degree of the technological topics are changed, which displays the inherent and update of the topics, introduce of the new topics and new links, the increment of the topics link, and so on.
In short, structure analysis on the patent technological topics with knowledge network, can't fully appear the mechanism of the evolvement, but it could be used to represent the process of the division and recombination of the knowledge units objectively. Also to some extent, the periodicity, correlation and foreseeability of the development of the technological topics are in a clear view. All this could assist the policy-maker in management policy making, project planning and project supporting, in order to promote the patent technology research and technology development.
引文
[1]李正风.科学知识生产方式及其演变[M].北京：清华大学出版社,2006.
[2]秦勇,冯记春.浅谈科技管理创新[J].科学学与科学技术管理,2001,22(5)：5-6.
[3]王续琨,侯剑华.知识计量学的学科定位和研究框架[J].大连理工大学学报：社会科学版,2008,(3)：50-54.
[4]刘则渊,陈悦,侯海燕,等.科学知识图谱：方法与应用[M].北京：人民出版社,2008.
[5]Jensen E W. Technology topics-diamond compounds for fine polishing[J]. Semiconductor products and solid state technology,1966,9(11):10.
[6]Elsayed K, Lerner M. Topics in internet technology:IP in 2005-directions in wireless and optical transport [Guest Editorial][J]. Communications Magazine, IEEE,2001,39(1):135.
[7]Etemad K, Riegel M. Topics and updates on 4G technologies [Series Editorial][J]. Communications Magazine, IEEE,2010,48(8):38-39.
[8]Calmano W. Topics of water sciences and technology[J]. Environmental Science and Pollution Research,2004,11(2):126-133.
[9]段运.纳米技术主题领域网络信息增长模型研究[J].中华医学图书情报杂志,2010,(6)：62-64.
[10]陈省平.科研管理过程中的“集成”与“结合”：以863计划海洋生物技术主题为例[J].研究与发展管理,2001,13(5)：72-74.
[11]邬贺铨.“863”计划通信技术主题的回顾与展望[J].电信科学,2001,17(2)：5-7.
[12]王柏义.“863”通信技术主题的发展历程[J].电信科学,2001,17(2)：48-52.
[13]王凌燕,方曙,季培培.利用专利文献识别新兴技术主题的技术框架研究[J].图书情报工作,2011,55(18)：74-78.
[14]林瑞明,李万辉,于海洋.台湾LED技术专利数据挖掘分析[J].情报探索,2011,(3)：59-63.
[15]陈云伟,方曙.专利权人关联网络的社会网络分析方法研究[J].图书情报知识,2011,(3)：58-66.
[16]唐恒,桂勇,霍冠禹.国内外光伏产业专利情报分析[J].情报杂志,2011,30(11)：21-27.
[17]王义刚,王智勇,孟东.我国石油开采设备领域专利技术现状与发展建议[J].中国发明与专利,2012(2)：54-57.
[18]杨祖国,李文兰.中国专利被专利文献引用的主题分析[J].情报科学,2006,23(12)：1845-1851.
[19]冯昌波.转基因动物专利研究[D].北京：中国政法大学,2011.
[20]罗璇.基于数据挖掘技术的专利信息分析及应用研究[D].北京：首都经济贸易大学,2011.
[21]Garfield E. Citation indexes for science[J]. science,1955, (122):108-111.
[22]Price D J. Networks of scientific papers[J]. Science,1965, (149):510-515.
[23]Brookes B C. The foundations of Information science[J]. Journal of Information Science,1981,3(1): 3-12.
[24]Beckmann M J. Economic models of knowledge networks:in Networks in action[M]. New York: Springer-Verlag Berlin Heidelberg,1995.
[25]蒋恩尧,侯东.基于MIS平台的企业知识网络的组建[J].商业研究,2002,(17)：36-37.
[26]郝云宏,李文博.国外知识网络的研究及其新进展[J].浙江工商大学学报，2007,(6)：70-75.
[27]张丽妮.基于Know-Net的知识管理研究[J].现代情报,2004,24(5)：201-202.
[28]席运江,党延忠.基于知识网络的专家领域知识发现及表示方法[J].系统工程,2005,(8)：110-115.
[29]赵蓉英,邱均平.知识网络研究(Ⅰ)——知识网络概念演进之探究[J].情报学报,2007,26(2)：198-209.
[30]Mane K K, Borner K. Mapping topics and topic bursts in PNAS[J]. Proceedings of the National Academy of Sciences of the United States of America,2004,101(1):5287-5290.
[31]马费成,郝金星.概念地图在知识表示和知识评价中的应用(Ⅰ)——概念地图的基本内涵[J].中国图书馆学报,2006,32(3)：5-9.
[32]马费成,郝金星.概念地图在知识表示与知识评价中的应用(Ⅱ)——概念地图作为知识评价的工具及其研究框架[J].中国图书馆学报,2006,32(4)：22-27.
[33]马费成,郝金星.概念地图及其结构分析在知识评价中的应用(Ⅲ)：实证研究[J].中国图书馆学报,2006,32(5)：9-16.
[34]Barabasi A L, Jeong H, Neda Z, et al. Evolution of the social network of scientific collaborations[J]. Physica A:Statistical Mechanics and its Applications,2002,311(3):590-614.
[35]席运江,党延忠,廖开际.组织知识系统的知识超网络模型及应用[J].管理科学学报,2009，12(3)：12-21.
[36]刘向,马费成,陈潇俊,等.知识网络的结构与演化-—概念与理论进展[J].情报科学,2011,29(6)：801-809.
[37]Watts D J, Strogatz S H. Collective dynamics of 'small-world' networks[J]. nature,1998, (393): 440-442.
[38]Barabasi A L, Albert R. Emergence of scaling in random networks[J]. science,1999, (286):509-512.
[39]刘则渊,尹丽春.国际科学学主题共词网络的可视化研究[J].情报学报,2006,25(5)：634-640.
[40]Lambiotte J G. Dansereau D F, Cross D R, et al. Multirelational semantic maps[J]. Educational Psychology Review,1989,1(4):331-367.
[41]Buzan T, Buzan B. The mind map[M]. New York:Pearson Education,1996.
[42]王晓光.科学知识网络的形成与演化(Ⅰ)：共词网络方法的提出[J].情报学报,2009,28(4)：599-605.
[43]赵蓉英.知识网络研究(Ⅱ)——知识网络的概念,内涵和特征[J].情报学报,2007,26(3)：470-476.
[44]赵蓉英,张洋,邱均平.知识网络研究(Ⅲ)——知识网络特征探析[J].情报学报，2007,26(4)：583-587.
[45]王晓光.科学知识网络的形成与演化(Ⅱ)：共词网络可视化与增长动力学[J].情报学报,2010,29(2)：314-322.
[46]Kirsch G J, Xia T T. The Changing Roles of Patent and Copyright Protection for Software and Communication Technology in the Internet Age[Z].16th International-Federation-for-Information-Processing World Computer Congress (IFIP 2000)/Annual Conference of TC11 (SEC 2000), Beijing, Peoples R China:Information Security for global information infrastructures,2000:1,431-440.
[47]Ivanovich M, Fitzpatrick P. Throughput metrics in beyond 3G wireless systems with complex rate variability and QoS[Z].19th IEEE International Symposium on Personal, Indoor and Mobile Radio Communications,Cannes, FRANCE:2008 IEEE 19th International Symposium on Personal, Indoor and Mobile Radio Communications,2008:1,1152-1156.
[48]Garg K C, Padhi P. Scientometric study of laser patent literature[J]. Scientometrics,1998,43(3): 443-446.
[49]Daizadeh I. An intellectual property-based corporate strategy:An R&D spend, patent, trademark, media communication, and market price innovation agenda[J]. Scientometrics,2009,80(3):731-746.
[50]Zheng J, Zhao Z, Zhang X, et al. Industry evolution and key technologies in China based on patent analysis[J]. Scientometrics,2011,87(1):175-188.
[51]巫晓倩.爱立信公司在中国的专利布局状况分析[J].电子知识产权,2007,(1)：57-60.
[52]巫晓倩.三菱公司在中国的专利申请状况分析[J].电子知识产权,2005,(10)：58-61.
[53]巫晓倩.诺基亚公司在中国的专利申请状况分析[J].电子知识产权,2005,(7)：56-59.
[54]史兴东.中国通信企业专利申请战略应加速进入转型期[J].移动通信,2010,(23)：64-66.
[55]王雷.专利对中国通信产业的影响和意义[J].移动通信,2010,(1)：27-31.
[56]徐敏.我国移动通信市场发展的专利视角[J].江苏通信,2010,(4)：35-37.
[57]文嫮,赵艳.全球价值链治理中的技术标准研究——以移动通信产业为例[J].地域研究与开发,2008,26(6)：6-12.
[58]詹爱岚,王小勇.欧盟视野下的移动通信产业标准与专利策略——以GSM和UMTS标准中的企业战略为实证[J].知识产权,2007，17(1)：42-47.
[59]韩梅,王忠敏.基于专利许可与专利池的技术标准研究[J].太原师范学院学报：社会科学版,2010,9(1)：61-63.
[60]刘鹏.通用电气公司专利计量分析[J].图书情报工作,2002，(12)：65-68.
[61]姜慧敏.基于对比分析法的中美移动通信产业专利情报分析[J].情报科学,2010,(12)：1837-1840.
[62]栾春娟.基于专利计量与可视化手段的技术前沿探测——以波音公司为例[J].情报理论与实践,2009,(8)：68-71.
[63]栾春娟,尹爽.全球3G领域专利计量及中国的机遇与挑战[J].技术与创新管理,2009,(6)：729—732.
[64]唐健辉,叶鹰.3G通讯技术之专利计量分析[J].图书与情报,2009,(6)：70-73.
[65]He Z L, Lim K, Wong P K. Entry and competitive dynamics in the mobile telecommunications market[J]. Research Policy,2006,35(8):1147-1165.
[66]余翔,詹爱岚.我国移动通信产业技术创新战略实证研究-—以专利情报为视角[J].情报学报,2008,27(3)：431-437.
[67]Borgatti S P, Everett M G, Freeman L C. Ucinet 6.0 Version 1.00. Natick[DB/CD]. MA:Analytic Technologies,1999.
[68]刘则渊.赵红州与中国科学计量学[J].科学学研究,1999,17(4)：104-109.
[69]刘则渊,冷云生.关于创建知识计量学的初步构想[Z].王战军,蒋国华主编.科研评价与大学评价：第二届科研绩效定量评价国际学术会议暨第六次全国科学计量学与情报计量学年会论文 集[C].北京：红旗出版社,2001：401-405.
[70]刘则渊,刘凤朝.关于知识计量学研究的方法论思考[J].科学学与科学技术管理,2002,23(8)：5-8.
[71]王晰巍.知识供应链构建模式及运行机制研究[D].长春：吉林大学,2006.
[72]刘建国.复杂网络模型构建及其在知识系统中的应用[D].大连：大连理工大学,2006.
[73]顾东蕾.论学科知识网络的理论基础[J].图书情报工作,2009，52(9)：32-35.
[74]李喜岷.论知识场动力学及其定量研究问题[J].科学学与科学技术管理,2002,23(8)：18-20.
[75]马大川,马越.信息有序的理论框架[J].情报理论与实践,2006,29(6)：677-680.
[76]Small H. Co-citation in the scientific literature:A new measure of the relationship between two documents[J]. Journal of the American Society for information Science,1973,24(4):265-269.
[77]Marshakova I V. System of connections between documents based on references (as the Science Citation Index)[J]. Nauchno-Tekhnicheskaya Informatsiya, Seriya,1973,6(2):3-8.
[78]Callon M, Courtial J P, Turner W A, et al. From translations to problematic networks:An introduction to co-word analysis[J]. Social Science Information,1983,22(2):191-235.
[79]Law J, Bauin S. Courtial J P, et al. Policy and the mapping of scientific change:A co-word analysis of research into environmental acidification[J]. Scientometrics.1988,14(3):251-264.
[80]Borner K, Chen C, Boyack K W. Visualizing knowledge domains[J]. Annual review of information science and technology,2003,37(1):179-255.
[81]Garfield E. Citation indexes in sociological and historical research[J]. American documentation,1963, 14(4):289-291.
[82]Tsay M. Xu H, Wu C. Journal co-citation analysis of semiconductor literature[J]. Scientometrics,2003, 57(1):7-25.
[83]Bassecoulard E, Zitt M. Indicators in a research institute:A multi-level classification of scientific journals[J]. Scientometrics,1999,44(3):323-345.
[84]Leydesdorff L. Clusters and maps of science journals based on bi-connected graphs in[J]. Journal of Documentation,2004,60(4):371-427.
[85]Leydesdorff L. Top-down decomposition of the Journal Citation Reportof the Social Science Citation Index:Graph-and factor-analytical approaches[J]. Scientometrics,2004,60(2):159-180.
[86]Boyack K W, Klavans R, Borner K. Mapping the backbone of science[J]. Scientometrics,2005,64(3): 351-374.
[87]陶勇,刘思峰,方志耕,等.高校学科建设网络中知识流动效应的测度[J].统计与决策,2007,(17)：37-38.
[88]丁蔚,倪波.知识管理思想的起源——从情报学的发展看知识管理[J].图书情报工作,2001,(1)：23-27.
[89]刘植惠.知识基因理论的由来,基本内容及发展[J].情报理论与实践,1998,21(2)：71-76.
[90]梁永霞.引文分析学的知识计量研究[D].大连：大连理工大学，2009.
[91]Brown A R R. Structure and function in primitive society:Essays and addresses[M]. New York:Free Press,1952.
[92]Wellman B, Berkowitz S D. Social structures:A network approach[M]. Cambridge, England: Cambridge University Press,1988.
[93]Granovetter M S. The strength of weak ties[J]. American journal of sociology,1973,78(6): 1360-1380.
[94]Hansen M T. The search-transfer problem:The role of weak ties in sharing knowledge across organization subunits[J]. Administrative science quarterly,1999,44(1):82-111.
[95]Bourdieu P. The forms of capital[J]. Handbook of Theory and Research for the Sociology of Education,1986:241-258.
[96]Coleman J S. Social capital in the creation of human capital[J]. American journal of sociology,1988, 94(S1):95-120.
[97]Burt R S. Structural holes:The social structure of competition[M]. Boston:Harvard University Press, 1992.
[98]Nadel S F, Fortes M. The theory of social structure[M]. Cohen & West London,1957.
[99]White H C. An anatomy of kinship:mathematical models for structures of cumulated roles[M]. Prentice-Hall Englewood Cliffs, NJ,1963.
[100]Bott E. Family and Social Network:Roles[J]. Norms, and External Relationships in Ordinary Urban Families, London:Tavistock Publications,1957.
[101]Lorrain F, White H C. Structural equivalence of individuals in social networks[J]. Journal of mathematical sociology,1971,1(1):49-80.
[102]Burt R S. Corporate profits and cooptation:Networks of market constraints and directorate ties in the American economy[M]. New York:Academic Press,1983.
[103]Burt R S. Social contagion and innovation:Cohesion versus structural equivalence[J]. American journal of Sociology,1987:1287-1335.
[104]肖鸿.试析当代社会网研究的若干进展[J].社会学研究,1999,(3)：1-11.
[105]庞杰.知识流动理论框架下的科学前沿与技术前沿研究——以太阳能电池领域的计量研究为例[D].大连：大连理工大学,2011.
[106]赵红州,蒋国华.知识单元与指数规律[J].科学学与科学技术管理,1984,1(9)：39-41.
[107]文庭孝.知识单元的演变及其评价研究[J].图书情报工作,2007,51(10)：72-76.
[108]徐荣生.知识单元初论[J].图书馆杂志,2001,20(7)：2-5.
[109]路甬祥.规律与启示——从诺贝尔自然科学奖与20世纪重大科学成就看科技原始创新的规律[J].西安交通大学学报：社会科学版,2000,20(4)：3-11.
[110]姜春林,刘则渊,姜照华.知识群的知识流量计量及其动力学模型[J].科学学与科学技术管理,2010(2)：82-85.
[111]于鸣镝.知识重组随想(之二)[J].图书馆学刊,2004，26(3)：1-2.
[112]王晓光.基于社会网络的知识转移研究[D].武汉：武汉大学，2007.
[113]Onyancha O B, Ocholla D N. Is HIV/AIDS in Africa distinct? What can we learn from an analysis of the literature?[J]. Scientometrics,2009,79(2):277-296.
[114]Popper K. R客观的知识：一个进化论的研究[M].舒炜光,卓如飞,周柏乔,曾聪明译.上海：上海译文出版社,1987.
[115]Freeman L C. Centrality in social networks conceptual clarification[J]. Social networks,1979,1(3): 215-239.
[116]冯璐,冷伏海.共词分析方法理论进展[J].中国图书馆学报,2006，(2)：88-92.
[117]Callon M. Courtial J P. Laville F. Co-word analysis as a tool for describing the network of interactions between basic and technological research:The case of polymer chemsitry[J]. Scientometrics,1991,22(1):155-205.
[118]谢彩霞,梁立明，王文辉.我国纳米科技论文关键词共现分忻[J].情报杂志, 2005,24(3)：69-73.
[119]刘则渊.现代科学技术与发展导论[M].大连：大连理工大学出版社,2003.
[120]钱学森.论技术科学[J].科学通报，1957,(4)：97-104.