[目的/意义]目前对专利引文数据的挖掘已被广泛研究应用,此类研究对了解产业演化规律,发现新兴技术机会均有重要意义。为此,本研究是基于对专利的引用主体、引用背景等要素的深入理解上进行。[方法/过程]以第五代移动通信技术（5G）的高被引专利为对象,在德温特专利数据库获取其审查员引文和申请人引文数据。利用定量分析和社会网络分析,发现不同引证主体在引用文献的发表时间、引文质量和技术集中度上的共性和差异。[结果/结论]实证分析发现审查员倾向于引用申请时间较早的成熟专利,审查员的引文无论是在类型集中度还是技术领域集中度都会高于申请人引文;大部分专利会优先进行国际专利申请,同时美国、中国、欧洲是5G技术关键部署地区;申请人引文的专利权人或机构大多为中国从事通信行业的各大中小型公司或研究所,审查员引文则相对集中于老牌大型的跨国通信设备公司;此外,审查员相比于申请人更愿意引用合作人数较多的专利进行审查;在专利技术内容分布上,申请人引用的专利同时关注通信设备、装置的研发,以及通信协议、技术方法的研究,审查员引文则侧重通信方法与结果传输等技术研究。
[Purpose/Significance] The research and application of patent citation data analysis are very extensive, which has important significance to understand the industry evolution and find opportunities for emerging technologies. The research is based on an in-depth understanding of factors such as citation motivation and actual function. [Method/Process] From the subject research perspective, this paper used the highly cited patents in the 5G communication engineering from the patent database (Derwent Innovations Index, DII), as the object, and downloaded the patent datasets of the citations of the patent examiners and the patent applicants. We revealed the attribute characteristics of two types of citations and the hidden value through the comparative analysis of the different citation datasets and observed the certain similarities and differences in two types of citations datasets in the publishing time, quotation of references, and the concentration field of technologies through social network analysis. [Results/Conclusions] The empirical conclusion shows that the examiner dataset tends to cite mature patents published earlier, and the examiner dataset has a higher concentration in both citation type and IPC. The analysis shows that most patents in the 5G field tend to apply the international applications, and the United States, China, and Europe are the important areas for the deployment of 5G technologies. The patentees or institutions of the applicant dataset are mostly small and medium-sized companies or research institutes engaged in the communication industry, while the citation examiners are relatively concentrated in large, established multinational communication equipment companies. Besides, examiners are more likely to refer to patents with a higher number of partners. In terms of the patent technology content, the applicant citations focus on the research and development of communication equipment and devices, as well as the research of communication protocols and technical methods, while the examiner citations focus on the technical research of communication methods and transmission.
[1] 张玲玲, 张宇娥, 杜丽. 基于期刊文献与专利文献的科学技术互关联研究方法对比分析[J]. 情报杂志, 2017(7): 120-125.
ZHANG L L, ZHANG Y E, DU L.Comparative analysis of research methods about the linkage between science and technology based on journal papers and patent literatures[J]. Journal of intelligence, 2017(7): 120-125.
[2] 国家知识产权局, 专利文献基础知识: 专利引文[EB/OL]. [2008-06-27].https://www.cnipa.gov.cn/art/2008/6/27/art_2147_152051.html.
China national intellectual property administration, basic knowledge of patent literature: Patent citation[EB/OL]. [2008-06-27].https://www.cnipa.gov.cn/art/2008/6/27/art_2147_152051.html.
[3] 吴红, 冀方燕. 基于专利申请及审查制度的专利引文评价效能实证研究[J]. 图书情报工作, 2017, 61(19): 89-95.
WU H, JI F Y.Empirical research on the evaluation effectiveness of patent citation based on patent application and patent censorship[J]. Library and information service, 2017, 61(19): 89-95.
[4] 赵阳, 文庭孝. 专利引证动机分析[J]. 情报理论与实践, 2017, 40(7): 28-32, 16.
ZHAO Y, WEN T X.Motivation analysis of patent citation[J]. Information studies: Theory & application, 2017, 40(7): 28-32, 16.
[5] 谢黎, 邓勇, 张苏闽. 论文引用与专利引用比较研究[J]. 情报杂志, 2012, 31(4): 19-21.
XIE L, DENG Y, ZHANG S M.A comparative study on paper and patent citation[J]. Journal of intelligence, 2012, 31(4): 19-21.
[6] 张虎胆, 杨冠灿, 吴恒. 审查员引文是否应作为专利引文“噪音”被剔除?[J]. 图书情报知识, 2013(6): 79-85.
ZHANG H D, YANG G C, WU H.Should the examiner's citations be regarded as "noise" and removed from the patent citations?[J] Documentation, information & knowledge, 2013(6): 79-85.
[7] 陈云鹏, 张明, 高燕, 等. 标准引用与论文引用、专利引用的异同比较研究[J]. 标准科学, 2015, 12: 15-19.
CHEN Y P, ZHANG M, GAO Y, et al.Comparative study on standards citations, paper citations and patent citations[J]. Standard science, 2015, (12): 15-19.
[8] RUI LI.Patent citation analysis: Calculating science linkage based on citing motivation[J]. Journal of the association for information science and technology, 2014, 65(5): 1007-1017.
[9] 方舟之. 专利引文的形成路径研究以行为逻辑为视角[J]. 图书情报工作, 2015, 59(19): 15-21, 46.
FANG Z Z.Research on the formation path of patent citations-from the perspective of behavior logic[J]. Library and information service, 2015, 59(19): 15-21, 46.
[10] 肖冬梅, 陈颖. 专利审查员引文的特征与价值[J]. 图书情报工作, 2015, 59(19): 6-14.
XIAO D M, CHEN Y.Analysis on the characteristics and value of patent examiner citations[J]. Library and information service, 2015, 59(19): 6-14.
[11] 李睿, 周维, 王雪. 引文生态视角下标准必要专利的引文特征研究[J]. 情报学报, 2018, 37(9): 882-889.
LI R, ZHOU W, WANG X.Study on citation characteristics of SEP from an ecological perspective[J]. Journal of the china society for scientific and technical information, 2018, 37(9): 882-889.
