科研管理

科研管理 ›› 2020, Vol. 41 ›› Issue (12): 43-59.

• 论文 • 上一篇    下一篇

国际稀土产业中游专利技术研发概况分析

许振亮1，陈子璇1，于皓1，张建宇1，刘喜美2   

  1. 1内蒙古大学经济管理学院，内蒙古 呼和浩特010020；
    2大连理工大学经济管理学院，辽宁 大连116033
  • 收稿日期:2018-03-27 修回日期:2020-05-28 出版日期:2020-12-20 发布日期:2020-12-16
  • 通讯作者: 许振亮
  • 基金资助:
     国家自然科学基金资助项目：“专利信息分析视角下的稀土产业技术创新机制研究”（71563034，2016.01—2019.12）。

An analysis of the research and development of midstream patent technology of the international rare earth industry

Xu Zhenliang1, Chen Zixuan1, Yu Hao1, Zhang Jianyu1, Liu Ximei2   

  1.  1. School of Economics and Management, Inner Mongolia University, Hohhot 010020, Inner Mongolia, China;
    2. School of Economics and Management, Dalian University of Technology, Dalian 116033, Liaoning, China
  • Received:2018-03-27 Revised:2020-05-28 Online:2020-12-20 Published:2020-12-16
  • Contact: Xu Zhenliang
  • Supported by:
     

摘要：  稀土是现代工业中不可或缺的战略资源，并作为重要的基础性材料对传统工业等行业有显著的改造和创新。为深层次探析稀土产业中游核心技术的发展情况，本文基于1967—2016年德温特数据库收录的稀土产业中游有关的专利数据，还应用到的方法有统计分析方法和科学知识图谱方法，从多个角度对国际稀土产业中游专利技术研发进行分析：对时间趋势分析发现整体趋势呈周期性指数增长，并可划分为三个阶段；对区域分布分析发现中、日、美三国是推动稀土产业中游技术发展的主要力量；对专利申请人分析发现专利在核心申请人中比较集中，而在边缘申请人中比较分散，核心技术掌握在少数人手中；绘制专利申请人合作网络分析后发现，合作团体主要由两个部分构成，并且发现国外的公司与机构之间有密切的合作，〖JP2〗中国对稀土应用材料的研究起步较晚，各研究机构之间合作关系稀疏，且多为大学和研究所；对热点技术领域分析发现，在图谱中处于核心位置的有B01J-023/63、B01D-053/94、B01J-023/10、B01J-037/02等技术领域，且密度较大；分析演进路径出现的专利的强度发现并非全部为核心专利。稀土产业中游应加大核心产业的升级，紧随国际前沿发展趋势，保持技术研发优势，强化创新体系和能力建设，从而促进稀土产业中游技术的高质量发展。

 

关键词: 稀土, 产业中游, 专利分析, 知识图谱, 专利强度

Abstract:  In the emerging strategic industries, the rare earth industry is developing rapidly. Rare earth is not only a key strategic basic material for the transformation of traditional industries, but also an indispensable strategic resource in modern industry. China has large reserves of rare earth resources, but the technology is on the low side. The purpose of this paper is not only to promote the development of rare earth industry in the new environment, but also to deeply analyze the development and changes of core technology in the middle reaches of rare earth industry. This paper uses Derwent Innovations Index which is a patent document retrieval system established by Derwent Publishing Company in 1951. This paper uses the patent data of rare earth application materials in the middle reaches of the rare earth industry from 1967 to 2016, as well as the methods of statistical analysis and scientific knowledge graph. 

  The conclusions are drawn from the following aspects: first, the analysis of the time trend shows that the number of patents from 1967 to 2016 is roughly in line with the exponential growth, and can be divided into three stages. The number of patent applications increased linearly from 1967 to 1991, decreased at first and then increased from 1992 to 2004. the overall trend was an S-shaped curve with a prominent lower part, and from 2005 to 2015, the number of patent applications increased at first and then decreased, and the whole was an S-shaped curve with a prominent upper part. 
   Second, based on the analysis of the countries and regions applying for patents, China, Japan and the United States are important components to promote the development of mid-stream technology in the rare earth industry. The patent research in the United States and Japan started earlier, the research period is longer, and mastered the core technology in the field of rare earth application materials. On the other hand, patent research in China starts late and the research period is short. The period from 1985 to 2002 is a backward period. Although China now has the largest number of patents, it has only increased in the past 10 years; 
  Third, through the analysis of patent applicants, it is found that patents are concentrated in the comparison of core applicants, that is, the core technology is only in the hands of a small number of people. The top 10 patent applications are well-known international companies, including China Petrochemical Corporation, Rhodia Group of the United Kingdom, Toyota Motor Co., Ltd., and so on. 
   Fourth, from the patent applicant cooperation network, we can see that the cooperation group is divided into two parts. The cooperative relationship between foreign companies is very close. Compared with the foreign research, the research on rare earth applied materials in China started relatively late, the early research is not mature, and the cooperative relationship between various research institutions is sparse. 
   Fifth, the analysis of hot technology shows that B01J-023/63、B01D-053/94、B01J-023/10、B01J-037/02 and other technical fields are in the core position in the map, and the density is high. It is found that J04-E04, J04-E11, N01Mub, N07-L02C, N03-A01, H06-C03 and other technical fields are in the core position in the map, and the density is high. 
  Sixth, by drawing the patent citation network, it is found that American patents are cited the most times. By extracting the main path of citation evolution, it is found that the core patents from 1967 to 1991 are US3702886A, US3930987A and so on. The main technical topics are rare earth hydrocarbon cracking catalysts instead of zeolites, crystalline zeolites for hydrocarbon conversion, rare earth oxides as catalysts for waste gas purification, etc. The core patents from 1992 to 2004 are EP507590A1, US5254519A, etc., which mainly studies the application of rare earth in catalysts, with emphasis on the catalysts used to purify waste gas, and the technical topics also include the application of rare earths in golf rubber and hydrogen storage materials; from 2005 to 2015, the core patents are US2005209026A1, WO2006043348A1, etc., most of the American patents study the application of rare earths in the manufacture of golf ball core. The patent quality of China′s research in the middle reaches of the rare earth industry has been greatly improved, mostly for the study of rare earth permanent magnet materials. 
    Seventh, by indexing the patent intensity of the evolution path, it is found that the patents that appear on the patent evolution path are not all core patents, but directly cited patents that appear in chronological order. Therefore, a more comprehensive algorithm should be adopted to find the main path of patent evolution. 
   Based on the increasingly prominent advantages of technological research and development, China should further increase investment, promote the maturity of existing technologies, and at the same time add new impetus to the continuous research and development of core technologies; the current economic shift period coincides with the timely optimization of the overall layout of the rare earth industry, so that the scientific and rational industrial structure has become a strong support for industrial upgrading, and the core technology has become a "new fuel" for industrial development. Our research institutions should cooperate extensively to promote the germination of new technologies and work together to promote technological development, and if necessary, it is also necessary to carry out international cooperation on the premise of ensuring national security; we should strengthen innovation systems and capacity-building to follow the international frontier development trend. 
   With the rapid growth of the number of patents in China in recent years, we should improve the quality of patents and innovate on the original technology. Nowadays, the field of big data also occupies a very important position, and big data′s mining technology is also relatively mature. It excavates the existing patent information more deeply and finds more reliable and predictable technical information. It can be regarded as a way to break through the technological blockade, so as to promote the high-quality development of the rare earth industry. 

Key words: rare earth, industrial midstream, patent analysis, knowledge map, patent strength

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