基于专利的电动汽车产业基础技术演化机理与政策研究

Under the background of innovation-driven development, the technology development of the electric vehicle industry plays a key role in leading the progresses in many emerging technological fields such as new energies, new materials, and advanced manufacturing. However, previous research neglect the dynamic mechanism of industrial essential technologies. Based on the methods of patentometrics, social network analysis and multi-cases study, this study collects data mainly from patent database, industrial standards data base and industrial investigation and explores the dynamic mechanism of formation and evolution of industrial essential technologies. Firstly, an identifying method is established to identify industrial essential technologies based on co-occurrence analysis, citation network analysis, Standards Essential Patents (SEP) analysis, and expert investigation method. Secondly, the Latent Dirichlet Allocation (LDA) topic model is introduced to measure the development of sources, content and application of industrial essential technologies. Thirdly, the formation mechanism of essential technologies based on knowledge discovery is revealed so as to explain the drivers and conditions shaping the industrial standards. In addition, the diffusion mechanism of essential technologies towards standard formation and standard application is illustrated. Finally, the policy implications are put forward accordingly based on multi-case studies and policy simulations to improve industrial essential technological capabilities.

电动汽车产业技术发展可促进新能源、新材料、高端制造等多领域的全方位变革，具有重大的引领、集成和驱动效应，然而其产业基础技术的演化机理尚有待于深入研究。本研究选取电动汽车产业基础技术为研究对象，以产业专利数据库、标准数据库和产业调研为主要数据来源，采用专利计量、社会网络分析、专家咨询、案例研究等方法，从标准必要专利的视角探寻产业基础技术形成与扩散的基本规律。首先在综合技术领域共现分析、引用网络分析、标准必要专利分析、专家咨询的基础上建立产业基础技术的识别方法并进行实证分析，其次采用LDA主题模型分析、引文网络分析等方法对电动汽车产业技术领域的来源、内容和应用的发展进行计量分析，探明基于知识发现的产业基础技术形成机理，进一步揭示面向标准应用的基础技术扩散机理，并结合国际比较研究和政策模拟分析提出产业基础技术能力提升的政策建议，为我国电动汽车产业发展提供理论依据和管理支持。

本研究选取电动汽车产业基础技术为研究对象，以产业专利数据库、科学文献数据库和产业调研为主要数据来源，采用专利计量、社会网络分析、专家咨询、案例研究等方法，从专利的视角探寻产业基础技术形成与扩散的基本规律。首先，在共现分析、引用网络分析、专利分析、专家咨询的基础上建立产业基础技术的识别方法，其次采用LDA主题模型分析、引文网络分析等方法对电动汽车产业技术领域的来源、内容和应用的发展进行计量分析，探明了基于知识发现的产业基础技术形成机理，揭示了面向产业应用的基础技术扩散机理，并结合国际比较研究和政策模拟分析提出了产业基础技术能力提升的政策建议。研究结果对于揭示产业基础技术的演化机理具有一定的学术价值，也期望在实践上为提升我国制造业产业基础能力和产业链竞争力提供决策参考和管理支持。