The relationships between the patent performance and corporation performance

This study utilizes panel regression model to explore the relationships between corporate performance and the patent performance measured from patent H index, current impact index (CII), and essential patent index (EPI) in the pharmaceutical company. The results demonstrate that patent H index and EPI have positive influences upon corporate performance. Furthermore, this study developed a classification for the pharmaceutical companies to divide them into four types, and provided some suggestions to them.     

The overlooked citations: Investigating the impact of ignoring citations to published patent applications

A utility patent application may result in two citable documents: a published patent application (PPA) and a patent if the application is granted. Most analytic works consider only citations to the patent and ignore those to the PPA. This study gathers more than 270,000 U.S. utility patents granted in 2014 and their PPAs, and compares their citation counts up to 2018. Statistics show that citations to patents, on the average, account for less than 50 % of those to the patents and their PPAs combined together, indicating a significant underestimation to the value or impact of the patents. The degree of depreciation is worse when the time gaps between patents and their PPAs are longer, as the PPAs not only have accumulated citations for a longer period, but also individually, concurrently, and continuously receive citations after the patent is granted. This study further applies Main Path Analysis to a conventional citation network involving only citations to the patents and another network augmented with those to the PPAs, using empirical data from United States Patent and Trademark Office (USPTO) Cancer Moonshot Patent Data. The main path derived from the augmented network is almost entirely different from that of the conventional network.     

The measurements and determinants of patent technological value: Lifetime,strength, breadth,and dispersion from the technology diffusion perspective

Elucidating and prejudging the patent technological value (PTV) is an important issue in the field of technology innovation and Patentometrics. However, most studies adopt a static perspective to define and evaluate it according to forward citations (FC), which disregards the time attribute and evolution process and may cause some contradictions or ambiguities among findings. Through combing the time and number attributes of FC, this study recommends a four-dimensional index (technology lifetime, strength, breadth, and dispersion) from the standpoint of patented technology diffusion, a dynamic evolution process. By considering patent data from three technology fields - graphene, information and communication, bio-medicine - as samples, we examine the multidimensional characteristics of PTV and further adopt Cox and multiple regression analysis to determine its influential factors. The finding shows that PTV is multi-dimensional and the four-dimensional index is helpful to explain the differentiation effects of different influential factors. Furthermore, six internal factors (intrinsic and evolutionary) that influence PTV in varying degree are identified and verified. Specially, as for intrinsic factors, only backward citation influences all four-dimensional index with a positive impact on technology lifetime and strength, and negative impact on breadth and dispersion. Technology field can negatively affect strength and breadth, but positively affect dispersion. Delivery term can only affect technology lifetime negatively. As for evolutionary factors, patent legal lifetime influences all four-dimensional index with a negative impact on technology lifetime and strength, and positive impact on breadth and dispersion. Forward citation exerts a positive impact on breadth and strength while a negative impact on technology lifetime and dispersion. Transfer number exerts a positive impact on technology lifetime, but a negative influence on dispersion. This study not only offers a four-dimensional index to signify the technological value of a patent, but construes the contradictions or ambiguities about the relationships between the influential factors and PTV. Besides, the influential factor model is also helpful to prejudge the technological value of patents at different stages after the granting.     

Knowledge convergence of science and technology in patent inventions

How do scientific knowledge and technological knowledge interact to influence patent inventions? This study combines the “Reliance on Science in Patenting” dataset with the PATSTAT database to investigate focal patents and their paper references and patent references. A temporal investigation shows a growing tendency that patents absorb more knowledge from patents than papers. Additionally, we conduct two sets of analyses, namely, studying the knowledge flow among 35 technology fields and 39 science fields and estimating the impact of cited references on patent impact. The results show that the fields are heterogeneous in absorbing scientific knowledge and technological knowledge. The empirical models indicate that the knowledge depth of both science and technology show an inverted U-shaped relationship with patent impact, while the curve of former is steeper. The knowledge breadth of both science and technology present a U-shaped relationship with patent impact, while the curve of latter is steeper. We also explore the impact of time lags and time spread on citations and estimate their joint effects. Our study provides a new understanding of the convergence of scientific knowledge and technological knowledge to facilitate patent inventions.     

专利审查员引文的特征与价值

[目的/意义] 专利引文分析方法被广泛运用,但专利审查员引文的价值却常常被低估甚至误读,亟待澄清,这关乎专利文献内在机理的理解与专利文献潜在价值的挖掘。[方法/过程] 根据施引主体的不同,专利引文可分为申请人引文和审查员引文两类。比较表明,这两类引文有明显的区别特征。与申请人引文相比,专利审查员引文具有三大区别特征:一是施引专利与被引文献之间具有确定的技术相关性,二是格式规范、高度标准化,三是可获得性与数量优势明显。[结果/结论] 专利审查员引文的区别特征决定了其具有诉讼证据价值、知识交流和专利影响力的测量工具价值以及企业竞争情报价值。大数据技术的应用有助于专利审查员引文的价值实现,但其价值的深度挖掘还有待审查数据的充分公开、标引的规范和工具的优化。     

Using query logs of USPTO patent examiners for automatic query expansion in patent searching

In the patent domain significant efforts are invested to assist researchers in formulating better queries, preferably via automated query expansion. Currently, automatic query expansion in patent search is mostly limited to computing co-occurring terms for the searchable features of the invention. Additional query terms are extracted automatically from patent documents based on entropy measures. Learning synonyms in the patent domain for automatic query expansion has been a difficult task. No dedicated sources providing synonyms for the patent domain, such as patent domain specific lexica or thesauri, are available. In this paper we focus on the highly professional search setting of patent examiners. In particular, we use query logs to learn synonyms for the patent domain. For automatic query expansion, we create term networks based on the query logs specifically for several USPTO patent classes. Experiments show good performance in automatic query expansion using these automatically generated term networks. Specifically, with a larger number of query logs for a specific patent US class available the performance of the learned term networks increases.     

医学类期刊H指数与影响因子、总被引频次的曲线拟合回归分析

为评价H指数与影响因子、总被引频次的关系,以2009年《中国期刊引证报告》（扩刊版）中166种医学期刊的H指数、影响因子、总被引频次、引用刊数和来源文献量为源数据,采用SPSSl6．0软件作线性、对数、二次多项式、三次多项式回归拟合和Logistic回归。二维散点图和曲线回归拟合分析均发现,H指数与影响因子、总被引频次、引用刊数呈密切相关,但与来源文献量的相关性不强。因此,H指数、影响因子、总被引频次应相互补充,共同用于医学类期刊学术影响力的评价。     

基于专利技术功效主题词与专利引文共现的核心专利挖掘

认为利用专利技术功效主题词与专利引文进行共现分析可直观识别核心专利簇的技术功效特征。与专利引文共现分析相比,专利技术功效主题词与专利引文的交叉共现增加了主题标识,使得基于相同标引主题词的被引专利有相似的技术主题和功效特征。同时,不同的技术功效主题词通过专利引文交叉共现,可以识别不同技术主题的关联度以及技术主题对应的功效特征。最后,选择医用显微内窥镜领域相关专利做实证分析,通过技术功效主题词-专利引文、技术主题词-专利引文以及专利引文共现分析,论证专利技术功效主题词与专利引文共现方法在核心专利挖掘方面的特征、优越性及不足。     

专利被引证数与专利价值关系研究的再验证

文章旨在再验证专利被引证数作为评估专利价值指标的准确性,并结合专利引文进行深入剖析。利用美国专利数据库检索中置式电动车电控辅助装置、亲水性医用脱脂纱布、军用紧急绷带技术领域的专利,统计专利的被引证数,并采用专家评估结果加以比较。研究结果表明:仅有中置式电动车电控辅助装置专利,专家评估与被引证数指标评估的结果一致;而专利被引证次数因受时间因素影响,早期专利的被引证数较高,但不一定是高价值的专利;存在一些很少被引用,但根据专家评估原则及专利本身具备的特征,被评估为高价值的专利,即可能存在睡美人专利现象。对专利价值评估,不能仅从专利被引证数指标判断,还可应用其他评价方法,更客观反映专利价值,减少专利评价过程中可能存在的风险,以保护企业的技术创新。     

专利引文的形成路径研究——以行为逻辑为视角

[目的/意义] 研究专利引文形成的路径是合理评估数据样本的重要基础,也是建立研究假设和研究模型的重要前提。[方法/过程] 以行为逻辑为视角,从专利引用行为的主体、动机、行为能力和外部的引用行为规则4个因素对专利引文的形成路径进行研究。[结果/结论] 行为主体经历心理阶段和实施阶段,在外部规则因素的作用下形成专利引文。专利申请主体的因素是导致引用动机和引用行为差异的主要原因,进而导致专利引用结果的差异,构建样本和模型时应对不同属性的主体的引文作出区分。     

基于专利申请及审查制度的专利引文评价效能实证研究

[目的/意义]研究专利申请及审查制度下的专利引文作用机理,厘清专利引文评价效能,是保证学术评估客观合理的重要前提。[方法/过程]以美、中、日三国诉讼专利和许可专利为实证样本,分析专利引文频次与专利价值的相关性,并结合专利申请和专利审查制度就专利引文对施引专利、被引专利的评价效能进行深入剖析。[结果/结论]专利引文频次对专利价值而言是一个正向、负向、中性混杂的评价指标,专利引文对专利价值的评价需建立在对引用动机、引文扮演角色和实际发挥作用等诸多要素的深入细致分析上,否则,专利引文对专利价值不具有客观的评价效能。     

中美专利引文比较研究

[目的/意义] 比较中美专利引文的异同,对两者深入认识理解,明晰两者在揭示专利关联度、反映专利所有者间竞争关系、判断专利商业价值和法律稳定性等方面的异同,以利于专利引文价值的更好实现。[方法/过程] 研究中美专利引文的区别,并深入分析其专利制度和社会观念层面的原因。[结果/结论] 中美专利引文在著录内容、引用位置、排序标准、标识要素、类型标注及对PCT申请的国际阶段产生的专利引文态度等方面均存在差异,因而在建立专利引文数据库、挖掘专利引文情报时,只有区别处理,才能提高专利引文分析成果的准确性,更加有效地实现专利引文的价值。     

Innography、WIPS和Patentics专利引文分析比较研究

[目的/意义]比较Innography、WIPS和Patentics3个专利检索系统的引文分析功能,旨在帮助用户识别满足自己需要的专利引文分析工具,同时提出进一步完善专利检索系统引文分析功能的建议。[方法/过程]通过比较3个专利检索系统引文收录范围、引文检索方式、前引后引查找功能、引文类型区分功能、非专利文献查找功能、可视化呈现功能和引文检索准确度,发现3个专利检索系统都具备基础的引文分析功能,但各有不足,难以满足现实需求。[结果/结论]Innography应加强数据清洗,WIPS需扩大引文收录范围,Patentics则要增强系统稳定性,三者在检索数据准确性方面都有待提高。     

Paper-patent citation linkages as early signs for predicting delayed recognized knowledge: Macro and micro evidence

In this study, we investigate the extent to which patent citations to papers can serve as early signs for predicting delayed recognized knowledge in science using a comparative study with a control group, i.e., instant recognition papers. We identify the two opposite groups of papers by the Bcp measure, a parameter-free index for identifying papers which were recognized with delay. We provide a macro (Science/Nature papers dataset) and micro (a case chosen from the dataset) evidence on paper-patent citation linkages as early signs for predicting delayed recognized knowledge in science. It appears that papers with delayed recognition show a stronger and longer technical impact than instant recognition papers. We provide indication that in the more recent years papers with delayed recognition are awakened more often and earlier by a patent rather than by a scientific paper (also called “prince”). We also found that patent citations seem to play an important role to avoid instant recognition papers to level off or to become a so called “flash in the pan”, i.e., instant recognition. It also appears that the sleeping beauties may firstly encounter negative citations and then patent citations and finally get widely recognized. In contrast to the two focused fields (biology and chemistry) for instant recognition papers, delayed recognition papers are rather evenly distributed in biology, chemistry, psychology, geology, materials science, and physics. We discovered several pairs of “science sleeping”-“technology inducing”, such as “biology-biotechnology/pharmaceuticals”, “chemistry-chemical engineering”, as well as some trans-fields science-technology interactions, such as “psychology - computer technology/control technology/audio-visual technology”, “physics - computer technology”, and “mathematics-computer technology”. We propose in further research to discover the potential ahead of time and transformative research by using citation delay analysis, patent & NPL analysis, and citation context analysis.     

专利引证视角下的虚拟化技术竞争态势

[目的/意义] 运用专利引证分析虚拟化技术,客观呈现其当前的竞争态势。[方法/过程] 采用Innography系统,构建虚拟化技术专题数据集,运用专利向后引、专利向前引等方法,以全球虚拟化技术专利数量TOP 50的企业为总体研究样本,将华为作为单一研究对象,首先廓清全球虚拟化技术领域的竞争背景,继而分析全球虚拟化技术引证情况、技术领域IPC分布等。[结果/结论] IBM、微软、因特尔和惠普是虚拟化技术领域的领导者,SAP SE、Commvault Systems、思杰、亚马逊、Tekelecs成为新兴竞争者。虚拟化技术主要领域的IPC分布为G06F09、G06F12、G06F15、G06F11、G06F17、G06F13、G06F03、H04L12,当前G06F01、H04L09日趋式微,而G06F07、H04L29、H04W04渐为技术热点。     

Dealing with temporal variation in patent categorization

In this paper, we quantify the existence of concept drift in patent data, and examine its impact on classification accuracy. When developing algorithms for classifying incoming patent applications with respect to their category in the International Patent Classification (IPC) hierarchy, a temporal mismatch between training data and incoming documents may deteriorate classification results. We measure the effect of this temporal mismatch and aim to tackle it by optimal selection of training data. To illustrate the various aspects of concept drift on IPC class level, we first perform quantitative analyses on a subset of English abstracts extracted from patent documents in the CLEF-IP 2011 patent corpus. In a series of classification experiments, we then show the impact of temporal variation on the classification accuracy of incoming applications. We further examine what training data selection method, combined with our classification approach yields the best classifier; and how combining different text representations may improve patent classification. We found that using the most recent data is a better strategy than static sampling but that extending a set of recent training data with older documents does not harm classification performance. In addition, we confirm previous findings that using 2-skip-2-grams on top of the bag of unigrams structurally improves patent classification. Our work is an important contribution to the research into concept drift for text classification, and to the practice of classifying incoming patent applications.     

专利指标在实际分析过程中的问题研究

本文从专利指标特点出发,着重分析了专利指标在实际分析中应注意的问题。     

基于AHP的师范高校图书馆科研能力多指标综合评价研究

以师范高校图书馆作为研究对象,以"中国引文数据库"作为引文分析工具,应用h指数、论文总数、总被引次数、篇均被引次数、论文被引率等计量指标,并结合层次分析法,在测定单项指标的基础上计算综合指数,反映师范高校图书馆的综合评价结果和整体影响力,并对综合指数及影响原因进行分析。     

Decentralising the patent system

Modern patent systems are slow, inefficient, expensive, and may result in outcomes that actively harm technological progress. This paper proposes a substantive re-think of these systems and lays a foundation upon which practical solutions can be built. Many solutions proposed in the past, such as prior-art bounties, outsourced examination, and dynamic fee setting, have gone unheeded due to the cost of administering them and the rigidity of the patent system. We explore how distributed ledger technologies (DLTs) enable these major changes by altering the way stakeholders are able to interact with the patent records system. We find that transitioning to a DLT-based patent records system can enable many previously suggested improvements to current patent systems in a flexible, scalable, and transparent manner. The case for such a transition is strengthened when jointly considering the complex but common roots of problems facing modern patent systems, rather than a balkanised set of technical solutions to address each issue independently. Noting that a DLT-based system is not a panacea, we also provide comment on the political, legal, and organisational challenges that must be overcome for such changes to be implemented at scale.