“Stacking” and “picking” inventions: The patenting behavior of European inventors

By using a sample of 793 inventors drawn from the PatVal-EU dataset, this paper explores three aspects of patent production at the individual inventor level: (1) the number of EPO patents that the inventors produce; (2) the average value of their inventions; (3) the production of the most valuable patents. By jointly estimating the three equations we find that the inventors’ level of education, employment in a large firm, and involvement in large-scale research projects positively correlate with quantity. Yet, apart from the size of the research project, none of these factors directly influence the expected value of the inventions. They do, however, have an indirect influence, as we find that the number of patents explains the probability of producing a technological hit (the maximum value). Also, there is no regression to the mean in the invention process at an individual level, as the number of inventions that an inventor produces is not correlated with the average value.     

Structural modeling of the value of patent

There is a considerable volume of prior research on the relationship between innovation and patents. Those research studies reveal that patents contain a great deal of noise, and unless a correction is made in terms of the value of individual patents, a simple count of the number of patents does not constitute a very useful indicator. From research that has been conducted for the purpose of finding such an indicator to show the value of individual patents (that is, research to identify the characteristics of valuable patents), many kinds of value indicators have been proposed. Nevertheless, research hitherto has focused primarily on business or private value derived from the possession of patents, and little attention has been paid to value in terms of technical knowledge or social value. In a survey of inventors conducted by RIETI in 2007, terminology describing broad concepts was used when questioning inventors about the value of individual patents, and this has provided an excellent opportunity to analyze the multiple factors lying behind the value of patents and how they impact one another.The purpose of this research is to use data from the RIETI survey of inventors and structural equation modeling methods to elucidate the relationships between the technological and business value of patents, and the latent factors that influence them. The findings show that a scientific-technological motive for inventors would have a positive effect on both the business and technological value, meanwhile, the monetary or promotion motive would not have any direct effects on the value of a patent. The model also suggests that academic linkage would have a strong positive effect on the technological value but a weak negative effect on the business value. Furthermore, these relationships differ more markedly according to technological field.     

Tracing mobile inventors—The causality between inventor mobility and inventor productivity

This paper analyses the causality between inventor productivity and inventor mobility. The results show that the level of education has no influence on inventor productivity. Making use of external sources of knowledge, on the contrary, has a significant effect on productivity. Finally, firm size has a positive impact on productivity. Firm size also influences inventor mobility, although negatively. Whereas existing research implicitly assumes causality to point in one direction, this study ex ante allows for a simultaneous relationship. To deal with the expected endogeneity problem, instrumental variables techniques (IVREG and IVPROBIT) will be employed. Results show that mobile inventors are more productive than non-movers. Whereas a move increases productivity, an increase in productivity decreases the probability to observe a move.     

基于技术转移转化的专利价值评估与增值管理

基于"专利价值分析指标体系"的优化模型开展专利价值评分,利用帕累托法则进行价值度的划分,为专利分级分类管理提供依据。在此基础上,从技术转移转化过程增值管理角度提出两点建议:(1)以评价的高价值专利为中心实施专利组合管理;(2)围绕潜在高价值专利实施优先关键专利布局策略。实证分析表明优化模型对于专利价值评估具有良好的可靠性,依据评价结果实施专利组合管理与优先布局策略有利于促进技术专利转化过程中的价值增值。     

Testing patent value indicators on directly observed patent value—An empirical analysis of Ocean Tomo patent auctions

The valuation of patents is an important, albeit challenging task. Extant research to identify patent value indicators has so far relied on expert estimates of patent value, exploited patent renewal data, or depended on more indirect measures of patent value. Recently, specialized market places for patent transactions have emerged that allow us for the first time to directly observe patent's private value. One of the most prominent market places for patents is Ocean Tomo, a platform that offers periodical patent auctions. We make use of this auction data to empirically test predictions on patent value identifiers on real-world auction prices. We find empirical support for forward citations and the patent's family size; however, both indicators explain only a small variance in patent value. In contrast, our full model explains a large share of variance, making us optimistic that with increased directly observed patent value, such models can be useful tools in patent valuation.     

专利价值评价指标概述及层次分析

与成本法、收益法和市场价值法等相比,专利价值指标的评价方法由于其可以对专利本身进行深入的定量研究,客观且具有国际可比性,而获得了广泛的重视和应用,但存在的不足是对这些指标的整体性和相互联系研究不够。为此,提出专利指标的层次结构,指出现有研究中不同层次指标并列使用、对某些指标作用的重复计算,导致对因果关系解释的不准确的问题。评价指标的层次划分使我们对评价指标的因果和相关关系了解更准确,在专利评价中避免上述不足,使专利评价更准确、更切合实际。     

非专利实施实体的定义、形态与特征研究

针对非专利实施实体作出一个比较全面的定义。根据有无从事制造或行销、有无从事研发工作、法人实体还是个人、专利取得来源这4个标准,对非专利实施实体进行类型划分,并根据每种类型的非专利实施实体进行特征说明。根据所得出的有关于各种类型非专利实施实体的特征说明,提出相应的建议和对策。     

新能源汽车产业的专利标准化战略制定与实施

面对日益严峻的能源与环境的双重困局,新能源汽车成为汽车产业未来发展的方向。我国开展自主研发的汽车企业期望在新能源汽车产业真正实现"弯道超车",掌握关键领域核心技术是根本之道,并在核心专利技术积累的基础上,努力将其通过法定程序制定为同行业产品生产的技术标准。本文旨在分析我国车企在新能源汽车产业的专利现状,提出成功实现技术专利化——专利标准化——标准垄断化的竞争战略,掌握全球市场竞争优势,争取商业利润的最大化。     

Inventors and invention processes in Europe: Results from the PatVal-EU survey

Based on a survey of the inventors of 9017 European patented inventions, this paper provides new information about the characteristics of European inventors, the sources of their knowledge, the importance of formal and informal collaborations, the motivations to invent, and the actual use and economic value of the patents.     

职务发明创造及专利权归属探析

职务发明创造的完成主体是职务发明人。它是发明人执行本单位的任务完成的发明创造,体现了单位与发明人两方面的意志。我国现行《专利法》以“主要利用本单位的物质条件”作为职务发明创造的判定标准不合理：把职务发明创造的专利申请权及专利权只赋予单位所有的规定也不符合公平原则。笔者认为,对于职工“主要利用本单位的物质条件”非单位交付任务完成的发明创造,一般应确认为是非职务发明创造;而对于职工“执行本单位的任务”完成的职务发明创造,应确认其专利权归单位和发明人共有。     

Claiming more: the Increased Voluminosity of Patent Applications and its Determinants

The size of patent applications has doubled over the past two decades, resulting in a dramatic surge in the workload of patent offices all over the world and serious concerns over patent quality standards. The current paper investigates the sources of this inflation in claims and pages for EPO applications. Four hypotheses are quantitatively examined: the diffusion of national drafting practices, the complexity of research activities, the emergence of new sectors, and filing strategies. The results validate the four hypotheses. They reveal major differences across countries in patent drafting styles, especially between Civil and Common Law countries, the latter being characterized by much larger patents. Second, the success of the PCT route is leading to the harmonizing of drafting styles worldwide on the US model. This paper therefore challenges the commonly accepted idea that more claims reflect a broader scope of protection by showing that the size of patents is partly due to institutional changes in the system.     

同族专利及其检索

本文阐述了同族专利的意义和信息的价值，并探讨了同族专利信息的检索方法，重点介绍了利用Internet检索同族专利的方法，为我国企业获取同族专利信息提供参考。     

First-mover advantage and the private value of public science

Technical progress increasingly relies on the use of scientific knowledge. But if much of this knowledge is in the public domain, can it be a source of private value? We find that average private returns to using public science are small, especially in crowded technical fields. This is consistent with the view that the expected profit from an input that competitors can easily access is low. However, private value is higher when a firm is the first to use science, partly because it can secure broader patents relative to later users. Corporate participation in scientific research is a strong predictor of first use, consistent with the view that participation in science raises familiarity with relevant scientific advances.     

Patent indicators for the technology life cycle development

Investments in a technology have to consider its current life cycle stage. The widespread approach of studying technology life cycles by measuring patent activity indices, especially patent applications, raises a practical problem: it requires the survey of all applications and applicants on a technological field. On the basis of an empirical study on pacemaker technology the paper identifies several patent indices as appropriate life cycle stage indicators which do not require the survey of the complete patent activity.     

What determines patent value?: Insights from the semiconductor industry

This paper contributes to an understanding which impacts certain patent characteristics have on the value of patent rights. In an exploratory study, 127 individual patents from a semiconductor company were evaluated comprehensively by technical and marketing representatives. The analysis of this rare data shows that for patents used as “bargaining chips”, novelty and inventive activity are most important. Difficulty of inventing around and disclosure turn out to be of limited importance. Due to a selection bias the influence of patent age on its value cannot be determined. The results hint at a differentiated theoretical plausibility of value indicators.     

面向技术发展趋势的专利分析模型研究

基于专利分析的视角,利用Citespace分析工具结合专利综合指数分析方法,引入技术突现率、技术重复率、技术中心度水平、技术综合性指数等指标,构建技术发展趋势研究模型,通过分析得出特定技术领域的研究热点和技术机会,还原技术发展路径,从而预测技术发展趋势。最后对汽车尾气净化技术发展趋势进行实证分析,验证了该分析模型的可行性。     

Patent validation at the country level—The role of fees and translation costs

One feature of the European patent system that is heavily criticized nowadays is related to its fragmentation and the induced cost burden for applicants. Once a patent is granted by the EPO, the assignee must validate (and often translate) it and pay the renewal fees to keep it in force in each country in which protection is sought. The objective of this paper is to assess to what extent validation and renewal fees as well as translation costs affect the validation behavior of applicants. We rely on a gravity model that aims at explaining patent flows between inventor and target countries within the European patent system. The results show that the size of countries, their wealth and the distance between their capital cities are significant determinants of patent flows. Validation fees and renewal fees further affect the validation behavior of applicants. Translation costs seem to have an impact as well. The implementation of cost-reducing policy interventions like the London Protocol will, therefore, induce a significant increase in the number of patents validated in each European country.     

方少亮1,陈钰莹1,2,周俊杰1,赵晓萌1

基于专利分析视角,建立2000-2020年全国卫星应用专利数据池,围绕专利态势、技术领域、创新主体三大维度,对比分析广东省、北京市、江苏省、上海市等地卫星应用产业专利情况,以判断广东省在卫星应用产业的总体发展态势、技术布局热点及薄弱环节、创新主体构成及协同创新情况,为产业政策、企业发展战略制定提供决策参考。结果表明卫星应用正处于快速发展期,广东省位居全国第二,在电通信技术、基本电气元件等领域具有优势,创新主体支柱是企业,但整体创新协作较弱,建议强链补链推动集群发展,持续激发市场主体活力,大力集聚人才、技术、平台等创新资源。     

生态补偿价值评估体系研究

中国生态补偿机制的建立有一个关键环节和重要难点,即生态补偿价值的评估。本文通过对生态补偿机制构成要素的识别,围绕谁补偿给谁、补偿额度是多少、补偿资金从何处来、如何进行补偿以及补偿效果怎么样五个维度,从资金运作链和行为效应链分析了补偿机制的隐性运行机理。以此为基础,以自然资源类生态补偿为例,运用层次分析法建立生态补偿机制的价值评估体系。研究结果表明,在生态补偿价值评估中,应更加重视环境价值,同时应充分考虑空气洁净度、空气负离子含量、植被覆盖率和资源稀缺度等的价值或对生态系统的贡献程度。     

企业专利平台、创新整合与核心能力形成机理

本文基于能力学派的理论研究框架,结合部分高新技术企业发展实践,开展相关研究。从价值链视角,提出了高新技术企业专利平台内涵、构成及发展层次;指出基于企业专利平台,从战略、组织、技术三个层次开展创新整合,能够推动企业核心能力的环境元、变革元、管理元、技术元的形成与不断升级。在这一过程中,能够实现成本领先与差异化战略的有机结合,从而获得持久竞争优势。本研究成果对高新技术企业核心能力形成机理研究提供了新的研究视角,相关研究结论对我国高新技术企业以专利平台为突破口,制定核心能力培育策略、实现产业升级提供了重要理论启发。