Analyzing the evidence of an IPR take-off in China and India

Both China and India have been experiencing a historical take-off in the use of intellectual property rights (IPR). In terms of trademark applications filed with domestic IP offices in 2009, the evidence demonstrates that China now ranks 1st worldwide and India 5th, while for patent filings China ranks 3rd worldwide and India ranks 9th. This performance is remarkable as both China and India experienced negligible demand for IPR protection as recently as two decades ago. The IPR take up trends in these two countries are analyzed in detail, highlighting the structure of patent and trademark demand since 1990. Specifically, the available series are broken down and analyzed according to: (i) national versus foreign origin of patents and trademarks; (ii) technological (IPC) and trademark (NICE) classes; and (iii) the major individual patent users in each country. The data used refers to applications in the Chinese and Indian IP offices although the demand from residents of these two countries in both the international and other national systems is also assessed. Beyond the existing momentum in IPR registrations by China and India and their capacity to maintain it into the near future, the paper addresses practical questions about the strategies, motives and benefits behind the current trends. In particular, we seek to evaluate the capacity of both China's and India's National Innovation Systems to internalize the potential returns of this increasing demand for IPR. The insight reached finds that should both China and India sustain their current IPR growth rates, they will be able to catch up with the most advanced economies within the time span of a few decades.     

Rates of invention: international patent comparisons

The increased patenting activity of foreign nationals in the United States has been a source of recent concern, and the fear has been expressed that the US is becoming relatively less technologically inventive. This paper investigates some possible causes of the increased foreign patenting activity and also briefly examines the determinants of patent filings by a country's own residents. The countries covered include: Canada, France, West Germany, Japan, the Netherlands, Sweden, Switzerland, the United Kingdom, and the United States.Based on data on patent applications filed and some preliminary regression analysis, the paper finds that the rising foreign patenting activity in the US probably does not reflect increased foreign inventiveness vis-à-vis the US. However, foreign innovativeness may be increasing relative to the US. Over the period 1963 – 1974, the domestic patent base, measured by the number of patent applications filed by nationals in their home countries, has shown little change in any country except for Japan. Rather, multiple patent applications and a greater propensity to patent abroad, induced by the possibilities of exporting, appear to be the sources of the increase in foreign patent applications in the US and also in Japan.     

国内外电子地图技术专利情报分析

电子地图是20世纪80年代初出现的科技新产品,它的应用已从汽车导航、城市建设扩展到了社会的各个领域。本文借助专利信息分析的方法和工具,对国内外电子地图技术的专利申请量、国际专利分类(IPC)分布、专利权人分布进行了分析,同时对国内电子地图技术的专利地区分布、生命周期和申请类别进行了研究。基于上述分析,找出国内外研究差异、研究热点分布,发展趋势,提出一些关于电子地图技术领域发展的建议。     

新能源汽车全球专利分析

本文根据研究团队的相关预研究,结合主题词、德温特手工代码、IPC分类号等方法,精心制定新能源汽车技术的检索策略,在德温特专利数据库平台上收集数据,对检索结果使用TDA软件进行分析,在此基础上对国际新能源汽车领域专利从年度专利走势、主要技术领域、竞争机构专利分析等维度进行了统计和对比分析。结果显示,全球范围内新能源专利一直在稳定增长,国外在专利布局方面都没有忽视在中国市场的专利申请,企业之间的合作关系不强。     

非研发创新支出对高技术产业创新绩效的影响研究

外部技术获取、技术改造等非RD创新经费支出对高技术产业创新绩效既可能产生"促进效应",也可能产生"替代效应"。运用17个高技术产业1995-2012年的面板数据进行实证研究,发现非RD创新经费支出对高技术产业的专利产出和新产品销售收入整体上均产生了显著的正向影响,其中技术改造经费支出对专利产出主要体现为替代效应,但对新产品销售收入具有积极影响。外部技术获取整体上提升了高技术产业的专利产出水平,其中技术引进对专利产出产生了显著负面影响,但当与消化吸收费用支出产生协同效应时,其对专利产出的促进效应就会显现出来;消化吸收费用支出对新产品销售收入产生了显著的促进作用,而购买国内技术则有利于提升专利产出水平。     

Foreign patent flows to and from the United Kingdom

A substantial part of the stock of technological knowhow in any given country is determined by foreign companies. Flows of technology are reflected in part by the international pattern of patenting behaviour. This paper examines both the patent applications in the UK by foreign countries and UK patent applications abroad. It concludes that each country is exposed to a subset of world-wide technology determined by the profitability of transfer of new knowhow. Profitability is affected by the size of potential supply of new inventions in donor countries, by the attractiveness of markets for knowhow in recipient countries and by the costs of transfer.     

The Bayh-Dole Act and university research and development

This paper examines the relationship between university research and development (R&D) activities and the Bayh-Dole Act. This act made it much easier for universities to obtain patents from research funded by the federal government and may have provided universities with an incentive to alter their R&D activities. The Act may provide an incentive to reduce basic research (which does not generate licensing fees) and increase applied research (which does generate patents and licensing fees). In addition, industry might be more willing to fund university R&D projects since the results would now be easier to patent. This paper differs from the existing literature which uses patent data (a measure of research output) by using research and development data (a measure of inventive input) to examine the effect of the Act.     

国外油服公司专利布局策略分析

在当前油价较低的情况下,国外油服公司仍然保持较高的专利申请量,其专利布局与主要业务市场紧密契合,业务遍及全球主要油气产区.国外油服公司专利申请比较系统,针对新技术、新产品、新方法进行全面的布局,其中以斯伦贝谢的专利布局最为全面,哈里伯顿近5年增速迅猛,年申请量超过斯伦贝谢.三大油服公司的授权专利占比50％左右,具有较好的保护效果.基于国内外技术现状,充分结合国内企业技术需求,建议建立突围式的专利布局,加强专利监测预警,借鉴、优化改进与组合相结合,实施关键技术外围包绕、差异化技术布局的策略.     

技术锁定视角下的专利价值影响因素分析

[目的/意义]燃料电池作为新能源产业的核心部件，培育并评价其高价值专利对于我国突破国外“技术锁定”，对实现技术创新驱动新能源产业发展具有重大意义。[方法/过程]基于INNOJOY专利数据库，选取了燃料电池作为研究对象，采用主客观赋权方法与Cox比例风险回归模型等探究了技术锁定视角下的专利价值的影响因素。[结果/结论]结果表明：（1）技术锁定对专利价值的抑制作用显著；（2）引证数、被引证数与同族数均对专利价值的促进作用显著，权利要求数对专利价值的抑制作用显著，而IPC分类数对专利价值不具有显著效应。在丰富了专利价值研究的同时，为我国突破“技术锁定”，进而实现专利强国的目标提供相应建议。     

Foreign patenting in the U.S. as a technology indicator: The case of Norway

Foreign patenting in the U.S. has been considered to be a useful technology indicator in comparisons between countries. In order to shed light on this topic, this paper will try to explain foreign patenting in the U.S. by way of data for one country - Norway.A crucial question is what role is played by exports in explaining the foreign patent activity. Is the U.S. patenting just an indicator of the export performance, or is it the other way around; that technology - measured by foreign patent activity - is an important trade explanatory variable.The first part of this paper deals with the relationship between Norwegian U.S. patenting and export to the U.S. by way of time-series analysis on data from 1883 to 1980. Then some more detailed analysis are done on industry-level data from 1920 and from 1960–1980. An hypothesis is further tested for the possible relationship between foreign U.S. patenting and the international business-cycles. Finally a detailed but tentative analysis is done on firm-level data for the years 1969–1980.The results lend partial support to the assumption that foreign U.S. patent activity reflects innovative activity in the country where the patents originated. A major advantage in using foreign patenting in the U.S. as a technology indicator, is that this type of data in general seems to be of a higher quality than domestic patent data.     

自主研发、技术引进与专利产出——基于2001-2008年省际面板数据分析

依据2001-2008年我国省市区面板数据,对自主研发、技术引进与专利产出之间的关系进行了实证分析。研究发现,从全国来看,自主研发和国内技术引进对专利产出有显著促进作用,但国外技术引进对专利产出没有显著影响或者影响作用较弱;从东中西部地区来看,自主研发对专利产出都有显著正效应,国外技术引进只对东部地区专利产出有显著正效应,国内技术引进只对中西部地区专利产出有显著正效应。     

专利商业化激励:理论、模式与政策分析

对专利商业化激励,奖励理论认为应加强对发明创造的直接激励,前景理论强调后期商业化激励的持续性,由此形成了两种不同的激励模式。本文以ODA法案及相关政策为研究对象,分析了商业化激励政策的演变,得到如下结论:注重商业化市场保护的"市场权"与注重技术创新保护的"专利权",共同构成了紧密衔接和相互支持的激励框架,较好解决了市场失灵导致的商业化激励不足。同时,要增进专利商业化的激励绩效,还应重视中小企业的作用,实现"推动"与"拉动"之间、专利生产与商业化之间的动态均衡。     

专利审查的误差检测及影响因素分析

基于Hausman et al.,(1998) 错分模型，文章对2010年－2015年期间国家知识产权局受理的G大类发明专利申请的授权决定进行了误差检测。这里的授权误差的定义为，优先权在国外进行专利申请并获得较多后续专利引用的专利，其中国同族专利的申请未能获得授权，即“过度驳回”；亦或优先权在国外进行专利申请但未获得任何后续专利引用，其中国同族专利的申请却获得授权，即“过度授权”。基于此样本的实证结果显示，中国专利审查并未显示出显著的“过度授权”现象。但是，有大约4.4％的专利，其外国同族专利获得了高频次后续专利引用，并被中国的专利审查“过度驳回”。“过度驳回”的比例在软件相关专利样本中上升至5.8%。基于错分模型对过度驳回审查决定的识别，文章进一步检测了权利要求数量，技术应用广度，审查经验等因素对于中国专利审查过度驳回概率产生的影响，并提出了相应的政策建议。     

中国最大500家外商投资企业在华专利及影响的计量研究

本文以在华外商投资500强及其母公司在华专利申请为实证研究对象，通过对国家知识产权局专利数据库的数据挖掘，结合新时期跨国公司在华投资和专利战略的宏观背景，从在华外商投资500强及其母公司专利申请的演变、专利申请的结构、专利申请及专利申请垄断倾向的行业分布，以及专利申请对外商在华直接投资、中国国内企业技术创新和外商在华投资效益的影响等方面，首次从实证的角度开展了较系统的计量研究，提出了跨国公司母公司专利申请垄断倾向新概念，得出了一系列新的研究结果。     

基于区分国内外创新的专利制度设计研究

随着经济、科技全球化发展,对国外创新的专利保护成为各国专利制度主要功能之一,但各国却对之采取了与国内创新相同的保护,没有进行区分。本文在研究了对国内与国外创新分别保护的必要性之后,提出了分别保护的制度设计要点和方案并进行了可行性分析。本文认为国外创新与国内创新对国家社会福利影响不同,应当对二者采取不同的保护方式,这也是国际非合作博弈的结果。对国外创新,可以采取多边最惠国待遇原则下的一体化审查授权制度方案来进行专利保护,同时用本国专利制度对国内创新进行保护。     

专利代理人胜任特征对专利质量的影响路径研究

我国专利"数量大、质量差"的问题日趋显著,学术界和产业界已经逐步重视专利代理服务对科技创新的重要支撑作用,但是如何针对专利质量的提升确立专利代理服务标准和模式这一问题尚没有得到充分论证和清晰解答。在相关文献研究的基础上进行了实证研究,逐一验证了专利代理人胜任特征对专利技术质量和专利申请质量影响的假设命题,进而量化了专利代理人各胜任特征对专利质量的影响程度及路径。研究结果表明,专利代理人的知识结构、职业能力、业务素养、个人品质、发展动机等特征对专利技术质量存在显著正向影响;技能经验、知识结构、社交能力、业务素养、外语技能、职业素养等特征对专利申请质量存在显著正向影响。专利代理人胜任特征与专利质量之间关系的研究有助于引导专利代理行业标准的制定、人员等级的划分以及相关政策的制定,并且为现阶段解决我国专利质量现实问题的政策措施实施提供理论依据。     

R&D strategy in the U.S. pharmaceutical industry

The adverse economic impacts of the 1962 Kefauver-Harris Amendments to the Food, Drug and Cosmetic Act have transformed the U.S. pharmaceutical industry. The key elements of this transformation include declining rates of innovation, huge increases in R&D costs and risks, lowered profitability, and an erosion of U.S. technological leadership. U.S. pharmaceutical firms must develop new, creative R&D strategies in order to cope with this complex and demanding environment. U.S. firms have responded to more stringent domestic regulation by sharply increasing both foreign R&D expenditures and initial clinical testing of new chemical entities at foreign locations.New patterns of project selection strategies have begun to emerge in the 1970s. As the total number of R&D projects has been cut back, pharmaceutical firms have focused resources on those disease areas with the highest epidemiological importance. To cope with the increasing riskiness of drug R&D firms have shifted dollars from research to development. Pharmaceutical firms are also likely to alter their strategies for discovering new drugs. As firms reduce explorative, basic research, more structured, engineering approaches will receive increased emphasis. Because individual drug companies are likely to have reduced capacity for originating drugs within their own laboratories, competition among firms for access to new compounds and research ideas is likely to in tensify.     

互联网发展与技术创新：专利生产、更新与引用视角

本文在理论上分析互联网发展对技术创新的可能影响机制,利用2007—2014年我国230个地级市的面板数据,通过主成分分析法构建了互联网发展指数。并进一步应用工具变量法实证研究了互联网发展对技术创新产生的影响及其内在传导机制。本文采用1984年各城市每百人固定电话数量与电信投资量的交互项作为研究的工具变量。实证表明：（1）无论从专利数据还是城市创新指数来看,互联网发展都显著促进了技术创新;（2）互联网发展加速了专利的折旧速度,有利于提高创新知识的更新速度;（3）互联网发展加快信息的传播,提升了专利的国内外引用,显著增加了创新知识的溢出。本文为我国“互联网＋”行动计划、创新型国家建设奠定了理论与事实基础。     

网上国外专利文献的检索和利用

本文主要介绍了互联网上国外专利文献的概况，对主要的网上国外免费专利数据库的内容和文献检索方法进行了综合比较。并对企业如何利用专利文献进行了分析。     

专利池的垄断性研究：基于反垄断法的视角

 专利池带来的垄断问题是知识产权研究的热点。本文在界定专利池概念、分析专利池利弊、探究国外反垄断法对专利池规制的基础上,就我国新出台的反垄断法对专利池的制约问题,做了细致的条文解读。在我国反垄断法条文的适用方面,结合国外相关的司法实践,按权力滥用行为和限制竞争行为分类做了认定专利池垄断的分析和建议。