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.     

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.     

专利竞赛中的租值消散分析

从专利的保护成本和专利质量角度观察,专利中存在大量的租值消散现象。针对专利研发的参与权没有清楚界定,通过引入标准的租值消散模型来分析科研活动(尤其是专利研发竞赛)中的租值消散问题。研究发现,专利制度本身存在不少降低租值消散的因素:专利研发中的复杂性、随机性、不可预测性,以及参与者研究能力、所用设备要求、机会成本等方面的较大差异。通过对照理论模型和事实,对如何进一步减少专利制度中的租值消散提出政策建议。     

专利质押贷款环境下的专利价值决定因素研究

专利质押贷款是金融衍生产品的创新,也是缓解中小企业融资难问题的重要举措,但如何确定专利价值直接关系到专利质押贷款理论的发展及其应用。目前,在专利质押贷款环境下,研究专利价值的决定因素的文献并不多见。本文以我国2004-2010年176份专利质押贷款数据为样本,分析专利属性、企业属性以及其他控制变量对专利价值的影响。研究结果表明,质押状态下的专利属性仍是决定其价值的关键因素,企业属性能体现贷款风险的高低,它对专利质押贷款额度有着显著影响。     

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.     

基于调查的中国企业非实施专利申请动机实证研究

在我国迅速增长的专利申请数量中,企业扮演着举足轻重的角色。企业出于哪些目的而进行专利申请,其主要影响因素何在,引起了理论与实践界的广泛关注。国际经验表明,企业申请专利的动机正不断超出通过垄断保护获取市场收益的传统目的,大量专利申请出于非实施专利因素考量。本文利用国家知识产权局年度开展的中国专利调查数据,考察了中国企业近年专利申请中非实施动机的具体情况,并采用计量分析方法探讨了其影响因素。研究结果表明,中国企业开始呈现多样化的非实施申请特征,"进入专利池与标准"、"塑造企业形象"、"用于交叉许可"等特点与国际发展趋同。而现阶段在中国,企业规模、知识产权组合利用能力、知识产权工作成熟度、外部政策等因素对企业非实施申请动机具有显著影响。     

Applicant and examiner citations in U.S. patents: An overview and analysis

Prior art patent citations have become a popular measure of patent quality and knowledge flow between firms. Interpreting these measurements is complicated, in some cases, because prior art citations are added by patent examiners as well as by patent applicants. The U.S. Patent and Trademark Office (USPTO) adopted new reporting procedures in 2001, making it possible to measure examiner and applicant citations separately for the first time. We analyzed prior art citations listed in all U.S. patents granted in 2001-2003, and found that examiners played a significant role in identifying prior art, adding 63% of citations on the average patent, and all citations on 40% of patents granted. An analysis of variance found that firm-specific variables explain most of the variation in examiner-citation shares. Using multivariate regression, we found that foreign applicants to the USPTO had the highest proportion of citations added by examiners. High-volume patent applicants had a greater proportion of examiner citations, and a substantial number of firms won patents without listing a single applicant citation. In terms of technology, we found higher examiner shares among patents in electronics, communications, and computer-related fields. Taken together, our findings suggest that firm-level patenting practices, particularly among high-volume applicants, have a strong influence on citation data and merit additional research.     

Behind the recent surge of Chinese patenting: An institutional view

This paper examines a number of forces that have possibly contributed to the explosive growth of Chinese patenting over the past decade. After a review of previous hypotheses and conventional wisdom, this study proposes an additional explanation and argues that patent subsidy programs implemented by each provincial region have played an important role in the growth of Chinese patenting. This institutional change, taking place at the province-level, has induced an increase in patent propensity among not only firms, universities, and research institutes, but also individuals. Empirical evidence based on publicly available data provides solid support for this argument. It was also found that a larger fraction of applications are granted patent rights since the implementation of such programs, suggesting that reduction in patent application quality may not be a serious concern, unless the criteria used for patent examination have been lowered.     

国际稀土产业中游专利技术研发概况分析

 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。     

国际稀土产业中游专利技术研发概况分析

 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。     

专利组合对上海制造业上市公司企业价值的影响

专利数量和结构是表征企业乃至国家创新能力的重要指标。而近年来,国内出现了低质量专利泛滥的现象,企业迫切需要明确的专利组合战略,以有效提升企业的价值。本研究通过收集2012-2016年上海地区制造业上市公司的专利拥有量,并选取托宾Q系数作为企业价值衡量指标,分析专利组合对制造业上市公司价值的影响。结果表明：第一,专利数量可有效提升企业价值,如果组合中发明专利的比例足够大,则提升组合中专利的数量可显著提升企业的价值;第二,不同创新程度的专利对企业的价值影响不同,创新度高的发明专利对企业价值的提升效果更为显著。本研究为企业制订合理的专利组合战略、提升企业价值提供了理论依据,并为政府制订差异化的专利申请资助政策提供参考。     

专利价值的评估指标体系及模糊综合评价 /FONT /P

专利是企业一项重要的无形资产,有效评估其价值对企业具有重大意义。基于专利价值的时效性、不确定性和模糊性,本文尝试建立一个科学的专利价值评估指标体系,用层次分析法计算指标的权重,再用模糊综合评价法得出专利的现时货币价值量,以期为企业专利价值评估提供一种新思路。     

对专利侵权赔偿的经济学分析

本文运用经济学的方法分析了侵权赔偿数额对专利潜在侵权人及专利权所有人行为的影响,为合理确定侵权损害赔偿金额提供借鉴。     

基于专利分析的锂离子动力电池产业发展趋势

创新驱动发展,专利成果的转化是产业化发展的助推器。采集国内外锂离子动力电池专利信息,分析全球锂离子电池产业的发展情况。借助广东省专利信息服务平台对国内动力电池材料和管理系统专利信息进行采集分析,深度剖析国内锂离子动力电池技术与产业发展趋势的关系,为锂离子动力电池发展技术路线做出预测和建议,同时为锂离子动力电池企业发展和相关科研机构研究提供参考。     

中国专利调查综述:制度实践与研究拓展

立足于国际比较和制度实践,本文从专利研发周期与成本、专利实施与运用现状、创新主体专利保护强度诉求、专利诉讼机制运转等方面对我国专利制度实践进行了综述。同时在专利动机改变与制度异化,专利价值多元属性与质量评价,强弱专利诉讼机制等问题中进行了国际比较。进而提出借助专利调查平台拓展专利研究的思路,阐释了从专利制度、市场规律、政策绩效层面发掘中国专利调查学术价值的方法。本研究的政策指向在于呼吁政府开放基础调查资源,加强问卷设计科学性,优化组织管理流程,提升中国专利调查在学术研究中的基础性作用。     

专利价值二元分类评估方法的构建及应用研究

本文基于专利资产的价值分布特性,通过分析比较国内外专利价值评估的关键指标和专利价值的影响因素,构建了用于专利价值的“二元分类评估方法”。该方法采取定量指标评价和专家打分的主客观相结合方式分别得到专利定量指标价值度和定性指标价值度,两者结合得到专利综合价值度,这可综合评估专利价值高低,进而为知识产权管理和专利运营提供参考。     

“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.     

产业技术标准和产业技术发展关系研究——基于专利内容分析的视角

以构成专利文献的"技术词"为最基本分析单元,深入专利文本内部对产业技术标准和产业技术整体发展进行定量描述。以近24年来通信产业专利及其必要专利为样本,通过产业技术标准与产业整体专利技术内容相似度比较,揭示技术标准与产业整体技术发展关系。研究发现,产业技术标准实现产业技术内容的收敛与规范;同时,标准专利技术产生于产业先导技术,通过技术标准实现产业先导技术向主导技术的转换。为我国科技成果转化,实现创新驱动发展提供更加有针对性的路径和建议。     

企业专利能力影响因素实证研究

 从内、外部影响因素入手,构建了企业专利能力影响因素模型,并运用结构方程模型通过对宁波、杭州的问卷调查进行了验证。企业专利能力内部影响因素包括企业人力资源配置水平、企业家素质、企业规模、企业创新能力和企业学习能力五个方面;企业专利能力外部影响因素包括区域经济增长、专利制度和政策促进和知识产权文化塑造。其中,外部因素通过内部因素对企业专利能力发生作用。     

我国发明专利审查周期的影响因素探析

当前,在专利申请量激增和技术快速更新的背景下,包括我国在内的全球主要国家的专利系统均面临日益严重的审查积压挑战。本文以2003年我国发明专利申请数据为分析样本,利用生存分析的方法,对我国发明专利审查周期的影响因素进行了分析。分析发现,IPC分类数、专利引文数、申请来源国是影响我国发明专利审查周期的保护因素,而权利要求数是危险因素。为此,本文提出可以通过设定准确界定IPC分类的义务、提高引文标准、提高权利要求附加费标准、实现差异化的政治倾向等措施缓解审查积压,提高我国专利授权系统的运行绩效。