基于技术多样性的专利申请人与审查员的引证行为差异
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摘要
近年来,专利引文越来越多地被用于技术路径研究、技术会聚、技术扩散等技术领域间的知识活动研究,但并未有效区分申请人引用和审查员引用,现有技术领域层面对申请人和审查员引用差异的对比研究还停留在较为浅显的统计层面。将技术类别间的差异性引入到申请人引用和审查员引用的对比研究中,在技术类别分布基础上,探究专利技术类别多样性视角下申请人引用和审查员引用的知识来源差异,并对其开展相关性分析。研究结果表明:专利申请人引用涉及的技术类别范围更广,而审查员引用则更集中于本技术类别;对大部分技术类别,申请人引用的技术类别多样性要高于审查员引用,但两者呈现出显著的正相关性。
In recent years, patent citations have increasingly been used to study the knowledge activities between technology fields,such as technology path research, technology convergence, and technology diffusion. But they haven't effectively distinguished applicant citations and examiner citations. Previous studies on the differences between applicant cit ations and examiner citations from, the technical field level have remained at a relatively low statistical level. In this paper, based on the distribution of technical categories, discrepancy between the technical categories themselves was introduced into the study to explore knowledge sources from the perspectives of the diversity of technical fields of applicants and examiners, respectively. The results showed that applicant citations covered more technical fields, whereas examiners were more focused on the fields that they were familiar with, and the diversity of applicant citations in most technical fields was higher than that of examiner citations. Further, it was found that there was a significant positive correlation between applicant citations and examiner citations in both aspects.
In recent years, patent citations have increasingly been used to study the knowledge activities between technology fields,such as technology path research, technology convergence, and technology diffusion. But they haven't effectively distinguished applicant citations and examiner citations. Previous studies on the differences between applicant cit ations and examiner citations from, the technical field level have remained at a relatively low statistical level. In this paper, based on the distribution of technical categories, discrepancy between the technical categories themselves was introduced into the study to explore knowledge sources from the perspectives of the diversity of technical fields of applicants and examiners, respectively. The results showed that applicant citations covered more technical fields, whereas examiners were more focused on the fields that they were familiar with, and the diversity of applicant citations in most technical fields was higher than that of examiner citations. Further, it was found that there was a significant positive correlation between applicant citations and examiner citations in both aspects.
引文
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[13] HEGDE D,SAMPAT B. Examiner citations,applicant citations,and the private value of patents[J]. Economics Letters,2009,105(3):287-289.
[14] LAI K K,CHANG S M,CHANG S B. Using patent citation to explore knowledge flow between industries[C]. PICMET’07.2007Portland international conference on management of engineering and technology. Piscataway,NJ,USA:IEEE,2007:1777-1783.
[15] KIM J,LEE S. Forecasting and identifying multi-technology convergence based on patent data:the case of IT and BT industries in 2020[J]. Scientometrics,2017,111(1):47-65.
[16] PACHYS F. Patent citation:the inventor,examiner,application,differences USPTO-case report:patent no.-4,237,224[EB/OL].[2018-01-20]. https://ssrn.com/abstract=1983109.
[17] PARK I,JEONG Y,YOON B. Analyzing the value of technology based on the differences of patent citations between applicants and examiners[J]. Scientometrics,2017,111(2):665-691.
[18] SCHMOCH U,LAVILLE F,PATEL P,et al. Linking technology areas to industrial sectors[R]. Karlsruhe,Paris,Brighton:DG Research,2003.
[19] STIRLING A. A general framework for analysing diversity in science,technology and society[J]. Journal of the Royal Society Interface,2007,4(15):707-719.
[20]张虎胆,杨冠灿,吴恒.审查员引文是否应作为专利引文“噪音”被剔除?[J].图书情报知识,2013(6):77-83.
[2] LI R,CHAMBERS T,DING Y,et al. Patent citation analysis:calculating science linkage based on citing motivation[J]. Journal of the Association for Information Science and Technology,2014,65(5):1007-1017.
[3]李睿,孟连生.论专利间引用关系分析中存在的问题[J].情报理论与实践,2009(7):39-43.
[4] AZAGRA-CARO J M,MATTSSON P,PERRUCHAS F. Smoothing the lies:the distinctive effects of patent[J]. Journal of the American Society for Information Science and Technology,2011,62(9):1727-1740.
[5] JAFFE A,HENDERSON M T R. Geographic localization of knowledge spillovers as evidenced by patent citations[J]. Papers,1993,108(3):577-598.
[6] ALCáCER J,GITTELMAN M. Patent citations as a measure of knowledge flows:the influence of examiner citations[J]. Review of Economics and Statistics,2006,88(4):774-779.
[7] CRISCUOLO P,VERSPAGEN B. Does it matter where patent citations come from? inventor vs. examiner citations in European patents[J]. Research Policy,2008,37(10):1892-1908.
[8]肖冬梅,陈颖.专利审查员引文的特征与价值[J].图书情报工作,2015(19):6-14.
[9] AZAGRA-CARO J M,MATTSSON P,PERRUCHAS F. Smoothing the lies:the distinctive effects of patent characteristics on examiner and applicant citations[J]. Journal of the American Society for Information Science and Technology,2011,62(9):1727-1740.
[10] ALCACER J,GITTELMAN M,SAMPAT B. Applicant and examiner citations in US patents:an overview and analysis[J].Research Policy,2009,38(2):415-427.
[11] AZAGRA-CARO J M,TUR E M. Differences between examiner and applicant citations in the European Patent Office:a first approach[C]. Science and Technology Indicators Conference.Leiden,The Netherlands:2014.
[12] THOMPSORI P. Patent citations and the geography of knowledge spillovers:evidence from inventor-and examiner-added citations[J]. Review of Economics and Statistics,2006,88(2):383-388.
[13] HEGDE D,SAMPAT B. Examiner citations,applicant citations,and the private value of patents[J]. Economics Letters,2009,105(3):287-289.
[14] LAI K K,CHANG S M,CHANG S B. Using patent citation to explore knowledge flow between industries[C]. PICMET’07.2007Portland international conference on management of engineering and technology. Piscataway,NJ,USA:IEEE,2007:1777-1783.
[15] KIM J,LEE S. Forecasting and identifying multi-technology convergence based on patent data:the case of IT and BT industries in 2020[J]. Scientometrics,2017,111(1):47-65.
[16] PACHYS F. Patent citation:the inventor,examiner,application,differences USPTO-case report:patent no.-4,237,224[EB/OL].[2018-01-20]. https://ssrn.com/abstract=1983109.
[17] PARK I,JEONG Y,YOON B. Analyzing the value of technology based on the differences of patent citations between applicants and examiners[J]. Scientometrics,2017,111(2):665-691.
[18] SCHMOCH U,LAVILLE F,PATEL P,et al. Linking technology areas to industrial sectors[R]. Karlsruhe,Paris,Brighton:DG Research,2003.
[19] STIRLING A. A general framework for analysing diversity in science,technology and society[J]. Journal of the Royal Society Interface,2007,4(15):707-719.
[20]张虎胆,杨冠灿,吴恒.审查员引文是否应作为专利引文“噪音”被剔除?[J].图书情报知识,2013(6):77-83.