高校专利知识流动能力研究
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摘要
作为新知识的一个主要来源，高校已经在技术创新中扮演着重要角色。而且高校拥有较多的科研资源，每年产生大量的专利，而高校如何把其专利转化成为知识向其他组织进行流动，进而促进高校支撑国家创新型战略，从而考察高校的专利知识流动能力是个非常重要的课题。
高校专利可以从专利许可网络、地域性网络、申请人网络以及发明人网络等四方面来研究其知识流动。专利拥有合作申请人和合作发明人这一关系型数据，并且其专利许可数据又是典型的关系型数据，可以利用社会网络分析方法来构建专利许可网络、专利许可地域性网络、申请人网络以及发明人网络，构建专利知识流动能力指标来分析高校专利知识流动能力。
对“985”高校及其他高校的专利许可网络和专利许可地域性网络的分析，本文研究发现：工科类高校比综合类高校知识流动能力更强；“985”高校许可数量与知识流动广度有正相关性，但与知识流动频度没有相关性；西安交通大学和天津大学的知识流动能力最强；浙江、江苏、广东和北京4个省市的知识流入广度较高，江苏、广东和浙江3个省的知识流入最多；绝大部分高校的知识流动还是在本省市内，高校向相邻省市的知识流动作用比向其他省市更小。
通过对电动汽车技术领域的申请人网络和发明人网络的分析，研究发现：相对于企业而言，高校的共同申请数量不高，但是拥有较多的发明人团队，这些发明人团队中北京交通大学和企业之间的合作情况较好。高校拥有众多的实验室，而且这些实验室拥有一流的实验设备，但是这些成果还没有能有利地向产业界流动。
通过以上方面的探讨，总结出高校专利知识流动中还存在着以下几个方面的问题：（1）专利知识流动分布差异大；（2）专利知识流动范围较窄；（3）专利知识流动地域差异大；（4）专利知识流动行业扩散能力有待提高等问题。本文针对这些问题提出了相关的对策：（1）重视专利申请资助政策作用；（2）充分发挥高校技术转移机制作用，注重大学技术转移办公室的人员队伍建设，从发明开始就介入到整个过程中来，为高校教师提供发明评估、申请策略选择、帮助申请专利、寻找被许可对象、商业谈判和收益分配等全过程，来提高专利知识流动能力；（3）提高区域专利知识流动能力，借鉴江苏省在区域专利知识流动中的做法，如强有力的财政支持，构建了构建省市县三级知识产权管理体系，高校充分发挥自身科技资源优势，积极创办建立各类科技中介服务机构，开展高校技术转移及推动成果转化，强化高校转变评价机制导向，建立高校联盟等措施；（4）充分发挥发明人网络作用，企业应该充分利用核心发明人和桥梁发明人的作用来促进行业专利知识流动能力。
As a major source of new knowledge, universities have an important role to play inthe technology innovation. And universities have more research resources, produce alarge number of patents each year, and how could the universities transfer the patent intoknowledge, and flow to the other organizations, thus contributing to the universities tosupport the national innovation strategy, then it is a very important subject to analysis theuniversities’ patent knowledge flow capacity.
The universities’ patents could be studied its knowledge flow in the follow fouraspects: patent licensing network, regional network, applicant network, and inventornetwork. Patents have the relational data, such as co-applicant and co-inventor, and thepatent licensing data is the typical relational data, we can use the social network analysismethods to build the patent licensing network, the patent licensing regional network, theapplicant network, and the inventor network.
Analysing the patent licensing network and the patent licensing regional network ofthe "985" universities and the other universities, the study found: the knowledge flowcapacity of polytechnic universities is high than the comprehensive universities; thenumber of patent licensing of “985” universities has the positive correlation with thebreadth of knowledge flow, but there is no correlation with the frequency of theknowledge flow; the knowledge flow capacity of Xi’an Jiaotong University and TianjinUniversity are the strongest; the breadth of knowledge flow is higher in the Zhejiang,Jiangsu, Guangdong and Beijing these four provinces and cities; the inflow of knowledgein Jiangsu, Guangdong and Zhejiang are the most; the knowledge flow in the vastmajority universities are within these area, the role of knowledge flow to the adjacentarea is samller than to the other area.
Analysing of the applicant network and the inventor network in the field of electricvehicle technology, the study found: according to the enterprises, the number ofco-applicant is not high, but has the more inventor team, the inventor tram in Beijing Jiaotong University have better cooperation with enterprises. The universities have alarge number of laboratories, and these laboratories have the first-class equipment, buttheir results have not flow to the industry very well.
Summed up the university patent knowledge flows, there are aspects of thefollowing problems:(1) the distribution of patent knowledge flow are differences;(2) therange of patent knowledge flow is narrow;(3) the geographical of patent knowledgeflows are differences;(4) the diffusion capacity of patent knowledge flow to the industryneeds to be improved. This thesis presents the related countermeasures to these problems:(1) emphasising the role of patent application fund policy;(2) emphasising the role ofuniversity technology transfer mechanisms, focusing on the person construction ofuniversity technology transfer office, who can involved in the whole process from thebeginning of invention to the assessment for the invention, applcation strategy choice,patent application assistance, searching the licensee, commercial negotiations, and theincome distribution, to improve the patent knowledge flow capacity;(3) enhancing theregional patent knowledge flow capacity, using the pratice from Jiangsu Province in theregional patent knowledge flow, such as the strong financial support, build intellectualproperty management system of provincial, city and country levels, build variousscientific and technological intermediary service organizations by the own scientific andtechnological resources in these unversities, to carry out the unversity techology transferand promote it into use, to strengthen the evaluation guiding mechnism in the universities,to establish the universities union;(4) emphasising the role of inventor network,enterprises should make full use of the role of the core inventors and the bridge inventorto promote the patent knowledge flow capacity to the industry.
高校专利可以从专利许可网络、地域性网络、申请人网络以及发明人网络等四方面来研究其知识流动。专利拥有合作申请人和合作发明人这一关系型数据，并且其专利许可数据又是典型的关系型数据，可以利用社会网络分析方法来构建专利许可网络、专利许可地域性网络、申请人网络以及发明人网络，构建专利知识流动能力指标来分析高校专利知识流动能力。
对“985”高校及其他高校的专利许可网络和专利许可地域性网络的分析，本文研究发现：工科类高校比综合类高校知识流动能力更强；“985”高校许可数量与知识流动广度有正相关性，但与知识流动频度没有相关性；西安交通大学和天津大学的知识流动能力最强；浙江、江苏、广东和北京4个省市的知识流入广度较高，江苏、广东和浙江3个省的知识流入最多；绝大部分高校的知识流动还是在本省市内，高校向相邻省市的知识流动作用比向其他省市更小。
通过对电动汽车技术领域的申请人网络和发明人网络的分析，研究发现：相对于企业而言，高校的共同申请数量不高，但是拥有较多的发明人团队，这些发明人团队中北京交通大学和企业之间的合作情况较好。高校拥有众多的实验室，而且这些实验室拥有一流的实验设备，但是这些成果还没有能有利地向产业界流动。
通过以上方面的探讨，总结出高校专利知识流动中还存在着以下几个方面的问题：（1）专利知识流动分布差异大；（2）专利知识流动范围较窄；（3）专利知识流动地域差异大；（4）专利知识流动行业扩散能力有待提高等问题。本文针对这些问题提出了相关的对策：（1）重视专利申请资助政策作用；（2）充分发挥高校技术转移机制作用，注重大学技术转移办公室的人员队伍建设，从发明开始就介入到整个过程中来，为高校教师提供发明评估、申请策略选择、帮助申请专利、寻找被许可对象、商业谈判和收益分配等全过程，来提高专利知识流动能力；（3）提高区域专利知识流动能力，借鉴江苏省在区域专利知识流动中的做法，如强有力的财政支持，构建了构建省市县三级知识产权管理体系，高校充分发挥自身科技资源优势，积极创办建立各类科技中介服务机构，开展高校技术转移及推动成果转化，强化高校转变评价机制导向，建立高校联盟等措施；（4）充分发挥发明人网络作用，企业应该充分利用核心发明人和桥梁发明人的作用来促进行业专利知识流动能力。
As a major source of new knowledge, universities have an important role to play inthe technology innovation. And universities have more research resources, produce alarge number of patents each year, and how could the universities transfer the patent intoknowledge, and flow to the other organizations, thus contributing to the universities tosupport the national innovation strategy, then it is a very important subject to analysis theuniversities’ patent knowledge flow capacity.
The universities’ patents could be studied its knowledge flow in the follow fouraspects: patent licensing network, regional network, applicant network, and inventornetwork. Patents have the relational data, such as co-applicant and co-inventor, and thepatent licensing data is the typical relational data, we can use the social network analysismethods to build the patent licensing network, the patent licensing regional network, theapplicant network, and the inventor network.
Analysing the patent licensing network and the patent licensing regional network ofthe "985" universities and the other universities, the study found: the knowledge flowcapacity of polytechnic universities is high than the comprehensive universities; thenumber of patent licensing of “985” universities has the positive correlation with thebreadth of knowledge flow, but there is no correlation with the frequency of theknowledge flow; the knowledge flow capacity of Xi’an Jiaotong University and TianjinUniversity are the strongest; the breadth of knowledge flow is higher in the Zhejiang,Jiangsu, Guangdong and Beijing these four provinces and cities; the inflow of knowledgein Jiangsu, Guangdong and Zhejiang are the most; the knowledge flow in the vastmajority universities are within these area, the role of knowledge flow to the adjacentarea is samller than to the other area.
Analysing of the applicant network and the inventor network in the field of electricvehicle technology, the study found: according to the enterprises, the number ofco-applicant is not high, but has the more inventor team, the inventor tram in Beijing Jiaotong University have better cooperation with enterprises. The universities have alarge number of laboratories, and these laboratories have the first-class equipment, buttheir results have not flow to the industry very well.
Summed up the university patent knowledge flows, there are aspects of thefollowing problems:(1) the distribution of patent knowledge flow are differences;(2) therange of patent knowledge flow is narrow;(3) the geographical of patent knowledgeflows are differences;(4) the diffusion capacity of patent knowledge flow to the industryneeds to be improved. This thesis presents the related countermeasures to these problems:(1) emphasising the role of patent application fund policy;(2) emphasising the role ofuniversity technology transfer mechanisms, focusing on the person construction ofuniversity technology transfer office, who can involved in the whole process from thebeginning of invention to the assessment for the invention, applcation strategy choice,patent application assistance, searching the licensee, commercial negotiations, and theincome distribution, to improve the patent knowledge flow capacity;(3) enhancing theregional patent knowledge flow capacity, using the pratice from Jiangsu Province in theregional patent knowledge flow, such as the strong financial support, build intellectualproperty management system of provincial, city and country levels, build variousscientific and technological intermediary service organizations by the own scientific andtechnological resources in these unversities, to carry out the unversity techology transferand promote it into use, to strengthen the evaluation guiding mechnism in the universities,to establish the universities union;(4) emphasising the role of inventor network,enterprises should make full use of the role of the core inventors and the bridge inventorto promote the patent knowledge flow capacity to the industry.
引文
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