高校专利申请前价值评估体系构建及实证研究  

Construction and Empirical Research on the Pre-application Value Assessment System of Patent in Universities

作　　者：方曦 李清瑞 Fang Xi;Li Qingrui(School of Economics and Management,Shanghai Institute of Technology,Shanghai 200233,China)

机构地区：[1]上海应用技术大学经济与管理学院,上海200233

出　　处：《科技管理研究》2024年第8期48-56,共9页Science and Technology Management Research

基　　金：国家自然科学基金重点国际(地区)合作研究项目“新兴产业全球创新网络形成机制、演进特征及对创新绩效的影响研究”(71810107004);科技部创新方法工作专项项目“科技成果价值评估方法与应用示范研究”(2020IM021000)。

摘　　要：在高校专利申请前开展专利价值评估工作,能够通过筛选高价值专利并强化高价值专利的管理与支持保护促进高校科技成果转化。中国高校在积极探索与实施校内专利申请前评估准则,但国内尚未建立较为统一的评价机制。因此,从中国高校高价值专利培育的战略角度,基于文献梳理整合,结合斯坦福大学、北京交通大学、西安交通大学等国内外高校的专利预评估机制,运用熵权法构建包含技术、法律、市场、战略和经济5个价值维度和17个指标的高校专利申请前价值评估指标体系,并以北京交通大学2017—2021年申请的3452件公开专利为样本,运用BP神经网络、层次聚类法对部分价值评分较高的专利进行多维综合评价。结果发现:在专利价值预评估模型中,经济价值与技术价值是较为重要的两个维度,而专利许可与转让谈判情况、专利实施情况、市场支持程度等为重要指标;样本高校的专利在技术新颖、法律保护、战略组合、市场潜力以及转化能力等方面存在一定差异,专利价值评分差距较大,采用BP神经网络模型的仿真值与实际值拟合程度为99.95%;评估模型能够有效识别高校内部的高价值专利,评价体系具有可操作性与科学性。据此,高校应准确定位全球学科前沿与市场需求,通过增加专利实施例、引用高质量文献、扩大技术宽度等角度提高专利价值。Patent value assessment before patent application in universities can promote the transformation of scientific and technological achievements of universities by screening high-value patents and strengthening the management and support for the protection of high-value patents.Chinese universities are actively exploring and implementing the guidelines for pre-application evaluation,but a more unified evaluation mechanism has not yet been established in China.Therefore,from the strategic perspective of cultivating high-value patents in Chinese universities,based on the integration of literature combing and combining the patent pre-evaluation mechanisms of Stanford University,Beijing Jiaotong University,Xi'an Jiaotong University,and other domestic and foreign universities,this paper uses the entropy power method to construct a pre-patent application value evaluation index system for universities that contains five value dimensions and 17 indicators,including technological,legal,market,strategic,and economic dimensions,taking 3452 public patents applied by Beijing Jiaotong University from 2017 to 2021 as samples,conducts multi-dimensional comprehensive evaluation on some patents with high value scores by using BP neural network and hierarchical clustering method.The results find that:in the patent value pre-assessment model,the economic value and technical value are the more important two dimensions,while the patent license and transfer negotiation,patent implementation,and the degree of market support are the important indexes;the patents of the sample universities have certain differences in technical novelty,legal protection,strategic portfolio,market potential,and transformation ability,and the gap between the patent value scores is large,the simulation value obtained from BP neural network model fits 99.95%with the actual value;the evaluation model can effectively identify the high-value patents within the universities,and the evaluation system is operable and scientific.Accordingly,universities should accurately

关 键 词：高校专利 专利申请前价值 专利价值评估 高价值专利 BP神经网络 熵权法 高校科技成果转化 

分 类 号：G255.53[文化科学—图书馆学] F224[经济管理—国民经济] G302G301