高校与科研院所沉睡专利价值评估  

Value Evaluation of Sleeping Patents in Universities and Research Institutes

作　　者：孙笑明[1] 熊旺 宇文乐薇 姚馨菊 赵婕 Sun Xiaoming;Xiong Wang;Yuwen Lewei;Yao Xinju;Zhao Jie(School of Management,Xi'an University of Architecture and Technology,Xi'an 710055,China;School of Humanities and Social Science,Xi'an Jiaotong University,Xi'an 710049,China)

机构地区：[1]西安建筑科技大学管理学院,陕西西安710055 [2]西安交通大学人文社会科学学院,陕西西安710049

出　　处：《科技进步与对策》2025年第6期99-108,共10页Science & Technology Progress and Policy

基　　金：国家自然科学基金面上项目(72072140);陕西省秦创原“科学家+工程师”队伍建设项目(2023KXJ-148)。

摘　　要：相关数据显示,我国高校发明专利的产业化率远低于世界平均水平,大量没有应用的专利成为“沉睡专利”,唤醒沉睡专利有助于挖掘潜在技术,推动专利转化,促进创新发展。选择高校与科研院所沉睡专利作为研究对象,结合沉睡专利的两大唤醒机制——技术唤醒和商业唤醒,构建高校与科研院所沉睡专利评估体系,以2000-2015年上海交通大学已公开、未发生过专利转化的有效发明专利为样本,利用随机森林模型进行实证分析。结果表明,高校与科研院所沉睡专利并非无价值专利,部分专利存在唤醒潜力,产学研合作对高校与科研院所科技成果转化具有重要作用;建立高校与科研院所沉睡专利价值评估体系有助于高校和科研院所识别高质量沉睡专利,提高科研投入效率,减少科研浪费,为后续科技成果转化提供帮助。Intellectual property protection is highly stressed in the transformation of scientific and technological achievements.In recent years,the quantity of patent applications and grants in universities and research institutes has been increasing by more than 20%every year,but the quality of patents is uneven.The relevant data show that the industrialization rate of invention patents in universities in China is much lower than the world average level.A large number of unapplied patents have become"sleeping patents".It is helpful to explore potential technologies by evaluating the values of sleeping patents with awakening potential in universities and research institutes,for it can improve the quality and efficiency of the transformation of knowledge achievements in universities and research institutes and promote more patents in universities and research institutes to promote practical production.There are multiple studies on the connotation,identification methods,causes and wake-up mechanism of sleeping patents,but research on the value evaluation of sleeping patents is rare.By reason of the foregoing,this paper selects the sleeping patents of universities and scientific research institutes as the research object.On this basis,the two awakening pathways of sleeping patents(technical awakening and commercial awakening)are combined.Finally,the factors affecting the value of sleeping patents are analyzed in three dimensions:the fundamental value of patents,the technological wake-up potential,and the commercial wake-up potential.A total of nine influencing factors are screened out as follows:the degree of technology accumulation,the number of patent claims,the life span of patents,the potential of technological concern,the potential of technological innovation,the coverage of technology,the maturity of knowledge,the experience of the first inventor and the enterprise cooperation,and the degree of industry-university-research cooperation.This paper makes some novelties in proposing the value evaluation system of sleeping

关 键 词：沉睡专利 专利价值评估 科技成果转化 高校专利 科研院所专利 

分 类 号：G306[文化科学]