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Research on Capabilities of Technology Innovation Based on Patent Information Analysis

Author: FangShu
Tutor: WuZhenYe
School: Southwest Jiaotong University
Course: Management Science and Engineering
Keywords: patent information analysis technological innovation capabilities technological innovation efficiency economic output fractal R&D GDP
CLC: G306
Type: PhD thesis
Year: 2007
Downloads: 2205
Quote: 25
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This dissertation studied systematically and deeply the capabilities of technological innovation based on patent information analysis. The capabilities of technological innovation of enterprises studied by patent information analysis, and applications of patent information analysis to enterprise’s technological innovation management are very important and valuable for promoting the capabilities of technological innovation and competitive power of enterprises etc.Firstly, the research goal and research content of the thesis was reached by analyzing the research situation and existing issues of technological innovation capabilities at home and abroad.Secondly, the domestic and foreign application results of patent information analysis in various fields were summarized: the achievements and cases in which patent information is successfully used as the indicator measuring economic and innovation activities; Trends of the research and application of patent information analysis were also expected.Thirdly, theories and methods of patent information analysis were studied: patent systems and characteristics, sources and obtaining methods of patent documents were briefly introduced; basic hypothesis of patent information statistic analysis were summarized; different methods and applications of patent information analysis were presented; various patent indicators, and their definitions, connotations as well as application scopes were generalized; and additionally, characteristics and applications of existing software for patent information analysis were compared and assessed.Fourthly, measuring the technological innovation capabilities of enterprise by patent indicators was studied. It included realizing the effect and role of patent in technological innovation process and model; probing that to what degree patent contributes to innovation, and then indicating the differences of degree in different fields, showing simultaneously cases of foreign countries, and thus revealing those fields that are suitable for adopting patent indicators to measure their technological innovation capabilities with efficiency; estimating the effect and role of patent indicators in the evaluation index system of technological innovation capabilities; proposing that if we substitute comprehensive patent index, which is equal toΣW_iP_i, for the patent number indicator in the comprehensive evaluation system, technological innovation capabilities could be measured more effectively. The evaluation index system of technological innovation capabilities of enterprises was established by patent indicators, and the evaluation methods and application example were presented.Fifthly, based on the basic concepts and newest achievements of fractal theory of non-linear science, some statistical simulations had been done by using real data and thus the technological innovation efficiency, i.e. the relationship between patent output and GDP was researched. With an empirical analysis at the country and regional level (e.g. Chinese province, metropolis and area), an excellent relativity between patent output and country or regional GDP was found, and it conformed to the power function law, Y(x) = Ax~b, which is a typical self-similarity fractal. A relatively satisfactory explanation to the law was reached by studying the essence of power-law distribution according to fractal theory. Simultaneously, it indicated that we can predict the country and regional GDP based on the country or regional patent output thereby and vice versa. Hence, the efficiency and capability differences of technological innovation between countries could be disclosed, so regions. Further, the China’s patent data were analyzed and the general picture and distribution of China’s patent output were discussed. Through statistical regression analysis of the fifteen-year patent data from 1991 to 2005, and by studying the relativity between China’s R&D expenditures and patent output, a functional relationship for quantitative statistics, in terms of expression, Y = 148.938X+ 23117.097 was correspondingly established. Among them, Y represents domestic patent application number, while X represents application research & test development expenditures (unit: hundreds of millions of RMB). This expression implied that during 1991-2005, China patent application number linearly increased with the rise of application research and test development expenditures.Sixthly, the relationship between patent output and economic output of R&D type enterprise was quantitatively studied. It found out that there is positive linearity between patent quantity and sales for this company by the empirical analysis for a type case, and the correlation model was established. In addition, the linear relationship change gradually into the nonlinear power function with the patent quantity increasing to some extent was realized, which indicated a "cluster strength effect", and made company get more economic results.Seventhly, the applications and cases of patent information analysis in the field of enterprise’s technological innovation management were systematically discussed, which included such aspects as the patent information analysis and enterprise’s strategic management of patent-related intellectual property; enterprise’s R&D management and technological capability evaluation; enterprise’s value estimation and mergers & acquisition; human resource management; especially, the enterprise’s competitive intelligence for a field of electronic communication and a technology subject of an electronic product was studied by patent information analysis, and the information details of a technology subject of an electronic product were obtained, such as technology structure, relative R&D ability data and co-operations of major competitors, core technology patents, technology advancement, R&D hotspots, patent activities and characteristics in China and so on.Finally, the main research achievements, conclusions and existing problems in the thesis were summarized and the further research direction and projects were prospected.

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