Intellectual property governance and knowledge creation in UK universities

The public discourse advocating increased patenting of academic discoveries, which has led to the approval of legislative measures (such as the Bayh–Dole Act, which is now adopted world-wide in various forms) is based on a set of theoretical arguments, mainly related to knowledge transfer and financial reward. Using an original survey of 46 universities (about 27%) in the UK, we investigate whether some of these arguments are supported by evidence. We focus on the extent to which patents, as opposed to other forms of intellectual property (IP) protection mechanisms, enhance knowledge circulation, and especially contribute to universities’ own knowledge creation processes. We also investigate whether universities consider the markets for ideas and creative expressions to function efficiently. We find that universities use all forms of IP intensively in order to transfer their knowledge to the industry or the government. However, they mainly rely on non-proprietary IP (open-source and no-patent strategies) when aiming to enhance their own knowledge-creation processes. Also, universities do not find that markets for patents or copyrights function more smoothly than non-proprietary IP marketplaces. The results challenge the orthodox theories on the rationales for patents and other proprietary IP rights. Thus, we question the assumptions and arguments underpinning the implementation of patents on academic research outcomes via political reforms since the 1980s.     

中国大学专利技术转移模式分析与展望

以“985工程”高校为研究样本,选择其在国家知识产权局的独立授权专利,抽取转让专利的申请人和受让人信息,构建这些专利的专利权人转让路径。通过对专利申请高校、发明者以及受让人的关系内容挖掘,将这些学校的专利技术转移概括为直接技术转让、校资产经营实体运营、校企联合研发、地校研究院、学术创业和专利经营实体运营6种模式。基于对6种模式的详细调研,结合宏观形势和外部创业环境优化,认为中国大学专利技术转移正呈现一种明显的学术创业趋向。大学和创业学者的关系处理在学者创业和专利技术转移过程中更加重要,集中表现在专利成果权属和科研评价上。     

Strategic human resource management for university-industry collaborations in Korea: financial incentives for academic faculty and employment security of industry liaison offices

In an attempt to understand why some universities achieve better outcomes from university-industry collaborations, this study adopts the perspective of strategic human resource management that emphasises the congruence between the university strategic orientation and the human resource practices. Based on a large-scale survey of universities in Korea, this study suggests that the human resource management practices of providing incentive compensation to academic faculty, and the employment security and size of human resources in the industry liaison offices significantly contribute to the university-industry collaboration performance, such as the number of registered patents, licensing revenue of intellectual property, and the integrated collaboration revenue.     

专利市场化视角下校企发明专利维持时间影响因素比较研究

专利市场化水平通过对专利权人预期收益率的影响与专利维持时间产生联系。对高校和企业发明专利维持时间及其影响因素进行比较,可为提升高校专利市场化水平提供借鉴。从专利市场化视角出发,以华为和华南理工大学（以下简称“华工”）为例,运用回归分析方法对发明专利维持时间影响因素进行研究。结果发现,华为发明专利维持时间较长,且在审查时间、发明人数和权利要求数方面存在较大差异;各自变量对二者发明专利维持时间的解释力度亦有区别。为提升高校专利市场化水平,提出应强化知识产权创造市场导向、优化发明专利性质布局、强化发明专利专业属性、促进校企科研合作等合理化建议。     

The spatial distribution of innovation: evidence on the role of academic quality for seven European countries

The quality of academic research and research undertaken at public laboratories is an important determinant of successful technology transfer. Corporate innovativeness may benefit considerably from scientific discoveries at universities or public laboratories and from the availability of locally well-trained scientists and graduates. The extent to which quality matters is investigated for 86 European regions in seven countries between 1997 and 2007. We find that regions hosting research departments at the forefront of science produce significantly more inventions and more innovations, whereas the mere presence of R&D personnel in universities has no significant impact. The production of patents in high-technology domains instead does benefit from the presence of R&D personnel in public laboratories. These results complement the existing evidence on the relationship between public research and spatial distribution of innovation.     

高校专利可转化性与其文献计量特征相关性研究

如何从海量高校专利中识别出具备可转化性的潜力专利，对于科技管理与评价部门而言，是一项具有应用价值的研究课题。高校不具备生产能力，其专利转化的主要途径是将专利权转让或许可给企业。研究已经成功转让或许可的高校专利文献计量特征，并与未能转让或许可的高校专利文献计量特征作对比，运用多元统计学的差异分析和相关分析方法，分析高校专利可转化性与其文献计量特征之间的相关性。以S大学产出的16491项专利为研究样本，发现高校专利可转化性与其文献计量特征之间具有一系列相关关系，可为识别可转化的高校专利提供来自文献计量学视角的参考依据。     

聘任制改革下高校科研团队青年教师学术产出研究

当前，我国高校正在推行聘任制改革，为高校优秀人才选拔和高水平师资队伍建设带来机遇，但同时也加重了青年教师学术压力，对于合作任务较多的科研团队青年教师尤其如此。以高校国家重点青年教师为对象，研究实施长聘和续聘考核对教师论文与专利数量及质量的影响。结果发现，实行长聘制度对团队青年教师学术产出的激励效果尚不显著，而续聘考核下青年教师学术产出质量则有显著提升。此外，在工科实行较严格的续聘考核对论文发表的促进作用弱于非工科专业。基于研究结果，建议在聘任制改革中重点考察科研组织模式，并且关注不同学科实施效果的差异性，科研团队中青年教师更适合采取较温和的续聘考核方式，而非严格的“非升即走”考核模式。     

The determinants of academic patenting by Italian universities

This work investigates the determinants of patenting at Italian universities. We test the effect of public and external funds, in terms of commercial activity by universities, towards the propensity of universities to file patents at the European Patent Office. We then estimate the effect of several variables referring to the contextual characteristics of both university and localisation. The results suggest that, while in the southern regions of Italy commercial income bears a negative effect on the patenting activity of universities, in the other regions we register an important positive effect. We moreover find that the adoption of internal university regulations relating to patenting and the fact of being embedded in an innovative region are factors that exert a positive influence on the university rate of application for patents.     

大学知识生产能力测度：场域特性、表征框架及实践应用

大学知识生产能力提升是推进中国“双一流”大学建设战略的重要突破口。资源是大学知识生产的基础,大学知识生产资源获取路径存在学术、市场和行政的三维场域分化。通过资源有效利用而培养能力是大学知识生产的最终目标,大学知识生产能力表征框架表现为输入性与输出性能力、学术探究力与市场竞争力的双重坐标,评价场域分化决定了大学知识生产能力测度标准的多维特性。大学科研管理实践是在遵循场域分化和各要素矛盾运动客观规律的基础上,对稳固基础、融合共生、优势转化等战略的主观选择及行动策略。     

专利转化特征精准识别与预测——以人工智能芯片为例

探讨前沿科技领域专利转化特征并对其进行精准识别与预测，对于我国破解“卡脖子”技术难题及实现科技自立自强具有重要意义。选取人工智能芯片专利领域，采用机器学习算法测度最优转化预测方案，分析全球范围内主要国家或地区专利成功转化影响因素，从企业/高校、国内/国际等不同层面总结专利成功转化的主要特征。结果发现：随机森林算法预测效果较好，人工智能芯片领域专利转化概率服从对数曲线分布，影响高校/企业、国内/国外专利转化特征的因素有所不同。最后，提出高校/科研机构应注重高价值专利维持和团队合作、企业应提升专利技术质量和撰写质量等政策建议。     

Stochastic Cost Frontier and Inefficiency Estimates of Public and Private Universities: Does Government Matter?

Stochastic frontier analysis is used to estimate operating cost inefficiencies of public and private non-profit universities in the U.S. while also accounting for the possible effects arising from differences in the degree of government ownership. Using panel data for four academic years, 2005?C2009, inefficiencies are estimated under two model specifications. Results indicate that public universities are more cost efficient when environmental factors influence cost frontiers but private universities are the cost efficient institutions when those factors are determinants of inefficiency. Increased government funding does matter and increases private sector inefficiency but offers some efficiency improvements among public universities. Following the global financial crisis, there is evidence indicating a considerable slowdown in the inefficiency growth among both public and private universities.     

Public knowledge partnerships in European research projects and knowledge creation across R&D institutional sectors

This paper investigates the role of public knowledge partnerships in EU-funded framework programmes (FP) on knowledge creation across a sample of European countries. Different from previous studies, we investigate whether the impact of participation in FP on new knowledge (patents) differs across private companies, universities and public research centres. We find that, while all institutional sectors benefit from joint projects, the main benefits (in terms of patenting activity) go to universities and public research centres, while private companies benefit less. We also find evidence of important complementarities between participation in international research projects and internal innovation drivers (researchers), thus highlighting the crucial role of domestic absorptive capacity for fully benefiting from international cooperation in R&D projects.     

中国产学研三大部门技术创新经费投入产出效率评估研究

高校、科研单位与企业三大部门是我国应用研究和试验发展环节的重要技术创新主体，亟需评估其效率。采用“经费支出—专利产出—预期收益—实现收益”三步骤分析框架，利用已有统计调查数据，对三大部门技术创新经费投入产出效率进行测算。结果表明，三大部门技术创新经费投入产出效率都偏低，企业部门每亿元经费投入实现的收益约为9733万元，科研单位约为1331万元，高校约为1166万元。该测算值是真实产出价值的下限，但真实产出不会高太多。产出效率低的主要原因在于，高校和科研单位技术创新的产业应用目标指向性不明确、存在科技成果转化难题以及企业能力制约等。最后，建议加快政府相关科技计划制定、加强成果评价过程中产业部门的参与、优化高校和科研单位科研评价体系、加大企业研发费用加计扣除力度等。     

基于专利存续期的企业和研究机构专利价值比较研究

本文通过引入存续期未终止的专利,改进了传统以存续期为基础的专利价值模型,并使用该模型计算了我国1985—2009年间企业和研究机构的发明专利价值。通过对比发现,我国研究机构的平均专利价值显著低于企业。进一步回归分析发现,研究机构的研发资源占有量对专利价值并没有显著的正向作用,相反,企业占有较多的研发资源则有助于提高专利价值。在研发资源的联合配置方面,研究机构间合作研发下的专利价值也低于企业间的合作。     

University patenting: patterns of faculty motivations

Few papers address the issue of faculty motivations to patent and none comprehensively investigates why faculties decide not to patent. To fill this gap, I surveyed Italian faculty inventors of university-owned patents (N=208) and non-inventors working in the same disciplines (N=416). Major motivations to patent are prestige/reputation and knowledge exchange. Although universities rely almost exclusively on royalties, I show that researchers are sensitive to diverse incentives, whose importance varies according to both personal characteristics and the context. Surprisingly, patents are not perceived by non-inventors as inappropriate to academic activities or as obstacles to publications and conferences.     

基于扎根理论的高校科研人才能力评价分析

利用扎根理论方法对中国世界一流大学建设高校的10位教师进行案例访谈,收集各高校科研人才考核评价标准,形成详细完整的资料,运用Nvivo12软件进行开放式编码、主轴编码和选择性编码,提取相关概念和范畴。在前期编码基础上,引入复杂系统管理思想,构建包括基本职业素养、教育教学能力、教研科研能力、技术研发能力和专业实践能力的高校科研人才能力分析框架。研究可以更好地激发科研人才创新活力,为促进高校科研人才能力提升提供理论支撑。     

Public Technology Infrastructure,R&D Sourcing,and Research Joint Ventures

In this paper, we define public technology infrastructure to mean public resources that bring new R&D into existence. Examples are public research that yields knowledge spillovers and government contracts that broker new research. Using this definition we explore the effect of public infrastructure on cooperative R&D, especially R&D sourcing and research joint ventures (RJVs). Our findings strongly suggest that public infrastructure promotes cooperative R&D. We begin by studying the role of federal laboratories in R&D sourcing by private laboratories, finding that sourcing increases as a result. Then we examine patents arising from RJVs sponsored by the Advanced Technology Program (ATP). We find that R&D subsidies as well as difficulty and novelty increase patents produced by the RJVs. Contractual oversight by ATP has no direct effect but an indirect effect appears to exist, since firms value ATP oversight more highly for more difficult and novel projects, and these produce more patents.     

科研团队视角下我国研究型大学参与产学研合作对学术绩效的影响

参与产学研合作对我国大学主体目标的实现（良好学术绩效的取得）是否有帮助？该议题的相关研究仍然较为缺乏。以参与产学研合作的我国研究型大学科研团队为研究对象，通过理论推演、实证分析等方法研究其与产业界所建立的3类合作关系（学术交流型、学术参与型以及学术商业化型）对学术绩效的影响，发现不同类型产学研合作关系对学术绩效的影响存在显著差异。其中，学术交流型合作关系对学术绩效没有显著影响，学术参与型合作关系对学术绩效有正向影响，但是学术商业化型合作关系对学术绩效有负向影响。研究结论对我国研究型大学妥善处理与产业界的合作关系，从而提升自身学术绩效具有重要参考价值。     

学历与首次职位升迁对关键研发者职业生涯上升速度的影响

基于1995—2015年中国家电和汽车行业共40个上市公司（20+20个）的全部发明、实用新型专利数据，提取得到219名关键研发者，并将其创造力类型划分为速成型（创造力上升迅速但下降缓慢）和慢热型（创造力上升缓慢但下降速度快）。然后，从个体属性出发，研究学历和首次职位升迁两个因素对关键研发者职业生涯上升阶段创造力的影响。利用Logit模型进行分析，结果发现：在关键研发者职业生涯上升期，其学历越高，就越有可能是速成型而不是慢热型；关键研发者职业生涯上升期如果发生首次职位升迁，他们更有可能是慢热型而不是速成型。从理论上丰富了关键研发者创造力影响因素研究，对如何实现关键研发者快速成长具有实践指导价值，有助于企业完善关键研发者选拔机制与管理策略。     

美国顶尖大学学术不端行为处理机制研究——以美国四所顶尖大学为例

学术不端行为处理机制是美国顶尖大学尊重学术创新、捍卫学术诚信的重要保障。通过对美国四所顶尖大学处理学术不端行为政策和实践的分析，发现美国顶尖大学学术不端行为处理机制由处理依据、处理主体、处理程序和监督救济构成，在制度保障、组织支持、过程保障和理念引领方面具有以下特征：提供制度规章，确保有章可循；职责分工明确，兼顾专业性和自主性；注重程序规范，保障审理及时严密；坚持以人为本，注重教育为主、惩罚为辅。美国顶尖大学学术不端行为处理机制对我国高校完善学术诚信体系建设具有重要借鉴价值。