특허자료를 이용한 우리나라 대학 연구의 특성 분석 = Empirical Analysis of University Patenting in Korea

다국어 초록 (Multilingual Abstract)

Recently Korean universities show very rapid increases in both patents and R&D (research and development) expenditures. During the period from 1970 to 2008, university R&D spending has on the average increased 15.3% annually. Along with steady increases in R&D spending, university’s research outputs have also continuously increased. In 1990 Korea as a total published 1,613 SCI-level scientific papers and Korean universities applied 27 patents to Korea patent office. In 2008, Korea published more that 35,000 SCI papers and Korean universities applied about 7,300 patents. The growth of scientific articles had begun from the early 1990s whereas the growth of patent has ignited entering the 2000s.
The paper tried to investigate university research through the window of patent. Patents lie between invention and innovation and represent the potential value of invention which will be realized at the marketplace. Since Korean patents do not contain citation information, the paper used US patents－NBER patent database－as the main data.
The key empirical question is whether Korean university patents granted from USPTO are characteristically different from other Korean patents granted from USPTO. Previous studies on US and Europe show that corporate patents are more stylized in appropriablity of invention, whereas university patents basicness. In case of Korea, the paper confirmed the appropriability characteristic of corporate patents; but the Korean unversity patents are not distinguishable in terms of basicness.
The paper estimated the citation frequency function－an empirical model which was firstly developed by Caballero and Jaffe (1993) and later articulated by Jaffe and Trajtenberg (1996, 2002). The model is specified mainly composed of two interacting parts－diffusion effect and obsolescence effect of new ideas or innovations. Estimation results show that differences in forward citations between university and corporate patents are not statistically significant, after controlling self-citation. Since forward citations represent the quality of patents, this estimation result implies that there are no statistically significant quality differences between university and corporate patents. Prior research results, based on the same model of citation frequency function, about US and some European cases show that, in terms of forward citations, university patents are generally superior to corporate patents －for the case of US- or, the former not inferior to the latter－for the case of most of Europe.
It is argued that some important and significant policy changes caused the rapid rise of university patents in Korea. Policy changes include the revision of technology transfer act allowing the ownership of publicly-funded research results to researchers and the changes in faculty/professor evaluation which gives more credit to the number of patents. These policy changes have triggered the rapid growth of the number of university patents. The results of the empirical analysis in this paper indicated that Korea now needs to make further efforts to enhance the quality of university patents, not just to produce more numbers of patents.

국문 초록 (Abstract)

본 논문은 대학의 연구활동을 특허라는 창을 통하여 들여다보고자 하였다. 특허 인용정보가 있는 미국 특허를 이용하여 우리나라의 대학 특허를 기업 특허와 대비시켜 대학 특허의 특성을 분석하였다. 일반적으로 기업 특허와 대학 특허는 전자는 전유성(appropriability) 측면에서 그리고 후자는 기초성(basicness) 측면에서 차이가 있는 것으로 본다. 그런데 기초성 측면에서 우리나라 대학 특허는 기업 특허와 크게 두드러진 차이를 보이지 않는 것으로 나타났다. 다음으로 특허인용함수모형을 이용하여 특허의 질 또는 수준을 기업과 대학 사이에 비교해 보았다. 기업 특허는 자체인용이 상당수 포함되어 있는데, 이를 감안하면 전방인용에 있어서는 대학 특허와 기업 특허는 큰 차이를 보이지 않는 것으로 나타났다. 자체인용 비중이 높을수록 특허의 전유성 정도가 높은 경향이 있다는 선행연구를 상기하면, 기업 특허의 전유성 정도가 높게 나오는 것을 확인할 수도 있었다.
미국과 유럽을 대상으로 한 선행연구에서는 대학 특허가 대체로 기업 특허와 비교하여 인용빈도 측면에서 뒤지지 않는 것으로 분석되고 있다. 외국의 대학 특허 분석결과와 본 논문의 우리나라 대학 특허 분석결과를 대비시키면, 우리나라 대학 특허는 전반적인 수준이나 영향력 측면에서는 기업 특허에 미치지 못하며, 이는 우리나라 대학의 특허활동이 최근에야 활성화된 데 기인한 것으로 추론된다.
이러한 분석 결과는 향후 대학의 연구수준을 제고하기 위한 노력을 보다 체계화해야 한다는 것을 시사하며, 최근 진행되고 있는 정부의 기초연구 정책방향 전환이나 대학 내의 자체적인 개혁 움직임을 간접적으로 지지한다. 정부의 정책 전환과 함께 학내의 개선 노력이 합치되면 향후 우리나라 대학의 특허인용도 및 영향력이 훨씬 높아지게 될 것으로 기대할 수 있다.

참고문헌 (Reference)

1 서남표, "한국대학의 개혁을 말한다" 생각의 나무 2008

2 송재용, "한국기업의 특허전략 변화" 서울대학교출판부 2006

3 박희제, "한국 대학에서의 과학 연구의 성격과 변화 ：1980년대 이후 연구개발비 흐름을 중심으로" 한국사회이론학회 (30) : 213-244, 2006

4 안상훈, "특허정보활용 확산정책의 산업적 기여도에 관한 연구" 한국개발연구원 2007

5 연태훈, "특허의 가치에 대한 시장의 평가" 한국개발연구원 26 (26): 63-104, 2004

6 정성철, "특허와 기술혁신 및 경제발전의 상관관계" 과학기술정책연구원 2004

7 오준병, "특허권 강화와 기술혁신에 관한 실증연구: 우리나라의 제 11차 특허법 개혁을 중심으로" 한국경제학회 56 (56): 63-90, 2008

8 서환주, "특허권 강화는 기술혁신을 촉진하는가? 한국의 특허법 개혁을 중심으로" 한국국제경제학회 10 (10): 183-216, 2004

9 이원영, "특허 데이터베이스를 활용한 기술-산업간 연계구조 분석과 한국 기업의 특허 전략 평가" 과학기술정책연구원 2004

10 한국지식재산연구원, "대학의 성공적인 R&D를 위한 논문․특허전략"

11 민철구, "대학의 Academic Capitalism 추세와 발전 방향" 과학기술정책연구원 2003

12 국가과학기술위원회, "기초연구진흥종합계획(안)"

13 Reitzig, M, "What Determines Patent Value, Insights from the Semiconductor Industry" 32 (32): 13-26, 2003

14 Trajtenberg, M, "University Versus Corporate Patents: A Window on the Basicness of Invention" 5 : 19-50, 1997

15 OECD, "University Research in Transition" OECD 1999

16 Bok, Derek, "Universities in the Marketplace: The Commercialization of Higher Education" Princeton University Press 2003

17 Henderson, Rebecca, "Universities as a Source of Commercial Technology: A Detailed Analysis of University Patenting, 1965-1988" 80 : 119-127, 1998

18 Hu, Albert Guangzhou, "The Regionalization of Knowledge Flows in East Asia: Evidence from Patent Citations Data" 37 (37): 1465-1477, 2009

19 Lanjouw, J, "The Quality of Ideas: Measuring Innovation with Multiple Indicators" NBER 1999

20 Hall, Bronwyn H, "The Patent Paradox Revisited: an Empirical Study of Patenting in the US Semiconductor Industry, 1979-1995" 32 (32): 101-128, 2001

21 Hall, Bronwyn H, "The NBER Patent-citations Data File: Lessons, Insights, and Mothodological Tools" NBER 2001

22 Lerner, J, "The Importance of Patent Scope: An Empirical Analysis" 25 (25): 319-332, 1994

23 Shane, S, "Technological Opportunities and New Firm Creation" 47 (47): 205-220, 2001

24 Lanjouw, J, "Stylized Facts of Patent Litigation: Value, Scope and Ownership" NBER 1997

25 Griliches, Zvi, "R&D Patents, and Productivity" The University of Chicago Press 1984

26 Jaffe, Adam, "Patents, Citations, and Innovations: A Window on the Knowledge Economy" The MIT Press 2002

27 Lanjouw, J, "Patent Protection in the Shadow of Iinfringement: Simulation Estimation of Patent Value" 65 (65): 671-710, 1998

28 Bessen, James, "Patent Failure: How Judges, Bereaucrats, and Lawyers put Innovators at Risk" Princeton University Press 2008

29 Hu, Albert Guangzhou, "Patent Citations and International Knowledge Flow: The Cases of Korea and Taiwan" 21 (21): 849-880, 2003

30 Bacchiocchi, E, "Knowledge Diffusion from University and Public Research. A Comparison Between US, Japan and Europe Using Patent Citations" 34 : 1169-1181, 2009

31 Mowery, David, "Ivory Tower and Industrial Innovation: University-Industry Technology Transfer before and after the Bayh-Dole Act in the United States" Stanford University Press 2004

32 Branstetter, Lee, "Is Academic Science Driving a Surge in Industrial Innovation? Evidence from Patent Citations" NBER 2005

33 Schmookler, J, "Invention and Economic Growth" Harvard University Press 1966

34 Jaffe, Adam, "Innovation and Its Discontents: How our Broken Patent System is Endangering Innovation and Progress, and What to Do about Tt" Princeton University Press 2004

35 Baldini, Nichola, "Implementing Bayh-Dole-like Laws: Faculty Problems and Their Impact on University Patenting Activity" 38 : 1217-1224, 2009

36 Lanjouw, J, "How to Count Patents and Value Intellectual Property: Uses of Patent Renewal and Application Data" NBER 1996

37 Caballero, Ricardo, "How High are the Giants’ Shoulders: An Empirical Assessment of Knowledge Spillovers and Creative Destruction in a Model of Economic Growth" The MIT Press 8 : 1993

38 Jaffe, Adam, "Flows of Knowledge from Universities and Federal Laboratories: Modeling the Flow of Patent Citations Over Time and Across Institutional and Geographic Boundaries" 12671-12677, 1996

39 Schankerman, M, "Estimation of the Value of Patent Rights in European Countries During the Post-1950 Period" 96 : 1052-1076, 1986

40 Sapsalis, E, "Economics of Innovation and New Technology" 16 (16): 139-157, 2007

41 Greene, William H, "Econometric Analysis" Macmillan 1993

42 Murray, Fiona, "Do Formal Intellectual Property Rights Hinder the Free Flow of Scientific Kknowledge? An Empirical Test of the Anti-commons Hypothesis" 63 : 648-687, 2007

43 Harhoff, D, "Determinants of Opposition Against EPO Patent Grants－the Case of Biotechnology and Pharmaceuticals"

44 Harhoff, D, "Citations, Family Size, Opposition and Value of Patent Rights" 32 (32): 1343-1363, 2003

45 Harhoff, D, "Citation Frequency and the Value of Patented Innovation" 81 (81): 511-515, 1999

46 Sampat, Bhaven, "Changes in University Patent Quality after the Bayh-Dole Act: A Re-examination" 21 : 1371-1390, 2003

47 Guellec, D, "Applications, Grants and the Value of Patent" 69 (69): 109-114, 2000

48 Trajtenberg, M, "A Penny for Your Quotes: Patent Citations and the Value of Innovations" 21 (21): 172-187, 1990

49 한국학술진흥재단, "2006 대학산학협력백서"