1 Introduction
2 Research approaches and literature review
2.1 The demands for data-based TLEs
KISTEP [21] | KEIT [22] | DTaQ [23] | |
---|---|---|---|
Title | Report on a science-and-technology-level evaluation in 2010 [21] | Survey report on industrial technology in 2011 [22] | Survey report on defense technology in 2012 [23] |
Purpose | Analysis of the current status of effective national R&D establishments | Preliminary research on industrial technology planning | Identification of future potential defense technology |
Evaluation subject | 95 key technologies for the nation | 117 core technologies for the nation | 24 weapons systems for the nation |
Subject nations | US, Japan, EU, China, Korea (5 nations) | US, Japan, EU, China, Korea (5 nations) | US, France, Russia, UK, German, Japan, Israel, China, Italy, Canada, Sweden, India, Spain, South Africa, Turkey, Korea (16 nations) |
Method | Poll of organizations, groups, and corporations | Expert Delphi Survey | Expert Delphi Survey |
2.2 Patent statistics for TLE
Studies | Patent statistics | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|
NP | PGPA | PCPA | NF | CI | CII | TS | TCT | NC | TI | RPA | |
Huang et al. [47] | * | * | * | * | * | ||||||
Park et al. [9] | * | * | |||||||||
Guellec and Bruno [54] | * | * | |||||||||
Ernst [24] | * | * | * | * | * | ||||||
CHI Research [48] | * | * | * | * | * | * | * | ||||
Breitzman and Thomas [50] | * | * | |||||||||
Archibugi and Pianta [28] | * | * | |||||||||
Schmoch [55] | * | ||||||||||
Griliches [25] | * | * | * | * | * | ||||||
Trajtenberg [49] | * | ||||||||||
Chia [53] | * | * | * | * | * | * | |||||
Narin [52] | * | * | * |
3 Research method
3.1 Research process
3.2 Patent statistics for TLE
Term | Statistics | Definition | Technical meaning |
---|---|---|---|
PAI | Patent activity index | Patent applications (PA) of nation i in technological field (TF) F \(\Rightarrow \) PA\(_{iF}\)/PA for all competitors in F (technology share based on PA) | Extent of R&D expenditure by i in F (interest of i in F) or competitive technological position of i in F (quantitative) |
PII | Patent intensity index | PA\(_{iF}\)/i’s total PA | Importance of F to i (R&D emphasis or concentration, quantitative) |
PMI | Patent market-power index | Size of patent family (PF) and share of patents for triad (US, JP, EPO) PA\(_{ik}\)
| Economic quality of i’s PA (international scope of protection) |
PCI | Patent citation index | Average citation frequency of PA\(_{ik}\): PC\(_{iF}\)
| Economic quality of i’s PA (competitive technological strength of i in F) |
3.3 Determination of weights for patent statistics
4 Results and empirical analysis
4.1 Patent statistics for TLE in mobile communications
Contents | |
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Target technologies | 3G, 3G transitional, and 4G mobile communications |
Nations | US, EU, Japan, China, and Korea |
Data | Patent application numbers: 25,623 |
DB of public, notified, or registered patents: USPTO, EPO, JPO, SIPO, and KIPO | |
Inventor’s nationality: US, EU, JP, CN, or KR | |
Period: Jan. 1, 1999–Dec. 31, 2011 | |
Analysis time point | Nov. 1, 2012–Nov. 5, 2012 |
Evaluation statistics | Patent numbers, Patent citations: PAI, PII, PMI, PCI |
Generations | Families | Mobile communications technologies |
---|---|---|
3G (IMT-2000) | 3GPP | UMTS (UTRAN), WCDMA-FDD, WCDMA-TDD, UTRA-TDD (TD-SCDMA) |
3GPP2 | CDMA2000 1xEV-DO Release (TIA/IS-856) | |
3G transitional (3.5G, 3.75G, 3.9G) | 3GPP | HSDPA, HSUPA, HSPA+, LTE (E-UTRA) |
3GPP2 | CDMA2000 1xEV-DO Revision A (TIA/EIA/IS-856-A), CDMA2000 1xEV-DO Revision B (TIA/EIA/IS-856-B), DO Advanced | |
IEEE | Mobile WiMax (IEEE 802.16e), WiBro, Flash-OFDM, IEEE 802.20 | |
4G (IMT-Advanced) | 3GPP | LTE advanced (E-UTRA), TD-LTE advanced |
IEEE | WiMax advanced (IEEE 802.16m), WiMax2, WiBro evolution |
4.2 Weights for TLE statistics using patent statistics
Patent statistics | Weights |
---|---|
PAI | 0.253 |
PII | 0.201 |
PMI | 0.304 |
PCI | 0.242 |
Total | 1.000 |
4.3 Empirical results for TLE in mobile communications
Technologies | Statistical items | US | EU | Japan | China | Korea | Total |
---|---|---|---|---|---|---|---|
Mobile communications | # of patent applications | 8,547 | 4,160 | 2,977 | 4,880 | 5,059 | 25,623 |
# of patent families | 38,806 | 24,214 | 19,741 | 13,951 | 21,828 | 118,540 | |
# of triadic patents | 2,384 | 1,641 | 2,143 | 743 | 1,558 | 8,469 | |
# of patent citations (USPTO) | 4,533 | 5,053 | 383 | 89 | 923 | 10,981 | |
# of patent applications (USPTO) | 1,289 | 1,065 | 193 | 70 | 363 | 2,980 | |
3G | # of patent applications | 4,313 | 2,573 | 1,758 | 2,472 | 2,576 | 13,692 |
# of patent families | 22,027 | 15,671 | 12,929 | 7,485 | 12,276 | 70,388 | |
# of triadic patents | 1,432 | 1,014 | 1,381 | 406 | 914 | 5,147 | |
# of patent citations (USPTO) | 3,731 | 4,881 | 271 | 72 | 624 | 9,579 | |
# of patent applications (USPTO) | 781 | 886 | 104 | 42 | 179 | 1,992 | |
3G transitional | # of patent applications | 3,821 | 1,444 | 1,122 | 2,167 | 2,283 | 10,837 |
# of patent families | 15,051 | 7,751 | 6,208 | 5,870 | 8,574 | 43,454 | |
# of triadic patents | 860 | 577 | 697 | 315 | 572 | 3,021 | |
# of patent citations (USPTO) | 630 | 172 | 112 | 17 | 298 | 1,229 | |
# of patent applications (USPTO) | 465 | 176 | 87 | 27 | 176 | 931 | |
4G | # of patent applications | 413 | 143 | 97 | 241 | 200 | 1,094 |
# of patent families | 1,728 | 792 | 604 | 596 | 978 | 4,698 | |
# of triadic patents | 92 | 50 | 65 | 22 | 72 | 301 | |
# of patent citations (USPTO) | 172 | – | – | – | 1 | 173 | |
# of patent applications (USPTO) | 43 | 3 | 2 | 1 | 8 | 57 |
Technologies | Statistics | US | EU | Japan | China | Korea | Total |
---|---|---|---|---|---|---|---|
Mobile communications | PAI | 0.334 | 0.162 | 0.116 | 0.190 | 0.197 | 1.000 |
PII | 0.212 | 0.188 | 0.187 | 0.213 | 0.199 | 1.000 | |
PMI | 0.188 | 0.241 | 0.274 | 0.118 | 0.179 | 1.000 | |
PCI | 0.250 | 0.337 | 0.141 | 0.090 | 0.181 | 1.000 | |
Patent AIMC | 0.245 | 0.234 | 0.185 | 0.149 | 0.188 | 1.000 | |
Patent AIMC (transform to 100 %) | 100.0 | 95.6 | 75.4 | 60.9 | 76.9 | % | |
3G | PAI | 0.315 | 0.188 | 0.128 | 0.181 | 0.188 | 1.000 |
PII | 0.185 | 0.227 | 0.216 | 0.186 | 0.187 | 1.000 | |
PMI | 0.185 | 0.252 | 0.260 | 0.127 | 0.176 | 1.000 | |
PCI | 0.264 | 0.304 | 0.144 | 0.095 | 0.193 | 1.000 | |
Patent AIMC | 0.237 | 0.243 | 0.190 | 0.145 | 0.185 | 1.000 | |
Patent AIMC (transform to 100 %) | 97.4 | 100.0 | 78.0 | 59.4 | 76.1 | % | |
3G transitional | PAI | 0.353 | 0.133 | 0.104 | 0.200 | 0.211 | 1.000 |
PII | 0.216 | 0.168 | 0.182 | 0.215 | 0.218 | 1.000 | |
PMI | 0.185 | 0.252 | 0.260 | 0.127 | 0.176 | 1.000 | |
PCI | 0.228 | 0.164 | 0.217 | 0.106 | 0.285 | 1.000 | |
Patent AIMC | 0.244 | 0.184 | 0.194 | 0.158 | 0.220 | 1.000 | |
Patent AIMC (transform to 100 %) | 100.0 | 75.3 | 79.6 | 64.8 | 90.0 | % | |
4G | PAI | 0.378 | 0.131 | 0.089 | 0.220 | 0.183 | 1.000 |
PII | 0.237 | 0.168 | 0.160 | 0.242 | 0.194 | 1.000 | |
PMI | 0.179 | 0.238 | 0.267 | 0.106 | 0.210 | 1.000 | |
PCI | 0.970 | – | – | – | 0.030 | 1.000 | |
Patent AIMC | 0.432 | 0.139 | 0.136 | 0.137 | 0.156 | 1.000 | |
Patent AIMC (transform to 100 %) | 100.0 | 32.2 | 31.4 | 31.6 | 36.1 | % |
4.4 Comparison and validation
Technology | Nation | Patent AIMC | Expert Delphi Survey |
---|---|---|---|
Mobile communications | US | 100.0 | 100.0 |
EU | 95.6 | 96.9 | |
Japan | 75.4 | 83.0 | |
China | 60.9 | 70.3 | |
Korea | 76.9 | 85.6 | |
3G | US | 97.4 | 98.4 |
EU | 100.0 | 100.0 | |
Japan | 78.0 | 87.1 | |
China | 59.4 | 69.7 | |
Korea | 76.1 | 83.8 | |
3G transitional | US | 100.0 | 100.0 |
EU | 75.3 | 96.2 | |
Japan | 79.6 | 77.1 | |
China | 64.8 | 71.8 | |
Korea | 90.0 | 85.4 | |
4G | US | 100.0 | 100.0 |
EU | 32.2 | 92.7 | |
Japan | 31.4 | 76.5 | |
China | 31.6 | 77.1 | |
Korea | 36.1 | 87.6 |
Spearman’s rho | Patent AIMC | Expert Delphi Survey | |
---|---|---|---|
Patent AIMC | Correlation coefficient | 1.000 | 0.727\(^\mathrm{a}\)
|
Sig. (2-tailed) | 0.000 | ||
N | 20 | 20 | |
Expert Delphi Survey | Correlation coefficient | 0.727\(^\mathrm{a}\)
| 1.000 |
Sig. (2-tailed) | 0.000 | ||
N | 20 | 20 |