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