[目的/意义]研究专利申请及审查制度下的专利引文作用机理，厘清专利引文评价效能，是保证学术评估客观合理的重要前提。[方法/过程]以美、中、日三国诉讼专利和许可专利为实证样本，分析专利引文频次与专利价值的相关性，并结合专利申请和专利审查制度就专利引文对施引专利、被引专利的评价效能进行深入剖析。[结果/结论]专利引文频次对专利价值而言是一个正向、负向、中性混杂的评价指标，专利引文对专利价值的评价需建立在对引用动机、引文扮演角色和实际发挥作用等诸多要素的深入细致分析上，否则，专利引文对专利价值不具有客观的评价效能。
[Purpose/significance]Studying the patent citation mechanism under the patent application and patent censorship and clarifying the effectiveness of patent citation evaluation are both important prerequisites to ensure an objective and reasonable academic evaluation.[Method/process] This paper took samples of litigation patents and licensed patents from the United States, China and Japan. It analyzed the relevance between patent citation frequency and patent value. It also made an in-depth analysis on the effectiveness of patent citations on the citing patent and cited patent, combining with the patent application and patent censorship.[Result/conclusion] Patent citation is a mixed index of positiveness, negativeness and neutrality for patent value. The evaluation of patent value should be based on a detailed analysis of motivation for citation and playing the roles in actual fields. Otherwise, patent citation does not have evaluation effectiveness for patent value.
[1] 国家知识产权局规划发展司. 专利文献引证统计分析报告[EB/OL].[2017-03-22].http://www.sipo.gov.cn/tjxx/yjcg/201504/t201504221105581.html.
[2] JEAN O L, MARK S. Patent quality and research productivity:measuring innovation with multiple indicators[J].The economic journal, 2004, 114(495):441-465.
[3] YONG-GIL L. What affects a patent's value? An analysis of variables that affect technological, direct economic, and indirect eco-nomic value:An exploratory conceptual approach[J]. Scientometrics, 2009, 79(3):623-633.
[4] BRONWYN H. H, DIETMAR H. Recent research on the economics of patents[J].Annual review of economics, 2012,4(5):541-565.
[5] 张虎胆,杨冠灿,吴恒. 审查员引文是否应作为专利引文"噪音"被剔除?[J].图书情报知识,2013,31(12):77-83.
[6] 李文娟,袁润,钱过. 基于DPCI专利引文信息的竞争情报功能研究-以碳纳米管为例[J].情报科学,2015,33(12):83-89,98.
[7] 袁润,钱过. 战略性新兴产业核心专利的识别[J].情报杂志,2013,32,(3):44-50.
[8] MARTIN M. What is special about patent citations? differences between scientific and patent citations[J]. Scientomerics,2000, 49(1):93-123.
[9] 马天旗, 刘欢. 利用专利引证信息评价专利质量的改进研究[J].中国发明与专利,2013,10(1):58-61.
[10] 李睿. 专利被引频次和施引频次与专利价值的相关性解析——以在美注册的中国专利为样本[J].情报学报,2014,33(4):396-404.
[11] 李睿, 张谙宁. 论专利法视域下专利引文的情报学意义[J].情报工程,2016,2(5):8-17.
[12] GARFIELD, EUGENE. Patent citation indexing and the notions of novelty, similarity, and relevance[J]. Journal of chemical docu-mentation, 1966, 6(2):63-65.
[13] HSIN-NING S, CAREY MING-LI C, PEI-CHUN L. Patent litigation precaution method:analyzing characteristics of US litgated and non-litigated patents from 1976 to 2010[J]. Scientometrics, 2012, 92(1):181-195.
[14] GERALD S, BART V. The size distribution of innovations revisited:an application of extreme value statistics to citation and value measures of patent significance[J]. Journal of econometrics, 2007, 139(2):318-339.
