SQL查询以提高PATSTAT中的数据准确性和完整性外文翻译资料

person_ctry_code

国家

数person_id

FI US(空白)FR CN GB CA ID在KI NL SG中

芬兰、美国、法国、中国、英国、加拿大、印度尼西亚、印度、基里巴斯、荷兰、新加坡

130 20 10 4 2 2 1 1 1 1 1 1

标识符作为主要的标准化引用，因此使用psn_id替换doc_-std_name_id。第二个信息集是由OECD专利统计工作组开发的[27,28]。与前一个类似，在附加标识符han_id下提供了合并和协调的名称，该标识符将几个person_id分组在一起。此方法旨在消除表tls206_person中的不一致性。事实上，Nokia Corporation被正确地分配给芬兰，以标识符han_id=2196902分组的所有person_id。因此，这是一种标准化程序，可产生更准确的一组信息。然而,这

方法仅适用于居住在40个国家的专利申请人[18,p. 177]。这意味着所有专利发明人和许多其他国家都不受此过程的影响:实际上，协调表tls206_person中总person_id的不到10%。原始信息被复制到表中的其余条目，为了避免不一致的信息，将生成一个惟一的han_id作为名称和国家的所有组合的代理键。因此，图1中所示的分配过程应用于这个标识符并没有产生任何改进，因为通过构造，没有不一致之处。PATSTAT中的表tls206_person提供了与每个person_id相关的附加信息，比如psn_sector和nuts。但是，这些领域的分配也不一致:有多个部门(例如公司、大学、个人等)分配给同一实体，也有多个区域代码分配给同一欧洲申请人或发明者。表3显示了诺基亚公司的案例缺乏数据准确性。如上所述，这个特定的例子说明字段psn_sector被正确地分配给标识符psn_id和han_id。相反，所有标识符都显示了与区域代码有关的错误分配。考虑到这些额外的不一致性出现在表tls206_person中，为了增加这些字段中的数据准确性和完整性，可以调整和实现图1中的分配过程。表4总结了PATSTAT中关于与专利权

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World Patent Information 57 (2019) 1–7

Contents lists available at ScienceDirect

World Patent Information

journal homepage: www.elsevier.com/locate/worpatin

SQL query to increase data accuracy and completeness in PATSTAT

Francesco Pasimenia,b,lowast;

a European Commission, Joint Research Centre (JRC), Petten, Netherlands

bUniversity of Sussex, Science Policy Research Unit (SPRU), Brighton, United Kingdom

A R T I C L E I N F O A B S T R A C T

Keywords: PATSTAT

Data accuracy

Data completeness Patent data

Data cleaning

Climate change mitigation technology

PATSTAT is the worldwide patent statistical database created and maintained by the European Patent Office. Many methods and techniques have been developed to increase its accuracy and completeness. This paper contributes to this body of research. It proposes an allocation procedure which reduces by 44% the number of empty entries concerning the residence country of patentees, and, at the same time, it increases by 22% the accuracy of country code allocation. The procedure consists of a replicable SQL query to be run in PATSTAT. An application of this procedure illustrates that patent analyses based on raw data underestimate the role of China and Japan in the area of climate change mitigation technologies.

1. Introduction

Patent data provide important empirical evidences to science and technology studies [1–3]. Together with a detailed description of the technical progress achieved, patent data provide additional information on the process of technical change and on the actors involved. The bibliographic data contained in every patent application indicate the date when it is filed and in which patent office, the name(s) of applicant (s) and inventor(s) and their residence country, the classification code (s) indicating which technology field is tackled and prior patent applications on which the current patent is based, if any.

Given this rich set of information, the scientific community has developed guidelines on how to use patent data [4] and on how to build proxies and indicators regarding technological change [5–7]. Accordingly, patent data are used to study and evaluate knowledge and technology transfer [8,9], technology international diffusion [10], network of collaborations [11,12], firmsrsquo; tangible (technology) and intangible (know-how) assets [13,14], trajectories of technological change [15] and innovation performances [16,17].

Patent data are easily available through PATSTAT, which is the worldwide patent statistical database created and maintained by the European Patent Office (EPO). It contains bibliographical data and legal status information of all patent applications from leading industrialised and developing countries. The database is updated twice a year, early spring and early autumn [18]. According to de Rassenfosse et al. [19], PATSTAT is the most prominent patent data source, and it is widely used. The structured query language (SQL) permits to interrogate the database, which is accessible to scientists and to other interested users

via a very user friendly online interface.

PATSTAT collects patent data directly from the European Patent Office and from other sources, such as national and supranational patent authorities. However the incomplete provision of data from national authorities generates lack of accuracy and completeness, for which the EPO does not assume any legal liability or responsibility [18, p. 16]. Since this issue is well-known in the scientific community, several methods and techniques have been proposed in order to increase quality of research outcomes and to avoid distort information [11,20–23].

This paper contributes to this body of research and presents a simple way to increase data accuracy and completeness in PATSTAT. Available approaches to data cleaning and data harmonisation are proven to be very effective in producing better and more reliable outcomes. However, these are often based on advanced techniques which apply complex algorithms or artificial intelligence to manage big data. Consequently it is difficult to reuse or replicate these approaches. Contrarily, the procedure proposed in this paper consists of a simple query to be run in PATSTAT and, therefore, it is easily replicable.

The paper is structured as follows. Section 2 discusses the role of identifiers in PATSTAT and describes inconsistencies regarding the allocation of country code to applicants and inventors. Subsequently, the country allocation procedure is presented: it is a simple query which permits to reduce by 44% the number of blank entries and to increase by 22% country code allocation. By using the same rationale, it is then shown that the proposed allocation procedure increases the accuracy and completeness of two other attributes assigned to patentees: regional code and sector. In section 3 the proposed allocation procedure is tested

lowast; European Commission, Joint Research Centre (JRC), P.O. Box 2, NL-1755 ZG Petten, the Netherlands. E-mail address: Francesco.PASIMENI@ec.europa.eu.

https://doi.org/10.1016/j.wpi.2019.02.001

Received 27 June 2018; Received in revised form 19 December 2018; Accepted 10 February 2019

0172-2190/ copy; 2019 The Author. Published by Elsevier Ltd. This is an open access article under the CC BY license (http://creativecommons.org/licenses/BY/4.0/).

F. Pasimeni

against raw data in PATSTAT by comparing the outcomes of a patent analysis conducted in the case of climate change mitigation technologies. It is shown that higher data accuracy and completeness provides better and more realistic research outcomes. Section 4 concludes.

2. The allocation procedure

The PATSTAT Data Catalog [18] describes in detail the structure of the database, how it is built and the logic behind tables and attributes (or fields)

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