Identification and Measurement of “Sleeping Beauty” Patent: A Case Study of Shanghai Universities and Research Institutes

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Abstract

The "Sleeping Beauty" patent refers to an invention patent that remains dormant after authorization until its value is activated through operations such as transfer, licensing, pledge, or litigation. This study uses invention patents from Shanghai universities and research institutions (2005–2020) to identify “Sleeping Beauty” patents and develop an awakening prediction model. Based on awakening characteristics and machine learning, the XGBoost model showed optimal performance in recognizing patents with commercialization potential. Shanghai's universities and research institutes averaged 386.25 awakened patents annually (27.33%), with a declining trend. Most were awakened within 4-6 years, primarily through transfers. Patent innovation technology was the core factor influencing awakening, with technical extension and knowledge transfer absorption playing supplementary roles in achieving operational awakening.

Authors

• Tianyi Sun, East China Normal University

• Chunshun Yan, East China Normal University