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国家和区域视角下新兴产业专利质量测度及影响因素研究
中文摘要

专利是我国创新驱动发展和知识产权强国建设的重要支撑。随着我国专利数量的快速增长,专利质量问题正逐渐引起关注,提高专利质量已成为中国创新发展迫切需要解决的现实问题。为此我国开始实施专利质量提升工程,其中新兴产业是进行专利质量提升的关键领域和重要抓手。但采取何种举措提升新兴产业专利质量,亟需开展相关实证研究。更为重要的是,中国各区域之间经济、科技水平差异较大,研究中国专利质量需要进一步考虑区域间的异质性问题。 在上述背景之下,本文选取集成电路制造、石墨烯和高速铁路作为典型新兴产业,综合采用专利计量学、多指标综合评价、计量经济学等多种方法,基于大样本数据,分别从国家和区域层面对我国典型新兴产业专利质量状况及影响因素进行研究,探究什么是专利质量,如何评价专利质量,中国与世界主要国家/地区相比专利质量上的差距具体如何,在国内区域层面的质量差异具体如何,专利质量的主要影响因素有哪些,各影响因素的具体作用路径和实际作用效果如何,从而更有针对性地提出提升我国新兴产业专利质量的对策建议。 (1)专利质量的概念界定和评价指标体系构建研究。在现有研究基础上,本文通过对专利质量与专利价值概念的辨析,从技术质量、法律质量和经济质量三个分维度对专利质量概念进行界定,并基于三个质量分维度及专利质量形成的四阶段过程.专利创造、专利申请、专利审查、专利授权后,分别构建了适用于单项及整体专利质量测度的“三维度-全过程”专利质量评价体系。 (2)基于典型新兴产业的我国专利质量区域测度研究。本文首先对三个典型新兴产业分别建立技术分类体系和中文专利检索策略,并下载数据构建新兴产业中国发明专利数据库;随后采用文本挖掘技术对各区域各产业进行专利质量测度,并基于中国专利奖评奖结果进行检验;最后从时间分布、创新主体类型、技术子领域、质量分维度及微观专利质量分布等多角度系统揭示了典型新兴产业区域专利质量的差异性特征。基于研究结果,本文得出各区域在典型新兴产业专利质量存在明显差异。 (3)基于典型新兴产业的我国专利质量国际测度研究。本文首先根据所构建英文专利检索策略下载专利数据建立新兴产业国际发明专利数据库;随后采用文本挖掘技术对全球主要国家/地区开展专利质量测度,并基于各国家/地区的产业现实发展情况进行检验;最后从发展趋势、创新主体类型、技术子领域、申请专利局、质量分维度等多个角度对比了典型新兴产业中国专利质量与世界典型国家/地区的差距。基于研究结果,本文得出我国专利质量与典型国家/地区相比总体存在差距。 (4)我国专利质量影响因素及作用路径研究。本文首先采用内容分析法,通过实地访谈和文献调研识别出五类共58个专利质量影响因素,基于关注度排序发现专利资助政策、专利审查标准与质量等因素较为重要;随后在对现有模型进行借鉴的基础上提出专利质量影响因素分析模型;并根据所构建模型,采用系统动力学方法揭示了重要影响因素对专利质量的具体作用路径。研究还得出创新主体类影响因素更为重要、专利促进政策应注重提升创新主体的研发投入和专利管理水平等结论。 (5)基于典型新兴产业的我国专利质量影响因素实证研究。本文选择上一部分所识别出的各类别中较重要影响因素,综合采用变系数和不变系数面板数据回归模型实证揭示了影响因素对区域层面典型新兴产业专利质量及不同分维度的具体作用,并从仅针对企业专利和分析间接作用两方面对回归结果进行检验。研究得出专利权人研发投入的提高、区域专利资助政策资助阶段的后移、我国第三次专利法修订、专利审查标准的提高、专利代理质量的提升及所在区域经济水平的提升等因素对新兴产业专利质量或其中具体质量分维度的提升有明显促进作用。 在上述研究的基础上,本文立足于各区域专利发展战略定位,从技术质量、法律质量和经济质量三个维度提出推动新兴产业专利质量提升的对策建议。本文的研究发现对于集中精力和资源着力解决现阶段国家知识产权战略实施所面临的关键问题,推动知识产权强国建设和专利质量提升工程实施具有一定的理论与现实意义。 关键词:专利质量;新兴产业;区域差异;国家比较;影响因素;作用路径

英文摘要

Patent is an important support for China's innovation-driven development and construction about intellectual property powerful nation. With the rapid growth of the number of patents in China, the issue of patent quality is attracting more and more attention. And the improvement of patent quality has become an urgent practical problem for China's development of innovation. Therefore, China implements the patent quality improvement project, and the emerging industry has become the key area and important grasp for the improvement of patent quality in China. However, it is urgent to carry out empirical research to understand how to improve the patent quality in emerging industries. More importantly, the distinction in economic and technological level between different regions inside China is quite obvious. So research on the quality of Chinese patent requires further consideration of the heterogeneity between regions. In this context, this thesis selects integrated circuit manufacturing, graphene and high-speed railway as typical emerging industries. Then the patent quality status and its influencing factors of typical emerging industries in China are respectively studied from the national and regional level through the comprehensive application of patent bibliometrics, multi-index evaluation, econometrics and other methods. Based on large sample data, this thesis want to explore what is the patent quality, how to evaluate patent quality, what is the patent quality disparity between China and other major economies, what is the difference about patent quality between each region in China, what are the main influencing factors of patent quality, and what are the influencing paths and actual effects of influencing factors by above research. On this basis, this thesis put forward some effective suggestions on improving the patent quality of emerging industry in China. (1)Research on the concept definition about patent quality and the construction of evaluation index system. On the basis of existing research and discriminant analysis of related concepts, this thesis defines the concept of patent quality from three dimensions which includes technical quality, legal quality and economic quality. Then the "three dimensions-whole process" patent quality evaluation system which respectively suitable for single patent and group of patents are constructed based on the three quality dimensions and four forming stages: patent creation, patent application, patent examination and patent authorization. (2)Research on the domestic regional measurement of patent quality in typical emerging industries. Firstly, this thesis constructs technology classification systems and patent retrieval strategies respectively for three typical emerging industries. Then the Chinese patent database for emerging industries is built by searching and downloading patent data. Secondly, patent qualities of various regions in typical emerging industries are evaluated by text mining technology. Then the evaluation results are tested based on the results of the China Patent Awards. Finally, the difference characteristics between each domestic region for patent quality in typical emerging industries are revealed from the angel of time distribution, patentee type, technical subfields, quality dimension, single patent quality, etc. The research shows that the patent quality difference in various regions of China is obvious. (3)Research on the international measurement of Chinese patent quality in typical emerging industries. Firstly, this thesis downloads patent data and builds an international patent database for emerging industries by the patent retrieval strategy in English. Secondly, patent qualities of the world's major economies in typical emerging industries are evaluated by text mining technology. Then the evaluation results are tested according to the actual development status of various economies. Finally, the in-depth comparative analyses between China and other major economies for patent quality in typical emerging industries are respectively conducted from the angel of development trend, patentee type, technical subfields, patent office, quality dimension, etc. The research concludes that there is a gap between China and other major economies for patent quality in general. (4)Research on the influencing factors and influencing paths of patent quality in China. Firstly, based on content analysis method, this thesis identifies 58 influencing factors in five categories by field interviews and literature research. Among them, the patent subsidy policy, the standard and quality of patent examination is more important. Secondly, an influencing factor analysis model for patent quality is proposed on the basis of existing research. Finally, the influencing paths of important influencing factors are explored according the above model. The research also concludes that influencing factors which belong to innovation subject category is important, and that patent promotion policies should focus on enhancing the research investment and improving the patent management level of innovation subject. (5)Empirical research on the influencing factors of patent quality in Chinese typical emerging industries. Firstly, this thesis builds a function by selecting important factors in every category. Secondly, the econometric analysis is carried out by using the variable coefficient and constant coefficient panel data regression model. Finally, the regression results are tested from two aspects which include enterprise patents analysis and indirect effects analysis. This research concludes that the increase in research and development investment of patent owners, the delay of subsidize time of regional patent subsidy policy, the revision of the third patent law of China, the improvement of patent examination standards, the improvement of patent agent quality, the improvement of the economic level of the region and other factors has obviously promoted the improvement of patent quality and its three dimensions in Chinese typical emerging industries. Based on the above research, this thesis puts forward some suggestions for improving the patent quality in emerging industries from three dimensions which include technical quality, legal quality and economic quality. In addition, the suggestions are offered on the basis of each region's patent development strategy. The research results in this thesis have certain theoretical and practical significance for focusing on key issue we face on the implementation of the national intellectual property strategy, and for promoting the construction of intellectual property powerful nation and implementation of patent quality improvement project. Key Words: Patent Quality; Emerging Industries; Regional Distinction; International Comparison; Influencing Factors; Influencing Paths

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