专利资助政策对专利质量演化的影响机制研究：以生物技术为例

Now China has ranked top1 in patent applications in the world, however the patent quality has been widely questioned. Although many critics argue that current patent subsidy policy may significantly contribute the formulation of 'patent bubble' with mass low-quality filings, convincing empirical evidence for the policy effect is still lacking. Taking advantage of our previous study on patent quality evaluation, this proposed research aims to investigate the impact of patent subsidy program on the evolution of patent quality in the case of biotechnology. Firstly, we plan to establish patent quality index system and quantitative evaluation models, and then with the support of patent data mining we want to identify the evolution and trends of patent quality. Secondly, we will systematically review the background, regional differences and evolving trends in the implementation of patent subsidy policy, and summarize the main models for subsidy program. Thirdly, using the policy evaluation models such as difference in difference (DID), and performing survival analysis of patent lifespan through the application, renewal and transfer period, we quantitatively examine the effect of patent subsidy program on the evolution of patent quality, particularly pinpoint to what extent and what level the different policy models impact the evolution. Finally, using the sample of typical models with statistically signifcant effect, we try to investigate how patent subsidy affect individual patenting decision among different filing entities (e.g. firms, universities, public research organizations, and individuals), and further impact the improvement of patent quality. The research findings must be of great importance to both policy reform and patent quality improvement.

针对我国专利申请数量世界第一背后的"专利泡沫危机"，国内外很多批评认为现行专利资助政策难辞其咎，但资助政策究竟如何影响专利质量的演化，在实证研究方面还很薄弱。本课题拟在前期专利质量研究的基础上，以生物技术为例，首先，研究构建专利质量评价指标体系和生存分析模型，基于大样本的专利数据挖掘，分析我国专利质量的现状、演化过程及区域特征；其次，系统梳理专利资助政策在全国范围内的实施背景、区域差异和调整动向，总结资助政策的主要运行模式；然后，运用双重差分等政策评估模型，从专利申请、维持和转化等不同角度，定量分析不同模式的资助政策对专利质量演化的作用路径和影响程度。最后，选取影响显著的典型资助模式，通过问卷调查和案例研究，运用理性选择分析框架，剖析资助政策对企业、科研院所等不同类型主体专利行为选择的影响机理，进而发现对专利质量提升的作用机制。研究结果为政府优化专利资助方向、提升专利质量等提供决策依据。

专利质量问题是当前政府管理部门和学术界共同关注的焦点，普遍认为现行专利资助政策难辞其咎，但资助政策究竟如何影响专利质量的演化，还缺乏实证研究证据。 本课题重点以农业和生物技术专利为例，研究构建了以发明专利申请率、发明专利授权率、授权发明专利失效率、专利维持时间等质量指标为主的专利质量评价指标体系，以及以专利寿命生存分析为主的计量经济模型，通过基于大样本的专利数据挖掘，分析了我国专利质量的现状及其演化趋势；同时，系统梳理了专利资助政策在全国范围内的实施背景、区域差异和调整动向，总结了我国专利资助政策的主要模式；并运用双重差分等政策评估模型，从专利申请、维持和转化等不同角度，定量分析不同模式的资助政策对专利质量演化的作用路径和影响程度。研究发现，中国与国外发明专利授权率在统计上没有显著差异，但是国外的平均维持时间显著更长。在0.01 置信水平下，中国公共研究部门（大学、科研机构）与企业、个人相比，发明专利授权的概率显著更高，但维持专利的概率却显著低于企业。基于企业发明专利的维持数据表明，近年来专利寿命的显著延长与中央和地方政府的专利激励政策有很强的关联，而与专利质量本身的改善关系较弱。中国今后应引导和规范科研院所的专利申请动机，提高专利申请质量，鼓励和支持专利技术的转化实施。