中国专利生存期:基于中国在美专利数据的实证  

Determinants of Patent Duration:A Survival Analysis of China-Invented US Patents

作　　者：任声策[1] 尤建新[2] 

机构地区：[1]上海海事大学经济管理学院,上海200135 [2]同济大学经济与管理学院,上海200092

出　　处：《管理工程学报》2012年第4期77-83,共7页Journal of Industrial Engineering and Engineering Management

基　　金：国家自然科学青年基金资助项目(70902074);中国博士后科学基金资助项目(20090460656;201003278);教育部人文社会科学研究一般项目资助(09YJC790185);上海海事大学重点学科资助(XR0101)

摘　　要：本文主要讨论我国专利申请人在美国申请专利的专利生存期问题,分析其受到哪些因素的影响。根据278份我国在美申请获得授权且已失效发明专利信息,分析发现,FAM(专利族数量)增加,专利生存期会增长,CITL(专利引用文献数量)增加,专利生存期会增长,个人持有专利生存期更长,合作持有专利生存期更长;而专利被引用数(CITD)、专利发明人数(IVNO)、专利的美国分类数(CAT)、专利国际分类号数(IPCNO)与专利生存期之间没有显著关系。Although the number of Chinese patents around the world has been increasing, China＇s patent quality remains relatively low. Because of the relatively high expense of patent application in the US, people tend to believe that China-invented US patents have a high quality. The quality of the US patent applied by Chinese applicants may be reflected by patent duration. The higher patent quality, the higher value and a longer duration a patent has. This paper mainly studies the patent duration of patents applied in US by Chinese applicants, and analyzes the determinants of patent survival/duration of China-invented US patents. We had searched the US PTO Patent Database for patents filed between March 30, 1987 and September 5, 2008 and their patentees are Chinese institutions or individuals. We identified 7, 569 patents including 6216 patents for inventions and 278 expired patents. Based upon the 278 US patents applied by and granted to Chinese applicants, this paper examined the relationship between patent duration and variables, including the number of forward cites, the number of backward cites （literature and patent citing） , the number of patent inventors, the nature of patentees （ individual or cooperation）, the number of US patent classifications, the number of international patent classifications, and the size of patent families. We mainly use descriptive statistics, ANOVA, Kaplan-Meier survival function analysis, and COX model regression analysis. The COX model regression result suggests that： 1 ） If FAM （ the number of patent family） increases by one, the hazard of patent expiration will significantly （p = 0. 001） drop by about 8% ; 2） If CITL （the number of cited literature in the patent） increases by one, the hazard of patent expiration will significantly （p =. 051） drop by about 3.8% ; 3 0. 127 4 5 If ASCO = 1 （Cooperation patent）, the hazard of patent expiration will drop by about 27% without significant result （p = If ASP = 1 （Individual application）, the ha

关 键 词：专利生存期 中国 影响因素 生存分析 

分 类 号：G306[文化科学] G353