专利申请策略、专利保护范围与专利价值  

Patent Application Strategy,Patent Scope and Patent Value

作　　者：李黎明 张亚峰 LI Li-Ming;ZHANG Ya-feng(School of Public Policy and Administration,Northwestern Polytechnical University;School of Public Policy and Management,University of Chinese Academy of Sciences)

机构地区：[1]西北工业大学公共政策与管理学院 [2]中国科学院大学公共政策与管理学院

出　　处：《中国工业经济》2023年第8期80-98,共19页China Industrial Economics

基　　金：国家自然科学基金面上项目“价值导向下专利保护范围的权衡优化研究”(批准号72274156);国家自然科学基金青年基金项目“涉外专利诉讼的企业策略选择机理和中国专利制度回应”(批准号72104228)。

摘　　要：专利价值在一定程度上是创新主体申请专利时对保护范围进行策略性选择的结果,本文基于申请策略差异性视角研究最优专利保护范围,探讨了专利权利要求数和保护范围对专利价值的影响。本文以首项权利要求(首权)字数测度专利保护范围,通过界定两种专利申请策略——追求宽保护范围的激进策略和追求高授权率的保守策略,从理论层面阐明了权利要求数对专利保护范围的影响路径,并利用2015—2020年中国大学专利转让价格数据进行实证检验。研究表明,无论采取何种申请策略,申请人的最优选择都是在独立权利要求的限制下主张更多从属权利要求,以实现最优的专利保护范围和专利价值。在激进策略下,从属权利要求数负向调节审查过程中专利保护范围的被压缩量,引致专利保护范围从申请到授权的变化量与专利价值之间呈现倒U型关系;在保守策略下,从属权利要求的增加可能扩大授权后专利的保护范围,进而提升专利价值。企业专利奖和经历无效挑战后维持有效的企业专利数据同样表明,适当的首权字数是专利价值的重要指标,增加从属权利要求可以缓和专利申请保护范围和专利审查强度之间的矛盾。本文丰富了有关专利保护范围和专利申请策略的文献,为培育高价值专利、优化专利组合提供了理论支撑,对优化专利审查标准、提升专利审查质量具有政策启示。The cultivation of high-value patents has become an important topic among policymakers,industries,and academia.Patent value is determined by the patent scope,which determines the potential market profit of a patent.From the perspective of the design of patent system,particularly the patent examination system,a patent filing can only be granted after the examiner's examination.During the examination process,there might be several interactions between the applicant and the examiner,and the applicant can take strategic measures to influence the examiner's decision and the examination result.Patent value is the result of innovators'strategic choice when filing the application.Considering the dynamic process from patent application to granting,we examine the effect of heterogeneous application strategies on patent scope and patent value.Specifically,we examine how patent claim count and its change during the examination are correlated to patent scope,and how patent value is influenced by patent claim and scope.Using the number of words in the first independent claim to proxy patent scope,we define two types of patent application strategies:the aggressive strategy(AS)of pursuing broader scope and the conservative strategy(CS)of pursuing higher granting probability.The AS is defined when the patent scope becomes narrower and the number of patent claim decreases after examination,and the CS is defined when the patent scope becomes broader and the number of patent claim decreases after examination.Using a novel and unique dataset consisting of 2323 assigned university patents in China,we find that no matter which strategy is applied,the applicants should write more claims under the limitation of independent claim to achieve an optimal scope and economic value when filing patents.Under the AS,the number of claims at filing has a negatively moderating effect on the degree of patent scope narrowed by examiners,so that the change of patent scope during the examination has an inverted U-shaped relation with the patent value.Un

关 键 词：专利保护范围 权利要求数 专利价值 专利申请策略 

分 类 号：G260[历史地理—考古学及博物馆学]