关键词: 专利申请, 现有技术, 披露倾向, 审查质量, 专利质量

Abstract:    Information constraints are the main root cause of incorrect authorization of patent offices, and patent applicants are required to disclose prior art information, which may help alleviate the information constraint dilemma faced by patent offices. In order to clarify the behavioral mechanism and influencing factors of patent applicants′ disclosure of prior art information, this paper proposed relevant hypotheses from the perspective of prospect theory. With nearly half a million pieces patent applications as samples, the linear Tobit regression model was used to test the relevant hypotheses, and the importance analysis and heterogeneity analysis of the relevant influencing factors were conducted. The study found that: (1) the prospects of patent applications and its judgment process affect the propensity of applicants to disclose prior art information, in which the value prospects are the most important influencing factors, and applicants with high value patents showed higher disclosure propensity; (2) the types of applicants with different prospect judgment ability and the technology fields of applications with different difficulty levels in prospect judgment are secondary influencing factors, and the non-enterprise patent applicants and patent applicants from the discrete technology fields showed higher disclosure propensity; (3) as for increasing the mandatory level of patent applicants′ obligation to disclose prior art information, although it increased disclosure propensity, it did not motivate more truthful disclosures. This study has revealed the behavior rules of patent applicants disclosing prior art information, and will provide some theoretical and empirical evidence to support policy makers to improve relevant systems. 

Key words: patent application, prior art, disclosure propensity, examination quality, patent quality