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双轮快速审查制度改革对绿色专利的影响研究
Research on the impact of the reform of dual-stage fast-tracking system on green patents
双轮绿色专利快速审查制度改革是具有中国特色的绿色专利制度探索,是推进知识产权强国建设的“绿色”助力。基于2009—2019年我国282个城市的174 491条绿色发明专利数据,本文采用“范围拓展—口径调整”的改进专利续期模型测算专利价值,并运用强度双重差分法考察双轮制度改革能否同时促进绿色专利的升值与增量。研究发现:双轮制度改革能显著提升绿色专利价值,而对绿色专利数量仅能产生微弱的正向影响。就升值效应来看,次轮改革因其申请对象泛化、前置程序复杂化,政策效力不及首轮。就增量效应来看,首轮改革因受限于审查资源和数量条款,未实现绿色专利数量层面的突破;次轮改革则得益于申请范围的宽松化,能产生小幅的增量效应。进一步分析发现,企业是双轮制度改革中绿色专利升值效应的作用主体而非增量效应的作用主体。改革过程中滋生的“地方保护主义”使得高校的绿色专利价值下滑。异质性研究发现,在环境规制强度和知识产权保护水平较高的城市中,双轮制度改革能够发挥更佳的绿色专利升值和增量效应。本文对深化绿色专利快速审查制度改革、促进高价值绿色专利培育具有重要启示意义。
The reform of dual-stage fast-tracking green patent system is an exploration of green patent system construction with unique Chinese characteristics, serving as a green booster for the construction of intellectual property power. Based on the data of 17,4491 granted green invention patents in 282 Chinese cities from 2009 to 2019, this paper used the "scope extension - caliber adjustment" improved patent renewal model to calculate the patent value. Then, an intensity differences-in-differences model was used to investigate whether the reform of the dual-stage fast-tracking system can produce the appreciation and incremental effects on green patents. The results showed that the two rounds of system reform can obviously improve the value of green patents, but only have a weak positive impact on the quantity of green patents. In terms of appreciation effect, the second-stage reform is less effective than the first-stage because of the generalization of the application object and the complexity of the pre-process. In terms of incremental effect, the first-stage reform failed to achieve a breakthrough in the quantity of green patents due to limited review resources and quantity provisions; while the second-stage reform benefits from the easing of the application scope, which can produce a small incremental effect of green patents. Further research showed that enterprises are the main actors of the appreciation effect but not of the incremental effect in the dual-stage reform. The "local protectionism" in the reform makes the value of the green patent produced by universities show a downward trend. The heterogeneity analysis showed that institutional reform can better improve the value and quantity of green patents in cities with stronger environmental regulation intensity and higher intellectual property protection level. This paper has provided important enlightenment for deepening the fast-tracking green patent system reform and promoting the cultivation of high-value green patents.
绿色专利快速审查制度 / 升值效应 / 增量效应 / 改进专利续期模型
fast-tracking green patent system / appreciation effect / incremental effect / improved patent renewal model
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作为技术方案能否获得专利授权的核心程序，专利审查被认为是影响专利质量特别是维持时间的重要因素。但专利审查与专利维持时间各自所依据的评价标准存在显著差异，两者之间是否存在相关性是一个值得深入研究的问题。基于对六国两万余项发明专利的审查时间与维持时间相关性进行分析之后发现：不论基于授权国家的区别，还是技术领域的差异，专利审查与专利维持时间之间均不存在显著正向相关的关系。相反，过长的专利审查时间甚至对专利维持时间存在负面影响。
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为了缓解越来越严峻的审查压力，各主要专利局近年来频繁对专利系统从审查行为的角度进行改革。本文对专利审查行为影响技术创新的机理从审查质量、审查周期和费用三个维度进行了系统分析，研究认为专利审查的犯错率过高、专利审查的周期过长、专利审查的费用标准过低，对技术创新可能产生阻碍效应。同时，专利审查系统内部存在审查质量与审查周期的相互影响关系，而在专利审查系统外部也存在专利审查行为与技术创新的循环影响关系。为此，本文提出我国专利局在缓解审查积压时，为了在保持审查系统内部平衡的基础上改善专利审查行为与技术创新间循环回路的运行效应，应尽快提高我国专利审查费用的标准和建立快速审查请求制度。
In order to alleviate the more and more severe examination pressure in recent years, all major patent offices have carry out reforms on the patent system from the patent examination quality, period and cost frequently. This paper analyzes on the impact mechanism of the patent examination on technological innovation, and considers the high error rate, the long period and the low cost of the patent examination would hinder the technological innovation. Meanwhile, there are the interaction between the examination period and the examination quality in the patent examination system and the effect on technological innovation cycle. To this end, in order to avoid the hinder effect of the patent examination on technological innovation on the basis of the maintain the internal balance, this paper presents China patent office should improve the standards of the patent examination cost and establish a rapid examination of request system in alleviating the backlog.
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专利市场化水平通过对专利权人预期收益率的影响与专利维持时间产生联系。对高校和企业发明专利维持时间及其影响因素进行比较，可为提升高校专利市场化水平提供借鉴。从专利市场化视角出发，以华为和华南理工大学（以下简称“华工”）为例，运用回归分析方法对发明专利维持时间影响因素进行研究。结果发现，华为发明专利维持时间较长，且在审查时间、发明人数和权利要求数方面存在较大差异；各自变量对二者发明专利维持时间的解释力度亦有区别。为提升高校专利市场化水平，提出应强化知识产权创造市场导向、优化发明专利性质布局、强化发明专利专业属性、促进校企科研合作等合理化建议。
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在推动知识产权高质量发展的背景下，专利质量的认知体系和评价体系的构建，是提升专利质量，打造高质量创新机制的重要依据。从专利质量的概念表述、专利质量评价指标体系、评价方法等方面对现有研究进行回顾，可以发现：学者们对专利质量的界定尚无统一定论且缺少对“专利本身的质量”的界定，导致专利质量认知体系不够清晰，在此基础上提出的评价指标及评价方法各有差异且缺少系统的梳理。针对现有研究的不足，提出了对未来的展望：明确承载专利质量的实体应为专利客体，从而确定专利客体质量的概念，在此基础上建立以专利客体质量为中心的专利质量认知体系，并基于系统的专利质量认知体系构建相应的指标体系和评价方法。
In the context of promoting the high-quality development of intellectual property rights, the cognition of patent quality and the construction of the evaluation index system are important bases for improving patent quality and creating a high-quality innovation mechanism. Reviewing the existing research from the aspects of the concept of patent quality, patent quality evaluation index system and evaluation method, we can find that there is no unified conclusion on the definition of patent quality and the lack of definition of patent quality itself, which leads to the unclear patent quality cognition system, and the evaluation indexes and evaluation methods put forward on this basis are different and lack of systematic combing.In view of the shortcomings of the existing research, it puts forward the outlook of future: the entity carrying the patent quality should be the patent object, so as to determine the concept of patent object quality, and on this basis, establishing a patent quality cognition system centered on the quality of patent object, and constructing corresponding index system and evaluation method based on the systematic patent quality cognition system.
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