我国实用新型制度效应的实证研究——基于1989-2015年的时间序列分析

Empirical Research on the Effect of Utility Model Patent in China——Based on the Time Series Analysis of 1989-2015

在创新追赶专利发展策略下,当前我国实用新型制度面临诸多质疑。文章基于1989-2015年的实用新型专利数据,通过定性与定量结合研究发现,我国实用新型制度符合现阶段我国技术创新水平。专利刺激政策导致实用新型申请量激增与作为实用新型质量替代变量的授予率呈明显负相关性,表明专利激励政策旨在提高实用新型专利质量的目标失效。作为我国现行初步审查制加评价报告制替代变量的实用新型授予量与实用新型质量呈明显正相关性,表明初步审查加评价报告制模式下的实用新型质量和稳定性都较强,这与已有的研究结论不同。实用新型不宜适用创造性实证审查,但可以适当调整实质条件设置中的"三性"标准。

In the innovation environment of patent development strategy to catch up with developed countries,the system of current utility model patent（UMP） is facing many questions. Based on the patent data of UMP in1989-2015, this paper, using both qualitative analysis and quantitative analysis, finds out that the system of current UMP conforms to the level of technological innovation in China at present. The surge of UMP application caused by UMP stimulus policies has a negative correlation with the granting rate of UMP as variable substitution of quality, which indicates that the UMP stimulus policies fail to stimulate the goal of quality improvement. As the present preliminary examination system and the evaluation report system, the quantity of the UMP grant has obvious positive correlation with UMP quality, which shows that the quality and stability of the UMP under the preliminary examination and evaluation report mode are strong. The conclusions are different from what previous research results indicated. UMP should not be applied to creative empirical review of creativity, but can be adjusted to set the substantive conditions of the＂three＂standards.