专利申请人现有技术信息披露倾向的影响因素研究

Research on the influencing factors of the prior art information disclosure propensity of patent applicants

信息约束是专利局错误授权的主要根源,要求专利申请人披露现有技术信息可能有助于缓解专利局面临的信息约束困境。为厘清专利申请人披露现有技术信息的行为机理及其影响因素,本文从前景理论出发提出了相关假设,以近50万件专利申请为样本,运用线性Tobit回归模型对相关假设进行了检验,并对相关影响因素开展了重要性分析和异质性分析。研究发现:(1)专利申请的前景及前景判断过程影响申请人披露现有技术信息的倾向,其中,价值前景是最重要的影响因素,高价值专利的申请人表现出了更高的披露倾向;(2)前景判断能力不同的申请人类型和前景判断难易程度不同的申请所属技术领域是次要影响因素,非企业类和来源于离散技术领域的专利申请人表现出了更高的披露倾向;(3)提高专利申请人现有技术信息披露义务的强制性程度,虽然提高了披露倾向,但并没有激励出更真实的披露。本研究揭示了专利申请人披露现有技术信息的行为规律,为政策制定者完善相关制度提供了理论和经验证据的支撑。

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 fron 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.