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人工智能-数据分析-基于大数据分析的专利代理质量研究.pdf
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人工智能-数据分析-基于大数据分析的专利代理质量研究.pdf
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摘要
1985 年,我国第一部《专利法》颁布并实施,专利代理行业随之应运而生。三十年的
发展,代理行业经历了政企分离、脱钩改制,最终走上全面市场化的道路。随着知识经济
时代的到来,社会的发展将主要依靠技术的突破和信息的有效积累与利用。专利代理服务
直接作用于专利文件,其能协助创新活动的开展有效促进创新成果的专利化。因此,专利
代理服务是保护创新主体知识产权和助力创新型国家建设、实现“中国智造”的重要基础
支撑。
本文以我国专利代理质量作为研究对象,确定了专利代理质量的评价指标,采用大数
据分析方法,对自 1985 至今,专利制度实施三十年以来的所有专利申请进行了研究,通
过对代理专利与非代理专利的对比分析,探索我国专利代理服务的质量。首先,本文对专
利代理的作用进行了理论分析,然后结合分析结论确定了专利代理质量的研究指标。然后,
本研究对代理机构代理的专利申请技术特征数量、独立权利要求数量、撤回率、驳回率、
授权率、结案周期和驳回复审、无效宣告中的法条援引情况进行了统计分析,并将相关指
标与非代理专利申请在时间维度上进行了对比,用大数据统计分析的方法研究了我国专利
代理质量的现状。进一步地,结合大数据统计分析中发现的问题,对造成专利质量波动的
影响因素进行实证研究,探讨影响专利代理质量的原因。在代理机构因素分析中,选取北
京 J 知识产权代理有限公司、C 市 R 专利事务所、X 市 H 专利事务所为研究样本,对不同
专利代理机构的服务模式进行调研,并对其专利代理质量进行大数据分析,研究不同运营
模式的专利代理机构对专利代理质量的影响。最后,在前文的基础上从司法保护、政策引
导和监管、专利代理机构和专利代理人等多角度寻找出我国专利代理质量存在的问题,并
提供完善专利代理服务、提升专利代理质量的对策。
研究发现:
一、我国代理与非代理之间的实质性差距并不明显,我国专利代理机构在为申请人争
取最大化保护范围和合理化的权利要求布局上做出的努力还不够;
二、专利代理服务能够将发明专利的审查周期缩短半年以上,代理发明专利的授权率
显著高于非代理专利,撤回率显著低于非代理专利。专利代理机构在形式上和程序上确实
能够为申请人提供更好的服务,能够帮助申请人获得授权;
三、我国专利代理质量受到立法因素、政策因素、技术发展因素和专利代理机构自身
因素的多重影响。
关键词:专利代理;专利质量;专利代理质量;大数据分析;
万方数据
Abstract
In 1985, China's first Patent Law promulgated and implemented, along with the patent
agency industry emerged. Three decades of development, the industry experienced a separation
between government agents, Reorganization, and finally embarked on a comprehensive
market-oriented path. With the coming era of knowledge economy, social development will
mainly depend on the accumulation and effective use of technology breakthroughs and
information. Patent agency services direct role in the patent document, which can help
effectively promote innovative activities patented innovations. Thus, the patent agency services
is the subject of intellectual property protection of innovation and help build an innovative
country, to achieve "Chinese wisdom made" an important foundation support.
In this paper, the quality of our patent agents as research subjects to determine the quality
evaluation of patent agents, the use of big data analysis methods, from 1985 to date, the patent
system is implemented for all patent applications in three decades were studied by patent agents
and Comparative analysis of the non-patent agents, patent agents to explore the quality of our
services. Firstly, the role of patent agents carried out a theoretical analysis and conclusions
binding assay to determine the quality of study metrics patent agent. Then, the number of patent
applications on the technical features of the present research agencies in the number of
independent claims, the withdrawal rate, refusal rate, the rate authorized, closed cycle and
dismissed the review, invalidation of the statute cited the case of a statistical analysis and related
indicators and non-agent patent applications in the time dimension compared to study the status
of the patent agent with a large mass of statistical analysis. Further, the combination of large data
analysis problems found, factors affecting the quality of patents fluctuations empirical study on
the impact of the patent agent quality reasons. In the analysis the agency factor, select the Beijing
Unitalen Intellectual Property Agency Ltd., Changsha RongZhi Patent Office and Xiangtan
HuiZhi Patent Office as samples of different service model patent agency to conduct research,
and their patent agents Great quality of data analysis, the effects of different operating modes of
patent agencies patent agent quality. Finally, on the basis of the previous text from judicial
protection, policy guidance and supervision, patent agencies and patent agents and other
multi-angle patent agent to find out the quality of the existing problems, and provide the perfect
patent agency services, improve the quality of patent agent countermeasures.
The study found:
A substantial gap between the agent and agentless country is not obvious, China's patent
agency rights for the applicant to seek to maximize the scope of protection and rationalization
万方数据
efforts made by the layout requirements is not enough;
Second, the patent agency services patent can be shortened more than six months of the
review period, patent agents authorized rate significantly higher than the non-patent agents,
withdrawal rate significantly lower than the patent agents. Patent agency does provide better
services to applicants in form and procedures to help the applicant is authorized;
Third, the quality of patent agents subject to legislative factors, multiple factors affect
policy, technological development factors and patent agency itself factors.
Keywords: patent agent; patent quality; the quality of the patent agency services; Big Data
Analysis
万方数据
目录
第 1 章 引言 ....................................................................................................................... 1
1.1 研究背景 ................................................................................................................... 1
1.2 政策背景 ................................................................................................................... 1
1.2.1 行业背景 ............................................................................................................. 2
1.2.2 法律背景 ............................................................................................................. 4
1.3 研究目的和意义 ....................................................................................................... 5
1.3.1 研究目的 ............................................................................................................. 5
1.3.2 研究意义 ............................................................................................................. 6
1.4 研究综述 ................................................................................................................... 6
1.5 研究的方法和结构安排 ........................................................................................... 7
1.5.1 研究方法概述 ..................................................................................................... 7
1.5.2 结构安排 ............................................................................................................. 8
1.6 主要创新点 ............................................................................................................... 9
第 2 章 研究样本及评价指标 ......................................................................................... 10
2.1 我国专利代理质量的研究样本 ............................................................................. 10
2.2 我国专利代理质量的评价指标 ............................................................................. 10
2.2.1 独立权利要求的技术特征数量 ....................................................................... 12
2.2.2 权利要求数量 ................................................................................................... 13
2.2.3 结案周期 ........................................................................................................... 13
2.2.4 授权情况 ........................................................................................................... 14
2.2.5 复审无效法条援引情况 ................................................................................... 15
第 3 章 我国专利代理质量现状 ..................................................................................... 16
3.1 独立权利要求的技术特征数量 ............................................................................. 16
3.2 权利要求数量 ......................................................................................................... 17
3.3 结案周期 ................................................................................................................. 18
3.3.1 发明结案周期 ................................................................................................... 18
3.3.2 实用新型结案周期 ........................................................................................... 19
3.4 发明授权情况 ......................................................................................................... 20
3.4.1 发明授权率 ....................................................................................................... 20
3.4.2 发明撤回率 ....................................................................................................... 21
3.4.3 发明驳回率 ....................................................................................................... 22
3.5 复审无效法条援引情况 ......................................................................................... 23
3.5.1 发明专利驳回复审援引法条研究 ................................................................... 23
3.5.2 发明专利宣告无效援引法条研究 ................................................................... 24
3.5.3 实用新型宣告无效援引法条研究 ................................................................... 27
3.5.4 专利代理与三性问题研究 ............................................................................... 28
第 4 章 专利代理质量的影响因素研究 ......................................................................... 31
4.1 立法因素 ................................................................................................................. 31
4.2 政策因素 ................................................................................................................. 34
4.3 技术发展因素 ......................................................................................................... 44
4.4 专利代理机构自身因素 ......................................................................................... 49
4.4.1 代表性专利代理机构运营模式调研 ............................................................... 49
4.4.2 代表性事务所专利代理质量实证研究 ........................................................... 49
万方数据
第 5 章 我国专利代理质量存在的问题与提升对策 ..................................................... 54
5.1 专利代理服务现存的主要问题 ............................................................................. 54
5.1.1 司法保护层面 ................................................................................................... 55
5.1.2 政策引导和监管层面 ....................................................................................... 55
5.1.3 代理机构层面 ................................................................................................... 57
5.1.4 专利代理人层面 ............................................................................................... 57
5.2 提升专利代理质量的对策 ..................................................................................... 59
5.2.1 司法保护层面 ................................................................................................... 59
5.2.2 政策引导和监管层面 ....................................................................................... 60
5.2.3 代理机构层面 ................................................................................................... 61
5.2.4 专利代理人层面 ............................................................................................... 62
参考文献 ................................................................................................................................ 64
致 谢 .................................................................................................................................... 67
攻读硕士研究生期间发表的论文 ........................................................................................ 68
基金资助 ................................................................................................................................ 69
万方数据
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