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研究生:陳潔靈
研究生(外文):Jieling Chen
論文名稱:美國專利局的中國專利的外溢效果研究
論文名稱(外文):The Study of the Knowledge Spillover pattern in Chinathrough patents in USPTO
指導教授:陳添枝陳添枝引用關係
指導教授(外文):Tain-Jy Chen
口試委員:林惠玲瞿宛文
口試委員(外文):Hui-Lin LinWan-wen Chu
口試日期:2015-07-03
學位類別:碩士
校院名稱:國立臺灣大學
系所名稱:經濟學研究所
學門:社會及行為科學學門
學類:經濟學類
論文種類:學術論文
論文出版年:2015
畢業學年度:103
語文別:中文
論文頁數:55
中文關鍵詞:專利引證知識外溢專利權人發明人所在地科技領域
外文關鍵詞:PatentPatent CitationKnowledge SpilloverAssigneeInventor locationTechnological Scope.
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本文通過研究美國專利局的中國專利,主要探討了以下兩個問題:1、哪些性質會影響專利的傳播;2、引證專利與被引證專利間有哪些關係。在數據方面,本文主要使用了2000 年至2012 年美國專利局發明人為中國的專利。通過分析其中G 類(物理類)和H 類(電學類)類專利是否有被其他專利引證,本文發現,專利權人、發明人所在地以及科技領域都會對專利是否會被引證造成影響,相比其他兩個因素,科技領域的影響不能被忽視。在專利權人方面,企業專利被引證的概率較高,政府和研究機構的專利被引證的概率較低,在企業方面,台灣、美國和其他國家的企業都較易被引證。在地理位置上,京津冀和長三角的專利都比珠三角的專利更易被引證,而中國境內其他地區的專利都更不易被引證在科技領域,G08 類(信號裝置類)、H01 類(基本電子元件)和H05 類(其他電氣技術)專利被引證的概率最高,H03(基本電子電路)類專利被引證概率最低。此外,一項專利引證其他專利的數量與和專利的年齡都與專利被引證的概率有正向關係。在引證專利和被引證專利的关系上本文發現,專利更傾向於引證與自己專利權人類型相同,地理區域接近,科技領域相似的專利

This thesis studies the pattern of knowledge spillover in China based on patent citation. The data used are patents granted by USPTO to inventors based in China with the application year dated between 2000 and 2012. Only patents falling under the categories of G and H of the International Patent Classification, where the Chinese patents are concentrated, are investigated. The theme of study is: How patent citation is affected by the status of the patent owner (assignee), the location of the inventor, and the technology scope of the patent. The empirical results show that all three factors matter, but they are inter-related and their effects may overlap. In general, patents assigned to business firms are more likely to be cited compared to patents assigned to government and academic institutions, especially patents belong to non-Chinese companies, including those based in U.S., Taiwan, and other countries.Among different technological fields, patents in the categories of G08, H01, H05 are most likely to receive citations, while G01 and H03 are least likely. Patents invented in Greater Beijing area and Yangtze River Delta are more likely to be cited than patents invented in Pearl River Delta. Moreover, the probability to receive a citation is
positively related to the number of citations of the original patent and the age of the patent. A patent is more likely to be cited by another patent owned by the same kind of assignees (business, academics, or institutions), invented in the same location, or falling in the same technology category, than otherwise.

口試委員會審定書.............................................i
誌謝........................................................ii
中文摘要 ................................................................................................... ii
英文摘要 ...................................................................................................iv
第一章、引言 ............................................................................................ 1
第二章、文獻回顧 .................................................................................... 2
第三章、 數據 ....................................................................................... 7
3.1 專利的性質 ...................................................................................... 9
3.1.1 專利權人 ................................................................................... 10
3.1.2 發明人 ...................................................................................... 12
3.13 專利所屬技術領域 .................................................................... 13
3.1.4 專利的其他性質 ...................................................................... 14
3.1.5 專利性質間的相互關係 .......................................................... 16
3.1.6 專利被引證的次數 .................................................................. 19
3.2 引證專利與被引證專利間的關係 ................................................ 19
3.2.2 自我引證與非自我引證 .......................................................... 19
3.2.3 專利權人 .................................................................................. 20
3.2.4 發明人所在地 .......................................................................... 21
3.2.4 技術領域分佈 .......................................................................... 22
3.2.5 專利年齡差的分佈 .................................................................. 23
第四章、 回歸結果 ............................................................................. 24
4.1 Logit Model 與Ordered Logit Model 的分析 ............................. 24
4.1.1 專利權人與被引證的關係 ...................................................... 25
4.1.2 發明人所在地與被引證的關係 .............................................. 27
4.1.3 專利所屬科技領域與被引證的關係 ...................................... 31
4. 2 Duration model 分析结果 ............................................................. 34
4.2.1 專利被引證的概率與時間的關係 .......................................... 34
4.2.2 Duration Model 的回歸結果 .................................................... 39
4.2.3 專利被引證的平均等待時間 .................................................. 42
4.3 討論 ................................................................................................ 44
4.4. Multinomial Regression 结果 ........................................................ 47
第五章、 結論 ..................................................................................... 51
參考文獻: .............................................................................................. 53

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