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Data Analysis and Knowledge Discovery  2022, Vol. 6 Issue (8): 20-30    DOI: 10.11925/infotech.2096-3467.2021.1233
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Influencing Factors of Patent Examination Cycle: Case Study of Artificial Intelligence in China
Ou Guiyan1,Pang Na2,Wu Jiang1()
1School of Information Management, Wuhan University, Wuhan 430072, China
2Department of Information Management, Peking University, Beijing 100871, China
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Abstract  

[Objective] This paper examines the factors and mechanism affecting the patent examination cycle in China. [Methods] We retrieved 78 254 invention patent applications in the field of artificial intelligence in China. Then, we used the Kaplan-Meier method in survival analysis and the COX proportional hazard regression model to explore the overview of patent examination. Third, we analyzed the characteristics of patent objects and subjects based on their characteristics, which explored the factors significantly affecting the patent examination cycles. [Results] In the field of artificial intelligence, the average survival period of the overall Chinese invention patent examination process was 32.81 months. The number of claims, the number of IPC classification IDs, and the number of inventors were the protective factors of the patent examination cycle and promoted its extension. The more patent citations, the shorter the time will be required to obtain authorization. Universities and scientific research institutions, as well as institutions and organizations, spent shorter time on patent examination than individuals. Patent applications from companies required longer examination cycles. [Limitations] The patent examination cycle is closely related to the examination process of the patent office and the examiners’ characteristics, which needs more fine-grained studies. [Conclusions] Combining different technical fields and the characteristics of the applicants will establish a diversified examination mode. Strengthening the use of automated technology and establishing better classification standards will improve the patent examination efficiency.
Key words： Patent Examination Cycle      Survival Analysis      Artificial Intelligence     
Received: 27 October 2021      Published: 23 September 2022
ZTFLH:  G251  
Fund:Key Projects of Philosophy and Social Sciences Research, Ministry of Education(20JZD024)
Corresponding Authors: Wu Jiang,ORCID：0000-0001-5153-5871     E-mail: jiangw@whu.edu.cn
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Guiyan Ou
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Cite this article:

Ou Guiyan, Pang Na, Wu Jiang. Influencing Factors of Patent Examination Cycle: Case Study of Artificial Intelligence in China. Data Analysis and Knowledge Discovery, 2022, 6(8): 20-30.

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https://manu44.magtech.com.cn/Jwk_infotech_wk3/EN/10.11925/infotech.2096-3467.2021.1233     OR     https://manu44.magtech.com.cn/Jwk_infotech_wk3/EN/Y2022/V6/I8/20

Patent Development Trends in the Field of Artificial Intelligence in China
类别 关键词
中文 人工智能、机器学习、深度学习、自然语言处理、计算机视觉、图像识别、语音识别、人脸识别、模糊逻辑、逻辑程序设计、概率推理、神经网络、本体工程、专家系统、智能系统、语音处理、知识表示和推理、计划与调度、智能机器人、视频识别、手势控制、自动驾驶、虚拟助手、预测分析、智能系统、人机交互、模式识别、语音合成、声纹识别、语义分析、生物特征识别、生成对抗网络、无人驾驶、无人机、无人车
英文 Artificial Intelligence（AI）、Machine Learning、Deep Learning、Natural Language Processing（NLP）、Computer Vision、Image Recognition、Speech Recognition、Facial Recognition、Fuzzy Logic、Logic Programming、Probabilistic Reasoning、Neural Network、Ontology Engineering、Expert System、Intelligent System、Speech Processing、Knowledge Representation and Reasoning、Planning and Scheduling、Smart Robot、Video Recognition、Gesture Control、Automatic Drive、Virtual Assistant、Predictive Analytics 、Intelligent System、Auto Drive、Driverless、Automated Vehicle、Auto Navigation
Related Search Terms in the Field of Artificial Intelligence
变量类型 变量名称 变量符号 变量含义
自变量 权利要求数 Claim 专利权利要求数量
IPC分类数 IPC 专利的IPC分类号数量
文献页数 Page 专利申请文献的总页数
引文次数 Refer 参考相关专利或科技文献的数量
发明人数量 Inventor 每项专利的发明人数量
是否合作申请 Cooper 合作申请设置为1,否则为0
申请人类型 Firm
Univ
Organ		 以个人为参照设置三个虚拟变量,分别是企业（Firm）、高校及科研院所（Univ）、机关团体（Organ）
是否外国人申请 Foreign 申请人来自国外设定为1,否则为0
控制变量 区域 East
Center
West		 以其他（Other）为参照,对中国的区域设定三个虚拟变量,分别为东部（East）、中部（Center）以及西部（West）
时间 / 根据《专利法》修改时间,以1985-1992作为参照,设定三个虚拟变量,分别为1993-2000、2001-2008以及2009-2018
Variable Name, Conformity and Meaning
样本数 事件数 删失数 生存时间/月 Kaplan-Meier
估计生存率
均值 中位数 24个月 30个月 36个月
78 254 39 827 38 427 32.81 33 77% 64% 54%
Survival Analysis of the Patent Review Cycle in the Field of Artificial Intelligence in China
Kaplan-Meier Survival Function Curve of Invention Patent Examination Cycle in the Field of Artificial Intelligence in China
样本 样本数 事件数 删失数 生存时间/月 Kaplan-Meier估计生存率 对数秩检验P值
均值 中位数 24个月 30个月 36 个月 Log-Rank Breslow
合作申请 6 150 3 096 3 054 32.65 32 0.76 0.64 0.53 0.88 0.94
非合作申请 72 104 36 731 35 373 32.82 33 0.77 0.64 0.54
Survival Analysis of Cooperative Application and Non-cooperative Application Patent Examination Cycle
Kaplan-Meier Survival Function Curve of Cooperative and Non-cooperative Patent Examination Cycle
样本 样本数 事件数 删失数 生存时间/月 Kaplan-Meier估计生存率 Two-Stage检验P值
均值 中位数 24个月 30个月 36 个月
本国专利 68 627 34 517 34 110 32.11 32 0.75 0.63 0.53 0.00
外国专利 9 627 5 310 4 317 37.84 36 0.84 0.75 0.64
Survival Analysis of the Examination Cycle of Domestic and Foreign Patent Applications in China
Kaplan-Meier Survival Function Curve of the Examination Cycle of Domestic and Foreign Patent Applications in China
变量类型 变量 b值 S.E. Wald卡方值 P值 HR HR 95.0% CI
专利客体特征 Claim -0.01 0.00 -14.83 0.00 0.99 0.988~0.990
IPC -0.07 0.00 -19.87 0.00 0.93 0.925~0.938
Page 0.00 0.00 14.47 0.00 1.00 1.003~1.004
Refer 0.10 0.00 93.55 0.00 1.10 1.100~1.104
专利主体特征 Inventor 0.02 0.00 7.83 0.00 1.02 1.012~1.020
Cooper 0.01 0.02 0.64 0.52 1.01 0.975~1.052
Foreign -0.04 0.03 -1.02 0.31 0.96 0.899~1.034
申请人
类型		 Firm -0.12 0.02 -4.85 0.00 0.89 0.846~0.931
Univ 0.44 0.04 17.59 0.00 1.56 1.483~1.638
Organ 0.22 0.06 4.44 0.00 1.25 1.133~1.379
控制变量 区域 East 0.11 0.04 3.47 0.00 1.12 1.050~1.191
West 0.07 0.04 1.87 0.06 1.07 0.997~1.150
Center 0.11 0.04 3.24 0.00 1.12 1.046~1.199
时间 1993-2000 -0.05 0.12 -0.35 0.73 0.96 0.742~1.231
2001-2008 0.43 0.19 3.49 0.00 1.54 1.210~1.973
2009-2018 -1.12 0.04 -9.03 0.00 0.33 0.255~0.415
Cox Proportional Hazard Regression Results in Patent Examination Cycle
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