专利审查高速路对后续专利审查质量的影响机制研究

Due to the increasing number of inventions are seeking to obtain patent protection in multiple nations, in order to reduce the duplication of review work, relieve the backlog of patent examination and promote the technological innovation, in recent years, countries around the world and the regional patent offices have been the collaborative efforts to establish various international patent examination information sharing models, Patent Prosecution Highway (PPH) is one of them. That is to say, at least one or more right claims contained in the patent applications which are submitted by the applicants in the office of first filling are identified to authorize, the applicants can put forward the request of accelerated examination directed towards continuation application at the follow-up receiving offices. At present, China's State Intellectual Property Office has launched a PPH pilot project with the Patent Offices of United States, Japan, German and Korea, respectively. However, even though the operation of PPH is helpful for subsequent patent application offices to improve the examination efficiencies and reduce applicants' costs, it may affect subsequent patent application offices for the quality of patent examination, and then restrain subsequent patent application countries to seek for technological innovation. This project will study the impact mechanism and factors of PPH on the patent examination quality reviewed by subsequent patent application offices, mainly including the patent examination quality in the office of first filling and patent examination backlogs, differentiation of the patent system between the two countries, the diversity of application language between the two countries and the impact of cooperation mode, on this basis putting forward the control mechanism about subsequent patent application offices for the quality of patent examination and the measures our country should take.

由于越来越多的发明创造寻求在多个国家取得专利保护，为减少重复审查工作、缓解专利审查积压并促进技术创新，世界各主要专利局近年来一直在协同努力建立各种国际专利审查信息共享模式，专利审查高速路（PPH）就是其中之一，即申请人在首次申请受理局提交的专利申请中所包含的至少一项或多项权利要求被确定为可授权时，可以向后续申请受理局对后续申请提出加快审查请求。目前，中国国家知识产权局先后启动了与美日德韩四国PPH的试运行。然而，PPH的运行，尽管有助于后续申请局提高审查效率、降低申请人的成本，但可能影响后续申请局的专利审查质量，进而抑制后续申请国的技术创新。本项目将研究专利审查高速路对后续申请国专利审查质量的影响机理及影响因素，主要包括首次申请局审查质量及专利审查积压状况﹑两国专利制度差异化﹑两国申请语言的差异化以及合作模式等因素的影响，在此基础上提出后续申请局审查质量的控制机制以及我国应采取的对策。

在全球专利申请迅猛增长，专利审查积压的现实基础上，研究了专利审查高速路模式的成效与困境，尤其是对后续申请局专利审查质量的影响因素；探析导致后续申请局专利审查质量提升或降低的原因，指出专利审查高速路通过缩短后续与非后续申请的审查周期，提升非后续申请的审查质量，间接对后续申请国的技术创新造成积极影响；专利审查高速路又通过降低后续申请的审查质量，间接对后续申请国的技术创新造成消极影响，建议后续申请局参与专利审查高速路时，建立后续申请审查质量控制机制，以防范后续申请审查质量的下降。同时，从缓解专利审查积压、提高专利审查质量的角度解构专利审查高速路对后续申请国技术创新的影响机理，提出合作共赢的专利审查国际协作优化机制。在定性和定量的基础上对专利审查高速路的价值和机理进行探析，明确该制度的理论基础，为未来的专利审查全球化合作实践提供理论支持，并从国际和国内两个角度探究了全球化的实践和我国的专利审查理念。.本项目组成员结合研究的实际需求，广泛参与国际学术交流，推广研究成果，加强管理学、经济学和法学的复合型人才培养。项目研究期间共培养4位博士生和1位硕士生，其中一位博士生的学位论文被评为同济大学优秀博士论文；参与国际学术交流活动七次，在学术刊物上公开发表论文18篇，出版学术专著1部，提交国家知识产权局的相关政策建议一份，获得第八届全国知识产权（专利）优秀调查研究报告暨优秀软课题研究成果奖一项。主办专利审查高速路培训班一次，将相关研究成果应用到中国国家知识产权局参与的专利审查高速路项目运行中，从理论研究和成果实践两方面为我国现行的专利审查国际协作制度和科技创新的衔接提供优化方案。