【作者】 刘珍兰；

【导师】 朱雪忠； 袁晓东；

【作者基本信息】 华中科技大学 ， 工商管理， 2011， 博士

【摘要】 专利审查的核心是对发明创造的新颖性和创造性的审查,而新颖性和创造性的判断皆以现有技术为基础。现有技术信息的存在方式和专利审查员的检索实践决定了现有技术的信息不足,而现有技术信息不足正是当前专利质量问题的症结。因此有必要研究如何解决此信息不足的问题。为了克服信息不足,有必要在专利审查中引入公众参与机制,本文就是研究公众参与专利评审的机制问题。主要工作及结论如下：首先,本文论证了公众参与专利评审的必要性。在当前专利质量问题较多的情形下,专利申请人难以披露其已知的现有技术信息,因而难以建立有效的激励机制,即使如美国专利法课以申请人信息披露义务的强制做法,也不能提供必要的激励使申请人披露其已知的信息。现有技术检索外包因存在检索的质量问题等弊端,决定该方式也不能用来解决信息不足。而建立合适的公众参与机制如当前的公众专利评审模式能够有效地克服专利审查中现有技术信息不足。其次,本文研究了公众专利评审的基本理论问题以及国外有关试验项目。公众参与的激励问题是当前公众专利评审面临的最主要的问题,结合有关的激励理论,分析得出激励公众参与的激励因素为：参与者的参与平台,物质奖励和诸如荣誉、成就感、责任感等高层次的需要。并对如何激励公众积极参与提出了如下激励措施：进一步优化参与的软件平台；给予适当额度的货币奖励和提供多方位的精神奖励。最后,本文认为我国专利审查同样存在现有技术信息不足,严格审查有利于维护我国利益,我国引入公众专利评审机制是必要的且可行的,并就我国试验公众专利评审的主要方面提出了如下建议：适用的技术领域应优先考虑计算机软件,其次为商业方法,再次为生物技术领域；使用与美国相同的软件平台,充分进行各种有效地宣传和在试验中进行调查；采用优先审查的方式鼓励申请人提交申请用于试验,给予成功参与的评审者奖金和多种精神奖励以激励公众的积极参与。更多还原

【Abstract】 The core of patent examination is to review the novelty and creativity of inventions and prior art is the basis for comparison with the novelty and creativity. The presence of prior art information and practice of retrieval methods of patent examiners determined the lack of available prior art information and the information deficit of prior art is crux of the currently problem of patent quality. Therefore, it is necessary to study how to solve the problem of insufficient information on prior art. To overcome the lack of information, it is necessary to introduce public participation in patent examination system. This paper is a study of the mechanism of public participation in the patent review. Major work and conclusions in the paper are as follows:First of all, this paper demonstrates the need for public participation in the patent review. In the current case of the more patent quality problematic, patent applicants do not want to disclose their known prior art information, which making it difficult to establish an effective incentive mechanism. Even the practice of compulsory such as disclosure obligations of the applicant’s in U.S. patent law, can not provide the necessary incentives to enable the applicant to disclose known information. Due to search quality and other shortcomings, outsourcing search of prior art the same can not solve the problem of insufficient information. This paper considers the establishment of appropriate mechanisms for public participation, such as the current model of community patent review is the more effective solution of the current information deficit of prior art.Secondly, this paper studies the basic theory of community patent review and assessment of the pilot projects abroad. The paper presents how to motivate the public participation in the patent review is the most important issue in the current community patent review. Combining with the motivation theory, the paper analysis that the incentive which encourage public participation are:platform for participants to participate, material reward and the need for high-level such as honor, achievement, responsibility. On how to encourage active public participation, the article also presents the following incentives:to further optimize the software platform of participation, to provide appropriate amount of monetary reward and multi-faceted spiritual rewards. Finally, the paper also found that the existence of insufficient information of prior art in Chinese patent examination and critical review is conducive to safeguarding the interests of our country. Thesis that the introduction of the mechanism of community patent review is necessary and feasible for China.Regarding major aspects of community patent review, the article put forward the following recommendations:priority for computer software, followed by the business method and finally, the field of biotechnology for the pilot project; using the same software platform which adopted by the United States; full information and a variety of effective investigations in the pilot project; by the way of priority review to encourage applicants to submit applications for pilot and providing bonuses and a variety of spirit incentives to successful participation to encourage active public participation.更多还原