专利权人自提无效宣告行为的过程机制--基于扎根理论的多案例研究

Process Mechanism of Self-Invalidation by Patentees--A Multiple Case Study Based on Grounded Theory

防范专利被宣告无效是专利风险管理的重要内容,但实践中却存在专利权人自提无效宣告这一“自陷风险”行为。为解释该现象发生的驱动因素、过程机理及行为效应,运用多案例研究方法诠释专利权人自提无效宣告的过程机制。研究发现:维护专利法律效力稳定性、消除权利要求歧义、解决权利要求重叠问题是自提无效宣告的主要动机;该过程经历了风险识别、评价及应对3个阶段,专利审查经历与经济收益促使权利人感知、发现及评价无效风险,专利制度限制则驱动权利人选择自提无效宣告应对无效风险,最终符合权利人预期的无效结果将扩大专利经济收益。研究结论弥补了专利风险管理领域的中层理论缺陷,为专利无效风险事前防范提供了新路径,同时也为我国论证建立授权后专利文本修改程序提供了证据支持。

Preventing patent invalidation is an important role of patent risk management,but patent self-invalidation by the patentee exists in practice,which is an“assumption of risk”behavior.To explain the cause,process and effect,the multi-case study method was used to interpret the process mechanism of the self-invalidation by the patentee.The results show that the main causes of self-invalidation are maintaining patent legal stability,reducing claims’ambiguity,and resolving the problem of double patenting.This process involves three phases of risk identification,evaluation,and response.Patent examination and patent economic benefits promote the patent holder to perceive,discover,and assess the invalidation risk.Furthermore,the constraints of the patent rule drive the patentee to choose self-invalidation behavior for dealing with invalidation risk.Finally,the invalidation results in line with the patentee’s expectations further expand the patent’s economic effect.The conclusion makes up for the defects of the patent risk management theory to offer a new way to prevent the patent invalidation risk in advance,and provides evidence support to introduce the post-grant patent revision system in China.