“专利投机”行为的认定及规制

发布时间：2018-04-28 09:11

本文选题：NPE + Patent　；参考：《清华大学》2015年硕士论文

【摘要】：NPE、Patent Troll近些年来成为了专利领域的热门词汇,常常伴随着天价专利侵权索赔案出现在人们的视野中。它是指存在着这样的一类专利运营公司,在通过购买等方式合法的拥有专利权后,自身却不致力于将专利投入到生产制造,而是主要以提起专利侵权诉讼相威胁向目标企业收取高额的专利许可费或者在专利侵权诉讼中索取天价的专利侵权赔偿金谋利,所要求的专利许可费或者专利侵权赔偿金往往明显的超出了专利自身创造的价值,这种行为也被称为“专利投机”行为。虽然专利投机行为也涉及到专利购买、专利授权等正常的专利运营行为,客观上促进了技术的流转,减少了专利休眠的现象,有助于实现小企业以及个体发明人的利益,然而其追求高额收益的投机目的给社会带来的危害远远大于收益,据统计,在美国每年要耗费上百亿美元的成本处理NPE发起的专利侵权诉讼。愈演愈烈的专利投机不仅给企业带来了巨大的经济损失,也让企业在投资科研、促进科技成果转化上顾虑重重,阻碍了科学技术的进一步发展,与专利制度设立的初衷相悖。我国企业目前在美国市场也深受专利投机行为的困扰,国内专利市场在未来的快速发展中也有可能滋生出本土的专利投机行为,因此我们有必要对专利投机行为进行深入的分析并研究相应的规制措施。本文首先分析了起源于美国的“专利投机”行为产生的背景,认为这是资本的趋利性与制度的不完善相结合的产物,它偏离了专利制度设立的价值目的,对社会利益造成了损害,因此需要对其进行规制;其次归纳出专利投机行为的特征,有利于从主体、行为方式等方面更加精确的认定专利投机行为;最后借鉴美国及其他发达国家采取的一系列针对专利投机行为的措施,结合我国现在的国情以及发展趋势建议采取适当的措施以规制专利投机行为。具体需要采取的措施有:提高专利质量,完善专利侵权救济制度,平衡专利权人与社会公众之间的利益分配;引导正常的专利运营行为,为企业提供专利预警以及专利保险等专业服务,将企业未来的专利风险和损失降至最低;应建立和完善恶意进行专利诉讼的惩罚机制。
[Abstract]:In recent years, NPE Patent Troll has become a popular term in patent field, and often appears in the field of people's view along with sky-price patent infringement cases. It refers to the existence of a class of patent operating companies that, after legally owning patents through such means as purchasing, do not commit themselves to putting patents into production and manufacturing. Instead, they are mainly threatening to collect high patent licensing fees from the target enterprises or to seek profits for patent infringement compensation at a sky-high price in patent infringement litigation. The patent license fee or patent infringement compensation often exceeds the value created by the patent itself, which is also called "patent speculation". Although patent speculation also involves normal patent operations such as patent purchases and patent authorizations, it objectively promotes the flow of technology, reduces the phenomenon of patent dormancy, and contributes to the realization of the interests of small businesses and individual inventors. However, the speculative aim of pursuing high profit brings more harm than income to the society. According to statistics, it costs tens of billions of dollars every year to deal with the patent infringement lawsuit initiated by NPE in the United States. The increasingly fierce patent speculation not only brings huge economic losses to enterprises, but also makes enterprises worry a lot about investing in scientific research and promoting the transformation of scientific and technological achievements, which hinders the further development of science and technology, which is contrary to the original intention of the establishment of patent system. At present, Chinese enterprises are also plagued by patent speculation in the US market. The domestic patent market may also breed local patent speculation in the future rapid development. Therefore, we need to conduct in-depth analysis of patent speculation and study the corresponding regulatory measures. This paper first analyzes the background of "patent speculation" which originated in the United States, and considers that it is the result of the combination of capital-seeking and institutional imperfection, which deviates from the value purpose of the establishment of patent system. It causes harm to social interests, so it needs to be regulated; secondly, the characteristics of patent speculation are summed up, which is conducive to the more accurate identification of patent speculation from the aspects of subject, behavior and other aspects. Finally, we draw lessons from a series of measures against patent speculation adopted by the United States and other developed countries, and propose to take appropriate measures to regulate patent speculation according to the current situation and development trend of our country. Specific measures to be taken include: improving the quality of patents, perfecting the patent infringement relief system, balancing the distribution of interests between the patentee and the public, guiding normal patent operation, To provide professional services such as patent warning and patent insurance to minimize the risk and loss of patent in the future, it is necessary to establish and perfect the penalty mechanism for malicious patent litigation.
【学位授予单位】：清华大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D923.42

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