专利主张实体法律规制问题研究

发布时间：2018-05-30 15:12

本文选题：专利主张实体 + 商业模式　；参考：《华中师范大学》2015年硕士论文

【摘要】：专利主张实体指那些购买专利而后通过主张行为获取利益的主体。专利主张实体属于专利非实施主体的下位概念,但前者作为一种商业模式与后者有显著区别。专利主张实体的出现体现了高度的经济理性和法律理性。法律理性表现为其最大化地利用了现行专利制度的一些缺陷。经济理性则在于其在利用专利制度缺陷的过程中发展出一种体现了“规模经济”的商业模式。这种商业模式的核心在于利用其与目标企业在成本以及信息上的不对称获取利益。专利主张实体之所以引起研究者和政策制定者的关注在于其对创新带来的消极影响。虽然专利主张对活跃专利市场,促进市场的流动性以及为初创企业等实现专利价值提供了渠道。但专利主张实体的商业模式并非建立在提升市场效率,降低交易成本的基础上。因此其行为既给创新带来不利影响,也使得自身成为法律规制的对象。目前,我国科研机构以及企业已经成为专利主张实体商业模式链条上的一个环节。由于国内专利权人实现专利价值的渠道有限,因此容易沦为专利主张实体的专利来源。同时我国企业在参与国际竞争的过程中,也已经成为专利主张实体的目标。我国此次专利法的修改,重点在于提高专利保护程度,促进专利成果转化。伴随着制度上的变革,我国也将出现适合专利主张实体产生的土壤。因此,我们应借鉴国外在该问题上的经验,在强化专利保护提升专利价值的同时,也要注意防范专利主张实体对创新造成不利影响。鉴于上述背景及思考,本文从四大部分展开对专利主张法律规制问题的研究：第一部分重点介绍了专利主张实体的定义、实质及与专利非实施主体的区别,指出其实质上是一种商业模式。除此外,还对专利主张实体的类型及其特点进行了介绍。第二部分具体论述了对专利主张实体进行法律规制的正当性即综合考察了其对创新的影响。指出专利主张实体最大化利用了现行专利法律制度上的缺陷,违背了专利制度的本来目的,因此应对其进行规制。第三部分重点对美国规制专利主张实体的相关措施进行论述和评价。美国采取的措施可以概括为立法、司法以及行政等几大方面的改革。这些措施的着眼点在于完善现行的专利制度,但是由于颁布的时间较短其效果仍有待观察。第四部分将研究的重点聚焦在我国如何对专利主张实体进行规制。由于我国专利保护程度以及专利市场发展水准均有待提高,因此在现阶段更有可能成为境外专利主张实体的专利来源。但随着我国在上述两方面的持续进步,也具备了产生专利主张实体的条件。作者认为我国应采取的规制措施既包括法律手段,也包括非法律手段。前者主要通过专利法和反垄断法予以实现。后者则包括在企业实施专利集中战略的同时,政府推动专利市场发展及相关主体培育的职责。
[Abstract]:Patent claims entities refer to those who buy a patent and gain benefits through advocacy. Patent entity belongs to the lower concept of patent non-implementing subject, but the former is different from the latter as a business model. The appearance of patent entity embodies high economic rationality and legal rationality. The reason of law is that it maximizes the defects of the current patent system. Economic rationality lies in the development of a business model which embodies "economies of scale" in the process of utilizing the defects of patent system. The core of this business model is to take advantage of the cost and information asymmetry between the business model and the target enterprise. Patent entities attract the attention of researchers and policy makers because of their negative impact on innovation. While patent claims provide a channel for activating the patent market, promoting market liquidity, and realizing patent value for startups. But the business model of patent entity is not based on improving market efficiency and reducing transaction cost. Therefore, its behavior not only brings adverse influence to innovation, but also makes itself the object of legal regulation. At present, scientific research institutions and enterprises in China have become a link in the chain of patent-based entity business model. Because the domestic patentee has limited channels to realize the patent value, it is easy to become the patent source of patent entity. Meanwhile, in the process of participating in international competition, Chinese enterprises have also become the object of patent entity. China's patent law, the focus is to improve the degree of patent protection, to promote the transformation of patent achievements. Along with the institutional change, China will also have the soil suitable for the production of patent claims. Therefore, we should draw lessons from the experience of foreign countries on this issue, while strengthening patent protection to enhance the value of patents, we should also pay attention to guard against the adverse impact of patent entities on innovation. In view of the above background and thinking, this paper studies the legal regulation of patent claims from four parts: the first part focuses on the definition of patent claims entity, the essence and the difference between patent claims and patent non-implementers. It is pointed out that it is essentially a business model. In addition, the types and characteristics of patent entity are also introduced. The second part discusses the legitimacy of the legal regulation of patent claims entities, that is, the comprehensive investigation of its impact on innovation. It is pointed out that the patent claim entity maximizes the defects of the current patent legal system and violates the original purpose of the patent system, so it should be regulated. The third part mainly discusses and evaluates the relevant measures to regulate patent entity in the United States. The measures taken by the United States can be summarized as legislative, judicial and administrative reforms. These measures focus on the improvement of the existing patent system, but its effect remains to be seen due to the short time of promulgation. The fourth part focuses on how to regulate patent entity in China. The degree of patent protection and the level of development of patent market in China need to be improved, so it is more likely to become the patent source of overseas patent entity at the present stage. However, with the continuous progress of China in the above two aspects, it also has the conditions to produce patent entity. The author believes that the regulatory measures should be taken in China, including both legal means and non-legal means. The former is mainly realized through patent law and anti-monopoly law. The latter includes the responsibility of the government to promote the development of patent market and the cultivation of related subjects while the enterprises implement the centralized patent strategy.
【学位授予单位】：华中师范大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D923.42

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