企业专利诉讼战略研究

发布时间：2018-03-11 08:38

本文选题：专利交易诉讼战略　切入点：专利掠夺诉讼战略　出处：《华中科技大学》2011年博士论文　论文类型：学位论文

【摘要】：在激烈的市场竞争中,专利对外授权许可使用或经由诉讼赔偿所产生的巨额收益已经成为企业的重要收入来源之一,企业也更多地寻求通过专利诉讼战略来获得竞争优势。本文通过探讨企业专利诉讼战略的内涵、形成和运作模式,指出企业专利诉讼战略对我国企业发展的影响,并且为增强我国企业在国内外市场竞争中的纠纷处理、预防潜在专利诉讼风险的能力提出了对策建议。本文的主要研究内容如下：首先,基于战略管理的视角,本文指出企业专利诉讼战略的形成呈现出一种以企业专利战略规划、选择与实施的三个步骤为中心的逻辑主轴。在此基础上,提炼出企业专利交易诉讼战略、专利掠夺诉讼战略、专利投资诉讼战略和专利诉讼防御战略四种诉讼战略类型。并进一步从这四种专利诉讼战略的内涵、战略的运用、诉讼资源获取等方面进行比较分析,探索了它们与专利战略之间相互作用、相互影响的动态关联性。其次,本文构建了基于博弈论视角的企业专利诉讼战略模型,并重点运用模型诠释了四种专利诉讼战略的实施条件和战略结果,进而得以讨论了专利诉讼战略的运行机理,以及不同的战略类型与企业技术创新的关系。研究结果指出,不同的专利组合差距和损害赔偿的组合可能对应不同的专利诉讼战略类型,而不同的专利诉讼战略类型对企业技术创新的影响程度和关系也具有明显的差异。再次,对当前新的创新模式和商业模式下,具有代表性的企业专利诉讼战略运作模式进行深入剖析。本研究以专利联盟、专利钓饵、专利信托联盟(AST公司)、合理交易公司(RPX公司)以及美国高智发明公司(IV公司)作为研究典型,通过案例研究方法,深入分析了这些组织或公司的专利诉讼战略运作模式,指出：专利联盟内部通过许可协议避免了专利侵权风险、完成了交易的过程,而专利联盟外部则体现对非联盟成员或竞争对手实施专利掠夺诉讼战略；专利钓饵实施专利投资诉讼战略,通过风险资本的运作,对外收购专利,将这些专利进行一定的组合发挥规模优势,反过来再运用专利诉讼战略所产生的现金流用以支撑未来的收购行为；专利信托联盟与合理交易公司代表着诉讼防御战略运作模式的出现,这是一种应对专利钓饵投资诉讼战略的反制机制；高智发明公司的运作模式则代表着企业专利诉讼战略的一种组合实施,利用其汇集起来庞大的专利资产库,不但进行专利资产的交易和投资,而且还可以防御专利诉讼,有时甚至通过诉讼战略直接对外掠夺。最后,针对企业专利诉讼战略提出了对策建议。本研究选取了三个典型案例,分析了企业专利诉讼战略对我国企业的影响及其成因,在此基础上提出了我国企业应对专利诉讼战略的具体对策建议：首先,建议加强我国企业内部知识产权管理体系的建设,从创造、管理、交易、影响和防御五个环节,建立一套完善的应对侵权指控的操作程序；其次,提出建立全行业联合防御机制,增强企业共同抵御外来风险的能力；最后,建议政府应从立法、监管和引导三个方面发挥积极作用,监视外国企业在中国的知识产权交易行为,帮助企业防范侵权诉讼指控。
[Abstract]:In the fierce market competition, the huge gains foreign patent licensing or through lawsuits arising has become an important source of income of the enterprise, the enterprise will seek more through patent litigation strategy to gain a competitive advantage. This paper discusses the connotation of corporate patent litigation strategy, form and mode of operation, and points out that the effect of patent litigation the strategy for the development of Chinese enterprises, and to enhance the market competition at home and abroad to settle disputes in China's enterprises, and puts forward some countermeasures and suggestions to prevent potential patent litigation risk. The main contents of this paper are as follows:
First of all, based on the perspective of strategic management, this paper points out that the formation of corporate patent litigation strategy presents a clear enterprise patent strategy planning, three steps of selection and implementation of logic as the center of the spindle. On this basis, refine the enterprise patent trading litigation strategy patent plunder litigation strategy, patent investing litigation and patent litigation strategy defense strategy four litigation strategy. And further from the connotation of the four types of patent litigation strategies, strategy use, litigation resource acquisition and so on, to explore the interaction between them and the patent strategy, the dynamic relationship between the mutual influence.
Secondly, this paper constructs a game theory of enterprise patent litigation strategy model based on the perspective of the interpretation of the model and focus on the use of four kinds of patent litigation strategy implementation conditions and strategic results, and to the operation mechanism of patent litigation strategy is discussed, and the relationship between innovation strategy and different types of enterprise technology. The results indicate that the different patent portfolio gaps and damages may correspond to different combinations of the types of patent litigation strategy, and the influence degree and the relationship of different types of patent litigation strategy on the technological innovation of the enterprise also has the obvious difference.
Again, the new model of innovation and business mode, representative enterprise patent litigation strategy mode in-depth analysis. Based on the patent alliance, patent trolls, patent trust Alliance (AST), reasonable trading company (RPX company) and the United States intellectual company (IV company) as a typical study and through the case study method, in-depth analysis of the patent litigation strategy mode of operation, the organization or company that the patent pool avoids the risk of patent infringement by the license agreement, the completion of the transaction process, and is reflected in the implementation of the patent patent alliance external predatory litigation strategy for non union members or competitors; patent trolls patent investment the litigation strategy, through venture capital operation, the acquisition of foreign patents, these patents are combined together to take advantage of the scale, and then use the counter to patent litigation battle A little cash flow to support future acquisitions; patent trust alliance and reasonable trading company represents the litigation defense strategy mode of operation, this is a response to the Patent Troll litigation strategy investment counter mechanism; intellectual mode of operation of the company will represent a combination of patent litigation strategy the implementation of the patent together huge asset base, not only for patent asset trading and investment, but also can defense patent litigation, sometimes through litigation strategy of foreign direct plunder.
Finally, in view of the enterprise patent litigation strategy and puts forward some countermeasures and suggestions. This study selected three typical cases, analyzes the influence of enterprise patent litigation strategy for China's enterprises and their causes, and puts forward some specific countermeasures and suggestions for Chinese enterprises to cope with the patent litigation strategy: first, suggestions to strengthen our internal management of intellectual property rights the construction of the system, from the creation, management, transaction, impact and defense five links, set up a perfect deal with the infringement procedures; secondly, the whole industry proposed the establishment of a joint defense mechanism, enhance the ability of enterprises toresist risk; finally, suggested that the government should be legislative, regulatory and guide the three aspects play the active role of the surveillance of foreign enterprise intellectual property transactions in Chinese, help enterprises to prevent infringement lawsuit.

【学位授予单位】：华中科技大学
【学位级别】：博士
【学位授予年份】：2011
【分类号】：F279.2;G306

【引证文献】