专利权利用的制度性风险研究

华中科技大学博士学位论文专利权利用的制度性风险研究姓名：蒋逊明申请学位级别：博士专业：技术经济及管理指导教师：朱雪忠20061026I1234IIAbstractTopromotetheuseofpatentisnotonlytheuniversalobjectiveofpatentsystem,butalsoanimportantpartofpatentstrategiesinsomecountries.However,inChina,thereexistsystemrisksintheuseofpatentandrelevantinstitutionswhichlimitthefullexploitationofpatentvalueandleadtolowtransferrateofpatentedtechnologies.ThroughcarefulanalysisonthecurrentpatentsystemofChinaanditspotentialimpacts,thisdissertationconcludesasfollows:(1)Atpresent,thebiggestsystemriskthatrestrictsindependentenforcementofpatentlicenseistheunreasonableownershipsystemofserviceinvention-creation.Forinventionsaccomplishedwithcompanymaterialandtechnicalservice,whetherthelicensorsareappointedtobetheinventorsordesignersortobetheinventorsordesignersandthecompaniesbycontractualagreementsisnotconducivetotheindependentenforcementofpatentlicense.Fromtheefficiencyandfairnessperspective,theserviceinventionpatentshouldbelongtotheinventorsordesigners’companies.(2)Therunningenforcementsystemofpatentlicenseinchinainclinestoensurethelicensors’controloverpatentswhileleavesthelicenseestobearmorerisks,whichisnotconducivetopatentlicensing.Therefore,suggestionsareproposed:First,establishimpliedlicensesystem,improvethepatentinvalidflawsintheimplementationofthelicensors’securityresponsibilitiesandendowtherighttoenforcementofpatentlicensewithlegalstatusoftransfer,pledgeandinvesting.Second,thelicenseeshavetheoptionstocancelthelicensecontractsorcontinuetoperformthelicense,wherethelicensorsarebankrupted.Clearlydefinetheexerciseconditionsandeffectivenessscopeofbothlicensors’andlicensees’optionrights,andfurtherregulatemeasuresofexercisingrightstocancel.Third,constructpatentlicensingcontracttransfersystemintheBankruptcyLaw.(3)Restrictionsareputonthetransferandlicenseimplementationofthepledgedpatent.Pledgeorsaredeprivedoftherightstoknowtheuseofpatentsandtocontrolthecorrespondingrevenue.Risksexistinthepatentpledgesystemandlimitfullutilizationofpatentvalue.Recommendationsofthepatentpledgesystemareasfollows:First,pledgeorsareendowedwiththerightstotransfer,implementandlicensethepledgedpatent;Second,pledgeeshaverightstoknowthetransfer,implementationandlicenseimplementation,andtosomeextent,tocontroltheresultingbenefits.III(4)Unreasonablesystemandopportunismbetweenpartownersincurriskstotheuseofjointpatents.Recommendationsareasfollows:First,endowjointlicensorswiththerightstoimplement,commonlyimplementthejointpatentsandsharetheresultingprofits;Second,endowjointlicensorwiththerightstopledgethejointpatentinhisownshare;third,inthecourseofmaintenanceandjudicativeandadministrativeprotectionofjointpatents,licensorsresumeseparatelytheconsequencesofhisactions.Giventhatopportunismbetweenpartownerswillalwaysincurrisksandamendmentsofsystemcouldn’tsolveallproblems,somemanagerialprecautionsagainstriskshavebeenproposed.KeyWords:PatentIndependentEnforcementLicensePledgeRisk111.12021“”[1]“”“”10%20%30%[2]21.21.2.11.2.231231.31231.441.4.11980“—”[3]“—”[4]“”[5]“”Bayh-Dole——[6]2002351“”“————”[7]“————”[8]5“”“”[9]“”[10]“”1[11]2[12][13]“”[14]“”[15][16]“”,6[17][18]95%1985412003123135%39AIPPI“”[19][20]“”JPO1“”“”2“”3“”4“”JPO200541Nakamura6857Yonezawa16300Naruse(Aspartame)18900[21]7“”1.4.22005.38JasperW.Dockrey“”[22]KennethS.Weitzman[23]ScottJLochner[24]NeilHirshman[25]DarrenW.Saunders365n[26][27]AdamLibermanBenKremer[28]Thomsv.Sutherland“”[29]HeidelbergHarris,Inc.v.Loebach[30]LubrizolEnterprisesRichmondMetalFinishers,Inc.Lubrizol9[31]198836512DeForestRadioTelephoneCo.v.UnitedStates“”[32]1984[33]StevenH.Gifits“”[34]“”[35]12“”“”20031078,“”1.4.3[36]“”18011“”80“”280“12”[37]1.4.412“”“”“”3481113“”“”[38]ScheringCorporationRoussel—UCLAFS.A[39][40]5814[41][42]731“”992“”1.5“”“”“”“”“”1512161.617182[43]“”2.12.1.111997%(2002)[44]95%[45]19844—20054734552237995.80%74.60%95.70%2201985420062,36.9%63.1%2-12-22-32-42-12-22-3941943212-42.1.210%20%30%[46]2004222.2“————”[47]“————”[48]2.2.123110100[49]2.2.224“”JPO1“”“”2“”3“”4“”[50]“”[51]JPONakamura6857Yonezawa16300Naruse(Aspartame)18900[52]252.32.3.1“”[53]“”[54]“”[55]26“”2.3.2“”,1“”[56]2[57]“[58]2739AIPPI“”[59][60]123282.4—161“”2“”63“”23“”262977“”2.530370%90%90%87%75%HDTV90%DVDMP33G12472311(2)3.13.1.11——632611236113263633612322645571332[61]47349”34353[62]3353.1.2——121——[63]StevenH.Gifits[64][65]3612345DVDDVDDVD[66]DVDDVD2472472373[67][68]Thomsv.Sutherland[69]3.1.3——1271:“382343.2200378“”3.2.112”39Countryman[70]——3.2.219740“”2,552553733811341——3“”28131192423.2.3——1988365[71]365LubrizolEnterprisesRichmondMetalFinishers,Inc.[72]Lubrizol365NSeeU.S.BankruptcyCodeSection365(N)4312443.2.4——1295245[73]34[74]53.2.2463.355473.3.1Countryman[75](1)(2)[76]Countryman1248[77]3.3.21“”77330121179549Smithv.HobokenRailroad,WarehouseandSteamshipConnectingCo.[78]QueenBoulevardWineandLiquorCompanyv.Blum[79]Taylor[80]QueenBoulevard——[81]22550[82]12397“51”[83]3.3.3——1——522——[84][86]533.4123——544“”4.14.1.11995101551[85]28920052006—20205634.1.2574-1584-14.24.2.112“30%”34“150050040%”5954.2.2121://