从专利属性的视角出发,分析企业未来遭遇海外专利侵权诉讼的风险因素。以专利授权为分割点,将专利属性划分为品质属性和价值属性,运用权利要求数量、后向引用和专利家族三个变量描述专利品质属性,运用专利权维持、专利授权后审查、向前引用、专利权交易和专利权融资担保等变量来描述价值属性,进而分析专利品质属性、专利价值属性与专利侵权诉讼的关联;以中国企业在美国市场的专利侵权涉案专利为对象开展实证研究。结果表明:专利未来发生侵权的可能性,不仅与专利授权时的品质属性相关,同时与授权后专利运行中形成的新的价值属性相关;上述属性上的差异,可以帮助企业识别出市场上高风险专利,进而预测企业未来发生专利侵权诉讼的可能性。研究成果对于中国企业国际化经营中实施专利清查和专利风险预警有积极作用。
Abstract
This paper presents an empirical analysis of the determinants of patent litigation based on information from U.S. patent cases involved in Chinese enterprises. The author divided the patent characteristic into intrinsic trait, existed when a patent is born, and acquire trait, developed after a patent has issued. Three variables are used to describe intrinsic characteristics, claims, prior citations and family size. Patent maintenance, reexamination, forward citing, assignment, securitization and other variables are used to describe acquired characteristics and to analyze the relevance of patent intrinsic characteristics, patent acquired characteristics and patent infringement litigation. By using the U.S. patent cases involved Chinese enterprises, the relationship between patent characteristic and likelihood of the litigation is empirically analyzed. The result shows that the patents which end up in litigation have markedly difference in both intrinsic and acquired characteristics than patents that do not. On the other hand, such differences can provide additional indicia of likelihood of patent litigation, and help companies to identify the riskiest patents prior to the time of the litigation. The research has implications to the Chinese enterprises who want to extend the U.S market.
关键词
中国企业 /
国际化经营 /
专利风险 /
品质属性 /
价值属性
Key words
Chinese enterprises /
international operation /
patent risk /
intrinsic characteristic /
acquired characteristic
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基金
国家自然科学基金项目(编号:71303172,起止时间:2014-2017),教育部人文社会科学一般项目(编号:11YJA630224,起止时间:2012-2014),国家博士后基金项目(编号:2013M541550,起止时间:2013-2014)。
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