Finding "Lost" Profits: An Equilibrium Analysis of Patent Infringement Damages

We examine the impact of patent infringement damages in an equilibriumoligopoly model of process innovation where the choice to infringeis endogenous and affects market choices. Under the lost profitsmeasure of damages normally employed by U.S. courts, we findthat infringement always occurs in equilibrium with the infringingfirm making market choices that manipulate the resulting marketprofit of the patent holder. In equilibrium, infringement takesone of two forms: a "passive" form in which lost profits ofthe patent holder are zero and an "aggressive" form where theyare strictly positive. Even though the patentee's profits areprotected with the lost profits damage measure, innovation incentivesare reduced relative to a regime where infringement is deterred.     

A semantic analysis approach for identifying patent infringement based on a product–patent map

Identifying patent infringement beforehand is highly important for reducing the risk of damages. However, as the approach to patents is changing from the technological and legal approaches of the past to the business approach, strategic patent infringement litigation and securement of patents can be important tools for companies. From various viewpoints, companies can consider an aggressive patent infringement litigation as well as evasion strategy of patent infringement litigation to keep competitors in check. Previous research on patent infringement identification only considered the possibility of infringement between patents. However, infringement cases between patent and product are prevalent. Thus, this research aims to suggest an automated method for identifying patent infringement between the patent and product in business. To this end, this paper proposes the subject–action–object (SAO) semantic technological similarity-based product–patent method for generating infringement maps. Several indices and subgrouping methods are suggested to interpret the map. As an exemplary case, data on technology and products related to the light emitting diode (LED) lamp are collected and exploited.     

《专利法》法定赔偿下限修改对企业创新的影响机理研究

专利侵权诉讼与企业创新活动密切相关，侵权损害赔偿以经济补偿形式通过改变企业创新回报预期影响企业创新策略选择。构建司法救济社会成本模型与企业创新成本模型，分析法定赔偿下限修改对企业创新的影响机理，并探讨《中华人民共和国专利法》（以下简称《专利法》）第四次修订中提出的三项法定赔偿下限修改方案对企业创新的影响。研究发现，大幅提升赔偿下限能够激励企业突破性创新，但其对侵权的过度威慑将增加创新活动的无谓损失，并产生司法寻租空间；而取消赔偿下限将减少企业对累积性创新的投入，弱化《专利法》的侵权威慑力度，并增加法院裁判成本。在新修订的《专利法》中，3万元赔偿下限能够对企业累积性创新活动产生激励，但亦将导致低质量专利侵权诉讼挤占司法资源。据此，提出优化法定赔偿制度效果的政策建议。     

基于3D打印技术的网络知识产权制度变革

3D打印技术与现代信息技术的结合,使得网络知识产权制度发生改变。其最大变化在于,进一步丰富了网络邻接权和网络专利权制度体系。因此,有必要构建模型制作者权,完善网络邻接权法;同时加强对CAD文件专利权的保护,运用专利权控制CAD模型的生产过程,制定网络专利权的合理使用规则,建立网络服务提供者侵犯专利权的责任机制,进而推动形成网络专利法的制度体系。     

科技企业专利组合路径及其启示:基于兼容性模型的理论研究

在现有专利制度下,企业拥有强烈的专利获取动机。基于科技产业中专利片断化与兼容性等特点,构建了一个产品部件组成模型,并在给定兼容性假设的前提下进行研究。结果表明,先动企业占有专利组合竞争的主动权;采取回避设计是企业专利组合的占优选择;市场竞争环境直接影响企业专利组合的积极性;专利组合路径必须以企业现有专利为基础。科技产业作为典型的专利密集型产业,企业应不断加大研发投入,在现有专利的基础上扩大自己的专利组合数量与规模,并建立稳定的竞争优势。     

专利侵权惩罚性赔偿问题研究

我国《专利法》规定了4种专利损害赔偿方式，司法解释对此也进行了细化。但总体而言，对专利损害赔偿的规定较为原则，实际操作中存在许多难以解决的问题，如赔偿数额低、诉讼时间长、举证困难等，难以遏制故意侵权和多次侵权，有必要引入惩罚性赔偿制度。最新的《专利法修订草案》第六十八条规定故意侵犯他人专利权处以一倍以上三倍以下赔偿数额。但是，对于什么情况下是“故意”、一倍以上三倍以下赔偿数额如何确定等还没有具体规定，缺乏可操作性。阐述专利侵权损害赔偿概念及计算方法，比较美国、日本、中国台湾地区专利惩罚性赔偿制度对我国的启示，分析我国专利侵权损害赔偿制度及存在的问题，并提出相关政策建议。     

简明标签与第二医药用途专利侵权认定：从规范构造到标准选择

第二医药用途发明可被专利已成为世界立法趋势。中国现有立法中狭义的第二医药用途专利可以获得专利保护。英美司法实践发展出主观意图测试、客观意图测试和外在表现测试3种侵权认定标准，分别对应过错和无过错侵权原则。中国需在原研药创新、仿制药产业和药品可及性三元平衡视角下，选择综合进路。在第二医药用途专利直接侵权认定标准上，应坚持无过错标准，仅考虑仿制药厂的简明标签行为是否符合法定要求，以此判断是否落入第二医药用途专利保护范围。在间接侵权认定上，应坚持过错标准和因果考察。     

非正常专利申请行为法律规制现状、反思与重构

由于非正常专利申请行为是产生低质量专利的重要根源，对竞争和创新造成了严重阻碍，因此需要对其进行控制。当前，国家主要采取行政手段进行管制，构成一种行政规制模式，但仍存在对非正常专利申请行为规制不足的缺陷。因非正常申请专利文件引发的著作权侵权纠纷表明，专利文件享有著作权，从而构成一种对专利质量的司法控制。因此，针对抄袭、假冒他人专利文件而申请非正常专利的行为，引入司法规制模式，与行政规制构成优势互补的二元规制体系，并对两种规制模式进行立法重构，以进一步完善非正常专利申请行为规制的法律机制。     

Patent Protection in the Shadow of Infringement: Simulation Estimations of Patent Value

Empirical estimates of the private value of patent protection are derived for four technology areas_computers, textiles, combustion engines, and pharmaceuticals_using new patent data for West Germany, 1953–1988. Patentees must pay renewal fees to keep their patents in force as well as legal expenses in order to enforce them. A dynamic stochastic discrete choice model of optimal renewal decisions is developed incorporating both learning and depreciation as well as the potential need to prosecute infringement. The evolution of the distribution of returns over the life of a group of patents is calculated for each technology using a minimum distance simulation estimator. Results indicate that the aggregate value of protection generated per year is on the order of 10% of related R&D expenditure.     

专利犯罪立法比较研究

综观世界各国对专利犯罪的有关规定,关于立法模式,可分为附属刑法规定型和刑法典规定型两种类型;关于专利犯罪罪名设置,可分为立法侧重保护公共法益与国家法益、立法侧重保护个人法益、立法对两种保护并重3种基本类型;关于专利犯罪刑罚,各国立法皆重视罚金刑的运用,另有一些国家对专利犯罪规定适用资格刑;关于专利犯罪追诉方式,多数国家都实行自诉制度。我国应借鉴其它国家有关规定完善我国专利犯罪立法,立法模式应采取附属刑法规定和刑法典规定相结合;情节恶劣、危害严重的冒充专利行为和专利侵权行为应构成犯罪;扩大罚金刑的适用,适用资格刑;应在刑法或刑事诉讼法中将专利犯罪明文规定为告诉才处理之罪。     

仿制药专利挑战机制解释学分析与进路选择

仿制药专利挑战机制是我国药品专利链接制度的核心环节。在现有规范体系下进行制度构建，存在同现行《专利法》抵触的问题，通过立法或释法活动化解这种冲突具有必要性。在解释学范式下对仿制药品专利挑战侵权拟制、侵权解释两种立法进路进行推演和反思，并辅之以制度体系、国际比较、法律政策、经济分析等视角，可得出拟制进路更为可行的结论。在拟制进路下进行制度构建，应遵循法律拟制技术规范，并妥善处理制度配套问题。     

Schumpeter,Schumacher and the Greening of Technology

We propose a semantic patent claim analysis that can examine patents for possible infringements and identify which needs to be manually perused. So far, numerous approaches have been devised to systemise this burden, but have not been useful in practice because of a lack of consideration of semi-structure of patent claim data and claim element-based procedure of adjudicating patent infringement. At the heart of our method is a hierarchical keyword vector for representing the dependency relationships among claim elements (as well as unstructured textual information) and a tree matching algorithm for comparing claim elements of patents. A case study of the patents about DNA chip technology shows our method has considerable advantages in terms of accuracy and significance. We believe the suggested method could be employed in various research areas and serve as a starting point for developing more general models.     

The impact of a conglomerate merger on its vendors and rivals – a case study of Google's acquisition of Motorola

This study explores the valuation effects of the conglomerate merger on an acquiring firm and its stakeholders. We examine Google's acquisition of Motorola and the impact that it had on Google's vendors and rivals. The empirical results suggest that the announcement of this deal led to positive market reaction among Android's vendors, primarily due to Google's ability to use Motorola's extensive patent portfolio to help protect Android's vendors from a potential patent infringement war in the future. Our results also find that when the Open Handset Alliance members obtain help from Motorola's patents or get new technology, an increase in shareholder wealth among Android's vendors and a decrease in shareholder wealth among Android's rivals are likely to occur.     

论确认不侵犯专利权之诉的起诉与受理

确认不侵犯专利权之诉属于消极的确认之诉,人民法院受理此类案件应当从是否具备消极确认之诉的利益和起诉条件两个方面进行审查。关于诉的利益审查主要注重权利人的警告或威胁是否存在,而不应注重是否已给被控人带来实际不利益。关于起诉条件,原告既可以是被警告人本人,也可以是利害关系人;既可以是已经进行生产、销售相关产品的人,也可以是正在投资建厂或准备投资建厂的人。当专利权利人已经在合理期限内寻求行政救济时,人民法院不能受理确认不侵权之诉。     

论基础专利之改进技术保护路径的完善——以确立反向等同原则为视角

我国基础专利之改进技术的实施面临诸多障碍，阻碍了改进技术的推广应用，美国司法实践中由法官创设的反向等同原则对于我国解决这一困境具有借鉴意义。对反向等同原则的制度功能与理论基础进行规范分析，并辅以比较法视角，研究发现：反向等同原则不仅可以限制专利字面侵权，平衡专利权人与改进者之间的利益，还可以作为专利政策杠杆，对专利法保护的不同行业技术进行微观调控。确立反向等同原则符合专利契约理论对公平的要求，亦与知识产权工具论的主张相契合。最后，提出建议：以反向等同原则的确立为切入点，使落入专利权利要求字面含义范围内、与专利技术不相等同的全新改进技术免于专利侵权，同时严格把握反向等同原则的适用条件，兼顾基础专利保护与全新改进技术激励。     

专利惩罚性赔偿构成要件的适用控制与解释进路

修改后的《中华人民共和国专利法》（以下简称《专利法》）自2021年6月1日起施行，其正式引入了惩罚性赔偿制度。在专利惩罚性赔偿制度建立之后，当下的重点应是在民法典和专利法确定的框架内解决司法适用中的进阶性问题，并在法教义解释中推动制度落地。基于域内外双向视角，运用多种法律方法释明以“故意”为表征的主观要件并细化以“情节严重”为要义的行为要件，分析比较基数计算的不同方法、倍数确定的实践要素以及惩罚性赔偿与法定赔偿的适用关系。分析发现，基于利益衡量考量应将主观状态限定为“故意”并作出合理解释，发挥FTO（FreetoOperate,专利自由实施分析）的作用以限制“故意”的适用范围。同时，在区分认定要素和赔偿要素的前提下对“情节严重”作出整体判断。在计算基数时合理考虑“差额利润法”的适用空间，在倍数确定时主客观双向考量实践因素，并将法定赔偿定位为纯粹的补偿性赔偿。解释论路径下构成要件的适用控制应当秉持积极审慎的司法原则，适时调适司法实践与专利政策的互动关系，实现要件之间的功能分隔与适法统一。     

Patent Policy in an Endogenous Growth Model

We investigate how the patent policy affects economic growth and social welfare based on an endogenous growth model with R&D activities. We show that the patent length that maximizes the social welfare is finite. Moreover, by introducing compulsory licensing, we also show that the patent length that maximizes the social welfare is not infinite even if the royalty rate can be controlled. Received June 29, 2001; revised version received February 5, 2002 Published online: February 17, 2003 We wish to thank two anonymous referees for their constructive comments. We also thank Akira Yakita for his helpful comments.     

我国上市公司信息披露违规预警模型的缺陷及修正

样本资料和实证方法选取是否科学,直接关系到实证结果的正确性。本文从时间窗、样本配比、变量与模型选取等方面分析在研究上市公司信息披露违规中常见的缺陷,并提出相应的改进方法。在此基础上,采取粗糙集模型,以深沪767家上市公司为建模样本,以116家上市公司为检验样本构建上市公司信息披露违规预警模型。结果显示,在建模样本中,粗糙集模型以97.8%的精度正确识别正常上市公司,以66%的精度正确识别违规上市公司。在检验样本中,粗糙集模型以98.1%的精度正确识别正常上市公司,以68%的精度正确识别违规上市公司。     

药品专利链接制度建构的中国方案：理论、原则与路径

药品专利链接制度作为专利纠纷的早期解决机制，解决了药品上市行政许可与专利权保护的衔接机制问题,该制度的创设遵循我国私有财产不受侵犯的宪法原则。制度构建应以法益衡平理念为基本指导原则，结合我国药品监管体系、医药产业政策和专利行政、司法保护运行机制设计相关内容，该制度构建涉及行政权、财产权、健康权之间的冲突与协调问题。我国具体制度设计应遵循生命健康权优先保护、合理保护、效率与公平兼顾协调3个原则，重点调和不同利益主体之间的紧张关系。除科学设置药品上市目录集、专利声明、暂缓审批期、首仿药市场独占期外，还应注重药品专利链接制度与药品试验例外、专利诉讼、专利行政处理、强制许可等制度的协调与衔接。     

Social and technological efficiency of patent systems

This article develops an evolutionary model of industry dynamics in order to carry out a richer theoretical analysis of the consequences of a stronger patent system. The first results obtained in our article are rather consistent with the anti-patent arguments and do not favor the case for a stronger patent system: higher social welfare and technical progress are observed in our model in industries with milder patent systems (lower patent height and patent life).