标准必要专利许可费困境及其形成机制研究

由于标准必要专利的"公平、合理和无歧视"原则是一项松散承诺,使得专利权人和标准实施者难以通过谈判就许可费达成一致,标准必要专利许可费困境业已成为学术界和企业界共同关注的课题。文章结合既有文献和司法判例,立足标准必要专利的共享性和私权性双重属性,厘清标准必要专利许可费困境的形成原因,分析标准必要专利许可费形成机制,进而总结标准必要专利许可费影响因素。这不仅有利于丰富标准必要专利许可费问题的理论研究,而且能为标准必要专利许可实践提供有益启示。

Research on Dilemma and Optimizing Mechanism of Royalties for Standard-essential Patents

It is difficult for the owner and licensee of standard-essential patents (SEPs) to reach an ex-ante agreement on royalties by negotiation when "fair, reasonable, and non-discriminatory" (FRAND) is a loose commitment. The dilemma of royalties of SEPs is a common hot issue for scholars and managers. This research indicates that it is the dual nature of shareability and private right, not publicly-owned and exclusive, which causes the dilemma of royalties of SEPs. Afterwards, this study compares five judicial methods, e.g. Hypothetical Negotiation, Patent Pool, Apportion Rule, Proportion Rule, and Analogy, and four mainstreams of economics, e.g. ex-ante Auction Model, ECPR & Shapley,Contribution Ratio & Top-Down, and Baseball-Style. The analysis shows that these economic methods provide some valuable explanations for judicial experiences and policies. Moreover, the key influential factors including technology, business, and legislation are developed.