和解还是上诉?——企业专利诉讼决策中的融资约束与声誉机制研究  

Settle or Appeal? Research on Financial Constraints and Reputation Mechanism in the Decision-making of Enterprises' Patent Litigation

作　　者：苗妙[1] 张新[2] 魏建[3] MIAO Miao ZHANG Xin WEI Jian(School of Economics and Commerce, South China University of Technology, Guangzhou 510006, China School of Public Policy and Management, Tsinghua University, Beijing 100084, China The Center for Economics Research, Shandong University, Jinan 250100, China)

机构地区：[1]华南理工大学经济与贸易学院,广东广州510006 [2]清华大学公共管理学院,北京100084 [3]山东大学经济研究院,山东济南250100

出　　处：《产业经济研究》2016年第5期58-68,共11页Industrial Economics Research

基　　金：中国博士后科学基金第57批面上资助(2015M571000);山东大学"法律和发展"青年团队的科研资助

摘　　要：知识经济时代,专利制度已成为我国实施创新发展战略的重要保障。提高专利纠纷的和解效率,对于降低企业诉讼成本、激发企业创新动力具有重要意义。基于我国2001—2014年A股上市公司专利诉讼案件的研究发现,融资约束和声誉机制在企业诉讼和解以及上诉决策中发挥着重要作用,但又有所差异。上市公司的融资约束程度越弱,当事人越不易和解且越倾向于上诉,而融资约束较强的上市公司出于经济利益最大化的考虑,同样也难以达成和解且倾向于上诉;注重声誉的公司在调解阶段往往不易和解,但在判决阶段也不轻易选择上诉。这一发现对厘清企业的专利诉讼动机,从司法层面促进专利纠纷的解决,设计与完善"激励相容"的司法调解制度和上诉制度具有重要的启示意义。In the era of knowledge economy, patent system has become an important guarantee for the implementation of innovation development strategy in China. To improve the efficiency of settlement of patent disputes is of great significance for enterprises to reduce the cost of litigation and stimulate innovation. Based on the study of the patent litigation cases of A shares listed companies in China during 2001--2014, this paper finds that financial constraints and reputation mechanism both play an important role in the settlement of litigation and decision-making of appeal, but take effect in different ways. The weaker the financial constraints of listed companies are, the more difficult for the parties to reach settlement and more inclined to appeal. The listed companies with strong financial constraints, however, are also difficult to reach settlement and tend to appeal in order to maximize economic interests. Companies who think highly of the innovative reputation are often difficult to reconcile in the mediation stage, but do not tend to appeal in the decision stage either. This discovery has significant implica- tions to clarify motivation of enterprise patent litigation, to promote resolution of patent disputes, and to design and improve ＂incentive compatibility＂ of the judicial mediation system and appeal system.

关 键 词：专利诉讼 专利侵权 专利挑战 融资约束 声誉机制 和解决策 上诉决策 

分 类 号：D926[政治法律—法学] F270[经济管理—企业管理]