标准必要专利FRAND许可费确定的影响因素实证研究  

An empirical study of the influencing factors to determine the FRAND license royalties for standard-essential patents

作　　者：张玉蓉[1] 吴文飞 Zhang Yurong;Wu Wenfei(Intellectual Property Academy,Shanghai University,Shanghai 200444,China)

机构地区：[1]上海大学知识产权学院,上海200444

出　　处：《科研管理》2023年第2期146-155,共10页Science Research Management

基　　金：教育部人文社会科学青年基金项目:“FRAND原则下标准必要专利许可费率的确定研究”(17YJCZH253)。

摘　　要：标准必要专利是新一代信息技术等技术密集型行业竞争的核心。标准必要专利的有效许可和实施是实现经济数字化转型升级的重要驱动力。虽然国际标准组织提出了以FRAND原则为核心的标准必要专利许可实施的国际规则治理体系,但在FRAND原则内涵模糊且无强制约束力的情形下,以标准必要专利许可费确定为核心的诉讼纠纷席卷全球。为探寻FRAND许可费确定的影响因素,本研究从专利价值评估理论及司法实践中寻找突破方式,对FRAND许可费确定的影响因素从专利价值确定的商业因素、技术因素和法律因素三个维度进行理论探讨,然后选取17个国内外典型案例进行实证研究,分析各因素的可行性及适用难点。研究发现:考量频率由高到低依次为:商业因素、技术因素、法律因素。商业因素中,可对比的许可是首选方式。技术因素中,专利对产品的技术贡献、专利对标准技术能力的贡献是次优方式,而专利胜过可替代技术的效用和优势、替代技术方案的实施成本因操作难度太高而缺乏参考意义。法律因素难以定量,故参考意义较小,但可为计算方法的选择、禁令救济的限制等提供参考。基于以上结论,本文为确定FRAND许可费提供了针对性建议。Standard-essential patents(SEPs)are the core of competition in technology-intensive industries such as a new generation of information technology.The effective licensing and implementation of SEPs is an important driving force for realizing economic digital transition and upgrading.Although the International Standards Organization has proposed a governance system of international rule based on FRAND principle as the core for the licensing of SEPs,litigation disputes focused on the determination of the FRAND license royalties sweep the globe because the FRAND principle is vague and has no mandatory binding force.In order to explore the factors affecting the determination of the FRAND license royalties,an empirical study is analyzed based on the theory of patent value evaluation and judicial practice.The factors affecting the determination of the FRAND license royalties are studied from the three dimensions of the determination of patent value:commercial factors,technical factors and legal factors.In order to analyze the influencing factors of the determination of license royalties for SEPs encumbered FRAND,this article first systematically examines the influencing factors of the determination of FRAND license royalties from the above three dimensions.On the basis of theoretical analysis,17 typical cases from different jurisdictions are selected for empirical research,including the feasibility and difficulties of application of each factor,identifying the main influencing factors and their approaches to measure for exploring the way of determining FRAND license royalties.The conclusions of this paper reveal that commercial factors,technical factors,and legal factors are sequenced according to the frequency from high to low when considering the three major categories.Specifically,first,among commercial factors,comparable licenses are the preferred way to determine FRAND license royalties because this method can reflect the economic value of the patented technology in the market,respect for the principle of freedom o

关 键 词：FRAND许可费 标准必要专利 专利价值评估 Georgia-Pacific因素法 

分 类 号：D923.42[政治法律—民商法学]