專利拍賣可行性研究

Abstract

專利的重要性與日俱增，但專利交易卻因為技術移轉的障礙甚高導致成本過高。本研究主要目的為建立一套專利拍賣模式，藉由文獻探討、專家深度訪談和情境分析法，釐清影響專利交易重要和不確定因素，進而建立專利拍賣情境主題、情境藍圖和流程圖。 依研究歸納，標價交易制度雖省時卻沒有彈性，議價交易制度費時但有彈性，而拍賣制度則介於兩者之間。拍賣作為價格發現的機制，具有引人注目的功能，正確的使用拍賣制度能讓拍賣品的成交價格合理（進入核中），讓買賣雙方獲益。現行技術移轉的障礙，最常見問題為資訊不對稱、鑑價困難，另外技術本身的不確定性、隱藏性、複雜性以及買賣雙方的可性度都是技術移轉時的關鍵因素。 在研究結果方面，本研究建議適合利用拍賣方式交易的專利必須是所有權明確且買家至少有三家以上的，另外需要符合下列三個條件的其中一項：(1)已確定能商品化，或(2)低於成本價販售的專利，或(3)有可能被他人侵權之專利。本研究建議由非買方或賣方的第三者拍賣機構承辦專利拍賣較適宜。 在拍賣方式的選擇上，本研究依情境主題，將情境分為買方數量在三至七家者，建議採用投標式拍賣；買方數量大於七家者，建議採用英國式拍賣，依照不同專利設計不同的拍賣方式為宜。 在拍賣公告內容方面，本研究建議網路上公告一個月，關於拍賣品的專利資產特性、交易合約和拍賣規則與合約，其中專利資產特性包括專利摘要表、專利技術分析，亦可舉辦說明會。

The rising importance of patents as a competitive asset has attracted a great deal of attention of enterprises and research organizations. Nevertheless, the transaction of patents has significant difficulties due to the inherited characteristics of technology and pertinent legal protection. This thesis addresses a feasibility study on patent auction. It consists of three research approaches; field survey, expert interview, and scenario analysis. The propose of the thesis is to establish a model of patent auction. This research suggests that in order to facilitate the patent auction, a patent must has five characteristics:(1) clearand well—defined scope and ownership,(2) more than three buyers,(3) feasible commercialization of patented technology,(4) the price is lower than research cost of the buyers, and(5) others are liable to infringe the patent on auction. It also suggests that patent auction should be conducted by impartial organizations. In choosing the auction modes, this research suggests that 3 to 7 buyers is are suitable for Ascending-Bid type, and the number of buyers greater than 7is suitable for Simultaneous-Bid. In general, an auction mode depends on the characteristics of a patent to be sold is the underlying principle for patent auction.