高技术企业专利池中什么特征的专利更容易引起诉讼?——基于MPEGLA的实证研究
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摘要
[目的/意义]以专利为核心的高技术企业竞争越来越激烈,企业之间"专利诉讼"此起彼伏。技术创新复杂度急剧提升,单一企业难以独揽全部前沿技术,专利池因此得到快速发展。高技术企业专利池内什么特征的专利更容易引起诉讼,是否涉及诉讼的专利有哪些差异?该研究对专利池管理公司专利管理和高技术企业技术布局都具有重要意义。[方法/过程]以MPEGLA公司12个专利池2 028项美国专利为样本,研究了专利范围、专利寿命、专利引证和专利池效应对专利诉讼的影响,并进行了实证分析。[结果/结论]诉讼专利和非诉讼专利具有不同特征。技术覆盖范围、权利要求数、专利维持时间、专利被引用数和加入专利池数对专利诉讼有正向影响,池内专利数、专利文献引用数和同族专利数对专利诉讼有负向影响。
[Purpose/Significance]Patent-based competition of high-tech enterprise is becoming more and more fierce, and patent litigation between enterprises comes one after another. As the complexity of technology innovation has increased dramatically, it's difficult for a company to have all advanced technologies, so patent pools spring up and develop rapidly. Patent with what characteristics in the patent pool of high-tech enterprises is more valuable and more likely to cause patent litigation? Are there any differences between litigation patent and non-litigation patent? It's of great significance for both the patent management of patent pool management companies and technology innovation of high-tech enterprises.[Method/Process]Based on the 2028 US patents of 12 patent pools of MPEGLA, the paper studies the impact of patent scope, patent lifetime, patent citation and patent pool effect on patent value, and conducts empirical analysis.[Result/Conclusion]There are different characteristics between litigation patent and non-litigation patent. The technology coverage, number of claims, maintenance time, forward citation and number of patent pools have a positive impact on the patent value. The number of patents in the pool, patent documents citation and patent family have a negative impact on the patent value.
[Purpose/Significance]Patent-based competition of high-tech enterprise is becoming more and more fierce, and patent litigation between enterprises comes one after another. As the complexity of technology innovation has increased dramatically, it's difficult for a company to have all advanced technologies, so patent pools spring up and develop rapidly. Patent with what characteristics in the patent pool of high-tech enterprises is more valuable and more likely to cause patent litigation? Are there any differences between litigation patent and non-litigation patent? It's of great significance for both the patent management of patent pool management companies and technology innovation of high-tech enterprises.[Method/Process]Based on the 2028 US patents of 12 patent pools of MPEGLA, the paper studies the impact of patent scope, patent lifetime, patent citation and patent pool effect on patent value, and conducts empirical analysis.[Result/Conclusion]There are different characteristics between litigation patent and non-litigation patent. The technology coverage, number of claims, maintenance time, forward citation and number of patent pools have a positive impact on the patent value. The number of patents in the pool, patent documents citation and patent family have a negative impact on the patent value.
引文
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[21] Callaert J,Looy B V,Verbeek A,et al.Traces of prior art:An analysis of non-patent references found in patent documents[J].Scientometrics,2006,69(1):3-20.
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[23] Lanjouw J O,Schankerman M.Characteristics of patent litigation:A window on competition[J].Rand Journal of Economics,2001,32(1):129-151.
[24] Gupta K,Snyder M.Smart phone litigation and standard essential patents[J].SSRN Electronic Journal,2014,27(6) :697-711.
[25] Tekic Z,Kukolj D.Threat of litigation and patent value[J].Research Technology Management,2013,56(2):18-25.
[26] Vakili K.Collaborative promotion of technology standards and the impact on innovation,industry structure,and organizational capabilities:Evidence from modern patent pools[J].Organization Science,2016,27(6):1504-1524.
[27] 曹勇,杜蔓.专利池中专利诉讼的发生路径及其启示研究 [J].情报杂志,2018,37(4):69-73,92.
[28] Delcamp H.Are patent pools a way to help patent owners enforce their rights?[J].International Review of Law and Economics,2015,41,68-76.
[29] 毛昊,尹志锋,张锦.策略性专利诉讼模式:基于非专利实施体多次诉讼的研究[J].中国工业经济,2017(2):138-155.
[2] 文家春,乔永忠,朱雪忠.专利侵权诉讼攻防策略研究[J].科学学与科学技术管理,2008,29(7):54-58.
[3] Hu W,Yoshioka-Kobayashi T,Watanabe T.Impact of patent litigation on the subsequent patenting behavior of the plaintiff small and medium enterprises in Japan[J].International Review of Law & Economics,2017,51:23-28.
[4] 张米尔,胡素雅,国伟.低质量专利的识别方法及应用研究[J].科研管理,2013,34(3):122-127.
[5] Carl S.Navigating the patent thicket:Cross licenses,patent pools,and standard-setting[A]//Adam Jaffe,Joshua Lerner,Scott Stern.Innovation Policy and the Economy[C] .USA:MIT Press,2001.
[6] 李玉剑,宣国良.专利联盟:战略联盟研究的新领域[J].中国工业经济,2004(2):48-54.
[7] 李薇.技术标准联盟的本质:基于对R&D联盟和专利联盟的辨析[J].科研管理,2014,35(10):49-56.
[8] 王震.基因专利与专利池[J].研究与发展管理,2007(4):94-100.
[9] 张米尔,国伟,李海鹏.专利申请与专利诉讼相互作用的实证研究[J].科学学研究,2016,34(5):684-689,712.
[10] 刘立春,漆苏.专利特征对药品专利法律质量评估的实证研究[J].科研管理,2015,36(6):119-127.
[11] 张玉蓉,袁春生,余翔.金融商业方法专利诉讼行为之经验研究[J].科研管理,2010,31(4):119-126.
[12] Liu C Y,Wu H L,Lee C Y.The relationship between patent attributes and patent litigation:Considering the moderating effects of managerial characteristics[J].Asia Pacific Management Review,2018,23(2):121-129.
[13] Harhoff D,Reitzig M.Determinants of opposition against EPO patent grants—the case of biotechnology and pharmaceuticals[J].International Journal of Industrial Organization,2004,22(4):443-480.
[14] 张克群,汪程,袁建中,等.专利诉讼与专利特征:以非专利实施实体为例[J].情报杂志,2016,35(8):83-88.
[15] Lerner,Joshua.The importance of patent scope:An empirical analysis[J].Rand Journal of Economics,1994,25(2):319-333.
[16] Mann R J,Underweiser M.A new look at patent quality:Relating patent prosecution to validity[J].Journal of Empirical Legal Studies,2012,9(1):1-32.
[17] Su H N,Chen M L,Lee P C.Patent litigation precaution method:Analyzing characteristics of US litigated and non-litigated patents from 1976 to 2010[J].Scientometrics,2012,92(1):181-195.
[18] Dietmar Harhoff,Francis Narin,F M Scherer,et al.Citation frequency and the value of patented inventions[J].The Review of Economics and Statistics,1999,81(3):511-515.
[19] Denicolò V.The optimal life of a patent when the timing of innovation is stochastic[J].International Journal of Industrial Organization,1999,17(6):827-846.
[20] Deng Y.Private value of European patents[J].European Economic Review,2007,51(7):1785-1812.
[21] Callaert J,Looy B V,Verbeek A,et al.Traces of prior art:An analysis of non-patent references found in patent documents[J].Scientometrics,2006,69(1):3-20.
[22] Guo Y,Hu Y,Zheng M,et al.Patent indicators:A window to pharmaceutical market success.[J].Expert Opinion on Therapeutic Patents,2013,23(7):765-771.
[23] Lanjouw J O,Schankerman M.Characteristics of patent litigation:A window on competition[J].Rand Journal of Economics,2001,32(1):129-151.
[24] Gupta K,Snyder M.Smart phone litigation and standard essential patents[J].SSRN Electronic Journal,2014,27(6) :697-711.
[25] Tekic Z,Kukolj D.Threat of litigation and patent value[J].Research Technology Management,2013,56(2):18-25.
[26] Vakili K.Collaborative promotion of technology standards and the impact on innovation,industry structure,and organizational capabilities:Evidence from modern patent pools[J].Organization Science,2016,27(6):1504-1524.
[27] 曹勇,杜蔓.专利池中专利诉讼的发生路径及其启示研究 [J].情报杂志,2018,37(4):69-73,92.
[28] Delcamp H.Are patent pools a way to help patent owners enforce their rights?[J].International Review of Law and Economics,2015,41,68-76.
[29] 毛昊,尹志锋,张锦.策略性专利诉讼模式:基于非专利实施体多次诉讼的研究[J].中国工业经济,2017(2):138-155.