信息通信技术行业应对NPE标准必要专利诉讼风险研究——基于模糊集定性比较分析

A Research on the Litigation Risk of Standard-Essential Patents by Non-Practicing Entities in the Information and Communication Technologies Industry——Based on Fuzzy Set Qualitative Comparative Analysis

[研究目的]相较于实体企业,NPE企业的专利诉讼行为将对被诉企业造成更大的威胁。近几年,在以标准为基础的信息通信行业中,鉴于标准必要专利的高价值性,NPE的标准必要专利诉讼尤为突出。通过研究这种诉讼行为,有利于企业从源头上进行提前预警和防范,有效规避诉讼风险。[研究方法]通过近三年在信息通信行业中NPE利用标准必要专利所发起的40个诉讼案例为研究样本,建立TOE分析框架,通过模糊集定性比较分析方法(fsQCA),探析在信息通信行业NPE频发标准必要专利诉讼的影响因素,利用不同因素的条件组合探讨企业面临NPE的诉讼风险。[研究结论]NPE商业模式、NPE企业规模、被诉企业规模、诉讼国家法律对NPE的友好度、专利有效性和专利必要性均为信息通信行业中NPE提出标准必要专利诉讼的充分条件。规模越小的投机型NPE企业,最有可能针对大规模信息通信技术企业发起诉讼。其次,当信息通信行业企业规模越大时,NPE企业的专利有效且为必要时,法院所在国家的法律对NPE企业较友好时,也容易引发标准必要专利诉讼。当被诉企业规模大,NPE企业规模小且NPE拥有的专利被无效的可能性大时,即使法律对其诉讼有优势,一般也不会发起诉讼,此时诉讼风险最小。针对上述研究结论,提出了有针对性的防范建议。

[Research purpose]Compared with entity companies,the patent litigation of Non-Practicing Entities(NPE)companies will pose a greater threat to the sued company.In recent years,in the standard-based Information and Communication Technologies(ICT)industry,standard-essential patent litigation by NPE is particularly prominent in light of the high value of standard-essential patents.Through the study of this kind of litigation behavior,it is beneficial for companies to carry out early warning and prevention from the source,so as to effectively avoid litigation risk.[Research method]Through 40 litigation cases initiated by NPE using standard-essential patents in the ICT industry in the past three years as research samples,a TOE analysis framework was established,and based on the Fuzzy Set Qualitative Comparative Analysis method(fsQCA),this paper analyzed the influencing factors of frequent litigation related to standard-essential patents by NPE in ICT industry,and discussed the litigation risk coming from NPE by using the condition combination of different factors.[Research conclusion]The NPE business model,the scale of the NPE company,the scale of the accused company,the friendliness of the law of the litigation country to the NPE,the validity of the patent,and the essentiality of the patent are all sufficient conditions for the NPE in the ICT industry to initiate litigation of standard-essential patents.The smaller speculative NPE companies are most likely to have litigation against large-scale ICT companies.Secondly,it is also easy to trigger litigation of standard-essential patents when the scale of companies in the ICT industry becomes larger,the patents of the NPE companies are valid and essential,and the law of the country where the court is located is more friendly to the NPE companies.When the scale of the sued company is large,the size of the NPE company is small,and under the condition of the patent owned by NPE is likely to be invalid,there will be a low litigation probability even if the law is friendly to its litigation,and the litigation risk is minimal at this time.Finally,this paper puts forward recommendations in response to the above-mentioned research conclusions.