Patents are a form of intellectual property rights (IPRs) that are particularly relevant to promoting innovative activities. A patent grants to its owner a temporary exclusive right over inventions that are new, involve an inventive step and are susceptible of industrial application. Relying on this right, inventors can protect their ideas from imitation and gain an economic return from their past investments in research and development (R&D). However, the use of patents has undergone a significant transformation, extending beyond the traditional purpose of rewarding innovative efforts. Especially in the field of Information and Communication Technology (ICT), patents are increasingly used as strategic tools (Blind, 2021). Moreover, over the past three decades, the sharp increase in the number of granted patents and the unprecedented flourishing of patent trading have paved the way for new intermediaries in the market for technology (Hagiu and Yoffie, 2013). Non-practicing entities (NPEs)—firms that do not use their patents in a traditional manufacturing sense, but primarily engage in licensing and enforcement—have emerged as prominent actors on the patent market (Golden, 2007; Feldman and Ewing, 2012). Also referred to as Patent Assertion Entities (PAEs), sometimes pejoratively called "patent trolls," NPEs have greatly polarized the academic and policy debate. Due to their non-manufacturing status, NPEs have unique advantages over operating companies. They are typically shielded from patent infringement counter-claims and have recently faced allegations of employing patent "hold-up" strategies (Lemley and Shapiro, 2007), which some argue it imposes a significant "tax on innovation" with potential negative effects on subsequent innovation (Chien, 2008). While NPEs have been extensively analyzed in the US patent market since their emergence in the early 2000s (Mezzanotti, 2021; Lemley and Zyontz, 2021), it is only recently that researchers have started to investigate their presence in the European technology market (Fusco, 2013; Love, 2013; Leiponen and Delcamp, 2019). This thesis aims to address these research gaps by examining the NPE phenomenon in the European patent marketplace. First, we extensively explore and analyze the literature on NPE business models by adopting a novel bibliometric approach guided by the Preferred Reporting Items for Systematic Review and Meta-Analysis (PRISMA) protocol for systematic literature reviews. In addition, we will integrate three relevant NPE business models case studies. Second, we empirically investigate the presence of NPEs in the European patent market through a brand-new dataset of NPE patent filings and acquisitions at the European Patent Office (EPO). Furthermore, we develop an original taxonomy, thus categorizing NPEs into three business models: "Litigation," "Portfolio" and "Technology" NPEs. Finally, we empirically explore the interplay between the quality characteristics of the asserted patent and the propensity of NPEs to choose specific European jurisdictions where to initiate litigation (forum shopping).
I brevetti sono una forma di diritti di proprietà intellettuale particolarmente rilevante per promuovere attività innovative. Un brevetto concede al suo proprietario un temporaneo diritto esclusivo su invenzioni che sono nuove, comportano un passo inventivo e sono suscettibili di applicazione industriale. Con questo diritto, gli inventori possono proteggere le loro idee dall'imitazione e ottenere un ritorno economico dai loro investimenti in ricerca e sviluppo (R&S). Tuttavia, l'uso dei brevetti ha subito una significativa trasformazione, estendendosi oltre lo scopo tradizionale di ricompensare gli sforzi innovativi. In particolare, nel campo delle Tecnologie dell'Informazione e della Comunicazione (ICT), i brevetti sono sempre più utilizzati come strumenti strategici (Blind, 2021). In particolare negli ultimi trent’anni, l'impressionante aumento del numero di brevetti concessi e l’emergere di un vero e proprio mercato dei brevetti hanno creato le condizioni per lo sviluppo di nuovi intermediari nel mercato delle tecnologie (Hagiu e Yoffie, 2013). Le "non-practicing entities"—aziende che non utilizzano i loro brevetti in senso tradizionale, ma si dedicano principalmente alla concessione di licenze e al ricorso al contenzioso legale—sono così emerse come attori di spicco nel mercato dei brevetti (Golden, 2007; Feldman ed Ewing, 2012). Comunemente definite anche "patent assertion entities" (PAE), e talvolta in modo dispregiativo "patent trolls," le NPEs hanno fortemente polarizzato il dibattito accademico e politico. A causa del loro status di entità non produttiva, le NPEs vantano vantaggi specifici rispetto alle entità che al contrario implementano direttamente nei loro prodotti le tecnologie di cui sono proprietarie. Per esempio, le NPEs sono tipicamente al riparo da contro-ingiunzioni per violazione del diritto di proprietà intellettuale e per questo sono state accusate di mettere in pratica strategie di "patent hold-up" (Lemley e Shapiro, 2007), che alcuni sostengono impongano una "tassa sull'innovazione" con effetti negativi sull'innovazione futura (Chien, 2008). Mentre le NPEs sono state ampiamente analizzate nel mercato dei brevetti degli Stati Uniti fin dalla loro comparsa all'inizio degli anni 2000 (Mezzanotti, 2021; Lemley e Zyontz, 2021), è solo di recente che i ricercatori hanno iniziato a studiare la loro presenza nel mercato tecnologico europeo (Fusco, 2013; Love, 2013; Leiponen e Delcamp, 2019). Questa tesi si propone esainare nel dettaglio il fenomeno delle NPEs nel mercato europeo dei brevetti. Il primo capitolo della tesi analizza la letteratura sui modelli di business delle NPEs, adottando un innovativo approccio bibliometrico per un esame sistematico della letteratura esistente guidato dal protocollo PRISMA (Preferred Reporting Items for Systematic Review and Meta-Analysis). Successivamente ad un’analisi critica della letterature rilevante vengono presentati tre casi studio sui modelli di business delle NPEs. Nel secondo capitolo, la presenza delle NPEs nel mercato europeo dei brevetti viene empiricamente analizzata attraverso un nuovo dataset di depositi e acquisizioni di brevetti da parte delle NPEs presso l'Ufficio Europeo dei Brevetti (EPO). In questo capitolo viene inoltre sviluppata una nuova tassonomia, che classifica le NPEs in tre modelli di business: "Litigation," "Portfolio" e "Technology" NPEs. Infine, il terzo capitolo esplora empiricamente l'interazione tra le caratteristiche qualitative del brevetto litigato e la propensione delle NPEs a scegliere giurisdizioni europee specifiche in cui avviare contenziosi (“forum shopping”).
Innovation, Intellectual Property Rights and Non-Practicing Entities in the European Patent Market / Cecilia Maronero , 2023 Dec 20. 36. ciclo, Anno Accademico 2021/2022.
Innovation, Intellectual Property Rights and Non-Practicing Entities in the European Patent Market
MARONERO, CECILIA
2023-12-20
Abstract
Patents are a form of intellectual property rights (IPRs) that are particularly relevant to promoting innovative activities. A patent grants to its owner a temporary exclusive right over inventions that are new, involve an inventive step and are susceptible of industrial application. Relying on this right, inventors can protect their ideas from imitation and gain an economic return from their past investments in research and development (R&D). However, the use of patents has undergone a significant transformation, extending beyond the traditional purpose of rewarding innovative efforts. Especially in the field of Information and Communication Technology (ICT), patents are increasingly used as strategic tools (Blind, 2021). Moreover, over the past three decades, the sharp increase in the number of granted patents and the unprecedented flourishing of patent trading have paved the way for new intermediaries in the market for technology (Hagiu and Yoffie, 2013). Non-practicing entities (NPEs)—firms that do not use their patents in a traditional manufacturing sense, but primarily engage in licensing and enforcement—have emerged as prominent actors on the patent market (Golden, 2007; Feldman and Ewing, 2012). Also referred to as Patent Assertion Entities (PAEs), sometimes pejoratively called "patent trolls," NPEs have greatly polarized the academic and policy debate. Due to their non-manufacturing status, NPEs have unique advantages over operating companies. They are typically shielded from patent infringement counter-claims and have recently faced allegations of employing patent "hold-up" strategies (Lemley and Shapiro, 2007), which some argue it imposes a significant "tax on innovation" with potential negative effects on subsequent innovation (Chien, 2008). While NPEs have been extensively analyzed in the US patent market since their emergence in the early 2000s (Mezzanotti, 2021; Lemley and Zyontz, 2021), it is only recently that researchers have started to investigate their presence in the European technology market (Fusco, 2013; Love, 2013; Leiponen and Delcamp, 2019). This thesis aims to address these research gaps by examining the NPE phenomenon in the European patent marketplace. First, we extensively explore and analyze the literature on NPE business models by adopting a novel bibliometric approach guided by the Preferred Reporting Items for Systematic Review and Meta-Analysis (PRISMA) protocol for systematic literature reviews. In addition, we will integrate three relevant NPE business models case studies. Second, we empirically investigate the presence of NPEs in the European patent market through a brand-new dataset of NPE patent filings and acquisitions at the European Patent Office (EPO). Furthermore, we develop an original taxonomy, thus categorizing NPEs into three business models: "Litigation," "Portfolio" and "Technology" NPEs. Finally, we empirically explore the interplay between the quality characteristics of the asserted patent and the propensity of NPEs to choose specific European jurisdictions where to initiate litigation (forum shopping).File | Dimensione | Formato | |
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