Filing behaviour regarding essential patents in industry standards
This article addresses companies’ filing behaviour in respect of patents relevant for standard-setting (“essential patents”). We discuss applicants’ incentives to achieve conformity of patent applications with technology standards under development. Based on these incentive structures, we hypothesise that the claims of essential patents are amended more often than those of comparable patents. Additionally, we argue that applicants have incentives to delay the grant decision. As a result, essential patents are hypothesised to have longer pendency times than comparable patents. This implies more possibilities for applicants to exploit the flexibility within the patent application process to amend the claims of pending patent applications. For empiric validation, we use procedural patent data from the European patent application process. We adopt a one-to-one matching approach, pairing essential patents in telecommunications with control patents on the matching criteria of technology class, filing date and applicant name. Additionally, we compare these essentials with patents from companies that do not hold standards-relevant patents. We detect higher numbers of claims and amendments to claims as well as other relevant characteristics for the essential patents. Using survival analysis, we show that the higher numbers of amendments and claims and the higher share of X references are responsible for higher pendency times, since they significantly decrease hazard rates in the survival analysis. We discuss the general implications for the functioning of the patent system and address the detrimental effects caused by the high degree of uncertainty generated by these filing strategies. Possible solutions such as better co-ordination are devised.
If you experience problems downloading a file, check if you have the proper application to view it first. In case of further problems read the IDEAS help page. Note that these files are not on the IDEAS site. Please be patient as the files may be large.
As the access to this document is restricted, you may want to look for a different version under "Related research" (further below) or search for a different version of it.
References listed on IDEAS
Please report citation or reference errors to , or , if you are the registered author of the cited work, log in to your RePEc Author Service profile, click on "citations" and make appropriate adjustments.:
- Nicolas van Zeebroeck & Bruno Van Pottelsberghe & Dominique Guellec, 2009.
"Claiming more: the increased voluminosity of patent applications and its determinants,"
ULB Institutional Repository
2013/60726, ULB -- Universite Libre de Bruxelles.
- van Zeebroeck, Nicolas & van Pottelsberghe de la Potterie, Bruno & Guellec, Dominique, 2009. "Claiming more: the Increased Voluminosity of Patent Applications and its Determinants," Research Policy, Elsevier, vol. 38(6), pages 1006-1020, July.
- Nicolas van Zeebroeck & Bruno Van Pottelsberghe & Dominique Guellec, 2006. "Claiming more: the increased voluminosity of patent applications and its determinants," Working Papers CEB 06-018.RS, ULB -- Universite Libre de Bruxelles.
- Guellec, Dominique & van Pottelsberghe de la Potterie, Bruno & van Zeebroeck, Nicolas, 2006. "Claiming More: The Increased Voluminosity of Patent Applications and its Determinants," CEPR Discussion Papers 5971, C.E.P.R. Discussion Papers.
- Farrell, Joseph & Saloner, Garth, 1987.
"Coordination Through Committees and Markets,"
Department of Economics, Working Paper Series
qt5sn4b6v4, Department of Economics, Institute for Business and Economic Research, UC Berkeley.
- Joseph Farrell and Garth Saloner., 1988. "Coordination through Committees and Markets," Economics Working Papers 8864, University of California at Berkeley.
- Farrell, Joseph & Saloner, Garth, 1988. "Coordination Through Committees and Markets," Department of Economics, Working Paper Series qt08w115vq, Department of Economics, Institute for Business and Economic Research, UC Berkeley.
- Joseph Farrell and Garth Saloner., 1987. "Coordination Through Committees and Markets," Economics Working Papers 8740, University of California at Berkeley.
- Bronwyn H. Hall & Adam Jaffe & Manuel Trajtenberg, 2005. "Market Value and Patent Citations," RAND Journal of Economics, The RAND Corporation, vol. 36(1), pages 16-38, Spring.
- Adam B. Jaffe & Manuel Trajtenberg, 2005. "Patents, Citations, and Innovations: A Window on the Knowledge Economy," MIT Press Books, The MIT Press, edition 1, volume 1, number 026260065x.
- Marc Rysman & Tim Simcoe, 2005.
"Patents and the Performance of Voluntary Standard Setting Organizations,"
05-22, NET Institute, revised Oct 2005.
- Marc Rysman & Timothy Simcoe, 2008. "Patents and the Performance of Voluntary Standard-Setting Organizations," Management Science, INFORMS, vol. 54(11), pages 1920-1934, November.
- Rysman, Marc & Simcoe, Tim, 2009. "Patents and the Performance of Voluntary Standard Setting Organizations," PIE/CIS Discussion Paper 418, Center for Intergenerational Studies, Institute of Economic Research, Hitotsubashi University.
- Carl Shapiro, 2004.
"Navigating the Patent Thicket: Cross Licenses, Patent Pools and Standard Setting,"
Levine's Working Paper Archive
122247000000000539, David K. Levine.
- Carl Shapiro, 2001. "Navigating the Patent Thicket: Cross Licenses, Patent Pools, and Standard Setting," NBER Chapters, in: Innovation Policy and the Economy, Volume 1, pages 119-150 National Bureau of Economic Research, Inc.
- Shapiro, Carl, 2000. "Navigating the Patent Thicket: Cross Licenses, Patent Pools, and Standard-Setting," Competition Policy Center, Working Paper Series qt4hs5s9wk, Competition Policy Center, Institute for Business and Economic Research, UC Berkeley.
- Carl Shapiro, 2003. "Navigating the Patent Thicket: Cross Licenses, Patent Pools, and Standard-Setting," Law and Economics 0303005, EconWPA.
- Colin Webb & Hélène Dernis & Dietmar Harhoff & Karin Hoisl, 2005. "Analysing European and International Patent Citations: A Set of EPO Patent Database Building Blocks," OECD Science, Technology and Industry Working Papers 2005/9, OECD Publishing.
- Benjamin Chiao & Josh Lerner & Jean Tirole, 2005.
"The Rules of Standard Setting Organizations: An Empirical Analysis,"
NBER Working Papers
11156, National Bureau of Economic Research, Inc.
- Benjamin Chiao & Josh Lerner & Jean Tirole, 2007. "The rules of standard-setting organizations: an empirical analysis," RAND Journal of Economics, RAND Corporation, vol. 38(4), pages 905-930, December.
- Chiao, Benjamin & Lerner, Josh & Tirole, Jean, 2006. "The Rules of Standard Setting Organizations: an Empirical Analysis," IDEI Working Papers 388, Institut d'Économie Industrielle (IDEI), Toulouse.
- Chiao, Benjamin & Lerner, Josh & Tirole, Jean, 2007. "The Rules of Standard Setting Organizations: An Empirical Analysis," CEPR Discussion Papers 6141, C.E.P.R. Discussion Papers.
- Bruno Van Pottelsberghe & Dominique Guellec, 2007.
"The economics of the European patent system: IP policy for innovation and competition,"
ULB Institutional Repository
2013/6183, ULB -- Universite Libre de Bruxelles.
- Guellec, Dominique & van Pottelsberghe de la Potterie, Bruno, 2007. "The Economics of the European Patent System: IP Policy for Innovation and Competition," OUP Catalogue, Oxford University Press, number 9780199216987.
- Aija Elina Leiponen, 2008. "Competing Through Cooperation: The Organization of Standard Setting in Wireless Telecommunications," Management Science, INFORMS, vol. 54(11), pages 1904-1919, November.
- Wipo, 2009. "World Intellectual Property Indicators, 2009 edition," WIPO Economics & Statistics Series, World Intellectual Property Organization - Economics and Statistics Division, number 2009:941.
- Josh Lerner & Jean Tirole, 2006. "A Model of Forum Shopping," American Economic Review, American Economic Association, vol. 96(4), pages 1091-1113, September.
- Dietmar Harhoff & Stefan Wagner, 2009. "The Duration of Patent Examination at the European Patent Office," Management Science, INFORMS, vol. 55(12), pages 1969-1984, December.
- Blind, Knut & Edler, Jakob & Frietsch, Rainer & Schmoch, Ulrich, 2006. "Motives to patent: Empirical evidence from Germany," Research Policy, Elsevier, vol. 35(5), pages 655-672, June.
- Bekkers, Rudi & West, Joel, 0. "The limits to IPR standardization policies as evidenced by strategic patenting in UMTS," Telecommunications Policy, Elsevier, vol. 33(1-2), pages 80-97, February.
- Blind, Knut & Thumm, Nikolaus, 2004. "Interrelation between patenting and standardisation strategies: empirical evidence and policy implications," Research Policy, Elsevier, vol. 33(10), pages 1583-1598, December.
- Jean O. Lanjouw & Mark Schankerman, 2004. "Patent Quality and Research Productivity: Measuring Innovation with Multiple Indicators," Economic Journal, Royal Economic Society, vol. 114(495), pages 441-465, 04.
When requesting a correction, please mention this item's handle: RePEc:eee:respol:v:41:y:2012:i:1:p:216-225. See general information about how to correct material in RePEc.
For technical questions regarding this item, or to correct its authors, title, abstract, bibliographic or download information, contact: (Dana Niculescu)
If you have authored this item and are not yet registered with RePEc, we encourage you to do it here. This allows to link your profile to this item. It also allows you to accept potential citations to this item that we are uncertain about.
If references are entirely missing, you can add them using this form.
If the full references list an item that is present in RePEc, but the system did not link to it, you can help with this form.
If you know of missing items citing this one, you can help us creating those links by adding the relevant references in the same way as above, for each refering item. If you are a registered author of this item, you may also want to check the "citations" tab in your profile, as there may be some citations waiting for confirmation.
Please note that corrections may take a couple of weeks to filter through the various RePEc services.