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Disclosure Rules and Declared Essential Patents

Author

Listed:
  • Rudi Bekkers
  • Christian Catalini
  • Arianna Martinelli
  • Cesare Righi
  • Timothy Simcoe

Abstract

Many standard setting organizations (SSOs) require participants to disclose patents that might be infringed by implementing a proposed standard, and commit to license their “essential” patents on terms that are at least fair, reasonable and non-discriminatory (FRAND). Data from these SSO intellectual property disclosures have been used in academic studies to provide a window into the standard setting process, and in legal proceedings to assess parties’ relative contributions to a standard. We develop a simple model of the disclosure process to illustrate the link between SSO rules and patent-holder incentives, and examine some of the model’s predictions using a novel dataset constructed from the disclosure archives of thirteen major SSOs. The central message of the paper is that subtle differences in the rules used by different SSOs can influence which patents are disclosed, the terms of licensing commitments, and ultimately long-run citation and litigation rates for the underlying patents.

Suggested Citation

  • Rudi Bekkers & Christian Catalini & Arianna Martinelli & Cesare Righi & Timothy Simcoe, 2017. "Disclosure Rules and Declared Essential Patents," NBER Working Papers 23627, National Bureau of Economic Research, Inc.
  • Handle: RePEc:nbr:nberwo:23627
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    References listed on IDEAS

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    1. Stuart J.H. Graham & Galen Hancock & Alan C. Marco & Amanda Fila Myers, 2013. "The USPTO Trademark Case Files Dataset: Descriptions, Lessons, and Insights," Journal of Economics & Management Strategy, Wiley Blackwell, vol. 22(4), pages 669-705, December.
    2. Guimaraes, Paulo & Portugal, Pedro, 2009. "A Simple Feasible Alternative Procedure to Estimate Models with High-Dimensional Fixed Effects," IZA Discussion Papers 3935, Institute for the Study of Labor (IZA).
    3. Kang, Byeongwoo & Bekkers, Rudi, 2015. "Just-in-time patents and the development of standards," Research Policy, Elsevier, vol. 44(10), pages 1948-1961.
    4. Bekkers, Rudi & Bongard, René & Nuvolari, Alessandro, 2011. "An empirical study on the determinants of essential patent claims in compatibility standards," Research Policy, Elsevier, vol. 40(7), pages 1001-1015, September.
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    More about this item

    JEL classification:

    • D22 - Microeconomics - - Production and Organizations - - - Firm Behavior: Empirical Analysis
    • K2 - Law and Economics - - Regulation and Business Law
    • K21 - Law and Economics - - Regulation and Business Law - - - Antitrust Law
    • L15 - Industrial Organization - - Market Structure, Firm Strategy, and Market Performance - - - Information and Product Quality
    • L17 - Industrial Organization - - Market Structure, Firm Strategy, and Market Performance - - - Open Source Products and Markets
    • L24 - Industrial Organization - - Firm Objectives, Organization, and Behavior - - - Contracting Out; Joint Ventures
    • L63 - Industrial Organization - - Industry Studies: Manufacturing - - - Microelectronics; Computers; Communications Equipment

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