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The structure and the emergence of essential patents for standards: Lessons from three IT standards

In: Schumpeterian Perspectives on Innovation, Competition and Growth

Author

Listed:
  • Sadao Nagaoka

    (Hitotsubashi University)

  • Naotoshi Tsukada

    (Hitotsubashi University)

  • Tomoyuki Shimbo

    (Yamagata University)

Abstract

This paper examines the structure and the evolution of the patents judged as essential for three major recent technical standards in information technology (MPEG2, DVD and W-CDMA). We have found that these standards have many essential patents, which are owned by many firms with different interests. The number of essential patents has increased significantly over time since the standard was set. We identify three reasons for why the essential patents are many and increase over time: they cover a number of different technology fields, there exists R&D competition even in a narrowly defined technology field, and a firm can expand its patent portfolio by using continuation and the other practices based on the priority dates of its earlier filed patent applications in the USA. Around 40% of the essential US patents for MPEG2 and DVD standards have been obtained by using these applications. However, our analysis does not support the view that a firm with a pioneering patent can obtain more essential patents, using these practices.

Suggested Citation

  • Sadao Nagaoka & Naotoshi Tsukada & Tomoyuki Shimbo, 2009. "The structure and the emergence of essential patents for standards: Lessons from three IT standards," Springer Books, in: Uwe Cantner & Jean-Luc Gaffard & Lionel Nesta (ed.), Schumpeterian Perspectives on Innovation, Competition and Growth, pages 435-450, Springer.
    • Handle: RePEc:spr:sprchp:978-3-540-93777-7_23
    DOI: 10.1007/978-3-540-93777-7_23
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    Citations

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    Cited by:

    1. Josh Lerner & Jean Tirole, 2015. "Standard-Essential Patents," Journal of Political Economy, University of Chicago Press, vol. 123(3), pages 547-586.
    2. Cesare Righi & Timothy Simcoe, 2022. "Patenting inventions or inventing patents? Continuation practice at the USPTO," Economics Working Papers 1820, Department of Economics and Business, Universitat Pompeu Fabra.
    3. Cesare Righi & Timothy Simcoe, 2022. "Patenting Inventions or Inventing Patents? Continuation Practice at the USPTO," Working Papers 1320, Barcelona School of Economics.
    4. Tomoyuki Shimbo & Sadao Nagaoka & Naotoshi Tsukada, 2024. "Dynamic Effects of Patent Pools: Evidence from Inter-Generational Competition in the Optical Disc Industry," Review of Industrial Organization, Springer;The Industrial Organization Society, vol. 64(3), pages 383-419, May.
    5. TSUKADA Naotoshi & NAGAOKA Sadao, 2011. "Standards as a Knowledge Source for R&D: A first look at their incidence and impacts based on the inventor survey and patent bibliographic data," Discussion papers 11018, Research Institute of Economy, Trade and Industry (RIETI).

    More about this item

    Keywords

    Standard; Essential patent; Continuations;
    All these keywords.

    JEL classification:

    • O31 - Economic Development, Innovation, Technological Change, and Growth - - Innovation; Research and Development; Technological Change; Intellectual Property Rights - - - Innovation and Invention: Processes and Incentives
    • O34 - Economic Development, Innovation, Technological Change, and Growth - - Innovation; Research and Development; Technological Change; Intellectual Property Rights - - - Intellectual Property and Intellectual Capital

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