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1.
This article assesses the impact in the US of adopting a patent post-grant review (PGR) procedure similar to one provided in the America Invents Act (AIA) of 2011. We employ novel methods for matching US patents to their European counterparts to find that opposition rates are about three times higher among European Patent Office (EPO) equivalents of US litigated patents as against control-group (unlitigated) patents. Contingent on reaching a final judgment in EPO post-grant opposition, we find that about 70% of these equivalents have challenged claims that are either completely revoked or amended. Using our empirical findings to inform a series of welfare estimates, we calculate benefit-to-cost ratios that the US may expect from implementing PGR in the range of 4:1–10:1. We also discover that these large social benefits result primarily from eliminating unwarranted market power in the current stock of granted patents, and much less so from litigation cost savings per se. Our results provide evidence that the US may benefit substantially from adopting the AIA post-grant review, but only provided that costs are controlled and that administration and appeals are not allowed to become too costly.  相似文献   

2.
Although China is now the largest patent filing country in the world, research on the duration and outcomes of patent examination remains scarce. In this study, we conduct a replication and extension of Harhoff and Wagner’s (2009) work on the determinants of patent examination duration at the European Patent Office (EPO), using a rich dataset covering the population of about 1.1 million invention patent applications to China’s State Intellectual Property Office (SIPO) from 1993 to 2006. By considering all three competing examination outcomes (grant, withdrawal, and refusal) simultaneously, our competing risks analysis replicates many of the results in prior research and confirms that a number of the determinants have differential effects on pendencies for different outcomes. Our analysis also reveals several applicant and application characteristics whose effects on pendencies for specific outcomes differ from prior research. Finally, by incorporating a number of new determinants, we report a set of new findings about their effects on the examination duration for the three outcomes at SIPO.  相似文献   

3.
Innovative public procurement is increasingly considered as a form of public support for private innovation activities by both innovation scholars and policymakers. Economic historians have suggested an even more fundamental role of public procurement in setting the pace of technological change, reporting how defense-related procurement has had a major impact on the emergence and diffusion of many general purpose technologies developed in the United States in the 20th century. In this paper, I suggest that procurement might represent one of the most important elements in creating the right soil to ‘cultivate’ a technology that may have the potential to reach high levels of pervasiveness. To test this hypothesis, I make use of patent data and patent citations. I design a quasi-experiment to compare the changes in the level of generality level over time, between a group of treated and a group of control patents. A patent is assigned to the treatment group if it receives a citation from a patent related to public procurement. Results suggest a positive and significant impact of innovative public procurement on the generality of a patent.  相似文献   

4.
We examine patent licensing business models of non-practicing entities that generate revenue by selling, licensing, or litigating patents. They may also pursue R&D activities, invent new technologies, or provide services to inventors or product companies. We describe their business models and patent market behavior and then compare their litigation strategies against product companies using a matched sample of highly comparable patents. The main differences among patent licensing firms stem from their technological capabilities, patent portfolio sizes, and external relationships. We find that licensing firms with technological capabilities often pursue litigation until decision and engage in forum shopping. In contrast, litigation incidence, parties involved, and outcomes are primarily determined by patent characteristics, not entity types. Licensing business models drive the acquisition of certain types of patents that influence the outcomes of the patent system. We argue that patent policy should strengthen mechanisms to discover invention quality rather than focus on the amount of litigation or types of entities.  相似文献   

5.
Research into invention, innovation policy, and technology strategy can greatly benefit from an accurate understanding of inventor careers. The United States Patent and Trademark Office does not provide unique inventor identifiers, however, making large-scale studies challenging. Many scholars of innovation have implemented ad-hoc disambiguation methods based on string similarity thresholds and string comparison matching; such methods have been shown to be vulnerable to a number of problems that can adversely affect research results. The authors address this issue contributing (1) an application of the Author-ity disambiguation approach (0170 and 0175) to the US utility patent database, (2) a new iterative blocking scheme that expands the match space of this algorithm while maintaining scalability, (3) a public posting of the algorithm and code, and (4) a public posting of the results of the algorithm in the form of a database of inventors and their associated patents. The paper provides an overview of the disambiguation method, assesses its accuracy, and calculates network measures based on co-authorship and collaboration variables. It illustrates the potential for large-scale innovation studies across time and space with visualizations of inventor mobility across the United States. The complete input and results data from the original disambiguation are available at (http://dvn.iq.harvard.edu/dvn/dv/patent); revised data described here are at (http://funglab.berkeley.edu/pub/disamb_no_postpolishing.csv); original and revised code is available at (https://github.com/funginstitute/disambiguator); visualizations of inventor mobility are at (http://funglab.berkeley.edu/mobility/).  相似文献   

6.
In 1984, Don Lamberton wrote a two-page disclaimer to a review of the Australian patent system, pointing out that there was nothing economic about the review and that it simply pandered to special interest groups. Some 30 years later, the Productivity Commission has been given a shorter time frame (one year) and a broader remit (all intellectual property). This paper reviews the issues addressed in the Industrial Property Advisory Committee (IPAC) review of 1984. Since it was completed, substantially more empirical evidence has become available, while room for policy improvement has been curtailed by international trade treaties. While the Productivity Commission will take a sound economic approach, the breadth of its remit may prevent full appreciation of the critical issues in patent policy. This paper considers the options remaining to the Commission to recommend improvements in the national interest. Whether these will be taken up depends on the priority given to the interests of small but powerful lobby groups.  相似文献   

7.
笔者在近来的代理实务中,遇到了一个典型的案例。申请人是某美国公司,其主张利用美国的在先的"实用专利"(utility patent)申请作为中国外观设计优先权的基础。在审查过程中,审查员发现作为优先权基础的美国申请的类别是"实用专利",据此认为,在先申请与在后的申请并非同一主题,故发出"视为未要求外国优先权通知书"。  相似文献   

8.
《Research Policy》2021,50(10):104360
We investigate how U.S. Patent and Trademark Office (USPTO) patent examiner experience and seniority-based incentives affect the innovation ecosystem. First, we show that examiners respond to production incentives and demonstrate learning by increasing the use of examiner’s amendments in both experience and seniority, a mechanism not previously studied. Second, this examination procedure directly benefits innovators and firms by significantly reducing prosecution processing time without impacting patent quality. Finally, after considering examiner’s amendments, the negative relationship between examiner characteristics and patent examination quality found in the previous literature does not persist at first action, a decision point that allows for the clear measurement of examiner behavior. Our results demonstrate a need for reformulated policy recommendations related to the structure of examination at the USPTO.  相似文献   

9.
The value of patented innovations has attracted substantial research attention, especially in the context of patent renewal. However, research often assumes that a firm's patented innovations are independent from each other. We draw upon evolutionary economics and suggest that some of a firm's patents share important genealogical relationships, which we refer to as internal sequential innovations. We propose internal sequential innovations are more valuable and therefore more likely to be renewed than stand-alone innovations. We examine our hypotheses from a dataset of US pharmaceutical and biotechnology patents. The results confirm our hypotheses at both the patent and the firm levels.  相似文献   

10.
《中国专利与商标》2020,(2):104-104
Japan,the United States and Germany topped the list of the most patent filings in China in 2019,according to the China’s National Intellectual Property Administration(CNIPA).Market entities from 186 countries and regions applied for patents and trademarks in China in 2019.Japan.  相似文献   

11.
Patent management tasks involve many stakeholders from diverse disciplines and hierarchies as well as from inside and outside the organization. By drawing on the transaction cost and stakeholder theories, Blockchain technology offers new opportunities to rethink the way in which stakeholders are organized and collaborate. Although Blockchain technology receives considerable attention from both the public and academia, the question of how Blockchain technology leverages patent management in particular has so far been neglected, although it holds great promise. Consequently, this is what we choose to be our basic research question. In response to it, we conduct a systematic literature review, following a procedure in three steps. Out of an initial sample of 714 articles, we select 52 as being particularly relevant, and classify them in accordance with the dimensions of the 7D Patent Management Maturity Model. Three main foci regarding the use of Blockchain technology emerge – i.e. for the generation, the enforcement, and the exploitation of patents. This study contributes to scholarship and management by showing that Blockchain technology mitigates environmental and behavioral uncertainty, while stimulating new governance forms and business models by reorganizing or discarding stakeholders.  相似文献   

12.
In 2019,the European Patent Office (EPO) received over 181,000 applications,4%more than in 2018 and a new all-time high.Growth was mainly fuelled by the strong increase in filing volumes from China,the US and South Korea,with patent applications from the EPO countries also growing.Patent applications originating from China at the EPO grew by 29.2 percent in 2019,the highest growth rate among the ten leading patent filing countries,to 12,247 applications,setting a new record high.  相似文献   

13.
Foreign firms patent in emerging economies with weak appropriability regimes at an increasing rate. This phenomenon constitutes a paradox since in such a setting foreign firms should have weak incentives to patent. In an attempt to resolve this paradox, we conducted an inductive analysis of 11 foreign firms that patent in such a setting, using the case of China as our empirical context. We identify four archetypes of foreign firms and three key antecedents the interaction of which determines which archetype a firm can be subsumed under.Our study complements the developed-economy focus of the extant appropriation literature by adding an international perspective. We extend previous econometric studies by identifying salient factors on the firm level that determine the extent to which a foreign firm patents in emerging economies with a weak appropriability regime, highlighting that the extent of a firm's motivation to maintain its freedom to operate can supersede imitability concerns. We also comment on the practical implications of these contributions for managers of foreign firms. Highlighting a structural conflict of interest between foreign firms from developed economies and the development goals of an emerging economy, we point to the generalizability of our results to a wide range of other emerging economies worldwide.  相似文献   

14.
《Research Policy》2013,42(10):1780-1792
It is well known that not all innovations are patented, but the exact volume of innovative activities undertaken outside the coverage of patent protection and, relatedly, the actual propensity to patent an innovation in different contexts remain, to a major degree, a matter of speculation. This paper presents an exploratory study comparing systematically patented and unpatented innovations over the period 1977–2004 across industrial sectors. The main data source is the ‘R&D 100 Awards’ competition organized by the journal Research and Development. Since 1963, the magazine has been awarding this prize to the 100 most technologically significant new products available for sale or licensing in the year preceding the judgments. We match the products winners of the R&D 100 awards competition with USPTO patents and we examine the variation of patent propensity across different contexts (industries, geographical areas and organizations). Finally we compare our findings with previous assessments of patent propensity based on several sources of data.  相似文献   

15.
Paola Criscuolo 《Research Policy》2008,37(10):1892-1908
This paper addresses the question of whether patent citations are useful indicators of technology flows. We exploit the distinction between citations added by inventors and patent examiners. We use information from the search reports of European Patent Office patent examiners to construct our dataset of patenting activity in Europe and the US, and apply various econometric models to investigate what determines the probability that a citation is added by the inventor rather than the examiner. Contrary to previous work which uses US Patent and Trademark Office data, we find that geographical distance is a factor that strongly diminishes the probability of knowledge flows. We find other significant effects of such factors as cognitive distance, time and strategic factors on citing behaviour.  相似文献   

16.
This study examines the effect of antitrust regulation of patent consolidation on the development of follow-on innovations. Our reconciliation of the various strains of literature hypothesizes that in sectors where cumulative innovation is crucial to firms’ market operations, a firm that consolidates patents for substituting technologies for its already-possessed technologies discourages market competitions and follow-on innovation by competitors. In this case, antitrust regulation of patent consolidation is anticipated to positively affect competitors’ follow-on innovation. We empirically test this hypothesis with the case of the US Department of Justice's regulation of Novell's software patent transfers to four large proprietary software companies (i.e., Microsoft, Oracle, EMC, and Apple) in 2011. Our analyses using US patent, trademark, and copyright data have found evidence corroborating our hypothesis. Our research provides policy and scholarly implications regarding how antitrust law can be a complementary institution to the patent law for promoting innovation.  相似文献   

17.
Legal surprises are unexpected suits or actions in which plaintiffs rely on claims or precedents that may be obscure, unfamiliar, or unknown to the defendants. Our study explores false patent marking suits, a unique type of patent-related legal surprise involving allegations of defendants marking products with ineligible patent numbers to deceive customers and/or deter competitors. An abrupt shift in U.S. Federal Courts’ interpretation of intellectual property rights (IPRs) policy amplified plaintiff incentives for filing these suits while escalating defendant penalties for proven violations. Handling costly legal surprises such as false patent marking suits requires focused attention from managers. Our core premise is that temporal and evidential cues in the timelines and storylines of plaintiffs’ legal narratives in surprise suits attract defendants’ organizational attention. We hypothesize about temporal focus (past, present, and future) and evidentiary reasoning (relevance, credibility, and inferential power) as attention cues and possible predictors of the mode (litigation or negotiation) and timing of case resolution. We apply automated content analysis to official court records for 992 false patent marking cases (2009–2011) and quantify competing risks using hazard models. We find that differences in temporal focus and evidentiary reasoning in the legal narratives of surprise suits are significant predictors of case resolution mode and timing. We also find that defendants countersuing to redirect plaintiffs’ attention is an effective negotiating tactic. We discuss the economic significance and strategic implications of our empirical findings on legal surprises, attention, case resolution mode and timing, and the unintended consequences of IPR policy changes.  相似文献   

18.
The rate of university patenting increased dramatically during the 1980s. Did the manner in which knowledge embedded in university patents was managed change during this period of rapid patenting growth? Using a Herfindahl-type measure of knowledge flow concentration and employing a difference-in-differences estimation to compare university-to-firm patent citations across two time periods, we find that the university diffusion premium (the degree to which university knowledge outflows are more widely distributed than those of firms) declined by more than half during the 1980s. In addition, we find that the university diversity premium (the degree to which knowledge inflows used by universities are drawn from a more widely distributed set of prior art holders than those used by firms) also declined by more than half. However, these changes are mostly limited to a narrow set of technology fields (i.e., biotechnology and pharmaceuticals in the outflows case and sub-fields of electronics in the inflows case). The social welfare implications are ambiguous.  相似文献   

19.
《Research Policy》2023,52(8):104816
Enforcing a firm's patents is crucial for defending its competitive advantage. CEOs are central for making these strategic decisions but we know little about how their individual incentives shape their decision-making. We integrate theory from outcome-based CEO compensation designs into models explaining firms' decisions to become plaintiffs in patent litigation. Based on how compensation shapes time horizons and risk-taking of CEOs, we predict that CEO compensation tied to stock increases the firm's likelihood to enforce patents, while bonuses and stock options reduce it. Further, we reason that the tenacity of patent disputes in an industry creates a boundary condition for the effects of CEO compensation because they curtail the degree of agency that CEOs have for incorporating their personal incentives when making litigation decisions for the firm. We test these hypotheses for 2302 US firms with 4420 different CEOs and 3451 patent litigation cases between 1997 and 2015 and find support for all hypotheses with the exception of the boundary condition for stocks as CEO compensation. These findings advance existing theory on firms' decision-making on patent litigation by explicating how firm and CEO incentives can diverge with direct consequences for the likelihood of litigation to occur.  相似文献   

20.
《Research Policy》2019,48(9):103808
We explore the effect of political uncertainty on innovation. In particular, we examine the differential effects of two sources of uncertainty – leaders’ education levels and political regimes (i.e., presidential vs. parliamentary) – on patent applications. We posit that firms react to political uncertainty caused by the unexpected departure of a national leader by investing in patents as growth options. The empirical design analyzes a panel with information from over 62 million patent applications at the aggregated applicant level. Results show that leaders’ unexpected departures cause, on average, increases of approximately 9% in the aggregate growth of patent applications. We also find that the leader’s level of education and the country’s political regime system have significant effects on the relationship between political uncertainty and innovation. The difference between leaders with high and low levels of education accounts for 21% of the change in the growth of patent applications. Further, the effect of political uncertainty on innovation is amplified in presidential systems, which grant leaders more power and make electoral transitions less predictable. The differences between presidential and parliamentary systems account for approximately 16% of the change in the growth of patent applications. As a robustness check, we utilized a subsample of more than 170,000 firms with local and foreign patent applications, as well as a panel of over 5700 government non-profits, universities, and hospitals with local patent applications. Consistent with our theory, the former react to political uncertainty by investing in patents, while the latter remain unaffected. We contribute by showing the theoretical mechanisms linking leader and regime characteristics with patent applications.  相似文献   

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