Examiner trust in applicants to the European Patent Office: country specificities

Indicators based on the probability of applicant citations in patents have been used to emphasize the importance of distinguishing applicant and examiner citations. However, the interpretation of these indicators and of the presence of applicant citations in European Patent Office (EPO) examiner reports is still uncertain. Based on interviews with patent examiners and patent applicants, we develop the idea that applicant citations in EPO examiner reports indicate examiner trust in applicants, and that this trust varies according to national patterns. Using EPO data for over 3,500,000 citations during 1997–2007, we verify that examiner trust in applicants is higher in granted patents. Examiners trust applicants from scientifically or economically strong countries, from member states of the European Patent Organization, and from the same country of the examiners.     

Artificial intelligence and patents in Brazil: Overview on patentability and comparative study on patent filings

Innovations related to artificial intelligence (AI) can impact many technological fields and gather attention of several sectors from industry. Brazil is a developing country with a large territory and consumer market, attracting investment from foreign companies, including AI technologies. In the present work, we carry out a review of the Brazilian IP Law, Guidelines and Resolutions regarding patentability of AI inventions in Brazil, and also perform comparative analyses with the guidelines from the EPO and USPTO. Then, patent searches are carried out to analyze filing indicators of patent applications for AI inventions, wherein it is possible to verify that most of the filing applicants in Brazil are foreign companies, mainly from the US. Brazilian entities, which rank second overall in filing for patent applications in Brazil, do not even appear among the main applicants for AI inventions. We conclude that Brazil is not a competitive country in the production of patents related to AI, and it is important for Brazil to establish some degree of legal certainty regarding patent protection for AI inventions and disseminate knowledge about protecting such inventions by patents, so that inventors opt to disclose their AI inventions instead of keeping them as a trade secret. Therefore, more and more sectors of society might benefit from innovations arising from AI.     

The 'home advantage' effect and patent families. A comparison of OECD triadic patents, the USPTO and the EPO

Summary This paper examines the extent of the 'home advantage' effect in the USPTO and the EPO patent data and in the OECD triadic patent families. By comparing a set of internationalisation indicators for a sample of European, US and Japanese MNEs it finds that, contrary to what is often assumed, this effect is not only present in the USPTO but also in the EPO. OECD triadic patent data, instead, are not biased towards any particular home country. It also finds that, because MNEs do not systematically file their patents with the EPO, the USPTO and the JPO, the OECD triadic patent family dataset excludes many patents, especially those invented in the US and accounted for in the USPTO, though it is mainly only low-value patents that are excluded. Thus OECD triadic patents can be considered a satisfactory alternative to the USPTO and the EPO for measuring R&D internationalisation.     

The role of utility models in patent filing strategies: evidence from European countries

We examine the role of utility models (UM) in patent filing strategies. With an extensive patent family data from European countries, we explore the structures and characteristics of patent families, which include UMs. A simple typology of patent families with UM members is introduced. We document that the geographical scope of most patent families with UM members is purely national, which is in line with the conventional view that the UM mechanism covers technologically and economically marginal inventions. However, the image of a UM as a signal of a minor invention is an oversimplification. Applicants exhibit a mixture of uses for the UM and there exists a subset of UM filings linked to inventions the inventive step of which meets or exceeds the threshold required for patent protection. Some UMs are members of international patent families, indicating that applicants may have some strategic motives to use UMs in international filing. The findings highlight that both types of IPR documents (UMs and patents) should be taken into account when working with data on patent families, analyzing patent filing strategies, and constructing patent-based indicators such as patenting propensities.     

The transfer of knowledge from the Spanish public R&D system to the productive sectors in the field of Biotechnology

To determine the capability and resources of the Spanish R & D system to produce knowledge useful for the Biotechnology industries, an analysis of indicators derived from published work, scientific papers cited in US patents and inventions patented, has been carried out. The results show that the number of publications compares well with that of other European countries. The visibility of those publications seems evident as about two thirds of the authors studied have been cited in patents assigned to foreign enterprises, but very few of them have applied for patents. This is analysed in connection with the existing policies.     

Assessing the foreign control of production of technology: The case of a small open economy

Summary International R&D activities have grown significantly over the last two decades. Both the number of actors involved, as well as the importance of the technological activity carried out abroad, has considerably increased. We aim to quantify the international generation of knowledge for the case of Belgium, using indicators based on EPO and USPTO patent data (1978-2001). We distinguish among Belgian applicants, affiliates of foreign firms located in Belgium as well as Belgian based firms with affiliates abroad. This approach allows to improve existing indicators of internationalisation of technology based on patent data. The results are consistent with what can be expected for a small open economy as Belgium. A large part of patents with Belgian inventors are assigned to Belgian affiliates of foreign firms. Hence our more complete indicator of foreign ownership gives a substantially higher foreign control of Belgian inventors. Relatively more knowledge generated by Belgian inventors flows out of the country towards foreign owners of technology, than that knowledge generated abroad is owned by Belgian patent applicants. But the share of foreign inventors to Belgian assigned patents is considerably increasing over time, especially in the subcategory of Belgian firms with foreign affiliates.     

Innovative Output,Productivity and Profitability. A Test Comparing USPTO and EPO Data

The aim of this paper is to test whether patent‐based indicators are still reliable measures of innovativeness in light of organizational changes in the field of Intellectual Property Rights (IPR) protection and the regulatory reforms already occurred and under way, respectively, at the US Patent and Trademark Office (USPTO) and the European Patent Office (EPO). For most high‐tech industries, patents represent an outcome of the production process and their number can be taken as a proxy for a firm's ability to improve its productivity growth and profitability. The case study reported here concerns the biotechnology industry in Italy, whose firms, by definition, have Intellectual Property (IP) activities in their portfolios. For this purpose, we use a unique dataset which collects balance sheet items and patent information from EPO and USPTO. After linking firms' financial and production data with the patent information, we estimate a modified knowledge production function in which the dependent variable is alternatively (labor) productivity growth and profitability. Although based on a quite small sample, our findings provide some indication of a statistically significant relationship between patents with the EPO and both productivity growth and, in particular, profitability. This suggests that firms might pursue different strategies when patenting with the USPTO and the EPO.     

Reaping the Benefits of Patenting Activities: Does the Size of Patentees Matter?

This paper is based upon a survey on a regional sample of Italian inventors who, between 1991 and 2005, were named in patent applications filed at the European Patent Office. Their features and patenting activities are examined in relation to the size of their organizations. Compared to those from medium and large companies, the inventors working in small firms are less productive in terms of patent applications. However, according to different indicators, it emerges that there is no difference in the average quality of patented inventions of the two groups. Nevertheless, one-third of small applicants evaluates negatively its patenting experience, while this is true for only a tiny fraction of larger patentees. On the basis of further interviews, we find that these assessments are particularly influenced by the different capacity to enforce patent rights.     

Academic inventions and patents in the Netherlands: A case study on business sector exploitation

This paper describes a new methodology to identify patent applications based upon research at nine universities and three university medical centers in the Netherlands and a case study elaborating subsequent, scientifically research based, IP exploitation in several sectors. We address the identification and utilization of the intellectual property by domestic business enterprises and start ups based upon patents from university research. A sophisticated semi-automated data collection heuristic was adopted to identify all relevant university-invented patent applications that were filed between 2000 and 2010.In total 2898 patent applications based upon scientific research at universities and related to university inventions were identified. For 952 of these university inventions patent applications were filed by the universities themselves. The total number of university based related patent applications represent 5% of the total volume of patent applications from Dutch origin.A subsequent survey among companies exploiting university research based IP, was carried out to gather information on their actual use of their IP in terms of manpower involved in product or market development and estimated monetary value of the patents. 78 companies responded to this survey. The main findings reveal that a variety of IP exploitation strategies has been used. Overall, more than 50% of the patents still wait to be used for further development and innovations. The number of jobs created by spin offs from university research institutes is approximately 9500 jobs over a period of 10 years. Average revenues from these patents amounted to € 42,000. Several findings from our small-scale national survey on patent exploitation with regards to use and monetary values are in line with general results from the large-scale European PatVal survey and the APE-INV survey.     

Engineers who patent: Data from a recent survey of American bench engineers

A study of engineers working in a variety of job activities in U.S. industry reveals a low rate patent activity. Analysis of data on the 10% of the engineers who have received patents also suggests variation in patent activity by sized Engineers in medium sized firms generate the most inventions and more inventions come from the electrical, machinery and metals industries. Study data on information transfer indicates that engineers are not using patents as a source of information.     

Determinants of patent withdrawals: Evidence from a sample of Italian applications with the EPO

This paper analyses the propensity to withdraw European patent applications within a regional sample of Italian applicants. The procedure for obtaining a granted patent from the EPO is composed of a series of sequential and selective steps imposing additional costs to the applicants. Accordingly, we argue that early withdrawals – i.e. those occurring before the proper examination process begins – should be treated separately from late withdrawals. Our findings show the probability of an early withdrawal is higher for applicants with lower resources and competencies and rises with the number of backward citations added by EPO examiners to the original application. Late withdrawals, instead, are negatively affected by one factor only: the size of patent family, which approximates the sunk costs born by applicants in order to extend the geographical scope of patent protection. Such a limited explanation suggests that the interventions of EPO examiners are likely to play a significant role in inducing late withdrawals.     

Blockchain breeding grounds: Asia's advance over the USA and Europe

Blockchain is argued to disrupt almost every industry and research field. Among other technologies, it contributes to the next fourth industrial revolution. While prominent technologies, such as AI and IoT, have already proven their potential and value in many applications, Blockchain applications have gathered only limited appeal. We ask, which countries drive inventive activity in Blockchain and to which magnitude and type. Using worldwide Blockchain patent applications from 2009 to 2020 as inventive outcome indicators the National Breeding Ground (NBG) index and the International Breeding Ground (IBG) index are calculated. The NBG index is related to the interest of a country to file Blockchain patents in its domestic market. The IBG index is related to the interest of a country to file and exploit Blockchain patents in foreign markets. We observe China and the USA as strong national and international breeding grounds. In particular, Asian countries drive Blockchain inventions. European countries contribute marginally to the Blockchain patent landscape and, together with the USA, are losing ground to Asia. Comparisons to prior work on Blockchain patenting and research patterns partially reflect our results. However, comparisons to AI suggest different patenting and exploitation strategies for Blockchain and AI in China.     

European patents for biotechnological inventions – past, present and future

It is now well accepted that although biotech inventions may relate to living materials it is possible to secure patent protection for all but a limited number in certain defined categories. The author traces the development of biotech patents from the early days, when decisions of the Courts and the EPO set the necessary precedents, to the adoption of the European Directive in July 1998. He then goes on to explain in more detail the key features of the Directive and refers to a number of precedent decisions which, in combination with the Directive, show how certain problem areas have been tackled. Although emphasis is placed on the key areas of plant and animal patents, the patenting of gene sequences and issues of morality the author stresses that the established principles of novelty, inventive step and industrial application are, more often than not, adequate to decide the patentability of the vast majority of biotech inventions.     

Exploring the quality of environmental technology in Europe: evidence from patent citations

In this paper we carry out an empirical analysis to address some questions concerning the production and quality of technology in environmental sectors. The methodology involves patents as a measure of the generation of new knowledge, and patent citations as a proxy for the quality of a technological invention. The sample contains more than 12,000 environmental European patents from firms and government institutions from 1998 to 2004. From our econometric analysis, we found that environmental patents applied by individual inventors present on average less quality that those applied by institutional inventors. The size of family patent is relevant to explain forward patent citation. Furthermore, patents coming from abroad (out of Europe), in particular with US and Japan priority, are more cited on average than local patents (with European priority). Lastly, the specialization in environmental fields of a patent plays a negative role in determining the frequency of forward citation.     

世界电工钢专利现状分析

采用国家知识产权局的专利检索与服务系统,数据库采用德温特世界专利索引数据库,并以中国专利文献检索系统为补充,对世界电工钢专利文献进行采集,对电工钢专利申请的年度分布、主要技术、主要申请人、技术发展脉络等进行统计分析,并给出了专利对策和建议,以期能够揭示电工钢行业的专利发展趋势,帮助从业人员更好地利用专利这一技术工具,建立合理的专利布局,提高我国电工钢企业在国内和国际市场上的竞争能力。     

Sources of inspiration? Making sense of scientific references in patents

Scientific references in patent documents can be used as indicators signaling science-technology interactions. Whether they reflect a direct ‘knowledge flow’ from science to technology is subject of debate. Based on 33 interviews with inventors at Belgian firms and knowledge-generating institutes active in nanotechnology, biotechnology and life sciences, we analyze the extent to which scientific references in patents reflect sources of inspiration. Our results indicate that scientific knowledge acts as a source of inspiration for about 50 % of the inventions. At the same time, the scientific references cited in patent documents and available in patent databases do not provide an accurate picture in this respect: 30 % of patents that were inspired by scientific knowledge do not contain any scientific references. Moreover, if scientific references are present, half of them are evaluated as unimportant or background information by the inventor. Overall, these observations provide evidence that scientific references in patent documents signal relatedness with the implied inventions without necessarily implying a direct, inspirational, knowledge flow between both activity realms.     

Patents,Competition, and Firms’ Innovation Incentives

This paper presents fresh evidence on the interaction between industrial property rights (patents) and competition, and their joint effect on firms’ innovation. We use panel data of Spanish manufacturing firms for 1990–2006, as well as external information on European Patent Office and US Patent Office patent counts. We construct a new synthetic measure of competition and estimate the impact of patents on this measure at the industry level. Then, the effect of industry-wide competition and patenting on firms’ innovation is estimated at the firm level. Our results suggest that patents reduce the level of competition in the industry, whereas the effect of competition on innovation varies with the type of innovation indicator. Thus, by lowering competition, patents in an industry exert an indirect effect on innovation besides their direct effect. In addition, interaction effects between patents and competition indicate that patents soften the impact of competition changes on firms’ innovation.     

A new instrument for technology monitoring: novelty in patents measured by semantic patent analysis

Given that in terms of technology novel inventions are crucial factors for companies; this article contributes to the identification of inventions of high novelty in patent data. As companies are confronted with an information overflow, and having patents reviewed by experts is a time-consuming task, we introduce a new approach to the identification of inventions of high novelty: a specific form of semantic patent analysis. Subsequent to the introduction of the concept of novelty in patents, the classical method of semantic patent analysis will be adapted to support novelty measurement. By means of a case study from the automotive industry, we corroborate that semantic patent analysis is able to outperform available methods for the identification of inventions of high novelty. Accordingly, semantic patent information possesses the potential to enhance technology monitoring while reducing both costs and uncertainty in the identification of inventions of high novelty.