Patent Filings Research Articles

The World Intellectual Property Organization Treaty on genetic resources and traditional knowledge: Implications for plant science

Societal Impact StatementThe recently adopted World Intellectual Property Organization Treaty on Intellectual Property, Genetic Resources and Associated Traditional Knowledge (“WIPO Treaty”) is the latest in a series of international legal frameworks designed to strike an appropriate balance between access to genetic and knowledge resources, and their utilization. This opinion piece argues that although the WIPO Treaty is an important milestone in international lawmaking related to the protection of Indigenous peoples' knowledge and resources, it is unlikely to significantly alter extant scientific practices. Therefore, more work will still need to be done to ensure equity in the development of plant‐based innovations.SummaryConcerns about the sourcing of materials and information used in plant breeding and related scientific fields have been widespread for decades. Generally, these preoccupations are rooted in historical and ongoing inequalities, particularly the fact that the benefits resulting from scientific and commercial exploitation of genetic resources and associated traditional knowledge are rarely shared with the people and communities from which they originate. Since the early 1990s, multiple international treaties and national laws have been designed to address concerns over the misappropriation of genetic resources and traditional knowledge, creating a complex web of legal obligations that scientists and research administrators need to navigate. Most recently, in May 2024 the members of the World Intellectual Property Organization adopted a Treaty on Intellectual Property, Genetic Resources and Associated Traditional Knowledge (“WIPO Treaty”, 2024). This opinion piece focuses on the new WIPO Treaty and examines its likely impact on plant breeding and other scientific fields that rely on plant genetic resources. Ultimately, the article argues that the WIPO Treaty is unlikely to add significant impediments to the work of scientists beyond the requirements already imposed under the Convention on Biological Diversity (“CBD”) and its Nagoya Protocol. However, the WIPO Treaty likely will result in the introduction of new administrative requirements for patent filing in many jurisdictions, which may create additional burdens for research administrators, such as personnel in university technology transfer offices.

Patent Activity of Countries and Sectors in Graphene-Based Technologies

Purpose: The aim of this article is to analyse the patent activity of various countries, regions, and sectors (academic, private, governmental) from 2000 to 2018, identifying global leaders in graphene-based technologies. Design/methodology/approach: The study is based on an analysis of patent filings from the PATSTAT (EPO) database covering the years 2000-2018. Bibliometric techniques were employed to quantify trends in patent filings, combined with statistical analysis to identify areas with the highest growth dynamics. The data was segmented by countries and sectors, enabling a statistical examination of regional and sectoral diversity. Findings: The findings reveal a diverse level of development in graphene technologies across different regions and sectors, influenced by local innovation strategies and varying levels of research and development engagement. Initially, the provision of essential research resources and infrastructure played a crucial role in enabling the growth of graphene-based technologies. As research progressed, there was a notable increase in patent activity, reflecting the intensification of research and development efforts and the gradual implementation of new technologies across various industrial sectors. Research limitations: The research limitations stem from the quality of patent data, which does not always reflect the full scope of research and development activity. Issues may arise from classification errors, inconsistencies in name standardization, transcription errors, and data incompleteness, all of which may affect the accuracy of the analysis results. Research implications: This study provides valuable insights into the development and commercialization of graphene technologies, which can support innovation strategies across various sectors. The findings can assist policymakers in making decisions regarding resource allocation and setting research and development priorities, as well as understanding the dynamics of activity and collaboration between sectors. Originality/value: The article contributes to the literature on innovation management, particularly in the context of breakthrough technologies represented by graphene-based technologies. The study provides detailed insights into the leaders in this field, highlighting the importance of cross-sector collaboration in the effective implementation of new technologies and fostering innovation dynamics.

Innovation and Intellectual Property Rights: A Case Study of Zambia

The paper explores the intricate relationship between innovation and intellectual property rights (IPRs) within Zambia's diverse economic sectors. It investigates the impact of patent filings, research and development (R&D) expenditure, the number of science graduates, government funding, and international collaborations on fostering innovation across Zambia's ten provinces. The study highlights Zambia's efforts to enhance its innovation ecosystem through government policies, stakeholder contributions, and international partnerships. Despite significant strides, challenges such as limited R&D funding, inadequate infrastructure, and weak enforcement of IPRs persist. The research findings reveal that increased R&D expenditure and a higher number of science graduates significantly boost patent filings, underscoring the critical role of investment in research and education. However, the effectiveness of government funding in driving innovation remains uncertain. The paper concludes with recommendations for strengthening Zambia's innovation framework, emphasizing the need for robust IPR enforcement, enhanced public awareness, and continued support for higher education and international collaboration. This study provides valuable insights into the role of IPRs in promoting innovation in developing countries, with broader implications for similar economies.

Driving green innovation: assessing the impact of environmental tax policies and green finance on heavily polluting industries

Purpose The purpose of this paper assess the impact of the green finance pilot reform on corporate green innovation, leveraging the establishment of the China green finance pilot reform in 2018 as a quasi-natural experiment. Design/methodology/approach This study investigates the effects of environmental policies on green innovation, utilising a substantial data set from Chinese A-share listed firms over the 2015–2019 period. Employing both double and triple difference models, it focuses on how tax reforms influence green patent filings among these firms. Findings The study confirms that environmental tax policies and green finance initiatives significantly boost green patent filings in pollution-intensive industries. Findings from the regression analysis show robust positive effects from these policies, supporting the idea that stringent environmental regulations can spur innovation by offsetting regulatory costs. Financial health indicators like asset logs and return on assets positively correlated with innovation, emphasising the importance of financial stability. In addition, increased RandD spending is linked to enhanced green innovation, highlighting that financial investment in research is crucial for overcoming innovation barriers. These insights are crucial for shaping policies that integrate sustainability into corporate practices. Originality/value This research contributes to the literature by highlighting traditional views on the economic burden of environmental taxes and demonstrating their role as significant drivers of innovation. It deepens insights into strategically optimising fiscal tools to promote environmentally sustainable economic activities. In addition, it offers a practical framework for policymakers to improve ecological outcomes through effective fiscal strategies.

Elucidating effects of form factors on thermal and aging behavior of cylindrical lithium-ion batteries

Cylindrical lithium-ion cells are commercially available in different form factors, e.g., 18650, 21700, 26650, 32700 and 4680. The larger 4680 cells are gaining popularity, especially after the patent filing by Tesla. This paper aims to perform a comparative analysis of the thermal and aging behavior of different form factors using NMC–graphite chemistry during prolonged cycling at moderate operating conditions. A physics-based aging model for lithium-ion batteries is introduced, incorporating side reactions such as solid electrolyte interface (SEI) formation, SEI reformation due to graphite layer cracking, and lithium plating. During cycling, the cell temperature increases with time for all form factors due to internal heat generation. Notably, larger form factor cells experience higher temperatures, attributed to their inferior surface-to-volume ratio for heat dissipation, thereby accelerating both SEI formation and triggering lithium plating in subsequent cycles. This accelerated aging manifests in increased heat generation and prolonged charging for larger cells. The 4680 cell showed the highest rate of capacity loss with a 20% reduction over 480 cycles as compared to the 600 cycles of the 18650 cell. Highlighting accelerated aging in the larger cells due to suboptimal heat dissipation, this study underscores the pressing need for advanced thermal management strategies tailored to the unique challenges posed by larger cells.

Strategic Patent Portfolio Management in the Sodium‐Ion Battery Industry: Navigating Innovation and Competition

ABSTRACTIn the rapidly evolving landscape of energy storage technologies, sodium‐ion batteries (SIBs) have emerged as promising alternatives to conventional lithium‐ion batteries. SIBs exhibit moderate to high specific energy ranging from approximately 70 to 170 Wh/kg, ensuring suitability for diverse applications. Furthermore, with their abundance of raw materials and potential for lower costs, sodium‐ion batteries are attracting significant interest from researchers, manufacturers, and investors. This heightened interest is evidenced by the exponential growth in the number of patents filed for SIBs, totalling 142 648 patents. This surge in patent filings underscores the growth pattern of SIBs as promising alternatives in the energy storage landscape. In this dynamic environment, securing and maintaining a robust patent portfolio is imperative for companies and innovators to establish a competitive edge, enabling them to capitalize on the increasing market demand. This perspective examines the strategies involved in building, protecting, and managing a robust patent portfolio as well as provides intellectual property challenges and patent filing opportunities in SIB technologies.

Unveiling the blackbox withinESGratings' blackbox: Toward a framework for analyzing AI adoption and its impacts

AbstractArtificial intelligence (AI) is transforming entire industries at an unprecedented pace. Yet, established technology adoption theories offer limited tools for characterizing business AI integration and analyzing its effects. These primarily focus on the factors facilitating or hindering adoption, rather than on adoption patterns and impacts. This paper introduces a novel conceptual framework to address this key gap and applies it to the case of the ESG rating industry. ESG raters play a pivotal role in sustainable finance, providing metrics that guide investment decisions globally. However, little is known about the extent and nature of their AI usage and its implications. Through a mixed‐methods approach combining the analysis of job postings, patent filings, research publications, and corporate websites, we examine AI adoption among major ESG raters. Our investigation explores the specific AI technologies employed, their functional applications, the innovations developed, the intensity of AI integration, and the potential impacts of raters' AI adoption. Our results reveal widespread and growing AI adoption across the industry. Our findings show that raters extensively leverage Natural Language Processing to streamline data collection, processing, and analysis. Furthermore, they have pioneered Machine Learning innovations that significantly expand their sustainability assessment capabilities in various domains. These findings mark a considerable departure from prior academic and gray literature that characterized major ESG raters as having minimal AI use, prompting critical questions regarding the implications of this technological transformation for ESG ratings' reliability, transparency, and potential biases.

Export effects of overseas patent applications by Korean SMEs

ABSTRACT This study analyzed the impact of overseas patent applications by Korean companies, particularly focusing on small and medium-sized enterprises (SMEs), on their export performance, utilizing data from 1999 to 2019. We integrated the Documentation Database patent dataset from the EPO with the Korean financial dataset. The fundamental hypothesis of this study is that, unlike large enterprises (LEs), SMEs find the cost of filing and maintaining patents overseas burdensome. Consequently, they tend to file patents primarily in their key export markets rather than in major global markets, which implies that, in contrast to LEs, the patent applications of SMEs may positively impact exports only to the specific countries where they have filed. The key findings are as follows. Firstly, unlike LEs, SMEs tend to export specifically to the countries where they have filed. These results demonstrate how firms’ behavior can vary depending on the heterogeneity in firm size. Secondly, the effect of overseas patents filed by Korean SMEs is most pronounced for the ASEAN countries. Based on these insights, we recommend the implementation of policy measures such as providing financial support to cover the costs of overseas patent applications for SMEs.

Innovation’s false spring: U.S. export controls and Chinese patent quality

This paper evaluates the effect of U.S. export restrictions, enacted in 2018, on China’s patent production. An analysis of patent-level datasets indicates a significant surge in Chinese patent filings in sanctioned technological domains. This quantitative growth, however, is accompanied by a decrease in patent quality, evidenced by reduced citation counts and market worth. Specifically, state-owned enterprises (SOEs) have witnessed a substantial rise in patent filings post-2018, while private firms exhibit a more modest increase. Despite the surge in patent quantity, the overall quality of patents—particularly those originating from SOEs—has deteriorated significantly. This study contributes to the body of research concerning the economic consequences of the US-China trade dispute and offers original insights into the implications of trade sanctions on innovation quality.

Open Innovation and Regulatory Challenges in New Modality Development: The Pivotal Role of Contract Development and Manufacturing Organisations in Advancing Antibody Drugs.

Ensuring regulatory-compliant manufacturing capability is an essential challenge for new treatment modalities, but its internalisation is not easy for pharmaceutical companies, especially start-ups. This study examines the functions and requirements of contracted development and manufacturing organisations (CDMOs) using the development process of antibody medicines as a case study. Utilizing PubMed, Cortellis and Patent Integration databases, this study delves into publication and contractual trends in monoclonal antibody drugs (mAbs) development, alongside an analysis of patent filings by CDMOs, offering a comprehensive overview of the evolving landscape in mAbs innovation. In the early stages of mAbs development, dedicated bio firms (DBFs) led R&D with superior drug discovery technology but lacked manufacturing capability, which was complemented by CDMOs. This collaboration was an opportunity for CDMOs to expand their capabilities beyond manufacturing technology into antibody drug candidate discovery and structural optimisation technology. From mid-development onwards, it established a technology platform based on these capabilities and developed and established partnerships with existing pharmaceutical companies, including mega pharma. The impact of institutions and regulations on the innovation process was assessed during this development process. These findings are expected to provide valuable insights into the innovation system for new modalities.

Storm clouds over innovation: Typhoon shocks and corporate R&D activities

This study investigates the economic impact of typhoon disasters on corporate innovation activities, a critical driver of economic growth and resilience. Utilizing a comprehensive dataset of Chinese public companies from 2010 to 2022 and employing a wind field model to construct a city-level typhoon destruction index, we apply difference-in-differences and instrumental variable methods to analyze the effects on corporate innovation. Our findings reveal that typhoon disasters significantly reduce both patent filings and R&D investment intensity, particularly in coastal areas and technology-intensive industries. The adverse effects are transmitted through financial constraints, human capital loss, and infrastructure damage. This research contributes to understanding the microeconomic implications of extreme weather events on innovation-driven economic growth, offering insights for disaster resilience policies in vulnerable regions.

'Our project, your problem?' A case study of the WHO's mRNA technology transfer programme in South Africa.

In June 2021 the World Health Organization (WHO) and the Medicines Patent Pool (MPP) launched an mRNA technology transfer programme. With a South African consortium serving as the hub, the programme aimed to increase vaccine manufacturing capacity in low- and middle-income countries (LMICs) in view of the "vaccine apartheid" that was observed during COVID-19. Following Clarke's "situational analysis," the present study assessed whether the mRNA programme differs from the approach and practices that comprise current biopharmaceutical production. Numerous documentary sources, including legal agreements underpinning the programme, funding agreements, and patent filings, were reviewed. Semi-structured interviews with 35 individuals, ranging from the programme's architects and university scientists to representatives from LMIC vaccine manufacturers taking part in the programme were also conducted. While the mRNA programme may improve the sharing of knowledge, other design features, in particular, weak conditionalities around product affordability, participants' freedom to contract with third parties, and acceptance of market-based competition, are in line with the status quo. Further, WHO and MPP's tight control over the programme evokes the dynamics that are often in play in global health, to the detriment of empowering LMIC-based manufacturers to generate mRNA products in response to local health needs.

Does common institutional ownership mitigate hold‐up problems along the supply chain?

AbstractWe show that common institutional ownership (CIO) along the supply chain mitigates hold‐up problems faced by supplier–customer relationships resulting from incomplete contracts. Suppliers make more relationship‐specific investments (RSIs) measured by R&D and patent filings toward their customers that share common institutional investors. Such effect is stronger as the CIO network between a supplier and customer pair becomes wider and deeper. We establish causality by exploiting exogenous shocks to CIO using a broad sample of mergers between financial institutions and further find the CIO effects on suppliers’ innovation specificity are stronger for those who ex ante face severer hold‐up concerns. Lastly, we provide evidence that CIO involvement increases the combined valuations of supply chain pairs (mainly for customers). Our work sheds light on the hold‐up mitigation effect of CIO on firms’ decision to make RSIs along the supply chain.

The Significance of Provisional Patent Applications in Protecting Early-Stage Inventions: A Legal and Empirical Analysis

This article critically examines the role of Provisional Patent Applications (PPAs) as strategic tools within the intellectual property framework, particularly highlighting their significance in safeguarding early-stage inventions. By allowing inventors to secure a priority date while still developing their inventions, PPAs provide a time frame when additional funding can be sought and further development can be pursued without losing the claim to the original invention date. This is especially important in industries like information and communication technology and the life sciences, where development timelines are lengthy and investment-intensive. PPAs serve not only as a cost-effective initial step in patent filing but also as a protective mechanism against premature disclosure, safeguarding the novelty of the invention. PPAs do not undergo formal examination and do not result in a granted patent unless followed by a standard patent application. However, they establish a legal placeholder that can be crucial for securing further patent rights. This study explores the legal framework of PPAs across various jurisdictions. The analysis also delves into the specific benefits and strategic considerations associated with drafting and filing PPAs, including their role in facilitating additional research and refinement of the invention. In addition, it presents novel empirical evidence on the growth of PPAs in the United States and their use as priorities in regular USPTO and EPO patent applications. Despite their advantages, PPAs come with limitations, such as the limited time available to convert them into standard patent applications (typically one year) to benefit from their priority date and the precise requirements for subsequent standard patent applications, which this article addresses. Through a detailed exploration of both the theoretical framework and practical applications of PPAs, the article contributes to a deeper understanding of their role in broader patent strategies, advocating for their careful and informed use in the innovation process.

Bridging the gap in patent assessment: The Index of Internal Effort framework for pharma innovations

Context: The process of assessing patents is complex, and there is a gap in the literature on patent assessment at the time of filing. Aims: To assess patent complexity and the human effort involved in research, we test the effectiveness of the Index of Internal Effort (IIE) framework using pharmaceutical patents developed within the Brazilian public sector as a proof of concept. Methods: Internal data were collected from innovation projects that included the filing of patents as a project outcome. The Spearman correlation test was applied to determine which internal patent variables could be used as metrics in IIE. Then, IIE was used to measure the complexity of the patents and the individual effort of inventors. Results were then compared with other metrics identified in the literature. Results: The IIE showed a positive and significant correlation with resources invested at the design stage, as well as commercial and social outcomes of the patents. Conclusions: The results indicate that the generic IIE framework is a new form of metrification that can be applied to pharmaceutical patents that have not been previously discussed in the literature.

Herbal Technological Prospects of Morus nigra L.: A Systematic Patent Analysis Review.

Morus nigra L. is a plant with significant potential for drug development due to the presence of numerous bioactive compounds in its various parts. This article aims to compile the technological perspectives of Morus nigra L. towards drug development and therapeutic indications based on registered patents in databases. The study analyzed patents published within the last five years, focusing on products derived from different parts of the Morus nigra L. plant. Patent databases such as the European Patent Office (EPO), the United States Patent and Trademark Office (USPTO), the World Intellectual Property Organization (WIPO), and the National Institute of Industrial Property Databases (INPI) were examined. A total of 45 patents were categorized by country of origin, type of applicant, extraction method, and therapeutic indications. China had the highest number of patent filings (43.48%), and private companies were the primary technology patent holders (38.64%). Noteworthy extraction methods included ultrasound-assisted extraction, decoction, infusion, and maceration. The most utilized plant parts were leaves (44.44%), followed by fruits (35.56%), root bark (15.56%), and stems (4.44%). The main therapeutic indications identified were the treatment of hyperglycemia and dyslipidemia (43.33%), along with digestive problems, cosmetics, nutrition, and cleaning applications. The study of patents covers discoveries and advancements often absent in scientific articles, making a review focused on this advanced information crucial for expanding existing scientific knowledge. Even if some therapies have been explored previously, patents can reveal innovative approaches and fresh perspectives that contribute to sustained scientific progress.

Intensified law enforcement and firm innovation: Evidence from China's antitrust consolidation

This paper examines the significant transformation in China's antitrust regulatory framework following the consolidation of its three primary antitrust agencies the Ministry of Commerce (MOFCOM), the National Development and Reform Commission (NDRC), and the State Administration for Industry & Commerce (SAIC) into the State Administration for Market Supervision (SAMR). Utilizing data from publicly listed firms across various industries, we analyze how firms in highly concentrated industries have adapted to this consolidation, by increasing the R&D investment, patent filing, and total factor productivity (TFP). Our mechanism channel indicates that stricter enforcement actions and fines by SAMR have spurred competition and innovation, with effects that are comparably significant across both state-owned enterprises (SOEs) and private firms. The paper contributes to the literature by providing an empirical assessment of the effects of this major restructuring within China's Anti-Monopoly Law (AML) enforcement. Our findings shed light on the broader implications of regulatory consolidations on firm innovation, offering insights into the efficacy of such transformations in antitrust policy.

The data of Lei do Bem: feature of benefited companies and brazilian innovation capacity, from the innovation indicator: patents filing

The Lei do Bem, implemented in 2005 in Brazil, was created with the aim of promoting research and development of innovations in the country, through tax incentives for Brazilian companies. This research aims to identify the feature of companies benefiting from the Lei do Bem and their contribution to Brazilian technological capacity based on the innovation indicator: patent filing. The methodology was mostly qualitative, focusing on the deductive method of analyzing information. The quantitative methodology was used in the sampling research, to support the results. At the end, considerations about the results of the research are discussed, noting that the Law in question, despite representing a milestone for promoting innovation in the country, indirectly excludes small companies from tax benefits, although they could equally contribute to Brazilian technological innovation capacity if they had access to legal incentives.

Growing prominence of deep-sea life in marine bioprospecting

AbstractMarine bioprospecting, which involves the exploration of genetic and biochemical material from marine organisms, can be used towards addressing a broad range of public and environmental health applications such as disease treatment, diagnostics and bioremediation. Marine genetic resources are important reservoirs for such bioprospecting efforts; however, the extent to which they are used commercially for natural product discovery and the marine sources from which they are derived are not well understood. Here we introduce a comprehensive database of marine genes referenced in patent filings, the Marine Bioprospecting Patent database. It includes 92,550 protein-coding sequences associated with 4,779 patent filings, identified by analysing all relevant records from genetic sequence databases. Three companies alone—BASF, IFF and DuPont—included sequences from 949 species (more than half of referenced species with identified marine origin). Microbial life in the deep sea, a vast and remote biome predominantly beyond national jurisdiction, is already attracting substantial economic interest; the top ten patent holders have all filed marine gene patents referencing sequences from deep-sea life. Our findings provide an updated understanding of the marine bioprospecting landscape, contribute to the sustainable use of marine biodiversity and underscore the need for policymakers to ensure stewardship of deep-sea ecosystems.

Environmental regulations, supply chain relationships, and green technological innovation

This paper examines the spillover effect of environmental regulatory pressure on firms' green technological innovation, from the perspective of supply chain relationships. Analyzing data from Chinese listed companies, we find that the average environmental regulatory pressure faced by the customer firms of a supplier firm enhances the green patent applications filed by the supplier firm. When the industry of the supplier is more competitive or the proportion of the supplier's sales from its largest customer is higher, the supplier feels more pressured to pursue green innovation, resulting in more green patent filings. Thus, via their negotiation power, customer firms can prompt the supplier firm to innovate to meet their demand for green technologies. Finally, we show that this effect is particularly pronounced when the supplier firm has a strong financial position, is located in a highly marketized region, receives low R&D government subsidies, or enjoys a high ESG rating.