Historical Patent Research Articles

Causes of German Inventiveness, 1815–1990. What We Can Learn from Patent Statistics

Abstract In the second half of the 19th century, Germany developed into one of the most innovative economies in the world and was able to defend this position in the 20th century. In order to investigate the causes of this inventiveness, it is necessary to quantify innovations and assign them to inventors, regions and industries. For this reason, various historical patent databases have been set up over the last two decades, currently covering the period from 1815 to 1990. We present these patent databases and give an overview of the main empirical studies based on these statistics.

Do we innovate atop giants' shoulders?

PurposeThe main purpose of this paper is to explore whether the nature of innovation is accumulative or radical and to what extent past year accumulation of technology stock can predict future innovation. More importantly, the authors are concerned with whether a change of policy regime or a variance in the quality of technology will moderate the nature of innovation.Design/methodology/approachThe authors examined a dataset of 3.6 million Chinese patents during 1985–2015 and constructed more than 5 million citation pairs across 8 sections and 128 classes to track knowledge spillover across technology fields. The authors used this citation dataset to calculate the technology innovation network. The authors constructed a measure of upstream invention, interacting the pre-existing technology innovation network with historical patent growth in each technology field, and estimated measure's impact on future innovation since 2005. The authors also constructed three sets of metrics – technology dependence, centrality and scientific value – to identify innovation quality and a policy dummy to consider the impact of policy on innovation.FindingsInnovation growth is built upon past year accumulation and technology spillover. Innovation grows faster for technologies that are more central and grows more slowly for more valuable technologies. A pro-innovation and pro-intellectual property right (IPR) policy plays a positive and significant role in driving technical progress. The authors also found that for technologies that have faster access to new information or larger power to control knowledge flow, the upstream and downstream innovation linkage is stronger. However, this linkage is weaker for technologies that are more novel or general. On most occasions, the nature of innovation was less responsive to policy shock.Originality/valueThis paper contributes to the debate on the nature of innovation by determining whether upstream innovation has strong predictive power on future innovation. The authors develop the assumption used in the technology spillover literature by considering a time-variant, directional and asymmetric matrix to model technology diffusion. For the first time, the authors answer how the nature of innovation will vary depending on the technology network configurations and policy environment. In addition to contributing to the academic debate, the authors' study has important implications for economic growth and industrial or innovation management policies.

Talents and Cultures: Immigrant Inventors and Ethnic Diversity in the Age of Mass Migration

Abstract We investigate the importance of co-ethnic networks and diversity in determining immigrant inventors’ settlements in the United States by following the location choices of thousands of them across counties during the Age of Mass Migration. To do so, we combine a unique United States Patent and Trademark Office historical patent dataset on immigrants who arrived as adults with Census data and exploit exogenous variation in both immigration flows and diversity induced by former settlements, WWI, and the 1920s Immigration Acts. We find that co-ethnic networks play an important role in attracting immigrant inventors. Yet, we also find that immigrant diversity acts as an additional significant pull factor. This is mainly due to externalities that foster immigrant inventors’ productivity.

Historical patent data: A practitioner's guide

AbstractI provide a primer on six recent large‐scale historical patent data sets for use in innovation research. I discuss how each data set is constructed, the types of patent information included in each, and the quality and completeness of each. Throughout, I emphasize when our knowledge of the history of invention is dependent on the data source used and provide recommendations about which data set is most likely to be best for different contexts. Overall, these data sets paint a remarkably consistent picture of the history of U.S. invention. When the data sets do disagree, these differences tend to be minor, although I highlight some important exceptions. I further describe several “niche” historical patent data sets that allow researchers to study institutional contexts that cannot be studied using modern data. Finally, I discuss features of patent data that are not available for the historical patents but are available for modern patents.

That’s classified! Inventing a new patent taxonomy

AbstractInnovation researchers currently make use of various patent classification schemas, which are hard to replicate. Using machine learning techniques, we construct a transparent, replicable and adaptable patent taxonomy, and a new automated methodology for classifying patents. We contrast our new schema with existing ones using a long-run historical patent dataset. We find quantitative analyses of patent characteristics are sensitive to the choice of classification; our interpretation of regression coefficients is schema dependent. We suggest much of the innovation literature should be carefully interpreted in light of our findings.

Solid oxide fuel cell technology paths: National innovation system contributions from Japan and the United States

This study discusses the solid oxide fuel cell (SOFC) technology paths in the United States and Japan under the national innovation system (NIS) framework using the available literature and a patent landscape. By examining technology trajectories, it is possible to identify and justify the patterns of key players and institutions from the NISs of the two countries that shaped the development of these technologies. These patterns are especially relevant to the analysis of the role of institutional arrangements in policymaking. This study presents the concept of a NIS and explores the main aspects of the Japanese and U.S. NISs regarding the SOFC technology path. This study analyzes historical patent evolution, patent applicants and their industrial sectors, international patent classifications (IPCs) and international patent activity. Moreover, this study highlights the correlations of the SOFC manufacturing and operation with patent data. This study examines the role of NISs in SOFC technology shaping from two main aspects: through independent historical events that motivated the establishment of institutional arrangements from which SOFCs have benefited and through shaping policies and efforts that are intended to promote the development of SOFC and related technologies. The results of this study demonstrate differences in terms of the sectors that are involved in the SOFC patenting activity, the IPCs of the filed patents and the international patent activity, which support the role of NISs in technology shaping.

When Does Information Disclosure Help Innovation? Evidence from Blue Sky Laws

Using historical firm-level patent and accounting data, we analyze how information disclosure affects firm innovation. To establish a causal link, we use the enactment of blue sky laws, the first form of investor protection laws, across some U.S. states at the beginning of the 20th century, when there was no federal regulation. These laws required firms to disclose information before selling their securities and increased penalties in case of financial fraud. Using archival records, we document that young innovative firms (startups) had a large share of intangible assets and relied heavily on equity financing (venture capital). In a difference-in-differences setting, we show that following the enactment of these laws, innovative firms that previously had limited access to external finance raised more funds and increased their innovation activity. Our results suggest that disclosure requirements help innovation when the information environment is weak to begin with.

Immigrant Inventors and Diversity in the Age of Mass Migration

A possible unintended but damaging consequence of anti-immigrant rhetoric, and the policies it inspires, is that they may put high-skilled immigrants off more than low-skilled ones at times when countries and businesses intensify their competition for global talent. We investigate this argument following the location choices of thousands of immigrant inventors across US counties during the Age of Mass Migration. To do so we combine a unique USPTO historical patent dataset with Census data and exploit exogenous variation in both immigration flows and diversity induced by former settlements, WWI and the 1920s Immigration Acts. We find that co-ethnic networks play an important role in attracting immigrant inventors. However, we also find that immigrant diversity acts as an additional significant pull factor. This is mainly due to externalities that foster immigrant inventors' innovativeness. These findings are relevant for today's advanced economies that have become major receivers of migrant flows and, in a long-term perspective, have started thinking about immigration in terms of not only level but also composition.

That's Classified! Inventing a New Patent Taxonomy

We investigate how patent classification influences the interpretation of patent statistics. Innovation researchers currently make use of various patent classification schemas, which are hard to replicate. Using machine learning techniques, we construct a transparent, replicable and adaptable patent taxonomy, and a new automated methodology for classifying patents. We then contrast our new schema with existing ones using a long-run historical patent dataset. We find quantitative analysis of patent characteristics are sensitive to the choice of classification; our interpretation of regression coefficients is schema-dependent. We suggest much of the innovation literature should be carefully interpreted in light of our findings.

Immigrant Inventors and Diversity in the Age of Mass Migration

A possible unintended but damaging consequence of anti-immigrant rhetoric, and the policies it inspires, is that they may put high-skilled immigrants off more than low-skilled ones at times when countries and businesses intensify their competition for global talent. We investigate this argument following the location choices of thousands of immigrant inventors across US counties during the Age of Mass Migration. To do so we combine a unique USPTO historical patent dataset with Census data and exploit exogenous variation in both immigration flows and diversity induced by former settlements, WWI and the 1920s Immigration Acts. We find that co-ethnic networks play an important role in attracting immigrant inventors. However, we also find that immigrant diversity acts as an additional significant pull factor. This is mainly due to externalities that foster immigrant inventors’ innovativeness. These findings are relevant for todays advanced economies that have become major receivers of migrant flows and, in a long-term perspective, have started thinking about immigration in terms of not only level but also composition.

El acervo comunitario de la Unión Europea y su contribución a la democracia en el mundo

La Unión Europea vino a constituir la expresión política y económica de la vieja idea de una Europa integrada, pacífica y con valores compartidos, heredados de su cultura e historia antigua, medieval y moderna. Estos valores han permitido que haya vivido un prolongado periodo de paz ininterrumpido desde el fin de la Segunda Guerra Mundial, el más largo desde hace quinientos años. La democracia, cuyo origen en la Grecia antigua le otorga la patente histórica a Europa, constituye uno de sus más importantes legados al mundo. Un elemento presente en los valores de la Unión Europea que la diferencia de Estados Unidos es la manera en que aborda el problema de la democracia con el mundo, que le ha resultado efectiva y más aceptable para los países que son convidados por estos mecanismos a construir, avanzar o consolidar sus democracias a diferencia del intervencionismo norteamericano de corte militar o económico.

Comparing Historical Patent Datasets

I provide a primer on six recent large-scale historical patent datasets for use in innovation research. I discuss how each dataset is constructed, the types of patent information included in each, and the quality and completeness of each. Throughout, I emphasize when our knowledge of the history of invention is dependent on the data source used and provide recommendations about which dataset is most likely to be best for different contexts. Overall, these datasets paint a remarkably consistent picture of the history of U.S. invention. When the datasets do disagree, these differences tend to be minor, although I highlight some important exceptions. I further describe several niche historical patent datasets that allow researchers to study institutional contexts that cannot be studied using modern patent data. Finally, I discuss features of patent data that are not available for the historical patents but are available for modern patents.

A transferability evaluation model for intellectual property

As a type of intellectual property rights, patents are a vast source of human-generated technological knowledge; as such, patent evaluations from various perspectives have long been of primary interest to researchers. However, although patents are transferable assets with economic and technological value, limited attention has been paid to the possibility of realizing a patent’s potential through its transaction. Consequently, this study develops a patent transferability evaluation model by applying deep neural networks (DNNs) to various patent indicators and the corresponding historical patent rights transaction data. To this end, this study (1) constructs a patent database with patents and their corresponding historical patent rights transaction data from the Korean Patent Office database; (2) defines how to extract a variety of patent indicators related to patent transferability that do not depend on forward citations; (3) builds a patent transferability evaluation model based on DNN; and (4) validates the performance and effectiveness of the developed model. This study contributes to the literature by being one of the first to quantitatively evaluate patents in terms of transferability and, thus, the proposed model can be used for valuing patents and distinguishing quality patents that are marketable.

Patent collaboration networks in Sweden and Spain during the Second Industrial Revolution

ABSTRACTThis article aims to analyse and compare the patent collaboration networks of Spain and Sweden during the Second Industrial Revolution, a key period for technological and industrial development in several economies and the distinct development paths taken by these two countries. The data used are from two new historical patent datasets for Spain and Sweden for the period 1878–1914. To study the structure of collaboration networks in both countries, we applied social network analysis methods and focused on two specific key network properties: connectivity and openness to external nodes. The results demonstrate that collaboration networks were better connected and more open to foreign influence in Sweden than in Spain. This research opens new paths for further multidisciplinary studies both on the evolution of industrial economies and on innovation networks dynamics.

The USPTO Historical Patent Data Files: Two Centuries of Innovation

Patent classification systems are largely designed for administrative purposes, limiting their value for most research purposes. To address this deficiency, Hall, Jaffe, and Trajtenberg (2001) developed a higher-level classification for the National Bureau of Economic Research (NBER) Patent Citation Data File by aggregating U.S. Patent Classification (USPC) classes into six economically relevant technology categories (and 37 sub-categories) and classified granted patents accordingly. While this classification scheme has proved useful for researchers investigating US patent grants, comparable information on pending or abandoned patent applications has been unavailable for several reasons. We apply the NBER sub-categories to published and publicly-available unpublished patent applications as well as in-force and expired patents to create the USPTO Historical Patent Data Files, four research datasets containing time series and micro-level data by NBER sub-category. These new datasets comprise annual information on patent applications, patent grants, and patents-in-force dating back to 1840. Additionally, we provide information on the monthly stocks and flows of utility patent applications and grants from 1981 to 2014. Our hope is that researchers will make use of the data files for primary analysis or as controls for other projects. These data, for the first time, provide for detailed study of patent application disposal and the complex dynamics between new filings, pendency, and abandonment. Historical data enable researchers to put into context recent trends in patenting activity, litigation, and technological change.

Dissertation Executive Summary: Fuel of Interest and Fire of Genius: Essays on the Economic History of Innovation

In this dissertation, I use historical patent data and natural experiments to show how policies and institutions affect invention. Chapter 1 shows that establishing new colleges causes 33% more patents per year in places that get a college, but few of these additional patents come from the college's graduates. Chapter 2 uses alcohol prohibition to show that informal social interactions are important for invention: shuttering saloons decreased patenting by 15%. The effect is strongest immediately after prohibition begins. Chapter 3 plots demographic trends of inventors; blacks and females are persistently underrepresented. Chapter 4 describes several historical patent datasets in detail.

Historical Patents as Inspiration for Digital Textile and Apparel Design

This research used historically informed analysis as a framework to examine studio design practice. Discovery of a historical patent for a coat made from a single pattern piece led to an examination of United States coat and jacket patents to identify past patternmaking explorations that could inform current design practice, with a focus on those with one pattern piece. These patterns allowed large expanses of cloth for surface design, especially for creation of engineered digital prints on a single canvas, and opened up avenues for creative experimentation. The research objectives were to analyze the patterns for shape and accuracy of fit, to evaluate them as a beginning point to inform future patternmaking and design approaches, to engineer digital prints for prototypes, and to create aesthetically appealing designs that could be produced with minimal fabric waste. Digital copies of the patterns were created, tested and compared, with a focus on evaluation of critical fit points and the potential for further creative development. Prototype designs were generated from the patent patterns, with some faithful to the original patent and others moving away from the patentee’s intentions, although keeping the pattern shape. Digital prints were then created and engineered for the patterns. This investigation also reoriented traditional apparel design practice by placing pattern manipulation at the beginning of the design process, and made design development contingent upon research objectives. At the same time it confirmed that research through design is not linear, and that studio practice also informed the objectives.

The USPTO Historical Patent Data Files Two Centuries of Innovation

The USPTO Historical Patent Data Files Two Centuries of Innovation

A patent time series processing component for technology intelligence by trend identification functionality

Technology intelligence indicates the concept and applications that transform data hidden in patents or scientific literatures into technical insight for technology strategy-making support. The existing frameworks and applications of technology intelligence mainly focus on obtaining text-based knowledge with text mining components. However, what is the corresponding technological trend of the knowledge over time is seldom taken into consideration. In order to capture the hidden trend turning points and improve the framework of existing technology intelligence, this paper proposes a patent time series processing component with trend identification functionality. We use piecewise linear representation method to generate and quantify the trend of patent publication activities, then utilize the outcome to identify trend turning points and provide trend tags to the existing text mining component, thus making it possible to combine the text-based and time-based knowledge together to support technology strategy making more satisfactorily. A case study using Australia patents (year 1983---2012) in Information and Communications Technology industry is presented to demonstrate the feasibility of the component when dealing with real-world tasks. The result shows that the new component identifies the trend reasonably well, at the same time learns valuable trend turning points in historical patent time series.

A Brief History of Frand

Much has been written about the commitments that firms participating in standards-setting make to license their patents on terms that are “fair, reasonable and non-discriminatory” (FRAND). These discussions pay little attention, however, to more than a hundred remedial patent licensing decrees issued by federal courts from the 1940s through 1970s that outwardly resemble FRAND commitments in all but the rationale for their imposition. These early decrees shed light on questions only now re-emerging as key to the FRAND debate: the meaning of the non-discrimination prong of the FRAND commitment, the degree to which courts should intervene in the determination of reasonable royalty rates, the use of arbitration as a means for resolving licensing disputes, the factors to consider in determining a reasonable royalty rate, the extent to which royalty-free licensing may be “reasonable”, the effects of a potential licensee’s refusal to accept a patent holder’s license offer (so-called “reverse hold-up” or “hold-out”), the acceptability of a patent holder’s demand for reciprocal licenses from its licensees, and means for ensuring that such commitments survive the transfer of underlying patents. This article offers the first historical analysis of the patent licensing decrees issued from the 1940s through the 1970s and assesses their relationship to the FRAND commitments of today. It concludes that these historical patent licensing decrees are, in fact, the direct lineal predecessors of contemporary FRAND commitments, and that despite their differences, the historical interpretation and analysis of these remedial orders by courts, enforcement agencies and private litigants offer essential insight into the interpretation of FRAND commitments today.