Patent Filings Research Articles

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 U.S.-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.

Trends in Viral Vector-Based Vaccines for Tuberculosis: A Patent Review (2010-2023).

Tuberculosis (TB) is an ancient global public health problem. Several strategies have been applied to develop new and more effective vaccines against TB, from attenuated or inactivated mycobacteria to recombinant subunit or genetic vaccines, including viral vectors. This review aimed to evaluate patents filed between 2010 and 2023 for TB vaccine candidates. It focuses on viral vector-based strategies. A search was carried out in Espacenet, using the descriptors "mycobacterium and tuberculosis" and the classification A61K39. Of the 411 patents preliminarily identified, the majority were related to subunit vaccines, with 10 patents based on viral vector platforms selected in this study. Most of the identified patents belong to the United States or China, with a concentration of patent filings between 2013 and 2023. Adenoviruses were the most explored viral vectors, and the most common immunodominant Mycobacterium tuberculosis (Mtb) antigens were present in all the selected patents. The majority of patents were tested in mouse models by intranasal or subcutaneous route of immunization. In the coming years, an increased use of this platform for prophylactic and/or therapeutic approaches for TB and other diseases is expected. Along with this, expanding knowledge about the safety of this technology is essential to advance its use.

Early warning of trends in commercial wildlife trade through novel machine-learning analysis of patent filing

Unsustainable wildlife trade imperils thousands of species, but efforts to identify and reduce these threats are hampered by rapidly evolving commercial markets. Businesses trading wildlife-derived products innovate to remain competitive, and the patents they file to protect their innovations also provide an early-warning of market shifts. Here, we develop a novel machine-learning approach to analyse patent-filing trends and apply it to patents filed from 1970-2020 related to six traded taxa that vary in trade legality, threat level, and use type: rhinoceroses, pangolins, bears, sturgeon, horseshoe crabs, and caterpillar fungus. We found 27,308 patents, showing 130% per-year increases, compared to a background rate of 104%. Innovation led to diversification, including new fertilizer products using illegal-to-trade rhinoceros horn, and novel farming methods for pangolins. Stricter regulation did not generally correlate with reduced patenting. Patents reveal how wildlife-related businesses predict, adapt to, and create market shifts, providing data to underpin proactive wildlife-trade management approaches.

The evolution of plant phenomics: global insights, trends, and collaborations (2000-2021).

Phenomics, an interdisciplinary field that investigates the relationships between genomics and environmental factors, has significantly advanced plant breeding by offering comprehensive insights into plant traits from molecular to physiological levels. This study examines the global evolution, geographic distribution, collaborative efforts, and primary research hubs in plant phenomics from 2000 to 2021, using data derived from patents and scientific publications. The study utilized data from the EspaceNet and Lens databases for patents, and Web of Science (WoS) and Scopus for scientific publications. The final datasets included 651 relevant patents and 7173 peer-reviewed articles. Data were geocoded to assign country-level geographical coordinates and underwent multiple processing and cleaning steps using Python, Excel, R, and ArcGIS. Social network analysis (SNA) was conducted to assess collaboration patterns using Pajek and UCINET. Research activities in plant phenomics have increased significantly, with China emerging as a major player, filing nearly 70% of patents from 2010 to 2021. The U.S. and EU remain significant contributors, accounting for over half of the research output. The study identified around 50 global research hubs, mainly in the U.S. (36%), Western Europe (34%), and China (16%). Collaboration networks have become more complex and interdisciplinary, reflecting a strategic approach to solving research challenges. The findings underscore the importance of global collaboration and technological advancement in plant phenomics. China's rise in patent filings highlights its growing influence, while the ongoing contributions from the U.S. and EU demonstrate their continued leadership. The development of complex collaborative networks emphasizes the scientific community's adaptive strategies to address multifaceted research issues. These insights are crucial for researchers, policymakers, and industry stakeholders aiming to innovate in agricultural practices and improve crop varieties.

AI-POWERED PREDICTIVE ANALYTICS FOR INTELLECTUAL PROPERTY RISK MANAGEMENT IN SUPPLY CHAIN OPERATIONS: A BIG DATA APPROACH

The rapid advancement of technology and the increasing complexity of global supply chains have heightened the need for robust intellectual property (IP) risk management strategies. This study explores the application of artificial intelligence (AI) and big data analytics in enhancing IP risk management within supply chains. A comprehensive literature review was conducted using the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) methodology, identifying 578 records through database searches and an additional 90 records through other sources. After removing duplicates, 568 records were screened, with 196 full-text articles assessed for eligibility. Ultimately, 135 articles were included in the final synthesis. The findings reveal that AI-driven predictive analytics significantly enhance the detection and mitigation of IP risks by analyzing large volumes of data from various sources, such as patent filings, market trends, and social media. Big data analytics tools like Hadoop and Spark facilitate real-time monitoring and early identification of potential IP threats, providing a comprehensive view of the supply chain landscape. Several successful case studies across different industries, including pharmaceuticals, electronics, and fashion, demonstrate the practical applications of these technologies in addressing IP risks. However, the review also highlights several challenges, including data quality, scalability, model interpretability, data privacy, and integration with legacy systems. Despite these challenges, the benefits of AI and big data analytics in IP risk management are substantial, enabling organizations to protect their intellectual assets more effectively. The study underscores the need for future research to address these challenges and explore innovative solutions to maximize the potential of AI and big data analytics in IP risk management. By investing in the necessary infrastructure and expertise, organizations can enhance their resilience and maintain a competitive edge in the global market.

Enabling equitable and affordable access to novel therapeutics for pandemic preparedness and response via creative intellectual property agreements.

The COVID-19 pandemic demonstrated that the current purely market-driven approaches to drug discovery and development alone are insufficient to drive equitable access to new therapies either in preparation for, or in response to, pandemics. A new global framework driven by equity is under negotiation at the World Health Organization to support pandemic preparedness and response. Some believe that the global intellectual property (IP) system itself is part of the problem and propose a purely Open Science approach. In this article, we discuss how existing IP frameworks and contractual agreements may be used to create rights and obligations to generate a more effective global response in future, drawing on experience gained in the COVID Moonshot program, a purely Open Science collaboration, and the ASAP AViDD drug discovery consortium, which uses a hybrid, phased model of Open Science, patent filing and contractual agreements. We conclude that 'straight to generic' drug discovery is appropriate in some domains, and that targeted patent protection, coupled with open licensing, can offer a route to generating affordable and equitable access for therapy areas where market forces have failed. The Extended Data contains a copy of our model IP policy, which can be used as a template by other discovery efforts seeking to ensure their drug candidates can be developed for globally equitable and affordable access.

What affects parent companies’ innovation more in joint venture relationships?

Forming joint ventures with potential partners in acquiring the needed resources and technology provides benefits and creates competitive advantage and innovation for multinational enterprises. While cooperative partners can provide JVs with various resources and technologies, allocation of the position of organizational resources remains unclear and needs to be further addressed. The main purpose of the current paper is to emphasize organizational slack resources (e.g., available slack and potential slack) to illuminate the settings that facilitate the effects of investment attractiveness and employee involvement on JV innovation performance. To demonstrate the real industry of JVs and examine the research purpose, we used various databases, including the National Bureau of Economic Research U.S. patent data file, Harvard DVN patent database, Compustat database and SDC global joint ventures databank to examine the hypotheses. The results show the positive and significant direct effects of investment attractiveness and employee involvement on JV innovation performance. Additionally, the findings demonstrated that the above direct effects are more pronounced when there is higher available slack and potential slack. The current study contributes by offering new viewpoints on JV, offering new understandings of organizational slack and developing an uncharted bridge between the types of slack and JV innovation studies.

The nexus of intellectual property rights and firm productivity in China: A nonlinear approach

This paper explores the way that intellectual property rights (IPRs) protection as a moderator variable affects firm-level productivity gains through innovation (filing patents) and diffusion (importing goods). Applying the estimation method of conditional average treatment effect by Lee, Okui, and Whang (2017) to Chinese firm data, I show the graphic representation of the non-linearity that characterizes the heterogeneous average treatment effects of patenting and importing activities on firm productivity. The graphic results suggest that the productivity effect of patenting is positively influenced by local IPRs protection, while that of importing is initially negatively and subsequently positively affected by IPRs protection. I also find that overstrict protection of IPRs may diminish the productivity impact of both channels, and private-owned firms rely more on IPRs protection to enhance productivity through filing patents.