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A New Look at Patent Quality: Relating Patent Prosecution to Validity

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  • Ronald J. Mann
  • Marian Underweiser

Abstract

The article uses two hand‐collected data sets to implement a novel research design for analyzing the precursors to patent quality. Operationalizing patent “quality” as legal validity, the article analyzes the relation between Federal Circuit decisions on patent validity and three sets of data about the patents: quantitative features of the patents themselves, textual analysis of the patent documents, and data collected from the prosecution histories of the patents. The article finds large and statistically significant relations between ex post validity and both textual features of the patents and ex ante aspects of the prosecution history (especially prior art submissions and the existence of internal patent office appeals before issuance). The results demonstrate the importance of refocusing analysis of patent quality on replicable indicators like validity, and the value that more comprehensive collection of prosecution history data can have for improving the output of the patent prosecution process.

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  • Ronald J. Mann & Marian Underweiser, 2012. "A New Look at Patent Quality: Relating Patent Prosecution to Validity," Journal of Empirical Legal Studies, John Wiley & Sons, vol. 9(1), pages 1-32, March.
    • Handle: RePEc:wly:empleg:v:9:y:2012:i:1:p:1-32
    DOI: 10.1111/j.1740-1461.2011.01245.x
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    1. Higham, Kyle & de Rassenfosse, Gaétan & Jaffe, Adam B., 2021. "Patent Quality: Towards a Systematic Framework for Analysis and Measurement," Research Policy, Elsevier, vol. 50(4).
    2. Raphael Zingg & Erasmus Elsner, 2020. "Protection heterogeneity in a harmonized European patent system," European Journal of Law and Economics, Springer, vol. 50(1), pages 87-131, August.
    3. Davit Khachatryan & Brigitte Muehlmann, 2017. "Determinants of successful patent applications to combat financial fraud," Scientometrics, Springer;Akadémiai Kiadó, vol. 111(3), pages 1353-1383, June.
    4. Lei, Zhen & Wright, Brian D., 2017. "Why weak patents? Testing the examiner ignorance hypothesis," Journal of Public Economics, Elsevier, vol. 148(C), pages 43-56.
    5. Yutaka Niidome, 2017. "The relation of patent description and examination with validity: an empirical study," Scientometrics, Springer;Akadémiai Kiadó, vol. 111(1), pages 159-183, April.
    6. Cremers, Katrin & Gaessler, Fabian & Harhoff, Dietmar & Helmers, Christian, 2014. "Invalid but infringed? An analysis of Germany's bifurcated patent litigation system," ZEW Discussion Papers 14-072, ZEW - Leibniz Centre for European Economic Research.
    7. Wagner, Stefan & Sternitzke, Christian & Walter, Sascha, 2022. "Mapping Markush," Research Policy, Elsevier, vol. 51(10).
    8. Joachim Henkel & Hans Zischka, 2019. "How many patents are truly valid? Extent, causes, and remedies for latent patent invalidity," European Journal of Law and Economics, Springer, vol. 48(2), pages 195-239, October.
    9. deGrazia, Charles A.W. & Pairolero, Nicholas A. & Teodorescu, Mike H.M., 2021. "Examination incentives, learning, and patent office outcomes: The use of examiner’s amendments at the USPTO," Research Policy, Elsevier, vol. 50(10).
    10. Yutaka Niidome, 2015. "The Factors Related to the Minimum and Maximum Survival of Patents against Challenges to Validity," GRIPS Discussion Papers 14-23, National Graduate Institute for Policy Studies.
    11. Cremers, Katrin & Gaessler, Fabian & Harhoff, Dietmar & Helmers, Christian & Lefouili, Yassine, 2016. "Invalid but infringed? An analysis of the bifurcated patent litigation system," Journal of Economic Behavior & Organization, Elsevier, vol. 131(PA), pages 218-242.
    12. Kafouros, Mario & Aliyev, Murod & Krammer, Sorin M.S., 2021. "Do firms profit from patent litigation? The contingent roles of diversification and intangible assets," Research Policy, Elsevier, vol. 50(6).
    13. Davit Khachatryan & Brigitte Muehlmann, 2020. "Measuring the drafting alignment of patent documents using text mining," PLOS ONE, Public Library of Science, vol. 15(7), pages 1-20, July.
    14. Hao Mao & Lauren A. Johnston & Zhifeng Yin, 2019. "The Self-Reported Patent Quality Of Chinese Firms: Motivation Source And Technology Accumulation Effects Analysis," The Singapore Economic Review (SER), World Scientific Publishing Co. Pte. Ltd., vol. 64(04), pages 939-960, September.
    15. Manuel Acosta & Daniel Coronado & Esther Ferrándiz & Manuel Jiménez, 2022. "Effects of knowledge spillovers between competitors on patent quality: what patent citations reveal about a global duopoly," The Journal of Technology Transfer, Springer, vol. 47(5), pages 1451-1487, October.
    16. Filitz, Rainer & Henkel, Joachim & Tether, Bruce S., 2015. "Protecting aesthetic innovations? An exploration of the use of registered community designs," Research Policy, Elsevier, vol. 44(6), pages 1192-1206.
    17. Jiang, Hongxun & Fan, Shaokun & Zhang, Nan & Zhu, Bin, 2023. "Deep learning for predicting patent application outcome: The fusion of text and network embeddings," Journal of Informetrics, Elsevier, vol. 17(2).
    18. Sun, Zhen & Wright, Brian D., 2022. "Citations backward and forward: Insights into the patent examiner's role," Research Policy, Elsevier, vol. 51(7).

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