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Pre-emptive patenting: securing market exclusion and freedom of operation

Author

Listed:
  • Dominique Guellec
  • Catalina Martinez
  • Pluvia Zuniga

Abstract

We investigate statistically the characteristics, functioning and incidence of pre-emptive patenting, defined as patent filings whose main effect is to hamper the grant of other patents. Patent applications can be used defensively to prevent the grant of exclusive rights over markets and technologies, in order to ensure freedom of operation or keep competitors out of a given technological field. Combining data from examination outcomes and prior art at the European Patent Office, we develop a methodology to identify pre-emptive patent applications. We find evidence of pre-emption associated with patent applications cited as compromising patentability while not being deemed relevant to the state of the art. We also find that, among them, those which are withdrawn have the strongest pre-emptive power. The coincidence of low inventiveness and high pre-emptive impact supports the idea that some of these patents may be strategically designed by their applicants to block patenting by others.

Suggested Citation

  • Dominique Guellec & Catalina Martinez & Pluvia Zuniga, 2012. "Pre-emptive patenting: securing market exclusion and freedom of operation," Economics of Innovation and New Technology, Taylor & Francis Journals, vol. 21(1), pages 1-29, October.
  • Handle: RePEc:taf:ecinnt:v:21:y:2012:i:1:p:1-29
    DOI: 10.1080/10438599.2010.536378
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    Cited by:

    1. Balsmeier, Benjamin & Buchwald, Achim & Stiebale, Joel, 2014. "Outside directors on the board and innovative firm performance," Research Policy, Elsevier, vol. 43(10), pages 1800-1815.
    2. Malva, Antonio Della & Hussinger, Katrin, 2012. "Corporate science in the patent system: An analysis of the semiconductor technology," Journal of Economic Behavior & Organization, Elsevier, vol. 84(1), pages 118-135.
    3. repec:bla:jinfst:v:68:y:2017:i:6:p:1360-1374 is not listed on IDEAS
    4. Grimpe, Christoph & Hussinger, Katrin, 2014. "Pre-empted patents, infringed patents and firms’ participation in markets for technology," Research Policy, Elsevier, vol. 43(3), pages 543-554.
    5. Gaétan de Rassenfosse & Hélène Dernis & Geert Boedt, 2014. "An Introduction to the Patstat Database with Example Queries," Australian Economic Review, The University of Melbourne, Melbourne Institute of Applied Economic and Social Research, vol. 47(3), pages 395-408, September.
    6. Christian Bjørnskov & Niklas Potrafke, 2012. "Political Ideology and Economic Freedom Across Canadian Provinces," Eastern Economic Journal, Palgrave Macmillan;Eastern Economic Association, vol. 38(2), pages 143-166.
    7. Christian Le Bas & Julien Pénin, 2014. "Patents and innovation : Are the brakes broken, or how to restore patents’ dynamic efficiency ?," Working Papers of BETA 2014-02, Bureau d'Economie Théorique et Appliquée, UDS, Strasbourg.
    8. Christoph Grimpe & Katrin Hussinger, 2014. "Resource complementarity and value capture in firm acquisitions: The role of intellectual property rights," Strategic Management Journal, Wiley Blackwell, vol. 35(12), pages 1762-1780, December.
    9. Adam B. Jaffe & Gaétan de Rassenfosse, 2017. "Patent citation data in social science research: Overview and best practices," Journal of the Association for Information Science & Technology, Association for Information Science & Technology, vol. 68(6), pages 1360-1374, June.
    10. Chen, Yi-Min & Liu, Hsin-Hsien & Liu, Yu-Siang & Huang, Huei-Ting, 2016. "A preemptive power to offensive patent litigation strategy: Value creation, transaction costs and organizational slack," Journal of Business Research, Elsevier, vol. 69(5), pages 1634-1638.

    More about this item

    JEL classification:

    • C25 - Mathematical and Quantitative Methods - - Single Equation Models; Single Variables - - - Discrete Regression and Qualitative Choice Models; Discrete Regressors; Proportions; Probabilities
    • C51 - Mathematical and Quantitative Methods - - Econometric Modeling - - - Model Construction and Estimation
    • K41 - Law and Economics - - Legal Procedure, the Legal System, and Illegal Behavior - - - Litigation Process
    • L00 - Industrial Organization - - General - - - General
    • L20 - Industrial Organization - - Firm Objectives, Organization, and Behavior - - - General

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