The USPTO Patent Examination Research Dataset: A Window on Patent Processing

25 Pages Posted: 3 Aug 2018

See all articles by Stuart J.H. Graham

Stuart J.H. Graham

Georgia Institute of Technology - Scheller College of Business

Alan C. Marco

Georgia Institute of Technology - School of Public Policy

Richard Miller

United States Patent and Trademark Office

Date Written: Fall 2018

Abstract

This article describes the “USPTO Patent Examination Research Dataset” (PatEx) and explores possible selection issues and the representativeness of the nearly 9.2 million US patent application records it contains. We find that data are sparse for years before 1981, and that serious selection issues affect records on applications filed prior to 2001 due to nonpublication in the United States. Following implementation of a policy change in November 2000, both coverage and representativeness of the PatEx data improve substantially. We uncover specific areas that are prone to selectivity issues, by generating statistical evidence across application characteristics such as application type, age, ownership type, domestic or foreign origin, patent family status, and technology class among others. Although our exploration suggests to researchers several categories of specific concern, our findings overall show that the PatEx data are generally representative of the population of patent applications filed in the United States after November 2000 across observable characteristics.

Keywords: innovation research, patent examination, patents

JEL Classification: O3, C1, C5, H1, K2, L1, Y1

Suggested Citation

Graham, Stuart J.H. and Marco, Alan C. and Miller, Richard, The USPTO Patent Examination Research Dataset: A Window on Patent Processing (Fall 2018). Journal of Economics & Management Strategy, Vol. 27, Issue 3, pp. 554-578, 2018. Available at SSRN: https://ssrn.com/abstract=3225477 or http://dx.doi.org/10.1111/jems.12263

Stuart J.H. Graham (Contact Author)

Georgia Institute of Technology - Scheller College of Business ( email )

800 West Peachtree St. NW
Atlanta, GA 30308
United States
404-385-0953 (Phone)
404-894-6030 (Fax)

HOME PAGE: http://https://www.scheller.gatech.edu/graham

Alan C. Marco

Georgia Institute of Technology - School of Public Policy ( email )

685 Cherry St.
Atlanta, GA 30332-0345
United States

Richard Miller

United States Patent and Trademark Office ( email )

Alexandria
VA 22313-1451
United States

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