The USPTO Patent Examination Research Dataset: A Window on ... The Patent Application Information...

download The USPTO Patent Examination Research Dataset: A Window on ... The Patent Application Information Retrieval

of 119

  • date post

    10-Sep-2020
  • Category

    Documents

  • view

    0
  • download

    0

Embed Size (px)

Transcript of The USPTO Patent Examination Research Dataset: A Window on ... The Patent Application Information...

  • The USPTO Patent Examination Research Dataset: A Window on the Process of Patent Examination

    Stuart Graham, Advisor

    Alan Marco, Chief Economist

    Richard Miller, Economist

    Working Paper No. 2015-4 http://www.uspto.gov/economics

    November 2015

    Office of Chief Economist U.S. Patent and Trademark Office

    600 Dulany Street Alexandria, VA 22314

    The views expressed are those of the individual authors and do not necessarily reflect official positions of the Office of Chief Economist or the U. S. Patent and Trademark Office.

    USPTO Economic Working Papers are preliminary research being shared in a timely manner with the public in order to stimulate discussion, scholarly debate, and critical comment. USPTO Economic Working Papers may be referenced and cited (other than a general acknowledgment that the citing author has had access to unpublished material) in other published work only with the prior agreement of the authors of the particular Economic Working Paper to be referenced or cited.

  • The USPTO Patent Examination Research Dataset: A Window on the Process of Patent Examination

    Stuart Graham

    Georgia Institute of Technology U.S. Patent & Trademark Office

    Alan Marco U.S. Patent & Trademark Office

    Richard Miller

    U.S. Patent & Trademark Office

    November 2015

    Abstract

    A surprisingly small amount of empirical research has been focused on the process of obtaining a patent grant from the United States Patent and Trademark Office (PTO). One major reason for this lack of research has been the paucity of readily-available data on the examination of applications. The purpose of this data release is to rectify this situation by making data from the Public Patent Application Information Retrieval system (Public PAIR) more readily available to researchers and other stakeholders, in accordance with the Obama administration’s Open Government Initiative. The data included in this data release are complete as of January 24, 2015 for all applications included in Public PAIR with filing dates prior to January 1, 2015. In order to be included in Public PAIR an application must be open to inspection by the public. A significant section of this documentation describes the selectivity issues that arise from the omission of “nonpublic” applications. We find that the selectivity issues were much more pronounced for applications received prior to the implementation of the American Inventors Protection Act (AIPA) in late 2000. The AIPA included provisions for the publication of applications prior to grant, thus increasing the inclusivity of Public PAIR for applications received by PTO starting in late November of that year. We also find that the extent of any selectivity bias will be at least partially determined by the sub-population of interest in any given research project. For instance, if a researcher was interested in studying the examination histories of issued patents, the selectivity issue would be of minimal concern. On the other end of the spectrum, using the Public PAIR data to study provisional applications would be more problematic.

    Keywords: Patents, Intellectual Property JEL Classification Numbers: O3, L1, L2, G2, G3

  • ii

    Table of Contents 1 Introduction ........................................................................................................................................... 3

    2 Public PAIR .......................................................................................................................................... 4

    2.1 Introduction ......................................................................................................................................... 4

    2.2 The Sections of PAIR Included in This Data Release ........................................................................ 5

    2.2.1 Application Data Tab ................................................................................................................... 5

    2.2.2 Transaction History Tab............................................................................................................... 9

    2.2.3 Continuity Data Tab ................................................................................................................... 10

    2.2.4 Foreign Priority Tab ................................................................................................................... 12

    2.2.5 Patent Term Adjustments Tab .................................................................................................... 12

    2.2.6 Address & Attorney/Agent Tab ................................................................................................. 13

    2.3 How an Application Becomes Public ......................................................................................... 13

    3 Stylized Facts Regarding Selection into Public PAIR ........................................................................ 14

    3.1 Data ............................................................................................................................................. 14

    3.2 Inclusion in Public PAIR ............................................................................................................ 15

    3.3 Pre-Grant Publication Status ....................................................................................................... 16

    3.4 Selection ...................................................................................................................................... 17

    3.4.1 Disposal status of application .................................................................................................... 18

    3.4.2 Pendency to disposal .................................................................................................................. 19

    3.4.3 Underlying technology of invention .......................................................................................... 19

    3.4.4 Small-entity and foreign-priority status ..................................................................................... 20

    3.4.5 Parent type ................................................................................................................................. 21

    3.5 Checking for Selection Issues in Examination Process Flow ........................................................... 21

    4. Conclusions ............................................................................................................................................. 23

    References ............................................................................................................................................... 25

    Appendix A: Description of the Application Data Tab Release ................................................................. 48

    A.1 Datasets Included in this Release .................................................................................................... 48

    A.2 Variables Included in APPLICATION_DATA .............................................................................. 48

    Application Number ............................................................................................................................ 48

    Filing Date .......................................................................................................................................... 49

    Application Type ................................................................................................................................ 49

    Examiner Identifiers ............................................................................................................................ 50

    Examiner Art Unit ............................................................................................................................... 50

  • iii

    Classification Codes ............................................................................................................................ 50

    Confirmation, Customer, and Attorney Docket Numbers ................................................................. 51

    Application Status ............................................................................................................................... 51

    File Location ....................................................................................................................................... 52

    Pre-Grant Publication Information ...................................................................................................... 52

    Disposal variables ............................................................................................................................... 53

    Other variables .................................................................................................................................... 53

    A.3 Variables Included in ALL_INVENTORS ..................................................................................... 53

    A.4 Variables included in STATUS_CODES ....................................................................................... 54

    Appendix B: Description of the Transaction History Data Release............................................................ 64

    B.1 Datasets Included in this Release .......................................