Working papers

Office of the Chief Economist (OCE) economists and their collaborators conduct a variety of policy relevant research and make their preliminary findings available as working papers.  


Technical Documentation for Matching Patents and Trademarks to the 2017 National Establishment Time Series Database

Ryan Hughes, Charles deGrazia, and Julian Kolev
USPTO Economic Working Paper No. 2021-4
September 2021
Read the paper »

Read the abstract.
This paper documents the matching procedures used to generate crosswalks between the USPTO’s patent and trademark datasets and the 2017 National Establishment Time Series (NETS) database. The matching procedures implement a combination of entity resolution techniques including name and address standardization, heuristic matching, hierarchical disambiguation, and manual verification. Using these methods, the Office of the Chief Economist (OCE) matched 88% of patents granted and 73% of trademarks from 1990 through 2016 to entities in the NETS database. The resulting crosswalks offer a foundation for a wide range of work to investigate the relationship between intellectual property and firm establishments.

Software Piracy and IP Management Practices: Strategic Responses to Product-Market Imitation

Wendy A. Bradley and Julian Kolev
USPTO Economic Working Paper No. 2021-3
August 2021
Read the paper »

Read the abstract.
How do firms’ IP strategies respond to sudden increases in product-market imitation? Using a 2001 technological shock that enabled rising software piracy, we implement an instrumental-variables estimator to compare a treatment group of at-risk-of-piracy firms with matched not-at-risk control firms. We find that rising piracy increases subsequent R&D spending, copyrights, trademarks, and patents for large, incumbent software firms. Furthermore, copyright and trademark filings precede those of patents, and firms with large patent portfolios disproportionately increase copyrights and trademarks following the shock. We conclude that piracy and similar competitive shocks push firms to innovate to stay ahead of imitator products, and that this effect is moderated by their existing patent portfolios. Our findings have implications for managers seeking to capture value from IP in knowledge-based industries.

Artificial Intelligence Patent Dataset (AIPD) on a blue background with an outline of a head.

Identifying artificial intelligence (AI) invention: A novel AI patent dataset

Alexander V. Giczy, Nicholas A. Pairolero, and Andrew Toole
USPTO Economic Working Paper No. 2021-2
June 2021
Read the paper»


PatentsView: An open data platform to advance science and technology policy

Andrew Toole, Christina Jones, and Sarvothaman Madhavan
USPTO Economic Working Paper No. 2021-1
June 2020
Read the paper»


Technical Documentation for the 2019 Patent Examination Research Dataset (Patex) Release

Richard Miller
USPTO Economic Working Paper No. 2020-4
August 2020
Read the paper»


U.S. Intellectual Property and Counterfeit Goods—Landscape Review of Existing/Emerging Research

Vega Bharadwaj, Marieke Brock, Bridey Heing, Ramon Miron, and Noor Mukarram
USPTO Economic Working Paper No. 2020-3
April 2020
Read the article »


Piracy Landscape Study: Analysis of Existing and Emerging Research Relevant to Intellectual Property Rights (IPR) Enforcement of Commercial-Scale Piracy

Brett Danaher, Michael D. Smith, and Rahul Telang
USPTO Economic Working Paper No. 2020-2
April 2020
Read the article »


The Promise of Machine Learning for Patent Landscaping

Andrew A. Toole, Nicholas Pairolero, James Forman, and Alexander V. Giczy
USPTO Economic Working Paper No. 2020-1
March 2020
Read the article »


USPTO Patent Number and Case Code File Dataset Documentation

David L. Schwartz, Ted M. Sichelman, and Richard Miller
USPTO Economic Working Paper No. 2019-5
December 2019
Read the article »


Innovation Activities and Business Cycles: Are Trademarks a Leading Indicator?

Charles A.W. deGrazia, Amanda Myers, and Andrew Toole
USPTO Economic Working Paper No. 2019-4
June 2019
Read the article »


Shorter Patent Pendency Without Sacrificing Quality: The Use of Examiner's Amendments at the USPTO

Charles A.W. deGrazia, Nicholas A. Pairolero, and Mike H.M. Teodorescu
USPTO Economic Working Paper No. 2019-3
June 2019
Read the article »


Using Intellectual Property Data to Measure Cross-border Knowledge Flows

Jake Dubbert, Alexander V. Giczy, Nicholas A. Pairolero, and Andrew A. Toole
USPTO Economic Working Paper No. 2019-2
March 2019
Read the article »


The Miner Act of 2006: Innovating for Safety and Health in U.S. Mining

Andrew A. Toole, James Forman, and Asrat Tesfayesus
USPTO Economic Working Paper No. 2019-1
January 2019
Read the article »


Previous working papers