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Applicant and examiner citations in U.S. patents: An overview and analysis

机译：美国专利中申请人和审查员的引用：概述和分析

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摘要

Prior art patent citations have become a popular measure of patent quality and knowledge flow between firms. Interpreting these measurements is complicated, in some cases, because prior art citations are added by patent examiners as well as by patent applicants. The U.S. Patent and Trademark Office (USPTO) adopted new reporting procedures in 2001, making it possible to measure examiner and applicant citations separately for the first time. We analyzed prior art citations listed in all U.S. patents granted in 2001-2003, and found that examiners played a significant role in identifying prior art, adding 63% of citations on the average patent, and all citations on 40% of patents granted. An analysis of variance found that firm-specific variables explain most of the variation in examiner-citation shares. Using multivari-ate regression, we found that foreign applicants to the USPTO had the highest proportion of citations added by examiners. High-volume patent applicants had a greater proportion of examiner citations, and a substantial number of firms won patents without listing a single applicant citation. In terms of technology, we found higher examiner shares among patents in electronics, communications, and computer-related fields. Taken together, our findings suggest that firm-level patenting practices, particularly among high-volume applicants, have a strong influence on citation data and merit additional research.
机译：现有技术专利引用已成为企业之间专利质量和知识流的流行度量。在某些情况下，解释这些度量很复杂，因为专利审查员和专利申请人都增加了对现有技术的引用。美国专利商标局（USPTO）在2001年采用了新的举报程序，这使得首次单独评估审查员和申请人的引用成为可能。我们对2001-2003年授予的所有美国专利中列出的现有技术引用进行了分析，发现审查员在识别现有技术方面发挥了重要作用，对普通专利的引用增加了63％，对所授予专利的引用增加了40％。方差分析发现，特定于公司的变量解释了考官引文份额的大部分变化。使用多元回归分析，我们发现，USPTO的外国申请人的审查员添加的引用比例最高。大量专利申请人的审查员引证比例更高，并且大量公司在未列出单个申请人引证的情况下获得了专利。在技​​术方面，我们发现在电子，通信和计算机相关领域的专利中，审查员所占的比例更高。综上所述，我们的发现表明，公司一级的专利做法，尤其是在大量申请人中，对引用数据有很大的影响，值得进一步研究。

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