PTLR Core Papers

• This page is referenced in the Patent Thicket Literature Review

This page details the 'Core' papers of the Patent Thicket Literature Review (PTLR). A paper is 'core' if it explicitly models or studies patent thickets.

Pages containing previous versions of papers are indented below their subsequent version. Write-ups will only be done for the subsequent versions. The BibTex entries for these papers are available as a list on the PTLR Core Group Processed BibTeX page, and each paper page has its own BibTeX entry in its reference section.

The Paper Pages

1. Bessen (2003) - Patent Thickets Strategic Patenting Of Complex Technologies
2. Clarkson (2004) - Objective Identification Of Patent Thickets A Network Analytic Approach
3. Clarkson (2005) - Patent Informatics For Patent Thicket Detection
4. Clarkson DeKorte (2006) - The Problem Of Patent Thickets In Convergent Technologies
5. Cockburn MacGarvie Muller (2010) - Patent Thickets Licensing And Innovative Performance
6. Cockburn Macgarvie (2011) - Entry And Patenting In The Software Industry
   • Cockburn MacGarvie (2006) - Entry And Patenting In The Software Industry
7. Cockburn MacGarvie (2009) - Patents Thickets And The Financing Of Early Stage Firms
   • Note that Cockburn MacGarvie (2009) really is a different paper from Cockburn Macgarvie (2011), despite their similarities
8. Entezarkheir (2010) - Patent Thickets And Market Value An Empirical Analysis
9. EPO (2012) - Workshop on Patent Thickets
10. Epstein Kuhlik (2004) - Is There A Biomedical Anticommons
11. Evans LayneFarrar (2004) - Software Patents And Open Source
12. Farrell (2009) - Intellectual Property As A Bargaining Environment
13. Galasso Schankerman (2010) - Patent Thickets Courts And The Market For Innovation
    • Galasso Schankerman (2008) - Patent Thickets And The Market For Innovation
14. George (2006) - What Is Hiding In The Bushes Ebays Effect On Holdout Behavior In Patent Thickets
15. Geradin (2007) - Royalty Stacking In High Tech Industries Separating Myth From Reality
16. Geradin LayneFarrar PadillaBlanco (2008) - The Complements Problem Within Standard Setting
17. Galasso (2007) - Broad Cross License Agreements And Persuasive Patent Litigation
18. Hall (2012) - A Study Of Patent Thickets
19. Hall Ziedonis (2001) - The Patent Paradox Revisited
20. Hall Ziedonis (2007) - An Empirical Analysis Of Patent Litigation In The Semiconductor Industry
21. Hargreaves (2011) - Digital Opportunity
22. Harhoff (2007) - The Strategic Use Of Patents And Its Implications For Enterprise And Competition Policies
23. Harhoff VonGraevenitz Wagner (2012) - Conflict Resolution Public Goods And Patent Thickets
24. Hegde Mowery Graham (2009) - Pioneering Inventors Or Thicket Builders
25. Heller (1998) - The Tragedy Of The Anticommons
26. Heller Eisenberg (1998) - Can Patents Deter Innovation The Anticommons In Biomedical Research
27. Huang Murray (2009) - Does Patent Strategy Shape The Long Run Supply Of Public Knowledge
28. Mann (2004) - The Myth Of The Software Patent Thicket
29. Mann (2005) - Do Patents Facilitate Financing In The Software Industry
30. Merges (1996) - Contracting Into Liability Rules
31. Merges (1999) - Institutions For Intellectual Property Transactions
32. Merges Nelson (1990) - On The Complex Economics Of Patent Scope
33. Mossoff (2009) - A Stitch In Time The Rise And Fall Of The Sewing Machine Patent Thicket
34. Mossoff (2011) - Rise And Fall Of The First American Patent Thicket
35. Murray Stern (2007) - Do Formal Intellectual Property Rights Hinder The Free Flow Of Scientific Knowledge
36. Nagaoka Nishimura (2006) - An Empirical Assessment Of The Effects Of Patent Thickets
37. Noel Schankerman (2006) - Strategic Patenting And Software Innovation
38. Regibeau Rockett (2011) - Assessment Of Potential Anticompetitive Conduct
39. Reitzig (2004) - The Private Values Of Thickets And Fences
40. Shapiro (2001) - Navigating The Patent Thicket
41. Siebert VonGraevenitz (2010) - Jostling For Advantage Or Not
42. Siebert VonGraevenitz (2010) - Licensing In The Patent Thicket Timing And Benefits
    • Siebert VonGraevenitz (2008) - Does Licensing Resolve Hold Up In The Patent Thicket
43. Sternitzke Bartkowski Schramm (2008) - Visualizing Patent Statistics By Means Of Social Network Analysis Tools
44. Strandburg (2006) - Law And The Science Of Networks
45. UKIPO (2011) - Patent Thickets An Overview
46. VonGraevenitz Wagner Harhoff (2011) - How To Measure Patent Thickets A Novel Approach
47. VonGraevenitz (2012) - Incidence And Growth Of Patent Thickets
    • Harhoff (2008) - Incidence And Growth Of Patent Thickets
48. Walsh Arora Cohen (2003) - Effects Of Research Tool Patents And Licensing On Biomedical Innovation
49. Ziedonis (2004) - Dont Fence Me In

Sorted By Area

Empirical Papers

1. Cockburn MacGarvie (2009) - Patents Thickets And The Financing Of Early Stage Firms
2. Cockburn MacGarvie Muller (2010) - Patent Thickets Licensing And Innovative Performance
3. Cockburn Macgarvie (2011) - Entry And Patenting In The Software Industry
   • Cockburn MacGarvie (2006) - Entry And Patenting In The Software Industry
4. Entezarkheir (2010) - Patent Thickets And Market Value An Empirical Analysis
5. Hall (2012) - A Study Of Patent Thickets
6. Hall Ziedonis (2001) - The Patent Paradox Revisited
7. Hall Ziedonis (2007) - An Empirical Analysis Of Patent Litigation In The Semiconductor Industry
8. Hegde Mowery Graham (2009) - Pioneering Inventors Or Thicket Builders
9. Huang Murray (2009) - Does Patent Strategy Shape The Long Run Supply Of Public Knowledge
10. Murray Stern (2007) - Do Formal Intellectual Property Rights Hinder The Free Flow Of Scientific Knowledge
11. Nagaoka Nishimura (2006) - An Empirical Assessment Of The Effects Of Patent Thickets
12. Reitzig (2004) - The Private Values Of Thickets And Fences
13. Ziedonis (2004) - Dont Fence Me In

Survey Papers

1. Walsh Arora Cohen (2003) - Effects Of Research Tool Patents And Licensing On Biomedical Innovation

Theory Papers

Informal Theory (Econ)

1. Bessen (2003) - Patent Thickets Strategic Patenting Of Complex Technologies
2. Farrell (2009) - Intellectual Property As A Bargaining Environment
3. Shapiro (2001) - Navigating The Patent Thicket

Informal Theory (Law)

1. Heller (1998) - The Tragedy Of The Anticommons
2. Merges (1996) - Contracting Into Liability Rules

Formal Theory With Empirics

1. Galasso (2007) - Broad Cross License Agreements And Persuasive Patent Litigation
2. Galasso Schankerman (2010) - Patent Thickets Courts And The Market For Innovation
3. Geradin (2007) - Royalty Stacking In High Tech Industries Separating Myth From Reality
4. Harhoff VonGraevenitz Wagner (2012) - Conflict Resolution Public Goods And Patent Thickets
5. Noel Schankerman (2006) - Strategic Patenting And Software Innovation
6. Siebert VonGraevenitz (2010) - Jostling For Advantage Or Not
7. Siebert VonGraevenitz (2010) - Licensing In The Patent Thicket Timing And Benefits
   • Siebert VonGraevenitz (2008) - Does Licensing Resolve Hold Up In The Patent Thicket
8. VonGraevenitz (2012) - Incidence And Growth Of Patent Thickets
   • Harhoff (2008) - Incidence And Growth Of Patent Thickets

Measures Papers

1. Clarkson (2004) - Objective Identification Of Patent Thickets A Network Analytic Approach
2. Clarkson (2005) - Patent Informatics For Patent Thicket Detection
3. Clarkson DeKorte (2006) - The Problem Of Patent Thickets In Convergent Technologies
4. Sternitzke Bartkowski Schramm (2008) - Visualizing Patent Statistics By Means Of Social Network Analysis Tools
5. Strandburg (2006) - Law And The Science Of Networks
6. VonGraevenitz Wagner Harhoff (2011) - How To Measure Patent Thickets A Novel Approach

Law Papers

1. Epstein Kuhlik (2004) - Is There A Biomedical Anticommons
2. Evans LayneFarrar (2004) - Software Patents And Open Source
3. George (2006) - What Is Hiding In The Bushes Ebays Effect On Holdout Behavior In Patent Thickets
4. Geradin LayneFarrar PadillaBlanco (2008) - The Complements Problem Within Standard Setting
5. Heller Eisenberg (1998) - Can Patents Deter Innovation The Anticommons In Biomedical Research
6. Merges (1999) - Institutions For Intellectual Property Transactions
7. Merges Nelson (1990) - On The Complex Economics Of Patent Scope
8. Mossoff (2009) - A Stitch In Time The Rise And Fall Of The Sewing Machine Patent Thicket
9. Mossoff (2011) - Rise And Fall Of The First American Patent Thicket

Survey/Empirical Law

1. Mann (2004) - The Myth Of The Software Patent Thicket
2. Mann (2005) - Do Patents Facilitate Financing In The Software Industry

Policy Report

1. EPO (2012) - Workshop on Patent Thickets
2. Hargreaves (2011) - Digital Opportunity
3. Harhoff (2007) - The Strategic Use Of Patents And Its Implications For Enterprise And Competition Policies
4. Regibeau Rockett (2011) - Assessment Of Potential Anticompetitive Conduct
5. UKIPO (2011) - Patent Thickets An Overview

Non-Core Papers

The following papers do not explicitly discuss patent thickets but are vital to an understanding of thickets or their measures:

1. Hall (2005) - A Note On The Bias In Herfindahl Type Measures Based On Count Data

@article{hall2005note,
  title={A note on the bias in Herfindahl-type measures based on count data},
  author={Hall, B.H.},
  journal={Revue D' Economie Industrielle, Paris Editions, Techniques Et Economiques},
  volume={110},
  pages={149},
  year={2005},
  abstract={A Herfindahl index of constructed from shares based on count data where the number of counts is small will generally be biased downward because of the statistical properties of count data and Jensen’s inequality. This note suggests a simple correction for the bias and illustrates its applicability when using measures based on patent data and patent citation data.},
  discipline={Econ},
  research_type={Measures},
  filename={Hall (2005) - A Note On The Bias In Herfindahl Type Measures Based On Count Data.pdf}
}

The following papers were erroneously classified as core:

1. Cockburn Wagner (2007) - Patents And The Survival Of Internet Related Ipos
2. Schacht (2006) - Patent Reform Issues In The Biomedical And Software Industries

Paper Origins

The vast major of these papers were contained in the first download. However, the following four papers were found during the 1st stage of convergence process:

1. Merges (1999) - Institutions For Intellectual Property Transactions
2. Merges Nelson (1990) - On The Complex Economics Of Patent Scope
3. Murray Stern (2007) - Do Formal Intellectual Property Rights Hinder The Free Flow Of Scientific Knowledge
4. Walsh Arora Cohen (2003) - Effects Of Research Tool Patents And Licensing On Biomedical Innovation

And the following paper was added as it was referenced in the review done by Kirti Gupta, deemed to be directly about thickets, and we didn't have it:

1. Epstein Kuhlik (2004) - Is There A Biomedical Anticommons

Recently Added Core Papers

The following papers were recently added to the core and may not be fully processed as yet. They were reclassified from the Up, Down or Discard groups during the tagging process, or found during the 2nd stage of the convergence process.

1. Bessen (2003) - Patent Thickets Strategic Patenting Of Complex Technologies
2. EPO (2012) - Workshop on Patent Thickets
3. Galasso (2007) - Broad Cross License Agreements And Persuasive Patent Litigation
4. Hall Ziedonis (2007) - An Empirical Analysis Of Patent Litigation In The Semiconductor Industry
5. Harhoff (2007) - The Strategic Use Of Patents And Its Implications For Enterprise And Competition Policies
6. Heller (1998) - The Tragedy Of The Anticommons
7. Mann (2005) - Do Patents Facilitate Financing In The Software Industry
8. Merges (1996) - Contracting Into Liability Rules

In addition, Lessig's book is often used as a seminal reference for the anticommons. It deserves a mention but not a write-up (it isn't seminal - it refs Heller/Eisenberg).

@book{lessig2001future,
  title={The future of ideas: The fate of the commons in a connected world},
  author={Lessig, Lawrence},
  year={2001},
  publisher={Vintage},
  abstract={},
  discipline={Law},
  research_type={Discussion},
  industry={All},
  thicket_stance={Pro},
  thicket_stance_extract={The complexity in these rights to exclude creates this anticommons problem. And the more severe the problem, the more it will stifle new innovation.},
  thicket_def={#A, #B, References Shapiro, References Heller/Eisenberg, Overlapping Patents, Cummulative Invention, Complementary Inputs, Diversely-Held},
  thicket_def_extract={...this story about the potential danger of patents in a field where innovation is sequential and complementary (where one builds on another, and the second complements the value of the first) gets additional support from an ingenious argument that Michigan law professor Michael Heller initially made and that economist James Buchanan has now followed up on.115 Heller introduces the concept of an “anticommons.” If a commons is a resource where everyone has a right to use the resource (and therefore sometimes overuse the resource), an anticommons is a resource where many have the right to block the use of a resource by others (and therefore many more underuse the resource)... Nobel Prize–winning economist James Buchanan has expanded this idea to the problem of regulation generally.116 He points to the problem of patents in particular as an example where multiple and overlapping patent protection may create an anticommons, where innovators are afraid to innovate in a field because too many people have the right to veto the use of a particular resource or idea. This potential for strategic behavior by these many rights holders makes it irrational for an innovator to develop a particular idea, just as the possibility of veto by many bureaucrats may leave a particular piece of real property underdeveloped.},  
  tags={},
  filename={Lessig (2001) - The Future Of Ideas.pdf}
}

Likewise, Kiley (1992)'s article in Science appears to coin the term 'thicket'. It too doesn't merit a write-up:

@article{kiley1992patents,
  title={Patents on random complementary DNA fragments?},
  author={Kiley, Thomas D},
  journal={Science},
  volume={257},
  number={5072},
  pages={915--918},
  year={1992},
  publisher={American Association for the Advancement of Science},
  abstract={The proposal by the National Institutes of Health (NIH) to patent products resulting merely from sequencing the human genome is a mistake: at worst, it is wrong in patent law; at best, it relies on deficiencies in law concerning what is "useful" as a requirement for patents. The proposal is symptomatic of a problem besieging biotechnology-attempts to control the raw material of scientific experimentation before research has determined the practical value of such material-that needs curing on many fronts. Corrective measures are proposed for adoption by the Executive branch, the Congress, and the courts.},
  discipline={Law},
  research_type={Discussion},
  industry={Genetics},
  thicket_stance={Pro},
  thicket_stance_extract={Because every step along the way draws another patent application, the path towardp ublicp ossessiono f realb enefit is increasinglyo bscuredb y dense thicketso f intersecting, overlapping, and cross-blocking patents.},
  thicket_def={#B, #C1, Dubious Patents, Overlapping Patents, Cummulative Invention, Unspecified Blocking Mechanism},
  thicket_def_extract={Today, patents are avidly pursued all along the lengthy road from the most basic science throught o the marketplacef or pharmaceuticals. Because every step along the way draws another patent application, the path towardp ublicp ossessiono f realb enefit is increasinglyo bscuredb y dense thicketso f intersecting, overlapping, and cross-blocking patents. Those operating at the beginnings of the road are most insistent on their right to nail down leverage that will remain formidabled espitem arketplacer ejectiono f the uses to which they say their inventions may be put. The frank aim of these early stagew orkersis to control ultimatea pplications discovered by others. The system is abused if those who would benefit in this way from the later labors of others can posit patents on the most strained utilities imaginable. Typical is the suggestion by NIH that organ differentiation( 18) is sufficient utility for a patent reaching to dominate the later discovery by others of a life-saving application for a cDNA!},  
  tags={First Thicket!},
  filename={Kiley (1992) - Patents On Random Complementary Dna Fragments.pdf}
}

Missing Papers

@techreport{clarkson2003sharper,
  title={Sharper Machetes for the Patent Thicket: Objective Criteria for Evaluating Patent Pools in the Shadow of Antitrust Enforcement},
  author={Clarkson, G},
  year={2003},
  institution={HBS Working Paper}
}

@article{eisenberg2001bargaining,
  title={Bargaining over the transfer of proprietary research tools: is this market failing or emerging},
  author={Eisenberg, Rebecca S},
  journal={Expanding the boundaries of intellectual property: innovation policy for the knowledge society},
  volume={226},
  year={2001},
  publisher={New York: Oxford University Press: pp. 226ff}
}

@techreport{noel2006patent,
  title={Patent thickets and software innovation: Theory and evidence from a panel of US firms},
  author={Noel, Michael and Schankerman, Mark},
  year={2006},
  institution={CEPR Working Paper}
}

 @article{ziedonis2003patent,
   title={Patent litigation in the US semiconductor industry},
   author={Ziedonis, Rosemarie},
   volume={138},
   year={2003},
   publisher={Washington, DC: The National Academies Press}
 }