Research
papers and presentations
Bronwyn H.
Hall, University of California at Berkeley
Below
is a complete list of my publications and working papers by topic. Many of
these papers and handouts are downloadable in PDF format. You will need Acrobat reader
to view them. Papers that have been published are not downloadable due to
copyright restrictions. If you cite these paper in preliminary WP form, pleae
check back to get the correct published citation before publication.
Patents and Patent Policy
Panel Data Econometrics
Market Value of Innovation
Public-Private Innovation Interface
R&D Investment and Productivity; R&D and Innovation
Policy
Mergers, Corporate Restructuring and R&D
Diffusion
Older presentations
Reports and data documentation
Discussion and comments
Tax Policy for Innovation,
presentation to EPIP, Berlin, Germany, September 2018; OECD Conference on
assessing the impact of business innovation policies, Paris, France, October
2018; Schumpeter lecture, SME Assembly, Graz, Austria, November 2018; I Seminário
Internacional Fomento à Inovaçãao, Sao Paulo, Brazil, November 2018.
Patents, Innovation, and Development, Inaugural Penrose
Lectures, SOAS, London, March 2018. Lecture 1; Lecture 2.
Harnessing
the benefits of innovation: Some current policy issues, presentation to the
G-7 Symposium, Montebello, Canada, February 2018.
IP use in a
developing country: Evidence from Chile, presentation to EPIP, Bordeaux,
France, September 2017.
Patent
boxes and patent transfers, presentation to Harvard Business School
Seminar, May 2017.
Recent
papers
Green
technology diffusion: A post-mortem analysis of the Eco-Patent Commons, with
Jorge Contreras and Christian Helmers (November 2018). NBER Working Paper No.
25271.
Should there be
lower taxes on patent income?, with Fabian Gaessler and Dietmar Harhoff
(July 2018). NBER Working Paper No. 24843.
Is there a role for patents in the
financing of innovative firms? (January 2018, revised July 2018, Industrial and Corporate Change,
forthcoming). NBER Working Paper
No. 24370. Max Planck Institute of Innovation and Compeition Research Paper
No. 18/06.
Intellectual
property use in middle income countries: The case of Chile, with Carsten
Fink and Christian Helmers, revised Janaury 2018. NBER Working Paper No. 24348.
WIPO Economic
Researcg Paper No. 43.
The impact of international
patent systems: Evidece from accession to the European Patent Convention,
with Christian Helmers. January 2012, revised January 2018. NBER Working Paper
No. 24207. Max Planck Institute of Innovation and Compeition
Research Paper No. 18/03. Presentation to EPIP, Glasgow,
Scotland, September ¾, 2015.
Depreciation of
Business R&D Capital, with Wendy Li, 2018, Review of Income and Wealth (forthcoming). DOI: 10.1111/roiw.12380.
NBER Working Paper No. 22473.
The market value of R&D in weak
innovation regimes: Evidence from India, with Sunil Kanwar (2017). B. E. Journal of Economic Analysis and
Policy 17 (1), DOI: 10.1515/bejeap-2016-0103. NBER Working Paper No. w21196.
Technology entry in
the presence of patent thickets, with Christian Helmers and Georg von
Graevenitz, January 2017. NBER Working Paper No. 21455. Revised version of a
paper presented at the EPIP Annual
conference, Glasgow, September 3-4, 2015, the TILEC Workshop on Innovation and
the Patent System, Tilburg, Netherlands, 20-21 June 2013 and the NBER Summer
Institute, July 2013. Powerpoint of presentation
at U Minn, November 2015.
Patents and Patent Policy
Patent system for the 21st
century: Update, slides from May 2016.
Patents as Quality
Signals? The Implications for Financing Constraints on R&D, with Dirk
Czarnitzki (KU Leuven) and Hanna Hottenrott (DICE, Heine Universitaet,
Dusseldorf), revised October 2014, Economics
of Innovation and New Technology, Sept. 2015, DOI: 10.1080/10438599.2015.1076200
Appropriability mechanisms, innovation
and productivity: Evidence from the UK, with Vania Sena. Paper prepared for
the CDM conference, Paris, Oct. 8-9, 2014. NBER Working Paper No. 20514 and
UNU-MERIT Working Paper No. 2014-059. Economics
of Innovation and New Technology, 2016. Online appendix to this paper.
The choice between formal and
informal intellectual property: A review, with Christian Helmers, Mark
Rogers, and Vania Sena (2014), Journal of
Economic Literature 52(2): 375–423.
An
empirical analysis of primary and secondary pharmaceutical patents in Chile,
with María José Abud Sittler and Christian Helmers. PLOSOne, April 27, 2015, DOI: 10.1371/journal.pone.0124257. NBER
Working Paper No. 20995 (February 2015). Slides from presentation
to the MEIDE conference, November 2013, Santiago, Chile, and WIPO, December
2013, Geneva Switzerland.
The use of intellectual
property in Chile, with Maria Jose Abud, Carsten Fink, and Christian
Helmers. INAPI-WIPO
Report, Economic Research Working Paper No. 11, July 2013.
Innovation
in clean/green technology: Can patent commons help?, with Christian Helmers
(Oxford University), March 2011 (revised 2012). Journal of Environmental Economics and Management, http://dx.doi.org/doi:10.1016/j.jeem.2012.12.008
The importance
(or not) of patents to UK firms, with Christian Helmers, Mark Rogers, and
Vania Sena, February 2012, revised August 2012. Oxford Economic Papers 65 (3): 603-629. http://dx.doi.org/doi:10.1093/oep/gpt012
A
Study of Patent Thickets, with Georg von Graevenitz, Christian Helmers, and
Chiara Rosazza‐Bondibene. UK Intellectual Property Office
Research Paper No. 2013/26 (July).
The Use of Alternatives to Patents and
Limits to Incentives, with Christian Helmers, Mark
Rogers, and Vania Sena. UK Intellectual
Property Office Research Paper No. 2012/21 (November).
Does patent protection
help or hinder technology transfer, in S. Ahn, B. H. Hall, and K. Lee
(eds.), Intellectual Property for
Economic Development: Issues and Policy Implications, Edward Elgar, 2014.
Recent
research on the economics of patents, with Dietmar Harhoff
(Ludwig-Maximilians Universität München), Annual
Review of Economics 2012, Vol. 4:
541-565. NBER Working Paper No. 17773. Kindle version.
Patents and the
financing of innovation, presentation to the OECD Workshop on Patents,
Paris, France, 10-11 May 2012.
The role of patent
protection in (clean/green) technology transfer, with Christian Helmers
(Oxford University), Santa Clara High
Technology Law Journal 26 (2010): 487-532.
Patent
protection and technology transfer – help or hindrance?, presentation to
the KDI Conference on Intellectual Property for Economic Development: Issues
and Policy Implications, Seoul, 18/19 February 2010, and the Santa Clara
Computer and High Technology Law Journal Symposium on Clean Technology, Santa
Clara, California, 29 January 2010.
The private value
of software patents, with Megan MacGarvie, Research Policy 39 (2010): 994-1009. Revised version of NBER
Working Paper No. w12195 (April 2006). Kindle
edition.
The
use and value of IP rights, paper presented at the UK IP Ministerial Forum
on the Economic Value of Intellectual Property, London, UK, 10 June 2009. Slides from invited presentation to
the EPIP Conference, Septermber 24-25, 2009, Bologna, Italy.
Some facts
about business method and software patents at the USPTO and the EPO,
presentation to the George Wahington University Law School Conference on
Patents and Entrepreneurship in Business and Information Technologies,
Washington, DC, June 2009
Testimony to
the Federal Trade Commission Hearings on Markets for Intellectual Property and
Technology, May 4, 2009, Berkeley Center for Law and Technology, Berkeley,
California.
Business and
financial method patents, innovation, and policy (2009), Scottish Journal of Political Economy
56(4): 443-473. NBER Working Paper version
(April 2009).
Innovation,
patent strategy and patent reform, presentation to the TILEC Conference on
Patent Reform, Amsterdam, Netherlands, March 2009.
Financial
patenting in Europe(2009), with Grid Thoma and Salvatore Torrisi, European Management Review 6: 45-63.
Paper presented at the CEPR-Bank of Finland Conference on
Innovation and Intellectual Property in Financial Services, Helsinki,
Finland, Oct. 16-17, 2008. NBER
Working Paper version.
Strategic use of patents, lecture at the European Summer School in Industrial Dynamics (ESSID),
Monte Sant’Angelo, Italy, September 2008.
Opening
statement, Druid debate on the use of patent data, 25th
Anniversary DRUID Conference, Copenhagen, Denmark, June 18, 2008.
Patent value and Patents and technology development,
lectures for WIPO, Mexico City, Mexico, January 2008.
Patents and Patent
Policy, Revised December 2007, draft for Oxford Review of Economic Policy.
An
Empirical Analysis of Patent Litigation in the Semiconductor Industry, with
Rosemarie Ziedonis, paper presented to the AEA annual meeting, Chicago, IL, 4-7
January 2007.
Patents,
final version of article for the New
Palgrave Dictionary of Economics, edited by L. Blume and S. Durlauf,
September 2006.
Issues in and
Possible Reforms of the U. S. Patent System, presentation to the
Cooperative Symposium on 21st Century Innovation Systems for Japan and the
United States: Lessons from a Decade of Change, 10 January 2006, Tokyo, Japan.
Uncovering GPTs using Patent Data,
with Manuel Trajtenberg, in Antonelli, Foray, Hall, and Steinmueller, Festschrift
in Honor of Paul A. David, Edward Elgar, 2005. (Paper prepared for
presentation at a conference honoring Paul A. David, May 20-21, 2000, Torino,
Italy. Revised version posted October 2004).
Patent Data as Indicators,
presentation to the WIPO Conference on Patent Statistics, Geneva, Oct. 11-12,
2004. List of references to citation
papers.
Exploring the Patent Explosion, June
2004 revision of an invited lecture, ZEW Workshop on Empirical Economics of
Innovation and Patenting, Mannheim, Germany, March 14/15, 2003, Journal of
Technology Transfer 30 (2005): 35-48. Updated slides from presentations
at UC Berkeley, Stanford, and EUI Florence, November 2004.
Post-Grant Patent Reviews - Design Choices
and Expected Impact, with Dietmar Harhoff, Berkeley Law and Technology
Review, forthcoming 2004. Slides
from presentation to the Conference on Patent Reform, Berkeley Center for
Law and Technology, April 16, 2004.
Prospects for Improving U.S. Patent
Quality via Post-Grant Opposition, with Stuart J. H. Graham, Dietmar
Harhoff, and David C. Mowery, paper prepared for the NBER Conference in
Innovation Policy and the Economy, Washington, DC, April 15, 2003 (revised May
6, 2003). Slides from presentation.
Intellectual Property
Strategy in the Global Cosmetics Industry: A Soap Opera, with Dietmar
Harhoff, slides
from presentations to the NBER Summer Institute, a CEPR/WZB Conference,
October 24/25, 2002, Berlin, and the CEPR/IFS conference on innovation and
product market strategy, November 23/24, 2002, London.
Current Issues and Trends in the Economics
of Patents, slides from a lecture to the ESSID Summer School in Industrial
Dynamics, Cargese, Corsica, September 2002.
Testimony to the Federal Trade
Commission/Department of Justice (Antitrust Division) Hearings on Competition
and Intellectual Property Law in the Knowledge-Based Economy, February 26,
2002, Berkeley, California. Slides.
Patent Quality Control: A Comparison of U.S.
Patent Re-examinations and European Patent Opposition, with Stuart J. H.
Graham, Dietmar Harhoff, and David C. Mowery. NBER Working Paper No. 8807,
revised November 2002. [Slides from earlier
presentations to the Intellectual Property Seminar, St. Peters College, Oxford
University, May 2001, and the NBER Summer Institute,
July 2001.]
On Copyright and Patent Protection for Software
and Databases: A Tale of Two Worlds, presented at the ESF-IIASA-NSF Science
Policy Workshop on Digital Collaboration Technologies, Laxenburg, Austria,
December 3-5, 1999. Revised for publication in Granstrand, O. (ed.), Economics,
Law, and Intellectual Property, Kluwer Publishing Company, 2003.
The Global Nature of IP
Protection: Discussion, in Intellectual
Property and Innovation in the Knowledge-Based Economy, Toronto:
Industry Canada (2006). Presentation to the Industry Canada Conference on
Intellectual Property, Toronto, Canada, May 23-24, 2001. slides from the presentation.
The Determinants of Patenting in the
U.S. Semiconductor Industry, 1980-1994, with Rosemarie Ham Ziedonis. Rand
Journal of Economics 32 (2001): 101-128.
Intellectual Property Protection
for Software and Databases, slides from presentation to the Conference on
Technology Policy and Innovation, Paris, November 20-22, 2000.
The Effects of Strengthening Patent
Rights on Firms Engaged in Cumulative Innovation: Insights from the Semiconductor
Industry, with Rose Marie Ham Ziedonis, in Libecap, Gary (ed.), Entrepreneurial
Inputs and Outcomes: New Studies of Entrepreneurship in the United States,
Vol. 13 of Advances in the Study of Entrepreneurship, Innovation, and
Economic Growth, Amsterdam: Elsevier Science, 2001. Slides from NRC Conference
on IPR, February 2000.
Fishing Out or Crowding Out?: An Analysis of
the Recent Decline in U.S. Patenting. University of California at
Berkeley and NBER, March 1988.
The Value of Patents as
Indicators of Inventive Activity, with Zvi Griliches and Ariel Pakes. In
Dasgupta and Stoneman (eds.), Economic Policy and Technological Performance,
Cambridge: Cambridge University Press, 1987. NBER Working Paper No. 2083.
Patents and R&D:
Is There a Lag?, with Z. Griliches and J. A. Hausman. International
Economic Review 27(1986): 265-283. NBER Working Paper No. 1454.
A Note on the Bias in the Herfindahl Based on
Count Data, September 2000 (revised January 2005), Revue d'Economie
Industrielle, No. 110, pp. 149-156. An earlier version was published in
Jaffe, A. and M. Trajtenberg (eds.), Patents, Citations, and Innovation,
MIT Press, 2002.
A Note on Measurement Error and Proxy Variables,
May 2004.
Testing for Unit Roots in Panel
Data: An Exploration Using Real and Simulated Data, with Jacques Mairesse.
NBER, UC Berkeley, and INSEE-CREST, in Andrews and Stock (eds.), Identification
and Inference for Econometric Models: A Festschrift in Honor of Thomas
Rothenberg, Cambridge University Press, 2005. Slides from presentation
to the Annual Conference of the German Classification Society, Munich, March
14-16, 2001 and the Conference in Honor of Thomas Rothenberg, UC Berkeley,
August 2001.
Firm-Level
Investment in France and the United States: An Exploration of What We have
Learned in Twenty Years?, with Jacques Mairesse and Benoit Mulkay.
Presented at the Twentieth Anniversary Panel Data Conference, Paris, France,
June 1997. Annales de l'Economie et de Statistique (January 2000).
Zipped
PDF.
The Relationship Between Firm Size and
Firm Growth in the U.S. Manufacturing Sector. Journal of Industrial
Economics 35: 583-606 (1987). Unpublished appendices to
this paper.
Wages,
Schooling, and IQ of Brothers and Sisters: Do the Family Factors Differ?
with John Bound and Zvi Griliches. International Economic Review 27:
77-105 (1986).
Econometric Models
for Count Data with an Application to the Patents-R&D Relationship,
with Jerry A. Hausman and Zvi Griliches. Econometrica 52 (July): 909-37
(1984).
Missing Data and
Self-Selection in Large Panels, with Zvi Griliches and Jerry A. Hausman. Annales
de l'INSEE 30-31, Avril-Sept. 1978. Reprinted in Griliches, Zvi (ed.), Practicing
Econometrics, London: Edward Elgar Publishing Limited (1998), pp. 208-247.
A General Framework for the Time
Series-Cross Section Estimation, Annales de
l'INSEE 30-31, Avril-Sept. 1978,
pp.177-202.
Estimation and Inference in Nonlinear
Structural Models, with Ernst K. Berndt, Robert E. Hall, and Jerry A.
Hausman. Annals of Economic and Social Measurement 1974: 653-65.
The Market
Value of Patents and R&D: Evidence from European firms, with Grid
Thoma, Univesity of Camerino and CESPRI, Bocconi University and Salvatore
Torrisi, Bologna University and CESPRI, Bocconi University. October 2006,
revised August 2007, NBER Working Paper No. 13426. VOX EU column, December
2007.
Measuring
R&D depreciation for the National Income Accounts, slides from a
presentation to the BEA, 13 December 2006.
Does
the Market Value R&D Investment by European Firms? Evidence from a Panel of
Manufacturing Firms in France, Germany, and Italy, with Raffaele Oriani, International Journal of Industrial
Organization, forthcoming 2006. Revised version of paper presented at the DRUID
Conference, Helsingor, June 12-14, 2003. NBER
Working Paper No. 10408 (May 2005 version).
The Market Value of
Knowledge Assets in U.S. and European Firms, with Dirk Czarnitzki and
Raffaele Oriani, April 2005, forthcoming in D. Bosworth and E. Webster (eds.), The
Management Of Intellectual Property, 2005.
The Market
Value of R&D: Theory and Empirics, slides from presentations at the
Conference in Memory of Tor Jakob Klette, Oslo, Norway, August 2004 and the
EC-2 Conference on the Econometrics of Industrial Organization, Marseilles,
December 2004.
Market
Value and Patent Citations, with Adam Jaffe and Manuel Trajtenberg, Rand
Journal of Economics 36 (2005): 16-38:
(revised version of Market Value and Patent Citations: A First Look, NBER
Working Paper No. 7741 (June 2000), University of
California Dept. of Economics Working Paper No. E01-304 (revised June 2001). Slides from a presentation at
Oxford University, May 18, 2001.
Innovation and Market
Value, paper presented at the NIESR Conference on Competitiveness and
Productivity, London, England, February 1998. In Barrell, Ray, Geoffrey Mason,
and Mary O'Mahoney (eds.), Productivity, Innovation and Economic Performance,
Cambridge: Cambridge University Press, 2000.
Market Value, Market Share, and Innovation,
with Katrin Vopel. NBER, the University of California at Berkeley, and the
University of Mannheim. (May 1996, revised June 1997).
The Value and Performance of U.S.
Corporations, with Robert E. Hall. Brookings Papers on Economic Activity
1993 (1): 1-50.
The Stock Market's Valuation of
Research and Development Investment During the 1980s. American
Economic Review 83: 259-264 (1993).
The Value of Intangible
Corporate Assets: An Empirical Study of the Components of Tobin's Q.
IBER Working Paper No. 93-207 (January 1993).
R&D, Patents, and
Market Value Revisited: Is There a Second (Technological Opportunity) Factor?
with Zvi Griliches and Ariel Pakes. Economics of Innovation and New
Technology 1: 183-202 (1991).
The Public-Private Innovation Interface
IP
protection, confidentiality, and openness in science, presentation to the
International Workshop on Private Sector – Academia Interactions, Sigtuna,
Sweden, November 22-25, 2011.
The use of IP
and open innovation in structuring knowledge relationships between firms.
Slides from presentation to the Knowledge in Organizations Conference, Monte
Verita, Ascona, Switzerland, June 2010.
Open
innovation and intellectual property rights, short paper written for Japan Spotlight (January/February 2010
issue).
Issues in assessing the
scientific and creative commons, presentation to the International Communia
Conference on Public Domain in the Digital Age,
Louvain-la-Neuve, Belgium, June 30, 2008.
Which
firms participate in open source development?: a study using data from Debian,
presentation to the DIME-DRUID Fundamental, Copenhagen, Denmark, June 17,
2008. Preliminary draft paper.
The Open Enterprise:
Academic Entrepreneuship, presentation to the Bocconi-Corriere della Sera
conference on Economics and the Open Society, Milano, May 8-12, 2007. Slides from the presentation.
Property and the
Pursuit of Knowledge: IPR issues affecting scientific research, with Paul A.
David, Introduction to a special issue of Research Policy, Volume 35,
Issue 6, 2006. Reprint.
Proprietary vs. Public Domain
Licensing of Software and Research Products, with Alfonso Gambardella,
2006, Research Policy 35(6), 875-892,
NBER Working Paper No. w11120 (2005),
reprinted in The
Capitalization of Knowledge, Riccardo Viale and Henry Etkowitz (eds.),
Edward Elgar Publishing.
Identifying Age, Cohort and Period
Effects in Scientific Research Productivity: Discussion and Illustration Using
Simulated and Actual Data on French Physicists, with Jacques Mairesse and
Laure Turner (2007), Economics of
Innovation and New Technology 16 (2): 159-177. [Paper presented at the
Keith Pavitt Memorial Conference, SPRU, November 2003, revised June 2005.]
Incentives for Knowledge Production with
Many Producers, presentation to the European Commission/NSF/OECD Conference
on Networks of Knowledge: Research and Policy for the Knowledge-Based Economy, Brussels,
June 7/8, 2004.
University-Industry Research Partnerships in the
United States, in Contzen, Jean-Pierre, David Gibson, and Manuel V. Heitor
(eds.), Rethinking Science Systems and Innovation Policies, Proceedings
of the 6th International Conference on Technology Policy and Innovation, Purdue
University Press, 2004.
An earlier version was presented at the 6th International Conference on
Technology Policy and Innovation, Kansai, Japan, August 2002.
University-Industry Partnerships and
Intellectual Property, paper presented to an NSF Workshop on Intellectual
Property Protection Mechanisms in Research Partnerships, Center for
International Science and Technology Policy, Georgetown University, Washington,
D.C., October 2001. Slides from
presentation to the International Conference on Technology Policy and
Innovation, Kansai Science City, Japan, August 2002.
Universities as Research Partners,
with Albert N. Link and John T. Scott, Review of Economics and Statistics,
May 2003.
An earlier version was presented at the Annual Meetings of the Industrial
Organization Society and the American Economic Association, Boston, January
7-9, 2000, NBER Working Paper No. 7643 (March 2000). Long version of this paper.
Related NIST Report
GCR 02-829.
Barriers Inhibiting Industry from
Partnering with Universities: Evidence from the Advanced Technology Program,
with Albert N. Link and John T. Scott, Journal of Technology Transfer 26:
87-98 (2001).
R&D Investment and Productivity; R&D and
Innovation Policy
Financing constraints, R&D
investments and innovative performances: new empirical evidence at the firm
level for Europe, Introduction to a special issue of Economics of
Innovation and New Technology, with Pietro Moncada-Paterno-Castello, Sandro
Montresor, and Antonio Vezzani, Economics
of Innovation and New Technology, Sept. 2015, DOI:
10.1080/10438599.2015.1076194
Innovation
and Productivity: An Update, with Pierre Mohnen, 2013. Eurasian Economic Review 3(1): 47-65. UNU-MERIT
Working Paper No. 2013-021.
Evidence
on the impact of R&D and ICT investment on innovation and productivity in
Italian firms, with Francesca Lotti and Jacques Mairesse (Economics of Innovation and New Technology,
2012). NBER Working
Paper No. 18053 (November 2011). Slides from a presentation at
Concord 2010, Seville, Spain, and Conference on R&D, Science, Innovation,
and Productivity, Paris, France.
Innovation and
Productivity, paper presented at the Nordic Economic Policy Review
conference, Helsinki, April 2011. NBER Working Paper No. 17178 (May 2011).
The
Internationalization of R&D (2011), in A. Sydor (ed.), Global Value Chains: Impacts and
Implications, Ottawa, Canada: Foreign Affairs and International Trade
Canada, Government of Canada.
Measuring the returns to
R&D, with Jacques Mairesse and Pierre Mohnen, November 2009. Draft of
chapter prepared for the Elsevier
Handbook of the Economics of Innovation, B. H. Hall and N. Rosenberg
(eds.), April 2010. Slide
presentation, Research and Innovation Policy Conference, Oslo, Norway, 25
January 2012.
Measuring the
Returns to R&D: The Depreciation Problem, Annales d’Economie et de Statistique 79/80 (2005): 341-381. Also NBER Working Paper No. 13473
(September 2007), revised version of R&D, Productivity, and Market Value,
paper presented at the International Conference in memory of Zvi Griliches,
Paris, August 2003. slides from invited lecture
to the International Schumpeter Society Meeting in Nice, France, June 2006.
Financing R&D and
innovation, with Josh Lerner, draft of chapter prepared for the Elsevier Handbook of the Economics of
Innovation, B. H. Hall and N. Rosenberg (eds.), April 2010, pp. 609-639.
The
financing of innovative firms, European
Investment Bank Papers, Vol. 14 (2009), No. 2, 8-28. Paper presented at the
Annual Research Conference, Luxembourg, October 2009.
Pitfalls
in estimating the returns to corporate R&D using accounting data, with
Dominique Foray and Jacques Mairesse, October 2009 revision of a paper
presented at the First European Conference on Knowledge for Growth, October
8-9, 2007, Seville, Spain.
Innovation and
productivity in SMEs: Empirical evidence for Italy (2009), with Francesca
Lotti and Jacques Mairesse, Small
Business Economics 33: 13-33.
R&D
and Financial Investors (November 2008), with Alessandro Grandi and
Raffaele Oriani, Chapter 4 of V. Chiesa and F. Frattini, R&D evaluation and performance measurement, Cheltenham: Edward
Elgar, pp. 143-165.
Policy for innovation:
insights from economic research, presentation to VINNOVA, Stockholm,
Sweden, June 4, 2008.
Employment,
Innovation, and Productivity: New Evidence from Italian Microdata, with F.
Lotti and J. Mairesse, Industrial and
Corporate Change 17 (2008): 813-839.
NBER Working
Paper No. 13296.
Evaluating
the Impact of Technology Development Funds in Emerging Economies: Evidence from
Latin America, with Alessandro Maffioli, Inter-American Development Bank,
Washington, DC, December 2007, revised February 2008, NBER Working Paper No. 13835. Slides from the
presentation at GRIPS, Tokyo, Japan, March 2008.
Research and
Development, International
Encyclopedia of the Social Sciences, 2nd edition (2008), edited
by William A. Darity, pp. 199-201.
Empirical
studies of innovation in the knowledge driven economy: An introduction,
with J. Mairesse, Introduction to a special issue of Economics of Innovation and New Technology, Vol. 15, Issues 4/5,
2006. NBER Working Paper No.
w12320.
The Financing of
Innovation, in Shane, S. (ed.), Blackwell
Handbook of Technology and Innovation Management, Oxford: Blackwell
Publishers, Ltd., 2005.
Financing Private Sector
Investment in Research and Development, slides from presentation to the
United Nations INTECH University/European Union conference on financial
systems, corporate investment in innovation, and venture capital, November 7-8,
2002, Brussels.
The Financing of Research and
Development, Oxford Review of Economic Policy 18 (1). NBER Working
Paper No. 8773 (February 2002).
Investment and R&D in France
and the United States, with Benoit Mulkay and Jacques Mairesse. Herrmann,
Heinz, and Rolf Strauch (editors), Investing Today for the World of Tomorrow,
Springer Verlag, 2001.
Heart of Darkness: Public-Private
Interactions Inside the R&D Black Box, with Paul A. David. Research
Policy 29: 1165-1183 (2000).
Is Public R&D a Complement or
Substitute for Private R&D? A Review of the Econometric Evidence, with
Paul A. David and Andrew A. Toole. Research Policy 29(4-5): 497-530
(2000).
How Effective are Fiscal Incentives for
R&D? A Review of the Evidence, with John van Reenen. Research Policy
29(4-5): 449-470 (2000).
Does Cash Flow Cause
Investment and R&D: An Exploration Using Panel Data for French, Japanese,
and United States Scientific Firms, with Jacques Mairesse, Lee Branstetter,
and Bruno Crepon. In Audretsch, D., and A. R. Thurik (eds.), Innovation,
Industry Evolution, and Employment, Cambridge, England: Cambridge
University Press, 1999.
The Private and Social Returns to
Research and Development: What Have We Learned? In Smith, Bruce L. R., and
Claude E. Barfield (eds.), Technology, R&D, and the Economy,
Washington, DC: The Brookings Institution and the American Enterprise Institute,
1996.
Estimating the Productivity of
Research and Development in French and United States Manufacturing Firms,
with Jacques Mairesse. In Bart van Ark and Karin Wagner (eds.), International
Productivity Differences, Measurement and Explanations, Amsterdam: Elsevier
Science, 1996. Published in French as La productivité de la recherche et
développement des entreprises industrielles aux États-Unis et en France, Economie
et Prevision numéro 126 (1996-5). NBER Working Paper No. 5501.
Exploring the
Relationship Between R&D and Productivity in French Manufacturing Firms,
with Jacques Mairesse. Journal of Econometrics 65: 263-294 (1995).
The Role of Working Capital in the
Investment Process, with Hugo Kruiniker. NBER, the University of California
at Berkeley, and the Rijksuniversiteit Limburg: Photocopied (December 1995,
under revision).
Fiscal Policy towards R&D in the
United States: Recent Experience, presentation to the OECD meeting on
Fiscal Measures to Promote R&D, Paris, France, January 19, 1995.
R&D Tax Policy During
the Eighties: Success or Failure? In Tax Policy and the Economy 7:
1-35 (1993). NBER Working Paper No. 4240.
Industrial Research During the
1980s: Did the Rate of Return Fall? Brookings Papers on Economic
Activity Microeconomics 1993 (2): 289-344.
Firm-Level Investment with Liquidity
Constraints: What Can the Euler Equations Tell Us? NBER and the University
of California at Berkeley (April 1991). Zipped PDF.
Research and Development
Investment at the Firm Level: Does the Source of Financing Matter? IBER
Working Paper No. 92-194 (May 1992). NBER Working Paper No. 4096 (June 1992).
Research and Development as an
Investment, with Fumio Hayashi. NBER Working Paper No. 2973 (May 1989) .
Who Does R&D and Who Patents?
with J. Bound, C. Cummins, Z. Griliches, and A. Jaffe. In Zvi Griliches (ed.), R&D,
Patents, and Productivity, Chicago: University of Chicago Press, 1984. NBER
Working Paper No. 0908.
Innovation
and Diffusion, October 2003. In Fagerberg, J., D. Mowery, and R. R. Nelson
(eds.), Handbook of Innovation, Oxford University Press, 2004.
Adoption of New
Technology, with Beethika Khan. In Jones, Derek C., New Economy Handbook,
Academic Press, 2003.
Redefining
the Takeover Target: An Empirical Investigation Using Duration Models, with
Constance Phelizon. UC Berkeley and Universite Paris I: Photocopied.
Mergers and R&D Revisited. Paper
prepared for presentation at the NSF Symposium on Quasi-Experimental Methods,
Econometrics Laboratory, UC Berkeley, August 3-7, 1999. (revised version of a paper
presented at an NBER conference on mergers and productivity, January 1997 and a
conference on The Influence of Financial Markets on Restructuring in Science
Based Industries, Milano, May 21-22, 1999). New
version July 12, 1999. Slides from presentation.
Corporate Restructuring and
Investment Horizons. Business History Review 68 (Spring 1994):
110-143. NBER
Working Paper No. 3794.
The Impact of Corporate
Restructuring on Industrial Research and Development. Brookings Papers
on Economic Activity 1990 (1): 85-136.
The Effect of Takeover
Activity on Corporate Research and Development. In Auerbach, Alan (ed.), The
Economic Effects of Takeover Activity, Chicago: University of Chicago
Press, 1988.
Estimation of the Probability of
Acquisition in an Equilibrium Setting. UC Berkeley Dept. of Economics
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R&D, Innovation, and Productivity,
presentation to the seminar “The Role of R&D in Fostering Economic
Performance: Lessons from Research and Implications for Finland,” 1 December
2016, Helsinki, Finland.
Innovation and Productivity Growth,
presentation to the seminar “Will Sweden Fall with Ericsson,” 28 November 2016,
Stockholm, Sweden.
Tax Policy for Innovation,
presentation to the IMF/DG-TAX Conference on Taxation, investment and
innovation: a triptych for balanced growth, 17-18 November 2016, Brussels,
Belgium.
Overview of my
research on innovation, presentation to the Singapore National Science
Foundation, November 2014, Singapore.
Trade secrets vs patents,
presentation to the OECD Workshop on Society’s Gain from Intellectual Property
Exchange, May 2014, Paris.
Policy for Innovation: Insights from
Economic Research, presentation to GIZ-Beijing, October 2013, and the
Innovation Research Forum, January 2014, Caguas, Puerto Rico.
Innovation, IP Choice, and Firm
Performance, presentation to the NIESR productivity workshop, July 2014,
London.
Using patent data as indicators,
keynote address to the 8th European Meeting on Applied Evolutionary
Economics, Sophia Antipolis, France, 10-12 June 2013.
Innovation, patents,
and productivity in firms, presentation to Industry Canada, April 2013 (not
presented due to weather delays).
Innovation, IP choice, and firm
performance, presentation to UC Berkeley Innovation Seminar, 6 March 2013.
Environmental change, patents,
and development, presentation to SIMPATIC workshop on climate change,
Bruegel Foundation, Brussels, Belgium, 4 December 2012.
Patents and the
transfer of knowledge, presentation to the OECD Conference on Knowledge
Networks and Markets, Paris, 26-27 November 2012.
Environmental change,
patents, and development, presentation to the First IASC Conference on the
Knowledge Commons, Louvain-la-Neuve, September 2012.
The impact of joining
the regional European Patent Convention system, with Christian Helmers.
Presentation to the Stanford IP Law Conference, August 2012, and the European
Policy for Intellectual Property Annual Meeting, September 2012.
Innovation,
productivity, and growth, presentation to the KITeS Conference on New
Frontiers in the Economics and Management of Innovation, University L. Bocconi,
22-23 March 2012.
R&D in
the crisis, presentation to the OECD Workshop on R&D and innovation in
the current macroeconomic climate, Paris, France, December 7, 2011.
The Economics of R&D Tax
Credits, slides from presentation to the Tax Policy Institute Conference on
the R&D Tax Credit, Washington, DC, February 15-16, 2001.
Reports
and data documentation
Assessing
the Effectiveness of the Eco-patents Commons: A Post-mortem Analysis, with Jorge
Contreras and Christian Helmers (2018). CIGI Paper No. 161.
Study on pharmaceutical patents in Chile, with María José Abud Sittler and Christian Helmers. Report for WIPO, September 2014.
Measuring Science, Technology, and
Innovation: A Review, with Adam Jaffe, May 2012 (rev. 2017). Annals of Science and Technology Policy
2018. Report for the Panel on Developing Science, Technology, and Innovation
Measures for the Future, National Academy of Science. Powerpoint summary.
Using productivity growth as an
innovation indicator, 2011. Report for the High Level Panel on Measuring
Innovation, DG Research, European Commission.
Methods and software for the harmonization
and integration of datasets: A test based on IP-related data and accounting
databases with a large panel of companies at the worldwide level, with Grid
Thoma, Salvatore Torrisi, Alfonso Gambardella, Dominique Guellec, and Dietmar
Harhoff, paper prepared for presentation at the PatStat Conference - Conference on Patent Statistics for Decision
Makers, Vienna, September 3-4, 2008.
TSP 5.1 User's Guide, (with Clint Cummins),
TSP International, February 2005, revised October 2009.
TSP 5.1 Reference Manual, (with Clint Cummins),
TSP International, February 2005, revised October 2009.
Government Policy for Innovation in Latin
America, a report to the World Bank, presented at the Barcelona Conference
on R&D and Innovation in the Development Process, June 2005.
Patent Data Project – Brief
Literature Review (from the NSF Proposal), with Iain Cockburn, Woody
Powell, and Manuel Trajtenberg. February 2004.
The NBER Patent
Citations Data File: Lessons, Insights, and Methodological Tools, with Adam
Jaffe and Manuel Trajtenberg. NBER Working Paper No. 8498 (October 2001).
Tax Incentives for
Innovation in the United States, a report to the European Union submitted by
Asesoria Industrial ZABALA-Spain (Contract Nº: INNO–99–03), January 2001 draft.
The California R&D
Tax Credit: Description, History, and Economic Analysis, with Marta
Wosinska. Report for the California Council on Science and Technology, June
1999.
Differences in Reported R&D Data
on the NSF/Census RD-1 Form and the SEC 10-K Form: A Micro-Data Investigation,
with William F. Long. NBER, UC Berkeley, Oxford University, and BPRA (October
1997, revised October 1999).
Effectiveness of Research and Experimentation
Tax Credits: Critical Literature Review and Research Design, Report written
for the Office of Technology Assessment, U.S. Congress, Washington, DC (June
1995).
The Manufacturing Sector
Master File: 1959-1987. NBER Working Paper No. 3366 (May 1990).
A Descriptive Analysis of the Growth and
Fluctuations of French Manufacturing Firms. NBER and ENSAE/INSEE (June
1987).
Census R&D Data Match Project: A
Progress Report, with Zvi Griliches. Paper presented at the Workshop on the
Development and Use of Longitudinal Establishment Data, Bureau of the Census,
Washington, D.C., January 14-15, 1982.
Corrado, Haskel,
Jona-lasinio, and Nasim: Is international R&D tax competition a zero-sum
game? Evidence from the EU, slides from NBER-CRIW
discussion, Cambridge, MA, July 2015.
Marx, Strumsky, and
Fleming: Mobility, skills and the Michigan non-compete experiment, slides from
INFORMS discussion, San Francisco, November 2014.
Abrams, Akcigit, and
Popadak: Patent value and citations: Creative destruction or strategic
disruption? Slides from
CELS discussion, Berkeley. November 2014.
Branstetter, Li, and
Veloso: The Globalization of R&D: China, India, and the Rise of
International Co‐invention, slides
from disucssion at NBER conference, Chicago, August 2013.
Scott and Varian:
Bayesian Variable Selection for Nowcasting Economic Time Series, slides from discussion
at an NBER Conference, Park City, Utah, June 2013.
S. Breschi, F. Lissoni, and G. Tarasconi: Inventor
data for research on migration and innovation: A survey and a pilot, WIPO
conference discussion, Geneva, April 2013. Slides
The
labour market for scientists and engineers: introduction, with Andres de
Grip and Wendy Smits (2010). Introduction to a special
issue of Economics of Innovation and New Technology, Vol 19, Issue 5.
Introduction
and Table of Contents, Handbook of
the Economics of Innovation, Volumes I and II, edited with Nathan
Rosenberg, Elsevier (April 2010). Kindle edition.
Simcoe and Waguespack:
What’s in a (missing) name? slides
from discussion from NBER meeting, Cambridge MA, November 2009.
F. Murray, P. Aghion,
M. Dewatripont, J. Kolev, and S. Stern: Of Mice and Academics: Examining the
Effect of Openness on Innovation, slides from
discussion at NBER Summer Institute, July 2009.
Lerner; Boldrin and
Levine: IPR and Growth in the Longrun, slides
from discussion of ASSA session, January 2009.
Bresnahan, Greenstein,
and Henderson: Sources of Innovation, slides from
discussion of ASSA session, January 2009.
Morricone, Oriani, and
Sobrero : The Value Relevance of Intangible Assets: The Italian Adoption of
International Accounting Standards (IAS/IFRS), slides
from discussion, 2008.
A. R. Miller and C. E.
Tucker: Privacy Protection and Technology Diffusion: The Case of Electronic
Medical Records, slides
from discussion from NBER Summer Institute, July 2008.
J. Lerner, M.
Sorenson, and P. Stromberg: Privacy Equity and Long Run Investment: The Case of
Innovation, slides
from discussion from NBER Summer Institute, July 2008.
Branstetter, Fisman,
Foley, and Saggi: IPR, Imitation, and Foreign Direct Investment: Theory and
Evidence, slides
from discussion at NBER program meeting, December 2007.
Kim and Lee: The
opportunites and threats of the patent transfer market driven by government:
Empirical evidence on the Korean case, slides from discussion at
a Monte Verita conference, June 2007.
IP policy as a part of
technology policy, slides
from discussion at a Monte Verita conference, June 2007.
Chuma and Hashimoto:
Moore's Law, Increasing Complexities, and Limits of Organization: Modern
Implications of “Japanese DRAM Era”, slides from
discussion at NISTEP conference, Tokyo, January 2007.
Patents and Technological Competencies:
Discussion. 2004. Slides from presentation at the Economic History
Association Meetings, San Jose, California, Sept. 10/11, 2004.
A Comparative Perspective on Technology
Regimes and Productivity Growth in the U.S. and Europe: Discussion. 2004.
Slides from presentation at the Berkeley-Vienna Conference on the U.S. and
European Economies in Comparative Perspective, UC Berkeley, California, Sept.
9/10, 2004.
Models of
Research Funding: Discussion, 2003. In A. Guena, A. Salter, and W. E.
Steinmueller (eds.), Science and Innovation. Rethinking the Rationales for
Funding and Governance. Edward Elgar.
The Assessment: Technology Policy.
2002. Oxford Review of Economic Policy
18 (No. 1), edited by Bronwyn H. Hall and David Ulph.
R&D Satellite Accounts
and Returns to Private R&D by Barbara Fraumeni and Sumiye Okubo: Discussion,
slides from presentation to the CRIW-NBER Conference on Measuring Capital in the
New Economy, April 26-27, 2002, Washington, DC.
Investment and Taxation in
Germany - Evidence from Firm-Level Panel Data by Harhoff and Ramb: Discussion.
In Herrmann, Heinz, and Rolf Strauch (eds.), Investing Today for the World
of Tomorrow, Springer Verlag (2001).
Economics and Econometrics of
Innovation: Overview (in English) and Economie et econometrie de l'innovation:
Avant-propos (en francais), with David Encaoua, Francois Laisney, and Jacques
Mairesse, Annales d'Economie et de Statistique 49/50 (Janvier-Juin
1998): 1-50.
The Effects of Technology and Innovation
on Firm Performance, Employment, and Wages: Introduction, with Francis
Kramarz. Introduction to a special volume of Economics of Innovation and New
Technology, 1998 (Volume 5, Issue 2/4).
Valuing Intangible Assets: The
Stock Market Value of R&D Revisited. with Daehwan Kim. Nuffield
College, Oxford University (1997, revised 2000).
Tax
Policy and Investment Incentives, by Kevin Hassett and Glenn Hubbard: Comment.
In Auerbach, Alan (ed.), Fiscal Policy: Lessons from Economic Research,
Cambridge, Mass.: MIT Press (1996).
Incremental
Tax Credits for R&D: The United States Experience, presentation to the Save
British Science meeting on measures to encourage innovation in industry, Milton
Hill, Abingdon, UK, June 3, 1995.
On
the Sensitivity of R&D to Delicate Tax Changes: The Behavior of U.S.
Multinationals in the 1980s, by James R. Hines, Jr.: Comment. In Slemrod,
Giovannini, and Hubbard (eds.), International Aspects of Taxation, NBER
Conference Volume, University of Chicago Press, Chicago, Ill (1995).
Empirical Analysis of the Size Distribution
of Farms: Discussion. American Journal of Agricultural Economics,
May 1987.