Reading List for AOM2005 PDW on Knowledge Flows

This is the reading list for the AOM 2005 PDW on Knowledge Flows ( ). It is based on the reading lists created for earlier AOM PDW sessions by Michelle Gittelman and Juan Alcacer (2004) and Rosemarie Ziedonis and Atul Nerkar (2003).

Good introductions to patents and other forms of intellectual property are available here:

Pre-registered participants are listed here

A. Foundation Pieces on Motives for Patenting, Patent Data and Methodology

(*)Indicates articles that are discussed or reprinted in A.B. Jaffe and M. Trajtenberg (2002).

Cohen, W.M., R.R. Nelson, and J.P. Walsh (2000). “Protecting Their Intellectual Assets: Appropriability Conditions and Why U.S. Manufacturing Firms Patent (or Not),” NBER Working Paper no. 7552, available at

Desrochers, P., “On the Abuse of Patents as Economic Indicators,” The Quarterly Journal of Austrian Economics, Vol. 1, Issue 4 (1998):51-74.

Griliches, Z. 1990. “Patent Statistics as Economic Indicators: A Survey,” Journal of Economic Literature XXVIII: 1661-1707.

(*)Hall, B.H. (2002). “A Note on the Bias of Herfindahl-Type Measures Based on Count Data,” Appendix 2 in A.B. Jaffe and M. Trajtenberg, Patents, Citations, and Innovations: A Window on the Knowledge Economy. (Cambridge, MA: MIT Press), pp. 454-459.

Hall, B., A. Jaffe, M. Trajtenberg (2001), “The NBER Patent Citations Data File: Lessons, Insights and Methodological Tools”, NBER Working Paper 8498 (

(*)Hall, B.H., A. Jaffe, and M. Trajtenberg (2000). “Market Value and Patent Citations: A First Look” NBER Working Paper #7741, available at

Harhoff, Dietmar, F. Narin, F.M. Sherer, K. Vopel (1999) “Citation Frequency and the Value of Patented Inventions”, The Review of Economics and Statistics 81(3):511-515.

Hausman, Griliches, and Hall. “Econometric Models for Count Data with an Application to the Patents R&D Relationship”, Econometrica, Vol.52, No. 4 (July, 1984):909-938.

Jaffe, A. B. and M. Trajtenberg (2002). Patents, Citations, and Innovations: A Window on the Knowledge Economy (Cambridge, Mass.: MIT Press).

(*)Jaffe, A.B., M. Trajtenberg, and M.S. Fogarty (2000). “The Meaning of Patent Citations: Report on the NBER/Case Western Reserve Survey of Patentees,” NBER Working Paper #7631, available at

(*)Jaffe, A. B., M. Trajtenberg and R. Henderson (1993). “Geographic localization of knowledge spillovers as evidenced by patent citations.” The Quarterly Journal of Economics 108(3): 577-598.

Klevorick A., R. Levin, R. Nelson, and S. Winter (1995). “On the sources and significance of interindustry differences in technological opportunities”, Research Policy 24:185-205. Lanjouw, J.O., and M. Schankerman (1999). “Measuring Innovation: What Do We Gain from Multiple Indicators,” NBER Working Paper #6927, available at

Levin, R., A. Klevorick, R. Nelson, and S. Winter (1987). “Appropriating the Returns from Industrial Research and Development” Brookings Papers on Economic Activity, 3:783-831. Meyer, M., “What is special about patent citations? Differences between scientific and patent citations”, Scientometrics 49(1):93-123.

Michel, Jacques, Bettels, Bernd (2001), “Patent citation analysis: A closer look at the basic input data from patent search reports” Scientometrics, 51(1):185–201.chn

Thompson, P., Fox-Kean, M (2002). “Can Patent Citations Identify Knowledge Spillovers”. Working Paper Carnegie Mellon University

(*)Trajtenberg, M. (1990). “A Penny for Your Quotes: Patent Citations and the Value of Innovations,” RAND Journal of Economics, 21(1): 172-187.

(*)Trajtenberg, M., R. Henderson, and A. Jaffe (1997). “University vs. Corporate Patents: A Window on the Basicness of Invention,” Economics of Innovation and New Technology 5: 19-50.

B. Articles Using Patent and Non-Patent Data to Trace Knowledge Flows

Achilladelis, B. 1993. The Dynamics of Technological Innovation - the Sector of Antibacterial Medicines. Research Policy, 22(4): 279-308.

Acs, Z. J., Anselin, L., & Varga, A. 2002. Patents and innovation counts as measures of regional production of new knowledge. Research Policy, 31(7): 1069-1085.

Ahuja, G. 2000a. Collaboration networks, structural holes, and innovation: A longitudinal study. Administrative Science Quarterly, 45(3): 425-455.

Ahuja, G. 2000b. The duality of collaboration: Inducements and opportunities in the formation of interfirm linkages. Strategic Management Journal, 21(3): 317-343.

Ahuja, G., & Katila, R. 2001. Technological acquisitions and the innovation performance of acquiring firms: A longitudinal study. Strategic Management Journal, 22(3): 197-220.

Ahuja, G., & Lampert, C. M. 2001. Entrepreneurship in the large corporation: A longitudinal study of how established firms create breakthrough inventions. Strategic Management Journal, 22(6-7): 521-543.

Albert, M. B., Avery, D., Narin, F., & Mcallister, P. 1991. Direct Validation of Citation Counts as Indicators of Industrially Important Patents. Research Policy, 20(3): 251-259.

Albuquerque, E. D. E. 2000. Domestic patents and developing countries: arguments for their study and data from Brazil (1980-1995). Research Policy, 29(9): 1047-1060.

Alcacer, J and Gittelman, M. 2004 "How do I Know what you Know? Patent Examiners and the Generation of Patent Citations". Working paper

Almeida, P. 1996. Knowledge sourcing by foreign multinationals: Patent citation analysis in the US semiconductor industry. Strategic Management Journal, 17: 155-165.

Almeida, P., Dokko, G., & Rosenkopf, L. 2003. Startup size and the mechanisms of external learning: increasing opportunity and decreasing ability? Research Policy, 32(2): 301-315.

Almeida, P., & Kogut, B. 1997. The exploration of technological diversity and the geographic localization of innovation. Small Business Economics, 9(1): 21-31.

Almeida, P., & Kogut, B. 1999. Localization of knowledge and the mobility of engineers in regional networks. Management Science, 45(7): 905-917.

Almeida, P. and A. Phene. 2004. "Subsidiaries and knowledge creation: the influence of the MNC and host country on innovation." Strategic Management Journal 25:847-864.

Almeida, P., Song, J. Y., & Grant, R. M. 2002. Are firms superior to alliances and markets? An empirical test of cross-border knowledge building. Organization Science, 13(2): 147-161.

Antelo, M. 2003. "Licensing a non-drastic innovation under double informational asymmetry." Research Policy 32:367-390.

Appleyard, M. M. 1996. How does knowledge flow? Interfirm patterns in the semiconductor industry. Strategic Management Journal, 17: 137-154.

Archibugi, D., & Pianta, M. 1992. Specialization and Size of Technological Activities in Industrial-Countries - the Analysis of Patent Data. Research Policy, 21(1): 79-93.

Argyres, N. 1996. Capabilities, technological diversification and divisionalization. Strategic Management Journal, 17(5): 395-410.

Arundel, A. 2001. The relative effectiveness of patents and secrecy for appropriation. Research Policy, 30(4): 611-624.

Arundel, A., & Kabla, I. 1998. What percentage of innovations are patented? empirical estimates for European firms. Research Policy, 27(2): 127-141.

Balkin, D. B., Markman, G. D., & Gomez-Mejia, L. R. 2000. Is CEO pay in high-technology firms related to innovation? Academy of Management Journal, 43(6): 1118-1129.

Basberg, B. L. 1987. Patents and the Measurement of Technological-Change - a Survey of the Literature. Research Policy, 16(2-4): 131-141.

Baum, J. A. C., Calabrese, T., & Silverman, B. S. 2000. Don't go it alone: Alliance network composition and startups' performance in Canadian biotechnology. Strategic Management Journal, 21(3): 267-294.

Belderbos, R. 2001. Overseas innovations by Japanese firms: an analysis of patent and subsidiary data. Research Policy, 30(2): 313-332.

Benner, M. J. 2002. Process management and technological innovation: A longitudinal study of the photography and paint industries. Administrative Science Quarterly, 47(4): 676-706.

Bergeron, S., Lallich, S., & Le Bas, C. 1998. Location of innovating activities, industrial structure and techno-industrial clusters in the French economy, 1985-1990. Evidence from US patenting. Research Policy, 26(7-8): 733-751.

Bernardes, A. T. and E. D. Albuquerque. 2003. "Cross-over, thresholds, and interactions, between science and technology: lessons for less-developed countries." Research Policy 32:865-885.

Bierly, P., & Chakrabarti, A. 1996. Generic knowledge strategies in the US pharmaceutical industry. Strategic Management Journal, 17: 123-135.

Breschi, S., Lissoni, F., & Malerba, F. 2003. Knowledge-relatedness in firm technological diversification. Research Policy, 32(1): 69-87.

Brouwer, E., & Kleinknecht, A. 1999. Innovative output, and a firm's propensity to patent. An exploration of CIS micro data. Research Policy, 28(6): 615-624.

Brusoni, S., Prencipe, A., & Pavitt, K. 2001. Knowledge specialization, organizational coupling, and the boundaries of the firm: Why do firms know more than they make? Administrative Science Quarterly, 46(4): 597-621.

Cefis, E., & Orsenigo, L. 2001. The persistence of innovative activities - A cross-countries and cross-sectors comparative analysis. Research Policy, 30(7): 1139-1158.

Chung, W., & Alcacer, J. 2002. Knowledge seeking and location choice of foreign direct investment in the United States. Management Science, 48(12): 1534-1554.

Cockburn, I. M., & Henderson, R. M. 1998. Absorptive capacity, coauthoring behavior, and the organization of research in drug discovery. Journal of Industrial Economics, 46(2): 157-182.

Cohen, W. M., Goto, A., Nagata, A., Nelson, R. R., & Walsh, J. R. 2002. R&D spillovers, patents and the incentives to innovate in Japan and the United States. Research Policy, 31(8-9): 1349-1367.

Coriat, B., & Orsi, F. 2002. Establishing a new intellectual property rights regime in the United States - Origins, content and problems. Research Policy, 31(8-9): 1491-1507.

DeCarolis, D. M., & Deeds, D. L. 1999. The impact of stocks and flows of organizational knowledge on firm performance: An empirical investigation of the biotechnology industry. Strategic Management Journal, 20(10): 953-968.

Engelsman, E. C., & Vanraan, A. F. J. 1994. A Patent-Based Cartography of Technology. Research Policy, 23(1): 1-26.

Ernst, H. 1998. Industrial research as a source of important patents. Research Policy, 27(1): 1-15.

Ernst, H. 2001. Patent applications and subsequent changes of performance: evidence from time-series cross-section analyses on the firm level. Research Policy, 30(1): 143-157.

Fleming, L. 2001. Recombinant uncertainty in technological search. Management Science, 47(1): 117-132.

Fleming, L., & Sorenson, O. 2001. Technology as a complex adaptive system: evidence from patent data. Research Policy, 30(7): 1019-1039.

Frost, T. S. 2001. The geographic sources of foreign subsidiaries' innovations. Strategic Management Journal, 22(2): 101-123.

Furman, J. L., Porter, M. E., & Stern, S. 2002. The determinants of national innovative capacity. Research Policy, 31(6): 899-933.

Geroski, P. A., VanReenen, J., & Walters, C. F. 1997. How persistently do firms innovate? Research Policy, 26(1): 33-48.

Ginarte, J. C., & Park, W. G. 1997. Determinants of patent rights: A cross-national study. Research Policy, 26(3): 283-301.

Gittelman, M., & Kogut, B. 2003. Does good science lead to valuable knowledge? Biotechnology firms and the evolutionary logic of citation patterns. Management Science, 49(4): 366-382.

Grupp, H. 1994. The Measurement of Technical Performance of Innovations by Technometrics and Its Impact on Established Technology Indicators. Research Policy, 23(2): 175-193.

Grupp, H., & Schmoch, U. 1999. Patent statistics in the age of globalisation: new legal procedures, new analytical methods, new economic interpretation. Research Policy, 28(4): 377-396.

Guellec, D., & van Pottelsberghe, B. 2001. The internationalisation of technology analysed with patent data. Research Policy, 30(8): 1253-1266.

Hagedoorn, J. and M. Cloodt (2003). "Measuring Innovative Performance: Is there an advantage in using multiple indicators?" Research Policy 32: 1365-1379

Hall, B. H., & Ziedonis, R. H. 2001. The patent paradox revisited: an empirical study of patenting in the US semiconductor industry, 1979-1995. Rand Journal of Economics, 32(1): 101-128.

Hall, R. 1992. The Strategic Analysis of Intangible Resources. Strategic Management Journal, 13(2): 135-144.

Harabi, N. 1995. Appropriability of technical innovations - An empirical analysis. Research Policy, 24(6): 981-992.

Hargadon, A., & Sutton, R.I. 1997. Technology Brokering and Innovation in a Product Development Firm. Administrative Science Quarterly, 42: 716-749. Available from

Henderson, R., & Cockburn, I. 1994. Measuring Competence - Exploring Firm Effects in Pharmaceutical Research. Strategic Management Journal, 15: 63-84.

Henderson, R., & Cockburn, I. 1996. Scale, scope, and spillovers: The determinants of research productivity in drug discovery. Rand Journal of Economics, 27(1): 32-59.

Hicks, D., Breitzman, T., Olivastro, D., & Hamilton, K. 2001. The changing composition of innovative activity in the US - a portrait based on patent analysis. Research Policy, 30(4): 681-703.

Hill, C. W. L. 1992. Strategies for Exploiting Technological Innovations - When and When Not to License. Organization Science, 3(3): 428-441.

Hitt, M. A., Hoskisson, R. E., Ireland, R. D., & Harrison, J. S. 1991. Effects of Acquisitions on Research-and-Development Inputs and Outputs. Academy of Management Journal, 34(3): 693-706.

Hsu, David and Lim, Kwanghui (2004), "Knowledge Bridging by Biotechnology Start-ups", Working Paper.

Katila, R. 2002. New product search overtime: Past ideas in their prime? Academy of Management Journal, 45(5): 995-1010.

Katila, R., & Ahuja, G. 2002. Something old, something new: A longitudinal study of search behavior and new product introduction. Academy of Management Journal, 45(6): 1183-1194.

Katila, R., & Mang, P. Y. 2003. Exploiting technological opportunities: the timing of collaborations. Research Policy, 32(2): 317-332.

Kelm, K. M., Narayanan, V. K., & Pinches, G. E. 1995. Shareholder Value Creation During Research-and-Development Innovation and Commercialization Stages. Academy of Management Journal, 38(3): 770-786.

Kim, D. J., & Kogut, B. 1996. Technological platforms and diversification. Organization Science, 7(3): 283-301. Kingston, W. 1994. Compulsory Licensing with Capital Payments as an Alternative to Grants of Monopoly in Intellectual Property. Research Policy, 23(6): 661-672.

Kingston, W. 2001. "Innovation needs patents reform." Research Policy 30:403-423.

Kondo, M. 1999. R&D dynamics of creating patents in the Japanese industry. Research Policy, 28(6): 587-600.

Kortum, S., & Lerner, J. 1999. What is behind the recent surge in patenting? Research Policy, 28(1): 1-22.

Kumar, N. 2001. Determinants of location of overseas R&D activity of multinational enterprises: the case of US and Japanese corporations. Research Policy, 30(1): 159-174.

Lanjouw, J.O. and M. Schankerman (2004). "Patent Quality and Research Productivity: Measuring Innovation with Multiple Indicators", The Economic Journal v 114 (April): 441-465

Le Bas, C., & Sierra, C. 2002. 'Location versus home country advantages' in R&D activities: some further results on multinationals' locational strategies. Research Policy, 31(4): 589-609.

Lim, K. (2004), "The Relationship between Research and Innovation in the Semiconductor and Pharmaceutical Industries (1981-97)", Research Policy, Vol. 33, No. 2, pp. 287-321.

Lim, K. (2000), "The Many Faces of Absorptive Capacity: Spillovers of Copper Interconnect Technology for Semiconductor Chips", Working Paper.

Mahmood, I. P., & Singh, J. 2003. Technological dynamism in Asia. Research Policy, 32(6): 1031-1054.

Malerba, F., & Orsenigo, L. 1996. Schumpeterian patterns of innovation are technology-specific. Research Policy, 25(3): 451-478.

Malerba, F., & Orsenigo, L. 1999. Technological entry, exit and survival: an empirical analysis of patent data. Research Policy, 28(6): 643-660.

Mazzoleni, R., & Nelson, R. R. 1998. The benefits and costs of strong patent protection: a contribution to the current debate. Research Policy, 27(3): 273-284.

McGrath, R. G. and A. Nerkar. 2004. "Real options reasoning and a new Look at the R&D investment strategies of pharmaceutical firms." Strategic Management Journal 25:1.

Meyer, M. 2000. Does science push technology? Patents citing scientific literature. Research Policy, 29(3): 409-434.

Moser, P. 2003. How Do Patent Laws Influence Innovation? Evidence from Nineteenth-Century World Fairs. NBER Working Paper No. 9909.

Mowery, D. C., Nelson, R. R., Sampat, B. N., & Ziedonis, A. A. 2001. The growth of patenting and licensing by US universities: an assessment of the effects of the Bayh-Dole act of 1980. Research Policy, 30(1): 99-119.

Mowery, D. C., Oxley, J. E., & Silverman, B. S. 1996. Strategic alliances and interfirm knowledge transfer. Strategic Management Journal, 17: 77-91.

Mowery, D. C., Sampat, B. N., & Ziedonis, A. A. 2002. Learning to patent: Institutional experience, learning, and the characteristics of US university patents after the Bayh-Dole Act, 1981-1992. Management Science, 48(1): 73-89.

Mowery, D. C., & Ziedonis, A. A. 2002. Academic patent quality and quantity before and after the Bayh-Dole act in the United States. Research Policy, 31(3): 399-418.

Murray, F. 2002. Innovation as co-evolution of scientific and technological networks: exploring tissue engineering. Research Policy, 31(8-9): 1389-1403.

Nerkar, A. 2003. Old is gold? The value of temporal exploration in the creation of new knowledge. Management Science, 49(2): 211-229.

Nerkar, A. and P. W. Roberts. 2004. "Technological and product market experience and the success of new product introductions in the pharmaceutical industry." Strategic Management Journal 25:779-799.

Nerkar, A. and S. Shane. 2003. "When do startups that exploit patented academic knowledge survive?" International Journal of Industrial Organization 21:1391-1410.

Nicholls-Nixon, C. L., & Woo, C. Y. 2003. Technology sourcing and output of established firms in a regime of encompassing technological change. Strategic Management Journal, 24(7): 651-666.

Oldham, G. R., & Cummings, A. 1996. Employee creativity: Personal and contextual factors at work. Academy of Management Journal, 39(3): 607-634.

Owen-Smith, J. 2003. From separate systems to a hybrid order: accumulative advantage across public and private science at Research One universities. Research Policy, 32(6): 1081-1104.

Oxley, J. E. and R. C. Sampson. 2004. "The scope and governance of international R&D alliances." Strategic Management Journal 25:723-749.

Pakes, A. 1985. On Patents, R-and-D, and the Stock-Market Rate of Return. Journal of Political Economy, 93(2): 390-409.

Penner-Hahn, J. D. 1998. Firm and environmental influences on the mode and sequence of foreign research and development activities. Strategic Management Journal, 19(2): 149-168.

Pitkethly, R. H. 2001. Intellectual property strategy in Japanese and UK companies: patent licensing decisions and learning opportunities. Research Policy, 30(3): 425-442.

Podolny, J. M., & Stuart, T. E. 1995. A Role-Based Ecology of Technological-Change. American Journal of Sociology, 100(5): 1224-1260.

Podolny, J. M., Stuart, T. E., & Hannan, M. T. 1996. Networks, knowledge, and niches: Competition in the worldwide semiconductor industry, 1984-1991. American Journal of Sociology, 102(3): 659-689.

Ramani, S. V. 2002. "Who is interested in biotech? R&D strategies, knowledge base and market sales of Indian biopharmaceutical firms." Research Policy 31:381-398.

Reitzig, M. 2003. What determines patent value? Insights from the semiconductor industry. Research Policy, 32(1): 13-26.

Rosenkopf, L., & Almeida, P. 2003. Overcoming local search through alliances and mobility. Management Science, 49(6): 751-766.

Rosenkopf, L. and A. Nerkar. 1999. "On the complexity of technological evolution: Exploring coevolution within and across hierarchical levels in optical disc technology." in Variations in organizational science: In honor of D. T. Campbell, edited by W. McKelvey. New York: Sage Publications.

Rosenkopf, L., & Nerkar, A. 2001. Beyond local search: Boundary-spanning, exploration, and impact in the optical disk industry. Strategic Management Journal, 22(4): 287-306.

Sakakibara, M., & Branstetter, L. 2001. Do stronger patents induce more innovation? Evidence from the 1988 Japanese patent law reforms. The Rand Journal of Economics, 32(1): 77.

Shane, S. 2001a. Technological opportunities and new firm creation. Management Science, 47(2): 205-220.

Shane, S. 2001b. Technology regimes and new firm formation. Management Science, 47(9): 1173-1190.

Silverman, B. S. 1999. Technological resources and the direction of corporate diversification: Toward an integration of the resource-based view and transaction cost economics. Management Science, 45(8): 1109-1124.

Sine, W. D., Scott, S., & Di Gregorio, D. 2003. The halo effect and technology licensing: The influence of institutional prestige on the licensing of university inventions. Management Science, 49(4): 478-496.

Somaya, D. 2003. Strategic determinants of decisions not to settle patent litigation. Strategic Management Journal, 24(1): 17-38.

Song, J., Almeida, P., & Wu, G. 2003. Learning-by-hiring: When is mobility more likely to facilitate interfirm knowledge transfer? Management Science, 49(4): 351-365.

Sorensen, J. B., & Stuart, T. E. 2000. Aging, obsolescence, and organizational innovation. Administrative Science Quarterly, 45(1): 81-112.

Stolpe, M. 2002. Determinants of knowledge diffusion as evidenced in patent data: the case of liquid crystal display technology. Research Policy, 31(7): 1181-1198.

Stuart, T. E. 2000. Interorganizational alliances and the performance of firms: A study of growth and innovation rates in a high-technology industry. Strategic Management Journal, 21(8): 791-811.

Stuart, T. E., & Podolny, J. M. 1996. Local search and the evolution of technological capabilities. Strategic Management Journal, 17: 21-38.

Tijssen, R. J. W. 2001. Global and domestic utilization of industrial relevant science: patent citation analysis of science-technology interactions and knowledge flows. Research Policy, 30(1): 35-54.

Tijssen, R. J. W. 2002. Science dependence of technologies: evidence from inventions and their inventors. Research Policy, 31(4): 509-526.

Trajtenberg, M. 2001. Innovation in Israel 1968-1997: a comparative analysis using patent data. Research Policy, 30(3): 363-389.

Varsakelis, N. C. 2001. "The impact of patent protection, economy openness and national culture on R&D investment: a cross-country empirical investigation." Research Policy 30:1059-1068.

Ziedonis, R. H. 2003. "Patent litigation in the U.S. semiconductor industry." Pp. 180-215 in Patents in the Knowledge-Based Economy, edited by S. A. Merrill. Washington, D.C.: The National Academies Press.

Ziedonis, R. H. 2004. "Don't fence me in: Fragmented markets for technology and the patent acquisition strategies of firms." Management Science.

C. New Additions

If you have any readings to suggest, please add them below:

Hargadon, A. & R. I. Sutton (1997), Technology Brokering and Innovation in a Product Development Firm. Administrative Science Quarterly, 42: 716-749.

Singh, J. 2005. “Collaborative Networks as Determinants of Knowledge Diffusion Patterns.” Management Science, forthcoming. Available for download at

Singh, J. 2004. “Multinational Firms and Knowledge Diffusion: Evidence using Patent Citation Data” In D.H. Nagao (Ed.), Best Paper Proceedings of the 2004 Meeting of the Academy of Management. Both short and full version available for download at

Singh, J. 2005. “Distributed R&D, Cross-Regional Ties and Quality of Innovative Output” Working Paper, INSEAD. Available for download at

Thompson and Fox-Kean 2005. "Patent Citations and the Geography of Knowledge Spillovers: A Reassessment". American Economic Review, 95(1):450-460. Available from