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Using Indicators to Assess EvolvingIndustry-Science Relationships

Presented at:Joint German-OECD Conference

Benchmarking Industry-Science Relationships

Hotel Maritim pro Arte, Berlin, Germany

Presented by:Diana Hicks

CHI Research, Inc.

10 White Horse Pike, Haddon Heights, NJ, USATel.: 856.546.0600 Fax: 856.546.9633

E-mail: dhicks@chiresearch.com

October 16-17, 2000

1

Outline

§ The knowledge economy emerges in patterns of patenting

§ Networked science and technology and its quality

§ Linkage between science and technology visible in patentreferences

§ Pulling it all together - the public/private sector roles in 1organization’s science & technology networks

2

Patterns of Patenting and theKnowledge Economy

§ Growth in information and health technology patenting

§ Growth in patenting from the West Coast

§ Growth in university patenting/company publishing

3

Patenting in Information and HealthTechnology Grows Strongly

1,000

10,000

100,000

80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99

Health

IT

All other

All Other

Information Technology

Health

Number of patents (logarithmic scale)

4

Patenting From the Pacific RegionOvertakes the Largest East Coast Regions

0

2

4

6

8

10

12

14

16

1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997

East North CentralMiddle AtlanticPacific

Pacific

Number of patents/1,000

East North Central = Illinois, Indiana, Michigan, Ohio, WisconsonMiddle Atlantic = New Jersey, New York, PennsylvaniaPacific = California, Nevada, Oregon, Washington

5

University Patenting Rises

10

100

1,000

10,000

100,000

1980 1985 1990 1995

GovernmentIndustryUniversities

Logrithmic scale

Number of patents

0% 5% 10% 15% 20%

InformationTechnology

Other

Health

Alltechnologies

University share of total patenting in 1999

6

Citations per University Patent Declines

0.5

0.6

0.7

0.8

0.9

1.0

1.1

1.2

1.3

1.4

1.5

1985 1992 1999

GovernmentIndustryUniversities

Current Impact Index = Citations to patents in last five years divided by same for all patents

7

Companies Publish More Papers ThatAre Very Highly Cited

0

20

40

60

80

100

120

140

160

180

200

1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991

1,000 published in each year (excluding review papers)

Number of papers listing a U.S. company address among the most cited

8

Networking

§ Growth in collaborative patenting

§ Growth in collaborative publishing

§ Collaborative papers are of higher quality, patents are not.

§ Does the university agenda shift?

9

Co-patenting Increases, ThoughIt Is Still Rare

0

100

200

300

400

500

600

700

800

900

80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99

Public sector

Public-private

Private

0.3%

1.3% of total*

* %of total U.S.-invented, assigned, USPTO patentsU.S.-invented, individual patenters and parent-subsidiary excluded

Number of coassigned patents

10

Co-assigned Patents Are Not Highly Cited

§ Current Impact Index (CII)

§ The number of times the last 5 years of patents are citedin 1999, relative to all patents in the U.S. system:

– 1.00 for All Patents

– 1.24 for All Assigned, US-invented

– 1.07 for All Co-assigned, US-invented

11

University-industry Collaboration Grows

6,129

8,604

0

1,000

2,000

3,000

4,000

5,000

6,000

7,000

8,000

9,000

10,000

88 89 90 91 92 93 94 95 96 97

31%

44%

4% 6%0%

10%

20%

30%

40%

50%

88 89 90 91 92 93 94 95 96 97

Share of industry papers

Share of university papers

Number of university-industrycollaborative papers

University-industry collaboration -percentage of sector papers

12

Average citations per paper

5.4 5.6 5.8 6.0 6.2 6.4

SingleUniversity

More than 1University

University-Industry

Papers in the most cited 1000 papers (per 1000 published)

0 1 2 3 4

SingleUniversity

More than1

University

University-Industry

University-industry Collaborative PapersAre Well Cited

1981-1992, 4 year lagged window

13

When Collaborating With Industry, UniversityResearch Becomes More Applied

4 3 2 1

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Single university

University-Industrycollaboration

Single company

More basic ------------------------------------------------------------------> More applied

Percentage of papers 1981-95 from U.S. institutions by research level

Level 4 is most basic and level 1 is most applied

14

Science Linkage

§ The references made in U.S. patents to the scientificliterature.– References from the front page of patents to journal

articles.

§ The increase in science linkage has made visible therelevance of science to technological innovation

§ Linkage to science is a visible link between corporatetechnology and the public sector

§ Highly cited science is preferentially cited in patents

§ Local science is preferentially cited.

15

United States Patent 4,713,814

[Inventors] Andrusch et al. (Germany) Dec. 15, 1987 [Assignee] IBM (Armonk, NY)

STABILITY TESTING OF SEMICONDUCTOR MEMORIES

References Cited: U.S. PATENT DOCUMENTS

Firms Inventors

3,995,215 11/1976 IBM Chu et al. ....324/158 4,004,222 1/1977 Semi Corp. Gebhard .......324/158 4,418,403 11/1983 Mostek Corp. O'Toole et al. ....365/201 4,430,735 2/1984 Burroughs Corp. Catiller ...........371/25 4,502,140 2/1985 Mostek Corp. Prochsting .........371/21 4,503,538 3/1985 Robert Bosch GmbH Fritz ..............371/21

OTHER REFERENCES CITED

Wiedmann, IEEE Journal of Solid-State Circuits, Vol. SC-19, no. 3, pp. 282-290, Jun. 1984.

These Citations Link This Patent With Earlier U.S.

Patents

These Citations

Link This Patent to Science

Extract from the Front Page ofa U.S. Patent

16

The Amount of Science Cited in U.S. PatentsQuadrupled Between 1994 and 1998

Number of references on U.S. patents to the U.S. scientific and technical literature

0

20,000

40,000

60,000

80,000

100,000

120,000

1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998

Source: Science & Engineering Indicators and CHI Research, Inc.

17

Science Linkage is Increasing inMany Countries

0.0

0.5

1.0

1.5

2.0

2.5

3.0

3.5

4.0

1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999

Israel

US

UK

France

Germany

Japan

Australia

Canada

3 year moving averagesU.S. excludes individual inventors

Science References per U.S. Patent

18

Excluding Biotechnology - Science Linkageis Increasing in Many Countries

0.0

0.2

0.4

0.6

0.8

1.0

1.2

1.4

1.6

1.8

2.0

1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999

Science References per Patent with Biotechnology ExcludedU.S.

Israel

U.K.

Canada

AustraliaFrance

Germany

Japan

3 year moving averages

U.S. excludes individual inventorsPatents in pharmaceuticals, biotechnology and agriculture are excluded

19

The Science Base of U.S.-Invented Patents ComesIncreasingly from the Public Sector

Source: Science & Engineering Indicators and CHI Research, Inc.

% of references on U.S. patents to U.S. scientific literature

1998

University

Non-Profit

Government

Industry

University Industry Government Non-Profit

54

19

13

13 7480

0

20

40

60

80

100

1988 1998

Public Sector

Method

1/2 million U.S. authored papers 1993-95

6,596 or 1% cited by 1997, U.S. invented

patents

61,475U.S.-invented

patents in1997

21

Highly Cited Papers Are Much More Likelyto Be Cited in Patents

10% of Top1%

61,475 U.S.inventedpatents in

1997

Science Citation StrataShare Cited in Patents

3% of Top 2-10%

1% of Top 11-50%

0.4% of Bottom half

22

Linkage Between Technology and ScienceHas Strong National Component

US

Germany

UK

France

Japan

US Germany

UK France Japan

0.0

0.5

1.0

1.5

2.0

2.5

3.0

3.5

4.0

4.5C

itat

ion

Rat

io

Country of Cited Papers 1981-93

Country of Citing Patents 1993-94

23

One Organization's network

§ CHI deals with eight of ten possible bibliometric citationand collaboration, publishing and patenting indicators

§ These dimensions map out various combinations:– science/ technology/ science-technology links– co-producing/ “using” / “providing”

§ Together they map out the visible part of an organization'sscience and technology network

24

360 Degree Analysis

Whose paperscite X’spapers?

Whosepatentscite X’spapers?

Whosepatents citeX’s patents?

With whomdoes X

copatent?

Whosepapers

does X citein its

patents?

Whosepatents does

X cite?

X’spapers

With whomdoes X

coauthor?

Whosepapers does

X cite?

X’spatents

Note: Papers Patent cites not included

25

Public/private Composition of Chiron’sInnovation Network

Papers citingChiron’s papers

Patents citingChiron papers

Patents citingChiron patents

copatenters

Papers cited inChiron patents

Patents cited inChiron patents

Chiron’spaperscoauthors

Papers cited inChiron papers

Chiron’spatents

Private sector

Public sector

Pies display the numberof public & privatesector institutions

among the 100 mostlinked institutions in any

dimension.

26

Summary

§ The knowledge economy has changed U.S. science andtechnology and public/private roles:– rapid growth in information and health technology

patenting– shift to West Coast– increased participation of universities in technology

and companies in science– more collaborative technology and science– growth in links between science and technology visible

in patent referencing

§ An organization’s position the science and technologynetwork can be mapped and the balance of itsprivate/public linkages revealed.