Using Indicators to Assess Evolving Industry-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, USA Tel.: 856.546.0600 Fax: 856.546.9633 E-mail: dhicks@chiresearch.com October 16-17, 2000 0
Outline The knowledge economy emerges in patterns of patenting Networked science and technology and its quality Linkage between science and technology visible in patent references Pulling it all together - the public/private sector roles in 1 organization s science & technology networks 1
Patterns of Patenting and the Knowledge Economy Growth in information and health technology patenting Growth in patenting from the West Coast Growth in university patenting/company publishing 2
Patenting in Information and Health Technology Grows Strongly 100,000 Number of patents (logarithmic scale) All Other 10,000 Information Technology Health 1,000 Health IT All other 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 3
Patenting From the Pacific Region Overtakes the Largest East Coast Regions 16 Number of patents/1,000 14 12 10 8 6 Pacific 4 2 0 East North Central Middle Atlantic Pacific 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 4 East North Central = Illinois, Indiana, Michigan, Ohio, Wisconson Middle Atlantic = New Jersey, New York, Pennsylvania Pacific = California, Nevada, Oregon, Washington
University Patenting Rises 100,000 10,000 Number of patents All technologies Health University share of total patenting in 1999 1,000 Other 100 10 Government Industry Universities 1980 1985 1990 1995 Logrithmic scale Information Technology 0% 5% 10% 15% 20% 5
Citations per University Patent Declines 1.5 1.4 1.3 1.2 1.1 1.0 0.9 0.8 0.7 0.6 0.5 Government Industry Universities 1985 1992 1999 Current Impact Index = Citations to patents in last five years divided by same for all patents 6
Companies Publish More Papers That Are Very Highly Cited 200 180 160 140 120 100 80 60 40 20 0 Number of papers listing a U.S. company address among the most cited 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1,000 published in each year (excluding review papers) 7
Networking Growth in collaborative patenting Growth in collaborative publishing Collaborative papers are of higher quality, patents are not. Does the university agenda shift? 8
Co-patenting Increases, Though It Is Still Rare 900 800 700 600 500 400 300 200 100 0.3% Number of coassigned patents Public sector Public-private Private 1.3% of total* 0 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 * %of total U.S.-invented, assigned, USPTO patents U.S.-invented, individual patenters and parent-subsidiary excluded 9
Co-assigned Patents Are Not Highly Cited Current Impact Index (CII) The number of times the last 5 years of patents are cited in 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 10
University-industry Collaboration Grows Number of university-industry collaborative papers University-industry collaboration - percentage of sector papers 10,000 50% 9,000 8,000 7,000 6,000 5,000 6,129 8,604 40% 30% 31% Share of industry papers 44% 4,000 20% 3,000 2,000 10% Share of university papers 1,000 0 88 89 90 91 92 93 94 95 96 97 0% 4% 88 89 90 91 92 93 94 95 96 97 6% 11
University-industry Collaborative Papers Are Well Cited University- Industry Average citations per paper University- Industry Papers in the most cited 1000 papers (per 1000 published) More than 1 University More than 1 University Single University Single University 5.4 5.6 5.8 6.0 6.2 6.4 0 1 2 3 4 1981-1992, 4 year lagged window 12
When Collaborating With Industry, University Research Becomes More Applied More basic ------------------------------------------------------------------> More applied Single company University-Industry collaboration Single university 4 3 2 1 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Percentage of papers 1981-95 from U.S. institutions by research level Level 4 is most basic and level 1 is most applied 13
Science Linkage The references made in U.S. patents to the scientific literature. References from the front page of patents to journal articles. The increase in science linkage has made visible the relevance of science to technological innovation Linkage to science is a visible link between corporate technology and the public sector Highly cited science is preferentially cited in patents Local science is preferentially cited. 14
Extract from the Front Page of a U.S. Patent 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 These Citations Link This Patent With Earlier U.S. Patents 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 to Science 15
The Amount of Science Cited in U.S. Patents Quadrupled Between 1994 and 1998 120,000 100,000 Number of references on U.S. patents to the U.S. scientific and technical literature 80,000 60,000 40,000 20,000 0 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 Source: Science & Engineering Indicators and CHI Research, Inc. 16
Science Linkage is Increasing in Many Countries 4.0 3.5 3.0 Science References per U.S. Patent US 2.5 Israel 2.0 1.5 Australia Canada France UK 1.0 0.5 0.0 Germany Japan 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 3 year moving averages U.S. excludes individual inventors 17
Excluding Biotechnology - Science Linkage is Increasing in Many Countries 2.0 1.8 Science References per Patent with Biotechnology Excluded U.S. 1.6 1.4 1.2 1.0 0.8 0.6 0.4 0.2 Australia Israel Canada U.K. France Germany Japan 0.0 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 3 year moving averages U.S. excludes individual inventors Patents in pharmaceuticals, biotechnology and agriculture are excluded 18
The Science Base of U.S.-Invented Patents Comes Increasingly from the Public Sector Non-Profit 100 13 80 74 Public Sector 80 Government 13 54 60 19 40 Industry University 20 1998 University Industry Government Non-Profit 0 1988 1998 % of references on U.S. patents to U.S. scientific literature Source: Science & Engineering Indicators and CHI Research, Inc. 19
Method 6,596 or 1% cited by 1997, U.S. invented patents 61,475 U.S.-invented patents in 1997 1/2 million U.S. authored papers 1993-95
Highly Cited Papers Are Much More Likely to Be Cited in Patents Share Cited in Patents 10% of Top1% Science Citation Strata 61,475 U.S. invented patents in 1997 3% of Top 2-10% 1% of Top 11-50% 0.4% of Bottom half 21
Linkage Between Technology and Science Has Strong National Component 4.5 4.0 3.5 Citation Ratio 3.0 2.5 2.0 1.5 1.0 Country of Citing Patents 1993-94 0.5 0.0 Japan France UK Germany US US UK Germany France Japan Country of Cited Papers 1981-93 22
One Organization's network CHI deals with eight of ten possible bibliometric citation and 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's science and technology network 23
360 Degree Analysis Whose papers cite X s papers? Whose patents cite X s papers? Whose patents cite X s patents? With whom does X coauthor? X s papers X s patents With whom does X copatent? Whose papers does X cite? Whose papers does X cite in its patents? Whose patents does X cite? 24 Note: Papers Patent cites not included
Private sector Public sector Public/private Composition of Chiron s Innovation Network Papers citing Chiron s papers Patents citing Chiron papers Patents citing Chiron patents coauthors Chiron s papers Chiron s patents copatenters Pies display the number of public & private sector institutions among the 100 most linked institutions in any dimension. 25 Papers cited in Chiron papers Papers cited in Chiron patents Patents cited in Chiron patents
Summary The knowledge economy has changed U.S. science and technology 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 technology network can be mapped and the balance of its private/public linkages revealed. 26