Julie Callaert

Traces of Prior Art: An Analysis of Non-Patent References Found in Patent Documents

SummaryThe recent developments towards more systemic conceptualizations of innovation dynamicsnand related policies highlight the need for indicators that mirror the dynamics involved. In thisncontribution, we assess the role that non-patent references, found in patent documents, can playnin this respect. After examining the occurrence of these references in the USPTO and EPO patentnsystems, their precise nature is delineated by means of a content analysis of two samples of nonpatentnreferences (n=10,000). Our findings reveal that citations in patents allow developing nontrivialnand robust indicators. The majority of all non-patent references are journal references,nwhich provide ample possibilities for large-scale analyses focusing on the extent to whichntechnological developments are situated within the vicinity of scientific knowledge. Applicationnareas, limitations and directions for future research are discussed.

Scientific capabilities and technological performance of national innovation systems: An exploration of emerging industrial relevant research domains

SummaryTodays theories and models on innovation stress the importance of scientific capabilities and science-technology proximity, especially in new emerging fields of economic activity. Inthis contribution we examine the relationship between national scientific capabilities, the science intensity of technology and technological performance within six emergent industrial fields. Our findings reveal that national technological performance is positively associated with scientific capabilities. Countries performing better on a technological level are characterized both by larger numbers of publications and by numbers of involved institutions that exceed average expected values. The latter observation holds for both companies and knowledge generating institutes actively involved in scientific activities. As such, our findings seem to suggest beneficial effects of scientific capabilities shouldered by a multitude of organizations. In addition, higher numbers of patent activity coincide with higher levels of science intensity pointing out the relevance of science proximity when developing technology in newer, emerging fields. Limitations and directions for further research are discussed.

Patent Related Indicators for Assessing Knowledge-Generating Institutions: Towards a Contextualised Approach

This contribution aims at examining the extent to which patent related indicators are relevant for shedding light on the notion of excellence within knowledge-generating institutions. Traditionally, excellence has been looked upon as the ability to create interesting and valuable new scientific concepts, theories and data. From such a perspective, scientific excellence can be assessed through scientometric measures of publication output and impact. The recent interest in the ‘entrepreneurial’ phenomenon within knowledge-generating institutes justifies efforts to examine the relevancy of broadening the set of indicators used to assess such institutions into the direction of entrepreneurial excellence. In this paper we will examine the relevancy of using patent data in order to delineate such additional, more entrepreneurial oriented, indicators. The arguments and findings presented in this respect will lead us to a plea for the use of these indicators in a contextualized manner.

Sources of inspiration? Making sense of scientific references in patents

Scientific references in patent documents can be used as indicators signaling science-technology interactions. Whether they reflect a direct ‘knowledge flow’ from science to technology is subject of debate. Based on 33 interviews with inventors at Belgian firms and knowledge-generating institutes active in nanotechnology, biotechnology and life sciences, we analyze the extent to which scientific references in patents reflect sources of inspiration. Our results indicate that scientific knowledge acts as a source of inspiration for about 50xa0% of the inventions. At the same time, the scientific references cited in patent documents and available in patent databases do not provide an accurate picture in this respect: 30xa0% of patents that were inspired by scientific knowledge do not contain any scientific references. Moreover, if scientific references are present, half of them are evaluated as unimportant or background information by the inventor. Overall, these observations provide evidence that scientific references in patent documents signal relatedness with the implied inventions without necessarily implying a direct, inspirational, knowledge flow between both activity realms.

Delineating the scientific footprint in technology: Identifying scientific publications within non-patent references

Indicators based on non-patent references (NPRs) are increasingly being used for measuring and assessing science–technology interactions. But NPRs in patent documents contain noise, as not all of them can be considered ‘scientific’. In this article, we introduce the results of a machine-learning algorithm that allows identifying scientific references in an automated manner. Using the obtained results, we analyze indicators based on NPRs, with a focus on the difference between NPR- and scientific non-patent references-based indicators. Differences between both indicators are significant and dependent on the considered patent system, the applicant country and the technological domain. These results signal the relevancy of delineating scientific references when using NPRs to assess the occurrence and impact of science–technology interactions.

Combining the Production and the Valorization of Academic Research: A Qualitative Investigation of Enacted Mechanisms

The emergence of knowledge-based societies over the past decades has spurred research on the specific role of universities in innovation systems. The notion of academic entrepreneurship has gained acceptance among communities of researchers, practitioners and policy makers (Etzkowitz et al., 1998). At the same time, this acceptance seems impregnated by a constant alertness for the tensions that may arise. Concerns are uttered about shifts of the academic research agenda towards industry needs, resulting in fewer investments in basic research. Furthermore, the conflicting nature of the normative principles that guide academia and business has been warned for: competitive considerations and secrecy practices would stand in direct opposition to the principle of free dissemination of scientific knowledge (Dasgupta and David, 1987; Florida and Cohen, 1999; Geuna, 1999; Noble, 1977).

The impact of academic technology: do modes of involvement matter? The Flemish case

Patent statistics that reflect university technology development have become increasingly relevant as academia adopts entrepreneurial objectives while facing a trend toward more accountability. In this contribution, we focus on the patent activity of Flemish universities (period 1991–2001). In Flanders, university patenting has become explicitly incentivized through policy measures (1996) and more recently even resource allocation schemes are resulting in a notably high share of universities in the overall patent portfolio of the regional innovation system. As a result, one might expect inflationary effects on the level of academic patents, especially in terms of quality. In addition, we analyze whether the impact of academic patents depends on the mode of university involvement (university-invented vs university-owned). Overall, we observe a considerable increase in both types of academic patenting without any deterioration (over time) of citation rates. Moreover, our findings indicate that university-owned patents receive more forward citations than university-invented (firm-owned) patents. Combined, these findings signal that the increase of academic patent activity—stimulated by policies granting ownership rights to universities—did not coincide with a decrease in their value.

National Scientific Capabilities and Technological Performance: An Exploration of Emerging Industrial Relevant Research Domains

Todays theories and models on innovation stress the importance of scientific capabilities and science-technology proximity, especially in new emerging fields of economic activity. In this contribution we examine the relationship between national scientific capabilities, the science intensity of technology and technological performance within six promising industrial fields. Our findings reveal that national technological performance is positively associated with scientific capabilities. Countries performing better on a technological level are characterized both by larger numbers of publications and by numbers of involved institutions that exceed average expected values. The latter observation holds for both companies and knowledge generating institutes actively involved in scientific activities. As such, our findings seem to suggest beneficial effects of scientific capabilities shouldered by a multitude of organizations. In addition, higher numbers of patent activity coincide with higher levels of science intensity pointing out the relevance of science proximity when developing technology in newer, emerging fields. Limitations and directions for further research are discussed.