Indicators and the relations between science and technology

The relationship between science and technology is an important issue, as science-based technologies play a key role in modern economies. The exploration of the science-technology interface can be effectively supported by quantitative indicators, in particular patents of scientific institutions, publications of industrial enterprises, and scientific references in patent search reports. The most promising approach is the parallel observation of patents and publications in order to analyse the dynamics of the interaction of science and technology and the professional move of academic and industrial researchers between institutions.     

Low awareness of the link between science and innovation affects public policies in developing countries: The Chilean case

Developing countries share disbelief about the benefits of the endogenous production of science as a tool for economical growth. Hence, public policies to strengthen science and technology and promote the culture of innovation are, in general, weak and sometimes incoherent. Patenting has become not only an icon to protect discoveries which can yield profits and enable socio-economical growth but also a potent informetric tool to assess innovation and certainly, since the seminal work of Narin, to understand the multidimensional interactions between science, technology and innovation. In this article we examine the impact of Chilean research articles on world technology as viewed by the link between articles produced in Chile and US patents. Our results show that from 1987 to 2003, 509 US patents had 562 citations to 273 articles produced at least, by one author working in a Chilean institution. US, not Chilean companies are the holders of patents citing Chilean produced articles. The research articles covered many disciplines but a clear concentration occurred in the biomedical field. Additionally, chemistry was also well cited. Our results confirm that in Chile a non-patenting culture which involves researchers and institutions still prevails. Hence, public policies need to be designed and implemented to foster scientific production and innovation in order to advance progress in the current knowledge-economy-driven society which sustains competitiveness in the globalized world.     

Do science-technology interactions pay off when developing technology?

We investigate the relationship between the science intensity of technology domains and country's performance within these domains. The number of references in patents to scientific articles is considered as an approximation of the science intensity of a technology domain whereas a country's technological performance is measured in terms of its technological productivity (i.e. number of patents per capita). We use USPTO patent-data for eight European countries in ten technological domains. A variance analysis (ANOVA) is applied. Country as an independent variable does not explain a significant portion of the observed variance in science intensity (p=0.25). Technology domain, however, explains a significant portion of the observed variance (p<0.001). Moreover, in science intensive fields we find a positive relation between the science linkage intensity of these fields and the technological productivity of the respective countries involved. These findings seem to suggest the relevancy of designing innovation policies, aimed at fostering interaction between knowledge generating actors and technology producers, in a field specific manner. This revised version was published online in August 2006 with corrections to the Cover Date.     

Matrices of science and technology interactions and patterns of structured growth: implications for development

Scientific and other non-patent references (NPRs) in patents are important tools to analyze interactions between science and technology. This paper organizes a database with 514,894 USPTO patents granted globally in 1974, 1982, 1990, 1998 and 2006. There are 165,762 patents with at least one reference to science and engineering (S&E) literature, from a total of 1,375,503 references. Through a lexical analysis, 71.1% of this S&E literature is classified by S&E fields. These data serve as the basis for the elaboration of global and national 3-dimensional matrices (technological domains, S&E fields and number of references). Three indicators are proposed to analyze these matrices, allowing us to identify patterns of structured growth that differentiate developed and non-developed countries. This differentiation informs suggestions for public policies for development, emphasizing the need for an articulation between the industrial and technological dimension and scientific side. The intertwinement of these two dimensions is a key component of developmental policies for the twenty-first century.     

Developing technology in the vicinity of science: An examination of the relationship between science intensity (of patents) and technological productivity within the field of biotechnology

In this paper we investigate — at a country level — the relationship between the science intensity of patents and technological productivity, taking into account differences in terms of scientific productivity. The number of non patent references in patents is considered as an approximation of the science intensity of technology whereas a country’s technological and scientific performance is measured in terms of productivity (i.e., number of patents and publications per capita). We use USPTO patent-data pertaining to biotechnology for 20 countries covering the time period 1992–1999. Our findings reveal mutual positive relationships between scientific and technological productivity for the respective countries involved. At the same time technological productivity is associated positively with the science intensity of patients. These results are confirmed when introducing time effects. These observations corroborate the construct validity of science intensity as a distinctive indicator and suggest its usefulness for assessing science and technology dynamics.     

International comparative study on nanofiltration membrane technology based on relevant publications and patents

This study adopts a bibliometric approach to quantitatively assess current research trends in nanofiltration membrane technology (NFM), a new membrane separation technology widely used in various fields. It analyses scientific papers published between 1988–2011 in all journals contained in the Science Citation Index and patent data with the same time span from the Derwent patent database. The study examines developments in basic NFM research and technological innovations. Over the past 24 years, there has been a notable growth in publication outputs. Compared with other countries, China exhibited a rapid growth, particularly from 2000–2011, with its total number of papers ranking second only to the United States (US). Chinese NFM papers focus on energy and agriculture, while the US focuses on biochemistry and molecular biology. China holds the most global NFM patents, with rapid growth in patent numbers from 2005–2011. China, the US and Japan together hold 78 % of the total global NFM patents and have a strong technological advantage in water treatment and separation technology. Although there are four Chinese institutions in the top 10 patentee list, most are application patents that focus on the integrated application of existing nanofiltration membrane. In contrast the patents owned by foreign patentees are mostly research patents involving technology innovations of the nanofiltration membrane itself. Therefore, NFM research capacity in China should be further strengthened to maximize the advantages gained via research to date.     

Scientometrics of institutional productivity of laser science and technology

An analysis of 4650 publications abstracted inJournal of Current Laser Abstracts (JCLA) during April 1990–March 1991 indicates that 50 institutions located in 14 countries contributed about 39% of the S&T output. Twenty two of these institutions were from the USA, four each from Japan and the former USSR. Academic and research institutions were mainly concentrating their research efforts either in theoretical or experimental laser research. However, the industrial houses pursued their research in applications of the lasers. Most of these institutions published their output in scientific journals, but a few institutions had large amounts of technical reports and patents to their credit. Most of the institutions resembled in their activity and attractivity profiles. The values of normalized impact per paper, publication effectivity index and proportion of high quality papers for 12 institutions were less than average.     

International scientific and technological collaboration of China from 2004 to 2008: a perspective from paper and patent analysis

Since China adopted Open-Up and Reformed Policy for global collaboration, China’s science and technology have experienced an astounding growth. Papers and patents encompass valuable scientific and technological (S&T) information and collaborative efforts. This article studies China’s international S&T collaboration from the perspective of paper and patent analysis. The results show that China’s total papers and patents have continuously increased from 2004 to 2008, the papers and patents resulting from China’s international collaboration also present a steady growth. However, there is a decline in the share of international collaboration papers and patents with a certain range due to the rapid independent R&D. China’s international scientific collaboration (ISC) is broadly distributed over many countries, the USA being the most important ISC partners. China’s international technological collaboration (ITC) is mainly carried out with USA and Taiwan, and Taiwan has been the most significant ITC partner of when taking countries’ patent output into account. Besides, ISC shows a continuous raise of Chinese papers’ citation. Even the countries with a small amount of papers and ISC with China, exert a positive influence on the impact of citation of Chinese papers as well. However, ITC does not always play an active role in the improvement of citation impact of Chinese patents.     

Patents cited in the scientific literature: An exploratory study of 'reverse' citation relations

This paper reports on a new approach to study the linkage between science and technology. Unlike most contributions to this area we do not trace citations of scientific literature in patents but explore citations of patents in scientific literature. Our analysis is based on papers recorded in the 1996-2000 annual volumes of the CD-Edition of Science Citation Index (SCI) of the Institute for Scientific Information (ISI) and patent data provided by the US Patent and Trademark Office. Almost 30,000 US patents were cited by scientific research papers. We analysed the citation links by scientific fields and technological sectors. Chemistry-related subfields tended to cite patents more than other scientific area. Among technological sectors, chemical clearly dominates followed by drugs and medical patents as the most frequently cited categories. Further analyses included a country-ranking based on inventor-addresses of the cited patents, a more detailed inspection of the ten most cited patents, and an analysis of class-field transfers. The paper concludes with the suggestions for future research. One of them is to compare our 'reverse' citation data with 'regular' patent citation data within the same classification system to see whether citations occur, irrespectively of their directionality, in the same fields of science and technology. Another question is as to how one should interpret reverse citation linkages.     

Significant difference of dependence upon scientific knowledge among different technologies

Summary The authors have constructed an original database of the full text of the Japanese Patent Gazette published since 1994. The database includes not only the front page but also the body text of more than 880,000 granted Japanese patents. By reading the full texts of all 1,500 patent samples, we found that some inventors cite many academic papers in addition to earlier patents in the body texts of their Japanese patents. Using manually extracted academic paper citations and patent citations as “right” answers, we fine-tuned a search algorithm that automatically retrieves cited scientific papers and patents from the entire texts of all the Japanese patents in the database. An academic paper citation in a patent text indicates that the inventor used scientific knowledge in the cited paper when he/she invented the idea codified in the citing patent. The degree of science linkage, as measured by the number of research papers cited in patent documents, is particularly strong in biotechnology. Among other types of technology, those related to photographic-sensitized material, cryptography, optical computing, and speech recognition also show strong science linkage. This suggests that the degree of dependence on scientific knowledge differs from technology to technology and therefore, different ways of university-industry collaboration are necessary for different technology fields.     

A relationship between technology indicators and stock market performance

One of the main objectives of technology analyses is to understand how investing intechnological innovation can have commercial benefits. However, empirical studies of therelationship between investments in technology and subsequent economic performance arerelatively scarce. This paper provides such an analysis by demonstrating how quantitative R&Dand technology indicators may be used to forecast company stock price performance. The purposeof the analysis is to utilize a unique patent database, and the science and technology indicatorsdeveloped from the data therein, to explore this issue of technological competence and economicperformance.The underlying concept behind this study is that the quality of a company's technology isreflected in its patent portfolio. Previous research has shown that a company with a largepercentage of influential patents is much more likely to be technologically successful than acompany with weaker patents. The analysis presented here reveals that such a company is alsomore likely to be successful in capital markets.     

Validation study: Patent citations as indicators of science and foreign dependence

The purpose of this study was to test whether the distribution of citations from issued U.S. patents could be used to measure the science dependence and the foreign dependence of patented technologies. The citations considered were front page references from U.S. patents citing to U.S. and foreign patents, to research papers and to other publications. Rankings based on the number of citations per patent to the scientific literature were compared to peer rankings of the science dependence of the technologies. Rankings based on the number of citations to foreign origin material, including foreign origin U.S. patents, foreign patents and foreign priority statements, were compared to peer rankings of the foreign dependence of the technological areas.For the analysis a total of 24 technologies were chosen. Twelve of these were judged in advance to be science dependent and twelve were judged in advance to be foreign dependent. A peer group of 19 high level R&D managers was asked to rank all 24 technologies in terms of both their science and their foreign dependence. The bibliometric rankings of the technologies, based on their citations, were then compared with the peer rankings of the technologies.Overall, a high degree of agreement was found between the experts' opinion as to the science and foreign dependence of the areas and the corresponding bibliometric rankings. For example, the eight technologies judged most science dependent by experts averaged 0.92 cites per patent to scientific journal papers, while the eight technologies judged least science dependent had only 0.05 references per patent to journal papers. Similarly, large and statistically significant differences were found in the number of cites to foreign origin material for the eight technologies judged most foreign dependent by the experts when compared with the eight technologies judged least foreign dependent by the experts. These findings provide support for the hypothesis that patent citation data can be used in technological indicators development, and in technological policy analysis. They imply that citation-based location and analysis of science and foreign dependent technologies is a valid research tool when applied to the U.S. patent system.     

Exploring the quality of environmental technology in Europe: evidence from patent citations

In this paper we carry out an empirical analysis to address some questions concerning the production and quality of technology in environmental sectors. The methodology involves patents as a measure of the generation of new knowledge, and patent citations as a proxy for the quality of a technological invention. The sample contains more than 12,000 environmental European patents from firms and government institutions from 1998 to 2004. From our econometric analysis, we found that environmental patents applied by individual inventors present on average less quality that those applied by institutional inventors. The size of family patent is relevant to explain forward patent citation. Furthermore, patents coming from abroad (out of Europe), in particular with US and Japan priority, are more cited on average than local patents (with European priority). Lastly, the specialization in environmental fields of a patent plays a negative role in determining the frequency of forward citation.     

Characterizing intellectual spaces between science and technology

The paper presents a methodology for studying the interactions between science and technology. Our approach rests mostly on patent citation and co-word analysis. In particular, this study aims to delineate intellectual spaces in thin-film technology in terms of science/technology interaction. The universe of thin-film patents can be viewed as the macro-level and starting point of our analysis. Applying a bottom-up approach, intellectual spaces at the micro-level are defined by tracing prominent concepts in publications, patents, and their citations of scientific literature. In another step, co-word analysis is used to generate meso-level topics and sub-topics. Overlapping structures and specificities that emerge are explored in the light of theoretical understanding of science-technology interactions. In particular, one can distinguish prominent concepts among patent citations that either co-occur in both thin-film publications and patents or reach out to one of the two sides. Future research may address the question to what extent one can interpret directionality into this.     

On the first patents,key inventions and research manuscripts about glass science & technology

The objective is to describe the first patents, key inventions and scientific papers related to glass science & technology. According to the literature and the Guinness Book of Records, the first English recorded patent was granted to John Utynam in England in 1449 and a second in 1552. Regarding publications, the first two papers on glass production were published in 1665 in Le Journal des Sçavans in France and the Philosophical Transactions of the Royal Society in England. We illustrate our points using landmarks that cover half a millennia and constitute advancements in modern life that are substantially connected to and dependent on glass technology.     

The citation impact of social sciences and humanities upon patentable technology

This paper examines the citation impact of papers published in scientific-scholarly journals upon patentable technology, as reflected in examiner- or inventor-given references in granted patents. It analyses data created by SCImago Research Group, linking PATSTAT’s scientific non-patent references (SNPRs) to source documents indexed in Scopus. The frequency of patent citations to journal papers is calculated per discipline, year, institutional sector, journal subject category, and for “top” journals. PATSTAT/Scopus-based statistics are compared to those derived from Web of Science/USPTO linkage. A detailed assessment is presented of the technological impact of research publications in social sciences and humanities (SSH). Several subject fields perform well in terms of the number of citations from patents, especially Library and Information Science, Language and Linguistics, Education, and Law, but many of the most cited journals find themselves in the interface between SSH and biomedical or natural sciences. Analyses of the titles of citing patents and cited papers are presented that shed light upon the cognitive content of patent citations. It is proposed to develop more advanced indicators of citation impact of papers upon patents, and ways to combine citation counts with citation content and context analysis.

     

Assessing coreness and intermediarity of technology sectors using patent co-classification analysis: the case of Korean national R&D

Rapid technological advancements and increasing research and development (R&D) costs are making it necessary for national R&D plans to identify the coreness and intermediarity of technologies in selecting projects and allocating budgets. Studies on the coreness or intermediarity of technology sectors have used patent citations, but there are limitations to dealing with patent data. The limitations arise from the most current patents and patents that do not require citations, e.g. Korean patents. Further, few or no studies have simultaneously considered both coreness and intermediarity. Therefore, we propose a patent co-classification based method to measure coreness and intermediarity of technology sectors by incorporating the analytic network process and the social network analysis. Using IPC co-classifications of patents as technological knowledge flows, this method constructs a network of directed knowledge flows among technology sectors and measures the long-term importance and the intermediating potential of each technology sector, despite the limitations of patent-based analyses. Considering both coreness and intermediarity, this method can provide more detailed and essential knowledge for decision making in planning national R&D. We demonstrated this method using Korean national R&D patents from 2008 to 2011. We expect that this method will help in planning national R&D in a rapidly evolving technological environment.     

The Albuquerque model and efficiency indicators in national scientific productivity with respect to manpower and funding in science

Due to recession in the world economy there is a trend towards a reduction in growth of R&D expenditure in the G7 countries. At the same time countries like China and Korea are investing more in scientific research. We compare the differences in the inputs to science for different countries and explore the level of efficiency in the output of scientific papers with respect to inputs such as manpower and investment. We find that the EU countries are relatively more efficient than Japan, the USA and also China and Korea so far as the production of papers is concerned. However, if efficiency is considered in terms of patents, Japan Korea and the USA are ahead. We compare our results with Albuquerque’s model linking patent to paper ratios and development, and find significant deviations for some countries. We deduce that there has been a shift from publishing towards patenting in certain countries and link it to high contribution from the business sector to R&D expenditure. Preliminary results of this analysis have been presented in Basu (In Proceedings of the 14th International Society for Scientometrics and Informetrics (ISSI) Conference, 2013).