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.     

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.     

Indicators for measuring the impact of scientific citations in patents

Scientific publications cited in patents are fundamental elements to assess the transfer of science to technology. Numerous studies evaluate the impact of references in patents and scientific publications and various measurement methods and indicators are proposed. This article reviewed the existing literature on the indicators used to date to determine their suitability and effectiveness to evaluate the impact of patent citations. For this purpose, we analyzed the characteristics of the studies examined and proposed a qualitative classification of indicators from both a technological (patents) and scientific-academic (scientific articles) perspective. Among the results we find that the use of scientometric indicators is primarily focused on analyzing their relevance for patents through the inclusion of scientific citations. Conversely, the same is not true from the academic point of view where gaps still persist in terms of what the impact is when scientific articles are cited in patents. Among the key conclusions is the diversity of proposals to measure scientific citations in patents, though these are conditioned on bibliographic standardization and metadata management of the patents themselves, making it possible to quantify aspects similar to the immediacy index, impact index, or h-index for authors/inventors, albeit from a technological dimension.     

Exploring knowledge diffusion among nations: a study of core technologies in fuel cells

Technological trajectory is a representation of the development of technology. Based on the analysis of the trajectories of prominent technologies, we can explore the phenomena of technology evolution and knowledge diffusion. In this study, we focus on explaining knowledge diffusion in the core technology used in fuel cells, i.e. the development of 5-layer membrane electrode assembly (MEA) technologies. Through an investigation of path analysis, this study explores how the knowledge of this technology has evolved and diffused across different locations. The empirical analysis also explains how certain technological knowledge plays a critical role in main path. In this study, patent data of 5-layer MEA technologies for fuel cells is collected from the US Patent Office, for a total of 1,356 patents, followed by constructing a patent citation network based on citation relationships, recognising prominent patents with many citations through path analysis. Using the local main path analysis and global key-route method, we identify three stages of technological development, including an improvement of the proton exchange membrane (PEM) and catalyst synthesis. Additionally, we use regression analysis to demonstrate that patents with specific characteristics play a vital role in the process of knowledge diffusion. Patents from Japan and South Korea are relatively more important than patents from other countries. The brokerage characteristics of a patent (e.g., coordinating domestically or liaising among three or more countries) also facilitate the diffusion of technological knowledge. However, the importance of these brokerages changes when we look at inventing time. Furthermore, the technological diversification of a patent exerted no substantial influence on its network position.     

Patent-bibliometric analysis on the Chinese science — technology linkages

The purpose of this study is to explore the character and pattern of the linkage between science and technology in China, based on the database of United States Patent and Trademark Office (USPTO). The analysis is focused on the period 1995–2004, a rapid increasing period for Chinese US patents. Using the scientific non-patent references (NPRs) within patents, we investigate the science-technology connection in the context of Chinese regions as well as industrial sectors classified by International Patent Classification (IPC). 11 technological domains have been selected to describe the science intensity of the technology. The results suggest that the patents and the corresponding scientific citations are related in different ways. Finally, we match the scientific NPRs to the Science Citation Index (SCI) covered publications to identify the core journals and categories. It reveals that the scientific references covered by SCI show a skewed distribution not only in journals but also in categories.     

Science cited in patents: A geographic "flow" analysis of bibliographic citation patterns in patents

The interplay and cross-fertilization between science and technology, but also the specific role of science for technological development, have received ample attention in both the research and the policy communities. It is in this context that the concepts of absorptive capacity and knowledge spillovers play an important role. We operationalize the science-technology link by quantifying and modeling bibliographic references to the scientific literature as they occur in patents. This approach allows exploring the associative patterns between science creation (as emerging from the scientific literature) and technology development (as emerging from the patent literature). In the current paper, we focus on an analysis of the geographic distribution of the science citation patterns in patents, singling out two fields of (different) technological development, namely biotechnology and information technology. In both fields, the science citation flows from the European, Japanese and US science bases into USPTO and EPO-patents are explored and modeled. Intensive geographic citation flows between the regions are identified, pointing (amongst others) to the strength of both the US and the European science bases as sources for technological activity and creativity around the world.     

Large firms and the science-technology interface Patents,patent citations,and scientific output of multinational corporations in thin films

Firms operating in science-based technological fields reflect some of the complexities of the science-technology interaction. The present study attempts to investigate these interactions by analyzing patent citations, publication and patent outputs of multinational corporations (MNCs) in 'thin film' technology. In particular we explore different characteristics of knowledge production and knowledge utilization of these firms. The results indicate no correlation between intensity of research activity and patents produced by the MNCs. The relationship between scientific and technological knowledge generation as well as the linkage between science and technology appear to be firm-specific rather than dependent on a technological or industrial sector. The dispersion of journal sources for the majority of patent citations of scientific literature as well as for the majority of scientific outputs is narrow. Basic journals play an important role in patent citation as well as in addressing research of MNCs in thin-film technology.     

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.     

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

Today's 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.     

Technological Relevance of Science: An Assessment of Citation Linkages between Patents and Research Papers

Patent citations to the research literature offer a way for identifying and comparing contributions of scientific and technical knowledge to technological development. This case study applies this approach through a series of analyses of citations to Dutch research papers listed on Dutch-invented and foreign patents granted in the US during the years 1987–1996.First, we examined the general validity and utility of these data as input for quantitative analyses of science-technology interactions. The findings provide new empirical evidence in support of the general view that these citations reflect genuine links between science and technology. The results of the various analyses reveal several important features of industrially relevant Dutch science: (1) the international scientific impact of research papers that are also highly cited by patents, (2) the marked rise in citations to Dutch papers on foreign-invented patents; (3) the large share of author-inventor self-citations in Dutch-invented patents; (4) the growing relevance of the life sciences, (5) an increase in the importance of scientific co-operation. We also find significant differences between industrial sectors as well as major contributions of large science-based multinational enterprises, such as Philips, in domestic science-technology linkages.The paper concludes by discussing general benefits and limitations of this bibliometric approach for macro-level analysis of science bases in advanced industrialised countries like the Netherlands.     

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.     

An assessment of the impact and visibility of South African journals

Summary Recognizing the critical role played by science and technology in the development of fuel cells, this article aims to characterize the evolution of the S&T knowledge bases of fuel cells over the nineties, using data on patents and scientific publications. The field of fuel cells is particularly heterogeneous. It covers diverse sub-fields that are marked by idiosyncratic characteristics (e.g. actors, demand, and input) and different historical developments. Although this heterogeneity of the field of fuel cells is reflected in the dynamics of S&T knowledge generation within and across its sub-fields too, this article shows that it does not entail the absence of cognitive interrelations between their S&T knowledge bases. For that purpose, the article uses “simultaneous mapping' approach of their S&T knowledge bases by means of textual analysis.     

Patterns of scientific and technological knowledge flows based on scientific papers and patents

This paper examines how Korean technological development is linked with scientific activities and spreads to industrial fields through knowledge flows. It empirically assesses the linkages between scientific and technological knowledge flows and technological innovation by determining whether the quantity and quality of scientific papers cited by, and the knowledge being absorbed in, Korean patents filed in USPTO varied over time, and between technology fields. We conducted MANOVA and then canonical discriminate analysis. Our findings are: the patterns of both the absorption of scientific knowledge and the diffusion of technological knowledge differ by period and by field, and the speed of knowledge diffusion differs by technology field. This implies that the time required for Korean investment in basic and applied research to impact her industrial innovation differs by technology field.     

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.     

Science and technology in the region: The output of regional science and technology, its strengths and its leading institutions

Summary We operationalize scientific output in a region by means of the number of articles (as in the SciSearch database) per year and technology output by means of the number of patent applications (as in the database of the European Patent Office) per priority year. All informetric analyses were done using the DIALOG online-system. The main research questions are the following: Which scientific and technological fields or topics are most influent within a region and which institutions or companies are mainly publishing articles or holding patents? Do the distributions of regional science and technology fields and of publishing institutions follow the well-known informetric function? Are there - as it is expected - only few fields and few institutions which dominate the region? Is there a connection between the economic power of a region and the regional publication and patent output? Examples studied in detail are seven German regions: Aachen, D&uuml;sseldorf, Hamburg, K&ouml;ln (Cologne), Leipzig - Halle - Dessau, M&uuml;nchen (Munich), and Stuttgart. Three different indicators were used, science and technology attraction of a region (number of scientific articles and patents), science and technology intensity (articles and patents per 1,000 inhabitants), and science and technology density (articles and patents per 1 billion EURO gross value added). Top region concerning both attraction and intensity is Munich, concerning density it is Aachen.     

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.     

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.     

The scientometrics of a Triple Helix of university-industry-government relations (Introduction to the topical issue)

We distinguish between an internal differentiation of science and technology that focuses on instrumentalities and an external differentiation in terms of the relations of the knowledge production process to other social domains, notably governance and industry. The external contexts bring into play indicators and statistical techniques other than publications, patents, and citations. Using regression analysis, for example, one can examine the importance of knowledge and knowledge spill-over for economic development. The relations can be expected to vary among nations and regions. The field-specificity of changes is emphasized as a major driver of the research agenda. In a knowledge-based economy, institutional arrangements can be considered as support structures for cognitive developments.