Article

The Increasing Linkage between U.S. Technology and Public Science

Authors:
  • Retired President, CHI Research, Inc
To read the full-text of this research, you can request a copy directly from the authors.

Abstract

A detailed and systematic examination of the contribution of public science to industrial technology would be useful evidence in arguing the case for governmental support of science. This paper provides such an examination, by tracing the rapidly growing citation linkage between U.S. patents and scientific research papers. Seventy-three percent of the papers cited by U.S. industry patents are public science, authored at academic, governmental, and other public institutions; only 27% are authored by industrial scientists. A strong national component of this citation linkage was found, with each country's inventors preferentially citing papers authored in their own country, by a factor of between two and four. Particularly rapid growth was found for the dependence of patented technology on U.S. papers. References from U.S. patents to U.S.-authored research papers have tripled over a six-year period, from 17,000 during 1987–1988 to 50,000 during 1993–1994, a period in which the U.S. patent system grew by only 30%. The cited U.S. papers are from the mainstream of modern science; quite basic, in influential journals, authored at top-flight research universities and laboratories, relatively recent, and heavily supported by NIH, NSF, and other public agencies.

No full-text available

Request Full-text Paper PDF

To read the full-text of this research,
you can request a copy directly from the authors.

... Par exemple, 10% des innovations industrielles aux Etats Unies d'Amérique sur la période 1975-1985 n'auraient eu lieu sans la contribution des recherches académiques (Mansfield, 1991). Narin et al. (1997) ont aussi montré que le nombre de brevet déposé a augmenté de 30% sur la même période où le nombre d'articles scientifiques a presque triplé aux Etats-Unis. Les connaissances scientifiques n'affectent la croissance économique que par l'amélioration de la performance technologique des entreprises. ...
... La contribution des connaissances scientifiques à la croissance économique des pays de l'UEMOA n'est donc pas encore évaluée. Or, une bonne compréhension de la relation entre les connaissances scientifiques et la performance économique peut permettre aux dirigeants de soutenir la science (Narin et al., 1997) et de revoir leur politique scientifique pour une bonne amélioration de la performance économique de leurs pays. ...
... Pour Mowery et Rosenberg (1989) les connaissances scientifiques affectent la croissance économique des pays en améliorant la performance des entreprises. Cette analyse des auteurs a été approuvé par de nombreux résultats empiriques de nombreux d'autres auteurs (Bishop, D'Este, et Neely, 2011 ;Boschma, Heimeriks, et Heimeriks, 2014 ;Cohen, Nelson, et Walsh, 2002 ;Lecuyer, 1998 ;Mansfield, 1991 ;Medase et Abdul-Basit, 2019 ;Narin, Hamilton et Olivastro, 1997). ...
... To tackle this question and investigate the outcomes of impactful SE research, we performed a quantitative and qualitative analysis of SE patents citing SE research from four leading SE venues. Patents are by definition practical applications of technology, and are frequently employed as an estimator of the academic research impact (e.g., in the works by Narin et al. [7], Estublier et al. [8], and the National Academy of Engineering [9]). Software patents have increased rapidly in number, comprising 15% of all patents [10]. ...
... Through a systematic analysis of citation linkages between US patents and research papers, Narin et al. [7] assessed the contribution of public science to industrial technology. To collect all papers cited by patents, the authors employed a similar approach to ours (see Section 3.3) by extracting all non-patent references from around 400 000 US patents. ...
... From these we excluded 37 codes that are irrelevant to payments or refunds, and four codes subject to the 37 Code of Federal Regulations, Paragraph 1.28, concerning debts occurring from errors in the small entity status-these are not fixed values. The remaining codes were mapped to their values based on the USPTO Fee Schedule, while deprecated codes 7. In patents, the established practice is to cite the earliest version of equally important documents [43]. ...
Article
Full-text available
Existing work on the practical impact of software engineering (SE) research examines industrial relevance rather than adoption of study results, hence the question of how results have been practically applied remains open. To answer this and investigate the outcomes of impactful research, we performed a quantitative and qualitative analysis of 4,354 SE patents citing 1,690 SE papers published in four leading SE venues between 1975–2017. Moreover, we conducted a survey on 475 authors of 593 top-cited and awarded publications, achieving 26% response rate. Overall, researchers have equipped practitioners with various tools, processes, and methods, and improved many existing products. SE practice values knowledge-seeking research and is impacted by diverse cross-disciplinary SE areas. Practitioner-oriented publication venues appear more impactful than researcher-oriented ones, while industry-related tracks in conferences could enhance their impact. Some research works did not reach a wide footprint due to limited funding resources or unfavorable cost-benefit trade-off of the proposed solutions. The need for higher SE research funding could be corroborated through a dedicated empirical study. In general, the assessment of impact is subject to its definition. Therefore, academia and industry could jointly agree on a formal description to set a common ground for subsequent research on the topic.
... To tackle this question and investigate the outcomes of impactful SE research, we performed a quantitative and qualitative analysis of SE patents citing SE research. Patents are by definition practical applications of technology, and are frequently employed as an estimator of the academic research impact (e.g., in the works by Narin et al. [6], Estublier et al. [7], and the National Academy of Engineering [8]). Furthermore, we conducted a survey on authors of highly recognized SE publications to examine impactful types, areas, methods, and outcomes of SE research as well as their footprint on information technology, society, and industry. ...
... Through a systematic analysis of citation linkages between US patents and research papers, Narin et al. [6] assessed the contribution of public science to industrial technology. To collect all papers cited by patents, the authors employed a similar approach to ours (see Section 3.3) by extracting all non-patent references from around 400 000 US patents. ...
... We extracted the litigation cases associated with the citing patents from the USPTO Patent Litigation Docket Reports Data, which contain detailed patent litigation information on 81 350 unique district court cases filed during the period 1963-2016 [43], [44]. Specifically, we joined the files cases and patents (version 2016), 7 modifying patent 6. In patents, the established practice is to cite the earliest version of equally important documents [39]. ...
Preprint
Full-text available
Existing work on the practical impact of software engineering (SE) research examines industrial relevance rather than adoption of study results, hence the question of how results have been practically applied remains open. To answer this and investigate the outcomes of impactful research, we performed a quantitative and qualitative analysis of 4,335 SE patents citing 1,668 SE papers published between 1975-2017. Moreover, we conducted a survey study on 413 authors of 501 top-cited and awarded publications, achieving 25% response rate. Overall, researchers have equipped practitioners with various tools, processes, and methods, and improved many existing products. SE practice seems to value knowledge-seeking research and is impacted by diverse cross-disciplinary SE areas. Practitioner-oriented publication venues appear more impactful than researcher-, while industry-related tracks in conferences could enhance their impact. Some research works did not reach a wide footprint due to limited funding resources or unfavorable cost-benefit tradeoff of the proposed solutions. The need for higher funding in SE research could be corroborated through a dedicated empirical study. In general, the assessment of impact is subject to its definition. Therefore, academia and industry could jointly agree on a formal description to set a common ground for subsequent research on the topic.
... However, measuring and mapping of science-technology linkages has been proven challenging (Mansfield, 1991;McMillan et al., 2000;Narin et al., 1997). There are several data sources that are leveraged to identify direct science-technology linkages (Bekkers and Freitas, 2008), such as collaborations (Giunta et al., 2016) or the citation of non-patent-literature (NPL) in patents (Acosta and Coronado, 2003;Narin et al., 1997). ...
... However, measuring and mapping of science-technology linkages has been proven challenging (Mansfield, 1991;McMillan et al., 2000;Narin et al., 1997). There are several data sources that are leveraged to identify direct science-technology linkages (Bekkers and Freitas, 2008), such as collaborations (Giunta et al., 2016) or the citation of non-patent-literature (NPL) in patents (Acosta and Coronado, 2003;Narin et al., 1997). However, such direct measures tend to be sparse and biased, since for instance joint university-industry patenting is the exception rather than the norm, and NPL citations are rarely used. ...
... Furthermore, it is important to mention that legal requirements regarding the inclusion of citations in patents di er around the world with USPTO filed patents having consistently higher shares of NPL citations compared to EPO applications (Michel and Bettels, 2001). A critical argument beyond immediate shortcomings of methods using observable explicit connections (such as patents) is that it assumes a linear model of innovation and technological development (Narin et al., 1997). This may be an oversimplified view (Tussen et al., 2000), especially considering dominant conceptual frameworks that describe innovation and emergence of technology, from the (national) innovation system (Nelson, 1993;Lundvall, 1992) to the Triple Helix (Etzkowitz and Leydesdor , 2000) and more recent ecosystem frameworks (Adner and Kapoor, 2010) that all highlight the importance of non-linearity and interdependence, suggesting that while scientific discovery may lay the foundation and shape trajectories for technological development, explicit traces can be hard to identify. ...
Preprint
Full-text available
In this paper, we present an efficient deep learning based approach to extract technology-related topics and keywords within scientific literature, and identify corresponding technologies within patent applications. Specifically, we utilize transformer based language models, tailored for use with scientific text, to detect coherent topics over time and describe these by relevant keywords that are automatically extracted from a large text corpus. We identify these keywords using Named Entity Recognition, distinguishing between those describing methods, applications and other scientific terminology. We create a large amount of search queries based on combinations of method- and application-keywords, which we use to conduct semantic search and identify related patents. By doing so, we aim at contributing to the growing body of research on text-based technology mapping and forecasting that leverages latest advances in natural language processing and deep learning. We are able to map technologies identified in scientific literature to patent applications, thereby providing an empirical foundation for the study of science-technology linkages. We illustrate the workflow as well as results obtained by mapping publications within the field of neuroscience to related patent applications.
... August 12, 2016 Friday. https://advance-lexis-com.proxy.lib.duke.edu/api/document?collection=newsid=urn:contentItem:5KFJ-DRC1-F03R-N0XF-00000-00context=1516831. 4 Our paper is also related to the growing literature that examines the use of science in inventions using patent citations to science (Narin et al., 1997;Azoulay et al., 2015;Fleming et al., 2019;Agrawal and Henderson, 2002;Belenzon and Schankerman, 2009;Fleming and Sorenson, 2004;Ahmadpoor and Jones, 2017;Veugelers and Wang, 2019) 5 The Bessemer process, for instance, diffused rapidly after its metallurgical properties were sufficiently understood. ...
... Science-based inventions -We define science-based inventions as those that make at least one citation to a scientific article (Narin et al., 1997;Arora et al., 2020;Roach and Cohen, 2013;Sampat, 2010). We use data from Marx and Fuegi (2020), which matches US patents to scientific publications in Microsoft Academic Graph (MAG) to identify pairs of citing patents and cited scientific publications (see appendix A.1.1 for more details). ...
... Dans cette thèse, nous avons utilisé les SNPL (présentées ci-dessus) comme un indicateur de l'orientation des travaux scientifiques. L'hypothèse est que plus un papier scientifique est cité dans les brevets, plus le papier est proche de l'application industrielle (Narin, Hamilton et Olivastro, 1997) Ainsi, nous avons présenté ici les principaux indicateurs bibliométriques utilisés dans cette thèse. ...
... To proxy research orientation towards basic or applied research, we explored how the industry relies on laureate's academic papers when filing patents. Hence, scholars have extensively used this proxy of Scientific Non-Patent Literature (SNPL): academic papers that are cited by the inventor or the examiner of a given patent application in order to demonstrate the newness of the invention, since the seminal work of Narin, Hamilton, & Olivastro (1997). ...
Thesis
Les grands défis sociétaux contemporains nécessitent la création conjointe de nouveaux savoirs scientifiques et d’innovations techniques. Pourtant, les relations entretenues entre activités de recherche scientifique et activités de développement de produits, procédés ou services semblent s’apparenter à une double contrainte : l’impact scientifique s’opérerait au détriment de l’impact technique, et inversement. Pourtant, l’étude de cas historiques ou modernes permet de faire l’hypothèse d’un modèle de couplage science – industrie dit de double impact simultané. En menant une démarche exploratoire à partir des théories de la conception, de la littérature sur l’engagement académique et l’innovation combinatoire, cette thèse propose un modèle formel des conditions d’existence et des performances des relations science – industrie. Une démonstration empirique du double impact simultané est proposée à partir d’un cas d’étude dans l’industrie agroalimentaire. Le modèle formel apporte un cadre conceptuel aux quatre essais qui composent ce travail. Les deux premiers essais permettent de démontrer la dynamique historique et les performances du modèle de double impact simultané dans les sciences dites « fondamentale » (étude longitudinale des lauréats du Prix Nobel) et « appliquées » (étude des thèses CIFRE), comparativement aux cas traditionnels. Un troisième essai discute des conditions institutionnelles du modèle dans le cas de la R&D industrielle en étudiant la dynamique de l’invention dans le secteur du pétrole et du gaz. Enfin, un quatrième essai propose une réflexion sur la résilience du modèle de double impact simultané aux crises, à partir d’une analyse des effets des crises sanitaires liées aux coronavirus.
... Las universidades, como productoras y transmisoras de conocimientos, pueden desempeñar un importante papel en el proceso de innovación tanto en los países desarrollados como en los países en proceso de desarrollo (Narin, Hamilton y Olivastro, 1997). Cohen, Nelson y Walsh (2002) han sugerido que la relación de las empresas con las universidades y CPI funciona para las empresas como un medio de acceso a redes de información y conocimiento. ...
... Cohen, Nelson y Walsh (2002) han sugerido que la relación de las empresas con las universidades y CPI funciona para las empresas como un medio de acceso a redes de información y conocimiento. Éstos, y otros autores han caracterizado la naturaleza y amplitud de la contribución de los vínculos academia-empresas, se han focalizado sobre todo en los impactos de éstos en las actividades de I+D de las empresas industriales (Klevorick et al., 1997;Narin, Hamilton y Olivastro, 1997;Kazuyuki, 2005). ...
Chapter
Full-text available
En esta investigación se plantea analizar el proceso de la multinacionalización de las empresas de PED desde un abordaje que enfatiza la vinculación de la empresa con otros agentes, como son las universidades y los centros públicos de investigación (CPI), como un mecanismo para construir capacidades para innovar y así competir en los mercados internacionales. Se explora el papel que ha tenido la vinculación academia-empresa en la acumulación y generación de capacidades de Investigación y Desarrollo (I+D) en el grupo farmacéutico mexicano Silanes, que produce medicamentos y vacunas enfatizando su fase de multinacionalización.
... On the other hand, more backward citations also indicate less innovative, with a smaller scope of protection and fewer citations. And the same thing goes for the citations of non-patent literatures (Non-patentCite) (Narin et al. 1997). Existing literatures have shown that there are some relationships between non-patent backward citations and patent forward citation. ...
... The size of the patent family, is also considered an indicator of the patent value (Harhoff et al., 1999;Harhoff et al., 2003). Besides, these citations can also be considered a measure of knowledge spillover (Agarwal et al., 2009;Narin et al., 1997). Next, the number of different technological classifications such as the IPC or CPC per patent allow the measurement of the patent scope, whereby a higher number of classifications indicates a broad patent scope (Lerner, 1994). ...
Preprint
Full-text available
Patents are temporary exclusive rights granted by the government for inventions in exchange for public disclosure. They are considered a proxy for technological innovation and are used in many disciplines ranging from economics and management to regional science. Yet, research on family firm innovation has only recently started to use patent data. The use of patent data in firm-level studies is complex and requires a careful and time-consuming matching process between patent and firm data. Our paper describes this process in detail and presents a guideline organized in seven steps. We illustrate our matching process using a sample of more than 10,000 German mid-sized family and nonfamily firms. We hope that our paper makes the matching process more transparent and helps future researchers on family firm innovation who would like to use patent data.
... Accordingly, to scope and define our research, we conducted 66 semi-structured interviews across Australia of people in companies, public research organisations and technology transfer agencies. This enabled us to determine which organisations were potentially transacting in the market for 11 Other studies on the topic of technology exchange mainly focus on the why and wherefore of using various channels (Agrawal 2001;Narin, Hamilton and Olivastro 1997;Agrawal and Henderson 2002;Meyer-Krahmer and Schmoch 1998;Monjon and Waelbroeck 2003;Zucker, Darby and Armstrong 2002). Other papers by Anand and Khanna (2000) and Vonortas and Kim (2004), which both analyse licensing data, find that almost 30 per cent of deals are signed between parties having a prior relationship and that cross-border transactions are more likely than intra-country transactions to involve parties with a prior relationship. ...
... Closer integration between public and private performers of research is the most prominent characteristic across national innovation systems today. The integration is evident in such forms as the rising numbers of cooperative research and development agreements between firms and universities and public labs; the university's adoption of such market-oriented practices as academic patenting and firm formation; and the reliance of public sector research not only on private sector financing but also on fixed-term contracts to fill research posts [1,2]. The longterm implications of this integration to innovation policy-making and management practice-potentially both good and bad-will be far-reaching. ...
... Non-patent literature consists of peer-reviewed scientific papers, conference proceedings, databases and other relevant literature. Backward citations to NPL can be considered an indicator of the contribution of public science to industrial technology (Narin et al., 1997). They may reflect how close a patented invention is to scientific knowledge and help depict the proximity of technological and scientific developments (Callaert et al., 2006). ...
Chapter
Countries deploy a variety of policy instruments to promote university-industry knowledge transfer. While these instruments are often discussed in isolation, they are implemented collectively and may reinforce and complement but also weaken or even negatively affect each other. This chapter presents a conceptual framework to map policy instruments for knowledge transfer and assess the interactions between them. Positive interactions occur, for example, when a new grant scheme to support spin-offs is accompanied by the adoption of more flexible regulations regarding the participation of university professors in firms, leading to a stronger combined impact. In contrast, negative interactions are associated with potential contradictions between policy instruments or with the coexistence of various policies targeting simultaneously the same types of actors, which increases complexity, creates confusion and results in higher administrative costs. The conceptual framework developed in this chapter also aims to explain how the choice of policy instruments is influenced by national contexts and broader international trends. This framework is a useful tool for those involved in the design and evaluation of university-industry knowledge transfer policies, while offering a broad point of departure for future research.
... The debate over asymmetric access, the adoption of American-style intellectual property rights policies in Japan, even the innovation strategies of companies are all issues that require rethinking based on this analysis. For instance, in a recent study of the linkage between public science and industrial technology, Narin, Hamilton and Olivastro (1997) showed that the average number of references to scientific papers on the U.S. patents of Japanese firms has nearly tripled over the period 1985-1995. The conventional wisdom would be apt to attribute this rapid increase to a growing dependence of Japanese industry on academic research. ...
... Another patent characteristic relates to the type of knowledge base underlying the patented invention, which could provide cues to academic entrepreneurs who judge whether it is worthy to engage in commercial development. Prior studies have suggested that scientific literature cited in a patent can be considered an indicator of knowledge flow from science to technology (Hall et al., 2005;Karvonen and Kässi, 2013;Narin et al., 1997) and that higher reliance on scientific literature indicates greater basicness of the research (Trajtenberg et al., 1997). Since most scientific inquiries aim to increase our understanding of various phenomena in the world which may not be initiated with a specific commercial application in mind, reliance on scientific literature implies that the underlying patent may be farther from a commercially viable product or process. ...
Article
This study expands the scope of research on academic entrepreneurship to include academic inventors who actively engage in late-stage commercialization. It investigates post-patent involvement of academic scientists in the development of products based on their patented inventions. Using data from a 2010 national survey of 798 academic inventors listed on patents assigned to universities in 2006, our analysis shows that only 27% of the inventors were working with a company to further develop their invention for commercial use. Additionally, academic inventors who reported stronger entrepreneurial orientation, higher commercial significance of the patent, lower reliance of the patent on scientific literature, and stronger entrepreneurial disposition of their university were more likely to engage in post-patent commercial development. Our work contributes to the literature on the entrepreneurial behavior of academic scientists by further exploring a critical but relatively understudied post-invention stage of commercialization.
... A large number of papers address the interest to use citations. See for instanceTrajtenberg, 1990;Almeida, 1996;Carpenter and Narin, 1983;Narin et al., 1997.;Harhoff et al., 1999;Hall et al, 2005. ...
... Non-patent citations have been used to identify and assess the relationship between science (i.e., basic research) and industry (i.e., technology) through technological indicators (Narin, Hamilton & Olivastro, 1997;Carpenter, Cooper & Narin, 1980;Schmoch, 1993). However, the legal and economic implications of patent applications make citing motivations in these documents different from those in academic publications (Thelwall & Kousha, 2015). ...
Preprint
Full-text available
Patents are key documents to support the commercial exploitation of inventions. Patent documents must claim inventiveness, industrial application, and novelty to be granted and may use citations and URLs to support these claims as well as to explain their ideas. Although there is much research into the citations used to support inventions, almost nothing is known about the cited URLs. This may hinder inventors and evaluators from deciding which URLs are appropriate. To investigate this issue, all 3,133,247 patents granted by the United States Patent and Trademark Office (USPTO) from 2008 to 2018 were investigated, and 2,719,705 URLs (patent outlinks) were automatically extracted using heuristics, and analyzed using link analyses techniques. A minority of patents included URLs (17.1%), with the percentage increasing over time. The inclusion of URLs differs between disciplines, with Physics (especially the subcategory Computation) having the most URLs per patent. Patents are generally embedded in the “other citations” patent section (referring to academic publications) and the “description” section (e.g., supplementary information and definitions). Online content-oriented resources (e.g., Wayback Machine, Wikipedia, YouTube), academic bibliographic databases (e.g., IEEE Xplore, Microsoft Academic, PubMed, CiteSeerX) and technological companies (e.g., IBM, Amazon, Microsoft) are often linked from USPTO patents. These findings show the broad roles that URLs can play when supporting a patent claim. Finally, in order to avoid bad practices found in the inclusion of URLs in patents, a list of recommendations to cite online resources from patents is provided.
... Basic research is an important driver of invention in science-based industries (Mansfield 1998;Narin, Hamilton, Olivastro 1997). Firms search for fundamental insights to conduct wellinformed experiments and to identify promising research directions (Rosenberg 1990;Cassiman, Veugelers, Zuniga 2008). ...
Article
Full-text available
While their expertise and scientific excellence make academic star scientists attractive collaboration partners for firms, this study indicates that firms face difficulties in capturing value from collaborations with academic stars. Stars are time constrained, may be less committed to commercialization, and can be a source of undesired knowledge spillovers to other firms. The purpose of this study is to recognize the contingencies under which collaboration with star scientists is positively associated with a firm’s ability to produce valuable patents (invention performance). We analyze a panel dataset on the collaborations in basic research(publication data) and invention performance (patent output) of 60 prominent pharmaceutical firms. We find that basic research collaboration with academic stars is on average not associated with a performance premium above the overall positive influence of collaborating with academia. We only observe this premium if the star scientist abstains from simultaneous collaboration with other firms (‘dedication’) and extend her collaboration with the firm to involvenot only basic but also applied research (‘translation’). Extending prior work that has focused on corporate star scientists, we find that if the collaboration involves an internal firm star scientist, a translational contribution of the academic star is no longer a prerequisite, and may even be detrimental to inventive performance. Our findings inform the literatures on industry‐science links and firms’ (scientific) absorptive capacity by revealing the crucial contingencies for firms to benefit from partnering with the best and brightest among academic scientists.
... Technical progress and scientific advance are closely interlinked (Mansfield, 1995;Cohen et al., 2002). In many, if not most, sectors of the economy, new technologies are increasingly scientific in nature (Narin et al., 1997;Fleming et al., 2019). The percentage of utility patents that cite science has increased from approximately 6% in 1980 to 30 % in 2015, and the average number of citations to science per patent has increased from 0.1 to 4.4 over the same period. ...
... For example, scientific publications that are most cited in scientific literature are also more likely to be cited by patents (Ahmadpoor and Jones, 2017;Popp, 2016). In literature, scientific non-patent references (sNPRs), i.e., the references to scientific literature in patents seem to be a relevant measure of scientific publications' technological impact (Narin et al., 1997). Some researchers even believe that sNPRs are a better measure of knowledge flow from public research than patent references (Roach and Cohen, 2013). ...
... The (societal) interchange and transfer of knowledge outside of schooling subsystems constitutes the social and collaborative learning dimension (Barth, 2011). This platform extends the linear model of invention that has been utilized for decades in basic research (Narin et al., 1997). From the formal education mode that allows transdisciplinarity through a campus living lab (Zen, 2017;Zen et al., 2019), this interaction of a nonlinear innovation model collects several types of information in transdisciplinary research beyond formal education, which facilitates Mode 3 of knowledge co-creation (Grundel and Dahlström, 2016;Provenzano et al., 2016;Franc and Karadžija, 2019;Durán-Romero et al., 2020). ...
Article
Full-text available
What transforms society? Using the quintuple helix model (QHM) of social innovation, this study examines how the Okayama Education for Sustainable Development (ESD) project has transformed the local community and its people, and how this has led to global recognition. Okayama is known as a world leader in ESD and their unique approach is called the Okayama Model of ESD. This study further looks at the institutional configuration on the elements contributed to knowledge co-creation and how the key actors interacted to contribute to societal transformation through knowledge, social innovation, and institutional setting. The goal of this study is to outline the Okayama Model of ESD using the QHM lens constituted of five helices; education, politics, society, economy, and the natural environment. This study applies a qualitative research method, in which key actors who contribute most to the development of the Okayama Model of ESD are identified by content analysis and semi-structured interviews that are conducted using the life history method. The result shows that the firm ground of the political subsystem facilitates the interaction among the stakeholders in the three subsystems–education, social, and natural environment, which ultimately contributes to the joining of the economic subsystem and the initiation of the knowledge circulation process. Transformation necessitates a city-wide approach involving a network of multiple actors to collaborate for knowledge co-creation and circulation, and the establishment of a new social values system. The study revealed several key points of local action that accelerated the transformation process by helping in value creation, knowledge convergence, and system interaction, which was instilled early through all forms of education—multiple actors' interaction that shapes through the ESD project that stimulates the triangulation of mind, hearts, and hands. This way, the city of Okayama functions as a living laboratory for the Okayama Model of ESD. This situation naturally promotes Mode 3 of the knowledge co-creation system, and the principles of civic collaboration and citizen engagement developed through the Okayama Model of ESD have been elaborated in the prefecture-wide vision statement.
Article
We explored the interactions between papers and patents by studying cross-citations between journal papers and technical patents concerning CRISPR/CAS9, an emerging research topic. We found that the knowledge flow from patents to papers was weaker than that from papers to patents, while the knowledge flow of papers–papers and patents–patents were faster than that between papers and patents. From 2013 to 2017, the science cycle time (SCT) value of journal papers was 4.23, while their technology cycle time (TCT) value was 6.29. The SCT value of patents was 9.56, while their TCT value was 4.88. The science linkage value and technology linkage value between papers and patents was 82.39 and 0.012, respectively. T-tests indicated that the interaction between papers and patents was significant. Although there are many paper citations by patents, the distribution of paper citations was more scattered than patent citations by patents. Examining the paper and patent hybrid documents co-citation revealed that papers’ references contained five topics, while patents’ references contained only three.
Preprint
Full-text available
This paper investigates a structural change: the emergence of a Global Innovation System (GIS). Focusing on international knowledge flows (IKFs) we organize the network in three layers according to the type of IKF that connects the institutions: scientific collaboration, patent citation or article citation in patents. We investigate how those three layers overlap and entangle, figuring out a network of networks. We found that each layer follows a free-scale network structure associated with a self-organized system and creates an intrinsic hierarchy. The subnetwork that connects the three layers is also a free-scale network. The intertemporal analysis shows that those properties persist from 2009 to 2017.Therefore, we identified a complex network structure that is very unlike being created by a random process. This structure shows hierarchy, association with self-organized systems, robustness, and specialization, which are the fundamental aspects necessary to define a system. In the context of this analysis, that is the Global Innovation System.
Article
Employing a panel (1995–2015) of large R&D spending pharmaceutical firms, we investigate how internal basic research increases a firm’s innovative performance. We disentangle two mechanisms through which internal basic research affects technology development: (1) as strengthening of the firm’s absorptive capacity to build on externally conducted science, and (2) as a direct source of the firm’s innovation. We find that the positive relationship between internal basic research and innovation performance is significantly mediated by these two mechanisms, with the absorptive capacity mechanism relatively more important. The mediation relationships are more pronounced in recent years, with basic research as a direct source of innovation increasing in importance. This pattern is associated with a decline of corporate investments in basic research over time, and suggests that firms have adopted a more judicious and targeted approach to basic research aimed at getting more leverage out of a smaller commitment to basic research.
Chapter
The relatedness between knowledge components within the science domain is widely discussed in the economic, innovation, and management literature. The same is true for the technology domain. Yet, the relatedness between knowledge components across these knowledge domains has received considerably less attention. This chapter aims to introduce the concept of knowledge relatedness between science and technology (S&T), which have been disentangled as two distinct corpora. We approach S&T relatedness from two perspectives: content relatedness (with four indicators: similarity, complementarity, commonality, difference) and temporal relatedness. We then test our ideas with novel empirical material from the field of DNA nanoscience and DNA nanotechnology. We find that the relatedness between S&T scores relatively low, which may explain the relative lack of commercial activity in this field. In light of their indirect complementarity, we recommend that funding “bridging areas” could lead to simultaneous progress in S&T.
Article
Full-text available
How closely do academia and industry in Japan collaborate in the research process? We address this question through the window of coauthored papers. According to our analysis, there is no question that the coauthoring of scientific and technical papers between Japanese industry and academia in Japan and abroad is prevalent and has been rising over the 1981-96 period covered in this study. In 1981, 23% of all industry papers were coauthored with academia. By 1996, this had become 46%. This rise has been enough to overtake the percentage of industry articles authored within the firm, which fell from 70% to 43% over this period. Our analysis provides evidence that there is indeed a strong and increasing research interaction between industry and academia in Japan.
Article
Well-functioning markets for technology (MFT) allow inventors to sell their inventions to others that may derive more value from them. We argue that the growing use of science in inventions enhances MFT. Science-based inventions have higher gains from trade and lower transaction costs. This relationship is amplified in equilibrium because science-based inventions are also likely to feature smaller inventors with a greater propensity to trade. Using large-scale data, we show that patents citing science are more likely to be traded, especially for novel patents and for smaller inventors. We conclude that the growing use of science in invention is beneficial by encouraging the expansion of MFT and supporting a division of innovative labor. This paper was accepted by David Simchi-Levi, entrepreneurship and innovation.
Article
Disruptive technology has profoundly affected the market environment and business patterns. Traditional and emerging industries are willing to adopt it to nurture their innovation activities and achieve competitive advantage. However, traditional technological innovation theory cannot give accurate guidance because of the peculiarities of disruptive technology. Thus, in this study, we explore the diffusion mechanism of radio-frequency identification (RFID) technological innovation from the perspective of disruptive innovation. We implement maximum likelihood fitting methods and the goodness-of-fit test to analyse the network’s degree distribution characteristics through evolution. Results illustrate that the connection mechanism changes through the evolution process. In particular periods, preferential attachment does not work. Dominant technologies will lose their position with the emergence of disruptive technologies, hence replaced by them. The findings will provide practical suggestions to firms in facilitating their strategic decision-making when faced with disruptive technologies.
Article
Scientific research is an essential stage of the innovation process. However, it remains unclear how a scientific idea becomes applied knowledge and, after that, a commercial product. This paper describes a hypothesis of innovation based on the emergence of new research fields from more mature research fields after interactions between the latter. We focus on graphene, a rising field in materials science, as a case study. First, we used a co-clustering method on titles and abstracts of graphene papers to organize them into four meaningful and robust topics (theory and experimental tests, synthesis and functionalization, sensors, supercapacitors and electrocatalysts). We also demonstrated that they emerged in the order listed. We then tested all topics against the literature on nanotubes and batteries, the possible parent fields of theory and experimental tests, as well as supercapacitors and electrocatalysts. We found incubation signatures for all topics in the nanotube papers collection and weaker incubation signatures for supercapacitors and electrocatalysts in the battery papers collection. Surprisingly, we found and confirmed that the 2004 breakthrough in graphene created a stir in both the nanotube and battery fields. Our findings open the door for a better understanding of how and why new research fields coalesce. Peer Review https://publons.com/publon/10.1162/qss_a_00193
Article
Lithium-ion batteries' scientific and technological innovation is a hotspot in the energy storage field. Scientific knowledge has a significant effect on technology innovation in lithium-ion batteries. Understanding how science contributes to the technology in the lithium-ion battery domain could make better use of scientific knowledge to promote technology innovation. Previous studies about lithium-ion battery innovation have provided valuable suggestions while they did not explore how science contributes to the technology in the lithium-ion battery domain. Moreover, most previous studies about relationships between science and technology ignored multi-step indirect citations, which might have caused information loss. Therefore, this study uncovers the knowledge contribution from science to technology in the lithium-ion battery from a more comprehensive view by proposing a paper-patent knowledge genetic model and related indexes which could measure the knowledge contribution effect of both direct and multi-step indirect citations. The findings are: (1) In the lithium-ion battery domain, the indirect citation relationships from science to technology contain information, and they should be noticed. The total knowledge contribution range of science to technology is twice the direct knowledge contribution range, and the total knowledge contribution strength is five times the direct knowledge contribution strength; (2) In the lithium-ion battery domain, the knowledge contribution of science to technology is mainly concentrated within five steps of the knowledge flow. When consulting relevant materials related to scientific papers, patent applicants or patent examiners can obtain data collections of relevant papers through the five-step snowball sampling method to avoid information redundancy and guarantee relatively sufficient reference materials; (3) This study unearthed the top ten papers ranked by total knowledge contribution strength. Most papers are generally highly recognized by the academic community, and most are easily ignored by the traditional method. The knowledge contribution strength index can be used to evaluate papers and predict significant award winners in the lithium-ion battery domain.
Article
Design-based strategies are becoming as important in corporate competitive approaches as technology-based strategies, and accordingly, design patents have emerged as a mechanism for capturing technology opportunities. The text data of the design patent are not only simpler than the complex text structure of the utility patent but also clearly explain the application and design characteristics of the invention. Therefore, design patents have high value as an innovation database that can be complemented with utility data. Despite the potential of design patents as a source of technology intelligence, however, most studies on capturing technology opportunities have focused on utility patents. Therefore, this study proposed an approach to investigate new design concepts using design patents, and it employed the approach in the case of a future mobility door. More specifically, we first identified valuable design concepts within the target field (i.e., vehicle doors) and reference field (i.e., oven doors) to be applied to the target object (i.e., future mobility door), and we prioritized the ideas by technology- and user value-related criteria. Then, the highly-prioritized ideas were provided with the experts in the automobile industry to verify the effectiveness of the proposed approach. The research outputs are expected to contribute to the development of product design concepts in a company by helping to discover technology opportunities with reference to the designs in other industries as well as within the target industry.
Chapter
Any open innovation business model must consider the relationship between value creation and value acquisition of all participants in the value network. Based on Chesbrough’s point of view, this paper reviews the literature on the value creation and value acquisition mechanisms under the open innovation model, and summarizes the following five aspects: the dominant logic of corporate technological innovation; the possession system of open innovation; open innovation Innovative organizational model; value network of open innovation; relationship between open innovation and performance; creation and transfer of organizational knowledge. On this basis, the future research direction is proposed: the innovation mechanism of small and micro enterprise teams under open innovation, and the future research prospects are proposed from five aspects.
Article
This study examines the relationship between interdisciplinarity in knowledge integration (interdisciplinarity) for research and the extent to which the research serves as a unique knowledge input for technology development. To understand the role of the funding allocation therein, we additionally examine how research funding allocation shapes this relationship. To this end, we develop a simple bibliometric method to measure the uniqueness of research impact on technology development by using paper-patent citation network information. Our analysis of the metadata of over 0.7 million journal papers published in 2010 shows that the interdisciplinarity of research is positively associated with uniqueness in its contribution to technology development only when the research has funding support. We also find that interdisciplinarity in knowledge integration is positively associated with the non-unique impact of research on technology development regardless of funding support. Our findings suggest that interdisciplinary research may serve as a unique knowledge source for technology development, while the funding allocation process functions as an institutional instrument for selectively supporting interdisciplinary research that could have a unique technology impact. We discuss implications for science policymakers, research evaluators, and technology firms.
Article
Applying a within-firm perspective to the topic of the division of innovative labor, I explore the organization of scientific discovery at the firm level — specialized or integrated with invention. Using data on inventors and authors related to U.S. publicly-traded science-performing firms for the period 1980–2015, the paper deepens our understanding of the determinants and the tradeoffs associated with the strategic choice of scientific discovery organization. I show that integration is related to a tradeoff between short-term applied R&D and long-term fundamental R&D; while integration is beneficial for invention, it has adverse effects on its scientific output, which decrease invention in the long run. The negative relationship between integration and publication reduces the direct increase in patents due to integration by approximately 90%. To better understand firms’ R&D organizational choice, I present internal and external factors that have implications on the benefits and costs associated with integration: reliance on science, stage of technology, external market for technology, and R&D spillins. Finally, I present consistent implications in terms of market value and show that value creation is related to organizational structure.
Article
Background: Open Access aims at improving the discovery, access and re-use of research not only within the scientific community, but also within broader society, for instance to promote innovation in industry. Yet, the extent to which openly available scientific work impacts technological inventions remains largely unknown. Methods: We combine publicly available data sources about patents and scholarly publications to explore the extent to which Open Access scientific literature is cited in patents. Results: Investigating over 22 million patent families indexed in Google Patents between 2010 and 2020, we found that around one third referenced non-patent literature. However, the number of references per patent family can vary considerably across technological sectors and inventor countries. Based on a sample of 215,962 scientific non-patent references published between 2008 and 2020, we determined the Open Access status using Unpaywall , Europe PubMed Central and arXiv . The proportion of Open Access citations grew over the years, with nearly half of cited articles being openly available. Discussion: In line with research on both technology-science linkage and Open Access, we found considerable country- and subject- specific variations. In particular, patents representing inventions from the US and the UK cited Open Access work disproportionately more often, although it is challenging to link these observations to specific science policies and incentives. We recommend that follow-up research and monitoring exercise take advantage of a growing evidence base associated with patent citations and Open Access evidence.
Article
Existing literature shows the benefits of firm‐university collaborations. Yet, it has overlooked factors that mitigate concerns with outgoing knowledge spillovers associated with this form of external knowledge sourcing. This study argues that the deterrent effects associated with intrafirm collaborations make a firm more likely to form co‐authorship linkages with a university when its corresponding R&D unit exhibits a higher degree of intrafirm collaboration linkages, especially when that university maintains more linkages with rivals. Analysis at the firm unit‐university‐year level using data on co‐authorship linkages between 157 pharmaceutical firms and the top 400 global universities during a 25‐year period supports these propositions. This study advances research on knowledge sourcing by showing the role of internal collaborations in enabling external knowledge sourcing. A firm whose employees co‐author scientific articles with university‐affiliated researchers gains access to external knowledge it can build on to create innovations. But, these collaborations with academia can also produce knowledge spillovers benefiting rivals, thereby undermining a firm's efforts to protect its knowledge. Using data from the pharmaceutical industry, this study shows that, because collaboration between inventors in a firm's R&D unit with inventors in other units helps protect that firm's knowledge, a firm creates more co‐authorship linkages with a university when its respective R&D unit exhibits higher levels of internal collaboration with other units. This effect underscores the role of internal collaboration in helping a firm boost innovativeness via external collaboration with universities while mitigating concerns with the erosion of knowledge protection. This article is protected by copyright. All rights reserved.
Chapter
The aim of this work is to understand the processes of generation and mobilization of scientific and applied knowledge in health services to solve the health problems of the population. The study analyzes the scientific and inventive capacities of the 13 National Institutes of Health (NIH) as creators and users of knowledge.
Article
Selecting the right collaboration partner is one of the most important contributors to success in collaborative innovation. Accordingly, numerous methods for selecting an appropriate partner have been developed to guide would-be collaborators in their search. Most rely on bibliographic information, which may be easier for that data is readily available and relatively normalized. However, with the benefit of today’s text mining and fusion techniques, it is possible to mine the content of papers and patents so as to result in far more nuanced and advantageous choices. In this article, we explore how to select partners for collaborative innovation by combining the characteristics of the authors of paper and patent documents as well as their content. Drawing on existing research, we developed a systematic framework that relies on topic analysis and link prediction. With a corpus of papers and patents assembled, the framework extracts correlated scientific and technological topics followed by a list of author institutions and a list of patentees. These organisations are parsed and evaluated using two indicators of innovation—capability and openness—to result in two separate ranked lists. Two integrated collaboration networks that include both author institutions and patentees are then built, and a link prediction method identifies missing links with a high likelihood of fruitful cooperation. A case study on hepatitis C virus research shows that the ranking procedure and the link prediction method can be used either together or separately to effectively identify collaborative innovation partners. Our results provide significant quantitative evidence for policymakers who are looking to foster cooperation between research institutions and/or high-tech enterprises. Our research may also serve as the basis for further in-depth research on collaborative innovation, R&D cooperation, and link prediction theories and methods.
Article
Building on the theories of knowledge recombination, we argue that the external acquisition of technologies acts as a boundary spanning mechanism that impacts on the recipient firm’ subsequent technology development. The effect is moderated by two additional mechanisms, namely the retention of star scientists and the experience in upstream strategic alliances. We tested our hypotheses on a sample of 6208 USPTO patented technologies acquired by 350 biotechnology firms over the period 1980–2012. Findings reveal an inverted U-shaped effect of the pioneering nature of the acquired technology on firm's subsequent developments, in terms of (self) citations of firm's subsequent patents to the acquired one. Moreover, the main relationship is negatively moderated by the retention of star scientists, while the experience in upstream alliances demonstrates to be a positive moderator.
Chapter
This chapter is presenting the relationship between trust and the attitudes toward knowledge sharing among students from Polish universities. The self-reported survey was used to gather data from 434 students from three universities in Poland. The obtained results confirmed that trust is an antecedent of the students’ knowledge-sharing attitudes. The trust dimensions that are adopted from the ABI model (such as ability, benevolence, and integrity) affect the attitude differently. The strongest predictor of attitudes toward knowledge sharing among students is integrity-based trust. This study contributes to both the knowledge-management research and the knowledge sharing in the student-to-student context. This chapter has practical implications for individual performance and provides recommendations for employers on important aspects of trust and knowledge sharing (such as a newcomer’s experiences and expectations toward an employer and the cultural differences in knowledge-sharing behavior).
Chapter
Baccharis species are well known for their secondary metabolites used in the treatment of several diseases and for having great potential of use in various industries. In order to identify the current status of innovation in which species of this genus are found, an assessment on scientific and technological productions was carried out, as well as on the collaboration of those involved in the generation of scientific knowledge and/or in the production of products and processes. This analysis aimed to measure the contributions of science and technology to society. As of December 2019, about 991 articles and 223 patents on the genus Baccharis were registered. Brazil, which harbors a great diversity of species of this genus (178 species), stands out in the number of published scientific articles (45.22%). Moreover, the United States with 21 native Baccharis species excels as the country with the highest number of patents for products and processes of this genus (48.02%). Nonetheless, it is worth mentioning that the majority of patents are not for Baccharis species from this country. When analyzing the species found in patents and scientific articles, the presence of 21 species of common interest was observed, mostly associated with the biological activity of their secondary metabolites. Baccharis patents are focused on the production of drugs for various medicinal applications. Although some scientific articles also deal with this topic, the authors focus on the chemical analysis of different species of Baccharis. Among the 401 inventors and 100 authors, only four turned out to be both patent filers and authors of scientific articles. These findings indicate a great difference between the production of articles and patents on Baccharis, which consequently, may represent a loss in economic development and performance, and international competitiveness.
Chapter
Many studies have proven the relevance of patent characteristics to predict firms’ economic returns. The most studied ones concern the (technological, scientific or radically new) type of knowledge embedded into the patents; the technological impact on society, measured by the forward citations; the economic value attributed by the firms to the patents, measured by their renewal and, more recently, the closeness of the patent to the firm’s technological profile. We build on this literature, focusing on a less studied topic, the characteristics associated to the academic patents held by firms and the profit stream generated by these assets. We empirically examine these research issues using longitudinal data from a cross-industry study of 712 units of observation over a recent 10-year period (1996–2007). The paper focuses on the units’ idiosyncratic effects and the heterogeneous impact of the academic patents. We analyse the effect of academic patents characteristics with a one- and a three-year time lag structure, following the literature indication that academic patents can show a different impact at medium-long term. Contrary to previous findings, what matters for academic patents to improve firms’ economic performance both at short and at long term is not their radicalness or explorative nature, but the stock of technical and scientific knowledge on which inventions are based, measured through the backward citations to patent and non-patent literature and the closeness to firm’s core technologies, in which companies have good competences and invest more resources. These results open the way to more in-depth analyses.
Preprint
Full-text available
The unit of analysis of this paper is an international knowledge link (IKL), a knowledge flow that leaves a trace and connects two nodes – different institutions, firms and universities, in different countries. We present and analyze 17,240,834 international knowledge links (data from 2017). These international knowledge links form three basic networks. These three international layers overlap and interweave, forming a network of networks. The contribution of this paper is the identification and preliminary analysis of this overlapping and intertwinement. These networks are robust and their properties suggest a hierarchical structure of a multilayer network that is asymmetric. These networks are interpreted as new layers of innovation systems, with implications for the dynamic of innovation – a reorganization of different levels of innovation systems, now a more complicated structure with interaction between local, sectoral and national levels, as well as these overlapping international networks.
Article
Student participation in undergraduate research (ugr) may be influenced by interest in research, future career and educational plans, perceived value of undergraduate research experiences, or perceived competence in research skills. The purpose of this study was to develop a questionnaire that could be used to validly and reliably assess students' perceived value of undergraduate research and perceived confidence in their research skills. Undergraduate student participants ranged in age from seventeen to fifty-two years. Respondents were predominantly female, white, and nonparticipants in ugr. Thirteen items were generated. The internal structure of the instrument was established by extracting two latent constructs using exploratory factor analysis. The cumulative percentage of variance explained by the constructs was approximately 55 percent. Results from the confirmatory factor analysis corroborated the internal structure of the instrument. The most parsimonious model was a twelve-item, two-factor solution with adequate fit. Reliability estimates were generally above 0.80. Initial assessment of the psychometric properties of the Inventory of Student Experiences in Undergraduate Research suggests that it may be a viable tool for undergraduate research programs to use in assessing the results of efforts to increase the value of ugr as well as student confidence in their own research skills.
Article
This study captures the origin and pattern of foreign knowledge inflows to the Indian IT services industry using patent citation data. It examines the patterns of backward patent citations by the US origin and non-US origin foreign IT services firms operating in India using the USPTO patent citation data from 2013 to 2017. To analyze the citing patterns of firms, we classified backward citations into two categories: self-citations and non-self-citations. Our study finds that patents granted to the US origin firms hold a relatively higher number of backward citations and a higher average number of inventors. It indicates that the Indian IT services industry receives more complex technology inflows from the US origin firms compared to non-US origin firms. It also shows a positive relationship between self-citations and lowers patent grant lag. Further, this study suggests that more self-citations by the US origin firms reinforce more patents that develop a patent cycle for a firm. Therefore, the US origin firms in the Indian IT services industry dominate in patenting activities at USPTO.
Article
Full-text available
The absence of a dominant design can impede the diffusion of environmental technologies. A certain degree of standardization is necessary so that firms are able to focus on process innovations that make the technology accessible to the masses. In this context, this paper analyses how technological centrality and home bias in the innovation process influence the emergence of dominant designs in the mobility sector. An analysis of over 5000 electric-vehicle innovations shows that technological centrality hinders a dominant design from emerging. However, a bias in favor of innovations from the home continent mitigates this negative effect. Thus, innovations from East Asia do not consider European and U.S. innovations and vice versa. East Asian firms are different from both European and North American firms in how home bias affects the emergence of dominant designs. In East Asia, home bias has more impact on the emergence of dominant designs for central technologies than in other continents, while it has less impact for other technologies. Home bias is hence not only a firm-level mechanism, but also a helpful construct for the study of innovation systems. A lack of international standard cooperation might further influence future managerial and governmental decisions fostering developments towards cleaner technologies.
Article
Full-text available
CHI Research's early work on the citation linkage between patented technology in the USA, and the underlying research science base using 1987/88 US patents has been massively expanded to include citations from 1993/94 US patents, and an analysis of the cited US papers and the agencies supporting them. There is a very strong within-country component to the linkage: inventors in the US system cite their own country's papers approximately three times as often as would be expected, when adjusted for the size of the country's science. The linkage is strongest in the highly scientific areas of technology, and is quite subject specific. Over the six years separating the studies, there has been a remarkable three-fold increase in linkage. A large fraction of these papers cited in patents originate in the US university system, and are supported by US research support agencies.
Article
Tokyo—Science is set to grow faster in 1997 than most other government activities, as a draft budget shows an 8% increase for basic science programs. That's in line with a 5-year plan adopted last summer to use science and technology as an economic driver.
Article
Investing in technology is investing in America's future: a growth economy with more high-skill, high-wage jobs for American workers; a cleaner environment where energy efficiency increases profits and reduces pollution; a stronger, more competitive private sector able to maintain U.S. leadership in critical world markets; an educational system where every student is challenged; and an inspired scientific and technological research community focused on ensuring not just our national security but our very quality of life. American technology must move in a new direction to build economic strength and spur economic growth. The traditional federal role in technology development has been limited to support of basic science and mission-oriented research in the Defense Department, NASA, and other agencies. This strategy was appropriate for a previous generation but not for today's profound challenges. We cannot rely on the serendipitous application of defense technology to the private sector. We must aim directly at these new challenges and focus our efforts on the new opportunities before us, recognizing that government can play a role helping private firms develop and profit from innovations.
Article
The set of technological opportunities in a given industry is one of the fundamental determinants of technical advance in that line of business. We examine the concept of technological opportunity and discuss three categories of sources of those opportunities: advances in scientific understanding and technique, technological advances originating in other industries and in other private and governmental institutions, and feedbacks from an industry's own technological advances. Data from the Yale Survey on Industrial Research and Development are used to measure the strength of various sources of technological opportunity and to discern interindustry differences in the importance of these sources. We find that interindustry differences in the strength and sources of technological opportunities contribute importantly to explanations of cross-industry variation in R&D intensity and technological advance.
Article
A status report is presented on indicators of the linkage between technology, as characterized by granted U.S. patents, and science as characterized by the “Other references” cited on the front page of those patents. It is shown that these other references have increased threefold in recent years from fewer than one-third per patent in 1975 to more than one per patent in 1989. These science linkages occur most heavily in pharmaceutical, chemical and electronics patents; the cited science is youngest in electronics and pharmaceuticals with a median age of three to four years, similar to the age of research papers cited in other research papers. The cited science varies significantly for patents in the different major countries, at least partially reflecting the national differences in technological emphasis, including the strong electronic emphasis for Japanese patenting, and the U.S. and U.K. strengths in pharmaceuticals.
Article
This study presents, for the first time, an empirically tested estimate of the extent to which technological innovations in various industries have been based on academic research. The analysis also estimates the time lags between the investment in the academic research projects and the industrial utilization of their findings. A random sample of 76 major American firms in seven manufacturing industries - information processing, electrical equipment, chemicals, instruments, drugs, metals, and oil - was used. Each firm's top R&D executive was asked about the proportion of the firm's new products and processes commercialized in 1975-1985 that, according to these executives, could not have been developed without academic research done within fifteen years of the first introduction of the innovation. Differences in the percentage of such innovation can be explained by R&D intensity; more R&D-intensive firms are more likely to carry out innovations based on recent academic research. The study reveals that about 11 percent of the new products introduced in these industries in 1975-85 were based in recent academic research. In order to establish the economic importance of these products, data from each firm were examined concerning the 1985 sales of its new products first commercialized in 1982-85 that were based on academic research, revealing the total of about $24 billion for these seven industries. The time lag between academic research findings and the commercialization of the products based on these findings has a mean of about 7 years. The research calculated the social rate of return from investment in academic research by comparing the stream of social benefits from this investment with what it would have been without the investment. Overall, the results reveal that the contribution of academic research to industrial innovation has been particularly strong in the drugs, instruments, and information processing industres. (AT)
Basic science spending to jump in 1997. Sci. 275, 21
  • D Normile
  • N Rosenberg
  • L E Birdzell
  • Jr
Normile, D., 1997. Basic science spending to jump in 1997. Sci. 275, 21. Rosenberg, N., Birdzell, L.E. Jr., 1990. Science, technology and the Western miracle. Scientific American 263 (5), 42-54.
What drives the engines of innovation?
  • J Tumey
Tumey, J., 1991. What drives the engines of innovation?. New Scientist 40.
Citation Linkage Report: 1993-1994. Work supported by NSF Grant No. SRS-941 1378 and NSF Contract No. SRS
  • F Narin
  • K S Hamilton
  • D Olivastro
Narin, F., Hamilton, K.S., Olivastro, D., 1996. Citation Linkage Report: 1993-1994. Work supported by NSF Grant No. SRS-941 1378 and NSF Contract No. SRS-9301 815.
Aero and Space Admin. 255 Nat'l. Aero and Space Admin
  • Nat
Nat'l. Aero and Space Admin. 255 Nat'l. Aero and Space Admin. 120
Houston 7970 Nat'l. Science Foundation 4493 Nat'l. Inst. ofGen'l. Med
  • Univ
Univ. Houston 7970 Nat'l. Science Foundation 4493 Nat'l. Inst. ofGen'l. Med. Sciences 4334 Dept. of Energy 4057 Navy 2294 Nat'l. Cancer Inst. 2131 Petroleum Research Fdtn. 281
Allergy and Infectious Dis. 94 591 Advanced Research Projects Agency 85 591 Sloan Foundation 83 510 Am
  • Nat 'l
  • Inst
Nat'l. Inst. Allergy and Infectious Dis. 94 591 Advanced Research Projects Agency 85 591 Sloan Foundation 83 510 Am. Cancer Soc.
Science Foundation 4493 Nat'l. Inst. ofGen'l. Med. Sciences 4334 Dept. of Energy 4057 Navy 2294 Nat'l. Cancer Inst. 2131 Petroleum Research Fdtn. 281 2104 Nat'l. Inst. of Health (gen
  • Nat
Nat'l. Science Foundation 4493 Nat'l. Inst. ofGen'l. Med. Sciences 4334 Dept. of Energy 4057 Navy 2294 Nat'l. Cancer Inst. 2131 Petroleum Research Fdtn. 281 2104 Nat'l. Inst. of Health (gen.) 267
of Gen'l. Med. Sciences32 Nat'l. Heart, Lung and Blood Inst
  • L Nat
  • Inst
Nat'l. Inst. of Gen'l. Med. Sciences32 Nat'l. Heart, Lung and Blood Inst. 30
Department of Commerce, Manual of Patent Examining Procedures
  • Trademark Patent
  • U S Office
Patent and Trademark Office, U.S. Department of Commerce, Manual of Patent Examining Procedures, Section 904.02, 6th edition, 1995.
What drives the engines of innovation?
  • Turney
Citation Linkage Report: 1993–1994
  • Narin