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U l r i c h S c h m o c h , N i c o l e S c h u l z e

MATCHING OF AUTHORS AND INVENTORS A NEW APPROACHC O N T R I B U T I O N T O T H E E S F - A P E - I N V 2 N D „ N A M E G A M E “ W O R K S H O P – M A D R I D , 9 - 1 0 D E C E M B E R 2 0 1 0

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University patents may be applied by Universities (35% in Germany in 2007) Enterprises (45%) Individuals (professors etc.) (21%)

=> In many cases, university patents are not applied by universities and cannot be identified in patent databases, they are “hidden”

Appl ication of patents or iginating in universit ies

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Target: Identification of university patents for about 10 countries

Identification of as much patents as possible and error rate as low as possible => Achieving a high level of statistical accuracy

Check of different criteria for accurate inclusion with accurate exclusion of errors

Generating name lists of academics by bibliometric databases as potential inventors

Match to name lists of inventors

Basics of the project

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Instead of starting with staff lists of universities beginning with author lists of university staff

Use of Scopus Availability of full first names (for a longer period

than in WoS) Linkage of each author to an institution Broader coverage of engineering than in WoS

Specifi c approach of Fraunhofer ISI

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1. Country (Authors institution, inventors address)

2. Institution/organisation (universities, HEIS)

3. Last name, (full) first name

4. Region (Postal codes)

5. Time (Publication/patent year)

6. Technical and scientific field

Matching cr i ter ia between authors and inventors

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In general year of publication about 1 year after submission, problem: many former academics patent as member of their new firm (Priority year must be at least one year before the publication year)

Here: publication year 2005 to 2007 (for comparing with benchmark set)

HEIs in France: University, université, (grande) école

Example France: Pr ior i ty year 1999Limitation on t ime (2005 to 2007) and HEIs

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Limitation on region (postal codes) proves to be efficient, in particlur with finer granulation (2 digits of postal codes better than 1 digit, 3 digits too restrictive)

Additional restriction of sample by match of technical and scientific field with minimal additional effect to regional limitation (at least for France)

Example France: Pr ior i ty year 1999Limitation on region and fi eld

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Prior i ty year 1999 and Limitation on Publ ication Period

Time

Time + Organisation

Time + Organisation + Region (1d)

Time + Organisation + Region (2d)

Time + Organisation + Region (2d) + Field Match

KEINS FR

0 500 1000 1500 2000 2500

PAT_MATCHED (2000-2002) Pat_Matched (2005-2007)

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Time Series with diff erent Matching Criter ia

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Time series with diff erent periods

1998 1999 2000 2001 2002 2003 2004 2005 20060

200

400

600

800

1000

1200

1400

1600

1800

2000

HEIs without limitation

HEIS with regional and field match

HEIS with regional and field match and 3 publ year

HEIS with regional and field match and 1 publ year

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Techn ica l fi e lds o f French academic pa ten ts

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The matching of authors and inventors leads to useful results

For an appropriate matching regional and field criteria should be combined

The regional criterion proves to be quite strong The reasons for the difference between the

Fraunhofer ISI and the KEINS dataset have to be studied in more detail

Conclusions

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Thank you for your attention!!