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Introduction In today's knowledge based systems of innovation, indicators signaling interactions between scientific and technological activities are highly relevant. Indicators derived from non-patent references (NPRs) within

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Scientometrics
Authors: Julie Callaert, Bart Van Looy, Arnold Verbeek, Koenraad Debackere, and Bart Thijs

Summary  

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

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Abstract  

Since the pioneering studies of Carpenter & Narin (1983), and Narin & Noma (1985), non-patent references (NPRs) in patent documents have been widely used as an indicator of science-technology links. Meyer (2000) reviewed previous work in the patent citation literature and found that citation links between patents and papers are, if not explicitly, at least implicitly viewed as an indication of the contribution of science to technology. Using a sample of 850 patents of New Zealand companies granted by the USPTO between 1976 and 2004, we find evidence of systematic noise in NPR data. We suggest that future research should pay close attention to heterogeneity among countries, and that one should demonstrate more caution in applying and interpreting results based on the NPR methodology.

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). Citations have commonly been used to observe the innovation process and are another way to observe the use of public research in firm R&D. A patent document contains the information of citations to patents or non-patent references. The information represents

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; Marco 2005 ; Cremers 2009 ) 10. No. of Non-Patent Reference (Deng et al. 1999 ; Hirschey and Richardson 2001 ; Harhoff et al. 2003 ; Hirschey and Richardson 2004

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Abstract  

A unification of more than one million non-patent references (NPR's) on the front pages of U.S. and EPO patents has been carried out, with a subsequent match to theScience Citation Index (SCI), in order to investigate the citation linkage between patented technology and the scientific research literature. The U.S. system shows an extremely rapid increase in linkage, with citations from U.S. patents to U.S. authored papers increasing more than three-fold over the last decade. The EPO system does not show any increase; the occurrence of non-patent references appears to be relatively constant in the EPO system over the last decade. In the U.S. system approximately 75 percent of the cited papers originate in public science institutions, showing large dependence of patented industrial technology on public science. We expect to find similar result in the EPO system.

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Scientometrics
Authors: Joaquín Azagra-Caro, Ignacio Fernández-de-Lucio, François Perruchas, and Pauline Mattsson

Abstract  

Most studies of patents citations focus on national or international contexts, especially contexts of high absorptive capacity, and employ examiner citations. We argue that results can vary if we take the region as the context of analysis, especially if it is a region with low absorptive capacity, and if we study applicant citations and examiner-inserted citations separately. Using a sample from the Valencian Community (Spain), we conclude that (i) the use of examiner-inserted citations as a proxy for applicant citations, (ii) the interpretation of non-patent references as indicators of science-industry links, and (iii) the traditional results for geographical localization are not generalizable to all regions with low absorptive capacity.

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Abstract  

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.

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Abstract  

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.

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Abstract  

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

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