Academic patenting in Europe: new evidence from the KEINS database Francesco Lissoni (Università di Brescia & CESPRI-Università Bocconi) European Universities Learning to Compete June 12, 2008, Stockholm

2 Sources Lissoni F., Llerena P., McKelvey M., Sanditov B. (2008), “Academic Patenting in Europe: New Evidence from the KEINS Database”  IN THE BOOK  Data on France, Italy and Sweden Lissoni F., Nuvolari A., Tartari V., “Academic patenting in the Netherlands”, not-yet-a-draft

3 Outline 1.Motivation: re-assessment of academic patenting phenomenon in Europe 2.Academic inventorship and the KEINS database: origin and methodology 3.Academic patenting in Sweden in an international perspective 4.Summing up and research questions from 3. 5.More research questions

4 Repeal of Hochschullehrerprivileg Germany (2001 Reform of Employee Law), Austria (2002), Denmark (2000, Act on Inventions at Public Research Institutions) Introduction of Hochschullehrerprivileg Italy (2001 Legge Finanziaria) Titolarity of IPR over public funded research UK (1998; National Health Service circular), Germany (1998), Belgium (1999; Decree on Education) IPR awareness campaigns Germany ( ), Sweden (1994; jointly to creation of “Technology Bridging Foundations”), France (1999; 2001) 1. MOTIVATION: Promotion of university patenting in Europe

5 1. MOTIVATION: Is it really necessary to promote university patenting in Europe? Recent literature suggests that it may be the case that European university produce patents, but do not own them EU universities have little or no tradition of self-administration: they have traditionally left IPR management decisions in their professors’ hands, who in turn have left them in their business/govt sponsors’ hands In a few countries, professor’s priviledge tradition; almost anywhere, professors are or regard themselves as civil servants, more responsive to central government’s regulations, than to their universities’ Absence of Bayh-Dole Act + big role (in a few countries) of large national agencies  patents in government’s hands  Best way to count university patents in Europe is to look at the inventors, not the applicants  KEINS DATABASE!!!

6 2. THE KEINS DATABASE Knowledge-based Entrepreneurship, Innovation Networks and Systems in Europe, (6th FP) / Workpackage 5: Analysis of Scientific Entrepreneurship through Patent & Publications Data  KEINS database on France, Italy and Sweden Further extensions: Netherlands (done), Denmark and UK (ongoing) More extensions and updating: pending application to ESF

7 A closer look at patent documents Patent data have long been exploited by social scientists for their rich information contents: –on companies: patent counts as output measure of innovation production function (Griliches, 1990) –on technologies: studies on the (evolution of) the techno- logical contents (classification) of patents (Engelsman & Van Raan, 1994; Van Raan, 1997)classification –on knowledge diffusion: studies on patent citations, esp. in the geographical space (Jaffe and Trajtenberg, 2002) More info, previously unexploited, is now under scrutiny: –accessory info on the value of patents: licensing, litigation records (go to: – INFO ON INVENTORS 2. THE KEINS DATABASE

8 What are info on inventors useful for? 1.More accurate geographical information (most basic, used for long) 2.MOBILITY OF INVENTORS between applicants and across cities/regions (Trajtenberg et al., 2006) 3.RELATIONAL DATA: who knows whom  networks of inventors (Breschi and Lissoni, 2004) 4.NAMES DATABASE  for matching purposes: academic inventors (KEINS DATABASE; Lissoni et al., 2007)  for interview purposes (PATSTAT project) 2. THE KEINS DATABASE

9 All EPO patent applications ( ) Standardisation of company names/addresses/parent co. Company-level data (~140k organizations) Standardisation of inventors’ names /addresses + Massacrator © routine Inventor-level data set Publicaton number, priority date, IPC class, citations etc. Methodology 2. THE KEINS DATABASE

10 2. THE KEINS DATABASE INVENTOR-PROFESSOR MATCHING EXERCISE

11 3. Academic patenting in Sweden in an international perspective

Table 1. Academic inventors in France, Italy, the Netherlands and Sweden Prof.s (nr) 1 Academic inventors (nr) 2 Academic inv. (% prof.) 2 Academic inv., incl. unchecked (nr) 3 Academic inv., incl. unchecked (% prof.) 3 France , ,04 Italy , ,42 Netherl ,30-- Sweden ,557734,86 1 Professors active in 2004 (Italy, Sweden) or 2005 (France, the Netherlands) in Science, Medicine and Engineering 2 Data from checked professor-inventor matches (professors confirmed to be the inventors) 3 All records, checked and unchecked (excl. records for which professors denied being the inventors)

Netherlands : : 950

14 Table 2b. Academic inventors 1, % distribution by discipline Disciplines Sweden 2 ItalyFranceN’lands Agricultural & Veterinary3,72,90,0 7,3 Biological sciences18,317,218,621,9 Chemical sciences15,827,726,79,9 Earth sciences0,00,30,11,0 Engineering30,028,826,222,1 Math and info science1,90,92,82,4 Medical sciences22.516,820,121,9 Physical sciences7,65,45,56,3 ALL DISCIPLINES100 1 Professors active in 2004 (Italy, Sweden) or 2005 (France, the Netherlands) 2 Info on discipline is missing for 39% of Swedish academic inventors

15 Table 2b-bis. Academic inventors 1, % distribution by selected sub-discipline DisciplinesSwedenItalyFranceN’lands Biological sciences Pharmacology & pharma. biology7,93,85,3n.a. Life sciences (biological disciplines)4,711,210,7n.a. Biological disciplines (others)5,71,12,7n.a. Chemical sciences Chemistry (theoretical)10,27,54,0 n.a Organic & Industrial Chem.5,711,819,0 n.a Pharmaceutical chemistryn.a.6,73,6 n.a Engineering Mechanical & Civil eng.6,34,42,88,3 Information & Electronic eng16,814,217,7 13,8 Chemical eng.; Energy6,98,45,6 Medical sciences Life sciences (medical)8,66,910,5n.a. Medical disciplines (others)13,98,99,6 n.a.

16 Table 2a. Academic inventors as % of total professors 1, by discipline DisciplinesSwedenItalyFrance Netherla nds n.a.3,5--- Agricultural & Veterinary2,71,9n.a.3,3 Biological sciences7,04,4 3,4 Chemical sciences8,512,19,43,3 Earth sciences0,00,30,10,7 Engineering4,55,85,32,8 Math and info science0,91,60,6 Medical sciences4,62,04,22,0 Physical sciences4,72,72,51,5 ALL DISCIPLINES4,54,34,02,3

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19 APPLICANTS PATsMAIN CLASS ABB151Equipment and electrical machines Ericsson114Telecommunications Pharmacia UpJohn75Pharmacology and cosmetics AstraZeneca40Pharmacology and cosmetics Telia27Information Technologies Siemens25Medical technologies Karolinska19Biotechnologies A & Science Invest17Pharmacology and cosmetics Sandvik16Materials, Metallurgy Kvaerner Pulping13Materials treatment Top ten owners of academic patents in Sweden,

20 APPLICANTSPATsMAIN CLASS Francia CNRS220Biotech., Medical technology INSERM99Biotech., Organic Chemistry Total72Macromolecular Chemistry, Thermal Processes France Telecom55Telecommunications Cea52Surface treatments, Materials, Metallurgy Thales45Analysis, measure and control technologies, Telecommunications Rhodia40Macromolecular Chemistry, Materials, Metallurgy Universite Paris VI42Biotechnologies Adir & Co.38Organic Chemistry Institut Pasteur38Biotech., Organic Chemistry Top ten owners of academic patents in France,

21 APPLICANTSPATsMAIN CLASS ST-Microelectronicss143Semiconductors CNR111Chemistry, Materials ENI97Chemistry, Materials Sigma-Tau67Chemistry, Materials Ausimont51Chemistry, Materials Telecom Italia Gruppo33Telecommunications MIUR26Chemistry, Materials Fidia Gruppo21Pharmacology, Biotechnologies ARS Holding19Pharmacology, Biotechnologies Optical Technologies19Equipment & electrical machines Top ten owners of academic patents in Italy,

22 Top ten owners of academic patents in the Netherlands, APPLICANTSPATsMAIN CLASS Philips236Electronics Unilever98Pharmacology - Biotechnologies Leiden University73Pharmacology - Biotechnologies Utrecht University43Pharmacology - Biotechnologies AKZO43Instrumentation and Pharmacology Biotechnologies Delft University42Process Engineering University of Groningen32Pharmacology - Biotechnologies Stichting voor de technische wetenschappen (STW) 31Instrumentation and Pharmacology Biotechnologies Leadd (Leiden univ.)23Pharmacology - Biotechnologies University of Amsterdam22Pharmacology - Biotechnologies

23 Source: for France, Italy, Sweden and United States Lissoni et al. (2006).

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25 4. Summing up and research questions Does Europe really fare worse than the US in academic patenting? YES, in absolute numbers. NO, as % of overall patenting activity, esp. Sweden Does a “European model” of academic patenting exist? YES, it consists of leaving ownership largely in business companies’ hands. BUT:  things are changing: university ownership is increasing (Della Malva, Lissoni, Llerena, 2008)  the Netherlands seems to be a partial exception Ownership patterns for academic patenting are affected both by:  IPR regulations  Institutional features of academic systems  Academic scientists’ incentives to invent-for-patenting, disclose to universities, and relate to industry Stratification of universities with respect to patent portfolios

26 5. More research questions Quality of academic patenting  citation analysiscitation analysis Identity and scientific productivity of academic inventors (Breschi, Lissoni and Montobbio, 2007) Problems of inventorship attribution (Lissoni and Montobbio, 2008)

27 The value of academic patents

28 The value of academic patents