1. Profiles of Technological Capabilities of the Chinese Academy of Sciences (CAS) - Profiles of Technological Capabilities of the Chinese Academy of Sciences (CAS) - A Comparison of patenting activities of the CAS with other national level institutions Yang Zhiping The Chengdu Library of Chinese Academy of Sciences The Chengdu Library of Chinese Academy of Sciences 11 th ISSI conference June 26 2007 Madrid Spain

2. Intruduction  How does CAS compare to the other institutions having the similar national duty function in terms of patent activities?  What are the patenting strategies of three institutions distributed in the world?  What are the inventive features among three institutions, especially for CAS?  What have been the technology accumulation and invention fields in the last fifteen years?  What were patterns of cross-sectoral collaboration in technology innovation?

3. Intruduction  The Chinese Academy of Sciences(CAS)  France National Center for Scientific Research(CNR)  Max Planck Society(MPS)  Based on the part report of CAS annual patent analysis.

4. Date source and search strategy  Derwent Innovations Index (DII)  Derwent patent assignee codes, complex search queries.  CAS: all possible English names, synonyms as well as abbreviations of the CAS including its affiliated institutes and companies as retrieval terms.  CNRS and MPS: assignee codes, CNRS and PLAC; possible English name spellings.

5. Data time and others  Derwent patent basic year: 1990 to 2004  According to the introduction of DII database, basic patent means the first member of a patent family, while this member is not necessarily published before all other members, normally a basic patent is the first patent record cited into Derwent World Patents Index(Derwent Analytics VantagePoint User Guide 2003).  Thomson Data Analyzer(TDA) and other self- developed analysis software

6. 1 、 Comparison of patent families of three institutions 1 、 Comparison of patent families of three institutions 2 、 Analysis of distribution of technology activities of three institutions 3 、 Analysis of Patent collaboration of three institutions

7. Comparison of patent families of three institutions

8.  the highest increasing rate among three institutions,  the largest number of patent family members.  the lowest among three institutions.

10. 0 200 400 600 800 1000 1200 1400 1600 WOUSJPAUEPWOEPUSAUJPWOEPUSAUJP CASCNRSMPS Family Member Countries Number

11. Comparison of patent families of three institutions  The number of filing foreign countries  Filing patent in its home country  The top rank order of patent filed CNRS and MPS  World Intellectual Property Organization (WIPO), European Patent Office (EPO), United States, Australia, Japan.

12. 2 、 Analysis of distribution of technology activities of three institutions 1 、 Comparison of patent families of three institutions 2 、 Analysis of distribution of technology activities of three institutions 3 、 Analysis of Patent collaboration of three institutions

13. 2.1 Comparison of distribution of technology priorities

14. Comparison of Share of patent countries in technology fields, according to TOP 10 IPC Comparison of Share of patent countries in technology fields, according to TOP 10 IPC  Country or regional distribution of technology fields can reflect an institution intention on technology markets(Michael,2005).  Considering the research result above, we here addressed how distribution of three institutions in pharmaceutical fields was.

15. Patent codes WOEPUSJPCNAUDEFR CAS79%85%66%84%80%56%19% CNRS82% 78%81%84%73% MPS79% 77%79%84%80%

16. 2.2 Analyzing the inventive features  Derwent Manual Codes(DMC)  the technology inventive features of three institutions.

17. 1. The similar inventive activities for three institutions D05-H09(TESTING AND DETECTION) ， D05-H12E(VECTORS (1994- )) ， D05-H12A(WILD-TYPE CODING SEQUENCES) ， B04-E08(VECTORS, PLASMIDS, COSMIDS, TRANSPOSONS) ， B14-H01(ANTICANCER GENERAL AND OTHER) ， D05-H08(CELL OR TISSUE CULTURE) ， S03-E14H(INVESTIGATION METHODS FOR BIOLOGICAL MATERIAL)

19. 3 、 Analysis of Patent collaboration of three institutions 1 、 Comparison of patent families of three institutions 2 、 Analysis of distribution of technology activities of three institutions 3 、 Analysis of Patent collaboration of three institutions

20. 3.1 Comparision of the Number and Change of Patent Co-assignees Basic Pate nt Year 199 0 199 1 199 2 199 3 199 4 199 5 199 6 199 7 199 8 199 9 200 0 200 1 200 2 200 3 200 4 Tot al CAS437611538 3118544461 13 9 8152464 MPS6221521222725 18555147 10 1 16 8 11776535 CNR S 34324640324838 838698157 35 6 45 5 51 4 45 6 160 4

21. 3.1 Comparision of the Number and Change of Patent Co-assignees  The increase number of patent co-assignees  The number of the co-assignees of CAS patents  The number of the co-assignees of CNRS patents  The number of the co-assignees of MPS patents.

22. 3.2 Analysis of Top 10 Patent Co-assignees  Universities, corporations as well as research institutes.  Main technology innovation sectors.

23. 3.2 Analysis of Top 10 Patent Co-assignees  In top 10 patent co-assignees of every institution, common patenting inventive features : D05(FERMENTATION INDUSTRY), B04(NATURAL PRODUCTS (OR GENETICALLY ENGINEERED), POLYMERS), B14(PHARMACEUTICAL ACTIVITIES). The most inventive features of patent co-assignees of CAS. The limited inventive features.

24. 3.2 Analysis of Top 10 Patent Co-assignees  Seven international organizations among CAS’s top co-assignees : DOKURITSU GYOSEI HOJIN RIKAGAKU KENKYUSH, JAPAN SCI & TECHNOLOGY CORP, SHIMADZU CORP, YAMANOUCHI PHARM CO LTD, TORAY IND INC, KENT RIDGE DIGITAL LABS UNIV INST SYSTEMS SCI NAT SINGAPOR CAS ---foreign companies(especially Asia companies) CAS--- fermentation industry, natural products and pharmaceutical.

25. 3.2 Analysis of Top 10 Patent Co-assignees  Top co--assignees of CNRS: COMMISSARIAT ENERGIE ATOMIQUE, INSERM INST NAT SANTE & RECH MEDICALE, INST PASTEUR, UNIV PASTEUR LOUIS, ECOLE SUPERIEURE CACHAN LESIR, INRA INST NAT RECH AGRONOMIQUE, UNIV MONTPELLIER II, RHONE-POULENC RORER SA （ AVENTIS PHARMA SA ）, INST ROUSSY GUSTAVE. CNRS---home country sector CNRS ---natural products fields ， pharmaceutical and fermentation industry.

26. 3.2 Analysis of Top 10 Patent Co-assignees  Top co-assignees of MPS: BASF AG, BAYER AG, DEUT KREBSFORSCHUNGSZENTRUM, PLANTTEC BIOTECHNOLOGIE GMBH, FRAUNHOFER GES FOERDERUNG ANGEWANDTEN,SUGEN INC, SONY INT EURO GMBH, YISSUM RES & DEV CO, UNIV GEORG AUGUST GOETTINGEN,REGENERON PHARM INC. MPS---six companies (institutions or universities) ---home country. MPS---Others---USA, Japan and Israel. MPS ---except with BASD AG.

27. Conclusion  CNRS and MPS

28. Conclusion  CAS  Filing foreign patens in the best priority application countries.  Technology cooperation  Technology innovation field expanding and priority.

29. Thank you for your attention and time. June 26 2007 Madrid 11 th ISSI Conference