1. © Fraunhofer ISI Ulrich Schmoch, Nicole Schulze MATCHING OF AUTHORS AND INVENTORS A NEW APPROACH CONTRIBUTION TO THE ESF-APE-INV 2ND „NAME GAME“ WORKSHOP – MADRID, 9-10 DECEMBER 2010 © http://www.kunstlinks.de http://www.kunstlinks.de

2. © Fraunhofer ISI Seite 2  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” Application of patents originating in universities

3. © Fraunhofer ISI Seite 3  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

4. © Fraunhofer ISI Seite 4  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 Specific approach of Fraunhofer ISI

5. © Fraunhofer ISI Seite 5 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 criteria between authors and inventors

6. © Fraunhofer ISI Seite 6  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: Priority year 1999 Limitation on time (2005 to 2007) and HEIs

7. © Fraunhofer ISI Seite 7  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: Priority year 1999 Limitation on region and field

8. © Fraunhofer ISI Seite 8 Priority year 1999 and Limitation on Publication Period

9. © Fraunhofer ISI Seite 9 Time Series with different Matching Criteria

10. © Fraunhofer ISI Seite 10 Time series with different periods

11. © Fraunhofer ISI Seite 11 Technical fields of French academic patents

12. © Fraunhofer ISI Seite 12  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

13. © Fraunhofer ISI Seite 13 Thank you for your attention!!