© fraunhofer isi ulrich schmoch, nicole schulze matching of authors and inventors a new approach...
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© Fraunhofer ISI
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 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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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