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KNOWINNO - Making the most of knowledge
Innovation in services: the role of
R&D and R&D policy (INNOSERV)
Second expert meeting
OECD, Paris 20-21 March 2012
Valentine Millot OECD/STI/EAS
Patent and trademark-based indicators
of service innovation
Motivation
• Advantages of IP- based innovation indicators:
– Quantitative indicator
– Exhaustive
– Comparable across time
– Available for all countries
– Publicly available
• Patents extensively used to measure manufacturing and technological innovation. Less appropriate for service innovation, but they can bring some information notably regarding ICT activities
• Trademarks are used in all sectors of activity. Key protection strategy in service firms. But the link with innovation is not straightfoward.
Methodological considerations
• Two possible approaches of service innovation can be adopted:
– Sector, looking at innovation in service firms
– Activity, looking at service innovation across sectors
• In the sector approach, 2 methodologies are possible:
– Concordance between technological classes/classes of products and economic activities
• Patents: Schmoch et al. 2003
• Trademarks: to build
– Matching microdata of IPR and firm-level databases, based on the applicant name
• General issues:
– Cross-country comparison (triadic patents,…)
– Link with innovation
Patenting activity by sector
• Patents from service firms not negligible: in Ireland, Poland and UK, more than 50% of patents come from firms in business service sector
0
25
50
75
100
IRL POL GBR CHE BEL FRA ESP USA NOR AUT SWE DNK CAN CZE NLD PRT DEU ITA ISR JPN FIN CHN
%
Patent applications by sector, 2007-09
Business sector services, excluding real estate
High- and medium-high-technology manufactures Medium-low-technology manufactures
Other sectors
Source: OECD calculations based on the Worldwide Patent Statistical Database, EPO, April 2011; and ORBIS© Database, Bureau van Dijk Electronic Publishing, December 2010; matched using algorithms in the Imalinker system developed for the OECD by IDENER, Seville, 2011.
Note: USPTO and EPO patent applications.
Patenting activity by service sector
Source: OECD calculations based on the Worldwide Patent Statistical Database, EPO, April 2011; and ORBIS© Database, Bureau van Dijk Electronic Publishing, December 2010; matched using algorithms in the Imalinker system developed for the OECD by IDENER, Seville, 2011.
Note: USPTO and EPO patent applications. Sample restricted to firms with between 20 and 250 employees
0% 5% 10% 15% 20% 25% 30% 35%
Air transport
Water transport
Insurance and pension funding, except compulsory social security
Land transport; transport via pipelines
Supporting and auxiliary transport activities; activities of travel agencies
Renting of machinery and equipment
Hotels and restaurants
Financial intermediation, except insurance and pension funding
Activities auxiliary to financial intermediation
Sale, maintenance and repair of motor vehicles; retail sale of automotive fuel
Post and telecommunications
Retail trade; repair of personal and household goods
Computer and related activities
Wholesale trade and commission trade
Other business activities
R&D
USPTO and EPO patent applications 2007-09 by service sector (Nace Rev. 1)
Service sector patents by IPC classes
Source: OECD calculations based on the Worldwide Patent Statistical Database, EPO, April 2011; and ORBIS© Database, Bureau van Dijk Electronic Publishing, December 2010; matched using algorithms in the Imalinker system developed for the OECD by IDENER, Seville, 2011.
Note: USPTO and EPO patent applications. Sample restricted to firms with between 20 and 250 employees
IPC classes of patent applications by service firms, 2000-09
A: Human Necessities
19%
B: Performing Operations, transporting
13%
C: Chemistry, metallurgy
17%
D: Textiles, paper 0% E: Fixed
Constructions 2%
F: Mechanical Engineering,
lighting, heating, weapons, blasting
6%
G: Physics 25%
H: Electricity 18%
Services
Service sector patents by IPC classes
Source: OECD calculations based on the Worldwide Patent Statistical Database, EPO, April 2011; and ORBIS© Database, Bureau van Dijk Electronic Publishing, December 2010; matched using algorithms in the Imalinker system developed for the OECD by IDENER, Seville, 2011.
Note: USPTO and EPO patent applications. Sample restricted to firms with between 20 and 250 employees
IPC classes of patent applications by sector, 2000-09
A: Human Necessities
19%
B: Performing Operations, transporting
13%
C: Chemistry, metallurgy
17%
D: Textiles, paper 0% E: Fixed
Constructions 2%
F: Mechanical Engineering,
lighting, heating, weapons, blasting
6%
G: Physics 25%
H: Electricity 18%
Services
A: Human Necessities
25%
B: Performing Operations, transporting
18%
C: Chemistry, metallurgy
14%
D: Textiles, paper 1%
E: Fixed Constructions
3%
F: Mechanical Engineering,
lighting, heating, weapons, blasting
6%
G: Physics 17%
H: Electricity 16%
Manufacturing
Service sector patents by IPC classes
G06F Electric digital data processing 7.1%
A61K Preparations for medical, dental, or toilet purposes 6.3%
G01N Investigating or analysing materials by determining their chemical or physical properties 3.2%
C12N Micro-organisms or enzymes; compositions thereof 2.9%
G06Q
Data processing systems or methods, specially adapted for administrative, commercial, financial, managerial, supervisory or forecasting purposes; systems or methods specially adapted for administrative, commercial, financial, managerial, supervisory or forecasting purposes, not otherwise provided for
2.7%
H04L Transmission of digital information, e.g. Telegraphic communication 2.6%
A61B Diagnosis; surgery; identification 2.5%
C07D Heterocyclic compounds 2.4%
A61P Specific therapeutic activity of chemical compounds or medicinal preparations 2.4%
H01L Semiconductor devices; electric solid state devices not otherwise provided for 2.0%
C07K Peptides 1.8%
H01R Electrically-conductive connections; structural associations of a plurality of mutually-insulated electrical connecting elements; coupling devices; current collectors
1.6%
H04N Pictorial communication, e.g. television 1.5%
C12Q
Measuring or testing processes involving enzymes or micro-organisms; compositions or test papers therefor; processes of preparing such compositions; condition-responsive control in microbiological or enzymological processes
1.4%
G06K Recognition of data; presentation of data; record carriers;handling record carriers 1.2%
A61M Devices for introducing media into, or onto, the body; devices for transducing bodymedia or for taking media from the body ; devices for producing or ending sleep or stupor
1.2%
G02B Optical elements, systems, or apparatus 1.1%
C07C Acyclic or carbocyclic compounds 1.0%
H01M Process or means, e.g. Batteries, for the direct conversion of chemical energy into electrical energy 1.0%
B60R Vehicles, vehicle fittings, or vehicle parts, not otherwise provided for 0.9%
Source: OECD calculations based on the Worldwide Patent Statistical Database, EPO, April 2011; and ORBIS© Database, Bureau van Dijk Electronic Publishing, December 2010; matched using algorithms in the Imalinker system developed for the OECD by IDENER, Seville, 2011.
Top 20 IPC classes in service firms patents, 2000-09
Note: USPTO and EPO patent applications. Sample restricted to firms with between 20 and 250 employees
Service sector patents by IPC classes
G06F Electric digital data processing 7.1%
A61K Preparations for medical, dental, or toilet purposes 6.3%
G01N Investigating or analysing materials by determining their chemical or physical properties 3.2%
C12N Micro-organisms or enzymes; compositions thereof 2.9%
G06Q
Data processing systems or methods, specially adapted for administrative, commercial, financial, managerial, supervisory or forecasting purposes; systems or methods specially adapted for administrative, commercial, financial, managerial, supervisory or forecasting purposes, not otherwise provided for
2.7%
H04L Transmission of digital information, e.g. Telegraphic communication 2.6%
A61B Diagnosis; surgery; identification 2.5%
C07D Heterocyclic compounds 2.4%
A61P Specific therapeutic activity of chemical compounds or medicinal preparations 2.4%
H01L Semiconductor devices; electric solid state devices not otherwise provided for 2.0%
C07K Peptides 1.8%
H01R Electrically-conductive connections; structural associations of a plurality of mutually-insulated electrical connecting elements; coupling devices; current collectors
1.6%
H04N Pictorial communication, e.g. television 1.5%
C12Q
Measuring or testing processes involving enzymes or micro-organisms; compositions or test papers therefor; processes of preparing such compositions; condition-responsive control in microbiological or enzymological processes
1.4%
G06K Recognition of data; presentation of data; record carriers;handling record carriers 1.2%
A61M Devices for introducing media into, or onto, the body; devices for transducing bodymedia or for taking media from the body ; devices for producing or ending sleep or stupor
1.2%
G02B Optical elements, systems, or apparatus 1.1%
C07C Acyclic or carbocyclic compounds 1.0%
H01M Process or means, e.g. Batteries, for the direct conversion of chemical energy into electrical energy 1.0%
B60R Vehicles, vehicle fittings, or vehicle parts, not otherwise provided for 0.9%
Source: OECD calculations based on the Worldwide Patent Statistical Database, EPO, April 2011; and ORBIS© Database, Bureau van Dijk Electronic Publishing, December 2010; matched using algorithms in the Imalinker system developed for the OECD by IDENER, Seville, 2011.
Top 20 IPC classes in service firms patents, 2000-09
Note: USPTO and EPO patent applications. Sample restricted to firms with between 20 and 250 employees
Software and business method patents
Source: OECD Patent Database
Notes: USPTO patent grants and EPO patent applications, by filing date Software patents: IPC class=G06F 3,5,7,9,11,12,13,15, G06K 9,15, K04L 9, based on Graham and Mowery 2003 Business method patents: IPC class=G06Q
0%
2%
4%
6%
8%
10%
12%
14%
19
81
19
82
19
83
19
84
19
85
19
86
19
87
19
88
19
89
19
90
19
91
19
92
19
93
19
94
19
95
19
96
19
97
19
98
19
99
20
00
20
01
20
02
20
03
20
04
20
05
20
06
20
07
20
08
20
09
Share of software and business method patents at EPO and USPTO
Business methods - EPO Software-EPO Business methods - USPTO Software-USPTO
Software patents
Source: OECD calculations based on the Worldwide Patent Statistical Database, EPO, April 2011; and ORBIS© Database, Bureau van Dijk Electronic Publishing, December 2010; matched using algorithms in the Imalinker system developed for the OECD by IDENER, Seville, 2011.
Note: USPTO and EPO patent applications. Sample restricted to firms with between 20 and 250 employees
0 0.1 0.2 0.3 0.4
Other
Manufacture of other non-metallic mineral products
Renting of machinery and equipment
Supporting and auxiliary transport activities; travel agencies
Financial intermediation, except insurance and pension …
Sale and repair of motor vehicles; retail sale of automotive fuel
Manufacture of fabricated metal products
Publishing, printing and reproduction of recorded media
Manufacture of motor vehicles, trailers and semi-trailers
Manufacture of furniture; manufacturing n.e.c.
Manufacture of chemicals and chemical products
Hotels and restaurants
Activities auxiliary to financial intermediation
Manufacture of machinery and equipment n.e.c.
Retail trade; repair of personal and household goods
Manufacture of electrical machinery and apparatus n.e.c.
Manufacture of medical, precision and optical instruments
Post and telecommunications
Wholesale trade and commission trade
Research and development
Manufacture of office machinery and computers
Other business activities
Manufacture of radio, television
Computer and related activities
Share of software patent by applicant sector (Nace Rev. 1)
Business method patents
Source: OECD calculations based on the Worldwide Patent Statistical Database, EPO, April 2011; and ORBIS© Database, Bureau van Dijk Electronic Publishing, December 2010; matched using algorithms in the Imalinker system developed for the OECD by IDENER, Seville, 2011.
Note: USPTO and EPO patent applications. Sample restricted to firms with between 20 and 250 employees
0 0.1 0.2 0.3 0.4
Other
Manufacture of fabricated metal products
Manufacture of basic metals
Sale and repair of motor vehicles; retail sale of automotive fuel
Renting of machinery and equipment
Manufacture of electrical machinery and apparatus n.e.c.
Manufacture of food products and beverages
Manufacture of furniture; manufacturing n.e.c.
Supporting and auxiliary transport activities; travel agencies
Manufacture of chemicals and chemical products
Manufacture of pulp, paper and paper products
Publishing, printing and reproduction of recorded media
Insurance and pension funding
Hotels and restaurants
Manufacture of office machinery and computers
Manufacture of machinery and equipment n.e.c.
Financial intermediation, except insurance and pension funding
Manufacture of radio, television
Retail trade; repair of personal and household goods
Manufacture of medical, precision and optical instruments
Research and development
Wholesale trade and commission trade
Post and telecommunications
Activities auxiliary to financial intermediation
Other business activities
Computer and related activities
Share of business method patents by applicant sector (Nace Rev. 1)
Software and business method patents
Source: OECD calculations based on the Worldwide Patent Statistical Database, EPO, April 2011; and ORBIS© Database, Bureau van Dijk Electronic Publishing, December 2010; matched using algorithms in the Imalinker system developed for the OECD by IDENER, Seville, 2011.
Note: USPTO and EPO patent applications. Sample restricted to firms with between 20 and 250 employees
Manufacturing 36%
Services 64%
Software
Manufacturing 14%
Services 86%
Business methods
Share of software/business method patents by sector of applicant
Patents and other IPRs in services
0%
5%
10%
15%
20%
25%
30%
Share of service firms with technological innovation using IPR (product, process, ongoing or abandoned)
Applied for a patent Registered an industrial design Registered a trademark Claimed copyright
Source: CIS 2006 (Eurostat Database)
Trademarks • What is a trademark?
“Any sign, or any combination of signs, capable of distinguishing the goods or services of one undertaking from those of other undertakings, shall be capable of constituting a trademark” (TRIPs Art. 15)
• Key reputational asset for firms: basis for advertising
• May be used to appropriate the benefits of innovation (Davis 2006)
• Various papers in the empirical literature finding a positive correlation between trademarks and other innovation indicators at the firm-level (Mendonça et al. 2004, Schmoch 2003, Malmberg 2005)
• Especially important in services where innovation is often non-technological and non-patentable
• Issues (both conceptual and methodological):
– Link with innovation
– Cross country comparisons
– Nice Classifications not equivalent to classification of economic activities
What types of firms do file TM?
• BIG
• OLD
• TECHNOLOGY/KNOWLEDGE- INTENSIVE
Source: OECD calculations based on ORBIS© 2006 matched with INPI/OHIM trademark data
0%
20%
40%
60%
Proportion of trademarking firms by number of employees
0%
1%
2%
3%
4%
0/2 3/5 6/10 11/15 16/20 21/25 26/30 31/35 36/40 >40
Proportion of trademarking firms by age
0%
1%
2%
3%
4%
High-tech manufacturing
Low-tech manufacturing
Knowledge Intensive Services
Less Knowledge Intensive Services
Proportion of trademarking firms by group of sectors
0% 5% 10% 15% 20%
Food, beverages, tobacco
Textile
Wearing apparel,fur,leather
Wood products and cork
Pulp, paper
Publishing, printing
Coke, refined petrol. pdcts, nuclear
Plastic & non metallic mineral pdcts
Basic metals
Fab. metal prdts
Oth.transport equipment
Furniture; manufacturing n.e.c, recycling
Construction
Cosmetics
Chemical pdcts, except perfumes
Machinery and equipment n.e.c.
Office machinery and computers
Electrical machinery and apparatus
Radio, tv, communication equip.
Medical, precision & optical inst.
Motor vehicles, trailers
Post and telecommunications
Financial intermed.
Insurance
Renting of mach. & oth. goods
Computer and related activities
Research and development
Other business activities
Electricity, gas, steam,water supply
Wholesale & retail trade, repair of goods
Hotels and restaurants
Transport
Real estate activities
Low
Tec
h M
anu
fact
uri
ng
Hig
h T
ech
Man
ufa
ctu
rin
g K
no
wle
dge
-in
ten
sive
Se
rvic
es
Oth
er S
ervi
ces
Trademarks only
Patents only
Trademarks and patents
Source: OECD calculations based on ORBIS© 2006 matched with INPI/OHIM trademark data
Proportion of trademarking firms by sector (agregation based on Nace Rev.2), 2006
What types of firms do file TM?
0%
5%
10%
15%
20%
25%
30%
35%
TM PAT TM PAT TM PAT TM PAT TM PAT
All firms High Tech Low Tech KIS - except R&D Less KIS
Product innovating firms
Not product innovating firms
TM and product innovation
Share of firms filing TM applications according to product innovation success
Source: OECD calculations based on CIS 2008 results matched with ORBIS© 2006 and INPI/OHIM trademark data
0%
5%
10%
15%
20%
25%
30%
35%
40%
45%
Trademarks Patents Trademarks Patents Trademarks Patents
Marketing Design Sales method
Firms innovating in marketing
Firms not innovating in marketing
Firms filing TMs, by marketing innovators
Share of firms filing TM applications according to marketing innovation success
Source: OECD calculations based on CIS 2008 results matched with ORBIS© 2006 and INPI/OHIM trademark data
TM and innovation types
EU France
CTM_nb CTM_dummy TM_nb TM_dummy
Innoproduct 2.048***
(3.89)
1.891***
(4.61)
1.203
(1.33)
1.153*
(2.52)
Innoprocess 0.801
(-1.15)
0.721**
(-3.22)
0.884
(-0.86)
0.933
(-1.40)
Innomkting 1.335
(1.44)
1.308**
(2.78)
1.547**
(3.10)
1.286***
(5.37)
Lsales 1.283***
(4.36)
1.085**
(2.58)
1.376***
(9.55)
1.067***
(4.86)
Lage 0.983
(-0.17)
0.987
(-0.20)
1.225***
(2.70)
1.019
(0.62)
EpPAT_period 1.549*
(2.40)
1.174
(1.50)
CTM_previous_use 58.68***
(19.11)
39.25***
(19.45)
High_Tech 0.739
(-1.65)
0.811*
(-2.15)
1.071
(0.58)
0.947
(-1.22)
KIS 0.337*
(-2.55)
0.641*
(-2.15)
0.599
(-1.63)
0.825
(-1.03)
LessKIS 0.789
(-0.54)
0.863
(-0.50)
1.352
(0.86)
0.852
(-0.93)
natPAT_period 1.315*
(2.25)
1.170***
(3.25)
natTM_previous_use 29.84***
(23.90)
14.30***
(26.77)
N 4136 4136 4136 4136
Pseudo R-square 0.613 0.452 0.533 0.319
Exponentiated coefficients ; t-statisitics in parenthesis ; *p<0.05, **p<0.01, ***p<0.001
Robust Poisson / Probit estimates Dependent variable: number of / dummy for TMs applied for 2002-2004
Cross country comparison
Trademark applications at JPO, OHIM and USPTO, ratio to GDP, 2007-09 average
GDP in billions of USD PPP, OECD and BRIICS countries
0.00
1.00
2.00
3.00
4.00
5.00
6.00
7.00
8.00
9.00
10.00
USPTO OHIM JPO
Magnified23.9
Trademarks over GDP in billions USD
0.0
0.5
1.0
1.5
2.0
17.2
Source: OECD, STI Scoreboard 2011, based on US Patent and Trademark Office (2011), "The USPTO Trademark Casefile Dataset (1884-2010)"; OHIM Community Trademark Database; CTM Download, April 2011; JPO Annual reports 2008-2010; OECD, National Accounts Database, June 2011; IMF, World Economic Outlook Database, June 2011.
• Home bias in trademark applications:
Cross country comparison
• Trademarks abroad: estimate the level of TM activity based on three offices (USPTO, OHIM, JPO). Enable cross-country comparison
Patents and trademarks per capita, 2007-09 Average number per million population, OECD and G20 countries
Source: OECD, STI Scoreboard 2011, based on OECD, Patent Database, May 2011; US Patent & Trademark Office (2011), "The USPTO Trademark Casefile Dataset (1884-2010)"; OHIM Community Trademark Database; CTM Download, April 2011; JPO Annual reports 2008-2010.
BRA
BRIICS
CAN
CHE
CHL
CHN
DEU
ESP
EU27
FINFRA
GBR
IND
ISR
ITA
JPNKOR
MEX
NLD
NOR
OECD
POL
RUS
SWEUSA
0
1
10
100
0 1 10 100
Triadic patent families per capita
Trademarks abroad per capita
500
500Axes in logarithmic scale
0%
2%
4%
6%
8%
10%
12%
14%
1
3
5
7
9
11
13
15
17
19
21
23
25
27
29
31
33
36
38
40
42
44
Applications by designated classes of products, 2007
USPTO
OHIM
JPO
Services Goods
Classes of products
Source: OHIM and JPO annual reports, WIPO data for USPTO
Service trademarks
Source: US Patent and Trademark Office (2011), "The USPTO Trademark Casefile Dataset (1884-2010)"; OHIM Community Trademark Database; CTM Download, April 2011.
Service-related trademarks applications at USPTO and OHIM, OECD and BRIICS, 1997-99 and 2007-09
As a percentage of total trademark filings at OHIM and USPTO
0
5
10
15
20
25
30
35
40
45
50
2007-09 1997-1999%
KIS trademarks
0
10
20
30
40
50
60
70
Business Finance Telecommunications R&D%
Trademarks in knowledge-intensive services, OECD and BRIICS, 2007-09
Source: US Patent and Trademark Office (2011), "The USPTO Trademark Casefile Dataset (1884-2010)"; OHIM Community Trademark Database; CTM Download, April 2011.
Conclusions
• IPR data constitute a quantitative, exhaustive, publicly available source of information on innovative activity in general and on service innvoation in particular
• Service innovation can be analysed at the sector level but also across sectors based on the IPR-related classifications (IPC, Nice classification of products)
• The patent picture is only partial, but they can bring information on software and business methods inventions.
• The trademark picture is broader, but the link with innovation is not straightfoward. Further understanding and evidence of this link are necessary.
• Challenges & next steps:
– Matching IPR microdata with firm-level databases
– Country coverage: acquire national trademark data (to improve cross country comparisons, to extend the matching exercise)
– Concordance between Nice classification of products and sector activities
– Other types of IPR could be envisaged