2015-03-17-oecd report-world corporate top rd investors innovation and ip bundles1

1、Please cite this publication as:Dernis H., Dosso M., Hervs F., Millot V., Squicciarini M. and Vezzani A. (2015). World Corporate Top R&D Investors: Innovation and IP bundles. A JRC and OECD common report. Luxembourg: Publications Office of the European Union.This is a joint publication of European C

2、ommissions Joint Research Centre Institute for Prospective Technological Studies; andOrganisation for Economic Co-operation and Development (OECD)European Commission Joint Research CentreInstitute for Prospective Technological StudiesOrganisation for Economic Co-operation and Development (OECD)Direc

3、torate for Science, Technology and InnovationContact informationAddress: Edificio Expo. c/ Inca Garcilaso, 3. E-41092 Seville (Spain) E-mail: jrc-ipts-secretariatec.europa.euTel.: +34 954488318Fax: +34954488300Contact informationAddress: 2, rue Andr Pascal 75775 Paris CEDEX 16 (France)Tel : 33(0)1 4

4、5 24 18 00/stihttp:/ipts.jrc.ec.europa.eu http:/www.jrc.ec.europa.euLegal NoticeNeither the European Commission nor any person acting on behalf of the Commission is responsible for the use which might be made of this publication.The opinions expressed and arguments employed in the presen

5、t report do not necessarily reflect the official views of the Organisation for Economic Co-operation and Development (OECD) or of the governments of its member countries. This document and any map included herein are without prejudice to the status of or sovereignty over any territory, to the delimi

6、tation of international frontiers and boundaries and to the name of any territory, city or area.A great deal of additional information on the European Union is available on the Internet.It can be accessed through the Europa server http:/europa.eu/.European Commission JRC94932EUR 27129 ENISBN 978-92-

7、79-46025-8 (PDF)ISBN 978-92-79-46024-1 (print)ISSN 1831-9424 (online)ISSN 1018-5593 (print)doi:10.2791/741349Luxembourg: Publications Office of the European Union European Union / OECD 2015Permission is granted under a Creative Commons Attribution 4.0 International Licence to replicate, copy, distri

8、bute and transmit this report freely provided that attribution is provided as illustrated in the citation above.To view a copy of this licence, visit /licenses/by/4.0.ForewordInnovation and technological development are crucial for economic growth and development and for the

9、 competitiveness of industries. Evidence shows that technical progress and innovation lead to a more efficient use of labour and capital inputs, and thus foster productivity, one of the main drivers of growth in most OECD countries for more than two decades.World regions and countries are competing

10、to attract and retain those segments of global value chains that contribute most to value and job creation. In a context of increasing globalisation and interdependence of knowledge generation and its exploitation, policies aiming at reinforcing the scientific and technological competitiveness of ec

11、onomies need to rely on a wide range of science, technology and innovation indicators reflecting increasingly complex innovation systems.A main actor in innovation systems is the business sector. Evidence shows that a very large proportion of the R&D investments financed and executed by the business

12、 sector worldwide is concentrated in a relatively small number of world-leading corporate innovators, in many cases large multinational groups. These companies also account for a significant proportion of the patents and trademarks filed in the most important intellectual property offices around the

13、 world.In this respect, the original data and statistics on the innovation output of the worlds top corporate R&D investors presented in this report are extremely relevant for the support of evidence-based research and innovation policies. The report builds on the efforts to collect up-to-date, reli

14、able and comparable company data on the top corporate R&D investors worldwide carried out by the European Commission since 2004 (the EU Industrial R&D Investment Scoreboard publication) and on the solid knowledge and experience of the OECD in developing and providing robust and state-of-the-art indi

15、cators on science, technology and industry (see for example OECDs STI Scoreboard publications).Essentially descriptive in nature, the company based data and statistics on the patents and trademarks portfolios of the worlds top corporate investors open the door to further research into, and analysis

16、of, companies global strategies for knowledge development and exploitation.The main target audience of this report is the policy and research community, as well as analysts with an interest in supporting evidence-based policy making in the area of innovation and industrial policies. The underlying c

17、ompany data on patents and trademark will be made publicly available. The objective is to allow practitioners to make intensive use of these data to contribute to the advancement of knowledge and empirical evidence on companies innovative activities and performance.John BENSTED-SMITHDirectorInstitut

18、e for Prospective Technological Studies Joint Research Centre, European CommissionAndrew W. WYCKOFF DirectorDirectorate for Science, Technology and Innovation Organisation for Economic Co-operation and DevelopmentWorld Corporate Top R&D Investors: Innovation and IP bundles1Table of contentsForeword1

19、Readers guide4Executive Summary51. Innovation output: looking at the other side of R&D investment92 The data112.1 The corporate structure and location of top R&D investors112.2 Linking company data to IP data: a matching approach152.3 Innovative output: patent data202.4. Innovative output: Trademark

20、 data253. The patent portfolio of top corporate R&D investors293.1 Propensity to patent: stylised facts303.2 A patent-based technological profile313.2.1 The technological focus of top corporate R&D investors313.2.2 The technological concentration of patent portfolios343.2.3 The technological profile

21、s of selected industries363.3 Technological and economic value of patents38Box 1. The economic and technological value of patents403.4 The international patterns of patent activity403.4.1 Patenting strategies across offices403.4.2 The relative technological advantages of worlds areas433.4.3 The inte

22、rnational roots of patented inventions454. The trademarks portfolio of top corporate R&D investors worldwide494.1. The origins of trademark applications504.1.1. Trademark activities by headquarters location504.1.2. Goods and services trademark applications514.1.3 Main trademarks application fields b

23、y headquarters location544.2. Corporate trademark applications by industry and international class564.2.1. Trademark applications by industry564.2.2 Trademarks applications by good and service classes594.2.3 Concentration of trademark classes by industry of origin614.2.4 Knowledge-assets related tra

24、demarks624.3. International trademark activities of top corporate R&D investors654.3.1. A geographic perspective654.3.2. Word marks of top corporate R&D investors685. The IP bundle: the combined use of patents and trademarks715.1. The IP portfolio of top corporate R&D investors72World Corporate Top

25、R&D Investors: Innovation and IP bundles25.2. Patents and word marks: a look at commonalities across offices775.3. Using trademarks as a complement to patent protection79Conclusion83References86Appendices88World Corporate Top R&D Investors: Innovation and IP bundles3Readers guideAcronymsCommunity Tr

26、ade Mark European Patent Convention European Patent Office European UnionInformation and communication technology IP AustraliaFive IP offices (EPO, JPO, KIPO, SIPO and USPTO) International Patent ClassificationIntellectual Property RightsInternational Standard Industrial Classification of All Econom

27、ic Activities Japan Patent OfficeKorean Intellectual Property OfficeOffice for Harmonization in the Internal Market Research and DevelopmentState Intellectual Property Office of the Peoples Republic of China TrademarkUnited States Patent and Trademark Office World Intellectual Property OrganizationC

28、TM EPC EPO EU28 ICTIP AUS IP5 IPC IPR ISIC JPO KIPO OHIMR&D SIPO TM USPTO WIPOAbbreviationsIn selected figures, the ISO codes for countries or economies are reported.Australia Austria Belgium Bermuda Canada Switzerland China CuracaoCayman Islands Germany Denmark FinlandFranceUnited Kingdom IndiaIrel

29、and Israel Italy Japan KoreaLuxembourg Netherlands Norway New Zealand Sweden United StatesAUS AUT BEL BMU CAN CHE CHN CUW CYM DEU DNK FIN FRAGBR IND IRL ISR ITA JPN KOR LUX NLD NOR NZL SWE USAWorld Corporate Top R&D Investors: Innovation and IP bundles4Executive SummaryThis report looks at the innov

30、ative output of worlds top Research and Development (R&D) investors using patents and trademarks as proxy indicators. Essentially descriptive in nature, the study presents statistics about the patent portfolio of companies, and their trademark strategies to launch new products, and looks at the exte

31、nt to which companies bundle these two forms of Intellectual Property Rights (IPR) to protect and appropriate the returns of their knowledge-based assets. The newly constructed dataset provides interesting insights about the innovation strategies of the worlds leading corporate R&D investors.The pat

32、ent portfolio of top corporate R&D investorsPatenting activities highlight heterogeneous industry and firm-specific behavioursTop corporate R&D investors show a high degree of heterogeneity in their propensity to patent. The structural features of the industry in which companies operate are a releva

33、nt determinant, but not the only one, as important differences also emerge across companies operating in the same industry. The highest propensity to patent is shown by companies operating in the Electrical equipment industry, and the lowest by companies operating in the Pharmaceuticals industry.Pat

34、ent applications are concentrated in a narrow set of technologiesOverall, the world top corporate R&D investors considered in this report, accounting for over 90% of global business R&D spending, own 66% of all patent families covering five large IP offices worldwide (IP5).The patenting activity of

35、these companies focuses mostly on technologies related to Electrical engineering (accounting for almost half of total patent families) and Mechanical engineering (accounting for one-fifth of the total). Over the last 10 years, the greatest increases in patent filings have been in the fields of Compu

36、ter technology and Electrical machinery (the two most represented technological fields). In general, patent filings related to Information and Communication Technologies (ICT) have increased while the share accounted for by technologies such as Organic chemistry and Pharmaceuticals has been declinin

37、g.Of the top 10 patenting companies in the sample, nine are headquartered in Asia, and eight belong to the ICT sector. Overall, their patent portfolio accounts for one-quarter of the total patents owned by the top R&D investors.The technological concentration of patent portfolios varies widely acros

38、s industries. Companies with a higher industrial diversification master a wider range of technologies. Technological diversification also relates to the geographical diversification of the companies subsidiary structure, but to a much lesser extent. Among the four industries accounting for the highe

39、st number of top R&D investors, Machinery displays the highesttechnological diversification.Companies operating in the Computers and electronicsindustry also master a relatively wide array of technologies, while companies in the Pharmaceutical industry show a much narrower specialisation profile.Wor

40、ld Corporate Top R&D Investors: Innovation and IP bundles5Top corporate R&D investors pursue distinct filings strategies across Intellectual Property (IP) offices and over timeThe distribution of IP5 patent families reflects the changes in the global innovation and economic landscape of the last dec

41、ade. The current picture is more balanced, reflecting the rapid increases in filings at the Korean and Chinese international patent offices.Key indicators used to proxy the technological and economic value of patents show that, compared with European Patent Office (EPO) filings, applications at the

42、Unites States Patent and Trademark Office (USPTO) are of smaller family size, fact which might reflect the attractiveness of the US market vis-vis other markets. At the same time, these patent families exhibit higher radicalness but lower average technological scope.Top corporate R&D investors diffe

43、rentiate their filing strategies across the IP5 offices depending upon the technological field of the invention to protect. Patent families filed at the Korean Intellectual Property Office (KIPO), the USPTO and the SIPO (the State Intellectual Property Office of the Peoples Republic of China) are la

44、rgely oriented towards Electrical engineering applications, while EPO patent family members show a stronger orientation towards Mechanical engineering and Chemistry. Patent family members at the Japan Patent Office (JPO) are the most oriented towards Instruments, and also account for the second high

45、est share in Mechanical engineering.The geographical distribution of technological advantages reveals a wider specialisation of European and US-based companiesTop corporate R&D investors located in Europe and the United States are relatively more specialised in a wider array of technologies, includi

46、ng those that are fundamental to address grand challenges such as health, ageing and the environment. Companies based in Korea, China and Japan show a high degree of specialisation in ICT-related technologies whereas European-based companies show lower revealed technological advantages. Japan based

47、companies appear to specialise in a wider array of technologies than those in Korea or China.Top corporate R&D investors rely on international knowledge to develop their technologiesAbout one-quarter of companies patent portfolios have been developed by teams of inventors residing in countries that

48、are different from the location of the headquarters. For companies operating in Mining, Finance & Insurance and Pharmaceuticals industries international patents account for more than half of their portfolios.The trademarks portfolio of top corporate R&D investors worldwideThe geographical distributi

49、on of trademark (TM) applications is largely driven by the location of company headquartersTrademark applications mirror the location of company headquarters, with most of them in the United States, Japan, Germany, the United Kingdom and France. Top corporate R&D investors tend to be more active at

50、USPTO than at the Office for Harmonization in the Internal Market (OHIM). The office with the highest home specificity is JPO: more than three-quarters of applications to JPO come from companies headquartered in Japan. At the IP Australia, levels of trademarking activities are low, but top R&D inves

51、tors from Switzerland are particularly active in that office.World Corporate Top R&D Investors: Innovation and IP bundles6Trademark applications are concentrated in a few classes and a few products fieldsMost trademark applications made by top corporate R&D investors relate to goods alone or to good

52、s and services jointly and most are filed in the Instruments and computers and the Pharmaceutical products classes. Services-related trademarks pertain mainly to R&D and software. Trademark applications related to knowledge assets come from a small number of countries featuring developed and competi

53、tive markets for research. Companies tend to deploy consistent international trademark strategies across classes. Top corporate R&D investors from China and Korea exhibit a strong orientation towards ICT and audiovisuals- related trademarks.Trademark applications feature salient industry specificiti

54、esSignificant industrial specificities emerge with respect to the use of trademarks, trademark intensity (i.e. number of trademarks per euro of net sales) and concentration ratios. The Pharmaceuticals, Chemicals, Food products, Electrical equipment and Textiles industries appear as very active in tr

55、ademarking. Companies operating in Computers and electronics, conversely, exhibit relatively low levels of trademarking activity at the offices considered. Pharmaceuticals and Computers and electronics appear as the most diversified industries, as they own trademarks registered in a variety of good

56、and services classes.The adoption of common word mark strategies in international markets remains limitedTrademarks signal the uniqueness of goods and services through the use of signs as words, images, sounds or any combination of these. While word marks constitute the most common type of mark appl

57、ication of top corporate R&D investors, only a low share of identical word marks is protected across the different offices. In addition, top corporate R&D investors seem more likely to adopt close trademarking strategies in the European and the US markets.The IP bundle: the combined use of patents a

58、nd trademarksTop corporate R&D investors use patents and trademarks as complementary protection meansThe combined use of patents and trademarks (IP bundle) is favoured by the majority of companies in the US and European markets. Alternative means of protection (or no protection) are more frequently used at JPO, where Japan-based companies predominate in terms of overall IP filings. Companies operating i