Ouverture et partage des résultats de la recherche dans l’économie de la connaissance européenne : Quelle(s) liberté(s) de circulation pour l’IST?

Auteur/Author : Hans Dillaerts

Au cours de ces dix dernières années, il y a un engagement croissant de l’Union européenne en faveur de l’innovation ouverte, le libre accès et la science ouverte. Notre objectif au sein de cet article est de s’interroger sur les origines de ces politiques et d’en retracer les évolutions et les limites.

L’objectif de cette analyse est également de mettre en avant les injonctions contradictoires que subissent aujourd’hui les chercheurs en matière de publication et de diffusion de l’information scientifique et technique à travers entre autres les problématiques et questionnements liés à la brevetabilité des résultats de recherche financés sur des fonds publics.

URL : https://archivesic.ccsd.cnrs.fr/sic_01716543

Patent Citations Analysis and Its Value in Research Evaluation: A Review and a New Approach to Map Technology-relevant Research

Authors : Anthony F.J. van Raan


First, to review the state-of-the-art in patent citation analysis, particularly characteristics of patent citations to scientific literature (scientific non-patent references, SNPRs). Second, to present a novel mapping approach to identify technology-relevant research based on the papers cited by and referring to the SNPRs.


In the review part we discuss the context of SNPRs such as the time lags between scientific achievements and inventions. Also patent-to-patent citation is addressed particularly because this type of patent citation analysis is a major element in the assessment of the economic value of patents.

We also review the research on the role of universities and researchers in technological development, with important issues such as universities as sources of technological knowledge and inventor-author relations.

We conclude the review part of this paper with an overview of recent research on mapping and network analysis of the science and technology interface and of technological progress in interaction with science.

In the second part we apply new techniques for the direct visualization of the cited and citing relations of SNPRs, the mapping of the landscape around SNPRs by bibliographic coupling and co-citation analysis, and the mapping of the conceptual environment of SNPRs by keyword co-occurrence analysis.


We discuss several properties of SNPRs. Only a small minority of publications covered by the Web of Science or Scopus are cited by patents, about 3%–4%. However, for publications based on university-industry collaboration the number of SNPRs is considerably higher, around 15%.

The proposed mapping methodology based on a “second order SNPR approach” enables a better assessment of the technological relevance of research.

Research limitations

The main limitation is that a more advanced merging of patent and publication data, in particular unification of author and inventor names, in still a necessity.

Practical implications

The proposed mapping methodology enables the creation of a database of technology-relevant papers (TRPs). In a bibliometric assessment the publications of research groups, research programs or institutes can be matched with the TRPs and thus the extent to which the work of groups, programs or institutes are relevant for technological development can be measured.


The review part examines a wide range of findings in the research of patent citation analysis. The mapping approach to identify a broad range of technology-relevant papers is novel and offers new opportunities in research evaluation practices.

URL : Patent Citations Analysis and Its Value in Research Evaluation: A Review and a New Approach to Map Technology-relevant Research

DOI : https://doi.org/10.1515/jdis-2017-0002


Potentiel scientifique et technique d’un laboratoire : Favoriser l’innovation, protéger les savoirs : un équilibre délicat

Auteur/Author : Jean-Pierre Damiano

Le potentiel scientifique et technique d’un laboratoire de recherche confère un caractère stratégique à la protection de son système d’information. Les atteintes peuvent tout aussi bien toucher ses données scientifiques ou technologiques que ses outils ou ses moyens scientifiques, techniques ou humains.

Le laboratoire vit souvent dans un environnement complexe par la diversité de ses tutelles et la diversification de ses ressources, tout en étant confronté à une compétition scientifique croissante. Face aux risques encourus, il convient d’identifier ce qui doit être protégé, de quantifier l’enjeu correspondant, de formuler des objectifs de sécurité et de mettre en œuvre les parades adaptées au niveau de sécurité retenu.

Un tel plan d’actions conduit à des règles. Pour qu’elles soient acceptées, elles ne doivent pas entraver la recherche, la compétitivité, les échanges et les coopérations nationales et internationales, la diffusion à travers les brevets, les publications et les congrès, etc. C’est un équilibre délicat à trouver et à maintenir.

URL : https://hal.archives-ouvertes.fr/hal-01633310

The scientific impact of nations on scientific and technological development

Authors : Aurelio Patelli, Giulio Cimini, Emanuele Pugliese, Andrea Gabrielli

Determining how scientific achievements influence the subsequent process of knowledge creation is a fundamental step in order to build a unified ecosystem for studying the dynamics of innovation and competitiveness.

Yet, relying separately on data about scientific production on one side, through bibliometric indicators, and about technological advancements on the other side, through patents statistics, gives only a limited insight on the key interplay between science and technology which, as a matter of fact, move forward together within the innovation space.

In this paper, using citation data of both scientific papers and patents, we quantify the direct impact of the scientific outputs of nations on further advancements in science and on the introduction of new technologies.

Our analysis highlights the presence of geo-cultural clusters of nations with similar innovation system features, and unveils the heterogeneous coupled dynamics of scientific and technological success.

This study represents a first step in the buildup of a comprehensive framework for knowledge creation and innovation.

URL : https://arxiv.org/abs/1704.03768

Patent citation data in social science research: Overview and best practices

Authors : Adam B. Jaffe, Gaétan de Rassenfosse

The last 2 decades have witnessed a dramatic increase in the use of patent citation data in social science research. Facilitated by digitization of the patent data and increasing computing power, a community of practice has grown up that has developed methods for using these data to: measure attributes of innovations such as impact and originality; to trace flows of knowledge across individuals, institutions and regions; and to map innovation networks.

The objective of this article is threefold. First, it takes stock of these main uses. Second, it discusses 4 pitfalls associated with patent citation data, related to office, time and technology, examiner, and strategic effects. Third, it highlights gaps in our understanding and offers directions for future research.

URL : Patent citation data in social science research: Overview and best practices

Alternative location : http://onlinelibrary.wiley.com/doi/10.1002/asi.23731/full

Collecting and Describing University-Generated Patents in an Institutional Repository: A Case Study from Rice University

Providing an easy method of browsing a university’s patent output can free up valuable research time for faculty, students, and external researchers. This is especially true for Rice University’s Fondren Library, a USPTO-designated Patent and Trademark Resource Center that serves an academic community widely recognized for cutting edge science and engineering research.

In order to make Rice-generated patents easier to find in the university’s community, a team of technical and public services librarians from Fondren Library devised a method to identify, download, and upload patents to the university’s institutional repository, starting with a backlog of over 300. This article discusses the rationale behind the project, its potential benefits, and challenges as new Rice-generated patents are added to the repository on a monthly basis.

URL : http://journal.code4lib.org/articles/10981

Converting STEM Doctoral Dissertations into Patent Applications: A Study of Chemistry, Physics, Mathematics, and Chemical Engineering Dissertations from CIC Institutions

Doctoral candidates may request short-term embargoes on the release of their dissertations in order to apply for patents. This study examines how often inventions described in dissertations in chemical engineering, chemistry, physics, and mathematics are converted into U.S. patent applications, as well as the relationship between dissertation approval dates and patent application filing dates.

Dissertations approved in 2008 by the 13 Committee on Institutional Cooperation universities provided the sample populations. Authors were searched as inventors in the U.S. Patent and Trademark Office’s Patent Applications Full-text database to identify relevant patent applications. The number of dissertations yielding applications varied by discipline. Mathematics had none; chemical engineering had the most.

The majority of applications in chemical engineering and chemistry were filed either prior to or in the same month as the dissertation approval dates; all of those in physics were filed after them. These results will be of interest to librarians, administrators, advisors, and anyone else associated with determining and approving embargoes for dissertations, as well as science and engineering librarians working with graduate students interested in patenting the results of their research.

URL : http://www.istl.org/15-summer/refereed3.html