Technology development in the EU-27

Transcription

1 Technology development in the EU-27 In search of the contribution by SMEs IPTS September 2013 Jan-Bart Vervenne Bart Van Looy

2 Small & medium sized enterprises SMEs are seen as an essential driver of economic growth in Europe (Eurostat 2009) 99,8% of non-financial companies in Europe classify as SMEs Within the non-financial business economy SMEs represent 57,4% of turnover 58,7% of value added 66,7% of employment SMEs are assumed to play a pivotal role in the innovation process (EC 2000) Ability to respond quickly to changing market needs Ideal setting to develop and roll out new technologies

3 The importance of IP strategy in R&D intensive SMEs Corporate IP strategy: how to protect market position and competitive advantage created through sustained R&D efforts? How to appropriate returns from extensive R&D and increase operating profit and added value? 2 IP strategy options: Secrecy Intellectual property rights Signaling function of patents (especially relevant for SMEs): To customers: brand and marketing value To investors and creditors: granted patents suggest novelty of technology and potential for future earnings To employees: attract promising personnel, enhance employee moral

4 Barriers for SMEs to apply for IPR Barriers for SMEs to engage in patent activity Lack of understanding of IPRs and application procedures Fear for disclosing innovation to industry majors Cost of patent application: patent office administrative fees, patent attorney fees, industrial property consultancy Cost of maintenance: (increasing) maintenance fees Cost of legislation after grant : defence costs to enforce patent protection against infringers (even worse in complex industries, defending a patent can mean betting the company for an SME)

5 Policy awareness Policy awareness regarding the role of SMEs within national innovation systems Europe: European Commission hosts an IPR-helpdesk for SMEs Unitary EPO patent (25 of 27 member states), reducing administrative costs, translation costs and litigation costs Japan: SME IP support at prefectural SME support centers Database of senior personnel in large companies with experience in IP Prior-art patent searching free of charge for a.o. SMEs Reduction and exemption of patent annuities for a.o. SMEs Accelerated examination system JPO assistance for strategic foreign applications by regional SMEs Large scale mapping and monitoring of SME contribution to patenting is currently absent! Due to considerable methodological challenges.

6 Patent data: opportunities and challenges Opportunities: systematic availability of patent data (e.g. PATSTAT) with detailed information on: Applicants, inventors Address information Technology domain Claims of the patent Cited prior art But: patent databases contain no business information on applicants, not even VAT number how to identify SME s among patent applicants?

7 European Commission 2003 SME definition: financials

8 Financial data: opportunities and challenges Opportunities: systematic availability of financial data with detailed info on turnover, staff, assets, shareholders, Deficiencies in financial data (e.g. Amadeus) Due to national legislation, among others in line with European Commission accounting directives, certain types of companies (among others companies not trespassing certain size criteria and having simple ownership structures are not obliged to comply with full disclosure and can publish simplified annual accounts or are exempted from disclosing financial information altogether. In addition serious issue with information coverage in financial databases (absence of firms, as well as absence of specific information on firms that are covered) Relaxing the SME criteria

9 European Commission 2003 SME definition: ownership Company ownership information should be considered as well: SMEs partly or fully owned by larger companies can benefit from the financial strength and/or managerial capacities and/or centralized R&D / IP department expertise of the business group assessment of direct/indirect shareholder structure per company to determine true size of a business and the resources to which it has access (at the business entity or business group level) Entities with mother company (+50%): dependent Entities without mother company (no +50% shares): independent

10 Feasibility study EUROSTAT ( ): Feasibility study on largescale identification of SME contribution in patenting INCENTIM (KU Leuven) & Sogeti Coverage: EU-27, appln. years Data: PATSTAT October 2011 vs. Amadeus 2012 Methodology: Matching company names in patent database (sector allocation) and financial database using name harmonization techniques Disambiguation of multiple matches Allocation of matched patenting companies with sufficient financial and ownership information to size-categories (based on most recent available financial information) Size verification of representative samples of unmatched corporate applicants and matched companies with insufficient

11 Flow chart Sector Allocation Obtain corporate applicants among applicants in PATSTAT Name harmonization Name harmonization of corporate applicant names in PATSTAT Name harmonization of company names, former company names and alias names in Amadeus Matching Patstat- Amadeus Exact matching of harmonized corporate applicant names with harmonized company names from same country Matching non-matched corporate applicants with companies from other EU-27 countries (further steps are undertaken to apply maximum occurrence thresholds to names assigned to multiple companies internationally) Handling multiple PATSTAT applicants with same name Within same country: same harmonized applicant name = same applicant Handling allocation of multiple BvD companies to the same applicant Comparison of corporate applicant and company address information Final disambiguation layer based on maximum revenue / staff count / total assets (further steps are undertaken to exploit date of last available accounts, date of incorporation and ownership info for disambiguation purposes as well) Large company or potential SME? Full EC 2003 SME definition is applied to companies with full financial info Looser EC 2003 SME definition is applied to companies with fragmented financial info Independent SME or dependent SME? Indepent potential SMEs ==> effective SMEs Dependent potential SMEs ==> majority shareholder financials are used to determine membership of small or large business group Extrapolating size for rest categories Identification of rest categories for which size could not be determined: non-matched corporate applicants and matched corporate applicants with too limited financial/ownership info in Amadeus Stratification of rest categories in subgroups based on country and patent volume information Determination of a country's SME share in corporate patenting based on web searches performed on samples per strata

12 Matching PATSTAT AMADEUS

13 Disambiguation procedures: PATSTAT # Applicants (Person_ID s) # Harmonized names Share ,17% ,34% ,81% ,04% ,59% ,30% ,59% ,05% ,84% ,55% ,43% ,57% ,41% ,20% ,08% ,02% ,00% ,00% ,00%

14 Disambiguation procedures: PATSTAT Multiple person_ids vs. harmonized applicant name im.person_id im.person_name d.applt_ctry d.bvd_id d.company_name d.cnd_name MERCK PATENT GESELLSCHAFT MIT BESCHRAENKTER HAFTUNG DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GMBH DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GMBH DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GESELLESSCHAFT DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GMBH DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GESELLSCHAFT MIT BESCRANKTER HAFTUNG DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GMBH DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GESELLSCHAFT MIT BESCHRANKTER HAFTUNG DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GESELLSCHAFT MIT BESCHRAENKTER DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GMBH DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GESELLSCHAFT MIT BESCHRANKTER HAFTUNG DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GMBH DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GMBH DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GMBH DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GESELLSCHAFT MIT BESCHRANKTER HARTUNG DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GESELLSCHAFT MIT BESCHRANKTER HAFTUNG DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GESELLSCHAFT MIT BESCHRAENKTER HAFTUNG DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GESELLSCHAFT MIT BESCHRAENKTER HAFTUNG DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GESELLSCHAFT DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG MERCK PATENT GESELLSCHAFT MIT BESCHRAENKTERHAFTUNG DE DE MERCKPATENT MERCK PATENT GESELLSCHAFT MIT BESCHRÄNKTER HAFTUNG

15 Disambiguation procedures: AMADEUS # matched BVD companies Raw Matches Address MaxRevenue MaxStaffCount MaxTotalAssets , ,963 2, , TOTAL

16 Disambiguation procedures: AMADEUS Corporate applicant in country, multiple BVD companies Address disambiguation mm.applt_ctry mm.cnd_name2 mm.bvd_id ep.person_id ep.person_address b.ctry b.zip_code b.city b.address zip code score city score address score BE TOYOTAMOTOREUROPE BE AVENUE DU BOURGET, 60,1140 BRUSSELS BE 1140 BRUXELLES AVENUE DU BOURGET BE TOYOTAMOTOREUROPE BE AVENUE DU BOURGET, 60,1140 BRUSSELS BE 1140 BRUXELLES AVENUE DU BOURGET BE TOYOTAMOTOREUROPE BE AVENUE DU BOURGET 60,1140 BRUSSELS BE 1140 BRUXELLES AVENUE DU BOURGET BE TOYOTAMOTOREUROPE BE AVENUE DU BOURGET 60,1140 BRUSSELS BE 1140 BRUXELLES AVENUE DU BOURGET BE TOYOTAMOTOREUROPE BE BOURGETLAAN 60,1140 BRUSSEL BE 1140 BRUXELLES AVENUE DU BOURGET BE TOYOTAMOTOREUROPE BE BOURGETLAAN 60,1140 BRUSSEL BE 1140 BRUXELLES AVENUE DU BOURGET BE TOYOTAMOTOREUROPE BE BOURGETLAAN 60,1140 BRUSSEL BE 1140 BRUXELLES AVENUE DU BOURGET BE TOYOTAMOTOREUROPE BE BOURGETLAAN 60,1140 BRUSSEL BE 1140 BRUXELLES AVENUE DU BOURGET Max revenu, max staff count, max balance total APPLT_CTRY CND_NAME2 APPLN_CNT COMPANY_NAME BVD_ID OPREVENUE_EUR_LAY NO_EMPLOYEES_LAY TOTAL_ASSETS_EUR_LAY BVD_INDEP_INDIC BVD_CTRY BE TOYOTAMOTORE 25 TOYOTA MOTOR EUROPE BE BE BE TOYOTAMOTORE 25 TOYOTA MOTOR EUROPE BE D BE

17 Company size-type classification Large entities: no additional ownership info was checked Independent small entities: Truly independent (no shareholders hold more than 50%) +50% is held by individual (remark: more informal business groups with individuals controlling multiple companies exist as well but only minority of such groups can be identified with Amadeus due to non-existence of unique identifier for natural persons as opposed to legal entities)* +50% is held by institutional investors (pension funds, trusts, insurance companies, banks )

18 Company size-type classification Dependent small entities: majority of shares held by industrial (i.e. non-financial) company or private equity company (the existence of managerial, IP or other types of cross-group support is more likely) Small at group level (consolidated financials available for mother company) Large at group level (consolidated financials available for mother company) At least large at group level (sum of unconsolidated mother & daughter financials) Majority of shares held by public authority or research institution: large Small entities with unknown dependence status and small share of companies reporting no financial information (sample checks for extrapolation) No financials available (sample checks for extrapolation) Non matched corporate applicants (sample checks for

19 Applicants across size-types Country Large Small - large group Small - maj. owned by public body Small - maj. owned by institutional investor Small - small group Small - maj. owned by individual Small & independent Small with insufficient ownership info Matched but insuff. fin. & ownership info Not matched AT BE BG CY CZ DE DK EE ES FI FR GB GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK Total

20 Applicants across size-types Country Large Small - large group Small - maj. owned by public body Small - maj. owned by institutional investor Small - small group Small - maj. owned by individual Small & independent Small with insufficient ownership info Matched but insuff. fin. & ownership info Not matched AT 9,7% 4,5% 1,6% 0,4% 0,1% 10,6% 9,4% 17,5% 0,0% 46,4% BE 11,2% 6,4% 0,0% 0,7% 0,9% 0,9% 8,7% 40,6% 0,0% 30,5% BG 18,7% 2,8% 0,0% 0,9% 0,0% 5,6% 3,7% 10,3% 0,0% 57,9% CY 0,8% 1,2% 0,0% 0,0% 0,4% 1,6% 2,0% 6,5% 12,7% 74,7% CZ 14,2% 2,6% 0,0% 0,0% 0,2% 18,4% 12,2% 19,6% 0,0% 32,8% DE 11,1% 5,8% 0,1% 0,3% 0,4% 12,7% 9,6% 14,1% 0,1% 45,8% DK 5,6% 3,9% 0,1% 2,0% 3,1% 2,6% 13,8% 27,2% 0,2% 41,5% EE 3,6% 1,8% 0,0% 1,8% 0,0% 8,9% 24,1% 17,9% 0,0% 42,0% ES 8,3% 3,8% 0,0% 0,7% 0,7% 9,1% 6,6% 27,3% 0,0% 43,4% FI 8,7% 4,1% 0,1% 0,5% 4,0% 4,0% 7,2% 35,6% 0,1% 35,7% FR 9,6% 5,4% 0,0% 1,3% 0,7% 3,9% 6,3% 24,5% 0,1% 48,1% GB 7,7% 6,8% 0,2% 1,0% 4,1% 14,3% 18,6% 27,9% 1,7% 17,9% GR 3,8% 0,5% 0,0% 0,0% 0,0% 8,6% 6,7% 7,2% 1,4% 71,8% HU 2,9% 0,2% 0,0% 0,0% 0,0% 0,6% 1,8% 29,4% 0,4% 64,7% IE 5,1% 4,0% 0,0% 0,3% 1,7% 1,1% 3,5% 55,8% 2,3% 26,2% IT 9,3% 4,0% 0,0% 0,4% 1,0% 16,5% 21,5% 15,7% 0,0% 31,5% LT 0,0% 6,3% 0,0% 0,0% 0,0% 0,0% 12,5% 31,3% 0,0% 50,0% LU 7,1% 2,8% 0,0% 0,0% 0,2% 6,2% 6,0% 17,7% 0,0% 60,1% LV 4,1% 2,7% 0,0% 0,0% 0,0% 1,4% 2,7% 13,5% 0,0% 75,7% MT 4,9% 1,2% 0,0% 1,2% 1,2% 1,2% 6,1% 48,8% 0,0% 35,4% NL 6,0% 5,3% 1,7% 1,5% 3,9% 0,5% 2,9% 46,0% 0,7% 31,5% PL 15,7% 2,5% 0,0% 0,2% 0,2% 12,5% 12,7% 15,5% 0,0% 40,6% PT 9,7% 3,1% 0,0% 0,3% 0,8% 6,8% 13,6% 16,0% 0,0% 49,7% RO 7,0% 1,8% 0,0% 0,0% 0,0% 12,3% 1,8% 7,0% 0,0% 70,2% SE 5,3% 4,8% 0,0% 0,7% 5,2% 1,1% 2,5% 35,7% 0,1% 44,6% SI 5,7% 1,1% 0,0% 0,4% 0,0% 7,2% 4,5% 9,8% 22,3% 49,1% SK 10,5% 2,4% 0,0% 0,0% 0,0% 4,8% 8,1% 35,5% 0,0% 38,7% Total 8,9% 5,2% 0,2% 0,7% 1,8% 9,7% 11,1% 23,8% 0,5% 38,1%

21 Applicants across size-types

22 Effective SME vs. large company applicants Country 'Large' Small Matched but unknown Not Matched AT BE BG CY CZ DE DK EE ES FI FR GB GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK

23 Effective SME vs. large company applicants Country 'Large' Small Matched but unknown Not matched AT 15,7% 20,4% 17,5% 46,4% BE 17,6% 11,2% 40,7% 30,5% BG 21,5% 10,3% 10,3% 57,9% CY 2,0% 4,1% 19,2% 74,7% CZ 16,8% 30,8% 19,6% 32,8% DE 17,1% 22,9% 14,2% 45,8% DK 9,6% 21,5% 27,4% 41,5% EE 5,4% 34,8% 17,9% 42,0% ES 12,2% 17,1% 27,3% 43,4% FI 12,8% 15,7% 35,7% 35,7% FR 15,0% 12,2% 24,6% 48,1% GB 14,6% 37,9% 29,6% 17,9% GR 4,3% 15,3% 8,6% 71,8% HU 3,1% 2,3% 29,8% 64,7% IE 9,1% 6,6% 58,1% 26,2% IT 13,4% 39,4% 15,8% 31,5% LT 6,3% 12,5% 31,3% 50,0% LU 9,9% 12,3% 17,7% 60,1% LV 6,8% 4,1% 13,5% 75,7% MT 6,1% 9,8% 48,8% 35,4% NL 13,0% 8,8% 46,7% 31,5% PL 18,2% 25,7% 15,5% 40,6% PT 12,8% 21,5% 16,0% 49,7% RO 8,8% 14,0% 7,0% 70,2% SE 10,1% 9,5% 35,8% 44,6% SI 6,8% 12,1% 32,1% 49,1% SK 12,9% 12,9% 35,5% 38,7%

24 Effective SME vs. large company applicants

25 Applications across size-types (#) Country Large Small - large group Small - maj. owned by public body Small - maj. owned by institutional investor Small - small group Small - maj. owned by individual Small & independent Small with insufficient ownership info Matched but insuff. fin. & ownership info Not matched AT BE BG CY CZ DE DK EE ES FI FR GB GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK Total

26 Applications across size-types (%) Country Large Small - large group Small - maj. owned by public body Small - maj. owned by institutional investor Small - small group Small - maj. owned by individual Small & independent Small with insufficient ownership info Matched but insuff. fin. & ownership info Not matched AT 43,9% 5,1% 1,5% 0,4% 0,0% 5,1% 6,4% 11,1% 0,0% 26,5% BE 59,4% 5,7% 0,0% 1,7% 0,2% 0,3% 8,9% 12,7% 0,0% 11,1% BG 19,5% 1,6% 0,0% 0,5% 0,0% 6,3% 3,2% 7,4% 0,0% 61,6% CY 1,1% 2,6% 0,0% 0,0% 0,2% 0,5% 0,8% 8,0% 21,5% 65,3% CZ 25,3% 3,9% 0,0% 0,0% 0,5% 11,2% 7,9% 17,9% 0,0% 33,3% DE 55,9% 7,6% 0,1% 0,1% 0,2% 9,7% 3,0% 7,7% 0,0% 15,6% DK 52,0% 3,5% 0,0% 1,2% 2,7% 1,0% 10,9% 11,6% 0,1% 17,0% EE 3,5% 2,2% 0,0% 2,2% 0,0% 10,2% 24,3% 17,7% 0,0% 39,8% ES 28,5% 5,5% 0,0% 1,7% 1,1% 5,5% 5,9% 19,3% 0,0% 32,5% FI 72,7% 1,7% 0,0% 0,1% 0,8% 0,8% 2,3% 9,3% 0,1% 12,1% FR 62,5% 4,1% 0,0% 1,1% 0,2% 1,2% 2,9% 8,3% 0,0% 19,7% GB 44,3% 11,0% 0,4% 0,6% 4,7% 5,5% 10,2% 16,9% 1,0% 5,4% GR 4,3% 1,0% 0,0% 0,0% 0,0% 11,1% 6,1% 5,8% 0,7% 71,0% HU 18,4% 0,1% 0,0% 0,0% 0,0% 0,2% 0,9% 18,1% 0,1% 62,3% IE 17,6% 11,8% 0,0% 0,1% 1,9% 0,7% 2,0% 39,5% 1,5% 25,0% IT 40,3% 4,2% 0,0% 0,3% 1,0% 9,2% 13,0% 10,2% 0,0% 21,8% LT 0,0% 7,4% 0,0% 0,0% 0,0% 0,0% 7,4% 33,3% 0,0% 51,9% LU 24,1% 1,4% 0,0% 0,0% 0,0% 2,2% 2,1% 27,6% 0,0% 42,5% LV 3,1% 1,0% 0,0% 0,0% 0,0% 0,3% 2,4% 5,9% 0,0% 87,2% MT 13,1% 0,7% 0,0% 0,2% 1,6% 0,7% 6,8% 62,0% 0,0% 14,8% NL 72,4% 4,5% 0,3% 0,7% 1,2% 0,1% 0,8% 11,0% 0,3% 8,7% PL 24,4% 7,9% 0,0% 0,2% 0,3% 7,8% 17,8% 9,2% 0,0% 32,5% PT 21,8% 6,2% 0,0% 0,4% 1,1% 5,9% 19,8% 14,1% 0,0% 30,7% RO 5,3% 2,1% 0,0% 0,0% 0,0% 12,6% 1,1% 14,7% 0,0% 64,2% SE 41,1% 3,6% 0,0% 0,8% 2,8% 0,5% 2,7% 11,0% 0,0% 37,4% SI 8,1% 0,7% 0,0% 0,1% 0,0% 2,5% 2,6% 4,2% 29,1% 52,9% SK 19,3% 5,9% 0,0% 0,0% 0,0% 12,1% 8,2% 28,2% 0,0% 26,2% Total 54,8% 6,2% 0,1% 0,5% 1,1% 5,5% 4,4% 10,2% 0,2% 16,9%

27 Applications across size-types (%)

28 Effective SME vs. large company applications (#) Country 'Large' Small Matched but unknown Not matched AT BE BG CY CZ DE DK EE ES FI FR GB GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK Total

29 Effective SME vs. large company applications (%) Country 'Large' Small Matched but unknown Not matched AT 50,4% 12,0% 11,1% 26,5% BE 65,1% 11,1% 12,7% 11,1% BG 21,1% 10,0% 7,4% 61,6% CY 3,6% 1,5% 29,5% 65,3% CZ 29,2% 19,6% 17,9% 33,3% DE 63,6% 13,0% 7,7% 15,6% DK 55,5% 15,8% 11,7% 17,0% EE 5,8% 36,7% 17,7% 39,8% ES 34,0% 14,2% 19,3% 32,5% FI 74,5% 4,1% 9,3% 12,1% FR 66,7% 5,4% 8,3% 19,7% GB 55,7% 21,0% 18,0% 5,4% GR 5,3% 17,2% 6,5% 71,0% HU 18,4% 1,1% 18,2% 62,3% IE 29,4% 4,7% 40,9% 25,0% IT 44,5% 23,4% 10,2% 21,8% LT 7,4% 7,4% 33,3% 51,9% LU 25,5% 4,4% 27,6% 42,5% LV 4,2% 2,8% 5,9% 87,2% MT 13,8% 9,4% 62,0% 14,8% NL 77,2% 2,8% 11,3% 8,7% PL 32,3% 26,0% 9,2% 32,5% PT 28,0% 27,2% 14,1% 30,7% RO 7,4% 13,7% 14,7% 64,2% SE 44,7% 6,9% 11,0% 37,4% SI 8,8% 5,1% 33,2% 52,9% SK 25,2% 20,3% 28,2% 26,2% Total 61,2% 11,5% 10,4% 16,9%

30 Effective SME vs. large company applications (%)

31 Stratification of population ctry Quantile Patent volume Large Small Matched but unknown Not matched thresholds Applts. Patents Applts. Patents Applts. Patents Applts. Patents AT 1 > AT AT 3 < BE 1 > BE BE 3 < BG 1 > BG BG 3 < CY 1 > CY CY 3 < CZ 1 > CZ CZ 3 < DE 1 > DE DE 3 < DK 1 > DK DK 3 < EE 1 > EE EE 3 < ES 1 > ES ES 3 < FI 1 > FI FI 3 < FR 1 > FR FR 3 < GB 1 > GB GB 3 < GR 1 > GR GR 3 < HU 1 > HU HU 3 <

32 Stratification of population ctry Quantile Matched but Patent volume Large Small Not matched unknown thresholds Applts. Patents Applts. Patents Applts. Patents Applts. Patents IE 1 > IE IE 3 < IT 1 > IT IT 3 < LT 1 > LT LT 3 < LU 1 > LU LU 3 < LV 1 > LV LV 3 < MT 1 > MT MT 3 < NL 1 > NL NL 3 < PL 1 > PL PL 3 < PT 1 > PT PT 3 < RO 1 > RO RO 3 < SE 1 > SE SE 3 < SI 1 > SI SI 3 < SK 1 > SK SK 3 <

33 Strata sample verification: web search approach matched but size unknown Not matched Patent volume Gov./research institute Gov./research Ctry Quantile Large2 SME Individual unknown Large SME individual unknown thresholds owned Total institute owned Total # % # % # % # % # % # % # % # % # % # % AT 1 > % 1 33% 0% 0% 0% % 0% 0% 0% 0% 5 AT % 1 20% 0% 0% 0% % 0% 0% 0% 0% 5 AT 3 < % 15 83% 0% 0% 0% % 7 26% 1 4% 2 7% 4 15% 27 BE 1 > BE % 1 25% 0% 0% 0% % 0% 0% 0% 0% 5 BE 3 < % 10 56% 1 6% 0% 4 22% % 3 23% 1 8% 0% 0% 13 BG 1 > 4 0% 0% 0% 0% 1 100% % 3 60% 0% 0% 1 20% 5 BG % 3 60% 0% 0% 1 20% 5 0% 1 20% 1 20% 2 40% 1 20% 5 BG 3 < CY 1 > % 2 40% 0% 0% 0% % 1 20% 0% 0% 1 20% 5 CY % 4 80% 0% 0% 1 20% % 3 60% 0% 0% 1 20% 5 CY 3 < 4 0% 4 80% 0% 0% 1 20% 5 0% 2 40% 0% 0% 3 60% 5 CZ 1 > % 0% 0% 0% 0% % 0% 1 20% 0% 0% 5 CZ % 5 100% 0% 0% 0% % 0% 0% 0% 0% 5 CZ 3 < % 4 80% 0% 0% 0% % 3 60% 0% 0% 0% 5 DE 1 > % 0% 0% 0% 0% % 0% 0% 0% 0% 2 DE % 0% 0% 0% 1 20% % 0% 0% 0% 0% 5 DE 3 < % % 0% 0% 36 23% % 68 25% 3 1% 5 2% 75 28% 267 DK 1 > DK % 3 60% 0% 0% 0% % 0% 0% 0% 0% 5 DK 3 < % 12 57% 0% 0% 7 33% % 9 32% 0% 3 11% 9 32% 28 EE 1 > % 3 75% 0% 0% 0% 4 0% 3 100% 0% 0% 0% 3 EE % 2 40% 0% 0% 1 20% % 4 80% 0% 0% 0% 5 EE 3 < % 3 60% 0% 0% 1 20% % 3 60% 0% 0% 1 20% 5 ES 1 > % 3 60% 0% 0% 0% % 0% 0% 0% 0% 5 ES % 3 60% 0% 0% 0% % 1 17% 0% 0% 1 17% 6 ES 3 < 4 0% % 0% 0% 0% % 11 35% 1 3% 3 10% 4 13% 31 FI 1 > FI % 0% 0% 0% 0% 2 FI 3 < % 15 68% 0% 0% 2 9% % 8 40% 0% 0% 6 30% 20 FR 1 > % 0% 0% 0% 0% % 0% 0% 0% 0% 1 FR % 2 40% 0% 0% 0% % 0% 0% 0% 0% 5 FR 3 < % 53 88% 1 2% 0% 1 2% % 28 29% 4 4% 2 2% 19 20% 97 GB 1 > % 1 33% 1 33% 0% 0% % 0% 0% 0% 0% 1 GB % 5 71% 0% 0% 0% % 2 40% 0% 0% 2 40% 5 GB 3 < % % 1 1% 0% 11 8% % 26 47% 1 2% 3 5% 12 22% 55 GR 1 > 11 0% 2 100% 0% 0% 0% % 0% 0% 0% 0% 4 GR % 2 40% 0% 0% 2 40% 5 0% 1 20% 0% 2 40% 2 40% 5 GR 3 < 3 0% 2 40% 0% 0% 3 60% % 0% 0% 0% 3 60% 5 HU 1 > % 0% 0% 0% 0% 2 HU % 4 80% 1 20% 0% 0% % 3 60% 0% 0% 0% 5 HU 3 < % 3 60% 0% 1 20% 0% % 1 17% 0% 3 50% 1 17% 6 IE 1 > % 4 80% 0% 0% 0% % 0% 0% 0% 0% 3 IE % 4 80% 0% 0% 1 20% % 0% 1 20% 0% 0% 5 IE 3 < 12 0% % 0% 0% 0% % 2 33% 0% 0% 2 33% 6 IT 1 > % 0% 0% 0% 0% % 0% 0% 0% 0% 5 IT % 6 86% 0% 0% 0% % 1 20% 0% 0% 0% 5 IT 3 < 9 4 5% 68 93% 0% 0% 1 1% % 37 51% 2 3% 1 1% 16 22% 72 LT 1 > 3 0% 1 100% 0% 0% 0% % 0% 1 50% 0% 0% 2 LT % 1 50% 0% 0% 0% 2 0 LT 3 < 1 0% 2 100% 0% 0% 0% % 1 20% 1 20% 1 20% 0% 5 LU 1 > 203 0% 2 100% 0% 0% 0% 2 0 LU % 2 50% 0% 0% 2 50% % 1 20% 0% 0% 1 20% 5 LU 3 < 16 0% 5 100% 0% 0% 0% % 1 13% 0% 0% 6 75% 8 LV 1 > % 0% 0% 1 50% 0% 2 LV % 1 20% 0% 4 80% 0% 5 LV 3 < 4 0% 3 60% 0% 0% 2 40% 5 0% 3 60% 0% 1 20% 1 20% 5 MT 1 > 28 0% 0% 0% 0% 1 100% 1 0 MT % 3 60% 0% 0% 1 20% 5 0% 2 100% 0% 0% 0% 2 MT 3 < 7 0% 3 60% 0% 0% 2 40% % 3 60% 0% 0% 1 20% 5 NL 1 > NL % 0% 0% 0% 0% 1 NL 3 < % 56 84% 1 1% 0% 4 6% % 19 44% 0% 2 5% 7 16% 43 PL 1 > % 1 33% 0% 0% 0% 3 PL % 3 60% 0% 0% 1 20% % 0% 2 40% 0% 0% 5 PL 3 < % 2 40% 0% 0% 1 20% % 0% 2 40% 2 40% 0% 5 PT 1 > 15 0% 1 50% 0% 0% 1 50% 2 0% 1 100% 0% 0% 0% 1 PT % 4 80% 0% 0% 0% % 1 20% 0% 0% 2 40% 5 PT 3 < 2 0% 4 80% 0% 0% 1 20% 5 0% 1 20% 0% 2 40% 2 40% 5 RO 1 > % 1 33% 0% 0% 1 33% % 3 60% 0% 0% 0% 5 RO % 5 100% 0% 0% 0% % 2 40% 0% 0% 0% 5 RO 3 < SE 1 > % 0% 0% 0% 0% 1 SE % 0% 0% 0% 0% % 0% 0% 0% 0% 5 SE 3 < % 26 55% 0% 2 4% 13 28% % 20 36% 0% 4 7% 13 24% 55 SI 1 > % 0% 0% 0% 0% 1 SI % 2 40% 0% 0% 0% % 1 20% 0% 0% 0% 5 SI 3 < 8 0% 5 100% 0% 0% 0% % 3 60% 0% 0% 1 20% 5 SK 1 > 8 0% 2 100% 0% 0% 0% 2 0 SK % 2 40% 0% 0% 2 40% % 1 20% 0% 0% 1 20% 5

34 Extrapolation to population: applicants (#) Ctry 'Large' Unknown - Unknown - matched non-matched SME AT BE BG CY CZ DE DK EE ES FI FR GB GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK Total

35 Extrapolation to population: applicants (%) Country 'Large' Unknown - non-matched Unknown - matched SME AT 47% 0% 7% 47% BE 51% 9% 0% 40% BG 47% 5% 15% 34% CY 8% 4% 37% 51% CZ 42% 0% 0% 58% DE 41% 6% 13% 40% DK 25% 11% 14% 50% EE 21% 5% 6% 68% ES 36% 0% 6% 58% FI 33% 4% 11% 53% FR 43% 0% 9% 47% GB 27% 4% 4% 66% GR 32% 9% 41% 18% HU 34% 0% 12% 54% IE 19% 1% 8% 72% IT 24% 0% 7% 68% LT 51% 0% 0% 49% LU 19% 0% 43% 38% LV 10% 8% 16% 66% MT 14% 20% 7% 60% NL 28% 3% 5% 64% PL 64% 6% 0% 29% PT 25% 3% 23% 50% RO 51% 2% 0% 48% SE 31% 11% 11% 47% SI 21% 0% 9% 70% SK 40% 15% 8% 37% EU-27 34% 4% 9% 53%

36 Extrapolation to population: applicants (%) 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% AT BE BG CY CZ DE DK EE ES FI FR GB GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK EU-27 47% 0% 7% 47% 51% 9% 0% 40% 47% 5% 15% 34% 8% 4% 37% 51% 42% 0% 58% 41% 6% 13% 40% 25% 11% 14% 50% 21% 5% 36% 33% 43% 27% 32% 34% 19% 24% 19% 10% 8% 14% 28% 25% 31% 21% 1% 8% 0% 51% 0% 49% 0% 43% 38% 16% 66% 20% 3% 51% 0% 9% 40% 6% 68% 0% 6% 58% 4% 11% 53% 0% 9% 47% 4% 4% 66% 9% 41% 0% 12% 54% 72% 7% 68% 7% 60% 3% 5% 64% 64% 6% 0% 29% 23% 50% 2% 48% 11% 11% 47% 70% 15% 8% 37% 34% 4% 9% 53% 18% 'Large' Unknown - non-matched Unknown - matched SME

37 AT BE BG CY CZ DE DK EE ES FI FR GB GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK EU Extrapolation to population: applications (#) Country Large Unknown - matched Unknown - non-matched SME

38 Extrapolation to population: applications (%) Country 'Large' Unknown Unknown - nonmatched - matched Small AT 77% 2% 0% 21% BE 80% 0% 3% 18% BG 42% 14% 6% 37% CY 28% 22% 2% 47% CZ 63% 0% 0% 37% DE 85% 3% 2% 10% DK 67% 4% 4% 26% EE 20% 3% 4% 73% ES 61% 4% 0% 35% FI 84% 2% 1% 13% FR 83% 2% 0% 14% GB 62% 1% 1% 35% GR 46% 25% 7% 23% HU 58% 4% 0% 38% IE 51% 3% 3% 44% IT 61% 2% 0% 37% LT 60% 0% 0% 40% LU 42% 19% 3% 36% LV 34% 9% 5% 52% MT 20% 2% 37% 41% NL 84% 1% 1% 15% PL 66% 0% 4% 30% PT 39% 12% 3% 46% RO 47% 0% 6% 48% SE 79% 3% 3% 16% SI 63% 3% 0% 34% SK 45% 5% 11% 39% EU-27 79% 2% 1% 17%

39 Extrapolation to population: applications (%) 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% AT BE BG CY CZ DE DK EE ES FI FR GB GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK EU-27 20% 20% 28% 42% 3% 63% 61% 62% 46% 58% 51% 61% 60% 42% 34% 2% 39% 47% 45% 4% 67% 66% 63% 77% 80% 22% 79% 79% 85% 84% 83% 9% 5% 37% 84% 12% 0% 5% 14% 2% 6% 0% 73% 4% 0% 1% 1% 25% 4% 0% 3% 3% 2% 0% 0% 19% 3% 3% 6% 11% 4% 0% 4% 3% 0% 4% 2% 0% 0% 3% 37% 47% 37% 3% 2% 26% 21% 18% 10% 35% 2% 1% 13% 2% 0% 14% 35% 7% 23% 38% 44% 37% 40% 36% 52% 41% 1% 15% 30% 46% 48% 3% 3% 16% 34% 39% 2% 1% 17% Large Unknown - non-matched Unknown - matched SME

40 Benchmark data (application %) Country 'Large' Extrapolation results Unknown - nonmatched Unknown - matched Benchmark SME shares Iversen et al. (2009) (EPO applications dependent & independent SMEs - employee counts as size criterium) Perrin & Speck (2004) (national route INPI applications in independent SMEs - employee counts as size criterium) SME Iversen et al. (2009) Perrin & Speck (2004) Squicciarini & Dernis (2012) Helmers & Rogers (2009) AT 77% 2% 0% 21% ±32% BE 80% 0% 3% 18% ±30% DE 85% 3% 2% 10% ±17% DK 67% 4% 4% 26% 43% ES 61% 4% 0% 35% ±50% FI 84% 2% 1% 13% 27% ±21% FR 83% 2% 0% 14% 20% ±14% GB 62% 1% 1% 35% 49% IE 51% 3% 3% 44% ±52% IT 61% 2% 0% 37% ±34% NL 84% 1% 1% 15% ±6% SE 79% 3% 3% 16% 34% ±17% Squicciarini & Dernis (2012) (EPO, USPTO & PCT applications dependent and independent SMEs - employee counts as size-criterium) Helmers & Rogers (2009) (UK national patent office, EPO & PCT applications (EPO % is reported here) SMEs not ultimately owned by large (British) groups - total assets as size-criterium)

41 Future improvements Reliance on most recent financial and ownership information only growth dynamics of patenting companies and M&A activity meanwhile are neglected: for instance large company or SME part of international group now could have been an independent SME back in year 2000 Solutions: Smaller time window Mapping appln. filing year to financial information and ownership information for corresponding financial year

42 Contribution of this research Scope of exercise: full EU-27 Use of comprehensive SME definition Incorporating shareholder information Dataset and deducted indicators on SME contribution in technology development with this scope and coverage provides a number of applied research perspectives: Technology management in SMEs Innovation policy assessment