Blind - Standardisation and standards as research and innovation indicators

Standardization and Standards as Research and Innovation Indicators:

Current opportunities and future challenges

Knut Blind

Professor for Innovation Economics at the Technische Universität Berlin

in collaboration with the Fraunhofer Institute for Open Communication Systems FOKUS

OECD Blue Sky III

Ghent, September 20th 2016

Content

1. Introduction

2. Heuristic model of standardization and standards implementation

3. Types of standards and their effects on innovation

4. Standards in the research and innovation process

5. Publishing, patenting and standardization activities

6. References between publications, patents and standards

7. Cumulative number of standard essential patents (SEP)

8. The German Standardization Panel

9. Summary of opportunities and challenges

10. The Integrated Approach: Standardisation at the Service of Research and Innovation

11. Examples of research and innovation policy initiatives

Introduction

Standard:

“document, established by consensus and approved by a recognized body, that provides, for common and repeated use, rules, guidelines or characteristics for activities or their results, aimed at the achievement of the optimum degree of order in a given context” (ISO/IEC Guide 2 (2004))

Standardization:

activity of establishing, with regard to actual or potential problems, provisions for common and repeated use, aimed at the achievement of the optimum degree of order in a given context (ISO/IEC Guide 2 (2004))

Key principles in standard development (Source: ISO)

• respond to a need in the market • based on global expert opinion • developed through a multi-stakeholder process • based on a consensus

International system of standardization bodies

General Electrical Tele-

communi-cation

International ISO IEC ITU

European CEN CENELEC ETSI (direct participation)

National AFNOR, ANSI, BSI, DIN, etc.

BSI, CEI, DKE National regulatory

bodies (former

PTOs)

JTC1

Source: Blind 2016

Formal and informal standardization and standards

„priv

ate

sta

ndard

s“

Source: DIN

Heuristic model of standardization and standards implementation

Source: Blind et al. 2013

Types of standards and their effects on innovation

Positive Effects on

Innovation

Negative Effects on

Innovation

Compatibility / Interoperability

Network externalities Avoiding lock-in old technologies Increasing variety of system products Efficiency in supply chains

Monopoly power Lock in in old technologies in case of strong network externalities

Minimum Quality/ Safety

Avoiding adverse selection Creating trust Reducing transaction costs

Raising rival’s costs

Variety Reduction

Economies of scale on supply Critical mass in emerging technologies and industries

Reducing choice Market concentration Premature selection of technologies

Information Providing codified knowledge Source: Blind 2016 modifying Blind 2004 based on Swann 2000

Standards in the research and innovation process

Source: Blind and Gauch 2009

Compatibility, HSE

Interfaces

Measurement & testing

Sta

nd

ard

izatio

n

Semantics

Diffusion

Experimental

development

Applied research

Oriented basic research

Pure basic research

R&

D&

I

Publishing, patenting and standardization activities

Source: Blind 2016 based on German CIS (Rammer et al.

2016) and French CIS (Simeth and Raffo 2013)

Publishing Patenting

Standardizing

10% 10%

10%

~1%

4.5%

min. 4%

~1%

Only publishing

max.

1.5%

Only patenting

max.1.5

%

Only standardising

max. 5%

References between publications, patents and standards

Source: Blind 2016

Cumulative number of standard essential patents (SEP)

Source: IPlytics 2015

0

20000

40000

60000

80000

100000

120000

140000

160000

180000

2000001

98

0

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

20

10

20

11

20

12

20

13

20

14

Lapsed cumul Expired cumul Active cumul

The German Standardization Panel (Das Deutsche Normungspanel)

Objectives:

Promotion of standardization research via setting up a database

Promotion of standardization as innovation strategy

Promotion of standardization as instrument of innovation policy

Implementation:

Annual survey of companies active in standardization to set up a panel started in 2012 and meanwhile under the patronage of the Federal Ministry for Economic Affairs and Energy BMWi

Matching with other data sources

Special topics:

Certification TTIP China Digitalization Internet of Things

Summary of opportunities and challenges

First attempts show promising avenues for future research

But:

- No common database

- across countries and regions

- across formal and informal standards setting organizations

- including the contributors to standardization

- covering the implementation of standards

- providing longitudinal long-term data

The Integrated Approach: Standardisation

at the Service of Research and Innovation

• Identifying standardisation • potential of project results

• Using role of • standardisation • as a selection criteria •

Sta

nd

ard

isatio

n

• Screening existing standards and • needs for standards

• Evaluation of programmes • and projects

• Protection, diffusion and • implementation of projects results

• Performing projects

• Drafting programmes • and proposals

• Identifying new areas

•R

&D

&I

• Standards and standardisation • as transfer channel

• Standardisation and standards • as output evaluation criteria

Identifying standardisation potential of project results

Using role of standardisation as a selection criteria S

tan

dard

isatio

n

Screening existing standards and needs for standards

Evaluation of programmes and projects

Protection, diffusion and implementation of projects results

Performing projects

Drafting programmes and proposals

Identifying new areas

R&

D&

I

Standards and standardisation as transfer channel

Standardisation and standards as output evaluation criteria

Source: CEN CENELEC STAIR 2010

European policy announcements highlighted important role that standardization

can play to enable dissemination of knowledge and interoperability between

new products and services and provide a platform for further innovation:

• Lead Market Initiative (Jan 2008)

• Council Conclusions on Standardization and Innovation (Sept 2008)

• Innovation Union Communication (Oct 2010)

• Horizon 2020 Framework Programme for Research and Innovation (Nov 2011)

• Regulation (EU) No 1025/2012 of the European Parliament and of the Council

of 25 October 2012 on European standardization

National activities: e.g. Germany: Knowledge Transfer via Patents and Standards

((WIPANO (relaunched Dez 2015))

Examples of research and innovation policy initiatives

Thank you for your attention!

Contact Details

Knut Blind

Technical University of Berlin

MAR 2-5

Marchstraße 23

10587 Berlin

Germany

Phone: +49 30-314-76638

Fax: +49 30-314-76678

e-mail: [email protected]

WEB: http://inno.tu-berlin.de

Twitter: @KnutBlind