Technological specialization
Technological specialization of countries: rationale and approach. Patent analysis as a methodology for studies of technological specialization. Patent Analysis for Technological Specialization of Brazil and its dynamics: results and discussion.
| Рубрика | Международные отношения и мировая экономика |
| Вид | дипломная работа |
| Язык | английский |
| Дата добавления | 18.08.2018 |
| Размер файла | 1,4 M |
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Table of Contents
- List of Figures
- Summary
- Introduction
- Chapter 1. Technological specialization of countries: rationale and approach
- 1.1 Relevance of specialization analysis
- 1.2 Patent analysis as a methodology for studies of technological specialization
- 1.2.1 Indicators classification
- 1.2.2 Sources of information
- 1.2.3 Limitations of the approach
- Chapter 2. Prerequisites of technological competitiveness of Brazil
- 2.1 Economics of Brazil and STI funding
- 2.2 Institutional Framework and Key actors of STI development in Brazil
- 2.3 Research Profile of Brazil: Publications Analysis
- Chapter 3. Theoretical and Methodological Foundations of the Research
- 3.1 Current studies in technological development and technological specialization of Brazil
- 3.2 Patent Analysis for Technological Specialization of Brazil: Methodology
- Chapter 4. The technological specialization of Brazil and its dynamics: Results and discussion
- 4.1 Total Patent Applications by Technology
- 4.2 Technology Share
- 4.3 Concentration Indexes (C5, C10)
- 4.4 Country Share
- 4.5 Revealed Technology Advantage
- 4.6 Combined Indicators Analysis: Identification of Technological Capabilities and Potential
- 4.7 National Leaders in the Fields of High Potential
- Chapter 5. Discussion and Conclusions
- References
- Appendix
List of Figures
Figure 1: GDP Brazil (2007-2016).24
Figure 2:: GDP Annual Growth - Brazil (2007-2016).25
Figure 3: GDP Expenditures in R&D in Brazil (2005-2014).26
Figure 4: GDP Expenditures in S&T by Activity in Brazil (2005-2014).26
Figure 5: Total Number of Publications in Brazil (2007-2016).32
Figure 6: Major Institutions for incentive of scientific research in Brazil (2007-2016).33
Figure 7: Number of Brazilian articles indexed in Scopus. (2007-2016).33
Figure 8: Representation of the total number of Brazilian articles indexed in Scopus worldwide (2007-2016).34
Figure 9: Most relevant Publications fields between Brazilian Articles Indexed by Scopus (2007-2016).35
Figure 10: RTA rationale.42
Figure 11: Total Patent Applications in Brazil (2007-2016).44
Figure 12: Total Patent Applications Worldwide (2007-2016).45
Figure 13: Variation of the total number of patent applications in Brazil vs Worldwide (2007-2016).45
Figure 14: Total Country Share - Brazil (2007-2016).51
Summary
The study is aimed to identify the technological domains which might be considered of high potential for Brazil to compete on the global arena. This topic is addressed in the research with a use of the patent analysis methodology which is an internationally used and validated approach to assess countries' technological profiles and technological specialization.
As a result of this study, a list of technological domains was identified, in which Brazil seems to have strong capabilities. It includes Medical Technology; Pharmaceuticals; Basic Materials Chemistry; Materials, Metallurgy; Chemical Engineering; Handling; Engine, pumps, turbines; Other Special Machines; Mechanical elements; Transport; Furniture, Games; Other Consumer Goods; Civil engineering.
An in-depth patent analysis, conducted in some of the domains of specialization and showed the organizations and institutions that are the leaders of technological activity in Brazil and the importance they have for the technological development of the country.
This research concludes that Brazil has mixed specialization domains, with strong focus in low-medium technological activities such as agribusiness and natural resources exploration and development of machinery and technologies related to these fields. Additionally, the growth in the investments in S&T development inside the country, and the creation of policies and incentives for the growth of related activities has been proven to generate a fruitful environment for potential new fields of specialization related to high-technological activities.
KEYWORDS: Technology Specialization, Brazil, Patent Analysis
Introduction
It is widely recognized that the rapid technological progress and the high demand for the immediate application of new technologies in practice are the essential attributes of nowadays society (Wong, Singh, 2005). There is no turning back from the technological uprising and the social, economic and industrial transformations that come with advancement of technologies.
Technological development might influence positively not only the internal welfare of countries and their economic growth, but also their international positioning and competiveness on the global arena (Dollar, 1993; Mancusi, 2001). In the globalized and connected world, an important role for nations' prosperity is played by their ability to `build into' the global agenda, to find their specific place in the common system of production - of goods, services, knowledge and technologies (Foray, 2006). Among all, this increases the significance of technological specialization of countries, which is often regarded as one of the main determinants of competitiveness and economic performance (Archibungi, Pianta, 1992; Gibson, Naquin, 2011; Homos, et al., 1987; Picci, Savorelli 2013).
The main prerequisite of the rational and effective planning of a country's technological development is a timely identification of the areas of its high potential - those with considerable reserves and groundwork. This task is not a new one in the field of academic research - the studies on technological profiles and specialization of various countries have been widely published in the recent decades worldwide. A number of studies explore the available metrics and methodologies to be used for national technological profiles analysis (Archibugi, Pianta, 1992; Pianta, Meliciani, 1996; Picci, Savorelli, 2013; etc.). Another strand of literature employs these approaches and explores the actual situation in different countries or their groupings (Britton, 1996; Jacobsson, Philipson, 1996; OECD, 2013; Wong, Singh, 2005; etc.). The latter category has an evident practical relevance and seems to contribute a lot to policy-making and public and private investment strategies on national level. Despite of potential benefit, almost no research to date have addressed the issue of technological specialization of Brazil. A few studies on this country's case refer mainly to the state-of-art of some separate domains and industries: automotive (Rasiah, 2011), computer (de Matos, de Queiroz, 2013), electronics (Frischtak, 1990). As a result, it remains largely unclear what are the technological domains where Brazil has at least some potential to improve and compete, who are the main drivers of the progress in these domains. Therefore, exploration of this topic presents a worthwhile research avenue and this study aims to bridge the existing gap in knowledge via the exploration of the achieved results and current trends in all the fields of technologies. It will help better understanding of the Brazilian potential to compete in the sphere of technological development.
In order to achieve the stated purpose of the research, I will employ a patent analysis methodology - a group of methods traditionally used to work with patent data. This is a formalized and broadly accepted approach in the field of technological specialization analysis (Archibugi, Pianta, 1992; Gokhberg, 2003). Patenting is one of the dominant strategies of intellectual property protection, and thus patent data might be considered as a reliable representation of the process of new technologies development. Due to its highly formalized nature and commonly shared indicators, patent data allows researchers a cross-country comparative analysis, which is another advantage of the chosen methodology.
All the research steps undertaken to apply the patent analysis methodology to answer the research questions are discussed in details in this master thesis. Chapter 1 provides the background of this research: it clarifies the key definitions, argues on the importance of technological specialization analysis and patent analysis as one of the most influential approaches in the field, and presents the main indicators traditionally used to answer research questions similar to those raised in the project. Chapter 2 discusses the current framework conditions for technological development of Brazil: its economic situation, support for STI, the most important policy-makers and contributors to technologies development, scientific profile of the country. Chapter 3 summarizes the results of the previous studies which explore the Brazil's potential in various technological domains, and presents the methodology used in this research to address the topic. Chapter 4 presents the results of this study and concludes with an answer to the research question - provides a list of technological domains which might be considered of a high potential for further development and support in the country. Finally, Conclusions sum up the major findings and offer the directions for their practical implementation and for future studies in the field.
Chapter 1. Technological specialization of countries: rationale and approach
The changes that occurred in global economy in the latest decades, like the emergence of new developing countries and their increasing participation in the world affairs, transformed the international macroeconomic scenario, increasing competition as well as raising collaboration. This competition leads the countries to organize themselves for being the leaders in specific fields of knowledge and production, which generates technological specialization. According to Porter (1985), technology, innovations and technological progress can have important strategic implications in competitiveness and a great significance for the changes that occur in the industries and economy of a country.
This chapter explores the current situation of the technological specialization field of knowledge, highlighting the most relevant studies in the area. It also highlights the importance of studying technological specialization in a politic-economic perspective. Furthermore it discusses the evolution of the field until its current state of art, commenting about the typology of the published research and the current use of these studies into generating a framework for studying technological specialization in the developing countries theme.
1.1 Relevance of specialization analysis
Technological specialization is often regarded as one of the main determinants of competitiveness and economic performance of a country (Homos, Constantin and Campeanu, 1987; Archibungi and Pianta 1992; Gibson and Naquin, 2011; Picci and Savorelli 2013). The study of specialization in technology highlights the strength and capacities of a country, from an economic and industrial perspective. Archibungi and Pianta (1992) mention that the emergence of specific fields of national specialization in industrial production is a direct result of the international integration of economic systems. Globalization, cooperation and competitiveness on a global arena, lead to national development of specialized fields of technology.
The technological specialization topic has been under discussion since 1965. The topic was first approached in the study of international trade, an article published by Balassa (1965). The author introduced the Advantage index or TRCA which is a tool that has often been applied to works based on patent data, being the precursor of several works based in his theory. In the 80`s and 90`s, technological specialization has also been extensively studied when the importance to understand its impacts and outcomes and to develop tools to analyze and measure it, was further debated, culminating in the most well-known works and the major contributors to the field. Some of these works from Archebundi and Pianta (1992) mainly studied technological specialization of developed countries. Also the study of Pianta and Meliciani (1996) opened space to the works that are being done in the field nowadays. The studies of Picci and Savorelli (2013), the OECD analytic report on the technological profile of specialization pattern of countries (2013) and also the paper of Krammer (2015) can be considered pillars for the modern developments of the field.
The studies that shift around the specialization area are a great contribution not only to the Science and Technology (S&T) field, but also for the economic development of countries. By understanding the countries specialization, a more focused attention can be brought upon the areas that are generating the higher number of new technologies and bringing prosperity to these countries. Innovation in the form of the scientific discovery and creation of new technologies, is also a driver of competitiveness (Kramer, 2015). Technological specialization, by promoting the development of some specific domains, also promotes the creation of new technologies and processes in these domains, that might evolve into innovations and commodities for generating economic development to the country.
The need to discuss technological specialization arises when a politic-economic perspective is taken under consideration. In the political aspect, the understanding of technological specialization can assist on:
- The development of national incentive policies for the growth of the already well-developed industrial segments;
- Understanding investment priorities, which makes the government investments less risky;
- Helping the countries to anticipate and prepare strategies to compete in the international market.
In the economic aspect, understanding technological specialization can assist on:
- Developing the segments of these technological domains, generating more income to the country;
- Identifying new technological trends for their further consideration in the policy making process;
- Having new incentives for the technological segments boost national production, generating economic growth.
According to Giannitsis and Kager (2009) specialization acquires economic importance especially when new knowledge translates to value creation. The strengthening of the existing technological capabilities with positive effects in economic, political and social performance, leading or the creation of new productive structures and competitive advantages as well as generating transformations of productive processes by mobilizing scientific knowledge are results of the impacts of technological specialization.
Constant changes in the national and international industry can switch the focus of the technological development and specialization of a country. Studies on this area are extremely important in assisting on the understanding of these changes, which may reduce the risk of investing in new policies and maximize the effects of investments into technological development. The fact is that governments have limited resources to apply into technologies, having studies in the field to support the decision taking process is a fundamental part for risk reduction.
technological specialization brazil
The international investments by foreign capital is another factor to take into consideration when analyzing technological specialization. Foreign companies tend to prospect their entrance in new markets by studying the areas of technological capacity of a country. According to Westphal (1987) the combination of foreign and local technological elements has an important economic significance, while nowadays, the drive for technological self-sufficiency and a failure to maintain good international economic relationships, can be paid in the high price of poor productivity. The best way to achieve this optimization is by progressively developing local capabilities in areas where they can be more efficient and counting with cross-country cooperation in their areas of specialization. In other words, the study and development of the capabilities of the countries are not only fundamental for the development of their own economy, but also extremely important in the international scheme, where the search for capabilities that are not produced inside their own territory is increasingly more important.
The changes in the national and international industry, and in the global economic market, can influence the focus of a country's technological specialization, making it a relevant topic to be addressed. Furthermore, analyzing the main areas of specialization of a country is extremely important in the process of developing, national industry and international trade policies.
In their article, Giannitsis and Kager (2009) mention that the point at issue for technological specialization, is not only technological. It is of a more complex nature, composed by: effective governance, coordination of research and technology policy, knowledge building and the shaping of productive processes. It is worth adding that international affairs and competitiveness at a global scale are also an important part of this equation.
The study of Archibugi & Pianta (1992), points out that technological specialization appear because of the international integration of the economic systems, leading to the emergence of different fields of specialization of the national industry in different countries, depending on their economic needs and available resources. The fact that each country specializes in the development of different technologies and also in the productions of goods and services is one of the main ideas for the basic rationale of the composition of a globalized international market.
Despite the fact that it is a broadly studied field, technological specialization is permanently relevant to understanding economic development and capacities of countries. Due to its importance it is still being studied. The studies in this field can be divided into two categories:
- Research that develops new metrics and methodologies for studying technological specialization. The first works of Archibugi, D., Pianta, M. (1992), Pianta, M., Meliciani, V (1996), Picci, L., Savorelli, L. (2013) are examples of this kind of papers.
- Research that use existing metrics to study different country cases. These kind of papers are a relevant exercise when applied to countries' cases. The papers Jacobsson, S. Philipson. J (1996) that applied technological specialization to the case of Sweden and Wong, P. Singh, A (2005) that focused in the study of technological specialization of Asian countries, are examples of this kind of papers.
Nowadays, technological specialization field has developed branches in different fields, one of the most relevant of these, is the field of smart specialization. The European commission defines smart specialization as a place-based approach for the identification of strategic areas for intervention based on strengths and potential economic opportunities. This tool is supported by technology driven approaches and effective monitoring mechanisms. The understanding of this narrow specialization makes an impact in not only national, global but also regional economic levels inside the countries.
1.2 Patent analysis as a methodology for studies of technological specialization
Patent data is the methodology traditionally used to analyze technologies and technological development. It provides a series of useful information that can give an overview of the areas of technological development of a country and understand this countries capabilities.
1.1.1 Rationale
The fact that patent analysis gives sufficient information to generate a scope of the countries performance in many levels of evaluation, makes it a perfect tool for studying technological specialization. Patenting is the dominant strategy of IP protection and it is internationally used, well formalized and reliable.
With this tool, there is a large amount of information that can be generated. It is possible to gather information about which industries are most impactful in each technological domain, assisting in identifying if these industries are producing new technology. Furthermore, utilizing these data of patents on analysis have many advantages in a way that there is no need to wait for these technologies to be implemented and released in the market to have information about it. The data can be analyzed from the moment that an applications for a patent is filed in a patent office, not having to wait for the results of a processes which might take years, varying from country to country. It is also important to highlight that because it is one of the fastest indicators and with it, there is a high volume of data that is formalized and collected all around the word, it allows cross-country comparative analysis of their technological specialization development.
In their work, Khramova, Meissner and Sagieva (2013), presents a series of methodological tools that can assist in determining the technological specialization of countries. Within them, patent data is a tool that allows to collect information of both in a global macroeconomic overview and in a country microeconomic scenario. According to the study, between the list of advantages of utilizing patent data, the amount of information that can be generated with this method is clearly the most appealing. Not only it contains information about the inventions and their technology domains, but also data about the inventors, assignees and companies that are the leaders in developing new technologies. This analysis also allows longitudinal studies, where we can analyze the evolution and changes that occurred in the country and their domains throughout the years.
Other studies, like the one of Webster, Jensen and Palangkaraya (2014), utilized the outcomes of applying the patent analysis tool in order to check the effect of domestic inventors in specific technological domains. They point out the basis about patent application and analysis, and present another important feature as an advantage of patent analysis that is essential for the execution of this kind of research. There is the possibility of organizing the data into patents filed by citizens or foreigners, which can represent international interest in investing in the country as, well as measuring the countries attractiveness to foreign technology.
With patent analysis working for determining technological specialization, profiles of the countries and their regions can be developed, mapping their main and industries while assisting in predicting trends and also in identifying possible cooperation within all three sectors (government, industries and education).
1.2.1 Indicators classification
A series of patent analysis indicators can be considered when technological specialization is under study. A relation of the most common indicators is presented below:
1- Number of patent applications by technologies
Patent applications are the collection of all applications that are filed into patent offices worldwide. By categorizing these patents into technological domains, it allows the visualization of the exact number of patents that are being produced in each of these technologies fields.
2- Technology share
Technology share is the percentage that each technological domain represents of the total number of patent applications by technology during specific years. This indicator can be calculated by dividing the patent applications number on the domain of interest per the total number of patent applications filed by residents of a country.
3- Country share
Country share, represents the percentage that a technological domain of a country represents of the world total applications of that domain. This indicator can be calculated by dividing the total number of applications on a technological domain of a country per the total number of applications worldwide.
4- Revealed Technological Advantage Index (RTA)
Revealed Technology advantage index provides an indicator of the relative specialization of a given country in a given technological domain. This is one of the most detailed indicators, it allows not only the measurement of patenting activity, but it also allows the simple visualization of the specialization capacities of a country. It is presented in a way that makes it easy to understand the positioning of one of the technological domains of a country in comparison with the other ones and also makes it possible to analyze it in an international scenario.
The RTA formula consists in dividing the national Technology Share in a specific domain of technology per the worldwide Technology Share in that same field.
The RTA rationale is:
If the result is <1 means the country isn't specialized in that technological domain.
If its close to 1 it shows that the country has a potential for specialization in that technological domain, being close to the average world level, but it is not yet specialized.
If the result is >1 it means the country is specialized in that technological domain.
5- Concentration Index (C5; C10)
Concentration Indexes are the sum of the most representative domains of technology share during a given period of time. This indicator assists on accessing how specialized a country is. Usually this indexes utilizes the 5 or 10 more representative domains in order to make an analysis of how specialized a country is. If the percentage of concentration is too high compared with worldwide concentration indexes it means that the technological domains that are more representative for a country are of high specialization.
6- Other Indicators
6.1 Gini Concentration Index
6.2 Technological sufficiency index
6.3 Technological dependence index
Technological specialization is normally evaluated case-by-case for different technological domains. There is a large amount of information that can be extracted from the use of these indicators, depending on the focus of the study.
Between these indicators there are those created specifically to determine technological specialization which are the Revealed Technology Advantage Index and the Concentration Index. In the case of this study, also analyzing the indicators of Patent Applications by technologies, Technology Share and Country Share will assist in determining the technological profile of the country.
There are several approaches used to determine technological domains, one of the most traditional is the use of the International Patent Classification (IPC). The International Patent Classification is the most complete categorization of patents typology. It was created on 1971 with the Strasburg Agreement, according to the World Intellectual Property database (2018), it “provides for a hierarchical system of language independent symbols for the classification of patents and utility models according to the different areas of technology to which they pertain”. The IPC is an official and globally utilized classification, it is very detailed and specific, making it a more complete basis, but yet hard to use, given that the nomenclature of the fields require a previous understanding of this classification system in order to be utilized.
Another approach is the use of the World Intellectual Patent Organization (WIPO) technological concordance table. This table was developed with the goal to make the classification of patenting a much simpler task while making the data easier to visualize. According to WIPO database (2013) “The WIPO technology concordance table links the International Patent Classification (IPC) symbols with thirty-five fields of technology. The concordance table is updated on a regular basis to reflect revisions to the IPC. ”
Taking in consideration the advantages and disadvantages of each of these patent classifications, The IPC provides a more universal and complete description of the patent types according to their areas, while it can be really hard for one to understand the classifications and codes without previous experience. The WIPO technology concordance table provides an easy to understand classification while it tries to group up all the different types of patents into a total of 35 domains of interest.
Table 1. Provides a full overview of both the WIPO concordance table and the International Patent Classifications codes that are related to each one of the 35 domains that were used to develop the WIPO tool:
|
# |
WIPO Technology Concordance table |
International Patent Classification |
|
|
I |
Electrical engineering |
IPC code |
|
|
1 |
Electrical machinery, apparatus, energy |
F21#, H01B, H01C, H01F, H01G, H01H, H01J, H01K, H01M, H01R, H01T, H02#, H05B, H05C, H05F, H99Z |
|
|
2 |
Audio-visual technology |
G09F, G09G, G11B, H04N-003, H04N-005, H04N-009, H04N-013, H04N-015, H04N-017, H04R, H04S, H05K |
|
|
3 |
Telecommunications |
G08C, H01P, H01Q, H04B, H04H, H04J, H04K, H04M, H04N-001, H04N-007, H04N-011, H04Q |
|
|
4 |
Digital communication |
H04L |
|
|
5 |
Basic communication processes |
H03# |
|
|
6 |
Computer technology |
(G06# not G06Q), G11C, G10L |
|
|
7 |
IT methods for management |
G06Q |
|
|
8 |
Semiconductors |
H01L |
|
|
II |
Instruments |
IPC code |
|
|
9 |
Optics |
G02#, G03B, G03C, G03D, G03F, G03G, G03H, H01S |
|
|
10 |
Measurement |
G01B, G01C, G01D, G01F, G01G, G01H, G01J, G01K, G01L, G01M, (G01N not G01N-033), G01P, G01R, G01S; G01V, G01W, G04#, G12B, G99Z |
|
|
11 |
Analysis of biological materials |
G01N-033 |
|
|
12 |
Control |
G05B, G05D, G05F, G07#, G08B, G08G, G09B, G09C, G09D |
|
|
13 |
Medical technology |
A61B, A61C, A61D, A61F, A61G, A61H, A61J, A61L, A61M, A61N, H05G |
|
|
III |
Chemistry |
IPC code |
|
|
14 |
Organic fine chemistry |
(C07B, C07C, C07D, C07F, C07H, C07J, C40B) not A61K, A61K-008, A61Q |
|
|
15 |
Biotechnology |
(C07G, C07K, C12M, C12N, C12P, C12Q, C12R, C12S) not A61K |
|
|
16 |
Pharmaceuticals |
A61K not A61K-008 |
|
|
17 |
Macromolecular chemistry, polymers |
C08B, C08C, C08F, C08G, C08H, C08K, C08L |
|
|
18 |
Food chemistry |
A01H, A21D, A23B, A23C, A23D, A23F, A23G, A23J, A23K, A23L, C12C, C12F, C12G, C12H, C12J, C13D, C13F, C13J, C13K |
|
|
19 |
Basic materials chemistry |
A01N, A01P, C05#, C06#, C09B, C09C, C09F, C09G, C09H, C09K, C09D, C09J, C10B, C10C, C10F, C10G, C10H, C10J, C10K, C10L, C10M, C10N, C11B, C11C, C11D, C99Z |
|
|
20 |
Materials, metallurgy |
C01#, C03C, C04#, C21#, C22#, B22# |
|
|
21 |
Surface technology, coating |
B05C, B05D, B32#, C23#, C25#, C30# |
|
|
22 |
Micro-structure and nano-technology |
B81#, B82# |
|
|
23 |
Chemical engineering |
B01B, B01D-000#, B01D-01##, B01D-02##, B01D-03##, B01D-041, B01D-043, B01D-057, B01D-059, B01D-06##, B01D-07##, B01F, B01J, B01L, B02C, B03#, B04#, B05B, B06B, B07#, B08#, D06B, D06C, D06L, F25J, F26#, C14C, H05H |
|
|
24 |
Environmental technology |
A62D, B01D-045, B01D-046, B01D-047, B01D-049, B01D-050, B01D-051, B01D-052, B01D-053, B09#, B65F, C02#, F01N, F23G, F23J, G01T, E01F-008, A62C |
|
|
IV |
Mechanical engineering |
IPC code |
|
|
25 |
Handling |
B25J, B65B, B65C, B65D, B65G, B65H, B66#, B67# |
|
|
26 |
Machine tools |
B21#, B23#, B24#, B26D, B26F, B27#, B30#, B25B, B25C, B25D, B25F, B25G, B25H, B26B |
|
|
27 |
Engines, pumps, turbines |
F01B, F01C, F01D, F01K, F01L, F01M, F01P, F02#, F03#, F04#, F23R, G21#, F99Z |
|
|
28 |
Textile and paper machines |
A41H, A43D, A46D, C14B, D01#, D02#, D03#, D04B, D04C, D04G, D04H, D05#, D06G, D06H, D06J, D06M, D06P, D06Q, D99Z, B31#, D21#, B41# |
|
|
29 |
Other special machines |
A01B, A01C, A01D, A01F, A01G, A01J, A01K, A01L, A01M, A21B, A21C, A22#, A23N, A23P, B02B, C12L, C13C, C13G, C13H, B28#, B29#, C03B, C08J, B99Z, F41#, F42# |
|
|
30 |
Thermal processes and apparatus |
F22#, F23B, F23C, F23D, F23H, F23K, F23L, F23M, F23N, F23Q, F24#, F25B, F25C, F27#, F28# |
|
|
31 |
Mechanical elements |
F15#, F16#, F17#, G05G |
|
|
32 |
Transport |
B60#, B61#, B62#, B63B, B63C, B63G, B63H, B63J, B64# |
|
|
V |
Other fields |
IPC code |
|
|
33 |
Furniture, games |
A47#, A63# |
|
|
34 |
Other consumer goods |
A24#, A41B, A41C, A41D, A41F, A41G, A42#, A43B, A43C, A44#, A45#, A46B, A62B, B42#, B43#, D04D, D07#, G10B, G10C, G10D, G10F, G10G, G10H, G10K, B44#, B68#, D06F, D06N, F25D, A99Z |
|
|
35 |
Civil engineering |
E02#, E01B, E01C, E01D, E01F-001, E01F-003, E01F-005, E01F-007, E01F-009, E01F-01#, E01H, E03#, E04#, E05#, E06#, E21#, E99Z |
Table 1: WIPO technology concordance table and IPC patent classification codes.
Source: Adapted from: “WIPO IPC-Technology Concordance Table" available at: www.wipo. int/ipstats/en/statistics/patents
It is important to highlight that these organizations are two of the main sources of information regarding patent data and also hold the most commonly utilized databases for studies and analysis related to patents.
The information provided in this section on the indicators and also in the WIPO and IPC classifications is of fundamental importance to this research. The entire framework of data collection and also the way the data results are shaped are both based on this information. The further sections describes the possible means in which the input data for these indicators can be collected.
1.2.2 Sources of information
When it comes to information sources there are many reliable institutions that work on collecting, organizing and sorting patent data. First of all, patents must be filed in national patent offices, according to the international patenting system. These institutions are the first step to have a patent grant, they are responsible to receive, categorize and analyze each patent entry and by doing that are also one of the main providers of patent data.
There are several patent offices around the world, and they are present in many different countries. Some organizations dedicate their efforts to gather and organize the information of the patents filed in these offices and transforming it into aggregated worldwide data, making it suitable for more complex analysis and studies.
One of these organizations is The World International Patent Organization (WIPO), that acts as a global source of intellectual property data. It is a statistics data center, responsible for generating resources, information and services on patents and copyrights. WIPO have available accessible data in their website http: //www.wipo. int/portal/en/ , which is constantly updated.
Besides that, there are commercial databases, which means private companies that works with patent data and statistics, generate information and commercialize the access to these databases in order to create a business out of it. Some of these databases like Orbit, have tools that allows their users to organize the information in levels that the other bases can't, for example a more detailed information about the companies that are filling in patent applications inside a country. This kind of information is essential when trying to make a comparison with the main revenue generating companies in a country and the companies that are responsible for generating new technologies.
Just like Orbit, The European Patent Office statistical database (EPO PATSTAT) is a tool developed for governmental organizations use and educational institutions. It is also a commercial tool that needs a license for accessing the database contained in their website https: //www.epo.org/searching-for-patents/business/patstat.html#tab-1 . Another database that can be consulted is the Derwert World Patent Index (DWPI) that organize patent data in order that the use and advantages of each patent are clearly stated. This is also a closed access database, and in order to download their information, first you need to purchase a permission of usage in their website https: //clarivate.com/products/derwent-world-patents-index/.
Some countries have their own tools to gather data, in the case of Russia, Rospatent is a government agency that is in charge of all the intellectual property related subjects, the institution generates annual reports on the patent activity of the country.
In the case of Brazil, The National Institute of Industrial Property (INPI) is the official government body responsible for Industrial Property rights, and being responsible for Trademark registration, Patent grants technology transfer contract registration, between other services. This institution works directly under the Brazilian Ministry of Industry, Foreign Trade and Services.
There is also an WIPO Brazil office (WBO), located on Rio de Janeiro. Created on 2009, this Brazilian branch of the global WIPO, is focused in providing high quality information regarding the Brazilian patenting activity and improving the development of intellectual property and public policies.
1.2.3 Limitations of the approach
The fact that there is a huge quantity of patents applications filed every year, also makes an issue. This high volume of data is hard to process and takes time to be uploaded to the databases. Because of this big data issue there is a limitation in the studies of these bases, while there is usually two years gap on the speed the data is uploaded. With that in mind it is recommended that the information used with this technique is related to the applications one year prior to the current year.
Also in depth patent analysis have high resource consumption, both in time and money. The most complete databases (in the matter of tools and analysis of data) are commercial and expensive. This problem also occurs with software's to treat the data.
There are other methods to protect intellectual property besides patent analysis like, trademarks, copyrights or even early releases, in which the technology is rapidly introduced in the market before it has a chance to be duplicated. With that another limitation of this method appears, as it doesn't cover the whole achieved results of science and technology development.
Despite these limitations, patent analysis is successfully implemented in descriptive researches and in the identification of problems, trends and suggestions related to technological development.
Whether it is utilized to assist policy makers, predict new trends in the national or global markets, observe which segments are being developed or which markets are attractive to foreign companies inside the country, patent analysis is a powerful and complete tool to be used in favor of technological development.
When this topic is related to Brazilian reality, there is a lack of knowledge on the study of technological specialization in the country, despite the importance of studies in this area for the political-economical development. This study is aimed at investigating the technological specialization profile of Brazil, utilizing patent statistics analysis to assess the country's potential to compete in an international environment.
Chapter 2. Prerequisites of technological competitiveness of Brazil
This chapter also provides a practical exhibition and explanation of the evolution and current situation of Brazilian economy as well as the current investments of the country in Science and Technology (S&T) and the government programs, incentives, institutions, research activities and publications.
The struggle of Latin American countries to keep up with the strong scientific and technological development, presented by the developed economies in the early 60`s has a strong influence in the progress of these countries over the years (Fernandez-Stark, et al. 2015). The diffusion of information by that time was harder, which generated more localized production of knowledge and slowed down the process of development of new technologies.
With the globalization, there was an increase in the communication of knowledge, making it easier for the developing countries to participate in the international agenda of science development. Andrade, Silva and Gitahy (2013), stated that nevertheless the globalization assisted the Latin American countries to participate in the global arena, the internal allocation of resources, the slow development of institutions for scientific research and the lack of appropriate policies for the development of S&T made it hard for these countries to keep up in a worldwide scale.
Amongst the Latin American countries, the efforts of Brazil to develop the S&T sector since the 1990`s have been fruitful, enabling the country to occupy a greater position in the international scenario in the most recent years. Brazilian economy has been part of the 10 biggest economies in the world for consecutive times, according to The World Bank (2016), despite the internal challenges the country presents on organizing and developing the S&T sector.
The establishment of Ministry of Science, Technology, Innovation and Communications of Brazil (MCT) and the framework of S&T funding and evaluation set by international organizations, gave Brazil, new performance patterns for scientific organizations. Institutions of scientific research have aligned their interests for developing the scientific and technological sector inside the country.
To understand technological specialization in the scenario of Brazil, there is a need to look at the Brazilian industrial and economical history in order to analyze the main technological domains in which the country is structured.
2.1 Economics of Brazil and STI funding
As a developing economy country, Brazil has been gaining power and greater representativeness in an international scale. Partnerships with other countries as the MERCOSUR and the BRICS economic blocks, have given focus to the country in international discussions as one of the most prominent emerging nations.
Santana (2012) states that, throughout econometrics analysis, it is possible to see the evidence of the positive results of the investments that BRICS economic block have been making into technological innovation on the participant countries both on, economic and social aspects. The association was founded in 2009, with the aim of bringing economic development, social and scientific progress of the emerging countries together.
Furthermore Quah and Rauch (1990), states that an increased openness to international trade can lead to increased specialization and that increased specialization accelerates productivity growth by more fully realizing dynamic economies of scale. These characteristics of international openness can certainly be applied to the concept of economic blocks, in which the participant countries cooperates in order to bring technological and economic development.
Despite the increase of participation in the global economy, the country is currently undergoing an economic slowdown since 2010 (Balassiano, 2017). The author explains that are internal and external reasons for this slowdown. Amongst the internal factors, Barbosa Filho e Pessфa (2014) list that the political changes that occurred in the countries government since 2009, may have caused economical instability, with changes of policies that didn't relate to the goals of the previous government party, causing the investment rate to drop while the interest rate and inflation to raise. As the external factors, Matos (2016) states that the economic slowdown occurred in all emerging countries (54 countries of study) and that some of the impacts of the world financial and economic crisis of 2009 can still be relevant to explain the slower economic development.
This economical slowdown can be observed with its direct reflection on the countries` Gross domestic product (GDP) through the years of 2007 and 2016. Philipsen (2015) describes the importance of nominal GDP as one of the main comprehensive indicators to access the country's economic health. It measures the total economic production for a country, as well as represents the market value of all goods and services produced by the economy during a period. It includes consumption, government purchases, private inventories, construction costs and the foreign trade balance.
By analyzing this indicator a clear panorama of the economic situation of the country can be observed. An evolution of Brazilian GDP is expressed in figure 1:
Figure 1: GDP Brazil (2007-2016).
Source: The World Bank databank - available at: http://databank. worldbank.org/data/home. aspx
As stated by Balassiano (2017) the deceleration of the country`s growth, specially in the years of 2015 and 2016 can be observed by its impacts on the GDP of the country.
Furthermore, an observation of the variation of the GDP of the country during these years, shows more clearly the impacts of the world crisis in 2009, which supports the external reasoning for the slowdown. There was quick overcome in the subsequent year, then there can be noted a gradual decrease in the growth of the countries` GDP, that accumulates a decrease of over 7% from 2014 to 2016. The dynamics of the GDP growth from 2007 to 2016 can be observed in figure 2:
Figure 2: GDP Annual Growth - Brazil (2007-2016).
Source: The World Bank databank - available at: http://databank. worldbank.org/data/home. aspx
Despite the declination of the economic growth of the country in the previous years, Brazil still occupies the 9th place in the worlds` biggest economies listing according to The World Bank (2016). This fact demonstrates the importance of the country in a global scenario and the potential that Brazil has to occupy a greater role amongst the global players. Technological progress is one of the available strategies for the country to reach this potential and economic problems might be a barrier for the technological development.
To understand the government investment priorities and have a national grounded approach is needed in order to overcome these barriers. Also in order to achieve this goal, it is extremely important to comprehend the countries` technological development, the governmental policies for technology progress and the creation of programs to incentive the development of STI.
Brazil occupies the position of the Latin American country that most invest in Science in technology according to the data presented by the Ministry of Science, Technology, Innovation and Communication (MCT). This fact can be attributed by the increased attention and investment that is being given to the development of R&D and S&T inside the country.
With the analysis of indicators related to R&D and S&T development of the country over the years, we can analyze the evolution of the focus that is being given to these areas.
The share of GDP that is destined to R&D development, is one of the main indicators in order to perceive this evolution. With the most recent available data, we can perceive that between 2005 and 2014 the percentage of the amount of the GPD invested in R&D in the country increased about 20% (Figure 3).
Figure 3: GDP Expenditures in R&D in Brazil (2005-2014).
Source: The World Bank Data
This data shows that the importance of the development of R&D in the country has been gaining more political attention, and with increased investments there is a natural reflection in the number of production of publications and research that could have been previously observed and also in the production of new technologies inside the country.
Another indicator that is worth analyzing in order to observe the evolution of science and technology activity, is the amount of expenditures in this area over the years.
Figure 4: GDP Expenditures in S&T by Activity in Brazil (2005-2014).
Source: Ministry of Science, Technology, Innovation and Communication of Brazil (MCT)
In Figure 4, it can be observed that the total amount of expenditures with S&T inside the country more than tripled in the studied period. This amount of investment have a direct impact in the improvement of STI related inside the country. It is also possible to observe which amount of this total was directed to R&D and which amount was directed to Scientific and Technical related activities.
While R&D is related to any creative and systematic work with the goal to improve the stocks of knowledge and new applications to this knowledge, science and technical related activities are focused on experimental research that contributes to generation, diffusion and application of this knowledge. These two steps are of great relevance to the development of S&T and complement each other.
With the graphical analysis it is a clear that the pace of the development of investments in both of these activities is positive, also that they are proportionally growing, having both more than tripled the number of investments in the 10 years analyzed.
The indicators analysis, shows a positive improvement in the scenario of S&T inside Brazil. This is an outstanding result, taking in consideration the economic struggles that the country is going through in the last decade. This data shows that even with the economic barriers, Brazil didn`t stop investing in the development of science and technology and that R&D is gaining more importance to companies and more political focus over the year. S&T development is a critical input for economical development (Hud and Hussinger, 2015), specially in times of crisis. In the case of Brazil, these investments can be of a great assistance for the country to catch up its pace of economic growth.
2.2 Institutional Framework and Key actors of STI development in Brazil
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