Parallel session 1 - Tuesday 20 September 2016

1. 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

2. 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

3. 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

4. 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

5. Formal and informal standardization and standards
„privatestandards“
Source: DIN

6. Heuristic model of standardization and standards implementation
Source: Blind et al. 2013

7. 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

8. Standards in the research and innovation process
Source: Blind and Gauch 2009
Compatibility, HSE
Interfaces
Measurement & testing
Standardization
Semantics
Diffusion
Experimental
development
Applied research
Oriented basic research
Pure basic research
R&D&I

9. 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%

10. References between publications, patents and standards
Source: Blind 2016

11. Cumulative number of standard essential patents (SEP)
Source: IPlytics 2015
0
20000
40000
60000
80000
100000
120000
140000
160000
180000
200000
1980
1981
1982
1983
1984
1985
1986
1987
1988
1989
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
Lapsed cumul Expired cumul Active cumul

12. 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

13. 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

14. 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
•Standardisation
• 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
Standardisation
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

15. 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

16. 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: knut.blind@tu-berlin.de
WEB: http://inno.tu-berlin.de
Twitter: @KnutBlind