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NIST GCR 02-830
Measuring the Impact of ATP-Funded Research Consortia on Research Productivity of Participating Firms
A Framework Using Both U.S. and Japanese Data

APPENDIX: DOCUMENTATION OF THE DATA

1. Mapping Projects to Patent Classes

Bailey Services, Inc., mapped the technological goals of ATP-funded research consortia to the U.S. Patent and Trademark Office’s patent classification system. This firm, based in Texas and Washington, D.C., consists of Ph.D.-level scientists with many years of professional experience in obtaining patent data for corporate clients.

2. Data Construction Description

With this mapping in hand, we sought to acquire patent data for U.S. firms in our sample. Unfortunately, patents assigned to U.S. corporations by the U.S. Patent and Trademark Office (USPTO) are not indexed by Standard & Poor’s COMPUSTAT code but by an “assignee code” which corresponds to the name of the firm as it appears on the patent grant document. Often firms will take out patents in the name of a subsidiary firm. Alternatively, firms may use variants of their name on the patent document (“International Business Machines, Incorporated” vs. “IBM”). Thus, obtaining the total number of U.S. patents of participating firms required a rather extensive, sophisticated search through publicly available data sources, as a single firm can have patents assigned to any one of several dozen separate “assignee codes.” Bronwyn Hall at the University of California, Berkeley allowed us to use her proprietary “mapping” from firm COMPUSTAT codes to USPTO assignee codes to quickly identify the assignee codes for the firms in our data set.

With these assignee codes, we were able to obtain patent data directly in electronic form through the use of the REI Patent Database developed and maintained at Case Western Reserve University’s Center for the Study of Regional Economic Issues. This database allowed us to date patents by the date of application rather than the date of grant. This is important, because the lag between the development of an idea by a firm (at which point the patent is applied for) and the granting of a patent by the patent office can be as long as 2–3 years. Unfortunately, at the time of this analysis, the REI database only contained information on patents granted through 1996. This means that our information on patents applied for effectively only goes up to 1994 or early 1995.

Our patent data initially consisted of observations on individual patents. For each patent granted to firms in our database after 1980, we obtained information on the “primary” technology class of the patent, the date of application, and, in some cases, the address of the inventor. Managing this data was quite complicated, because some of our firms had literally thousands of patents, and we were obtaining this data on hundreds of firms. We used the PERL text processing language to process the original text files submitted with each patent application. Then, we converted our data into STATA format. The STATA statistical analysis software package was used in all of our regressions.

These patent data were aggregated in a number of ways. To provide the dependent variable for our firm-level regressions, we added up all patents taken out by a given firm in a given year for the years 1985–1995. To provide the dependent variable for our consortium-level regressions, we added up all patents taken out by all firms participating in a given project in all targeted patent classes during a given year for the years 1985–1995. To provide the dependent variable for our firm-consortium level regressions, we added up the patents taken out by individual firms participating in a given project in the targeted patent classes in a given year. In this case, a firm’s participation in one project was taken as the unit of observation—the same firm could show up multiple times in the data set if it participated in more than one project. Finally, to calculate our measures of “average proximity,” each firm’s total patents over the 1980–1995 period were aggregated into 50 technology clusters to create the F vector defined in the body of the report. The measure of technological proximity was derived from the average uncentered correlation coefficient of the F vectors of firms participating in the projects.

As for the data on research input and other firm characteristics, the original source for our data is the COMPUSTAT data file, but we actually obtained our data from Bronwyn Hall, who did some substantial cleaning of the raw data and provided us with deflators.

One issue we had to deal with was the fact that some participating firms in the ATP-funded research consortia were subsidiaries of much larger corporations. To identify the patent output of participating subsidiaries, we used data from the REI patent database on the geographic location of the inventor. We took patents assigned to a participating firm and then identified the subset of patents assigned to that firm which were invented by persons in the same geographic area (CMSA code) as the location of the participating subsidiary.

Firms can participate in multiple consortia and multiple consortia can target similar classes of technologies. Thus, there was an overlap in the consortia, both in terms of participating firms and targeted technology classes. Controlling only for the inputs directly invested in a particular consortium may make some consortia look successful simply because they are located in the center of a cluster of related consortia, and innovative output is high because resources are seeping in from these related projects. We control for this overlapping in our measure of real_direct_inputs, which was calculated as follows. If two consortia, X and Y, have two common firms, then these firms' share of the total budget for consortium Y is multiplied by the degree of technological overlap between X and Y in terms of targeted patent classes, and this project is imputed to X as "indirect inputs." A similar imputation is done for consortia that follow X and targret some of the same firms and classes.

Table A1. Mapping of Projects of Patent Classes

Project
Associated Patent Classes
90-01-0060
349 428 345 359 445 313 361 324 348 364 702 395 156 206
90-01-0126
430 204 315 378 250 372 347 355 356 73 359 385 428
90-01-0154
174 257 439 361 338 148 228 29 156 428 355
90-01-0154
174 257 439 361 338 148 228 29 156 428 355
90-01-0154
174 257 439 361 338 148 228 29 156 428 355
90-01-0154
174 257 439 361 338 148 228 29 156 428 355
90-01-0154
174 257 439 361 338 148 228 29 156 428 355
90-01-0231
365 369 711 346 395 372 257 359 364
90-01-0231
365 369 711 346 395 372 257 359 364
91-01-0016
364 360 365 386 396 348 345 395 346
91-01-0016
364 360 365 386 396 348 345 395 346
91-01-0016
364 360 365 386 396 348 345 395 346
91-01-0016
364 360 365 386 396 348 345 395 346
91-01-0016
364 360 365 386 396 348 345 395 346
91-01-0016
364 360 365 386 396 348 345 395 346
91-01-0016
364 360 365 386 396 348 345 395 346
91-01-0069
706 73 364 252 438
91-01-0069
706 73 364 252 438
91-01-0069
706 73 364 252 438
91-01-0069
706 73 364 252 438
91-01-0083
706 395 364
91-01-0083
706 395 364
91-01-0083
706 395 364
91-01-0083
706 395 364
91-01-0176
257 345 347 348 353 355 358 359 364 365 369 372 385 386 395 438
91-01-0177
73 702 364 706 356
91-01-0177
73 702 364 706 356
91-01-0177
73 702 364 706 356
91-01-0178
264 427 428 442 521 523 526 296
91-01-0261
204 427 117 118 428 423
91-01-0267
364 395 706 707 438
91-01-0267
364 395 706 707 438
92-01-0040
156 364 395 425 706
92-01-0040
156 364 395 425 706
92-01-0044
435 536 382 364 436
93-01-0089
359 204
93-01-0089
427 118 407 51 75 216 30
93-01-0089
427 118 407 51 75 216 30
93-01-0089
427 118 407 51 75 216 30
93-01-0151
359 364 395 707 701 385 340 375

Table A1 continued

Project
Associated Patent Classes
93-01-0151
359 364 395 707 701 385 340 375
93-01-0244
82 83 29 318 184 501 279
93-01-0244
82 83 29 318 184 501 279
93-01-0244
82 83 29 318 184 501 279
93-01-0244
82 83 29 318 184 501 279
94-01-0079
384 148 428 501 420
94-01-0079
384 148 428 501 420
94-01-0079
384 148 428 501 420
94-01-0135
95 96 204 252 423 428 501 502
94-01-0169
706 705 364 395 345 702
94-01-0169
706 705 364 395 345 702
94-01-0169
706 705 364 395 345 702
94-01-0169
706 705 364 395 345 702
94-01-0169
706 705 364 395 345 702
94-01-0169
706 705 364 395 345 702
94-01-0178
356 395 73 707 702 318 369
94-01-0178
356 395 73 707 702 318 369
94-01-0178
356 395 73 707 702 318 369
94-01-0178
356 395 73 707 702 318 369
94-01-0190
502 423 252 585
94-01-0228
128 600 408 382 364
94-01-0282
141 313 349 395 445 324 345 427 364
94-01-0304
345 348 353 359 361 445 257
94-01-0305
428 106 216 252 427 244
94-01-0340
505 428 427 148 257
94-01-0357
427 118 428 51 219
94-02-0027
296 156 425 411 264 252 52
94-02-0027
296 156 425 411 264 252 52
94-02-0027
296 156 425 411 264 252 52
94-02-0030
75 420 428 74 164 264 442 475 60
94-02-0032
405 166 137 138 285 156 420
94-02-0032
405 166 137 138 285 156 420
94-02-0032
405 166 137 138 285 156 420
94-02-0032
405 166 137 138 285 156 420
94-02-0033
156 264 428 442 164 702 364 324 340
94-02-0038
405 166 137 138 285 156 420
94-02-0038
405 166 137 138 285 156 420
94-02-0038
405 166 137 138 285 156 420
94-02-0039
156 420 52 156 264 428 442
94-02-0039
156 420 52 156 264 428 442

Table A1 continud

Project
Associated Patent Classes
94-02-0043
14 52 292 403 156 428 442 702 364 324 340
94-02-0048
405 166 137 138 285 156 420
94-02-0048
405 166 137 138 285 156 420
94-02-0048
405 166 137 138 285 156 420
94-04-0028
706 707 395
94-04-0041
707 705
94-04-0041
707 705
94-05-0004
372 359 385 430 347 355 257
94-05-0030
204 436 435
95-01-0108
385 359 372 455 356 73 228 324 148 235
95-01-0108
385 359 372 455 356 73 228 324 148 235
95-01-0126
313 445 437 385 359 501 257 438 345
95-01-0150
62 361 417 60 165
95-01-0152
257 438 437 359 445 349 378
95-02-0008
29 72 101 180 280 296 423
95-02-0008
29 72 101 180 280 296 423
95-02-0008
29 72 101 180 280 296 423
95-02-0008
29 72 101 180 280 296 423
95-02-0008
29 72 101 180 280 296 423
95-02-0008
29 72 101 180 280 296 423
95-02-0008
29 72 101 180 280 296 423
95-02-0009
419 75 428 148 29 72 74 180 301
95-02-0013
219 706 364 395 29 180 280 296
95-02-0013
219 706 364 395 29 180 280 296
95-02-0013
219 706 364 395 29 180 280 296
95-02-0013
219 706 364 395 29 180 280 296
95-02-0013
219 706 364 395 29 180 280 296
95-02-0013
219 706 364 395 29 180 280 296
95-02-0013
219 706 364 395 29 180 280 296
95-02-0013
219 706 364 395 29 180 280 296
95-02-0013
219 706 364 395 29 180 280 296
95-02-0035
420 148 72 73 29 702
95-02-0035
420 148 72 73 29 702
95-02-0035
420 148 72 73 29 702
95-02-0035
420 148 72 73 29 702
95-02-0035
420 148 72 73 29 702
95-02-0036
250 118 427 216 148 76 315 219 156
95-02-0036
250 118 427 216 148 76 315 219 156
95-02-0036
250 118 427 216 148 76 315 219 156
95-02-0036
250 118 427 216 148 76 315 219 156

Table A1 continued

Project
Associated Patent Classes
95-02-0040
501 75 427 428 117 118 407 51
95-02-0058
123 451 73 702
95-02-0058
123 451 73 702
95-02-0062
378 250 257 364 382 74
95-02-0062
378 250 257 364 382 74
95-02-0062
378 250 257 364 382 74
95-03-0017
348 364 365 369 386 345 370 707 711 375 395 382 346 359
95-03-0018
360 364 346 395 386 348 324 711 427
95-03-0018
360 364 346 395 386 348 324 711 427
95-03-0022
369 360 364 346 395 386 348 385 707 711 235
95-03-0022
369 360 364 346 395 386 348 385 707 711 235
95-03-0022
369 360 364 346 395 386 348 385 707 711 235
95-03-0022
369 360 364 346 395 386 348 385 707 711 235
95-04-0001
348 375 386 395 455 379 370 342 343 382
95-04-0026
348 375 386 395 455 379 370 385 342 343 345 364 382
95-04-0026
348 375 386 395 455 379 370 385 342 343 345 364 382
95-04-0026
348 375 386 395 455 379 370 385 342 343 345 364 382
95-04-0037
348 375 386 395 455 379 370 385 342 343 345 364 382
95-04-0037
348 375 386 395 455 379 370 385 342 343 345 364 382
95-05-0038
524 525 526 264 502
95-05-0038
524 525 526 264 502
95-05-0039
502 524 525
95-05-0040
502 585 560 568
95-05-0040
502 585 560 568
95-06-0010
62 165 415 384 137 417 361
95-06-0010
62 165 415 384 137 417 361
95-06-0010
62 165 415 384 137 417 361
95-06-0010
62 165 415 384 137 417 361
95-06-0011
62 73 356 250
95-07-0004
228 219 324 148 395 235
95-07-0004
228 219 324 148 395 235
95-07-0017
164 416 29 415 60
95-08-0006
435 436 707 704 705 364
95-08-0023
435 436 382 364
95-10-0030
455 707 395 386 364
95-11-0010
405 166 137 138 285 156 420
95-11-0024
156 425 264 252 52 296 428 442 423
95-11-0024
156 425 264 252 52 296 428 442 423

Table A1 continued

Project
Associated Patent Classes
95-12-0024
364 702 706 705 395 340 370
95-12-0024
364 702 706 705 395 340 370
95-12-0027
156 264 428 442 164 702 364 324 340
95-12-0027
156 264 428 442 164 702 364 324 340
95-12-0030
705 706 364 395
95-12-0030
705 706 364 395
95-12-0030
705 706 364 395
95-12-0030
705 706 364 395
96-01-0257
378 250 257 364 382 345 358
96-01-0257
378 250 257 364 382 345 358

Table A2. U.S. Projects and Firms in Our Data Sets

Project Number Project Title CUSIP Company Name
90-01-0060 Advanced Manufacturing Technology for Low-Cost Flat-Panel Display 913017 United Technologies Corporation
90-01-0126 Solid-State Laser Technology for Point-Source X-Ray Lithography 580169 McDonnell Douglas Corporation
90-01-0154 Printed Wiring Board Interconnect Systems 19512 Allied Signal, Inc.
90-01-0154 Printed Wiring Board Interconnect Systems 370442 General Motors Corporation
90-01-0154 Printed Wiring Board Interconnect Systems 459200 International Business Machines Company
90-01-0154 Printed Wiring Board Interconnect Systems 882508 Texas Instruments, Inc.
90-01-0154 Printed Wiring Board Interconnect Systems 913017 United Technologies Corporation
90-01-0231 Short-Wavelength Sources for Optical Recording 277461 Eastman Kodak Company
90-01-0231 Short-Wavelength Sources for Optical Recording 459200 International Business Machines Company
91-01-0016 Ultra-High Density Magnetic Recording Heads 38213 Applied Magnetics Company
91-01-0016 Ultra-High Density Magnetic Recording Heads 277461 Eastman Kodak Company
91-01-0016 Ultra-High Density Magnetic Recording Heads 428236 Hewlett-Packard
91-01-0016 Ultra-High Density Magnetic Recording Heads 459200 International Business Machines Company
91-01-0016 Ultra-High Density Magnetic Recording Heads 747906 Quantum Corporation
91-01-0016 Ultra-High Density Magnetic Recording Heads 811804 Seagate Technology
91-01-0016 Ultra-High Density Magnetic Recording Heads 862111 Storage Technology
91-01-0069 Neural Network Control and Sensors for Complex Materials 18804 Alliant Techsystems
91-01-0069 Neural Network Control and Sensors for Complex Materials 438506 Honeywell, Inc.
91-01-0069 Neural Network Control and Sensors for Complex Materials 604059 3M Company
91-01-0069 Neural Network Control and Sensors for Complex Materials 822440 Sheldahl
91-01-0083 NCMS Rapid Response Manufacturing 345370 Ford Motor Company
91-01-0083 NCMS Rapid Response Manufacturing 370442 General Motors Corporation
91-01-0083 NCMS Rapid Response Manufacturing 882508 Texas Instruments, Inc,
91-01-0083 NCMS Rapid Response Manufacturing 913017 United Technologies Corporation
91-01-0176 Monolithic Multiwavelength Laser Diode Array Spanning 430 to 1100nm 984121 Xerox Corporation
91-01-0177 Development of Advanced Technologies and Systems for Controlling Dimensional Variation 171196 Chrysler Corporation
91-01-0177 Development of Advanced Technologies and Systems for Controlling Dimensional Variation 370442 General Motors Corporation
91-01-0177 Development of Advanced Technologies and Systems for Controlling Dimensional Variation 71361F Perceptron, Inc.
91-01-0178 Cyclic Thermoplastic Liquid Composite Molding for Automotive Structures 71361F Perceptron, Inc.
91-01-0261 Plasma Technology for Low-Cost Diamond Production 960402 Westinghouse Electric Corporation

Table A2 continued

Project Number Project Title CUSIP Company Name
91-01-0267 PREAMP - Pre-Competitive Advanced Manufacturing of Electrical Products 97023 Boeing Company
91-01-0267 PREAMP - Pre-Competitive Advanced Manufacturing of Electrical Products 774347 Rockwell International Corporation
92-01-0040 Engineering Design with Injection-Molded Thermoplastics 369604 General Electric Company
92-01-0040 Engineering Design with Injection-Molded Thermoplastics 370442 General Motors Corporation
92-01-0044 Genosensor Technology Development 75816 Beckman Instruments
92-01-0123 Electrochromic Materials 604059 3M Company
93-01-0089 CVD Diamond-Coated Rotating Tools for Machining Advanced Composite Materials 345370 Ford Motor Company
93-01-0089 CVD Diamond-Coated Rotating Tools for Machining Advanced Composite Materials 370442 General Motors Corporation
93-01-0089 CVD Diamond-Coated Rotating Tools for Machining Advanced Composite Materials 775133 Rogers Corporation
93-01-0151 Jitney: A Low-Cost, High Performance Optical Bus 459200 International Business Machines Company
93-01-0151 Jitney: A Low-Cost, High Performance Optical Bus 604059 3M Company
93-01-0244 Strategic Machine Tool Technologies: Spindles 345370 Ford Motor Company
93-01-0244 Strategic Machine Tool Technologies: Spindles 370442 General Motors Corporation
93-01-0244 Strategic Machine Tool Technologies: Spindles 375046 Giddings & Lewis, Inc., Automation Technology
93-01-0244 Strategic Machine Tool Technologies: Spindles 456866 Ingersoll-Rand Company
94-01-0079 Engineered Surfaces for Rolling and Sliding Contacts 149123 Caterpillar, Inc.
94-01-0079 Engineered Surfaces for Rolling and Sliding Contacts 370442 General Motors Corporation
94-01-0079 Engineered Surfaces for Rolling and Sliding Contacts 887389 Timkin Company
94-01-0135 Dual Purpose Ceramic Membranes 74005P Praxair Technology, Inc.
94-01-0169 Collaborative Decision Support for Industrial Process Control 31905 Amoco Corporation
94-01-0169 Collaborative Decision Support for Industrial Process Control 166751 Chevron Corporation
94-01-0169 Collaborative Decision Support for Industrial Process Control 302290 Exxon Corporation
94-01-0169 Collaborative Decision Support for Industrial Process Control 438506 Honeywell, Inc.
94-01-0169 Collaborative Decision Support for Industrial Process Control 822635 Shell Oil Company

Table A2 continued

Project Number Project Title CUSIP Company Name
94-01-0169 Collaborative Decision Support for Industrial Process Control 881694 Texaco, Inc.
94-01-0178 Rapid Agile Metrology for Manufacturing 115223 Brown & Sharpe Manufacturing Company
94-01-0178 Rapid Agile Metrology for Manufacturing 149123 Catepillar, Inc.
94-01-0178 Rapid Agile Metrology for Manufacturing 278058 Eaton Corporation
94-01-0178 Rapid Agile Metrology for Manufacturing 369604 General Electric Company
94-01-0190 Development of Improved Catalysts Using Nanometer-Scale Technology 595073 Microfluidics International Corporation
94-01-0228 Computer-Integrated Revision Total Hip Replacement Surgery 459200 International Business Machines Company
94-01-0282 Diamond Diode Field Emission Display Process Technology Development 868532 Supertex, Inc.
94-01-0304 High Information Content Display Technology 657045 North America Philips Lighting Corporation
94-01-0305 Film Technologies to Replace Paint on Aircraft 604059 3M Company
94-01-0340 Technologies for HTS Components for Magnetic Resonance Applications 458771 Intermagnetics General Corporation
94-01-0357 Accelerated Commercialization of Diamond-Coated Round Tools and Wear Parts 489170 Kennametal, Inc.
94-02-0027 Automotive Composite Structures: Development of High Volume Manufacturing Technology 171196 Chrysler Corporation
94-02-0027 Automotive Composite Structures: Development of High Volume Manufacturing Technology 345370 Ford Motor Company
94-02-0027 Automotive Composite Structures: Development of High Volume Manufacturing Technology 370442 General Motors Corporation
94-02-0030 Polymer Matrix Composite Power Transmission Devices 428290 Hexcel Corporation
94-02-0032 Composite Production Risers 31905 Amoco Corporation
94-02-0032 Composite Production Risers 208251 Conoco, Inc.
94-02-0032 Composite Production Risers 428290 Hexcel Corporation
94-02-0032 Composite Production Risers 822635 Shell Oil Company
94-02-0033 High-Performance Composites for Large Commercial Structures 260543 Dow Chemical
94-02-0038 Spoolable Composite Tubing 31905 Amoco Corporation
94-02-0038 Spoolable Composite Tubing 718507 Phillips Petroleum Company
94-02-0038 Spoolable Composite Tubing 822635 Shell Oil Company
94-02-0039 Low-Cost Advanced Composite Process for Light Transit Vehicle Manufacturing 345370 Ford Motor Company
94-02-0039 Low-Cost Advanced Composite Process for Light Transit Vehicle Manufacturing 369604 General Electric Company

Table A2 continued

Project Number Project Title CUSIP Company Name
94-02-0043 Low Cost Manufacturing and Design/Sensor Technologies for Seismic Upgrade of Bridge Columns 428290 Hexcel Corporation
94-02-0048 Manufacturing Composite Structures for the Offshore Oil Industry 428290 Hexcel Corporation
94-02-0048 Manufacturing Composite Structures for the Offshore Oil Industry 666807 Northrop Corporation
94-02-0048 Manufacturing Composite Structures for the Offshore Oil Industry 881694 Texaco, Inc.
94-04-0028 Development of an Episode Grouper 604059 3M Company
94-04-0041 Enterprise Integration Tool Set (EITS) for Healthcare Professionals 253912 Digital Systems Resources, Inc.
94-04-0041 Enterprise Integration Tool Set (EITS) for Healthcare Professionals 909214 Unisys Corporation
94-05-0004 Compact Blue Laser for Diagnostics 714041 Perkin-Elmer Corporation
94-05-0030 Diagnostic Laser Desorption Mass Spectrometry Detection of Multriplex Electrophore 372430 Genome Therapeutics Corporation
95-01-0108 Precision Optoelectronics Assembly 97023 Boeing Company
95-01-0108 Precision Optoelectronics Assembly 261597 Dresser Industries, Inc.
95-01-0126 Technology Development for the Smart Display—A Versatile High-Performance Video Display Integrated with Electronics 382388 Goodrich (B.F.) Company
95-01-0150 Development of Closed Cycle Air Refrigeration Technology for Refrigeration Market 9158 Air Products & Chemicals, Inc.
95-01-0152 Low-Cost Amorphous Silicon Manufacturing Technology 369604 General Electric Company
95-02-0008 Agile Precision Sheet-Metal Stamping 17634 Allen Bradley Company, Inc.
95-02-0008 Agile Precision Sheet-Metal Stamping 52770 Autodie International, Inc.
95-02-0008 Agile Precision Sheet-Metal Stamping 171196 Chrysler Corporation
95-02-0008