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Swiss Federal Institute of Intellectual Property, Stauffacherstrasse 65/59g, CH-3003 Bern, Switzerland
Centre de Recherches en Physique des Plasmas, Ecole Polytechnique Fdrale de Lausanne, Association Euratom-Confdration Suisse, Station 13, CH-1015 Lausanne, Switzerland
a b s t r a c t
Keywords:
Nuclear fusion
Spillovers
Spinoffs
Patent statistics
The patenting activity in the eld of controlled nuclear fusion was investigated to assess the role of this
emerging technology as a catalyst for inventions in other technological areas. Patent statistical data
allows to track not only the evolution of a technology, but also to analyze cross-fertilizing effects of
a technology that is not quite ready for implementation. Spillovers from nuclear fusion research for
applicable inventions to other technological areas can be identied.
2012 Elsevier Ltd. All rights reserved.
1. Introduction
The search for alternatives to existing energy technologies such
as nuclear power, hydroelectric power and the combustion of fossil
fuels has become more and more important in the light of volatile
fossil fuel prices and supply, accelerated exploitation of natural
resources, and ecological concerns.
A shear endless energy source is the sun, sending its energy in
form of radiation to our planet. This energy is produced in the sun
by nuclear fusion reactions. Thus, for many decades, nuclear fusion
has been believed to make a signicant contribution to meet the
energy needs of tomorrow [1e5]. However, despite the impressive
scientic and engineering progress, important technical obstacles
still need to be overcome [6]. Some of the challenges to create
a sun on earth, to name a few, are to understand and control the
hot dense plasma, to keep temperature to a few hundred million
degrees for getting the fusion reaction going and to produce an
energy gain by overcompensating the energy needed to maintain
and control nuclear fusion.
The way to such a benign and almost inexhaustible energy
source is a prime example for the cumbersome development of
a complex technology, which requires signicant expenses in
research and development over a long period. Unsurprisingly,
decision makers are interested in assessing the economic benets
of such complex technology in its early stage. This information
helps to take educated decisions for the technologys further
development and to better justify to the public the substantial
nancial investment in research and development.
Evaluation of indirect economic and industrial effects of other
long-term public research and technology programs has shown
that industry is able to benet from public R&D activities under
* Corresponding author. Tel.: 41 (0)31 377 73 68; fax: 41 (0)31 377 79 32.
E-mail address: heinz.mueller@ipi.ch (H. Mueller).
0172-2190/$ e see front matter 2012 Elsevier Ltd. All rights reserved.
http://dx.doi.org/10.1016/j.wpi.2012.06.001
these programs. Spinoffs and spillovers of knowledge and technology can generally be found in all stages of the long-term
programs. Some authors are in fact very optimistic regarding the
existence and the importance of spinoffs from for example space
research, another complex technology.
Investigating and better understanding spinoff effects is
important and attractive for economics and management specialists alike. Approaches to measure the benet of spinoffs and spillovers are manifold and are usually based on economics models [7].
However, a prerequisite for applying and testing these models is
the identication of existing spillovers from the complex technology under investigation.
A more recent economic approach to identify technology spillovers used the North American Industry Classication (NAICS) codes
in a specic advanced technology program [8]. The conclusion of the
authors was that future work should focus on matching commercialization and patent outcome data to the NAICS coding. Such an
approach has been applied to identify knowledge spillovers in
general in Europe, but this work shows the knowledge ow between
countries and regions rather than between technology areas [9].
In the past, spinoffs and spillovers were identied in different
technological areas such as space technologies [10e12], high energy
physics [13] as well as in fusion technology [14e17]. Plasma and
other technologies developed in part by nuclear fusion research are
nowadays used in a wide variety of commercial applications [18].
Nevertheless, spillover effects are difcult to identify and account for
[19]. The disadvantage of these previous approaches is that spinoffs
and spillovers were only identied if they were obviously related to
the complex technology while technologies not directly linked were
left undetected and unconsidered.
A more comprehensive way of identifying spillover technologies
is the analysis of patent literature. However, such an approach will
only help to identify the technologies per se that stem from
272
Table 1
International patent classication codes and European classication codes for the
identication of patent documents relating to nuclear fusion.a
Code
Description
G21B1/00 (2006.01)
H05H1/02 (2006.01)
Description
A01K (2006.01)
C12N (2006.01)
273
Table 3
Evaluation of documents retrieved using randomized samples with a sample size of 100.
% of Documents related
to nuclear fusion
% of Retrieved non-fusion
documents
Number of documents
evaluated
95
72.5
76
5
27.5
24
100
400
99
57
43
99
Fig. 1. Number of patent documents relating to nuclear fusion per oldest priority year. A distinction was made between patent documents having the patent classication codes
G21B, H05H1/02 or 376/100 (core technologies), excluding those documents having the European patent classication code G21B3 (low-temperature nuclear fusion reactors, e.g.
alleged cold fusion reactors), and patent documents which could be retrieved by keywords only. For comparison, the evolution of published patent document in all technology
elds in the respective period was added (right axis).
274
Fig. 2. Number of patent documents per oldest priority year: the number of patent documents claiming priority at WIPO (WO), in Europe (AT, BE, CH, DD, DE, DK, EP, ES, FI, FR, GB,
GR, IT, LU, NL, NO, SE), Japan (JP), Soviet Union/Russia (SU/RU) and the United States (US) were determined and plotted, reecting signicant changes in patenting activity over time.
Table 4
Patent applicants active in the eld of nuclear fusion (key players).
Patent applicant
Hitachi
Tokyo Shibaura/Toshiba
Japan Atomic Energy Research Institute
Mitsubishi
US Energy
Commissariat Energie Atomique
Atomic Energy Commission
University of California
Kawasaki
Siemens
Euratom
KMS Fusion
Kobe Steel
Ishikawajima Harima Heavy Ind.
Westinghouse Electric
Sumitomo Electric Industries
Atomic Energy Authority
Texas Gas Transmission
Matsushita Electric Ind.
Kernforschungszentrum Karlsruhe
Nippon Steel
Max Planck Gesellschaft
General Electric
Agency Ind. Science Techn
Impulse Devices
Apricot
US Army
Fujikura
BBC
NGK Insulators
Centre National De La Recherche Scientique
1950e1970
3
6
2
2
82
169
0
60
14
11
83
4
10
2
1971e1980
1981e1990
1991e2000
From 2001
Total
430
227
112
130
160
19
39
803
884
296
417
153
73
321
342
292
171
10
47
79
65
61
39
2
74
17
61
15
30
5
36
43
42
49
2
44
43
10
30
80
10
6
26
40
3
38
37
17
1
2
25
6
24
7
6
25
24
17
33
28
5
31
3
12
9
1636
1524
761
759
327
295
208
141
122
117
111
106
104
100
95
92
86
82
69
66
64
62
58
58
57
50
47
47
47
45
45
8
26
37
101
5
38
3
1
82
5
8
7
19
8
15
11
10
11
22
52
29
37
12
23
50
8
27
21
2
31
11
7
11
IPC codes
Materials science
Particle physics
Plasma & laser
physics
Superconductivity
275
per cent) and particle physics (6 per cent) (Table 5). The rst two
technologies are important in the construction of large fusion
devices and hence new innovations necessary for nuclear fusion
devices might be of commercial interest reected in patenting
activity. Plasma and laser physics, an important area for nuclear
fusion, is not necessarily associated with nuclear fusion although
important in nuclear fusion technology and might also per se be
commercially interesting and thus be protected by patents. Particle
physics are also likely to be applied in other areas than nuclear
fusion, e.g. breeding of tritium, or the handling of radioactive waste,
and thus be commercially interesting besides for nuclear fusion
technology. Other elds of technology of special concern to fusion
research are plasma coating and semiconductor production.
As can be seen in Fig. 1, documents retrieved by nuclear fusionrelated keywords only are generally covered by nuclear fusion
specic patent classication codes up to about 1975. From then on,
technologies which are related to fusion technologies but not
assigned to nuclear fusion specic patent classication codes and
are only retrieved by keywords play a more and more prominent
role in the overall count of patent documents relating to nuclear
fusion. This observation may partly be an indication for fusion
technology spillovers into other technological sectors and may
demonstrate that this spillover effect has increased in number and
in importance during the last decades. On the other hand, technologies identied by keywords only and not by nuclear fusion
patent classes may also indicate a diversication of inventions in
the nuclear fusion eld that are not necessarily classied under
nuclear fusion. Such a diversication might have become necessary
for example with the scaling up of experimental fusion reactors.
Patent landscaping maps were used to visualize the patent
activity in different fusion technology areas and to identify
emerging new technology sectors (Fig. 3). Patent landscaping uses
data and text mining to analyze large numbers of patent documents
Fig. 3. Patent landscape map of patent documents relating to nuclear fusion, in the period 1980e2009. The patent documents were subjected to data and text mining in order reveal
main technical concepts of the underlying inventions. Patent documents relating to core technologies (red data points) and documents identied by keywords only (blue data
points) are distinguished. Important technical concepts are highlighted: beam sources and energy supply (red area), controlling magnetic elds and the plasma (orange area),
superconductivity in magnets (blue area).
276
Fig. 4. Forward citations of patent documents relating to nuclear fusion, per oldest priority year of the cited patent documents and per IPC code on the subclass level of the citing
documents (see text for a more detailed description). The IPC domain G08B-H05K which comprises various IPC codes relating to nuclear fusion is enlarged.
277
Peter Bruns is currently head of patent experts in engineering at the Swiss Federal Institute of Intellectual
Property which he joined in 2002. Prior to the work in IP,
he was for ten years at universities and research institutions in Germany, the U.S. and The Netherlands performing
basic research in geochemical studies of marine sediments
and investigated past environmental changes. He holds
a master and a doctorate degree in geology from the
Universities of Heidelberg and Kiel.
Acknowledgments
We would like to acknowledge Hansueli Stamm for critically
reading the manuscript and Markus Sigrist for helpful discussions
and inputs. We also acknowledge the help of Stefanie Schneiter
with the preparation of the gures and the Swiss Federal Institute
of Intellectual Property for supporting this work.
References
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[5] Voss D. Fast track for fusion. Science 2006;314(5804):1357.
[6] Kikuchi M. Frontiers in fusion research. London: Springer-Verlag; 2011.
[7] Jaffe AB. The importance of spillovers in the policy mission of the advanced
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