Mapping Nanotechnology Innovations and Knowledge: Global and Longitudinal Patent and Literature Anal

1
Mapping Nanotechnology Innovations and Knowledge
Global and Longitudinal Patent and Literature
Analysis

• Hsinchun Chen, Ph.D.
• Director, Artificial Intelligence Lab
• University of Arizona
• Acknowledgement
• National Science Foundation (NSF)

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• About this book
• Reflects recent growth in nanoscale science and
  engineering
• Analyzes an industry expected to reach 1
  trillion by 2015
• Includes analysis of Patent Office databases in
  the US, Europe and Japan

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Knowledge Mapping
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Invisible Colleges and Knowledge Mapping

• Invisible college, which consists of a small
  group of highly productive and networked
  scientists and scholars, is believed to be
  responsible for growth of scientific knowledge
  (Crane, 1972).
• Knowledge Mapping or Science Mapping
  techniques, based on content analysis, citation
  network analysis, and information visualization,
  has become an active area of research that helps
  reveal such an inter-connected, invisible college
  or network of scholars and their seminal
  publications and ideas (Chen, 2003).

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Online Resources for Knowledge Mapping

• Abstracts Indexes MEDLINE (medicine), TOXLINE
  (toxicology), BIOSIS (biology), COMPENDEX
  (engineering and technology), ERIC (education),
  etc.
• Commercial full-text journal articles and digital
  libraries Thomson Scientific Web of Science, ACM
  Digital Library, The IEEE Computer Society
  Digital Library, etc.
• Free full-text articles and e-prints Free
  Medical Journals, HighWire Press, arXiv.org
  service, etc.
• Citation indexing systems and services Thomson
  Science Citation Index, Google Scholar, CiteSeer,
  etc.
• Electronic Theses and Dissertations (ETD)
  Networked Digital Library of Theses and
  Dissertations (NDLTD), etc.
• Patents USPTO, EPO, JPO, etc.
• Business and industry articles and reports
  Forrester, IDC, and Gartner, etc.
• Web sites, forums, blogs, social networking
  sites, etc.

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Units of Analysis and Representations

• Authors or inventors
• Publications and publication outlets
• Institutions
• Countries or regions
• Subject and topic areas
• Timeline

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Knowledge Mapping Analysis Framework

• Text Mining
• Natural Language Processing automatic indexing,
  information extraction
• Content Analysis clustering algorithms,
  self-organizing map (SOM), multi-dimensional
  scaling (MDS), principal component analysis
  (PCA), co-word analysis, PathFinder network
  (PFNET)
• Network Analysis
• Social Network Analysis subgroup detection,
  discovery of pattern of interaction, roles of
  individuals
• Complex Networks network models, topological
  properties, evolving networks
• Information Visualization
• Information Representations 1D, 2D 3D,
  multi-dimensional, tree, network, temporal
• User-interface Interaction overview detail,
  focus context

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Co-authorship Network (Krempel)
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SOM-based Cancer Map (Chen et al.)
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ThemeView (PNL)
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Galaxy visualization (PNL)
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Mapping Nanotechnology Innovations and Knowledge
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Nanotechnology Commercialization Timeline
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Worldwide Nanotechnology Market
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Nanotechnology

• Nanotechnology
• A fundamental technology.
• Critical for a nations technological competence.
  
• Revolutionizes a wide range of application
  domains.
• In recent years, nanotechnology research
  experienced rapid growth
• (Huang et al., 2003) used patent publications
  from the USPTO for the longitudinal analysis of
  this field.
• Many communities have an interest in assessing
  the RD status of nanotechnology.

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Assessing Nanotechnology Research Status

• Patent analysis
• We developed a framework (Huang et al., 2003) to
  systematically assess nanotechnologys research
  status using
• Bibliometric analysis,
• Content map analysis, and
• Citation network analysis.
• Literature analysis
• Bibliometric analysis is the major approach
  (Braun et al., 1997) other methods are seldom
  used in this kind of study.
• There is a lack of research which conduct
  longitudinal analysis of nanotechnology's
  research status in recent years using scientific
  literature.

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USPTO, EPO, and JPO Patent Analysis(Nature
Nanotechnology, 2008, forthcoming)
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Research Objectives
Background and Research Objectives

• Assess the nanotechnology development status
  represented by USPTO, EPO, and JPO patents.
• Compare and contrast the differences in the
  nanotechnology patents in the three repositories.

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Research Design
Research Design
We developed a framework to assess the RD status
of a a science and engineering domain based on
the patents in the three repositories USPTO,
EPO, and JPO.
USPTO dataset
Patent parsing
Data acquisition
Research status analysis
USPTO database
Number of patents
Patent publication
Collected by keywords
EPO dataset
Average number of cites
Patent importance/ strength of a repository
EPO database
EPOJPO patent
Collected by keywords
Topic coverage
Content map
JPO patent
JPO dataset
Citation Network
Knowledge diffusion
Patent status
JPO database
Patent statuschecking
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Data USPTO Patents
Dataset

• Comparing with "full-text" search and
  "title-claims" search, title-abstract search
  provides fewer search results but with higher
  accuracy.
• From title-abstract search
• 5,363 unique patents were collected.
• Submitted by 2,196 assignee institutions, 8,405
  inventors, and 46 countries.

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Data USPTO Patents (cont.)
Dataset

• Top 20 nanotechnology patent assignees (with
  average patent age) and countries based on
  title-abstract search of patents published from
  1976 to 2004

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Data EPO Patents (cont.)
Dataset

• Top 20 nanotechnology patent assignees (with
  average patent age) and countries based on
  title-abstract search of patents published from
  1978 to 2004

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Data JPO Patents (cont.)
Dataset

• Top 20 nanotechnology patent assignees based on
  title-abstract search of patents published from
  1976 to 2004

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Data USPTO, EPO, and JPO Patents
Dataset

• The numbers of nanotechnology patents published
  in USPTO, EPO and JPO by year (log scale)

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Basic Analysis- USPTO Patents by Country
Basic Bibliographic Analysis

• Top 20 nanotechnology patent assignee countries
  in USPTO (title-abstract search) and their
  patents by year, 1976-2004 (log scale)

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Basic Analysis- EPO Patents by Country
Basic Bibliographic Analysis

• Top 20 nanotechnology patent assignee countries
  in EPO (title-abstract search) and their
  patents by year, 1978-2004 (log scale)

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Basic Analysis- USPTO Patents by Country Group
Basic Bibliographic Analysis

• Assignee country group analysis by year,
  1976-2004 (title-abstract search) (log scale)

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Basic Analysis- EPO Patents by Country Group
Basic Bibliographic Analysis

• Assignee country group analysis by year,
  1978-2004 (title-abstract search) (log scale)

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Content Map Analysis (USPTO)
Content Map Analysis

• USPTO Content Map (1976-1989) (title-abstract
  search)

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Content Map Analysis (USPTO)
Content Map Analysis
4.18 5.39 6.03 6.51 6.93 7.33
7.75 8.23 8.86 9.32 10.07
NEW

REGION
-0.80 0.41 1.05 1.53 1.95 2.35
2.77 3.25 3.88 4.34 5.09
NEW

REGION

• USPTO Content Map (1990-1999) (title-abstract
  search)

• USPTO Content Map (2000-2004) (title-abstract
  search)

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Findings Content Map (USPTO)
Content Map Analysis

• From 1976 to 1989, the major research topics of
  USPTO nanotechnology patents included carbon
  atoms, optical fibers, and thin films.
• From 1990 to 1999, several new research topics
  appeared from 1990 to 1999, including aqueous
  solutions, composite materials, laser beams,
  nucleic acids, optical waveguide, organic
  colvents, reverse osmosis, self-assembled
  monolayer, semiconductor substrate, silicon
  carbide, and substrate surfaces.
• From 2000 to 2004, the numbers of patents related
  to several topics had increased significantly,
  such as aqueous solutions, composite
  materials, carbon nanotubes, nucleic acids,
  self-assembled monolayer, and thin films.
  Some new topics also became major research topics
  in this time period, such as atomic force
  microscope, clay materials, dielectric
  layers, nanocomposite materials, naphtha
  stream, polymeric materials, and
  semiconductor devices.

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Citation Network Analysis- USPTO Countries
Citation Network Analysis
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Citation Network Analysis- EPO Countries
Citation Network Analysis
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Findings Country Citation Network
Citation Network Analysis

• In the USPTO dataset, the United States is the
  most significant citation center on the network.
  Japan, Republic of Korea, the United Kingdom,
  China (Taiwan) and Germany are the secondary
  citation centers and constructed a cluster with
  close citations.
• In the EPO dataset, the United States, France,
  Japan, Germany, and the United Kingdom are large
  citation centers and construct a citation cluster
  on the network.
• In both repositories, the countries have close
  citation relationships. In EPO most assignee
  countries have more than one citing/cited
  country. In USPTO several countries only have
  citation relationship with the United States.
  Many of the countries that only had citations
  with the United States were relatively new in the
  nanotechnology domain.

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Thomson SCI Literature Analysis
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Research Methodology (cont.)
Research Methodology

• Use content maps to study the active research
  topics and their relations in different time
  spans.
• Technology topics are extracted from the papers
  abstracts using the Arizona Noun Phraser (Tolle
  and Chen, 2000). The topics are organized by the
  multi-level self-organization map algorithm (Chen
  et al., 1996 Ong et al., 2005), which positions
  similar topics closer together according to their
  co-occurrence patterns.

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Research Methodology (cont.)
Research Methodology

• Use citation network analysis to study knowledge
  spillover patterns between countries/regions and
  between institutions.
• Using network topological measures to infer the
  global characteristics of knowledge spillover in
  the nanotechnology field (Li et al.,
  forthcoming).
• Visualize the core citation network and identify
  the important patterns in the network
• citations.

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Data Thomson SCI Nanotechnology Papers, 1976-2004
Dataset

• Paper collections
• 213,847 papers
• 120,687 first authors
• 24,468 institutions
• 4,175 journals/conferences
• 156 countries/regions
• The identifiers of the papers that cited or were
  cited by the nanotechnology papers are also
  retrieved.

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Bibliographic Analysis
I. Bibliographic Analysis
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Papers by Country/Region
I. Bibliographic Analysis

• Top 20 countries/regions based on number of
  papers published from 1976 to 2004 (log scale)

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Papers by Country/Region (cont.)
I. Bibliographic Analysis

• Top countries/regions (without USA) based on
  number of papers published from 1976 to 2004
  (normal scale)

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Papers by Institution
I. Bibliographic Analysis

• Top 20 institutions based on number of papers
  published from 1976 to 2004 (normal scale)

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Data Productive Countries
Dataset

• Top 20 countries/regions based on number of
  papers published from 1976 to 2004

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Data Productive Institutions
Dataset

• Top 20 institutions based on number of papers
  published from 1976 to 2004

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Content Map (1990-1999)
II. Content Map Analysis
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Findings
II. Content Map Analysis

• Nanotechnology papers published between 1990 and
  1999 covered the topics related to
• Tools
• E.g., Scanning Tunneling Microscope,
  Transmission Electron Microscopy, Atomic Force
  Microscope, and so forth.
• Physical phenomena
• E.g., Quantum Dots, Single Crystals,
  Self-Assembled Monolayers, Nanomolar
  Concentrations, Porous Silicon, Surface
  Morphologies, and so forth.
• Experiment environments
• E.g., Electric Fields, Room Temperatures,
  X-Ray Diffraction, Temperature Dependences,
  Activation Energies, and so forth.

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Content Map (2000-2004)
II. Content Map Analysis
-1.51 -0.30 0.33 0.81 1.23 1.63
2.05 2.53 3.16 3.62 4.37
NEW

REGION
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Findings
II. Content Map Analysis

• Nanotechnology papers published between 2000 and
  2004 also covered the topics related to tools
  (e.g., Scanning Tunneling Microscopy,
  Transmission Electron Microscopy, Atomic Force
  Microscope), physical phenomena (e.g., Quantum
  Dots, Self-Assembled Monolayers), and
  experiment environments (e.g., Aqueous
  Solution, X-Ray Diffraction).
• The topics on experiment environments became less
  active compared with the other two kinds of
  topics.
• There were some new topics like X-Ray
  Photoelectron Spectroscopy, Single-Wall Carbon
  Nanotubes, Carbon Nanotubes, Monte Carlo
  Simulations, and Chemical Vapor Deposition.

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Country Citation Network (1976-2004)
III. Citation Network Analysis

• The country citation network (1976-2004) consists
  of
• 66 countries,
• 348 inter-country citation relations, and
• 9 self-citation relations.
• The country citation network contains one
  component.
• Different countries knowledge influences each
  other directly or indirectly.
• Much larger clustering coefficient (0.693) than
  the random network (0.162).
• Some countries tend to form communities from
  thepaper citation perspective.

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Country Citation Network (1976-2004)
III. Citation Network Analysis
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Institution Citation Network Analysis
III. Citation Network Analysis

• The institution citation network consists of
• 1,237 institutions,
• 3,075 inter-institution citation relations, and
• 7 self-citation relations.
• The institution citation network consists of 20
  components. The giant component contains 1,185
  (95.8) institutions and 3,041 (98.9) relations.
• Most institutions interact with others directly
  or indirectly.
• Smaller average path length (4.050) than the
  randomnetwork (4.440).
• Knowledge can very easily transfer between
  institutions.
• Much larger clustering coefficient (0.069) than
  the random network (0.004).
• Research institutions have a very high tendency
  to form citation clusters.

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Institution Citation Network (1976-2004)
III. Citation Network Analysis
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India Nano Story
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Papers by Year

• The number of papers published from 1976 to 2007.

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Essential Institutions

• Top 10 institutions based on number of papers
  published from 1976 to 2004.

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Most Productive Researchers

• Top 10 first authors based on number of papers
  published from 1976 to 2004.

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Most Cited Researchers

• Top 10 first authors according to the number of
  cites received from all papers in SCI from 1976
  to 2004.

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The Nano Mapper System
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System Demo Patent Number Search
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Search Results Patent Detail
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System Demo Patent Quick Search
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Search Results Patent List
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System Demo Patent Advanced Search
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System Demo Patent Overall Statistics
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System Demo Patent Trend Analysis
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System Demo Patent Trend Analysis (cont.)
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System Demo Citation Network Analysis
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System Demo Content Map Analysis
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Take-home Messages

• Studying international competitive landscape
  knowledge and innovations
• The power of the automated knowledge mapping
  approach
• Prioritized national nanotechnology research
  programs and directions
• Turning academic research (literature) into
  patents and commercial products
• Commercialization directions and priorities

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Hisinchun Chen, Ph.D. hchen_at_eller.arizona.eduAr
tificial Intelligence LabUniversity of
Arizonahttp//ai.arizona.edu