Nanotechnology Questions, Methods, Metrics and Results: CNS United States

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Nanotechnology Questions, Methods, Metrics and
Results CNS (United States)

• Philip Shapira1,3, Alan Porter,1 Jan Youtie2, Li
  Tang1
• Nanotechnology Science Mapping and Innovation
  Trajectories, Manchester, UK, September 9, 2008
• 1Georgia Tech School of Public Policy, Atlanta,
  USA
• 2Georgia Tech Enterprise Innovation Institute,
  Atlanta, USA
• 3Manchester Institute of Innovation Research,
  Manchester Business School, UK

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Overview

• GT Nanotechnology Research and Innovation Systems
  Group (CNS-ASU)
• Context
• Nanotechnology bibliometric and patent databases
• Results
• Selected studies
• Future directions

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ContextThe U.S. 21st Century Nanotechnology
RDAct of 2003 (PL 108-153)

• Framework for integrated and interdisciplinary
  approach to nano RD
• Encourages applications of nano for productivity,
  industrial competitiveness
• Provides for nano education and training
• Requires ethical, legal, environmental, and other
  societal concerns to be addressed

• Sec 2(b)(10)
• Establishes societal implications research
  program
• Requires nano research centers (NSECs) to address
  societal implications
• Integrates societal concerns with nano RD
• Ensure advances in nanotech lead to quality of
  life improvements for all
• Provides for public input

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Center for Nanotechnology and Society (CNS-ASU)

• CNS-ASU aims to encourage reflexivity and build
  capacity for anticipatory governance of
  nanotechnology
• NSF-sponsored
• Real-Time Technology Assessment
• Research and Innovation Systems Analysis (RISA)
• Public Opinion and Values (POV)
• Deliberation and Participation (DP)
• Reflexivity Assessment and Evaluation (RAE)
• Thematic Research Clusters
• Equity and Responsibility (ER)
• Human Identity, Enhancement Biology (HIEB)

CNS-ASU involves the activities of more than 80
individuals at 6 major collaborating
institutions, as well as other collaborators,
partners, and consultants
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Nanotechnology Research and Innovation Systems
AssessmentGeorgia Tech / MIoIR Group

• Senior Researchers
• Philip Shapira (Georgia Tech / MIoIR)
• Alan Porter (Georgia Tech)
• Jan Youtie (Georgia Tech Enterprise Innovation
  Institute)
• Associated Researchers
• Maurizio Iaccopeta (GT)
• Juan Rogers (GT)
• Andrea Fernandez-Ribas (GT)
• Jue Wang (Florida International Univ)
• Students
• Graduate Students Li Tang, Stephen Carley,
  Luciano Kay, Vrishali Subramani, Reynold Galope,
  Harmeet Singh Gandhi
• Undergraduate/TT John Garner, Bryan Lynch
• MIoIR MSc Hoseup Park

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Nanotechnology Research and Innovation Systems
AssessmentResearch Thrusts

• Characterizing nanotechnology and its drivers
• How to defining nanotechnology?
• Is nano a GPT (General Purpose Technology)?
• Organization and development of nanoscience
• Who are key system actors - key institutions and
  organizations?
• Can we map nanoscience structure and
  trajectories? What are leading nano research
  targets? Is nanoscience converging?
• Nanotechnology enterprise and commercialization
• What are the characteristics of early
  commercialization? including large v. small
  companies, established v. new performers
• Pathways between research and commercialization
• National nanotechnology development and policy
• Emergence of national nano RD and international
  knowledge linkages
• Nanotechnology place and space
• Emergence of regional nano districts
• Which locations will lead in nano development and
  why? And in which fields

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Nanotechnology Research Foci Key Concepts
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Mapping nanotechnology research and
innovationCore data
Research Exploration Publications
Early Innovation Patents
Enterprise Corporate activity, start-ups
Database development
Refine search terms
Data acquisition cleaning
Associate with other variables
Analysis
Nano expert input
Thesauri Geo IDs
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Nano Search 2-Step ProcessExclusions and
Performance

• STEP 1. INCLUSION
• Using search terms
• STEP 2. EXCLUSION
• In VantagePoint, remove duplicates and records
  that appear likely not to reflect NSE
• Exclude any that contain certain terms, e.g.
  nplankton, nanoAlga, Nanofauna, nano2 (e.g.,
  NaNO2), etc.
• Exclude records that contain ONLY one of these
  terms (and no other nano terms), e.g.
  nanometer, nanosecond, nanomolar, nanogram,
  nanoliter
• SEARCH PERFORMANCE
• Recall High
• Encompassing NSE Search Algorithm
• Given that bounds on NSE are quite permeable, no
  right answer
• Precision Good
• Apply post-search duplicate removal
  exclusions
• Makes comparison of algorithms directly in the
  database search engines impossible, but allows
  subsequent tightening of the CNS-ASU algorithm

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Database dimensions

• Large-scale global databases (1990-2006)
• Nanotechnology publications (1.1 million,
  1990-2006, including 403,000 SCI 508,000 to
  2008) EI Compendex 381,000)
• 54,000 patents (70 patent offices) Micropatents
• Key Publication
• Refining search terms for nanotechnology. Porter,
  Youtie, Shapira, Schoeneck. J. NanoParticle
  Research, 2008.
• Describes two-stage bibliometric search method
  and development of nano global publications and
  patent data
• Updating (in 2008)
• Now includes 508,000 SCI article abstracts
  through to mid-2008
• Exploratory use of PatStat (multinational patent
  data base)

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Comparisons (1999-2003)
a. Bassecoulard E, Lelu A, Zitt M (2007) Mapping
nanosciences by citation flows A preliminary
analysis. Scientometrics .b.Fraunhofer Institute
for Systems and Innovations Research (2002)
Search methodology for mapping nanotechnology
patents and Heinze, T, Shapira, P, Senker, J,
Kuhlmann, S (2007) Identifying creative research
accomplishments Methodology and results for
nanotechnology and human genetics. Scientometrics
70(1).
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Selected Results

• JY
• Publication and citation trends
• Nano as GPT

• ALP
• Nanotechnology in the map of science
• Nano social science

• PS, LT
• Nanodistricts and clusters (US, EU, Latin
  America)
• Emergence of China
• MNEs and Nano SMEs

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Nano Publications by Leading Countries / Blocs
Analysis of SCI Publications 1990-2006 refined
Georgia Tech nano definition see Porter et al.,
2008
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Nanotechnology Citations in 2000 and 2004
relative to nanotechnology articlesby country of
first author 1990-2006
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General Purpose Technology

• How can we assess whether or not nanotechnology
  is a breakthrough innovation, perhaps as much as
  electricity or IT?
• GPT Attributes (Helpman and Trajtenberg, 1994)
• Pervasiveness
• Innovation Spawning
• Scope for Improvement

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Patents as Evidence Pervasiveness Generic
Function

• Sij share of patent is forward citations in
  class j (Hall and Trajtenberg)
• Forward looking Herfindahl concentration index of
  the general use of the patented technology
• As G?1 suggests more general adoption
• Problematical, due to limited lags for new,
  nanotechnology patents

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Citations Forward and Backward
Patent 1999
Patent 2004 Citations Patent 1999 Patent
1995 Patent 1990
Patent 2006 Citations Patent 2004
Backward Focal Forward
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Findings and Implications

• Generality score of Nano similar to IT and higher
  than Drugs (although right truncation around
  2000)
• Innovation spawning knowledge embodied in
  nanotechnology spreads more evenly across other
  patent classes (though less intensive), following
  an S-shaped pattern prior to the inflexion point
• If nano is like other GPTs - initial productivity
  slowdown

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Nano Sample Profile (900 records)
Geoscience
Agriculture
Infectious diseases
Ecology
Environ. Sci.
Chemistry
General medicine
Engineering
Biological Sci.
Clinical medicine
Neurosciences
Materials Sci.
Computer Sci.
Physics
Nanotech-related publications in the map of
science (1991)
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Nano Sample Profile (900 records)
Geoscience
Agriculture
Infectious diseases
Ecology
Environ. Sci.
Chemistry
General medicine
Engineering
Biological Sci.
Clinical medicine
Neurosciences
Materials Sci.
Computer Sci.
Physics
Nanotech-related publications in the map of
science (2005)
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Citations to Leading authors in Nano Social
Science, 1990-2007 N 308 (SSCI SCOPUS)
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Early Trends in Citations to Key Authors Favor
Science Visions Social Science Citations Emerge
Since 2005
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Regional nano emergencePrototypes of emerging
nanodistricts

• Where is nanotechnology emerging and how?
• Nanotechnology will be widely diffused
• but RD innovation production will cluster in
  specific regions

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Global Nanodistricts
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Development of US Nanodistricts, 1990-2006
1990
Cumulative Publications
425
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Development of US Nanodistricts, 1990-2006
1990
Cumulative Publications
425
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Development of US Nanodistricts, 1990-2006
1991
Cumulative Publications
2,238
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Development of US Nanodistricts, 1990-2006
1992
Cumulative Publications
4,625
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Development of US Nanodistricts, 1990-2006
1993
Cumulative Publications
7,325
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Development of US Nanodistricts, 1990-2006
1994
Cumulative Publications
10,322
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Development of US Nanodistricts, 1990-2006
1995
Cumulative Publications
13,541
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Development of US Nanodistricts, 1990-2006
1996
Cumulative Publications
17,399
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Development of US Nanodistricts, 1990-2006
1997
Cumulative Publications
21,851
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Development of US Nanodistricts, 1990-2006
1998
Cumulative Publications
28,061
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Development of US Nanodistricts, 1990-2006
1999
Cumulative Publications
34,829
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Development of US Nanodistricts, 1990-2006
2000
Cumulative Publications
42,291
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Development of US Nanodistricts, 1990-2006
2001
Cumulative Publications
50,585
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Development of US Nanodistricts, 1990-2006
2002
Cumulative Publications
60,084
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Development of US Nanodistricts, 1990-2006
2003
Cumulative Publications
71,291
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Development of US Nanodistricts, 1990-2006
2004
Cumulative Publications
84,687
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Development of US Nanodistricts, 1990-2006
2005
Cumulative Publications
99,569
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Development of US Nanodistricts, 1990-2006
2006
105,991
Cumulative Publications
2006 part year
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Development of US Nanodistricts, 1990-2006
Top 6 metros 38 of all 1990-2006 nano
publications (24 pop)
Chicago, 4
Boston, 7
SF-SJ, 8
New York CMSA, 9
DC-Balt, 7
LA, 5
2006
Cumulative Publications
105,991
2006 part year
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China From Nano-Lab to MarketResearch
Objectives

• Examine Chinas performance in fostering
  nanotechnology
• Research outputs
• Innovation measures
• Assess pathways and challenges for technology
  transfer
• Enterprise case studies

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Growth of CN nano publications
Number of SCI nano publications

• China rapid growth in nano pubs

Analysis of SCI Publications 1990-2006 refined
Georgia Tech nano definition see Porter et al.,
2007 count for 2006 extrapolated
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Position of China in international nano world
patents
Number of nano patents granted by USPTOEPOWIPO

• Chinas international patenting activity is still
  lagging
• China accounts for only 1 of international
  patents
• At EPO
• US 1/3
• China 1

Analysis of USPTO, EPO, WIPO patents 1990-2006
refined Georgia Tech nano definition see Porter
et al., 2007 count for 2006 extrapolated
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US-China contrasts- in nano pubs and patents
Source Global nanotechnology publication and
patent datasets developed by the CNS-ASU Georgia
Tech team using refined nanotechnology search
terms (Porter, et al. 2007) computed by the
authors
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CN Nano Collaborations (LT)
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Nano Commercialization

• MNEs and nanotechnology
• MNE nano patenting is not decentralizing
• Technological Diversity, Scientific Excellence
  and the Location of Inventive Activities Abroad
  The Case of Nanotechnology. A Fernández-Ribas, P.
  Shapira. J. Techn. Transfer (in press, 2008)
• SMEs and nanotechnology
• Social capital links with universities aid SME
  development, esp. for SBIR acquisition
• Partnering with Universities A Good Choice for
  Nanotechnology Start-up Firms? J. Wang, P.
  Shapira. Small Business Economics (in press,
  2009)

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In the pipeline

• Nanotechnology as a general purpose technology
  II. Iacopetta, Graham.
• 19,800 patents in 255 fields analyzed for spread
  of knowledge
• Social science engages with nanotechnology
  (Shapira, Youtie, Porter)
• Do women influence nanotechnology patenting? (Yu
  Meng, PhD)
• Nanotechnology policy at the sub-state level
  (US). (P. McKeon BS, Wei Zhang MS)
• Highly creative researchers in nanotechnology
  (Shapira, Rogers, Heinze, Galope)

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Future Directions

• Bibliometrics
• Review revise nanotechnology search approach /
  phase II (2010)
• Expand datasets beyond publications and patents
  (possibilities prizes, research awards, venture
  capital, SBIR, product announcements, etc.)
• NSE upstream
• Emergence of new terms (to map nano-science
  trajectories)
• Interdisciplinarity in NSE
• Organization and stimulation of highly-creative
  nanotechnology research
• International nanotechnology knowledge exchange
  networks
• Nanotechnology downstream
• Nanotechnology innovation in large and small
  enterprises
• Pathways to commercialization obstacles and
  issues
• Development implications of nano as a GPT
• Lateral
• Developing countries and nanotechnology
• Policy assessment
• Evaluating outcomes and impacts of national and
  regional nanotechnology initiatives
• Dissemination and Training
• US-European Nanotechnology Research and Policy
  Workshop (March 2009, Atlanta)