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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). About this book:

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slide1

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)

slide2

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

invisible colleges and knowledge mapping
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).
online resources for knowledge mapping
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.
units of analysis and representations
Units of Analysis and Representations
  • Authors or inventors
  • Publications and publication outlets
  • Institutions
  • Countries or regions
  • Subject and topic areas
  • Timeline
knowledge mapping analysis framework
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
nanotechnology
Nanotechnology
  • Nanotechnology
    • A fundamental technology.
    • Critical for a nation’s 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 R&D status of nanotechnology.
assessing nanotechnology research status
Assessing Nanotechnology Research Status
  • Patent analysis
    • We developed a framework (Huang et al., 2003) to systematically assess nanotechnology’s 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.
research objectives

Background and Research Objectives

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.
research design

Research Design

Research Design

We developed a framework to assess the R&D status of a a science and engineering domain based on the patents in the three repositories: USPTO, EPO, and JPO.

USPTO dataset

Data acquisition

Patent parsing

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

EPO+JPO patent

Collected by

keywords

Topic coverage

Content map

JPO patent

JPO dataset

Knowledge diffusion

Citation Network

Patent status

JPO

database

Patent statuschecking

data uspto patents

Dataset

Data: USPTO Patents
  • 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.
data uspto patents cont

Dataset

Data: USPTO Patents (cont.)
  • Top 20 nanotechnology patent assignees (with average patent age) and countries based on “title-abstract” search of patents published from 1976 to 2004
data epo patents cont

Dataset

Data: EPO Patents (cont.)
  • Top 20 nanotechnology patent assignees (with average patent age) and countries based on “title-abstract” search of patents published from 1978 to 2004
data jpo patents cont

Dataset

Data: JPO Patents (cont.)
  • Top 20 nanotechnology patent assignees based on “title-abstract” search of patents published from 1976 to 2004
data uspto epo and jpo patents

Dataset

Data: USPTO, EPO, and JPO Patents
  • The numbers of nanotechnology patents published in USPTO, EPO and JPO by year (log scale)
basic analysis uspto patents by country

Basic Bibliographic Analysis

Basic Analysis- USPTO Patents by Country
  • Top 20 nanotechnology patent assignee countries in USPTO (“title-abstract” search) and their patents by year, 1976-2004 (log scale)
basic analysis epo patents by country

Basic Bibliographic Analysis

Basic Analysis- EPO Patents by Country
  • Top 20 nanotechnology patent assignee countries in EPO (“title-abstract” search) and their patents by year, 1978-2004 (log scale)
basic analysis uspto patents by c ountry group

Basic Bibliographic Analysis

Basic Analysis- USPTO Patents by Country Group
  • Assignee country group analysis by year, 1976-2004 (“title-abstract” search) (log scale)
basic analysis epo patents by c ountry group

Basic Bibliographic Analysis

Basic Analysis- EPO Patents by Country Group
  • Assignee country group analysis by year, 1978-2004 (“title-abstract” search) (log scale)
content map analysis uspto

Content Map Analysis

Content Map Analysis (USPTO)
  • USPTO Content Map (1976-1989) (“title-abstract” search)
content map analysis uspto1

Content Map Analysis

Content Map Analysis (USPTO)

4.18 5.39 6.036.51 6.93 7.33 7.75 8.23 8.869.3210.07 NEW REGION

-0.800.41 1.051.53 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)
findings content map uspto

Content Map Analysis

Findings –Content Map (USPTO)
  • 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.”
findings country citation network

Citation Network Analysis

Findings – Country Citation Network
  • 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.
research methodology cont

Research Methodology

Documents

Topic Similarity

Visualization

Topics

Topic Relation Analysis

Keyword Extraction

Arizona NounPhraser

SOM Algorithm

Research Methodology (cont.)
  • 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.
research methodology cont1

Research Methodology

Country Citation Network

Documents

Topological

Analysis

Visualization

Paper Citation

Relationships

Institution Citation

Network

Citation Aggregation

CitationExtraction

Core Network

Extraction

Research Methodology (cont.)
  • 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.
data thomson sci nanotechnology papers 1976 2004

Dataset

Data: Thomson SCI Nanotechnology Papers, 1976-2004
  • 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.
papers by country region

I. Bibliographic Analysis

Papers by Country/Region
  • Top 20 countries/regions based on number of papers published from 1976 to 2004 (log scale)
papers by country region cont

I. Bibliographic Analysis

Papers by Country/Region (cont.)
  • Top countries/regions (without USA) based on number of papers published from 1976 to 2004 (normal scale)
papers by institution

I. Bibliographic Analysis

Papers by Institution
  • Top 20 institutions based on number of papers published from 1976 to 2004 (normal scale)
data productive countries

Dataset

Data: Productive Countries
  • Top 20 countries/regions based on number of papers published from 1976 to 2004
data productive institutions

Dataset

Data: Productive Institutions
  • Top 20 institutions based on number of papers published from 1976 to 2004
findings

II.Content Map Analysis

Findings
  • 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.
content map 2000 2004

II.Content Map Analysis

Content Map (2000-2004)

-1.51-0.300.330.811.23 1.632.05 2.53 3.163.624.37 NEW REGION

findings1

II.Content Map Analysis

Findings
  • 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.”
country citation network 1976 2004

III.Citation Network Analysis

Country Citation Network (1976-2004)
  • 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.
institution citation network analysis

III.Citation Network Analysis

Institution 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.
papers by year
Papers by Year
  • The number of papers published from 1976 to 2007.
essential institutions
Essential Institutions
  • Top 10 institutions based on number of papers published from 1976 to 2004.
most productive researchers
Most Productive Researchers
  • Top 10 first authors based on number of papers published from 1976 to 2004.
most cited researchers
Most Cited Researchers
  • Top 10 first authors according to the number of cites received from all papers in SCIfrom 1976 to 2004.
take home messages
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
slide70

Hisinchun Chen, Ph.D. [email protected] Intelligence LabUniversity of Arizonahttp://ai.arizona.edu

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