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

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

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    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)

    2. 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

    3. Knowledge Mapping

    4. 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).

    5. 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.

    6. Units of Analysis and Representations Authors or inventors Publications and publication outlets Institutions Countries or regions Subject and topic areas Timeline

    7. 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

    8. Co-authorship Network (Krempel)

    9. SOM-based Cancer Map (Chen et al.)

    10. ThemeView (PNL)

    11. Galaxy visualization (PNL)

    12. Mapping Nanotechnology Innovations and Knowledge

    13. Nanotechnology Commercialization Timeline

    14. Worldwide Nanotechnology Market

    15. 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. Deleted ‘a’ before rapid. You may want to be more clear who is meant by ‘various communities’. I put ‘research communities’ but that may not be the whole picture. Or is it correct to leave out ‘research’ and say ‘many communities’?Deleted ‘a’ before rapid. You may want to be more clear who is meant by ‘various communities’. I put ‘research communities’ but that may not be the whole picture. Or is it correct to leave out ‘research’ and say ‘many communities’?

    16. 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. Changed nanotechnology to nanotechnology’s. Corrected bibliometric spelling Deleted ‘in the analysis based on literature’ because it was repetitive Changed wording of last sentence. ‘Longitudinal analysis’ implies that you are assessing the status so you generally want to use one phrase or the other.Changed nanotechnology to nanotechnology’s. Corrected bibliometric spelling Deleted ‘in the analysis based on literature’ because it was repetitive Changed wording of last sentence. ‘Longitudinal analysis’ implies that you are assessing the status so you generally want to use one phrase or the other.

    17. USPTO, EPO, and JPO Patent Analysis (Nature Nanotechnology, 2008, forthcoming)

    18. 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.

    19. Research Design

    20. 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. 1220Keywords A->Z 1220Keywords A->Z

    21. 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 Revised(12/12) assignee->assignee institution and add country column Revised(12/12) assignee->assignee institution and add country column

    22. 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 Revised(12/12) assignee -> assignee institution and add country column 1220 Germany=>rank 2 Japan => rank3Revised(12/12) assignee -> assignee institution and add country column 1220 Germany=>rank 2 Japan => rank3

    23. Data: JPO Patents (cont.) Top 20 nanotechnology patent assignees based on “title-abstract” search of patents published from 1976 to 2004 Revised(12/12) change assignee->assignee institution and add country column Revised(12/12) change assignee->assignee institution and add country column

    24. Data: USPTO, EPO, and JPO Patents 1220 Figure Table findings1220 Figure Table findings

    25. 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) 1221 Figure findings1221 Figure findings

    26. 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) 1221 Figure Findings 1221 Figure Findings

    27. Basic Analysis- USPTO Patents by Country Group 1221 Figure findings1221 Figure findings

    28. Basic Analysis- EPO Patents by Country Group Revised(12/12) delete table 1976 1977 1221 Figure Findings Revised(12/12) delete table 1976 1977 1221 Figure Findings

    29. Content Map Analysis (USPTO) USPTO Content Map (1976-1989) (“title-abstract” search) 1222 figure1222 figure

    30. Content Map Analysis (USPTO) 1222 figure1222 figure

    31. 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.” 1222 findings 1222 findings

    32. Citation Network Analysis- USPTO Countries Revised 1222 figure Revised 1222 figure

    33. Citation Network Analysis- EPO Countries 1222 figure1222 figure

    34. 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. 1222 Findings1222 Findings

    35. Thomson SCI Literature Analysis

    36. 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. Added ‘s’ to trend Added ‘s’ to mapAdded ‘s’ to trend Added ‘s’ to map

    37. 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. Corrected spelling of ‘abstracts’ 3rd statement under Content map: deleted “by the topic map interface.” This seems implied by the type of analysis. You could say “The map interface positions topics geographically on a graph, based on their similarity.”Corrected spelling of ‘abstracts’ 3rd statement under Content map: deleted “by the topic map interface.” This seems implied by the type of analysis. You could say “The map interface positions topics geographically on a graph, based on their similarity.”

    38. 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.

    39. Bibliographic Analysis Update 8/16 Deleted end of 2nd bullet sentence; it was repetitive.Update 8/16 Deleted end of 2nd bullet sentence; it was repetitive.

    40. Papers by Country/Region Top 20 countries/regions based on number of papers published from 1976 to 2004 (log scale) {Huang, 2003 #8} Update 8/16 Minor changes to sentences for grammar.{Huang, 2003 #8} Update 8/16 Minor changes to sentences for grammar.

    41. Papers by Country/Region (cont.) {Huang, 2003 #8} Update 8/16 Because you removed the USA, there are only 19 countries listed in your graph. Minor changes to 1st bullet sentence.{Huang, 2003 #8} Update 8/16 Because you removed the USA, there are only 19 countries listed in your graph. Minor changes to 1st bullet sentence.

    42. Papers by Institution {Huang, 2003 #8} UPDATE 8/16 Minor changes to sentences.{Huang, 2003 #8} UPDATE 8/16 Minor changes to sentences.

    43. Data: Productive Countries Top 20 countries/regions based on number of papers published from 1976 to 2004 No problem…No problem…

    44. Data: Productive Institutions Top 20 institutions based on number of papers published from 1976 to 2004 Update 8/16 Why does this heading say “ISI Papers” when the rest say “SCI Papers”? Make sure the change in red matches your meaning. Also I put 2 possible words in the sentence. You could also say “…in the last (5 or whatever) years.”Update 8/16 Why does this heading say “ISI Papers” when the rest say “SCI Papers”? Make sure the change in red matches your meaning. Also I put 2 possible words in the sentence. You could also say “…in the last (5 or whatever) years.”

    45. Content Map (1990-1999)

    46. 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. 3rd bullet—is ‘temperature dependences’ correct, or should it be ‘dependencies’? Added periods to the end of statements. Is ‘and so forth’ necessary?3rd bullet—is ‘temperature dependences’ correct, or should it be ‘dependencies’? Added periods to the end of statements. Is ‘and so forth’ necessary?

    47. Content Map (2000-2004) base rate 0.628base rate 0.628

    48. 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.” Deleted ‘and so forth’Deleted ‘and so forth’

    49. 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 the paper citation perspective. 2nd bullet—changed ‘country’s’ to ‘countries’’; added ‘s’ to influence Should ‘country citation network’ be capitalized each time you use it?2nd bullet—changed ‘country’s’ to ‘countries’’; added ‘s’ to influence Should ‘country citation network’ be capitalized each time you use it?

    50. Country Citation Network (1976-2004) Update 8/21 Update 8/21

    51. 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 random network (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. ‘institution citation network’ should be all capitalized at the beginning or all not capitalized. Make consistent on this slide (and with how you did country citation network) Minor punctuation changes‘institution citation network’ should be all capitalized at the beginning or all not capitalized. Make consistent on this slide (and with how you did country citation network) Minor punctuation changes

    52. Institution Citation Network (1976-2004) Update 8/21 Update 8/21

    53. India Nano Story

    54. Papers by Year The number of papers published from 1976 to 2007.

    55. Essential Institutions Top 10 institutions based on number of papers published from 1976 to 2004.

    56. Most Productive Researchers Top 10 first authors based on number of papers published from 1976 to 2004.

    57. Most Cited Researchers Top 10 first authors according to the number of cites received from all papers in SCI from 1976 to 2004.

    58. The Nano Mapper System

    59. System Demo: Patent Number Search

    60. Search Results: Patent Detail

    61. System Demo: Patent Quick Search

    62. Search Results: Patent List

    63. System Demo: Patent Advanced Search

    64. System Demo: Patent Overall Statistics

    65. System Demo: Patent Trend Analysis

    66. System Demo: Patent Trend Analysis (cont.)

    67. System Demo: Citation Network Analysis

    68. System Demo: Content Map Analysis

    69. 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

    70. Hisinchun Chen, Ph.D. hchen@eller.arizona.edu Artificial Intelligence Lab University of Arizona http://ai.arizona.edu

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