capturing nanotechnology’s current state of · pdf filecapturing nanotechnology’s...

1

Capturing nanotechnology’s current state of

development via analysis of patents

WORKING PARTY ON NANOTECHNOLOGY

Project A: Statistics and measurement

Workshop on statistics and measurement

14/11/2007

Masatsura IGAMI, National Institute of Science and Technology Policy

Teruo OKAZAKI, OECD

2

Outline of this talk

What kind of information can we get from analyses of

patent applications?

Trends of inventive activities in nanotechnology (total or by

application field)

Comparative strength of countries

Source of knowledge (Sectoral distribution of applicants)

Role of cumulative knowledge (Ratio of non-nanotechnology

patent applications in backward citations)

Role of science (Ratio of non-patent literature in backward

citations)

Technological/economical value (Forward citations)

Implications for statistics and measurement of

nanotechnology

3

Dataset

Nanotechnology patent applications filed to the EPO Nanotechnology patent applications identified by the EPO (Y01N)

(Definition of nanotechnology by the EPO)“The term nanotechnology covers entities with a controlled geometrical size of at least one functional component below 100nm in one or more dimensions susceptible to make physical, chemical or biological effects available which are intrinsic to that size. It covers equipment and methods for controlled analysis, manipulation, processing, fabrication or measurement with a precision below 100nm.” (Scheu et al, 2006)

Dataset for analysis OECD Patent Database, September 2006

OECD/EPO Patent Citations Database, September 2006

Note that All results are based on the earliest priority date.

The results are not a comprehensive picture on inventive activities.

Not all inventions are being patented.

4

Rapid growth of nanotechnology patent applications

Inventive activities in nanotechnology have been gathering momentum from

the end of 1990s.

The United States, the European Union, and Japan compete with each other.

The influences of other countries on knowledge creation are getting important.

Note: Patent counts are based on the earliest priority date, the inventor’s country of residence, and fractional counts.

Source: OECD, Patent Database, September 2006, based on a list of patents selected by the EPO.

Trends in the nanotechnology patent

applications to the EPO (direct or via PCT)

Trends in countries’ share in the

nanotechnology patent applications (inventors)

0

100

200

300

400

500

600

700

800

900

1 000

1984 1986 1988 1990 1992 1994 1996 1998 2000 2002

Nu

mb

er

of

na

no

tec

hn

olo

gy

pa

ten

t

ap

pli

ca

tio

ns

-5%

5%

15%

25%

35%

45%

Gro

wth

ra

te

Nanotechnology patent applications (growth rate)

Nanotechnology patent applications

Total EPO applications (growth rate)

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

1984 1986 1988 1990 1992 1994 1996 1998 2000 2002

United States

European Union

Japan

Other countries

5

Countries’ shares in nanotechnology patent applications to the EPO

Korea and Switzerland have 5th and 6th largest shares. The rise of

BRICs is not remarkable in inventive activities.

0%

5%

10%

15%

20%

25%

30%

35%

40%

United S

tate

s

Euro

pean U

nio

nJapan

Germ

any

Fra

nce

United K

ingdom

Kore

aS

witze

rland

Italy

Canada

Neth

erlands

Sw

eden

Belg

ium

Isra

el

Austr

alia

Denm

ark

Sin

gapore

Austr

ia

Russi

an F

edera

tion

Chin

aS

pain

India

Fin

land

Chin

ese

Taip

ei

Norw

ay

Icela

nd

Irela

nd

Bra

zil

Gre

ece

South

Afr

ica

Pola

nd

New

Zeala

nd

Slo

vaki

aP

ort

ugal

Hungary

Cze

ch R

epublic

Luxem

bourg

Mexic

oTurk

ey

2000 - 2002 1995 - 1997

0%

1%

2%N

eth

erlands

Sw

eden

Belg

ium

Isra

el

Austr

alia

Denm

ark

Sin

gapore

Austr

ia

Russi

an F

edera

tion

Chin

aS

pain

India

Fin

land

Chin

ese

Taip

ei

Norw

ay

Icela

nd

Irela

nd

Bra

zil

Gre

ece

South

Afr

ica

Pola

nd

New

Zeala

nd

Slo

vaki

aP

ort

ugal

Hungary

Cze

ch R

epublic

Luxem

bourg

Mexic

oTurk

ey

Note 1: Patent counts are based on the earliest priority date, the inventor’s country of residence, and fractional counts.

Note 2: The graph covers OECD countries and Brazil, China, Chinese Taipei, India, Israel, Singapore, South Africa, Russian Federation.

Source: OECD, Patent Database, September 2006, based on a list of patents selected by the EPO.

6

Roles of higher education and government sectors Higher education and government sectors are important

knowledge sources. Shares of higher education sector in applicants (1978-2005)

Shares of government sector in applicants (1978-2005)

Note1: Patent counts are based on the applicant's sector and country of residence and fractional counts. Note2: Other countries represents all countries other than the United States, the European Union, and Japan.Source: OECD, Patent Database, September 2006, based on a list of patents selected by the EPO. Sector classifications are based on the Eurostat sector attribution algorithm.

0%

5%

10%

15%

20%

25%

30%

United

Kingdom

United States Other countries World Total European

Union

Netherlands Germany France Japan

Nanotechnology patent applications Total EPO applications

0%

5%

10%

15%

20%

25%

30%

France European

Union

Japan United

Kingdom

World Total Other countries United States Germany Netherlands


7

Definition of application fields based on main IPC

Source: Based on the classification in Nanotechnology Researchers Network Centre, Japan.

Field name IPC Definition in IPC (8th edition)

H01L SEMICONDUCTOR DEVICES; ELECTRIC SOLID STATE DEVICES NOT OTHERWISE PROVIDED FOR

H01J ELECTRIC DISCHARGE TUBES OR DISCHARGE LAMPS

G06N COMPUTER SYSTEMS BASED ON SPECIFIC COMPUTATIONAL MODELS

G11 INFORMATION STORAGE

G02 OPTICS

H01S DEVICES USING STIMULATED EMISSION

A61 MEDICAL OR VETERINARY SCIENCE; HYGIENE

C12BIOCHEMISTRY; BEER; SPIRITS; WINE; VINEGAR; MICROBIOLOGY; ENZYMOLOGY; MUTATION OR GENETIC

ENGINEERING

G01 MEASURING; TESTING

B01 PHYSICAL OR CHEMICAL PROCESSES OR APPARATUS IN GENERAL

B21 MECHANICAL METAL-WORKING WITHOUT ESSENTIALLY REMOVING MATERIAL; PUNCHING METAL

B23 MACHINE TOOLS; METAL-WORKING NOT OTHERWISE PROVIDED FOR

B32BLAYERED PRODUCTS, i.e. PRODUCTS BUILT-UP OF STRATA OF FLAT OR NON-FLAT, e.g. CELLULAR OR

HONEYCOMB, FORM

C02F TREATMENT OF WATER, WASTE WATER, SEWAGE, OR SLUDGE

H01MPROCESSES OR MEANS, e.g. BATTERIES, FOR THE DIRECT CONVERSION OF CHEMICAL ENERGY INTO

ELECTRICAL ENERGY

B01J CHEMICAL OR PHYSICAL PROCESSES, e.g. CATALYSIS, COLLOID CHEMISTRY; THEIR RELEVANT APPARATUS

B81B MICRO-STRUCTURAL DEVICES OR SYSTEMS, e.g. MICRO-MECHANICAL DEVICES

B82B NANO-STRUCTURES; MANUFACTURE OR TREATMENT THEREOF

C01B NON-METALLIC ELEMENTS; COMPOUNDS THEREOF

C01G COMPOUNDS CONTAINING METALS NOT COVERED BY SUBCLASSES C01D OR C01F

C03B MANUFACTURE, SHAPING, OR SUPPLEMENTARY PROCESSES

C03CCHEMICAL COMPOSITION OF GLASSES, GLAZES, OR VITREOUS ENAMELS; SURFACE TREATMENT OF GLASS;

SURFACE TREATMENT OF FIBRES OR FILAMENTS FROM GLASS, MINERALS OR SLAGS; JOINING GLASS TO

GLASS OR OTHER MATERIALS

C04 CEMENTS; CONCRETE; ARTIFICIAL STONE; CERAMICS; REFRACTORIES

C07 ORGANIC CHEMISTRY

C08ORGANIC MACROMOLECULAR COMPOUNDS; THEIR PREPARATION OR CHEMICAL WORKING-UP;

COMPOSITIONS BASED THEREON

C09DYES; PAINTS; POLISHES; NATURAL RESINS; ADHESIVES; COMPOSITIONS NOT OTHERWISE PROVIDED FOR;

APPLICATIONS OF MATERIALS NOT OTHERWISE PROVIDED FOR

C22 METALLURGY; FERROUS OR NON-FERROUS ALLOYS; TREATMENT OF ALLOYS OR NON-FERROUS METALS

C23C

COATING METALLIC MATERIAL; COATING MATERIAL WITH METALLIC MATERIAL; CHEMICAL SURFACE

TREATMENT; DIFFUSION TREATMENT OF METALLIC MATERIAL; COATING BY VACUUM EVAPORATION, BY

SPUTTERING, BY ION IMPLANTATION OR BY CHEMICAL VAPOUR DEPOSITION, IN GENERAL; INHIBITING

CORROSION OF METALLIC MATERIAL OR INCRUSTATION IN GENERAL

C30 CRYSTAL GROWTH

Nano materials

Optoelectronics

Medicine and biotechnology

Environment and energy

Electronics

Measuements and

manufacturing

8

Example of technologies in application fields

Field Key phrases

Electronics

Semiconductor memories, Magnetic random access

memories, Flat panel display devices, Quantum

information processing, and Molecular devices.

OptoelectronicsLasers, Photonic crystals, Optical devices, Optical

waveguides.

Environment and energyFuel cell electrode, Non-aqueous electrolyte secondary

cell; and Lithium secondary cell.


Applications of TiO2 to sun screening, Drug deliveries,

Molecular detection method, and High resolution DNA

detection method.

Nano materialsCarbon nanotubes, Organic nanotubes, Nano-whisker,

and Oxide particles.

Measurements and

manufacturing

Matrix screening methods, Scanning probe microscope,

and polymer processing method.

Note: Key phrases are identified by frequency analysis on title of nanotechnology patents

Source: OECD, Patent Database, September 2006 based on a list of patents selected by the EPO.

Top-down nanotechnologies

Nanotechnology consists of a set of technologies on the nanometre scale.

Bottom-up nanotechnologies

9

Rising of bottom-up nanotechnologies Intense efforts to develop the bottom-up nanotechnologies, i.e.

“Nano materials”, are being conducted in the past decade.

Trends in the nanotechnology patent applications by application fields

Note: Patent counts are based on the earliest priority date and fractional counts.

Source: OECD, Patent Database, September 2006 based on a list of patents selected by the EPO.

0

50

100

150

200

250

1990 1992 1994 1996 1998 2000 2002

Electronics

Nano materials

Others


0

50

100

150

200

250

1990 1992 1994 1996 1998 2000 2002

Optoelectronics

Measurements and manufacturing

Environment and energy

10

Citation analysis

Y01N

Forward citations (citations to

nanotech patent applications)

• Technological value

• Economical value

• Influence of nanotechnology on successive inventions

Backward citations (citations from

nanotech patent applications)

• Linkage between scientific and inventive activities

• Influence of prior art on nanotechnology

11

Role of cumulative knowledge in traditional technologies

Knowledge base of nanotechnology comes from non-nanotechnology

patent applications.

Note: Patent counts are based on the earliest priority date. Figure shows three years’ moving average.

Source: OECD, EPO citations database September 2006 and OECD, Patent Database, September 2006, based on a list of patents selected by the EPO.

Average backward citations per nanotechnology patent application

and total EPO application

0

1

2

3

4

5

6

7

8

1985 1987 1989 1991 1993 1995 1997 1999 2001 2003

Nanotechnology patent applications (Citations to non-Y01N)

Nanotechnology patent applications (Citations to Y01N)

Total EPO applications

Non-nanotech Nanotech

Nanotech

80% 20%

12

Science fuels the development of nanotechnology

Science linkages in nanotechnology patent applications is larger

than total EPO applications.

Note: Patent counts are based on the earliest priority date. Figure shows three years’ moving average.


The ratio of NPL citations in the nanotechnology patent applications

0.0

0.1

0.2

0.3

0.4

0.5

1985 1987 1989 1991 1993 1995 1997 1999 2001 2003

Nanotechnology patent applications

Total EPO applications

13

Technological/economical value of nanotechnology patent applications

Higher forward citations to nanotechnology patent applications

suggest their high technological/economical values.

Trends in forward citations per patent application

Note: Patent counts are based on the earliest priority date. Forward citations received within five years from priority year are counted. Figure shows

three years’ moving average.


0.0

1.0

2.0

3.0

4.0

5.0

1985 1987 1989 1991 1993 1995 1997 1999 2001 2003

Cit

ati

on

pe

r p

ate

nt

ap

plic

ati

on

Nanotechnology patent applications with truncation

Nanotechnology patent applications without truncation

Total EPO applications with truncation

14

Notably high citations to nanotechnology related to “Measurements and

manufacturing” rationalise its important roles in the development of

nanotechnology.

Average forward citations per patent application in nanotechnology (1995-2003)

Note: Patent counts are based on the earliest priority date. The application field of a patent is identified based on the main IPC. No truncation in the

period of forward citations


0.0

0.2

0.4

0.6

0.8

1.0

1.2

1.4

1.6

1.8

Medicine and

biotechnology

Measurements

and

manufacturing

All Nano materials Optoelectronics Electronics Others Environment and

energy


Technological/economical value of nanotechnology patent applications

15

Conclusions

Inventive activities in nanotechnology have been gathering momentum from the end of 1990s.

Nanotechnology is a set of technologies on the nanometre scale rather than a single technological field.

Higher education and government sectors are important knowledge sources.

Science fuels nanotechnology.

High forward citations to nanotechnology patent applications suggest their high technological/economical values.

Two kinds of nanotechnologies co-exist.

Top-down/Bottom-up

16

Top-down/Bottom-up nanotechnologies

Top-down nanotechnologies

The majority of nanotechnologies, especially nanotechnologies related to

“Electronics” and “Optoelectronics”, are seemingly realised by a top-down

process.

Mutual interactions among these top-down nanotechnologies appear to be

weak, because they are usually pushing the technological frontier of their

own.

Thanks to cumulative knowledge so far. The top-down nanotechnologies

would have social and economical impacts in the short and medium term.

Bottom-up nanotechnologies

Intense efforts to develop the bottom-up nanotechnologies, e.g. “Nano

materials”, are being conducted in the past decade.

It will take a while until bottom-up nanotechnologies have social and

economic impacts.

17

Implications for statistics and measurement of nanotechnology

Recent progress of patent database opens a way to

analyse the nature of nanotechnology. Trends of inventive activities in nanotechnology (total or by application field)

Comparative strength of countries

Source of knowledge (Sectoral distribution of applicants)

Role of cumulative knowledge (Ratio of non-nanotechnology patent

applications in backward citations)

Role of science (Ratio of non-patent literature in backward citations)

Technological/economical value (Forward citations)

But…

18


No unified guideline to select nanotechnology patent

applications. This study applied Y01N. But the USPTO created class 977 and the

JPO created ZNM. And there are many analyses based on different

strategies to select nanotechnology patent applications.

Wide range of applications. Nanotechnology statistics and measurement strongly depend on the

selection of technologies.

Application field’s level analyses would be desirable to measure

characteristics of nanotechnology precisely.

E.g. “Nano-electronics” vs. “Nano-biotechnology”

And furthermore, nanotechnology has been…

19


Nanotechnology in 1990

A1

B

D

C

1990

A1

B

D

C

1990

Sensing and actuating technologies

on the nanometre scale

Technologies related to

cyclodextrin

Optical devicesManufacturing and

application of thin films

A Circle shows a patent application.

Patent applications linked by citations

localise.

Direction of a citation is not considered.

20



A1

B

C

E

F

D

1995

A1

B

C

E

F

D

1995Drug delivery

Spintronics

21



A1

A2

B

CG

E

I

J

F

D

H

1998

A1

A2

B

CG

E

I

J

F

D

H

1998

Manufacturing and measurement for

biotechnologySemiconductor devices/Single

electron devices

Electron emission devices

Lithography on the nanometre scaleTechnologies related to

carbon nanotubes

22



Continuous nucleation and development of technologies

2003

A1

A2

B

C

H

G

ME

I

K

J

L

F

D2

D1

Application of nanoparticles

as pigmentsPhotonic crystals

Semiconductor nanoparticles

and nanocrystals

23


No unified guideline to select nanotechnology patent

applications. This study applied Y01N. But the USPTO created class 977 and the

JPO created ZNM. And there are many analyses based on different

strategies to select nanotechnology patent applications.

Wide range of application. Nanotechnology statistics and measurement strongly depend on the

selection of technologies.

Application fields level analyses would be desirable to measure

characteristics of nanotechnology precisely.

E.g. “Nano-electronics” vs. “Nano-biotechnology”

And furthermore, nanotechnology has been evolving

over time! The development of statistics should be forward-looking and have a

certain degree of flexibility along with the development of

nanotechnology.

24

Impacts of science on inventive activities

Scientific activities have crucial roles in knowledge creation

and flow in nanotechnology.

0

20

40

60

80

100

120

1985 1987 1989 1991 1993 1995 1997 1999 2001 2003

C01B

Months

Trends of patent citations and NPL citations

in the nanotechnology patent applications

Trends in time-lags between successive

inventions

0

50

100

150

200

250

300

350

400

1981 -

1985

1986 -

1990

1991 -

1995

1996 -

2000

2001 -

2003

0.0

0.1

0.2

0.3

0.4

0.5

0.6

NPL citations

Patent citations

Ratio

e. g. Nanotechnology patent applications in C01B (Carbon nanotubes)

Note: Patent counts are based on the earliest priority date and the main IPC. Time-lags show three years’ moving average.


25

Role of cumulative knowledge

Current development of nanotechnology likely relies on existing

technologies and cumulative knowledge is crucial in its development.

Countries’ share in nanotechnology patent applications related to “Electronics”

(1995-2003)

Note: Patent counts are based on the earliest priority date, the inventor’s country of residence, and fractional counts. The

application field of a patent is identified based on the main IPC.

Source: OECD, Patent Database, September 2006 based on a list of patents selected by the EPO. Sector classifications are based

on the Eurostat sector attribution algorithm.

0.0

0.1

0.2

0.3

0.4

0.5

Japan United

States

European

Union

Germany Korea United

Kingdom

France Switzerland Netherlands Canada Italy


0.0

0.1

0.2

0.3

0.4

0.5

United

States

European

Union

Germany France Japan United

Kingdom

Italy Canada Switzerland Korea Sweden


Countries’ share in nanotechnology patent applications related to “Medicine and

biotechnology” (1995-2003)

Y01N

H01L, H01J,

G06N, G11

Total EPO

Y01N

A61, C12

Total EPO

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