1. Knowledge exploration
in emerging technologies
(The case of nanotechnologies)
Fabrizio Cesaroni, Ph.D
University of Messina
(Italy)

2. Background
The ASBAR World Forum - Cesaroni: Knowledge exploration in emerging technologies 2
• During the last decades
• Scientification of innovation/technology
• Emerging new fields at the border between S&T
• e.g., biotechnology, nanotechnology
• Emerging technologies often characterized by complexity
1. Resulting from the nonlinear, interdependent combination of knowledge originating over long periods
of time (Van de Ven et al, 2004)
2. Involve scientific diversity
• Through cross-domain collaborations
(cross-functional teams and shared practices) (Kellog et al, 2006; Brums, 2013)
• University-Industry(-User) collaborations
 community/institutional diversity

3. Background (cont’d)
The ASBAR World Forum - Cesaroni: Knowledge exploration in emerging technologies 3
• Knowledge creation as a social process
• Networks, clusters, eco-systems, platforms
1. Variety in knowledge creation structures
• Actors
• Inter-institutional relationships (networks and clusters)
• Policy interventions
2. Variety in knowledge exploitation strategies
• Knowledge exploration  knowledge exploitation
• The window of entrepreneurial opportunities affected by the structure of knowledge creation

4. A representative case: Nanotechnology
The ASBAR World Forum - Cesaroni: Knowledge exploration in emerging technologies 4
Main characteristics:
• General Purpose Technology (Bresnahan and Trajtenberg, 1995),
Enabling Technology (Drexler and Peterson, 1989)
• A nanotech industry is still lacking to emerge, but expected growth in nanotech
product markets
• Huge public and private investments
• Relevance of scientific knowledge (strong uni-ind integration)
• Nanotech patent gold-rush, fragmented IP landscape

5. Nanotubes patents by extension country and by date (1994-2013)
The ASBAR World Forum - Cesaroni: Knowledge exploration in emerging technologies 5
0
3000
6000
9000
12000
15000
1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Patentapplications(cumulatednumber)
Application year
China
USA
Japan
Korea
Taiwan
Germany
France UK

6. A representative case: Nanotechnology
The ASBAR World Forum - Cesaroni: Knowledge exploration in emerging technologies 6
Main characteristics (cont’d):
• Large variety in firms’ strategies and industry organization
Expected consequence:
• Characteristics of firms’ patent portfolios today may determine their exploitation
capabilities tomorrow

7. Nanotechnology
The ASBAR World Forum - Cesaroni: Knowledge exploration in emerging technologies 7
The emerging nanotech landscape:
a) variety in firms’ patent portfolio strategies (Cesaroni & Baglieri, 2012)
0
100
200
300
H01L-051/30
H01L-051/05
H01L-029/66
H01L-029/06
H01L-029/02
H01L-021/70
H01L-021/02
H01J-009/02H01J-001/304
H01J-001/30
D01F-009/12
C01B-031/02
C01B-031/00
B82B-003/00
B82B-001/00
Hon Hai Precision Industry
0
50
100
150
200
H01L-051/30
H01L-051/05
H01L-029/66
H01L-029/06
H01L-029/02
H01L-021/70
H01L-021/02
H01J-009/02H01J-001/304
H01J-001/30
D01F-009/12
C01B-031/02
C01B-031/00
B82B-003/00
B82B-001/00
NEC
0
100
200
300
H01L-051/30
H01L-051/05
H01L-029/66
H01L-029/06
H01L-029/02
H01L-021/70
H01L-021/02
H01J-009/02H01J-001/304
H01J-001/30
D01F-009/12
C01B-031/02
C01B-031/00
B82B-003/00
B82B-001/00
Hon Hai Precision Industry
0
50
100
150
200
H01L-051/30
H01L-051/05
H01L-029/66
H01L-029/06
H01L-029/02
H01L-021/70
H01L-021/02
H01J-009/02H01J-001/304
H01J-001/30
D01F-009/12
C01B-031/02
C01B-031/00
B82B-003/00
B82B-001/00
NEC
Concentrated
nanotech patent
portfolio
0
10
20
30
H01L-051/30
H01L-051/05
H01L-029/66
H01L-029/06
H01L-029/02
H01L-021/70
H01L-021/02
H01J-009/02H01J-001/304
H01J-001/30
D01F-009/12
C01B-031/02
C01B-031/00
B82B-003/00
B82B-001/00
Nantero
0
10
20
30
H01L-051/30
H01L-051/05
H01L-029/66
H01L-029/06
H01L-029/02
H01L-021/70
H01L-021/02
H01J-009/02H01J-001/304
H01J-001/30
D01F-009/12
C01B-031/02
C01B-031/00
B82B-003/00
B82B-001/00
Mitsubishi
0
10
20
30
H01L-051/30
H01L-051/05
H01L-029/66
H01L-029/06
H01L-029/02
H01L-021/70
H01L-021/02
H01J-009/02H01J-001/304
H01J-001/30
D01F-009/12
C01B-031/02
C01B-031/00
B82B-003/00
B82B-001/00
Nantero
0
10
20
30
H01L-051/30
H01L-051/05
H01L-029/66
H01L-029/06
H01L-029/02
H01L-021/70
H01L-021/02
H01J-009/02H01J-001/304
H01J-001/30
D01F-009/12
C01B-031/02
C01B-031/00
B82B-003/00
B82B-001/00
Mitsubishi
Diversified
nanotech patent
portfolio

8. Nanotechnology
The ASBAR World Forum - Cesaroni: Knowledge exploration in emerging technologies 8
b) variety in firms’ technology development strategies (Appio et al., 2016)
0
50
100150
Frequency
0 1 2 3 4 5
PR NPR
More science-based patents
0
50
100150200
Frequency
0 1 2 3 4 5
PR NPR
More technology-based patents

9. Nanotechnology
The ASBAR World Forum - Cesaroni: Knowledge exploration in emerging technologies 9
c) variety in the organization of national ecosystems (Baglieri et al., 2014)
Nano Production System
Exploitation Strategies
Policy Measures
University as Anchor Widely dispersed firm-based
model
Few private capital
Public R&D funding
Few soft policy instruments
Researchers’ and firms’ networks
Focus on standard setting and
social nanotechnology
acceptance

10. Implications
The ASBAR World Forum - Cesaroni: Knowledge exploration in emerging technologies 10
1. Main actors in exploratory research
• Model 1: Universities as anchors
• Joint R&D centers with firms (e.g. Hon Hai – Tsinghua experience)
• Model 2: Strong interaction among large, incumbent firms

11. Implications (cont’d)
The ASBAR World Forum - Cesaroni: Knowledge exploration in emerging technologies 11
2. Strategies to exploit the value of nanotech research
• Model 1: Upstream patents  future IP building blocks
• Potential problems in uni-ind technology transfer
• Maybe slower diffusion of knowledge
• Model 2: Downstream patents  close to application domains
• Policies to develop technologies for societal needs
• Spontaneous interaction among actors  wider, easier and faster diffusion of knowledge

12. Implications (cont’d)
The ASBAR World Forum - Cesaroni: Knowledge exploration in emerging technologies 12
3. Policy intervention to support technology exploitation
• Supply-side policies
vs.
Demand-side policies
• Norms and regulation of IPRs
• TTOs and IP intermediaries
• Support to public-private partnerships

13. Thank you!
Fabrizio Cesaroni
(fabrizio.cesaroni@unime.it)