Abstract
3D printing is the important part of the emerging industry, and the accurate prediction of technology hot spots (THS) in the 3D printing industry is crucial for the strategic technology planning. The patents of the THS are always in the minority and have outlier characteristics, so the existing single and rigid models cannot accurately and robustly predict the THS. In order to make up for the shortcomings of the existing research, this study proposes a model for robust composite attraction indicator (MRCAI), which avoids the impact of outlier patents on prediction accuracy depending on not only extracting the patent attraction indicators (AIs) but also constructing the robust composite attraction indicator (CAI) according to the rough consensus of predicted results of CAIs with high generalization. Specifically, firstly, this study selects the patent AIs from the four dimensions of the attraction: technology group attraction, state attraction, enterprise attraction and inventor attraction. Secondly, in order to completely describe the attraction features of patent, AIs are directly and indirectly integrated into CAIs. Thirdly, we reduce the influence of outlier patents on prediction accuracy from two aspects: on the one hand, we initially select the CAIs with good generalization performance based on the prediction error fluctuation range. On the other hand, we build the robust CAIs by calculating the consensus of CAIs with high generalization performance based on the rough set. Fourthly, the 3D printing industry technology attention matrix is constructed to map the effective technology strategic planning based on predicted patent backward citation count by MRCAI in the short, medium and long term. Finally, the experimental results on 3D printing patent data show that MRCAI can effectively improve the efficiency in dealing with samples with outlier patents and has strong flexibility and robustness in predicting the THS in 3D printing industry.
Introduction
Science, Nature, and other technology journals show that 3D printing, the combination of advanced materials and manufacturing, is one of the Emerging Industries [1]. In the digital production wave, 3D printing technology plays an increasingly important role, which can help to realize the next industrial revolution [2]. The 3D printing industry global output value has maintained a growth rate of 12% and the market size will reach $10.8 billion in 2020 [3]. Most countries have raised the technological development of 3D printing industry to the national strategic level. In 2012, the United States listed 3D printing as a “National Manufacturing Innovation Network” program. China established a 3D printing technology industry alliance [3]. South Africa, Japan, and other countries have introduced corresponding policies to support 3D printing industry development [4]. The technology hot spots of 3D printing industry have huge growth potential, and can reflect the development status and dynamics of industry [5]. Thus, predicting the technology hot spots of the 3D printing industry can provide significant technology strategic planning support for the government and enterprises to develop appropriate supportive incentives to achieve a better and faster innovation and development of the 3D printing industry.
The patent contains 90 95% technical information, and the public time is 1–2 years earlier than other carriers [6]. Many scholars agree that patent analysis is an effective tool for technology hot spots analysis, which can provide reasonably strategic planning support [7]. The existing technology hot spots prediction methods analyze the current status and development direction of the industry from different aspects, while most methods have some limitations. For examples, many studies only judge the technology hot spots through the count of patents [8]. However, the count of patents increases accompanied by the technology development process, which cannot predict the development potential of technologies in their early stage, so decision-making is delayed and development opportunities are missed. At the same time, these methods disregard the difference of patent potential, that is, it does not take into account the influence of patent individuals on the development trend of industry, which will lead to a large deviation between the prediction results and the actual development trajectory [9]. Besides, the patents of technology hot spots are minority and have outlier characteristics, which require prediction models either to have good generalization performance or to adjust adaptively according to different samples. However, the existing prediction methods either consider the macro trend of 3D printing technology and ignore the prediction of a single patent trend [10], or are mostly single and rigid, and it is impossible to adaptively construct appropriate robust models according to the outlier characteristics of the patents of technology hot spots, which will affect the accuracy of the prediction results.
In order to make up for the shortcomings of the existing research, this study proposes a model for Robust Composite Attraction Indicator (MRCAI), which reduces the influence of outlier patents on prediction accuracy from two aspects: one is to predict the patent of technology hot spots based on the attractiveness of patent, another is to construct the robust composite attraction indicator (CAI) according to the rough consensus of predicted results of CAIs with high generalization.
Firstly, we develop the patent attraction indicators (AIs) from four dimensions, namely technology group attraction, state attraction, enterprise attraction and inventor attraction, which can evaluate the development potential of patent in detail. Secondly, in order to completely describe the explicit and implicit attractive features of patent, the AIs are reasonably integrated directly and indirectly by various data mining techniques to construct the comprehensive the composite AIs (CAIs). Thirdly, for the sake of getting rid of the influence of outlier patents on prediction accuracy, we measure the generalization performance of the CAIs by calculating the prediction error fluctuation range and screen out the suitable robust CAIs according to the rough consensus of predicted results of CAIs with high generalization. Finally, based on the technology hot spots prediction results of MRCAI, technology attention matrix is constructed to map the effective technology strategic planning, which can finely analyze the technology hot spots of the 3D printing industry in different industry streams in the short-term, medium-term and long-term. The experimental results base on the Derwent Patent Data prove that MRCAI can accurately and timely predict the technology hot spots, and can support the government and enterprises to make the accurate technology strategic planning for 3D printing industry.
The remainder of this study is organized as follows. Section 2 briefly reviews the existing literature. Section 3 presents the technology hot spots prediction. In section 4, we introduce the MRCAI. Section 5 analyzes the results of MRCAI for prediction technology hot spots. Section 6 gives some conclusions and outlooks for future research.
Literature review
Industry analysis
Industry analysis is essential for drawing technology development routes and formulating strategic plans. The results of Sungjoo’s surveys showed that good industrial analysis could increase profits by 30% for enterprises [11]. The existing industry analysis research can be divided into two main aspects: spatial dimension and time dimension. The spatial dimension depicts the development points of technology in different streams of the industrial chain from the macro-level, and the time dimension describes the technology lifecycle of each technology group from the micro-level.
In the spatial dimension, the industry chain is widely adopted to analyze the technology hot spots. The industry consists of streams, the technology in the same stream has a high degree of similarity, and the technology of different streams has obvious differences. Therefore, it is necessary to subdivide the industry streams for comprehensively analyzing the current state of technological progress. To check the progress status of the new energy motor vehicle, Opitz et al. separately studied the activities of each stream based on the patent family data to analyze the technology trends [12]. Karvonen and Kässi analyzed the competitive state of different technologies for decision-makers [13]. Papachristos established competition and linkage between technologies, which proved that every stream had its own technical diversity [14]. Kim and Bae clustered the patents into different technology groups and predicted the promising technologies based on patent citation [15]. Campbell analyzed the strategic plans in different streams to predict the nominal maturity and development direction [16]. Chieh and Hsuan described the role of each technology in the industrial chain through patent citation relationships to make recommendations for the semiconductor R&D strategies [17]. Kimura et al. analyzed the development prospects of some industries by analyzing the development prospects of most enterprises [18].
In the time dimension, the development of technology includes four stages: introduction, growth, maturity, and decline. The industrial analysis in time dimension not only considers the development stage of each technology but also combines the adaptability of technology and market. Using the technology lifecycle to discuss the future development of technology has proved effective in the construction industry [19]. Karvonen et al. traced the development track through patent citation analysis and clarified the status quo of technology in different periods to understand the interaction in different stages [20]. Yeh analyzed the patents from 1996 to 2015 and drew the lifecycle of each technology through the patent quantity [21]. Trappey et al. proposed the patent content clustering method to predict the technology lifecycle and technology development space, and then evaluated market opportunities for inventors and investors [22].
In strategic decision-making or technology development activities, patent information analysis can help developers fully understand the status quo, key technologies and technology life cycle of related technology fields to predict the future technology development trend and core patent distribution of the industry. In addition, the existing research shows that technology can be predicted at least one year ahead of their publishing time [23]. However, most research in this field is limited to a single dimension of space or time, and cannot comprehensively summarize the progress of industry, which seriously hinders the accurate prediction for future industries, especially emerging industries. Therefore, this study predicts the technology hot spots from both the spatial dimension and the time dimension. We build the industrial technology attention matrix to map the effective technology strategic planning based on MRCAI, which can not only analyze the technology hot spots but also reflect the technology potentials.
Combined prediction model
Since Bates and Granger firstly proposed the combined forecasting theory system in 1969, the method has received extensive attention from many scholars [24]. The single prediction model generally contains part of the information. By combining various models with certain rules, the prediction bias caused by parameters or model errors can be greatly reduced. Therefore, combining different prediction models will improve the prediction accuracy as much as possible.
In order to improve the accuracy of decision-making, most scholars compared and combined many single models through classical statistical methods, for example, Nowotarski et al. considered the diversification characteristics of different models [25]. Fu et al. used the variance-covariance to assign the weight of every single model [26]. Yin et al. combined principal component regression method and partial least squares regression method to improve prediction accuracy [27].
Different from the classical combined methods based on statistical models, many scholars also propose several versatile combined methods. In order to predict the import and export volume in international trade, Xiao et al. proposed an artificial intelligence algorithm to combine the prediction models for accurate prediction results [28]. Liang et al. proposed a combined prediction model based on prediction error correction and regression prediction algorithm to reduce the prediction error [29]. Staron et al. used an improved cuckoo search algorithm to confirm the weight of each model, which effectively improved the accuracy [30]. Aiolfi and Timmermann combined models by model training, and they chose the top 25% of the best performing models for predicting. As a result, the performance of the model was significantly improved [31].
In summary, the combined model has higher accuracy and reliability than a single model [32], which will solve complex practical problems. However, there are still various problems to be solved. First of all, the current combination prediction methods focus on linear combination, and the research on nonlinear combination is relatively less. In addition, the methods of variable weight, weight range and optimal problem are still the focus of future research. Finally, the existing combined prediction methods are fixed and changeless, and as the data characteristics change, the prediction accuracy will be impacted. To fill the research gap, this study proposes the MRCAI, which can adaptively select the suitable robust CAIs with small prediction error fluctuation range and high consensus with other models in different scenarios, and accordingly, ensure the prediction accuracy of outlier patents of technology hot spot.
Technology hot spots prediction
The framework of technology hot spots prediction of the 3D printing industry
In order to provide support for the government and enterprises to make the technology strategic planning to realize a healthy development of the 3D printing industry, this study proposes a framework of the reliable technology hot spots prediction of the 3D printing industry, which can predict the technology hot spots in different technology groups and different industry streams. The backward citation count is adopted to depict the patent potential, namely the patent with the high backward citation count is regarded as the patent of the technology hot spots. As shown in Fig. 1, the framework of technology hotspot prediction consists of four parts: patent AIs, CAI set, CAI selection, and hot spots forecasting. The patent AIs include four dimensions: technology group attraction, state attraction, enterprise attraction and inventor attraction, which can evaluate the development potential of the patent in detail. In the CAI set part, we build various CAIs by reasonably directly and indirectly combining AIs through the data mining techniques. As a result, the explicit and implicit attraction features of patent are completely depicted. In CAI selection portion, for overcoming the influence of outlier patents on prediction accuracy, we measure the generalization performance of the CAI by calculating the prediction error fluctuation range and select the suitable robust CAI by the rough consensus of predicted results of models with high generalization. In the hot spots forecasting part, we analyze the technology lifecycle of different technology groups based on the prediction results of robust CAIs and develop the industrial technology attention matrix for mapping the effective technology strategic planning by making a refined analysis of the hot spots in the upstream, midstream and downstream of the 3D printing industry.

Framework of technology hot spots prediction of the 3D printing industry.
In order to map the effective technology strategic planning, this study proposes an industrial technology attention matrix, which analyzes the hot spots in different streams of the 3D printing industry. As shown in Fig. 2, this matrix is divided into eight categories according to the technology potential and technology lifecycle. The technology potential is measured by the short-term predicted backward citation count (y short ). When y short is larger than ∂, the technology is classified into the hotspot category, otherwise, it is classified into the non-hotspot. And the technology lifecycle has four stages: introduction, growth, maturity, and decline, which are divided by the growth rate (GR) of backward citation count, and the GR (GR1, GR2) are defined as follows:

Industrial technology attention matrix.
Where, y medium is the medium-term predicted backward citation count, y long is the long-term predicted backward citation count, GR1 is the growth rate of y medium , while GR2 is the growth rate of y long . GR is defined as fast when it is no less than δ, otherwise, is defined as slow.
Next, we introduce each stage of technology lifecycle in detail.
a) Introduction stage
In the introduction stage, GR1 and GR2 are both slow, and GR1 is greater than GR2. As the market is uncertain and only a few enterprises conduct technical research and market development, the technology is developing slowly.
b) Growth stage
In the growth stage, GR1 and GR2 are both fast, and GR1 is greater than GR2. With the continuous development of technology, the market is being expended. Because the number of enterprises is increasing and technology distribution is expanding, the patent applications and applicants are growing at a rapid rate.
c) Maturity stage
In the maturity stage, GR1 and GR2 are both fast, and GR1 is less than GR2. Because technology is maturing and the market is becoming limited and only less enterprises will continue to engage in technical research. In this stage the number oring enterprises is small and the speed of patent application’s growth is slowing down.
d) Decline stage
In the decline stage, GR1 and GR2 are both slow, and GR1 is less than GR2. When technology is aging, more and more enterprises withdraw from the market due to diminishing returns. Since the technology in the related field is almost no longer doping, the patent applications and applicants have negative growth rate.
Based on the technology attention matrix in Fig. 2, 3D printing technologies can be further clustered into four categories:
a) Potential technology
The technology in this category is in the introduction stage, which has large innovation space and few competitors. Therefore, the enterprises can enter the technology field as soon as possible to carry out technology research and development, and to become the industry pioneer and obtain the higher return.
b) Gold technology
The technology in this category is in the golden age of development. With the upgrading of technology, the demand for the market is increasing. Therefore, the enterprises can consider this technology as a backbone technology for quickly achieving the high returns.
c) Stable technology
The technology of this category is in the stage of blooming, with diversified and differentiated technologies and numerous competitors. However, the slowdown in demand growth causes the market is in a saturated stage with low returns, the technological innovation is also in a bottleneck, and the enterprises need more resources to improve the technology. So, it is not suitable to be a strategic development direction for small enterprises.
d) Loss technology
The technology in this category lacks market demand and R&D space, so it should be avoided when choosing the strategic technology.
Backward citation count analysis is the main method of technology hot spots prediction, because the patent with the higher influence will have the greater backward citation [33]. Therefore, this study uses the count of backward citation to indicate the degree of technology hot spots [34], that is, the output (y) of MRCAI.
In order to overcome the influence of the outlier hot spots patents on the model accuracy, this study proposes the AIs to describe the potential of patents as the hot spots. Generally, the more attractive the patent is to other applicants, the more likely it is to be cited, and subsequently the patent technology is more likely to be the hot spot. In order to completely describe the attraction features of patent, this study proposes the AIs from four dimensions: technology group attraction, state attraction, enterprise attraction and inventor attraction. Table 1 shows the AIs for technology hot spots prediction.
Patent AIs
Patent AIs
1) Technology group attraction
Technology group attraction is composed of scope of attraction and attraction lifecycle.
a) Scope of attraction
International Patent Classification (IPC) represents the technology group of a patent and the theoretical knowledge basis. When IPC count of a patent is larger, the scope of the technology involved in the patent is wider, and the scope of its attraction is correspondingly expanded. Patent citation has Matthew effect, that is, the more times a patent is cited, the more attractive it will be to subsequent patent inventors. Therefore, this study selects the top 100 IPC as the TOP IPC. When the patent involves the Top IPC technology, its attraction will be improved. The patents with more Top IPC are more possible to become the technology hot spots.
b) Attraction intensity
The attraction of patent varies with the different stages of technology life. Xiao used the adoption lifecycle to analyze the changes in the attractiveness of patents, which was divided into five stages: innovators, early adopters, early majority, late majority, and laggards [35]. The results showed that when patents were in the early stages, their attractiveness was higher. In this study, the attraction intensity of technology group is determined by its patent application count in three stages, namely 1995–2013 (innovators), 2014–2015 (early adopters), 2016–2018 (early majority). Table 1 shows the AIs for technology hot spots prediction.
2) State attraction
Harhoff et al. confirmed that inventors preferred to cite patents from the authoritative countries, that is, the country with more cited patents had more attraction [36]. In addition, Lanjouw and Schankerman concluded that the market competitiveness and value were greater if the number of patent application states was higher [37], and correspondingly, the patent was more attractive. In this study, the state attraction is described by state citation and state count.
3) Enterprise attraction
The number of citations of the enterprise which owns the patent directly reflects its attraction to other patent applicants. In addition, Du et al. proved that the number of enterprises which owned the patent was positively related to the patent attraction [38]. Therefore, in this study, we use the citation count of patentees (enterprises) and the patentees (enterprises) quantity to describe the attractions of patent application enterprises.
4) Inventors attraction
Agrawal and Henderson proved that the authoritative inventors had the high attraction to other inventors [39]. Obviously, the attractiveness of inventors is significantly related to their patent citations. In this study, in addition to the number of inventors and their citations, we also consider whether they are top inventors, that is, the 100 inventors with the highest citations.
In order to overcome the impact of outlier hot spots patents on prediction accuracy, this study proposes the MRCAI, which can adaptively construct the robust CAIs based on different data characteristics of outlier samples. As shown in Fig. 3, MRCAI consists of three parts: patent AIs, CAIs set, and robust CAI selection. First of all, in the part of patent AIs, we construct the patent AIs from four dimensions, namely technology group attraction, state attraction, enterprise attraction and inventor attraction. Next, in the part of CAIs set, the single normalized AIs are combined into the CAIs by various data mining methods, such as support vector machine (SVM), regression model (RM), radial basis function neural network (RBFNN), general regression neural network (GRNN) and back propagation neural network (BPNN). Finally, in the part of robust CAI selection, the robust CAI is chosen through the prediction error fluctuation range and the rough consensus of each indicator prediction result. When the CAI has the smaller prediction error and is more similar to other models, it is selected as the robust CAI since it can filter the interference of the noise data and overcome the influence of outlier data on prediction accuracy. In this way, the shortcoming of the fixed and rigid combination of indicators, namely low prediction accuracy due to the dynamic complexity of technology development and the diversity of samples characteristics, can be avoid and the excellent prediction results are acquired.

The framework of MRCAI.
The degree of association between the indicator and output is the basis for obtaining the accurate prediction results. Grey relational analysis is a method to measure the association between two indicators, which has no limit on the quantity and the distribution pattern of samples. In general, most backward citation count of the patent is small and even equal to 0. Therefore, this study uses grey relational analysis to measure the association between the patent AIs and the backward citation count (y), which can verify the validity of patent AIs on the samples with a small number of outlier technology hotspot patents. In grey relational analysis method, if the change tendency of the two indicators is more similar, the grey correlation coefficient is larger, otherwise, it is smaller. The grey correlation between AI
i
(γ
i
) and yis given as follows:
Where π is resolution coefficient and generally is 0.5, N is the number of patent samples, Δ (min) is the minimum difference between the patent AIs and y, similarly, Δ (max) is the maximum difference of that, and Δ i (k) is the absolute difference between the ith patent AI and y in sample k. When the absolute value of γ i is larger, the association between the patent AI i and backward citation count is greater, and the influence of indicators is more significant.
Owing to the dynamic complexity of technological evolution, it is difficult to fully describe the technology development trajectories with a single indicator. For these reasons, the CAIs are adopted and they are built in two ways to depict the explicit and implicit attraction features of patent: the directly combing of single AIs using the RMs and indirectly integrating the single AIs based on SVM, BPNN, GRNN and RBFNN. Table 2 shows the method to construct CAIs.
CAIs formulation
CAIs formulation
Since the samples of technology hot spots patent are mostly outliers and abnormal, the accurate predicted results cannot be obtained with a single CAI. Therefore, in order to overcome the interference of outlier samples on prediction accuracy, this study proposes the MRCAI, which can improve the prediction accuracy by adaptively selecting the robust CAI with small prediction error fluctuation range and high rough consensus with other generalized models in different scenarios.
Estimation of the prediction error fluctuation range
In order to comprehensively evaluate the performance of the above-mentioned CAIs in dealing with outlier samples, this study calculates the upper and lower bound of the prediction error of each CAI, that is, estimates the prediction error fluctuation range (ΔY), as shown in the following [40]:
Where ΔY is the fluctuation range of prediction error fluctuation range, and smaller ΔY indicates higher prediction accuracy. Y+ is the upper bound of prediction error, Y- is the lower bound of prediction error.
Since the citation count of technology hot spots patents deviates so much from the others, it is necessary to evaluate the generalization performance of CAIs and select the generalized CAIs to identify the patents of technology hot spots. In order to verify the generalization performance of each CAI, this study divides the samples into three groups: training samples, generalized samples, and test samples. The training samples are used to estimate the parameters of CAIs in Table 2, which involve 80% of the patent data. 10% of the data are adopted as generalized samples to select the robust CAIs, and the remaining 10% are employed to test the performance of CAIs.
When a CAI has superior reliability and accuracy in different scenarios, it has the excellent generalization performance. In order to have a comprehensive evaluation of the generalization performance of CAI, we consider not only its prediction error fluctuation range in training samples but also that in generalized samples. As a result, the generalization coefficient MP
i
is developed, as shown in Eq. (10).
Where
Obviously, the CAI with a smaller MP i acquires the better generalization performance. For the sake of improving the prediction accuracy, we select J CAIs with MP i less than λ.
The outlier samples usually have noisy data, which causes the predicted backward citation count significantly deviates from the real value. In order to filter out the inference of noisy data, this study selects the robust CAI based on the consensus of the predicted results of CAIs with superior generation performance. The rough set can effectively eliminate uncertainty and avoid inaccuracy of samples with lots of noisy data [41]. Therefore, rough consensus coefficient ρi,k is defined, as shown in Eq. (11), and the robust CAI is selected with the largest rough consensus coefficient.
Where
Data acquisition
The Derwent Innovations Index is the most comprehensive database of global patent and has more than 14 million basic patents and more than 20 million practical patents. So, we chose it as the experimental data source and the search strategy was “theme=(3D printing)” and “time span = 1963–2018”, and then obtained 7015 related patent data. At last, we selected 1500 valid patents based on the patent AIs.
The results of grey correlation analysis are shown in Fig. 4, where γ i of the vast majority of AIs is greater than 0.7, even the smallest γ i is greater than 0.3, and those mean that the proposed patent AIs have a great association with backward citation count, that is, the patent AIs are highly effective.

Correlation degree between AIs and backward citation count based on grey relational analysis.
Performance comparison
In this section the performance of robust CAI is compared with other typical prediction models in Table 2. In each experiment, for the benchmark models, we randomly selected 90% samples as the training samples, and the rest samples as the test samples. For MRCAI, we divided the samples into three parts, as shown in Section 4.3.2, namely the training samples, generalized samples, and test samples. All models were implemented in MATLAB with default settings.
The average MSE of 20 random experiments in the short term (within one year), medium term (within three years), and long term (within five years) for various models is shown in Table 3.
The MSE of MRCAI and single model
The MSE of MRCAI and single model
In Table 3, the MSE of the robust CAI is smaller than other models, that is, robust CAI has the highest prediction accuracy and can precisely predict the technology hot spots of the 3D printing industry.
To further evaluate the performance of MRCAI, the numerous common combined models in the current literature are adopted to integrate the predicted outputs of models, such as arithmetic averaging (AA) method [42], additive weighting (AW) method [43], variance reciprocal (VR) method [44], and the minimum error weight coefficient (MEWC) method [45], as shown in Table 4.
The typical combination models
The experimental results of these combination models are shown in Table 5.
The MSE of combined models
In Table 5, the MSE of robust CAI is 0.22, which is smaller than other combined models. It shows that compared with most of the existing rigid models, the robust CAI with adaptive selection of appropriate CAI in different scenarios is helpful to deal with outlier samples and improve the prediction accuracy.
Besides MSE, other quantitative index, such as Precision (P), Recall (R) and F-score (F) value, are adopted to further evaluate the performance of Robust CAI, as shown in the following:
Where TP means the number of outcomes where the model correctly predicts the technical hot spot patents, FP indicates the number of outcomes where the model incorrectly forecasts the technical hot spot patents, and FN denotes the number of outcomes where the model incorrectly forecasts the non-technical hot spot patents.
The experimental results are given in Table 6. It can be seen from Table 6 that the precision, recall and F-score value of the Robust CAI model are both higher than other models, which confirms the superior performance of Robust CAI for solving complex prediction problems.
The Precision, Recall and F-score value of various models
Next, in order to verify the validity of calculating CAI consensus based on the prediction error fluctuation range, we design another robust CAI, namely RCAI1, which computes the CAI consensus based on prediction value fluctuation range. Table 7 gives the maximum, average and minimum MSE of robust CAI and RCAI1 in 20 random experiments.
The MSE of robust CAI and RCAI1
It can be seen from Table 7 that the maximum, average and minimum MSE of robust CAI are smaller than those of RCAI1, which indicates that the method of computing model consensus based on prediction error fluctuation range is helpful and necessary to improve the model performance when dealing with outlier samples.
In this section, we analyze the influence of different values of a, b in formula (10) and λ on the prediction performance of robust CAIs. When analyzing the influence of a and b, we set λ= 1.5, and range a from 0.1 to 1 and b from 0.1 to 1, respectively. When analyzing the influence of λ, we set a = 0.8, b = 0.6 and range λ from 1 to 2. Figure 5 shows the influence of a and b on the performance of robust CAI. Figure 6 demonstrates the influence of λ.

The impact of a and b on the performance of robust CAI.

The impact of λ on the performance of robust CAI.
In Fig. 5, when a and b are very small, that is to say, weakening the adaptive selection effect of training samples and generalization samples on CAI, the model will not get the best prediction results. On the contrary, when a and b are very large, although the influence of training samples and generalization samples on the adaptive selection of CAI is strengthened, more generalization models will be screened out, which will affect the quality of robust CAI extracted by consensus, so the model will not obtain good prediction outcomes. However, the median value of a and b can ensure the excellent performance of robust CAI. For instance, when a = 0.7, b = 0.6, the MSE reaches the minimum value. On the other hand, there is little difference in MSE in various values of a and b, basically between 0.2 and 0.4, which can prove that CAI is robust enough to deal with all kinds of outlier samples in technology hot spots prediction, and the model is relatively reliable.
It can be seen from Fig. 6 that the robust CAI does not achieve good performance when λ is larger or smaller. The robust CAI achieves the best performance when λ is at the middle value, namely 1.5. And those imply that selecting the slightly high generalization performance models to calculate the rough consensus of CAI remains fundamental to improve the performance of robust CAI, but calculating the rough consensus of all sort of CAIs to select the suitable CAI is not expected to obtain the high precision.
Using the robust CAI, the short-term, medium-term and long-term backward citation of the patents is predicted, and then the technology attention matrix is developed to support the establishment of significant technology strategic planning to realize a healthy development of the 3D printing industry. According to the backward of citation and growth rate defined according to Eq. (1) and Eq. (2), the attention matrix is constructed, as shown in Fig. 2, where classification coefficient ∂ is 1, and the growth rate coefficient δ is 10%.

Technology attention matrix of the 3D printing.
As shown in Fig. 7, the technologies in upstream are clustered maturity and are classified as stable technology, while technologies in midstream and downstream are almost distributed in all stages and can be sorted into various categories. Based on the industrial technology attention matrix, some suggestions for the 3D printing industry technology strategic planning are proposed, as shown in the following:
Upstream technologies: These technologies include metal, materials, and high compounds technologies, which are at a mature stage. Any type of innovation of these technologies will cost lots of research and development resources, but their market is in a saturated stage with low returns. So, the technologies in upstream are not suitable to be selected as a strategic technology to be promoted.
Midstream technologies: Among numerous midstream technologies, computation technology is in the decline stage, therefore the depth of innovation is small. While surface processing technology and radio communication technology are in the growth stage, which represents the developing trend of the 3D printing technologies. And government and enterprises should attach great importance to and energetically support these technologies. Moreover, comparing with the radio communication technologies, surface processing has fewer R&D companies and less competition. Developing the monopolistic surface processing technology will result in a leading technology advantage and acquire competitiveness and prosperous returns.
Downstream technologies: Medicine is one of the main application areas of downstream 3D printing technologies, but the technological innovation in this area is entering a bottleneck period and lack of development space. However, clothing accessories and architecture equipment technologies have the large market demand. In addition, the food and electrical technologies in 3D printing industry are in the introduction stage with a small count of R&D companies. Therefore, innovation in these areas can bring about many benefits of enterprise, such as seizing the competitive advantage, avoiding duplication of research efforts, internalizing spillovers of technology.
The 3D printing industry is a major part of the emerging industry, which has a positive impact on social and economic development. Accurately predicting the 3D printing industry technology hot spots can provide significant technology strategic planning support for the government and enterprises. However, the existing technology prediction research mainly analyzes the current status of technology based on the patent count, which ignores the potential of each technology. In addition, most patent data with high backward citation count is outlier samples that are difficult to predict accurately, so this study proposes the MRCAI, predicts the technology hot spots based on the idea of patent attraction, and subsequently the technology attention matrix is developed to identify the 3D printing technologies with greatest potentiality and map the effective technology strategic planning. In order to avoid the detrimental effect of outlier characteristics of the backward citation count of technology hot spots patent on the prediction accuracy, the AIs based on the technology group, state, enterprise and inventor attraction are proposed to depict the attractiveness of patents. Moreover, the robust CAIs are adaptively built based on the characteristics of outlier samples in various scenarios, which shares the largest consensus with other optimal CAIs.
Comparing with the existing research, the MRCAI has the following advantages: 1) Different from the previous research which depends on the patent count to analyze the technology hot spots, we predict the hot spots based on the predicted backward citation count, which helps government and enterprises accurately identify the technology hot spots in advance, so as to seize the opportunities and avoid delaying in technology strategic planning. 2) Unlike the most existing studies which judge the technology potential through the time series of the patent count, such as S-Curve, the theoretical basis of this study is the attractiveness of patent, that is, this study predicts the development potential of the technology based on its patent AIs, which can improve the efficiency and accuracy of processing complex, cumbersome and outlier patent data. 3) Distinct from the existing research which predicts technology hot spots through the single fixed model, we use MRCAI to adaptively construct the robust CAI, which shares the large rough consensus with other generalized models in different scenarios and can increase the generalization and stability for handling out outlier samples. 4) Last but not least, we not only predict the backward citation count in different development time period, but also propose a technology attention matrix for subdividing the technology hot spots in different industry streams to identify the potential technology of the 3D printing industry, which can offer the government and enterprises practical support for technology strategic planning and making accurate decisions in advance.
Besides technology strategic planning, the proposed model can be applied in many other fields. For example, by anticipating hot patents in advance based on our model, enterprises can successfully formulate patent competition strategies. In addition, because there are some time lags between patent publication and market launch, our model can provide correct decision support for market investment by identifying hot patents in advance.
Technology development is not only related to technology but also affected by various factors such as its competitors and user demand. This study predicts the 3D printing industry development only from the technical perspective, and there is a lack of market information support, so the prediction results have certain limitations. In the follow-up study, we can comprehensively predict the technology hot spots of the 3D printing industry by integrating market factors.
Footnotes
Acknowledgments
This work was supported by the Chinese National Natural Science Foundation (No. 71871135).
