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PRESENCE OF INDUSTRY 4.

0 IN ADDITIVE MANUFACTURING:
TECHNOLOGICAL TRENDS ANALYSIS
ECONOMICS OF
TECHNOLOGICAL
CHANGE
COLLABORATION Marisela Rodriguez Salvador, Jessica J. Mancilla de la Cruz Innovación
tecnológica

PRESENCE OF INDUSTRY 4.0 IN ADDITIVE MANUFACTURING:


TECHNOLOGICAL TRENDS ANALYSIS

Marisela Rodriguez-Salvador, Jessica J. Mancilla-de-la-Cruz


Tecnológico de Monterrey, Escuela de Ingeniería y Ciencias, Monterrey, Nuevo León, México, Av. Eugenio Garza Sada 2501,
Col. Tecnológico, Monterrey, N.L, C.P. 64849, México, Tel. +52 81 83582000, Laboratorio Nacional de Manufactura Aditiva y
Digital (MADiT), México. marisrod@itesm.mx
DOI: http://dx.doi.org/10.6036/8815

1.- INTRODUCTION

The Fourth Industrial Revolution is already a reality, based on digitalization, it has a diversity of applications that range
from facilitating daily tasks in the home to automating manufacturing processes. In this context, the term “Industry 4.0”
emerged. Thames and Schaefer classified Industry 4.0 as a vision of smart factories that operate with cyber-physical
systems to enable autonomous functions, for example: auto-configuration (ability to automatically configure the
system), self-monitoring (ability to review and evaluate compliance with previously established requirements), and
auto-repair (ability to choose the appropriate tool and correct method for its restoration) [1]. The origins of Industry 4.0
go back to a strategy that the German Government launched in 2013, focused on achieving greater operation and
production efficiency through automation. As noted by Zhong et al., Industry 4.0 is based on three pillars: intelligent
manufacturing, internet of things (IoT), and cloud manufacturing [2]. The Intelligent Manufacturing System (IMS) is
characterized by flexible manufacturing, automatic identification, and reconfigurable processes. It uses tools such as
big data, robots, latest-generation sensors, etc. The IoT refers to connecting different elements through digital devices to
obtain data in real time, which is a key factor in decision-making. Cloud manufacturing consists of computing and
communication networks to design, manufacture, program, simulate, and test a product, thus providing intelligent
management of capacities and production resources. The importance of Industry 4.0 is such that, in the next few years,
it is expected to enable new forms of production and distribution, providing companies with innovative solutions to
overcome major challenges, such as developing customized products faster and with better quality [2].

In recent years industry has also been attracted to additive manufacturing (AM) because of its unique characteristics,
such as manufacturing parts with complex geometry, customizing design, and reducing waste material. The American
Society for Testing and Materials (ASTM) indicates that 3D printing can be used as a synonym of AM in non-technical
contexts, since 3D printing is particularly associated with low-priced machinery and/or overall capacity. Also, the
ASTM defines additive manufacturing as “a process to joining materials to make parts from 3D model data, usually
layer upon layer, as opposed to subtractive manufacturing and formative manufacturing methodologies,” while 3D
printing is defined as “fabrication of objects through the deposition of a material using a printhead head, nozzle or
another printer technology” [3]. AM has as energy source a laser, a binder, or an electron beam that allows the
solidification of the materials, such as polymers, metals, and ceramics [4]. In 2010, the ASTM classified additive
manufacturing into seven processes: binder jetting, direct energy deposition, material extrusion, material jetting, powder
bed fusion, sheet lamination, and photopolymerisation [5].

There are numerous studies on the characteristics, applications, and processes of additive manufacturing,
however, scientometric and patentometric analyses are, until now, scarce. The research of Rodriguez et al., published in
2017, presents an analysis of scientific literature and patents from 2000 to mid-2016 to determine the panorama of
knowledge in 3D printing as applied to biologic areas [6]. Additionally, Trappey et al., present in 2017, the evaluation
of the development of 3D printing technology for biomedical applications as registered in US patents from 1980 to
August 2014 [7].

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PRESENCE OF INDUSTRY 4.0 IN ADDITIVE MANUFACTURING:
TECHNOLOGICAL TRENDS ANALYSIS
ECONOMICS OF
TECHNOLOGICAL
CHANGE
COLLABORATION Marisela Rodriguez Salvador, Jessica J. Mancilla de la Cruz Innovación
tecnológica

Until now, there have been very few scientometric and patentometric studies concerning the Industry 4.0 domain. In
2017, the European Patent Office (EPO) published research about patent applications (2013-2016) related to the Fourth
Industrial Revolution, including Industry 4.0 [8]. In this study, three main elements were identified: 1) core
technologies (hardware, software, and connectivity), 2) enabling technologies (analytical, security, artificial
intelligence, position determination, power supply, 3D systems, user interface), and 3) application domains (home,
personnel, business, manufacturing, infrastructure, vehicles). These totaled more than 5,000 patents applied for in 2016
related to autonomous objects, presenting a growth rate of 54%. The application domains: connectivity, personnel and
companies predominated, being 3D systems, artificial intelligence and user interface the fastest growing fields. On the
other hand, it is important to refer to the investigation of Zhong et al., published in 2017, where it analyzes intelligent
manufacturing in the Industry 4.0 context, evaluating articles (published 2005-2016) from Scopus and Google Scholar,
and concluding that the biggest publication boom happened between 2014 and 2015 with the publication of 225
articles. Their research also determined that the universities with the highest numbers of publications concerning this
domain were: Shanghai Jiao Tong University, Beihang University, Zhejiang University, Chongqing
University, and Tsinghua University, all of them come from China [2].

With the great boom in digitalization (the integration of digital technologies for ease and accessibility of information
systems and jobs), it is important to know the technological inventions that have been developed in recent years
linked to the Industry 4.0, that mean, leading toward a smart manufacturing. This research aims to cover this gap and, to
this end, a Competitive and Technology Intelligence (CTI) methodology was applied. CTI has roots in surveillance
and has evolved over time. Fitzpatrick and Burke, in 2003, defined Competitive Intelligence (CI) as a process to collect
and analyze information on the environment to increase the competitive position of an organization [9]. While, in 2010,
Bartes contextualized CI as the collection and detailed analysis of information from legal sources to add value to a
company [10]. In addition, Bartes, in 2011, also emphasizes the role of CI for the determination of trends and decision
making [11]. For the present research, CTI will be considered as the collection and analysis of scientific and
technological information to create knowledge that contributes to the decision making of an organization [6]. In this
sense, patentometric tools were used, based on the statistical processing of patents.

2.- METHOD

This research focuses on analyzing additive manufacturing patents in the Industry 4.0 context, considering patents
published between 2000 and the beginning of 2018. Through this analysis, this paper aims to determine technological
areas in this domain of study, growth in the patent numbers, priority countries, and companies with greater patenting
activity. The CTI methodology developed by Rodriguez et al. (2017) was applied, which is designed on a hybrid model
combining a virtuous cycle of information with expert feedback [6]. Patseer software was also used, which is a
technological platform created for research, analysis, and project management, with access to the main patent
authorities in the world and offering full texts from 51 patent authorities and bibliographic data from 104 patent
authorities, including the European Patent Office (EPO), the World Intellectual Property Organization (WIPO), and the
United States Patent and Trademark Office (USPTO).

The first stage of the analysis consisted of a planning process to define the objectives, participants, and specific
activities to be developed. For this study, the main objective was to identify the incursion of Industry 4.0 in additive
manufacturing, especially to detect technological inventions within the framework of the three pillars of Industry 4.0:
intelligent manufacturing, IoT, and cloud manufacturing.

The second stage involved selecting information sources. The primary information source consisted of expert opinions.
In this case, people with international prestige, both in additive manufacturing and Industry 4.0, were interviewed from
the University of Manchester and the University of Nottingham. They kindly requested to remain anonymous.
Regarding secondary sources, scientific publications, patents, and reports were reviewed for both domains, and
databases, such as the Web of Science, Scopus, and more than 100 patent authorities including the main ones (WIPO,
USPTO, etc.), were examined.

The third stage was information collection. This process was carried out in analytical layers, from the general to the
particular. Firstly, we conducted a search of the strategic terminology that defines the area of study. Previous works, the

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Tel +34 944237566 - www.revistadyna.com - email: dyna@revistadyna.com
PRESENCE OF INDUSTRY 4.0 IN ADDITIVE MANUFACTURING:
TECHNOLOGICAL TRENDS ANALYSIS
ECONOMICS OF
TECHNOLOGICAL
CHANGE
COLLABORATION Marisela Rodriguez Salvador, Jessica J. Mancilla de la Cruz Innovación
tecnológica

support of experts, and the literature review, in additive manufacturing and Industry 4.0, supported this activity.
Different search queries were tested to find the most accurate, while Boolean operators and terms of inclusion and
exclusion were evaluated. To define the search strategy for collecting information on additive manufacturing, the study
of Rodriguez et al. (2017) was considered, while for the Industry 4.0 search strategy, two main reports were taken into
account: the cartography of inventions related to the Fourth Industrial Revolution of the EPO (2017) and the work of
Zhong et al. (2017) on scientific articles concerning intelligent manufacturing in the Industry 4.0 context [6,8,2].
Finally, the fourth stage focused on the data analysis. In this case, a patentometric analysis was carried out through the
Patseer software. This activity included information cleaning, standardization, and statistical analysis. Validating the
information with experts, was fundamental.

3.- RESULTS

During this development of investigation, different aspects are observed. First, additive manufacturing presents a more
homogeneous terminology than Industry 4.0. The ontology of Industry 4.0 field is complex, and the terminology that
can be used in the information search strategy is very wide. Industry 4.0 does not have reached a standard terminology
yet. It refers to a wide spectrum of technologies, processes, and applications within the framework of digitalization,
autonomy, and networking.

In this research, the terminology related to both additive manufacturing and Industry 4.0 was identified from
the literature review and consultation with experts. To choose terminology for additive manufacturing, we considered
the following article “Scientometric and patentometric analyses to determine the knowledge landscape in innovative
technologies: The case of 3D bioprinting”, which classifies 3D printing in technologies and applications [6]. For
Industry 4.0, terminology was defined in an initial set of keywords that were then divided into three main areas: 1)
intelligent manufacturing, which included: intelligent robots, big data, sensors, etc.; 2) IoT, which included:
connectivity, wireless production, etc.; and 3) cloud manufacturing, which included: the cloud storage, virtualization,
mobile operating systems, etc. To avoid missing relevant information, and given that the study focused on patent
analysis, the Cooperative Patent Classification (CPC) was evaluated, too. The CPC is a standard system that brings
together technological areas and that was developed by the EPO and the USPTO. In this research, the CPC codes from
the EPO report about Fourth Industrial Revolution, which includes Industry 4.0, were analyzed. The EPO report
considers the Fourth Industrial Revolution as the integration of information and communication technologies in the
context of the manufacturing and application areas, such as staff, homes, vehicles, companies, and
infrastructure. [8]. Under this vision, the CPC codes from the EPO report include those elements, as well as hardware,
connectivity, artificial intelligence, manufacturing and 3D systems, etc. By combining the terms of additive
manufacturing and the CPC codes from the EPO report, 3,751 published patents and 1,529 patent families were
obtained, their application dates ranging from 2000 until the beginning of 2018. It was obtained exhibited that
the technological areas focused more towards additive manufacturing by itself, as shown in Figure 1, which was
developed using the Patseer software.

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Tel +34 944237566 - www.revistadyna.com - email: dyna@revistadyna.com
PRESENCE OF INDUSTRY 4.0 IN ADDITIVE MANUFACTURING:
TECHNOLOGICAL TRENDS ANALYSIS
ECONOMICS OF
TECHNOLOGICAL
CHANGE
COLLABORATION Marisela Rodriguez Salvador, Jessica J. Mancilla de la Cruz Innovación
tecnológica

Fig. 1. Technological areas of patents (additive manufacturing and the CPC of the Fourth Industrial Revolution EPO
report).
When the validation process was performed analyzing each patent, it was observed that not all the results corresponded
to the focus of the study. Due to the CPC codes extent, the information obtained was widely dispersed, 23.5% of patents
belonged to the CPC G06F17/50 (computer-aided design), and 18% referred to the CPC A61C13/004 (dental machining
assisted by computer). Examining those patents in detail, it was found that most of them did not correspond to the
presence of Industry 4.0 in additive manufacturing.

Therefore, it was decided then to strengthen the set of keywords and search strategy initially determined for Industry
4.0. For this aim, the cartography of inventions of the EPO from the Fourth Industrial Revolution report was considered,
that classifies those inventions as: core technologies, enabling technologies, and applications [8]. After improving the
keywords in this way, 301 patents and 234 patent families were obtained, ranging from 2000 until the beginning of
2018. The results show a low presence of patents, and this is because, as noted in the EPO report, most additive
manufacturing inventions have not fallen within the scope of the Fourth Industrial Revolution [8].

Once the search strategy was reinforced, the technological areas of patents were determined. Results show that they
correspond to control methods and their devices enabling additive manufacturing with networking and greater
autonomy. This is reflected in Figure 2.

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Tel +34 944237566 - www.revistadyna.com - email: dyna@revistadyna.com
PRESENCE OF INDUSTRY 4.0 IN ADDITIVE MANUFACTURING:
TECHNOLOGICAL TRENDS ANALYSIS
ECONOMICS OF
TECHNOLOGICAL
CHANGE
COLLABORATION Marisela Rodriguez Salvador, Jessica J. Mancilla de la Cruz Innovación
tecnológica

Fig. 2. Technological areas of patents (additive manufacturing and Industry 4.0).

The most important CPC were also determined to be B33Y 30/00 (apparatus for additive manufacturing or its
accessories), B33Y 50/02 (data acquisition or processing to control or regulate additive manufacturing processes), and
Y02P90/30 (computing systems specially adapted to manufacturing with potential for mitigating greenhouse gas
emissions).

In addition, the patenting timeline was determined, reflecting higher growth in 2015, as shown in Figure 3A. The results
indicate that 84% of all patents obtained correspond to 2015 to the beginning of 2018, this is because industry and
academia have an increasingly active participation in this area.

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Tel +34 944237566 - www.revistadyna.com - email: dyna@revistadyna.com
PRESENCE OF INDUSTRY 4.0 IN ADDITIVE MANUFACTURING:
TECHNOLOGICAL TRENDS ANALYSIS
ECONOMICS OF
TECHNOLOGICAL
CHANGE
COLLABORATION Marisela Rodriguez Salvador, Jessica J. Mancilla de la Cruz Innovación
tecnológica

Fig. 3. (A) Patents published by year (additive manufacturing and Industry 4.0); (B) Top 10 priority countries (additive
manufacturing and Industry 4.0).
It is interesting to note that most of the analyzed patents have China as their priority country. As can be seen in Figure
3B, this country leads with a total of 128 patent families, followed by USA with 44 patent families, and South Korea
with 25 patent families. Germany, as mentioned in previous sections, is the pioneer of Industry 4.0, however, USA and
Asian countries have a superior rate of patent activity. This behavior is also noted in the EPO report on patents related
to the Fourth Industrial Revolution, as well as in the Zhong et al. study of scientific publications on intelligent
manufacturing in the Industry 4.0 context [8,2].

The organizations with the highest patent activity were determined. The results, exhibited by decreasing order, are as
follows: Zhang Ping (China), Intel Corporation (USA), Shenzhen Naishidi Technology (China), and Hewlett Packard
(USA). This analysis reveals that the companies have the largest influence on patenting. The results show that about
61% of the patent families obtained belong to companies.

This research also determined the general trends of Industry 4.0 in additive manufacturing. Globally, there are three
major areas working together to create a production process that connects process-machine-person: intelligent
manufacturing, IoT, and cloud manufacturing [2]. The results obtained from the patent analysis, as well as interviews
with experts, allowed identification of two major approaches: smart devices and wireless production. These are
shown in Table I.

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Tel +34 944237566 - www.revistadyna.com - email: dyna@revistadyna.com
PRESENCE OF INDUSTRY 4.0 IN ADDITIVE MANUFACTURING:
TECHNOLOGICAL TRENDS ANALYSIS
ECONOMICS OF
TECHNOLOGICAL
CHANGE
COLLABORATION Marisela Rodriguez Salvador, Jessica J. Mancilla de la Cruz Innovación
tecnológica

Area Trend Description of Trend


Intelligent Smart Devices with cutting-edge technology that enable manufacturing processes
Manufacturing: Devices with flexibility, adaptability, and autonomy through communication protocols
based on the Internet.
The Internet of Things Wireless Systems that allow gathering and transmission of data in real time for rapid
(IoT) and Cloud Production decision making, during manufacturing. Through digitalization, they enable
Manufacturing: the connection of process-machine-person.
Table I. Additive manufacturing trends in the context of Industry 4.0.

Tables II and III identify representative examples for each of these trends.
Patent Organization Description

Sound Emission Intelligent Shanghai Optoelectronic Science & Smart, sound emission sensors for automatic and
Sensor (2012) Technology Co. Ltd. continuous monitoring of production lines, powered by
a microprocessor.
China
Method and Apparatus for Yonsei University Industry - Evaluation device for organizing the manufacturing
Evaluation (2017) Academic Cooperation Foundation process, using connection and evaluation technologies
through sensors or parameters provided by the user.
South Korea
Intelligent Processing Machine Anhui Zhongke Leitai Laser Intelligent machine that consists of a laser and a control
and Intelligent Processing Technology Co. Ltd. device. The laser comprises a plurality of optical fibers.
Factory (2017) The device is connected to the laser to control and
select the corresponding optical fibers to achieve the
China desired function.

Table II. Intelligent manufacturing trend: Smart devices.


Patent Organization Description

Smart Additive Manufacturing Jyoti, Mazumder System that allows analysis of composition, phase
System (2016) transformation, and material defects in real time
Song Lijun through optical emission spectroscopy.
USA
System for Providing 3D Saeron Co. System that enables the operation of a 3D printer with
Printer Products by User multiple rotary nozzles, depending on the requirements
Request, Mode Based, Multi- from the user.
Rotary Nozzle Type 3D Printer
Apparatus and Methods
Thereof (2017)
South Korea
3D Cloud Print System and Anhe Threedimensional Co. Ltd. System in the cloud for 3D printing, including data
Methods Thereof (2017) storage, a processing unit, and a 3D printer.
Taiwan
Table III. The Internet of Things (IoT) and cloud manufacturing trend: Wireless production.

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Tel +34 944237566 - www.revistadyna.com - email: dyna@revistadyna.com
PRESENCE OF INDUSTRY 4.0 IN ADDITIVE MANUFACTURING:
TECHNOLOGICAL TRENDS ANALYSIS
ECONOMICS OF
TECHNOLOGICAL
CHANGE
COLLABORATION Marisela Rodriguez Salvador, Jessica J. Mancilla de la Cruz Innovación
tecnológica

4.- DISCUSSION

There is a growing interest in incorporating communication technologies based on Internet protocols to additive
manufacturing processes (including hardware and software development). However, patents regarding the presence of
Industry 4.0 in additive manufacturing are still incipient, as only 234 patent families were detected between 2000 and
the beginning of 2018. In recent years, Industry 4.0 has had significant growth in the literature as shown in the analysis
of Zhong et al. (2017), which places the biggest literature boom between 2014 and 2015 (225 documents published in
2015). Zhong et al. also determine that China, USA, and United Kingdom are the predominate countries of origin of
such literature [2]. The 2017 EPO report on the Fourth Industrial Revolution, which includes Industry 4.0, also exhibits
sustained growth in patent numbers [8]. Regarding the additive manufacturing domain, there has been a steady increase
in patent numbers, too mainly in 2006, as noted by Gridlogics Technologies (2014), which also determined that the
countries with higher patent activity are the USA, Japan, and China [12]. In our research, results obtained also reveal
a growth in the number of patents for additive manufacturing in the Industry 4.0 context, although the numbers are
lower. The largest growth has presented itself since 2014, increasing from 12 patent families in 2014, to 30 in 2015,
70 in 2016, and 106 in 2017. And also, China and USA have the first two positions as priority country, while the third
place is taken by South Korea.

The leadership position that USA and China have in publications and patents is the result of strong investments
being made in Research and Development (R&D), in this and other domains. In fact, according to the report of the
United Nations Educational, Scientific, and Cultural Organization (UNESCO) that measures in dollars of PPA (Power
Purchase Agreement), countries with higher investment in R&D are: USA, with a total investment in $PPA of
476,460.0 millions, of which 340,728.0 millions belongs to the business sector; and China, with a total investment in
$PPA of 370,589.7 millions, of which 286,453.2 millions pertains to the business sector [13].

The boom of additive manufacturing and Industry 4.0 is resulting in the creation of specialized research centers for both
domains. The Nanyang Technological University in Singapore, which is ranked number 5 in Engineering and
Technology by the QS World University Rankings, has a research center specializing in additive manufacturing called
the Singapore Centre for 3D printing. This center was established in 2014 by the National Research Foundation, and it
biennially organizes the International Conference on Progress in Additive Manufacturing [14]. United Kingdom has the
Centre for the Innovative Manufacturing in Additive Manufacturing of the Engineering and Physical Sciences Research
Council (EPSRC), which was founded in 2012 thanks to collaboration between the University of Nottingham
and Loughborough University [15]. Another example is Switzerland, whose Switzerland Innovation Park
Biel/Bienne has the Swiss Smart Factory, specializing in smart sensors and actuators, smart networking and automation,
augmented reality and virtual reality, artificial intelligence and smart data, autonomous robots and cobotics,
etc. [16]. Europe also has the Smart Specialisation Platform, which consist of a total of 260 hubs grouped for digital
innovation, for example: Transfer Platform Industry 4.0 of Aalen University and, the European Technology Platform on
Smart Systems Integration (EPoSS), both from Germany [17]. There are several other organizations that host important
events concerning these issues, such as the American Society of Mechanical Engineers (ASME), the Institute of
Electrical and Electronics Engineers (IEEE), the International Federation of Accountants (IFAC), the International
Federation for Information Processing (IFIP), etc.

Transforming manufacturing into an intelligent process encompasses a wide range of technologies, from hardware and
software to systems and cyber-physical communication. The results presented in this research give, through the analysis
of technological inventions (specifically patents), a more specific idea of the incursion of Industry 4.0 in additive
manufacturing processes. This study identifies two main trends, which relate to each other: smart devices and wireless
production, that is, latest-generation of sensors and robots, new systems that allow for connectivity and, greater
operational and functional dynamics. These devices and systems provide new capabilities in terms of agility,
automation, and real time response, creating a manufacturing process that is more efficient and higher quality.
Industry 4.0 will bring major changes in methods of designing, manufacturing, monitoring, controlling, and even
distributing products to consumers. The evolution in digitalization and the use of cyber-physical systems via Internet
protocols will transform technologies that are already revolutionary, such is the case of additive
manufacturing. Actually, some products manufactured with these technologies. Adidas, with the collaboration
of Carbon (3D printing company in the Silicon Valley), recently designed sports shoes whose manufacturing process

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Tel +34 944237566 - www.revistadyna.com - email: dyna@revistadyna.com
PRESENCE OF INDUSTRY 4.0 IN ADDITIVE MANUFACTURING:
TECHNOLOGICAL TRENDS ANALYSIS
ECONOMICS OF
TECHNOLOGICAL
CHANGE
COLLABORATION Marisela Rodriguez Salvador, Jessica J. Mancilla de la Cruz Innovación
tecnológica

already includes additive manufacturing, and it is expected that, through intelligent connections, manufacturing will be
personalized according to the specifications of each consumer [18]. In the automotive industry, Tesla is already
implementing technology of Industry 4.0. For example, it has produced software that allows a vehicle to stay in its lane,
perform lane changes, control speed, and automatically park [19]. Given that intelligent manufacturing processes
include a very broad set of technologies, it is important to carry out studies to accurately define the ontology field [20].
CTI represents an attractive tool for analyzing new technologies, in this case, the presence of Industry 4.0 in additive
manufacturing. Through patent analysis, it is possible to visualize trends and see where the technology is heading, its
rate of growth, as well as those who are the most active countries and organizations protecting technological inventions.
Thus, this research adds significant value to organizational decision making.

FOR DEEPER KNOWLEDGE


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ACKNOWLEDGMENTS

This research was supported by the Research Group in Advanced Manufacturing of the School of Engineering and Sciences of Tecnológico de
Monterrey. And by the National Council of Science and Technology (CONACYT) through a graduate scholarship.

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