Nanotechnology in U.S. Nanotechnology in U.S. Patents: Classification, Patents: Classification, Searching and AnalysisSearching and Analysis

Charlotte A. ErdmannCharlotte A. Erdmann

Siegesmund Engineering LibrarySiegesmund Engineering LibraryPurdue UniversityPurdue University

Apples and Oranges: Apples and Oranges: A Work in ProgressA Work in Progress

Similarities and DifferencesSimilarities and Differences

Nanotechnology is emerging Nanotechnology is emerging areaarea

• Multi-faceted and interdisciplinaryMulti-faceted and interdisciplinary

• Common threads for emerging areasCommon threads for emerging areas– Basic research is found in journal and Basic research is found in journal and

conference literatureconference literature– Specific facets that have commercial Specific facets that have commercial

possibilities are found in patentspossibilities are found in patents

Patents --- Global Patents --- Global perspectiveperspective

• One must have a patent in a country One must have a patent in a country in order to have protection in that in order to have protection in that countrycountry

• Prior art includes literature from Prior art includes literature from journal articles, conference papers, journal articles, conference papers, patents, etc.patents, etc.

United States Patents United States Patents

• Issued Patents and Pre-Grant Publications Issued Patents and Pre-Grant Publications (beginning in 2001) are available(beginning in 2001) are available

• Classification (class/subclass) based on Classification (class/subclass) based on claims.claims.

• Classification for issued patents is more Classification for issued patents is more thorough since it is assigned by the thorough since it is assigned by the examiner. It may change from date of issue.examiner. It may change from date of issue.

• Classification for published application is Classification for published application is machine assigned machine assigned

• Keyword searching is an option but it should Keyword searching is an option but it should not be the only search methodnot be the only search method

Molecular nanowires from single Molecular nanowires from single walled carbon nanotubes walled carbon nanotubes U.S. Patent U.S. Patent 7,112,3157,112,315

Issued September 26, 2006 Issued September 26, 2006

Inventor: Inventor: Kiang; Ching-HwaKiang; Ching-Hwa (Los Angeles, CA) (Los Angeles, CA)

Assignee: Assignee: The Regents of the University of CaliforniaThe Regents of the University of California (Oakland, CA) (Oakland, CA)

Appl. No.: Appl. No.: 09/354,53109/354,531 Filed: Filed: July 15, 1999July 15, 1999

Current U.S. Class:Current U.S. Class:423/447.1423/447.1 ; 435/182; ; 435/182; 977/702977/702; 977/705; 977/750; 977/762; 977/705; 977/750; 977/762

Current International Class: Current International Class: D01F 9/12 (20060101); C12N 11/04 (20060101)D01F 9/12 (20060101); C12N 11/04 (20060101)

Field of Search: Field of Search: 435/176,177,180,182 435/176,177,180,182

Molecular nanowires from single Molecular nanowires from single walled carbon nanotubes walled carbon nanotubes US Published Application US Published Application 20010051367 20010051367

Inventor: Kiang; Ching-Hwa (Los Angeles, CA) Inventor: Kiang; Ching-Hwa (Los Angeles, CA)

Serial No.: 354531 Serial No.: 354531 Serial Code: 09 Serial Code: 09

Filed: July 15, 1999Filed: July 15, 1999

Current U.S. Class:Current U.S. Class: 435/182435/182

U.S. Class at Publication:U.S. Class at Publication: 435/182435/182

International Class: International Class: C12N 11/04C12N 11/04

Starting PointStarting Point

Index to the U.S. Patent Classification SystemIndex to the U.S. Patent Classification SystemNanotechnology……………Class 977Nanotechnology……………Class 977

Manual of ClassificationManual of Classification   700          700          NANOSTRUCTURE NANOSTRUCTURE    701          . Integrated with dissimilar structures on a 701          . Integrated with dissimilar structures on a

common substrate common substrate    702          .. Having biological material component 702          .. Having biological material component    703          ... Cellular 703          ... Cellular    704          … Nucleic acids (e.g., DNA or RNA, etc.) 704          … Nucleic acids (e.g., DNA or RNA, etc.)    705          ... Protein or peptide 705          ... Protein or peptide    706          ... Carbohydrate 706          ... Carbohydrate

A New Class Starts with a A New Class Starts with a Classification OrderClassification Order• Members of work team that created the class and Members of work team that created the class and

when it was donewhen it was done• Changes from previous classificationsChanges from previous classifications• Topics included and excludedTopics included and excluded• See also classes and/or subclasses to examine See also classes and/or subclasses to examine

and search. and search. More than 31 other classes are More than 31 other classes are represented for Nanotechnologyrepresented for Nanotechnology

• Glossary of termsGlossary of terms• Class schedule, i.e. subclassesClass schedule, i.e. subclasses• Definitions of class and subclasses with see Definitions of class and subclasses with see

referencesreferences

Class 977 for Class 977 for NanotechnologyNanotechnology• Created in 2005/2006 as a Cross-Reference Created in 2005/2006 as a Cross-Reference

Art CollectionArt Collection• Provides supplemental art collections for Provides supplemental art collections for

searching and is not used as a basis for searching and is not used as a basis for assigning patent applications for examination assigning patent applications for examination purposespurposes

• US patents or pre-grant publications can only US patents or pre-grant publications can only be classified in class 977 as Cross-references be classified in class 977 as Cross-references (XR) or Secondary (SEC) classification, and (XR) or Secondary (SEC) classification, and not as Original (OR) or Primary (PRI) not as Original (OR) or Primary (PRI) classifications. classifications.

Class 977 includes:Class 977 includes:

• Nanostructure and chemical compositions of Nanostructure and chemical compositions of nanostructurenanostructure

• Device that include at least one Device that include at least one nanostructurenanostructure

• Mathematical algorithms, e.g., computer Mathematical algorithms, e.g., computer software, etc., specifically adapted for software, etc., specifically adapted for modeling configurations or properties of modeling configurations or properties of nanostructurenanostructure

• Methods or apparatus for making, detecting, Methods or apparatus for making, detecting, analyzing, or treating nanostructureanalyzing, or treating nanostructure

• Specified particular uses of nanostructureSpecified particular uses of nanostructure

Issued Patent and Pre-grant Issued Patent and Pre-grant PublicationPublication

• Limited number of patents in Class 977Limited number of patents in Class 977• Used Cassis Patent Bib for statistics from Used Cassis Patent Bib for statistics from

1970-October 20061970-October 2006– 4546 Issued Patents4546 Issued Patents– 872 Pre-grant Publications872 Pre-grant Publications

• Using Access and Excel, it was possible to Using Access and Excel, it was possible to get stats for country and state for the first get stats for country and state for the first inventor inventor

• Using GIS software, Chris Miller of Purdue’s Using GIS software, Chris Miller of Purdue’s Library tested some mapping capabilities. Library tested some mapping capabilities. International locations caused more errors International locations caused more errors than US citiesthan US cities

Even Simple Statistics may not Even Simple Statistics may not be meaningful due to small be meaningful due to small numbersnumbers

• Issued PatentsIssued Patents– US – 2603US – 2603– International - 1770International - 1770

• Pre-Grant Pre-Grant Publications Publications – US – 500US – 500– International - 302International - 302

Goal: Acquire meaningful Goal: Acquire meaningful statisticsstatistics

• Add relevant class/subclasses for all Add relevant class/subclasses for all nanotechnology areasnanotechnology areas

• Cleanup Cassis dataCleanup Cassis data– Inventor cities and countries for geographic Inventor cities and countries for geographic

datadata– Multiple inventorsMultiple inventors– Multiple assigneesMultiple assignees

• Acquire data from other sources and Acquire data from other sources and cleanup as neededcleanup as needed

Alternate searches on Alternate searches on esp@cenet, WIPO, or esp@cenet, WIPO, or Commercial ServicesCommercial Services

• International Classification (IPC)International Classification (IPC)

• European Classification (ECLA)European Classification (ECLA)

• Derwent World Patents $$Derwent World Patents $$

• Questel Orbit INPADOC $$Questel Orbit INPADOC $$

International Patent International Patent ClassificationClassification

http://www.wipo.int/classifications/ipc/en/

PCT published application PCT published application http://www.wipo.int/pctdb/en/http://www.wipo.int/pctdb/en/

(WO/2005/015579) METHODS OF (WO/2005/015579) METHODS OF FORMING THREE-DIMENSIONAL FORMING THREE-DIMENSIONAL NANODOT ARRAYS IN A MATRIXNANODOT ARRAYS IN A MATRIX

International ClassificationInternational Classification G11B 5/855G11B 5/855 (2006.01), (2006.01), H01F 1/00H01F 1/00

(2006.01), (2006.01), H01F 41/20H01F 41/20 (2006.01), (2006.01), H01F 41/30H01F 41/30 (2006.01), (2006.01), H01L 29/12H01L 29/12 (2006.01) (2006.01)

ECLA offers some ECLA offers some possibilitiespossibilities

Broad Technical Fields Characterised by Dimensional AspectsBroad Technical Fields Characterised by Dimensional AspectsY01Y01

NanotechnologyNanotechnology YO1NYO1N More than 100,000More than 100,000

NanobiotechnologyNanobiotechnology Y01N2Y01N2 1472714727

Nanotechnology for Information Nanotechnology for Information Processing, Storage and TransmissionProcessing, Storage and Transmission Y01N4Y01N4 3162731627

Nanotechnology for Materials and Nanotechnology for Materials and Surface ScienceSurface Science Y01N8Y01N8 1162211622

NanoopticsNanooptics Y01N10Y01N10 1953619536

NanomagneticsNanomagnetics Y01N12Y01N12 1676416764

Services from European Patent Services from European Patent OfficeOffice

• Esp@cenet web site Esp@cenet web site http://ep.espacenet.comhttp://ep.espacenet.com– Patent familyPatent family– Legal statusLegal status

• Open download in XML possible from Open download in XML possible from http://ops.espacenet.comhttp://ops.espacenet.com

esp@cenet esp@cenet

• International: International: G11B5/855; H01F1/00; G11B5/855; H01F1/00; H01F41/20; H01F41/30; H01L29/12; H01F41/20; H01F41/30; H01L29/12; G11B5/855; H01F1/00; H01F41/14; G11B5/855; H01F1/00; H01F41/14; H01L29/02; H01L29/02; (IPC1-7): H01F (IPC1-7): H01F

• European: European: G11B5/855G11B5/855; ; H01F1/00E10MH01F1/00E10M; ; H01F1/00E12H01F1/00E12; H01F41/20; H01L29/12W4; ; H01F41/20; H01L29/12W4; Y01N4/00; Y01N12/00Y01N4/00; Y01N12/00

VantagePointVantagePoint

Possible access to improved Possible access to improved software used by many patent software used by many patent

analysis specialists and analysis specialists and professional searchersprofessional searchers

Alan Porter and colleagues at Alan Porter and colleagues at Search Technology, Inc. Search Technology, Inc.

• Completed funded research while at Completed funded research while at Georgia TechGeorgia Tech

• Created VantagePoint software and wrote Created VantagePoint software and wrote Tech Mining: Exploiting New Technologies Tech Mining: Exploiting New Technologies for Competitive Advantage (2005)for Competitive Advantage (2005)

• Presented papers on results of research:Presented papers on results of research:– ““Defining the Nanotechnology Domain in a Real Defining the Nanotechnology Domain in a Real

Time Technology Assessment”Time Technology Assessment”– ““Mining Patents + Research Publications to Mining Patents + Research Publications to

Improve Technology Management: Nano Improve Technology Management: Nano IllustrationsIllustrations

VantagePoint capabilitiesVantagePoint capabilities

• ImportingImporting

• CleaningCleaning

• AnalyzingAnalyzing

• ReportingReporting

• AutomatingAutomating

In conclusionIn conclusion

• Classification offers several systems Classification offers several systems that work with patentsthat work with patents

• Searching several system is Searching several system is necessarynecessary

• At the same time, it is going to take At the same time, it is going to take a lot of work to show good patent a lot of work to show good patent analysis in any field analysis in any field