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Intellectual Property Research Tools: Using Patent Research to Support
Innovation Strategy
Nick Albaugh – Innovation and Entrepreneurship LibrarianJonathan Hromi – MIT Intellectual Property Officer
Overview
TopicsPatent Search Tools & Market Research Tools
Prior Art Searching versus Market Searching
Information Gathering Basics• Example Prior Art Search - Patent Searching Generally• Building a Framework• Search Basics• Results Including Market Data
• To provide the MIT community with a better understanding of the types of information that can be gathered using patent and non-patent data.
Purpose
01
02
03
Patent Basics
• A right to exclude the “making, using, or selling of an invention”
• Invention has to be novel, useful, and non-obvious
• Rights good for 20 years from filing date for utility patents
• Limited to the jurisdiction(s) in which they’re granted
• Inventors disclose their invention to the public
Limitations & Challenges
• Don’t publish until 18 months after filing – if at all• Especially limiting for “hot technology areas” / startups / etc.
• Application -> issue claim uncertainty
• Written in “patent terminology”
Patent Terminology Example1. An apparatus comprising:
a cap comprising:a first opening configured to be open in a pour position such that the liquid can flow through the first opening;a first cover coupled to the apparatus and configured to move by rotation about an axis of the first cover from the pour position to a closed position to close the first opening;a second opening configured to be open in a fill position such that the liquid can flow through the second opening;a second cover coupled to the apparatus and configured to move by a first rotation about the axis of the first cover from the fill position to a storage position to close the second opening with the first rotation, and to move by a second rotation about the axis of the first cover from the storage position to the fill position to expose the second opening with the second rotation, the second cover remaining coupled to the apparatus when the second cover is in the fill position; anda third opening configured to allow ambient air into the apparatus when liquid is poured from the first opening, wherein the third opening is closed when the first cover is in the closed position.
US9745105 B2 – Water bottleHydros Bottle, LLC (2012)
Search Tools
• Some free tools for the MIT community• Patent Scout (MIT only)• Patsnap (MIT only)• Scopus (MIT only)• Espacenet• Google Patents
Prior Art Searching vs. Market Searching
• Prior art searching looking for close / disqualifying art around a specific invention• Prior art search can give a go/no go decision• Helps craft own claims to distinguish• Not time or field limited• Saves time & $$$
• Market searching looking for broader trends to gather information• Find top or interesting assignees• Find potential roadblocks or choke points• Can show company research allocations• Varying technology levels• Limited in geography/time
• Limited overlap
Prior Art Search ExampleInventor A creates a spring loaded salt and pepper grinder and wants to know if they have anything that’s patentable.
• Allows for one handed operation
• Spring inside allows for even and reliable pushing of object to be ground
• Push button for grinding
• Easy and fun to use!
https://www.amazon.com/Oggi-7132-Stainless-Spring-Action/dp/B0071NWYVW/ref=asc_df_B0071NWYVW/?tag=hyprod-20&linkCode=df0&hvadid=198093537739&hvpos=1o1&hvnetw=g&hvrand=2328831881485782059&hvpone=&hvptwo=&hvqmt=&hvdev=c&hvdvcmdl=&hvlocint=&hvlocphy=9002000&hvtargid=pla-320469835418&psc=1
Searchable universe & components
Direct search (102 rejection):
• Spring loaded spice grinders
Universes and art combination
(103 rejection):
• Grinders
• Pumps (especially) one handed
• Springs
• Spices
• Spring(s), (helical) metal coil, tensile, spice(s), pepper, salt, grind, crush, grate, pulverize etc.
Search Strategies Search Terms
• Spring(s), (helical) metal coil, tensile etc.
• Spice(s), pepper, salt, crush, grate, pulverize etc.
• Grinder, gears, pulverize, powder, etc.
• Pump, one-handed, single handed, operated, etc.
Direct search strategy and example resultSearch claims, title, abstract:
All jurisdictions, all years
(spring* or (metal coil) or (tensioner)) NEAR/3 (spice* or salt or pepper) NEAR/3 (grind* or pulverize* or crush)
13 results – 5 close results
“Combined pepper grinder and salt shaker”
“Red pepper pulverizer”
“More chamber condiment mill”
“Black pepper bruiser”
“Equipment for crushing calcium chloride”
Example result:US8622329 B1 (2013) – George R. JonesCombined pepper grinder and salt shakerAbstract: A combined pepper grinder and salt shaker (1) having an upper portion (2) of the device that stores salt and also having apertures (3) to dispense the salt. A bottom portion (9) comprises a pepper mill that grinds peppercorn. The upper portion attaches to the bottom portion via a pressure fit clip-top shell (20), spring retaining ring (21) and push buttons (22), that allow a user to easily remove the upper portion from the bottom portion.
Figure 1
First Claim: A combined pepper grinder and salt shaker comprising:an upper portion having a first tubular area for storing salt having at least one aperture on a top end for dispensing the salt;said upper portion having attachment means on a bottom end for attaching to a second tubular storage area; anda bottom portion having a pepper grinder that attaches to the upper portion via a pressure fit clip-top shell, spring retaining ring and one or more push buttons that allow a user to easily remove the upper portion from the bottom portion and to rotate the bottom portion to operate the pepper grinder.
US8622329 B1 (2013) -Cited prior artObservations:
Citations start at 1897
Titles include shakers/grinders/mills and a “Plural-seasoning distributor”
• Create universes – start broad, use synonyms
• Find intersections to create results
• Refine with additional universes
Using Component Searchingto Create Universes
Spices or Condiments
101,526 results
Mill or grinder1,203,400 results
861 results
Venn diagrams not to scale
Example Search Area: Quantum Computing
Source: http://news.mit.edu/2019/mit-william-oliver-qanda-talent-shortage-quantum-computing-0123
Market Searching Process - Recommendations
• Create a framework or system map• Research competitors who you know have or you think have patents
in the space• Think about the questions you’re looking to answer and which data
can be used to answer them• Patent data can be used to show trends, top assignees, potential partners,
areas of research
• Pitchbook• Database of VC/PE information, with detailed profiles of startups
• Frost & Sullivan• Market research database, specializing in hard-tech, B-to-B industries
• Capital IQ• Company profiles and financial data for U.S. and international public and
private companies, investment firms, and hedge funds
Start With Library Resources and use throughout to Inform and Refine Your Searching
Searching Basics
• Considerations:• Jurisdictions
• Typically search US, EP, WO, CN, JP, CA• Time frame
• Consider 20 years but pick the most relevant• Scope
• More breadth = less resolution• Search level
• How detailed do you need to go?
Create Universes
Quantum Computing• Quantum computing, Qbit, Adiabetic, Quantum
dots…
Top
Dow
nBo
ttom
Up • Dwave, IBM, Intel, University of California, MIT,
Nokia, Google…
• Look for synonyms / term expansions
• Bottom-up searching can provide additional terms
• Look for common misspellings
Search Tips
Patsnap Analytics
Patsnap Landscape – Limited to 1000 patents
Download and Categorize Results Set
• Set size may dictate human v. computer categorization
• Human screening/categorizing is more time and labor intensive but provides greater relevancy
Market Searching Process – Step 1: Find a framework
Example 1 Example 2: Sent by client – distilled from Chapter 3 of Quantum Computing: Technologies and Global Markets to 2022
Types of Quantum Computers- Adiabatic Quantum Computers- Universal Gate Quantum Computers- Analog Quantum ComputersQubits- Josephson Junctions- Trapped Ions- Neutral Atoms- Photons- Quantum Dots- Spins in Solid-State HostsApplications of Quantum Computers- Quantum Simulation- Quantum Chemistry- Material Discovery and design- Drug Discovery- Basic research
Framework Tips:
• Start at the proper technology level
• Use mutually understood definitions
• Be flexible
Market Searching Basics
• Create key words similar to how we performed prior art searching
• Start broadly and narrow down
• Include searches for key competitors as a quality check
• Other Considerations:• Jurisdictions
• Typically search US, EP, WO, CN, JP, CA• Time frame
• Consider 20 years but pick the most relevant• Scope
• More breadth = less resolution• Search level
• How detailed do you need to go?
Patent Search Overview and MethodologyIntroduction:Quantum computing is an area of study devoted to using quantum mechanics to future computing technology and increase computing performance. Investment in quantum computing is strong and increasing both in the amount of dollars invested and in patent filings.
Methodology:The MIT TLO used the Innography patent databases to search globally for patent filings (issued patents and published applications) from January 23, 1999 to January 23, 2019 with terms relating to “quantum computing”.
Search Notes: To cast a broad net we used the broadest possible search and limited out extraneous terms: (@(abstract,claims,title) (quantum NEAR/2 (computer* or computing or computation*))) NOT ((nitride semiconductor) or (CVD) or (quantum noise))
Quantum Computing Search
2,621filings
Active only filings1,102
patent familiesEPO Single Family Reduced –Active only
Human screened for relevance
320 relevantpatent families
Investment in Quantum Computing Startups is steadily increasing• Both dollars and deal flow to
quantum computing startups has increased in the past 6 years
• In 2017, total funding to quantum computing startups reached over $200M invested across just 14 deals.
• Five startups raised rounds of over $20M in 2017, including: Silicon Quantum Computing, Rigetti, 1QBit, IonQ, and D-Wave
Source CB Insights: Quantum Computing 2019
Quantum Computing Investment Trends are Mirrored in Patent Filings
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20
40
60
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100
120
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160
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1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018
Quantum Computing FilingsBy Filing Year
(not SFR)
Active Expired
• YOY Patent filing growth from 1999 averaged 23% with the largest spikes coming in 2012 (58%), 2015 (44%) and 2017 (30%)
• Given the interest in the field and the large influx of capital, we would expect this trend to continue
• Filings are concentrated with large tech companies and universities • 28% of the set is owned
by top assignees• ~18% of the set are
university filings
Top 10 Assignees
Assignee Number of Filings
Intel 92
D-Wave 70
Microsoft 51
Nippon Telegraph & Telephone
28
Toshiba 25
IBM 24
Google 17
Rigetti and Co. 16
MagiqTechnologies
11
Wuhan University 9
Relevant Patent Filings for MIT’s Criteria
Notes:• Active filings only• Describe a quantum computer and components thereof• Eliminated methods of performing tasks on a quantum computer (method claims)
0
20
40
60
80
100
120
140
160
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1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018
RELEVANT QUANTUM COMPUTING FILINGS BY APPLICATION YEAR
Applicat ion Patent Utility
Top 10 Assignees
Assignee Number of Filings
% Change from Full Set
Intel 59 -35%
D-Wave 18 -72%
Microsoft 16 -69%
IBM 10 -68%
Google 9 -58%
Toshiba 13 -47%
NT&T 9 -38%
Rigetti & Co. 6 -63%
Qucor 5 N/A
GuangiNormal Univ
5 N/A
• Here too the dominant players in the space are the leading technology companies
• Guangi Normal University, Rigetti(quantum computing firm founded in 2013) in Berkley and Qucor are possible surprises
Quantum Computing Framework – Client Described
Computer Type ApplicationsQubits
Creation / Mining: 7 ATM: 2
Wallet: 27 Validation: 107
Block Chain / Distributed Ledger: 107
Cipher Block Chain:139
Database: 22
Capital Markets: 8
Supply Chain: 3
Voting: 11
Authentication: 112
Currency Creation / Banking: 22
Other
Cryptocurrency: 153 Currency Conversion: 21
Wearable: 1
Josephson Junctions Photons
Trapped Ions Quantum Dots
Adiabatic
Analog
Universal Gate
Quantum Simulation
Material Discovery
Basic Research
Quantum Chemistry
Drug Discovery
Neutral Atoms Spins in Solid-State Hosts
Other
Quantum Computing Patent Framework ActualComputer Type
Adiabatic: 28
Analog: 1
Universal Gate: 17
General Purpose/Undefined: 65
NMR: 1
Integer: 1
Isling: 4
Qubits
Qubit (generally): 75
Josephson Junctions: 16
Trapped Ions: 2
Photons: 9
Quantum Dots: 45
Spins-in-Solid State Hosts: 9
Majorana: 3
Applications
Other: 16
Security/Secrecy/Encryption: 3
Image Recognition/TV: 11
Bioinformatics: 1
Components
Uncategorized: 157
Laser/Beam: 12
Programing Architecture: 7
117 159 176 15
Observations:• Due to the elimination of methods, most filings didn’t
describe an application
• The framework is dominated by components – a second pass to further categorize may be helpful
Expected AssigneesNutshell Profiles:• D-Wave
• 70 total filings; all in US, EP, and WO• Earliest priority in 2001; Portfolio focuses on
quantum computing structures (especial superconductors), quibit devices and digital circuitry
• Rigetti• 16 total filings, all US• Earliest priority is 2015; Focus areas include
hybrid computing systems and methods, quantum circuits and gates
• No public filings found for Silicon Quantum Computing or CQC
Source CB Insights: Quantum Computing 2019
Example MIT FilingsCase # Title Filing
YearDescription Categories
18100 Hybrid Superconducting Structures and Devices 2015 Superconducting medium that can be used in quantum computers Component
18478 Photonic Integrated Circuits for Locked Quantum Communication 2016 Describes a tunable ring resonator Component; Photon
17798 Measurement-Device-Independent Quantum Key Distribution Based on Photonic Integrated Circuits
2015 Secret key distributor N/A
Quantum Computing Patent Framework ActualComputer Type
Adiabatic: 28
Analog: 1
Universal Gate: 17
General Purpose/Undefined: 65
NMR: 1
Integer: 1
Isling: 4
Qubits
Qubit (generally): 75
Josephson Junctions: 16
Trapped Ions: 2
Photons: 9
Quantum Dots: 45
Spins-in-Solid State Hosts: 9
Majorana: 3
Applications
Other: 16
Security/Secrecy/Encryption: 3
Image Recognition/TV: 11
Bioinformatics: 1
Components
Uncategorized: 157
Laser/Beam: 12
Programing Architecture: 7
117 159 176 15
2
1
5
4
2
3
Observations:• Mapping MIT IP to the framework shows our focus
areas vs. the rest of the world (published)• Two filings include neural networks - only 4 other
published filings include this as well (including one from Siemens)
KR100796280 “Fabrication method of qubit using DNA” (2005) Firstblood Technologies – Issued Patent; Possibly from Korea University - Describes a process of making a qubit using DNA and using it as a core element in a quantum computer.
EP3296932 “Flux-tunable qubit device with multiple josephson junctions” (2016) Rigetti & Co. – Describes a qubit induction device that uses Josephson junctions to tune the magnetic flux energy
Interesting Filings
1. Prior art searching and market searching are very different2. Patent data can be useful to show
• White space• Where to invest resources• Where to expand leading positions• Potential partners, technology trends, key competitors• Potential choke points
3. Use market data and company specific data to provides additional context• Company resources / funding• Focus areas & technology alignment with patent filings
Key Takeways
Appendix
Invention timeline
Invention is reduced to practice
(Constructive or Actual)
Disclose to TLO
(MIT only)
Prior art search (self –Google etc.)
Filing decision
made
Patent literature market search; Incorporate non-patent literature
Initial business framework
Revise business plan
(if necessary)
Idea
Quick search
Prior art search(law firm)
Option, product license,
R&D, etc.
Invention
Search
Business
AdvantageWeed out ideas early – ability to change direction
Inventions change over course of RTP: Confirm potential novelty - Careful not to self screen good inventions
Find “white space”,
partners, etc.;
Patent Issues
Search Refinement
(@(abstract,claims,title) (quantum NEAR/2 (computer or computing or computation)))
NOT (nitride semiconductor) or CVD or (quantum noise)
2,495 Results 2,294 Results
IPC Classes:G06 Computing, Calculating, CountingH04 Electric Communication