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

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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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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)

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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

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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