Monetizing Usage of Scholarly Collections with Patent Citation Analysis Paul Canning, Director Publication Marketing IATUL, Porto, Portugal 22 May 2006

High Value Patent in Computer Hardware USPTO Patent Number 5,825,308 l Key patent in tactile feedback technology. Granted to Immersion Corp. in 1998 l Has been cited by 119 later patents (17 times as many citations as expected) l Cites 9 different IEEE articles as prior art l Technology licensed to Microsoft for use in game controllers and joysticks l Court granted an injunction to halt sales of PlayStations, and ordered Sony to pay $90 million for infringement of Immersion’s patents Source: The Influence of IEEE on Key Patents, Patrick Thomas, PhD, Anthony Breitzman, PhD; 1790 Analysitics, LLC, 12 January 2006

Numerical Technologies, Inc. Phase Shifting Circuit Manufacture Method and Apparatus Patent Number 6,258,493 July 2001 l Important to semiconductor manufacturing to create the features, lines and shapes on semiconductor wafers l Describes method through which limits on optical lithography can be overcome in order to shrink the size of integrated circuits, enabling more transistors to be placed on wafers of a given size l Cited by 42 later patents, age and technology would expect 4 citations. l March Synopsys Inc. purchased Numerical for approximately $250 million…noting lithography technology as a major reason l Numerical built extensively on IEEE science, citing six separate IEEE papers. Levenson, M. et al., ‘Improving Resolution in Photolithography with a Phase-Shifting Mask,” IEEE Transaction on Electron Devices, vol. ED-29, No. 12, Dec. 1982, pp Paper is the foundation of phase-shifting technology. Source: The Influence of IEEE on Key Patents, Patrick Thomas, PhD, Anthony Breitzman, PhD; 1790 Analysitics, LLC, 12 January 2006

High Value Patent 6,233,550 University of California l ‘Method and apparatus for hybrid coding of speech at 4kbs,’ May 2001 l Speech coding and compression is an important component of communication systems. l Patent cites 37 previous publications. Out of these, 27 are articles in IEEE journals including articles ‘M-LCELP Speech Coding at 4 Kbps” and ‘High-Quality Speech Coding at 2.4 to 4.0 KBPS Based on Time-Frequency Interpolation”. l Scientific papers are an important pre-cursor to this patent on speech compression technology. l Patent cited by 26 subsequent patents; seven times the average number of citations received by patents in the same technology class and year Source: The Influence of IEEE on Key Patents, Patrick Thomas, PhD, Anthony Breitzman, PhD; 1790 Analysitics, LLC, 12 January 2006

Patents Exchange Monopoly Rights for Disclosure  Novel  Useful  Non-obvious  Turns invention into intellectual property  Protects the IP for up to 20 years  Encourages companies to divulge innovations for the public good

Hi-Tech Business Focus on Patents l Much of the high-tech economy relies on patents. l Most of the value of companies comes not from tangible assets (plants and equipment) but from intangible assets (patents, trademarks, copyrights) l Patents are the most tangible of intangible assets l Patent protection encourages innovation l All of the top patenting companies build upon science & technology

Patents with Scientific References l Contain new leading-edge ideas l Patents that only reference earlier patents are likely to be incremental improvements on earlier patented technologies

US Universities Hold Patents Licensing Revenues and Patent Activity Fiscal 2003 New York University$85,933,234 U California System$61,119,000 Wisconsin Alumni Research$37,573,468 U Minnesota$37,492,778 U Florida$35,248,484 U Washington$29,131,798 U Rochester$26,741,537 Cal Tech$25,359,000 Michigan State U$24,462,676 Source: Association of University Technology Managers Chronicle of Higher Education 3 December 2004

Top Patenting Companies – USPTO 2004 Company # Patents 2004# Patents IBM327042,900 Hitachi299533,050 Matsushita Electric210824,005 Samsung Electronics187714,324 Canon184729,153 Hewlett Packard178817,947 Micron Technology176311,518 Intel16259,561 Sony152920,171 Toshiba145225,659 Fuji-Photo135919,525 Fujitsu134015,710 Siemens133922,756 GE129134,070 NEC125021,636 Philips Electronics122522,650 Bosch99512,721 Texas Instruments92613,403 Mitsubishi Electric90619,881 Infineon8692,550 Seiko Epson8595,350 AMD8037,752 Honda7909,335 Kodak77720,166 Denso7637,768

Citations by Journals, Conferences and Standards from Top 25 Companies Source: 1790 Analytics, 2005

Comparison or EP and US Results

Top 25 Computer Software Companies 2005 European Patents

References of Top Computer Software Companies 2005 Euro Patents

Patenting is Correlated with GDP Figure updated from “Inventing our Future,” p. 4 CSIRO/ARC/CHI Research, June Patent Counts versus GDP by Inventor Country

Using Bibliometric analysis to support library resources l Patents held by university l Patents invented by individuals within a country l Patents registered by technology

Supporting Studies l Breitzman, Anthony, (2005) “IEEE and Patents: An Analysis of Patent Referencing to IEEE papers, Conferences and Standards,” 1790 Analytics, LLC. 23 May Available at l Breitzman, Anthony, “The Influence of IEEE on Key Patents,” 1790 Analytics, LLC. 12 January 2006 To be posted at l Breitzman, Anthony, “Analysis of European Patent Referencing to IEEE Papers, Conferences and Standards,” 1790 Analytics, LLC. 13 April 2006 To be posted at