1. Nanotechnology in U.S. Patents: Classification, Searching and Analysis Charlotte A. Erdmann Siegesmund Engineering Library Purdue University

2. Apples and Oranges: A Work in Progress Similarities and Differences

3. Nanotechnology is emerging area Multi-faceted and interdisciplinary Multi-faceted and interdisciplinary Common threads for emerging areas Common threads for emerging areas –Basic research is found in journal and conference literature –Specific facets that have commercial possibilities are found in patents

4. Patents --- Global perspective One must have a patent in a country in order to have protection in that country One must have a patent in a country in order to have protection in that country Prior art includes literature from journal articles, conference papers, patents, etc. Prior art includes literature from journal articles, conference papers, patents, etc.

5. United States Patents Issued Patents and Pre-Grant Publications (beginning in 2001) are available Issued Patents and Pre-Grant Publications (beginning in 2001) are available Classification (class/subclass) based on claims. Classification (class/subclass) based on claims. Classification for issued patents is more thorough since it is assigned by the examiner. It may change from date of issue. Classification for issued patents is more thorough since it is assigned by the examiner. It may change from date of issue. Classification for published application is machine assigned Classification for published application is machine assigned Keyword searching is an option but it should not be the only search method Keyword searching is an option but it should not be the only search method

6. Molecular nanowires from single walled carbon nanotubes U.S. Patent 7,112,315 Issued September 26, 2006 Inventor: Kiang; Ching-Hwa (Los Angeles, CA) Assignee: The Regents of the University of California (Oakland, CA) Appl. No.: 09/354,531Filed: July 15, 1999 Current U.S. Class: 423/447.1 ; 435/182; 977/702; 977/705; 977/750; 977/762 Current International Class: D01F 9/12 (20060101); C12N 11/04 (20060101) Field of Search: 435/176,177,180,182

7. Molecular nanowires from single walled carbon nanotubes US Published Application 20010051367 Inventor: Kiang; Ching-Hwa (Los Angeles, CA) Serial No.: 354531 Serial Code: 09 Filed: July 15, 1999 Current U.S. Class:435/182 U.S. Class at Publication:435/182 International Class: C12N 11/04

8. Starting Point Index to the U.S. Patent Classification System Nanotechnology……………Class 977 Manual of Classification 700 NANOSTRUCTURE 700 NANOSTRUCTURE 701. Integrated with dissimilar structures on a common substrate 701. Integrated with dissimilar structures on a 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

9. A New Class Starts with a Classification Order Members of work team that created the class and when it was done Members of work team that created the class and when it was done Changes from previous classifications Changes from previous classifications Topics included and excluded Topics included and excluded See also classes and/or subclasses to examine and search. More than 31 other classes are represented for Nanotechnology See also classes and/or subclasses to examine and search. More than 31 other classes are represented for Nanotechnology Glossary of terms Glossary of terms Class schedule, i.e. subclasses Class schedule, i.e. subclasses Definitions of class and subclasses with see references Definitions of class and subclasses with see references

10. Class 977 for Nanotechnology Created in 2005/2006 as a Cross-Reference Art Collection Created in 2005/2006 as a Cross-Reference Art Collection Provides supplemental art collections for searching and is not used as a basis for assigning patent applications for examination purposes Provides supplemental art collections for searching and is not used as a basis for assigning patent applications for examination purposes US patents or pre-grant publications can only be classified in class 977 as Cross-references (XR) or Secondary (SEC) classification, and not as Original (OR) or Primary (PRI) classifications. US patents or pre-grant publications can only be classified in class 977 as Cross-references (XR) or Secondary (SEC) classification, and not as Original (OR) or Primary (PRI) classifications.

11. Class 977 includes: Nanostructure and chemical compositions of nanostructure Nanostructure and chemical compositions of nanostructure Device that include at least one nanostructure Device that include at least one nanostructure Mathematical algorithms, e.g., computer software, etc., specifically adapted for modeling configurations or properties of nanostructure Mathematical algorithms, e.g., computer software, etc., specifically adapted for modeling configurations or properties of nanostructure Methods or apparatus for making, detecting, analyzing, or treating nanostructure Methods or apparatus for making, detecting, analyzing, or treating nanostructure Specified particular uses of nanostructure Specified particular uses of nanostructure

12. Issued Patent and Pre-grant Publication Limited number of patents in Class 977 Limited number of patents in Class 977 Used Cassis Patent Bib for statistics from 1970- October 2006 Used Cassis Patent Bib for statistics from 1970- October 2006 – 4546 Issued Patents – 872 Pre-grant Publications Using Access and Excel, it was possible to get stats for country and state for the first inventor Using Access and Excel, it was possible to get stats for country and state for the first inventor Using GIS software, Chris Miller of Purdue’s Library tested some mapping capabilities. International locations caused more errors than US cities Using GIS software, Chris Miller of Purdue’s Library tested some mapping capabilities. International locations caused more errors than US cities

13. Even Simple Statistics may not be meaningful due to small numbers Issued Patents Issued Patents –US – 2603 –International - 1770 Pre-Grant Publications Pre-Grant Publications –US – 500 –International - 302

14. Goal: Acquire meaningful statistics Add relevant class/subclasses for all nanotechnology areas Add relevant class/subclasses for all nanotechnology areas Cleanup Cassis data Cleanup Cassis data –Inventor cities and countries for geographic data –Multiple inventors –Multiple assignees Acquire data from other sources and cleanup as needed Acquire data from other sources and cleanup as needed

15. Alternate searches on esp@cenet, WIPO, or Commercial Services International Classification (IPC) International Classification (IPC) European Classification (ECLA) European Classification (ECLA) Derwent World Patents $$ Derwent World Patents $$ Questel Orbit INPADOC $$ Questel Orbit INPADOC $$

16. International Patent Classification http://www.wipo.int/classifications/ipc/en/

17. PCT published application http://www.wipo.int/pctdb/en/ (WO/2005/015579) METHODS OF FORMING THREE-DIMENSIONAL NANODOT ARRAYS IN A MATRIX (WO/2005/015579) METHODS OF FORMING THREE-DIMENSIONAL NANODOT ARRAYS IN A MATRIX International Classification International Classification G11B 5/855 (2006.01), H01F 1/00 (2006.01), H01F 41/20 (2006.01), H01F 41/30 (2006.01), H01L 29/12 (2006.01) G11B 5/855 (2006.01), H01F 1/00 (2006.01), H01F 41/20 (2006.01), H01F 41/30 (2006.01), H01L 29/12 (2006.01)

18. ECLA offers some possibilities Broad Technical Fields Characterised by Dimensional Aspects Y01 NanotechnologyYO1NMore than 100,000 NanobiotechnologyY01N214727 Nanotechnology for Information Processing, Storage and TransmissionY01N431627 Nanotechnology for Materials and Surface ScienceY01N811622 NanoopticsY01N1019536 NanomagneticsY01N1216764

19. Services from European Patent Office Esp@cenet web site http://ep.espacenet.com Esp@cenet web site http://ep.espacenet.com http://ep.espacenet.com –Patent family –Legal status Open download in XML possible from http://ops.espacenet.com Open download in XML possible from http://ops.espacenet.com

20. esp@cenet International: G11B5/855; H01F1/00; H01F41/20; H01F41/30; H01L29/12; G11B5/855; H01F1/00; H01F41/14; H01L29/02; (IPC1-7): H01F International: G11B5/855; H01F1/00; H01F41/20; H01F41/30; H01L29/12; G11B5/855; H01F1/00; H01F41/14; H01L29/02; (IPC1-7): H01F European: G11B5/855; H01F1/00E10M; H01F1/00E12; H01F41/20; H01L29/12W4; Y01N4/00; Y01N12/00 European: G11B5/855; H01F1/00E10M; H01F1/00E12; H01F41/20; H01L29/12W4; Y01N4/00; Y01N12/00G11B5/855H01F1/00E10M H01F1/00E12H01F41/20H01L29/12W4 Y01N4/00Y01N12/00G11B5/855H01F1/00E10M H01F1/00E12H01F41/20H01L29/12W4 Y01N4/00Y01N12/00

21. VantagePoint Possible access to improved software used by many patent analysis specialists and professional searchers

22. Alan Porter and colleagues at Search Technology, Inc. Completed funded research while at Georgia Tech Completed funded research while at Georgia Tech Created VantagePoint software and wrote Tech Mining: Exploiting New Technologies for Competitive Advantage (2005) Created VantagePoint software and wrote Tech Mining: Exploiting New Technologies for Competitive Advantage (2005) Presented papers on results of research: Presented papers on results of research: –“Defining the Nanotechnology Domain in a Real Time Technology Assessment” –“Mining Patents + Research Publications to Improve Technology Management: Nano Illustrations

23. VantagePoint capabilities Importing Importing Cleaning Cleaning Analyzing Analyzing Reporting Reporting Automating Automating

24. In conclusion Classification offers several systems that work with patents Classification offers several systems that work with patents Searching several system is necessary Searching several system is necessary At the same time, it is going to take a lot of work to show good patent analysis in any field At the same time, it is going to take a lot of work to show good patent analysis in any field