Automatic Patent Analysis catalyst to develop R&D innovation

1. Automatic Patent Analysis catalyst to develop R&D innovation Henri Dou Director of Atelis (Strategic Work Room of the ESCEM – France Business School Group), University Professor douhenri@yahoo.frhttp://www.ciworldwide.orghttp://www.atelis.org IBICT - 1Oth Brazilian Workshop on Competitive Intelligence and Knowledge Management, Brasilia November 19-20-21, 2012

2. This presentationwillbedone in three parts • New aspects of Competitive Intelligence linked to Innovation • Presentation of APA and varioustreatments • Live exampleusing APA software if we have time, or off conference APA Automatic Patent Analysis

3. A bit of history • Whenwebegan the development of the Competitive Intelligence 15 yearsago in Brazil, the crisiswas not there and the global competition fruit of the globalizationneither. • Then, the information studied in the various courses wasmainlyfocused on scientificpapers, dissertations, reports (if theyexisted). • Today, the world has changed, and innovationbecomes one of the key of the success of the nations. • Innovation works in twosteps: • Step 1: the State provides money to build up knowledge and competencies in researchlabs and universities • Step 2: thesecompetencies and knowledge must beused to developproducts and services robustenough to hit the market and beexported. • Science is more and more, today, « technologydriven ».

4. This view of the innovation development calls for Public and PrivatePartnerships (PPP) • The PPP takestheirroots to • the work of Michael Porter (The CompetitiveAdvantage of Nations): to bealonemakes the task more complicated. • The work on the Triple Helix concept developed by the DutchSchool. Academy-Industry-Government Partnerships for Innovation Henry Etzkowitz and Marina Ranga Business School University of Newcastle upon Tyne

5. From http://trail.ulster.ac.uk/activities/

6. Problem to solve in RegionalDevelopment Competitive Intelligence isapplied in variousenterprises Competitive Intelligence isappled in clusters(poles of Competitiveness) Both are vertical: same business, vertical specializationmost of the time Now, the problem to solveis: to move from vertical to horizontal How to takeenterprises of different businesses to create new productsdifferent, from the variousknowledge, expertise and products of thesedifferententerprises ? This is the key of the regionaldevelopment: to develop an actionableknowledge not only in one enterprise, in one especialized cluster but in enterprises of differentactivities to createtogether new products of services which do not exist. (Collective Intelligence-> Innovation)

7. To move from vertical specialization to horizontal innovation Cost-effort Global innovation Global innovation shouldbedone not only in one firm but in a group of firms of verydifferentactivities. New unexpectedproducts especialization Example: Caxias do Sul Region • Green technology • Environmentalconcerns • Bio … way of life • University • Eco-industries • Story tellingmanagement • Co-opetition • IT facilities • Weather change What to do ? withthese competencies and incentives to create new products or services

8. Building up road mapping for products or services which do not yetexist Concerningdifferententerprises of differentsectors to developtogetherfuture new products or services

9. Looking for information able to catalyze the creation of an actionableknowledgebetweencompanies of differentactivities • This information willbeused in the triple helix system to catalyzed a regionalconsciousnessbetweenpotentialpartners of verydifferentactivities. • Facts: • enterprises, and more especificallySMEs, are not able to understandand applyfundamentalacademicsresearchresults in their business. • academicsmost of the time are not reallyconcerned by the regionaldevelopment, but most of the time by their promotion • PATENT INFORMATION willprovide a linkbetween R&D, economy and regionalpolicymakers

10. Whatmaystrongly relates science and technology? Patents canprovide a lot more than a simple protection! Patent information is unique sinceitismost of the time not publishedelsewhere. The access to the main patent databasesis free (EPO Worldpatentdatabase, and USPTO databases of granted patents and patents on demand, seealso Google Patent for the US patents) The worldpatentdatabasewhichcovers 90 countries and contains more than 65 millions of references, is a unique living encyclopediawhichincreaseseveryyearand whichis free. http://worldwide.espacenet.com/advancedSearch?locale=en_EP Patent information canbeunderstood by companies and researchers, although the researchers do not cite or use patents most of the time. Patent information is a good way to attract the attention of enterprisessinceit shows whatcompetitors, oftenunknow, are doing.

11. How to use APA (Automatic Patent Analysis) ? Let us performed a large query and retrieve a large amount of patents, and then, let us analyze the resulting local databasewith a specialized software whichwillbuild up all the necessarycorrelations to « see » whatisgoing on in the field of the query. Veryprecisequery to retrieve one or a very smallselected patents It is a mistake in APA Perform a large search, download the patents and performvariousanalysis on the local database. Good practice in APA Most of the followingtreatments are donewithMatheo-Patent one of the most performant APA software in the world. Access yearlysubscription of 600€.

12. Information about patents A patent canbegranted in one country only (except PCT, WO, EP, OA,ARIBO) You have 12 months to extendit to other countries A patent not extended in othercounriesmaybeusedwidely and free of charge in the countries wherethereis no extension You canget a patent granted in several countries at a time by using the European Patent EP, WO, PCT patents (Patent CooperativeTreaty 1970), (you design the states where the invention must beprotected), the OAPI African French speeking countries, the ARIPO African English speeking countries) Aftertwentyyear the patent falls in the public domain, as well as if you do not pay the annuities.. The utility model offers a protection for a smallernumber of years (6 to 10 years), the examinationislighterthan for a patent. Some patents not extended in other countries whenthey are massivelyused may have to objetives: the domestic concurrence or to raisebarriersagaintsforeign extensions. (eg China, Japan) The meaning of the letters A, B1, etc. at the end of a patent isavailable on http://www.the-business-of-patents.com/patent-cover-sheet.html

13. Free access Matheo-Patent has been developed by a group of mystudents and isnowcommercialized by the Matheo-Software companyhttp://www.matheo-software.com

14. Selection of different patents exported in text format 1- TI_EN - WELDING DEFORMATION CONTROL METHOD FOR JOINT BETWEEN LARGE INSERTED OBLIQUE TUBE AND CYLINDER TI_FR - PROCÉDÉ POUR RÉGULER LA DÉFORMATION AU SOUDAGE POUR UN JOINT ENTRE UN GROS TUBE OBLIQUE EMBOÎTÉ ET UN CYLINDRE PN - WO2012129995A1 PD - 04/10/2012 PA - SHANGHAI BOILER WORKS CO LTD (CN); FU YUWEN (CN); ZHANG BODI (CN); WANG JINING (CN) IN - FU YUWEN (CN); ZHANG BODI (CN); WANG JINING (CN) PR - CN20111077466 20110330 …………… -2- TI_EN - AIR COOLING DEVICE FOR RAPIDLY COOLING WELDING JOINT AND APPLICATION THEREOF TI_FR - DISPOSITIF DE REFROIDISSEMENT PAR AIR POUR REFROIDISSEMENT RAPIDE DE JOINT DE SOUDURE ET APPLICATION ASSOCIÉE PN - WO2012129845A1 PD - 04/10/2012 PA - UNIV WUHAN SCIENCE and ENG (CN); WANG HONGHONG (CN); WU KAIMING (CN) IN - WANG HONGHONG (CN); WU KAIMING (CN) PR - CN20111078044 20110329

15. Automatic Export of various patent notices in XML format <?xml version="1.0" encoding="ISO-8859-1"?> -<biblio subject="MATHEO PATENT"> -<patent pd="20090402" pn="WO2009040620A1"> <title lang="en">METHOD AND DEVICE TO BUILD-UP, CLAD, OR HARD-FACE WITH MINIMAL ADMIXTURE</title> <title lang="fr">PROCÉDÉ ET DISPOSITIF POUR ACCUMULER, APPLIQUER OU RECHARGER AVEC UNE ADDITION MINIMALE</title> -<inventors> -<inventor> <name>FULMER BRUCE E</name> <country>US</country> </inventor> -<inventor> <name>HEARN JAMES E</name> <country>US</country> </inventor> -<inventor> <name>PETERS STEVEN R</name> <country>US</country> </inventor> -<inventor> <name>MORLOCK MICHAEL J</name> <country>US</country> </inventor> </inventors> -<applicants> -<applicant> <name>LINCOLN GLOBAL INC</name> <country>US</country> </applicant> -<applicant> <name>PETERS STEVEN R</name> <country>US</country> </applicant> -<applicant> <name>MORLOCK MICHAEL J</name> <country>US</country> ………………………. <espacenet>http://worldwide.espacenet.com/publicationDetails/biblio?CC=WO&amp;NR=2011034119&amp;KC=A1&amp;FT=E&amp;DB=EPODOC&amp;locale=en_EP</espacenet>

16. Usefulbibliographicfields in Patents AP – Applicant names IN – Inventor Names PN – Patent number PR - Priority number IPC - International Patent Classification IPC (4 digits or full) ECLA - (European Classification: more precise than IPC but only for EP patents) WORDS - from titles or abstracts DRAWINGS – (first page) If the data contained in thesefields are properlysorted, combined, etc. theywillprovidemost of the answers to the questions thatmost people have. This is all these types of correlationswhich are automaticallybuild up whenyou use APA. (lists, matrix, networks, reports, access to the full text…)

17. Questions thatmost people ask • Who is doing what? The answer is given by the analysis of the applicant field and by building the matrix applicants/IPC (4 or 8 digits), if necessary groups of applicants can be done to have a most precise matrix (automatic benchmarking) • Where? The analysis of the Priority Countries field will provide the information. • With whom? The network of applicants will show all the links created through the presence of different applicants in the applicant field of the patents • What are the inventors working together? The network of the inventors will provide the result. • What are the applicantsworking together? Network of applicants • What is the research potential of an applicant?Network Applicants/inventors • What are the competencies of the inventors or of a group of inventors? The matrix of the IPC/inventors will be the solution. • What is the trend in the development of a technology? The Matrix of the publication dates versus the IPC is the solution.

18. Questions thatmost people ask • What are the possible new entrants in one field? The matrix of the application dates and the applicants will provide the response. • How can I update my query? APA provides the way to update your local database using the same query, or to implement your local database by using a different query, or both if you like. • What are the patents which are directly linked to my preoccupation(s)? The use of the significant expressions present in the titles or the abstracts will help to build up strategic patent groups and to analyze them in details as above. • How can I build up part of my report automatically? MP software provides various pre-determined reports that you will have only to implement with your own analysis. • How can I transfer the selected patents to a Web site or a co-operative platform? MP provides various export facilities (Text Format, CSV, XML) • What happens if the applicant / inventor names have different spelling? There is a tool to clean up those fields and reformat the data. • How to benchmark automatically applicants, inventors? Matrix Applicants/IPC or Applicants/groups of words from titles and abstracts

19. Most of the former answerswill fit into BrainStorming MindMapping Porter’s five forces Todaycompetition New potential entrants Customer needs Impact of rawmaterialsprices Technology trends

20. ExampleWeldingApparatus Query on the EPO Worldpatentdatabase: weldingANDapparatuson patent titles AND LIMITED to 2009-2012 For confidentialreasonsony the resultsdealingwith patents from 2012 willbepresented. (the threeyears about 2.600 patents (includingfamily patents) Otherqueriesmaycombinedwords (possiblypresent in titles or abstracts) and IPC (International Patent Classification).

21. Example: Welding and Apparatus (in titles) limited to 2009 - 2012

22. Selection of the main technologies B23C37/02

23. Wewill not presenthere the listswithfrequency of Applicants, Inventors, countries, dates, …. This ca bedone on the full local databese as well as on various groups build up from the selectionsdone on thisdatabase.

24. Meaning of the IPC (International Patent Classification) Access from Internet via EPO (IPC list) or Catch Words (WIPO) Catch words: http://www.wipo.int/ipcpub/#&notion=cw&refresh=page IPC list: http://worldwide.espacenet.com/eclasrch?classification=ecla&locale=en_EP&ECLA=C09D5 B23C37/02 Carriages for supporting or cuttingelement

25. Selection of patents or Building groups from patent selection From significative expressions extractedfromtitles and abstracts

26. Example: selection of twostrategic groups • “voltage” and “welding systems” • Group “voltage”: electric resistance, electrode power, electrode, voltage, power • Group “welding systems”: laser beam, arc, laser welding, arc welding method, traditional friction, ultrasonic welding, friction welding, pulse • Once build up these groups may be • Analyze in depth (lists, matrix, networks) • Correlated with all the other data present in the patent fields. • Theycanalsobecorrelatedwithother groups. • The patents present in the group may also be exported in various formats

27. Whichcompanies are doingwhat in the group « voltage » Matrix Applicants/IPC 4 digits

28. Links betweenapplicants in the group « weldingsystems »

29. Example of a meta – matrix: applicantspresent in the two groups « voltage » and « weldingsystems » The applicantspresent in the two groups simultaneouslymay beconsidered as very important.

30. Example of a meta network: which countries works in the two groups Network of various country groups and « voltage » and « weldingsystems »

31. What are the different technologies developed in Japan and South Korea Network between IPC and the Japan and South Korea groups

32. Patent selectionusing the local drawingdatabase The databaseisbuiltwith the variousdrawingspresent in the first page of the patents

33. Network of the cited patents

34. Network of the cited patents The patents cited in the patents present in the local databasecanbedownloaded and added to thisdatabase, improving the quality of the search. A group of cited patents canalsobecreated.

35. Otherfacilities • Reformating the applicant / inventornames • Giving a weigth to patents (the most important). This enabledifferentusers to retrieveeasely the most important patents thattheyselected. • Adding a comment to a patent • Accessing to the first page of a patent • Accessing to the full text of a patent • Viewing the patent family • Donwloading all the patent family • Viewing the world map of the countries concenrned by all the downloaded patents or by a particular patent (WO, EP) • Drawing the citation network (fromcited patents) for WO and EP and US • Automaticlinkwith Patent Scope and whenexportedlinkwith the EPO database

36. Patents, one of the best ways to detect the technologicaldependence PR = BRxxxxxxxpatent with a priority in Brazil (first patent granted in Brazil) PN = BRxxxxxxxxcanbe a patent with the PR=Brazil or a patent fromanother country priorityextended to Brazil. The comparisonbetween patents with a Brazilianpriority (most of the time fromBraziliancompanies), and the patents extended by other countries to Brazilallows the determination in varioussectors (IPC), of the Brazil liberty In thesevarioussectors. Example of a US patent extended to Brazil

37. Understanding the strategies, example USA and China PN=US - PR = US = 122 PN=CN - PR=CN = 139

38. China versus US in strategicdependence A B IPC4 common to both countries To understand: why A isdifferent of B ?

39. Variousmeta matrix dealingwith the strategicdependence Strategicdependence / titlewords Understanding the differences (matrix extract) Part of the strategic groups in strategicdependence

40. WhoisusingMatheo-Patent ? • Large companies, SMEs, Attorneys, consultants, academicsfrom about 39 countries. • ExampleThailand: systematic patent analysis for subjectslinked to their main clusters. • Material and method: • Thailand has specific clusters: Coconut, Rice production, etc. • For each of these clusters the patents dealingwith the subjects are downloaded • The local databasescreated are analyzedfollowing the samepathway: • Patent growth • Applicants • Inventors • IPC • Other data ….. • Selection of the key patents • Extrarctionfromthese patents of the materialuseful for the cluster • Selection of the patents not extended to Thailand and useful for the cluster • More isdone but not published

41. Thailand, Strategic Patent Analysis -Coconut 2005 เอกสารประกอบการเสวนาทางวิชาการเรื่อง การแปรรูปและการใช้ประโยชน์จากมะพร้าว 2 มิถุนายน 2548 การวิเคราะห์แนวโน้มเทคโนโลยีเกี่ยวกับมะพร้าว จากเอกสารสิทธิบัตร ได้ทำการสืบค้นข้อมูลสิทธิบัตรนานาชาติ จากสำนักสิทธิบัตรยุโรป ที่ http://ep.espacenet.comและสำนักสิทธิบัตรอเมริกา ที่ http://www.uspto.govด้วยระบบการสืบค้นและทำแผนที่เทคโนโลยี ด้วยโปรแกรม Matheo-Patent (http://www.matheo-software.com) พบว่า ตั้งแต่ปี 1905 ถึงปัจจุบัน มีสิทธิบัตรที่สัมพันธ์กับคำสืบค้น “Coconut” ในส่วนชื่อเรื่องของสิทธิบัตร (Title) จำนวน 532 เรื่อง มีผลการวิเคราะห์ข้อมูลสิทธิบัตร ดังนี้ Data from Internet - Blue an red data were indicated in English in he paper

42. การวิเคราะห์แนวโน้มการพัฒนาของเทคโนโลยี (Technology’s Growth Trend) ภาพแสดง แนวโน้มการพัฒนาของเทคโนโลยี (Technology’s Growth Trend) The same graph was made using the IPC instead of the dates

43. Thailand - Strategic Information (analysisperformedusingMatheo-Patent) Technical data issuedfrom Matheo-Patent and used for TechnicalCenters in Thailand

44. Selection of the Chinese patents (not extended)to be used in Thailand These patents with only Chinese Priority are not extended to Thailand

45. Chinese patents selected in Thailand Mapping for free extensive use แผนที่สิทธิบัตรผลิตภัณฑ์ข้าวและกรรมวิธี (Patent Map of Rice Product and Process) โดยหมวด A23L ซึ่งเกี่ยวกับ อาหาร ผลิตภัณฑ์อาหาร หรือ เครื่องดื่มที่ไม่มีแอลกอฮออล์ (FOODS, FOODSTUFFS, OR NON-ALCOHOLIC BEVERAGES) เป็นเทคโนโลยีที่มีแนวโน้มการประดิษฐ์มากที่สุด มี การประดิษฐ์มากถึง 1,625 เรื่อง จาก 2,787 เรื่อง เช่น หมายเลขสิทธิบัตร ชื่อที่แสดงถึงการประดิษฐ์ CN2642053Y MULTIFUNCTIONAL MACHINE FOR PROCESSING RICE-NOODLE CN1522594 ALPHA STARCH RICE PRODUCTION METHOD CN1522595 INSTANT RICE STICK PROCESSING METHOD CN1531860 SNACK FOOD RICE PRODUCT AND ITS PRODUCING METHOD CN1513353 NUTRITION ENRICHED RICE, AND ITS PROCESSING METHOD CN1511942 RED RICE MOULD MUTANT STRAIN AND ITS USE IN PREPARING FERMENTED PRODUCT WITH BLOOD PRESSURE REDUCING ACTIVITY CN1505973 COOKED RICE OF SPECIAL FLAVOR AND ITS COOKING PROCESS CN2607787Y RICE-FLOUR NOODLE PROCESSING PRODUCTION LINE CN1484991 RICE EMULSION DRINK PRODUCTION METHOD CN1484993 EDIBLE RICE TEA AND ITS PRODUCTION METHOD CN1470185 INSTANT RICE NOODLES AND ITS PRODUCTION METHOD

46. Conclusion Patents provide the information necessary to build up an incentive for companies and academics. The patent information maybeused to catalyze innovation The patent information maybeused to orientedresearch The patents provide a way to pre-clusterize groups of stakeholders Patent information maybe in the public domainunder certain conditions: if not extended, if from more than 20 yearsold … For thesereasons the use of patents must increaseswidely in SMEs, ResearchLabs and Education. APA must benow extensivelyused in Competitive Intelligence, Technology Watch, to detectopportunities, technologicaldependence, etc….

47. If the presentationisnice, but nothingisbetterthan to see a live demonstration

48. Thankyou for your attention douhenri@yahoo.frhttp://www.ciworldwide.org http://www.matheo-software.com