PATENT DATA INTELLIGENCE
ACTIVITIES AND ANALYSES FOR R&D PLANNING
Prof. Giuseppe Scellato
Dr. Federico Caviggioli
Department of Management and Production Engineering
Politecnico di Torino
tel: +39 011 090 7270
[email protected]
[email protected]
OUTLINE
 Objectives of technology intelligence through
patent data-mining
 Methods and outcomes
 Examples
©FEDERICO CAVIGGIOLI 2017
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PATENT DATA INTELLIGENCE:
MAIN GOAL
Information:
• Technologies
(Patents and
more)
Complex
information
made
available
Elaboration:
• Analyses in
response to
question
Availability:
• Decision
makers
• Indexed data
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MAIN GOAL
Complex
info
• >100 m patents
• Additional
sources
• Publications
• DB of firms
• Web
intelligence
©FEDERICO CAVIGGIOLI 2017
Elaboration
Output –
easy to use
• Database (filters)
• Reporting
Strategies
•
•
•
•
•
R&D
Competitors
Collaborations
Markets
Access to finance
• EU funding
4
OBJECTIVES: PRODUCING DIFFERENTIATED
OUTPUTS FOR DIFFERENT USERS
Top management
CTOs
• Overview on long-run technological trends
• Integrate market-based analyses on competitors
strategies
• Relative strengths across the company R&D portfolio
• Support to decision making on prioritization
• Evaluation of potential collaboration
IPR managers
•
•
•
•
Ex-ante freedom to operate
IP filing and renewal approaches
Insights on licensing in/out opportunities
Conveying information through the company
Researchers and
field experts
•
•
•
•
Awareness on specific innovation trends
Identification of knowledge sources
Limit the risk of duplication of research effort
Report on the impact of the technology
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PATENT DATA
• Who [name game]
• Assignee
• Inventors
• What
• IPC / CPC codes
• Text fields (keywords): Title, Abstract,
Claims, Description…
• Citation Network
• When
• Dates (filing, publication, priority)
• Where
• Destination
• Origin
• Additional Data:
• Citations (forward)
• Patent family (IDs)
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MAIN ISSUES ADDRESSED THROUGH PATENT
DATA-MINING
 Outward-looking:
 Understanding on-going innovation trends
 Identifying patent filing and management strategies of competitors
 Searching for alternative/complementary technical solutions
 Sorting out potential collaborators and licensee/licensors
 Inward looking:
 Positioning the owned patent portfolio (or the R&D capabilities)
 Screening the company patent portfolio with rating-ranking approaches
 Units of analysis:
 A pool of competing companies/research centres
 A specific technology/technological domain
 A class of products/manufacturing process/a specific business solution or
technical issue
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METHODOLOGY
Objective
Output
• DB
• Report
©FEDERICO CAVIGGIOLI 2017
Input
Definition of
perimeter
Role of experts
Analysis
8
Input
Objective
OBJECTIVES
Output
• DB
• Report
• Definitions
• Interact with
experts
Perimeter
Analysis
1. Technology / Industry landscape
2. State of the art / Generation of a Knowledge Base
3. Potentialities of an invention
4. Find solutions to a technical problem
5. Competitive intelligence / Monitoring of
competitors
6. Qualitative Evaluation of a portfolio / single
patents
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Objective
PERIMETER OF THE ANALYSES
Patents
100 mln
• DB
• Report
Perimeter
Analysis
….
2010
2000
1990
Patentees
(Companies,
Universities,
Individuals…)
Output
Input
Definition of
perimeter
Technology
(Domain – Specific)
 Input:
 A pool of competing companies
 A specific technology/technological domain
 A class of products/ manufacturing process/ a specific business
solution or technical issue
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Objective
PERIMETER OF THE ANALYSES
Patentees
Selected
(Companies,
competitors
Universities,
Individuals…)
Output
• DB
• Report
Input
Definition of
perimeter
Perimeter
Analysis
Patents in the
selected
Patents owned
by competitors
technoloy
(IPC / Keywords)
Patents
100 mln
Selected
Technology
technology
(Domain
– Specific)
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Objective
PERIMETER OF THE ANALYSES
Selected
competitors
Output
• DB
• Report
Input
Definition of
perimeter
Perimeter
Analysis
Examined
patents
Patents
100 mln
Selected
Technology
technology
(Domain
– Specific)
 Focused domain
 Reduced complexity
 Combination of searches to identify whole companies,
relevant units in conglomerates, whole technology space to
look for unknown players
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Objective
CREATION OF CLUSTERS
(CPC/IPC + KEYWORDS)
Area
(Macrocluster)
Vehicles.
Equipment
Fields
(Clusters)
CPC / IPC codes
Output
CPC / IPC codes in combination
with keywords
B61K
Auxiliary equipment for
B60N
railways
Type2
B61D
Body details
Locomotive
Wheel
and structural
parts
Coupling
Brakes
Ventilation
and Cooling
Example:
RAIL INDUSTRY
©FEDERICO CAVIGGIOLI 2017
Analysis
• DB
• Report
Type1
Locomotive B61C
Input
Definition of
perimeter
Keywords
vehicle passenger
accommodation
List of Keywords searched
in Title Abstract Claims…
vehicle brake control
systems
Keywords
Locomotives; motor
railcars
B60B 17/00 Wheels
B61G
Couplings
B61H
Brakes
E21F 19/12
B60T
safety devices, transport,
•E21FCreation
of CLUSTERS based on IPC/CPC +
filling-up, …
keywords
• Representing:
• Products or Processes
• Firm units
• Several layers: es. MacroCluster - Clusters
13
EXAMPLE: GENERATION OF A
KNOWLEDGE BASE TO REDUCE
COMPLEXITY
Objective
Output
• DB
• Report
Input
Definition of
perimeter
Analysis
 The examined technological domain is tagged by using IPC codes and keywords
searched through patent text fields (abstract, claims and / or description of the
invention)
 The cluster structure makes easier to drill patent data by including / excluding
the desired characteristics of the inventions
 Patents are hyperlinked to public databases where the full information set is
available
US8184288B2
US8184284B2
US8179525B2
US8174695B2
US8169609B2
US8169608B2
US8169607B2
US8164747B2
US8159667B2
US8159665B2
US8159664B2
US8120773B2
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CAVIGGIOLI 2017
US8154731B2
sw4
sw3
sw2
stopwords
sw1
kw2.3
kw2.2
kw2.1
kw1.6
macro class 2
kw1.5
kw1.4
kw1.3
kw1.2
Publication
Number
kw1.1
macro class 1
Title (English) Abstract (English)
Assignee Standardized
Inventor
Method of depositing
An advance
a silicon-containing
processMACRONIX
control
material
(APC)
INTsystem
by
CO
Luoh,
utilizing
LTDfor
Tuung
aaplasma
multi-step
| Hsieh,
process
Sheng-Hui
fill-inmachine
process
|L
Laser-processedApparatus
substrate for
for molecular
use inEBSTEIN
performing
diagnostics
STEVEN
a diagnostic
M
Ebstein, Steven
assay ofM.an analyte, the ap
Mirror mountedThe
inside
present
filter invention
block ofJAWAHARIAL
a relates
fluorescence
to spectroscopy,
NEHRU
microscope
Narayana,
CT FOR
more
Chandrabhas
to
ADVANCED
perform
particularly
SERS
SCIENT
| Kumar,
relates
andRES
mG
Arrayed micro-ring
A spectrometer
spectrometersystem
system
NASA
includes
and method
an array
Choi,
of use
ofSang
micro-zone
H. | Park,plates
Yeonjoon
(MZP)| ea
Kin
System and method
An optical
for improving
system with
performance
RAYTHEON
a tilted window.
CO
of optical
Stenton,
The
systems
novel
Conrad
optical
with
| Desroches,
tilted
system
windows
include
Gera
Optical characteristic
An optical
measurement
characteristic
OTSUKA
device
measurement
and
DENSHI
optical
KK
Sano,
characteristic
device
Hiroyuki
includes
|measurement
Okawauchi,
a photodetector
Mako
meth
Optical characteristic
A processing
measurement
unit obtains
OTSUKA
deviceaand
first
DENSHI
optical
spectrum
KK
Sano,
characteristic
detected
Hiroyuki in
|measurement
Okawauchi,
a first detection
Mako
meth
a
Apparatus, system
A system
and method
and method
for optical
ASD
forINC
optical
spectroscopic
spectroscopic
Goetz,
measurements
Alexander
measurements
F. H. | Feldman,
is describ
L
Tera- and gigahertz
A high
solid
speed
stateminiature
miniature
TERASENSE
teraspectrometer
and
GROUP
gigahertz
Kukushkin,
INC electromagnetic
Igor | Muravev,
radiation
Viaches
on
Apparatus and methods
An improved
for fluorescence
apparatus
BWTand
PROPERTY
subtraction
methodINC
Wang,
for
in Raman
fluorescence
Seanspectroscopy
Xiaolusubtraction
| Li, Qun in Ram
Apparatus for depth-selective
Apparatus andRaman
methods
STFC
spectroscopy
for
SCIENCE
detecting
& TECHNOLOGY
Matousek,
Raman spectral
Pavel |features
Parker, Anthony
non des
Method and device
A spectroscopic
for cavity enhanced
analysis
MAXoptical
of
PLANCK
a sample
vernier
GESELLSHAFT
Gohle,
includes
spectroscopy
Christoph
arranging
ZUR FOERDERUNG
| Schliesser,
the sampleDER
Alber
in aW
14
Method and a system
The present
for theinvention
assessment
CHEMOMETEC
offers
of samples
an alternative
ASArnvidarson,
strategy
Börkur
for the
| Larsen,
correlation
Hanso
Objective
EG. HYPERSPECTRAL CAMERA
Input
Definition of
perimeter
Output
• DB
• Report
Analysis
 Searching for Alternative / Complementary technologies:
Example - “hyperspectral camera”
spectroscopy subsample
+ «drilling»
(490)
+ «pollution» (50)
- «medical» (46)
46 patents
©FEDERICO CAVIGGIOLI 2017
• (#) = number of
patents
• Selection of «pollution» related
docs
• Exclusion of «medical» field
related docs
• 16 inventions
• Main owners: «oil» firms
15
TECHNOLOGY / INDUSTRY
LANDSCAPE: STRATEGIES
Objective
Input
Definition of
perimeter
Output
• DB
• Report
Analysis
 The analysis identifies:
Who
What
Where & When
• Main players
• Evolution
• Specificities
• Countries
• Timing and Trend
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UNDERSTANDING THE INNOVATION
TRENDS
Objective
Input
Definition of
perimeter
Output
• DB
• Report
Analysis
 patent families as unit of analysis  inventions
 Trends in the number of patent applications by
geographical area (origin and market)
 Creation of alternative classification of tech
 Analysis of subfields (IPC based/clustering based analyses)
 Analysis of typologies of inventive activity (e.g. product/process
patents)
 Identification of IP share of main competitors and of
newcomers
 Analysis of “patent density” in the technology space (through
IP mapping)
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Objective
ES. GEOGRAPHY AND TRENDS
Output
• DB
• Report
Input
Definition of
perimeter
Analysis
Destination market
Origin of
inventions
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Objective
ES. TECH SUB-FIELDS
Output
• DB
• Report
Input
Definition of
perimeter
Analysis
IPC
Trend
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Objective
COMPETITORS
Input
Definition of
perimeter
Output
• DB
• Report
Analysis
 Highlight research centres and universities
Top 10 Innovators
Rank Company
1 QUALCOMM
2 NOKIA
3 ERICSSON
4 NOKIA SIEMENS NETWORKS
5 NTT DoCoMo Inc
6 HUAWEI
7 ZTE CORP
8 SAMSUNG ELECTRONICS CO LTD
9 ALCATEL LUCENT
10 INTERDIGITAL GROUP
©FEDERICO
11 NECCAVIGGIOLI
CORP 2017
Count of FamID Perc
Cum Perc
469
14,7%
15%
466
14,6%
29%
461
14,5%
44%
191
6,0%
50%
160
5,0%
55%
157
4,9%
60%
152
4,8%
64%
138
4,3%
69%
89
2,8%
72%
85
2,7%
74%
20
72
2,3%
77%
Objective
EXAMPLE: ANALYSIS OF THE RAIL
INDUSTRY
 Identification of the main
competitors
 Selection of the
inventions (patent
families) covering the
examined technology
(IPC + keywords stopwords)
C om pany
Input
Definition of
perimeter
Output
Analysis
• DB
• Report
P atents
F am ID
S ie m e ns AG
152,000
Hita c hi Ltd
331,147
Mits ub is hi
216,158
C S R C orp .
3,778
G e ne ra l E le c tric
96,359
B om b a rd ie r
3,304
Als tom
19,114
R ote m
1,208
Ka wa s a ki He a vy Ind .
9,874
Nip p on S ha ryo S e iz o KK
2,041
Ans a ld o S TS
286
Ta lg o
166
15,543
22,598
21,367
2,939
13,077
804
4,471
960
4,931
1,356
89
33
Rail C ore % on tot
F am ID portfolio
2,226
14%
1,942
9%
1,343
6%
995
34%
738
6%
634
79%
492
11%
461
48%
443
9%
426
31%
86
97%
29
88%
 Trend charts until last data available
 [non-disclosure window]
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EXAMPLE: ANALYSIS OF THE RAIL
INDUSTRY
Objective
Input
Definition of
perimeter
Output
• DB
• Report
Analysis
 Portfolio
composition
 Firm level
evolution of
specialisation
Mitsubishi
©FEDERICO CAVIGGIOLI 2017
Siemens
Bombardier
22
ORIGINE
TREND
COMPANY 1
DIMENSIONE
2 671
Invenzioni
Growth
MEDIA ESTENSIONI
3.48
Giurisdiz.
100%
90%
80%
70%
60%
50%
40%
30%
20%
10%
0%
Other
IT
WO
FR
GB
AU
KR
DE
EP
AT
95 00
01 05
06 10
11 15
US
11 15
Other
MX
JP
TW
ES
RU
BR
AU
DE
CA
KR
CN
AT
WO
US
EP
DESTINAZIONI
100%
90%
80%
70%
60%
50%
40%
30%
20%
10%
0%
95 00
01 05
06 10
23
Objective
OBSOLESCENCE
Output
• DB
• Report
More than 10 years
From 5 to 10 years
From 2 to 5 years
Up to 2 years (>=2013)
SIKORSKY
94
EUROCOPTER
175
BOEING
135
BELL HELIC .
86
303
305
124
20%
32
356
164
60%
Recent portfolio
57
68
30
40%
Analysis
61
172
26
0%
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70
AGUSTAWESTLAND
Input
Definition of
perimeter
Recent portfolio
6
80%
Old portfolio
100%
24
STEP BY STEP…
1) Identification of the perimeter
2) Generation of database (excel, access, sql...)
3) Analyses
1)
Trend
2)
Geography (origin – market)
3)
Subfields (evolution)
4)
Companies
5)
Citation Tree of your patent
6)
Key patents
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IPC A : #
IPC B : #
IPC …
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Objective
6. QUALITATIVE EVALUATION
Input
Definition of
perimeter
Output
• DB
• Report
Analysis
 Bibliometrics
 Benchmark:
 Relative score
 Qualitative
 Rating-ranking approach
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RATING-RANKING OF PATENT
PORTFOLIOS: EVALUATION
Objective
Input
Definition of
perimeter
Output
• DB
• Report
Analysis
 The recognizable technological factors of a patent family can
be derived by analyzing the following “public” indicators,
that are referred to as external value indicators:
 Legal Robustness and Coverage
 Technological relevance of the patent
 “not-public” elements that reflect strategic values assigned
by the patent owner and deriving from marketing data
where the patent is (or will be) activated/used. They are
referred to as strategic value indicators:
 Strategic internal relevance of the patent
 Strategic external relevance of the patent
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RATING-RANKING OF PATENT PORTFOLIOS:
EVALUATION - EXAMPLE
INDICATOR
DESCRIPTION
1
grant status
number of granted patents in the family
family size
presence of family members from specific patent offices
residual life
remaining time until the expiration date
opposition survival
survival to litigation and opposition procedures
number of inventors
numbers of inventors for each patent
number of FW citations
number of citations received over time
number of BW patent citations
number of references to previous patents
number of claims
proxy for the patent scope of the patent family
number of 4-digit IPC codes
proxy for the technological scope of the patent family
Value of Product Business Plans
5-years orders level in associated BPs
R&D expenditure intensity
5-years investments level in associated products/systems
Impact on Capability
Patent as a fundamental asset or embryonic idea
Patent Landscape: Growth
Trend of the identified technology fields
Patent Landscape: Concentration
Combined share of the Top 4 patent holders (C4)
Patent Landscape: Competitors
Core competitors among the main patent holders
6
7
8
10
11
12
13
14
15
16
17
18
Techn.
relevance
5
Strategic
internal
relev.
4
Strategic
external
relev.
3
Legal Robustness
and Coverage
#
…
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LANDSCAPE: EXAMPLE
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OBJECTIVES AND INPUT DATA
 Provide information on the patent technological
environment around the candidate patents in terms
of:
 Inventive trend and Geographical scope
 Key players
 Other relevant patents
 Information are translated into qualitative scores
 Candidate patents competing for the best of the
year
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Wing arrangement and method for increasing the lift of aerodynamic surfaces
B64C 21/02: Influencing air-flow over aircraft surfaces by affecting boundary-layer flow by use of slot,
ducts, porous areas, or the like
Searched IPC codes
Keywords
WING and JET and FLAP and (LIFT or DRAG)
444
Total Families
173
CAGR (2005-2012)
-2,9%
AU
2%
JP
2%
GB
4%
OTHERS
10%
US
18%
EP
16%
CA
6%
40
RU
6%
35
30
DE
8%
25
GEOGRAPHICAL SCOPE
Total Patents
CN
13%
WO
15%
20
15
10
WORLD MAP
5
0
2005
2006
2007
combined
2008
2009
2010
keywords
2011
2012
ipc
INVENTIVE TREND
Yearly Patent Families
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Wing arrangement and method for increasing the lift of aerodynamic surfaces
Total Patents
444
Total Families
173
Companies
Largest Patent holders
Count of
Families
AIRBUS
33
BOEING
11
UNIV BEIHANG
7
DEUT. ZENTR. LUFT & RAUMF.
6
FRONTIER WIND
3
ALENIA AERMACCHI
3
UNIV NORTHWEST. POLYTEC.
3
AIRCELLE
2
SNECMA
2
EADS
2
UNIV RAMOT
2
Other relevant Competitors
BAE SYSTEMS
1
EMBRAER AERONAUTICA
1
KAWASAKI HEAVY IND
1
LOCKHEED CORP
1
NORTHROP GRUMMAN CORP
1
©FEDERICO
CAVIGGIOLI
SIKORSKY
AIRCRAFT
CORP2017
1
MOST RELEVANT PATENTS
Patent
code
Title
Assignee
Priority FWD
Year CITES
US
20080061192
Method and apparatus for mitigating trailing
vortex wakes of lifting or thrust generating
bodies
Sullivan
Steven
2006
40
US
20070034746
System for aerodynamic flows and associated
method
BOEING
2005
32
US
20110266809
Gyroglider power-generation, control apparatus
and method
Calverley
Grant
2009
17
US
20120227389
Reciprocating machine & other devices
Hinderks
MV
2008
12
WO
2007007108
N element for generating a fluid dynamic force
UNIV CITY
2005
12
US
20090121083
Nacelle Flow Assembly
UTC
2007
10
Notes:
• AIRBUS owns 15% of the identified families
• Some of the most relevant patents belong to Individuals
• Non-neglibible presence of universities and research
centres
33
SOURCES
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ACCESS TO DATA
 Google Patents : https://patents.google.com/
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ACCESS TO DATA
 ESPACENET : https://worldwide.espacenet.com/
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ACCESS TO DATA
 Patent Inspiration : https://app.patentinspiration.com
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«Touch screen» in Title or abstract
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