Phone: + 91-9711546163

Email: ruchicagoyal@gmail.com

Ruchica Kumar

Ruchica Kumar

Intellectual Asset Management

Ideas are fruits of human endeavor that are cultivated through an innately

human process called innovation. Granting legal protection to these fruits of

innovation is jurisprudence of Intellectual Property System. While, we have

systems in place for providing these protections, we have constant need of

robust systems that can effectively and efficiently sieve through an infinite

innovation forest and pick best ideas for providing protection. Discussed

herein is a well-researched method for innovation inspection and screening.

This document presents an example from your organization as we feel that

inventors and investors are most close to their technology and can understand

new concepts with respect their technology better. We hope it is worth your

time to go through this document. We would welcome any queries in this re-

gard.

ASML—Technology Spill-over

and Citation Analysis Report

In the highly competitive world of knowledge driven economization, innovation is the key to success.

In order to supply state of the art solutions on a systems level, new technologies must be continually

mastered, even before they are required in final products. The components that result from this drive

are also products in their own right and can be used as building blocks by other system suppliers. This

concept of technology stacking often disturbs the precarious balance between innovation, development,

and commercial advantages. Often, building blocks required for product development may not be end

products for any industry but nevertheless important for overall development and success of certain

products. Often, a technology can involve more than a few of such building blocks thereby leading to

questions like commercial viability and cost benefit ratios. Often, a technology can have cross industry

applications and developers might be so focused on current need of the invention, that rest of the po-

tential can go largely ignored. All these scenarios lead to less than optimal commercialization.

Hence, there is a need for a holistic innovation map and spillover analysis before pursuing patent pro-

tection for any technology or product/process idea. This concept would also be equally applicable for

early stage technologies and cases where commercialization needs to be done based on prototypes.

The innovation index is designed to provide up-to-date information about progress in a specific tech-

nical field.

For a client who is contemplating entry into a particular field, the results of an innovation map and spill-

over analysis results may approve or disapprove the advisability of such a decision. For a client current-

ly active in a particular field, the innovation map and spill-over analysis results can lay out the path that

must be followed for optimal commercialization.

When faced with a technical problem, there is no better way of determining what solutions already exist

than by looking at patents. A State of the Art Search allows a client to learn what technology already

exists, how such a technology came about and then to build on it. An innovation map and spill-over

analysis will also allow a company to spot new competitors and to identify new technological

trends.

Also, the innovation map and spill-over analysis can go a long way in identifying potential out-licensing

opportunities for a given patent portfolio.

A theoretical example from radar electronics detailing need and importance of spill-over analysis and cross industry innovation analysis

A modern radar system utilizes an extraordinarily wide range of technologies. Robust mechanical struc-

tures are needed to house and protect the system and sophisticated management of shock, vibration

and other environmental factors is required. High precision electro-mechanical systems requiring a mar-

riage of mechanical, electrical and power electronic subsystems point and stabilize the antenna. The

antenna itself and the microwave and RF electronics that form the heart of the system require sophisti-

cated design techniques. The signal processors that extract information from the received signals are

reliant on the latest digital technologies to attain the high processing speeds required to meet ever-

increasing client requirements. Therefore, it is very much apparent that radar technology is an amal-

gamation of various technologies and heavily relies upon electromechanical systems and micro-

electromechanical systems. This observation makes any innovation study related to this technical do-

main not only an amalgamation of different technical domains like electrical, electronics, and mechani-

cal sciences, but also an amalgamation of many interdisciplinary fields like material sciences, nanotech-

nology, micro technology and bioelectronics.

Significance of Innovation Screening

Report Methodology and Index

The report presented herein, would be focused on nanotechnology portfolio of ASML. Data col-

lected for this research and analysis is obtained from public domain and analytical tools and

techniques employed by author have been developed by author through years of learning and

experimentation.

Purpose of this report is to present to you a glimpse of what a detailed innovation mapping

study can do for your organization’s licensing opportunities.

This reports includes following sections:

Search Strings used and search strategy used

Bibliographic analysis of patent portfolio under consideration

Technical field

Application year

3. Backward citation analysis of patent portfolio under consideration

Technical field

Application year

Assignee

Forward Citation analysis of patent portfolio under consideration

Technical field

Application year

Assignee

Code shift analysis in form of multiple generation forward citation analysis of patent portfo-

lio under consideration

Technical field

Assignee

Since, this is a study undertaken out of academic interest of author, therefore, technical taxon-

omies and problems every invention aims at solving are not taken as parameters for mapping.

A reader such as yourself, who has spent many years working with technologies would be able

to appreciate importance of such an exercise in licensing studies.

Forward Citation and code shift analysis provide a flow to the technology and when they are

restricted by number of years, they are converted into a potential gold mine of information as

to were a technology can be headed in a couple of years and one can consider planning ahead.

Such studies also lend credibility to a technology, in front of potential licensees. If you are

planning to buy or sell a portfolio, then a spill over study would go a long way in providing new

insights to your perspective.

If you are involved in planning research directions for your organization or are planning to raise

or invest funds in technology, then detailed spill over maps including taxonomy and problem

indexing provide assistance in terms of opportunities in a plethora of applications and also at

the same time, warm us about threats. In other words, both carrot licensing and stick licensing

approaches benefit from such studies.

Following pages of this report will now include a glimpse of knowledge spillover analysis and

innovation mapping.

Search Strings used

1. Assignee=("ALMS" OR "CYMER") AND Claim, title, Abstract =(nano*).

2. Backward citations of string 1

3. Forward Citations of string 2 restricted by application year = (2004-2014)

4. Forward Citations of string 1

5. Forward Citations of string 4

6. Backward Citations of string 4 restricted by application year = (2004-2014)

Some analytical visualizations are presented herein for your reference regarding results.

String 1 Analytics—Chart Depicting Technical Field Vs Application year mapped for Backward Citations Number.

1994

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In this chart, each of the hill top corresponds to a number of backward citations for

that particular year and technical field. For a commissioned business project we map

this for taxonomy on x-Axis and applications on Y axis, thereby providing a indicator

about which technology has lot of precedents and which technology is relatively new.

It would help determine the state of technology, size of market, probability of validi-

ty, alternative ways to solve problem, and the like.

However, without a through assignee and technical filed analysis of said backward

citations, one might get less effective results. The same is provided below.

String 2 Analysis—Backward Citations for Mains String 1

CPC Vs

Assignee

CPC Vs

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Year

Application

Year Vs.

Assignee

This chart presents summarises backward Citation activity for patent port-

folio under consideration. Author choose to study citation activity till 1995

for maintain credibility of the technology flow.

This diagram presents an easily comprehensible view of what a particular competitor or corporation had been doing

in which technical domain in which year.

In this case also, value derived can be increased many fold if instead of patent classification codes, one uses , ones

own technology breakdown structure.

String 3 Analysis—Forward Citations of Backward Citations for Mains String 1

0 5 10 15 20 25

Active Optical Networks Inc.,Fremont,CA,US

ASML Masktools B.V.,Veldhoven,NL

CAMPUS CREATE CO LTD

FUJITSU LIMITED

IDC LLC,San Francisco,CA,US

LEICA MICROSYSTEMS SEMICONDUCTOR GMBH,Wetzlar,DE

NEC ELECTRONICS CORP

PRIME VIEW INTERNATIONAL CO. LTD.

Synopsys Inc.,Mountain View,CA,US

TOKYO ELECTRON LIMITED,JP

Varian Medical Systems Technologies Inc.,Palo Alto,CA,US

CANNON KABUSHIKI KAISHA,Tokyo,JP

FUJI PHOTO FILM CO LTD

JSR CORP

MATSUSHITA ELECTRIC IND CO LTD

SAMSUNG ELECTRONICS CO. LTD.

AGELLIS GROUP AB,LUND,SE

Carl Zeiss SMT AG,73447 Oberkochen,DE,07600450

Lam Research Corp.,Fremont,CA,US

NIKON CORPORATION,TOKYO,JP

UNIDYM INC.,Pasadena,CA,US

Carl Zeiss SMT AG,Oberkochen,DE

MOLECULAR IMPRINTS INC.,Austin,TX,US

ASML NETHERLANDS B.V.,Veldhoven,NL

FREESCALE SEMICONDUCTOR INC.,US

TOSHIBA MACH CO LTD

ASML NETHERLANDS B.V.,NL

GIGAPHOTON INC.,Tokyo,JP2

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H01J0049

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This chart presents summarises Lateral Citation activity for patent portfolio under consideration. Au-

thor choose to study citation activity from 2004-2014 for maintain credibility of the technology flow.

Also, main portfolio under consideration has been developed during this period.

This diagram presents an easily comprehensible view of what a particular competitor or

corporation had been doing in which technical domain in which year.

In this case also, value derived can be increased many fold if instead of patent classifica-

tion codes, one uses , ones own technology breakdown structure.

Also, such studies are useful in determining radical innovations, radical innovators, fol-

low—on innovations and follow—on innovators.

The nest step after identification of such innovations and innovators would be to deduct

vertical and horizontal externalities or spill overs.

Next Section of report would deal with forward citations of main string for 2 generations,

and backward citations of first generation forward citations

String 4 Analysis—Forward Citations Mains String 1

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Forward Citations are direct indicator of technology flow. Studying the same would

provide any decision maker, investor, and inventor with useful insight about which

way technology is flowing.

We all know that Intellectual Property acts as a conduit for infusion and diffusion of

technology horizontally across various technical sectors and vertically within the

same technical sector. Today, even diametrically opposite technical domains find

some use same technology. Also, with advent of inter-disciplinary fields like biotech-

nology, nanotechnology, medical devices and the like, it has become impossible to

segregate technical applications of a single technology for only one technical sector.

Assignee Vs. Technical Field—Explained on next page

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Assignee Vs. Application Year

High peaks in above diagram depict assignees that have a connection to

ASML technology portfolio. These assignees can prove to be valuable part-

ners or potential infringers. Either case, one needs to know who has been

using our technology to develop their own.

Previous chart depicting Assignee With respect to technical field signifies

technology flow into that particular technical field.

When technical fields are similar to ones of original portfolio, then one

comes across a phenomena termed as VERTICAL SPILLOVERS OR VERTICAL

KNOWLEDGE EXTERNALITY. These are direct indicators of technology com-

ponents of our technology being used by competitors for further develop-

ment

When technical fields are different and seem unrelated, to ones of original

portfolio, then one comes across a phenomena termed as HORIZONTAL

SPILLOVERS OR HORIZONTAL KNOWLEDGE EXTERNALITY. These are direct

indicators of cross—industry innovation potential of a technology and pre-

sents lot of out-licensing opportunities.

String 5 Analysis—Forward Citations (second generation)

This are biggest indicator of Cross—industry innovation potential, because they would include technology that would be sufficiently similar to our portfolio, yet in different technical do-

main.

0 5 10 15 20 25 30

NIPPON KOGAKU KKNIPPON KOGAKU KK

SEMICONDUCTOR ENERGY LABMATSUSHITA SEIKI CO LTD

COHERENT INCSHIBUYA KOGYO CO LTD

LEACH TIMOTHY THORUNIV ZAGREB

LOCKHEED CORPBLACKBERRY LTD

HITACHI LTDUNIV PENNSYLVANIA

UNIV NEW YORK STATE RES FOUNDVARIAN SEMICONDUCTOR EQUIPMENT

GUDENG PREC INDUSTRAL CO LTDITT MFG ENTERPRISES INC

SONY ERICSSON MOBILE COMM ABRAYTHEON CO

BAE SYSTEMS PLC

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COHERENT INC

BOEING CO

CASIO COMPUTER CO LTD

SEMICONDUCTOR ENERGY LAB

MATSUSHITA ELECTRIC IND CO LTD

METROSOL INC

BLACKBERRY LTD

NIPPON KOGAKU KK

ASML NETHERLANDS BV

NEWPORT CORP

VARIAN SEMICONDUCTOR EQUIPMENT

ASML NETHERLANDS BV

NIPPON KOGAKU KK

MIRAIAL CO LTD

3M INNOVATIVE PROPERTIES CO

SEMICONDUCTOR ENERGY LAB

GUDENG PREC IND CO LTD

LG DISPLAY CO LTD

COHERENT GMBH

SAMSUNG ELECTRONICS CO LTD

EASTMAN KODAK CO

IPG MICROSYSTEMS LLC

ELECTION ADMINISTRATORS LLC

ENTEGRIS INC

3M INNOVATIVE PROPERTIES CO

HITACHI HIGH TECH CORP

SHIBUYA KOGYO CO LTD

SEAGATE TECHNOLOGY LLC

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This is assignee vs. Application year vs. technical field chart for second genera-

tion forward citations for patent portfolio of interest.

It show some interesting assignees like Blackberry, Miraial Co, Boeing, Hitachi

and some others. These have not been present in backward citations, lateral

citations and first generation of forward citations. All these 3 generations usu-

ally contain similar technology and technology players. However, technology

landscape starts changing after 2 generations.

In this era of knowledge based economization, it is of utmost importance that

commercialization potential of every patent portfolio should be realized and

worked upon. It is for this reason that we have developed state of art tools

and methods like one presented above for effecting such analysis in a time ef-

ficient and cost effective manner while yielding excellent results.

Last section of this report will now present backward citations of these second

generation forward citations restricted from 2004-2014. This set of results

should provide insight into cross industry innovation potential of an organiza-

tion, since backward citations of second generation forward citations, restricted

by time should hint at latest technical developments that have been used into

their development. Thus, paving a concrete laden way for cross –industry po-

tential evaluation of a technology or technical portfolio. An example, of such an

analysis is presented below.

String 6 Analysis—Backward citations of Second Generation Forward Citations (second generation)

This chart would provide basis for both vertical and horizontal spill-overs. Just by varying assign-

ees and selecting competitors, we would be able to study technology development vertically. By

selecting technical areas, different from our own, we can find out horizontal or cross –industry

prospects.

In, this document, we have presented an approach to efficiently generate effec-tive intelligence on emerging technologies. This approach draws on monitoring, technical indexing and bibliometrics to mine the wealth of information available in major public electronic databases. The approach uses new software to expedite secondary analyses of database searches on topics of interest. We illustrate the range of information profiles possible by examining research and development (R&D) publications and patents pertaining to emerging technologies.

I keep track of latest research in informatics sector and keep updating my tech-niques used for quick services like patent searching. This has enabled us to re-duce cost and time required for patent searching and allowed us a leverage of of-fering top quality services at low budgets to our clients.

This page will illustrate various products and services that would cater to your patent analysis and prosecution needs.

The author hopes that information and examples provided in this document will entice reader towards a detailed discus-

sion for understanding how best can these approaches be used to add value to intellectual asset management.

By considering above approaches, one can add some value to ones opinions before investing in a portfolio, or capitaliz-

ing a portfolio.

I hope to hear from you soon with some your valuable feedback.

Disclaimer:

This report was not prepared as an account of work sponsored by any agency. Neither the author nor any agency

thereof, nor any of their employees, nor any of their contractors, subcontractors or their employees, makes any war-

ranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness, or any third

party's use or the results of such use of any information, apparatus, product, or process disclosed, or represents that

its use would not infringe privately owned rights. Reference herein to any specific commercial product, process, or

service by trade name, trademark, manufacturer, or otherwise, does not necessarily constitute or imply its endorse-

ment, recommendation, or favoring by the author or any agency thereof or its contractors or subcontractors. The views

and opinions of author expressed herein do not necessarily state or reflect any factual or strategic inference. This re-

port is for reference and illustration purpose only and should not be used for commercial purposes.