Nanotechnology intellectual property rights : research, design, and commercialization

276 Pages·2012·3.464 MB·English

by  Prabuddha Ganguli, Siddharth Jabade

Electrical Engineering
Ganguli
Jabade
Nanotechnology
Intellectual Property Rights
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Research, Design, and Commercialization
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Nanotechnology
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“…this invaluable and creative endeavor… will fill the present void of an authoritative reference t
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source in nanotechnology-related IPR. I am sure it will be used extensively as well by students,
research workers, entrepreneurs, business management specialists, lawyers, and policy c Intellectual Property Rights
makers involved in the field of nanotechnology.” h
n
—R. Chidambaram, Principal Scientific Adviser, Government of India
o Research, Design, and Commercialization
Nanotechnology Intellectual Property Rights: Research, Design, and Commercialization lo
offers an overview of the dynamics of development and commercialization in nanotech, where
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strategic integration of IP, R&D, and commercialization has become imperative. It demystifies
issues of intellectual property rights (IPR) associated with research, design, technology transfer, y
and commercialization of innovations in technology-led areas such as nanotech.
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Gives all stakeholders vital information to instill confidence by helping them better understand
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their individual roles in the IPR process
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Designed for a diverse readership that may not have background knowledge of the legal nuances l
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of IPR, this book clearly articulates techno-legal aspects of nano-related innovations to aid their
effective integration into businesses. This resource stands apart by using numerous case studies c
and pictorial illustrations, addressing aspects ranging from ideation to commercialization of IP- t
u
enabled nanotechnology. It illustrates the evolving patent landscape in nanotechnology, explores
the international patent classification system, and details patenting procedures in a range of a
jurisdictions, including search for nanotechnology prior art and creation of search strategies. l

P
The authors discuss patent-led nanotechnology businesses, presenting a wide range of
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case studies that address construction of valuable patent portfolios, growth of start-ups, and
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consolidation of IP-led nanobusinesses through mergers, acquisitions, joint ventures, strategic
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investments, etc. They also cover patent litigations in nanotechnologies and the significance of
strategically crafting agreements related to IP transactions. In addition, they address compliance e
with contractual obligations, the importance of well-drafted patent specifications, and sensitive r
aspects of conducting techno-legal due diligence prior to the development and marketing of t
products. Also covered are vulnerabilities in challenging/defending the validity of patents and y
negotiating settlements.
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Integrating use of the IPRinternalise® model for capacity building in human and infrastructural i
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resources, the authors assess the future of IP landscaping in nanotechnology. Here, they focus on
patentability, public perception of risks to health and ecosystems, institutionalized management h
of intellectual property rights, and the steps that will be necessary to meet these and other such t
challenges on the way to realizing profits in nanotech. s
K12576
Prabuddha Ganguli • Siddharth Jabade
ISBN 978-1-4398-5528-7
90000
9 781439 855287
www.crcpress.com
K12576_COVER_final_revised_2.indd 1 5/29/12 1:56 PM
Nanotechnology
Intellectual Property Rights
Research, Design, and Commercialization
Perspectives in Nanotechnology
Series Editor
Gabor L. Hornyak
Medical Nanotechnology and Nanomedicine
Harry F. Tibbals
Nanotechnology: The Business
Michael T. Burke
Nanotechnology: Ethics and Society
Deb Bennett-Woods
Nanotechnology Health and Environmental Risks
Jo Anne Shatkin
Nanotechnology: Legal Aspects
Patrick M. Boucher
Nanotechnology: The Future
Thomas J. Frey
Nanotechnology and Global Sustainability
Donald Maclurcan
Nanotechnology: Public Perception and Risk Communication
Susanna Hornig Priest
Nanotechnology Intellectual Property Rights: Research, Design, and Commercialization
Prabuddha Ganguli and Siddharth Jabade
Nanotechnology
Intellectual Property Rights
Research, Design, and Commercialization
Prabuddha Ganguli
Siddharth Jabade
CRC Press
Taylor & Francis Group
6000 Broken Sound Parkway NW, Suite 300
Boca Raton, FL 33487-2742
© 2012 by Taylor & Francis Group, LLC
CRC Press is an imprint of Taylor & Francis Group, an Informa business
No claim to original U.S. Government works
Version Date: 20120515
International Standard Book Number-13: 978-1-4398-5602-4 (eBook - PDF)
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Contents
List of Illustrations .................................................................................................ix
List of Tables ...........................................................................................................xi
Foreword ..............................................................................................................xiii
Preface .....................................................................................................................xv
Acknowledgments .............................................................................................xvii
About the Authors ..............................................................................................xix
1 How Big Is Small? ..........................................................................................1
1.1 Evolving Patents Landscape in Nanotechnology ...........................13
1.2 Trends in the United States ................................................................15
References .......................................................................................................21
2 Patents: A Background ................................................................................23
2.1 Patentable Subject Matter ...................................................................26
2.2 Novelty (New) .....................................................................................27
2.3 Inventive Step (Nonobviousness) .....................................................30
2.3.1 Invention to Be Considered as a Whole ..............................32
2.3.2 Europe .....................................................................................32
2.3.3 United States ...........................................................................34
2.3.4 United Kingdom ....................................................................35
2.3.5 Australia ..................................................................................36
2.3.6 Japan ........................................................................................37
2.3.7 India .........................................................................................37
2.4 Capable (Susceptible) of Industrial Application (Utility) ..............38
2.5 Anatomy of a Patent............................................................................39
2.5.1 Example 1 ................................................................................43
2.5.2 Example 2 ................................................................................44
2.5.3 Example 3 ................................................................................45
2.5.4 Example 4 ................................................................................46
2.5.5 Example 5 ................................................................................48
2.5.6 Example 6 ................................................................................49
2.5.7 Example 7 ................................................................................50
2.6 Patenting Systems: An Overview .....................................................51
2.7 The PCT Process ..................................................................................59
2.7.1 Advantages of PCT ................................................................64
References .......................................................................................................64
3 Looking for Nanotechnology Prior Art ....................................................67
3.1 International Patent Classification System ......................................68
3.1.1 European Patent Office (EPO) ..............................................68
3.1.2 United States Patent and Trademark Office (USPTO).......69
v
vi Contents
3.1.3 Japan Patent Office (JPO) Website ........................................70
3.2 Searching Other Sources for Nanotechnology Information.........72
3.3 Creating Search Strategies .................................................................73
3.3.1 Types of Patent Searches .......................................................73
3.4 Illustrative Example ............................................................................74
3.4.1 Search Strategies and Approaches ......................................75
3.4.1.1 Strategy and Approach of the Authors ...............75
3.4.1.2 Strategy and Approach by Sci-Edge
Information India SciFinder/STN/Chemical
Abstract Service (CAS) Representative in India ...81
References .......................................................................................................89
4 Patent-Led Nanotechnology Business: Perspectives .............................91
4.1 Integration of a Fragmented Patent Landscape ..............................95
4.2 Case Study 1: NanoInk, Inc. ...............................................................96
4.3 Case Study 2: Nanosphere, Inc. .........................................................96
4.4 Case Study 3: NVE Corporation .......................................................97
4.5 Case Study 4: Vista Therapeutics, Inc. .............................................99
4.6 Case Study 5: Applied Nanotech Holdings, Inc. ..........................100
4.7 Case Study 6: mPhase Technologies, Inc. ......................................109
4.8 Case Study 7: Bilcare Research, Pune, India .................................111
4.9 Case Study 8: HyCa Technologies Pvt Ltd., Mumbai, India .......113
4.10 Case Study 9: Consolidation through Sequential Merger
of Carbon Nanotechnologies, Inc. (CNI), Nanopolaris,
Unidym, and Nanoconduction, and Acquisition of Unidym
by Wisepower Co. Ltd. .....................................................................114
4.11 Case Study 10: Innovalight and DuPont Merger ..........................118
4.12 Invitrogen (Presently Life Technologies Corporation) ................120
4.13 Strategic Investing and the Role of Venture Capital ....................123
4.13.1 Case Study: Nanostart AG ..................................................123
4.14 Bonds ..................................................................................................124
4.14.1 MagForce AG ........................................................................125
4.14.2 BioMers Pte Ltd. ...................................................................125
4.14.3 Holmenkol AG .....................................................................126
4.14.4 ItN Nanovation AG ..............................................................126
4.14.5 Namos GmbH .......................................................................127
4.14.6 Lumiphore, Inc. ....................................................................128
4.14.7 Microlight Sensors Pte Ltd .................................................128
4.14.8 Membrane Instruments Technology Pte Ltd (MINT) ....128
4.14.9 Nanosys, Inc. .........................................................................129
References .....................................................................................................134
5 Patent Litigations in Nanotechnologies .................................................135
5.1 Nanosys, Inc. v. Nanoco Technologies and Sigma-Aldrich
Corporation ..........................................................................................136
Contents vii
5.2 DuPont Air Products NanoMaterials LLC v. Cabot
Microelectronics Corporation ..............................................................137
5.2.1 Court Proceedings ...............................................................141
5.3 Nano Proprietary, Inc. (NPI) v. Canon ...............................................142
5.3.1 The Issue................................................................................143
5.4 Elan Pharmaceuticals International Ltd. v. Abraxis
BioScience, Inc. ...............................................................................146
5.4.1 Jury Verdict ...........................................................................151
5.4.2 The Judgment .......................................................................151
5.4.3 The Final Settlement ............................................................151
5.5 Oxonica Energy Ltd. v. Neuftec Ltd. ...................................................152
5.5.1 The Issue................................................................................156
5.5.2 The Judgment .......................................................................156
5.5.3 Business Consequences of the Judgment .........................158
5.6 DSM v. 3D Systems ............................................................................158
5.7 Veeco Instruments v. Asylum Research ...............................................162
5.7.1 Postjudgment Proceedings .................................................165
5.8 Modumetal, Inc. v. Integran, Inc. ........................................................166
5.9 MTS Systems Corp. v. Hysitron, Inc. .................................................166
5.10 EV Group v. 3M ..................................................................................167
5.11 Tekmira v. Alnylam ..............................................................................169
5.12 Other Nano Patents Litigation Snippets ........................................173
Endnotes ........................................................................................................175
Appendices ...................................................................................................178
6 Interfacing with the Nanofuture .............................................................215
6.1 Uncertainties Looming over IP Portfolios .....................................220
6.2 Case Study: Oxonica Ltd. (formerly Oxonica plc) ........................222
6.3 United They Stand, Divided They Fall ..........................................225
6.3.1 Case Study: Dendrimers and Commercialization by
Starpharma Holdings Limited ...........................................228
6.3.2 Case Study: Nano Terra, Inc. ..............................................239
6.3.3 Case Study: Oxford Instruments plc .................................243
6.3.4 Case Study: Nanofibers—Xanofi .......................................244
6.3.5 Case Study: Infineon, Genus, UAlbany Center of
Excellence in Nanoelectronics ...........................................245
6.4 Lessons from the Case Studies .......................................................245
6.5 Nanotechnology Patentability Issues: Gray Areas .......................246
6.6 Institutional IPR Policy and Management ....................................248
6.7 IPRinternalise® ..................................................................................252
6.8 Nanotechnology: Sunrise of the Day After ...................................253
References .....................................................................................................253
Index .....................................................................................................................255
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List of Illustrations
Figure 1.1 Enterprise knowledge networking. ................................................2
Figure 1.2 Investment profile by governments in nanotechnology. ............3
Figure 1.3 Total worldwide nanotechnology publications ............................4
Figure 1.4 Number of publications in selected fields of nanotechnology. ....5
Figure 1.5 Dynamic nanovation. .......................................................................6
Figure 1.6 Emerging opportunities in nanotechnology. ................................8
Figure 1.7 Commercial nanogalaxy. ...............................................................11
Figure 1.8 Nanovation—IPR. ...........................................................................12
Figure 1.9 Patent applications in nanotechnology ........................................14
Figure 1.10 Major contributors to the global nanotechnology
patenting landscape convergence .......................................................................14
Figure 1.11 Patent filing trend .........................................................................15
Figure 1.12 Patent filing trend .........................................................................16
Figure 1.13a Nanotechnology patent filings by U.S. and foreign
applicants in the United States. ...........................................................................17
Figure 1.13b Comparison of nanotechnology patents by U.S. and
foreign applicants. .................................................................................................17
Figure 2.1 Benchmarks for patentability. .......................................................25
Figure 2.2 Novelty aspects. ..............................................................................27
Figure 2.3 Tests for inventive step. ..................................................................33
Figure 2.4 European patent system .................................................................57
Figure 2.5 Japanese patent system ..................................................................58
Figure 2.6 United Kingdom patent system ....................................................59
Figure 2.7 United States patent system...........................................................60
Figure 2.8 Indian patent system. .....................................................................61
Figure 2.9 PCT system. .....................................................................................62
Figure 3.1 Search tools for nanotechnology. ..................................................71
ix