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United States Patent and Trademark Office

Nanotechnology-Related Issues at 

the United States Patent and 

Trademark Office

Bruce Kisliuk, USPTO

Assistant Deputy Commissioner for Patent Operations

571-272-0700

Bruce.Kisliuk@uspto.gov 

Nanotechnology Partnership Forum

NIST, Gaithersburg, MD

September 13, 2010
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Patent Examining Organization

9 Technology Centers (TCs)

TC 1600 -Biotechnology & Organic Chemistry

TC 1700 -Chemical & Materials Engineering

TC 2100 -Computer Architecture Software & Information Security

TC 2400 -Networks, Multiplexing, Cable & Security

TC 2600 -Communications 

TC 2800 -Semiconductors, Electrical & Optical Systems & Components

TC 2900 -Design Patents

TC 3600 -Transportation, Construction, Agriculture, National Security & 

E-Commerce

TC 3700 -Mechanical Engineering, Manufacturing and Products

About 350 Art Units (~12-25 examiners per Art Unit)

average ~50 Art Units per Technology Center

About 6,000 Patent Examiners

Between 600-1,000 Examiners per Technology Center
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Nanotechnology Topics

 How to define Nanotech-Related Patents 

and Classification

 Examining and Searching Nanotech-Related 

Patent Applications

 Nanotech-related Patent Statistics
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Nanotechnology-Related Patents –

How to define them

What defines a “Nanotechnology-Related Patent” for USPTO 

Classification purposes?

Nanotechnology is the understanding and control of matter at 

dimensions of roughly 1 to 100 nanometers (a nanometer is 

one-billionth of a meter), where unique phenomena enable 

novel applications... At this level, the physical, chemical, and 

biological properties of materials differ in fundamental and valuable 

ways from the properties of individual atoms and molecules or bulk 

matter. 

USPTO classification (Class 977) definition is consistent with the 

National Nanotechnology Initiative (NNI) definition, which is also 

consistent with other major IP Offices in the world.
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Class 977: Nanotechnology 

Subject Matter Defined

Two-prong test for Class 977 subject matter:

At least one physical dimension of ~1-100 nm

AND

Special property, function or effect 

uniquely attributable to the nano-sized dimension
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What’s special about Nanotech?

Some ways Nanotech is “different” than traditional 

technologies...

– it more of a “scale” of science than a specific 

technology

– it touches on a wide array of traditional disciplines and 

technologies

– this cross-discipline nature often makes it challenging 

to categorize (classify) as well as to find the most 

relevant prior art
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The creation of cross-reference Class 977 for 

Nanotechnology and its expanded 263 subclasses provides 

the USPTO with:

1) A consolidated area of search to supplement the patent 

application examination process as an enhanced search tool.

2) A mechanism by which Nanotechnology-related U.S. Patent 

activity can be analyzed by the USPTO and the public.

3) A foundation for further nanotechnology classification 

progress.

Classification System
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Nanotechnology Topics

 How to define Nanotech-Related Patents and 

Classification

 Examining and Searching NanotechRelated Patent Applications

 Nanotech-related Patent Statistics
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Examination & Searching

 Due to multi-disciplinary nature of nanotech, 

currently no specific nanotechnology 

Technology Center, Work Group or Art Unit

 Currently a set of examiners serving as 

nanotech “points-of-contact” (POCs) in each 

Technology Center 

 Continuously building expertise within subject 

matter areas
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Nanotechnology Topics

 How to define Nanotech-Related Patents and 

Classification

 Examining and Searching Nanotech-Related 

Patent Applications

 Nanotech-related Patent Statistics
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Current Class 977 Patents

Technology Center Number of 

Patents

1600 - Biotechnology and Organic Chemistry 972

1700 - Chemical and Materials Engineering 1813

2100 - Computer Architecture Software and Info. Security 22

2600 - Communications 242

2800 - Semiconductor, Electrical, Optical Systems 2737

3600 - Transportation, Construction, Electronic Commerce 51

3700 - Mechanical Eng., Manufacturing and Products 408

(as of July 2010) Total 6245
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Nanotech Patents & Pre-grant 

Publications By Type of Invention

SPECIFIED USE

OF NANOSTRUCTURE

27%

MISCELLANEOUS

<1%

MATHEMATICAL 

ALGORITHMS, E.G., 

SPECIFICALLY 

ADAPTED FOR 

MODELING 

CONFIGURATIONS OR 

PROPERTIES OF 

NANOSTRUCTURE

<1%

NANOSTRUCTURE 

33%

MANUFACTURE, 

TREATMENT,

OR DETECTION OF

NANOSTRUCTURE 

39% (As of July 2010)
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Statistics for Nanotech-Related 

U.S. Patents

Data on U.S. Patents is fairly consistent regardless of the way 

it is searched, about 60% of nanotech-related U.S. 

Patents are U.S.-origin (awarded to U.S. inventors or U.S. 

assignees/owners). 

Huang et al paper 2004, key-word search on seven basic nanotech terms in 

USPTO data base, country based on assignee or owner. Whether search of 

full-text or just title/claims, whether 1976-2002 or just 2003, about 60% 

U.S. Patents awarded to U.S. inventors or U.S. assignees/owners. 

Search of patents placed in USPTO cross-reference Class 977 on 

nanotechnology, whether first named inventors or assignees/companies, 

whether 1977-2009 or just 2009, about 60% U.S. Patents awarded to 

U.S. inventors or U.S. assignees/owners.

Next most active countries: Japan, Germany, and Korea.
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Class 977 U.S. Patent Statistics: 

Top Foreign-Origin Countries

(calendar years 1977-2009)

0.0%

5.0%

10.0%

15.0%

20.0%

25.0%

30.0%

35.0%

40.0%

45.0%

50.0%

JAPANGERMANY KOREA, SOUTHFRANCECANADATAIWAN UNITED KINGDOM SWITZERLAND ISRAEL ITALY Pecent of Total Foreign Origin Patents in Cl. 977
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Class 977 U.S. Patent Statistics: 

Top 15 Assignees

(calendar years 1977-2009)

0

50

100

150

200

250

300

IBM

CANON

UNIVERSITY OF CALIFORNIA

HP

SEIKO INSTRUMENTS

HITACHI

OLYMPUS OPTICAL

SAMSUNG ELECTRONICS

RICE UNIVERSITY

INTEL

STANFORD 

NANTERO

ADVANCED MICRO DEVICES

CALTECH

MIT Total Patents in Class 977
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U.S. Patent Data vs. 

Global Patenting Publication Data

A search of just U.S. Patent data does not reflect global 

patenting activity.

U.S. Patent data identifies those seeking patent protection in the 

U.S. only.

Certain challenges in making comparisons using global patent data 

due to differences in patent practices. For example:

– Differences in when patent publications occur relative to 

filings, and the time from application filing to patent grant.

– Differences in patentability standards.

– Accounting for filings of the same invention in multiple 

countries.
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Global Patent Statistics

Search using Derwent World Patent Index (DWPI). DWPI includes about 

72 countries.

Identify as nanotechnology by either Derwent codes for nanotechnology 

or nanotechnology International Patent Classification (IPC) codes. (did 

not use key-word search because it would be limited to English language 

translations of abstracts for many foreign patent publications)

Identify any type of patent publication (includes pre-grant publications as 

well as grants).

Evaluated nanotech-related patent publication data in a variety of 

aspects:

– Country of first-named inventor

– Country of assignee/owner

– First occurring patent publication

– Same inventions filed in 3 or more countries
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First-Occurring Nanotech-Related 

Patent Publications 

(by Residence-Country of First-named Inventor, 1986-2008, Derwent WPI)

29.7%

24.3%

14.5%

10.5%

4.9%

3.8%

1.9% 1.4% 1.4% 0.9%

0.0%

5.0%

10.0%

15.0%

20.0%

25.0%

30.0%

35.0%

UNITED STATES

CHINA

JAPAN

KOREA

GERMANY

TAIWAN

FRANCE

RUSSIA

UNITED KINGDOM

CANADA

Country of First-Named Inventor Pefcent of Total
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First-Occurring Nanotech-Related 

Patent PublicationsTop-5 Countries, Relative Percent of Total

(by Residence-Country of First-named Inventor, Derwent WPI)

JAPAN

CHINA

GERMANY

KOREA

0.0%

5.0%

10.0%

15.0%

20.0%

25.0%

30.0%

35.0%

40.0%

45.0%

50.0%

2000 2001 2002 2003 2004 2005 2006 2007 2008

UNITED STATES

CHINA

JAPAN

GERMANY

KOREA

UNITED STATES
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Nanotech-Related Patent Publication on 

Same Invention in 3 or More Countries

(by Residence-Country of First-named Inventor, 1986-2008, Derwent WPI)

38.6%

18.4%

8.9% 8.7%

4.4%

2.6% 1.6% 1.5% 1.4% 1.2%

0.0%

5.0%

10.0%

15.0%

20.0%

25.0%

30.0%

35.0%

40.0%

45.0%

UNITED STATES

JAPAN

GERMANY

KOREA

FRANCE

UNITED KINGDOM

CHINA

SWITZERLAND

NETHERLANDS

CANADA

Country of First-Named Inventor Percent of Total
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Nanotech-Related Patent Publications on Same 

Invention in 3 or More Countries –

Top-5 Countries, Relative Percent of Total 

(by Residence-Country of First-named Inventor, Derwent WPI)

UNITED STATES

JAPAN

FRANCE

GERMANY

KOREA

0.0%

5.0%

10.0%

15.0%

20.0%

25.0%

30.0%

35.0%

40.0%

45.0%

2000 2001 2002 2003 2004 2005 2006 2007 2008

UNITED STATES

JAPAN

GERMANY

KOREA

FRANCE
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Nanotechnology Patent Statistics: 

Summary

U.S.- origin inventors and assignees/owners:

– most nanotechnology-related U.S. Patents by a substantial 

margin,

– most nanotechnology-related patent publications globally based 

on country of first-named inventor, but losing ground to China,

– 2

nd most nanotechnology-related patent publications globally 

based on country of assignee (China is 1st), and

– most nanotechnology-related inventions with patent publications 

in 3 or more countries, indicating a more aggressive pursuit of 

international IP protection.

The next most active countries pursuing nanotechnology-related patents 

globally, besides the U.S., include Japan, Germany, Korea and France.

While China continues a steady increase in the number of nanotech patent 

publications, China is not seeking global protection (filing in 3 or more 

countries) to the same extent as other top countries (U.S., Japan, Germany, 

and Korea).
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Bruce Kisliuk

USPTO

Assistant Deputy Commissioner for Patent Operations

Chemical Disciplines

571-272-0700

Bruce.Kisliuk@uspto.gov 

Thank You