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UNIVERSITY OF NEW HAMPSHIRE SCHOOL OF LAW EDUCATIONAL REPORT:

PATENT LANDSCAPE OF ALGAE BIODIESEL: APPLICABLE GENETIC ENGINEERING

TECHNOLOGIES

SPRING 2011

PROFESSORS

JON R. CAVICCHI, J.D., LL.M. (Intellectual Property)

STANLEY P. KOWALSKI, Ph.D., J.D.

PROJECT LEADER

KARA VERRYT

PROJECT CO-LEADER

ANNA STANFORD

TEAM MEMBERS

SPOORTHY GUDAVALLI

ERNEST KAWKA

JAMES KLOBUCAR

ROSS KRUTSINGER

SANJANA MANGALAGIRI

MATTHEW PREISS

NEHA RAMANI

EMILY THOMPSON

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Acknowledgements

We would like to take the time to thank those who provided invaluable assistance in the

completion of this project.

We are thankful to the University of New Hampshire School of Law and Dean John Broderick

and Associate Deans Susan Richey and John Orcutt for supporting this project.

We would like to express our sincere gratitude and appreciation to Jon R. Cavicchi, J.D., LL.M.-

I.P., and Stanley P. Kowalski, Ph.D., J.D., for their effort, expert guidance, suggestions,

encouragement, and support in the completion of this project.

We are thankful to Mr. Mark Bauer and Thomson-Reuters for graciously facilitating access to

Thomson-Innovation, for providing invaluable guidance, and training on other aspects of patent

database mining and research. We also thank LexisNexis® for providing access to the

TotalPatent™ platform and Mr. Ian Mullet for providing a Microsoft® Excel macro used to

parse patent family data.

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Table of Contents

Abbreviations and Definitions

....................................................................................................... 1

II.

Executive Summary

.................................................................................................................... 3

III.

Scope of Technology Analyzed

................................................................................................... 7

IV.

Disclaimer

.................................................................................................................................... 8

About the Technology

..................................................................................................................... 8

VI.

Patent Search Methodology and Results

................................................................................. 16

Patent Search Results .............................................................................................................................. 24

2.A. Patent Search Tables

..................................................................................................................... 24

Patent Search Results Summary ............................................................................................................. 61

3.A. Categorization Summary

.............................................................................................................. 61

3.B. Patent De-Duplication Process

..................................................................................................... 64

3.C. Patent Coding Results Summary

................................................................................................. 64

3.D. Spreadsheet for Relevant Technology Patent Documents

......................................................... 66

3.E. Spreadsheet for Patent Documents Unable to be Coded as either Relevant or Irrelevant

..... 80

Patent Document Analysis ...................................................................................................................... 82

4.A. Relevant Technology Patent Documents

..................................................................................... 82

4.A.1 Priority Country v. Patent Family Count

.................................................................................. 82

4.A.2 Publication Year v. Patent Document Count

............................................................................. 83

4.A.3 Application (Filing) Date v. Patent Document Count

............................................................... 85

4.A.4 U.S. Classification v. Patent Document Count

.......................................................................... 86

4.A.5 IPC Classification v. Patent Document Count

.......................................................................... 90

4.A.6 Derwent (DWPI) Class v. Patent Document Count)

................................................................. 91

4.A.7 Derwent Manual Code v. Patent Document Count

................................................................... 92

4.A.8 Assignees v. Patent Document Count

........................................................................................ 94

4.A.9 Inventors v. Patent Document Count

......................................................................................... 96

4.A.10 Themescape Map

..................................................................................................................... 97

4.A.11 World Maps

................................................................................ Error! Bookmark not defined.

VIII. Appendices

................................................................................................................................. 100

APPENDIX A: Non-Patent Literature .................................................................................................. 100

APPENDIX B: Patents Unable to be Coded as Relevant or Irrelevant................................................. 103

APPENDIX C: Description of Patent Databases & Platforms Used in this Report .............................. 104

APPENDIX D: Definitions of US Classifications ................................................................................ 109

APPENDIX E: Definitions of IPC Classifications ............................................................................... 111

APPENDIX F: Derwent Classifications ............................................................................................... 113

APPENDIX G: Patent Families ............................................................................................................ 116

APPENDIX H: PCT World Map .......................................................................................................... 120

APPENDIX I: Authors’ Resumes ......................................................................................................... 121

APPENDIX J: MicroPatent® Summary Report for Relevant and Potentially Relevant Technology

Patent Documents ................................................................................................................................. 135

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Abbreviations and Definitions

Below is a list of abbreviations and definitions for terms and keywords used throughout the ITTI

Spring 2011 report.

Algae –

defined herein as “microalgae.” Microalgae are microscopic single celled algal

species found in fresh and salt water.

Microalgae has proven to be a suitable oleaginous

microorganism for lipid production.

Most notably, microalgae have relatively higher

photosynthetic efficiency, biomass production, and growth rates compared to other lipid-

producing organisms.

Biofuel/biodiesel –

defined herein as a fuel comprised of mono-alkyl esters of long chain

fatty acids.

Biodiesel can be derived from lipid producing organisms.

BLAST –

defined herein as the acronym for Basic Local Alignment Search Tool. This

program compares nucleotide or protein sequences to sequence databases and calculates the

statistical significance of matches.

Cyanobacteria –

defined herein as a prokaryotic organism, specifically, a kind of blue-

green bacteria that is found aquatically and is capable of performing photosynthesis.

DWPI –

defined herein as Derwent World Patent Index®, which is the world’s most

comprehensive database of patent documents. DWPI includes over 20 million patent document

families, which covers over 42.5 million patent documents. The DWPI database includes

coverage from over 44 worldwide patent authorities.

Eukaryote –

defined herein as a single-celled or multicellular organism whose cells

contain a distinct membrane-bound nucleus.

Genetic transformation/modification –

defined herein as altering the genetic structure

of wild-type algae by either transforming the algae with DNA, or otherwise modifying the algae

for the purpose of creating algae more efficient at producing biodiesel than wild-type algae.

INPADOC

(International Patent Document Center) – defined herein as a patent database

maintained by the European Patent Office (EPO).

GuanHua Huang, et al,

Biodiesel Prod. by Microalgal Biotech.

, 87A

PPLIED

NERGY

39 (2010).

Id.

http://www.biodiesel.org/resources/definitions/.

Id.

BLAST, N

’

FOR

IOTECH

NFO

., http://blast.ncbi.nlm.nih.gov/Blast.cgi (last visited May 15, 2011).

Derwent World Patents Index, T

HOMSON

EUTERS

http://thomsonreuters.com/products_services/legal/legal_products/a-z/derwent_world_patents_index/

(last visited

May 9, 2011).

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ITTI –

defined herein as International Technology Transfer Institute, an intellectual

property clinic at the University of New Hampshire School of Law.

Lipid biosynthesis –

defined herein as the manipulation of transcription factors and other

regulatory principles in algae for the purpose of increasing oil levels in the organism. Lipid

biosynthesis can occur through various biopathways and can vary from organism to organism.

Lipids are a vast group of molecules which include sterols and phospholipids.

NCBI –

defined herein as the acronym for National Center for Biotechnology

Information. NCBI provides access to biomedical and genomic resources, such as BLAST.

Oleaginous –

defined herein as an organism having the nature of oil, being right in oil, or

producing oil.

Patent document –

defined herein as issued patents and patent applications, which

include but are not limited to US patents and patent applications, PCT patents and applications,

and EPO patents and applications.

Patent family –

defined here in as the collective worldwide application and publications

for an invention. Patent protection is country specific and an applicant seeking protection for an

invention must file for a patent in each country where patent protection is desired, either by filing

national patent applications, or by making the application via one of the multi-national routes

(e.g. an EP or a PCT application).

PCT –

defined herein as the Patent Cooperation Treaty, which is an international treaty

aimed at providing a unified procedure for filing patent applications in the contracting states.

A contracting state is a country which has signed onto the treaty. A patent application filed

under the PCT is commonly referred to as an international application, or PCT application.

Photosynthesis –

defined herein as a process in plants that uses energy from sunlight to

convert carbon dioxide into organic compounds such as sugars.

Prokaryotes –

defined here in as single celled organisms that do not have a nucleus,

mitochondria or any other membrane bound organelles. Prokaryotes’ DNA and other sites of

metabolic activity are openly accessible within the cell, some free floating, some bound to the

walls of the cell membrane, e.g., cyanobacteria.

Globally Unique Int’l Tech. Transfer Inst. The UNH School of Law Advantage, http://law.unh.edu/itti/index.php

(last visited May 9, 2011).

’

FOR

IOTECH

NFO

., http://www.ncbi.nlm.nih.gov/ (last visited May 9, 2011).

http://dictionary.reference.com (last visited Apr. 26, 2011).

IALOG

, http://support.dialog.com/searchaids/dialog/dwpi_fam.shtml. (last visited April 26, 2011).

Patent Cooperation Treaty, pmbl, June 19, 1970,

available at

http://www.wipo.int/pct/en/texts/articles/a0.htm.

Id.

at art. 2,

available at

http://www.wipo.int/pct/en/texts/articles/a2.htm#_2.

http://www.earthlife.net/prokaryotes/welcome.html (last visited Apr. 26, 2011).

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II.

Executive Summary

Many companies are exploring new technologies that use algae in biodiesel production. While

still an emerging field, biodiesel produced from the oils of algae is gaining more recognition as

an alternative fuel source to traditional petroleum fuels.

As opposed to ethanol production

from corn, using microalgae for biodiesel production confers an environmental advantage

because microalgae do not directly require resources that are necessary for agricultural food

production.

Also, some algae have the capability of producing up to ten times more oil than

traditional agricultural biofuel crops.

As the tangible market potential for biodiesel fuel increases, basic research into genetic

modification of microalgae, towards enhancing the production and/or quality of biodiesel, has

also accelerated. This research, although in some respects still emerging or nascent, is moving

toward investing research funding into the genetic modifications that alter various metabolic

pathways,

increasing the value of the algae as a biomass resource for biodiesel production. An

increase in value drives an increase in property rights assertion, and in the case of microalgae

genetic modifications, the principal property rights are intellectual, i.e., patent rights.

The purpose of this patent landscape study was to search for, identify, and categorize patent

documents that are relevant to genetic transformation of algae with application to lipid

biosynthesis, photosynthetic efficiency, and/or increased oil excretion. One factor in identifying

leaders in a particular field of research is by the size of a patent portfolio. This report tentatively

identifies several key industry leaders within the algae biofuel industry, including BASF Plant

Sciences, Solazyme, Inc., Martek Biosciences, DuPont and Aurora Biofuels Inc.

BASF, headquartered in Germany, is the largest chemical company in the world. BASF conducts

its business based on sustainable developments.

BASF structures its operations into six unique

business sectors, two of which include agricultural solutions and oil and gas. BASF recently

partnered with Monsanto, a leader in plant biotechnology to further research in the area of algae

biofuel technologies.

Solazyme, Inc. began in 2003 as a company formed to harness the prolific oil-producing ability

of microalgae.

Solazyme, a privately-owned company based in San Francisco, California, has

recently announced partnerships with both Chevron Technology Ventures and United States

Department of Energy to develop the commercialization of microalgal fuel technologies.

Randor Radakovits et al.,

Genetic Eng’g of Algae for Enhanced Biofuel Prod.

, E

UKARYOTIC

ELL

, Apr., 2010, at

486.

Emily Waltz,

Biotech’s Green Gold?

, N

ATURE

IOTECH

., Jan., 2009, at 15.

BASF, http://www.basf.com/group/corporate/en/about-basf/index?mid=0 (last visited April 24, 2011).

Id.

OLAZYME

, http://www.solazyme.com/company-overview (last visited April 24, 2011).

Waltz,

supra

note 17.

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Martek Biosciences is a company based in Columbia, Maryland that focuses its research on

products derived from microalgae.

Martek has focused some attention in producing nutritional

supplements from cultivated microalgae that are then used in products such as infant formula.

However, it has several patents relevant to developing the natural oils found in microalgae.

Founded in 1802, DuPont is a chemical company based in Wilmington, Delaware. DuPont has a

wide range of products in its energy and utility business and within the oil and gas sector;

however, it recently has also made a significant effort to develop clean, sustainable fuel

technologies.

Aurora Biofuels is a company that has headquarters in both Hayward, California and West Perth,

Australia.

Aurora has worked to develop a salt water algae strain that is capable of growing in

open ponds with sea water instead of fresh water.

Recently, they have developed affiliations

with BIO, the world’s largest biotechnology organization.

The team members primarily used Thomson Innovation searching database. In addition to

Thomson Innovation, the ITTI team also used the LEXIS TotalPatent® database.

These searches utilized keywords derived from the literature reviewed and initial searches to

generate useful search strings; the searches also used United States Patent Classifications and

International Patent Classifications that were identified through subsequent searches and team

meetings. The combinations of keywords and classifications in search strings was useful for

parsing the technology into compartments and allowing each team member to generate a

different set of search results that keywords alone could not provide. This approach generated a

broad set of patents. From here, ITTI used the keywords and classifications generated from this

broad set of patents in subsequent rounds of searching. After each round of searching, team

meetings would identify the most important keywords and classifications for use in subsequent

search strings that became more defined and effective.

Examples of keywords include:



Algae



Microorganism



Oleaginous



Biodiesel



Fatty Acid

The ITTI team additionally used Patent Lens, a free public resource initiative of Cambia, to

specifically search nucleotide sequences.

Patent Lens obtains patent and patent application data

ARTEK

, http://www.martek.com/about.aspx (last visited Apr. 24, 2011).

Id.

ONT

http://www2.dupont.com/Oil_and_Gas/en_CA/environment/Clean_Technologies/clean_technologies.html (last

visited Apr. 24, 2011).

URORA

., http://www.aurorainc.com/company/contact-aurora/ (last visited Apr. 24, 2011).

Id.

ATENT

ENS

, http://www.patentlens.net/ (last visited Apr. 24, 2011).

through subscriptions with WIPO, USPTO, EPO, IP Australia and INPADOC. It updates

weekly and includes full-text of more than eight million patents and applications. It also

includes DNA, RNA and Protein Sequences extracted from United States patent documents.

This unique feature was useful to this project because nucleotide sequences could be copied into

the search engine. However, Patent Lens only searches United States patents and patent

applications for the sequences, and these sequences were last updated May 2, 2010. For more

information, visit

http://www.patentlens.net/sequences/blast/blast.html

. Nucleotide sequence

searching was useful because the search returned relevant patents that had sequences

homologous to the one being searched. In conclusion, Patent Lens and NCBI provided useful and

free databases to search genetic sequences. They were useful tools for searching genetic

sequences of patent documents already coded and finding new relevant patent documents.

ITTI coded patent documents for genetic modification of algae using two relevancy categories

with one category having four subcategories and Appendix B contains patents that could not be

conclusively categorized as either relevant or irrelevant. The subcategories were lipid

biosynthesis, photosynthesis, lipid secretion/excretion, and genetic transformation. Table 1

below shows the coding results for the 190 patent documents.

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