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M. E. M. Martinez1, P. C. Reis1, D. A. Santos1 and E. Winter2
1. National Institute of Industrial Property of Brazil (INPI), Rua Mayrink Veiga, no 9-19o andar-Centro-Rio de Janeiro/RJ-Cep: 20090-910, Brasil
2. Academy of Intellectual Property, National Institute of Industrial Property of Brazil (INPI), Rua Mayrink Veiga, no 9-19o
andar-Centro-Rio de Janeiro/RJ-Cep: 20090-910, Brasil
Received: April 13, 2011 / Published: July 20, 2011.
Abstract: Packaging is one of the most important methods of keeping the quality of food products for storage, transportation and end-use. The price of materials employed for packaging food has traditionally been high and used to be more expensive than the food itself. Technological innovations made possible to produce packaging materials cheaply. One of these processes is known as co-extrusion. This technique makes a film with two or more layers with different plastics not laminating the layers together with an adhesive, eliminating the use of solvents and producing a film in just one step instead multiple steps. In this background, our paper relates to the evolution on packaging for foods by using patenting documents. A search for patent documents was performed on free patent databases using keywords and International Patent Classification (IPC) codes related to this technology. As results: (a) 17% of the 21,472 documents found are focused on multilayer packaging for food; (b) 12 countries hold more than 90% of patents (38% Japan; 23% The United States of America; 7% Canada and 6% Germany); and, (c) two peaks were perceived in the period of 1992-1994 and 2003, and matches, respectively, the Persian Gulf (1990-1991) and Iraq Wars (2003-invasion of Iraq), so the historical tendency is confirmed: “wars also generate scientific and technological innovations”.
Key words: Multilayer packaging for food, layered products for foods, patent documents, technological mapping.
1. Introduction
1.1 Packaging
Packaging is one of the most important methods of keeping the quality of food products for storage, transportation and end-use. The price of materials employed for packaging food has traditionally been high and used to be more expensive than the food itself. Technological innovations made possible to produce packaging materials cheaply [1].
The function of the packaging starts with loading, protection and transport, followed by storage and identification, then innovate, communicate, sell, develop, identify, differentiate, promote, attract consumers, add value, until the functions of: new trends, sustainability, opening system, proper handling[2, 3]. The hierarchy of the function of packing could be compared to the Maslow’s Hierarchy of Needs. The Maslow’s Hierarchy of Needs says that the needs below must be satisfied before the new needs are considered [4]. Fig. 1 shows the similarity between the two hierarchy pyramids.
The timeline of packaging reinforces the idea of the hierarchy of the functions of packaging. It starts with the discovery of the glass in 5000 B.C., then the use of the glass by the Egyptians in 1500 B.C., followed by the pottery of ancient Greece 250 B.C. and the China paper tree in 500 B. C. 30 B. C.. The Dark Ages where nothing happens (450-1600 A.D.) ends with the industrial revolution. Napoleon encouraged the first packing innovation, the can, which permited sterilization of the food [5]. Other innovations are improving the durability of paper, colored labels printed on chromolithograph, automatic blowing glass machinery (Michael Owens), polymerizations and discovery of many plastics (Fig. 2).
Interestingly, the development of packaging foods is highly associated with the military (wars). It starts with the development of canned food during the Napoleonic wars. The First World War accelerated the tendency of packing products separately, making it easier to provide food to troops in small packages, with the use of paper packaging and tin cans. After World War II the packaging became a strong marketing tool, evoking images through a set of values in people’s minds at that time there was a huge diversity of materials and formats [6]. The Persian Gulf War brought about a new development to be used on packaging of chilled and frozen foods, a seal that darkened over time and with abuses in the cold chain giving correct information about the freshness of food [7]. In the Iraq War the package has to regulate the pH level and the amount of chemically bound water in each meal, to make it inhospitable to microorganisms. So, the food is packaged in a three- or four-layer shell that keeps water and oxygen away from it. Finally, the meal is pressure-cooked at 250 degrees Fahrenheit for up to 90 minutes, to kill bacteria [8].
This paper involves multilayer packaging, they are those that have one or more layers of same or different materials, for example, long-life packages that are composed of layers of polyethylene, aluminum and paper, and flexible packaging made up of several layers of plastic. They could be done by co-extrusion which is one technique that makes a film with two or more layers with different plastics not laminating the layers together with an adhesive, eliminating the use of solvents and producing a film in just one step instead multiple steps [9].
1.2 Monitoring Technology Based on Patent Documents
Over the years, the focus on monitoring technologies, i.e., the applications desired by the companies have varied widely. Currently, the actions of Technological Monitoring can be framed in a segment specifically linked to innovation and open innovation, dedicated to the pursuit of generation, development and commercialization of innovation beyond the enterprise boundary.
One tool is the analysis of Monitoring Technological of patent documents seeking to study characteristics of consolidated technological trajectories and to identify possible paths emerging from monitoring and assisting them in search for new technologies.
A factor to be highlighted and that puts the patent documents as a source of information lies in the fact that the databases are standardized and with information quality, which can deal with mass data with statistically low risk of diversion.
Thus we can see that the increase of interest in new technologies will reflect in the growth of research and development activities and this will lead to an increase of patent deposits. Therefore, the analysis of patent application evaluation can quantitatively identify new technologies [10].
A patent is a temporary title to an invention or utility model, awarded by the State to inventors, authors or other individuals or entities holding rights over the creation. In contrast, the inventor is obligated to disclose, in all detail, the technical content of the material protected by patent [11]. During the term the patent holder has the right to exclude third parties without their permission, of acts relating to the protected matter, such as manufacturing, trading, import, use and sale.
The importance of patenting documents are: (1) understanding the forces that drive the future; (2) anticipate and understand the path of change; (3) subsidize/guide the process of decision making in science, technology and innovation; (4) decisions related to setting priorities in P&D, risk management, technological innovations, improving the technological competitiveness of products and processes.
The need of creating a tool for searching and retrieving patent documents created the International Patent Classification (IPC). It is a tool that enables the organization of patent documents, used for the purpose of facilitating access to technological and legal information contained therein. Newer versions of the IPC can be accessed on the WIPO website, or directly at http://www.wipo.int/classifications/ipc/ipc8/?lang= en [12].
In this sense, the aim of this paper is mapping the evolution of technology, by technological forecasting, identifying the main characters and the technological challenges of technologies involving multilayer packaging for food by using the information in patent documents between 1980 and 2008.
Fig. 1 The Maslow’s hierarchy of needs (adapted from Maslow, 1970) versus the function of packing hierarchy pyramids(own elaboration).
2. Materials and Methods
The search for patenting documents of the literature was performed using the keywords related to the multilayer packaging technology for food and its corresponding IPC codes from 1980 to 2008 and using free patent information banks, such as Espacenet and USPTO among others.
This method has the following limitations: (1) most inventions (80%) result in patents, although not all inventions that may become a patent registration, and thereafter a patent-the reasons range from a limited budget, strict criteria with the preparation of patent documents difficulties with the record in the patent office, decline for fear of imitation, by the choice of the secrecy of research; (2) the time lag between the invention, the registration of patent applications and data availability of these patent documents in official databases, so that in case of very recent deposits, the update of information is not available (in most cases) in less than 18 months after the deposit due to the period of secrecy adopted by the existing patent systems around the world.
Thus, the ownership of data and the stratigraphy of searches obtained from the processing of these data were made possible through technological forecasting performed in this work to create a mapping of developments in technology and point out the barriers and the technological challenges of the technology studied.
Fig. 3 Patenting documents, for layered products and layered products applied to foods or foodstuffs, between 1980 and 2008.
3. Results and Discussion
From the data obtained, it was possible to map the temporal evolution of the layered product as well as the layered product applied to food, Fig. 3 shows that in 1986 stagnation followed by a more pronounced inflection in the case of layered products in general and a more subtle inflection to the layered products applied to food products. The analysis of the curves of the graph, which reveals a very important event took place worldwide (1992-1994 and 2003).
In a first investigation, considering the nature of products in focus, it was suggested that the anomalies on the curves were due to disasters or calamities of natural order. These alleged events, sparked the global packaging industry to compose products in layers to mobilize for the patent development.
It is known that the patents are related closely to technological development due to the intrinsic nature of industrial property rights such as patents. Therefore, the rise of patent protection leads us to the conclusion that in this period (1992-1994 and 2003, respectively) there was the interest in protecting the technical question regarding this type of containers with marke reservest potential.
Moreover, more detailed research about the events in this interstice time revealed that these respective periods suffered from high incidence of wars in the Persian Gulf (1990-1991) and the Iraq War (2003).
Therefore, in Fig. 3 it can be concluded that both curves show an upward trend over the years. As the curves follow in parallel they indicate proportionality between them. So, the patenting documents on multilayer packaging technology for food represent around 17% of the documents on patenting multilayer packaging technology. The evolutionary behavior of Fig. 3 suggests a clear relationship between these conflicts and the development of industrial packaging layered products. Since the regions where the battles have occurred pronounced temperature gradients along the same day and therefore, to ensure food supplies for the troops, it was necessary to develop specific technologies for protection, for example, against the extreme heat and low humidity.
For a specific analysis for the food sector, we pick the data shown in Fig. 4, it was noted that the protection of patents around the world for the sector, between 1980 and 1988, did not reach the average of 50 patents per year. However, this reality tends to suffer an abrupt change with the arrival of the 90’s. For example, until 1989, interest in the patent protection had reached a 50% increase over the annual average for the sector. Culminating in the years 1991 and 1992, an increase of over 100% in the number of patents published in the world in relation to the period from 1980 to 1988.
It is highlighted by the review of data from the table before 1996 that the world had never seen a sudden interest in some of the patents for food products in layers, as in 1994. That year, the global patent production exceeded 300%, more than the average required for the 80’s.
Fig. 4 Patenting documents, for layered products applied to foods or foodstuffs, between 1980 and 2008.
This production had a significant patent foundation. The distribution of documents on patenting multilayer packaging technology for foods or foodstuff achieved over the years is shown in Fig. 4. A growth of over 500% is observed, regarding the number of deposits in this period, with the presence of two growth peaks. These two peaks were in 1992-1994 and 2003, and matches, respectively, the Persian Gulf (1990-1991) and Iraq Wars(2003-invasion of Iraq). The time lag between the invention and the patent documents could be observed in the first peak, where the packing was developed during the Persian Gulf War but the patents documents appear about two years later. The second peak does not show this time lag because the Iraq Wars have a pre-war intelligence period between 2001 and 2003.
Through the analysis of condensed information for patent documents obtained in the search, the construction of the graph shown in Fig. 5 was made possible. The technological information contained therein reveals that some countries of the world are highlighted in this “patent race”. These are countries which patent analysis, refers to them as priority countries. For more discernment about the topic, it is reported that a priority country is the country where the patenting was first deposited before the protection is extended to other countries. It indicates the attractiveness of a country’s patenting process, the quality of intellectual property laws (rules and cost of patents), the reputation of the patent office and the wider economy, for example, the size of the market[13]. Since there is no truly global patent office, the inventor must have its request granted by the patent office of each country that he wishes to have protection. The first presentation is the priority document, in other words, they have a right of priority under the Paris Convention. After the deposit the applicant has one year to make the deposit in other countries where he wants to have patent protection [14].
Fig. 5 Country’s priority of the patenting documents.
So it is interesting to evaluate the priority countries of patent documents found in this work. Fig. 5 represents the distribution of documents on patenting multilayer packaging technology per priority countries. Note that only 12 priority countries hold over 90% and only 2 priority countries hold over 50% of patents, notably: 38% Japan; 23% The United States of America; 7% Canada and 6% Germany. It concluded that the document is focused on distribution by priority countries.
The distribution of the main companies that have obtained the patenting documents studied is shown in Fig. 6. Note that 30 companies account for 49% of the total, indicating focused distribution of this technology by main companies, the Nippon and Mitsubishi holdings have outstanding performances holding, respectively, 110 and 108 patenting documents, there is a high incidence of companies in the film industry and that of small electronics. These holding companies share the market for packaging films formed by multi-layered, with holding companies such as Hoechst, BASF, Bayer, etc.. As the latter company, specializing in products applied in layers for food preservation.
It is understood that there is a close relationship with respect to the preservation and conservation, for example, films or other small electronic parts or equipment, food products and foodstuff. Largely due to the need for conservation or preservation of a product against the humidity, sudden change of temperature and microbial attack. Perhaps these functional similarities justify the significant number of companies producing packaging films and films for protection of electronic equipment.
The graphs in Fig. 7 provide us with relevant information regarding market concentration of firms as well as which the main companies (stakeholders) are operating in the layered products for food.
First, it appears that there is a strong concentration of companies in the sector. This can be seen in the pie chart, which showed a percentage of 62.8% of total patenting documents concentrated in just 38 companies, compared to 37.2% of documents remaining, which are concentrated in 262 companies.
Through an analysis of the companies cited in the bar chart, we see that the market consists of companies operating in a wide range of fields, such as raw materials, processing and printing machines. The main companies producing high patent in the food sector are, in alphabetical order: (1) Cryovac, (2) Dainippon, (3) Grace W R & CO, (4) INT paper, (5) Mitsubishi Shoji Packaging Corporation, (6) Showa Denko, (7) Tetra Laval, (8) Tetra Pak, and (9) Toppan Printing. All production with over 10 patent documents are in this period.
Fig. 6 Companies of the priorities of the patenting documents.
Fig. 7 Companies of the priorities of the patenting documents on layered products for food.
There are also companies in the printing industry in multi-layer packaging that are quite significant (for example, Toppan Printing and INT paper), accompanied by those of supply of raw materials (e.g., Holdings da Mitsubishi), besides companies making multilayer food packaging which are inserted positively in this scenario(e.g., Cryovac, Mitsubishi Shoji Packaging Corporation, Tetra Laval, Tetra Pak, etc.).
As to the countries involved in armed conflicts, reported in the previous analysis, it appears from the graph of Fig. 8 that the United States, Germany and Canada showed peaks of patent protection between the years 2000 to 2006, more specifically, in the year 2003(year of the Iraq War). It should be noted that the three countries have been participating in the coalition led by the United States and England.
Japan shows a behavior rooted in market stability. There were profound changes in the interest of patent protection during the period of analysis. Its inflection focuses more clearly between the years 2000 to 2003 and provides for the downward trend in the interest of industry patents in subsequent years with a total drop of 40%.
For China, it is known that it is a nation with a booming trade, even in the field under review. It is shown with the graph in Fig. 8, this country has a growing tendency to invest in patent protection in the industry of packaging products of multiple layers. Comparing the production of patents in China in 2008 for the sector under review, compared to patent protection observed in 1998 was estimated at somewhere around 15 times the rate of increase in patent documents for the topic.
With respect to documents obtained in the search, you can determine which are the main codes of International Classification of patents. This distribution of main IPCs is shown in Fig. 9. We have as main classifications in relation to frequency, which appear in the documents obtained, B32B, B65D and C08. The most relevant classification is B32B (layered products) with 56%, followed by B65D (packages and packing elements) with 26% and C08 (organic macromolecules compounds and compositions) with 14%. The description of the IPC obtained is presented in Table 1.
The patent documents are classified as to their inventive information and this could be done by function or application of the invent. The B32B IPC’s classification is a typical classification of function and the B65D is a typical classification of application, so it is common to classify a patent document on both classifications indicating the document refers to a patent of a layered product used as a package, and when also associate with the C08 classification which indicates that the innovation occurs in the chemical structure of the layer.
The main raw materials of the layers for the multilayers packages are: paper, aluminum, polyethylene-PE, vinyl acetate-EVA, ionomers, polypropylene-PP, polystyrene-PS, polyvinyl chloride-PVC, polyester-PET, polyamides-PA, polyvinyl alcohol-PVOH, copolymers of ethylene-vinyl alcohol-EVOH and vinylidene chloride-PVDC.
The special needs of the products demand the development of new specific layers, such as, antimicrobial, antibacterial, aseptic, anti-fogging, degradable, biodegradable, low gas permeability, gas barrier, light-prevention, deoxygenating agent, pressure-regulation, humidity and oxygen transmission and controlling exposure to oxygen, and, oil-resistant.
One problem of the multilayers packages is the waste, e.g. the degradation of the package, so these products are not environmental friendly, becoming the focus of the re-utilization and recycling. For example, Tetra PakTM recycles their multilayer product into paper fibers, paraffin and aluminum [15].
Fig. 8 Patenting documents obtained by the principal priorities over the years.
Fig. 9 Patenting documents obtained by the principal IPCs over the years.
Table 1 Description of the main classifications (IPC) found in the patent documents obtained.
4. Conclusion
By carrying out this work, it was demonstrated the potential of strategic information that patents can offer to support a process of managing and monitoring technology for layered products for foods and/or foodstuff.
Mapping the evolution of technologies, show the historical evolution of the production of patents in a particular topic/subject throughout the years, and in this work we concluded that patenting documents multilayer packaging technology for food growth of over 500% from 1980 to 2008, with the presence of two growth peaks, 1992-1994 and 2003, and matches, respectively, the Persian Gulf (1990-1991) and Iraq Wars (2003-invasion of Iraq).
It is also seen that patenting document are focused on the distribution by priority country, once 112 priority countries hold over 90% and only 2 priority countries hold over 50% of patents, notably: 38% Japan; 23% The United States of America; 7% Canada and 6% Germany. In detail, the patenting documents obtained by the priority country over the years show: Japan showed a declining trend after 2000 with total drop of 40%, United States, China, Germany and Canada peaked in 2003.
The positioning of a company as to its competitors: It may be useful in mapping areas of interest and focus of businesses in the country of choice, priority, or even understand the strategy of its competitors. Thus, in case of product technologies for layered products for foods, we have a distribution focused on companies, once 30 companies account for 49% of the total, showing a focus distribution of this technology, the Nippon and Mitsubishi holdings have outstanding performances holding, respectively, 110 and 108 patenting documents.
This study does not exhaust the subject, but contribute to the field of management, monitoring and forecasting technology, as well as decision makers at the government, academia and the private sector working in the field of applied layered product for foods.
In general, the main points still to be explored in this issue concern to:
As an analysis using classification and relationship resulting in the interaction and the relationship between patents on a given topic/subject the results of this analysis are very significant, for example, a mapping of the sector of technology for layered products for foods of a department P&D;
Another point is the evaluation of network experts that return to an analysis of innovation networks, using the tools of social networks analysis, professionals, technicians, researchers and specialists in a particular assigned subject, as well as their relationships and the work performed together.
Acknowledgments
INPI-The National Institute of Industrial Property of Brazil.
References
[1] ABRE, 2011, available online at: http://www.abre.org.br/meio_embalagens.php.
[2] C.M.P. Abreu, Effect of polyethylene packaging and cooling in internal browning and chemical composition during ripening of the pineapple cv. Smooth cayenne, Lavras: UFLA, 1995, p. 94. (PhD Thesis Tese in food science).
[3] Beyond the shelf packaging, Abigraf 20 (1995) 42-47.
[4] A.H. Maslow, Motivation and Personality, Rev. ed., Harper & Row, New York, 1970, pp. 19-58.
[5] Reduce Packaging, 2011, available online at: http://www.reducepackaging.com/History.html.
[6] U.E. Edet, Effect of Packaging and Design Strategy on a Product, 2010, available online at: http://pt.scribd.com/doc/29839115/Role-of-Packaging-an d-Design-of-a-Product.
[7] L.M. Pierce, Timeline: 50 Years of Packaging Innovations, 2009, available online at: http://www.foodandbeveragepackaging.com/Articles/Feat ure_Articles/BNP_GUID_9-5-2006_A_10000000000000 575053.
[8] J. Miller, The Good Military Food Fight, 2009, available online at: http://www.judithmiller.com/6541/military-food.
[9] D. Zaparolli, Co-extrusion, Use of Advanced Technology at a Rapid Pace and the Trend is to Double in Coming Years, 2011, available online at: http://www.plastico.com.br/revista/pm388/co-extrusao1.h tml.
[10] D.S. Carvalho, L.G. Oliveira, E. Winter, C.G. Mothé, Technological foresight based on citing and cited patents of cellulose with pharmaceutical applications, J. Technol. Manag. Innov. 4 (2009) 32-41.
[11] INPI, 2011, available online at: http://www.inpi.gov.br.
[12] Wipo Reformed Ipc, 2011, available online at: http://www.wipo.int/classifications/ipc/ipc8/?lang=en.
[13] OCDE-Patents Manual-OECD Patent Statistics Manual, 2009.
[14] OCDE-Patents Manual-The Measurement of Scientific and Technological Activities Using Patent Data as Science and Technology Indicators, 1994.
[15] Tetra Pak, 2011, available online at: http://www.tetrapak.com/br/meio_ambiente/ciclo_de_vid a_da_embalagem/pages/reciclagem.aspx.
1. National Institute of Industrial Property of Brazil (INPI), Rua Mayrink Veiga, no 9-19o andar-Centro-Rio de Janeiro/RJ-Cep: 20090-910, Brasil
2. Academy of Intellectual Property, National Institute of Industrial Property of Brazil (INPI), Rua Mayrink Veiga, no 9-19o
andar-Centro-Rio de Janeiro/RJ-Cep: 20090-910, Brasil
Received: April 13, 2011 / Published: July 20, 2011.
Abstract: Packaging is one of the most important methods of keeping the quality of food products for storage, transportation and end-use. The price of materials employed for packaging food has traditionally been high and used to be more expensive than the food itself. Technological innovations made possible to produce packaging materials cheaply. One of these processes is known as co-extrusion. This technique makes a film with two or more layers with different plastics not laminating the layers together with an adhesive, eliminating the use of solvents and producing a film in just one step instead multiple steps. In this background, our paper relates to the evolution on packaging for foods by using patenting documents. A search for patent documents was performed on free patent databases using keywords and International Patent Classification (IPC) codes related to this technology. As results: (a) 17% of the 21,472 documents found are focused on multilayer packaging for food; (b) 12 countries hold more than 90% of patents (38% Japan; 23% The United States of America; 7% Canada and 6% Germany); and, (c) two peaks were perceived in the period of 1992-1994 and 2003, and matches, respectively, the Persian Gulf (1990-1991) and Iraq Wars (2003-invasion of Iraq), so the historical tendency is confirmed: “wars also generate scientific and technological innovations”.
Key words: Multilayer packaging for food, layered products for foods, patent documents, technological mapping.
1. Introduction
1.1 Packaging
Packaging is one of the most important methods of keeping the quality of food products for storage, transportation and end-use. The price of materials employed for packaging food has traditionally been high and used to be more expensive than the food itself. Technological innovations made possible to produce packaging materials cheaply [1].
The function of the packaging starts with loading, protection and transport, followed by storage and identification, then innovate, communicate, sell, develop, identify, differentiate, promote, attract consumers, add value, until the functions of: new trends, sustainability, opening system, proper handling[2, 3]. The hierarchy of the function of packing could be compared to the Maslow’s Hierarchy of Needs. The Maslow’s Hierarchy of Needs says that the needs below must be satisfied before the new needs are considered [4]. Fig. 1 shows the similarity between the two hierarchy pyramids.
The timeline of packaging reinforces the idea of the hierarchy of the functions of packaging. It starts with the discovery of the glass in 5000 B.C., then the use of the glass by the Egyptians in 1500 B.C., followed by the pottery of ancient Greece 250 B.C. and the China paper tree in 500 B. C. 30 B. C.. The Dark Ages where nothing happens (450-1600 A.D.) ends with the industrial revolution. Napoleon encouraged the first packing innovation, the can, which permited sterilization of the food [5]. Other innovations are improving the durability of paper, colored labels printed on chromolithograph, automatic blowing glass machinery (Michael Owens), polymerizations and discovery of many plastics (Fig. 2).
Interestingly, the development of packaging foods is highly associated with the military (wars). It starts with the development of canned food during the Napoleonic wars. The First World War accelerated the tendency of packing products separately, making it easier to provide food to troops in small packages, with the use of paper packaging and tin cans. After World War II the packaging became a strong marketing tool, evoking images through a set of values in people’s minds at that time there was a huge diversity of materials and formats [6]. The Persian Gulf War brought about a new development to be used on packaging of chilled and frozen foods, a seal that darkened over time and with abuses in the cold chain giving correct information about the freshness of food [7]. In the Iraq War the package has to regulate the pH level and the amount of chemically bound water in each meal, to make it inhospitable to microorganisms. So, the food is packaged in a three- or four-layer shell that keeps water and oxygen away from it. Finally, the meal is pressure-cooked at 250 degrees Fahrenheit for up to 90 minutes, to kill bacteria [8].
This paper involves multilayer packaging, they are those that have one or more layers of same or different materials, for example, long-life packages that are composed of layers of polyethylene, aluminum and paper, and flexible packaging made up of several layers of plastic. They could be done by co-extrusion which is one technique that makes a film with two or more layers with different plastics not laminating the layers together with an adhesive, eliminating the use of solvents and producing a film in just one step instead multiple steps [9].
1.2 Monitoring Technology Based on Patent Documents
Over the years, the focus on monitoring technologies, i.e., the applications desired by the companies have varied widely. Currently, the actions of Technological Monitoring can be framed in a segment specifically linked to innovation and open innovation, dedicated to the pursuit of generation, development and commercialization of innovation beyond the enterprise boundary.
One tool is the analysis of Monitoring Technological of patent documents seeking to study characteristics of consolidated technological trajectories and to identify possible paths emerging from monitoring and assisting them in search for new technologies.
A factor to be highlighted and that puts the patent documents as a source of information lies in the fact that the databases are standardized and with information quality, which can deal with mass data with statistically low risk of diversion.
Thus we can see that the increase of interest in new technologies will reflect in the growth of research and development activities and this will lead to an increase of patent deposits. Therefore, the analysis of patent application evaluation can quantitatively identify new technologies [10].
A patent is a temporary title to an invention or utility model, awarded by the State to inventors, authors or other individuals or entities holding rights over the creation. In contrast, the inventor is obligated to disclose, in all detail, the technical content of the material protected by patent [11]. During the term the patent holder has the right to exclude third parties without their permission, of acts relating to the protected matter, such as manufacturing, trading, import, use and sale.
The importance of patenting documents are: (1) understanding the forces that drive the future; (2) anticipate and understand the path of change; (3) subsidize/guide the process of decision making in science, technology and innovation; (4) decisions related to setting priorities in P&D, risk management, technological innovations, improving the technological competitiveness of products and processes.
The need of creating a tool for searching and retrieving patent documents created the International Patent Classification (IPC). It is a tool that enables the organization of patent documents, used for the purpose of facilitating access to technological and legal information contained therein. Newer versions of the IPC can be accessed on the WIPO website, or directly at http://www.wipo.int/classifications/ipc/ipc8/?lang= en [12].
In this sense, the aim of this paper is mapping the evolution of technology, by technological forecasting, identifying the main characters and the technological challenges of technologies involving multilayer packaging for food by using the information in patent documents between 1980 and 2008.
Fig. 1 The Maslow’s hierarchy of needs (adapted from Maslow, 1970) versus the function of packing hierarchy pyramids(own elaboration).
2. Materials and Methods
The search for patenting documents of the literature was performed using the keywords related to the multilayer packaging technology for food and its corresponding IPC codes from 1980 to 2008 and using free patent information banks, such as Espacenet and USPTO among others.
This method has the following limitations: (1) most inventions (80%) result in patents, although not all inventions that may become a patent registration, and thereafter a patent-the reasons range from a limited budget, strict criteria with the preparation of patent documents difficulties with the record in the patent office, decline for fear of imitation, by the choice of the secrecy of research; (2) the time lag between the invention, the registration of patent applications and data availability of these patent documents in official databases, so that in case of very recent deposits, the update of information is not available (in most cases) in less than 18 months after the deposit due to the period of secrecy adopted by the existing patent systems around the world.
Thus, the ownership of data and the stratigraphy of searches obtained from the processing of these data were made possible through technological forecasting performed in this work to create a mapping of developments in technology and point out the barriers and the technological challenges of the technology studied.
Fig. 3 Patenting documents, for layered products and layered products applied to foods or foodstuffs, between 1980 and 2008.
3. Results and Discussion
From the data obtained, it was possible to map the temporal evolution of the layered product as well as the layered product applied to food, Fig. 3 shows that in 1986 stagnation followed by a more pronounced inflection in the case of layered products in general and a more subtle inflection to the layered products applied to food products. The analysis of the curves of the graph, which reveals a very important event took place worldwide (1992-1994 and 2003).
In a first investigation, considering the nature of products in focus, it was suggested that the anomalies on the curves were due to disasters or calamities of natural order. These alleged events, sparked the global packaging industry to compose products in layers to mobilize for the patent development.
It is known that the patents are related closely to technological development due to the intrinsic nature of industrial property rights such as patents. Therefore, the rise of patent protection leads us to the conclusion that in this period (1992-1994 and 2003, respectively) there was the interest in protecting the technical question regarding this type of containers with marke reservest potential.
Moreover, more detailed research about the events in this interstice time revealed that these respective periods suffered from high incidence of wars in the Persian Gulf (1990-1991) and the Iraq War (2003).
Therefore, in Fig. 3 it can be concluded that both curves show an upward trend over the years. As the curves follow in parallel they indicate proportionality between them. So, the patenting documents on multilayer packaging technology for food represent around 17% of the documents on patenting multilayer packaging technology. The evolutionary behavior of Fig. 3 suggests a clear relationship between these conflicts and the development of industrial packaging layered products. Since the regions where the battles have occurred pronounced temperature gradients along the same day and therefore, to ensure food supplies for the troops, it was necessary to develop specific technologies for protection, for example, against the extreme heat and low humidity.
For a specific analysis for the food sector, we pick the data shown in Fig. 4, it was noted that the protection of patents around the world for the sector, between 1980 and 1988, did not reach the average of 50 patents per year. However, this reality tends to suffer an abrupt change with the arrival of the 90’s. For example, until 1989, interest in the patent protection had reached a 50% increase over the annual average for the sector. Culminating in the years 1991 and 1992, an increase of over 100% in the number of patents published in the world in relation to the period from 1980 to 1988.
It is highlighted by the review of data from the table before 1996 that the world had never seen a sudden interest in some of the patents for food products in layers, as in 1994. That year, the global patent production exceeded 300%, more than the average required for the 80’s.
Fig. 4 Patenting documents, for layered products applied to foods or foodstuffs, between 1980 and 2008.
This production had a significant patent foundation. The distribution of documents on patenting multilayer packaging technology for foods or foodstuff achieved over the years is shown in Fig. 4. A growth of over 500% is observed, regarding the number of deposits in this period, with the presence of two growth peaks. These two peaks were in 1992-1994 and 2003, and matches, respectively, the Persian Gulf (1990-1991) and Iraq Wars(2003-invasion of Iraq). The time lag between the invention and the patent documents could be observed in the first peak, where the packing was developed during the Persian Gulf War but the patents documents appear about two years later. The second peak does not show this time lag because the Iraq Wars have a pre-war intelligence period between 2001 and 2003.
Through the analysis of condensed information for patent documents obtained in the search, the construction of the graph shown in Fig. 5 was made possible. The technological information contained therein reveals that some countries of the world are highlighted in this “patent race”. These are countries which patent analysis, refers to them as priority countries. For more discernment about the topic, it is reported that a priority country is the country where the patenting was first deposited before the protection is extended to other countries. It indicates the attractiveness of a country’s patenting process, the quality of intellectual property laws (rules and cost of patents), the reputation of the patent office and the wider economy, for example, the size of the market[13]. Since there is no truly global patent office, the inventor must have its request granted by the patent office of each country that he wishes to have protection. The first presentation is the priority document, in other words, they have a right of priority under the Paris Convention. After the deposit the applicant has one year to make the deposit in other countries where he wants to have patent protection [14].
Fig. 5 Country’s priority of the patenting documents.
So it is interesting to evaluate the priority countries of patent documents found in this work. Fig. 5 represents the distribution of documents on patenting multilayer packaging technology per priority countries. Note that only 12 priority countries hold over 90% and only 2 priority countries hold over 50% of patents, notably: 38% Japan; 23% The United States of America; 7% Canada and 6% Germany. It concluded that the document is focused on distribution by priority countries.
The distribution of the main companies that have obtained the patenting documents studied is shown in Fig. 6. Note that 30 companies account for 49% of the total, indicating focused distribution of this technology by main companies, the Nippon and Mitsubishi holdings have outstanding performances holding, respectively, 110 and 108 patenting documents, there is a high incidence of companies in the film industry and that of small electronics. These holding companies share the market for packaging films formed by multi-layered, with holding companies such as Hoechst, BASF, Bayer, etc.. As the latter company, specializing in products applied in layers for food preservation.
It is understood that there is a close relationship with respect to the preservation and conservation, for example, films or other small electronic parts or equipment, food products and foodstuff. Largely due to the need for conservation or preservation of a product against the humidity, sudden change of temperature and microbial attack. Perhaps these functional similarities justify the significant number of companies producing packaging films and films for protection of electronic equipment.
The graphs in Fig. 7 provide us with relevant information regarding market concentration of firms as well as which the main companies (stakeholders) are operating in the layered products for food.
First, it appears that there is a strong concentration of companies in the sector. This can be seen in the pie chart, which showed a percentage of 62.8% of total patenting documents concentrated in just 38 companies, compared to 37.2% of documents remaining, which are concentrated in 262 companies.
Through an analysis of the companies cited in the bar chart, we see that the market consists of companies operating in a wide range of fields, such as raw materials, processing and printing machines. The main companies producing high patent in the food sector are, in alphabetical order: (1) Cryovac, (2) Dainippon, (3) Grace W R & CO, (4) INT paper, (5) Mitsubishi Shoji Packaging Corporation, (6) Showa Denko, (7) Tetra Laval, (8) Tetra Pak, and (9) Toppan Printing. All production with over 10 patent documents are in this period.
Fig. 6 Companies of the priorities of the patenting documents.
Fig. 7 Companies of the priorities of the patenting documents on layered products for food.
There are also companies in the printing industry in multi-layer packaging that are quite significant (for example, Toppan Printing and INT paper), accompanied by those of supply of raw materials (e.g., Holdings da Mitsubishi), besides companies making multilayer food packaging which are inserted positively in this scenario(e.g., Cryovac, Mitsubishi Shoji Packaging Corporation, Tetra Laval, Tetra Pak, etc.).
As to the countries involved in armed conflicts, reported in the previous analysis, it appears from the graph of Fig. 8 that the United States, Germany and Canada showed peaks of patent protection between the years 2000 to 2006, more specifically, in the year 2003(year of the Iraq War). It should be noted that the three countries have been participating in the coalition led by the United States and England.
Japan shows a behavior rooted in market stability. There were profound changes in the interest of patent protection during the period of analysis. Its inflection focuses more clearly between the years 2000 to 2003 and provides for the downward trend in the interest of industry patents in subsequent years with a total drop of 40%.
For China, it is known that it is a nation with a booming trade, even in the field under review. It is shown with the graph in Fig. 8, this country has a growing tendency to invest in patent protection in the industry of packaging products of multiple layers. Comparing the production of patents in China in 2008 for the sector under review, compared to patent protection observed in 1998 was estimated at somewhere around 15 times the rate of increase in patent documents for the topic.
With respect to documents obtained in the search, you can determine which are the main codes of International Classification of patents. This distribution of main IPCs is shown in Fig. 9. We have as main classifications in relation to frequency, which appear in the documents obtained, B32B, B65D and C08. The most relevant classification is B32B (layered products) with 56%, followed by B65D (packages and packing elements) with 26% and C08 (organic macromolecules compounds and compositions) with 14%. The description of the IPC obtained is presented in Table 1.
The patent documents are classified as to their inventive information and this could be done by function or application of the invent. The B32B IPC’s classification is a typical classification of function and the B65D is a typical classification of application, so it is common to classify a patent document on both classifications indicating the document refers to a patent of a layered product used as a package, and when also associate with the C08 classification which indicates that the innovation occurs in the chemical structure of the layer.
The main raw materials of the layers for the multilayers packages are: paper, aluminum, polyethylene-PE, vinyl acetate-EVA, ionomers, polypropylene-PP, polystyrene-PS, polyvinyl chloride-PVC, polyester-PET, polyamides-PA, polyvinyl alcohol-PVOH, copolymers of ethylene-vinyl alcohol-EVOH and vinylidene chloride-PVDC.
The special needs of the products demand the development of new specific layers, such as, antimicrobial, antibacterial, aseptic, anti-fogging, degradable, biodegradable, low gas permeability, gas barrier, light-prevention, deoxygenating agent, pressure-regulation, humidity and oxygen transmission and controlling exposure to oxygen, and, oil-resistant.
One problem of the multilayers packages is the waste, e.g. the degradation of the package, so these products are not environmental friendly, becoming the focus of the re-utilization and recycling. For example, Tetra PakTM recycles their multilayer product into paper fibers, paraffin and aluminum [15].
Fig. 8 Patenting documents obtained by the principal priorities over the years.
Fig. 9 Patenting documents obtained by the principal IPCs over the years.
Table 1 Description of the main classifications (IPC) found in the patent documents obtained.
4. Conclusion
By carrying out this work, it was demonstrated the potential of strategic information that patents can offer to support a process of managing and monitoring technology for layered products for foods and/or foodstuff.
Mapping the evolution of technologies, show the historical evolution of the production of patents in a particular topic/subject throughout the years, and in this work we concluded that patenting documents multilayer packaging technology for food growth of over 500% from 1980 to 2008, with the presence of two growth peaks, 1992-1994 and 2003, and matches, respectively, the Persian Gulf (1990-1991) and Iraq Wars (2003-invasion of Iraq).
It is also seen that patenting document are focused on the distribution by priority country, once 112 priority countries hold over 90% and only 2 priority countries hold over 50% of patents, notably: 38% Japan; 23% The United States of America; 7% Canada and 6% Germany. In detail, the patenting documents obtained by the priority country over the years show: Japan showed a declining trend after 2000 with total drop of 40%, United States, China, Germany and Canada peaked in 2003.
The positioning of a company as to its competitors: It may be useful in mapping areas of interest and focus of businesses in the country of choice, priority, or even understand the strategy of its competitors. Thus, in case of product technologies for layered products for foods, we have a distribution focused on companies, once 30 companies account for 49% of the total, showing a focus distribution of this technology, the Nippon and Mitsubishi holdings have outstanding performances holding, respectively, 110 and 108 patenting documents.
This study does not exhaust the subject, but contribute to the field of management, monitoring and forecasting technology, as well as decision makers at the government, academia and the private sector working in the field of applied layered product for foods.
In general, the main points still to be explored in this issue concern to:
As an analysis using classification and relationship resulting in the interaction and the relationship between patents on a given topic/subject the results of this analysis are very significant, for example, a mapping of the sector of technology for layered products for foods of a department P&D;
Another point is the evaluation of network experts that return to an analysis of innovation networks, using the tools of social networks analysis, professionals, technicians, researchers and specialists in a particular assigned subject, as well as their relationships and the work performed together.
Acknowledgments
INPI-The National Institute of Industrial Property of Brazil.
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