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Patent Trend Analysis for Cosmetic Products Innovations

1Patel Amitkumar Chandubhai

Gujarat Technological University, Chandkheda, Ahmedabad, India

Email: [email protected] , [email protected]

Abstract

In present research work we have analyzed the patent trend with respect to innovations and latest technology areas in the cosmetics product and industry. The investigation was conducted using PatSeer patent database, for the data range of last twenty years from January 1999 to April 2018 using keyword and IPC classification based search strategy. The search was carried out based on three major IPC Main Groups as A61Q5/00, A61K8/00 and A61Q19/00, which represents innovations related to Preparations for care of the hair, Cosmetics or similar toilet preparations and Preparations for care of the skin respectively. The search was carried out to evaluate the data of patent numbers with respect to Priority Country, Current Legal Status, Patenting Trends, Major Current Owner of Technologies, Assignee Type, International Patent Classification (IPC) Group Data, and Technology Topics over the last 20 years. The Patent analysis revealed maximum innovations are been performed in the area of preparations for care of the skin than those of hair and other cosmetic and toilet preparations. Majority of innovations are generating from European countries, and countries with most patent filing in this domain are USA, Japan and France. Large number of patents are in inactive phase due to the reason either of withdrawal, surrender, expired, nonpayment of fees, rejected, refused or suspended. Loreal SA is the one who holds the maximum patents in all three areas under analysis, while other top filer and technology holder includes: Procter & Gamble Co, Unilever NV, Shiseido Co Ltd and Kao Corp.

Keywords: Cosmetic, Patent, Innovation, Trend, Analysis

1. Introduction

Cosmetics which also involve personal care products which are consumed every day for individuals along their life. Why to study Perfume, Cosmetic and Toiletry industry? The answer is very simple, it is a significantly vital industry not necessarily in terms of its contribution to global GDP, but also by its striking influence on the colorful lighting social lives of humans globally. The use of cosmetics, fragrances, and personal care products can be traced back to very long ancient times as early as Egyptian, Greek, and Roman eras. Here are some examples from history. Neanderthal man painted their face with reds, browns, and yellows derived from clay, mud, and arsenic. Bones were used for curling hair. Makeup, tattoos, and adornments were used to convey necessary social information. The Romans used oil-based perfumes on their bodies, in their baths and fountains, and also applied them to their weapons. Crusaders of the 13th century brought fragrances back to Europe from the very Far East. The perfumes developed during the 16th century were powders or gelatinous pastes instead in the form of only liquids. Natural perfumes were made from a variety of ingredients containing varied aroma. [1, 2]

International Journal of Innovative Research & Studies

Volume 8, Issue V, MAY/2018

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People often use the term "personal care products" to mention to a wide variety of items that we commonly find in the health and beauty sections of drug and department goods. The term "personal care product," however, is not well-defined by law. [3]

Under the law, some of the products usually referred to as "personal care products" are cosmetics. These include, for example, skin conditioners, perfumes, lipsticks, fingernail polishes, eye and facial makeup formulations, shampoos, permanent waves, hair colors, toothpastes, and deodorants. Some, however, are controlled as drugs. Among these are skin protectants (such as lip balms and diaper ointments), mouthwashes marketed with therapeutic claims, antiperspirants, and treatments for dandruff or acne. [3]

Some "personal care products" meet the descriptions of both cosmetics and drugs. This may happen when a product has two envisioned uses. For example, a shampoo is a cosmetic because its intended use is to wash the hair. An antidandruff behavior is a drug because its intended use is to treat dandruff. Consequently, an antidandruff shampoo is both a cosmetic and a drug, because it is proposed to cleanse the hair and treat dandruff. Among other cosmetic/drug combinations are toothpastes that contain fluoride, deodorants that are also antiperspirants, and moisturizers and makeup advertised with sun-protection claims. Such products must comply with the necessities for both cosmetics and drugs. [3,4]

Generally, drugs must either receive premarket authorization by administrative authorities or conform to final guidelines specifying conditions whereby they are generally accepted as safe and effective, and not misbranded. Cosmetic products and ingredients are not subject to administrative authority’s premarket approval, with the exception of color additives. Cosmetic companies are responsible for substantiating the safety of their products and elements before marketing. [5]

In addition, certain "personal care products" may belong to other regulatory categories, including medical devices (such as few hair removal and microdermabrasion devices), dietary supplements (such as vitamin or mineral tablets or capsules), or other user products (such as manicure sets). [5]

United States, Defines cosmetics as “(1) articles intended to be rubbed, poured, sprinkled, or sprayed on, introduced into, or otherwise applied to the human body or any part thereof for cleansing, beautifying, promoting attractiveness, or altering the appearance, and (2) articles intended for use as a component of any such articles; except that such term shall not include soap” [5, 6]

European Union, Defines cosmetics as “any substance or preparation intended to be placed in contact with the various external parts of the human body (epidermis, hair system, nails, lips and external genital organs) or with the teeth and the mucous membranes of the oral cavity with a view exclusively or mainly to cleaning them, perfuming them, changing their appearance and/or correcting body odours and/or protecting them or keeping them in good condition” [5, 6]

Definitions are important as they lure a legal line amongst cosmetics and drugs, control labelling requirements and other product standards, and prescribe the types of statements manufacturers can make for their products. This difference is being blurred by a group of products frequently referred to as ‘cosmeceuticals’; however, this term has no legal definition and is not recognized in any present regulations. [7]

It will be very interesting and value to get familiar with the characteristics and background of this industry. Financial and SWOT analyses could provide additional insights into the industry. Probing current conditions and trends and also the level of complexity in the deployment of technology and innovations would unfold some misapprehensions about the industry. The impacts of globalization on this industry is yet another significant issue to explore. Once equipped with this knowledge, a few industry projections can be made. [8]

In 2016, the worldwide cosmetic market grew an estimated of four percent in against of the previous year. Skincare, make-up, perfumes, hair care, toiletries and deodorants, and oral cosmetics are the primary product categories of the cosmetic market. Skincare was the foremost category, accounting for about 36 percent of the worldwide market. Hair care products made up a further 23 percent, while



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make-up accounted for 18.2 percent in 2016. Skin care has been forecast to persist the most profitable product category, as its market value is expected to grow by 20.1 billion U.S. dollars between 2014 and 2019. As of 2016, Asia and Oceania was the industry leader, accounting for almost 40 percent of the global market. Between 2016 and 2021, the Asia Pacific mass beauty market is expected to raise by nearly 14.9 billion U.S. dollars in sales. [1,9]

The manufacturing of cosmetics and beauty products is controlled by a handful of multi-national companies, such as – L'Oréal, Procter & Gamble Co, Unilever, The Estee Lauder Companies, Lancôme and to name a few. As of 2016, the French cosmetics company L'Oréal was the foremost beauty manufacturer in the globe, generating about 28.6 billion U.S. dollars in revenue in 2016. The company possesses the leading personal care products worldwide, L'Oréal Paris, valued at 23.89 billion U.S. dollars in 2017. L'Oréal Paris is also a market leader, who is also one of the foremost companies in cosmetic innovation. [1,8,9]

The cosmetic industry has benefited from the growing popularity of social media networks. These platforms are not only extremely influential amongst definite groups, but generate a demand for beauty products and help to fill the gap amongst cosmetics brands and users. [6,10,11]

Cosmetic products may comprise the large number and proportions of the natural or synthetic constituent of approximately 30,000 kinds, of which 28,367 takes place as cosmetic component in the official website of European Union (EU). [4,12,13]

Continuous innovation is a necessity of every industry and cosmetics industry is also doing well for the same. Increasingly, companies seek to protect their innovations through suitable types of IPR, preferably patents, which are becoming dominant to their research and development, marketing and commercialization strategies. [14,15]

The distribution mechanism is changing to online sales channels which increase their shares in the overall market, new product launches are based on progressive research and technologies will keep emerging, the demand for natural or organic goods will keep increasing. [11]

Innovation in accordance with the science and technology advances have gained much more significance in the cosmetic industry. These developments depend on many factors while the structure of Intellectual Property Rights (IPR) systems are the most important element. Advancement of creativity and innovation needs effective protection of IPR. [14,16]

Innovation, which has critical importance in cosmetic industry can be available for ingredients, formulation, product category, production/manufacturing techniques and packaging. The most common areas of innovation in the cosmetic industry can be counted as biotechnology, nanotechnology, the use of pharmaceutical carrier systems, antiaging products, multifunctional products, development of in silico methods, personalized products, and 3D printing. [14,15,17,18]

Intellectual Property (IP) is briefly the knowledge that somebody possesses. For cosmetic industry generally three types of intellectual property is applicable; copyrighted creative works (music, film, books, etc.), patent protected inventions and trademark registration for brand name products. In addition to above mentioned key types of IP, IP protection can also be expandable for protection of technical material, accumulation of data in databases that protects the rights, trade secrets and/ or design rights. In the cosmetics industry, IPR covers patent, trademark registration, manufacturing techniques, formulation as trade secrets, package design and packaging techniques. In cosmetics in dustry registration of these types of IP provides information about the legal rights of the rights holders, owner, expiry date of the protection, the nature of the ownership. [2,14,19]



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2. Methodology

In present work, we applied patent analysis to identify the innovation trends in cosmetology or cosmetic industry. Comparing and analyzing data on different parameters. The results are showing the patent trends in cosmetic innovations. Present study provides data and analysis on the following things: Priority Country, Current Legal Status, Patenting Trends, Major Current Owner of Technologies, Assignee Type, International Patent Classification (IPC) Group Data, and Technology Topics over the last 20 years.

In order to get a quantitative estimation of such patent trend analysis, we have analyzed the patent data available on Patent research and collaboration platform PatSeer. PatSeer is a one-stop analysis and collaboration platform for Patent and Non-patent Literature search. PatSeer offers various search, analysis and visualization tools for effectively looking in to large volume of data. We found that most patents filed, published or granted are captured in to the database with very short period of time after their original release by various publishing authorities. PatSeer includes full text patent data from 51 countries, it also includes searchable English translations and bibliographic data from 104+ countries as part of INPADOC data. It includes approximately 74 million full-text records in a database of 115 million+ records. This allow completion of a patent trend analysis to the latest data.

To analyses the patent trends of last twenty years between January 1999 and April 2018 in the area of cosmetics, the method for selection of patent data and documents was made based on the selection of appropriate International Patent Classification (IPC) Code of each patent document.

All patents are systematically classified according to their specific technical field. Though various national classification systems exist, the International Patent Classification (IPC) system is a common system shared by all patent offices. Further information on the IPC, including how to use keywords to find the right classification, is available at, http://www.wipo.int/classifications/ipc. [17]

We examined firstly the whole database via using word cosmetic* in to title, abstract, claim and description part of all patent documents of datable. Asterisk character code was used to retrieve all likely patents from patents which includes word cosmetic or all its possible similar words. A total of 133857 results were found for the same, further from all available results, they were analyzed based on International Patent Classification (IPC) Code of each patent document, and most relevant IPC classes were been identified, which were related only to cosmetics. This has led to finalizing of three major IPC Main Group as: A61Q5/00, A61K8/00 and A61Q19/00.

IPC A61Q subclass is related to Specific use of cosmetic or similar toilet preparations, then IPC A61Q5/00 Main Group is related to Preparations for care of the hair, IPC A61K8/00 Main Group is related to Cosmetics or similar toilet preparations and IPC A61Q19/00 Main Group is related to Preparations for care of the skin.

3. Result and Discussion

To analyses the patent trends between January 1999 and April 2018 in the area of cosmetic via PatSeer database, we had carried out search using following IPC Main Groups: A61Q5/00, A61K8/00 and A61Q19/00 and data collected as on 30th April 2018.

The search for said IPC Main Groups were conducted on PatSeer database with two strategies, direct search with IPC Main Group without any deduplication of results, and search with IPC Main Group with deduplication of results based on application number to narrow down the results as well to remove the duplicate values. The results of such search is shown in below Table 1.



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Table 1: IPC Main Group based patent search for cosmetics patents on PatSeer database.

IPC Main Group

IPC Main Group Definition

With no deduplication of

result records

With Deduplication of results based on

application number of records

A61Q5/00 Preparations for care of the hair

69073 60189

A61K8/00 Cosmetics or similar toilet preparations

173043 145788

A61Q19/00 Preparations for care of the skin

171874 152149

The information collected is based on most relevant IPC Main Group data, which was further analyzed on various parameters: Priority Country, Current Legal Status, Patenting Trends, Major Current Owner of Technologies, Assignee Type, International Patent Classification (IPC) Group Data, Technology Topics related to in cosmetic innovation patents and results were found as following:

Priority Country

To analyze the countries, where in the major innovations were been developed in these areas, in present study we had analyzed the top countries from where the innovations are first generated, the priority country. This represent the key countries where in maximum R&D was involved for development of new technology in said domains. Data was analyzed to sort top fifteen innovator countries for each mentioned IPC Main Group.

In Table 2 data for top fifteen priority country is been provided for each of said IPC Main Groups. in descending order of filled patent applications. In Figure 2-4 graph for top fifteen priority countries is represented for each IPC Main Group.

Table 2: Data for top fifteen priority country

Sr. No.

A61Q19/00 (Preparations for care of the skin)

A61K8/00 (Cosmetics or similar toilet preparations)

A61Q5/00 (Preparations for care of the hair)

Priority Country

Priority Country

Code

Total Applications

Priority Country

Priority Country

Code

Total Applications

Priority Country

Priority Country

Code

Total Applications

1 USA US 35429 USA US 39358 France FR 14807

2 Japan JP 27942 Japan JP 37872 USA US 13024

3 France FR 23008 France FR 28075 Japan JP 12011

4 China CN 18842 Germany DE 13841 Germany DE 6928

5 Germany DE 13416 U.K. GB 9823 U.K. GB 3570

6 Korea KR 9072 Europe EP 3988 Europe EP 2616

7 Europe EP 5802 Luxembourg LU 2947 Luxembourg LU 1679

8 U.K. GB 5497 Switzerland CH 1552 Korea KR 1133

9 Italy IT 2322 Italy IT 1454 China CN 985

10 Switzerland CH 1069 Korea KR 1016 Switzerland CH 579

11 Luxembourg LU 1067 Australia AU 558 Italy IT 532



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Sr. No.




Priority Country

Priority Country

Code

Total Applications

Priority Country

Priority Country

Code

Total Applications

Priority Country

Priority Country

Code

Total Applications

12 Australia AU 664 Sweden SE 477 Denmark DK 186

13 Sweden SE 550 India IN 424 Australia AU 179

14 Hungary HU 514 Denmark DK 397 India IN 160

15 Russia RU 514 Hungary HU 342 Hungary BR 138

Figure 1: Graph for Priority Country A61Q19/00 (Preparations for care of the skin)

Figure 2: Graph for Priority Country A61K8/00 (Cosmetics or similar toilet preparations)



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Figure 3: Graph for Priority Country A61Q5/00 (Preparations for care of the hair)

Current Legal Status

To analyze the current legal status of available large number of patent documents, which were filled across the world by various applicants. They were analyzed to check how many patents were in force, how many were expired, and expired for what reasons, How many were withdrawn etc.

The available patent data set was further analyzed to obtain details related to current legal status of said patent documents in all jurisdictions where ever they had been filed application. All patents were been grouped based on their status of applied, active, inactive, expired, withdrawn, surrendered, granted, revoked, refused, SPC etc. Here SPC is to be considered as patent term extension. Table 3 below represent the statistics for Current Legal Status of all relevant patents data set. Figure 4-5 below represent the graphical representation for Current Legal Status of all relevant patents data set.

Table 3: Current Legal Status of all relevant patents data set

Sr. No. Current legal status A61Q19/00 A61K8/00 A61Q5/00

1 Inactive - Expired 37629 56348 19711

2 Active - Granted 34120 22963 11423

3 Active - Applied 33830 14507 7856

4 Inactive - Nonpayment 19080 28037 10604

5 Inactive - Withdrawn / Surrendered 15453 12587 6227

6 Inactive - Rejected / Refused / Suspended

10835 10028 3791

7 Inactive - Opposition / Revoked 431 843 306

8 SPC Inactive - Expired / Rejected 3 4 2

9 SPC Active - Granted / Applied 2 0 2



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Figure 4: Graphical representation for Current Legal Status of all relevant patents data set, A61Q19/00 (Preparations for care of the skin)

Figure 5: Graphical representation for Current Legal Status of all relevant patents data set, A61K8/00 (Cosmetics or similar toilet preparations)

Figure 6: Graphical representation for Current Legal Status of all relevant patents data set, A61Q5/00 (Preparations for care of the hair)



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Patenting Trends

Further analysis was made to check for the patent filing trend in these domains from time period of 1st January 1999 till 30th April 2018. To this we have analyzed the data for how many patent applications were filed and how many patents were granted in total, on yearly basis during said time period. Cumulative data for filing and grant of patents from all countries across the world, available on PatSeer database were been analyzed.

Further the data set is analyzed to check for the total number of patent applications were been filed in all jurisdiction in a defined period of time, and total number of relevant patents granted by all jurisdiction in to same amount of time period. The data were been analyzed on yearly basis starting from January 1999 to April 2018. Table 4 below represents the patenting trend, data for total number of patent applications filed and total patents granted on yearly basis by all jurisdictions in cumulative manner. Figure 7-9 represents the graphical representation of patenting trend, data for total number of patent applications filed and total patents granted for same data.

Table 4: Patenting Trend

Sr. No.

Year




Applications Filed

Grant Published

Applications Filed

Grant Published

Applications Filed

Grant Published

1 1999 4308 2193 7242 3617 2184 1244

2 2000 5084 1825 7753 2951 2618 1045

3 2001 6223 2273 8725 3660 3009 1244

4 2002 6017 2674 7977 4143 2958 1555

5 2003 5840 2946 6079 4321 2447 1416

6 2004 5022 2908 4010 4608 1887 1489

7 2005 4434 2723 3302 4091 1575 1327

8 2006 3581 3091 981 4205 1033 1488

9 2007 3537 2945 914 3842 1080 1440

10 2008 3849 2817 699 3257 1038 1294

11 2009 3627 2315 548 2329 1077 964

12 2010 4308 2261 519 2133 1184 976

13 2011 4591 2341 450 1891 1203 821

14 2012 4965 2449 504 1159 1257 770

15 2013 5824 2609 322 741 1015 733

16 2014 6342 2681 358 604 1139 690

17 2015 6974 2836 315 423 931 671

18 2016 6846 3303 212 323 879 689

19 2017 5193 3659 74 354 553 773

20 2018 31 1269 1 80 2 225



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Figure 7: Graphical representation for Patenting Trend A61Q19/00 (Preparations for care of the skin)

Figure 8: Graphical representation for Patenting Trend A61K8/00 (Cosmetics or similar toilet preparations)

Figure 9: Graphical representation for Patenting Trend A61Q5/00 (Preparations for care of the hair)



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Current owner (Assignee):

From initial screening of records related to top priority countries, current legal status of filed patent applications, patent filing trend now further analysis was made to identify the major current owner of technologies. It was analyzed to identify who holds the maximum number of patents in said areas of cosmetics.

Patent data set was analyzed further to check for the top assignee/current owner of maximum patents in these areas. The top assignees had been find out based on the maximum number of patent applications filed and granted, holds by any assignees from all relevant patents data set. From the whole patents data set attempt was made to identify top fifty assignees in each of key technology areas related to cosmetics. Table 5 below represents the patenting trend, data for top fifty assignees worldwide who holds maximum number of patents in these domains. Figure 10-12 is a graphical representation to show the top fifty current owners of patents with number of patents hold by each owner in each areas.

Table 5: Top Fifty Current Owners

Sr. No.




Current Owner Total

Patents Current Owner

Total Patents

Current Owner Total

Patents

1 LOREAL SA 12803 LOREAL SA 25267 LOREAL SA 13002

2 PROCTER & GAMBLE CO



4571

3 UNILEVER NV 4611 UNILEVER NV 8441 UNILEVER NV 2947

4 SHISEIDO CO LTD 3866 KAO CORP 5755 KAO CORP 2268

5 KAO CORP 2602 SHISEIDO CO LTD 4216 HENKEL AG & CO KGAA

1743

6 MAXINGVEST AG 2534 COLGATE PALMOLIVE CO

3129 SHISEIDO CO LTD 1413

7 JOHNSON & JOHNSON

2242 HENKEL AG & CO KGAA

2891 BASF AG 1138

8 BASF AG 2241 LION CORP 2534 ABBOTT LAB 977

9 HENKEL AG & CO KGAA

1742 JOHNSON & JOHNSON

2008 LION CORP 801

10 AMOREPACIFIC CORP

1581 KANEBO LTD 1997 DOW CHEM CO 751

11 DOW CHEM CO 1540 BASF AG 1594 MAXINGVEST AG 614

12 ABBOTT LAB 1425 POLA CHEM IND INC

1439 KANEBO LTD 451

13 POLA CHEM IND INC

1072 MAXINGVEST AG 1370 JOHNSON & JOHNSON

401

14 KOSE CORP 989 DOW CHEM CO 1260 COLGATE PALMOLIVE CO

368

15 NESTLE SA 909 GLAXOSMITHKLINE PLC

1257 GALDERMA RES & DEV

367

16 KANEBO LTD 877 ABBOTT LAB 1201 ASHLAND INC 278

17 COLGATE PALMOLIVE CO

855 KOSE CORP 1148 L OREAL 273

18 DSM NV 823 PFIZER INC 963 SANOFI SA 272

19 KIMBERLY CLARK CORP

809 BRISTOL MYERS SQUIBB CO

844 CIRD GALDERMA 268



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Sr. No.




Current Owner Total


Total Patents

Current Owner Total

Patents

20 LG CORP 735 SANOFI SA 783 DSM NV 266

21 GALDERMA RES & DEV

635 NOEVIR HOLDING CO LTD

699 ROCHE HOLDING AG 265

22 NOEVIR HOLDING CO LTD

635 MERCK GROUP 686 POLA CHEM IND INC 256

23 AVON PROD INC 612 SUNSTAR INC 682 GALDERMA SA 252

24 CRODA INT PLC 555 NOVARTIS AG 644 CRODA INT PLC 247

25 PFIZER INC 541 CIBA SC 563 ICHIMARU PHARCOS INC

238

26 SANOFI SA 541 GIVAUDAN SA 483 CIBA SC 230

27 ESTEE LAUDER CO INC

536 MITSUBISHI GROUP

463 FIRMENICH SA 228

28 ASHLAND INC 533 CURTIS HELENE IND INC

449 CLARIANT INT LTD 224

29 GLAXOSMITHKLINE PLC

529 NESTLE SA 438 CURTIS HELENE IND INC

206

30 FABRE SA 524 FIRMENICH SA 435 MERCK GROUP 206

31 HAYASHIBARA BIOCHEM LAB INC

495 3M CO 427 AMOREPACIFIC CORP

204

32 MERCK GROUP 490 COLOR ACCESS INC 420 MITSUBISHI GROUP 204

33 EVONIK INDUSTRY AG

486 DSM NV 420 KOSE CORP 203

34 CLARIANT INT LTD 468 ROCHE HOLDING AG

401 AVON PROD INC 197

35 LION CORP 441 RHONE POULENC CHIMIE

390

CENTRE INTERNATIONAL DE RECHERCHES DERMATOLOGIQUES CIRD

194

36 GALDERMA SA 429 AVON PROD INC 389 ESTEE LAUDER CO INC

190

37 INDENA SPA 403 L OREAL 384 HOWA MACHINERY LTD

190

38 LVMH RECH 396 CLARIANT INT LTD 374 SYMRISE AG 189

39 ROCHE HOLDING AG

387 INDENA SPA 367 GLAXOSMITHKLINE PLC

187

40 AJINOMOTO CO INC

382 ASHLAND INC 362 ENERGIZER HOLDING INC

186

41 MARY KAY INC 372 GALDERMA RES & DEV

356 AJINOMOTO CO INC 185

42 NOF CORP 353 SANSHO SEIYAKU KK

355 SUNSTAR INC 183

43 COLOR ACCESS INC 352 HOWA MACHINERY LTD

352 NOVARTIS AG 180

44 BAYER AG 349 ICHIMARU PHARCOS INC

351 GIVAUDAN SA 172

45 SYMRISE AG 324 AJINOMOTO CO INC

340 3M CO 171



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Sr. No.




Current Owner Total


Total Patents

Current Owner Total

Patents

46 CIBA SC 322 NONOGAWA SHOJI YK

336 CIRD 171

47 ICHIMARU PHARCOS INC

322 CIBA SPECIALTY CHEM HOLDING INC

321 NESTLE SA 169

48 SEPPIC SA 318 CIRD GALDERMA 321 PFIZER INC 168

49 COTY INC 314 CRODA INT PLC 316 LG CORP 157

50 SHOWA DENKO KK 309 LILLY CO 310 GALDERMA RESEARCH & DEVELOPMENT SNC

156



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Figure 10: Top Fifty Current Owners A61Q19/00 (Preparations for care of the skin)



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Figure 11: Top Fifty Current Owners A61K8/00 (Cosmetics or similar toilet preparations)



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Figure 12: Top Fifty Current Owners A61Q5/00 (Preparations for care of the hair)

Assignee Type

After analyzing the patent data set for top current owners of patents, to check the share of patents holding by various broad categories of assignees, a further analysis of patent data set was made based



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on the basis of assignee type. The patents were been grouped in to following groups of assignees: Firm, Individual, University, Government, Hospital, Institutes and Others.

Table 6 below represents a number of patents hold by each type of the assignee for each type of Main IPC Group. Figure 13-15 below represents a graphical representation to show the number of patents hold by each type of the assignee for each of said Main IPC Group.

Table 6: Assignee Type

Sr. No.

Assignee Type

Number of Patent Applications




1 Firm 100415 96585 42096

2 Individual 16720 8440 4280

3 University 4368 1430 586

4 Government 794 410 143

5 Hospital 221 100 16

6 Institutes 12 13 3

7 Other 29158 39053 13203

Figure 13: Assignee Type A61Q19/00 (Preparations for care of the skin)

66%11%

3%1%

0%

0% 19%

A61Q19/00 Number of Patent Applications

Firm

Individual

University

Government

Hospital

Institutes

Other



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Figure 14: Assignee Type A61K8/00 (Cosmetics or similar toilet preparations)

Figure 15: Assignee Type A61Q5/00 (Preparations for care of the hair)

Key IPC Classes

Further to analyze the micro areas of innovations in these broad fields of innovation, the patent data were been analyzed based on the International Patent Classification (IPC) system. IPC analyses of the data set was performed on the IPC Sub Group Data to define micro technical domains of each innovations protected by patents. And attempt was made to identify the total number of patent applications filed in particular technology domains.

All patents are systematically classified according to their specific technical field. Though various national classification systems exist, the International Patent Classification (IPC) system is a common system shared by all patent offices. Further information on the IPC, including how to use keywords to find the right classification, is at, http://www.wipo.int/classifications/ipc. To this research study further attempt was made to analyze the micro areas of technologies, based on the IPC sub group code assigned

66%6%

1%

0%0%0%

27%

A61K8/00 Number of Patent Applications

Firm

Individual

University

Government

Hospital

Institutes

Other

70%7%

1%0% 0%

0%

22%

A61Q5/00 Number of Patent Applications

Firm

Individual

University

Government

Hospital

Institutes

Other



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to each patent by respective authorities. A definition for each of those IPC sub group codes are provided in below mentioned Table 7. Attempt was made to identify top fifty such IPC sub groups which have maximum number of patents classified with said code. Based on the aspect and scope of each patent application, respective authorities may assign one or more IPC sub group codes to patents.

Table 7: Top IPC Sub Group with Definition.

IPC Sub Groups

A61K8/00 - Cosmetics or similar toilet preparations

A61K8/02 - Characterised by special physical form

A61K8/04 - Dispersions ; Emulsions

A61K8/06 - Emulsions

A61K8/19 - Containing inorganic ingredients

A61K8/25 - Silicon ; Compounds thereof

A61K8/30 - Containing organic compounds

A61K8/31 - Hydrocarbons

A61K8/33 - Containing oxygen

A61K8/34 - Alcohols

A61K8/35 - Ketones

A61K8/36 - Carboxylic acids ; Salts or anhydrides thereof

A61K8/365 - Hydroxycarboxylic acids ; Ketocarboxylic acids

A61K8/37 - Esters of carboxylic acids

A61K8/39 - Derivatives containing from 2 to 10 oxyalkylene groups

A61K8/40 - Containing nitrogen

A61K8/41 - Amines

A61K8/42 - Amides

A61K8/44 - Aminocarboxylic acids or derivatives thereof

A61K8/46 - Containing sulfur



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IPC Sub Groups

A61K8/49 - Containing heterocyclic compounds

A61K8/55 - Containing phosphorus

A61K8/58 - Containing atoms other than carbon; hydrogen; halogen; oxygen; nitrogen; sulfur or phosphorus

A61K8/60 - Sugars ; Derivatives thereof

A61K8/64 - Proteins ; Peptides ; Derivatives or degradation products thereof

A61K8/67 - Vitamins

A61K8/72 - Containing organic macromolecular compounds

A61K8/73 - Polysaccharides

A61K8/81 - Obtained by reactions involving only carbon-to-carbon unsaturated bonds

A61K8/86 - Polyethers

A61K8/89 - Polysiloxanes

A61K8/891 - Saturated

A61K8/898 - Containing nitrogen

A61K8/92 - Oils; fats or waxes ; Derivatives thereof

A61K8/96 - Containing materials; or derivatives thereof; of undetermined constitution

A61K8/97 - Of vegetable origin

A61K8/98 - Of animal origin

A61K9/00 - Medicinal preparations characterised by special physical form

A61P17/00 - Drugs for dermatological disorders

A61P17/16 - Emollients or protectives

A61P43/00 - Drugs for specific purposes

A61Q1/00 - Make-up preparations ; Body powders ; Preparations for removing make-up



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IPC Sub Groups

A61Q1/02 - Preparations containing skin colorants

A61Q1/10 - For eyes

A61Q1/12 - Face or body powders

A61Q11/00 - Preparations for care of the teeth; of the oral cavity or of dentures

A61Q15/00 - Anti-perspirants or body deodorants

A61Q17/00 - Barrier preparations ; Preparations brought into direct contact with the skin for affording protection against external influences

A61Q17/04 - Topical preparations for affording protection against sunlight or other radiation ; Topical sun tanning preparations

A61Q19/00 - Preparations for care of the skin

A61Q19/02 - For chemically bleaching or whitening the skin

A61Q19/08 - Anti-ageing preparations

A61Q19/10 - Washing or bathing preparations

A61Q5/00 - Preparations for care of the hair

A61Q5/02 - Preparations for cleaning the hair

A61Q5/04 - Preparations for permanent waving or straightening the hair

A61Q5/06 - Preparations for styling the hair

A61Q5/10 - Preparations for permanently dyeing the hair

A61Q5/12 - Preparations containing hair conditioners

A61Q7/00 - Preparations for affecting hair growth

C08L83/04 - Polysiloxanes

Technology Topics:

After analyzing the full patent data set to find out top fifty IPC groups to identify the micro areas of research, and attempt was made to define a macro level areas of all these patent documents. To see the macro areas of research, the patent documents data set was further been grouped into various groups of



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Technology Topics, the total area of records related to particular technology topics were been shown based on the total number of patent documents pertaining to said domain in present study dataset, which is shown in below Figure 16.

Figure 16: Technology Topics

4. Conclusion

The present analysis of patent documents between January 1999 and April 2018 in the area of cosmetics and more particularly related to the areas of Preparations for care of the skin, Cosmetics or similar toilet preparations and Preparations for care of the hair was carried out by means of patent information analysis so as to get some insights. The analysis was carried out using IPC Main Groups: A61Q5/00, A61K8/00 and A61Q19/00. From the initial screening of records it is found that in cosmetics industry maximum innovations are been performed in the area of preparations for care of the skin as it involves maximum number of patent documents, followed by cosmetics or similar toilet preparations and preparations for care of the hair. From the priority country analysis of all patent documents it was evident that maximum patents were been filed by European countries namely: France, Germany, U.K., Italy, Switzerland, Luxembourg, and Sweden. Apart from Europe the majority of cosmetics relevant innovations were been generated and patents were been filed from: USA, Japan, China, Korea, and Australia. USA, Japan and France these are the top three countries in all three areas of cosmetics patents analysis as part of present study. It was also concluded that apart from patent applications and granted patents in this domain, large number of patents are in inactive phase due to the reason either of withdrawal, surrender, expired, nonpayment of fees, rejected, refused or suspended. From patenting trend it can be observed that, patent filings related to preparations for care of the skin are not showing continuous rise or fall, but it performing well compared to patents in the areas of cosmetics or similar toilet preparations and preparations for care of the hair. The later two areas have reported down fall in patent filing under the time relevant period of data analysis as scope of present study. Further analysis was made to identify major current owners of technologies in this domain, and top 50 assignees had been identified with total number of patents they are holding in each areas. Loreal SA is the one who



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holds the maximum patents in all three areas under analysis, while other top filer and technology holder includes: Procter & Gamble Co, Unilever NV, Shiseido Co Ltd and Kao Corp. Further analysis was made to categorize the patent applications and patents, based on the type of assignee. From this it was evident that, majority of patents were hold by firms, followed by individual and university as assignees. Further the innovations were grouped and analyzed based on micro level in various technical fields, based on various IPC sub group codes, to which areas maximum patent applications were been filed. Patent data was also grouped in various broad technology topics, to identify area of research topics on macro level.

5. References:

[1] S. Kumar, Exploratory analysis of global cosmetic industry: Major players, technology and market trends, 2005.

[2] T. Kitano, Chapter 8 - Development of Cosmetics and Intellectual Property Rights, in: K. Sakamoto, R.Y. Lochhead, H.I. Maibach, Y. Yamashita (Eds.), Cosmetic Science and Technology, Elsevier, Amsterdam, 2017, pp. 121-136.

[3] M. de Maio, The Minimal Approach: An Innovation in Facial Cosmetic Procedures, Aesthetic Plastic Surgery 28(5) (2004) 295-300.

[4] R.S. C., J.J. D., M. Torkil, Natural ingredients based cosmetics, Contact Dermatitis 34(6) (1996) 423-426.

[5] A.E. Newburger, Cosmetic medical devices and their fda regulation, Archives of Dermatology 142(2) (2006) 225-228.

[6] J. Jacoby, C. Small, The FDA Approach to Defining Misleading Advertising, Journal of Marketing 39(4) (1975) 65-68.

[7] F. Caviggioli, G. Scellato, E. Ughetto, International patent disputes: Evidence from oppositions at the European Patent Office, Research Policy 42(9) (2013) 1634-1646.

[8] C.H. Oh, A.M. Rugman, Regional Sales of Multinationals in the World Cosmetics Industry, European Management Journal 24(2) (2006) 163-173.

[9] N.S. Ramli, Immigrant Entrepreneurs on the World's Successful Global Brands in the Cosmetic Industry, Procedia - Social and Behavioral Sciences 195 (2015) 113-122.

[10] K.-K. Papadas, G.J. Avlonitis, M. Carrigan, Green marketing orientation: Conceptualization, scale development and validation, Journal of Business Research 80 (2017) 236-246.

[11] A. Ioanid, D.C. Deselnicu, G. Militaru, The impact of social networks on SMEs’ innovation potential, Procedia Manufacturing 22 (2018) 936-941.

[12] L. Figueiredo, G.L. Erny, L. Santos, A. Alves, Applications of molecularly imprinted polymers to the analysis and removal of personal care products: A review, Talanta 146 (2016) 754-765.

[13] F. Henkler, T. Tralau, J. Tentschert, C. Kneuer, A. Haase, T. Platzek, A. Luch, M.E. Götz, Risk assessment of nanomaterials in cosmetics: a European union perspective, Archives of Toxicology 86(11) (2012) 1641-1646.

[14] BASF presents innovations at in-cosmetics, Focus on Surfactants 2009(6) (2009) 4.

[15] L.H.S. Mattos, M.G. Speziali, Patent landscape: Technology development behind science in the flavor and fragrances (F&F) area, World Patent Information 51 (2017) 57-65.

[16] G. Thoma, Trademarks and the patent premium value: Evidence from medical and cosmetic products, World Patent Information 41 (2015) 23-30.

[17] K. Song, K. Kim, S. Lee, Identifying promising technologies using patents: A retrospective feature analysis and a prospective needs analysis on outlier patents, Technological Forecasting and Social Change 128 (2018) 118-132.

[18] G. Kim, J. Bae, A novel approach to forecast promising technology through patent analysis, Technological Forecasting and Social Change 117 (2017) 228-237.

[19] Innovations at in-cosmetics from Solvay, Cargill & Dow Corning, Focus on Surfactants 2014(6) (2014) 5.



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