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Patent Landscape Analysis of Shape Memory Materials
From mattresses to medical devices, shape memory materials are used across an increasingly wider range of industrial sectors. Donia Ben Zakour, a Consultant in Business Intelligence and Chemistry Specialist, explains what Questel’s patent landscape analysis reveals about innovation in this fast-growing field.
Shape memory materials (SMMs) are advanced materials that can return to a pre-defined shape after being deformed when exposed to a specific stimulus. This unique property is due to their ability to undergo a ‘reversible phase transformation’, with the most common stimuli that trigger this transformation being heat, light, and magnetic fields.
In part two of this blog, we will share our patent landscape analysis of SMMs, including the dynamics of filings over the last 20 years, the key players, the breakthroughs shaping this field, the market coverage, and the geographical hotspots. In the first part, we will introduce the domains covered by our research.
Part One: What Are Shape Memory Materials?
There are two primary types of SMMs: shape memory alloys and shape memory polymers. Their compositions, mechanisms, applications, and major players (as identified by our patent landscape analysis) are summarized below.
Shape Memory Alloys (SMAs)
Composition:
Typically made from metal alloys such as nickel-titanium (NiTi), copper-aluminum-nickel, and copper-zinc-aluminum.
Mechanism:
SMAs can undergo a reversible phase transformation between two distinct crystal structures: a high-temperature phase known as austenite and a low-temperature phase called martensite (pictured below, image source).
Applications:
SMAs are used in a wide range of sectors, including for:
- Medical devices (stents, guide wires):
- Medtronic uses SMAs in its self-expanding stents, which can be compressed for insertion and then expand to support blood vessels once in place.
- Ormco, renowned for its orthodontic innovations, incorporates SMAs into a variety of dental braces, from traditional brackets and wires to cutting-edge clear aligners.
- Robotics:
- SRI International has developed robotic grippers that use SMAs to adapt their shape for better object handling, enhancing the versatility of robotic systems.
- Aerospace components:
- NASA integrates SMAs into deployable structures for spacecraft, allowing components to adapt to different conditions during missions.
- Boeing utilizes SMAs in aircraft systems, such as morphing wing designs that adjust to enhance fuel efficiency and maneuverability.
- Consumer electronics:
- Cambridge Mechatronics specializes in SMA actuators used in smartphone cameras for optical image stabilization and autofocus systems, with over 50 million units shipped across its various brands.
- Cambridge Mechatronics specializes in SMA actuators used in smartphone cameras for optical image stabilization and autofocus systems, with over 50 million units shipped across its various brands.
Shape Memory Polymers (SMPs)
Composition:
Made from polymers that can return to their original shape when triggered by an external stimulus (see box below).
Patent Landscape Analysis
Polymer Matrix:
SMPs are generally based on thermoplastics or thermosets. The polymer matrix forms the bulk material and provides mechanical properties:
- Thermoplastics: Polymers such as polyurethanes (PU), polylactic acid (PLA), or polystyrene (PS).
- Thermosets: Polymers such as epoxy resins or cross-linked polyethylene.
Switching Segment:
This is the segment of the polymer that responds to the external stimulus and undergoes deformation. It typically involves the use of one or more of the following:
- Crystalline Domains: Melting or crystallization of these domains controls the shape transition (e.g., polycaprolactone).
- Glass Transition: Polymers that change between glassy and rubbery states (e.g., polyurethane with varying soft/hard segments).
- Ionic Interactions: Some SMPs use ionic groups that are responsive to pH or ionic concentration.
Cross-linking Network:
Cross-links, either chemical or physical, form a stable network that allows the material to ‘memorize’ its original shape.
- Chemical Cross-linking: Permanent covalent bonds between polymer chains.
- Physical Cross-linking: Physical entanglements or interactions, such as hydrogen bonding.
Functional Fillers:
These are sometimes added to enhance or enable specific responses or improve the properties of the SMP:
- Nanoparticles: For conductivity or increased mechanical strength.
- Carbon-based Fillers: For adding electro-active or thermo-active properties.
Stimuli-Responsive Components:
Specific components or additives are introduced to make the material responsive to external stimuli:
- Photo-responsive molecules: Azobenzene or other chromophores for light-activated SMPs.
- Thermo-responsive components: Polymers with specific transition temperatures, such as those based on liquid-crystal elastomers.
Mechanism:
SMPs change shape through a thermal transition or a chemical reaction that allows the material to soften and then harden into its original form (as illustrated below).
SMPs change in two stages:
Programming Stage (Deformation)
- Heating Above Transition Temperature: The polymer is heated above a critical temperature (either its melting point or glass transition temperature), making it flexible and easy to deform.
- Deformation: The polymer is mechanically stretched, compressed, or reshaped into a new form.
- Cooling While Deformed: The material is cooled below the transition temperature while maintaining the new shape. This locks in the temporary form due to the stabilization of the polymer structure (crystallization or glassy state).
Shape Recovery Stage
- Reheating or Stimulus Activation: When the material is reheated above its transition temperature, or when exposed to another stimulus (e.g., light or a change in pH), the polymer becomes flexible again.
- Return to Original Shape: The internal cross-links or network forces the polymer back to its ‘memorized’ original shape as the internal energy is released.
Applications:
Increasingly, SMPs are used in many innovative applications, particularly in biomedical devices and smart textiles.
For instance, Ethicon, a subsidiary of Johnson & Johnson, has developed surgical sutures utilizing SMP technology. These sutures can automatically adjust tension during the healing process, promoting better recovery outcomes by adapting to the body's needs.
In the field of smart textiles, companies such as Schoeller Textil AG have integrated SMPs into fabrics, enabling clothing that adapts to changes in temperature or movement. This technology is also being applied in flexible electronics and self-healing materials, paving the way for more responsive, adaptable products across industries.
Patent Landscape Analysis
Patent landscape analysis offers valuable insight into innovation, including helping us to predict the future of technology. In this part, we will share what our patent landscape analysis of innovation in SMMs can tell us about the next generation of these materials, including the major industry players and main research and development (R&D) markets behind these innovative solutions.
Methodology and Database
To understand the innovation and R&D activities in this technology, we performed a macro search using our proprietary IP intelligence software. By analyzing the patents collected using our IP Consulting services expertise, we were able to create a fascinating global insight into research advancement and investment in this field.
In total, the database comprises 34,267 patent families filed in the last 20 years.
Patent Dynamics: Key Findings for Shape Memory Materials
As illustrated by the graph below, there has been a clear upward trend in SMM patent filings from 2004 to 2023, following the growing demand for this technology across various industries, including aerospace, automotive, and healthcare. Equally, the increased focus on sustainability and the development of smart materials has spurred innovation.
The dynamics illustrate the evolution of patents for SMMs over two decades. The peak for granted patents occurred in 2020 with 916 patents, compared to 534 in 2010, representing a 71.5% increase.
In addition, the number of pending patents increased by 280%, from 147 in 2004 to 559 in 2020, underscoring ongoing innovation and strong market demand.
Key Trends: Filing periods
- 2004-2012: The period shows a steady and moderate increase in both granted and dead patents, with pending patents not being significantly tracked.
- 2013-2016: The granted patents increase sharply, reflecting a period of high approval rates.
- 2017-2021: The trend continues with high numbers of both granted and pending patents, peaking in 2021.
- 2022-2024: Incomplete years that still show high numbers, indicating ongoing interest and innovation in the field.
Top Players for Shape Memory Materials
The graph below lists the top players in the SMM field by patent activity.
The top five are:
- (1) Harbin Institute of Technology (HIT): A prominent research university in China, HIT leads in patent activity related to SMMs, with 231 granted patents. HIT researchers have explored the use of SMMs in aerospace applications, such as deployable structures and adaptive components that enhance reliability and performance in space missions. Their research also includes the development of soft robotic grippers utilizing SMMs and the integration of SMMs into textiles.
- (2) GM Global Technology Operations: GM has a high number of dead patents (205) compared to granted patents (178). It employs SMMs, particularly shape memory alloys (SMAs) and polymers (SMPs), in a range of vehicle components to improve functionality and performance. Examples include their use in adaptive components and active vehicle surfaces.
- (3) Boston Scientific Scimed and (4) Medtronic: These companies are notable for having a balanced distribution of patents, with a decent number of granted patents (130 and 142, respectively) and some pending patents, but also a considerable number of dead patents (84 and 72, respectively).
The patents of Boston Scientific encompass a broad spectrum of innovations related to SMMs, focusing on their processing, composition, application in medical devices, and performance enhancements.
As a leader in research on thermoplastics with research interests in nearly all shape memory polymers, Medtronic holds patents across a wide range of medical applications, including stents, ablation elements, ossicular prostheses, glaucoma surgical instruments, sutures, intervertebral implants, and atrial shunts. In addition, the company has developed methods for depositing thin films of SMMs, such as nickel-titanium (Ni-Ti), onto substrates using vacuum deposition processes to create micro-actuators.
- (5) Cook Medical: A global leader in medical devices, Cook Medical holds a substantial number of granted and pending patents related to SMMs, with a primary focus on the innovative applications of SMAs and SMPs, for use in medical devices. These include endoscopic devices, ablation instruments, and hemostatic clips and clamps that utilize shape memory properties to effectively stop bleeding during surgical procedures.
Key Trends: Top players
- Medical application: The presence of multiple medical device companies (Cook, Medtronic, Boston Scientific, etc.) among the top players indicates a strong focus on SMM applications in the healthcare sector.
- Automotive: The automotive sector, represented by Toyota and GM, is also a key area for SMM innovation.
- Research and development: The inclusion of HIT highlights the importance of academic research in driving SMM innovation.
- Patent filings continue to rise: SMMs have significant applications across various industries, including in the consumer electronics and aerospace sectors as well as in medical devices and automotives. Pending patents in these areas indicate continued innovation and investment. The large number of expired patents in some sectors, such as those held by Panasonic and GM, could indicate a shift in technology focus or the maturation of earlier innovations.
Leading Patent Filers: Patent Family Growth by First Application Year
If we examine the data by first application year, this shifting technology focus becomes more clear, as new players enter the field. The graph below provides valuable insights into identifying the newcomers, the departing entities, and the consistent key players over time.
New Entrants (2016 and beyond)
New market entrants include:
- Cambridge Mechatronics, which started appearing as a key player in 2016, with rapid growth in patent filings peaking in 2020 and continuing strongly afterward.
- Edwards Life Science, which also started to grow after 2017 with 11 patents in years 2017 and 2018 a peak of activity in 2023 with 37 patents.
- Companies, such as Samsung and LG, which have gradually increased their activity from 2006-2017, reflecting how the consumer electronics sector is becoming more engaged in SMM technologies.
In comparison, some companies have stopped or slowed SMM patenting:
- GM's involvement peaked in 2010 and then dramatically decreased after 2012, with very few patents after 2014. This suggests a possible strategic shift or completion of a key R&D phase.
- Cook’s activity was consistent between 2005-2009, but patenting decreased after this period and there has been almost no activity since 2010.
- Panasonic had a significant presence in 2004-2007, but almost no patenting activity after 2012.
In contrast, engagement has remained steady or increased for the following:
- HIT demonstrates a significant increase in patenting activity, particularly after 2017, and peaking in 2022. This growth pattern indicates a continuous expansion of research, with China’s academic sector potentially driving future SMM developments.
- Although medical technology firms (Medtronic, Boston Scientific) do not dominate in sheer patent numbers compared to entire regions like China, they maintain a steady presence in the table. This suggests a continued focus on medical applications for SMM.
Geographical Hotspots for Shape Memory Materials
Priority country filling most often occurs in the country in which the R&D is made, so looking at this data shows us which countries are the most innovative and which are the ones most active in seeking to protect their inventions.
Key Trends: Priority countries
- China (CN) is the dominant player, even though the patent landscape analysis does not show major Chinese companies to be at the top. This suggests that the market is filled with many small Chinese actors.
China leads by a significant margin in the number of priority applications related to SMMs, peaking in 2021 with 1,654 applications. Even though 2024 is not complete, 303 applications have already been filed in China, showing continued dominance in the field.
- Activity is steady in the US (US) and South Korea (KR), with both showing relatively consistent activity from 2014 to 2022.
- Activity is declining in Japan (JP) and Germany (DE), with both countries showing a similar pattern. Japan, which had 117 applications in 2014, dropped significantly to just 23 in 2023, with only 2 in 2024 so far. Germany followed a similar trajectory, peaking at 140 applications in 2019, but dropping to just 11 by 2023.
- Limited activity in France (FR), Great Britain (GB), and World Organization (WO), with France and Great Britain having lower volumes of patent filings overall. GB showed some variability, peaking at 61 applications in 2018, but has since fallen to just 7 in 2023. France's activity has been consistently low, and no applications have been recorded for 2023 or 2024.
Application Domains for Shape Memory Materials
Several technology domains appear particularly relevant for SMM applications:
Medical: This domain, highlighted in red, suggests a strong focus on SMMs in the medical field. Potential applications could include:
- Stents and implants with shape memory capabilities for controlled drug delivery or tissue engineering.
- Orthopedic devices that adapt to patient-specific needs.
- Minimally invasive surgical tools with enhanced precision.
Materials, Metallurgy: This domain indicates a core interest in developing new SMM materials and improving their properties. Research efforts might focus on:
- Alloying and composition optimization for desired shape memory effects.
- Surface treatments and coatings to enhance SMM performance.
- Developing cost-effective and scalable SMM manufacturing processes.
Mechanical Elements: This domain suggests potential applications of SMMs in various mechanical components. Examples could include:
- Shape memory actuators for robotics and automation.
- Self-healing components for increased durability and reduced maintenance.
- Adaptive structures with enhanced load-bearing capacity.
Other Consumer Goods: While this domain is broad, it hints at the potential of SMMs in everyday products. Possible applications could include:
- Self-adjusting eyewear or clothing.
- Shape-changing furniture or toys.
- Smart packaging materials with enhanced functionality.
Patent Landscape Analysis: Final Talking Points
In conclusion, our patent landscape analysis of the shape memory material (SMM) field has shown a clear evolution from 2004 to 2024.
The period from 2004-2012 saw a steady rise in patents, followed by sharp increases in granted patents from 2013 onward, especially in the healthcare sector. Medical devices, driven by companies such as Medtronic and Boston Scientific, continue to dominate, with the automotive sector (e.g., Toyota and GM) also playing a crucial role. The recent rise of companies like Cambridge Mechatronics and consistent academic contributions from institutions like Harbin Institute of Technology underline the importance of both industry and research in advancing this field.
Geographically, China has emerged as a dominant player, with hundreds of companies filling some relevant patents, making it a consistent leader in patent filings, while the US and South Korea maintain steady engagement. Japan and Germany, however, have shown a decline in recent years.
The growing presence of SMMs in sectors such as consumer electronics and aerospace indicates that these materials are becoming more versatile and critical to innovation. Likewise, the ongoing interest and development in SMMs across multiple industries, from healthcare to automotive, suggests that these materials will continue to gain prominence. Their unique properties make them essential for advancing technological innovation, and the continuous patent activity highlights the potential for future growth and new applications.
Patent landscape analysis can provide valuable insights into research and innovation trends and markets, as we hope this analysis of SMMs illustrates. For further details on patent activity in this sector or for specific advice or support on any other topic, contact the Questel IP Consulting team.