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Discovering the World of Patents

Ontario Library Association2007 Super Conference

Michael WhiteLibrarian for Research ServicesEngineering and Science Library

Queen’s University

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Michael White

Michael White is the librarian for research services in the Engineering and Science Library at Queen’s University. He is also the subject specialist for chemistry, chemical engineering, patents and electrical and computer engineering. Prior to joining Queen’s in January 2005, Mike was a librarian for seven years at the U.S. Patent and Trademark Office in Washington, D.C. He has conducted numerous patent research seminars for librarians, inventors, attorneys and the general public.

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Abstract

In 2006, inventors filed more than 1.5 million new patent applications worldwide. The U.S. Patent and Trademark Office alone received a record-breaking 445,000 new applications. Patents are an increasingly important source of information on emerging technologies and new applications of old technologies. Patents are international and interdisciplinary, representing innovations in every field of technology during the last two hundred years. Whether you work with independent inventors or research scientists, entrepreneurs or R&D executives, patent attorneys or paralegals, patents are an indispensable source of scientific, technical, business and legal information. Patents can also be a useful resource for genealogists, journalists, teachers, students and historians. This session will cover the basics of patent terminology, documents and databases, explore online search tools and strategies, and explain the role of patent information in scientific research and business decision making using examples from public patent databases.

All graphics are from the author’s collection or Microsoft Clip Art Online, unless otherwise noted.

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Topics

Why patents? Patent data and documentsNumber searchingInventor and company searchingPatentability searchingPatent statusStatistics

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Business & Entrepreneurship

Sam Holman, owner of the Original Maple Bat Company, esearched 225 baseball bat patents before patenting his own improved design.

In August 2006 Biovail’s stock lost 33% of its value after a negative patent ruling.

Photos: Globe and Mail and CLA

Image:

Photo of Sam Holman, owner of the Original

Maple Bat Co.

Image:

Globe and Mail

Biovail Hammered by patent ruling.

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Science & Technology

New technological innovations.New uses for old technologies.Research not published in scientific journals.Bridge between basic and applied science.Research originating in developing countries.

Photo: Globe and Mail

Image:

Globe and Mail headline:

Edmonton researchers patent new technology used to regrow teeth.

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2004

1.5 million new applications worldwide. (WIPO)700K STM articles. (NSF/ISI)5.5 million patents in force.International filings:

China 46.8%Japan 22.4%Korea, Rep. 24.4%

Patent applications per million pop.:Canada 0,125Korea, Rep. 2,189USA 0,645

Patent maintenance (50% reach x years):Japan 17 yearsEurope 11 yearsUSA 11 years

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Other Uses

Economic development.Genealogical research.History of technology.History of art and design.

19th century ceiling plate designs.

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#1803- 9Patent Examiner Products

Inventors

LabNotes Outputs

New Ideas and Resources

Patent Cycle

Patent Agent/Attorney

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Patentability Criteria

1. Allowable subject matterInvention meets statutory requirements.

2. UsefulInvention performs a useful function.

3. NovelInvention has never before been published or patented.Invention is not obvious to someone of average expertise in the art.

4. Fully DisclosedPatent describes how to make and use the invention. No “black boxes” or secret ingredients.

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What Can Be Patented?

New processor method

Genetically modifiedplants and animals (U.S.)(Canada allows patentingmicrobes)

New chemical or biological substance, material or alloy

New machine, deviceor appliance

New Design

Business Method (U.S.)

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Not Patentable

Inventions disclosed to the public.Laws of nature, equations, abstract ideas.Printed matter.Inventions harmful to the public morality or good.Atomic weapons (U.S.)Human-animal hybrids. (U.S.)Medical procedures. (Canada)Non-useful inventions (perpetual motion machines)

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Improvements

Symmetrical Pleated SkirtU.S. 6,282,723Sept. 4, 2001

Steve Villegas, Seattle, WAPhoto: Utilikits www.utilikilts.com

Image:

Photo of man wearing a Utilikilt kilt.

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Patent Rights

Prevent others from making, using, selling or importing patented invention.Based on jurisdiction.Not renewable; inventions become public domain after 20 years.Require payment of maintenance fees (in most countries).May be sold, licensed, bequeathed, etc.

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Parts of a Patent

Front Page1. Bibliographic Data2. References3. Abstract4. Rep. drawing

Specification• Background of invention,

discussion of the prior art• Description, mode of use• Claims (at least 1)

Drawings

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Scenario 1: Locating a Patent

I need a copy of a U.S. patent. The

number? I think it’s 6,483,388.

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Patent Data

Searchers beware!Patent offices publish patent data “warts and all.”Not all patent databases are created equal.Commercial database vendors “clean up” and enhance patent data.

Eastman XodakEastman KodalEastman KokakEastman Kdak

The USPTO patent databasehas 15 different mis-spellings for Eastman Kodak.

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Patent Office Databases

FreeComprehensiveAuthoritativeStableCurrent (updated weekly)Classification search tools

Limited search, display and download optionsMulti-page printing difficultTIFF image format (USPTO)Dirty data

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Patent Numbers – U.S.

Priority #: 60/212,999

Patent #:US 6,483,388B2

PGPub #: US 2002/0008588A1

Application #: 09/867,829

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2

3

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Application #: 2,420,311

Laid-open #: CA 2,420,311 A1

Patent #: CA 2,420,311 C

Priority #: 10/098,445

Since 1989 Canadian patent documents have been identified by a single number assigned at filing.

Patent Numbers - Canada

1

2

3

3

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Look for patent numbers on product packaging, labels or the product itself. If number is not present, look for the manufacturer’s name.

Scenario 2: Product Searching

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Identifying the Manufacturer

Search the product name.Trademark database:

CIPO CA TMsUSPTO US TMsWIPO International TMs

Newspaper databaseWeb search engine

Photo: Toronto Star

“Wovel”

Image:

Toronto Star

Photo of man using a Wovel, or wheeled

shovel.

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USPTO Trademark Database

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EPO esp@cenet

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Inventor Searching

Middle initials:Dean Kamen, Dean L. Kamen

Name variations:Susan Smith, Susan Smith Jones

Nicknames:Burt Ratan = Elburt Ratan

Foreign names:Mike Lazaridis = Mihal Lazaridis

Mike Lazaridis useshis given name “Mihal”on patent applications.

Image:

Photo of Michael Lazaridis, inventor of

the Blackberry and CEO of Research in Motion.

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0

50

100

150

200

250

300

350

400

450

500

RuthBenerito

PrincessColeman

DeanKamen

Mike (Mihal)Lazaridis

JeromeLemelson

FreePatentsOnline, 1976+

Delphion, 1971+?

USPTO, 1976+

Patent Lens, 1976+

Google Patents, 1976-6/2006

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Company Searching

Subsidiaries and affiliates:Dupont CanadaWisconsin Alumni Research Foundation (Univ. of Wisconsin)

Nicknames:RIM = Research in Motion

Name changes and Spin-offs:3M = Minnesota Mining and ManufacturingBell Labs = LucentALCAN = Novelis

Mergers and AcquisitionsLucent = Alcatel-Lucent

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0

500

1,000

1,500

2,000

2,500

Bombardier Genentech Invista RIM Queen's

FreePatentsOnline, 1976+

Delphion, 1971?+

USPTO, 1976+

Patent Lens, 1976+

Google Patents, 1976-6/2006

Design gap: Patent Lens does not include U.S. design patents.

211 66

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0

5,000

10,000

15,000

20,000

25,000

30,000

35,000

40,000

45,000

Lucent Micron Siemens Toshiba Xerox

FreePatentsOnline, 1976+

Delphion, 1971+?

USPTO, 1976+

Patent Lens, 1976+

Google Patents, 1976-6/2006

Google Patents limits search results to ~1,000 hits.

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Patentability Search

Patents and patent applications, foreign and national; other types of publications (non-patent literature) published anywhere in the world.

Scope:

Before filing a patent application.

When:

Determine the likelihood that a new concept, process, device, etc. is patentable in light of the prior art.

Purpose:

Novelty searchPrior art search

Also known as:

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Infringement Search

Patents issued within the last 20 years. May be limited to a specific jurisdiction.

Scope:

Before a product is released or a process is used.

When:

Discover patents and patent applications that may pose a potential infringement risk.

Purpose:

Freedom-to-operate searchClearance searchRight-to-use search

Also known as:

?

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Validity Search

RIMNTP

Knave! Your unlawful claims shall not

protect your ill-gotten gains. En garde!

Hack! Your patents are not worth the parchment upon

which they are written. Prepare to meet thy doom!

When a patent or patent application is discovered that could pose an infringement risk or when a competitor has accused you of infringing their patent.

When:

Invalidate one or more claims of an issued patent.

Purpose:

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Other Types of Searches

State of the ArtPurpose: Monitor technological developments in a given industry or field.Scope: Usually limited to a specific technology.Frequency: Ongoing.

Market Research (Competitive intelligence)Purpose: Uncover patents and applications owned by competitors.Scope: May be limited to a geographic area, technology or set of companies.Frequency: Ongoing.

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Basic Patentability Search

1. Describe the invention; note keywords.2. Search keywords in classification index.3. Scan classification schedule.4. Search selected classification(s).

(Search both ECLA and IPC)

5. Study retrieved patents.6. Check references of closely related

patents.

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Patent Classification Systems

International Patent ClassificationIPC

European Patent Classification(ECLA) - EPO

File Index (FI)Japan Patent Office

U.S. Patent Classification(USPC) - USPTO

350 classes170,000 subdivisions

132,000 subdivisions

77,000 subdivisions

170,000 subdivisions

Canadian Patent Classification(Discontinued in early 1990s)

300 classes

Flat

Hierarchical

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Keyword Searching Pitfalls

Languages:multi-language databases (esp@cenet)American vs. British/Canadian spellings

Limited search capabilities.Limited to title and abstract.Titles and abstracts not available.Synonyms, abbreviations, chemical nomenclature, etc.

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A Better Mousetrap

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Step 1: Describe Invention

Ramp

Opening

Container

Rotating dowel

Axle CylinderPipe PlatformRodBobbinSpindle

BinBoxBucketPail Receptacle

Access way DoorwayEntrance EntrywayPortal

Ladder/stepsInclined plane

Mousetrap, mouse trap, rodent, vermin, pest, mammal, trap, trapping, capturing, etc.

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http://ep.espacenet.com

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Step 2: Search Keywords

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Step 2: Initial Classification

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Step 3: Scan Schedule

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Step 4: Search Classifications

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117

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6: Check References

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0

50

100

150

200

250

300

43/69 310/156.01 341/21 623/1.1 903/906

FreePatentsOnline, 1976+

Delphion, 1971+?

USPTO, 1976+

Patent Lens, 1976+

Google Patents, 1976-6/2006

U.S. Patent Classification

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Patent Families

The Crocs shoe company has filed for patent protection in Australia, Canada, Brazil, China, Europe, S. Korea, Japan and the U.S.

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PCT

CHCA

JP

International application filed within 12 months of national filing.

National application

PCT application sent to designated countries.

WOCA

WOCA

The WIPO, located in Geneva, administers the PCT system.

PCT System

WOCA

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Scenario 4: Market Research

Q: What countries and companies worldwide are active in wind turbine technology?

A: Consult WIPO PatentScopedatabase of international applications.

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1,219,601 international patent applications1978-presentUpdated weekly (Thursdays)PDF documentsRSS search alertsGraphical view of search results

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PatentScope Search

RSS feed of search results.

Graphical view of search results (most recent 20K records).

Wind MotorsIPC = F03D

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PatentScope Graphics

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Patent Status

Assignment changesExpired, Corrected, Withdrawn, Extended, etc.EPO

esp@cenet - INPADOC Legal Status

USPTO PAIR System, 2003-Assignment Database, 1980-

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Top Ten Patenting Organizations in the U.S. and Canada (2004)

Canada

1. Proctor & Gamble 2052. Lucent 1383. Honda 1224. Baker Hughes 0955. 3M 0856. Illinois Tool Works 0837. L’Oreal 0808. Deere & Co. 0789. Schlumberger Canada 07410. Dupont 073

USA

1. IBM 2,9412. Canon 1,8283. HP 1,7974. Matsushita 1,6885. Samsung 1,6416. Micron 1,5617. Intel 1,5498. Hitachi 1,2719. Toshiba 1,25810. Fujitsu 1,154

Sources: Canadian Intellectual Property Office, U.S. Patent and Trademark Office.

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7.0412.86

8.42

4.95

3.243.01

4.72 4.47

1.73

0.78

1.28

0.72

9.1-10

10.1 ≤

8.1-9

7.1-8

6.1-7

5.1-6

4.1-5

3.1-4

2.1-3

1.1-2

1 ≥

Patents per 100,000 population (2004)

2006 © Michael White

Canada = 4.52

NBNS

NL

PE

Sources: Canadian Intellectual Property Office, Statistics Canada.

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8022,118

U.S. and Canadian Patents Issued to Canadian Residents

(2004)

505 38474

73

24

24

8

1

0

5

276128

38

13

43

1,461

3,855

12

0,5931

340

4

49

NBNS

NL

PE

Sources: Canadian Intellectual Property Office, Institut de la statistique du Québec.