Patent Research Basics

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Developing PatentResearch Expertise, Part 1:Patent Research Basics


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Information in this document is current through December 2009

Seminar Development Team

Cathy Rimer-Surles, Beverley Crane

2010 Dialog LLC

All designated trademarks used herein are the property of Dialog LLC or its subsidiaries.Registered trademarks are registered by Dialog or its subsidiaries, U.S. Patent and TrademarkOffice. All other marks are trademarks or registered trademarks of their respective owner


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Table of contents

Preface ................................................................................................................ 1Workbook Overview ......................................................................................................................... 1Audience .......................................................................................................................................... 1Learning Objectives ......................................................................................................................... 2Workbook Conventions .................................................................................................................... 2

Section 1: Introduction ..................................................................................... 3What is an invention? ....................................................................................................................... 3What is an invention? ....................................................................................................................... 4What is a filing? ................................................................................................................................ 4What is a patent? ............................................................................................................................. 4What does a patent do? ................................................................................................................... 4

What kind of protection does a patent offer? ................................................................................... 4What rights does a patent owner have? .......................................................................................... 4Why are patents necessary?............................................................................................................ 5How is a patent granted? ................................................................................................................. 5What kinds of inventions can be protected? .................................................................................... 5Why award patents? ........................................................................................................................ 5Other types of intellectual property .................................................................................................. 5Patentability of inventions ................................................................................................................ 6Utility (Industrial Applicability) .......................................................................................................... 7Parts of a patent ............................................................................................................................... 8Document Delivery ........................................................................................................................... 8SourceOne

SM.................................................................................................................................... 8

Patent Process ................................................................................................................................. 9Patent Process Timeline ................................................................................................................ 10


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Section 2: Review of Patent Databases .......................................................... 11Introduction .................................................................................................................................... 11INPADOC/Family and Legal Status (File 345) ............................................................................... 13Derwent World Patents Index (File 351/352,350) ...................................................................... 14Derwent World Patents Index First View

SM(File 331) .................................................................... 15

Patent Citation Index (File 342) ..................................................................................................... 15WIPO/PCT Patents Fulltext (File 349) ........................................................................................... 16European Patents Fulltext (File 348) ............................................................................................. 16German Patents Fulltext (File 324) ................................................................................................ 17JAPIO Patent Abstracts of Japan (File 347) ............................................................................... 17U.S. Patents Fulltext (Files 654, 652) ............................................................................................ 18CLAIMS/U.S. Patents (File 340) .................................................................................................... 19CLAIMS/Current Patent Legal Status (File 123) ............................................................................ 20LitAlert (File 670) ......................................................................................................................... 20Patent Request Worksheet ............................................................................................................ 22

Section 3: Searching Numbers ....................................................................... 23Understanding Application and Patent Numbers ........................................................................... 23Application 1: Searching Application Numbers .............................................................................. 24Application 2: Searching Patent Numbers ..................................................................................... 26Application 3: Searching WIPO/PCT Numbers .............................................................................. 30Application 4: Searching Japanese Numbers ................................................................................ 31

Section 4: Searching Names ........................................................................... 35Tips for Searching Inventor, Assignee and Legal Representative Names .................................... 35Using Patent Assignee Codes ....................................................................................................... 36

Application 1: Searching Inventor Names ...................................................................................... 38Application 2: Search Patent Assignees ........................................................................................ 40Application 3: Searching Legal Representative ............................................................................. 43

Section 5: Searching Dates and Date Ranges ............................................... 46Application 1: Searching Application Dates ................................................................................... 46Application 2: Searching Publication Dates .................................................................................. 47Application 3: Searching Date Ranges .......................................................................................... 50

Section 6: Searching Using Patent Classification Codes ............................. 53U.S. Classification Codes (CL=) .................................................................................................... 53International Class Codes (IC=) ..................................................................................................... 55Application 1: Searching Patent International Class Codes.56Application 2: Subject Searching with Class Codes ................................................................. 58


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Application 3: Patent Watch ........................................................................................................... 61

Section 7: Wrap Up ......................................................................................... 65

Summary ........................................................................................................................................ 65Whats Next .................................................................................................................................... 65Other Dialog Training Tools ........................................................................................................... 66

Appendixes ....................................................................................................... 67Appendix A: Dialog Commands (Review) ..................................................................................... 68Appendix B: ICIREPAT Numbers for Identification of Data (INID Codes) .................................... 74Appendix C: Glossary .................................................................................................................... 75Appendix D: Answers to Exercises ................................................................................................ 79


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Preface

Preface

Patent documents represent an excellent resource for both legal information (owner and inventornames, reassignments, claims, etc.) and technology-rich prior art (background, specifications,etc.). Patents are accompanied by detailed textual descriptions of the inventions, and often, bydrawings of electrical, mechanical, or chemical (Markush) structures.

The workbook seriesDeveloping Patent Research Expertisefocuses on online retrieval of the

patent literature worldwide. It is divided into the following parts: Part 1: Patent Research Basics

Part 2: Patent Families & Legal Status

Part 3: Prior Art Searching for Patent Prosecution

Part 4: Patent Research for Competitive Intelligence

Workbook Overview

Patent Research Basicshighlights the patent databases on Dialog and the techniques used tocomplete basic patent searches. Part 1 is divided into seven sections:

1. Introduction

2. Review of Dialog patent databases3. Searching numbers4. Searching names5. Searching dates and date ranges6. Searching using patent classification codes7. Wrap-Up

To reinforce what you learn in Part 1, Learning Checks are included throughout the workbook.

Audience

Patent Research Basicsis intended for patent searchers who have an interest in learning

techniques for finding fundamental patent information on Dialog. The workbook assumesknowledge of Dialog basic commands as described in Fast Start to DialogClassic. This workbookwill be especially helpful to information professionals and members of the legal community, suchas paralegals, law librarians, or attorneys who need to find specific patent data.

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Preface

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Learning Objectives

Users of this workbook will understand aspects of searching the Dialog system to completefundamental patent searches including:

Identifying patent documents using specific patent, publication or application numbers Locating patent owners, inventors or legal representatives

Finding patents or applications filed on a specific date or time period

Using classification codes to locate types of patents

Setting up an Alert to track patents

Workbook Conventions

Search ExamplesIn this workbook all search examples are presented using Dialog Command Language. All ofthe features illustrated in the search examplessearch functionality, database indexing andcontentare available using Dialog Command Language through the DialogClassic Web,

DialogWebCommand Search and DialogLink

interfaces. Dialog Command Language is notcase sensitive; therefore, you will see examples in both upper- and lowercase.

Learning ChecksLearning Checks are provided to help reinforce material presented in each section. Sampleanswers are listed in Appendix D.

Online PracticeUse the Dialog ONTAP databases so you can practice the types of searches and techniquespresented in this workbook. Practice passwords are available at support.dialog.com/ontap toenable you to complete your online practice free of charge.

Tips

Tips to help you get the most from using Dialog appear in shaded boxes. Be sure to look forthese throughout the text.
http://../support.dialog.com/ontaphttp://../support.dialog.com/ontap


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Section 1: Introduction


In this section you will:

Review definitions of intellectual property: patents, trademarks, copyrights and trade secrets

Review the criteria for determining patentability

Identify the statutory classes

Define the patent process

Discover SourceOnesm and patent document delivery

Although this workbook focuses on online retrieval of the patent literature worldwide, a few wordsare provided to describe where patents fall within the larger range of the intellectual propertyarena. Read this material at your leisure if you are unfamiliar with the terminology for intellectualproperty.

Patents are accompanied by detailed textual descriptions of the inventions, and, often, bydrawings of electrical, mechanical or chemical (Markush) structures as shown below.

Chemical Patent:WO 2009037001

Mechanical Patent:W0 9709089

Electrical Patent:W0 9715975

Electrostatic dischargeprotection circuit for over-

voltage friendly input-output circuitsPatent Assignee: SARNOFFRESCENT INC DAVID

(SARN-N)

Compound useful fortreating e.g cancerPatent Assignee:NYCOMED GMBH(NYCO-N)

Green laser irradiationtherapy device for bloodvesselPatent Assignee: HUANG &

(HUAN-I)

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4

What is an invention?

An invention is any new article, machine, device, process, or composition of matter (or usethereof) developed by a human. The inventive idea or step is often referred to as conception.The building and testing of the invention is referred to as an actual reduction to practice.

What is a filing?

The act of filing a written document that comprises a specification of the invention (consisting of adescription, drawings and legal claims) and whatever other information is required by the countryor organization (patent office) receiving the application is called a filing or a patent application.Filing an application is referred to as constructive reduction to practice.

The date a patent application is filed (filing date) is a legal time point important to establishing aninventions priority relative to the prior art.

What is a patent?

A patent is an exclusive right granted for an invention, which is a product or a process thatprovides, in general, a new way of doing something, or offers a new technical solution to aproblem. In order to be patentable, the invention must fulfill certain conditions.

What does a patent do?

A patent provides protection for the invention to the ownerof the patent. The protection isgranted for a limited period, generally 20 years.

W

Patent protection means that the invention cannot be commercially made, used, distributed o

hat kind of protection does a patent offer?

r

hat rights does a patent owner have?

- use the patented invention for the

ource: http://www.wipo.int/patentscope/en/patents/

sold without the patent owner's consent. These patentrights are usually enforced in a court,which, in most systems, holds the authority to stop patent infringement. Conversely, a court canalso declare a patent invalid upon a successful challenge by a third party.

W

A patent owner has the right to decide who may - or may notperiod in which the invention is protected. The patent owner may give permission to, or license,other parties to use the invention on mutually agreed terms. The owner may also sell the right tothe invention to someone else, who will then become the new owner of the patent. Once a patentexpires, the protection ends, and an invention enters the public domain, that is, the owner nolonger holds exclusive rights to the invention, which becomes available to commercial exploitation

by others.

S


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Why are patents necessary?

Patents provide incentives to individuals by offering them recognition for their creativity andmaterial reward for their marketable inventions. These incentives encourage innovation, whichassures that the quality of human life is continuously enhanced.

HThe first step in securing a patent is the

ow is a patent granted?filing of a patent application. The patent application

st

otected by a patent. It must be

new characteristic which is

Congress shall have the powerto promote the progress of science and useful arts, by

scoveries.Article 1, Section 8, of the United States Constitution

The purrewardi their inventions.

pecific person or enterprise. Its origin datesced their signatures, or "marks" on their

ese marks evolved into today's system oftrademark registration and protection. The system helps consumers identify and

generally contains the title of the invention, as well as an indication of its technical field; it muinclude the background and a description of the invention, in clear language and enough detailthat an individual with an average understanding of the field could use or reproduce the invention.Such descriptions are usually accompanied by visual materials such as drawings, plans, ordiagrams to better describe the invention. The application also contains various "claims," that is,information which determines the extent of protection granted by the patent.

What kinds of inventions can be protected?

An invention must, in general, fulfill the following conditions to be pr

of practicaluse; it must show an element of novelty, that is, somenot known in the body of existing knowledge in its technical field. This body of existingknowledge is called "prior art." The invention must show an inventive step which could not bededuced by a person with average knowledge of the technical field. Finally, its subject mattermust be accepted as "patentable" under law. In many countries, scientific theories, mathematicalmethods, plant or animal varieties, discoveries of natural substances, commercial methods, ormethods for medical treatment (as opposed to medical products) are generally not patentable.

Why award patents?

o encourage creativity and provide a legal basis for patent protection, inventors were protectedTearly-on in U.S. law:

securing for limited times to authors and inventors the exclusive right to their respectivewriting and di

pose of the U.S. patent system is to stimulate the advance of technological progress byng inventors who disclose

Other types of intellectual property

Trademarks (TM) A trademark is a distinctive sign which identifies certain goods orservices as those produced or provided by a sback to ancient times, when craftsmen reprodu

artistic or utilitarian products. Over the years th

purchase a product or service because its nature and quality, indicated by its uniquetrademark, meets their needs. (World Intellectual Property Organization)
http://www.wipo.int/trademarks/en/trademarks.htmlhttp://www.wipo.int/trademarks/en/trademarks.html


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07883516 * TRADEMARK IMAGE AVAILABLE *

POLO RALPH LAUREN and Design

INTL CLASS: 3 (Cosmetics & Cleaning Preparations)

- Record Initialized Not

t Assigned

ltural and economic development of

role in articulating the contributions and rights of

STATUS: PENDING; New Application

Assigned to Examiner

USPTO STATUS: New Application - Record Initialized No

to Examiner - December 4, 2009

SERIAL NO.: 77-883,516

Copyrights Copyright and related rights protect the rights of authors, performers,producers and broadcasters, and contribute to the cunations. This protection fulfills a decisivedifferent stakeholders and the relation between them and the public. The purpose of

copyright and related rights is twofold: to encourage a dynamic creative culture, whilereturning value to creators so that they can lead a dignified economic existence, and toprovide widespread, affordable access to content for the public. (World IntellectualProperty Organization)

Trade secrets Broadly speaking, any confidential business information which proan enterprise a competit

videsive edge may be considered a trade secret. Trade secrets

encompass manufacturing or industrial secrets and commercial secrets. The

einst unfair

unauthorized use of such information by persons other than the holder is regarded as anunfair practice and a violation of the trade secret. Depending on the legal system, thprotection of trade secrets forms part of the general concept of protection agacompetition or is based on specific provisions or case law on the protection of confidential

information. (World Intellectual Property Organization)

Industrial Designs (referred to as "Design Patents" in the U.S.)

An industrial design is the ornamental or aesthetic aspect of an article. The designmay consist of three-dimensional features, such as the shape or surface of an article,or of two-dimensional features, such as patterns, lines or color.

Industrial designs are applied to a wide variety of products of industry and handicraft:from technical and medical instruments to watches, jewelry, and other luxury items;from housewares and electrical appliances to vehicles and architectural structures;from textile designs to leisure goods.

To be protected under most national laws, an industrial design must appeal to theeye. This means that an industrial design is primarily of an aesthetic nature, and doenot protect any technical features of th

se article to which it is applied. (World

Intellectual Property Organization)

tentability of inventions

be a entable in the U.

Pa

To p t S., an invention must fall within one of the following statutory classes:
http://www.wipo.int/copyright/en/links/index.html#ingoshttp://www.wipo.int/copyright/en/links/index.html#ingoshttp://www.wipo.int/copyright/en/links/index.html#ingoshttp://www.wipo.int/copyright/en/links/index.html#ingoshttp://www.wipo.int/copyright/en/http://www.wipo.int/copyright/en/http://www.wipo.int/copyright/en/http://www.wipo.int/copyright/en/http://www.wipo.int/copyright/en/http://www.wipo.int/copyright/en/http://../%E5%A5%B09http:/www.wipo.int/sme/en/ip_business/trade_secrets/trade_secrets.htmhttp://www.wipo.int/designs/en/designs.htmlhttp://www.wipo.int/designs/en/designs.htmlhttp://www.wipo.int/designs/en/designs.htmlhttp://www.wipo.int/designs/en/designs.htmlhttp://www.wipo.int/designs/en/designs.htmlhttp://www.wipo.int/designs/en/designs.htmlhttp://www.wipo.int/designs/en/designs.htmlhttp://www.wipo.int/designs/en/designs.htmlhttp://../%E5%A5%B09http:/www.wipo.int/sme/en/ip_business/trade_secrets/trade_secrets.htmhttp://www.wipo.int/copyright/en/http://www.wipo.int/copyright/en/http://www.wipo.int/copyright/en/http://www.wipo.int/copyright/en/http://www.wipo.int/copyright/en/links/index.html#ingoshttp://www.wipo.int/copyright/en/links/index.html#ingoshttp://www.wipo.int/copyright/en/links/index.html#ingoshttp://www.wipo.int/copyright/en/links/index.html#ingos


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Utility patentsIncludes chemical, mechanical, electrical and

hysical patents and covers inventions thatCovers asexually orsexually reproducible

Covers the unique,ornamental, non-p

function in a uni oduce a

Plant patents

plants. Statutory period

Design patents

fuque manner to prutilitarian result. Statutory period lasts typically20 years from filing date (17 years prior to1995).

is 17 years fromissuance.

nctional or visibleshape or design ofan object. Statutoryperiod is 14 yearsfrom issuance.

Process Compositionof Matter

Machine

tManufacture Improvemen

and meet requirements for

tility (Industrial Applicability)Must be able to accomplish ob

Must be practical

verage skill in the art

tep)

No prior publication, use or sale more than one year before application in the U.S.

U ject of invention

Makeable or useable by one of a

Novelty (Inventive S Must be different from the prior art

Non-obvious Not obvious to a person skilled in the art.

Note: Corresponding international designations are also considered in this workbook.


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Parts of a patent

The typical parts of a patent are listed and briefly described below:

Heading/bibliographic data the title, inventor name, assignee/owner name, abstract, class

codes, references to cited material or prior art, designated states, legal representatives, etc.

Background prior art of the invention with applicants citation to relevant literature, descriptionof the problem to be solved and the benefits of the invention.

Summary or definition of the invention description of the invention and how it works, oftenthe claims paraphrased.

Detailed description of the invention an elaboration of the invention, the purpose of which isto give breadth to the idea of the invention.

Working examples examples that show the utility (usefulness) of the invention (i.e., new orimproved synthesis of a useful chemical or drug, or the manufacture of a useful device and how

the device is used).

Claims the legal boundaries of the idea set forth and described in the patent.

Illustrations drawings of electrical, mechanical, or chemical (Markush) structures.

Search report report prepared by the patent examiner that, at a minimum consists of a list ofpatents or other documents upon which the current invention is based.

Document Delivery

SourceOneSM

Dialog SourceOne is a worldwide document delivery service that provides high-quality copies oforiginal patent documents in PDF format. You can order via email. Delivery includes the fulltext ofthe patent, plus all the figures, graphics, tables, drawings etc. that appear in the originaldocument.

Patent File Histories are also available for ordering via a link from any patent record. Simply clickthe link to (Order File History) and enter the required information to order file histories from over40 patent offices worldwide.

The examples that follow illustrate front-pages of sample utility and design patents.

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Patent Process

The examples that follow illustrate the front pages and illustrations of a sample utility patentpublished application from the World Intellectual Patent Organization and a sample design patentissued by the USPTO.

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The Timeline below illustrates the different stages in the patent process followed in many fast-publishing countries, but keep in mind that significant variations in the process may occur in eachunique patent-issuing country or authority. As you view the Timeline, note the listed time periodsand prefixes assigned to different parts of the process (e.g., AD= for application date; AN= forapplication number).

Patent Process Timeline

Fast Publishing

FileEPPatent

Application In

ternationalFiling

Publicationof

PatentApplication

18 months6 month

opposition

period

// //

Grant

Conception

Expiration

AN=

AD= /PRAN=

AD=

PN=

PD=

PY=

PN=

PD=

PY=

LC=

LD=

Reassignment, Reexamination, Expired/Ceased/

Non-Payment of Fees, Ext ension, Reinstatement,

Opposition, Lapse, Request for E xamination

12 months

20 years

from AD/PR

KIND A KIND B

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Section 2: Review of Patent Databases



Review the patent databases available on Dialog

Gain understanding of the information each database offers to achieve better databaseselection

Introduction

Dialog has a full complement of patent databases. This section reviews the strengths and keypoints of those databases:

INPADOC/Family and Legal Status (File 345)Derwent World Patents Index(File 351/352,350)Derwent World Patents Index First View

SM(File 331)

Patents Citation Index(File 342)WIPO/PCT Patents Fulltext (File 349)European Patents Fulltext (File 348)German Patents Fulltext (File 324)JAPIOPatent Abstracts of Japan (File 347)U.S. Patents Fulltext (Files 654, 652)CLAIMS/U.S. Patents (File 340)CLAIMS/Current Patent Legal Status (File 123)LitAlert (File 670)

Specialized patent databasesIMS Patent Focus (File 447)Ei EnCompassPat (File 353)CA Search: Chemical Abstracts (File 399)

Click the link for each database to see a sample record from the Bluesheets.

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http://library.dialog.com/bluesheets/html/bl0345.htmlhttp://library.dialog.com/bluesheets/html/bl0351.htmlhttp://library.dialog.com/bluesheets/html/bl0331.htmlhttp://library.dialog.com/bluesheets/html/bl0342.htmlhttp://library.dialog.com/bluesheets/html/bl0349.htmlhttp://library.dialog.com/bluesheets/html/bl0348.htmlhttp://library.dialog.com/bluesheets/html/bl0324.htmlhttp://library.dialog.com/bluesheets/html/bl0347.htmlhttp://library.dialog.com/bluesheets/html/bl0654.htmlhttp://library.dialog.com/bluesheets/html/bl0340.htmlhttp://library.dialog.com/bluesheets/html/bl0123.htmlhttp://library.dialog.com/bluesheets/html/bl0670.htmlhttp://library.dialog.com/bluesheets/html/bl0447.htmlhttp://library.dialog.com/bluesheets/html/bl0353.htmlhttp://library.dialog.com/bluesheets/html/bl0399.htmlhttp://library.dialog.com/bluesheets/html/bl0399.htmlhttp://library.dialog.com/bluesheets/html/bl0353.htmlhttp://library.dialog.com/bluesheets/html/bl0447.htmlhttp://library.dialog.com/bluesheets/html/bl0670.htmlhttp://library.dialog.com/bluesheets/html/bl0123.htmlhttp://library.dialog.com/bluesheets/html/bl0340.htmlhttp://library.dialog.com/bluesheets/html/bl0654.htmlhttp://library.dialog.com/bluesheets/html/bl0347.htmlhttp://library.dialog.com/bluesheets/html/bl0324.htmlhttp://library.dialog.com/bluesheets/html/bl0348.htmlhttp://library.dialog.com/bluesheets/html/bl0349.htmlhttp://library.dialog.com/bluesheets/html/bl0342.htmlhttp://library.dialog.com/bluesheets/html/bl0331.htmlhttp://library.dialog.com/bluesheets/html/bl0351.htmlhttp://library.dialog.com/bluesheets/html/bl0345.html


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Patents Databases Chart

Files FreqUpdate

Abstracts Claims Fulltext

Image Countries EarlyDate

Fam.Data

LegalStatus

CitedPat/Ref

Derwent World PatentsIndex(Files 351/352,350)

2xW Y Y(1)

N Y 41 1963 Y N N(2)

Derwent World PatentsIndex First View(File331)

2xW Y Y N Y 41 Cur-rent

Y N Y

Patents Citation Index(File 342)

2xW N N N N 10 1973 Y N Y

CLAIMS/U.S. Patents(File 340)

2xW Y Y N N U.S. 1950 N N N

U.S. Patents Fulltext(Files 654, 652)

2xW Y Y Y Y U.S. 1971(4)

N Y N

European PatentsFulltext (File 348)

W Y Y(6)

Y(7)

Y EPO(8)

1978 N N Y

WIPO/PCT PatentsFulltext (File 349)

W Y Y Y Y 177 1978 N Y N

INPADOC/Family andLegal Status (File 345)

W Y N N N 96 1850 Y Y Y

JAPIO (File 347) M Y N N Y Japan 1976 N N N CLAIMS/Current PatentLegal Status (File 123)

W N Y(9)

N N U.S. 1980 N Y N

Ei EnCompassPat (File353)

M Y(10)

N N N 40 1964 N N N

IMS Patent Focus (File447)

M Y N N N Worldwide 1950 Y(11)

Y N

CA Search: ChemicalAbstracts (File 399)

W Y(12)

N N N Worldwide 1967 N N N

German Patents Fulltext(File 324)

W Y Y Y Y Germany 1967 N N Y

LitAlert (File 670) W N N N N U.S. 1973 N Y N 1 Selective inclusion 7 Granted patents 1991-present2 See File 342 8 Member countries to the EPO3 Chemical patents only 1967-79 9 Reexamination claims only

4 Selective coverage from 1971 to 1973 10 Searchable, but displayable to subscribers only5 File 654 only 11 Limited patent family information6 Granted patents 1991-present 12 DialogWeb Guided Search only


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INPADOC/Family and Legal Status (File 345)

INPADOC is produced by the International Patent Documentation Center, under the auspicesof the European Patent Office in Vienna, Austria, and covers published patent applicationsand issued patents from 96 countries and patenting organizations including the EPO, and

Patent Cooperation Treaty (WIPO) members. It provides detailed reporting of publicationlevels.

The Dialog version of the INPADOC database is unique in that it brings together equivalentpatents that share common priorities for a particular invention in a single family record.

Also included are abstracts and search reports (cited patents and cited literature references)from key patenting offices such as the EPO, WIPO and the United States. Starting with week200816, EPO's simple families and IDs, and a representative English abstract, if provided,are also available for browsing.

For all 96 countries, the patent table, bibliographic data for each patent, and legal statusactions, if available, are provided.

The patent table provides an overview of the family members and includes patentcountry, number, kind and date for each patent in the family, its corresponding localapplication number and date, and the week in which the patent was originally added tothe database. Family priorities contain the application country, number, kind and date.

The bibiliographic data consists of patent title, generally available in one or morelanguages, patent assignees and inventors, International Patent Classification (IPC)codes including the recent IPCR/8 reclassification, European Classification (ECLA)codes, and national classification codes such as those used in the United States. ForEuropean and PCT patents, designated states are also provided.

Legal status is provided for 43 countries/patent-issuing organizations and includes thepatent number, the gazette date announcing the action, the legal status code, the

equivalent text description, and the week in which the action was added to the database. Also included are abstracts and search reports (cited patents and cited literature

references) from key patenting offices such as the EPO, WIPO and the United States.Starting with week 200816, EPO's simple families and IDs, and a representative Englishabstract, if provided, are also available for browsing.

All Japanese technologies are covered.

Note:A list of countries included in INPADOC is available on the Bluesheet for File 345.Countries for which legal status is available are noted with an asterisk.

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Derwent World Patents Index (File 351/352,350)

Derwent World Patents Index

(DWPISM

), produced by Thomson Reuters (Scientific),provides access to information from more than 30 million patent documents, giving details ofover 14.8 million inventions. Each update, approximately 20,000 documents from 41 patent-

issuing authorities, is added to DWPI.

Each record in the database describes a single "patent family" containing data from the firstpublication of an invention, known as the "basic patent," as well as any further publishedpatents relating to that invention, known as "equivalents."

The records contain bibliographic data, Thomson Reuters (Scientific)-assigned titles,abstracts, general indexing and in-depth chemical and polymer indexing. Additionally,electrical and engineering drawings are present in records dating back to 1988, and chemicalstructure drawings are present in records dating back to 1992.

Starting in 1999, additional abstracts and indexing features are provided. The alerting

abstract is organized into paragraphs with informative, searchable paragraph headings. Thealerting abstract also contains a Novelty paragraph describing the non-obvious improvementsover previous technology. A Technology Focus abstract contains separate paragraphsproviding different technological viewpoints of the invention. The Extension Abstract andDocumentation Abstract can only be found in File 350 and provide detailed summaries thatbridge the gap between the concise abstract summary and the full-text patent document.

The records in DWPIhave been further enhanced with original publication data such as fullauthor name and address, document title, abstract, claims and legal representative. Theamount of this original publication data present in each record varies by publishing authority,patent kind, and time.

Searchable, four-letter assignee codes are available for companies holding a significant

number of patents.

File 351 and File 352 are identical in coverage but are split by geographical access. File 351is available to users worldwide except in Japan. File 352 is available to Japanese users only.File 350, Derwent World Patents Index Extension (DWPIX) provides additional searchcapabilities for Thomson Reuters (Scientific) subscribers.

Related files include Derwent World Patents Index First ViewSM

, (File 331) which providesfast alerting access to new patent documents, before the complete DWPIrecord is released;File 355, Chemistry Resource (DCR), which provides graphical chemical structure searchingwith a link back to the DWPIrecords that include the structures; and File 342, PatentsCitation Index (PCI), which details examiner and author patent citations for patents from the

six largest patent-issuing authorities.

Note:A list of countries included in Derwent World Patents Indexis available on the Bluesheet forFile 351. For a list of kind codes used in DWPI, type the command HELP KIND 351.

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Derwent World Patents Index First ViewSM(File 331)

Companion database to Derwent World Patents Index

(Files 351 and 352) and also toDerwent World Patents Index Extension(File 350).

Provides fast alerting access to new patent documents before the complete DWPIrecord isreleased.

Designed to be searched in conjunction with DWPISM

to give a complete view of all thepublished patent documents before their inclusion in DWPI.

Each patent record in DWPI First Viewis identified as a Basic or Equivalent patent.

DWPI First Viewis a rolling file where new patent records remain until all of the value-addhas been created by Derwent editors.

Each patent record in DWPI First Viewis identified as a Basic or Equivalent patent with mostrecords new Basic patents.

Patent Citation Index (File 342)

Provides access to 54.5 million patent and literature citations found in 7.8 million patentfamilies. In each update, Examiner citations from about 50,000 documents from major patent-issuing authorities are added to the file.

The patent family data corresponds to the patent family data provided in Derwent WorldPatents Index(File 351/352,350) at the time that the most recent citations were added to thedatabase.

The PCIrecord provides a view of retrospective technology for an invention (cited patentsand literature references) and its impact on subsequent technology (citing patents).

Citations referenced by examiners or inventors in patent documents are called "cited" patentsor literature references in the PCIrecord and correspond to the search reports thataccompany patent publications. When a citation references older inventions/patents, it is alsoadded to the family record as a "citing" patent.

Examiner citations are provided for family members added to the file from ten major patent-issuing authorities.

Each record includes the unique DWPIaccession number, which can be used in DWPI(Files

351/352,350) to obtain detailed information, such as abstracts, about cited and citing patentsas well as family members. Various MAP command options allow easy transfer of DWPIaccession numbers and patent numbers between the files.

Major uses include: searching prior art, tracing possible legal challenges, monitoring patentportfolios, analyzing competitors and trends.

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WIPO/PCT Patents Fulltext (File 349)

Covers the fulltext of PCT (Patent Cooperation Treaty) published applications issued underthe auspices of the World Intellectual Property Organization (WIPO) since 1978.

A single PCT application can be designated as valid in any or all of the 184 member states.

Bibliographic data is searchable online 1-2 days after publication of the document, and thefull text is available approximately 5-7 days after publication.

Records contain specification and claims; titles and abstracts in English and French, patentapplicant/assignees and inventors, patent and priority application data, legal status data andimages, where available.

The majority of full-text documents are in English. Documents are also available in French,German and Spanish. Text originally provided to WIPO in non-Latin characters, i.e., Greek,Chinese, etc. is not included due to the difficulty of scanning and accurately converting non-Latin characters.

Legal status information appears from July 2000 forward.

All areas of patentable technology are included.

European Patents Fulltext (File 348)

All European patent applications and granted European patents published since the openingof the European Patent Office (EPO) in 1978 are included.

Subject coverage includes all technologies patentable under European patent law.

Bibliographic information for PCT applications transferred to the EPO is provided.

Specification(s) and claims of published, unexamined applications (A documents) from 1986forward (fulltext in the original language of publication) are included.

Complete specification(s) and claims of examined, granted patents (B documents), ifavailable, from 1991 forward (fulltext in English, German and French) are provided.

Bibliographic, administrative and legal status data is obtained from the European PatentBulletinfrom 1978 forward.

English abstracts are added to German and French documents within several weeks of their

addition to the database.

Legal status actions and reassignments of EP patents are included.

Titles are in the three official languages of the EPO: English, German and French.

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German Patents Fulltext (File 324)

From January 2008, the database covers all German patents and published applications, aswell as German publications based on EP or WO patents.

Coverage for 1967-2007 is limited and includes German published applications (kind A),granted patents (kinds B and C) and utility models (kind U).

Bibliographic data is provided for all patents from 1967 forward; from 1980, the abstract, thetext of the specification, and the claims are also provided.

Machine-generated English translations of titles, abstracts, text and claims are available forthe years 1980-2007.

Fulltext searching is available in German and for the years 1967-2007, in English.

Record-level images are also provided from 1994 forward and can be found usingRT=IMAGE.

Starting in January 2008, embedded images of tables, charts and drawings are alsoavailable, as well as searching for cited patents and literature references.

Searchable bibliographic data includes patent applicants/assignees and inventors,International classification codes, and standardized patent, application numbers and priorityapplication numbers,

JAPIO Patent Abstracts of Japan (File 347)

The file contains English abstracts of Japanese unexamined published patent applications(Kokai Tokyo Koho) and as such covers all technologies.

Abstracts are available when the application originated in Japan; Kokai records having apriority outside Japan will be bibliographic.

70% of all records contain abstracts.

JAPIO is updated monthly, but there may be as much as six months between the time ofpublication in Japan and availability online.

Kokai numbers (laid open application or unexamined published application) and Japaneseapplication numbers (also referred to as the filing or serial number) are searchable.

Application records include both Japanese and non-Japanese priorities.

Examined Japanese patent application numbers (Kokoku) or Japanese patent number(Toroku) are not included.

Images of front page drawings, when available, are included.

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U.S. Patents Fulltext (Files 654, 652)

PATFULL file coverage is as follows:File 654 1976 to dateFile 652 1971 to 1975

Begin PATFULL to search both files simultaneously.

Use these files for broad searches. They include best mode, invention background, enablingdisclosure, and claims.

Granted patents are online on Dialog on Tuesday of each week, the same day they areissued in the Official Gazetteby the U.S. Patent and Trademark Office (USPTO). Patentapplications are published every Thursday.

Comprehensive U.S. patent coverage: The file includes all patents issued by the U.S. Patentand Trademark Office since 1971, with partial coverage of 1971-1973, and includes: Utility,Design and Plant patents, Reissues, Defensive Publications and Statutory InventionRegistrations (S.I.R.). Published applications issued since March 15, 2001 are also included.

Each record contains all front-page information, including title, author(s), assignee(s), relatedapplications, classification data, cited references and abstract. The complete text of theoriginal patent or published application usually includes an image of one of the drawings, thebackground/field of invention, a brief summary of the invention, the detaileddescription/embodiment of the invention, examples and all claims.

Post-issuance legal status, reported and supplied by IFI Claims Patent Services, includesreassignment, reexamination, extensions, expirations for failure to pay maintenance fees,reinstatements, certificate or correction dates, and calculated expiration dates.

Citation searching is available for cited and citing patents, as well as cited non-patentreferences.

Copies of U.S. patent documents in PDF format, including all drawings, can be orderedthrough SourceOne.

Includes images.

Includes both original and revised U.S. class codes.

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CLAIMS/U.S. Patents (File 340)

Deepest archival patent information on Dialog:1950+ for Chemical arts 1976+ for Design patents1963+ for Electrical arts 1976+ for Plant patents

1963+ for Mechanical arts

File contains pre-grant published applications (i.e., PGP, Kind A1). Since October 2001 thepre-grant application has been merged with granted source records.

Records contain: title, inventor, assignee, related applications and patents, the inventorabstract and claims of U.S. patents.

The patent title is enhanced in 90% of chemical or chemically-significant patents.

Cross-Reference to co-pending and related applications and issued patents is reported as atable including continuations, continuations-in-part, divisionals, and reissues. [See AppendixC for definitions of these terms.]

Major companies are given unique, five-digit numeric assignee codes for more refinedownership searching.

CAS

Registry Numbers are included in chemical patents from 1967 to 1978.

New International Patent Classification Reform (version 8) is applied to patents from 1950forward. Class codes are updated with the annual reload of the database.

Citing patent information is updated with the annual reload of the database.

Other CLAIMS databases include:

CLAIMS/Uniterm (File 341) and CLAIMS

/Comprehensive (File 942) databases contain

the same patent records, but also in-depth controlled indexing for chemical andchemically-significant patents from 1950 forward. File 341 is publicly available but islimited to 12 hours per year without a subscription. File 942 can be accessed only bysubscribers.

CLAIMS

/Reference (File 124) contains an online version of the USPTO Manual ofClassificationand the general term indexing thesaurus used with Files 341 and 942.

CLAIMS/Citation (Files 220, 221, and 222) provides examiner cited and citing patent

numbers.

CLAIMS

/Compound Registry (File 242) is a dictionary of IFI's chemical compoundvocabulary.

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CLAIMS/Current Patent Legal Status (File 123)

Covers post-issuance legal status for U.S. patents including: Adverse decisions on interference actions Disclaimers/Dedications

Extensions of patent term Reassignments Reexamination requests and certificates Reinstatements Expirations due to non-payment of maintenance fees. Certificates of correction Reissue requests

All records contain the original patent assignee, patent number and publication date.

Reassignment data consists of the former assignee (i.e., assignor), new assignee,reassignment action (e.g., full interest, quarter interest, etc.), date of reassignment, reel andframe number of the USPTO microfilm record, and the correspondence address.

Other post-issuance status information typically contains the date of the legal action, the dateit was recorded in the Official Gazetteand any additional applicable information such asrequest number, descriptive text, etc.

Reexamination records also contain the text of any modified claims.

LitAlert (File 670)

Contains records for patent and trademark infringement lawsuits filed in the ninety-four U.S.District Courts and reported to the Commissioner of the United States Patent and TrademarkOffice (USPTO).

Records for thousands of lawsuits filed since the early 1970s that have never been reportedin the Official Gazetteare also included.

Records contain the patent number or trademark registration number and date of issue;patent title or trademark name; name(s) of inventors, owners, and assignees; andclassification title and class number.

Descriptive information about the specific litigation includes the court in which the action istaking place, the docket number of the case, plaintiffs and defendants, the filing date of thelawsuits, and the judgment and date, if applicable.

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Learning Check 1

Which database(s) would be appropriate to use for each of the following applications?

1. Find the current owner of U.S. patent 4,603,743.

2. Find an abstract for a Japanese patent for an injection molding machine.

3. Determine if an English equivalent exists for a Japanese patent for an injection moldingmachine.

4. Find the inventor for a U.S. design patent.

5. Locate later-issued patents which cite a U.S. patent.

6. Find information on U.S. patent 3,226,178 issued in 1965, dealing with dyeing of nylon fibers.

7. Find Japanese patents authored by Gordon Ridley.

8. Determine whether a U.S. serial (application) number, filed in 1992, has issued as a U.S.patent.

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Prior to performing a patent search, there are two questions that need to be addressed:

What information do you have?

What information do you need?

The answers to these two questions will aid you in creating your search strategy and choosing adatabase. A search worksheet can help you organize and plan your search before you go online.In each of the following parts you will be given the chance to analyze a search request and theworksheet can help you conduct an efficient search.

Patent Request Worksheet

22

Search Request

_____________________________________________________________________________

__________________________________________________________________________________________________________________________________________________________

_____________________________________________________________________________


Inventor name _________________________________________________________________

Company name/Assignee name ___________________________________________________

Application number _____________________________________________________________

Publication/Patent number _______________________________________________________

Publication/Patent date __________________________________________________________

Publication/Patent year __________________________________________________________

Subject or Keywords ____________________________________________________________

Class code International ________________________________________________________

Class code U.S. ______________________________________________________________

What kind of information do you wish to locate?

__ Abstracts __English language equivalent __International __ Citations __ Family data __ Legal status __ Claims __Full Text __U.S. only __Copy of actual patent __Images

Patent Request Worksheet

Search Request

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________


Inventor name ______________________________________________________________

Company name/Assignee name ________________________________________________

Application/Filing number _____________________________________________________

Application/Filing date ________________________________________________________

Publication/Patent number _____________________________________________________

Publication/Patent date _______________________________________________________

Publication/Patent year _______________________________________________________

Subject or Keywords _________________________________________________________

Class code International _____________________________________________________

Class code U.S. ___________________________________________________________

What kind of information do you wish to locate?

__ Abstracts __English language equivalent __International __ Citations __Family data __ Legal status __ Claims __Full Text __ U.S. only __ Copy of actual patent __Images


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Section 3: Searching Numbers



Recognize the difference between Application Numbers (AN=) and Publication Numbers(PN)=

Use kind codes to distinguish different types of patent publications

Search using WIPO/PCT numbers

Convert and search Japanese numbers

Understanding Application and Patent Numbers

When you are given a number to search, you must determine whether it is an application number,serial number, filing number, published application number, publication number or patent number.The chart below defines these terms.

AN=Application/FilingNumberSerial Number (U.S.)

Assigned at the time an application is filed with a given patentreceiving office.

PN=Publication Number

Assigned to published applications in fast-publishing countriesbefore the patent is issued. Fast- publishing countries publishapplications within 18 months of the application date, before thepatent is issued. Slow-publishing countries do not publish anyinformation about the patent until it is granted.

PN=Patent Number

Assigned to an application once it is granted as a patent. In somecountries the invention retains the number assigned when theapplication was published; however, it is coded with a KIND code toidentify it as a published application or granted patent. In othercountries, a unique number is assigned to granted patents. Use thecommand HELP KIND 351 to obtain a current list of the country andkind codes used in Derwent World Patents Index(File 351) and

HELP KIND 345 to obtain the list used in INPADOC/Family andLegal Status (File 345).Table: Application and Patent Numbers

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Note:The term patent, in a Dialog database, refers to any published form or description of aninvention, ranging from published unexamined applications to fully examined granted patents.Therefore, it is best to think of PN as Publication Number or Patent Number.

Application 1: Searching Application Numbers

Application numbers have a consistent Dialog format that permits cross-file searching. Alwaysuse a country code with the application number. Qualify with the /PR suffix to search for PriorityApplication Numbers (the first application filed for the invention).

When searching numbers, use the BEST technique:

BEGIN in an appropriate database.

EXPAND on the search term, remembering to include the appropriate prefix. Do not usetruncation, but include the word stem to place your entry in the alphabetic index.

SELECT appropriate E numbers using either a colon or the OR connector to select multiple

entries. TYPE out records.

Also, remember the following tips when searching for application numbers:

Use the prefix AN= and the application/filing number.

Always use a two-letter country code before the number followed by a space.

When SELECTing, qualify with the /PR suffix (e.g., S AN=US 2008400798/PR) to limit to thePriority Application Number(s), the first application filed for the invention.

Dialog Format Example Description

Example 1:CA 2677125

(Filed Feb. 1, 2008)

AN=CC NNNNNNN

AN=CA 2677125 For application numbers for patent

authorities such as Canada that donot contain a year designation,enter the two-letter country code, aspace, then the one- to eight-digitserial number with no leading zeros.

Example 2: EP 2008290562.1(Filed June 16, 2008)

AN=CC YYYYNNNNNN

AN=EP 2008290562 For application numbers frompatent authorities such as theEuropean Patent Office that use anannual series, enter the two-lettercountry code, a space, then thefour-digit year designation (use atwo-digit year format for filing years

prior to 2000), followed by the one-to eight-digit serial number. If adecimal point and additional digitsappear at the end of the filingnumber, they should be dropped.

Example 3: US 12/268,308 AN=US 2008268308 In the U.S., serial numbers never

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(Filed Nov.10, 2008)

AN=CC YYYYNNNNNN

exceed six digits and therefore mustrepeat every few years. Each timethe serial numbers repeat, a new"series" number is assigned torepresent the new range of filingyears. For example, series /11 wasassigned to serial numbers filedfrom approximately 2005 through2007, and applications filed as of2008 are assigned series number

/12. For a chart of "Filing Yearsand Patent Application SerialNumbers Since 1882" see theUSPTO Web site.

Table: Formats for Application Numbers

Note:When searching application numbers, using EXPAND to verify the format of the number,

can be a useful technique.

In most patent files, an alternate index allows you to EXPAND on U.S. serial numbers in order toview the multiple years of filing from which you can choose:

?b 340

? e an=us 268308

Ref Items Index-term

E1 1 AN=US 268307-2006

E2 1 AN=US 268307-2008

E3 9 *AN=US 268308

E4 1 AN=US 268308-1972E5 1 AN=US 268308-1994

E6 1 AN=US 268308-1999

E7 2 AN=US 268308-2002

E8 1 AN=US 268308-2005

E9 1 AN=US 268308-2006

E10 1 AN=US 268308-2008

Enter P or PAGE for more

? s e10

S1 1 AN='US 268308-2008'

Important Note: When the filing number following the year designation begins with one or moreleading zeros, all leading zeros must be deleted in the standard Dialog format.

E10 corresponds to US12/268308 filed in2008. In the standardDialog format, the yeardesignation willprecede the serialnumber as follows:AN=US 2008268308.

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Topic Search US 12/051,111 filed March 13, 2008. Before EXPANDing on this number, dropthe leading zero.

?b 340

? e an=51111

Ref Items Index-termE1 1 AN=US 511109-2003E2 1 AN=US 511109-2006E3 10 *AN=US 51111E4 1 AN=US 51111-1970E5 1 AN=US 51111-1987E6 1 AN=US 51111-1993E7 1 AN=US 51111-1996E8 1 AN=US 51111-1998E9 1 AN=US 51111-2002E10 3 AN=US 51111-2005E11 1 AN=US 51111-2008

E12 23 AN=US 511110E13 1 AN=US 511110-1965E14 2 AN=US 511110-1990

E15 1 AN=US 511110-1995. . . .......? s e11

S1 1 AN='US 51111-2008'

? t s1/3Dialog eLink: Order File History1/3/1DIALOG(R)File 340: CLAIMS(R)/US Patent(c) 2009 IFI/CLAIMS(R). All rights reserved.11894775 2008-0234869E/Remote Performance Monitor and Remote PerformanceMonitoring MethodInventors:Donen Nobuyuki (JP); Ito Yasuyuki (JP); Murakami

Yoshiki (JP); Nishimura Nobutaka (JP); Takagi Yasuo

(JP); Yonezawa Kenzo (JP)Assignee: Unassigned Or Assigned To IndividualAssignee Code: 68000Probable Assignee (A1): Toshiba Corp JPAttorney, Agent or Firm: FINNEGAN, HENDERSON, FARABOW,GARRETT & DUNNER;LLP, 901 NEW YORK AVENUE, NW, WASHINGTON,DC, 20001-4413, US

Publication ApplicationNumber Kind Date Number Date-------------- -- -------- ------------ --------US 20080234869 A1 20080925 US 200851111 20080319Priority Applic: JP 200772607 20070320

Application 2: Searching Patent Numbers

E11 corresponds to US12/051,111.

Note that in the record,US 12/051,111appears in thestandard Dialog formatas US 200851111 (theseries 12/ has beenconverted to 2008, theyear of filing, and theleading zero andcomma in the serialnumber "051,111"have been dropped).

Like application numbers, published application numbers and patent numbers also have aconsistent Dialog format that permits cross-file searching. When searching numbers, use theBEST technique: BEGIN, EXPAND, SELECT, TYPE.

Also, remember the following tips when searching for patent/publication numbers:

26
http://rlinks2.dialog.com/NASApp/rlinks/RL_Servlet?RL_SID=35655280&RL_PRODUCT=2&RL_SERVICE=8&RL_ORIGIN=24&RL_SUBACCT=&RL_FILE=340&RL_ID=30&RL_FORMAT=19&RT=30&FH_PN=US20080234869&FH_TI=e%2Fremote+performance+monitor+and+remote+performance+monitoring+++methodhttp://rlinks2.dialog.com/NASApp/rlinks/RL_Servlet?RL_SID=35655280&RL_PRODUCT=2&RL_SERVICE=8&RL_ORIGIN=24&RL_SUBACCT=&RL_FILE=340&RL_ID=30&RL_FORMAT=19&RT=30&FH_PN=US20080234869&FH_TI=e%2Fremote+performance+monitor+and+remote+performance+monitoring+++method


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Use the prefix PN= and the patent or publication number.

Always use a two-letter country code before the number followed by a space.

Omit commas from the patent number.

Retain leading zeros in publication numbers where the zeros follow a year designation, butdrop leading zeros where present at the beginning of a continuing series.

Use EXPAND to verify the format of the number.

In the international family databases, the suffix /PB restricts the search to patent basics.

Note: The basic patent publication represents the first patent document received by thedatabase provider used to create the record for a new patent family. The "basic" usually, but notalways, corresponds to the patent document in the family with the earliest publication date.

The following table illustrates formats for searching patent/publication numbers.

Dialog Format Example Description

EP 1,669,069 A1

(Published June 14,2006)

EP 1,669,069 B1 (IssuedSept. 10, 2008)

PN=CC NNNNNNN

US 7,631,362 B2(Issued Dec. 8, 2009)

PN=CC NNNNNNN

PN=EP 1669069

PN=US 7631362

Granted patent numbers from most

countries and published applicationnumbers from some countries are based ona continuing series of numbers that doesnot include a year designation. TheEuropean Patent Office is an example of apatent authority that assigns the samenumber to both published applications andgranted patents but distinguishes themusing either a kind code "A" for a publicationnumber or kind code "B" for an issuedpatent number. The numbers are searchedthe same way using the PN= prefix but willappear in the record with different kind

codes and publication/issue dates.

For countries such as the U.S. with patentnumbers based on a continuing series,enter the two-letter country code, a space,and the one- to eight-digit series numberwith no leading zeros (e.g., United States).

US 2007/0067853 A1(Published Mar. 22,2007)

PN=CCYYYYNNNNNNN

PN=US 20070067853 The U.S. is an example of a patent countrythat assigns different types of numbers topublished applications and granted patents.U.S. Pre-Grant Published Applications (or"PGPs") always consist of a four-digit year

followed by a seven-digit publicationnumber. The kind code "A1" represents a"patent application publication" and the kindcode "B2" represents a "granted patent from2001 with pre-grant publication." Prior to2001, the U.S. did not issue pre-grantpublished applications, so granted patents

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were the first publication of a patentapplication and were assigned a kind code"A".

For patent authorities such as the U.S. thatuse an annual series for publicationnumbers, enter the two-letter country code,a space, then the four-digit year designation(use a two-digit year format for filing yearsprior to 2000), followed by the one- to eight-digit series number. Unlike application/filingnumbers, in the standard Dialog formatleading zeros in publication numbers thatoccur after the year designation areretained.

Table: Formats for Patent/Publication Numbers

Note: When searching publication numbers, using EXPAND to verify the format of the number

can be a useful technique.

Topic Search U.S. pre-grant published application number 2004/0260924 to determinewhether the application was subsequently granted and also to find the corresponding patentnumber.

?b 340

? e pn=US 20040260924

Ref Items Index-termE1 1 PN=US 20040260922

E2 1 PN=US 20040260923E3 1 *PN=US 20040260924E4 1 PN=US 20040260925E5 1 PN=US 20040260926E6 1 PN=US 20040260927E7 1 PN=US 20040260928E8 1 PN=US 20040260929E9 1 PN=US 20040260930E10 1 PN=US 20040260931

Enter P or PAGE for more? s e3

S1 1 PN='US 20040260924'

? t s1/3Dialog eLink: Order File History

1/3/1DIALOG(R)File 340: CLAIMS(R)/US Patent(c) 2009 IFI/CLAIMS(R). All rights reserved.05104632E/(A1) Apparatus and method for electronic mail filtering(B2) APPARATUS AND METHOD FOR ELECTRONIC MAIL FILTERING

Inventors:Carny Ofir (IL); Lupo Guy (IL); Peled Ariel (IL);Troyansky Lidror (IL)

CLAIMS/U.S. Patent(File 340) is a goodchoice for this searchbecause pre-grantpublished applicationand the granted patentnumbers for the sameapplication arecombined into a singlerecord.

28
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Assignee: (A1) Vidius Inc(B2) PortAuthority Tech Inc

Publication ApplicationNumber Kind Date Number Date-------------- -- -------- -------------- --------

US 20040260924 A1 20041223 US 2004859156 20040603US 7636947 B2 20091222 US 2004859156 20040603

Prior Publication: US 20040260924 A1 20041223Priority Applic: US 2004859156 20040603Provisional Applic: US 60-475491 20030604Calculated Expiration: 20240603Notes: Subject to any Disclaimer, the term of this patent isextended or adjusted under 35 USC 154(b) by 740 days.

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Application 3: Searching WIPO/PCT Numbers

The World Intellectual Property Organization (WIPO) administers the Patent Cooperation Treaty(PCT). Patent applications filed with WIPO, sometimes referred to as "international applications,"provide a priority that is recognized by all 185 member states, if that member state is designated

at the time of filing. After filing, the patent application is published 18 months from the prioritydate, which results in a WO publication. The applicant may choose to have the applicationexamined and a search report is generated. Ultimately, the applications will enter the nationalphase in one or more designated states where examination occurs and the patent is granted.

TopicConvert the PCT application number PCT/US2007/018280 (Filed Aug.17, 2007)toDialog format for searching.

Dialog format PCT/WIPO application number in Dialog format

AN=CC YYYYCCNNNNNN AN=WO 2007US18280

Tips for formatting WIPO/PCT filing numbers:

WIPO publication numbers always begin with "PCT" representing the Patent CooperationTreaty, which in the Dialog format should be converted to the country code WO.

Skip a space then use the four-digit year designation (use a two-digit format for years prior to2000)

Next, enter the country code that appears in the filing number, in this case "US." This countrycode represents the member patent office in which the international application was filed.Any country that is a member of the PCT can be designated as the filing office but if theapplication is filed directly with WIPO, the country code IB for "International Bureau" is used.

Finally, enter the five- or six-digit filing number but drop any leading zeros (e.g. convert018280 to 18280).

TopicConvert the WIPO patent number WO 2008/039279 A1 (Published April 3, 2008) to

Dialog format for searching.

Dialog format WIPO patent number in Dialog format

PN=CC YYYYCCNNNNNN PN=WO 2008039279

Tips for formatting WIPO/PCT publication numbers:

When the PCT application is published by WIPO, it is assigned a "WO" publication numberconsisting of a two- or four-digit year designation followed by a five- or six-digit number.Retain WO as the country code.

Skip a space then use the four-digit year designation (use a two-digit format for years prior to2000).

Next enter the five- or six-digit publication number including all leading zeros.

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Application 4: Searching Japanese Numbers

Japanese patent numbers pose particular difficulty because of the numbering system used inJapan. The number you have may refer to any one of six types of Japanese patent documents.These are:

Application/Filing Number

Unexamined Published/Laid Open Application Number (Kokai)

Examined Published Application Number (Kokoku)

Granted Patent Number (Toroku)

Utility Model Application

Utility Model Patent

Note: To read more about searching Japanese patent numbers, check the patent How Do I?on Dialogs Training Web site.

Note: A Utility Model is a type of patent available in some countries that provides legal protection

for a minor invention that does not necessarily meet the novelty or non-obviousness criteria of aregular patent.

For each of these types of documents, the Japanese numbering system uses an annual seriesand begins each year with document number 1. As a result, in the same year an identicalnumber can be assigned to different inventions that are at different levels of publication. The onlyexception to this rule is Granted Patent Numbers which use a continuing series starting atnumber 2,500,001.

Further complicating the search process is the Japanese Year of the Emperor, which was usedby the JPO as the year designation for patent applications and publications prior to the year 2000.The chart below provides the formula for calculating the Imperial Year.

Emperor Western Year Imperial Year

Hirohito(Showa Era)

1926 First year of reign1986 Sixty-first year of reign1988 Sixty-third year of reign

Year 1 Not onlineYear 61 (+25 = 1986)Year 63 (+25 = 1988)

Akihito(Heisei Era)

1989 First year of reign*1999 Eleventh year of reign

Year 1 (+88 = 1989)Year 11 (+88 = 1999)

2000 present No longer used in patentdocuments as of 2000.

Table: Calculating the Imperial Year

Note: *Since Hirohito died in January 1989, the first 3,200 unexamined applications in 1989

(approximately one percent of the 1989 document total) use Year 64.

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The chart below outlines the formats used for Japanese patents at different levels of prosecution.

Action

Annual SerialNumbers

JapaneseFormat

Dialog Standard Format

Patent and Utility

ModelApplication/FilingNumbers

Use 4-digit Western

year from 2000 to thepresent

Use corresponding 2-digit Western Year priorto the year 2000(Conversion: 5 + 88 =1993).

JP 2008-

053185

JP 5-053185

S AN=JP YYYYNNNNNN

S AN=JP 200853185

S AN=JP YYNNNNNNS AN=JP 9353185

Note: Drop any leadingzeros that occur after theyear designation.

UnexaminedPublishedApplication (Kokai)

Numbers

Use 4-digit Westernyear from 2000 to thepresent.

Use Year of theEmperor (1- or 2-digitImperial Year) prior tothe year 2000.

JP 2008-062987

JP 2-182090JP 62-062987

S PN=JP YYYYNNNNNNS PN=JP 2008062987

S PN=JP YNNNNNNS PN=JP YYNNNNNN

S PN=JP 2182090S PN=JP 62062987

Note: Zero fill the numberafter the year designation tosix digits.

Published ExaminedApplication (Kokoku)

Use corresponding 2-digit Western Year

(Conversion: 6 + 88 =1994).

JP 6-182090 S PN=JP YYNNNNNN SPN=JP 94182090

Note: Zero fill the numberafter the year designation tosix digits.

Granted Patent(Toroku)

Use number as given.Tip: Where multiple hitsare retrieved, narrow bysearching in the samesubfield (S) as thecorrespondingPublication Year (PY=)

JP 4197339

(granted Dec.17, 2008)

S PN=NNNNNNNS PN=4197339(S)PY=2008

Table: Formats for Japanese Patents

Note: Before January 1, 1996, under the old Japanese patent laws that provided for pre-grantopposition, Examined Applications (Kokoku) were published for opposition. The last Kokoku waspublished November 29, 1996. From January 1, 1996 on, Japanese patents are granted withoutpublication for public opposition beforehand. The first new Granted Patents (Tokoku) wereissued May 29, 1996 and began with number 2500001. The new laws provide for a six-monthopposition period after grant.

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Since searching Japanese numbers can be confusing for several reasons, if you are unable tolocate a Japanese application or patent number contact the Knowledge Center for assistance.EXPAND on the number as an Application Number, using the Western Year and the numberwithout zero filling.

Learning Check 2

Convert the following Japanese numbers into the appropriate formats:

1. Japanese Number JP 2-32541

Application Number______________________________________________________

Published Unexamined Application Number (Kokai)_____________________________

Published Examined Application Number (Kokoku) _____________________________

2. Japanese Number JP 58-4563

Application Number _____________________________________________________

Published Unexamined Application Number (Kokai)_____________________________

Published Examined Application Number (Kokoku) _____________________________

3. JapaneseNumberJP2003002599ApplicationNumber______________________________________________________

4. JapaneseNumberJP2006016209PublishedUnexaminedApplicationNumber(Kokai)_____________________________

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Section 4: Searching Names



Learn to search inventors, patent assignees and legal representatives

There are two names significant to patents, the inventor (author) name and the owner (patentassignee) name. An assignee may be an individual or a company. If an inventor does not assignthe invention, in some files the inventor's name will be listed in the Patent Assignee field (PA=) aswell as in the Author/Inventor field (AU=), but in other files the Assignee will be listed as"Unassigned or Assigned to Individual." A company will never be listed as the inventor.

Tips for Searching Inventor, Assignee and Legal RepresentativeNames

The Author/Inventor field in the patent databases is indexed as AU=.

Inventor Names are standardized in patent files with the last name of the inventor listed first,followed by a space (no comma) and the first name or first initial of the inventor. Whereavailable, the middle name or initial of the inventor will also be listed.

The original Patent Assignee name is indexed as PA=, and where available, assignee namesafter reassignment transactions are indexed in the New Patent Assignee/ReassignmentName field (RA=).

The Legal Representative name is indexed as LR=.

The recommended technique for searching inventor, assignee or legal representative namesis to use the BEST technique as in searching numbers.

Although the format of inventor names is standardized, variations may still occur. If you arelooking for inventor or assignee names, use the following formats to locate variations:

Name Searching Search Prefix

Inventor Name E AU=Lapp, D

E AU=Lapp DE AU=Lapp David

Patent Assignee Name E PA=Du PontE PA=DupontE RA=Du PontE RA=Dupont

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Legal Representative Name E LR=Kirkland & EllisE LR=Kirkland and Ellis

Table: Formats for Assignee/Inventor/Legal Representative Names

Using Patent Assignee Codes

In Derwent World Patents Index(File 351), if a company has a significant number of patents, itwill be assigned a unique four-letter code that can be used to retrieve all patents originallyassigned to that company and its subsidiaries worldwide. For the most comprehensive results,search the Patent Assignee name in the PA= field; then search the four-letter code in the PatentAssignee Code (CK=) field; then "OR" the results together. Note that reassignment data is notsearchable in DWPI.

In Derwent World Patents Index(File 351):

The assignee code is a four-letter code.

The assignee code will retrieve parent and subsidiary records.

Patent Assignee Searching Search Prefix

Patent Assignee E PA=pfizerDerwent Code S CK=PFIZ

Table: Patent Assignee Codes for File 351

The easiest way to identify the standard four-letter assignee code is to EXPAND on the assigneename in the PA= field and review the index.

? e pa=pfizerRef Items Index-termE1 1 PA=PFIZENMAIER WALTERE2 1 PA=PFIZENMAIER WALTER 7170 SCHWAEBISCH HALLE3 6513 *PA=PFIZERE4 4 PA=PFIZER (PFIZ)E5 1 PA=PFIZER & CIE

PFIZ is theassignee code

E6 1 PA=PFIZER & CIE (PFIZ)E7 15 PA=PFIZER & COE8 15 PA=PFIZER & CO (PFIZ)E9 2 PA=PFIZER & CO CE10 2 PA=PFIZER & CO C (PFIZ)


Note: Non-standard assignee codes are assigned to individuals and companies that do not file alarge number of patents and in general should not be used for reliable searching. Non-standardcompany codes include the suffix "-N", Russian (Soviet) organizations include the suffix "-R" andIndividuals include the suffix "-I".

In CLAIMS/U.S. Patents (File 340) and U.S. Patents Fulltext (Files 654,652):

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Assignee codes are numeric.

Assignee codes will retrieve all patents assigned to a named company only.

The same codes are used in both CLAIMS and PATFULL files.

Patent Assignee Searching Search Prefix

Patent Assignee Name E PA=MattelPatent Assignee CodeCLAIMS/U.S. Patents (File 340)U.S. Patents Fulltext (654,652)

S PA=53126

Table: Patent Assignee Codes for Files 340,654,652

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Application 1: Searching Inventor Names

Topic Find all patents worldwide listing inventor Clare Katherine Eagleton. To conduct aworldwide inventor search, one excellent choice is INPADOC/Family and Legal Status (File 345)which includes patent data for 96 countries and patenting organizations.

?b 345File 345:Inpadoc/Fam.& Legal Stat 1968-2009/UD=200949

(c) 2009 EPO

Set Items Description--- ----- -----------

? e au=eagleton c

Ref Items Index-termE1 2 AU=EAGLETON ANTHONY CE2 7 AU=EAGLETON ANTHONY CECILE3 1 *AU=EAGLETON CE4 1 AU=EAGLETON C KE5 1 AU=EAGLETON C SE6 1 AU=EAGLETON C SCOTT

E7 1 AU=EAGLETON CHRISTOPHER MAURICEE8 2 AU=EAGLETON CHRISTOPHER RAYMONDE9 1 AU=EAGLETON CLAIREE10 4 AU=EAGLETON CLAREE11 1 AU=EAGLETON CLARE KATHERINEE12 1 AU=EAGLETON CLAREKATHERINEE13 2 AU=EAGLETON CLIFFORD SE14 1 AU=EAGLETON DAVID RE15 5 AU=EAGLETON HAROLD NE16 1 AU=EAGLETON JOHNE17 1 AU=EAGLETON JOHN ANTHONYE18 1 AU=EAGLETON KATHLEENE19 1 AU=EAGLETON MARIEE20 1 AU=EAGLETON MARIE C


? s e3:e4 or e9:e121 AU=EAGLETON C K4 AU=EAGLETON CLAIRE:AU=EAGLETON

CLAREKATHERINES1 4 AU='EAGLETON C K' OR AU='EAGLETON

CLAIRE':AU='EAGLETON CLAREKATHERINE'

? t s1/3,ivDialog eLink: Order File History1/3,IV/1DIALOG(R)File 345: Inpadoc/Fam.& Legal Stat(c) 2009 EPO. All rights reserved.68590635 Family ID: 38590676No. of Patents: 49; No. of Countries: 14No. of Legal Status: 205

Patent Basic (No,Kind,Date): CA 2365596 A1 20001005

COMPOSITIONS AND METHODS FOR THE MODIFICATION OF GENEEXPRESSION (English)COMPOSITIONS ET METHODES DE MODIFICATION DE L'EXPRESSIONGENIQUE (French)

Command Summary

B 345E au=eagleton cS e3:e4 or e9:e12T s1/3,iv/

BEGIN inINPADOC/Family &Legal Status (File 345).

Always EXPAND onthe Author/Inventor

(AU=) prefix to identifyalternate entries andvariations in the wayan individual's name islisted.

Note E3 may berelevant and E4 hasinitials for the first andmiddle name. E9 has amisspelling of the firstname, and E10 has nomiddle initial.

E12 has space omittedbetween first andmiddle names.

SELECT allappropriate E inventornames. Use a colon toselect a range of E-Refnumbers.

Format 3 displayssummary informationand the patent familytable, and display code

"IV" displays asummary of allAuthor/Inventor namesin the record. Use alonger format to displayall of the bibliographicdata for each countryin the famil .

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http://rlinks2.dialog.com/NASApp/OrderWEB/FileHistoryServlet?App=8&Info_Sid=35618106http://rlinks2.dialog.com/NASApp/OrderWEB/FileHistoryServlet?App=8&Info_Sid=35618106


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Patent Assignee: GENESIS RES & DEV CORP LTD (NZ); FLETCHERCHALLENGE FORESTS LTD (NZ)Author (Inventor): EAGLETON CLARE KATHERINE (NZ); PERERA

RANJAN (US); RICE STEPHEN J (NZ)Record Type: Legal Status; Abstract; Cited Refs

***

Patent Family:

Patent No Kd Date Applic No Kd Date Wk Added

AR 29531 A1 20030702 AR P20010102938 A 20010620 200651

AT 297989 T 20050715 AT 2000905490 T 20000224 200530

AU 200027024 A 20001016 AU 200027024 D 20000224 200105

AU 200167952 A 20020102 AU 200167952 D 20010620 200221

AU 2003222535 A1 20031117 AU 2003222535 A 20030430 200509

AU 2003222535 A8 20031117 AU 2003222535 A 20030430 200537

AU 778268 B2 20041125 AU 200027024 A 20000224 200451

AU 2002353674 B2 20081030 AU 2002353674 A 20021108 200849

BR 200010396 A 20020108 BR 200010396 A 20000224 200203

BR 200111856 A 20030513 BR 200111856 A 20010620 200321

BR 200309870 A 20050426 BR 20039870 A 20030430 200519

CA 2365596 A1 20001005 CA 2365596 A 20000224 200317(B). . . .

Priority Data (No,Kind,Date):US 2000598401 A 20000620US 2000724624 A 20001128US 1999276599 A 19990325US 1999146591 P 19990730

WO 2000NZ18 A 20000224 WO 2001NZ115 A 20010620US 2002137036 A 20020430

WO 2003NZ76 A 20030430US 2001345397 P 20011109. . . .

Author(Inventor): EAGLETON CLARE KATHERINE; PERERA RANJAN;RICE STEPHEN J; RICE STEPHEN; EAGLETON CLARE; LASHAMANNETTE; RICE STEPHEN JAMES; WOOD MARION; VISSER ELISABETHS; MURISON JAMES G; PHILLIPS JOHNATHAN; PUTHIGAESATHISH; FLINN BARRY; PEREIRA RANJAN; PERERA R; RICE S J;EAGLETON C K; PEREARA R; RICE S; EAGLETON C; EAGLETONCLAREKATHERINE;EAGLETON CLAIRE; PHILLIPS JONATHAN; PERERA JRANJAN; VISSER ELIZABETH; FORSTER RIC

Patent Research Basics

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