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DERWENT PATENTS CITATION INDEXDERWENT PATENTS CITATION INDEXDecember 2012

Brian LarnerProduct Specialist PatentsProduct Specialist, PatentsIP Solutions

DPCI OVERVIEW• WHAT ARE PATENT CITATIONS?

• WHY SHOULD YOU BE INTERESTED IN THEM?

• WHAT IS DPCI?

• WHY SHOULD YOU USE DPCI?

What is a citation?• In the context of patents, a CITATION is a reference to a

previous work which is relevant to the current patentprevious work which is relevant to the current patent application– Citations can be provided by the assignee (often referred to as

inventor citations), the patent examiner or sometimes third parties (typically people who are opposing the patent)

– They are documents the examiner is going to look closely at to establish the novelty of the invention

– Some provide useful background information (prior art) whilst others can be considered to be potentially novelty destroyingp y y y g

– All of them will involve closely related technology

• The cited document may be a patent or a non-patent publication (e.g. a journal article)

Each patent can have 2 types of citationEach patent can have 2 types of citation

Time

Cited (older patents) Citing (more recent patents)

MasterPatent

2 types of citations exist for a patent• The cited patents (and non-patent literature)

– These are older documents the patent references– They are listed either as part of the bibliographic data or

the search report (see next 2 slides)p ( )– They may be novelty destroying for the patent application

you start from

• The citing patents– These are more recent documents which cite the patent of

interest– They can only be identified by searching patent citation

databases such as DPCIThey identify people working in closely related areas to– They identify people working in closely related areas to the patent of interest

Citing patents listed in DPCI record• CGP Citing Patents

• -------------------

• Cited Publication By Cat Citing Patent Date Accession Number

• ------------------------------------------------------------------------------

• WO--2007082490 A1 E X EP-----2109256 A1 20091014 2009-G70964

PA (HUAW C) HUAWEI TECHNOLOGIES CO LTD• PA: (HUAW-C) HUAWEI TECHNOLOGIES CO LTD

• IN: XU X; ZHOU J

• CN---101009530 A E X EP-----2091187 A1 20090819 2008-G28269

• PA: (HUAW-C) HUAWEI TECHNOLOGIES CO LTD

• IN: QU Z

• E X WO--2009033415 A1 20090319 2008-E52664

• PA: (UYHU-N) UNIV HUAZHONG SCI & TECHNOLOGY; (UYHZ-C)

• UNIV HUAZHONG SCI&TECHNOLOGY• UNIV HUAZHONG SCI&TECHNOLOGY

• IN: KE C; LIU D; LIU H; XIAO S; ZHANG L; ZHANG M; ZHU S

• EP-----1981196 A1 I WO--2009062449 A1 20090522 2008-G28269

• PA: (HUAW-C) HUAWEI TECHNOLOGIES CO LTD

• IN: QU Z



• WHAT IS DPCI?


Why should you be interested in them• Finding additional related documents to the ones in your search

– Including all citations (forward and backward) of the documents found in your search can find additional relevant documents which did not include your search terms

• Identifying key documents in a dataset or portfolio– Patents which receive a lot of citations (especially if they have been

granted) are often highly valuable patents

• Identifying key competitors & licensing opportunities– Anyone who is citing a lot of your patent is a key competitor– It is also possible they may be interested in licensing your patent ifIt is also possible they may be interested in licensing your patent if

they are potential infringers

• Protecting your own patentsA t t hi h it i t ti l i f i hi h d t– Any patent which cites yours is a potential infringer which you need to be aware of



• WHAT IS DPCI?


WHAT IS DPCI?

• A Value Added Patent Citation Database with both Patent & Literature Citations

• Family based and updated weekly– 11+ million families/inventions– De-duplicated citations from across all DWPI family members

C l t t DWPI• Complementary to DWPI– Shares common accession numbers– Includes DWPI titles Assignee Codes/NamesIncludes DWPI titles, Assignee Codes/Names

• Access to DPCI– File DPCI on STNe C o S

Derwent Patents Citation IndexDerwent Patents Citation Index

• The DPCI record is in 3 parts, comprising details of:Th t t t f il– The master patent family

– Cited (older) patents and literature– Citing (more recent) patentsg ( ) p

• Like DWPI, the records are arranged into patent families, including for citations

• Records in DWPI and DPCI share the same accession no.– Useful for efficient cross-filing

• The DPCI record is updated when any new cited or citing patent information is received– e.g. from equivalents

FILE PCI key fields on STNFILE PCI key fields on STN

Fi ld M t Cit d CitiField Master Cited CitingDerwent Accession No. AN OS.D OS.GPatent No. PN PN.D PN.GAssignee Name PA PA.D PA.GAssignee Code PACO PACO.D PACO.GInventor IN IN D IN GInventor IN IN.D IN.GCitation Count by Accession No. N/A OSC.D OSC.GCitation Count by Patent No. N/A PNC.D PNC.G

Country Patent Literature

DPCI COUNTRY COVERAGE

Country Coverage

Patent Citations

Literature Citations Period

AT Yes Yes 1994-1996

AU Yes Yes 1993 - to date

BE Yes Yes 1988 - to date

Country Coverage

Patent Citations

Literature Citations Period

GCC TBCGB Yes Yes 1979 - to dateBE Yes Yes 1988 to date

BR limited coverage

CA Yes Yes 1994 -1996

CH Yes Yes 1985 - to date

CN 2010 d

G es es 9 9 to dateIE limited coverageIT limited coverageJP Yes No 1994 - to dateKR Yes No 2008 - to date

CN 2010- to date

CZ Yes Yes 2006 - to date

DD limited coverage

DE Yes Yes 1974 - to date

LU Yes Yes 1999 - to dateMY 2010 - to dateNL Yes Yes 1974 - to datePH 2010 - to dateSG Y Y 2001 t d t

DK limited coverage

EP Yes Yes 1978 - to date

ES Yes Yes 1993 - to date

FI limited coverage

SG Yes Yes 2001 - to dateUS Yes Yes 1973 - to dateNO limited coverageNZ Yes Yes 1994-1996RU Yes No 2009 - to dateFI limited coverage

FR Yes Yes 1973 - to date

RU Yes No 2009 to dateSE Yes Yes 1994-1996WO Yes Yes 1978 - to dateZA Yes Yes 1994 - to date

DPCI Includes Relevancy indicator categories• Added to EP, GB, FR and WO citations to indicate the

relevance of the cited document – use them to restrict to therelevance of the cited document use them to restrict to the most relevant patents

X - relevant if taken aloneY relevant if combined with another documentY - relevant if combined with another documentA - technological backgroundO - non-written disclosureP intermediate documentP - intermediate documentT - theory or principleE - earlier patent published on or after the filing dateD document cited in applicationD - document cited in applicationL - document cited for other reasons& - member of the same patent familyI – Relevant to the inventive step

DPCI SAMPLE RECORD BIBLIOGRAPHY•ACCESSION NUMBER: 2007-624044 [200759]•TITLE: Wavelength division multiplexed passive optical network uses single wavelength to• transmit multicast service that need to be multicast or broadcast •INVENTOR: CHEN J; CHEN; CHENG J; HUANG W; JIANG T;LIN H; WANG F; WANG Y; WEI G; ZHAO J; ZHAO•PATENT ASSIGNEE: (HUAW-C) HUAWEI TECHNOLOGIES CO LTD•COUNTRY COUNT: 117••PATENT INFORMATION:•• PATENT NO KIND DATE WEEK LA PG

DWPI Title• --------------------------------------------------------------• WO 2007082490 A1 20070726 (200759)* ZH 38[8] • CN 101009530 A 20070801 (200808) ZH• EP 1981196 A1 20081015 (200868) EN• US 20080304830 A1 20081211 (200901) EN••APPLICATION DETAILS: DWPI Patent Family•• PATENT NO APPLICATION DATE• --------------------------------------------------------------• CN 101009530 A CN 2006-10001979 20060123• EP 1981196 A1 EP 2007-702163 20070122• EP 1981196 A1 WO 2007-CN233 20070122• US 20080304830 A1 Cont of WO 2007-CN233 20070122

US 20080304830 A1 US 2008 177803 20080722

DWPI Patent Family

• US 20080304830 A1 US 2008-177803 20080722• WO 2007082490 A1 WO 2007-CN233 20070122••FILING DETAILS:•• PATENT NO KIND PATENT NO• --------------------------------------------------------------• EP 1981196 A1 Based on WO 2007082490 A• EP 1981196 A1 Based on WO 2007082490 A••PRIORITY APPLN. INFO: CN 2006-10001979 20060123

DPCI SAMPLE RECORD CITATION

•CITATION COUNTERS:•

COUNTERS• Counts of the different citation

types & categories•PNC.D 5 Cited Patents Count (total)•PNC.DI 2 Cited Patents Count (by inventor)•PNC.DX 5 Cited Patents Count (by examiner)•PNC.DO 1 Cited Patents Count (in opposition document)•PNC.DTH 1 Cited Patents Count (by third party)•

•CITATION COUNTERS:••CITATION COUNTERS:•

types & categories– Citing (duplicates removed)– Cited

••IAC.D 5 Cited Issuing Authority Count (total)•IAC.DI 2 Cited Issuing Authority Count (by inventor)•IAC.DX 5 Cited Issuing Authority Count (by examiner)•IAC.DO 1 Cited Issuing Authority Count (in opposition document)•IAC.DTH 1 Cited Issuing Authority Count (by third party)

•CRC 1 Cited Literature Reference Count (total)•CRC.I 1 Cited Literature Reference Count (by inventor)•CRC.X 1 Cited Literature Reference Count (by examiner)•CRC.O 0 Cited Literature Reference Count (in opposition document)

•CRC 1 Cited Literature Reference Count (total)•CRC.I 1 Cited Literature Reference Count (by inventor)•CRC.X 1 Cited Literature Reference Count (by examiner)•CRC.O 0 Cited Literature Reference Count (in opposition document)

– By Authority– By document– By family (accession)g y ( y p y)

••PNC.G 3 Citing Patents Count (total)•PNC.GI 0 Citing Patents Count (by inventor)•PNC.GX 3 Citing Patents Count (by examiner)•PNC.GO 0 Citing Patents Count (in opposition document)

•CRC.TH 0 Cited Literature Reference Count (by third party)••OSC.D 5 Cited Patent WPI Accession Number Count (total)•OSC.DX 5 Cited Patent WPI Accession Number Count (by examiner)•OSC.DI 2 Cited Patent WPI Accession Number Count (by inventor)OSC DO 1 Cit d P t t WPI A i N b C t (i iti d t)

•CRC.TH 0 Cited Literature Reference Count (by third party)••OSC.D 5 Cited Patent WPI Accession Number Count (total)•OSC.DX 5 Cited Patent WPI Accession Number Count (by examiner)•OSC.DI 2 Cited Patent WPI Accession Number Count (by inventor)OSC DO 1 Cit d P t t WPI A i N b C t (i iti d t)•PNC.GTH 0 Citing Patents Count (by third party)

•IAC.G 2 Citing Issuing Authority Count (total)•IAC.GI 0 Citing Issuing Authority Count (by inventor)•IAC.GX 2 Citing Issuing Authority Count (by examiner)•IAC GO 0 Citing Issuing Authority Count (in opposition document)

•OSC.DO 1 Cited Patent WPI Accession Number Count (in opposition document) •OSC.DTH 1 Cited Patent WPI Accession Number Count (by third party)••OSC.G 3 Citing Patent WPI Accession Number Count (total)•OSC.GX 3 Citing Patent WPI Accession Number Count (by examiner)•OSC.GI 0 Citing Patent WPI Accession Number Count (by inventor)

•OSC.DO 1 Cited Patent WPI Accession Number Count (in opposition document) •OSC.DTH 1 Cited Patent WPI Accession Number Count (by third party)••OSC.G 3 Citing Patent WPI Accession Number Count (total)•OSC.GX 3 Citing Patent WPI Accession Number Count (by examiner)•OSC.GI 0 Citing Patent WPI Accession Number Count (by inventor)

• Find key/valuable technologies – Your own

•IAC.GO 0 Citing Issuing Authority Count (in opposition document)•IAC.GTH 0 Citing Issuing Authority Count (by third party)

OSC.GI 0 Citing Patent WPI Accession Number Count (by inventor)•OSC.GO 0 Citing Patent WPI Accession Number Count (in opposition document)•OSC.GTH 0 Citing Patent WPI Accession Number Count (by third party)

OSC.GI 0 Citing Patent WPI Accession Number Count (by inventor)•OSC.GO 0 Citing Patent WPI Accession Number Count (in opposition document)•OSC.GTH 0 Citing Patent WPI Accession Number Count (by third party)– Within technology field

– Geographical spread of citations

DPCI SAMPLE RECORD CITATION TYPES • LITERATURE CITATIONS:••Citing Publication By Cat Literature Reference

Citation Category•Citing Publication By Cat Literature Reference•--------------------------------------------------------------------------------•EP 1981196 A1 E X NAMUK KIM ET AL: 'Advanced multicast service• scheduling mechanism with IGMP snooping in • WDM-PON' ADVANCED COMMUNICATION TECHNOLOGY,• 2005, ICACT 2005. THE 7TH INTERNATIONAL Literature Citations ,• CONFERENCE ON PHOENIX PARK, KOREA FEB. 21-23, • 2005, PISCATAWAY, NJ, USA,IEEE, vol. 1, 21 • February 2005 (2005-02-21), pages 298-302,• XP010813620 ISBN:978-89-5519-123-3•WO 2007082490 A1 I NAMUK KIM ET AL.: ‘Advanced multicast service

i i i i i

By:• scheduling mechanism with IGMP snooping in • WD-PON’ ADVANCED COMMUNICATION TECHNOLOGY, 2005,• ICACT 2005. THE 7TH INTERNATIONAL CONFERENCE ON• PHOENIX PARK, KOREA FEB. 21-23, 2005, • PISCATAWAY, NJ, USA, IEEE vol. 1, 21 February • 2005 pages 298 - 302

E = Examiner

I = Inventor

O = Opposition• 2005, pages 298 302•CITING PATENTS:••Cited Publication By Cat Citing Patent Date Accession Number•----------------------------------------------------------------------------------•CN 101009530 A E X EP 2091187 A1 20090819 2008-G28269• Drill down to most

T = Third party

• PA: (HUAW-C) HUAWEI TECHNOLOGIES CO LTD• IN: QU Z• E X WO 2009033415 A1 20090319 2008-E52664• PA: (ZTEC-C) ZTE CORP• IN: KE C; LIU D; LIU H; XIAO S; ZHANG L; ZHANG M; ZHU S

Patent CitationsDrill down to most relevant citations– E.g for protection, licensing


• WHY SHOUOD YOU BE INTERESTED IN THEM?

• WHAT IS DPCI?


DPCI HAS FAMILY BASED CITATION DATA• DPCI collects together all the citations for a

particular DWPI patent family (invention) in one record– No need to look up citations of each patent in the familyNo need to look up citations of each patent in the family

separately – all the citations are in one place – a huge time saver

– The Citations of the individual patents are de-duplicatedThe Citations of the individual patents are de duplicated (see next 2 slides)

• Record can be accessed via any patent family member or via the DWPI accession number

DWPI familyS d t h it ti i f ti

PATENT CITATIONS FOR SAME INVENTION

• Some do not have citation information• Those that do all have unique citations

US6840978 ‐ SumitomoJP7150270 ‐ SumitomoEP732417 ‐ ToyotaJP9122887 Mazda DE60019682

AU2006205885 – Univ Denmark

EP1304185 S i

JP2001226723US7029173 ‐ Bosch

US6387149

US6840978 ‐ Sumitomo

US6926969 – Frauenhofer GES

JP10251710 – Japan metals & ChemJP9122887 ‐Mazda

JP10251710 – Japan Metals & Chem

JP38017554 ‐Mazda

JP57174484 ‐ Sumitomo

EP769821 ‐ Sumitomo

DE19810544 ‐Mazda

EP 732417 Toyota


EP1397223 ‐ Goldschmidt

EP1735122 – CVRD INCO

EP1836017 – Univ Denmark

JP3978652 Sumitomo

US6387149US7108828 ‐ Nat res council Canada

US7585456 – Cent nat rech sci




DE19810544 ‐Mazda

US5640669 S it CA2312607EP1065020A1

EP 732417 ‐ ToyotaEP769821 ‐Matsushita


JP3978652 – Sumitomo

KR831827 – Fraunhofer GES

RU2370343 – Univ Denmark

WO7601183 – Goldschmidt

WO2005095029 Frauenhofer GESEP1065020B1

DE19810544 ‐Mazda

EP 732417 ‐ ToyotaWO2006074932 Risoe nat lab



WO2005095029 Frauenhofer GES

WO2006074932 – Risoe nat lab

WO2007095658 ‐ Plansee

EP1065020B1EP769821 ‐Matsushita



DPCI – FAMILY BASED CITATIONS

Citation around


US6926969 F h f GES

US7108828 ‐ Nat res council Canada

an inventionCitations

include:EP732417 ‐ ToyotaJP9122887 ‐Mazda


JP38017554 ‐Mazda


US6926969 – Frauenhofer GES

US7585456 – Cent nat rech sci



US7029173 ‐ BoschUS6387149

• KR, JP, RU• Literature• EP opposition

EP769821 ‐ SumitomoJP10046268 – Japan Metals & Chem



AU2006205885 – Univ Denmark


EP1397223 ‐ Goldschmidt

EP1735122 – CVRD INCO

US7029173 BoschUS6387149DE60019682JP2001226723CA2312607EP1065020A1EP1065020B1

pp& 3rd party

EP769821 ‐Matsushita

DE19810544 ‐Mazda



JP7150270 Sumitomo

EP1836017 – Univ Denmark

JP3978652 – Sumitomo

KR831827 – Fraunhofer GES

RU2370343 – Univ DenmarkJP7150270 – Sumitomo

WO7601183 – Goldschmidt

WO2005095029 Frauenhofer GES

WO2007095658 ‐ Plansee

DPCI VALUE ADD/BENEFITS• Manual correction

Of bibliographic and patent/literature citation errors– Of bibliographic and patent/literature citation errors

• Standardisation – Patent number/kind, assignee or inventor names (DWPI rules), g ( )

• Patent Assignee codes• Algorithms identify patent numbers in literature citationsg y p

Broad coverage (inc. KR, RU, JP, GCC, PH)• Upheld oppositions increase patent value & Opposition shows competitors• KR ahead of KPA, includes “Roman” literature citations• third party & opposition citationsCitation category, e.g. x, y, examinerCitation counts, e.g. forward, backward, literature

MANUAL CORRECTIONS TO DPCINo Technology matchDuplicate

80%

100%DuplicateZero serialMultiple kinds to verifyUnlikely Serial NumberIllegal serial number

60%

Illegal country code Illegal kindSerial number cannot be converted

20%

40%

0%DE EP GB JP US BE ES FR NL WO

MANUAL CORRECTIONS TO DPCI -EXAMPLE

US 60367957 cited on EP 2085072 is in fact

a claimed prioritya claimed priority . This was removed in

the DPCI record.

MANUAL CORRECTIONS TO DPCI

JP20033100335 B corrected to

JP 2003310335 A

This should be a GB PCT application number, and was

converted to patentpWO1997005449A1 in

DPCI

Some other useful fields• DPCI includes the IPC or national class searched by the

examiner for a particular invention (/RPIC or /RPCL)examiner for a particular invention (/RPIC or /RPCL)– Search for all patents an examiner search a particular class for– You can see which class an examiner searched for any given

invention - this lets you get into the mind of the examiner (field CITN)• Understanding how they looked at key competitors patents will help you

identify areas they have not looked into – useful when opposing documents

• Also by looking at similar inventions will give an indication of how yours will be treated

• Citation counts are broken down by various fields– For instance by source (examiner, inventor, opponent etc.)

B th it– By authority– By patent or by accession number

THANK YOU!THANK YOU!

29

Derwent Patents Citation Index (DPCI): Part II – Search examplesPart II Search examples

FIZ Karlsruhe

Agenda

• DPCI record structureS h fi ld– Search fields

– Display formats• Search examples• Search examples

– Basic steps to find patents related by citation– Identifying key patents using citation countsIdentifying key patents using citation counts– Extend a prior art search using patent citations– Identifying competitors using patent citation datay g p g p

2

DPCI record structure

• A DPCI record consists of three parts

– The master patent family PRESENT

– Cited patents and cited literature PAST

– Citing patents FUTURE

3

DPCI record: Master DWPI family

L1 ANSWER 1 OF 1 DPCI COPYRIGHT 2013 THOMSON REUTERS on STN AN 1996-139581 [199614] DPCITI Variable-volume bottle for carbonated drink - has pleated side walls

and inner retainer in two sections to hold bottle in compressed stateIN DEMEESTER J H M; DEMEESTER J; DEMEESTER M; DEMMESTER J H M; HONORE J;

VATELOT YPA (DEME-I) DEMEESTER J; (DEMM-I) DEMMESTER J H M; (HONO-I) HONORE J;

(DEME-I) DEMEESTER M; (VATE-I) VATELOT Y; (DEME-I) DEMEESTER J H MPI WO 9605114 A1 19960222 (199614)* FR 45[23]

EP 775072 A1 19970528 (199726) FR

EP 775072 B1 19981125 (199851) FR

PRAI FR 1995-271 19950111FR 1994-9910 19940810WO 1995-FR1070 19950809

EP 775072 B1 (master family).

4

DPCI record: Cited Patents (CDP)

CDP Cited Patents------------------

Citing Publication By Cat Cited Patent Date Accession Number---------------------------------------------------------------------------

Master Patent

EP 775072 B1 E US 3966085 A 19760629 1976-G3574XPA: (BESS-I) BESSER RIN: NORTON D H

EP 775072 B1 (master family) cites US 3966085 A (cited).

5

DPCI record: Citing Patents (CGP)

CGP Citing Patents-------------------

Cited Publication By Cat Citing Patent Date Accession Number---------------------------------------------------------------------------

Master Patent

EP 775072 B1 E DE 19920761 C1 20000629 2000-424499PA: (KRON-I) KRONSEDER HIN: KRONSEDER H

DE 19920761 C1 (citing) cites EP 775072 B1 (master family).

6

Searching DPCI

• DPCI has a logical system of patent field codes for cited and citing datafor cited and citing data– .D for citeD or .G for citinG data

• Elements of a DPCI citation entry are linked• Elements of a DPCI citation entry are linked together with the (P) operator– Records with British Motorola patents citationsRecords with British Motorola patents citations

=> S MOTOROLA/PA.D (P) GB/PC.D

7

Key DPCI fields

Fi ld M t Cit d CitiField Master Cited CitingDerwent Accession No. AN OS.D OS.GPatent No. PN PN.D PN.GAssignee Name PA PA.D PA.GAssignee Code PACO PACO.D PACO.GInventor IN IN D IN GInventor IN IN.D IN.GCitation Count by Accession No. N/A OSC.D OSC.GCitation Count by Patent No. N/A PNC.D PNC.G

8

Popular DPCI display formats

D SCAN Random title (free)D TRIAL Accession Number and title (free)D CTCS Citation counts (free)D HITCDP Hit cited patent data D CITN All citation data (CDP, REN, CGP)

D BRIEF.D Title, Assignee, cited patentsD BRIEF.G Title, Assignee, citing patentsg gD ALL Complete record (full details)D ALLB Complete record (condensed)p ( )

9

Basic steps to find patents related by citation

Search Q estionSearch Question:Which patent documents are related by citation to to WO2000065014 (Procter & Gamble)?to WO2000065014 (Procter & Gamble)?

10

Original document of the invention

11

Basic steps to find patents related by citation

• To find related patents starting with a patent number:

=> FILE DPCI=> S WO2000065014/PN (produces answer set L1)=> S WO2000065014/PN (produces answer set L1)=> FILE WPINDEX => TRA L1 1- OS.D OS.G /AN (produces L2 and L3)

L3 contains the DWPI records for all cited and citing patents

Note: Although PN.D and PN.G would work just as well as OS.D and OS.G (L3), using Accession Numbers is usually more efficient, since there is only one Accession Number per patent family.

12

Search and display in DPCI

=> FILE DPCI

> S WO2000065014/PN DISPLAY ALL gives bibliographic=> S WO2000065014/PNL1 1 WO2000065014/PN

=> D ALL

DISPLAY ALL gives bibliographic information, citation counts, all cited references, and all citing references that are needed.

L1 ANSWER 1 OF 1 DPCI COPYRIGHT 2013 THOMSON REUTERS on STN AN 2001-146672 [200115] DPCITI Starch-free treating composition for treating fabrics and natural

fibers comprises polysaccharide with beta linked backbone havingfibers, comprises polysaccharide with beta-linked backbone, having specific polymerization degree

IN BARNABAS F A; BARNABAS M V; SHOWELL M S; SMETS JPA (PROC-C) PROCTER & GAMBLE COCYC 89 Thi i th tCYC 89PI WO 2000065014 A1 20001102 (200115)* EN 101[0]

AU 2000046599 A 20001110 (200115) EN BR 2000010587 A 20020205 (200213) PT EP 1173535 A1 20020123 (200214) EN

This is the master patent family.

( ). . . . (Continued on next page)

13

Search and display in DPCI (cont.)

CTCS CITATION COUNTERS----------------------PNC.D 10 Cited Patents Count (total)PNC.D 10 Cited Patents Count (total)PNC.DI 0 Cited Patents Count (by inv.)PNC.DX 10 Cited Patents Count (by exam.). . . .

Reminder: D stands forPNC.G 20 Citing Patents Count (total)PNC.GI 0 Citing Patents Count (by inv.)PNC.GX 20 Citing Patents Count (by exam.). . . .

Reminder: .D stands for citeD patents, and .Gstands for citinG patents.

CRC 7 Cited Literature Reference Count (total)CRC.I 0 Cited Literature Reference Count (by inv.)CRC.X 7 Cited Literature Reference Count (by exam.). . . .

OSC.D 9 Cited Patent WPI Accession Number Count (total)OSC.DX 9 Cited Patent WPI Accession Number Count (by exam.)OSC.DI 0 Cited Patent WPI Accession Number Count (by inv.). . . .

(Continued on next page)

14



Citing Publication By Cat Cited Patent Date Accession Number---------------------------------------------------------------------------WO 2000065014 A1 E X CN 86107435 A 19880706 1989-207019

PA: (HARB-N) HARBIN COLLEGEIN: GUO S; MA SIN: GUO S; MA S

E X DK 9801395 A 19981120 1999-256333PA: (NOVO-C) NOVO-NORDISK AS

. . . .

US 6613733 B1 E CN 86107435 A 19880706 1989-207019PA: (HARB-N) HARBIN COLLEGEIN: GUO S; MA S

E DK 9801395 A 19981120 1999-256333PA: (NOVO-C) NOVO-NORDISK ASPA: (NOVO C) NOVO NORDISK AS

E US 4116854 A 19780926 1978-72490A. . . .

Note: U.S. patent citations do not have any categories (CAT)

(Continued on next page)not have any categories (CAT).

15


REN Literature Citations-------------------------

Citing Publication By Cat Literature Reference------------------------------------------------------------------------WO 2000065014 A1 E X HERCULES INC: "Guar gum anti-redeposition

agent in liquid detergents - for washingsoiled cloths e g of polyester cotton"soiled cloths e.g. of polyester-cotton" WPI WORLD PATENT INF, XP002133480

E X DATABASE WPI Section Ch, Week 199922 Derwent Publications Ltd., London, GB; Class A87, AN 1999-256333 XP002145948&DK 9 801 395 A (NOVO-NORDISK AS), 20 November 1998 (1998-11-20)

E X DATABASE WPI Section Ch, Week 198929 Derwent Publications Ltd., London, GB; Class A87 AN 1989-207019 XP002145949&CN

Note: patent citations to DWPI records are typically literature citations (REN).

Class A87, AN 1989 207019 XP002145949&CN 8 607 435 A (HARBIN COLLEGE), 6 July 1988 (1988-07-06)

EP 1173535 A1 E See references of WO 0065014A1. . . .


16


CGP Citing Patents-------------------

Cited Publication By Cat Citing Patent Date Accession Number---------------------------------------------------------------------------WO 2000065014 A1 E DE 102006010408 A1 20070906 2006-682021

PA: (SEBA-N) SEBAPHARMA GMBH & COE EP 1341892 A1 20030910 2002 590455E EP 1341892 A1 20030910 2002-590455PA: (PROC-C) PROCTER & GAMBLE COIN: BARNABAS M V; BARNABAS, Mary, Vijayarani;

COFFINDAFFER T W; COFFINDAFFER, Timothy, Woodrow; GARDNER R R; GARDNER, Robb, Richard. . . .

E X WO 2004005444 A1 20040115 2004-122594PA: (HENK-C) HENKEL KGAAIN: BLOCK C; BLOCK Christian; JEKEL M; JEKELIN: BLOCK C; BLOCK, Christian; JEKEL M; JEKEL,

Maren; LANGEN E; LANGEN, Evelyn; MAYER K; MAYER, Konstanze; PENNINGER J; PENNINGER, Josef; SCHRECK B; SCHRECK, Berthold. . . .

An X-category (highly relevant) citing document.

17

Example: an X-category citing document

The original P&G document is listed indocument is listed in the search report.

18

Retrieve corresponding DWPI records

=> FILE WPINDEX

=> TRANSFER L1 1 OS D OS G /AN=> TRANSFER L1 1- OS.D OS.G /ANL2 TRANSFER L1 1- OS.D OS.G : 20 TERMSL3 19 L2/AN

=> D ALL 1 19

Transfer of “other source” cited (OS.D) and citing (OS.G) accession numbers to search as DWPI Accession Numbers (/AN).=> D ALL 1-19

. . . .L3 ANSWER 7 OF 19 WPINDEX COPYRIGHT 2012 THOMSON REUTERS on STN AN 2004-122594 [200412] WPINDEXDNC C2004-049301 [200412]

( )

DNC C2004 049301 [200412]TI Solid laundry detergent, e.g. powder, granulate, extrudate or molded

portion, e.g. tablet, contains finely-divided cellulose and/or cellulose derivative as textile care component

DC A11; A14; A25; A97; D25C ; ; 5; 97; 5IN BLOCK C; JEKEL M; LANGEN E; MAYER K; PENNINGER J; SCHRECK BPA (HENK-C) HENKEL KGAACYC 43PI WO 2004005444 A1 20040115 (200412)* DE 41[0] . . . .

19

Identifying key patents using citation counts

Search Q estionSearch Question:Which are the key patents of Henkel in the area of detergents/washing?of detergents/washing?

Note: In this example we use the Other Source Count Citing (OSC.G) analysis field. The “Other Source” is the citing DWPI Accession Number (AN). OSC.G is therefore the number of citing DWPI ANs – e.g. the number of citing DWPI patent families.

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How to identify key patents

• To identify key patents using citation counts

=> FILE WPINDEX => S topic of interest (produces L1)=> FILE DPCI=> TRANSFER L1 1- AN (produces L2 and L3)

> SORT L3 1 OSC G D* (produces L4)=> SORT L3 1- OSC.G D* (produces L4)=> FILE WPINDEX => TRANSFER L4 1-5 AN (produces L5 and L6)(p )

L6 contains the DWPI records for the Top 5 cited patents

(* SORT L3 1- OSC.G D = sort by citing accession number count in descending order.)

21

Identifying key patents

=> FIL WPINDEXRun a technology search in DWPI.

=> S (HENKEL/PA OR HENK/PACO) AND C11D/IPC,EPC,FCLL1 4126 (HENKEL/PA OR HENK/PACO) AND C11D/IPC,EPC,FCL

=> FILE DPCI C11D = Detergent compositions.=> FILE DPCI

=> TRANSFER L1 1- ANL2 TRANSFER L1 1- AN : 4072 TERMS

g p

TRANSFER of Accession Numbers from DWPI to find records in DPCIL2 TRANSFER L1 1 AN : 4072 TERMS

L3 3909 L2

=> SORT L3 1- OSC.G D

from DWPI to find records in DPCI.

SORT DPCI records by citing accession PROCESSING COMPLETED FOR L3

L4 3909 SOR L3 OSC.G D

y gnumber count in descending order.

22

Identifying key patents (cont.)

=> D L4 AN TI CTCS 1-10

L4 ANSWER 1 OF 3855 DPCI COPYRIGHT 2013 THOMSON REUTERS STN

CTCS = citation counters.

L4 ANSWER 1 OF 3855 DPCI COPYRIGHT 2013 THOMSON REUTERS on STN AN 1974-75753V [197444] DPCITI Textile cleaning bath contg alumino silicates - as fine dispersion

functioning as calcium sequestering agent

CTCS CITATION COUNTERS----------------------PNC.D 56 Cited Patents Count (total). . . .

PNC.G 311 Citing Patents Count (total). . . . The most cited invention

by Henkel in this areaOSC.D 19 Cited Patent WPI Accession Number Count (total). . . .

OSC G 245 Citi P t t WPI A i N b C t (t t l)

by Henkel in this area was cited by 245 patent families (245/OSC.G).

OSC.G 245 Citing Patent WPI Accession Number Count (total). . . .

23

Identifying key patents (cont.)

L4 ANSWER 5 OF 3855 DPCI COPYRIGHT 2013 THOMSON REUTERS on STN AN 1989-016906 [198903] DPCIAN 1989-016906 [198903] DPCITI Biodegradable hydroxy mixed sulphate(s) detergents - prepared by

acting sulphur tri:oxide and chlorosulphonic acid on hydroxyalkylpoly:alkylene glycol ether(s)

CTCS CITATION COUNTERS----------------------PNC.D 10 Cited Patents Count (total). . . .

PNC.G 193 Citing Patents Count (total). . . . The 5th most cited invention

by Henkel in this area was OSC.D 5 Cited Patent WPI Accession Number Count (total). . . .

OSC.G 164 Citing Patent WPI Accession Number Count (total)

cited by 164 patent families (164/OSC.G).

g. . . .

24

Retrieve corresponding DWPI records=> FILE WPINDEX=> TRANSFER L4 1-5 ANL5 TRANSFER L4 1-5 AN : 5 TERMSL6 5 L5

=> D AN TI IPC 1-5. . . .

L6 ANSWER 4 OF 5 WPINDEX COPYRIGHT 2013 THOMSON REUTERS on STN AN 1989-016906 [198903] WPINDEXTI Biodegradable hydroxy mixed sulphate(s) detergents - prepared by

acting sulphur tri:oxide and chlorosulphonic acid on hydroxyalkylpoly:alkylene glycol ether(s)

IC ICM C07C0305-10ICS C08G0065-32; C11D0001-29

IPCR A61K0008-00 [I,A]; A61K0008-00 [I,C]; A61K0008-30 [I,C]; A61K0008-46[I,A]; A61Q0019-10 [I,A]; A61Q0019-10 [I,C]; B01J0027-02 [I,A];[I,A]; A61Q0019 10 [I,A]; A61Q0019 10 [I,C]; B01J0027 02 [I,A];B01J0027-02 [I,C]; B01J0031-02 [I,A]; B01J0031-02 [I,C]; C07B0061-00[I,A]; C07B0061-00 [I,C]; C07C0301-00 [I,A]; C07C0301-00 [I,C];C07C0303-00 [I,C]; C07C0303-22 [I,A]; C07C0303-24 [I,A]; C07C0305-00[I,A]; C07C0305-00 [I,C]; C07C0305-06 [I,A]; C07C0305-10 [I,A];

25

. . . .

Extend a prior art search using patent citations

Search Q estionSearch Question:Find additional patent documents that may be related to patents on coin/bank note countingrelated to patents on coin/bank note counting devices (T05-L07/MC) using citations.

T05-L07 = The Manual Code (MC) for coin and bank note counting. Learn more about DWPI Manual Codes here:http://ip-science.thomsonreuters.com/mcl/

26

How to extend a prior art search

• To find related patents starting with a subject search

=> FILE WPINDEX=> S subject of interest (produces L1)=> FILE DPCI=> TRANSFER L1 1- AN (produces L2 and L3)=> FILE WPINDEX=> FILE WPINDEX=> TRA L3 1- OS.D OS.G /AN (produces L4 and L5)=> S L5 NOT L1 (produces L6)

L6 contains all additional cited and citing patents

27

Extending a prior art search using DPCI

=> FILE WPINDEX

=> S T05-L07/MC/T05-L07 COIN AND NOTE COUNTINGL1 2808 T05-L07/MC

=> FILE DPCI1061 of the 2808 DWPI records (L1) have a corresponding DPCI record (L3).

=> TRANSFER L1 1- ANL2 TRANSFER L1 1- AN : 2808 TERMSL3 1061 L2 Transfer of “other source” cited => FILE WPINDEX

=> TRANSFER L3 1- OS.G OS.D /ANL4 TRANSFER L3 1- OS.G OS.D : 6220 TERMSL5 6773 L4/AN

(OS.D) and citing (OS.G) accession numbers to search as Accession Numbers in DWPI (/AN).

L5 6773 L4/AN

=> S L5 NOT T05/MCT05 COUNTING, CHECKING, VENDING, ATM AND POS SYSTEMS

306564 T05/MC

2650 related DWPI records (L6) lie beyond even the general area of counting in vending technologies (T05/MC)L6 2650 L5 NOT T05/MC in vending technologies (T05/MC).

28

Review DWPI titles using D SCAN format

=> D SCAN

L6 2203 ANSWERS WPINDEX COPYRIGHT 2013 THOMSON REUTERS on STN TI Medium scanning system e.g. for photographic paper detects

presence-absence of images formed on both sides of medium so as togenerate blank and image signals respectively

HOW MANY MORE ANSWERS DO YOU WISH TO SCAN? (1):2HOW MANY MORE ANSWERS DO YOU WISH TO SCAN? (1):2

L6 2203 ANSWERS WPINDEX COPYRIGHT 2013 THOMSON REUTERS on STN TI Note-freed amusement media e.g. pachinko balls dispensing machine -

has note discrimination unit, note return unit and sum of balancehas note discrimination unit, note return unit and sum of balance calculator

L6 2203 ANSWERS WPINDEX COPYRIGHT 2013 THOMSON REUTERS on STN TI Image processing method e.g. for colour printer - reading and

t ti l d t i t t l d ti lextracting colour document into two colours and one aromatic colourand outputting signals

HOW MANY MORE ANSWERS DO YOU WISH TO SCAN? (1): 0The additional patents are in different subject areas, but involve “counting technologies” that may be applicable to coin and bank note counting, e.g. counting printer paper.

29

Identifying competitors using patent citation data

Search Q estionSearch Question:Which competitors cite Colgate Palmolive inventions the most since 2006?inventions the most since 2006?

30

How to identify competitors

• To analyze the organizations developing inventions in the same area as your company:the same area as your company:

=> FILE DPCI> S /PA D /PACO D=> S your company /PA.D, /PACO.D

NOT your company /PA, PACO (produces L1)=> ANALYZE L1 1- PAX PACO (produces L2) ANALYZE L1 1 PAX PACO (produces L2)=> D TOP 10 PACO=> D TOP 10 PAX

This gives a listing of the Top 10 organizations most frequently citing your company’s patents by Assignee Code (PACO) and Assignee Name with Code (PAX)

31

Option: use citation categories to find the most closely related cited patentsclosely related cited patents

• For example: identify patents very closely related to those of your companyrelated to those of your company

=> FILE DPCI FILE DPCI=> S your company/PA.D (P) (X OR I OR Y)/CAT.D

Retrieves records where closely related patents citeRetrieves records where closely related patents cite patents from your company. Use this to check for the closest competitive relationships between documents.

Note: DE, JP and US patents do not use citation categories (relevancy indicators)citation categories (relevancy indicators).

32

Analyzing competitors of Colgate Palmolive

=> FILE DPCI

=> S ((COLGATE/PA.D OR COLG/PACO.D) NOT (COLGATE/PA OR

PA.D = the cited patent assignee name.PACO.D = the cited patent assignee code.

> S ((COLGATE/PA.D OR COLG/PACO.D) NOT (COLGATE/PA OR COLG/PACO)) AND PY.B>2006

L1 3211 ((COLGATE/PA.D OR COLG/PACO.D) NOT (COLGATE/PA OR COLG/PACO)) AND PY.B>2006

Tip: Exclude self citations=> ANALYZE L1 1- PAX PACOL2 ANALYZE L1 1- PAX PACO : 7083 TERMS

=> D PAX TOP 6L2 ANALYZE L1 1 PAX PACO 7083 TERMS

Tip: Exclude self-citations.

L2 ANALYZE L1 1- PAX PACO : 7083 TERMS

TERM # # OCC # DOC % DOC PAX PACO------ ------- ------ ------ ---------------

3 303 303 9 44 (PROC-C) PROCTER&GAMBLE CO3 303 303 9.44 (PROC-C) PROCTER&GAMBLE CO5 168 168 5.23 (PROC-C) PROCTER & GAMBLE CO7 146 146 4.55 (OREA-C) L'OREAL SA8 141 141 4.39 (UNIL-C) UNILEVER PLC9 140 140 4.36 (UNIL-C) UNILEVER NV9 140 140 4.36 (UNIL C) UNILEVER NV

10 131 131 4.08 (UNIL-C) HINDUSTAN UNILEVER LTD

33

Analyzing competitors of Colgate Palmolive (cont.)

=> D PACO TOP 10 WITH "-C"L2 ANALYZE L1 1- PAX PACO : 7083 TERMS

Selectively display only the standardized Patent A i C d i “ C”L2 ANALYZE L1 1 PAX PACO : 7083 TERMS

TERM # # OCC # DOC % DOC PAX PACO------ ------- ------ ------ ---------------

1 532 154 4.80 UNIL-C

Assignee Codes using “-C”.

UNIL C = Unilever2 480 339 10.56 PROC-C4 186 130 4.05 HENK-C6 147 146 4.55 OREA-C

11 97 74 2.30 ECON-C

UNIL-C = UnileverPROC-C = Procter & GambleHENK-C = HenkelOREA-C = L’Oreal

13 73 34 1.06 RECK-C15 68 46 1.43 JOHS-C16 64 52 1.62 KIMB-C17 63 53 1.65 KAOS-C19 51 39 1.21 DUPO-C

=> S L1 AND PROC/PACOL3 339 L1 AND PROC/PACO

Retrieve the 339 Procter & Gamble inventions that cited Colgate Palmolive inventions (L3)Palmolive inventions (L3).

34

HITCDP (Hit Cited Patent) shows the hit citations

=> D BIB HITCDP

L3 ANSWER OF 339 DPCI COPYRIGHT 2013 THOMSON REUTERS on STNL3 ANSWER … OF 339 DPCI COPYRIGHT 2013 THOMSON REUTERS on STN AN 2008-H98379 [200851] DPCITI Preparing spray-dried detergent powder having anionic surfactant,

zeolite builder and phosphate builder, comprises preparing an aqueous slurry comprising water and non-aqueous material and spraying the y p g q p y gslurry into a spray-drying tower

IN BROOKER A T; FINLAY C N F; LUKSZA P A; RIDLEY G; SOMMERVILLE . . . .PA (PROC-C) PROCTER&GAMBLE CO; (PROC-C) PROCTER & GAMBLE COCYC 36PI EP 1914297 A1 20080423 (200851)* EN 14[0]

EP 1914297 B1 20110309 (201118) EN DE 602006020586 E 20110421 (201129) DE

ADT EP 1914297 A1 EP 2006-21613 20061016; DE 602006020586 E DEThis P&G European document cites a2006-602006020586 20061016; EP 1914297 B1 EP 2006-21613 20061016; DE602006020586 E EP 2006-21613 20061016

FDT DE 602006020586 E Based on EP 1914297 APRAI EP 2006-21613 20061016

This P&G European document cites a Colgate Palmolive UK Published Application from 1985 (next slide).


35

HITCDP shows the hit citations (cont.)


Citing Publication By Cat Cited Patent Date Accession Number---------------------------------------------------------------------------

EP 1914297 A1 E X GB 2159534 A 19851204 1985-305350PA: (COLG-C) COLGATE PALMOLIVE COIN: FREEMAN G M

EP 1914297 B1 E GB 2159534 A 19851204 1985 305350EP 1914297 B1 E GB 2159534 A 19851204 1985-305350PA: (COLG-C) COLGATE PALMOLIVE COIN: FREEMAN G M

This P&G European document cites aThis P&G European document cites a Colgate Palmolive UK Published Application from 1985.

36

Summary

• DPCI record structureS h fi ld– Search fields

– Display formats• Search examples• Search examples

– Basic steps to find patents related by citation– Identifying key patents using citation countsIdentifying key patents using citation counts– Extend a prior art search using patent citations– Identifying competitors using patent citation datay g p g p

A recording of this e-Seminar will be available at:http://www stn-international com/recorded events html

37

http://www.stn-international.com/recorded_events.html

FIZ KarlsruheCAS

For more information …FIZ [email protected] and Training:

t i t ti l d

CASE-mail: [email protected] and Training:

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