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Patentability search – 1
          (classification search)




                             Chen JingFung (Grace)
                              @csie.ntut.edu.tw
                                 2012/05/03

Chapter 6, “Patent It Yourself: Your Step-by-Step Guide” 15th, 2011, ISBN: 1413313825
outline

• Why make a Patentability Search?
  – Counter example against ordinary skills
  – Define the scope & Dig novel features
• Patent infringement
• Patent search – classification search
  – Espacenet, USPTO..
  – USPTO check patent application status


                    Grace@iii.org.tw & cise.ntut   2
Why make a Patentability Search?
                        Check grant patents
                        on your invention?
                                                        Learn valuable
                                                        background info.


                        Avoid wasting time/
                              money
Invention in
 what field?                                            “feel for the art”


• Valuable background info
   – Know how to describe & draw components
        • Contain a detailed description of your invention
        • Provide more info about operability & design
        • Obtain commercial info
                                                                             3
                         Grace@iii.org.tw & cise.ntut
Existing patents – endcap at outlet
     PAT.                                 title                                       C     R    Issue    Assignee
 US7069274     Method and apparatus for cataloguing and scripting the            89/91      4    2006
               display of informational content                                  (F:2)

 US6944632     Method and apparatus for gathering statistical                    86/90      16   2005
               information about in-store content distribution                   (F:4)
                                                                                                         PRN Corp.
 US6931406     Method and apparatus for distributing promotional                 69/73      2    2005
                                                                                 (F:4)                   (Primer
               material to a user in a commercial sales outlet
                                                                                                         Retails
 US6654757     Digital System                                                    13/17      32   2003    Network)
                                                                                 (F:4)
 US6553404     Digital System                                                    10/12      38   2003
                                                                                 (F:2)
 US6366914      Audiovisual content distribution system                          22         72   2002
                                       Interactive                                                            Focal
Qorvis media group Inc.                  endcap                               Interactive
    Expc Dt: 2000                                                                                             point
                                                                                endcap




                                                                     Outlet
                                                                                                                4
                                          Grace@iii.org.tw & cise.ntut
Counter example against ordinary
             skills
• cited some uncover references to help convince
  the examiner
  – Show that you’ve turned a past failure into success
  – “+ proof “ that your invention provides unexpected
    results & is unobvious
                                                                     Look Fog as
                                                                      reading a
  Light-emitting       Glossy/                                          paper
  devices stimulate     flash
  the mind resulting
  in poorer sleep
  (ref: Oska
  University,
  prevention.com)

                                                      Fig ref: Kreative Discussions

                                                                                      5
                       Grace@iii.org.tw & cise.ntut
Define the scope & Dig novel features
• Define the general thrust, structure & advantage of
  your patent application           LeRoy invented a sturdy
                                                             but edible, baked scoop
                                                             for dips, including sala

                                        similarity                  advantage
     LeRoy vs. Minerva’s cereal                              LeRoy’s is more stable
                                          shape
     product                                                 than Minerva’s


• After searching, you’ll be able to recited, pointed out
  novel features & advantage on your patent
  application
   – Tailor your claims to such novel features
      • Avoid the need to narrow your claims
                              Grace@iii.org.tw & cise.ntut                              6
Patent infringement – equivalents 1
• Literal infringement
  – Each & every element of the claims is infringed
• Doctrine of equivalents
  – not literally falling within the scope of the claims
    <- a somewhat insubstantial feature or element
    has been replaced
  – “triple identity” test
     • It performs substantially the same function
     • In substantially the same way
     • To yield substantially the same result
                  Graver Tank & Manufacturing Co. v. Linde Air Products Co. (1950)
                  Festo Corp. v. Shoketsu Kinzoku Kogyo Kabushiki Co., 535 U.S. 722 (2002)
                                                                                             7
                         Grace@iii.org.tw & cise.ntut
Patent infringement -2

• Prosecution history estoppel
  – makes a change to a patent application to
    accommodate the requirements of patent law
  – cannot claim indirect infringement of an element
    that was narrowed




                Festo Corp. v. Shoketsu Kinzoku Kogyo Kabushiki Co., 535 U.S. 722 (2002)

                       Grace@iii.org.tw & cise.ntut                                        8
Patent infringement - case study
• File wrapper estoppel mixes doctrine
  of equivalents (04/16/09)
  – Felix(US6155625) v. American Honda Co.
     • not literally infringed and estopped from a
       doctrine of equivalents when the applicant
       canceled broad claims and incorporated them
       into dependent claims
        – The court was testy due to misrepresentations by
          Felix as to how the dictionary defined the terms
          “mounted” and “engaging.”
             » Court: “mounted” as “securely affixed or
               fastened to” and “engaging” as “forming a
               seal”
             » Felix: “bring together” as argued
             » District court: “latching”
        – the court noted that Felix rewrote claim 7 , which
          included “a weather tight gasket mounted on said
          lip and engaging said lid in its closed position,”
          into independent form
                                      http://www.patentblurb.com/doku.php?id=start
                                                                                     9
                            Grace@iii.org.tw & cise.ntut
Patent infringement - case study
                    (korean)
• Korean courts (98 Hur 2160, 1998) set out the following
  elements in applying the Doctrine of Equivalents
                            explain
 interchangeability         Even if an element is different from that in a patented
                            invention, such element performs the same function in
                            the same way to obtain the same result as the
                            corresponding element of the patented invention
 known interchangeability   the substitute element could have been easily conceived
                            by a person having ordinary skill in the art at the time of
                            the alleged infringement
 hypothetical claim         the alleged infringement is neither the same as nor could
                            be easily conceived from art publicly known prior to the
                            filing date of the patented invention
 file-wrapper estoppel      the substitute element was not excluded from the claims
                            of the patented invention during patent prosecution
                                  http://koreanap.co.kr/koreanap_e/sub/property/1_patent.htm
                                                                                               10
                               Grace@iii.org.tw & cise.ntut
Online patent search DB



USPTO Report Shows Intellectual Property-
Intensive Industries Contribute $5 Trillion,
40 Million Jobs to U.S. Economy




                                                                   11
                                    Grace@iii.org.tw & cise.ntut
Patent search - classification search
• Classification search
  – make a search of all patents in a particular class
    and subclass
  – EPO and USPTO work toward joint classification
    system
     • Develop a joint classification system (CPC) based on the
       European Classification system (ECLA)
        – Improving patent searching

                ECLA             USPC                       IPC
       CPC
                EPO            USPTO                      WIPO

        – Sharing resources
            » shared in order to classify documents, to revise the
              scheme when necessary and to subsequently reclassify
              documents http://www.cooperativepatentclassification.org/index.html 12
                          Grace@iii.org.tw & cise.ntut
• Find EPO.org
  search
   – ->
     Espacenet -
     worldwide
     patent
     search
   – -> Access
     Espacenet
     at the EPO




                                                  13
                   Grace@iii.org.tw & cise.ntut
Type keyword to find its
     classification

       Find classification(s) for keywords:
                     internet
                  …. -> H04N21




       Grace@iii.org.tw & cise.ntut           14
Keyword(s) in title or
                                    abstract:
                                      VOD




                                                        15
Grace@iii.org.tw & cise.ntut
WIPO - International Patent Classification (IPC)




                                          http://www.wipo.int/ipcpub/#refresh=page
                                                                                     16
                  Grace@iii.org.tw & cise.ntut
Espacenet patent search –
 European classification




 This classification for new technological
         & cross-over technologies
                                                   17
                    Grace@iii.org.tw & cise.ntut
Espacenet - search field identifiers
Field identifier Description                            Example
in              inventor                                in= smith
pa              Applicant                               pa=samsung
ti              Title                                   ti=mouse trap
ab              Abstract                                ab=mouse trap
pn              Publication number                      pn=ep1000000
ap              Application nmuber                      ap=jp19890234567
pd              Publication date                        pd=20080101 or pd=“01/01/2008”
                                                        or pd=01/01/2008
ct              Cited document                          ct=ep1000000
ec              European (ECLA) classification          Ec=H01J49/16A3
ic              International classification            ic=A63B49/08
ia              Inventor or applicant                   ia=Apple or ia=“Ries Klaus”
ta              Title and abstract                      ta=laser printer
                …
                                                                    Ref: Espacenet brochure   18
                                Grace@iii.org.tw & cise.ntut
Espacenet - search operators
function                description                         example
                AND,    Default = AND;
Boolean
                 OR,    priority: Left > right;             (ta=seat AND ta=belt) OR (ta=seatbelt)
operators
                NOT     No operator = default
                  ?     Append 1 or 0 character             telephone? (for telephone or Telephones)
                  #     Append 1 character                  telephone# (for telephones)
Truncation
                        Append any num of
                  *                                         play* (for play, plays, player, playback, etc)
                        characters
                  =     Equal to.                           pa=siemens
                 ==     Exactly equal to                    ia==“Mason Henry”
                 All    Finds all terms                     ti all “paint brush hair”
                 Any                                        ti any “motor engine”
comparison
                                                            pd within “2005 2006” or
operators       Within Within a date range
                                                            pd within “2005, 2006”
                                                            pd >=2005 will retrieve documents
                 >=
                                                            published in 2005 or later.
                                                            pd <=2005 will retrieve documents
                 <=
                                                            published in 2005 or earlier
String search    “”     Search on exact expression          “seat belt”                                  19
                                      Grace@iii.org.tw & cise.ntut             Ref: Espacenet brochure
USPTO - patent classification 1
USPTO.gov -> (POPULAR LINKS) Patent search -> Patent Classification




                                                                      20
                        Grace@iii.org.tw & cise.ntut
USPTO - patent classification 2




          http://www.uspto.gov/patents/resources/classification/caa.pdf

                                                                          21
            Grace@iii.org.tw & cise.ntut
Grace@iii.org.tw & cise.ntut   22
Application   Patent                                  23
                       Grace@iii.org.tw & cise.ntut
USPTO patents check application status
• Patents: Check Application Status [PAIR] ->
  Public PAIR -> Enter the verification codes




                                            US6021410 Extensible digital library

                                                                             24
                   Grace@iii.org.tw & cise.ntut
Grace@iii.org.tw & cise.ntut   25
Search by classification -
  Cooperative Patent Classification(CPC)
 • Timeline & milestone
2010 ~ 2011             2012                                         After Jan 2013

    • (2010/10)Joint       • (2012/07)Develop                            • Quality assurance
      statement              training,                                   • CPC used by EPO &
      launching the          document                                      USPTO
      project                classification                              • Harmonized
    • (2010/11)Freeze        practices, design                             classification
      of the USPC            the collaborative                             practices
      scheme                 environment
                                                                         • Joint CPC revisions
    • (2011/10)Launc       • (2012/07)Freeze
                                                                         • CPC available for use
      h the CPC              of the ECLA
                                                                           by other IP offices &
      website                scheme
                                                                           the public
                           • (2012/10)"CPC
                             launch scheme"
                             available



                               http://www.cooperativepatentclassification.org/index.html
                                                                                            26
                          Grace@iii.org.tw & cise.ntut
Summary

• The advantage of patentability search
• Patent infringement
  – Focus on Literal infringement, Doctrine of
    equivalents & Prosecution history estoppel
• Patent classification search for different DBs
  – ECLA, USPC, IPC
  – CPC is developing a joint classification system for
    ECLA(EPO)+USPC(USPTO)
  – USPTO’s check patent application status
                     Grace@iii.org.tw & cise.ntut         27
Reference

• David Pressman, chapter 6, “Patent It Yourself: Your Step-by-Step
  Guide” to Filing at the U.S. Patent Office, 2011, 15th edition, ISBN-
  10: 1413313825
    – Reference by “Previous Course Slide” record set: introduce invention,
      evaluate invention, WM2Patent, Patent Requirement (novelty &
      nonobviousness)


• Blog: http://fungsiong.blogspot.com/
    – Introduce hybrid TV/Smart TV (hbbTV) including widget design,
      Android technology (API), system, ecosystem, framework, service,
      application…,
    – Agile for progressing:
      http://fungsiong.blogspot.com/search/label/Agile
        • About how to teamwork
    – Some programming info. as Apache wookie, refactoring tech, CE-HTML,
      a solution about removing a backdoor “Trojan” & surveillance paper
                                                                              28
                             Grace@iii.org.tw & cise.ntut

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Patentability classification search

  • 1. Patentability search – 1 (classification search) Chen JingFung (Grace) @csie.ntut.edu.tw 2012/05/03 Chapter 6, “Patent It Yourself: Your Step-by-Step Guide” 15th, 2011, ISBN: 1413313825
  • 2. outline • Why make a Patentability Search? – Counter example against ordinary skills – Define the scope & Dig novel features • Patent infringement • Patent search – classification search – Espacenet, USPTO.. – USPTO check patent application status Grace@iii.org.tw & cise.ntut 2
  • 3. Why make a Patentability Search? Check grant patents on your invention? Learn valuable background info. Avoid wasting time/ money Invention in what field? “feel for the art” • Valuable background info – Know how to describe & draw components • Contain a detailed description of your invention • Provide more info about operability & design • Obtain commercial info 3 Grace@iii.org.tw & cise.ntut
  • 4. Existing patents – endcap at outlet PAT. title C R Issue Assignee US7069274 Method and apparatus for cataloguing and scripting the 89/91 4 2006 display of informational content (F:2) US6944632 Method and apparatus for gathering statistical 86/90 16 2005 information about in-store content distribution (F:4) PRN Corp. US6931406 Method and apparatus for distributing promotional 69/73 2 2005 (F:4) (Primer material to a user in a commercial sales outlet Retails US6654757 Digital System 13/17 32 2003 Network) (F:4) US6553404 Digital System 10/12 38 2003 (F:2) US6366914 Audiovisual content distribution system 22 72 2002 Interactive Focal Qorvis media group Inc. endcap Interactive Expc Dt: 2000 point endcap Outlet 4 Grace@iii.org.tw & cise.ntut
  • 5. Counter example against ordinary skills • cited some uncover references to help convince the examiner – Show that you’ve turned a past failure into success – “+ proof “ that your invention provides unexpected results & is unobvious Look Fog as reading a Light-emitting Glossy/ paper devices stimulate flash the mind resulting in poorer sleep (ref: Oska University, prevention.com) Fig ref: Kreative Discussions 5 Grace@iii.org.tw & cise.ntut
  • 6. Define the scope & Dig novel features • Define the general thrust, structure & advantage of your patent application LeRoy invented a sturdy but edible, baked scoop for dips, including sala similarity advantage LeRoy vs. Minerva’s cereal LeRoy’s is more stable shape product than Minerva’s • After searching, you’ll be able to recited, pointed out novel features & advantage on your patent application – Tailor your claims to such novel features • Avoid the need to narrow your claims Grace@iii.org.tw & cise.ntut 6
  • 7. Patent infringement – equivalents 1 • Literal infringement – Each & every element of the claims is infringed • Doctrine of equivalents – not literally falling within the scope of the claims <- a somewhat insubstantial feature or element has been replaced – “triple identity” test • It performs substantially the same function • In substantially the same way • To yield substantially the same result Graver Tank & Manufacturing Co. v. Linde Air Products Co. (1950) Festo Corp. v. Shoketsu Kinzoku Kogyo Kabushiki Co., 535 U.S. 722 (2002) 7 Grace@iii.org.tw & cise.ntut
  • 8. Patent infringement -2 • Prosecution history estoppel – makes a change to a patent application to accommodate the requirements of patent law – cannot claim indirect infringement of an element that was narrowed Festo Corp. v. Shoketsu Kinzoku Kogyo Kabushiki Co., 535 U.S. 722 (2002) Grace@iii.org.tw & cise.ntut 8
  • 9. Patent infringement - case study • File wrapper estoppel mixes doctrine of equivalents (04/16/09) – Felix(US6155625) v. American Honda Co. • not literally infringed and estopped from a doctrine of equivalents when the applicant canceled broad claims and incorporated them into dependent claims – The court was testy due to misrepresentations by Felix as to how the dictionary defined the terms “mounted” and “engaging.” » Court: “mounted” as “securely affixed or fastened to” and “engaging” as “forming a seal” » Felix: “bring together” as argued » District court: “latching” – the court noted that Felix rewrote claim 7 , which included “a weather tight gasket mounted on said lip and engaging said lid in its closed position,” into independent form http://www.patentblurb.com/doku.php?id=start 9 Grace@iii.org.tw & cise.ntut
  • 10. Patent infringement - case study (korean) • Korean courts (98 Hur 2160, 1998) set out the following elements in applying the Doctrine of Equivalents explain interchangeability Even if an element is different from that in a patented invention, such element performs the same function in the same way to obtain the same result as the corresponding element of the patented invention known interchangeability the substitute element could have been easily conceived by a person having ordinary skill in the art at the time of the alleged infringement hypothetical claim the alleged infringement is neither the same as nor could be easily conceived from art publicly known prior to the filing date of the patented invention file-wrapper estoppel the substitute element was not excluded from the claims of the patented invention during patent prosecution http://koreanap.co.kr/koreanap_e/sub/property/1_patent.htm 10 Grace@iii.org.tw & cise.ntut
  • 11. Online patent search DB USPTO Report Shows Intellectual Property- Intensive Industries Contribute $5 Trillion, 40 Million Jobs to U.S. Economy 11 Grace@iii.org.tw & cise.ntut
  • 12. Patent search - classification search • Classification search – make a search of all patents in a particular class and subclass – EPO and USPTO work toward joint classification system • Develop a joint classification system (CPC) based on the European Classification system (ECLA) – Improving patent searching ECLA USPC IPC CPC EPO USPTO WIPO – Sharing resources » shared in order to classify documents, to revise the scheme when necessary and to subsequently reclassify documents http://www.cooperativepatentclassification.org/index.html 12 Grace@iii.org.tw & cise.ntut
  • 13. • Find EPO.org search – -> Espacenet - worldwide patent search – -> Access Espacenet at the EPO 13 Grace@iii.org.tw & cise.ntut
  • 14. Type keyword to find its classification Find classification(s) for keywords: internet …. -> H04N21 Grace@iii.org.tw & cise.ntut 14
  • 15. Keyword(s) in title or abstract: VOD 15 Grace@iii.org.tw & cise.ntut
  • 16. WIPO - International Patent Classification (IPC) http://www.wipo.int/ipcpub/#refresh=page 16 Grace@iii.org.tw & cise.ntut
  • 17. Espacenet patent search – European classification This classification for new technological & cross-over technologies 17 Grace@iii.org.tw & cise.ntut
  • 18. Espacenet - search field identifiers Field identifier Description Example in inventor in= smith pa Applicant pa=samsung ti Title ti=mouse trap ab Abstract ab=mouse trap pn Publication number pn=ep1000000 ap Application nmuber ap=jp19890234567 pd Publication date pd=20080101 or pd=“01/01/2008” or pd=01/01/2008 ct Cited document ct=ep1000000 ec European (ECLA) classification Ec=H01J49/16A3 ic International classification ic=A63B49/08 ia Inventor or applicant ia=Apple or ia=“Ries Klaus” ta Title and abstract ta=laser printer … Ref: Espacenet brochure 18 Grace@iii.org.tw & cise.ntut
  • 19. Espacenet - search operators function description example AND, Default = AND; Boolean OR, priority: Left > right; (ta=seat AND ta=belt) OR (ta=seatbelt) operators NOT No operator = default ? Append 1 or 0 character telephone? (for telephone or Telephones) # Append 1 character telephone# (for telephones) Truncation Append any num of * play* (for play, plays, player, playback, etc) characters = Equal to. pa=siemens == Exactly equal to ia==“Mason Henry” All Finds all terms ti all “paint brush hair” Any ti any “motor engine” comparison pd within “2005 2006” or operators Within Within a date range pd within “2005, 2006” pd >=2005 will retrieve documents >= published in 2005 or later. pd <=2005 will retrieve documents <= published in 2005 or earlier String search “” Search on exact expression “seat belt” 19 Grace@iii.org.tw & cise.ntut Ref: Espacenet brochure
  • 20. USPTO - patent classification 1 USPTO.gov -> (POPULAR LINKS) Patent search -> Patent Classification 20 Grace@iii.org.tw & cise.ntut
  • 21. USPTO - patent classification 2 http://www.uspto.gov/patents/resources/classification/caa.pdf 21 Grace@iii.org.tw & cise.ntut
  • 23. Application Patent 23 Grace@iii.org.tw & cise.ntut
  • 24. USPTO patents check application status • Patents: Check Application Status [PAIR] -> Public PAIR -> Enter the verification codes US6021410 Extensible digital library 24 Grace@iii.org.tw & cise.ntut
  • 26. Search by classification - Cooperative Patent Classification(CPC) • Timeline & milestone 2010 ~ 2011 2012 After Jan 2013 • (2010/10)Joint • (2012/07)Develop • Quality assurance statement training, • CPC used by EPO & launching the document USPTO project classification • Harmonized • (2010/11)Freeze practices, design classification of the USPC the collaborative practices scheme environment • Joint CPC revisions • (2011/10)Launc • (2012/07)Freeze • CPC available for use h the CPC of the ECLA by other IP offices & website scheme the public • (2012/10)"CPC launch scheme" available http://www.cooperativepatentclassification.org/index.html 26 Grace@iii.org.tw & cise.ntut
  • 27. Summary • The advantage of patentability search • Patent infringement – Focus on Literal infringement, Doctrine of equivalents & Prosecution history estoppel • Patent classification search for different DBs – ECLA, USPC, IPC – CPC is developing a joint classification system for ECLA(EPO)+USPC(USPTO) – USPTO’s check patent application status Grace@iii.org.tw & cise.ntut 27
  • 28. Reference • David Pressman, chapter 6, “Patent It Yourself: Your Step-by-Step Guide” to Filing at the U.S. Patent Office, 2011, 15th edition, ISBN- 10: 1413313825 – Reference by “Previous Course Slide” record set: introduce invention, evaluate invention, WM2Patent, Patent Requirement (novelty & nonobviousness) • Blog: http://fungsiong.blogspot.com/ – Introduce hybrid TV/Smart TV (hbbTV) including widget design, Android technology (API), system, ecosystem, framework, service, application…, – Agile for progressing: http://fungsiong.blogspot.com/search/label/Agile • About how to teamwork – Some programming info. as Apache wookie, refactoring tech, CE-HTML, a solution about removing a backdoor “Trojan” & surveillance paper 28 Grace@iii.org.tw & cise.ntut