2. Conducting a Patent Search American Association of Law Libraries Arizona Chapter, Dec. 2004 Credits: Jackie Shane, Patent and Trademark Librarian, University of New Mexico Michael White, Librarian and Training Specialist, USPTO PTDL Services Conducting a Patent Search

3. History of PTDL Program Patent Office needed to expand Depository libraries would serve as branches Requirements of program Primarily public, law, or engineering libraries

4. Change in Format Print Microfilm/Fiche Dial-up (CASSIS) Compact Disk (CASSIS) DVD Internet (1995)

5. Intellectual Property Patents Trademarks Copyright Trade Secrets

6. University New Mexico Patents and Trademarks at the Centennial Science & Engineering Library

7. Types of patents Utility chemistry Design Plant

8. U.S. Patent Search File 87% Utility (mechanical, electrical, chemical) 5% Design 6% PGPubs (published applications) * Source: USPTO Web site.

9. Three Requirements 1. Unique 2. Non-obvious 3. Useful

10. Methodology? Yup.

11. Hoodia

12. Patent Searching The Seven Step Strategy is a basic guide to conducting a preliminary patent search of U.S. patents and published applications in order to locate relevant prior art related to a new invention. Called a novelty or patentability search. Uses classification numbers rather than words.

13. Why Search To assure uniqueness Prior art Money

14. What is a complete search? US Patent Database Published applications (PGPubs, 2001) Foreign patents Sci-tech literature

15. Other Prior Art Resources Internet patent databases (free) esp@cenet (European Patent Office) Intellectual Property Digital Library (WIPO) Other national offices: Japan, Canada, UK, etc. Sci-Tech Literature (free and fee) JOPAL: Journal of Patent Associated Lit. (WIPO)  Abstracts from leading sci-tech journals, 1981-2003. Commercial databases: INSPEC, etc.

16. U.S. Patent Search File 1790 to present. 7.5 million patent documents. The U.S. patent search file has been called the largest collection of organized technical information in the world.

17. Why not search keywords? Pencil Coating implement with material supply in an expandable sheath.

18. Seven Step Strategy (2004) 1. Determine Initial Classification Determine the initial classifications using keywords found in the Index to the USPC, scanning class titles and descriptions or a keyword search. 2. Manual of Classification (MoC) Locate initial classifications in the MoC. Scan the entire class schedule, paying attention to the dot indent. Revise search strategy as needed. 3. Classification Definitions Read the definitions to establish the scope of the subclasses relevant to the search. The definitions include important search notes. 4. Browse Patent Titles and Abstracts Check if you are on the right path. Retrieve and browse through titles of patents and published applications in the given classifications. If necessary, go back to Step 2 and redirect the search. 5. Retrieve Subclass Listing Once you’ve identified the relevant subclasses, retrieve and review all patent documents for every classification to be searched. 6. Review Full-text Patent Documents Review the complete text and drawings of closely related patent documents. 7. Cited References and Previously Published Applications Check references and previously published applications cited in closely related patent documents.

19. Step 1 Turn an idea into a class/subclass. Tools Index to the U.S. Patent Classification System (USPC) Manual of Classification - Class Subject List Patent Databases

20. Keywords Write down keywords or terms that describe your invention. Be as accurate and exhaustive as possible. Avoid overly broad terms such as “device,” “process” and “system.” Consult general and technical dictionaries for help. STEP 1 – Extract Keywords from Invention Description

21. Five Questions What is the purpose of my invention? Is it a design or utility function? What is it made of? How is it used? Is it a process or a product? What are some common and technical terms that describe the nature of the invention? STEP 1 – Five Questions

22. A Better Mousetrap Ramp Opening Container Rotating dowel Axle Cylinder Pipe Platform Rod Bobbin Spindle Bin Box Bucket Pail Receptacle Access way Doorway Entrance Entryway Portal Ladder/steps Inclined plane Mousetrap, mouse trap, rodent, vermin, pest, mammal, trap, trapping, capturing, etc. STEP 1 – A Sketch or Model Can Help

23. How It Works STEP 1 – Consider How the Invention Works

24. Locate Initial Classification Look up keywords in the Index to the U.S. Patent Classification System (USPC) Mouse Trap, Rat Trap, Rodent Trap Mousetrap Trap Trapping STEP 1 – Locate Keywords

25. Index to the USPC Intended means of entry into the classification system. Alphabetic list of terms referring to specific classes and subclasses. Includes trademarks such as VELCRO. STEP 1 – Index to the USPC

26. STEP 1 – Classification Search Tools Note PDF and HTML display options. Links to other related documents and reports from the MoC.

27. FirstGov search is not recommended for inexperienced searchers. To see why, try searching “mouse trap.” STEP 1 – Index to the USPC Index to the USPC.

28. Go to “M” to look up first keywords, “mouse trap” and “mousetrap.” STEP 1 – Index to the USPC

29. Index Term “Mouse Trap” Mounting Tires on wheels............ 157 Mouse Computer input and control devices... 345/156+ Guard Piano pedal openings........ 84/233 Multicellular living organisms..... 800 Traps................. 43/58+ Mouth Bag holders.............. 248/99+ Mounting Tires on wheels............ 157 Mouse Computer input and control devices... 345/156+ Guard Piano pedal openings........ 84/233 Multicellular living organisms..... 800 Traps................. 43/58+ Mouth Bag holders.............. 248/99+ Initial classification. STEP 1 – Index to the USPC

30. Other Keywords Don’t forget to check other keywords, for example “rat,” rodent,” “trap” and “trapping,” in order to locate additional classifications. STEP 1 – Index to the USPC

31. Index Term “Trap” Transuranium Compounds Inorganic............... 423/250+ Organic................ 534/11+ Trap & Trapping Animal, etc.............. 43/58+... Design................ D22/119+... Fish, game, vermin traps....... D22/119+... Transuranium Compounds Inorganic............... 423/250+ Organic................ 534/11+ Trap & Trapping Animal, etc.............. 43/58+... Design................ D22/119+... Fish, game, vermin traps....... D22/119+... Additional design classification. STEP 1 – Index to the USPC

32. Class number and title list. STEP 1 – Browse Class Titles and Descriptions

33. Use your browser’s Find function to search the list of class titles. Consider synonyms, e.g. “vehicles” for autos or trucks or cars.

34. STEP 1 – Browse Class Titles and Descriptions Class 43 – Fishing, Trapping, and Vermin Destroying

35. Keyword Search If scanning class titles doesn’t work, try a simple keyword search in a patent database. Search title and abstract first, then try full-text. STEP 1 – Search Keywords in Patent Database

36. A word about “words” Truncation is $. Consider foreign spellings; synonyms. Quick search has limitations Cannot use boolean within search boxes Truncation won’t work with phrases

37. STEP 1 – Search Keywords in Patent Database Example: abst/trap and abst/(rodent or mouse) and abst/rotat$ Example: abst/trap and abst/(rodent or mouse) and abst/rotat$

38. STEP 1 – Browse Titles and Abstracts Possible match? “Rotating cylinder rodent trap.”

39. STEP 1 – “Rotating Cylinder Rodent Trap” Note current U.S. Class. The Field of Search shows additional classes searched by the patent examiner.

40. Step 1 - Summary Use keywords to locate initial classification using these methods: 1.Index to the USPC. 2.Browse class titles and descriptions. 3. Keyword search in patent database. STEP 1 – Summary

41. Step 2 Using the initial classifications, determine the best classifications for your invention. Tools Manual of Classification - Class Schedule

42. 43FISHING, TRAPPING, AND VERMIN DESTROYING 58TRAPS 64. Self and ever set 69.. Tiltable platform 71.. Rotatable platform 74.. Rotating door or platform 43FISHING, TRAPPING, AND VERMIN DESTROYING 58TRAPS 64. Self and ever set 69.. Tiltable platform 71.. Rotatable platform 74.. Rotating door or platform STEP 2 – Manual of Classification – General to Specific

43. STEP 2 – Manual of Classification – Design Classes D22/119

44. Step 3 Definitions Does the definition match. Look for “see” references.

45. STEP 3 – Classification Definitions “See” references

46. Why Class 232/60? Proximate function: “similar processes or structures that achieve similar results are considered to have the same fundamental utility.” * Source: Examiner Handbook on the Use of the USPC, Rev. May 2003, USPTO Web site. STEP 3 – “See” References

47. STEP 3 – Design Classification Definitions Weigh design versus utility classes

48. Initial Search Are you on the right track? Retrieve and browse patent documents in the given classifications. STEP 4 – Initial Search

49. STEP 4 – Initial Search – Retrieve Patents 64. Self and ever set 65.. Non-return entrance 66... Victim-opened 67... Victim-closed 68.. Sinking compartment 69.. Tiltable platform 70... Trigger-released 71.. Rotatable platform 72... Trigger-released 73. Self-reset 74.. Rotating door or platform 64. Self and ever set 65.. Non-return entrance 66... Victim-opened 67... Victim-closed 68.. Sinking compartment 69.. Tiltable platform 70... Trigger-released 71.. Rotatable platform 72... Trigger-released 73. Self-reset 74.. Rotating door or platform P P P P P P P P P P P Click on “P” icon to retrieve all patents in the given subclass.

50. STEP 4 – Initial Search – Scan Hit List “Rotating cylinder rodent trap.”

51. STEP 4 – Browse Drawings and Abstracts The Field of Search shows additional classes searched by the patent examiner.

52. Step 5 Retrieve the entire subclass listing of all patent documents back to 1790 in the given classifications. Tools Patent Databases

53. Browse Documents Note the numbers of patent documents that are closely related to your invention. STEP 5 – Browse and Select Documents Remember that on the USPTO Web site you must search patents and published applications separately.

54. Closely Related Patents NumberTitle 6,557,295Rodent trap device 6,212,819Reusable, odorless rodent trap 5,996,274Rodent trap 5,528,852Rotating cylinder rodent trap 5,782,034Rodent trap 4,845,887Scented mouse trap D382,039Mouse trap with ramp and spinning bait… STEP 5 – Note Closely Related Patent Documents

55. Step 6 Read the relevant patent documents. If necessary, go back to Step 1 and rethink your strategy.

56. STEP 6 – Study Drawings and Specifications  My mousetrap.

57. Step 7 Check cited references.

58. STEP 7 – Check Cited References – Citation Linking References provided by the applicant and patent examiner. Forward citation search links patents that cite the displayed patent. Additional classifications to search?