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ICIC 2017: Dealing with Patent Families in FTO Searches, Portfolio Analysis and Patent Statistics

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Alexander Giesen (Varidian, Germany)
Patent families may introduce an additional layer of complexity to many patent searches. FTO searches and portfolio analyses are in particular affected by patent families. The presentation discusses issues caused by patent families and looks at different approached for dealing with them: approaches to patent family search by various search engines, selection of the best family member based on the scope of the search, selection considering the language skills of the patent researcher, dealing with complex families, family legal status and reporting. The selection of patent family members for FTO searches and patent statistics will be demonstrated in a brief case study.

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ICIC 2017: Dealing with Patent Families in FTO Searches, Portfolio Analysis and Patent Statistics

  1. 1. Artificial Intelligence Machine Learning Deep Learning Big Data Watson Google Data Mining
  2. 2. Artificial Intelligence Machine Learning We are doing the boring stuff Deep Learning Big Data Watson Google Data Mining
  3. 3. Dealing with Patent Families
  4. 4. 1) Searching the Database 2) Collapse/Expand Families 3) Select Results Introduction
  5. 5. Introduction Searching Search the Patent Database Database —> Hits {PDB} —> {PH} Families Compile Families Hits —> Families Database —> Families {PH} —> {PF} {PDB} —> {PF} Results Select Family Member to be displayed or processed: Header Doc Families —> Results {PF} —> {PR}
  6. 6. Introduction Database Search Results Derwent Innovation records from records Total Patent Patent One records from records PatSeer records family related information in records from all family members or from records SIP records or families from records Questel Orbit records or families from all family members PatBase families full family (or selected from family)
  7. 7. Introduction Record Based Family Based • search in individual records • search in all family members • individual records as search results • families as search results • search results satisfy search criteria • at least one family member or a combination of family members satisfy search criteria
  8. 8. Introduction Record Based Combined Family Based • search in individual records • search in individual records OR • search in all family members • search in all family members • individual records as search results • individual records representing a family as search result • families as search results • search results satisfy search criteria • search results may not satisfy search criteria, at least one family member satisfy all search criteria • at least one family member or a combination of family members satisfy search criteria
  9. 9. Searching
  10. 10. Searching Record Based SearchRecord Based Search Family Based SearchFamily Based Search result set contains relevant (content) documents non relevant family member (kind codes) can be removed easily search requires more careful choice of search terms sometime unclear which family members match search query non relevant family member show up in the result set allows effective search of exotic authorities usually more hits
  11. 11. Remove Non-Relevant Family Members
  12. 12. Remove Non-Relevant Family Members
  13. 13. 1) Search main authorities using record based databases 2) Do a complementary search with family based database by excluding main authorities: PA=(bosch) AND PD=(2010:2012) AND CC=(CN) NOT CC=(DE, EP, WO, US, GB, FR, AT, CH) Dealing with excotic authorities
  14. 14. Compile Families
  15. 15. INPADOC families: as obtained from European Patent Office extended families: linked by at least one priority, may differ from INPADOC simple families: identical priority data Families Database Family Types Derwent Innovation • INPADOC families • DWPI families Total Patent Patent One • INPADOC, main, extended • domestic, main, complete, extended PatSeer • simple families • extended families • application number SIP • INPADOC families Questel Orbit • INPADOC families • extended families • invention based families PatBase • simple families • extended families • many large families are split up
  16. 16. Priority Based Families Database Type Familiy Members EPO INPADOC INPADOC 76 Derwent Innovation INPADOC 83 LexisNexis Total Patent INPADOC 79 PatBase Extended 84 LexisNexis Extended 88 PatSeer Extended 86 US 5,000,000 Ethanol production by Escherichia coli strains …
  17. 17. Priority Based Families Database Type Members D0 Adjusted Differenz EPO INPADOC INPADOC 76 0 76 Derwent Innovation INPADOC 83 6 76 - LexisNexis Total Patent INPADOC 79 3 76 - PatBase Extended 84 5 79 1 * KR doppelt => -1 + 1*RU = -1 + 1*KR = -1 79 -3 = 76 LexisNexis Extended 88 7 81 2 * FI-B and Fi-B1 => -2 HU…R and HUR… => -1 1 * PH => -1 81 - 5 = 76 PatSeer Extended 86 7 79 2 * MX-A, 1* PH 79 - 3 = 76 US 5,000,000 Ethanol production by Escherichia coli strains …
  18. 18. Non Priority Based Families Database Criteria Name Complex Families PatBase Priority Match Extended Family 1 Family Questel Invention Based FamPat 17 Families varidian in-House Proprietary - 24 Families Derwent Human DWPI US 5,000,000 Ethanol production by Escherichia coli strains …
  19. 19. Result Selection
  20. 20. Result Selection: Record Based Searches Search Individual RecordsSearch Individual Records Search Results SetSearch Results Set Select Header-Doc from Family Member s in Search Result Set Select Header-Doc from Family Member s in Search Result Set Add Family MembersAdd Family Members Select Header-Doc from all Family Members Select Header-Doc from all Family Members
  21. 21. Result Selection: Family Based Searches Search FamiliesSearch Families Search Results SetSearch Results Set Select Header-Doc from Family Members Select Header-Doc from Family Members
  22. 22. select family members while searching select family members while processing data apply ranking while searching or in the processing step restrictive ranking (exclude all non preferred family members) non restrictive ranking (include non preferred family members) select family members while searching select family members while processing data apply ranking while searching or in the processing step restrictive ranking (exclude all non preferred family members) non restrictive ranking (include non preferred family members) Flexible Approach Wish List
  23. 23. Flexible Approach allows … • simultaneous utilisation of records / families • flexible selection of header documents, e.g. for FTO searches • legal status for individual documents and families • allows extended/simple family based statistics and application based statistics simultaneously Flexible Approach
  24. 24. Flexible Approach Flexible Software restrictive / preferred selection while search applied to actual search hits or search hits+family project (i.e. saved data sets) allow full family and record based approach simultaneously legal status: individual + family based varidian in House Software considers search hits and family simultaneously “clever” processing of family members allows patent researcher to focus on relevant records
  25. 25. varidian in house system
  26. 26. varidian in house system
  27. 27. varidian in house system
  28. 28. my $pn1_current =substr($pn_current,0,2); my $pn3_current =substr($pn_current,-1); # one letter kind code as default if (substr($pn_current,-2,1)=~/D/){ $pn3_current=substr($pn_current,-2); } if (($pn1_current eq 'EP') && ($pn3_current eq 'B2')) { $score{$pn_current} = 101*$counter;} elsif (($pn1_current eq 'EP') && ($pn3_current eq 'B1')) { $score{$pn_current} = 100*$counter;} elsif (($pn1_current eq 'DE') && ($pn3_current =~m/C/)) { $score{$pn_current} = 95*$counter;} elsif (($pn1_current eq 'DE') && ($pn3_current =~m/B/)) { $score{$pn_current} = 94*$counter;} elsif (($pn1_current eq 'DE') && ($pn3_current =~m/U/)) { $score{$pn_current} = 93*$counter;} elsif (($pn1_current eq 'US') && ($pn3_current =~m/B/)) { $score{$pn_current} = 85*$counter;} elsif (($pn1_current eq 'GB') && ($pn3_current =~m/B/)) { $score{$pn_current} = 75*$counter;} elsif (($pn1_current eq 'DE') && ($pn3_current eq 'A1')) { $score{$pn_current} = 60*$counter;} elsif (($pn1_current eq 'DE') && ($pn3_current eq 'T5')) { $score{$pn_current} = 59*$counter;} elsif (($pn1_current eq 'WO') && ($pn3_current eq 'A1')) { $score{$pn_current} = 50*$counter;} elsif (($pn1_current eq 'WO') && ($pn3_current eq 'A2')) { $score{$pn_current} = 50*$counter;} elsif (($pn1_current eq 'EP') && (($pn3_current eq 'A1') || ($pn3_current eq 'A2'))) { # check for text in claims in EP application, if there is text then we want the EP document # otherwise we prefer the WO application if ($length{$pn_current} > 50) {$score{$pn_current} = 51*$counter;} else {$score{$pn_current} = 49*$counter;} } varidian in house system
  29. 29. Summary
  30. 30. manchmal treiben Patentfamilien auch Blüten: US2012186724A1 METHOD FOR FORMING A DECORATIVE COVER FOR A FLOWER POT … 1.800 Family Members (approx) Finally

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