John Rylands University Library

1. INTRODUCTION TO PATENT SEARCHING
Contents
Introduction 2
Choosing a patents database 3
Finding and viewing a known patent (esp@cenet) 3
Finding and viewing a known patent (Derwent) 6
Searching for patents by subject/topic/inventor 8
Using the International Patent Classification to refine searches 10
Searching the International Patent Classification (IPC) 12
Patent equivalents 14
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2. Introduction - Patents searching
This workbook contains a number of exercises and tasks that will introduce you to
the process of patent searching. Patents contain a wealth of technical information
which is often unavailable in journal articles and conference papers.
Researchers who ignore the patent literature may well miss important information
and waste time and money duplicating previous research. You can find information
on technical specifications; diagrams; procedures; information about the products of
a particular company, etc.
However, it is important to use caution when using information from patents.
Technical and scientific information may be imprecise, and the language used may
sometimes be difficult to interpret. Nevertheless, about 80% of patents are never
published in the journal literature, so they remain a rich source of information.
AIMS
This workbook contains a number of tasks and activities that will introduce you to
patent searching. By the end of the workbook you will:
• Be aware of the various patent databases available.
• Understand the basics of the Espacenet database and the Derwent
Innovations Index database.
• Be able to search patent databases to find known patents, and view full-text
patents.
• Be able to use patent databases to find patents on topics or subject areas.
• Be confident using advanced search in Espacenet .
• Be able to search by the International Patent Classification (IPC)
• Be able to find patent equivalents.
ABOUT THIS WORKBOOK
• All the databases are accessible either via the Library website (Derwent) or
freely available via the Web (Espacenet).
• Instructions assume that you are using the Internet Explorer browser.
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3. 1. Choosing a patents database
For chemists, chemical engineers and materials scientists, the databases that contain relevant
patents either exclusively or in part are:
• Esp@cenet (freely available via the Web)
• Freepatentsonline (freely available via the Web)
• Derwent Innovations Index (accessible only via campus or with username/password)
• SciFinder (accessible only via campus and with personal username/password)
• Reaxys (accessible only via campus or with username/password)
For direct patent searching, the two important databases are: Esp@cenet and Derwent Innovations
Index.
Exercise 1- using esp@cenet
1. Open a web browser and access the esp@cenet website:
http://www.epo.org/searching/free/espacenet.html
2. You are given a choice for Direct access. Select ‘Access Espacenet at the European
Commission’ by clicking the link: ‘Open Espacenet at the EC’.
3. This will take you to the SmartSearch page of esp@cenet.
esp@cenet is a network of databases maintained by the European Patent
Office (EPO) and provides free access to more than 60 million patent
documents from all over the world. The worldwide database enables you to
search for information about published patent applications from over 70
countries and regions
2. Finding and viewing a known patent in esp@cenet
The easiest way to find a patent is to use the patent number. If you have found a reference to a patent
in a journal or conference paper or a database such as SciFinder or Reaxys, the patent number will
be listed.
Patent numbers begin with two letters for the country or organisation, then digits, then an A or B to
denote an application or a granted patent. US patents have no A or B because prior to November
2000 only granted patents were published.
In the following exercise we will find the following patents using esp@cenet:
• WO 2011002630 A2
an application to the World Intellectual Property Network (WIPO). WIPO is a United Nations body
that was set up to promote the protection of intellectual property worldwide; this includes
international patent applications in all countries covered by the Patent Cooperation Treaty.
• EP 1072623 A2
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4. an application to the European Patent Office (EPO). This would be an application for a patent that
applies across all member states of the EPO.
• GB 2466629 A
A UK patent application.
About Patent Numbers:
• The application number is the number assigned to a patent when the
patent application is filed. The application number for the majority of
countries is made up of the country code (2 digits), the year of filing (4
digits), and a serial number (variable, up to 7 digits).
• The publication number is the number assigned to a patent when the
patent application is published. Publication numbers are generally made
up of a country code (2 digits) and a serial number (variable, up to 12
digits).
• The priority number is the number of the application in respect of
which priority is claimed, i.e. it is the same as the application number of
the claimed priority document. The priority number is made up of a
country code (2 letters), the year of filing (4 digits) and a serial number
(variable, up to 7 digits).
Exercise 2a – find a WO patent on esp@cenet
1. Access the SmartSearch page in esp@cenet
2. Select Number Search from the menu towards the top left of the screen. Ensure that the
database selected is ‘Worldwide’.
3. In the Publication Number box, type: WO2011002630. Make sure you omit any spaces.
4. Click on the Search button and the results will be displayed:
-Select the title link: MODIFIED ZEOLITE CATALYST to show all the bibliographic details of the
patent
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5. Check out each section of the patent
document: description, claims, mosaics
(images), and the original document (as
PDF).
-Look at the original document. Note the difference between the Priority number in the database and
the Priority Data in the document. Zeros can be added to make the core serial number up to seven
digits, but this is not always the case.
Exercise 2b – Searching for an EP patent on esp@cenet
1. Return to Number Search; leave the database search as Worldwide, and try searching for:
EP1072623 (omitting spaces and the A2)
2. Select the title of the patent to view the bibliographic data.
3. Choose to view the INPADOC patent family link (on the left hand menu). This will show you
all the documents related to each other by the priority document. When you take out a patent
application you have 12 months to file it elsewhere and you can claim priority back to the
original filing date.
The full bibliographic data will tell you:
• Any other equivalent patent applications in other countries (‘also published as’)
• The claimed priority date of the original patent application
• The documents (patents; patent applications) cited in this patent application
• The patent family – all patents related to this particular patent application.
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6. Priority date: date of the application for
which priority is claimed (i.e. the date
when the original application was filed).
In this case: 21st July 1999.
What do A1, A2, A3 and B mean
after a publication number?
A1= Patent application published
An INPADOC patent family is defined with a search report.
as comprising all the documents
A2= Application published but the
sharing directly or indirectly at least
search report is not included.
one priority.
A3= Published search report
B= Granted patent.
3. Finding and viewing a known patent in Derwent Innovations Index
Exercise 3a – Using Derwent Innovations Index for patent number searches
1. Open a web browser a go to the Library home page at:
http://www.library.manchester.ac.uk/
2. Select Search Resources from the tabs towards the top of the screen.
3. Select Databases A-Z from the Resources list at the left, and then select ‘D’ on the Database
list.
4. Scroll down until you find ‘Derwent Innovations Index’, and click on the Web of Knowledge
(WoK) link. Select On-campus access. On the WoK page click on Click here to access
WoS.
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7. 5. You should now be on the Web of Knowledge search page. Towards the top of the screen
you will see a series of tabs; choose the Select a Database tab. This will take you to a page
that lists all the WoK family of databases. Click on Derwent Innovations Index.
Derwent Innovations Index, unlike esp@cenet, is a subscription database which you
would have to pay for if you were working outside the university. It covers patents dating
back to 1968 for chemistry, and 1963 for drugs. The database currently holds about 15
million patents.
Although it is not as large as esp@cenet it has several search advantages. The format is
broadly similar to Web of Science. All the titles and abstracts of the patent applications
are rewritten by professional indexers to make them more meaningful and easier to
search by keyword. It allows the user to sort results by actual publication date, or by
various other attributes. You can search for all the subsidiaries or variations of a
company name with a single search. If you have found a patent of interest, you can look
for later patents which cite it as similar.
esp@cenet response times can be slow at times.
6. In the first search box type: GB2188630-B
7. In the drop-down box next to the search box, select ‘Patent Number’, then click the Search
button
8. Click on the title: “New besylate salt of amlodipine…” This will retrieve the full bibliographic
record. It should be this record:
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8. Here you can see all the various patent applications relating to this patent. One very useful
feature is a link to all the subsequent patent applications that have cited this patent (circled
above – 71 citations (March 2012)).This enables you to search for newer patents related to the topic.
The above is only part of the bibliographic record; if you scroll down the page you will find more
information. Towards the bottom of the bibliographic record is information providing the priority
application information and date:
This tells you that the priority date for this patent is 4th April 1986.
Exercise 3b – another patent number search on Derwent
1. Return to the Derwent Innovations Index search page. [Hint: Click the Search link to the top
left of the screen. Try to avoid using the back button on the browser, as this sometimes
disrupts searches.]
2. In the first search box type US5114477 and specify Patent number in the drop-down menu
to the right. Click on the title to obtain the full bibliographic record.
3. You will see that this is a very early patent document concerning fullerenes. Where the patent
number is listed, click on Original. This takes you to the full text of the US patent document. This
gives you some idea of the sort of detailed information contained in patent documentation.
Fullerenes (C60) were first discovered in the UK by Harry Kroto – the first published paper was in
Nature in 1985.
4. Searching for patents by subject/topic, inventor, etc.
You can perform detailed subject or topic searches for patents using both esp@cenet and
Derwent. For example, you can search for patents:
• Assigned to a particular company or organisation (e.g. Astra Zeneca)
• By a particular inventor (e.g. Clive Sinclair)
• With a particular word in their title (e.g. organolithium)
• From a particular date (e.g. 2002)
Exercise 4 – searching for patents by keyword and organisation in esp@cenet
In this search we want to find the earliest patent application for the drug cimetidine, first
developed by the UK-based company Smith Kline French (now GlaxoSmithKline). Cimetidine was
first marketed as ‘Tagamet’, an H2 receptor antagonist that acts as an antacid.
1. Return to the esp@cenet search page: [ http://www.epo.org/searching/free/espacenet.html ].
Ensure the database selected in ‘Worldwide’.
2. Select ‘Advanced Search’.
3. In the ‘Keyword(s) in title or abstract’ box, type: cimetidine
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9. 4. In the ‘Applicant(s)’ box, type: Smith Kline French then click the Search button
Choosing a title search will limit your
search to the title of the patent.
Remember that patent titles are often
not very informative. If you are
unsure, it would be sensible to
broaden your search by choosing ‘title
or abstract’ search.
Smith Kline French is the ‘Applicant’,
[
the company or body making the
patent application.
5. You should retrieve about 12 results. These are presented in order of upload date (the date
the application was uploaded into the database) and in descending order (i.e the most recent
first). As we have only 12 records scroll down to the bottom of the list to find the earliest
patent application, dated 21 September 1976. If you have a much longer list, you can change
the sort order to ascending; this will bring the earliest patent to the top. [Note: if you retrieve
more than 500 results in esp@cenet, it will only display the first 500].
6. If you click on the title, you will retrieve the bibliographic data of the patent document.
This is the number of the original
application (application number) for
which priority is claimed.
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10. 7. Go back to advanced search in esp@cenet and type in: GB19760039065 in the Application
number box and click the Search button.
8. Click on the title ‘Polymorph of cimetidine’ to retrieve the bibliographic data. Here you will see
that the Publication Number for this patent application is GB1543238 (A). [Note: the
Publication Number is the number assigned to a patent application on publication.]
9. On the left hand side of the screen, click on the ‘Original document’ tab. You will retrieve a pdf
of the original publication document.
Original Application Numbers for
different aspects of the process. 39065
is the first (GB19760039065).
Publication date for GB1543238 (A).
10. Page through the document to gain an understanding of the extent of information provided.
5. Using the IPC to refine keyword searches
Exercise 5 – using the IPC (International Patent Classification) number to refine a
keyword search in Derwent and in esp@cenet
As we have seen in previous exercises, many patents have brief and/or uninformative titles,
making searching with keywords in esp@cenet something of a hit and miss experience.
Searching by formal subject classification number is much more precise.
IPC is the International Patent Classification scheme. It is used to describe the subject matter of
patents. Because patents are detailed technical documents, the IPC is very detailed and not
simple to use. One simple way of using the IPC is to run a keyword search for a particular topic
and then locate other patents on the same topic using the classification scheme.
Exercise 5a – Using the IPC in esp@cenet
Here we will be locating patents concerned with the preparation of the drug fluoxetine; this is a
well-known anti-depressant generically known as ‘Prozac’.
1. Access the esp@cenet portal.
2. Go to Advanced search, and in the Title search box type: fluoxetine. In the ‘Keyword(s)
in title or abstract’ search box type: preparation, then click the Search button.
3. You will retrieve approximately 21 publications. Even though you specified ‘preparation’, on
the results list you will see a variety of classifications under the IPC column. The most
frequent appear to start C07C213 or C07C217. In order to find out more about what these
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11. character strings mean you will need to consult the IPC hierarchy. This can be accessed from
esp@cenet via the Help key, and then typing in IPC. Alternatively you can access the IPC at
the WIPO (World Intellectual Property Organisation) at:
http://www.wipo.int/classifications/ipc/en/
4. If you browse the hierarchy (you don’t need to follow this through in this exercise) you
will discover that the classification C07C213/10 is the core classification for the preparation
of fluxoetine and compounds with similar molecular structures.
5. In esp@cenet Advanced search, type fluoxetine in the keyword title search box, and
C07C213/10 in the IPC search box. Then click Search.
6. You will retrieve about 6 patents that are very specific to the actual preparation of fluoxetine. If
you search just for C07C213/10 in the IPC search box (deleting fluoxetine from the title box)
you will retrieve over 2,600 items, as the documents retrieved will cover the preparation of all
compounds similar to fluoxetine.
Exercise 5b – using the IPC in Derwent
1. Minimise the esp@cenet screen and open a new browser window. Access Derwent
Innovations Index.
2. In the search box type fluoxetine (specifying Topic) and in the next search box type the
IPC classification number: C07C-213/10(in the drop-down menu box select Int Patent
Classification). Note the different format used in Derwent.
As with esp@cenet, when merging two Note the different In Derwent you must specify in
search terms in Derwent, the default is format for the IPC the drop-down boxes whether
‘AND’. classification required by you want to search ‘Title’,
Derwent. ‘Topic’, ‘Inventor’, ‘Patent
Unlike esp@cenet, in Derwent you can Number’, etc for each separate
also choose ‘OR’ or ‘NOT’ from the search box
drop-down box when combining search
terms. This can be quite powerful.
3. Hit the search button. This retrieves 4 patent publications (compared to 6 with esp@cenet).
The difference is because Derwent have assigned a slightly broader classification to three of
the publications. Hence it is a good idea to use both patent databases when running a search
to ensure nothing is missed.
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12. 4. If you compare the bibliographic records of the same patent document in esp@cenet and in
Derwent, you will see that the Derwent record is much more informative as it has been re-
catalogued to provide a much more informative record.
5. Of the 4 documents retrieved in your Derwent search, click on the title of record number 3:
“Process of preparing racemic fluoxetine…”. This brings up the full bibliographic record.
6. Now maximise the esp@cenet window, go to Advanced Search and search for the same
patent publication using the search strategy you used earlier (fluoxetine in the title search
box and C07C213/10 in the IPC search box). Compare the two bibliographic records.
The title in Derwent is very descriptive. The same keyword searches in Derwent and in
esp@cenet may generate different results; even IPC classifications may vary slightly. One
advantage of Derwent is that it can be searched like Web of Science, so it retains your search
history, you can quickly view citing patents, etc.
6. Searching the International Patent Classification (IPC)
Exercise 6 – searching the International Patent Classification (IPC)
The International Patent Classification (IPC) is used by all patent offices, sometimes in addition to a
national classification. It currently divides technology into around 70,000 subareas and is one of the
most precise classification systems.
Exercise 6a – identifying separate parts of the IPC classification
1. Access the IPC at: http://www.wipo.int/classifications/ipc/en/
2. Click on ‘Browse and Search the current IPC or Earlier Versions’
3. Click on ‘C’ for Chemistry and Metallurgy, and scroll down the hierarchy. You will see that
C01 – C14 are the classes that cover chemistry; C21 – C30 cover metallurgy, C40 for
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13. combinatorial technology, and C99 for other material that does not fit into the above
categories.
4. One of the classifications we looked at earlier was C07C213/10. Unpack the hierarchy within
the IPC list to identify each meaning of the classification above, and complete the tabulation
overleaf:
IPC Section, Class, Subclass, etc Definition
C Section
C07 Class
C07C Subclass
C07C213 Group
C07C213/10 Subgroup
The format of the IPC listing is fairly straightforward, e.g.:
Search other Diagram Classification Description Version indicator. Edition/
classification version of the IPC where
schemes the corresponding entry
was new
Exercise 6b – term searching using the IPC
1. Use the Back button to return to the top level of the IPC classification scheme (response is
sometimes slow). On the left hand side of the screen you will see a range of functions. Half
way down under ‘Search’, click on the ‘Terms’ button.
2. You will be presented with the Terms search template:
You will see that Scheme and Path have
been automatically checked. Click on
Definition and ‘Catchwords’ to include
all features.
3. Type zeolites in the ‘Words(s)’ box and click ‘Display results’. You will be provided with a
list of all the relevant classification codes for zeolites in all contexts, in this case 12. If you are
researching zeolites in a particular context, explore the classifications to identify the one most
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14. relevant to your needs, for example: assume you are interested in all aspects of
isomorphous zeolites where Al and Si atoms have been replaced, browse down the list
until you find a classification that most closely describes your topic.
4. Access the esp@cenet website and go to Advanced search. Type the IPC classification into
the appropriate search box and click the search button. You should retrieve over 3,000
patents worldwide relevant to isomorphous zeolites.
5. Access Derwent Innovations Index and run the same search (be careful about format). You
should retrieve about 215 patent documents. In Derwent you can refine your search further.
Exercise 7 – Patent equivalents
If a number of patent applications are filed to protect the same invention in different parts of the
world, the corresponding published patent applications and granted patents will clearly contain a
technically equivalent text, albeit in the national language of the publishing authority. For example,
if an invention originates in the UK (priority number), but protection is applied for in Japan, the US,
France and Germany, there are five different documents in four different languages, effectively
with the same technical details.
Rather than create new records and abstracts for each document, both Derwent and esp@cenet
have devised a mechanism for identifying the duplicates and grouping them together. Later
documents with corresponding subject matter can be added to this ‘patent family’; however, the
definition of a patent ‘family’ is not defined in law, therefore patent families may vary in different
databases. The reason for this is that some publications may claim multiple priorities, and this will
affect where they are placed by the particular database rules.
Exercise 7a – patent equivalents in esp@cenet
Assume we wish to locate all the patent equivalents for the preparation of imidazo-
benzodiazepines as set down by Karl-Heinz Bender, working for Hoffmann-La Roche.
(Benzodiazepines comprise some well known tranquillisers such as Mogadon and Valium).
1. Access the esp@cenet website and go to Advanced search. In the Title search box type:
benzodiazepine. In the Inventor search box type: Bender.
2. You should obtain one reference: ‘Process for the production of imidazo-benzodiazepine’,
published 31st May 2000. Click on the title to obtain the full bibliographic record.
3. Scroll down to ‘Also published as’, and click on ‘more’. This will produce the full list of patent
equivalents.
CA = Canada
CN = China
EP = European patent
indicates original US = United States
document not available
JP = Japan
ES = Spain
A full listing of country codes
can be found under Help on the
esp@cenet website.
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15. 4. Access Derwent Innovations Index and run the same search. In the first search box type
benzodiazepine and specify ‘Title’ in the drop-down box to the right. In the next search box
type bender and specify ‘Inventor’ in the drop-down box to the right.
5. You should have two results; the first result being the patent document we retrieved in the
esp@cenet search. Click on the title to retrieve all the bibliographic data:
Patent equivalents are listed
as the ‘Patent Numbers’ in
Derwent.
You will note the more descriptive title in Derwent.
6. Comparing the two lists of equivalents you will see that they vary a little. Esp@cenet lists
three patent documents that are not listed by Derwent: AT187727; DK768310; GR3032600
and TR970323. Derwent lists two not covered by esp@cenet: MX193459 and DE59603916.
Hence if you wish to locate all patent equivalents it would be sensible to run a search on both
databases.
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