SEARCHING THE

PATENT LITERATURE

IN THE ELECTRONIC AGE

Canadian Intellectual Property Office

June 1998

Table of Contents

Internet Addresses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 1

CIPO Document Delivery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 3

Patents - What are they? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 4

Why search patents? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 11

Overview of Patent Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 12

Patent Classification - Rules and Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 14

Indexing Technical Information Using Patent Classification . . . . . . . . . . . . . . . . . . . . . . . page 18

Retrieving Technical Information Using Patent Classification . . . . . . . . . . . . . . . . . . . . . . . page 34

Search Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 36

Basic Search Syntax . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 39

Accessing On-line Databases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . page 44

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Internet Addresses for On-line Searching

CIPO Home Page

http://cipo.gc.ca

Searching Canadian Patents

http://strategis.ic.gc.ca/patents Strategis

http://strategis.ic.gc.ca/SSG/mm01333e.html BIX

Searching United States Patents

http://patents.uspto.gov/index.html (classes too) USPTO

http://app1.uspto.gov/AIDS/access/search.html USPTO

http://cos.gdb.org/repos/pat/ (classes too) COS

http://www.dash.uk.inter.net Derwent

http://www.ibm.com/patents IBM(http://patent.womplex.ibm.com)(http://www.optics.org/oo/patents.html) Optics Org.

http://sunsite.unc.edu/patents/intropat.html (classes too) Sunsite

http://www.spo.eds.com/spo/open_bin/gen_free.pl/free (classes too) SPO

http://www.qpat.com/ Questel

http://stneasy.cas.org STN

http://casweb.cas.org/chempatplus/ CAS

http://www.dialogweb.com Dialog

http://www.micropat.com Micropatent

http://www.optipat.com/online.html Optipat

http://www.nal.usda.gov/bic/Biotech_Patents/ USDA

http://mgm.mit.edu:8080/pevzner/Bucky/Patents.html Fullerenes

http://apollo.osti.gov/waisgate/gc.html DOE

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Searching Other Patents

http://app1.uspto.gov/AIDS/access/search.html (EPO and JP AIDS patents)

http://www.dash.uk.inter.net (EPO patent documents)

http://www.dialogweb.com (assorted patent databases)

http://stneasy.cas.org (assorted patent databases)

http://www.micropat.com (EPO and PCT document delivery)

http://pctgazette.wipo.int (PCT applications)

http://210.141.236.195/index_e.html (Japanese IP)

http://www.hpo.hu/English/szkv/ekerform.cgi (Hungarian IP)

http://www.inpi.gov.br/search.html (Brazilian IP)

http://www.ipaustralia.gov.au/resource/database/intro.htm (Australian IP)

http://www.dagostini.it/patclass/patclass (International Classification)

Searching Non-patent Literature

http://www.dialogweb.com (assorted technical databases)

http://stneasy.cas.org (assorted technical databases)

http://uncweb.carl.org/ (assorted journals and magazines)

http://www.nrc.ca/cisti/eps/swetscan.html (CISTI holdings)

http://www.cup.cam.ac.uk (Cambridge University Press holdings)

http://www.oclc.org/oclc/menu/fs.htm (assorted technical and business journals)

http://adswww.harvard.edu (astrophysics databases)

http://www.optics.org/search/spie_ab_search.html (optics and computer related databases)

http://www.bioscience.org//urllists/proserch.htm (various databases for proteins)

http://www4.ncbi.nlm.nih.gov/PubMed/ (Medline and sequence databases)

http://biomednet.com (Medline and sequence databases)

http://heme.gsu.edu/post_docs/koen/wbojoar.html (various organic compound databases)

http://www.colby.edu/chemistry/cmp/cmp.html (organic compounds)

http://chemfinder.camsoft.com (chemical compounds)

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CIPO Document Delivery

To order copies of patent documents you may contact the Sales and Reproduction Unit by fax @ 819-997-7771.

Clients who are required to pay copy costs for this service may do so by:

: opening an account with the CIPO Finance Branch,: paying through Interac, or: sending a cheque payable to the Receiver-General for Canada.

Copy costs are as follows:

CA patents/applications prior to patent number 445,931: $4 ea.

CA correspondence pages and patent documents after patent number 445,931: $.50 pg.

All others: $.50 pg.

This page was last updated on: 12/05/98

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Patents - What are they ?

Patents can be considered as a contract between the government and an inventor, whereby the inventor receiveslegal protection for an invention while the government gets full disclosure of what the invention is and how itworks. The patent system is intended to stimulate economic growth by providing incentives to inventors whilealso providing critical technological information to others in society.

In Canada, patents are valid for a term of up to 20 years from the filing date of the patent application, providedthe appropriate maintenance fees are paid. During this period, a patentee can prevent others from making,using, selling, renting or importing the protected invention. However, if the patented invention is animprovement on another patented invention, then the first patentee does not have the right to use his owninvention unless a licensing agreement is struck or the other patent is lapsed or voided.

Canadian patents are only valid in Canada. As well, foreign patents do not afford any protection in Canada.However, inventors often obtain patents for the same invention in many countries around the world so theexistence of a foreign patent may signal the existence of a similar Canadian patent and vice-versa.

Canadian patent applications (and many foreign ones as well) are published 18 months after the filing date orof the priority filing date, whichever is earlier. During the period in which a patent application is laid-open butnot issued into a patent, the applicant cannot enforce his rights. However, after the application issues to patent,the patentee can sue back to the laid-open date for compensation from any party who infringed during that time.

Anatomy of Canadian Patent Documents

Patent documents are divided into several parts:

1) Cover Page - Bibliographic data2) Abstract - Short technical summary with use of invention3) Description - Detailed disclosure of invention with examples or embodiments4) Drawings - Pictorial representation of various aspects of the invention5) Claims - Statements which define the scope of legal protection afforded by the patent

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Part 1 - The Cover Page:

Typical information is:

(54) title

(11) patent number

(21) application number Patents issued in Canada after October, 1989 retain the same number asthe application.

(19) country code See list on following pages.

(51) IPC First one in list is primary classification.

(52) national classification First one in list is primary classification.

(72) inventors

(73) assignee Owners at time of issue or publication.

(22) filing date Term of patent in Canada is 20 years from this date for patents filed fromOctober 1989.

(45) issue date Date at which patent protection can be enforced.Term of patent in Canada is 17 years from this date for patents filed beforeOctober 1989.

(43) publication date Date at which application is laid-open to public inspection.Compensation is possible for infringement between this date and the issuedate but action cannot be taken until after issue.

(30) priority data

(32) priority date Date that subject matter was first filed in another foreign or domesticapplication. Must be no more than 1 year earlier than filing date.

(31) priority application number Application number of the first filing above.

(33) priority country Country in which the first filing above took place.

The numbers before each piece of information are International Identification (INID) codes which are relativelyconsistent around the world. Thus the code for a filing date (22) is the same on both Canadian and U.S. patentdocuments. This allows easier identification of the various data associated with a patent document.

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Country Codes

AD Andorra CA Canada FI Finland (SF)

AE United Arab Emirates CF Central Africa (ZR) FJ Fiji

AF Afghanistan CG Congo (CF) FK Falkland Islands

AG Antigua CH Switzerland FR France

AL Albania (AN) CI Ivory Coast

AO Angola CL Chile (CE) GA Gabon

AR Argentina CM Cameroon (KA) GB United Kingdom

AT Austria (OE) CN China (RC) GD Grenada

AU Australia CO Colombia GG Guernsey

CR Costa Rica GH Ghana

BB Barbados (BD) CS Czechoslovakia GI Gibraltar

BD Bangladesh (BA) CU Cuba GM Gambia (GE)

BE Belgium CV Cape Verde GN Guinea (GI)

BG Bulgaria CY Cyprus GQ Equatorial Guinea

BH Bahrain (BB) GR Greece

BI Burundi DD East Germany (DL) GT Guatemala (GU)

BJ Benin (Dahomey (DA)) DE West Germany (DT) GW Guinea Bissau

BM Bermuda DJ Djibuti GY Guyana

BN Brunei DK Denmark

BO Bolivia DM Dominica HK Hong Kong

BR Brazil DO Dominican Republic HN Honduras (HO)(DR)

BS Bahamas DZ Algeria (AG) HT Haiti (HI)

BT Bhutan (BH) HU Hungary

BU Burma EC Ecuador HV Upper Volta (UV)

BW Botswana (BT) EG Egypt (ET)

BY Byelorussia (SB) EP European Patent Office ID Indonesia

BZ Belize ES Spain IE Ireland (EI)

ET Ethiopia (EA) IL Israel

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IN India LY Libya QA Qatar

IQ Iraq

IR Iran MA Morocco RD Research Disclosure

IS Iceland MC Monaco RH Zimbabwe

IT Italy MG Madagascar (MD) RO Romania (RU)

ML Mali (MJ) RW Rwanda

JE Jersey MN Mongolia (MO)

JM Jamaica MS Montserrat SA Saudi Arabia

JO Jordan MR Mauritania (MT) SB Solomon Islands

JP Japan (JA) MT Malta (ML) SC Seychelles

MU Mauritius (MS) SD Sudan

KE Kenya MV Maldives SE Sweden (SW)

KI Kiribati MW Malawi SG Singapore

KH Kampuchea (CD) MX Mexico SH St. Helena

KM Comoros MY Malaysia SL Sierra Leone (WL)

KN Anguila MZ Mozambique SM San Marino

KP North Korea (KN) SN Senegal

KR South Korea (KS) OA OAPI SO Somalia

KW Kuwait (KU) OM Oman (MU) SR Surinam

KY Cayman Islands ST Sao Tome and Principe

PA Panama (PM) SU Soviet Union

LA Laos PE Peru SV El Salvador (SL)

LB Lebanon PG Papua New Guinea (PP) SY Syria (SR)

LC Saint Lucia PH Philippines SZ Swaziland

LI Liechtenstein (FL) PK Pakistan

LR Sri Lanka (CL) PL Poland (PO) TD Chad (TS)

LR Liberia PT Portugal TG Togo (TO)

LS Lesotho PY Paraguay (PG) TH Thailand

LU Luxembourg TN Tunisia

TO Tonga (TI) UY Uruguay WS Samoa

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TR Turkey

TT Trinidad & Tobago (TD) VA Vatican City (CV) YD Yemen, Democratic (SY)

TV Tuvalu VC St. Vincent & Grenadines YE Yemen

TW Taiwan (CT) VE Venezuela YU Yugoslavia

TZ Tanzania (TA) VG Virgin Islands

VN Vietnam ZA South Africa

UA Ukraine (UU) VU Vanuatu ZM Zambia (ZB)

UG Uganda ZR Zaire (CB)

US United States WP WIPO (PCT)

The two letter codes in brackets after some of the countries are former country codes. Some older documents may bearthese codes instead of the new codes.

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Part 2 - The Abstract:

The INID code for abstracts is (57). Abstracts can appear on the front page or on a separate page. They area short summary of the invention written by the applicant which also contains a statement of the use of theinvention.

Abstracts cannot be used to interpret the scope of the invention from a legal standpoint. They are used to aidin searching.

Part 3 - The Description:

The description forms the main part of the patent. It must contain all the subject matter related to the invention.

The description normally starts with a broad statement which indicates the area of technology in which theinvention falls. This is usually followed by a description of the prior literature which is pertinent to the subjectmatter at hand. The prior literature description should include the problems faced in the area and how eachresearcher tried to overcome them. After the prior literature, there should be a section on the specific problemswhich the inventor is trying to overcome followed by a very general statement of how the invention overcomesthem.

Then, the description should begin to describe the invention in general terms. The parts and how theyinterconnect should be described in terminology which encompasses as many possible alternatives as theinventor can envisage. Gradually, the description becomes more and more specific with each part orinterconnection being described in more exact terminology until, finally, at least one specific embodiment ofthe invention is described in detail.

At some point, usually early in the patent, the drawings should be introduced in a formal way by referring tothe Figure numbers and their titles. After the formal introduction of the drawings, the description can then referto drawings to help in describing the invention. Any reference to drawings should be made by Figure numberand all parts referred to must be given a reference character which remains consistent throughout the patent.

The progressive nature of the description and the detailed reference to drawings often leads people to believethat patents are obscure and impossible to understand. However, once you begin to understand the overallstructure of a patent, you will be able to focus in on the relevant parts and glean some very useful ideas fromthem.

Part 4 - The Drawings:

Drawings must be included in a patent if the subject matter lends itself to illustration. This makes understandingthe invention easier.

There are many formal requirements in the Patent Act and Rules but the general rule of thumb is that they mustbe legible and labelled. Parts which are referred to in the description must be given reference characters in thedrawings and each drawing must be given a Figure number.

The drawings appear collectively at the end of the patent after the claims.

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Part 5 - The Claims:

The claims form the legal basis for patent protection. The wording of the claims defines the limit of thatprotection. The wording is therefore quite legal in nature and can be confusing for those who do not understandthe jargon.

A claim generally consists of three parts: the preamble, the purview and the link between the preamble and thepurview. The preamble is generally a short statement of the type of invention with the general area oftechnology sometimes included. The purview is a specific legal description of the exact invention which isbeing protected. The link is usually a word or short phrase to describe how the purview relates to the preamble.

e.g. “A data input device comprising: - an input surface adapted to be locally exposed to a pressure or pressure force, - a sensor means disposed below the input surface for detecting the position of the pressure or

pressure force on the input surface and for outputting an output signal representing saidposition, and

- an evaluating means for evaluating the output signal of the sensor means”.

“A data input device” is the preamble, “comprising” is the link, and the rest of the claim is the purview. Inaddition to the purview, the linking word or phrase is often very important in assessing the scope of the claimas it could be either restrictive or permissive in nature.

Each claim must be considered separately as each affords separate protection. The invalidation of one claimdoes not necessarily invalidate the others. There can be any number of claims in a patent (400 claims isknown!) although the 10-20 range is common. Many claims allows the inventor to have legal title over manydifferent aspects of the same invention. In addition, it allows the inventor to claim broadly and narrowly in thesame patent. Thus, if the broad claim is invalidated for some reason, the narrow claims may survive and stillafford protection over the narrow aspects of the invention. This is why the invention is described broadly andgradually more narrowly in the description. Because nothing may appear in the claims which is not also in thedescription, you will often see the claims repeated word-for-word in the description, especially the broad claims.

The claims appear in the patent on a new page after the description but before the drawings. They are precededby a short introductory statement such as: “I claim:”.

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Why search Patents ?

The number and importance of patents and patent applications (“patent documents” thereafter) are increasingat a rapid rate, worldwide. More than 35 million patent documents have been published so far around the worldand the number of inventions since 1968 have been estimated in excess of 8 million. The U.S. Patent &Trademark Office (USPTO), in its 200 years history, issued approximately 5 million patents - 1 million ofwhich in the 1976-1991 period alone! The World Intellectual Property Organization (WIPO) estimates theglobal figure for patent applications in 1993 was more than 2 million, up from 1.3 million in 1987.

Further, patent documents also have increasing technical and strategic importance - approximately 25% of allscientific or technical publications produced each year originate in patent offices around the world - most ofwhich can be searched as any other kind of literature in databases.

Searching the patent literature can be beneficial for many reasons:

- avoiding re-inventing the wheel and spending a lot of money doing it;- avoiding wasted legal costs in pursuing patents for “old” technology;- avoiding potential infringement situations;- discovering research ideas and solving problems;- monitoring the activities of players in the field to reveal future plans;- predicting hot-areas of research that can impact on current products and those that are in the development

stage;- uncovering new market players;- identifying patents owned and licensed by firms; and- assessing speakers at conferences and trade-shows.

In addition, there are many benefits to searching patent documents over the scientific literature, such as:

- most private enterprises, especially large companies, publish in the patent literature before, or to the exclusionof, the scientific literature. In fact, it has been estimated that 80% of the information contained in patentdocuments is not reported elsewhere in the scientific and technical literature.

- patent documents generally describe the invention in very broad terms which gives some idea of the potentialdirections of and alternatives to the technology of interest.

- patent documents present information that is detailed and complete, and that is indexed - or classified -according to the type of technology involved, which makes searching a lot easier

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Overview of Patent Classification Systems

Attempts to prevent drowning in the flood of patent literature by designing a classification system started over100 years ago. The growth of the files of patent specifications led the patent offices to develop classificationsof their own, as library classifications were not considered suitable.

The primary purpose of classification systems is to facilitate the searching and retrieving of patent documents bypatent offices and other users. Various classification systems exist, and most have been designed so that eachtechnical aspects of an invention to which a patent document relates can be classified as a whole. A patentdocument may contain several technical aspects of an invention, and therefore be allocated several classificationsymbols.

Classification systems are hierarchical in nature, with main headings covering a general area of technology, suchas “optics”, and each sub-heading a given type of invention such as “stereo-viewers” (or “3D”). Each sub-heading has a specific number which is assigned to all the patent documents relevant to that category.

Clearly, effective classification of patent documents is essential for searching the growing number of patentdocuments (>1.4 million in Canada, >5 million in the U.S.).

The major patent classification systems are briefly defined below:

1. International Patent Classification (IPC)

- Published and managed by the World Intellectual Property Organization (WIPO), one of 16 specialisedagencies of the United Nations.

- As its name suggests, it is a single international system used by Canada since 1978, by the EuropeanPatent Office (EPO) and some 80 other countries including the US; the U.S. assigns IPC codes to theirpatents as a secondary code but use their own classification system as their primary search and retrievaltool.

- IPC is a combined function (or intrinsic nature) / application classification system in which the functiontheoretically takes precedence. In the IPC, an invention is classified according to its “function” (how itoperates), except when its application alone determines its technical characteristics. In actual use, the IPCoperates as a highly application-oriented system because of the multiplicity of application-type places inthe schedules. For example, subclass F16K is a product-oriented subclass concerning valves whilesubclass A61F specifically provides for heart valves.

- Current version (6th) divides technology into 8 main sections, 118 classes, 624 subclasses and over 67,000subgroups.

- Versions are revised and, if required, amended every 5 years by an international committee of experts. Thecurrent version has been in force since January 1, 1995, and will be up for revision in the year 2000.Patent offices use the current version for assigning IPC codes and do not re-index their documents whena new revised edition is published (Japan is the main exception).

- A consolidated version including all 6 editions is available for a fee on CD-ROM and in many languagessuch as English, French, German and Spanish.

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2. Canadian Patent Classification (CPC)

- Based initially on the United States Patent Classification and developed by the Canadian IntellectualProperty Office (CIPO), this classification system slightly differs from the IPC in terms of its functionorientation both in theory and in use.

- The technology is separated into 3 main “art” categories - i.e. the chemical, electrical and mechanical arts,and the three groups form some 340 classification schedules and 37,000 subclasses.

- Before 1978, only the CPC appeared on Canadian patent documents. Between 1978 and October 1989,both CPC and IPC were printed on the documents. After October 1989, IPC appears exclusively.

3. United States Patent Classification (USPC)

- A national classification system managed by the U.S. Patent & Trademark Office. It is of internationalsignificance given the importance of the U.S. patent system, and shares many similarities with the CPC.It is undoubtedly the best system to search U.S. patents.

- The system comprises 3 main categories - i.e. chemicals, electricals and mechanicals, and the three groupsform about 400 classes which are themselves subdivided into more than 125,000 individual subclasses.

- The USPC is updated several times every year, and all individual patent document classificationscorrespond to the most recent revision.

- The USPC can be consulted free of charge on the Internet.

4. Other classification systems

- Some patent database operators have produced classifications of their own. Derwent Inc., the producerof the WPI(L) and other specialty databases, has developed a series of “Derwent Classes” according tosubject areas. Patent document abstracts are assigned such classes, regardless of the patent document’soriginal IPC, US and other classification.

- The Chemical Abstracts Service (“CAS”), with its many databases, also has its chemistry-specificclassification system. Every publication - patent document or scientific literature - is assigned to a CASsection.

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Patent Classification Systems - Rules and Principles

A patent document often contains information about different forms of invention. For example, a single patentdocument can include claims to a new chemical compound as such and to the novel process of making it. If boththese forms of invention are novel, are useful and demonstrate an inventive step, claims to them can be patented.Because it is the duty of patent examiners to determine whether such forms of invention are patentable,classification systems were developed based on rules and principles that ensure their consistent and very specificindexing.

It is important to recognize the characteristics and differences of each classification system when searching thepatent literature. The main rules associated with the indexing of technical subject matter are provided below forthe IPC, CPC and USPC:

1. International Patent Classification (IPC)

1.1 - The IPC provides places for classifying:

a) technical subject matter “in general” that is characterised by its intrinsic nature or function, e.g. F16Kcovers valves characterised by specific constructional or functional aspects, and C07 covers chemicalcompounds characterised by their specific chemical structure;

b) technical subject matter that is “specially adapted for” a particular use or purpose, e.g. A61F hasprovision for a mechanical valve specially adapted for insertion into a human heart;

c) the particular use or application of technical subject matter, e.g. C05 deals with the use of organicchemicals as fertilisers; and

d) the incorporation of technical subject matter into a larger system, e.g. B60G covers the incorporationof a leaf spring into the suspension of a vehicle wheel.

1.2 - The IPC has a number of rules that were developed to address various “forms” of inventions:

a) Chemical compounds: they are classified according to their chemical structure when the invention liesin the compound per se. When the invention also concerns a specific field of use, it is also classifiedin the place provided for that field of use if such field constitutes an essential technical characteristicof the subject and an appropriate place exists. However, when the invention concerns only theapplication of a compound then it is classified only in the place covering the field of use.

b) Chemical mixtures or compositions: also classified according to the intrinsic nature of the mixturesor compositions if a place exists - e.g. glass, cement, and ceramics. If no such place exists, they areclassified according to their use or application. If the use of application constitutes an essentialtechnical characteristic, it is classified according to both intrinsic nature and use or application.

c) Preparation or treatment of compounds: when the invention concerns a process of preparation ortreatment of a chemical compound, it is classified in the place for the type of compound concerned.If a place exist for the process of preparation or treatment, it is also classified there. General processesfor the preparation or treatment of classes of compounds are classified in the groups for the processesemployed, when such groups exist.

d) Apparatus or processes: if the invention concerns an apparatus or process for the making or treatmentof articles of manufacture, then it is classified in the place dealing with the process or operationinvolved or the apparatus used. If no place exist for the apparatus, it will be in the place for the

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process performed by the apparatus. If no place exists for the process, then it will in the place dealingwith the apparatus for performing the process. If neither place exist, it is classified in the place dealingwith the article of manufacture.

e) Articles of manufacture: they are classified in the place dealing with the article, but if no place existfor the article itself, it is classified in an appropriate function-oriented place or, if not possible,according the field of use.

f) Multi step processes, plants: when the invention concerns a combination of process steps, it isclassified as a whole, e.g. subclass B09B (“Disposal of Solid Waste”). If no such place exists, it isclassified in a place dealing with the product obtained by such combination. When the invention alsoconcerns an individual element of the combination, the element is classified separately.

g) Details, constructional parts: when constructional or functional details or parts are only applicable to,or only of use for, one specific kind of apparatus, they are classified only in the place for thatapparatus. However, when distinct places are provided for different kinds of apparatus, there maysometimes be special places provided for constructional or functional details or parts of suchapparatus, which are applicable to more than one of the different kinds of apparatus. Such details orparts are classified in those appropriate places.

h) More than one technical subject; one subject covered by several groups; general chemical formula:when the invention concerns more than one technical subject, each being covered by a differentclassification group, the symbol of each of these groups is allotted. When the invention concernssubject matter that is covered by more than one classification group under the same “main”classification group and at the same level of indentation, the subject matter should be classified in thehierarchically higher classification group unless a specific place is provided for it. If no such mainclassification group exists, then the symbols of each classification groups should be allotted.

Finally, general chemical formula may be classified as such. When complete classification would leadto a high number of symbols, it may be necessary to limit that number of symbols, e.g. regroup similarcompounds into a single hierarchically higher group.

1.3 - Priority: in certain places of the IPC, some particular classification rules are specified. Normally, onewould go from the “broad” to the “specific”, from the top to the bottom of the classification schedules.But in certain areas, where a particular technical subject matter is covered by 2 or more places of the samelevel of indentation, a “last place rule” has been introduced. According to this rule, the invention is to beclassified only in the place that appears last, e.g. in A61K (“Preparation for Medicinal, Dental, or ToiletPurposes”).

Also, specific rules other than “last place” exist in other classifications of the IPC, such as B32B(“Layered Products, i.e. Products built-up of Strata of Flat or Non-Flat, e.g. cellular or honeycomb,Form”). All rules are usually set out in the notes specific to the subject matter in the very beginning ofthe classification (class, subclass or group) concerned.

Subject Matter

Utility

Single Action

Function

(e.g. cutting)

Dynamic

(e.g. sawing)

Static

(e.g. chairs)

Multi-action

Result

Effect

(e.g. telephony)

Product

(e.g. shoe making)

Art

(e.g. tobacco, medical)

Structure

(e.g. spiral honeycomb)

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2. Canadian Patent Classification (CPC)

2.1 - Similar to the IPC, the classification of an invention in the CPC is based either on its utility or its structure. Thefigure above illustrates the relationship of the basis of classification of patent document subject matter. It showsthat utility as a basis for classification is further divided into function, result and art.

2.2 - Priority: between utility and structure, structure (e.g. spiral honeycomb) should be used as a basis ofclassification only when the subject matter to be classified has no distinct utility. Also, priority is given toutility as expressed by function (e.g. cutting) rather than result, because it is considered a better and more directway of describing an invention. Finally, art type classification (e.g. tobacco) have the highest priority.

2.3 - Patent documents are generally classified based on the broadest claim or the claim with the least number ofelements. The claims may be directed to one or more categories of subject matter, e.g. product and process,and the document will be classified on the claim having the highest superiority and cross-referenced to one ormore of the remaining claims also in order of superiority.

Order:

1) Product2) Process or method3) Apparatus

A true composition of matter will be handled as chemical subject matter within the product category.Within a single category of subject matter, the following superiority generally follows:

1) Chemical subject matter2) Electrical subject matter3) Mechanical subject matter

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Moreover, within the chemical discipline, the superiority of subject matter is as follows:

1) Compound2) Composition3) Process 3.1) Biochemical 3.2) Electrochemical 3.3) Chemical4) Apparatus

Biotechnology subject matter, e.g. genetic engineering, generally takes precedence over compounds andcompositions classifiable elsewhere.

3. United States Patent Classification (USPC) --

3.1 - The USPC shares many similarities with the CPC. Using this system, all claims are first assigned aclassification and then an “original” (“OR”) classification is selected from all of the classificationsproduced. If all of the claims are classified in the same class, then the OR classification is the firstappearing classification within the hierarchy of that class. If the claims are classified in different classes,then the OR classification is selected after having considered the following factors:

a) selection of the most comprehensive claim, i.e. the claim with the most elements;b) selection among statutory categories of subject matter when claims are of equal comprehensiveness;c) selection among superiority of types of subject matter; andd) selection among classes in “related subject” listings.

The remaining classifications are kept as cross-references.

3.2 - Arrangement of subclasses: usually, the most complex inventions are positioned higher in class schedules.Combined machines or processes will also be found higher in the schedules than single operationmachines or processes, which in turn are located higher than the individual parts of the machines (or stepsof the processes). Minor details or accessories are normally found near the bottom of the class schedules,as well as other aspects not classifiable elsewhere (the “miscellaneous” subclass found in many classesis always at the end). Finally, “special” subclasses for inventions having a common unique feature aresometimes found, positioned higher in the schedules than more complex inventions.

3.3 - Alpha Subclasses: Sometimes, “alpha” subclasses - i.e. subclasses ending with a letter - are created tosimplify searches within given technical subject matters. They basically contain patents from those thatare found in an official, numbered subclass. This collection is then made an indented subclass under theoriginal official subclass and given a subclass designator which is composed of the parent subclass numberfollowed by an alpha designation (e.g. A, B, T, DD). The Public Search File does not contain alphasubclasses but the letter appears on the paper documents and in the CASSIS database.

CASSIS (Classification and Search Support Information System) is a U.S. patent search tool developedby the U.S. Patent & Trademark Office. CASSIS is available on CD-ROM (but not on the Internet) fromthe USPTO and patent depository libraries, for a fee.

3.4 - Digests: At the end of each class schedule, there is a list of digests - or cross-reference collections -collecting patents based on concepts which relate to the concepts of the class but not to any particularsubclass of that class. Digests cannot be designated as an “OR” classification; moreover, digests are notdefined and are not available as collections by themselves in the Public Search Room but may be viewedon CASSIS.

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Indexing Technical Information Using Patent Classification Systems

A number of examples that illustrate how classification systems are used to index various kinds of technicalinformation are provided below.

1) Canadian Patent Serial No.: 1,232,624 (issued February 9, 1988)

This document is entitled “Golf Ball Dimple Pattern”, and concerns a golf ball which has dimples which areevenly and uniformly distributed so that the ball has six axis of symmetry. This document was classified inthe IPC (4th Edition) in A63B 37/00 and in CPC 273/177.

IPC (4th edition)

A Section Human NecessitiesA63 Class Sports; Games; AmusementsA63B Subclass Apparatus for Physical Training, Gymnastics, Swimming,

Climbing or Fencing; Ball Games; Training EquipmentA63B-37/00 Main Group Solid Balls; Marbles

This Main Group is further subdivided into more specific subgroups, as follows:

(...)37/00 Main Group Solid Balls; Marbles37/02 One-dot subgroup . Special cores37/04 Two-dot subgroup . . Rigid cores37/06 Two-dot subgroup . . Elastic cores37/08 Two-dot subgroup . . Liquid cores; Plastic cores37/10 Two-dot subgroup . . with eccentric centre of gravity37/12 One-dot subgroup . Special coverings37/14 One-dot subgroup . Special surfaces(...)

The hierarchy among subgroups is determined by the number of dots preceding their titles, and not by thenumbering of the subgroups.

Also, there are several other main groups within A63B that could concern golf balls (cf. list below). In thiscase, however, Main Group 37/00 was considered to be the most appropriate.

39/00 Hollow non-inflatable balls41/00 Hollow inflatable balls43/00 Balls with special arrangements45/00 Apparatus or methods for manufacturing balls

47/00 Device for handling or treating balls

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CPC

Canadian Patent Class No. 273, entitled “Athletics”, is the class concerned with golf balls. In this example,subclass 177 was chosen as the most appropriate.

Classification is done from the top down. Within a class, the first relevant “no-dot subclass” is determined,then under that “no-dot subclass”, the first relevant “one-dot subclass” is determined, and so forth until thereare no more appropriate further indented subclasses.

(...)168 No-dot subclass Projectiles169 One-dot subclass . With indicator or recorder170 One-dot subclass . With finger holes171 One-dot subclass . Hollow 172 Two-dot subclass . . Surface configurations173 Three-dot subclass . . . Imitation seams and laces174 Two-dot subclass . . Inflatable175 Three-dot subclass . . . Valved176 One-dot subclass . Golf balls177 Two-dot subclass . . Surface configurations178 Two-dot subclass . . Moulded 179 One-dot subclass . Shuffleboard(...)

2) U. S. Patent Serial No.: 4,560,168 (issued December 24, 1985)

This document is the American counterpart of Canadian Patent 1,232,624 (previous example), and is entitled“Golf Ball”. Even though there may be minor differences between the 2 documents, they concern the sameinvention, i.e. a golf ball with dimples. Interestingly, the IPC classification also slightly differs - thisdocument was allocated IPC (4th Edition) A63B 37/14 instead of 37/00, and USPC 273/232.

IPC (4th edition)

The U.S. Patent Examiner selected subgroup 37/14, which is more specific than Main Group 37/00. Thisdifference in classification may be caused by a different interpretation of the scope of IPC subgroups (thereare no group and subgroup definitions available for the IPC !).

(...)37/00 Main Group Solid Balls; Marbles37/02 One-dot subgroup . Special cores37/04 Two-dot subgroup . . Rigid cores37/06 Two-dot subgroup . . Elastic cores37/08 Two-dot subgroup . . Liquid cores; Plastic cores37/10 Two-dot subgroup . . with eccentric centre of gravity37/12 One-dot subgroup . Special coverings37/14 One-dot subgroup . Special surfaces(...)

20

USPC

Subclass 232 within U. S. Patent Class No. 273, entitled “Amusement Devices: Games”, was selected for thisdocument.

(...)58R No-dot subclass BALLS

(...)62 One-dot subclass . Golf213 Two-dot subclass . . With alarm, location, or indicator means214 Two-dot subclass . . Center expanded or under compression

(...)217 Two-dot subclass . . Mechanical bond between encompassing points218 Two-dot subclass . . Unitary structure219 Two-dot subclass . . Buoyant220 Two-dot subclass . . Center

(...)232 Two-dot subclass . . Surface configurations(...)

The U.S. Patent Classification System follows the same basic philosophy as the Canadian System and,therefore, there are many similarities between the two.

3) Canadian Patent Serial No.: 1,322,772 (issued October 5, 1993)

Entitled “Tennis Ball and Method of Manufacturing the Same”, this patent document concerns a tennis ballhaving relative durability, elasticity, flexibility and firmness, and a method of manufacturing such a tennisball. This document received IPC (5th Edition) A63B 39/06, 41/08, and CPC 273/171, 26/204.

IPC (5th edition)

A Section Human NecessitiesA63 Class Sports; Games; AmusementsA63B Subclass Apparatus for Physical Training, Gymnastics, Swimming,

Climbing or Fencing; Ball Games; Training Equipment

This patent was classified in 2 places within A63B, i.e. primarily in:

(...)39/00 Main Group Hollow non-inflatable balls39/02 One-dot subgroup . Arrangements for maintaining the pressure39/04 Two-dot subgroup . . Pricking balls39/06 One-dot subgroup . Special coverings39/08 Two-dot subgroup . . made of two halves(...)

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and cross-referenced in:

(...)41/00 Main Group Hollow inflatable balls41/02 One-dot subgroup . Bladders41/04 Two-dot subgroup . . Closures therefor41/08 One-dot subgroup . Ball covers; Closures therefor41/10 One-dot subgroup . Bladder and cover united41/12 One-dot subgroup . Tools or devices for blowing up or closing balls(...)

The product and method-aspects of the invention were classified in the same place.

CPC

In this example, the product and method-aspects that were claimed were classified in distinct places, asfollows:

For the product (tennis ball) claims, Canadian Patent Class No. 273, entitled “Athletics”, subclass 171 wasselected.

(...)168 No-dot subclass Projectiles169 One-dot subclass . With indicator or recorder170 One-dot subclass . With finger holes171 One-dot subclass . Hollow 172 Two-dot subclass . . Surface configurations173 Three-dot subclass . . . Imitation seams and laces174 Two-dot subclass . . Inflatable175 Three-dot subclass . . . Valved(...)

The method-aspect claims were classified in Class 26, “Assembling and Miscellaneous Manufacturing”,subclass 204.

(...)111 No-dot subclass MISCELLANEOUS MANUFACTURING, REPAIRING, ETC.112 One-dot subclass . Of Electrical Devices

(...)144 One-dot subclass . Of Heating and Ventilating Equipment

(...)204 One-dot subclass . Of Recreational Devices, Toys205 One-dot subclass . Of Jewellery Articles(...)

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4) U. S. Patent Serial No.: 5,211,788 (issued May 18, 1993)

This document is the American counterpart of Canadian Patent 1,322,772 (example no. 3), and is entitled“Tennis Ball and Method of Manufacturing the Same”. However, this document only has one method claim.Here too, the classification differs for the IPC - this document was allocated IPC (5th Edition) A63B 39/06,B29C 65/48, and USPC 156/148, 156/213 and 273/61B.

IPC (5th edition)

Details about IPC A63B 39/06 can be found in example no. 3 above. Details about B29C 65/48 is providedbelow.

B Section Performing Operations; TransportingB29 Class Working of Plastics; Working of Substances in Plastic State in

generalB29C Subclass Shaping or Joining of Plastics; Shaping of Substances in a Plastic

State, in general; After-Treatment of the Shaped Products, e.g.Repairing

Main Group 65/00 has many subgroups, only some of which are represented here for the purpose of theexample.

(...)65/00 Main Group Joining Preformed Parts; Apparatus Therefor65/02 One-dot subgroup . by heating, with or without pressure

(...)65/48 One-dot subgroup . using adhesives65/50 Two-dot subgroup . . using adhesive tape65/52 Two-dot subgroup . . applying the adhesive65/54 Three-dot subgroup . . . between pre-assembled parts(...)

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USPC

Subclasses 148 and 213 of U. S. Patent Class No. 156, entitled “Adhesive Bonding and MiscellaneousChemical Manufacture”, and subclass 61B of Class 273, “Athletics”, were selected for this document.

For Class 156:

1 No-dot subclass METHODS(...)

60 One-dot subclass . Surface bonding and/or assembly therefor(...)

148 Two-dot subclass . . With weaving, knitting, braiding, twisting or needling149 Three-dot subclass . . . About tubular lamina

(...)196 Two-dot subclass . . With permanent bending or reshaping or surface deformation

of self sustaining lamina(...)

212 Three-dot subclass . . . By bending, drawing or stretch forming sheet to assumeshape of configured lamina while in contact therewith

213 Four-dot subclass . . . . Encasing or enveloping the configured lamina(...)

For Class 273:

(...)58R No-dot subclass BALLS

(...)61R One-dot subclass . Tennis61A Two-dot subclass . . Ping-pong balls61B Two-dot subclass . . Fabrics, per se61C Two-dot subclass . . Rubber formulations61D Two-dot subclass . . Methods of pressurizing(...)

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5) Canadian Patent Serial No.: 2,008,876 (issued September 14, 1993)

This document issued to the Timex Corporation is entitled “Automatic Display Illumination for a MultimodeWristwatch”, and concerns an improvement in operating an illuminated electro-optic display for amultifunction wristwatch. This document was classified in the IPC (5th Edition) in G04C 17/00 and in CPC58/22.

IPC (5th edition)

G Section PhysicsG04 Class HorologyG04C Subclass Electromechanical Clocks or Watches

Several main groups concern the indicating of time or the producing of time signals electrically, but the onethat is of interest here is Main Group 17/00.

(...)17/00 Main Group Indicating the time optically by electric means17/02 One-dot subgroup . by electric lamps(...)

CPC

Canadian Patent Class No. 58, entitled “Horology”, subclass 22 was chosen as the most appropriate.

(...)20 No-dot subclass TIME INDICATING21 One-dot subclass . Metronome22 One-dot subclass . By Visual Means23 Two-dot subclass . . Calendars24 Two-dot subclass . . Motion Works (e.g. Dial Trains)25 Two-dot subclass . . Dials and/or Hands26 Three-dot subclass . . . Geographical (e.g. Universal Dials)(...)

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6) U. S. Patent Serial No.: 4,912,688 (issued March 27, 1990)

This document is the American counterpart of Canadian Patent 2,008,876 (example no. 5), and is entitled“Automatic Display Illumination for a Multimode Wristwatch”. The classification given was IPC (5thEdition) G04B 19/30, and USPC 368/67 and 368/227.

IPC (5th edition)

Interestingly, the classification in this example differs from its Canadian counterpart at the group level.

G Section PhysicsG04 Class HorologyG04B Subclass Mechanically-driven Clocks or Watches; Mechanical Parts of

Clocks or Watches in general; Time-Pieces Using the Position ofthe Sun, Moon, or Stars

Subgroup 19/30 was selected:

(...)19/00 Main Group Indicating by visual means

(...)19/30 One-dot subgroup . Illumination of dials or hands19/32 Two-dot subgroup . . by luminescent substances(...)

USPC

Subclasses 67 and 227 of U. S. Patent Class No. 368, entitled “Horology: Time Measuring Systems orDevices”, were selected.

(...)62 No-dot subclass CHRONOLOGICAL

(...)67 One-dot subclass . With auxiliary illumination for display

(...)223 No-dot subclass DISPLAYS OR DISPLAY DEVICE DETAILS

(...)227 One-dot subclass . With auxiliary illumination for display(...)

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7) Canadian Patent Application Serial No.: 2,079,598 (laid-open on July 31, 1992)

Entitled “Ergonomic Multi-Axis Controller”, this patent application concerns a manually operated multi-axiscontroller used for controlling cursor position along x and y axes and for entering x, y and/or z coordinateinformation in a computer (note: mice, trackballs and joysticks are considered as “controllers”). This patentapplication was classified in IPC (5th Edition) G06F 3/033.

There is no Canadian classification allocated to this document because the patent application was laid-openafter the Canadian Patent Office had ceased using the CPC system.

IPC (5th edition)

G Section PhysicsG06 Class Computing; Calculating; CountingG06F Subclass Electric Digital Data Processing

Subgroup 3/033 was selected:

(...)3/00 Main Group Input arrangement for transferring data to be processed into a

form capable of being handled by the computer; outputarrangements for transferring data from processing unit to outputunit, e.g. interface arrangements

3/02 One-dot subgroup . Manual input, e.g. key, dial3/023 Two-dot subgroup . . Arrangements for converting discrete items of information into

a coded form, e.g. keyboards for generating alphanumeric codes,operand codes, instruction codes

3/027 Three-dot subgroup . . . for insertion of the decimal point3/03 Two-dot subgroup . . Arrangements for converting the position of a member into a

coded form3/033 Two-dot subgroup . . using a movable member co-operating with a display device,

e.g. light pen, joystick, tracing-ball3/037 Three-dot subgroup . . . wherein the display device is a cathode-ray tube(...)

A point of interest: this patent application was filed in many countries such as France, Japan and the U.S., viathe “Patent Cooperation Treaty”. The International Patent Application as published by WIPO received adifferent IPC (5th Edition) classification than the one assigned by the Canadian Patent Office: G09G 5/00.

IPC G09G is entitled “Arrangements or circuits for control of indicating devices using static means to presentvariable information”, and Main Group 5/00 is entitled “Control arrangements or circuits for visual indicatorscommon to cathode-ray tube indicators and other visual indicators”.

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8) U. S. Patent Serial No.: 5,252,970 (issued October 12, 1993)

This document is the American counterpart of Canadian Patent Application 2,079,598 (example no. 7), andis entitled “Ergonomic Multi-Axis Controller”. The classification given was IPC (5th Edition) G05G 9/047,and USPC 341/20, 345/161 and 345/164.

IPC (5th edition)

Again, the classification in this example differs from its Canadian counterpart at the group level.

G Section PhysicsG05 Class Controlling; RegulatingG05G Subclass Control Devices or Systems insofar as Characterised by

Mechanical Features only Subgroup 9/047 was selected:

(...)9/00 Main Group Manually-actuated control mechanisms provided with one single

controlling member co-operating with two or more controlledmembers, e.g. selectively, simultaneously

9/02 One-dot subgroup . the controlling member being movable in different independentways, movement in each individual way actuating onecontrolled member only

9/04 Two-dot subgroup . . in which movement in two or more ways can occursimultaneously

9/047 Three-dot subgroup . . . the controlling member being movable by hand aboutorthogonal axes, e.g. joysticks

9/053 Four-dot subgroup . . . . the controlling member comprising a ball(...)

USPC

Subclass 20 of U. S. Patent Class No. 341, entitled “Coded Data Generation or Conversion”, and subclasses161 and 164 of Class 345, entitled “Selective Visual Display Systems”, were selected.

For Class 341:

(...)20 No-dot subclass BODILY ACTUATED CODE GENERATOR(...)

and for Class 345:

(...)156 No-dot subclass DISPLAY PERIPHERAL INTERFACE INPUT DEVICES157 One-dot subclass . Cursor mark position control devices

(...)161 Two-dot subclass . . With joystick162 Two-dot subclass . . Positional storage means163 Two-dot subclass . . With mouse164 Three-dot subclass . . . Rotatable ball detector165 Four-dot subclass . . . . With photo sensor encoder

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9) Canadian Patent Application Serial No.: 2,040,242 (laid-open on October 14, 1991)

This patent application is entitled “Treatment with Benzodiazepine Compounds”, and concerns a newtreatment of central nervous system disorders by administration of a benzodiazepine compound to a mammal.This patent application was classified in IPC (5th Edition) A61K 31/55 and in CPC 167/210.

IPC (5th Edition)

A Section Human NecessitiesA61 Class Medical or Veterinary Science; HygieneA61K Subclass Preparations for Medical, Dental or Toilet Purposes

Note: in A61K, in the absence of an indication to the contrary, classification is made in the last appropriateplace.

Subgroup 31/55 was selected:

(...)31/00 Main Group Medicinal preparations containing organic active ingredients

(...)31/33 One-dot subgroup . Heterocyclic compounds

(...)31/395 Two-dot subgroup . . having nitrogen as a ring hetero atom

(...)31/55 Three-dot subgroup . . . having seven-membered rings(...)

CPC

Canadian Patent Class No. 167, entitled “Poisons, Medicines and Cosmetics”, subclass 210 was chosen:

(...)100 No-dot subclass MEDICINES

(...)179 One-dot subclass . Organic

(...)207 Two-dot subclass . . Heterocyclic208 Three-dot subclass . . . Heterocyclic Nitrogen Atom209 Four-dot subclass . . . . 7 or More Member Hetero Nitrogen Ring210 Five-dot subclass . . . . . Diazepines(...)

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10) U. S. Patent Serial No.: 5,270,306 (issued December 14, 1993)

This document is the American counterpart of Canadian Patent Application 2,040,242 (example no. 9),and is entitled “Method of Antagonizing Excitatory Amino Acids By Administration ofImidazobenzodiazepine Compounds”. The classification given was IPC (5th Edition) A01N 43/62, A61K31/55, and USPC 514/220.

IPC (5th edition)

The primary IPC (A01N 43/62) in the U.S. patent is not found in the Canadian patent application“equivalent”; IPC subclass A01N is entitled “Preservation of bodies of humans or animals or plants orparts thereof; Biocides, e.g. as disinfectants, as pesticides, as herbicides; Pest repellants or attractants;Plant growth regulators”, and seems inappropriate in this case.

The secondary IPC (A61K 31/55) is the same as found in the Canadian patent application equivalent.Details of this IPC are found in example no. 9 above.

USPC

This patent was classified in subclass 220 of U. S. Patent Class No. 514, entitled “Drug, Bio-affecting andBody Treating Compositions”.

1 No-dot subclass DESIGNATED ORGANIC ACTIVE INGREDIENT (DOAI)CONTAINING

(...)183 One-dot subclass . Heterocyclic carbon compounds containing a hetero ring having

chalcogen (i.e. O, S, Se or Te) or nitrogen as the only ring heteroatoms (DOAI)

(...)218 Two-dot subclass . . Hetero ring is seven-membered consisting of two nitrogens

and five carbon atoms219 Three-dot subclass . . . Polycyclo ring system having the seven-membered hetero

ring as one of the cyclos220 Four-dot subclass . . . . Tricyclo ring system having the seven-membered hetero

ring as one of the cyclos(...)

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11) Canadian Patent Serial No.: 2,050,468 (issued on July 9, 1996)

This patent is entitled “A Thermostable (1,3-1,4)-beta-Glucanase”, and concerns new enzymes, their usein food and feed manufacturing, DNA fragments that encode such enzymes, organisms expressing theDNA fragments, and a method for producing the enzymes. This patent application was classified in IPC(6th Edition) C12N 9/42, C12N 15/56, C12P 19/14, C12C 7/04, and A23K 1/165.

There is no Canadian classification allocated to this document because the patent issued after the CanadianPatent Office had ceased using the CPC system.

IPC (6th edition)

The multiple aspects of this invention have each received their own classification. These are outlinedbelow.

Note: in C12M to Q or S, in absence to an indication to the contrary, classification is made in the lastappropriate place.

C Section Chemistry; MetallurgyC12 Class Biochemistry; Beer; Spirits; Wine; Vinegar; Microbiology;

Enzymology, Mutation or Genetic EngineeringC12N Subclass Micro-organisms or enzymes; Compositions Thereof;

Propagating, Preserving, or Maintaining Micro-organisms;Mutation, or Genetic Engineering; Culture Media

Subgroups 9/42 and 15/56 were selected:

(...)9/00 Main Group Enzymes, e.g. ligases; Proenzymes; Compositions thereof;

Processes for preparing, activating, inhibiting, separating, orpurifying enzymes

(...)9/14 One-dot subgroup . Hydrolases (3.)

(...)9/24 Two-dot subgroup . . acting on glycosyl compounds (3.2)

(...)9/42 Three-dot subgroup . . . acting on beta-1,4-glucosidic bonds, e.g. cellulase9/44 Three-dot subgroup . . . acting on alpha-1,6-glucosidic bonds, e.g. isoamylase,

pullulanase (...)

(...)15/00 Main Group Mutation or genetic engineering; DNA or RNA concerning

genetic engineering, vectors, e.g. plasmids, or their isolation,preparation or purification; Use of hosts therefor

(...)15/09 One-dot subclass . Recombinant DNA-technology

(...)15/11 Two-dot subgroup . . DNA or RNA fragments; Modified forms thereof

(...)15/52 Three-dot subgroup . . . Genes encoding for enzymes or proenzymes

(...) 15/55 Four-dot subgroup . . . . Hydrolases (3.)15/56 Five-dot subgroup . . . . . acting on glycosyl compounds (3.2, e.g. amylase,

31

galactosidase, lysozyme)15/57 Five-dot subgroup . . . . . acting on peptide bonds (3.4)(...)

In addition, subgroup 19/14 from subclass C12P was selected,

C12P Subclass Fermentation or Enzyme-using processes to synthesise a desiredchemical compound or composition or to separate opticalisomers from a racemic mixture

(...)19/00 Main Group Preparation of compound containing saccharide radicals

(...)19/14 One-dot subgroup . Produced by the action of a carbohydrase, e.g. by alpha-

amylase (...)

Subgroup 7/04 from subclass C12C was also chosen:

C12C Subclass Brewing of beer

(...)7/00 Main Group Preparation of wort

(...)7/04 One-dot subgroup . Preparation or treatment of the mash7/047 Two-dot subgroup . . part of the mash being unmalted cereal mash7/053 Two-dot subgroup . . part of the mash being non-cereal material7/06 Two-dot subgroup . . Mashing apparatus(...)

Finally, subgroup 1/165 from subclass A23K, entitled “Fodder”, was selected; this subgroup is placed asfollows:

1/00 Main Group Animal feeding-stuffs(...)

1/16 One-dot subgroup . Supplemented with accessory food factors; Salt blocks1/165 Two-dot subgroup . . with steroids, hormones, or enzymes(...)

As illustrated in a previous example, the patent application that issued into this Canadian patent was filedin many countries such as France, Japan and the U.S., via the “Patent Cooperation Treaty”. TheInternational Patent Application as published by WIPO received identical - but much less - IPC (of the5th Edition) classifications than the ones assigned by the Canadian Patent Office.

Also, the International Patent Application bears IPC classifications after a “double slash” (“//”), whichrefer to additional technical information. As a matter of policy, the Canadian Patent Office does not usethis notation.

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12) U. S. Patent Serial No.: 5,470,725 (issued November 28, 1995)

This document is the American counterpart of Canadian Patent 2,050,468 (example no. 11), and is entitled“Thermostable (1,3-1,4)-beta-Glucanase”. The classification given was IPC (6th Edition) C12P 19/02,C12N 9/24, and C12N 15/56, and USPC 435/93, 435/105, 435/200, 435/240.1, 435/243, 435/252.33,435/254.21, and 536/23.2

IPC (6th edition)

When compared to the classifications indicated on the Canadian counterpart, only 1 of the 3 classificationsof the U.S. patent is identical (C12N 15/56). Of the remaining 2 classifications that differ, C12N 9/24 isnot that different from the point of view that it corresponds to the broader two-dot subgroup whichincludes the three-dot subclass C12N 9/42 indicated on the Canadian patent.

The really differing classification is C12P 19/02, which corresponds to

C12P Subclass Fermentation or Enzyme-using processes to synthesise a desiredchemical compound or composition or to separate opticalisomers from a racemic mixture

(...)19/00 Main Group Preparation of compound containing saccharide radicals19/02 One-dot subgroup . Monosaccharides(...)

Again, the differences in classification between the Canadian and U.S. patent “equivalents” may be dueto a different interpretation of the scope and meaning of IPC groups and subgroups.

USPC

As can be seen from the (large) number of classifications, the U.S. Patent & Trademark Office seems toprefer more its own classification system to the IPC system.

Subclasses 93, 105, 200, 240.1, 243, 252.33 and 254.21 of U. S. Patent Class No. 435, entitled“Chemistry: Molecular Biology and Microbiology”, and subclass 23.2 of Class 536, entitled “OrganicCompounds”, were selected.

For Class 435:

(...)41 No-dot subclass MICRO-ORGANISM, TISSUE CELL CULTURE OR

ENZYME USING PROCESS TO SYNTHESIZE A DESIREDCHEMICAL COMPOUND OR COMPOSITION

(...)72 One-dot subclass . Preparing compound containing saccharide radical

(...)93 Two-dot subclass . . Mashing or wort making

(...)105 Two-dot subclass . . Monosaccharide(...)

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183 No-dot subclass ENZYME (e.g. ligases (6.), etc.), PROENZYME;COMPOSITIONS THEREOF; PROCESS FOR PREPARING,ACTIVATING, INHIBITING, SEPARATING, ORPURIFYING ENZYMES

(...)195 One-dot subclass . Hydrolase (3.)

(...)200 Two-dot subclass . . Acting on glycosyl compound (3.2)(...)240.1 No-dot subclass ANIMAL OR PLANT CELL (e.g. CELL LINES, TISSUES);

COMPOSITIONS THEREOF; PROCESS OF PROPAGATING,MAINTAINING OR PRESERVING ANIMAL OR PLANT CELLOR COMPOSITION THEREOF; PROCESS OF ISOLATING ORSEPARATING AN ANIMAL OR PLANT CELL ORCOMPOSITION THEREOF; PROCESS OF PREPARING ACOMPOSITION CONTAINING ANIMAL OR PLANT CELL;CULTURE MEDIA THEREFORE

(...)243 No-dot subclass MICRO-ORGANISM, PER SE (e.g. PROTOZOA, ETC.);

COMPOSITIONS THEREOF; PROCESS OF PROPAGATING,MAINTAINING OR PRESERVING MICRO-ORGANISMS ORCOMPOSITIONS THEREOF; PROCESS OF PREPARING ORISOLATING A COMPOSITION CONTAINING A MICRO-ORGANISM; CULTURE MEDIA THEREFOR

(...)252.1 One-dot subclass . Bacteria or actinomycetales; media therefor

(...)252.3 Two-dot subclass . . Transformants (e.g. recombinant DNA or vector or foreign or

exogenous gene containing, fused bacteria, etc.)(...)

252.33 Three-dot subgroup . . . Escherichia (e.g. E. Coli, etc.)(...)

254.1 One-dot subclass . Fungi254.11 Two-dot subgroup . . Transformants254.2 Three-dot subgroup . . . Yeast; media therefor254.21 Four-dot subgroup . . . . Saccharomyces(...)

and, for Class 536:

0 No-dot subclass ORGANIC COMPOUNDS1 One-dot subclass . Organic compounds1.11 Two-dot subclass . . Carbohydrates or derivatives

(...)18.70 Three-dot subclass . . . Nitrogen containing

(...)22.10 Four-dot subclass . . . . N-glycosides, polymers thereof, metal derivatives (e.g.,

nucleic acids, oligonucleotides, etc.)(...)

23.10 Five-dot subclass . . . . . DNA or RNA fragments or modified forms thereof (e.g., genes,etc.)

23.20 Six-dot subclass . . . . . . Encodes an enzyme(...)

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Retrieving Technical Information Using Patent Classification Systems

Locating the proper patent document may not be an easy task, but with classification systems and the varioussearch tools that were developed in relation to those systems, it is not as complicated as it might seem on thesurface.

There are Catchword Indexes for the IPC, CPC and USPC which allow you to identify the classification areasin which the subject technology can be found. However, due to the large variations in terminology within atechnology, and due to specialized patent vocabulary, you may end up trying a variety of approaches beforefinding what you are interested in. After having identified potential classification areas from the catchwordindex, the class schedules must be consulted to determine the best and most exact classification areas/groupsin which to search.

In addition, CIPO has developed concordance tables which allow you to compare IPCs with CPCs. The U.S.Patent & Trademark Office has also developed a similar concordance between its USPC system and the IPC.However, these concordance tables are not always accurate nor complete since the various classificationsystems are different and not all revised at the same frequency - as a result, “one-to-one” correspondence is notpossible in many cases. Concordance tables can be used to determine preliminary classification areas butreference to the class schedules is imperative.

Once preliminary classification of the subject matter is done, a preliminary search can be performed to obtainrelevant patent documents. From the relevant patent document, more classification groups can be determined(tip: U.S. patents usually list U.S. classifications that can be searched). The class schedules should then beconsulted to determine the scope and applicability of these potential areas. Another search can then beperformed in the new classes to find more relevant documents. This process can be iterated as many times asyou think is needed. Unless you are an expert patent classification examiner, this iterative approach is the bestway to ensure that most appropriate classification areas are found.

Once you become more familiar with the classification codes that relate to your area of interest, then you willprobably use the catchword index and the iterative approach much less.

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Accessing Classification Search Tools

International Patent Classification (IPC):

- The Official Catchword Index, the Guide, Survey of Classes and Summary of Main Groups, as well as the8 Sections - all in French and English, can be consulted on site at CIPO in Hull, Quebec;

- Some of these documents can be consulted on-line (for a fee), and all can be purchased from WIPO:

World Intellectual Property Organization34, chemin des Colombettes1211 Geneva 20 (Switzerland)

- The following website offers limited listings of IPC codes:

http://www.dagostini.it/patclass/patclass

Canadian Patent Classification (CPC):

- The Catchword Index (called “Subject Matter Index”) and the Class Schedules (all in French and English)can be consulted on site at CIPO in Hull, Quebec

U.S. Patent Classification (USPC):

- The Class Schedules and Catchword Index (called “Index of the U.S. Patent Classification”) can be consultedin English only on site at CIPO in Hull, Quebec;

- The Class Schedules and Catchword Index can also be accessed on-line (note: only the STO Internet siteoffers access to the Catchword Index).

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Search Strategies

There are a few simple steps to searching “SMARTER” in the patent literature:

* Specify information needs (e.g. identifying recent technical developments only ?)

* Match information sources to needs (e.g. talk with a patent expert in addition to the database search ?)

* Assess on-line patent search tools (e.g. which patent database(s) should I use ?)

* Recognize patent databases and search tools differences (e.g. which classification system should I use ?)

* Think search statements (e.g. which wildcards or Boolean operators should I use ?)

* Execute the search

* Refine the search (e.g. what other parameters could I use to refine the search results ?)

The most efficient and effective search strategy depends on two factors:

1) Purpose of the search

- Patentability searches require a complete and thorough coverage of all databases as far back in timeas possible;

- Infringement searches require a complete and thorough search of patent databases, in the country ofinterest, within the life-time of a patent (generally 17 to 20 years);

- “State-of-the-art” technology searches require a generally superficial search in a variety of pertinentdatabases over the last few years;

- “Cutting edge” technology searches require a complete search but only within the last year or less.

2) Database being used

Simply put, the database limits the fields and dates that can be searched and also limits the results whichcan be viewed. Consider the nature, strengths and weaknesses of each database in light of the purpose forthe search. For example, is the database deriving its information from a single national patent office, oris it combining information from several offices ?

Types of Strategies:

There are 4 basic strategies that are commonly used to search the patent literature:

1) Classification Search Only:

Using the classification catchword index, schedules and concordance tables along with preliminary searches,determine all possible classifications for your invention.

Retrieve all documents from the above classes and go through them one-by-one to assess their relevancy.

This method of searching emulates the old manual method employed by patent examiners when doing a searchin the paper files. It is quite thorough provided you are confident that all appropriate classes have beendetermined. It is effective for doing patentability searches in the patent literature. However, this method is alsoquite tedious.

One disadvantage of searching classes relates to the IPC. Every five years the IPC is updated and new classesare created in high activity areas. However, old patent documents are not reclassified into the new version thusthere can be a problem with class continuity.

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2) Keyword Search Only:

Using keyword searches in titles, abstracts, descriptions and/or claims will retrieve relevant documents. However,there are problems with doing searches using keywords alone; for example, searching for methods of defoamingliquids while filling containers would be very time-consuming, if not impossible, by using words: truncated wordslike fill* (or fill?, etc.), contain*, bottl*, flask*, and their synonyms would yield too many postings.

Other limitations of searching exclusively with keywords include:

a) There are a large number of synonyms, patent jargon and spelling variations to consider for each word. Thisproblem can be attacked with operators and Wildcards but the problem cannot be eliminated.

b) Most databases work with indexed keywords; thus, you are relying on the quality of indexing.c) Most databases only allow title or abstract searching which severely limits the utility of keyword searching.d) One term can be used in a variety of technologies; thus you will obtain many completely irrelevant hits.

Keyword searches alone should not be used if you want a thorough search. Keyword searches are good for doinga state of the art search in the patent literature or if you are trying to determine other possible classes, keywords,inventors or assignees on which to do a search.

In addition, a keyword search should be done to supplement a classification search to ensure complete coverageof the database.

Finally, combinations of keyword strategies using operators and wildcards should be used to maximize the qualityof hits obtained.

3) Classification AND Other Parameters Search:

All the relevant classes can be searched to compile an initial list of patents. If the quantity of patents is too largefor a one-by-one assessment, then another parameter can be used to narrow the hit list. These parameters couldbe:

- Keywords in the title, abstract, description or claims (depending on the database) - note: keywords in patenttitles are very unreliable

- Date ranges such as issue date, publication date and filing date- Country/ies of interest

4) Others:

a) Citations in relevant U.S. patents should be checked for additional relevant hits, for more classes, and/orfor more keywords.

b) Inventor and assignee (owner) searches can be done if you know active inventors or companies in the areaof technology.

In the end, the best approach to searching the patent literature is to use the classification system that suits yourneeds and to supplement classification with keyword searches and with searches in other fields such as theinventor field. If you have the time and resources, a variety of strategies and databases should be employed toensure a thorough and complete search.

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The following diagram illustrates a very popular search strategy.

Think of Terms or Phrases that are Relevant

�Look up Words in Catchword Index to Identify Classifications

�Use Phrase to Conduct Keyword Search

�Patent Document Set #1

�Find Classifications and Keywords of Interest

�List Frequent Classification

�Identify and Select All Classifications of Interest

�List of Classifications

�Conduct Search

�Patent Document Set #2

�Review and Refine

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Basic Search Syntax

Search syntax is the “language” used to perform a search in a search engine. Each search engine has its own peculiaritieswhich the searcher must learn. However, there are some commonalities among all search engines.

When formulating a search, the searcher must write a “search string” which is like writing a sentence in normallanguages. If the construction and grammar (syntax) is obeyed, then the computer will successfully perform the search.However, since computers are essentially dumb, it is imperative to formulate the search string in exactly the correctmanner. This means that if even one small mistake is made, the search will not be performed correctly. Thus, it isimportant to learn both the basics of search syntax as well as the peculiarities of each search engine.

A search string consists of essentially three types of elements. These are:

1. search terms (sometimes called “keywords”)

Search terms are the specific words, phrases or characters which the searcher desires to look for in the database.These may be real words such as in a subject matter search, numbers in a patent number search or dates in afiling date search.

2. search fields

Search fields are the areas of the database in which the search for the term will take place. If the search termis a word for a subject matter search, then the desired fields could be the title, abstract, description or any otheravailable content field. If the term is a patent number, then the desired field is the patent number field.Searching the appropriate field will maximize the relevancy of the documents obtained. There is no pointsearching for the inventor by name in the title field since the inventor field is more appropriate.

The quantity and type of fields available vary from database to database but in the patent world there are anumber of standard fields which occur in virtually every database. These roughly correspond to bibliographicelements and textual elements.

3. operators

Operators are used to link search terms in a logical fashion in order to combine a number of terms into a singlesearch. This permits the searcher to maximize both the quantity and quality of documents retrieved during asearch. The number and type of operators useable in a search engine are often an indication of the overallusefulness of the search engine for retrieving information.

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Search terms:

Search terms are normally entered by the searcher, either in individual boxes as in Panel type search engines or ona single line in Command line search engines. The syntax of a search term depends on the field being searched.

eg. text fields like title and abstract usually have normal words “skateboard”eg. the inventor field will have people’s names “Polyani”eg. the patent number field will have a number “2132345"eg. the International Class field will have letters and numbers “C12P-19/00"

In most search engines, the fields are case insensitive so that terms can be capitalized or not. However, occasionallya field will be case sensitive. Particular attention must be paid in each database to such peculiarities. In addition,punctuation should be considered closely since a punctuation mark may be part of a term.

In most search engines (but not all) the term typed will be searched as it appears. If there are variations in spellingof the term, or if there are other alternative forms of the term, the search engine will not find them. In order toovercome this problem, most search engines allow the use of “wildcards”. Wildcards are special characters whichcan be used to take the place of one or more normal characters found in a term. The types of wildcards vary widelyfrom one search engine to another but there are some standard concepts.

eg. Wildcards which replace any number of characters - * is the most commonThis wildcard replaces any number of characters including zero characters. Sometimes it can be usedanywhere in a term and sometimes only at the end of a term.

skate* - would retrieve the terms “skate”, “skater”, “skaters”, “skateboard”, etc.d*g - would retrieve the terms “dog”, “drug”, “distinguishing”, etc.*board - would retrieve the terms “board”, “skateboard”, “inboard”, etc.

Extreme care must be used when using this wildcard since many irrelevant terms can be encompassed.This would disproportionately increase the number of documents retrieved and make the search useless.In addition, the length of time required to do the search dramatically increases, and, in some cases, thesearch engine would refuse to do the search.

eg. Wildcards which replace exactly one character -The character used is different in almost every search engine. The Canadian Patent Database uses theunderscore: _This wildcard is much more precise than the ones above as it can represent only a single character.

skate_ - would retrieve the terms “skates” and “skater” but not the term “skate”d_g - would retrieve the terms “dog” and “dig” but not the term “drug”

Some search engines do not use wildcards explicitly. They have an implicit wildcard at the end of any term (this iscalled stemming). Thus, typing “skate” would also retrieve “skates”, “skateboard”, etc. This feature can be usuallyturned off to permit searching on “skate” alone. However, most patent search engines use the explicit wildcard ideadescribed above.

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Search Fields:

Databases are constructed in discrete areas of information called “fields”. Each field contains information specificto one concept. In this manner, an information searcher can quickly focus on the desired information by searchingthe fields which are most appropriate for the needs. Therefore, when writing a search string, the searcher mustspecify a field for each search term.

The fields in most patent databases can be conveniently divided into two types: bibliographic fields and text fields.Bibliographic fields include fields like inventor name, filing date, patent number, international class, etc. Text fieldsinclude the title (although this is sometimes considered bibliographic), abstract, description, etc. Patent databasesdiffer widely in the fields which can be searched although there is generally a core standard which is common to all.Before conducting a search, the searcher should be familiar with all of the available fields in the database.

In Panel type search engines, fields are normally chosen from a pop-down menu through a click and select mechanismwith the mouse. In Command line search engines, the searcher must type a field code into the search string alongwith the search term. The syntax varies considerably for field codes and their use in a search string so the databaseHelp feature should be consulted for search engines which use a Command line.

Operators:

Operators are words which connect search terms in a logical manner in order to maximize the efficiency of a search.Operators are relatively consistent among databases. There are two types of operators and the most commonexamples of each are given. However, there are many other operators which can be used and the Help feature of agiven database should be consulted to determine their availability.

Boolean operators: ANDORNOT (sometimes ANDNOT or BUTNOT are used)

Proximity operators: NEAR

AND Both terms must appear in any record retrieved by the search.

eg. skateboard AND rollerskate All records retrieved must contain both the term“skateboard” and the term “rollerskate”.

OR Either one or the other term must appear in any record retrieved by the search.

eg. skateboard OR rollerskate All records retrieved will either have the term“skateboard” or “rollerskate”. Both may appear butonly one is necessary.

NOT The first term must appear but the second term must not appear in any record retrieved by the search.

eg. skateboard NOT rollerskate All records retrieved must contain the term“skateboard” but must not contain the term“rollerskate”. If “rollerskate” appears, the record willnot be retrieved even if “skateboard” does appear.

NEAR The second term must appear within a certain number of terms of the first, either before or after. The

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default varies from one search engine to another although 10 terms is common. Many search enginespermit the searcher to change the value so that NEAR can equal a different number of terms. The syntaxfor changing the value varies widely. There are also a wide variety of other proximity operators whichare supported by various search engines. They will not be discussed here so refer to the Help feature ofthe particular search engine that is used.

eg. skateboard NEAR brake All records must contain the term “brake” within a certainnumber of characters before or after “skateboard”.

Just as in mathematical operations, search operations are conducted in a certain order depending on the precedenceof the operators. In general, the precedence of operators is as follows:

proximity operators > NOT > AND > OR

Example 1: skateboard OR wheel NOT tire

The operation “wheel NOT tire” is performed first to form a set of documents in which the term “wheel” appearsbut not the term “tire”. Then the OR operation is performed to form the final set of documents in which the term“skateboard” appears or the term “wheel” provided that when “wheel” appears, “tire” does not also appear.Therefore, documents will be retrieved which could contain both the terms “skateboard” and “tire” as long as“wheel” is not in these documents. This can happen because the NOT operation is performed first.

Example 2: skateboard AND wheel NEAR rubber

The operation “wheel NEAR rubber” is performed first to form a set of documents in which the term “rubber”appears close to the term “wheel”. Then the AND operation is performed to give a final set of documents inwhich “wheel” and “rubber” are close together and in which the term “skateboard” also appears.

It is apparent from the examples that the use of more than one operator can lead to some logical confusion. Withmany operators, the confusion is even greater. This can result in search results which are unexpected and irrelevantor even in the failure of the search altogether.

Fortunately, many (but not all) search engines support the use of parentheses for establishing different orders ofprecedence. This is the same concept as the use of parentheses in mathematics, thus much of the confusion ofoperator precedence can be cleared up. The basic rule is that operations between terms within the same parenthesesare done first.

Example 3: (skateboard AND wheel) NOT tire

The operation “skateboard AND wheel” is done first since it is parentheses to form a set of documents in whichboth the terms “skateboard” and “wheel” must appear. Then the NOT operation is done to form a final set inwhich the term “tire” does not appear but both the terms “skateboard” and “wheel” do appear. Compare this toExample 1 above.

Example 4: ((skateboard OR rollerskate) AND wheel) NOT blade

The OR operation is performed first since it is within the deepest parentheses. The AND operation is done nextfollowed by the NOT operation. As is evident from this example, nested parentheses can be used to establish amore complex search string.

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Panel vs. Command Line Search Engines:

Panel type search engines are generally more limited in their capability but simpler to use. They use pop-down menusto choose fields and operators thus their use is more intuitive. However, they usually have a fixed number of boxesfor entering search terms which limits the ability of the searcher to perform complex searches. Also, they often havea more limited selection of fields and operators which can be used.

Command line search engines are generally more flexible but more difficult to use. The flexibility arises from theability to use a wider range of fields and operators and the possibility to use more complex search strings sinceCommand lines usually support the use of parentheses. However, the search syntax is not intuitive and they alsodiffer widely among search engines.

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Accessing On-line Databases

A. Canadian Patent Literature

http://strategis.ic.gc.ca/cgi-bin/patent/searche.pl (Strategis site)http://strategis.ic.gc.ca/patents for Englishhttp://strategis.ic.gc.ca/brevets for French

Database size

Back to October 1989.

Types of interface

Panel style interface with three boxes for search terms. Pop-down menus for choices of operators and fields. Separateboxes for choices of date range and document type (ie. issued patents or laid-open documents). Pop-down menu for thenumber of documents to be returned.

Searchable fields

Bibliographic data including:title, inventor name, owner name, IPC, patent number, application number, country of owner, PCT or not, licenseavailability and all

Searches can be done in issued patents, laid-open applications or both.Date ranges can be specified in the search.

Displayable fields

Initial display includes document number, International patent class and a title. They are ranked in order of relevance.Fields displayed include all of the searchable fields as listed above plus:

filing date, issue date, laid-open date, priority date, number of claims, language of filing

Operators and wildcards

Operators - AND, OR, BUTNOTWildcards - * any number of characters - can be used anywhere in the term

_ exactly one character - can be used anywhere in the term

Other features

Help is available on searching, operators and field descriptions.If the number of documents returned is equal to the choice selected (eg. 100) then you must do the search again at ahigher value since there are probably more documents to be retrieved.For more information, access the CIPO Home Page at http://cipo.gc.ca

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http://strategis.ic.gc.ca/SSG/mm01333e.html (Business Intelligence Express)

Database size

Patent documents from the Canadian Patent Database described above which are related to Metals and Mineralsprocessing.

Types of interface

Input box for terms and IPC. Pop-down menu for fields.

Searchable fields

Same as the Canadian Patent Database described above.

Displayable fields

Same as the Canadian Patent Database described above.

Operators and wildcards

Wildcards - * any number of characters - can be used anywhere in the term_ exactly one character - can be used anywhere in the term

Other features

There is a link to IPC codes related to Metals and Minerals processing..

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B. U.S. Patent Literature

The following site descriptions have been prepared to illustrate the availability of patent search services on the Internetand do not constitute an endorsement by CIPO of the services available at each site.

http://patents.uspto.gov/index.html (USPTO site)

Database size

Back to 1976.

Types of interface

Panel style interface with two boxes for search terms. Pop-down menus for date ranges, fields and operators.Advanced command line searching.Single patent number search box.

Searchable fields

Bibliographic data including:title, references, patent number, application number, issue date, application date, USPC, IPC, inventor name, inventorcity, inventor state, inventor country, assignee name, assignee city, assignee state, assignee country, legal rep.,primary examiner assistant examiner, and government interest

Abstracts can be searched too.Date ranges or specific years can be specified.

Displayable fields

Fields displayed include all of the searchable fields listed above plus:priority data (country, number, date), field of search, number of claims, number of drawings, related application data

Results can be ranked chronologically or by relevance.

Operators and wildcards

Operators - AND, OR, ANDNOT, XOR (either/or but not both)Wildcards - * any number of characters

“ ” around several words for phrase matching

Other features

Help is available on searching and on field descriptions.US classification schedules and class definitions can be accessed. The classification manual can be searched by keywordor accessed through a series of hyperlinks.

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http://app1.uspto.gov/AIDS/access/search.html (USPTO AIDS site)

Database size

All AIDS related patents from the United States, EPO and Japan. The EPO and Japan are not as up to date as the U.S.

Types of interface

Advanced command line searching in a single box.Browse titles and document numbers through hyperlinks.

Searchable fields

Bibliographic data including:title, references (foreign, domestic and other), patent number, application number, issue date, application date, USPC,IPC, inventor name, inventor city, inventor state, inventor country, assignee name, assignee city, assignee state,assignee country, PCT information, reissue data, divisional information, legal rep., primary examiner assistantexaminer, and government interest

Some of the above fields only apply to U.S. patent documents.Full text searching on abstracts, a summary, the claims, the description and a description of the drawings can be searchedtoo.

Displayable fields

Fields displayed include all of the searchable fields listed above.The number of hits are given and results are ranked by relevance. Results initially appear as listings of documentnumber and title.Images are available for viewing.

Operators and wildcards

Operators - AND, OR, ANDNOT, XOR (either/or but not both)Wildcards - * any number of characters

“ ” around several words for phrase matching- between dates to specify a range

Other features

Help is available on searching and on field descriptions.

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http://cos.gdb.org/repos/pat (Community of Science site)(or http://netpromo.com/patents/pat.html)

Fees are normally required to search this site. Browsing class schedules is free.

Database size

Back to 1971.

Types of interface

Search panel with all the searchable fields separated and connected with pop-down menus for operators.Search by country or state can be initially accessed by hyperlink before getting the search panel.Classification search can be done in a single box in the classification search region.

Searchable fields

From the search panel, the following fields can be searched:patent number, assignee (and location), inventor (and location), title, abstract, exemplary claims, U.S. andinternational classes, references (U.S. patents, foreign patents and others), issue date and application date

The overall date range is broken up into four smaller units. Particular date fields can be searched as a range or a singledate.Searches by state or country are also possible. The same search engine is used but an initial narrowing by hyperlinkedstates or countries is done.There is a simple search engine for searching the U.S. classification index or class schedules by class or keyword.

Displayable fields

Results are downloadable in HTML or ASCII format.Search results are initially displayed including the number of hits, the patent numbers, the titles and the assignee. Eachpatent number is hyperlinked to the record for that patent.Record displays include all the searchable fields listed above as well as the examiner names and the field of search.References to U.S. patents are hyperlinked.

Operators and wildcards

Operators usable are: AND, OR or NOT (AND is the default).W/# - adjacent by # of termspre/# - first term must be in front of second term by # of terms( ) - brackets can be used to indicate precedence

Wildcards: * any number of characters at the end

Other features

The U.S. classification manual can be browsed. Classes are broken up by discipline. Each discipline is furthercategorized and each category is hyperlinked to the appropriate U.S. class.There is a query tracking feature. The search queries and number of hits during a session are displayed in a table.Help on the search facilities can be accessed.

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http://www.dash.uk.inter.net (Derwent Patent Explorer)

Registration is required to use all functionalities. Java capability is required for some display options. There is a chargeassociated with some functionalities.

Database size

Full text and images of U.S patents back to 1974.Bibliographic data and abstracts of EPO documents back to 1978. Full text of EPO applications back to 1987 andimages back to 1978. Full text of EPO patents back to 1991 and images back to 1980.PCT images back to 1990.

Types of interface

Search panel with separate searchable fields. The appearance of the search panel can be altered by the user to providewhatever fields are desired. Some fields are combined into one super field (eg. All Fields gives all content fields; AllNames gives all fields with names of people or companies).

Searchable fields

The following fields can be searched:title, abstract, description (specification text), claims, drawing description, brief summary, inventor, assignee,examiners, art unit, legal reps., cited art, U.S. class, IPC, Derwent codes, field of search, publication date, issue date,filing date, patent number, application number, designated states, publication information (language, kind), relatedapplication data and priority data.

A date range can be set from a pop-down menu. Date can be within last month, last year, last three years or unrestricted.

Displayable fields

The initial hitlist includes:# of hits, document number, publication or issue date, title, number of pages, search string details

Each record display includes all searchable fields including full text when available. The type of display can be modifiedby the user.

Operators and wildcards

Operators usable are: AND, OR, NOTNEAR.# - within # terms (10 is default and maximum)FBY.# - within # terms following (10 is default and maximum)

Wildcards: * any number of characters at the end( ) sets precedence for operations

Other features

Help on the search facilities can be accessed.There is help available on patent terminology and concepts.Document delivery is available at a price.

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http://www.ibm.com/patents (IBM site)

Database size

Searching back to January 5, 1971. Images back to 1974.

Types of interface

Panel style interface with boxes for two terms. Pop-down menus for fields and operators. Radio buttons for date rangechoice of 1971 - present or 1995 - present.Advanced text searching. Single patent number search box. Single word search box.

Searchable fields

Panel search - seven fields including:abstract, title, inventor (last name first), assignee, claims, agent, or all of the preceding

Advanced text search - searchable fields include all of the above plus:summary (both title and abstract) and name (both inventor and assignee)

Displayable fields

Fields displayed include:inventors (name, city, state), assignee (name, city, state), issue date, filing date, patent number, application number,IPC, USPC, field of search, agents, examiners, references, list of later patents which reference the one beingdisplayed, related US applications data, title, abstract, claims and maintenance status information

IPC and USPC are linked to a list of patents in those classes.Referenced US patents are linked to the display for that record.

Operators and wildcards

Panel search - operators are AND, OR, NOTAdvanced text search -

wildcards - * any number of characters? exactly one characterthere is an implied wild card in front of any term (automatic stemming)

operators -<or>, <and>, <not><in> - specifies desired fields<near/n> - defaults to 256 words<paragraph> - same as <near/n> where n = 100<sentence> - same as <near/n> where n = 15<order> - specifies order of terms when <near>, <paragraph> or <sentence> are used<accrue> - rates hits based on number of terms found in the document<thesaurus> - when used in front of a term, the search will include synonyms of the term<word> - when used in front of a term, the automatic stemming feature is turned off

Other features

Help is available on the various search facilities. Images of full patents back to 1980 are available but can take time todownload. There is a document delivery service at a price.

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http://sunsite.unc.edu/patents/intropat.html (STO site)

Database size

Back to the beginning of US patents for searches by class. From 1981 - 1989 for searches by patent number.

Types of interface

Single term searching on class-subclass or on patent number.

Searchable fields

A single class-subclass search. Use a hyphen “-” not a slash “/” between the class and subclass.A single patent number search.

Displayable fields

Class-subclass search - displayed fields include:- patent number, title and issue year for patents back to 1971- patent number and issue year for patents back to the beginning of US patents- ‘O’ indicates original class, ‘X’ indicates cross-reference class

Patent number search - displayed fields include:patent number, title, abstract, inventors (name, state, country), assignee (name, state, country), issue date, filing date

Other features

US classification schedules without the class descriptions but with the class headings are available. Classes have beengrouped into Design, Electronic, Chemical, Engineering, and Mechanical, or, the Master List can be accessed directly.The US classification keyword index is accessible. Index terms are listed alphabetically through a series of links.Search services are offered at a price.

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http://www.spo.eds.com/spo/open_bin/gen_free.pl/free (Shadow Patent Office site)

Database size

Browse by class - for the past yearSubject search - January 1, 1995 - presentInfringement search - January 1, 1994 - present

Types of interface

Browse by class is done through a series of hyperlinks. Subject and infringement searches are done using natural language queries in a single text box.

Searchable fields

Browse by class can be searched by US class only. The year is broken down into 52 weeks.Subject searches are done through natural language queries of up to 1000 words. This search can be iteratively refinedusing keywords or anti-keywords.Infringement searches are done by entering the patent number of a relevant document and up to 1000 keywords in anatural language query box. Other relevant patent documents are then retrieved. This search can also be iterativelyrefined with further keywords or anti-keywords.

Displayable fields

For the browse by class search, results give only the patent number and the title in addition to the class.For subject and infringement searches, the patent number, title, US class, issue date and filing date are displayed for eachrecord.

Other features

Help is available on how to use the search facilities.Classification

- US class schedules are available with class headings but no class descriptions- Display specific class/subclass hierarchy

(eg. the relevant class, no dot subclass, one dot subclass etc. above a given class/subclass can be shown withoutthe irrelevant ones in between)

- The subject search described above also automatically generates a classification analysis.Other commercial services are available at a price including:

more complete subject, infringement and class searches, full text patent retrieval, citation searches and documentdelivery on CD-ROM

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http://www.qpat.com (QPAT site)

Database size

Back to January 1, 1974.

Types of interface

Command line search strings with operators and field designators.Natural language text queries.

Searchable fields

Abstracts and bibliographic data including:title, patent number, application number, inventor (city, state, country), assignee (city, state, country, type), citations,issue date, filing date, application type (invention, design, reissue, etc.), related application info, priority date, priorityapplication number, USPC, IPC, field of search, legal rep., PCT info, gov’t interest

Dates can be ranged (>, <, >=, <=) or a specific date identified.Natural language text queries can be performed.

Displayable fields

Initially a record list is displayed with the patent number, title and score (relevance ranking).Fields displayed in a record include all of the searchable fields plus the number of claims.

Operators and wildcards

Command line searching -operators: OR, AND, NOT, NEAR, ADJ, W/n - (default is OR)wildcards are: * to mean any number of characters, at the beginning, end or middle

? to mean exactly one character# to turn stemming off (terms are automatically stemmed without this)‘ ’ for exact phrase matching when more than one term is used

Help on precedence and complex search strings is available.Term expansion is available for determining related alternatives to a term.

Other features

The features described above are free of charge but registration is necessary to use them.Other commercial services are available at a cost (eg. full text searching for documents from 1974; full page imageviewing; the choice of a variety of supergrouped fields to search).

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http://stneasy.cas.org (STN site)

Database size

A variety of patent and technical databases are available. Categories are chosen which give access to the mostappropriate databases for that category. Patents is one category which gives access to USPATFUL, WPINDEX,CAPLUS and others. Database size depends on the database searched. The patent database goes back to 1967.

Types of interface

The Basic search has a single box for terms and a pop-down menu to choose operators.The Advanced search is a panel style search with three input boxes for terms and separate input boxes for date selectionand language of document. Fields are selected from pop-down menus associated with each input box. There is a browseindex feature associated with each input box.

Searchable fields

Fields searchable depends on the category chosen. For patents, the fields are:word(s), inventor name, assignee name, patent number, cited references, patent date, IPC, USPC, patent country,application country, accession number of the database

Displayable fields

Initial display of hitlist includes the title and the number of hits found in each database in the category. Subsequentdisplays entirely depend on the database. For example, USPATFUL gives bibliographic data and abstracts.

Operators and wildcards

Operators for the Basic search can be accessed through a pop-down menu. These are:this exact phrase - all terms in the stated orderall these terms - functions like AND - this is the default operatorany of these terms - functions like OR

Operators for the Advanced search are AND, OR, NEAR, NOT and are accessed through a pop down menu betweensearch boxes.

Wildcards are: * any number of characters after the term“ ” used to indicate exact phrase

Preferences: the preferences menu allows inclusion of plurals and abbreviations

Other features

Help is available on the search features including databases available and a list of stopwords.Registration is necessary to use all functions but users can use existing STN accounts and passwords.Searches cost $2.00 and there is a charge for each record display depending on the database being used. Cost of thesession is automatically calculated and is shown at the end or whenever the user requests it.Search and display preferences can be changed.CAS registry numbers are searchable in CAREGISTRY and other databases.

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http://casweb.cas.org/chempatplus (Chemical Abstracts Service site)

Database size

Full coverage back to 1975. Partial coverage from 1971 - 1974.

Types of interface

Pop-down menus for most choices and a single box for entering search terms.

Searchable fields

All searching is free. Searchable fields are in a pop-down menu and include:title, abstract, exemplary claims, inventor (name, city, state, zip code, country), assignee (name, city, state, zip code,country), CAS registry number, indexing terms, chemical abstract number, USPC, IPC, legal rep., USPTO art unit,examiner, field of search

There are searchable supergroups which encompass a variety of the above fields (eg. Basic Text).

Displayable fields

Initial display of hitlist includes the title and the number of hits. Clicking on the title gives a free display of the title,abstract and highlighted hit terms. There is a price associated with displaying any other fields including patent number.

Operators and wildcards

Operators can be accessed through a pop-down menu. These are:this exact phrase - all terms in the stated orderall these terms - functions like AND - this is the default operatorany of these terms - functions like OR

Boolean operators can also be used within the search box. Useable operators are AND, OR, NOT and “ ” (quotationsare used to indicate exact phrase).

Wildcards are in a pop-down menu and include:full word - exact word, no stemmingstem - implied wildcard at the end of the term

Other features

Help is available on the search features.Registration is necessary to use all functions.Other commercial services are available at a cost (eg. full text display, images for documents since 1994).Logoff is required at the end of a session. Cost of the session is automatically calculated and is shown at the end orwhenever the user requests it.The user can change the password or deactivate the account from the Account Administration page accessible throughthe Find Patent page.

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http://www.dialogweb.com (Dialog site)

Most of the services provided at this site require an account and are on a for fee basis.

Database size

This site permits access to a large variety of databases including worldwide IP and scientific databases. The scope ofthe databases can be reviewed through links from the Dialog site.

Types of interface

Advanced command line searching is used. The user is required to learn the Dialog syntax but it is similar to many ofthe other command line syntaxes in use.

Searchable fields

Searchable fields are typically dependent on the database of interest but usually include all the standard bibliographicdata plus text fields such as the title and abstract. Available fields can be reviewed for each database through links fromthe Dialog site.

There are a large variety of commands and features useable in Dialog but most of them require an account. However,from the database directory, a user can do free searches in any of the databases using the SELECT command. Thedisplay of these free searches is discussed below.

Displayable fields

For paid accounts, all the fields searchable are viewable. However, the free service available from the database directoryfeature of Dialog will only display the number of hits. This free service allows the user to check their search strategybefore beginning a session.

Operators and wildcards

Operators - AND, OR, NOTW - adjacentnW - adjacent within ‘n’ termsN - adjacent in any ordernN - adjacent in any order within ‘n’ termsL - in same descriptor headingS - in same subfield unit

Wildcards - ? - any number of characters at the end, or, exactly one character in the middle??? - exactly one character per ? at the end of a term? ? - exactly one character

Other features

Help is available on Dialog commands through the help menu. To get help on field descriptors for a particular database,the database descriptor must be accessed through a hyperlink from the database heading.There is a document delivery service available at a price.

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http://www.micropat.com (MicroPatent site)

Database size

Back to 1974 for US patents. Back to 1978 for EPO and PCT applications. Registration is required to search EPO andPCT documents but searching is free.

Searchable fields

Free searches by US class on US patents for the previous four weeks. Free searches by US class and full text keywordon US patents for the previous two weeks.

Search by document number on the US, European or PCT databases to retrieve the images. Viewing the images requiresa fee and an image viewer.

Displayable fields

Images of all patent documents are available at a price. The viewer, however, can be down loaded for free.

Other features

Document delivery is available at a price.CD-ROM products are available at a price.Search services are available at a price.

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http://www.optipat.com/online.html (Optipat site)

Registration and payment of fees is required for this site.

Database size

Two million U.S. patents dating to the present.

Searchable fields

Searches by patent number, assignee, inventor, USPC, IPC

Other features

Document delivery is available.Fee payment is structured into four different plans depending on the extent of searching and whether document deliveryis desired.

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http://www.nal.usda.gov/bic/Biotech_Patents/ (Ag Biotechnology site)

Database size

Biotechnology related patents only. Full text 1994 and 1995. Titles 4th quarter of 1995 to 3rd quarter of 1996.

Types of interface

Command line searching using Boolean or natural language or a mixture of both. Browsing by year through hyperlinks.

Searchable fields

Keyword searches on full text. WAIS search engine used.

Displayable fields

Initial hitlist contains titles. Records include:patent number, application number, art unit, filing date, title, issue date, number of claims, examiner, number ofdrawings, inventor (name, city, state), assignee (name, city, state), USPC, references, legal representative, abstract,disclosure, claims

Operators and wildcards

Operators are: AND, OR, NOT, ADJ - brackets indicate precedenceWildcards are: * any number of characters at end of term

Other features

Help available on WAIS searching.

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http://mgm.mit.edu:8080/pevzner/Bucky/Patents.html (Fullerene patent database)

Database size

United States patents related to fullerenes back to 1993.

Types of interface

A list of patents sorted by year in descending numerical order.

Searchable fields

No searchable fields.

Displayable fields

Initial list by year gives the patent number and the title. Each listing is hyperlinked to the USPTO/CNIDR record forthat patent.

Operators and wildcards

None.

Other features

Links to other fullerene sites are available.

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http://apollo.osti.gov/waisgate/gc.html (US Department of Energy)

Database size

United States patents held by the DOE.

Types of interface

An input box for each searchable field.

Searchable fields

Searchable fields are:title, keyword (subject description from the International Energy Subject Thesaurus), inventor, assignee, patentnumber, application number, publication date, filing date, international claim number (same as IPC), abstract,corporate text, order number, EDB subject category, WAIS entry date, and all.

Displayable fields

Initial list by year gives the number of documents found, and the title.Full record displays include all the searchable fields.

Operators and wildcards

Operators - AND, OR, NOT, ADJ - must be capitalizedOR is assumed if no operator is used between terms

Wildcards - * - any number of characters at the end

Other features

Help is available.Full documents can be ordered from the DOE.

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C. Other Patent Literature

The following site descriptions have been prepared to illustrate the availability of patent search services on the Internetand do not constitute an endorsement by CIPO of the services available at each site.

http://app1.uspto.gov/AIDS/access/search.html (USPTO AIDS site)

See the description for this site under “U.S. Patent Literature”.

U.S., EPO and Japanese AIDS related patents.

http://www.dash.uk.inter.net (Derwent Patent Explorer)

See the description for this site under “U.S. Patent Literature”.

EPO laid-open applications and issued patents.

http://www.dialogweb.com (Dialog site)

See the description for this site under “U.S. Patent Literature”.

An assortment of databases from many countries.

http://stneasy.cas.org (STN site)

See the description for this site under “U.S. Patent Literature”.

United States and World patent databases are available as well as Chemical Abstracts which contain patent references.

http://www.micropat.com (MicroPatent site)

See the description for this site under “U.S. Patent Literature”.

Document delivery for U.S., EPO and PCT documents.

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http://pctgazette.wipo.int (PCT gazette)

Database size

The current year of PCT publications.

Types of interface

Input box for a search string. Radio buttons for date selection. Pop-down menu for weekly date ranges. Radio buttonsfor sorting chronologically or by relevance. Pop-down menu for presentation style (basic, gazette, front page). Radiobuttons to choose fields for initial display.

Boolean search panel with two input boxes.

Can browse weekly date ranges.

Searchable fields

Searchable fields are:title (english/french), abstract (english/french), publication number, publication date, application number, applicationdate, priority number, priority date, priority country, designated state, kind of document, inventor name, inventoraddress, applicant name, applicant address, applicant residence, applicant nationality, legal rep name, legal repaddress, legal rep country, IPC, main IPC, language of filing, language of publication

Displayable fields

Displayable fields include all of the searchable ones. Images of a representative drawing are available.

Operators and wildcards

Operators - AND, OR, ANDNOT, XOR, NEAR (within 20 characters)() - to indicate precedence“ ” - for exact phrase matching

Wildcards - * - any number of characters to the right

Other features

Help is available.

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http://210.141.236.195/index_e.html (Japanese Patent Office site)

Database size

English abstracts of Japanese patent applications from publication number 05-000001 to 10-028400.

Types of interface

Three input boxes linked by AND in which the title, abstract or applicant can be searched. Separate input boxes for theother searchable fields.

Searchable fields

Abstract, title, applicant, application date, application number, publication number, patent number, appeal number andIPC code.

Displayable fields

The initial hitlist displays the number of hits, the title and the publication number.A single record includes:

publication number, date of publication, IPC code, application number, filing date, applicant name, inventor names,title, abstract, a drawing, and legal status.

Legal status includes: request for exam date, final registration date, type of disposal, patent number, registration date,appeal number on a final rejection, appeal request date and date of extinction of rights.

Operators and wildcards

Operators are: AND, OROR is implied between terms if no operator is used

Wildcards: automatic truncation - implied wildcard

Other features

Help will be available.

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http://www.hpo.hu/English/szkv/ekerform.cgi (Hungarian Patent Office site)

Database size

Back one year from the present. Hungarian patent, utility model, industrial design and trade-mark gazettes are searched.

Types of interface

All IP searches are done from a search panel on which field choices can be made. What fields are available depends onthe type of IP being searched.

Searchable fields

All IP searches have a pop-down menu in which a single month from the preceding year can be chosen. The user canalso opt to choose to search for terms including Hungarian accented vowels or can choose to search ignoring the accents.Fields are searched by choosing the field, typing in the text and clicking on the START button. Fields are linked by ANDoperator if they are chosen.

Searchable patent fields include:title (in Hungarian), abstract (in Hungarian), applicant, inventor, priority country (through a pop-down menu), IPCcode (wildcard needed if truncated), application number, publication number or registration number.

Searchable trade-mark fields include:the trade-mark (in the language of the mark), applicant, assignee, priority country (through a pop-down menu), Niceclassification, application number, registration number.

Searchable industrial design fields include:description of the design (in Hungarian), applicant, owner, Locarno classification, application number, registrationnumber.

Searchable utility model fields include:title (in Hungarian), exemplary claim (in Hungarian), applicant, assignee, IPC code, application number, registrationnumber.

Displayable fields

The hitlist for all of the IP lines gives the number of hits and a document number. Trade-marks also gives the applicantname while patents, industrial design and utility models also give the title (in Hungarian).

Displayable fields for patent records include:INID codes, document type, IPC code and class descriptor (in English), application number, registration number,filing date, applicant (and location), inventors (and locations), title (in Hungarian), abstract (in Hungarian), prioritydata, attorney. A representative drawing may also be present including a chemical structure in some cases.

Displayable fields for trade-mark records include:INID codes, serial number, filing date, registration number, registration date, applicant, priority data, attorney, thetrade-mark, Nice class, list of goods (in Hungarian).

Displayable fields for industrial design records include:INID codes, Hungarian class and class descriptor (in English), application number, registration number, filing date,registration date, assignee, authors, title (in Hungarian), Locarno class.

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Displayable fields for utility models include:the same fields as described above for patents. A representative drawing is also available.

Operators and wildcards

Operators and wildcards function equally in all IP searches.Operators: ANDWildcards: * any number of characters anywhere

? exactly one character anywhere

Other features

Help is available on the search features. The Hungarian Patent Office’s index of foreign patent holdings can be accessed by country.IPC schedules and index can be purchased on CD-ROM from the Hungarian Patent Office.There is a document delivery service at a price. There is a search service at a price.

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http://www.inpi.gov.br/search.html (Brazilian Patent Office site)

Database size

Back to 1992. In Portuguese.

Types of interface

Input box for each searchable field.

Searchable fields

Searchable fields include:patent number, priority data, publication date, IPC and Brazilian classification, title and abstract (in Portuguese),assignee, all fields at once.

Displayable fields

Hitlist is initially presented as titles according to year.Each record includes (in Portuguese):

patent number, filing date, publication date, IPC, title, abstract, assignee, inventor and complementary information

Operators and Wildcards

Operators are: AND, OR, NOTWildcards are: * any number of characters at the end

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http://www.ipaustralia.gov.au/resource/database/intro.htm (Australian IP Office site)

This site has patent, trade-mark and industrial design databases. Only the patent database is described below.

Database size

Back to January, 1979.

Types of interface

Non-guuy environment. Rigidly controlled field architecture.

Searchable fields

Searchable fields include:IPC which can be restricted by application year

Displayable fields

Each record includes:application number, patent number, filing date, publication date, grant date, IPC, title, status

Operators and Wildcards

+ equivalent to AND operator

Other features

A help feature is available.

http://www.dagostini.it/patclass/patclass (International Classification)

This provides a list of International Patent Classification codes in four languages (English, French, German, Spanish).

There is access to the group level (and subgroup level in some instances) through a series of hyperlinks. Classificationis limited beyond the group level. The class descriptors are limited and there is no search engine for searching thedescriptors.

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D. Non-patent Literature

The following site descriptions have been prepared to illustrate the availability of search services on the Internet and donot constitute an endorsement by CIPO of the services available at each site.

http://www.dialogweb.com (Dialog site)

See the description for this site under “U.S. Patent Literature”.

An assortment of databases are available at a price.

http://stneasy.cas.org (STN site)

See the description for this site under “U.S. Patent Literature”.

An assortment of databases are available at a price.

http://uncweb.carl.org/ (UnCover site).

Search a variety of journals and magazines dating back to Fall of 1988.Search by keyword, author or journal titles only.Can display titles, authors, journal name and publication date.Get the table of contents of each issue of each journal for which there is an article in the database.Ordering information and prices are available if you want the whole document.

Other commercial services are available at a price.

http://www.nrc.ca/cisti/eps/swetscan.html (SwetScan site)

Search magazines and journals in the holdings of the National Research Council (NRC) CISTI library.Free services include a listing of the libraries holdings with the ISSN number and journal title. The listing is browseableor searchable by keywords.An on-line users manual is available for this site.

All other services require an account.For fee services include:

- searching table of contents by title, ISSN number, volume and year- searching articles by title, keyword in title, and author- document delivery

http://www.cup.cam.ac.uk (Cambridge University Press site)

Hyperlinks to the book and journal holdings of the Cambridge University Press.

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http://www.oclc.org/oclc/menu/fs.htm (Online Computer Library Center site)

Database size

Over 60 technical and business journals can be searched. Registration is required and searching is at a price.

Types of interface

Single input box for basic searches with a pop-down menu for choice of field.Search panel for advanced searches. Input boxes for keywords and pop-down menus for fields and operators.

Searchable fields

Searchable fields depends on the particular journal being searched. Year limitations can be made.

Displayable fields

The initial hitlist gives the number of hits and contains the title, the source and a small summary.

Operators and wildcards

Operators are: AND, OR, NOTW - terms are adjacent in the given orderW# - terms are within # of each other in the given orderN - terms are adjacent in either orderN# - terms are within # of each other in either order

Wildcards: + - any number of characters at the end of a term() - sets precedence

Other features

A help feature is available.There is a document delivery service.

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http://adswww.harvard.edu (NASA Astrophysics Data Systems site)

Database size

Three databases: Astronomy and Astrophysics; Instrumentation; Physics and Geophysics. Back to 1982.Data catalogues and data archives can also be searched.

Types of interface

Data entry box for each searchable field. Radio buttons for some choices.

Searchable fields

The following can be searched:author name, title or abstract, object name (astronomy only), publication date range

Displayable fields

Initially, the hits are ranked by relevancy and the information given is:authors, title, date of publication, bibliographic code

Each record displays:the information above plus the abstract, journal name and origin

Images are available for some articles and books.

Operators and wildcards

Radio buttons allow the choice of simple logic, OR and AND operators, or, full Boolean logic.Full Boolean logic includes: AND, OR, NOT, “ ”, ( )

Other features

Help is available on searching and on field descriptions.The system is defaulted to give synonym replacement.Hyperlinks from the record pages will automatically search similar abstracts, forward citations, backward citations orrelated objects (astronomy only). Not all records have this feature.Default preferences for search and display can be set in the “Filters” and “Preferences” areas.

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http://www.optics.org/search/spie_ab_search.html (Optics Org. Site)

Database size

Four databases: SPIE Proceedings, Optical Engineering, Journal of Biomedical Optics and Journal of Electronic Imaging.

Types of interface

Panel style with input boxes.

Searchable fields

The following can be searched:author name, title or abstract, publication date and publication type.

Displayable fields

Initially, the hits are ranked by relevancy and the information given is:authors, title and date of publication

Each record displays:the searchable information plus the source

Operators and wildcards

AND and OR operators can be used between input boxes.

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http://www.bioscience.org//urllists/proserch.htm (Home Journal Library Index site)

This site is an internet mall for access to a large variety of sites for searching information on protein and nuckeic acidsequences.

http://www4.ncbi.nlm.nih.gov/PubMed/ (PubMed site)

Database size

The following databases can be searched for free:Medline, Gen Bank (DNA and Protein sequences), Biomolecule 3D Structures and Complete Genome

Types of interface

Pop down menu for database choice.Simple keyword searching in a single search box.Advanced command line searching.Boolean search panel with single box.

Searchable fields

Simple search:author, title, ISSN number and keywords. Date limited with pop down menu defaulted to “No Limit”

Advanced search:all or any one of the following fields:

affiliation, author name, E.C. number, issue, journal name, language, MeSH major topic, MeSH terms, page,publication date, publication type, substance name, text word, title word, volume, medline ID, PubMed ID

Boolean search:Field codes must be specified and are different depending on the choice of database. Consult the on-line help forfield codes.

Displayable fields

Initial display contains:the number of hits, one author, publication date, title, references

Record display contains:all authors, title, abstract, references

There is a hyperlink to related articles.

Operators and wildcards

Operators useable are: AND, OR, NOTWildcards are: * - any number of characters to the right

Other features

Help on syntax and field codes is available.There is a “List Term” feature in a pop down menu which allows a listing of variations to a stem.Gene and protein sequences can be searched.

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http://biomednet.com (Biomednet site)

Registration is required to use the search engine but searching is free.

Database size

Medline and MeSH dating back to 1966.

Types of interface

Single input box for search terms.Pop down menus for database selection, date range selection and number of hits displayed.Radio button for selecting chronological or relevance sorting.Tic box for activating the stemming feature.

Searchable fields

The following fields can be searched:subject, author name, author address, CAS registry number, country, publication date, title, vernacular title, abstract,month entered into database, gene symbol, ISSN, journal code, journal issue, journal name, journal pages, journalvolume, language of article, secondary source, publication type, personal name as subject, and MeSH terms andqualifiers

Displayable fields

Initial display contains:number of hits, search string, authors, journal data and title

Record display contains:all other searchable fields

There is a hyperlink to related articles.

Operators and wildcards

Operators useable are: AND, OR, NOTWildcards are: * - any number of characters anywhere in term

? - exactly one character anywhere in the term‘ ’ - exact phrase: - used after a term to restrict the search field$ - soundex or phonetic matching

Other features

Help on syntax and field codes is available.Search histories can be displayed.Table of contents browsing and citation web browsing are available.

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http://heme.gsu.edu/post_docs/koen/wbojoar.html (Koen site)

This site is a chemical database mall with links to various chemical databases. The following are four examples of freedatabases which are linked from this mall. There are other links to databases which charge an access fee.

Netfire (Beilstein) http://www.beilstein.com/netfire/netfire.htmlChemfinder (Cambridge Soft) http://chemfinder.camsoft.comWWW chemical structure database http://schiele.organik.uni-erlangen.de/services/webmol.htmlNIST Webbook http://webbook.nist.gov

http://www.colby.edu/chemistry/cmp/cmp.html (Colby site)

Database size

Search for organic compounds. Not a complete list of all organic compounds.

Types of interface

Input boxes or blanks for filling in field specific data. Radio buttons for choosing between alternatives.

Searchable fields

Searchable fields are:melting point, boiling point, index of refraction, molecular weight, chemical formula (C, H, N, O, Cl, Br, I and Sonly; can use exact numbers or >, < to specify range), UV absorption wavelengths (up to three), mass spectral peaks(up to four), and fragment names within the compound name.

Radio buttons allow choice of the following criteria:presence of carbonyl, presence of aromatic, presence of OH or NH, and presence of types of CH bonds

Displayable fields

Initial hit list gives a list of possible compounds.Individual records for a compound give the data for all the searchable fields as well as original references to the spectraldata.

Operators and wildcards

Input boxes have an implicit AND operator between them.

Other features

There is a hyperlink to the reference list for spectral data since the references are coded in the document display.

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http://chemfinder.camsoft.com (Chemfinder site)

Searches are free but users will be asked to register after a number of searches are performed.

Database size

Searches for chemical compounds (organic and inorganic) can be done. Not all compounds are in the database.

Types of interface

Input boxes for filling in field specific data.

Searchable fields

Searchable fields are:compound name, chemical formula, molecular weight, melting point, boiling point, Chem Abs registry number, andstructural features

Displayable fields

An initial hitlist of compounds is generated of up to a maximun of 25 hits.Individual records contain data on all the searchable fields as well as the following other:

a picture of the structure of the compound, synonyms to the chemical name, evaporation rate, flash point, DOTnumber, specific gravity, vapour density, water solubility, EPA code, RTECS (US Registry of Toxic Effects ofChemical Substances), other comments and other sources of information about the compound

Operators and wildcards

There is an implicit AND operator between the input boxes.The chemical name field has a popdown menu from which the following can be selected:

“is”“contains” - at least 7 letters are required in the search term“starts with” - at least 3 letters are required in the search term“ends with” - at least 7 letters are required in the search term

The structural features field has a popdown menu from which the following can be selected:“is”“contains” - the search term cannot be too broad (eg. 6-membered aromatic ring without other limitations

is too broad)

Other features

Searchers are asked to keep the number of searches to less than 100 per day.There is a mall of chemical sites which provides links to a variety of other specialized chemical databases. This list isquite extensive.

REFERENCES

- Canadian Intellectual Property Office, Manual of Patent Office Practice, October 1996.

- École Polytechnique de Lausanne, “La classification internationale des brevets est sur CD-ROM”, April 1996(obtained from the Internet)

- Ojala M., “A Patently Obvious Source for Competitor Intelligence: the Patent Literature”, Database, Vol.:12, no.4, August 1989, pp. 43-49.

- Organisation for Economic Co-operation and Development (OECD), “Using Patent Data as Science and TechnologyIndicators”, Patent Manual 1994, Vol. 2, No. 66, OECD Working Papers, Paris, 1994.

- “Patently Obvious”, Engineer, June 8, 1995, p. 22. (obtained from the Internet)

- Sulzer J.H., Rose R.F., “Patents: Resources of Technical Information and Source of Library Service Opportunities”,The Reference Librarian, 1991, No. 32, pp. 203-215.

- “Technology: Patent Information at your fingertips - New Software has made the task of monitoring data relativelysimple”, Financial Times, London (UK), June 20, 1995, p.20. (obtained from the Internet)

- University of Michigan Media Union Library, “CASSIS: The Classification and Search Support Information System”.(obtained from the Internet @ http://www.ummu.umich.edu/library/PTO/CASSIS.html)

- USPTO, United States Manual of Patent Examining Procedure, 6th Ed., July 1996, pp.900-21.

- WIPO, “International Patent Classification, 6th Ed. (1994), Vol. 10, Guide, Survey of Classes and Summary of MainGroups”

- WIPO, “Strasbourg Agreement concerning the IPC (1971)”. (obtained from the Internet @http://www.wipo.org/eng/general/ipip/strasbou.htm)

- Wu C., Calhoun E., “Patents: A Valuable Resource in the Information Age”, Special Libraries, Winter 1992, Vol.83, No. 1, pp. 16-25.