Monday, July 18, 2011

How to track transfer of patents' ownership in Patstat

One indicator of value related to a patent may be the change of ownership. The idea is simple: if somebody is willing to buy my idea, maybe it's worty.
Ownership change can also be a way of individuating patent trolls.

In pastat applicant data may change each ediction"the names and addresses are taken from the most recent publication of an application. In PATSTAT we discard names for earlier publications of the same application.

E.g. if we have names for a published US application, and also for a US published grant, then PATSTAT ignores the names for the published application. If there are more than 1 publications of the grant, then only the names from the latest publication are stored in PATSTAT.
" [from pastat docs]

If we need an easier way to track the change of ownership we may use TLS221_inpadoc_prs data where among PRS code we may find change of ownership and the name of new owner.

Some examples are
RAP1 TRANSFER OF RIGHTS OF AN EP APPLICATION
RAP2 TRANSFER OF RIGHTS OF AN EP PUBLICATION

for EPO (in appendix I'll try to make the most complete possible list for all patent offices), being aware that field L509EP contains the names of those to whom was tranferred the property.

FI: EP 1020876 in it's legal status file shows 3 records with cange of ownership on 2003/03/19:

    AUTONETWORKS TECHNOLOGIES, LTD.
    SUMITOMO WIRING SYSTEMS, LTD.
    SUMITOMO ELECTRIC INDUSTRIES, LTD.

anyway if we look @ the application or @ the original document we find 3 owner, exactly:

    SUMITOMO WIRING SYSTEMS, LTD.
    SUMITOMO ELECTRIC INDUSTRIES, LTD.
and ----  HARNESS SYST TECH RES LTD

If we look in Patstat 201010 we find:

    AUTONETWORKS TECHNOLOGIES, LTD.
    SUMITOMO WIRING SYSTEMS, LTD.
    SUMITOMO ELECTRIC INDUSTRIES, LTD.

Eventually if in espacenet we press  + key next tot applicant name, 4 applicants pop up:
    AUTONETWORKS TECHNOLOGIES, LTD.
    SUMITOMO WIRING SYSTEMS, LTD.
    SUMITOMO ELECTRIC INDUSTRIES, LTD.
        HARNESS SYST TECH RES LTD

Making a resume:


In espacenet we find the original applicants, 
pressing +, we get all the owners, even if they do not own the patent anymore

In prs legal data we get, with events of ownership change, all the new owners (if we change only 1 owner out of 50 we will have 49 records with old owners + 1 for new owner)
Patstat always contains the last owner.


APPENDIX: partial list of ownership change status
appln_ctry
prscode1
description
AT
PD9K
CHANGE OF OWNER OF UTILITY MODEL

AT
TC9K
CHANGE OF COMPANY

BE
CH
ENTRY OF CHANGE OF NAME AND/OR HEADQUARTER AND TRANSFER OF APPLICATION,PATENT AND CERTIF. OF ADDITION OF INVENTION: CHANGE OF NAME ON REQUIREMENT

BE
CN
ENTRY OF CHANGE OF NAME AND/OR HEADQUARTER AND TRANSFER OF APPLICATION,PATENT AND CERTIF. OF ADDITION OF INVENTION: CHANGE OF HEADQUARTER REFUSED

CH
SPCP
CERTIFICATES - MODIFICATION OF FIRM

CN
ASS
SUCCESSION OR ASSIGNMENT OF PATENT RIGHT

DD
ASS
CHANGE OF APPLICANT OR OWNER

DE
8327
CHANGE IN THE PERSON/NAME/ADDRESS OF THE PATENT OWNER

DE
8127
NEW PERSON/NAME/ADDRESS OF THE APPLICANT

EP
RAP1
TRANSFER OF RIGHTS OF AN EP APPLICATION

EP
RAP2
TRANSFER OF RIGHTS OF AN EP PUBLICATION

EP
BECN
BE: CHANGE OF HOLDER'S NAME

EP
BECA
BE: CHANGE OF HOLDER'S ADDRESS

EP
BECH
BE: CHANGE OF HOLDER

EP
BE20
BE: PATENT EXPIRED

EP
ITPR
IT: CHANGES IN OWNERSHIP OF A EUROPEAN PATENT

FI
GB
Transfer of assigment of application

FI
PC
Transfer of assignment of patent

GB
COOA
CHANGE IN APPLICANT'S NAME OR OWNERSHIP OF THE APPLICATION

HK
AS
CHANGE OF OWNERSHIP

IL
HP
CHANGES IN PROPRIETORSHIP

LT
PD9A
CHANGE OF THE GRANTEE

LT
PC9A
TRANSFER OF PATENTS

MD
PD4A
CHANGE OF PROPRIETORSHIP

NL
CD
TRANSFER OF RIGHTS (LAID OPEN PATENT APPLICATION)

NL
CNR
TRANSFER OF RIGHTS (PATENT APPLICATION AFTER ITS LAYING OPENFOR PUBLIC IN

NZ
ASS
CHANGE OF OWNERSHIP

PT
PC4K
TRANSFER OF ASSIGNMENT (UTILITY MODEL)

PT
PD4K
CHANGE OF PROPRIETORSHIP (UTILITY MODEL)

PT
PC3K
TRANSFER

PT
PD3K
CHANGE OF PROPRIETORSHIP

PT
PD3A
CHANGE OF PROPRIETORSHIP

PT
PD4A
CHANGE OF PROPRIETORSHIP

Monday, July 11, 2011

Testing application/publication link (PART II)

(Continues from previous post) 

As for linkage among more publiation numbers referring to the same application, now we check the reverse cases.

Double application by punr

On the other hand we may expect that the same publication number would refer always to the same application; this ‘habit’ cannot be applied to all patent authorities as we can see from table below where we calculate by patent office the share of publication numbers with more than one application id against the number of distinct publication numbers.

publn_auth
distinct punr
punr double appln_id
share
'AP'
7141
1
0,01%
'AR'
83260
6
0,01%
'AT'
514356
413133
80,32%
'AU'
1467157
506
0,03%
'BA'
198
22
11,11%
'BE'
583351
38
0,01%
'BG'
52604
2
0,00%
'BR'
466286
36436
7,81%
'CA'
1843352
350
0,02%
'CH'
704132
2323
0,33%
'CN'
3432787
303473
8,84%
'CO'
11558
1
0,01%
'CU'
2462
2
0,08%
'DD'
232684
779
0,33%
'DE'
5379549
626555
11,65%
'DK'
353081
30797
8,72%
'ES'
841106
72023
8,56%
'FI'
261990
13965
5,33%
'FR'
2311307
139
0,01%
'GB'
3090717
4
0,00%
'GR'
98672
2
0,00%
'HR'
11317
24
0,21%
'HU'
176105
6308
3,58%
'IE'
104206
130
0,12%
'IL'
166013
7520
4,53%
'IS'
8088
1726
21,34%
'IT'
825032
72099
8,74%
'JP'
13674415
4371804
31,97%
'KE'
1338
14
1,05%
'KR'
1866890
131794
7,06%
'LT'
6171
61
0,99%
'LU'
60745
14
0,02%
'LV'
4763
14
0,29%
'MC'
2657
99
3,73%
'MD'
4997
246
4,92%
'MX'
181726
139
0,08%
'NL'
581841
5321
0,91%
'NO'
280865
138
0,05%
'OA'
12747
152
1,19%
'PE'
2137
1
0,05%
'PL'
301135
18050
5,99%
'PT'
85717
33
0,04%
'RO'
64496
165
0,26%
'RU'
570155
4
0,00%
'SE'
633534
38
0,01%
'SG'
47181
2170
4,60%
'SI'
18962
1
0,01%
'SK'
31200
62
0,20%
'SM'
696
8
1,15%
'SU'
1182425
7
0,00%
'TR'
40373
6
0,01%
'TW'
294406
51212
17,40%
'UA'
47891
12
0,03%
'US'
10512836
19
0,00%
'UY'
6665
13
0,20%
'VN'
138
26
18,84%
'YU'
42390
1476
3,48%
'ZA'
238035
167
0,07%
'ZM'
2735
1
0,04%


If we look closer the case of Austria: publication number 18 is an emblemathic case (see also http://worldwide.espacenet.com/searchResults?NUM=AT18&DB=EPODOC&locale=en_EP&ST=number&compact=false ).
We can list minimum 2 distinct applications (appln_id 66192897 is an unpublished priority so we may drop it) published with kind U1 and T; Application 90809 published as AT18B can be questioned: espacenet lists it with no data and it’s publication date of 31/12/9999 is doubtful.

PAT_PUBLN_ID
 PUBLN_AUTH
 PUBLN_NR
 PUBLN_KIND
 APPLN_ID
 PUBLN_DATE
90809
 'AT'
 '           18'
 'B'
88381
 '9999-12-31'
426269
 'AT'
 '           18'
 'U1'
348623
 '1994-10-25'
73192897
 'AT'
 '           18'
 'U'
66192897
 '9999-12-31'
817187
 'AT'
 '           18'
 'T'
719612
 '1981-03-15'


Another example may be on CN; punr 1274133 refers to different applications
(see http://worldwide.espacenet.com/searchResults?NUM=CN1274133&DB=EPODOC&locale=en_EP&ST=number&compact=false)

from TLS211:

6603107, 'CN', '        1274133', 'A', 6185806, '2000-11-22', '', 0
7102574, 'CN', '        1274133', 'C', 6566474, '2006-09-06', '', 1

We may infer that those patent office having a share > 1% and a total figure > 2000 of duplication are authorities where more than one serial of publication number is used.

'AT'
514356
413133
80,32%
'BR'
466286
36436
7,81%
'CN'
3432787
303473
8,84%
'DE'
5379549
626555
11,65%
'DK'
353081
30797
8,72%
'ES'
841106
72023
8,56%
'FI'
261990
13965
5,33%
'HU'
176105
6308
3,58%
'IL'
166013
7520
4,53%
'IT'
825032
72099
8,74%
'JP'
13674415
4371804
31,97%
'KR'
1866890
131794
7,06%
'PL'
301135
18050
5,99%
'TW'
294406
51212
17,40%

2a) us example

Even if figure is small (19) it may be raising over time cause publication kind P (plants) has a serial number restarting from 1 that will in time grow and more and more get duplicated with patent of invention (A type) series.

'US'
10512836
19
0,00%

This is the example

PAT_PUBLN_ID
 PUBLN_AUTH
 PUBLN_NR
 PUBLN_KIND
 APPLN_ID
 PUBLN_DATE
 PUBLN_LG
62997521
 'US'
 '     20705'
 'P3'
49996628
 '2010-02-02'
 'EN'
70126104
 'US'
 '     20705'
 'A'
56493551
 '1938-04-26'
 ''

CHECK: PUBLN_NR US 20705 in your db counts 1 or 2 patents? [should be 2]

 2c) did we exclude all?

Eventually we have cases where more than one application id is assigned to the same publication, but it’s correct to drop all of them but one (‘cause 9999 or D2)

One example is EP122624, where appln_id 66112269 should be dropped ‘cause is an unpublished priority

PAT_PUBLN_ID
 PUBLN_AUTH
 PUBLN_NR
 PUBLN_KIND
 APPLN_ID
 PUBLN_DATE
20544092
 'EP'
 '   0122624'
 'B1'
17724798
 '1988-09-07'
20544093
 'EP'
 '   0122624'
 'A3'
17724798
 '1986-11-20'
20544094
 'EP'
 '   0122624'
 'A2'
17724798
 '1984-10-24'
73112269
 'EP'
 '   0122624'
 'A1'
66112269
 '9999-12-31'
 

Anyway this is one example of a general rule for EPO where one publication number correspond to only one application.

Check: see if EP122624 in you database correspond to one only application. [should be 1]
(or if you prefer check id any epo publication refer to more than one application).