Cited references and citing references link patent documents through time and by subject. As citations do not depend on text search, they can be particularly useful for identifying patents from the Asian languages. Using forward and backward citations can enhance subject retrieval and provide added competitor information. Tools for searching and viewing patent citations, both forwards and backwards are now standard on most commercial patent information platforms. An overview of these will be presented. When using patent citations for search and analysis, it’s important to understand their origin. I will start by going back to basics and present an overview of the different types of patent citations, and how to use them wisely.

1. Extract Information Limited
www.extractinfo.info
Jane List
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Consultancy
Search Services
Training
Patent Information

2. Patent citation analysis: tools and techniques
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Monday 13th October 2014, Heidelberg, Germany
Jane List

3. Extract Information Ltd
www.extractinfo.info
© Extract Information Limited
Consultancy
Commercialisation strategy
Content development for marketing, presentations and trainings
Evaluation of databases and information sources
Product development
SME IP related services include
IP management, identification of funding opportunities, markets, potential customers, information for technology and landscape analysis
Search Services
Competitive intelligence Literature and systematic reviews Landscaping Patent searching Technology scouting

4. © E x t r a c t I n f o rma t i o n L imi t e d
 Citations in search / analysis
 References cited during examination
 Cited / citing references in databases
 Recommendations
Patent citation analysis: tools and
techniques

5. Citation Intelligence
Patentability
Identify key (platform) inventions
Key inventors
Identify potential
competitors
Identify potential clients
State of the Art
Claims scope Patent Landscaping
Patent watching
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Collaborations
Narrow analysis Broad analysis
Forward searching from a
known key patent
Add additional terms,
classifications, inventors
to your search
Cited references Citing references
Patent citation counting
Invalidity

6. Cited references in research papers
© E x t r a c t I n f o rma t i o n L imi t e d
• added by the author before submitting the paper for publication
• represent the field of research relevant to the author’s work
http://wokinfo.com/sci-anniversary.html

7. 1.Cited References –on patents
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6
EP’723, EP’565, EP’654, DE’995, JP’721
EP’723, EP’565, EP’654,
DE’601

8. 2.Cited References – on patents
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4
•added by the inventor, examiner, in opposition at different times
•found in the specification, on the search report, and in file histories

9. 3. Cited references –in IP5 Common Citation Document
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http://ccd.fiveipoffices.org/CCD-2.0.4/
JPH436172
5
24
•single place for offices to share search results
•But DE 1503601 opposition reference missing

10. 4. Cited References -in European patent register
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9
https://register.epo.org
•review file history for complete picture

11. 5.Cited References –in espacenet
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3
http://worldwide.espacenet.com
Cited documents
•cited patent references from first publication

12. 6. Cited References -in global
patent index
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5
https://data.epo.org/expert-services
•cited references found with applications

13. 7. Cited References –in Thomson Innovation
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5
•references from application stage(s) collected
•DE 1503601 opposition reference missing
•JP references to PAJ treated as NPL so not directly searchable
http://www.thomsoninnovation.com

14. 8. Cited References –in Thomson Innovation – backward citation maps
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2 generations of backward citations
WO94000046A1
EP647114A1/B1/B2

15. 9. Citing References –in Thomson Innovation
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791
http://www.thomsoninnovation.com

16. © Extract Information Limited
10. Cited/ citing references –in google patents
https://www.google.com/patents
24
CN citations

17. © Extract Information Limited
Recommendations
Patent information users
(Patent) information providers
Provide date citations added
Add appeal citations
Do not add citing patents link if there are none
Facilitate direct searching of
oPatent citations posted as NPL
oInventor citations from the text
oScientific literature
Forward and backward citation searching can improve results, but
use technology checks in broad searching
remember citation practice varies by authority

18. Extract Information Limited
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jane@extractinfo.info
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19. Patent databases providing citation data
•Free databases
–Common Citation Document http://ccd.fiveipoffices.org/CCD-2.0.4
–Espacenet www.epo.org
–Patentscope www.wipo.org
–Google / patents www.google.com/patents
•Subscription databases
–Derwent World Patent Index www.thomsonreuters.com
–Global Patent Index www.epo.org
–IntellexIR www.intellexir.com
–Patbase www.patbase.com
–ProQuest Dialog http://search.proquest.com/professional
–Questel (Pluspat/ Fampat) www.questel.com
–Thomson Innovation www.thomsoninnovation.com
–TotalPatent www.lexisnexis.com
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20. Resources for patents and citation searching
Articles: Forward searching – A complement to keyword- and class-based patentability searches, Olivier Couteau, World Patent Information, 2014, 37, June 2014, Pages 33–38 An A to X of patent citations and searching, Jane List, World Patent Information, 2010, 32, p. 306-312. Books: The Future of the History of Chemical Information (Ch. 5 Patents and patent citation searching) Editor(s): Leah R. McEwen, Robert E. Buntrock; Vol. 1164, Publication Date (Web): August 6, 2014, ACS Division of Chemical Information, ISBN13: 9780841229457, DOI: 10.1021/bk-2014-1164 Websites: 50 years of Science Citation Index http://wokinfo.com/sci-anniversary.html
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21. Case studies
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Patent landscaping