Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark...

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Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent Technology Monitoring Division Jim Hirabayashi, Senior Analyst October 27, 2005

Transcript of Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark...

Page 1: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Assignee Name Harmonization Effortsat the

U.S. Patent and Trademark Office

US Patent and Trademark OfficeOffice of Electronic Information Products

Patent Technology Monitoring Division

Jim Hirabayashi, Senior Analyst

October 27, 2005

Page 2: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Background and Characteristics of Name Harmonization Effort at USPTO (1)

• Harmonization is available for first-named assignees of utility patents granted since 1969

• More than 325,000 assignee names are contained in the TAF database which contains selected patent bibliographic data for over 3.5 million utility patents

• In the current database, each assignee name is associated with a preferred or harmonized assignee name

Page 3: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Background and Characteristics of Name Harmonization Effort at USPTO (2)

• Only the first-named assignee name is captured and harmonized

• Assignee location is not captured or stored at this time

• Assignee data are limited to organizational entities (i.e, assignee names of individuals are not captured)

Page 4: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Background and Characteristics of Name Harmonization Effort at USPTO (3)

• Only limited harmonization is performed for first-named assignees listed on pre-grant patent publications

• Harmonized assignee data are part of the USPTO’s TAF database that includes selected bibliographic patent data

Page 5: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Characteristics of the USPTO Harmonized Assignee File

• USPTO’s harmonized assignee file consists of two parts with distinctly different characteristics

1. Assignees for patents granted before approximately July, 1992

2. Assignees for patents granted after July, 1992

Page 6: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Characteristics of the Harmonized Assignee File – Before July 1992

For patents granted prior to July 1992:

• Only the harmonized assignee name is stored in the TAF database

• Length of the harmonized name may be limited (e.g., 60 characters)

• Harmonization was accomplished primarily through a manual process of comparing names

Page 7: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Characteristics of the Harmonized Assignee File – After July 1992

For patents granted after July 1992:

• Both the original assignee name and the harmonized name are stored in the TAF database

• Permitted length of the original and harmonized names is substantially longer (255 characters)

• Harmonization is largely automated with limited, though significant, manual review of assignee names

Page 8: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Assignee Name Harmonization Effort General Observations

• Some variation in the rules applied for name harmonization is inevitable since harmonization has been performed for twenty to thirty years by several different persons (initiated in an effort with NSF support)

• Name harmonization rules used by USPTO are generally conservative based on the understanding that further consolidation of names is substantially easier than the separation of combined entities

Page 9: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

General PTMD Guidelines Used for Assignee Name Harmonization

General rules• Harmonization generally is limited to

variations in assignee name

• Harmonization efforts do not address subsidiary ownership – harmonized names are based on names declared by the assignee even if they are subsidiary names

Page 10: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

General PTMD Guidelines Used for Assignee Name Harmonization

General rules (continued)

• Organizations with similar names generally are not combined when associated with different countries or when different names suggest a different corporate structure

– ASEA BROWN BOVERI AG =/= ASEA BROWN BOVERI AB

Page 11: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

General PTMD Guidelines Used for Assignee Name Harmonization

General rules (continued)• When assignment information, as separately

recorded in USPTO’s Assignment Database, suggests that two similar names are truly the same organization, the two names usually will be harmonized/combined (e.g., when a recorded assignment announces a simple change of organizational name)

Page 12: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

General PTMD Guidelines Used for Assignee Name Harmonization

General rules (continued)• In a limited number of cases, the assignee

name for a patent may be changed within the database– To correct an obvious error (e.g., when a

patent is associated with an incorrect assignee)– To correct an ambiguity and avoid future

problems (e.g., when a patent is associated with an ambiguous assignee name)

Page 13: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

USPTO Assignee Name Harmonization Process

There are three sequential steps for harmonizing assignee names listed on patents that are loaded into the TAF database:

1. Perform computer-based harmonization2. Perform manual harmonization if no name match is

obtained in step (1)3. Perform large scale manual verification and

harmonization for assignees newly identified during a recent, extended time period

Page 14: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

(1a) Computer-based assignee name harmonization

Performed for the assignee as each patent is loaded into the TAF database (weekly):

A. The first-named assignee is extracted from the patent

B. A “condensed” assignee name is created by removing spaces and non-alphanumeric characters and capitalizing all letters

C. The condensed name is compared with the condensed names of existing assignees in the database

Page 15: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

(1b) Computer-based assignee name harmonization

Performed for the assignee as each patent is loaded into the TAF database (weekly):

D. If there is a match with an existing assignee, then that matching assignee is linked to the patent in the database

E. If there is no match, then the new assignee name is linked to the patent in the database and is placed into a list of assignees for manual review (step 2)

Page 16: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

(2a) Manual assignee name harmonization

A. Analyst reviews each new assignee name that did not have a (condensed) name match in the assignee database

B. If a preferred, harmonized assignee name is identified for the new assignee name, then the new name is assigned to that preferred or harmonized name

Page 17: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

(2b) Manual assignee name harmonization

Various tools are used to assist an analyst in a manual assignee review if no computer-based match is found

• CD-ROM database tool with text search and display of assignees existing in the database

• Report displaying assignees of other patents granted to the inventors of the patent with the assignee under review

• Report displaying patent assignee information as recorded separately in the USPTO Assignment Database

• Other tools and resources

Page 18: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

(3) Large scale manual review and assignee name harmonization

To verify the accuracy and integrity of the entire assignee file (e.g., annually)

– PTMD analysts manual review new assignees identified and added during an extended period, usually during the previous year, using tools similar to the weekly review tools

– If a preferred, harmonized assignee name is identified for an existing assignee name, then the preferred, harmonized name is linked to that existing name

Page 19: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Assignee Name Harmonization Tools

1. CD-ROM database tool with text search and display of assignees existing in the database

2. Report displaying assignees of other patents granted to the inventors of the patent with the new assignee under review

3. Report displaying patent assignee information as recorded separately in the USPTO assignment database

4. Other tools and resources

Page 20: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Tools – (1) Assignee Name Harmonization CD-ROM (1/4)

• Permits user to view preferred, harmonized assignee names and numeric codes along with associated alternate assignee names and numeric codes

• Separately counts U.S. and foreign origin patents for each assignee to assist in name harmonization

Page 21: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Tools – (1) Assignee Name Harmonization CD-ROM

Query Screen (2/4)

Page 22: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Tools – (1) Assignee Name Harmonization CD-ROM –

General Display Screen of Harmonized Names (3/4)

Page 23: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Tools – (1) Assignee Name Harmonization CD-ROM

Detail Display Screen of Preferred and Alternate Names (4/4)

Page 24: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Tools – (2) List of Assignees for other Patents Issued to Inventors of the Patent

Containing the New Assignee (1/2)

• Using links to other assignee names through the inventors, this tool permits a user to view possible preferred or harmonized assignee names

Page 25: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Tools – (2) List of Assignees for Other Patents Issued to Inventors of the Patent Having the New Assignee – paper report

(2/2)

Page 26: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Tools – (3) Comparison with Patent Assignees Listed in Separate Patent

Assignments Database (1/2)

• Permits user to view a separately keyed set of assignees associated with the patent containing the new assignee name to suggest possible harmonized names (misspellings often caught here)

• Displays a limited history of assignee name changes associated with the patent

Page 27: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Tools – (3) Comparison with Patent Assignees Listed in Separate Patent

Assignments Database (2/2)

Page 28: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Tools – (4) Other Tools and Resources

Other tools include:

• Direct online access of the assignment database

• Comparison with assignees listed on pre-grant publications (provides only limited assistance at this time)

• Direct online access of selected patents

Page 29: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Database Table Structure

• Data are stored in Oracle database tables• Every assignee name has a preferred or harmonized name – for preferred or

harmonized assignee names, the harmonized name is the same name

Table 1-Primary Table• Patent number• Numeric assignee codeTable 2 – Assignee Table• Numeric assignee code (called the “alternate assignee code”)• Full assignee name (called the “alternate assignee name”)• Condensed assignee name, non-alphanumeric characters removed• Numeric assignee code corresponding to the harmonized assignee name

(called the “preferred/harmonized assignee code”)

Page 30: Assignee Name Harmonization Efforts at the U.S. Patent and Trademark Office US Patent and Trademark Office Office of Electronic Information Products Patent.

Assignee Name Harmonizationat the

U.S. Patent and Trademark Office

US Patent and Trademark OfficeOffice of Electronic Information Products

Patent Technology Monitoring Division

Jim Hirabayashi, Senior Analyst

[email protected]

October 27, 2005

mailto:[email protected]

United States Patent and Trademark Office

United States Patent and Trademark Office

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