search tools and strategies david barford consultant ulaanbaatar march 2015

Search Tools and Strategies

David Barford

ConsultantUlaanbaatar

March 2015

Online Patent Databases - introduction

Intellectual Property Offices, Patent Offices and other authorities around the world have made internet-based patent databases available

This constitutes one of the world’s principal sources of detailed scientific and technical information

Millions of patent documents can now be searched free of charge

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Online Patent Databases – examples

WIPO

https://patentscope.wipo.int/search/en/search.jsf

EPO

http://worldwide.espacenet.com/advancedSearch?locale=en_EP

USPTO

http://www.uspto.gov/patft/index.html

JPO

http://www.ipdl.inpit.go.jp/homepg_e.ipdl

Google

https://www.google.com/?tbm=pts&gws_rd=ssl

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Online Patent Databases – a note of caution

PLEASE NOTE -

each database covers a different set of documents–though there is often overlap

some documents may be there in full, but others only in part eg the title and abstract

each database has a different set of rules as to how it can be searched

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SEARCH TOOLS

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So – is searching patent databases just like doing a search on google?

Well, you could search patent databases by just throwing in queries comprising various words and phrases, and hoping for the best

Or you could be much more precise, by structuring your search queries using search tools and operators

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How?

For word searching, you can select:

how the words are combined

whether any words are to be excluded

whether the words have to be next to or near to one another, and how close they must be

and you can search using part words, phrases and brackets

Or you can search using classifications, numbers, dates or names

Or you can combine any or all of these

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Fields

You can also decide which sections – or fields - of the database you wish to target with your search, eg

the full text

the front page

the title

the abstract

the patent or application numbers

the priority dates, application dates or publication dates

names of applicants and inventors

combinations of these

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In short:

To structure search queries:

use operators (Boolean, Proximity, Wildcards and truncation)

use phrasing and nesting

To direct a search to selected areas of the database:

use field operators to specify which fields are to be searched

These are the topics we’ll be discussing in more detail

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George Boole

Philosopher and mathematician, born in 1815

Famous for having developed Boolean algebra, the basis of digital computer logic

Derived from this algebra are the most commonly used operators in online searching - Boolean operators

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Boolean operators

The most important Boolean operators are:

AND

OR

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Examples

So if we are searching for documents relating to electric cars, we can use the search query electric AND car

only documents having both the words “electric” and “car”

But if we are looking for documents relating to cars or trucks, we will need to search for car OR truck

any document having either the word “car” or “truck” or both of these words or all three of these words

If no operator is specified, many databases automatically assume that you mean AND, ie:

electric car only documents having both the words “electric” and “car”

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Boolean operators : AND

electriccar

electricANDcar

Boolean operators : OR

car OR truck

Proximity operators

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Proximity operatorsIf we are searching for electric cars, as in the previous example, we do not really want to pick up documents which simply contain, anywhere in the document, the word electric and the word car

What we really want is to find documents which have the words electric and car in the same part of the document.

So we can use proximity operators.

For instance in Patentscope, we can use the operator NEAR

Proximity operators in Patentscope

electric NEAR car documents having both the words “electric ” and “car” within five words of each other

To select a different number of words n, use the command “~ n”

electric NEAR car ~ 10 documents having both the words “electric ” and “car” within ten

words of each other

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Phrasing

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Phrasing in Patentscope

Searching words using the AND operator can give false drops eg one of the documents found when searching “bicycle AND stand” describes

an isocyanate compound .. bicycle (2.2.1) heptane … left to stand at room temperature

To avoid this, need to specify that bicycle and stand are near to each other, so could use the proximity operator NEAR as in the previous example

But really we only want bicycle and stand next to each other

So search the phrase “bicycle stand“ ie with the words of the phrase enclosed in quotation marks

Cautionary note phrases such as “electric car“ - will be searched as just that, so won‘t pick up the phrase “electric or hybrid car“. So here need to go back to proximity operators

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Wildcard operators and truncation

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Wildcard operators and truncation

If searching in the area of electrical technology, you might wish to include all the words electric, electrical, electricity, electronics, electrostatic etc

Could use the Boolean operator OR, ie search electric OR electrical OR electricity OR electronics OR electrostatic

Better to truncate - ie search “electr”, with a wildcard operator to look for all words beginning with electr . This is called right truncationDifferent search systems use different symbols as wildcard operators – for instance * or ? or % or $

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Wildcard operators and truncation in Patentscope

Patentscope uses *, so search term would be electr*

Patentscope uses ? for single character truncation

Can also use internal truncation in Patentscope, for instance:

elec*ty will find electricity

elec*al will find electrical, but also electoral!

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Nesting

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Nesting in Patentscope

Queries which mix different Boolean operators can be ambiguous.

For instance, car OR truck AND electric could mean:

car OR (truck AND electric), or alternatively

(car OR truck) AND electric – which is what we want

To avoid such ambiguities, organise search queries by putting in the parantheses (ie brackets)

so search for (car OR truck) AND electric

This is called nesting (or grouping)

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Conclusion

When searching patent databases, it is essential

to think carefully about what exactly you want to search for

and to express it accurately and unambiguously

The computer will then do exactly as you ask it to; nothing more and nothing less

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Fields

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Fields

The content of a patent document can be broken down in different ways, eg:

The textual matter - title, abstract, description and claims – collectively the full text

The front page data – again this includes the title and abstract, but also includes details of dates, names, numbers and classifications (and excludes the description and claims)

The front page data is also called the bibliographic data

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Example of bibliographic dataLatest bibliographic data on file with the International Bureau

Pub. No.:    WO/2011/020165   

International Application No.:    PCT/AU2010/001083

Publication Date: 24.02.2011 International Filing Date: 23.08.2010

IPC: A01G 17/14 (2006.01), E04H 17/06 (2006.01), E04H 17/10 (2006.01), E04H 17/20 (2006.01)

Applicants: ONESTEEL WIRE PTY LIMITED [AU/AU]; Level 40 259 George Street Sydney, New South Wales ...

Inventor: HOWLETT, Warren John............

Agent: GRIFFITH HACK; Level 29 Northpoint 100 Miller Street North Sydney .

Priority Data: 2009903959   21.08.2009   AU 2009904631   24.09.2009   AU

Title (EN) POST MOUNTING SYSTEM AND DEVICE(FR) SYSTÈME ET DISPOSITIF DE MONTAGE DE MONTANT

Abstract: (EN) A post mounting system comprises a post and at least one device for mounting to the post. The post is ..................

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Searching fieldsThese different parts of the document are called fields, and many of them can be searched individually, for instance, if I’m interested in ladders I can search:

The full texts for any mention of a ladder, or

The abstracts - which will only cover cases where the mention of a ladder is fairly significant

The titles - which will only cover cases where the mention of a ladder is much more significant

Example in Patentscope

~ 20,000 hits for ladder {no field specified; default field is full text}

~3,000 hits for AB:ladder {field operator AB limits search to abstracts}

~ 2,000 hits for TI:ladder {field operator TI limits search to titles}

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Searching patent document reference numbers and dates

Application or filing number

Publication number

Priority number

Application date or filing date

Publication date

Priority date

Searching applicants’ or inventors’ names

Search an applicant or inventor’s name:

Novartis, BMW, Sony, Mittal, etc.

Dyson, Smith, etc.

Careful since same applicant may use different versions of their name, e.g. International Business Machines Corporation, IBM, IBM Ltd., IBM GmbH, etc.

Searching by patent classification

Similarly you can search using patent classification:

IPC

ECLA

F/FI Terms

USPC

Others

Searching fields in Patentscope – Simple Search:no need for field operators

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Searching fields in Patentscope – Advanced Search:need for field operators

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Combining fields

Fields can be combined eg: IC:H01Q1/24 AND AB:protect

This will search documents classified in IPC:H01Q1/24 and having the word “protect” in the abstract

(H01Q1/24 deals with cell phone aerials)

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Further information

Patentscope – See Help, How to search, Query syntax, Fields definition

Other databases USPTO, Espacenet etc, will use similar approaches – but there will be differences which you will need to familiarise yourself with from the respective Help pages

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Search tools - What we’ve discussedOnline searching of patent databases can be much more sophisticated and focussed than a simple internet search:

by structuring search queries, and

by directing search queries

Structure search queries:

by using operators – Boolean, proximity, wildcard and truncation

by using phrasing and nesting

Direct search queries to selected fields

to search for dates, names, numbers and classifications

to search for words in titles, abstracts, descriptions, claims or the full text

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SEARCH STRATEGIES

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The client – a professional working relationship (1)

Discuss client's objectives and requirements

Explain the different types of search

Explain strengths of searching patent databases– eg structured and flexible worldwide access to enormous volumes of detailed technical data across all technical fields

Explain potential shortcomings – no guarantee that every reference will be found; challenges in certain specialised fields

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The client – a professional working relationship (2)

- Discuss client's knowledge of prior art, names of competitors

- Agree what you will search for- Explain that you will go back to client if necessary before

search is complete – eg too many hits, too few hits, clarification required

- Report: record subject matter searched for, where search made; list of patents found (citations), analysis of citations – relevance, content (page and line or column numbers, figure numbers), and, if relevant, information on publication date, legal status etc

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Approach to searching – what to search for

Depends on type of search:

Validity

Patentability

Freedom to operate

State of the art

Depends on client’s views and knowledge

Depends on complexity of invention and technical field of invention

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Approach to searching – how (1)

Can use a quick online review to

gain some familiarity with the technology

become aware of any specialised vocabulary

find synonyms, classifications etc

find out who is working in the field

If you are aware of who’s working in the field – inventors, or applicants - can start with a name search

If you are aware of an existing patent number, can start with a number search

Can look for suitable classifications eg in the International Patent Classification (IPC) http://www.wipo.int/classifications/ipc/en/index.html

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Approach to searching – how (2)

Then carry out full search with words, classifications, names etc as appropriate

Use available search tools and fields (topic 7)

Boolean operators AND, OR, NOT and others

Fields of search – eg title, abstracts, full text

Try different strategies with a low number of words/classifications to explore the technology step by step

Prepare strategies offline and paste into command input window

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Approach to searching – where

Where?

Online databases listed above

Local databases or registers...

Again may depend on type of search

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Words or Classifications?

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Factors influencing whether to search using words or classifications or both

dealt with in Theme 5 – after lunch

Carrying out the search

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Carrying out the search

Select database, enter search terms – and go!

Unfamiliar with the technology or the database?

Do some quick experimental searching to get your eye in and gain a preliminary view

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Don’t get bogged down!

Thousands of hits? -Try limiting word searches to the abstracts or titles

Narrow down what you’re searching for eg limit the search to an example rather than a general principle

A quick and dirty search may strike lucky

But be cautious, you may need to go back and widen the scope of your search in the light of what you’ve found

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An iterative process

Learn as the search proceeds

Adjust your search in the light what you find and what you learn

If necessary, go back to the client to seek clarification or explain where you’ve got to

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This should be an iterative process

When to stop

Depends on type of search

Freedom to operate searches – need to be very thorough

State of the art searches – depends on the nature of the query and what you find. Hits can be analysed thoroughly (qualitative); or statistically (quantitative).

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When to stop

Patentability and validity searchesIf you‘ve knocked out all of the claims, or have reached a point where the claims diverge widely from a central idea and it is not clear which is the preferred direction, it may be legitimate to stop

Remember, for novelty, only one comprehensive document is required to knock out a claim

If on the other hand you‘ve found little or nothing, there may be a temptation to keep going on and on. Here you will need to use experience and common sense – some ideas are actually new!

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What factors affect results?

subject matter .. whether simple or complex; mature or just developing

available databases and search tools

search terms available for particular search, especially words and classifications

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Above all, the quality of the result is determined by the searcher and his or

her knowledge and methodology

Patent searching - art or science?

Searchers need to develop knowledge and clear understanding of databases and search tools

Equally, searchers need to develop technique. Careful analysis, judgement,feel and flexibility are vital

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PRACTICE, EXPERIMENT, ENJOY --- DELIVER

Errors

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Errors – yours and theirs

Errors in databases – outside searcher’s control:

Typos, spelling mistakes in documents

Wrong classifications

Errors made by searcher – under searcher’s control:

Typos, spelling mistakes in search queries

Misunderstandings as to what a database covers

Faulty search syntax

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Faulty search syntax - the problem

Operators, such as Boolean (AND, OR etc), enable complex search queries to be constructed – a powerful search tool

However, the more complex the syntax the greater the chance of error

Sometimes, the system will warn of errors – “Cannot parse query!”

Sometimes errors are not obvious

Search Go2B21 instead of G02B21 – zero hits

Search microscope OR Go2B21 – 180,000 hits

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Faulty search syntax the solution

Be alert to the reasons behind unexpected results – eg zero hits

If in doubt, experiment with simple search queries and syntax

Don’t complicate unnecessarily

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Every searcher - however experienced - needs to be continually aware of the

possibilities of faulty syntax

Example of a simple search

Some (even many) searches are straightforward, in which case don't over-complicate

A client has the idea of incorporating a reservoir of toothpaste in the toothbrush. She‘s never seen anything like it in the store; can she get a patent for it?

Examination of the IPC shows that sub-class A46B deals with brushes and that A46B11 and A46B13/04 and 13/06 specifically deal with “brushes with reservoir or other means for applying substances”

Hence search IPC classifications (A46B11 OR A46B13/04 OR

A46B13/06) AND ‘toothpaste’

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Search in Patentscope

Results ... 219 for Criteria:IC:("A46B11" or "A46B13/04" or "A46B 13/06") and toothpaste

Example:1. WO WO/2010/144938 -SINGLE-USE TOOTHBRUSH HAVING A RESERVOIR OF TOOTHPASTE ASSOCIATED WITH THE HEAD 23.12.2010 A46B 11/02 PCT/AU2009/000757 VASILJKOVIC, Zelko VASILJKOVIC, Zelko A single-use toothbrush having a head and handle, bristles on one side of the head, a reservoir of toothpaste associated with the head the contents of which can be moved into connection with the bristles so that when the brush is to be used, the toothpaste may be moved from the reservoir to be in contact with the bristles from which it is spread into the users mouth. The handle of the toothbrush may be hollow and adapted to receive and retain mouthwash.

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Strategies: What we’ve discussed

Handling the client

What to search for; where and how

Carrying out the search – experimenting; learning; adjusting

Art or science?

the need to be clear on the facts concerning search tools and databases contents

the need to develop technique; to be analytical and flexible whilst carrying out the search - an iterative process

Avoiding errors, especially faulty syntax

The toothbrush – an example of a straightforward search

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Thank you for your attention!

For more information, please contact:

tisc@wipo.int