search tools and strategies david barford consultant ulaanbaatar march 2015
TRANSCRIPT
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
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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