Search Tools and Strategies David Barford Consultant Ulaanbaatar 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

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

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

SEARCH TOOLS

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

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

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

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

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

Boolean operators The most important Boolean operators are: AND OR

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”

Boolean operators : AND electric car electric AND car

Boolean operators : OR car OR truck

Proximity operators

Proximity operators If 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

Phrasing

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

Wildcard operators and truncation

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 truncation Different search systems use different symbols as wildcard operators – for instance * or ? or % or $

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!

Nesting

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)

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

Fields

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

Example of bibliographic data Latest 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 ..................

Searching fields These 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}

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

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

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)

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

Search tools - What we’ve discussed Online 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

SEARCH STRATEGIES

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

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

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

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

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

Approach to searching – where Online databases listed above Local databases or registers... Again may depend on type of search

Words or Classifications? Factors influencing whether to search using words or classifications or both dealt with in Theme 5 – after lunch

Carrying out the search

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

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

This should be 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 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).

When to stop Patentability and validity searches If 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!

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 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 PRACTICE, EXPERIMENT, ENJOY --- DELIVER

Errors

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

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

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 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’

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.

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

Thank you for your attention! For more information, please contact: tisc@wipo.int