Patent searching strategies
The number and importance of patents and patent applications (“patent documents” thereafter) are increasing at a rapid rate, worldwide. Patent literatures have technical strategic importance since approximately 25% of all scientific or technical publications produced each year originate in patent offices around the world. Most of which can be searched as any other kind of literature in databases.
Searching the patent literature can be beneficial for many reasons:
- avoiding re-inventing the wheel and spending a lot of money doing it;
- avoiding wasted legal costs in pursuing patents for “old” technology;
- avoiding potential infringement situations;
- discovering research ideas and solving problems;
- monitoring the activities of players in the field to reveal future plans;
- predicting hot-areas of research that can impact on current products and those that are in the development stage;
- uncovering new market players;
- identifying patents owned and licensed by firms; and
- assessing speakers at conferences and trade-shows.
In addition, there are many benefits to searching patent documents over the scientific literature, such as:
- most private enterprises, especially large companies, publish in the patent literature before, or to the exclusion
of, the scientific literature. In fact, it has been estimated that 80% of the information contained in patent
- documents is not reported elsewhere in the scientific and technical literature.
- patent documents generally describe the invention in very broad terms which gives some idea of the potential
- directions of and alternatives to the technology of interest.
- patent documents present information that is detailed and complete, and that is indexed - or classified - according to the type of technology involved, which makes searching a lot easier
Search Strategies
There are a few simple steps to searching “SMARTER” in the patent literature:
- Specify information needs (e.g. identifying recent technical developments only ?)
- Match information sources to needs (e.g. talk with a patent expert in addition to the database search ?)
- Assess on-line patent search tools (e.g. which patent database(s) should I use ?)
- Recognize patent databases and search tools differences (e.g. which classification system should I use ?)
- Think search statements (e.g. which wildcards or Boolean operators should I use ?)
- Execute the search
- Refine the search (e.g. what other parameters could I use to refine the search results ?)
The most efficient and effective search strategy depends on two factors:
1) Purpose of the search
- Patentability searches require a complete and thorough coverage of all databases as far back in time as possible;
- Infringement searches require a complete and thorough search of patent databases, in the country of interest,within the life-time of a patent (generally 17 to 20 years);
- “State-of-the-art” technology searches require a generally superficial search in a variety of pertinent databasesover the last few years;
- “Cutting edge” technology searches require a complete search but only within the last year or less.
2) Database being used
Simply put, the database limits the fields and dates that can be searched and also limits the results which can be viewed. Consider the nature, strengths and weaknesses of each database in light of the purpose for the search. For example, is the database deriving its information from a single national patent office, or is it combining information from several offices ?
Types of Strategies:
There are 4 basic strategies that are commonly used to search the patent literature:
1) Classification Search Only:
Using the classification catchword index, schedules and concordance tables along with preliminary searches, determine all possible classifications for your invention. Retrieve all documents from the above classes and go through them one-by-one to assess their relevancy. This method of searching emulates the old manual method employed by patent examiners when doing a search in the paper files. It is quite thorough provided you are confident that all appropriate classes have been determined. It is effective for doing patentability searches in the patent literature. However, this method is also quite tedious. One disadvantage of searching classes relates to the IPC. Every five years the IPC is updated and new classes are created in high activity areas. However, old patent documents are not reclassified into the new version thus
there can be a problem with class continuity.
2) Keyword Search Only:
Using keyword searches in titles, abstracts, descriptions and/or claims will retrieve relevant documents. However, there are problems with doing searches using keywords alone; for example, searching for methods of defoaming liquids while filling containers would be very time-consuming, if not impossible, by using words: truncated words like fill* (or fill?, etc.), contain*, bottl*, flask*, and their synonyms would yield too many postings. Other limitations of searching exclusively with keywords include:
- There are a large number of synonyms, patent jargon and spelling variations to consider for each word. This
- problem can be attacked with operators and Wildcards but the problem cannot be eliminated.
- Most databases work with indexed keywords; thus, you are relying on the quality of indexing.
- Most databases only allow title or abstract searching which severely limits the utility of keyword searching.
- One term can be used in a variety of technologies; thus you will obtain many completely irrelevant hits.
Keyword searches alone should not be used if you want a thorough search. Keyword searches are good for doing
a state of the art search in the patent literature or if you are trying to determine other possible classes, keywords, inventors or assignees on which to do a search. In addition, a keyword search should be done to supplement a classification search to ensure complete coverage of the database.
Finally, combinations of keyword strategies using operators and wildcards should be used to maximize the quality of hits obtained.
3) Classification AND Other Parameters Search:
All the relevant classes can be searched to compile an initial list of patents. If the quantity of patents is too large for a one-by-one assessment, then another parameter can be used to narrow the hit list. These parameters could be:
- Keywords in the title, abstract, description or claims (depending on the database) - note: keywords in patent titles are very unreliable
- Date ranges such as issue date, publication date and filing date
- Country/ies of interest
4) Others:
- Citations in relevant U.S. patents should be checked for additional relevant hits, for more classes, and/or for more keywords.
- Inventor and assignee (owner) searches can be done if you know active inventors or companies in the area of technology.
In the end, the best approach to searching the patent literature is to use the classification system that suits your needs and to supplement classification with keyword searches and with searches in other fields such as the inventor field. If you have the time and resources, a variety of strategies and databases should be employed to ensure a thorough and complete search.
Searching the patent literature can be beneficial for many reasons:
- avoiding re-inventing the wheel and spending a lot of money doing it;
- avoiding wasted legal costs in pursuing patents for “old” technology;
- avoiding potential infringement situations;
- discovering research ideas and solving problems;
- monitoring the activities of players in the field to reveal future plans;
- predicting hot-areas of research that can impact on current products and those that are in the development stage;
- uncovering new market players;
- identifying patents owned and licensed by firms; and
- assessing speakers at conferences and trade-shows.
In addition, there are many benefits to searching patent documents over the scientific literature, such as:
- most private enterprises, especially large companies, publish in the patent literature before, or to the exclusion
of, the scientific literature. In fact, it has been estimated that 80% of the information contained in patent
- documents is not reported elsewhere in the scientific and technical literature.
- patent documents generally describe the invention in very broad terms which gives some idea of the potential
- directions of and alternatives to the technology of interest.
- patent documents present information that is detailed and complete, and that is indexed - or classified - according to the type of technology involved, which makes searching a lot easier
Search Strategies
There are a few simple steps to searching “SMARTER” in the patent literature:
- Specify information needs (e.g. identifying recent technical developments only ?)
- Match information sources to needs (e.g. talk with a patent expert in addition to the database search ?)
- Assess on-line patent search tools (e.g. which patent database(s) should I use ?)
- Recognize patent databases and search tools differences (e.g. which classification system should I use ?)
- Think search statements (e.g. which wildcards or Boolean operators should I use ?)
- Execute the search
- Refine the search (e.g. what other parameters could I use to refine the search results ?)
The most efficient and effective search strategy depends on two factors:
1) Purpose of the search
- Patentability searches require a complete and thorough coverage of all databases as far back in time as possible;
- Infringement searches require a complete and thorough search of patent databases, in the country of interest,within the life-time of a patent (generally 17 to 20 years);
- “State-of-the-art” technology searches require a generally superficial search in a variety of pertinent databasesover the last few years;
- “Cutting edge” technology searches require a complete search but only within the last year or less.
2) Database being used
Simply put, the database limits the fields and dates that can be searched and also limits the results which can be viewed. Consider the nature, strengths and weaknesses of each database in light of the purpose for the search. For example, is the database deriving its information from a single national patent office, or is it combining information from several offices ?
Types of Strategies:
There are 4 basic strategies that are commonly used to search the patent literature:
1) Classification Search Only:
Using the classification catchword index, schedules and concordance tables along with preliminary searches, determine all possible classifications for your invention. Retrieve all documents from the above classes and go through them one-by-one to assess their relevancy. This method of searching emulates the old manual method employed by patent examiners when doing a search in the paper files. It is quite thorough provided you are confident that all appropriate classes have been determined. It is effective for doing patentability searches in the patent literature. However, this method is also quite tedious. One disadvantage of searching classes relates to the IPC. Every five years the IPC is updated and new classes are created in high activity areas. However, old patent documents are not reclassified into the new version thus
there can be a problem with class continuity.
2) Keyword Search Only:
Using keyword searches in titles, abstracts, descriptions and/or claims will retrieve relevant documents. However, there are problems with doing searches using keywords alone; for example, searching for methods of defoaming liquids while filling containers would be very time-consuming, if not impossible, by using words: truncated words like fill* (or fill?, etc.), contain*, bottl*, flask*, and their synonyms would yield too many postings. Other limitations of searching exclusively with keywords include:
- There are a large number of synonyms, patent jargon and spelling variations to consider for each word. This
- problem can be attacked with operators and Wildcards but the problem cannot be eliminated.
- Most databases work with indexed keywords; thus, you are relying on the quality of indexing.
- Most databases only allow title or abstract searching which severely limits the utility of keyword searching.
- One term can be used in a variety of technologies; thus you will obtain many completely irrelevant hits.
Keyword searches alone should not be used if you want a thorough search. Keyword searches are good for doing
a state of the art search in the patent literature or if you are trying to determine other possible classes, keywords, inventors or assignees on which to do a search. In addition, a keyword search should be done to supplement a classification search to ensure complete coverage of the database.
Finally, combinations of keyword strategies using operators and wildcards should be used to maximize the quality of hits obtained.
3) Classification AND Other Parameters Search:
All the relevant classes can be searched to compile an initial list of patents. If the quantity of patents is too large for a one-by-one assessment, then another parameter can be used to narrow the hit list. These parameters could be:
- Keywords in the title, abstract, description or claims (depending on the database) - note: keywords in patent titles are very unreliable
- Date ranges such as issue date, publication date and filing date
- Country/ies of interest
4) Others:
- Citations in relevant U.S. patents should be checked for additional relevant hits, for more classes, and/or for more keywords.
- Inventor and assignee (owner) searches can be done if you know active inventors or companies in the area of technology.
In the end, the best approach to searching the patent literature is to use the classification system that suits your needs and to supplement classification with keyword searches and with searches in other fields such as the inventor field. If you have the time and resources, a variety of strategies and databases should be employed to ensure a thorough and complete search.
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