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This article has been based on the authors presentation at the International Patent Information Conference, IPI-ConfEx,
in March 2006, in Athens, Greece.
Abstract
Many searches are not successful because the searcher either fails to properly identify the subject at hand - and consequently starts
searching for the wrong documents or that the searcher makes a fatal mistake while combining keywords and/or classes during the
search itself. This can be avoided by taking a structured approach to searching: (1) Distinguish between analysis of the technical subject,
identication of selection criteria and the selection and use of search terms. (2) When analyzing a technical subject, some guidance may
be provided by recognizing that the problem is often dened as a cause and eect relationship. The solution can be seen as combination
of action and subject, the subject being used to perform the action, and the action being directed at the cause. (3) While searching, a
major pitfall is to try to come up with complete sets of keywords and classes for each essential feature and then to combine them for
searching. The resultant queries fail to recognize that each search term is useful to a dierent extent. The article has particular relevance
to searches in the patent eld.
2006 Elsevier Ltd. All rights reserved.
Keywords: Subject analysis; Problem; Solution; Cause; Eect; Action; Subject; Search strategies; Queries; Precision; Recall; Hits; Patent searching
1. Introduction
During the past ve to ten years we have seen tremendous developments to improve coverage and consistency
of databases and to enhance the quality of search platforms, both by patent-oces and by vendors of patent
information. Much work remains to be done. Poor indexing and abstracting still can defeat a searcher. Nevertheless, these developments have reached a point that for
many subject areas not the quality of the tools or the comprehensiveness of databases, but the skills of the searcher
just may have become the bottleneck in the search process.
In the past, searchers had access to only a limited number
of sources of information. As a result, the quality of
searches was limited: One could not blame the searcher
for not nding information that he (or she) did not have
E-mail address: evert.nijhof@asml.com
0172-2190/$ - see front matter 2006 Elsevier Ltd. All rights reserved.
doi:10.1016/j.wpi.2006.07.013
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Selection criteria are used for review of documents (culling), not necessarily for searching. Selection criteria help to
match your search to your clients needs.
In step one we have analysed the technical subject and
have identied the following ve aspects:
1.
2.
3.
4.
5.
the
the
the
the
the
action,
direct object of the action (the cause),
subject,
object of the invention,
technical eld.
It is important to note that not all of these aspects necessarily need to be regarded as an essential feature for selection. That may sound strange but it really depends on the
type of search request at hand. It also may depend on how
the search is progressing. For instance, the client may want
to learn about all possible solutions to the problem at
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(EF1)
(EF1)
(EF2)
(EF1)
and
and
and
and
(EF2).
(EF3).
(EF3).
(EF2) and (EF3).
4.2. Example
The example concerns a novelty search for the use of
blades in the projection system (of a microlithographic
exposure apparatus) to reduce are. The term are, also
known as stray light, is used to indicate light that has a negative eect on imaging quality. The searcher spent eleven
hours on this search and did not nd the publication shown
in Box 1:
The publication was properly classied and are was
mentioned as the problem to be solved in the full text.
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Box 1. US2003020893: abstract and drawing from a relevant document not found.
doing the same searching full text and guess what: Only
162 hits and still a high precision result set. Number 15
of the mentioned 162 hits is the reference shown, easily
identied by the front page drawing.
This way it took less than 30 minutes to nd this relevant publication where the rst searcher failed to locate
the document at all, and that in eleven hours of searching.
The point is NOT that the methodology used helps to
locate relevant documents so quickly (although it is a very
convenient side eect of this methodology), the point is
that use of this methodology prevents the searcher from
taking a wrong turn as a result of which he will not be able
to retrieve some relevant documents at all. Therefore, the
searcher should not only be aware of this methodology
for novelty or patentability searches but also for clearance
or freedom to operate searches.
4.3. Dos and donts
As mentioned earlier, in general it makes good sense to
start searching precisely and small and subsequently
expand carefully. This is particularly true when trying to
put this theory of dierent search terms into practice. That
is because generally speaking, the number of hits will be
lower and/or the result sets more precise in smaller search
environments. As a result, you will have more search terms
of type 1 at your disposal in these smaller environments.
Examples of smaller search environments are abstract
databases versus full text databases or small databases dedicated to one particular subject area versus large databases
covering all technologies. Smaller environments can also be
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Table 1
Matrix of essential features and types of search term
Essential Features
Keywords, phrases or classes
Type 1
Type 2
Type 3
5. Concluding remarks
EF1
EF2
EF3
K1-1
K2-1
K3-1
K1-2
K2-2
K3-2
K1-3
K2-3
K3-3
For some of the readers of this article the presented subject matter is not more than common sense. If you are one
of those readers, I congratulate you. For others, the proposed way of searching may seem to be just another alternative route one can take while searching. This is the most
frequently heard response from people to my presentation
at the IPI-ConFex 2006 in Athens. For your consideration:
These are the same people that failed to recognize the main
points of the presentation.
Some people say that patent searching is an art. To me,
such a statement suggests that searching cannot be captured in standard processes and theories. I sincerely hope
that this article suggests otherwise. Considerable care is
needed at each stage of a patent search to nd the documents that the searcher should be looking for and, if possible, to nd them fast.
Last but not least, the recommended procedures and
theories are perhaps interesting reading material but it
requires training and management to be able to properly
use these in practice.
Editors note:
The following four documents are noted as of particular
relevance to the development of patent search strategies
and of the searchers to implement these strategies:
Van der Drift J. Eective strategies for searching existing patent rights. World Patent Information.
1991;13(2):6771.
Fletcher J M. Quality and risk assessment in patent
searching and analysis. In: Proceedings of the 4th international chemical information meeting and exhibition,
Montreux, 1921 October 1992. Recent advances in
Chemical Information II, 1993, p. 14756.
Deboys J. Decision pathways in patent searching and
analysis. World Patent Information. 2004;26(1):8390.
Adams S. Certication of the patent searching profession a personal view. World Patent Information.
2004;26(1):7982.
Acknowledgements
As noted earlier, this article has been based on the
authors presentation with the same title at the IPI-Confex
2006 in Athens. Both the article and presentation are based
on the evaluation of many searches that have been conducted
for ASML both in-house and by independent search rms. I
would like to thank my searcher colleagues at ASML for
their input and discussion and in particular for their enthusiasm about the impact of the proposed structured approach
on the quality of their work. Without that, both the presentation and article would not have seen the light of day.
References
[1] Trippe Anthony J. Patinformatics: identifying haystacks from space.
Searcher vol. 10, No. 9, October 2002. Available from: <http://
www.infotoday.com/searcher/oct02/trippe.htm>.
[2] Mucs A, Kosicki T. Search Strategies within the EPOQUE-Database
Collections Workshop 1. EPO Seminar on Search & Documentation
Working Methods 2005. Available from: <http://www.europeanpatent-oce.org/dg1/searchseminar/2005/_pdf/
sfa_2005_ws_01_kosicki.pdf>.
[3] Adams Stephen. Patent Searching Without Words Why Do It, How
To Do It? FreePint, Issue 130, 6 February 2003. Available from:
<http://www.freepint.com/issues/060203.htm#feature>.
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