PRIOR ART SEARCHES

IR Training 11 August, 2009

Types of Searches
PATENTABILITY:
Search associated with an invention
Typically done before filing for a patent
LANDSCAPE:
Tracks own and competitors IP profiles
Identifies gaps in IP space and maps them against our needs
FREEDOM TO PRACTICE:
Determines freedom to practice (use/sell) technology/product
Concerned with claims of enforceable patents
INVALIDITY:
Performed to invalidate competitors granted patent
Typically result of an infringement suit

IR Training 11 August, 2009

Patentability Search Timing
Novelty
Assessment

Ideas Disclosure
Writing Disclosure
Review

File Patent Draft Patent Patentability Rated to

Application Application Search File

Patent
Maintenance
Patent Grant

IR Training 11 August, 2009

Patentability Search
WHAT MAKES AN INVENTION PATENTABLE?
An invention should be:
 Novel (35 U.S.C 102)
 Non-obvious to a person skilled in the art (35 U.S.C 103)

WHAT TO LOOK FOR IN A PATENTABILITY SEARCH?

 Is the invention publicly known, used or sold, or described in
printed material before date of invention or patent filing
 Prior art could be a patent or non-patent art
 Whole of patent matters, not just the claims

IR Training 11 August, 2009

Patentability Search

RELEVANT REFERENCE IN A PATENTABILITY SEARCH

 A reference anticipates an invention if it teaches every element of
the claimed invention
 An invention may be rendered obvious by a combination of
references
 An invention may be obvious over a single art, in light of common
general knowledge
 Obviousness is tested either as of the date of invention (in the
U.S.) or as of the effective filing date of the patent application
claiming the invention (in other jurisdictions)

IR Training 11 August, 2009

 Search Process
Identify key elements
of invention

Identify known patents, Determine possible

key competitors & variants for key words
Consider peripheral
inventors technology areas
Formulate search
strategy

Search relevant database

(Title, claims, abstract)

Use relevant Analyze search results Analyze results

classification codes
Perform full text Report results
search
IR Training 11 August, 2009
Search String

o Identify keywords related to main elements of the invention

o Determine possible variants for keywords
o Use linking operators between the keywords and synonyms to
define the search string
o Use “AND” between columns and “OR” between rows

keyword 1 keyword n Inventor 1 Inventor n Assignee 1 Assignee n

Variant 1
Variant 2
Variant 3
Variant 4
Variant 5

IR Training 11 August, 2009

Linking Operators

COMMON SEARCH OPERATORS:

Field Code Field Name Field Code Field Name Field Code Field Name Field Code Field Name

PN Patent Number ICL International Classification PCT PCT Information IN Inventor Name

ISD Issue Date APN Application Serial Number ACN Assignee Countr IC Inventor City
y

TTL Title APD Application Date EXP Primary Examine IS Inventor State
r

ABST Abstract PARN Parent Case Information EXA Assistant Exami ICN Inventor Country
ner

ACLM Claim(s) RLAP Related US App. Data REF Referenced By LREP Attorney or Agent

SPEC Description/Specification REIS Reissue Data FREF Foreign Referenc AN Assignee Name
es

CCL Current US Classification PRIR Foreign Priority OREF Other Reference AC Assignee City
s

IR Training 11 August, 2009

 Search Resources

WHERE TO SEARCH:
 Web Searches- e.g., Google
 Patent Office Searches-
 USPTO: http://www.uspto.gov/main/definitions.htm
 EPO: www.european-patent-office.org/espacenet/info/index.htm
 JPO: http://www.ipdl.ncipi.go.jp/homepg_e.ipdl
 WIPO: http://www.wipo.int/pctdb/en/search-adv.jsp
 Indian Patent Office: http://www.patentoffice.nic.in/
 Specialized databases
 Micropat
 Delphion
 Espacenet

IR Training 11 August, 2009

SEARCH RESOURCES

OTHER RESOURCES:
 Specialized non-patent databases
 EiVillage
 Science Direct
 eBooks
 kNovel
 NetLibrary
 Handbooks
 Journals
 Web publications

IR Training 11 August, 2009

BASIC SEARCH

o Assignee
o Application Number
o Patent Number
o Inventor name
o Subject matter/technical area
Example-
http://patft.uspto.gov/netahtml/PTO/search-bool.html
http://patft.uspto.gov/netahtml/PTO/search-adv.htm
http://www.ipindia.nic.in/patsea.htm
https://www.ipindiaonline.gov.in/patentpublishedSearch/(S(lx4pxc45ef
gksd45oanaad55))/patentwebSearch.aspx

IR Training 11 August, 2009

MicroPat Search

IR Training 11 August, 2009

 Screening & Analysis

ANALYSIS STEPS:
o Order/Download references corresponding to select abstracts
o Perform keyword search in full text to look for elements of invention
o Remove irrelevant hits
o Carefully read relevant documents to determine if the art anticipates or
describes the invention
o Document in a format to compare the reference vis-à-vis each element
o Look for presence of all elements in a single reference (102) as well as
reference with maximum number of elements in reference (103)
o Identify relevant portions of the references

IR Training 11 August, 2009

 Search Report

REPORT TO INCLUDE:
o Search date
o Key elements/concepts of the invention
o Sources searched
o Search strategy
o Relevant portions of the reference
o Comments specific to each element of the invention

IR Training 11 August, 2009

Landscape Search

WHY LANDSCAPE:
 Provides a snapshot of technology innovation in an area of interest
 Way to track own and competitors IP profiles
 Identifies gaps in IP space and maps them with our needs/goals
 Provides strategic research directions
 Facilitates prediction and exploitation of emerging technologies
TYPES:
 Technology Trends
 Geographic Trends
 Competitor IP Profiling

IR Training 11 August, 2009

 Landscape Timing

New Program Landscape

Initiation Search
Gaps &
Opportunities
Patentability
Search

Patenting Innovation
Commercialization Ideas
Process

Patent Grant

IR Training 11 August, 2009

 Landscape Search Process

Identify technology
area of interest
Identify known patents, Include other criteria
key competitors & Determine keywords such as grant date,
inventors for the search classification code

Formulate search
strategy

Search relevant databases

Analyze search results

Classify and rate

screened patents

Report results

IR Training 11 August, 2009

Landscape Example

IR Training 11 August, 2009

Freedom to Practice Search

WHY FTP:
 To determine whether you have the freedom to practice (use or sell) the
invention
 Due diligence: In case of legal battle
 Related only to the claims of enforceable patents of the concerned
jurisdiction
 Non-patent literature has no effect on FTP
 Can have high legal and financial implications
WHAT TO LOOK FOR IN A FTP SEARCH?
 Granted (last 20 years) patents that claim a proposed product, process or
use of the same
 Consider recent patent applications which can mature into granted patents

IR Training 11 August, 2009

 FTP Search Process
Gather inputs about the
product/technology in question

Determine other relevant info

(prior art, competitors etc.)

Use classification Determine key words &

codes synonyms for each concept
Analyze results
Formulate search strategy w.r.t. claims

Search relevant databases Report results

Analyze search results

Redesign product to avoid claims

IR Training 11 August, 2009
FTP Claim Analysis
CLASSES OF CLAIMS
 Process
 Machine
 Manufacture
 Composition of matter
STRUCTURE OF CLAIMS
 Independent (Stand alone, Broadest)
 Dependent (Relies on Independent)
CLAIMS ANALYSIS:
What Claims do we interpret?
 Analyze all independent and dependent claims
 First focus on Independent Claims

IR Training 11 August, 2009

FTP Claim Analysis
CLAIM TERMINOLOGY
 Preamble
 Not always important
 Sometimes may be considered a limitation
Example : A method of obtaining position of an object…
A combustion system..
 Transition
 Important for determining scope of the claim
Example : comprising
consisting
consisting essentially of

IR Training 11 August, 2009

FTP Claim Analysis
CLAIM TERMINOLOGY
 Body
 Recite elements and describe how the elements structurally, physically,
or functionally cooperate with each other to make up the invention
 Interpreted as one of ordinary skill in the art would read it
Example :
“a nozzle configured to introduce a fuel stream into the combustion system; and
a combustion chamber to combust the fuel stream and air using
a pre-determined combustion mode.”

IR Training 11 August, 2009

 FTP Search Report

REPORT TO INCLUDE:
o Search date
o Searched matter
o Sources searched
o Search strategy
o Legal status information of relevant patents
o Reference to parts of claims relevant to proposed product or process

IR Training 11 August, 2009

Invalidity Search

WHY INVALIDITY:
 Find documents or prior use that may reduce claim scope for one
or more claims of a granted patent
 Patents are presumed valid

WHAT TO LOOK FOR IN A PATENTABILITY SEARCH?

 Publications, especially previously uncited references by Examiner and
documented evidence of prior use of the invention to invalidate a granted
patent or limit the breadth of the claims within a granted patent

IR Training 11 August, 2009

 Invalidity Search Process
Gather inputs about the patent
in question

Determine other relevant info

(cited art, keywords etc.)

Identify the claims to be

Use classification codes analyzed
Identify portions
Formulate search strategy relevant to claims
Limit references by
date of filing/pub Search relevant databases Report results

Analyze search results

Identify relevant documents

IR Training 11 August, 2009
Invalidity Analysis

ANALYSIS OF REFERENCES
 Conduct a preliminary search to gather further search concepts, related
terminology, indexing, classification code etc.
 Check citations from previous cited references
 Identify of portions of text which may be relevant to the claims of the
patent in question
 Examine each document to consider whether it describes or anticipates
the invention as claimed in one or more claims
 Usually report only those that have the potential to describe or anticipate
the invention as claimed

IR Training 11 August, 2009

 Invalidity Search Report

REPORT TO INCLUDE:
o Search date
o Type of search
o Searched matter
o Sources searched
o Search strategy
o Time period covered by each search
o Reference to parts of documents relevant to claims of the patent

IR Training 11 August, 2009

Questions

IR Training 11 August, 2009