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PRACTICE-BASED METHODOLOGY FOR EFFECTIVELY MODELING AND
DOCUMENTING SEARCH, PROTECTION AND INNOVATION
Roberto Nani
Bergamo, www.scinte.com
info@scinte.com
Daniele Regazzoni
University of Bergamo, Industrial Engineering Dept.
daniele.regazzoni@unibg.it
Abstract
This work relates about a methodology for effectively modeling an Action and Problem -System and documenting a
path built by means of patent-databases.
The aim of this work is to provide an improved method and operative tool for a quick and reliable patents investigation
driven by Boolean algorithms together with classical Triz tools.
The method has been tested with several projects for companies of different industrial areas. Moreover in the last month
the method has been used in case studies by students from the University of Bergamo with good results after a very few
hours of training.
At least two specific case studies will be discussed in this paper in order to clarify the operative value of said method
and to show the results obtained in terms of solutions found and of efforts requested.
The former case relates to the analysis of an European patent application that does not meet the requirements of the
European Patent Convention (EPC); an investigation of the state of the art has been enterprised in order to answer to a
Communication pursuant to article 96(2) of EPC.
The latter relates to the field of Pressure Die Casting or Injection Die Casting: thermal expansion and corrosion of an
automotive piece generate problems, which are analysed within the process comprising firstly die casting, and secondly
galvanisation.
Keywords: kinetic model, potential model, global model, intrinsic and extrinsic characteristics.
1. Introduction
The method proposed in this paper is a further enhancement of the existing tools such as: FOS (Function-Oriented
Search) developed by Litvin and APOS (Function an Problem Oriented Search) by Axelrod .
The proposed method consists in defining:
- the intrinsic and extrinsic factors capable of describing the context that is the object of the quest, protection and
innovation;
- the relationship between said intrinsic and extrinsic factors;
- an Action -and -Problem system as a physical expression of its combination with said intrinsic and extrinsic
factors and their relationship;
- the results of a constraining action on the model developed.
1.1Kinetic Model
A Kinetic Model [M] = f(V, ρ) of a system is an expression of class V to which said system refers and the intrinsic
characteristic ρ of said class V.
1.2 Potential Model
A Potential Model [K] = f(A, E) of a system is an expression of the subclass or group A to which said system refers
and the extrinsic properties E of said subclass or group A.
1.3 Forced Model
No relationship exists between Kinetic Model [M] and Potential Model [K], if taken separately.
A model, capable of combining the class V and its intrinsic characteristic ρ, and the subclass A and its extrinsic
properties E, exerts a force [F] acting on said system.
2. Study Cases
2.1 Communication pursuant to article 96(2) of EPC
Inventors have to convince the European Auditors that sending an end users based in X ads from companies based in
the same area is a clearly innovative feature of messaging-service. As an evidence of this, a certain set of related patents
will be quoted. This thanks to a Kinetic and a Potential Model.
The Customer Service of the European Patent Office includes an “online Public File inspection”
http://ofi.epoline.org/view/GetDossier. This site allows sorting out documents by publication number EP1363430: -
EUROPEAN PATENT APPLICATION NO. 02425294.2
1 claim). System for managing and transmitting digital information by means of a messaging system [] characterized
in that comprises a protocol [] being able to be automatically executed in order to send [] a set of pieces of information
comprising advertising messages that can be divided into geographical communication environments, said environments
being in particular Nation, Province or Municipality of the user.
From the Annex to the Communication (Marzo 2006), par. 1: [The statement ”a set of pieces of information
comprising advertising messages that can be divided into geographical environments” used in claim 1 is vague and
unclear and leaves the reader in doubt as how a piece of information is divided into geographical environments …
(Article 84 EPC)].
A Kinetic Model [M] of this statement, referring to the object of the patent application, is represented by the following
Boolean expression:
[M] = f(V, ρ) = ((string OR command) <in> AB ) AND ((protocol OR draft OR record) <in> TI ) (1)
where:
- protocol, draft, record = class V of the system object of patent application;
- string, command = intrinsic characteristic ρ of said class V.
The classes according to International Patent Classification (IPC-R) characterizing the Boolean algorithm (1) applied
to a Patent DB are explained in the table of fig. 1.
Result Set for Query: (((string OR command) <in> AB ) AND ((protocol OR draft OR record) <in> TI))
Collections searched: US (Granted), European (Applications), European (Granted), WIPO PCT Publications, US (Applications)
4,603 matches found of 9,546,891 patents searched
IPC-R Code- 4 digit Items % Bar Chart
G11B G — Physics ; Information Storage ; Information Storage B 1486 23.3 %
H04N H — Electricity ; Electric Communication Technique ; Pict 936 14.7 %
G06F G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 870 13.6 %
H04L H — Electricity ; Electric Communication Technique ; Tran 674 10.6 %
H04Q H — Electricity ; Electric Communication Technique ; Sele 193 3.0 %
G06K G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 192 3.0 %
B41J B — Performing Operations ; Transporting ; Printing</IPCT< FONT> 183 2.8 %
H04M H — Electricity ; Electric Communication Technique ; Tele 156 2.4 %
H04B H — Electricity ; Electric Communication Technique ; Tran 121 1.9 %
A63F A — Human Necessities ; Sports ; Games ; <IPCTEX< FONT> 93 1.4 %
4904
(Below cutoff) 1, 474 23.1
Fig. 1: main IPC-R classes of [M]
A Potential Model [K] of this statement is represented by the following Boolean expression:
[K] = f(A, E) = ((discrimin* OR divid* OR separat*) <in> AB ) AND ((manag*) <in> AB ) (2)
where:
- management = subclass A of the object of patent application;
- discriminating, dividing, separating = functional action, as extrinsic properties E of subclass A.
The Classes according to International Patent Classification (IPC-R) characterizing the Boolean algorithm (2) applied
to a Patent DB are explained in the table of fig. 2.
Result Set for Query: ((((discrimin* OR divid* OR separat*) <in> AB )) AND ((((manag*) <in> AB ))))
Collections searched: US (Granted), European (Applications), European (Granted), WIPO PCT Publications, US (Applications)
6,246 matches found of 9,551,220 patents searched
IPC-R Code- 4 digit Items % Bar Chart
G06F G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 2173 26.5 %
H04L H — Electricity ; Electric Communication Technique ; Tran 1085 13.2 %
H04N H — Electricity ; Electric Communication Technique ; Pict 567 6.9 %
G11B G — Physics ; Information Storage ; Information Storage B 525 6.3 %
H04Q H — Electricity ; Electric Communication Technique ; Sele 483 5.8 %
G06Q G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 374 4.5 %
H04M H — Electricity ; Electric Communication Technique ; Tele 212 2.5 %
G06T G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 106 1.2 %
H04B H — Electricity ; Electric Communication Technique ; Tran 106 1.2 %
G07F G — Physics ; Checking-Devices ; Coin-Freed or Like Appar 93 1.1 %
5724
(Below cutoff) 2, 490 30.3 ...
Fig. 2: main IPC-R classes of [K]
[M] and [K] respect the following condition:
Main IPC-R classes of [M] ≠ Main IPC-R classes of [K] (3)
G11B INFORMATION STORAGE G06F ELECTRIC DIGITAL PROCESSING
H04N PICTORIAL COMMUNICATION, e.g.
TELEVISION
H04L TRANSMISSION OF DIGITAL
INFORMATION
The sentence (3) allows to combine [M] and [K] constituting a Model of the class V and its intrinsic characteristic ρ,
and the subclass A and its extrinsic properties E.
An example of a bad Model, due to the coincidence of main classes IPC-R of [M3] and [K3]:
[K3] = ((discrimin* OR divid* OR separat*) <in> AB) AND ((protocol OR draft OR record) <in> TI );
[M3] = ((geograph*) <in> AB ) AND ((environment) <in> TI);
is represented by tabs of fig. 3.
Result Set for Query: K3 = ((((discrimin* OR divid* OR separat*) <in> TI )) AND ((((protocol OR draft OR record) <in> AB ))))
IPC-R Code- 4 digit Items
H04L H — Electricity ; Electric Communication Technique ; Tran 70
H04B H — Electricity ; Electric Communication Technique ; Tran 10
H04M H — Electricity ; Electric Communication Technique ; Tele 10
Result Set for Query: M3 = (((geograph*) <in> AB ) AND ((environment) <in> AB))
IPC-R Code- 4 digit Items
H04L H — Electricity ; Electric Communication Technique ; Tran 73
G06F G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 71
G06Q G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 68
H04Q H — Electricity ; Electric Communication Technique ; Sele 61
H04M H — Electricity ; Electric Communication Technique ; Tele 51
Fig. 3: main classes IPC-R [M3] = main classes IPC-R [K3]
The main IPC-R group obtained by the Boolean algorithm (2) is H04L12/56 (TRANSMISSION OF DIGITAL
INFORMATION, PACKET SWITCHING SYSTEMS). The tab of fig. 4 represents the IPC-R Code of classes
constituting the main group H04L12/56.
IPC-R Code- 4 digit Items % Bar Chart
H04L H — Electricity ; Electric Communication Technique ; Tran 394 64.2 %
H04Q H — Electricity ; Electric Communication Technique ; Sele 137 22.3 %
G06F G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 34 5.5 %
H04J H — Electricity ; Electric Communication Technique ; Mult 18 2.9 %
H04B H — Electricity ; Electric Communication Technique ; Tran 14 2.2 %
H04M H — Electricity ; Electric Communication Technique ; Tele 12 1.9 %
H04H H — Electricity ; Electric Communication Technique ; Broa 2 0.3 %
H04N H — Electricity ; Electric Communication Technique ; Pict 2 0.3 %
Fig. 4: IPC-R Class Code of main group H04L12/56
The combination of every class forming the main group H04L12/56 with the Boolean algorithm (1) allows the
individuation of two relevant IPC-R classes (fig. 5). The relative global Model is represented by the Boolean algorithms:
[K(G06F)] AND [M] = ( (G06F) <in> IC) AND
((string OR command) <in> AB ) AND ((protocol OR draft OR record) <in> TI )) (4a)
[K(H04N)] AND [M] = ( (H04N) <in> IC) AND
((string OR command) <in> AB ) AND ((protocol OR draft OR record) <in> TI )) (4b)
The Model represented by algorithms (4a) and (4b) can be forced. In the specific case, the geographic management of
a software, discussed on the Comunication pursuant Article 96(2) IPC, is a force applied to algorithm (4a):
[F] = ((geograph* OR regional ) <in> AB ) (5)
The exerted Model is:
[K(G06F)] AND [M] AND [F] = ( (G06F) <in> IC) AND ((string OR command) <in> AB )
AND ((protocol OR draft OR record) <in> TI )) AND ((geograph* OR regional ) <in> AB )) (6)
0
200
400
600
800
1000
1200
1400
H04L H — H04Q H — G06F G — H04J H — H04B H — H04M H — H04H H — G01N-G H04N H —
Fig. 5: [K(IPC-R Class H04L12/56)] + [M]
Results of exerted model:
WO03077116A2 SYSTEM MANAGEMENT CONTROLLER NEGOTIATION PROTOCOL A computer system module
includes a system management controller to negotiate with other system management controllers to
determine the controller's initial operational state. In an embodiment, negotiation with other system
management controllers is based at least in part on one of controller capability, user configured
preference, module type, and geographical address.
WO03021461A1 SYSTEM AND METHOD FOR INTEGRATING VOICE OVER INTERNET PROTOCOL NETWORK
WITH PERSONAL COMPUTING DEVICES A method and system state-of-the-art integration of a
personal computing device with a private VOIP network and the PSTN (202) to control voice sessions
on telephony devices (102, 106) of residential and business PC users across a geographic region
shown. The unique integration of the personal computing device (226) with the private and public
voice networks allows the PC user to establish a voice conference interactively on demand through
controls on a personal computing device (226), avoiding the legacy method that required the end
users to dial into a bridge number in advance or in real time via interactive tools provided on the
personal computing device. On demand, the user can access reports interactively listing call detail and
cost information for the user's calls.
2.2 Corrosion plus thermal expansion of an automotive piece
The problem of thermal expansion and corrosion of an automotive piece involves two phases of the process: die
casting, [Mdc] + [K]; galvanisation, [Mg] + [K].
Kinetic Model [Mdc] of die casting:
[Mdc] = f(Vdc, ρdc) = ((metal* ) <in> AB ) AND ((fluid*) <in> TI) (7)
where:
metal = object of die casting, corresponding to the class V of die casting;
fluid = a characteristic of die casting (it could be: spry, powder, etc.) , corresponding to the intrinsic factor ρ of said
class V.
Classes according to International Patent Classification (IPC-R) characterizing the Boolean algorithm (7) applied to a
Patent DB are explained in the table of fig. 6.
Result Set for Query: Mdc = ((((((metal* ) <in> AB ) AND ((fluid*) <in> TI)))))
Collections searched: US (Granted), European (Applications), European (Granted), WIPO PCT Publications, US (Applications)
4,430 matches found of 9,555,221 patents searched
IPC-R Code- 4 digit Items % Bar Chart
C10M C — Chemistry ; Metallurgy ; Petroleum, Gas or Coke Indus 539 7.5 %
B01J B — Performing Operations ; Transporting ; Physical or CH 418 5.8 %
C09K C — Chemistry ; Metallurgy ; Dyes ; Pai 379 5.3 %
F16L F — Mechanical Engineering ; Lighting ; Heating 337 4.7 %
B01D B — Performing Operations ; Transporting ; Physical or CH 263 3.6 %
G01N G — Physics ; Measuring (counting G06M ; <IPCTEXT< FONT> 244 3.4 %
C10G C — Chemistry ; Metallurgy ; Petroleum, Gas or Coke Indus 162 2.2 %
C02F C — Chemistry ; Metallurgy ; Treatment of Water, Waste WA 161 2.2 %
F16K F — Mechanical Engineering ; Lighting ; Heating 139 1.9 %
E21B E — Fixed Constructions ; Earth or Rock Drilling ; Mining 119 1.6 %
C07C C — Chemistry ; Metallurgy ; Organic Chemistry 104 1.4 %
C01B C — Chemistry ; Metallurgy ; Inorganic Chemistry</IPCTEXT< FONT> 101 1.4 %
Fig. 6: main IPC-R classes of [Mdc]
Kinetic Model [Mg] of galvanisation:
[Mg] = f(Vg, ρg) = ((metal*) <in> TI ) AND ((coat*) <in> TI) (8)
where:
metal = object of galvanisation, corresponding to the class V of galvanisation;
coat = a characteristic of galvanisation, corresponding to the intrinsic factor ρ of said class V.
Classes according to International Patent Classification (IPC-R) characterizing the Boolean algorithm (8) applied to a
Patent DB are explained in the table of fig. 7.
Result Set for Query: Mg = ((((((metal*) <in> TI ) AND ((coat*) <in> TI)))))
Collections searched: US (Granted), European (Applications), European (Granted), WIPO PCT Publications, US (Applications)
7,757 matches found of 9,555,221 patents searched
IPC-R Code- 4 digit Items % Bar Chart
C23C C — Chemistry ; Metallurgy ; Coating Metallic Material</I< FONT> 2672 20.1 %
C09D C — Chemistry ; Metallurgy ; Dyes ; Pai 1330 10.0 %
B05D B — Performing Operations ; Transporting ; Spraying or AT 993 7.4 %
C25D C — Chemistry ; Metallurgy ; Electrolytic or Electrophore 544 4.0 %
H05K H — Electricity ; Electric Techniques Not Otherwise Provided For ; 363 2.7 %
B32B B — Performing Operations ; Transporting ; Layered Produc 358 2.6 %
C04B C — Chemistry ; Metallurgy ; Cements ; 331 2.4 %
C03C C — Chemistry ; Metallurgy ; Glass ; MI 327 2.4 %
C08G C — Chemistry ; Metallurgy ; Organic Macromolecular Compo 290 2.1 %
B23K B — Performing Operations ; Transporting ; Machine Tools< 243 1.8 %
C08L C — Chemistry ; Metallurgy ; Organic Macromolecular Compo 232 1.7 %
H01L H — Electricity ; Basic Electric Elements ; Semiconductor 219 1.6 %
B22F B — Performing Operations ; Transporting ; Casting</IPCTE< FONT> 180 1.3 %
Fig. 7: main IPC-R classes of [Mg]
A (common) Potential Model [K] of the global process is represented by the following Boolean expression:
[K] = f(A, E) = ((35,Parameter Change) <in> AB ) AND ((zinc OR Copper) <in> AB)) (9)
where:
- zinc, copper = subclass of metal, corresponding to subclass or group A of the process;
- Parameter Change = action of the process, corresponding to the extrinsic properties E of said subclass or group A.
Classes according to International Patent Classification (IPC-R) characterizing the Boolean algorithm (9) applied to a
Patent DB are explained in the table of fig. 8.
Result Set for Query: K = ((( 35 Parameter Change) ) <in> AB ) AND ((zinc OR Copper) <in> AB))
Collections searched: US (Granted), European (Applications), European (Granted), WIPO PCT Publications, US (Applications)
4,434 matches found of 9,555,221 patents searched
IPC-R Code- 4 digit Items % Bar Chart
H01L H — Electricity ; Basic Electric Elements ; Semiconductor 434 6.0 %
B01J B — Performing Operations ; Transporting ; Physical or CH 357 4.9 %
C23C C — Chemistry ; Metallurgy ; Coating Metallic Material</I< FONT> 323 4.5 %
H05K H — Electricity ; Electric Techniques Not Otherwise Provided For ; 237 3.3 %
C07C C — Chemistry ; Metallurgy ; Organic Chemistry 216 3.0 %
C22C C — Chemistry ; Metallurgy ; Metallurgy (of iro 212 2.9 %
H01M H — Electricity ; Basic Electric Elements ; Processes OR 179 2.4 %
C25D C — Chemistry ; Metallurgy ; Electrolytic or Electrophore 171 2.3 %
A61K A — Human Necessities ; Medical or Veterinary Science ; H 165 2.3 %
C22B C — Chemistry ; Metallurgy ; Metallurgy (of iro 162 2.2 %
Fig. 8: main IPC-R classes of [K]
[Mdc] and [K] respect the following condition:
Main IPC-R classes of [M] ≠ Main IPC-R classes of [K] (10)
C10M LUBRICATING COMPOSITIONS H01L SEMICONDUCTOR DEVICES
B01J CHEMICAL OR PHYSICAL
PROCESSES, e.g. CATALYSIS, COLLOID
CHEMISTRY
B01J CHEMICAL OR PHYSICAL
PROCESSES, e.g. CATALYSIS, COLLOID
CHEMISTRY
The sentence (10) allows to combine [Mdc] and [K] to constitute a Model representative of the die casting. However,
this model has same limits due to the coincidence of a main class.
[Mg] and [K] respect the following condition:
Main IPC-R classes of [Mg] ≠ Main IPC-R classes of [K] (11)
C23C COATING METALLIC MATERIAL H01L SEMICONDUCTOR DEVICES
C09D COATING COMPOSITIONS, B01J CHEMICAL OR PHYSICAL
PROCESSES, e.g. CATALYSIS, COLLOID
CHEMISTRY
The sentence (11) allows to combine [Mg] and [K] to constitute a Model representative of the galvanisation.
The main IPC-R group obtained by the Boolean algorithm (9) is H01L21/02 (Manufacture or treatment of
semiconductor devices). The tab of fig. 9 represents the IPC-R Code of classes constituting the main group H01L21/02.
IPC-R Code- 4 digit Items
H01L H — Electricity ; Basic Electric Elements ; Semiconductor 199
C25D C — Chemistry ; Metallurgy ; Electrolytic or Electrophore 37
C23C C — Chemistry ; Metallurgy ; Coating Metallic Material</I< FONT> 28
H05K H — Electricity ; Electric Techniques Not Otherwise Provided For ; 20
B24B B — Performing Operations ; Transporting ; Grinding</IPCT< FONT> 12
C30B C — Chemistry ; Metallurgy ; Crystal Growth (se 10
C09G C — Chemistry ; Metallurgy ; Dyes ; Pai 7
C23F C — Chemistry ; Metallurgy ; Coating Metallic Material</I< FONT> 7
C25F C — Chemistry ; Metallurgy ; Electrolytic or Electrophore 6
B08B B — Performing Operations ; Transporting ; Cleaning</IPCT< FONT> 5
B23K B — Performing Operations ; Transporting ; Machine Tools< 5
C08G C — Chemistry ; Metallurgy ; Organic Macromolecular Compo 3
C08L C — Chemistry ; Metallurgy ; Organic Macromolecular Compo 2
G03F G — Physics ; Photography ; Cinematography ; <IP< FONT> 2
H01J H — Electricity ; Basic Electric Elements ; Electric Disc 2
Fig. 9: IPC-R Class Code of main group H01L21/02
The combination of every class constituting the main group H01L21/02, respectively with the Boolean algorithms (7)
and (8) allows to individuate relevant classes and relative global Models:
[K(B01J)] AND [Mdc] = ( (B01J) <in> IC) AND ((metal*) <in> AB ) AND ((fluid*) <in> TI )) (12)
[K(C09D)] AND [Mg] = ( (C09D) <in> IC) AND ((metal*) <in> TI ) AND ((coat*) <in> TI )) (13)
The global Model of the process (die casting + galvanisation) represented by algorithms (12) and (13) can be forced in
a way to solve thermal expansion and corrosion problems. The exerted Model with a force:
[F] = ((galvanis*) <in> AB)) (14)
is:
[K(C09D)] AND [Mg] AND [F] = ((metal*) <in> TI ) AND
((coat*) <in> TI ) AND ( (c09d) <in> IC )) AND ((galvanis*) <in> AB)) (15)
Results of exerted model (15):
WO03076534A1 SURFACE BASE-COAT FORMULATION FOR METAL ALLOYS
Chromium-free coating composition with anti-corrosion and anti-fingerprint properties, particularly
suitable for metal alloys, especially galvanized steel, and coated articles. Composition comprises
aqueous-resin emulsion, hazardous air pollutant-free co-solvent, organo-functional silane, metal
chelating agent, and chromium-free corrosion inhibitor, and optionally pH adjusting agent.
WO9920696A1 METHOD FOR COATING METALS AND METAL COATED USING SAID METHOD
The invention relates to a method for coating surfaces consisting of steel, tinned steel, galvanised
steel, zinc-alloy-coated steel or aluminium. A solution or a dispersion of a source of ions of bivalent to
tetravalent metals and an organic film former and a solution or a dispersion ofa source of phosphate
ions and an organic film former are applied to the metal surface in any order, together or one after the
other, and dried in, giving a total dry layer thickness of 0.2 to 3 g/m2. The invention also relates to
metal parts coated using the inventive method.
3. Conclusion
A structurated model of the language applied in a patent-database according to the guide-lines as described in this
paper allows the development of new research, protection and innovation –strategies by investigating those technological
field which share the same intrinsic parameters. This methods allows to find patent technological classes according to
IPC-R, overcoming the pure meaning of the words. Thanks to the reliability of the results and to the possibility of
certifying the approach applied, this method has been accredited to check investment-plans developed by main
Preliminary Investigation Bodies for Enterprise Investors.
2.5 References
- Simon S. Litvin “New Triz-Based Tool – Function-Oriented Search (FOS)” Triz Future Conference 2004.
- Boris M. Axelrod “New Search and Problem Solving Triz Tool: Methodology for Action & Problem Oriented Search
(APOS) Based on the Analysis of Patent Documents” Triz Future Conference 2005.
- Jay Odenbaugh “Models” – Department of philosophy, Lewis and Clark College, 0615 SW Palatine Hill Rd, Portland,
Oregon.
- Delphion, www.delphion.com - patent collections & searching options on patent databases.
- Roberto Nani “Boolean Combination and TRIZ criteria. A practical application of a patent-commercial-Data Base”
Triz Future Conference 2005.

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PRACTICE-BASED METHODOLOGY FOR EFFECTIVELY MODELING AND DOCUMENTING SEARCH, PROTECTION AND INNOVATION

  • 1. PRACTICE-BASED METHODOLOGY FOR EFFECTIVELY MODELING AND DOCUMENTING SEARCH, PROTECTION AND INNOVATION Roberto Nani Bergamo, www.scinte.com info@scinte.com Daniele Regazzoni University of Bergamo, Industrial Engineering Dept. daniele.regazzoni@unibg.it Abstract This work relates about a methodology for effectively modeling an Action and Problem -System and documenting a path built by means of patent-databases. The aim of this work is to provide an improved method and operative tool for a quick and reliable patents investigation driven by Boolean algorithms together with classical Triz tools. The method has been tested with several projects for companies of different industrial areas. Moreover in the last month the method has been used in case studies by students from the University of Bergamo with good results after a very few hours of training. At least two specific case studies will be discussed in this paper in order to clarify the operative value of said method and to show the results obtained in terms of solutions found and of efforts requested. The former case relates to the analysis of an European patent application that does not meet the requirements of the European Patent Convention (EPC); an investigation of the state of the art has been enterprised in order to answer to a Communication pursuant to article 96(2) of EPC. The latter relates to the field of Pressure Die Casting or Injection Die Casting: thermal expansion and corrosion of an automotive piece generate problems, which are analysed within the process comprising firstly die casting, and secondly galvanisation. Keywords: kinetic model, potential model, global model, intrinsic and extrinsic characteristics. 1. Introduction The method proposed in this paper is a further enhancement of the existing tools such as: FOS (Function-Oriented Search) developed by Litvin and APOS (Function an Problem Oriented Search) by Axelrod . The proposed method consists in defining: - the intrinsic and extrinsic factors capable of describing the context that is the object of the quest, protection and innovation; - the relationship between said intrinsic and extrinsic factors; - an Action -and -Problem system as a physical expression of its combination with said intrinsic and extrinsic factors and their relationship; - the results of a constraining action on the model developed. 1.1Kinetic Model A Kinetic Model [M] = f(V, ρ) of a system is an expression of class V to which said system refers and the intrinsic characteristic ρ of said class V. 1.2 Potential Model A Potential Model [K] = f(A, E) of a system is an expression of the subclass or group A to which said system refers and the extrinsic properties E of said subclass or group A. 1.3 Forced Model No relationship exists between Kinetic Model [M] and Potential Model [K], if taken separately. A model, capable of combining the class V and its intrinsic characteristic ρ, and the subclass A and its extrinsic properties E, exerts a force [F] acting on said system. 2. Study Cases 2.1 Communication pursuant to article 96(2) of EPC Inventors have to convince the European Auditors that sending an end users based in X ads from companies based in the same area is a clearly innovative feature of messaging-service. As an evidence of this, a certain set of related patents will be quoted. This thanks to a Kinetic and a Potential Model.
  • 2. The Customer Service of the European Patent Office includes an “online Public File inspection” http://ofi.epoline.org/view/GetDossier. This site allows sorting out documents by publication number EP1363430: - EUROPEAN PATENT APPLICATION NO. 02425294.2 1 claim). System for managing and transmitting digital information by means of a messaging system [] characterized in that comprises a protocol [] being able to be automatically executed in order to send [] a set of pieces of information comprising advertising messages that can be divided into geographical communication environments, said environments being in particular Nation, Province or Municipality of the user. From the Annex to the Communication (Marzo 2006), par. 1: [The statement ”a set of pieces of information comprising advertising messages that can be divided into geographical environments” used in claim 1 is vague and unclear and leaves the reader in doubt as how a piece of information is divided into geographical environments … (Article 84 EPC)]. A Kinetic Model [M] of this statement, referring to the object of the patent application, is represented by the following Boolean expression: [M] = f(V, ρ) = ((string OR command) <in> AB ) AND ((protocol OR draft OR record) <in> TI ) (1) where: - protocol, draft, record = class V of the system object of patent application; - string, command = intrinsic characteristic ρ of said class V. The classes according to International Patent Classification (IPC-R) characterizing the Boolean algorithm (1) applied to a Patent DB are explained in the table of fig. 1. Result Set for Query: (((string OR command) <in> AB ) AND ((protocol OR draft OR record) <in> TI)) Collections searched: US (Granted), European (Applications), European (Granted), WIPO PCT Publications, US (Applications) 4,603 matches found of 9,546,891 patents searched IPC-R Code- 4 digit Items % Bar Chart G11B G — Physics ; Information Storage ; Information Storage B 1486 23.3 % H04N H — Electricity ; Electric Communication Technique ; Pict 936 14.7 % G06F G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 870 13.6 % H04L H — Electricity ; Electric Communication Technique ; Tran 674 10.6 % H04Q H — Electricity ; Electric Communication Technique ; Sele 193 3.0 % G06K G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 192 3.0 % B41J B — Performing Operations ; Transporting ; Printing</IPCT< FONT> 183 2.8 % H04M H — Electricity ; Electric Communication Technique ; Tele 156 2.4 % H04B H — Electricity ; Electric Communication Technique ; Tran 121 1.9 % A63F A — Human Necessities ; Sports ; Games ; <IPCTEX< FONT> 93 1.4 % 4904 (Below cutoff) 1, 474 23.1 Fig. 1: main IPC-R classes of [M] A Potential Model [K] of this statement is represented by the following Boolean expression: [K] = f(A, E) = ((discrimin* OR divid* OR separat*) <in> AB ) AND ((manag*) <in> AB ) (2) where: - management = subclass A of the object of patent application; - discriminating, dividing, separating = functional action, as extrinsic properties E of subclass A. The Classes according to International Patent Classification (IPC-R) characterizing the Boolean algorithm (2) applied to a Patent DB are explained in the table of fig. 2. Result Set for Query: ((((discrimin* OR divid* OR separat*) <in> AB )) AND ((((manag*) <in> AB )))) Collections searched: US (Granted), European (Applications), European (Granted), WIPO PCT Publications, US (Applications) 6,246 matches found of 9,551,220 patents searched IPC-R Code- 4 digit Items % Bar Chart G06F G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 2173 26.5 % H04L H — Electricity ; Electric Communication Technique ; Tran 1085 13.2 % H04N H — Electricity ; Electric Communication Technique ; Pict 567 6.9 % G11B G — Physics ; Information Storage ; Information Storage B 525 6.3 % H04Q H — Electricity ; Electric Communication Technique ; Sele 483 5.8 % G06Q G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 374 4.5 % H04M H — Electricity ; Electric Communication Technique ; Tele 212 2.5 % G06T G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 106 1.2 % H04B H — Electricity ; Electric Communication Technique ; Tran 106 1.2 % G07F G — Physics ; Checking-Devices ; Coin-Freed or Like Appar 93 1.1 % 5724 (Below cutoff) 2, 490 30.3 ... Fig. 2: main IPC-R classes of [K]
  • 3. [M] and [K] respect the following condition: Main IPC-R classes of [M] ≠ Main IPC-R classes of [K] (3) G11B INFORMATION STORAGE G06F ELECTRIC DIGITAL PROCESSING H04N PICTORIAL COMMUNICATION, e.g. TELEVISION H04L TRANSMISSION OF DIGITAL INFORMATION The sentence (3) allows to combine [M] and [K] constituting a Model of the class V and its intrinsic characteristic ρ, and the subclass A and its extrinsic properties E. An example of a bad Model, due to the coincidence of main classes IPC-R of [M3] and [K3]: [K3] = ((discrimin* OR divid* OR separat*) <in> AB) AND ((protocol OR draft OR record) <in> TI ); [M3] = ((geograph*) <in> AB ) AND ((environment) <in> TI); is represented by tabs of fig. 3. Result Set for Query: K3 = ((((discrimin* OR divid* OR separat*) <in> TI )) AND ((((protocol OR draft OR record) <in> AB )))) IPC-R Code- 4 digit Items H04L H — Electricity ; Electric Communication Technique ; Tran 70 H04B H — Electricity ; Electric Communication Technique ; Tran 10 H04M H — Electricity ; Electric Communication Technique ; Tele 10 Result Set for Query: M3 = (((geograph*) <in> AB ) AND ((environment) <in> AB)) IPC-R Code- 4 digit Items H04L H — Electricity ; Electric Communication Technique ; Tran 73 G06F G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 71 G06Q G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 68 H04Q H — Electricity ; Electric Communication Technique ; Sele 61 H04M H — Electricity ; Electric Communication Technique ; Tele 51 Fig. 3: main classes IPC-R [M3] = main classes IPC-R [K3] The main IPC-R group obtained by the Boolean algorithm (2) is H04L12/56 (TRANSMISSION OF DIGITAL INFORMATION, PACKET SWITCHING SYSTEMS). The tab of fig. 4 represents the IPC-R Code of classes constituting the main group H04L12/56. IPC-R Code- 4 digit Items % Bar Chart H04L H — Electricity ; Electric Communication Technique ; Tran 394 64.2 % H04Q H — Electricity ; Electric Communication Technique ; Sele 137 22.3 % G06F G — Physics ; Computing ; Calculating ; <IPCTEXT< FONT> 34 5.5 % H04J H — Electricity ; Electric Communication Technique ; Mult 18 2.9 % H04B H — Electricity ; Electric Communication Technique ; Tran 14 2.2 % H04M H — Electricity ; Electric Communication Technique ; Tele 12 1.9 % H04H H — Electricity ; Electric Communication Technique ; Broa 2 0.3 % H04N H — Electricity ; Electric Communication Technique ; Pict 2 0.3 % Fig. 4: IPC-R Class Code of main group H04L12/56 The combination of every class forming the main group H04L12/56 with the Boolean algorithm (1) allows the individuation of two relevant IPC-R classes (fig. 5). The relative global Model is represented by the Boolean algorithms: [K(G06F)] AND [M] = ( (G06F) <in> IC) AND ((string OR command) <in> AB ) AND ((protocol OR draft OR record) <in> TI )) (4a) [K(H04N)] AND [M] = ( (H04N) <in> IC) AND ((string OR command) <in> AB ) AND ((protocol OR draft OR record) <in> TI )) (4b) The Model represented by algorithms (4a) and (4b) can be forced. In the specific case, the geographic management of a software, discussed on the Comunication pursuant Article 96(2) IPC, is a force applied to algorithm (4a): [F] = ((geograph* OR regional ) <in> AB ) (5) The exerted Model is: [K(G06F)] AND [M] AND [F] = ( (G06F) <in> IC) AND ((string OR command) <in> AB ) AND ((protocol OR draft OR record) <in> TI )) AND ((geograph* OR regional ) <in> AB )) (6)
  • 4. 0 200 400 600 800 1000 1200 1400 H04L H — H04Q H — G06F G — H04J H — H04B H — H04M H — H04H H — G01N-G H04N H — Fig. 5: [K(IPC-R Class H04L12/56)] + [M] Results of exerted model: WO03077116A2 SYSTEM MANAGEMENT CONTROLLER NEGOTIATION PROTOCOL A computer system module includes a system management controller to negotiate with other system management controllers to determine the controller's initial operational state. In an embodiment, negotiation with other system management controllers is based at least in part on one of controller capability, user configured preference, module type, and geographical address. WO03021461A1 SYSTEM AND METHOD FOR INTEGRATING VOICE OVER INTERNET PROTOCOL NETWORK WITH PERSONAL COMPUTING DEVICES A method and system state-of-the-art integration of a personal computing device with a private VOIP network and the PSTN (202) to control voice sessions on telephony devices (102, 106) of residential and business PC users across a geographic region shown. The unique integration of the personal computing device (226) with the private and public voice networks allows the PC user to establish a voice conference interactively on demand through controls on a personal computing device (226), avoiding the legacy method that required the end users to dial into a bridge number in advance or in real time via interactive tools provided on the personal computing device. On demand, the user can access reports interactively listing call detail and cost information for the user's calls. 2.2 Corrosion plus thermal expansion of an automotive piece The problem of thermal expansion and corrosion of an automotive piece involves two phases of the process: die casting, [Mdc] + [K]; galvanisation, [Mg] + [K]. Kinetic Model [Mdc] of die casting: [Mdc] = f(Vdc, ρdc) = ((metal* ) <in> AB ) AND ((fluid*) <in> TI) (7) where: metal = object of die casting, corresponding to the class V of die casting; fluid = a characteristic of die casting (it could be: spry, powder, etc.) , corresponding to the intrinsic factor ρ of said class V. Classes according to International Patent Classification (IPC-R) characterizing the Boolean algorithm (7) applied to a Patent DB are explained in the table of fig. 6.
  • 5. Result Set for Query: Mdc = ((((((metal* ) <in> AB ) AND ((fluid*) <in> TI))))) Collections searched: US (Granted), European (Applications), European (Granted), WIPO PCT Publications, US (Applications) 4,430 matches found of 9,555,221 patents searched IPC-R Code- 4 digit Items % Bar Chart C10M C — Chemistry ; Metallurgy ; Petroleum, Gas or Coke Indus 539 7.5 % B01J B — Performing Operations ; Transporting ; Physical or CH 418 5.8 % C09K C — Chemistry ; Metallurgy ; Dyes ; Pai 379 5.3 % F16L F — Mechanical Engineering ; Lighting ; Heating 337 4.7 % B01D B — Performing Operations ; Transporting ; Physical or CH 263 3.6 % G01N G — Physics ; Measuring (counting G06M ; <IPCTEXT< FONT> 244 3.4 % C10G C — Chemistry ; Metallurgy ; Petroleum, Gas or Coke Indus 162 2.2 % C02F C — Chemistry ; Metallurgy ; Treatment of Water, Waste WA 161 2.2 % F16K F — Mechanical Engineering ; Lighting ; Heating 139 1.9 % E21B E — Fixed Constructions ; Earth or Rock Drilling ; Mining 119 1.6 % C07C C — Chemistry ; Metallurgy ; Organic Chemistry 104 1.4 % C01B C — Chemistry ; Metallurgy ; Inorganic Chemistry</IPCTEXT< FONT> 101 1.4 % Fig. 6: main IPC-R classes of [Mdc] Kinetic Model [Mg] of galvanisation: [Mg] = f(Vg, ρg) = ((metal*) <in> TI ) AND ((coat*) <in> TI) (8) where: metal = object of galvanisation, corresponding to the class V of galvanisation; coat = a characteristic of galvanisation, corresponding to the intrinsic factor ρ of said class V. Classes according to International Patent Classification (IPC-R) characterizing the Boolean algorithm (8) applied to a Patent DB are explained in the table of fig. 7. Result Set for Query: Mg = ((((((metal*) <in> TI ) AND ((coat*) <in> TI))))) Collections searched: US (Granted), European (Applications), European (Granted), WIPO PCT Publications, US (Applications) 7,757 matches found of 9,555,221 patents searched IPC-R Code- 4 digit Items % Bar Chart C23C C — Chemistry ; Metallurgy ; Coating Metallic Material</I< FONT> 2672 20.1 % C09D C — Chemistry ; Metallurgy ; Dyes ; Pai 1330 10.0 % B05D B — Performing Operations ; Transporting ; Spraying or AT 993 7.4 % C25D C — Chemistry ; Metallurgy ; Electrolytic or Electrophore 544 4.0 % H05K H — Electricity ; Electric Techniques Not Otherwise Provided For ; 363 2.7 % B32B B — Performing Operations ; Transporting ; Layered Produc 358 2.6 % C04B C — Chemistry ; Metallurgy ; Cements ; 331 2.4 % C03C C — Chemistry ; Metallurgy ; Glass ; MI 327 2.4 % C08G C — Chemistry ; Metallurgy ; Organic Macromolecular Compo 290 2.1 % B23K B — Performing Operations ; Transporting ; Machine Tools< 243 1.8 % C08L C — Chemistry ; Metallurgy ; Organic Macromolecular Compo 232 1.7 % H01L H — Electricity ; Basic Electric Elements ; Semiconductor 219 1.6 % B22F B — Performing Operations ; Transporting ; Casting</IPCTE< FONT> 180 1.3 % Fig. 7: main IPC-R classes of [Mg] A (common) Potential Model [K] of the global process is represented by the following Boolean expression: [K] = f(A, E) = ((35,Parameter Change) <in> AB ) AND ((zinc OR Copper) <in> AB)) (9) where: - zinc, copper = subclass of metal, corresponding to subclass or group A of the process; - Parameter Change = action of the process, corresponding to the extrinsic properties E of said subclass or group A. Classes according to International Patent Classification (IPC-R) characterizing the Boolean algorithm (9) applied to a Patent DB are explained in the table of fig. 8.
  • 6. Result Set for Query: K = ((( 35 Parameter Change) ) <in> AB ) AND ((zinc OR Copper) <in> AB)) Collections searched: US (Granted), European (Applications), European (Granted), WIPO PCT Publications, US (Applications) 4,434 matches found of 9,555,221 patents searched IPC-R Code- 4 digit Items % Bar Chart H01L H — Electricity ; Basic Electric Elements ; Semiconductor 434 6.0 % B01J B — Performing Operations ; Transporting ; Physical or CH 357 4.9 % C23C C — Chemistry ; Metallurgy ; Coating Metallic Material</I< FONT> 323 4.5 % H05K H — Electricity ; Electric Techniques Not Otherwise Provided For ; 237 3.3 % C07C C — Chemistry ; Metallurgy ; Organic Chemistry 216 3.0 % C22C C — Chemistry ; Metallurgy ; Metallurgy (of iro 212 2.9 % H01M H — Electricity ; Basic Electric Elements ; Processes OR 179 2.4 % C25D C — Chemistry ; Metallurgy ; Electrolytic or Electrophore 171 2.3 % A61K A — Human Necessities ; Medical or Veterinary Science ; H 165 2.3 % C22B C — Chemistry ; Metallurgy ; Metallurgy (of iro 162 2.2 % Fig. 8: main IPC-R classes of [K] [Mdc] and [K] respect the following condition: Main IPC-R classes of [M] ≠ Main IPC-R classes of [K] (10) C10M LUBRICATING COMPOSITIONS H01L SEMICONDUCTOR DEVICES B01J CHEMICAL OR PHYSICAL PROCESSES, e.g. CATALYSIS, COLLOID CHEMISTRY B01J CHEMICAL OR PHYSICAL PROCESSES, e.g. CATALYSIS, COLLOID CHEMISTRY The sentence (10) allows to combine [Mdc] and [K] to constitute a Model representative of the die casting. However, this model has same limits due to the coincidence of a main class. [Mg] and [K] respect the following condition: Main IPC-R classes of [Mg] ≠ Main IPC-R classes of [K] (11) C23C COATING METALLIC MATERIAL H01L SEMICONDUCTOR DEVICES C09D COATING COMPOSITIONS, B01J CHEMICAL OR PHYSICAL PROCESSES, e.g. CATALYSIS, COLLOID CHEMISTRY The sentence (11) allows to combine [Mg] and [K] to constitute a Model representative of the galvanisation. The main IPC-R group obtained by the Boolean algorithm (9) is H01L21/02 (Manufacture or treatment of semiconductor devices). The tab of fig. 9 represents the IPC-R Code of classes constituting the main group H01L21/02. IPC-R Code- 4 digit Items H01L H — Electricity ; Basic Electric Elements ; Semiconductor 199 C25D C — Chemistry ; Metallurgy ; Electrolytic or Electrophore 37 C23C C — Chemistry ; Metallurgy ; Coating Metallic Material</I< FONT> 28 H05K H — Electricity ; Electric Techniques Not Otherwise Provided For ; 20 B24B B — Performing Operations ; Transporting ; Grinding</IPCT< FONT> 12 C30B C — Chemistry ; Metallurgy ; Crystal Growth (se 10 C09G C — Chemistry ; Metallurgy ; Dyes ; Pai 7 C23F C — Chemistry ; Metallurgy ; Coating Metallic Material</I< FONT> 7 C25F C — Chemistry ; Metallurgy ; Electrolytic or Electrophore 6 B08B B — Performing Operations ; Transporting ; Cleaning</IPCT< FONT> 5 B23K B — Performing Operations ; Transporting ; Machine Tools< 5 C08G C — Chemistry ; Metallurgy ; Organic Macromolecular Compo 3 C08L C — Chemistry ; Metallurgy ; Organic Macromolecular Compo 2 G03F G — Physics ; Photography ; Cinematography ; <IP< FONT> 2 H01J H — Electricity ; Basic Electric Elements ; Electric Disc 2 Fig. 9: IPC-R Class Code of main group H01L21/02 The combination of every class constituting the main group H01L21/02, respectively with the Boolean algorithms (7) and (8) allows to individuate relevant classes and relative global Models: [K(B01J)] AND [Mdc] = ( (B01J) <in> IC) AND ((metal*) <in> AB ) AND ((fluid*) <in> TI )) (12) [K(C09D)] AND [Mg] = ( (C09D) <in> IC) AND ((metal*) <in> TI ) AND ((coat*) <in> TI )) (13) The global Model of the process (die casting + galvanisation) represented by algorithms (12) and (13) can be forced in a way to solve thermal expansion and corrosion problems. The exerted Model with a force:
  • 7. [F] = ((galvanis*) <in> AB)) (14) is: [K(C09D)] AND [Mg] AND [F] = ((metal*) <in> TI ) AND ((coat*) <in> TI ) AND ( (c09d) <in> IC )) AND ((galvanis*) <in> AB)) (15) Results of exerted model (15): WO03076534A1 SURFACE BASE-COAT FORMULATION FOR METAL ALLOYS Chromium-free coating composition with anti-corrosion and anti-fingerprint properties, particularly suitable for metal alloys, especially galvanized steel, and coated articles. Composition comprises aqueous-resin emulsion, hazardous air pollutant-free co-solvent, organo-functional silane, metal chelating agent, and chromium-free corrosion inhibitor, and optionally pH adjusting agent. WO9920696A1 METHOD FOR COATING METALS AND METAL COATED USING SAID METHOD The invention relates to a method for coating surfaces consisting of steel, tinned steel, galvanised steel, zinc-alloy-coated steel or aluminium. A solution or a dispersion of a source of ions of bivalent to tetravalent metals and an organic film former and a solution or a dispersion ofa source of phosphate ions and an organic film former are applied to the metal surface in any order, together or one after the other, and dried in, giving a total dry layer thickness of 0.2 to 3 g/m2. The invention also relates to metal parts coated using the inventive method. 3. Conclusion A structurated model of the language applied in a patent-database according to the guide-lines as described in this paper allows the development of new research, protection and innovation –strategies by investigating those technological field which share the same intrinsic parameters. This methods allows to find patent technological classes according to IPC-R, overcoming the pure meaning of the words. Thanks to the reliability of the results and to the possibility of certifying the approach applied, this method has been accredited to check investment-plans developed by main Preliminary Investigation Bodies for Enterprise Investors. 2.5 References - Simon S. Litvin “New Triz-Based Tool – Function-Oriented Search (FOS)” Triz Future Conference 2004. - Boris M. Axelrod “New Search and Problem Solving Triz Tool: Methodology for Action & Problem Oriented Search (APOS) Based on the Analysis of Patent Documents” Triz Future Conference 2005. - Jay Odenbaugh “Models” – Department of philosophy, Lewis and Clark College, 0615 SW Palatine Hill Rd, Portland, Oregon. - Delphion, www.delphion.com - patent collections & searching options on patent databases. - Roberto Nani “Boolean Combination and TRIZ criteria. A practical application of a patent-commercial-Data Base” Triz Future Conference 2005.