The Sci-tech Novelty Retrieval

Scientific and technological novelty retrieval refers to that Novelty check institutions shall verify whether the scientific and technological contents provided by the clients are creative or not. The whole process should be operated according to the standards of sci-tech novelty retrieval, and the conclusions must be objective. Specifically, it is a kind of work to objectively evaluate whether the items are creative , by means of computer retrieval and manual retrieval and using comprehensive analysis and comparison methods, so as to avoid the repetition and waste of scientific research projects and enhance the fairness and rationality of scientific and technological achievements appraisal.

In 2006, our library organized personnel to participate in the training of sci-tech novelty retrieval. Since January 2011, we have signed a cooperation agreement with the personnel in science and technology novelty search workstation (L04) of the Ministry of Education in Southeast University and those (G14) of Nanjing Tech University since September 2011. In 2011, our University issued a document to establish the Academic Frontier Tracing Station of our own, attached to the library.

In November 2014, it was recognized by the Science and Technology novelty search workstation of the Ministry of Education (JTF [2014] No. 2) to establish the "Ministry of Education Science and technology novelty retrieval workstation (L41)" in our school. This workstation can undertake novelty search of scientific research projects, achievements appraisal, application for awards, and patents at all levels; it can also undertake novelty search needed in the process of research, development, transformation, and technology transfer of new technologies.

Office hours: Monday to Friday (08:30-11:30 am, 1:30-4:20 PM)

Office location: Science and technology novelty search workstation, Room 313 in the library, Nanjing University of Information Science and Technology (No. 219, Ningliu Road, Nanjing City)

Postcode: 210044

Please contact: Chen Gang

Contact Information:

Email: kjcx@nuist.edu.cn

Tel: 025-58731171 (on campus 81171)

Website address:http://kjcx.nuist.edu.cn

What is novelty check?

1、Definition of novelty check

1）Deduction of the definition of novelty search

In different historical periods, different definitions of novelty retrieval have been given from different perspectives and based on different understandings.

Since the early 1990s, the former State Science and Technology Commission has revised the "management measures for Sci-tech Novelty Retrieval and consultation" and "implementation rules" for many times. Among them, the definition of sci-tech novelty retrieval is constantly revised according to reality.

In August 1992, Article 2 of the administrative measures for Sci-tech Novelty Retrieval (Draft for comments) defines that "sci-tech information novelty retrieval refers to a form of information consulting service that provides a scientific basis for the evaluation of scientific research projects, achievements, patents, and inventions by means of retrieval, comprehensive analysis, and comparison."

In March 1993, the revised Trial draft of it defines: "novelty search" refers to a form of information consultation service that provides a basis to evaluate whether the scientific research projects, achievements, patents, inventions, etc. are creative, advanced, and practical through measures like manual retrieval and computer retrieval.

In June 1994, the formerly discussed one by the former State Science and Technology Commission defines: "the novelty search work mentioned in these Measures refers to a public information consultation service that evaluates whether the scientific research projects are creative and advanced through measures like manual retrieval and computer retrieval, etc., using comprehensive analysis and comparison.

2）The standard definition of sci-tech novelty retrieval

"Sci-tech Novelty Retrieval standard" defines: novelty retrieval is the short form of "Sci-tech Novelty Retrieval", which refers to the Sci-tech Novelty Retrieval institutions that need to verify the novelty of sci-tech novelty retrieval according to the sci-tech content provided by novelty retrieval clients. The process needs to operate in accordance with this specification and then draw conclusions. "

2. The nature of the novelty search

From the standard definition of novelty retrieval, we can see that novelty retrieval has the following properties:

1). A novelty search is to draw a conclusion on whether the project is creative

The criterion of Sci-tech Novelty Retrieval defines whether the subject is a novelty, which is different from the conditions of granting a patent right or the principle of patent examination - "novelty, creativity, and practicability".

2）Novelty retrieval is different from literature retrieval

According to the needs of specific topics, literature retrieval only provides literature clues and documents, does not analyze and evaluate the subject, more focuses on the recall ratio of relevant literature. Novelty search is an information research work combining literature retrieval and information investigation. By means of literature retrieval and information research, using literature and results as a basis, it reviews whether the novelty retrieval projects are creative through Information Science, then writes novelty search reports with basis, analysis, comparison, and conclusion. Therefore, the novelty search has strict requirements on the duration, scope, and procedure, and the strict requirements for completeness and accuracy, especially the accuracy ration, which requires a clear conclusion, and the novelty search conclusion can be authenticated. These are not available in simple literature retrieval.

3. Novelty search is different from expert evaluation

A novelty search is to draw a conclusion on the novelty of a project by detecting the objective facts of the literature. Expert evaluation is based on the expertise, practical experience of the experts, and the professional information he knows to evaluate whether the subjects are creative, advanced, or practical. It can be seen that the basis of the novelty search is different from the expert evaluation, and the content of the evaluation is also different. At the same time, both of them have their own advantages and disadvantages. The evaluation experts have rich professional and theoretical knowledge, practical experience, and comprehensive analysis ability, which are difficult for ordinary scientific and technological information personnel to possess and can not be replaced; on the contrary, information institutions have certain advantages like rich literature resources, modern retrieval system, also the personnel in the institutions have good academic performance, a wide range of knowledge and rich literature and information work experience，which is also the reason why it is difficult for evaluation experts to replace novelty search institutions. It is necessary to point out that the novelty search conclusions in the novelty search reports provided by novelty retrieval institutions are only the conclusions of literature retrieval and information research, which are objective basis and information science evaluation that is relatively systematic and accurate, not evaluation conclusions of comprehensive results.

How to judge the “novelty” of novelty search?

Novelty search is based on literature. Therefore, only publications can influence the novelty in a novelty search. The novelty of similar achievements that are publicly used at home and abroad will not be affected if they are not confirmed by corresponding literature. Therefore, the definition of "novelty" in the "Specification for Sci-tech Novelty Retrieval" is: novelty refers to that part or all of the scientific and technological contents of the novelty retrieval project have not been published in domestic and foreign publications before the novelty retrieval Commission date.

According to the definition of novelty in the sci-tech Novelty Retrieval standard, it can be seen that the novelty of novelty retrieval project is not affected by "open use" and "disclosure by other means", but only by “publication ".

1、Publication

The scientific and technological contents disclosed through publications are recognized as "existing science and technology contents" in the sense of novelty search.

Publications include all kinds of printed and typed papers, such as science and technology magazines or books, academic papers, patent documents, textbooks, technical manuals, officially published meeting minutes or technical reports, newspapers, pamphlets, and products. The manual also includes various tangible carriers made by other methods, such as microfilm, tape, compact disk, machine inspection database, etc. With the development and standardization of Internet media, network resources are becoming important for novelty retrieval.

Publications are not limited by geographical location, language, or means of access, nor by age.

It does not matter how much the publication is distributed, whether it has been read or not, and whether the novelty retrieval client knows it or not.

The publication date of a publication shall be the date on which it was first printed. If the date of publication only indicates the month or year, the last day of that month or December 31 of that year shall be regarded as the publication date.

A product catalog or a report that only includes some substantive scientific and technological contents that are successful but not disclosed. Itself does not constitute a part of the existing science and technology but can be used as a clue for further obtaining detailed scientific and technological information.

The internal publications with quasi confirmation numbers, supplements of official publications with authorized numbers of increasing publication, internal publications subscribed, or presented to the public within a certain scope, and internal publications that have been included in the main retrieval tools can be regarded as public publications.

The appraisal report, evaluation report, acceptance report, project inspection report, and other data are kept confidential and are not public publications. However, if the person who has the obligation of confidentiality violates the agreement or regulation and divulges the secret, which results in the publication of the scientific and technological content, then the science and technology will become a part of the existing science and technology.

In practice, it is sometimes found that the novelty retrieval experts (refer to the experts who provide novelty retrieval services for novelty retrieval institutions and are closest to the scientific and technological contents involved in the novelty retrieval projects, i.e. peer experts) have mastered the relevant scientific and technological achievements information not mastered by novelty retrieval. Among them, some of them are caused by the lag of literature information or the omission of retrieval; the other part is due to the objectivity of "literature evaluation", which does not allow to quote all kinds of achievements not published in publications. For the former, efforts should be made to improve; for the latter, it is normal.

2、The principle of judging whether the novelty search is creative

For novelty search, the principles of judging the novelty of the project are as follows:

1)The exclusion principle of identical projects

If the projects have identical research fields and purposes, the same technical solutions, and the same expected effect with the current science and technology, then it will be recognized as a lack of novelty.

2) The principle of individual comparison

The so-called "independent comparison principle" refers to that the scientific and technological points of novelty retrieval projects should be compared with the scientific and technological contents related to the novelty retrieval items disclosed in each comparative literature, and they should not be compared with the combination of several comparative literature contents.

3) The principle of concrete (lower) concept negating the general (upper) concept

In the same subject of science and technology, the publicity of a specific (lower) concept can make the novelty projects of the general (upper) concept lose novelty. For example, if the comparative literature reveals that a product is "made of copper", the novelty search item of "the same product made of metal" will be defined as not creative.

On the contrary, the publication of general (upper) concepts does not affect the novelty of those novelty retrieval items of specific (lower) concepts. For example, a product disclosed in the comparative literature is "made of metal", then the novelty search item of "the same product made of copper" will still be seen as creative.

4) The principles of breaking through the traditional.

"Breaking through the traditional principle" is usually used to judge the numerical range, which mainly means: if a certain numerical range is disclosed in the prior art to warn the technical personnel in the technical field not to select the numerical range, but the novelty search project just breaks through this tradition and establishes the numerical range. Then the project is novel.

What is the function of a novelty search?

Novelty retrieval plays an important role in development and management of scientific research, and national economic construction. Specifically speaking, it is shown in the following aspects.

1、Provide objective basis for scientific research projects

Whether a scientific research project is novel in terms of the argument, research and development objectives, technical route, technical content, technical indicators, technical level, etc., the first task is to comprehensively and accurately grasp the relevant information at home and abroad and to find out whether the subject has been researched or developed. Through the novelty search, we can know the position and direction of relevant science and technology at home and abroad; whether the research and development have been carried out or is in the process of research and development; the depth and breadth of research and development; the problems that have been solved and have not been solved, etc., to provide an objective basis for judging whether the selected topic is novel or not. This can prevent the waste and loss of human, financial, and material resources caused by repeated research and development.

In the past, the selection of new projects and key projects was not paid attention to, which led to repeated research. According to statistics, the repetition rate of scientific research projects in China is up to 40%, and 20% out of the other 60% are partly repeated. At the same time, the duplication with foreign results accounts for about 30%. Most technologies have already been disclosed in foreign countries, which has resulted in a serious waste of human, material, and financial resources.

2、It provides an objective basis for the appraisal, evaluation, acceptance, transformation, and reward of scientific and technological achievements

Novelty retrieval can provide an objective literature basis for the identification, evaluation, acceptance, transformation, and reward of scientific and technological achievements.

A novelty search can also ensure appraisal, evaluation, acceptance, transformation, and reward of scientific and technological achievements are scientific and reliable. In these works, if there is no reliable novelty search report provided by the novelty search department as the literature basis, only relying on the professional knowledge and experience of the expert group, there will inevitably be unfairness and no exact conclusion may be drawn. This is not conducive to mobilizing the enthusiasm of scientific and technological personnel, but also hinders the popularization and application of the achievements. High-quality novelty search, combined with the rich professional knowledge of experts, can prevent the occurrence of the above phenomena, thus ensuring that the whole process of evaluating are authoritative and scientific.

3、Provide reliable and rich information for scientific and technological personnel to carry out research and development

With the continuous development of science and technology, subject classification is becoming more and more detailed. It has become a common phenomenon that information comes from different carriers, which brings some difficulties to obtain information. Relevant research shows that the time taken by technical personnel to consult literature accounts for about 50% of their workload. If this work is done by professional novelty retrieval personnel, the time of consulting literature can be greatly saved. Generally, novelty search institutions have rich information resources and perfect computer retrieval system, which can provide comprehensive services from primary literature to secondary literature. For example, the world-famous SCI (scientific Citation Index), Ca (Chemical Abstracts), EI (Engineering Index) are provided by the international online information retrieval system NTIS (US government report) and WPI (World Patent Index) are databases of nearly 1000 scientific, technological, economic and commercial materials, covering papers, technical reports, patents, standards and specifications, newspapers and circulars of various academic conferences and journals. The data collection can be traced back to the 19th century, and the latest information released a few minutes ago can also be found. According to relevant statistics, these systems contain more than 98% of the world's machine-readable literature, which can basically meet the information search needs of scientific research.

Novelty search principle

Article 3 ofThe Administrative Measures for Sci-tech Novelty Retrieval Institutionsstipulate that "sci-tech Novelty Retrieval shall adhere to the principles of seeking truth from facts, being objective and impartial, and ensure the independence of novelty retrieval activities and the accuracy of novelty retrieval conclusions."The Criterion of Sci-tech Novelty Retrievalhas made detailed and clear provisions on novelty retrieval principles.

I、Basic principles of novelty search

The second part ofthe Standards for Sci-tech Novelty Retrievalstipulates that the following basic principles should be followed in the process of novelty retrieval commissioned by novelty retrieval clients, novelty retrieval institutions in novelty retrieval activities, and novelty retrieval consulting experts in the process of providing novelty retrieval consulting services:

1.Voluntary principle

The so-called voluntary principle refers to:

lOn the premise of abiding bythe Criterion of Sci-tech Novelty Retrieval, the novelty retrieval client has the right to choose novelty retrieval institutions, and the novelty retrieval institutions have the right to accept or reject the entrustment of the novelty retrieval institutions.

lOn the premise of abiding bythe Standards for Sci-tech Novelty Retrieval, novelty retrieval institutions have the right to choose novelty retrieval consulting experts; experts have the right to accept or refuse to serve as novelty retrieval consulting experts. Only on the basis that both parties are voluntary and the process is legal, can the employment relationship be truly established.

2.The principle of novelty search according with the national law

According to law in novelty retrieval is an important principle for novelty retrieval, which includes the following aspects:

lThe institutions engaged in novelty retrieval shall be qualified for the information consultation service.

lAll novelty search services undertaken by novelty search institutions should be based on laws and regulations, and all activities should be carried out within the scope of laws and regulations;

lThe activities of all parties involved in novelty retrieval shall followtheAdministrative Measures for Sci-tech Novelty Retrieval InstitutionsandtheSci-tech Novelty Retrieval Norms;

lAs for the novelty search personnel who are not suitable to continue their practice due to violation of laws and disciplines, the novelty search institution shall dismiss or remove their name from the Novelty Retrieval Personnel in accordance with the laws, regulations, rules, and the articles of association.

3.The principle of independence, objectivity, and impartiality

(1) The principle of independence

The principle of independence includes the following contents:

lNovelty retrieval institutions, novelty retrieval personnel, novelty retrieval auditors, and novelty retrieval consulting experts should be the third party that has no interest in novelty retrieval projects;

lNovelty retrieval institutions shall handle novelty retrieval business independently in strict accordance with relevant laws and regulations of the administrative measures for Sci-tech Novelty Retrieval institutions and specifications for sci-tech novelty retrieval; novelty retrieval consulting experts shall independently provide novelty retrieval consulting opinions to novelty retrieval institutions in strict accordance with relevant laws and regulations of the state and regulations and rules for sci-tech novelty retrieval;

lThe specific novelty search and consulting activities of novelty retrieval institutions and novelty retrieval experts are not controlled by any administrative department, nor are they subject to the illegal intervention of other organs, social organizations, enterprises, individuals, novelty retrieval clients, etc.; when novelty retrieval consulting experts provide novelty consulting opinions, they are not subject to illegal interference of novelty search institutions. According to the regulation of sci-tech novelty retrieval, if the novelty retrieval institutions and novelty retrieval experts think that their independence has been influenced, they can refuse to carry out novelty search and novelty retrieval consultation, or suspend the corresponding consulting activities, or make a statement in the expert opinion form of novelty search.

(2). Objective principle

The objective principle means that the novelty retrieval institution should objectively complete the novelty retrieval affairs for the novelty retrieval client according to the literature. Any analysis, description of technical characteristics, and every conclusion in the novelty search report should be based on the literature, conform to the reality, and do not contain any personal bias.

(3) The principle of Justice

The principle of fairness requires: in the process of dealing with novelty retrieval affairs, the novelty retrieval institutions should stand on a fair position and complete the novelty retrieval affairs for the clients on the premise of complying withthe Administrative Measures for Sci-tech Novelty Retrieval Institutionsandthe Sci-tech Novelty Retrieval Norms. The novelty search institutions should not be biased or condescending to the novelty retrieval clients because of the novelty search fees; nor should novelty retrieval experts accommodate the novelty search institutions because of the novelty search fees.

II、Other principles of novelty search

1. Principles to be followed by novelty search institutions in accepting novelty retrieval business

Sci-tech Novelty Retrieval Standardstipulates that novelty search institutions shall accept novelty search business within the approved professional scope. In any of the following circumstances exists, the novelty search agency shall not accept the novelty search Commission:

(1) It goes beyond the professional scope of novelty search institutions;

(2) Lack of necessary database or literature resources.

2. The evasion principle that novelty search institutions should follow when appointing novelty checkers and auditors

When appointing Novelty Retrieval Personnel (full-time or part-time) and auditors, novelty search institutions shall follow the following avoidance principles:

(1) It is not allowed to appoint any person who has ever held a post in the commissioning unit, the completed achievement unit, the achievement user unit, or the scientific research project sponsor unit, or has not been more than two years after leaving office;

(2) It is not allowed to appoint personnel who hold stocks or bonds of the units entrusted for novelty retrieval, units that have completed or used achievements nor units in charge of scientific research projects, or who have other economic interests in these units;

(3) It is not allowed to appoint other parties who can benefit from the novelty retrieval project.

The achievements and scientific research projects mentioned above refer to new projects to be investigated.

3. Selection principles of novelty search experts

(1) Experts participating in novelty search and consultation shall be employed by novelty search institutions;

(2) The employed novelty retrieval experts shall be familiar with the scientific and technological contents of novelty retrieval projects;

(3) No one who has an interest in the novelty search project shall be an expert on novelty retrieval. The following persons are considered to have an interest in the novelty search project:

lMembers of the research group of novelty search project;

lStaff members of the unit that have been assigned the project or entrusted the project;

lStaff who take part in transferring or using relevant achievements.

The achievements mentioned above refer to new projects to be investigated.

4.General principles for determining retrieval time limit and method

The general principle for the retrieval time limit inSci-tech Novelty Retrieval Standardis: time span of the retrieval should be based on the development of the specialty of the novelty retrieval project and the novelty retrieval purpose, and should generally be 10 years ahead of the date of the novelty retrieval Commission. For newly developed disciplines and high-tech projects, the period can be appropriately shortened; for more mature technology products, craft, and patent novelty search, the period shall be extended appropriately; if there is any other agreement in the novelty search contract, it shall be implemented according to the agreement.The novelty search contract here refers to: on the basis of agreement, the novelty retrieval agency shall handle the novelty retrieval affairs of the novelty retrieval client.

The general principles that the novelty retrieval institutions should follow when choosing the retrieval methods are as follows: they should be determined according to the retrieval requirements of the novelty retrieval clients, the discipline characteristics of the novelty retrieval projects, and the retrieval conditions of the novelty retrieval institutions themselves, but they should give priority to the computer inspection, supplemented by the manual inspection methods.

5. Charge principle of novelty search

(1) The service of novelty search shall be paid. The cost of novelty search shall be determined in accordance with the relevant provisions of the local price control department; if the provisions are not clear, it shall be negotiated by both parties and agreed in the contract.

(2) Any fees or valuables collected by novelty search institutions in connection with novelty retrieval shall be specified in the novelty search contract. The novelty search institution and its staff shall not collect in any way all fees and things of value other than those specified in the novelty search contract or things of value.

(3) Novelty search institutions obtain novelty search fees according to the contract, which should not be changed for the final novelty search conclusion.

6. Principles of signing and performing novelty search contract

According tothe Regulations of Sci-tech Novelty Retrieval, the following basic principles should be observed in the signing and performing of novelty search contracts:

(1) Comply with laws and regulations;

(2) Voluntary, equal, fair, honest, and trustworthy;

(3) Maintaining public order and abiding by social morality;

(4) It is conducive to the progress of science and technology and the transformation of scientific and technological achievements;

(5) It is regulated by relevant laws.

The above basic principles will be introduced in detail in the fifth part of this course.

The specification also stipulates that the novelty search contract shall be in written form, and both parties of the novelty search contract shall sign (seal) the novelty retrieval contract.

7. The principle of solving the dispute of novelty search

According to the regulations of sci-tech novelty retrieval, when there are disputes between the parties in the novelty search contract on whether the contract is established, whether it is valid, whether it has been performed, whether there is a violation of the contract, who should bear the liability for the breach of the contract, in what way the liability should be taken and how to define the size of the liability, etc. Then the following principles should be followed in settling the disputes.

(1) The principle of taking facts as basis and law as a criterion. In other words, when dealing with the dispute of novelty search, we should seek truth from facts, reflect the truth of the facts, comprehensively and objectively identify the disputed facts and objective situation, and take the provisions of relevant laws and regulations and the agreement of the parties as to the standard and scale for judging right and wrong and determining responsibility.

(2) The principle of policy guidance. In other words, when dealing with disputes, we should follow the consistent principle of judicial practice in our country: there is a law, according to the law; without law, according to policy.

(3) The principle of equality in the application of the law. That is to say when dealing with the dispute of novelty search, no matter they are of what ownership, in which administrative level, in what scale, whether they are legal persons, natural persons or other organizations, all parties have the right to participate in the debate, demonstrate their own claims, refute each other's claims and provide relevant evidence.