IPC International Patent Classification Practice What and Where

IPC - International Patent Classification Practice - What and Where to Classify (and Search)? IPC Section, World Intellectual Property Organization (WIPO) October 2014

Where? Selecting appropriate places is similar for ü Classifying patent applications / granted patents; ü Searching state of the art for examination. 2

What is classified? Two types of technical information worth classifying: ü Invention information Technical information worth granting a patent Ø obligatory classification ü Additional information Supplementary non-invention information the classifier/examiner considers important Ø discretionary classification 3

Invention Information ü Technical information that represents an addition to the state of the art ü All novel and unobvious subject matter specifically disclosed in a patent document § Claims as guidance, but also in description § In examined patent only in claims ü Each piece of invention information classified separately ü At least one symbol given as Invention Information even if no invention Ø obligatory classification 4

Invention Information ü Technical subject with which an invention is essentially concerned should be classified as a whole – not by separate classification of constituent parts unless constituent parts are novel and unobvious. ü When classifying a large system as a whole, parts or details should also be classified if inventive. Example: a leaf spring into a vehicle wheel suspension - classified in the place for this system (B 60 G vehicle suspension arrangements), and if the leaf spring as such is novel and unobvious, also classified in the place for the thing itself (F 16 F springs) 5

Additional information ü Non-trivial technical information which does not represent an addition to the state of the art but might constitute useful information for search. ü Complementing invention information, e. g. § elements or components of a process or structure; § constituents of a composition or mixture; § use or applications of classified technical subjects if non -inventive. ü Allows search by combination of symbols. Ø non-obligatory classification 6

Invention and Additional Information Example: Metal rod wine rack (Training Example: M 5) üInvention Information A wine rack which is easily dismantled üAdditional Information A rigid wine rack made of “wire” Int. Cl. A 47 B 73/00 (2006. 01) Bottle cupboards; Bottle racks A 47 B 47/02 (2006. 01) Racks characterised by features related to dismountability A 47 B 55/02 (2006. 01) Racks having essential features of rigid construction (made of wire) 7

1 st step of classifying (search) üDetermine the subject matter to be classified (searched). Basic categories of subject matter: § Processes, products, apparatus or material § Things “per se” and adaptations 8

Categories of Technical subjects Categories used in IPC: § Processes: e. g. preparation of foodstuffs, testing, methods of operating machines, processing of information, separation, etc. § Products: e. g. chemical compounds, compositions, fabrics, articles of manufacture, etc. § Apparatus: e. g. tools, machines, devices, etc. § Material: ingredients of mixtures, etc. § Methods: of using a product or performing an operation ü Each category should be separately classified if needed. 9

Categories of Technical subjects ü For example, if a product is inventive and its method of manufacture is inventive, then both the product and its method of manufacture should be classified. ü In addition, if a particular use is disclosed, then the use should also be classified. ü Numbers of classification do not always correspond to independent claim. 10

Categories not explicitly provided for in classification titles ü If for one of the categories, no distinct place has been identified by the titles of the IPC, the most appropriate place existing for the other categories is used for classifying: § Chemical compounds, and a specific field of use; § Chemical mixtures or compositions, or its use or application; § Preparation or treatment of compounds, or the Compound; § Apparatus or Processes. ü Definitions, notes, references may provide specific information. ü See § 92 -100 of the Guide to the IPC. 11

Function and application-oriented places ü IPC discriminates between two fundamental categories of technical subjects: • Things “per se”, “in general”, i. e. characterised by their intrinsic nature or function, i. e. independent of its field of use; ► Function-oriented place • Things specially adapted for particular use or purpose. ► Application-oriented place 12

Function and application: examples Function-oriented Places - C 07: Organic compounds characterised by structure only - F 16 K (Valves), B 01 D (Filters), F 16 F (Springs) Application Places - C 05 covers use of organic compounds as fertilisers - A 61 F 2/24 covers mechanical valves specially adapted for insertion into a human heart - A 47 J 31/06 covers filters for coffee or tea makers - B 60 G 11/00 covers incorporation of a spring into the suspension of a vehicle “specially adapted for” in the title 13

What and Where ? N. B. One document may contain several different technical subject matters (inventive things) to be classified (e. g. independent claims). Ø All inventive things have to be classified, several classifications must be assigned if needed! 14

Example Patent documents IPC symbols Claim 1 - Claim 2 (dependent claim) - Claim 3 (dependent claim) G 67 K 1/00 (invention information) • Claim 4 - Claim 5 (dependent claim) F 88 Z 1/00 (invention information) B 91 M 1/00 (additional information) 15

Where? ü Traditional principle: As few symbols as possible, as much as necessary! > Idealy one symbol (historically important reason: limit paper search file) ü Complementary principle: Classify everything interesting for search purposes! (efficient retrieval of documents) 16

Types of IPC symbols ü Classification symbols normally stand for concepts (longer titles), i. e. a combination of characteristics/features. ü Indexing codes only describe one additional characteristic of the subject matter to be classified Ø i. e. adding an indexing symbols is like adding a keyword (indexing). 17

Indexing Codes ü Used only in specific areas to classify additional information of interest for search Ø Discretionary classification ü i. e. indexing codes are never given alone, they always supplement one or several ordinary symbols. Ø Never presented first ü Only specific places are used for indexing codes: § Indexing subclasses (B 29 K, B 29 L, C 10 N, C 12 R, F 21 W, F 21 Y) § Indexing main groups (e. g. A 01 D 101/00, C 04 B 103/00, . . ) 18

Example of Indexing subclasses: F 21 W 19

Example of Indexing scheme: C 04 B 103/00 20

Types of IPC Symbols Summary ü Invention information: § Classification symbols ü Additional information: § Classification symbols § Indexing codes 21

Classification Rules Different classification rules may apply: üFirst place priority rule üLast place priority rule B 32 B Note(s) 5. In groups B 32 B 1/00 -B 32 B 33/00, the first place priority rule is applied, i. e. at each hierarchical level, in the absence of an indication to the contrary, classification is made in the first appropriate place. Note(s) In this subclass / main group(s) / group(s), the last place priority rule is applied, i. e. at each hierarchical level, in the absence of an indication to the contrary, classification is made in the last appropriate place. Ø give priority between groups of the same hierarchical level Ø avoid multiple classification in case of overlap üSpecial rules (see§ 155 of the Guide) Multiple classification (C 04 B 38/00) Subject-specific rules (C 08 L) üCommon rule (default, if no other rules specified) 22

Common Rule ü Common Rule aims at limiting multiple classification when many symbols should be allotted. ü Priority for § groups for more complex subject matter § groups for more specialised subject matter ü However, classification in several places if § priority not given, only places for subcombinations § place of lower priority is useful for search 23

Question Example: Inventive subject matter A (1/00) is characterized by subcombinations of B (1/04) and C (1/08) in the following scheme which has no provision for combinations: 1/00 1/02 1/04 1/06 1/08 main group A. subgroup B. subgroup C Question: Classification(s) under CR/FPPR/LPPR? Answer: if Common Rule > B and C if First Place Priority Rule > B if Last Place Priority Rule > C 24

Question Q. In main group A 21 D 2/00, where would you classify treatment of dough by adding a mixture of ascorbic acid and seed germs? (In view of the last place priority rule in group A 21 D 2/00. ) 25

A 21 D 2/00 Treatment of flour or dough by adding materials thereto before or during baking (A 21 D 10/00 takes precedence) Note(s) In groups A 21 D 2/02 -A 21 D 2/40, the last place priority rule is applied, i. e. at each hierarchical level, in the absence of an indication to the contrary, a substance is classified in the last appropriate place. A 21 D 2/02 · by adding inorganic substances A 21 D 2/04 · · Oxygen; Oxygen-generating compounds, e. g. ozone, peroxides A 21 D 2/06 · · Reducing agents A 21 D 2/08 · by adding organic substances A 21 D 2/10 · · Hydrocarbons A 21 D 2/12 · · Halohydrocarbons A 21 D 2/14 · · Organic oxygen compounds A 21 D 2/16 · · · Fatty acid esters A 21 D 2/18 · · · Carbohydrates A 21 D 2/20 · · · Peroxides A 21 D 2/22 · · · Ascorbic acid A 21 D 2/24 · · Organic nitrogen compounds A 21 D 2/26 · · · Proteins A 21 D 2/28 · · Organic sulfur compounds A 21 D 2/30 · · Organic phosphorus compounds A 21 D 2/32 · · · Phosphatides A 21 D 2/34 · · Animal material A 21 D 2/36 · · Vegetable material A 21 D 2/38 · · · Seed germs; Germinated cereals; Extracts thereof A 21 D 2/40 · Apparatus for the chemical treatment of flour or dough 26

Selecting / Finding IPC place ü Different approaches/strategies: § Browsing the IPC scheme § Catchword Index § Terms (text search of the IPC) § IPCCAT (automated classification tool) § STATS (statistical approach using PATENTSCOPE) 27

Browsing the IPC scheme Simple approach: üBrowsing the IPC Section Class Unspecific titles Subclass Main Group Specific titles Subgroups 28

Catchword Index 29

Catchword Index 30

Terms (text search in the IPC) 31

IPCCAT (categorization tool) ü A categorization assistance tool for the IPC designed to help to classify patent documents at IPC subclass/main group level ü Designed with the concept of full phrases describing the technical subject matter (not a keyword search tool) ü Upload of document is possible ü Based on artificial neural network ü It is suggested that patent abstracts be used (at the minimum), and not a random selection of text from the patent description. ü Need to consult the IPC scheme ü Available at: https: //www 3. wipo. int/ipccat/ 32

IPCCAT 33

IPCCAT 34

IPCCAT 35

STATS (Statistical approach) ü Identifies IPC entries most frequently referenced in the PATENTSCOPE database searched by particular terms. ü Statistical presentation of the search results is performed according to IPC subclasses and groups. ü Search by simple terms and multi-term (combination of simple terms separated by a space) in all patent collections of the PATENTSCOPE. 36

STATS 37

STATS 38

STATS 39

STATS 40