PATCOM THOMSON REUTERS Classification needs and first experiences

PATCOM - THOMSON REUTERS Classification needs and first experiences with CPC IPC WORKSHOP, Geneva 2013 Doina Nanu

CLASSIFICATION NEEDS AND FIRST EXPERIENCES WITH CPC • Introduction – classification systems • Is Patent Classification still needed • Patent classification uses • Classification challenges • CPC – threat or opportunity - Conclusions

(TOO) MANY PATENT CLASSIFICATION SYSTEMS • International Patent Classification – WIPO • Cooperative Patent Classification (ECLA)– EPO/USPTO • US Patent Classification (until 2015) – USPTO • DECLA – German Patent and Trademark Office • FI /F-Terms – Japanese Patent Office • DWPI Manual Coding system • Common Hybrid Classification – Global Patent Classification

IS PATENT CLASSIFICATION STILL NEEDED? • Increasing global patent activity • Classification systems require high maintenance • High granularity, often dependent on national, regional technology profile • Frequent updating cycles (revisions, reclassifications) • Consistent classification rules often reconciled with national patent law • The more refined to meet specific requirements, the higher the maintenance and, paradoxically, risk of failing • Different classification systems (national, regional) • Recent classification developments (CPC, CHC) substantial projects undertaken by patent offices • High interest from patent user community • Patent classification has multiple applications and is useful !

PATENT CLASSIFICATION USES • Search tool : • Language independent : overcomes translation variations and terminology alternatives in emerging technologies, as well as spelling errors • Suitable for Technology drill down and concept retrieval • Document routing tool: • In production and editorial departments patent documents are routed to technology experts • In product creation : for alerts and patent profiles • In Machine Translation developments where the classification is used to associate the correct technical dictionary with the respective technology

CLASSIFICATION CHALLENGES • Classification features with limited user benefits: – Inconsistency of classification attributes (eg generating office, position, source of classification, etc. ) – Insufficient details related to certain classification features, linking codes • Missing classification • Invalid classification • Availability at publication with the rest of bibliographic data

MISSING/INVALID IPCs IN NEW PULICATIONS LOADED IN DWPI Aug 15 th 2012 to Jan 26 th 2013 2023 2000 WO CN IL 1500 TW IN JP KR 1000 RU US NZ 500 ES 298 HK 39 34 26 IL TW IN 0 WO CN 12 11 8 7 6 4 4 JP KR RU US NZ ES HK

IPC – SAME INVENTION, DIFFERENT CLASSIFICATION IPCs applied only once within family A 23 L 1/0522 A 23 L 1/09 A 23 L 2/00 A 61 K 47/14 A 61 K 47/26 A 61 K 47/36 A 61 K 8/97 A 61 Q 13/00 B 01 F 17/34 B 01 F 17/36 B 01 F 3/08 C 08 B 35/02 C 08 J 3/02 C 08 L 3/06

CHALLENGE MEANS OPPORTUNITY • Missing and invalid IPCs – value add by assigning front end classification • Inconsistent classification – DWPI Manual coding – DWPI patent family • Confusing Attributes - product enhancement features eg Inventive, non-inventive, generating office, version, etc

CPC –THREAT OR OPPORTUNITY? Conclusions (1) • Yet another classification system or chance for Integration in IPC or be the backbone for global classification? • Granular, but how representative for technology developments in Japan, China, Korea? • Applied to a large number of collections but not available at the time of patent document publication (except for US data, EP)

CPC –THREAT OR OPPORTUNITY? Conclusions (2) • Concordance with IPC good for now but how will the divergence be avoided as CPC evolves • If more offices join in, how will the consistency of classification be maintained? – Role of the USPTO in consolidating the success of CPC – Role of WIPO in unifying the very best of the existing systems into a global classification, consistently applied by patent offices worldwide irrespective of their size

Classification needs and first experiences with CPC - IPC Quality Issues Christiane Emmerich PATCOM/FIZ Karlsruhe IPC Workshop, Geneva 2013

IPC Quality Issues • Invalid IPCs in the DOCDB backfile • Missing IPCs of new patent publications 13

Invalid IPCs in DOCDB IPC Revision 2010. 01 The IPC subgroup C 12 N 5/06 was transferred to C 12 N 5/07 plus further subgroups with IPC version 2010. 01 14

Invalid IPCs in DOCDB C 12 N 5/06 became invalid with IPC version 2010. 01 24. 556 records with C 12 N 5/06 IPC reform codes only* US 7. 713 JP 2. 476 WO 2. 233 EP 2. 230 AU 1. 726 CA 1. 484 DE 981 CN 877 * 25. 115 records in INPADOCDB with C 12 N 5/06 (IPC 8) of which 559 provide the revised code C 12 N 5/07 (plus further subgroups), search week 06/2013 15

Invalid IPCs in DOCDB WO 2009/146746 has one invalid IPC assigned, no reclassification data are available: AN FN TI 59944434 INPADOCDB ED 20091217 EW 200951 UP 20100422 UW 201016 38698386 USE OF FXA, FVIIA, TF, OR A COMBINATION THEREOF AS ANTI-APOPTOTIC AGENTS. UTILISATION DE FXA, DE FVIIA, DE TF OU D'UNE COMBINAISON DE CEUX-CI EN TANT QU'AGENTS ANTI-APOPTOTIQUES. IN DAUBIE, VALERY; POCHET, ROLAND INS DAUBIE VALERY, BE; POCHET ROLAND, BE PA UNIVERSITE LIBRE DE BRUXELLES; DAUBIE, VALERY; POCHET, ROLAND PAS UNIV BRUXELLES, BE; DAUBIE VALERY, BE; POCHET ROLAND, BE PI WO 2009146746 A 1 20091210 PIT WOA 1 INTERNATIONAL APPLICATION PUBLISHED WITH INTERNATIONAL SEARCH REPORT AI WO 2008 -EP 56994 W 20080605 English AIT WOW International application Number PRAI WO 2008 -EP 56994 W 20080605 (WOW, 20091217, Y) PRAIT WOW International application Number IPCI C 12 N 0005 -06 [I, A] CPC C 12 N 0005 -0031; C 12 N 2500 -84; C 12 N 2501 -70 EPC C 12 N 0005 -00 M 2 ICO M 12 N 0500: 84; M 12 N 0501: 700 16

New Patent Publications without IPC* in DOCDB from August 2012 1. 373. 086 new publications from August 2012 IPC 8 1. 330. 822 IPC 7, only reclassified IPC, only 612** 6. 899*** no IPC 34. 763 2, 5 % of new publications have no IPC assigned * new INPADOCDB records (new applications) ** BE A 3 (251), AR A 1 (164), BE A 5 (86), EP A 1 (63) *** TW (3678), PT (1479), KR (1062), SG (140), EA (101) 17

New Patent Publications without IPC in DOCDB from August 2012 publication type no IPC code* comments design patents 10. 710 US S 1 (10. 648), CR S, DO S gazette references 9. 539 GB D 0 (9. 525), IL D 0, AP D 0 utility models 1. 580 IT U 1 (1. 179), CN U, FI U 1, BR U 2 other 12. 934 see next slide total 34. 763 *number of new records in INPADOCDB without IPC 18

New Patent Publications without IPC in DOCDB from August 2012 patent publication type no IPC code* total number of publications IT A 1 5222 (99, 9%) 5. 227 WO A 1, A 2 2654 (2, 8%) 95. 201 SG A 1 3631 (96, 2%) 3. 775 CN A 386 (0, 1%) 294. 327 BR A 2 279 (6, 9%) 4. 002 US A 1 209 (0, 1%) 170. 679 *number of new records in INPADOCDB without IPC 19

New PCT-Publications without IPC in DOCDB from August 2012 PCT-Filing Office No of Records* US 1048 EP 566 KR 247 GB 173 IB 154 DE 57 CN 53 total 2. 654 *number of new PCT-records in INPADOCDB without IPC 20

New PCT-Publication without IPC in DOCDB WO 2012/110342 has no IPC or ECLA/CPC assigned AN FN TI 70190717 INPADOCDB ED 20120830 EW 201235 UP 20120906 UW 201236 45280289 VERFAHREN ZUM BETREIBEN EINES SOLARBEHEIZTEN ABHITZEDAMPFERZEUGERS SOWIE SOLARTHERMISCHER ABHITZEDAMPFERZEUGER. METHOD FOR OPERATING A SOLAR-HEATED WASTE HEAT STEAM GENERATOR, AND SOLAR-THERMAL WASTE HEAT STEAM GENERATOR. PROCEDE POUR FAIRE FONCTIONNER UN GENERATEUR DE VAPEUR A RECUPERATION DE CHALEUR CHAUFFE A L'ENERGIE SOLAIRE ET GENERATEUR DE VAPEUR A RECUPERATION DE CHALEUR CHAUFFE A L'ENERGIE SOLAIRE. IN BRUECKNER, JAN; FRANKE, JOACHIM; THOMAS, FRANK INS BRUECKNER JAN, DE; FRANKE JOACHIM, DE; THOMAS FRANK, DE PA SIEMENS AKTIENGESELLSCHAFT; BRUECKNER, JAN; FRANKE, JOACHIM; THOMAS, FRANK PAS SIEMENS AG, DE; BRUECKNER JAN, DE; FRANKE JOACHIM, DE; THOMAS FRANK, DE DT Patent PI WO 2012110342 A 2 20120823 PIT WOA 2 INTERNATIONAL APPLICATION PUBLISHED WITHOUT INTERNATIONAL SEARCH REPORT or INTERNATIONAL APPLICATION PUBLISHED WITH DECLARATION UNDER ARTICLE 17 (2) (A) [FROM 20090101 ONWARDS] AI WO 2012 -EP 51920 W 20120206 German AIT WOW International application Number PRAI DE 2011 -102011004263 A 20110217 (DEA, 20120823, Y) PRAIT DEA Patent application REC 1. THERE IS 1 CITED REFERENCE (0 PATENT, 1 NON PATENT) AVAILABLE FOR THIS RECORD. ALL CITATIONS ARE AVAILABLE IN THE RE FORMAT. 21

Conclusions • Reclassification of the MCD backfile needs to be enhanced to ensure comprehensive retrieval when searching with the current version of the IPC • WIPO should encourage smaller patent authorities to assign IPCs more extensively, e. g. IT, SG, AR • PCT searching authorities should be encouraged to assign IPCs more timely to PCT documents, so that IPC could be used for monitoring purposes 22