The IPC Reform European Patent Office Background Changes

The IPC Reform European Patent Office • Background • Changes • Schemes • MCD • Examples THE IPC REFORM • Searching Hungarian Patent Office, Budapest, 23 May 2006 Dr. Pierre Held, PD Tools-Documentation, Dir. 1. 3. 5. Classification Pierre Held EPO Directorate 1. 3. 5 Classification 1

IPC 1 -7 The IPC Reform • 70, 000 groups (cf. ECLA: 130, 000 groups) • Background • Changes • Schemes • MCD • Revision cycles of 5 years • documentation classified according to different editions • Examples • Searching • Classification rules • invention as claimed • additional information = obligatory = non-obligatory • Example IPC 7 symbol: • B 29 C 45/14, 45/72 // B 65 D 5/04, B 29 K 203: 00 Pierre Held EPO Directorate 1. 3. 5 Classification 2

Difficulties of IPC 1 -7 The IPC Reform • no back file reclassification • consultation of IPC editions 1 -7 Reclassification of back-file & after revision • Background • Changes • Schemes • MCD • Examples • level of detail • • too much for small offices not enough for big offices • a reason for having ECLA, FI, USPC • Searching • revision cycle too long • inconsistent application Pierre Held EPO Directorate 1. 3. 5 Classification Advanced & Core level • lack of harmonized view Revision: 3 months / 3 yrs - Definitions - reclassification of back-file by family 3

All changes at a glance The IPC Reform • Background • Changes • Schemes • Schemes • • Advanced Level and Core Level Residual subclasses and main-groups Definitions and Main Group Standard Sequence Classification Rules • MCD • Examples • Searching • Allocation of symbols • Reclassification of the back file • One Master Classification Database (MCD) worldwide • Class propagation per “simple” ~ “strict” family • Introduction: 01 -01 -2006 Pierre Held EPO Directorate 1. 3. 5 Classification 4

Split IPC into two levels The IPC Reform • Changes • Schemes • MCD • Examples • Searching Core Level Pierre Held EPO Directorate 1. 3. 5 Classification 20, 000 entries Little revision A ------B ------C ------D ------E ------F ------G ------H 70, 000 entries (too many / too few) Revision 5 years (too short / too long) Advanced level IPC 7 Trilateral Harmony • Background More entries ( = ECLA) Revision 3 months 5

The Advanced Level The IPC Reform • 70, 000 groups, i. e. all groups of IPC 7 • i. e. all groups of IPC 7 + some new subclasses • Background • Changes • Business Methods, Combinatorial Chemistry, Herbal Medicine • planned to be expanded • Schemes • MCD • Examples • Searching • revision cycle 3 months • revision resulting from Harmony projects • Harmony = harmonised ECLA–FI–USPC • organized by subcommittee including trilateral offices • EPO, JPO, USPTO • contains PCT minimum documents • large offices use only Advanced Level • all PCT offices (ISA's) are obliged to use Advanced Level Pierre Held EPO Directorate 1. 3. 5 Classification 6

The Core Level The IPC Reform • Background • Changes • Schemes • MCD • 20, 000 groups • revision cycle 3 years • revision only for new technologies • organized by WIPO • contains all documents • Examples • Searching • given and used by small offices • large offices generate Core Level automatically • out of the given Advanced Level symbols • all PCT offices (ISA's) are obliged to use Advanced Level Pierre Held EPO Directorate 1. 3. 5 Classification 7

Compressing Advanced into Core The IPC Reform Advanced level Core level • Background • Changes • Schemes • MCD • Examples • Searching Pierre Held EPO Directorate 1. 3. 5 Classification 8

Residual Places – History The IPC Reform • The "X" notation • Background • Changes • marking with "X" notation those subjects for which no appropriate place could be found • e. g. A 01 BX, G 01 N 3/00 X • Schemes • MCD • Examples • Searching • Never really used worldwide • and use was discouraged at EPO Pierre Held EPO Directorate 1. 3. 5 Classification 9

Residual Subclasses The IPC Reform • IPC • Background • Changes • Schemes • MCD • introduced in all 8 sections (A-H) • standardised symbol (. . . Z) and only one main group (99/00) • A 99 Z 99/00 Subject matter not otherwise provided for in this section • Examples • Searching • ECLA–REPA • not introduced in ECLA • the gérant will be the corresponding IPC member of the Classification Board • e. g. for reasons of distribution of incoming patents from other offices Pierre Held EPO Directorate 1. 3. 5 Classification 10

Residual Main Groups The IPC Reform • IPC • introduced in selected subclasses only • Background • Changes • Schemes • MCD • Examples • Searching • new group 99/00 whenever the existing main groups do not exhaust the scope of the subclass • two kinds: "general" and "restricted" • A 01 M 99/00 Subject matter not provided for in other groups of this subclass • A 01 C 14/00 Methods and apparatus for planting not provided for in other groups of this subclass • ECLA–REPA • introduced in ECLA • with possibility to remove on gérants' request • "general" type: the gérants will be chosen among the gérants for all other main groups • "restricted" type: the gérants will be chosen among the gérants for the affected main groups only Pierre Held EPO Directorate 1. 3. 5 Classification 11

Definitions The IPC Reform • Explanation of subclass or group content • Background • Changes • Inspired by US Classification (USPC) • Schemes • MCD • Drawn up by expert examiners • Examples • Searching • Start with ~50 subclasses in 2006 • improve consistency in use ! • [example: G 01 T] Pierre Held EPO Directorate 1. 3. 5 Classification 12

Arrangement of groups (I) The IPC Reform Alternative view: Re-arranged main groups • Background • Changes • Schemes • MCD • Examples • Searching • Simulate principle of US classification • Starting with most complex subject • Proceeding to less complex • Classify by going from top to bottom • Usually different from numerical order • Website [link]: Select Standard seq. =yes Pierre Held EPO Directorate 1. 3. 5 Classification 13

Arrangement of groups (II) The IPC Reform "Top to bottom" precedence • Background • Changes • Schemes • MCD • Examples • Searching • Combinations are on top • Single elements/operations lower down • “Accessories”, “Details” even further down • “Miscellaneous” at the end Pierre Held EPO Directorate 1. 3. 5 Classification 14

Classification Rules The IPC Reform • Background • Changes • Schemes • MCD • Examples • Invention Information from whole document • not only as in claims • Additional Information more explicitly marked • abandon the // • Searching • Elimination / transfer of most indexing schemes • elimination of linked indexing Pierre Held EPO Directorate 1. 3. 5 Classification 15

IPC availability at EPO The IPC Reform • Printed version of the new Guide distributed by Oct 2005 to all examiners (office-wide) • Background • Changes • Schemes • MCD • Examples • Searching • Electronic version of Advanced and Core levels available at the WIPO site • click here • PDF version of the Advanced level available around summer 2006 • SEA • internal database IPC 2006 • +CLA Pierre Held EPO Directorate 1. 3. 5 Classification 16

MCD The IPC Reform IPC 1 • Background Documents 1970 - 1975 IPC 4 Documents 1985 – 1990 IPC 7 Documents 2000 – 2005 • Changes • Schemes • MCD • Examples Conversion of back file (mainly using ECLA + JPO input) • Searching Unique Advanced Level collection DOCDB – 54, 000 documents + Pierre Held EPO Directorate 1. 3. 5 Classification Immediate reclassification after partial revision (carried out for the world by trilateral offices) 17

Back File Conversion – Process The IPC Reform IPC 1 -7 JP, RU, . . ECLA • Background • Changes DE • Schemes IPC ? • MCD IPC 2006 validation • Examples • Searching Roll-up Adv. to Core Default Indicators Reclassification MCD Storage on “simple” family! Pierre Held EPO Directorate 1. 3. 5 Classification 18

Back File Conversion – Status The IPC Reform ECLA IPC 2006 conversion • Background • Changes • 95% concordance table ready • Schemes • MCD • 85% “min-PCT” documentation converted • Examples • Searching • 60% world documentation converted • breakdown to national level available Pierre Held EPO Directorate 1. 3. 5 Classification 19

Back File Conversion – Status The IPC Reform IPC 1 -7 IPC 2006 conversion • Background • Changes • Schemes • only for documents which are not picked up in the ECLA IPC 2006 conversion • MCD • Examples • Searching • derivation of IPC 2006 from IPC 1 -7 • results will be replaced by "better" data when available over time Pierre Held EPO Directorate 1. 3. 5 Classification 20

Back File Conversion – Figures The IPC Reform ECLA-to-IPC 8 • Background • Changes IPC 1 -7 -to-IPC 8 • Schemes • MCD JPO / DPMA input Other offices 23, 000 docs • Examples • Searching 15, 000 docs 9, 000 docs 3, 000 docs Converted Back file Expected Completeness: 95% by mid - 2006 Pierre Held EPO Directorate 1. 3. 5 Classification DOC-DB (MCD) 21

Front File The IPC Reform • Background Office 1 Office 2 . . . Office n • Changes • Schemes Front file • MCD Converted • Examples Back file VAL • Searching VAL IPC VALIDATION DOC-DB SERVICE (MCD) EPODOC Pierre Held EPO Directorate 1. 3. 5 Classification esp@cenet 1 esp@cenet 2 DOC-DB Products IPC Services 22

Reclassifications – Support by EPO The IPC Reform • Background • Changes • Schemes • Creation of working lists for participating offices • Distribution of lists • MCD • Examples • Searching • Processing of reclassified documents • Adding to family • Replacing IPC 1 -7 IPC-2006 data Pierre Held EPO Directorate 1. 3. 5 Classification 23

“Simple” ~ “Strict” Family The IPC Reform • Same priority or set of priorities • Background • Changes • Schemes • MCD • Propagation of classifications to all family members • in back file conversion, and in reclassifications • Examples • Searching • No propagation in front file • IPC remains as given by publishing office Pierre Held EPO Directorate 1. 3. 5 Classification 24

Back File (ECLA-to-IPC 8) Conversion The IPC Reform • Background Pre-2006 EPODOC record • Changes • Schemes • MCD • Examples • Searching Pierre Held EPO Directorate 1. 3. 5 Classification PN TI IC EC ICAI ICCI - US 4541008 A 19850910 - Television signal bandwidth reduction. . . - H 04 N 9/32 [4] - H 04 N 7/04 ; H 04 N 11/04 B - H 04 N 7/04 ; H 04 N 11/04 From 2006 25

Back File (ECLA-to-IPC 8) Conversion The IPC Reform • Background Pre-2006 EPODOC record • Changes • Schemes • MCD • Examples • Searching Pierre Held EPO Directorate 1. 3. 5 Classification PN - US 2003217615 A 20031127 TI - Handlebar safety device IC - B 62 K 21/12 [7] EC - B 62 J 27/00 ; B 62 K 21/12 ; B 62 K 21/26 ICAI - B 62 J 27/00 ; B 62 K 21/12 ; B 62 K 21/26 ICCI - B 62 J 27/00 ; B 62 K 21/00 From 2006 26

EP Publication Front Page The IPC Reform • Background Pre-2006 situation • Changes • Schemes • MCD • Examples • Searching IC - G 02 F 1/1362 ; G 02 F 1/1345 ; H 01 L 25/075 ; H 01 L 29/786 ; H 01 L 21/336 From 2006 Pierre Held EPO Directorate 1. 3. 5 Classification ICAI - G 02 F 1/1362 ; G 02 F 1/1345 ICAN - H 01 L 25/075 ; H 01 L 29/786 ; H 01 L 21/336 27

IPC Fields in EPODOC - screenshot The IPC Reform • Background • Changes • Schemes • MCD • Examples • Searching • Pierre Held EPO Directorate 1. 3. 5 Classification Exercise: S 02 F 1/133 D 2 - ICO is not converted into G 02 F 1/133 - ICAN, and G 02 F 1/13 - ICAN is not converted into an G 02 F 1/13 - ICCN. WHY ? 28

New EPODOC Fields The IPC Reform Fields Indexes Description • Background • Changes IC IPC (1 -7) IC • Schemes • MCD • Examples IPC Advanced, Invention ICAI ICA • Searching IPC Advanced, Not Invention ICAN IC ICCI IPC Core, Invention ICCN IPC Core, Not Invention Pierre Held EPO Directorate 1. 3. 5 Classification 29

Search strategies - Advanced vs. Core The IPC Reform • • Background • Changes • Schemes • MCD • Examples • Searching Retrieval of IPC data • • • in EPO via EPOQUE, file EPODOC for member offices via EPOQUE or DOC-DB copy for public (and small offices) via esp@cenet® • One edition only, but “old” IPC symbols stay available • • • International search: use Advanced Level National search: use Core Level “Superset” search: use Core Level • "Typical" strategy on EPOQUE 1. 2. 3. 4. 5. (search with ECLA) search in advanced level complement by core level search exclude documents already seen exclude documents from irrelevant AL groups Pierre Held EPO Directorate 1. 3. 5 Classification 30

Search strategies - Advanced vs. Core (II) The IPC Reform • Background • Changes • Schemes • MCD G 02 C SPECTACLES; SUNGLASSES OR GOGGLES INSOFAR AS THEY HAVE THE SAME FEATURES AS SPECTACLES G 02 C 5/00 Constructions of non-optical parts G 02 C 5/14 · Side-members All documents G 02 C 5/16 · · resilient or with resilient parts G 02 C 5/18 · · reinforced G 02 C 5/20 · · adjustable, e. g. telescopic PCT min. & family & AL offices & converted Back file • Examples • Searching SS Pierre Held EPO Directorate 1. 3. 5 Classification Results 1 G 02 C 5/18 /ICA 2 G 02 C 5/14 /ICC 3 2 NOT G 02 C /ICA 500 1675 125 (core level-only documents) 4 1 OR 3 625 31

Further reading The IPC Reform • Background • Changes • M. Makarov, “The process of reforming the International Patent Classification” • World Patent Information, Elsevier Sciences Publishing, Barking, GB; 26 (2), 137 -141, June 2004 • in EPOQUE: NPL document XP 4503982 • Schemes • MCD • Examples • Searching • H. Pauwels, “Pillars of the IPC reform” • World Patent Information, Elsevier Sciences Publishing, Barking, GB; 26 (3), 205 -208, September 2004 • in EPOQUE: NPL document XP 4523653 • H. Wongel, “The reform of the IPC ─ consequences for the users” • World Patent Information, Elsevier Sciences Publishing, Barking, GB; 27 (3), 227 -231, September 2005 • in EPOQUE: NPL document XP 4965379 Pierre Held EPO Directorate 1. 3. 5 Classification 32

The IPC Reform Thank you slide • Background European Patent Office • Changes • Schemes • MCD • Examples • Searches • Data issues Pierre Held EPO Directorate 1. 3. 5 Classification Thank you for your attention !