PATCOM - THOMSON REUTERS Classification needs and first experiences with CPC

1. PATCOM - THOMSON REUTERSClassification needs and first experiences with CPC IPC WORKSHOP, Geneva 2013 Doina Nanu

2. 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

3. (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

4. 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 !

5. 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

6. 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

7. MISSING/INVALID IPCs IN NEW PULICATIONS LOADED IN DWPI

8. IPC – SAME INVENTION, DIFFERENT CLASSIFICATION IPCs applied only once within family A23L 1/0522 A23L 1/09 A23L 2/00 A61K 47/14 A61K 47/26 A61K 47/36 A61K 8/97 A61Q 13/00 B01F 17/00 B01F 17/34 B01F 17/36 B01F 3/08 C08B 35/02 C08J 3/02 C08L 3/06

9. 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

10. 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)

11. 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

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

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

14. Invalid IPCs in DOCDB IPC Revision 2010.01 The IPC subgroup C12N 5/06 was transferred to C12N 5/07 plus further subgroups with IPC version 2010.01

15. Invalid IPCs in DOCDBC12N 5/06 became invalid with IPC version 2010.01 * 25.115 records in INPADOCDB with C12N 5/06 (IPC8) of which 559 provide the revised code C12N 5/07 (plus further subgroups), search week 06/2013

16. Invalid IPCs in DOCDB WO2009/146746 has one invalid IPC assigned, no reclassification data are available: AN 59944434 INPADOCDB ED 20091217 EW 200951 UP 20100422 UW 201016 FN 38698386 TI 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 A1 20091210 PIT WOA1 INTERNATIONAL APPLICATION PUBLISHED WITH INTERNATIONAL SEARCH REPORT AI WO 2008-EP56994 W 20080605 English AIT WOW International application Number PRAI WO 2008-EP56994 W 20080605 (WOW, 20091217, Y) PRAIT WOW International application Number IPCI C12N0005-06 [I,A] CPC C12N0005-0031; C12N2500-84; C12N2501-70 EPC C12N0005-00M2 ICO M12N0500:84; M12N0501:700

17. New Patent Publications without IPC* in DOCDB from August 2012 2,5 % of new publications have no IPC assigned * new INPADOCDB records (new applications) ** BE A3 (251), AR A1 (164), BE A5 (86), EP A1 (63) *** TW (3678), PT (1479), KR (1062), SG (140), EA (101)

18. New Patent Publications without IPC in DOCDB from August 2012 *number of new records in INPADOCDB without IPC

19. New Patent Publications without IPC in DOCDB from August 2012 *number of new records in INPADOCDB without IPC

20. New PCT-Publications without IPCin DOCDB from August 2012 *number of new PCT-records in INPADOCDB without IPC

21. New PCT-Publication without IPC in DOCDB WO2012/110342 has no IPC or ECLA/CPC assigned AN 70190717 INPADOCDB ED 20120830 EW 201235 UP 20120906 UW 201236 FN 45280289 TI 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 A2 20120823 PIT WOA2 INTERNATIONAL APPLICATION PUBLISHED WITHOUT INTERNATIONAL SEARCH REPORT or INTERNATIONAL APPLICATION PUBLISHED WITH DECLARATION UNDER ARTICLE 17 (2) (A) [FROM 20090101 ONWARDS] AI WO 2012-EP51920 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.

22. 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