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Classification Searching: Principles and Challenges

Charlotte A. Erdmann Engineering Library Purdue University ASEE Patent Workshop June 22, 2008. Classification Searching: Principles and Challenges. Thank you.

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Classification Searching: Principles and Challenges

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  1. Charlotte A. Erdmann Engineering Library Purdue University ASEE Patent Workshop June 22, 2008 Classification Searching: Principles and Challenges

  2. Thank you • Douglas Salser of the U.S. Patent and Trademark Office for some examples and pictures of “Principle: Claims Basis for Classification”

  3. Goals • Discuss Prior Art. • Introduce Classification Systems: • Principles • Challenges • Examine Search Templates. • Search for stents using U.S. classification, assignee, and inventor. • Permit hands-on time for searching.

  4. Limitations of Today’s Workshop • Touch on patent prosecution history but will not have time do so in depth. • Encourage you to attend: • “Tracking Patent Application Information Retrieval (PAIR) and Patent Assignments” on Tuesday.

  5. More In-Depth Information • Examiners’ Handbook to the U.S. Patent Classification System • http://www.uspto.gov/web/offices/pac/dapp/sir/co/examhbk/index.html • V. Selection of Locus for Searching or Placement

  6. Why Search Prior Art? • Learn about an existing technology. • See how problems are solved. • Avoid infringement. • Determine if invention is new, novel, and non-obvious to one skilled in the art. • Discover players. • Determine if invention is active.

  7. What Is Prior Art? • Background information • Web sites(?) • Journal articles • Technical reports • Conference papers • Theses and dissertations • Patents & Published Applications • United States • International Oldest Newest

  8. Challenge: Acquire Background • It takes time to get acquire basic understanding of the subject, i.e. prior art. • Sometimes one does not understand the topic or know the players, i.e. assignees that may be involved. • Given a biomedical topic, reliable information is available from • National Library of Medicine’s Medline or PubMed • Federal Drug Administration.

  9. U.S. Patent Search Templates • Give recommendations for searching • Patent and non-patent literature for each class. • May get specific for a range of subclasses. • Coordinated by librarians from the USPTO’s Scientific and Technical Information Center (STIC) in consultation with patent examiners.

  10. Context of Classification • System arranged by subject, for example: • Ontology • Thesaurus • Library call number • Subject classification numbers • Systems may be: • Words • Concepts • Numbers • Letters and numbers

  11. U.S. Patent Classification

  12. Class Organization • Class MAINLINE .One dot .One dot ..Two dot …Three dot .One dot ..Two dot

  13. Specific Class/Subclass • Typical subclass: 623/1.15 • Indented subclasses: 623/1.1+ • Design: D24/6 • Plant: PLT • Cross Reference Art Collection • Digests

  14. International Patent Classification

  15. Principle: Hierarchical System • Organize similar patents • Concept based • Tool for retrieving patents • All U.S. Patents are classified in it

  16. General Classification Principles • Intellectual exercise – comprehension, understanding is expected • Hierarchy is most important • Numbers mean nothing in U.S. system; partial reclassifications may change the most numbering system

  17. Use Current Classification Intravascular radially expandable stent. US 5443496 (Aug. 22, 1995) • At issue date: 623/1; 606/195; 606/198; 604/890.1 • Now: 623/1.16; 604/890.1; 606/195; 606/198; 623/1.42; 623/146

  18. Original Reference/Cross Reference • Search all class/subclass(es) • Do not limit to: • First: OR 623/1.16 • Others: XR • 623/1.16; 604/890.1; 606/195; 606/198; 623/1.42; 623/146

  19. U.S. Patent Classification • 471 classes - Major technology divisions • 437 Utility • Some Cross Reference Art Collection • 33 Design • 1 Plant • 161,140 subclasses - further subdivisions • 7.9 million U.S. patents • 26.5 million total classification

  20. Principle: Claims Basis for Class Creation • Proximate Function - similar devices that operate in similar ways following similar natural laws that produce similar results • Agitating - 366 • Cutting - 83 • Refrigeration - 62

  21. Proximate Effect or Product Made • Telephone Communication – 379 • Acoustics – 181 • Boot and Shoe Making - 12

  22. Structure • Stock Material or Miscellaneous Articles - 428 • Drug, Bio-Affecting and Body Treating Compositions – 424 • Compositions: Coating or Plastics - 106

  23. Intended Use • Chemistry: Fertilizers - 71 • Prosthesis - 623 • Plant Protecting and Regulating Compositions - 504

  24. Principle: Class Properties • Title descriptive of subject matter • Classes are mutually exclusive - no overlap • Definition describing in detail the type of subject matter in the class, e.g. 623 • Notes to distinguish one class from another • Any exceptions • Other locations to search for related subject matter

  25. Class Characteristics • Newer classes: Broader to Narrow • Miscellaneous at end • Older classes: Industry focused • Miscellaneous at top

  26. Coordinated Subclasses • In a hierarchy of coordinated subclasses, MAINLINE .one dot ..two dot …three dot • Concept that applies to one-dot applied to all two dot, etc. • Concept that applies to mainline for definition applies to all indented

  27. Class 623

  28. Principle: First Place Rule • If two dot has been found but does not specifically mention new concept, it may be indexed at one-dot. First place the concept fits. • MAINLINE .Concept ..Concept plus more …Concept plus more and more

  29. MAINLINE and Miscellaneous • If no subclass can be found for invention, remember these concepts. It may be indexed: • MAINLINE within class • Miscellaneous for whole class

  30. Principle: Search Tools (3-Step) Index to the U.S. Patent Classification System Heart   Artifical623 / 3.1        Artery    623 / 1.1        Valve 623 / 2.1            Energized magnet actuator 251 / 65            Motor operated by motivating   60 / 516            Mass   60 / 516            Pivoted, line condition    137 / 527            Change responsive    137 / 527    Cardiac assist device   600 / 16+    Expansible chamber pump  417 / 472    Heart cam, register 235 / 144 HC    Heart-lung digest    128 / DIG 3    Pacemaker 607 / 9+    Shaped packaging  D09 / 629

  31. Manual of Classification (Schedule) n

  32. Definition 623/1.1 ARTERIAL PROSTHESIS (I.E., BLOOD VESSEL): This subclass is indented under the class definition.  Subject matter wherein the artificial substitute or part is adapted to replace or assist a tubular structure which functions to contain and circulate blood within a human body (i.e., an artificial blood vessel or part thereof). SEE OR SEARCH THIS CLASS, SUBCLASS: 901,for method of manufacturing prosthetic device.  

  33. Challenge : Schedules and Definitions Complicated Read definitions of class as well as subclasses. • Take advantage of new features to make it easier to understand the definitions since the dot levels are noted in definitions. • Use the hyperlinks in the subclass text to view the related subclasses.

  34. USPTO Web Tools: • http://www.uspto.gov/go/classification/ • Hyperlinks • HTML • PDF

  35. PDF Class Class • PDF format is hyperlinked at the top of the class. • If you are going to be using the class a lot, it may be helpful to print the whole class in the PDF format • use a highlighter to mark the mainlines, one dot, etc. that are of interest. • If you are only interested in one section, print those pages in PDF.

  36. HTML Class • Set the viewing levels for an easier first glance at the class. • Classes are usually organized from broad to narrow.

  37. Principle: Classification changes • Initial classification is assigned when an application is filed. • Examiner assigns class/subclasses when the patent issues, i.e. issued classification. • Changes may happen between issue date and the present time, i.e. current classification.

  38. Changes in Classification • Due to reclassification projects • Errors using out-of-date classification at issue that are replaced by current classificatoin

  39. Changes: Published Application to Issued Patent Blends of poly(ester amide) polymers • Pre-Grant Publication/ Published Application US 20070093617 A1 classified as: 525/425 • Issued Patent for US 7365133 B2: 525/432; 424/423; 525/425; 525/436; 525/437; 525/444; 623/1.15; 623/1.46 • Application number is in both records

  40. Changes: Issue Date to Present Date Intravascular radially expandable stent. US 5443496 (Aug. 22, 1995) • At issue date: 623/1; 606/195; 606/198; 604/890.1 • Now: 623/1.16; 604/890.1; 606/195; 606/198; 623/1.42; 623/146 • Field of Classification contains the class/subclass(es) that were searched by the examiner. These will not change.

  41. Recent terminology • Same inventors and assignees have been working on this concept for years. If you search by an inventor who is presently doing this work, it can give you clues about terminology • Classification searching can help

  42. Possible Questions: • Stents which look at structure and coatings. • New blood pressure measurement which is less invasive for babies. Purdue inventor: Leslie Geddes •  Keyword searching has its problems because terminology changes, e.g. drug eluding stents

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