Classification Practice - What and Where to Classify (and Search)? IPC - International Patent Classification Classification Practice - What and Where to.

IPC - International Patent Classification

Classification PracticeClassification Practice- What and Where to Classify (and Search)?- What and Where to Classify (and Search)?

October 2014IPC Section, World Intellectual Property Organization (WIPO)

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Where?

Selecting appropriate places is similar for

Classifying patent applications / granted patents;

Searching state of the art for examination.

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What is classified?

Two types of technical information worth classifying:

Invention informationTechnical information worth granting a patent

Additional informationSupplementary non-invention informationthe classifier/examiner considers important

discretionary classification

obligatory classification

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obligatory classification

Invention Information

Technical information that represents an addition to the state of the art

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

Each piece of invention information classified separately At least one symbol given as Invention Information even

if no invention

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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. 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 (B60G vehicle suspension arrangements), and if the leaf spring as such is novel and unobvious, also classified in the place for the thing itself (F16F springs)

Invention Information

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non-obligatory classification

Additional information

Non-trivial technical information which does not represent an addition to the state of the art but might constitute useful information for search.

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. Allows search by combination of symbols.

Invention and Additional Information

Metal rod wine rack (Training Example:M5)

Invention Information A wine rack which is easily dismantled

Additional Information A rigid wine rack made of “wire”

Int. Cl.A47B 73/00 (2006.01) Bottle cupboards; Bottle racksA47B 47/02 (2006.01) Racks characterised by features related to dismountabilityA47B 55/02 (2006.01) Racks having essential features of rigid construction (made of wire)

Example:

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Determine the subject matter to be classified (searched).

1st step of classifying (search)

Basic categories of subject matter:

Processes, products, apparatus or material

Things “per se” and adaptations

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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

Each category should be separately classified if needed.

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Categories of Technical subjects

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.

In addition, if a particular use is disclosed, then the use should also be classified.

Numbers of classification do not always correspond to independent claim.

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Categories not explicitly provided for in classification titles

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.

Definitions, notes, references may provide specific information.

See § 92-100 of the Guide to the IPC.

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Function and application-oriented places

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;

• Things specially adapted for particular use or purpose.

► Function-oriented place

► Application-oriented place

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Function and application: examples

Function-oriented Places- C07: Organic compounds characterised by structure only - F16K (Valves), B01D (Filters), F16F (Springs)

Application Places- C05 covers use of organic compounds as fertilisers- A61F 2/24 covers mechanical valves specially adapted

for insertion into a human heart- A47J 31/06 covers filters for coffee or tea makers- B60G 11/00 covers incorporation of a spring into

the suspension of a vehicle

“specially adapted for” in the title

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What and Where ?

N.B. One document may contain several different technical subject matters (inventive things) to be classified (e.g. independent claims).

All inventive things have to be classified, several classifications must be assigned if needed!

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IPC symbols

Example

Patent documents

Claim 1

- Claim 2 (dependent claim)

- Claim 3 (dependent claim)

• Claim 4

- Claim 5 (dependent claim)

G67K 1/00 (invention information)

F88Z 1/00 (invention information)

B91M 1/00 (additional information)

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Traditional principle:

As few symbols as possible, as much as necessary!

> Idealy one symbol

(historically important reason: limit paper search file)

Complementary principle:

Classify everything interesting for search purposes!

(efficient retrieval of documents)

Where?

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Types of IPC symbols

Classification symbols normally stand for concepts (longer titles), i.e. a combination of characteristics/features.

Indexing codes only describe one additional characteristic of the subject matter to be classified

i.e. adding an indexing symbols is like adding a keyword (indexing).

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Indexing Codes Used only in specific areas to classify additional information

of interest for search

i.e. indexing codes are never given alone, they always supplement one or several ordinary symbols.

Only specific places are used for indexing codes: Indexing subclasses (B29K, B29L, C10N, C12R, F21W,

F21Y) Indexing main groups (e.g. A01D 101/00, C04B 103/00,..)

Discretionary classification

Never presented first

Example of Indexing subclasses: F21W

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Example of Indexing scheme: C04B 103/00

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Types of IPC Symbols

Summary Invention information:

Classification symbols

Additional information: Classification symbols Indexing codes

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Different classification rules may apply:First place priority rule

Last place priority rule

Special rules (see§155 of the Guide)

Multiple classification (C04B 38/00)

Subject-specific rules (C08L)Common rule (default, if no other rules specified)

Classification Rules

give priority between groups of the same hierarchical level avoid multiple classification in case of overlap

B32BNote(s)5. In groups B32B 1/00-B32B 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.

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Common Rule

Common Rule aims at limiting multiple classification when many symbols should be allotted.

Priority for groups for more complex subject matter groups for more specialised subject matter

However, classification in several places if priority not given, only places for subcombinations place of lower priority is useful for search

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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 main group A

1/02 . subgroup

1/04 . subgroup B

1/06 . subgroup

1/08 . 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

Question

Q. In main group A21D 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 A21D 2/00.)

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A21D 2/00 Treatment of flour or dough by adding materials thereto before or during baking (A21D10/00 takes precedence)

Note(s) In groups A21D 2/02-A21D 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.

A21D 2/02 · by adding inorganic substancesA21D 2/04 · · Oxygen; Oxygen-generating compounds, e.g. ozone, peroxidesA21D 2/06 · · Reducing agentsA21D 2/08 · by adding organic substancesA21D 2/10 · · HydrocarbonsA21D 2/12 · · HalohydrocarbonsA21D 2/14 · · Organic oxygen compoundsA21D 2/16 · · · Fatty acid estersA21D 2/18 · · · CarbohydratesA21D 2/20 · · · PeroxidesA21D 2/22 · · · Ascorbic acidA21D 2/24 · · Organic nitrogen compoundsA21D 2/26 · · · ProteinsA21D 2/28 · · Organic sulfur compoundsA21D 2/30 · · Organic phosphorus compoundsA21D 2/32 · · · PhosphatidesA21D 2/34 · · Animal materialA21D 2/36 · · Vegetable materialA21D 2/38 · · · Seed germs; Germinated cereals; Extracts thereofA21D 2/40 · Apparatus for the chemical treatment of flour or dough

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Selecting / Finding IPC place

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

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Browsing the IPC scheme

Simple approach:

Browsing the IPC

SectionSection

ClassClass

SubclassSubclass

Main GroupMain Group

SubgroupsSubgroups

Unspecific titles

Specific titles

Catchword Index

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Catchword Index

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Terms (text search in the IPC)

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IPCCAT (categorization tool) A categorization assistance tool for the IPC designed to

help to classify patent documents at IPC subclass/main group level

Designed with the concept of full phrases describing the technical subject matter (not a keyword search tool)

Upload of document is possible Based on artificial neural network It is suggested that patent abstracts be used (at the

minimum), and not a random selection of text from the patent description.

Need to consult the IPC scheme Available at: https://www3.wipo.int/ipccat/

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IPCCAT

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IPCCAT

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IPCCAT

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STATS (Statistical approach)

Identifies IPC entries most frequently referenced in the PATENTSCOPE database searched by particular terms.

Statistical presentation of the search results is performed according to IPC subclasses and groups.

Search by simple terms and multi-term (combination of simple terms separated by a space) in all patent collections of the PATENTSCOPE.

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STATS

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STATS

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STATS

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STATS