1. Classification Practice - What and Where to Classify (and Search)? IPC - International Patent Classification Classification Practice - What and Where to Classify (and Search)? October 2014 IPC Section, World Intellectual Property Organization (WIPO)

2. 2 Where? Selecting appropriate places is similar for Classifying patent applications / granted patents; Searching state of the art for examination.

3. 3 What is classified? Two types of technical information worth classifying: Invention information Technical information worth granting a patent Additional information Supplementary non-invention information the classifier/examiner considers important  discretionary classification  obligatory classification

4. 4 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

5. 5 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

6. 6  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.

7. 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 racks A47B 47/02 (2006.01) Racks characterised by features related to dismountability A47B 55/02 (2006.01) Racks having essential features of rigid construction (made of wire) Example: 7

8. 8 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

9. 9 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.

10. 10 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.

11. 11 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.

12. 12 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

13. 13 Function and application: examples Function-oriented Places - C07: Organic compounds characterised by structure only - F16K (Valves), B01D (Filters), F16F (Springs)F16KB01DF16F Application Places - C05 covers use of organic compounds as fertilisers - A61F 2/24 covers mechanical valves specially adaptedA61F 2/24 for insertion into a human heart - A47J 31/06 covers filters for coffee or tea makersA47J 31/06 - B60G 11/00 covers incorporation of a spring intoB60G 11/00 the suspension of a vehicle “specially adapted for” in the title

14. 14 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!

15. 15 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)

16. 16 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?

17. 17 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).

18. 18 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

19. Example of Indexing subclasses: F21W 19

20. Example of Indexing scheme: C04B 103/00 20

21. 21 Types of IPC Symbols Summary Invention information:  Classification symbols Additional information:  Classification symbols  Indexing codes

22. 22 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 B32B Note(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.

23. 23 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

24. 24 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: 1/00main 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

25. 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.) 25

26. 26 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 substances A21D 2/04 · · Oxygen; Oxygen-generating compounds, e.g. ozone, peroxides A21D 2/06 · · Reducing agents A21D 2/08 · by adding organic substances A21D 2/10 · · Hydrocarbons A21D 2/12 · · Halohydrocarbons A21D 2/14 · · Organic oxygen compounds A21D 2/16 · · · Fatty acid esters A21D 2/18 · · · Carbohydrates A21D 2/20 · · · Peroxides A21D 2/22 · · · Ascorbic acid A21D 2/24 · · Organic nitrogen compounds A21D 2/26 · · · Proteins A21D 2/28 · · Organic sulfur compounds A21D 2/30 · · Organic phosphorus compounds A21D 2/32 · · · Phosphatides A21D 2/34 · · Animal material A21D 2/36 · · Vegetable material A21D 2/38 · · · Seed germs; Germinated cereals; Extracts thereof A21D 2/40 · Apparatus for the chemical treatment of flour or dough

27. 27 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)

28. 28 Browsing the IPC scheme Simple approach: Browsing the IPC SectionClassSubclass Main Group Subgroups Unspecific titles Specific titles

29. Catchword Index 29

30. 30 Catchword Index

31. 31 Terms (text search in the IPC)

32. 32 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/https://www3.wipo.int/ipccat/

33. 33 IPCCAT

34. 34 IPCCAT

35. 35 IPCCAT

36. 36 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.

37. 37 STATS

38. 38 STATS

39. 39 STATS

40. 40 STATS