PRS inpadoc legal data reclassification: db structure and some insights
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Transcript of PRS inpadoc legal data reclassification: db structure and some insights
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PRS inpadoc legal data reclassification: db structure and some insights
Gianluca Tarasconi
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Reclassifying PRS codes – starting from:http://www.epo.org/searching/data/data/tables/regular.html EPO table (very well hidden) giving a list of categories for part of the codes
Licensing and change of ownership in international patent legal status data Catalina Martínez (CSIC – Institute of Public Goods and Policies (IPP))
Michele Pezzoni – Inpadoc legal data (presentation @ OST)
WIPO CDIP/8/INF/2 SEPTEMBER 1, 2011Committee on Development and Intellectual Property (CDIP)Feasibility study on the establishment of national patent register databases and linkage to patentscope
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EPO root taxonomyCATEGORY DESCRIPTIONCLC Change of ClassificationCOR Corrections / Amendments/ Modifications in SpecificationCOW Change of Owner / ApplicantCRE Change of RepresentativeDIV Divisional and Additional Applications / PartitionERR ErrataEXP Expiries EXT Time Extensions (e.g. Payments, Completion of Specs., etc,)LAP Lapses (non payment of fees)LIC Licencing / ExploitationMIS Miscellaneous or AmbiguousNUL Nullification of Parts of Original Rights / LimitationONF EA, EP, AP, OA entering nat. phase (Translations)OPP Opposition Proc. / Re-examination / Appeals to the CourtPAY Fee Payments or In Force AnnouncementPNF PCT entering (non-entering) nat. phasePUB Notice of PublicationsREI Reinstatement / RestorationREQ Request for Examination / Search Report / Examination Proc.REX Term Extension of Rights (e.g. SPCs)WIT Withdrawals. Refusals, etc.
LIMITS:
Given categories are not clear (ie difference among errata and correction?)
Given categories are not mutually exclusive (ie corrections due to oppositions)
Vector not clear (ie LIC+ vs LIC-)
21 PRS classes
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Reclassifying PRS codes – additional work•Existing XLS file from EPO ment to seek PRS
one by one; data have been transposed into a table.
•PRS with similar description had been assigned same cathegories (normalisation).
•Top PRS by application count assigned, if missing, by hand, doublechecked and, in case of EPO doubtful assignation, reassigned.
•Subcategories added in order to better track type of PRS and vector.
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Subcategories addedCATEGORY SUBCATEGORY SUBDESCR
LAP LAP- MIS GRANT PATENT GRANTEDLIC WLIC+ WILLINGNESS TO LICENCELIC WLIC- WILLINGNESS TO LICENCELIC LIC+ LICENCELIC LIC- WITHDRAWAL OF LICENCE OFFERLIC WLIC WILLINGNESS TO LICENCECOW COW+ CHANGE OF OWNERSHIPCOW COW- CHANGE OF OWNERSHIPCOW ULICOW+ UNDEFINEDCOW ULICOW UNDEFINEDCOW ULICOW- UNDEFINEDCOW ADNMCG ADDRESS NAME CHANGECOR AMENDMENT AMENDMENTCOR CORRECTION CORRECTIONOPP OPPOSITION OPPOSITION RAISEDOPP OPPOSITION- OPPOSITION WITHDRAWN / REJECTEDOPP OPPOSITION+ OPPOSITION SUCCESSFULWIT WITHDRAWAL WITHDRAWALNUL OPPOSITION+ REVOCATION FOLLOWING OPPOSITIONCOR OPPOSITION+ CORRECTION FOLLOWING OPPOSITIONWIT OPPOSITION+ WITHDRAWAL DUE TO OPPOSITION
COW COWCHANGE OF OWNERSHIP WITHOUT NEW OWNER DATA
PAY FEE RENEWAL FEE PAYMENT
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Table structure (library valbrev)PATLEGALList of legal status events from inpadoc DB
field name type Description Corresp. TAG
PUBLN_AUTH $(2)Publication authority Appln_id 9Application number Prs_event_seq_nr Int(5)Progr event number ny punr Prs_gazzette_date DateDate of occurrence Prs_code $(4)Type of legal event PRSREFCY $2Corresponding country code for PRS code •EP REG•• L501EP
PRSEPCOD $4Corresponding EP code 1 for PRS code •EP REG•• L502EP
PATCORR $20Corresponding patent document L503EP
PATCORRCY $2Country code of corresponding patent document L504EP
PATCORRPD DATE8Publication date of corresponding patent L505EP
PATCORRKD $2Kind of corresponding patent document L506EP
DCSTLIST $300List of designated states L507EP
EXTCY $2Extension state L508EP
NEWOWNER $255New owner name or address if name or address of owner changes; addresses are NOT stored in this tag L509EP
NOTES 700Free format text L510EP
SPCNUMBER $20SPC number L511EP
FILINGDT DATE8Filing date L512EP
EXPIRYDT DATE8Expiry date L513EP
INVNAMES $255Inventor name (separated by ;) L515EP
IPCS $50International Patent Classification (comma separated) L516EP
REPRNM $255Representative's name(s) L517EP
PAYDATE DATE8Payment date L518EP
OPPNAME $50Opponent name(s) L519EP
FEEPAYYR 10Year of fee payment - contains the xxth year for which the payment was made L520EP
NEWIPRNR $30New kind of IPR, new number; e.g. Brazil utility model - code GA;"MI4601602-3" L521EP
REQNAME $50Name of requester L522EP
EXTDATE DATE8Extension date L523EP
CTRYLIST2 $100List of countries concerned with an event L507EP & L508EP have special significance. L524EP
EFFECTDT DATE8Effective date; DATE_IN_FORCE L525EP
WITHDRDT DATE8Date of withdrawal (EP 18W) L526EP
FPFLAG2 $1
Indicator for format of attribute list document number following rules for either (F)iling applications or (P)ublications. If not known, this tag will not be present; refers to the document given in L503EP and L504EP
L527EP
publn_ctry publn authority
prscode1 PRS code
flag1
corr_ctry L501EP
corr_ep_prs L502EP
description long prs code descriptionPRSCATEGORY Category
subcategory subcategory
datefrom validity date from
dateto validity date to
PRSCODES
PRSSUBCATPRScategorySubcategorydescription
PRSCATPRScategorydescription
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Existing information
•Documentation is meager•Some info can be derived (ie filed L526EP
date of withdrawal but filled only for 65000 records; L518EP payment date allowed to validate 49 fee payment events)
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Results obtained
•Main category: missing on 1.3M PRS out of 69.4M ( <2%)
•EPO missing 300K out of 31.4M (< 1%)•11M PRS have a subcategory assigned
(18%)•6.6 M EPO PRS have a subcategory
assigned (22%)•Information from type REG added (ie
rescuing 25% more on ownership changes)
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Example: COW PRS codes added
PRS Date : 2007/12/31
PRS Code : REG BE CCCH
Code Expl.: CHANGE OF HOLDER OF SPC
NEW OWNER : KUREHA CORP, JP
SPC NUMBER : 97C0083
FILING DATE : 19970806
EP0267778
http://worldwide.espacenet.com/publicationDetails/inpadoc?CC=EP&NR=0267778A2&KC=A2&FT=D&ND=3&date=19880518&DB=worldwide.espacenet.com&locale=en_EP
EPO COW increase from 419.325 to 639.997 including new reclassification (compared to using RAP1,2 only)NOTE: not all new COW contain data on new assignee
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Validation of taxonomy: last PRS
•First data validation exercise is to extract last PRS for patents who are supposed to be expired (3 yrs of inactivity)
•Patents EP where last PRS is dated 2007 (PRS table is dated 2011) are extracted and reclassified;
•Expectation is that only ‘terminal’ categories will appear in the list (LAP, WIT, EXP)
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Validation of taxonomy: last PRS (II)
publn_ctry prscode1 corr_ctry corr_ep_prs description CATEGORY subcategory # patentsEP 18D DEEMED TO BE WITHDRAWN WIT 359603
EP PG25 IT LAPSED IN A CONTRACTING STATE ANNOUNCED VIA POSTGRANT INFORM. FROM NAT. OFFICE TO EPO LAP 251448
EP REG FR ST NOTIFICATION OF LAPSE LAP 221004EP 18W WITHDRAWN WIT 93925
EP PG25 DE LAPSED IN A CONTRACTING STATE ANNOUNCED VIA POSTGRANT INFORM. FROM NAT. OFFICE TO EPO LAP 81716
EP EUG SE: EUROPEAN PATENT HAS LAPSED LAP 75835EP 18R REFUSED WIT 41745
EP GBPC GB: EUROPEAN PATENT CEASED THROUGH NON-PAYMENT OF RENEWAL FEE LAP 32222
EP REG ES FD2A EP-PATENT LAPSED IN SPAIN LAP 21909EP REG GB PE20 PATENT EXPIRED AFTER TERMINATION OF 20 YEARS EXP 16373
EP NLV7 NL: LAPSED BECAUSE OF REACHING THE MAXIM LIFETIME OF A PATENT EXP 13382
EP 17Q FIRST EXAMINATION REPORT REQ 12648
EP PG25 GB LAPSED IN A CONTRACTING STATE ANNOUNCED VIA POSTGRANT INFORM. FROM NAT. OFFICE TO EPO LAP 12471
TOTAL 1339735 92% 1234281
Exam on 2011 PRS data counting last valid PRS code from 2007
Cathegories (EXP, WIT, LAP) look consistent with expectations. Are data as well consistent?
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Type 17Q: EP14288855 – event history
https://register.epo.org/espacenet/application?number=EP02799471&lng=en&tab=event
Event history
17.09.2002 APPLICATION DATE 0
04.04.2003 PCT data prior to European publication 1
05.04.2003 PCT data prior to European publication 1 21.02.2004 PCT data prior to European publication 2 24.03.2004 PCT data prior to European publication 2 31.03.2004 PCT data prior to European publication 2 31.03.2004 Deletion: Fee payment for extension state 2 31.03.2004 Deletion: Withdrawal of extension state 2 22.04.2004 PCT data prior to European publication 2 30.04.2004 Publication in section I.1 EP Bulletin 2 30.04.2004 Request for examination filed 2 01.10.2004 New entry: Renewal fee paid 2 17.12.2004 Change - applicant 2 29.07.2005 Supplementary search report 3 29.07.2005 Change - classification 3 01.10.2005 New entry: Renewal fee paid 3 05.10.2006 New entry: Renewal fee paid 4 11.07.2007 New entry: Despatch of examination report + time limit 5 17Q 13.07.2007 First examination report 5 28.09.2007 New entry: Renewal fee paid 5
10.11.2007 New entry: Reply to examination report 5 29.08.2008 Change - representative 6 19.09.2008 New entry: Renewal fee paid 6 17.09.2009 New entry: Renewal fee paid 7 28.09.2010 New entry: Renewal fee paid 8 17.02.2011 New entry: Despatch of examination report + time limit 9 01.07.2011 Change: Despatch of examination report + time limit 9
03.08.2011New entry: Application deemed to be withdrawn: despatch of communication + time limit
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01.11.2011New entry: Additional fee for renewal fee: despatch of communication + time limit
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25.11.2011 Application deemed to be withdrawn 9
Events listed in register but missing from PRS
Data not available in 2011 ediction
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Type PG25: EP0230021 – event history
https://register.epo.org/espacenet/application?number=EP86117736&lng=en&tab=event
21 years of life: we expect a very high value patent
Event history
19.12.1986 APPLICATION DATE 0
13.06.1987 Publication in section I.1 EP Bulletin 1
PG25 23.11.2007Lapse of the patent in a contracting state
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15.11.1988 Request for examination filed 2 18.10.1989 Change - representative 3 12.12.1989 First examination report 3 17.05.1991 (Expected) grant 4PGFP DE 17/12/1991
+ POSTGRANT: ANNUAL FEES PAID TO NATIONAL OFFICE
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09.01.1992Lapse of the patent in a contracting state
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15.01.1992Lapse of the patent in a contracting state
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26.02.1992Lapse of the patent in a contracting state
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29.04.1992Lapse of the patent in a contracting state
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07.05.1992 No opposition filed within time limit 5
16.06.1992Lapse of the patent in a contracting state
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18.08.1992Lapse of the patent in a contracting state
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08.07.1993Lapse of the patent in a contracting state
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Real life: 6 years…Only one postgrant renewal. Probably delay in comunication with national office (IT)EFFECTIVE DATE : 19910703(note: a special event for Italy existsEP ITTA IT: LAST PAID ANNUAL FEE)
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Calculating patent life
Hypothesis evaluated (granny theory)•1 – a patent is alive when keeps on giving
signs of life (renewals)•2 – a patent is alive until its death (last
event = withdrawal / lapse age = year of last event)
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Signs of life? (I)years count cumulate perc
0 226440 10%1 543710 34%2 444338 54%3 333857 68%4 218510 78%5 142531 84%6 105895 89%7 72767 92%8 47673 94%9 18871 95%
10 16535 96%11 9351 96%12 6700 96%13 5944 97%14 4848 97%15 5802 97%16 6529 97%17 7897 98%18 8521 98%19 8358 98%20 7790 99%21 7142 99%22 5707 99%23 5032 100%24 4116 100%25 2761 100%26 1588 100%27 612 100%28 102 100%
About 46% of patents are sleeping for 3 or more years: death or hybernation?
1 3 5 7 9 11 13 15 17 19 21 23 25 27 290
100000
200000
300000
400000
500000
600000
countyears
We can do further check only aftergrant to avoid examination lag time…
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Signs of life? (II)Considering only granted patents and PRS events after grant date, things go even worse. About 55% of patents are sleeping for 3 or more years
years countcumulate
%0 40838 3,9%1 278306 30,8%2 146175 44,9%3 118409 56,3%4 112118 67,1%5 91703 75,9%6 82536 83,9%7 63672 90,0%8 44205 94,3%9 17410 96,0%
10 15900 97,5%11 8930 98,4%12 6263 99,0%13 5132 99,5%14 2848 99,7%15 1547 99,9%16 564 99,9%17 306 100,0%18 94 100,0%19 87 100,0%20 25 100,0%21 8 100,0%22 14 100,0%23 11 100,0%24 3 100,0%25 1 100,0%
1 3 5 7 9 11 13 15 17 19 21 23 250
50000
100000
150000
200000
250000
300000
yearscount
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Life before death(I)
Example EP0230021 Has shown out that last lapse event date cannot be used to calculate patent life.
Event history
19.12.1986 APPLICATION DATE 0
13.06.1987 Publication in section I.1 EP Bulletin 1
PG25 23.11.2007Lapse of the patent in a contracting state
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15.11.1988 Request for examination filed 2 18.10.1989 Change - representative 3 12.12.1989 First examination report 3 17.05.1991 (Expected) grant 4PGFP DE 17/12/1991
+ POSTGRANT: ANNUAL FEES PAID TO NATIONAL OFFICE
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09.01.1992Lapse of the patent in a contracting state
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15.01.1992Lapse of the patent in a contracting state
5
26.02.1992Lapse of the patent in a contracting state
5
29.04.1992Lapse of the patent in a contracting state
5
07.05.1992 No opposition filed within time limit 5
16.06.1992Lapse of the patent in a contracting state
5
18.08.1992Lapse of the patent in a contracting state
5
08.07.1993Lapse of the patent in a contracting state
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Life before death (II)May we consider a patent dead if last event is a withdrawal?Examples of WITHDRAWN PRS codes (18D,R,W)• 74.119 patents with a 18D not last PRS• 11.984 patents with a 18R not last PRS• 25.876 patents with a 18W not last PRS
EP1963898 18W 18/03/2009 WITHDRAWN 06/05/2009 R17D SEARCH REPORT (CORRECTION)EP1468681 18W 21/01/2009 WITHDRAWN 18/02/2009 RAP1 TRANSFER OF RIGHTS OF AN EP APPLICATIONEP0050367 18R 24/01/1990 REFUSED 08/08/2007 RIN1 INVENTOR (CORRECTION)
EP1947019 18D 19/08/2009 DEEMED TO BE WITHDRAWN 01/10/2009REG DE 8566 DESIGNATED COUNTRY DE NOT LONGER VALID
EP1505565 18R 17/09/2008 REFUSED 25/02/2009 R18R REFUSED (CORRECTION)
A few examples where 18W, D , R are not last event
Data collection continues after withdrawal
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Life before death (III)
CODE L501P L502P COUNT DESCRRIN1 72755 INVENTOR (CORRECTION)REG DE 8566 15895 DESIGNATED COUNTRY DE NOT LONGER VALID
REG HK WD 7784APPLICATIONS WITHDRAWN, DEEMED TO BE WITHDRAWN, OR REFUSED AFTER PUBLICATION IN HONG KONG
R18W 5606 WITHDRAWAL (CORRECTION)RBV 1884 DESIGNATED CONTRACTING STATES (CORRECTION):R18D 1606 EP-APPLICATION DEEMED TO BE WITHDRAWN: (CORRECTION)
What are last events when 18W, D , R are not
Let’s see in next slide data from bulletin for a case where a 18W if followed by a R18W (a double refusal)
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Life before death (IV)
•Case of double refusal
•http://application.epo.org/bulletin/archive/bulletin0909.pdf
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What’s life?•1 – a patent is alive when keeps on giving
signs of life (renewals) •2 – a patent is alive until its death (last
event = withdrawal / lapse age = year of last event)
•1 – a patent is alive when keeps on giving signs of life (renewals) NO
•2 – a patent is alive until its death (last event = withdrawal / lapse age = year of last event)
•1 – a patent is alive when keeps on giving signs of life (renewals) NO
•2 – a patent is alive until its death (last event = withdrawal / lapse age = year of last event) NO
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New definition of patent’s life
WIT AGE =y(WIT)-y(appln_date)
N LAP = N DCSTage= max( y(LAP)) - y(appln_date)
ELSEage= min( 20, y(TLS221 ediction) - y(appln_date) )
A patent is alive until it dies.
Death causes are Withdrawal and Lapses for all extension countries (age = event date – application date)
Otherwise it’s age is the minimum between 20 and the difference among TLS221 year of production and application date.
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Two more examples that would fail granny theorem
PUBLN_NRPRS_EVENT_SEQ_NR
PRS GAZETTE DATE PRS_CODE des ctr states L520EP
268838 0 20/10/1987 APPLICATION 268838 1 01/06/1988 AK ATDEFRGBNLSE 268838 6 21/04/1993 PG25 (LAPSED) NL 268838 7 21/04/1993 PG25 SE 268838 13 22/10/1993 PG25 GB 268838 14 22/10/1993 PG25 AT 268838 17 30/06/1994 PG25 FR 268838 19 02/01/2007 PGFP (POSTGRANT: ANNUAL FEES PAY) DE 20
PUBLN_NRPRS_EVENT_SEQ_NR PRS_GAZETTE_DATE PRS_CODE L501EP L502EP des ctr states L520EP
870653 1 14/10/1998 AK DEGB 870653 8 28/08/2002 REG GB FG4D GRANT
870653 11 23/07/2003 26 OPPOSITION FILED870653 12 11/08/2004 R26 870653 13 05/04/2006 PGFP GB 9 870653 14 06/04/2006 PGFP DE 9 870653 15 30/05/2007 GBPR 870653 16 30/05/2007 27W REVOKED
870653 17 24/11/2007 PGFP GB 10
Lapses on all but 1: fee payment registered only at yr 20
Renewal after Revocation do not implies to be alive