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IPC/R 14/00 Rev.9ORIGINAL: English/françaisDATE: October 30, 2002/

30 octobre 2002

WORLD INTELLECTUAL PROPERTY ORGANIZATIONORGANISATION MONDIALE DE LA PROPRIÉTÉ INTELLECTUELLE

GENEVA/GENÈVE

COMMITTEE OF EXPERTS OF THE IPC UNIONCOMITÉ D’EXPERTS DE L’UNION DE L’IPC

IPC REFORM PROJECT FILE/DOSSIER DE PROJET DE RÉFORME DE LA CIB

SUBJECT: DETERMINATION OF THE MOST APPROPRIATE CONTENTS OF THE CORE LEVEL OF THEREFORMED IPC

SUJET : DÉTERMINATION DU CONTENU LE PLUS APPROPRIÉ DU NIVEAU DE BASE DE LA CIBAPRÈS SA RÉFORME

ANNEX/ANNEXE CONTENT/CONTENU

SEE/VOIRR 14/00

ORIGIN/ORIGINE DATE

1 Discussion paper Document de discussion AP 17.12.99

2 Circular No. IPC 33 Circulaire no IPC 33 IB 02.02.00

3 Summary of replies Résumé des réponses IB 10.03.00

4 Comments Observations FI 10.03.00

5 Comments Observations FR --.03.00

6 Recommendations by theTrilateral Offices

Recommandations des officesde la coopération trilatérale

EP 14.03.00

7 Decision by IPC/CE/29 andfollow-up

Décision de l’IPC/CE/29 etsuite

IB 17.03.00

8 Background paper Document d’information IB 12.04.00

9 Proposal Proposition Rev.1 EP 10.04.00

10 Comments Observations Rev.2 FR 27.04.00

11 Decision by IPC/REF/3 andfollow-up

Décision de l’IPC/REF/3 etsuite

Rev.3 IB 05.05.00

12 Explanatory paper Document explicatif Rev.3 EP 28.08.00

13 IPC core level(data from ECLA)

Niveau de base de la CIB(données d’ECLA)

Rev.3 EP 28.08.00

14 IPC core level(data from IPC)

Niveau de base de la CIB(données de la CIB)

Rev.3 EP 28.08.00

15 Statistics Statistiques Rev.3 EP 28.08.00

IPC/R 14/00 Rev.9page 2

ANNEX/ANNEXE CONTENT/CONTENU

SEE/VOIRR 14/00

ORIGIN/ORIGINE DATE

16 Comments Observations Rev.3 SE 29.09.00

17 Comments Observations Rev.4 FR 26.10.00

18 Excerpt of documentIPC/CE/30/11

Extrait du documentIPC/CE/30/11

Rev.5 IB 23.02.01

19 Study Étude Rev.5 US 13.03.01

20 Excerpt from documentIPC/REF/5/3

Extrait du documentIPC/REF/5/3

Rev.6 IB 18.05.01


22 Discussion paper Document de discussion Rev.7 IB 29.10.01



Rev.8 IB 02.11.01

24 Comments Observations Rev.8 EP 25.01.02

25 Comments Observations Rev.8 SE 31.01.02

26 Comments Observations Rev.8 US 05.02.02



Rev.9 IB 17.05.02


IPC/R 14/00 Rev.9

ANNEX 27/ANNEXE 27

EXCERPT FROM DOCUMENT IPC/REF/7/3

DETERMINATION OF THE MOST APPROPRIATE CONTENTS OF THE CORE LEVELOF THE REFORMED IPC

57. The Working Group recalled a proposal made by the International Bureau at itsprevious session (see project file IPC/R 14/00 Rev.7, Annex 22) relating to two options thatcould be followed for properly arranging the distribution of groups between the core and theadvanced levels in the areas of the IPC where the last place rule applies.

58. On the basis of the comments earlier submitted and made at the session, the WorkingGroup agreed that, for arranging the distribution of groups in these areas, the option based onthe principle of majority should be generally followed, namely, when the majority of groupswith the same hierarchical position belong to the core or to the advanced level, other groupsshould be moved to the same level.

59. The Working Group indicated that it was particularly important for the IPC reformprocess to arrive at hierarchically correct distribution of groups, even if that were to result in anot absolutely satisfactory distribution in particular fields where corrections could later bemade on an ad hoc basis.

60. The Working Group requested the International Bureau to carry out arrangement ofdistribution of groups on the basis of the principle of majority in all last place rule areas, withthe exception of the largest of such areas, classes C 07 and C 08, which should be treatedseparately. The International Bureau was also requested to extend this work to the IPC areaswhere the first place rule applies and to make the results of the work available to the membersof the Working Group by the time of its next session.

61. With regard to classes C 07 and C 08, the EPO was requested to propose distribution ofgroups leading as far as possible, to the inclusion in the core level of only main groups butapplying also a correction algorithm proposed by Sweden (see project file IPC/R 14/00 Rev.8,Annex 25).

IPC/R 14/00 Rev.9Annex 27/Annexe 27

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EXTRAIT DU DOCUMENT IPC/REF/7/3

DÉTERMINATION DU CONTENU LE PLUS APPROPRIÉ DU NIVEAU DE BASE DELA CIB APRÈS SA RÉFORME

57. Le groupe de travail a rappelé la proposition présentée par le Bureau international à saprécédente session (voir l’annexe 22 du dossier de projet IPC/R 14/00 Rev.7) concernant deuxoptions possibles pour effectuer correctement la répartition des groupes entre le niveau de baseet le niveau plus élevé dans les secteurs de la CIB où la règle de la dernière place est appliquée.

58. Sur la base des observations présentées précédemment ou au cours de la session, legroupe de travail a convenu que, pour effectuer la répartition des groupes dans ces secteurs, lasolution fondée sur le principe de la majorité devrait être suivie d’une manière générale. End’autres termes, lorsque la majorité des groupes du même niveau hiérarchique appartient auniveau de base ou au niveau plus élevé, les autres groupes devraient être transférés aumême niveau.

59. Le groupe de travail a indiqué qu’il est particulièrement important pour le processus deréforme de la CIB de parvenir à une répartition des groupes correcte du point de vuehiérarchique, même si cela se traduit par une répartition qui n’est pas absolumentsatisfaisante dans certains secteurs où des corrections pourront être effectuées ultérieurementau cas par cas.

60. Le groupe de travail a prié le Bureau international de procéder à la répartition desgroupes sur la base du principe de la majorité dans tous les secteurs où s’applique la règle dela dernière place, à l’exception des deux plus grands de ces secteurs, les classes C 07 et C 08,qui devront être traitées à part. Le Bureau international a également été prié de faire de mêmedans les secteurs de la CIB où la règle de la première place s’applique et de communiquer lesrésultats disponibles aux membres du groupe de travail pour sa prochaine session.

61. En ce qui concerne les classes C 07 et C 08, l’OEB a été prié de proposer une répartitiondes groupes conduisant, dans toute la mesure du possible, à n’incorporer dans le niveau debase que les groupes principaux, tout en appliquant l’algorithme de correction proposé par laSuède (voir l’annexe 25 du dossier de projet IPC/R 14/00 Rev.8).

[Annex 28 follows/ L’annexe 28 suit]

IPC/R 14/00 Rev.9

ANNEX 28/ANNEXE 28

EuropäischesPatentamt

EuropeanPatent Office

Office européendes brevets

GD1 DG1 DG1

Principal Directorate Documentation

Distribution of core and advanced level groups in areas with a last place rule

At IPC/REF/7, the EPO was invited to propose a distribution of groups between core andadvanced level in classes C07 and C08, based on the principle to take only main groupsin the core level, but by applying a correction algorithm proposed by Sweden. Thiscorrection algorithm foresees moving groups of lower hierarchical levels to the core level,when the number of documents in a “rolled-up” main group exceeds a certain limit.

In previous calculations we made for the whole IPC, due to the high number of groups,estimations had to be made on basis of the PCT minimum documentation, because in thedatabases available for statistics of this size, the non-PCT minimum documents could notbe counted separately.However, in the two classes in question, containing a limited number of documents, adifferent – more precise – procedure can be applied, using the algorithm described aboveand starting from the main-groups-only situation.

1. In the Derwent WPI database, all documents having an IPC classification in theclass in question are selected (C07: 483150 patent families, C08: 470383 families).

2. Documents belonging to the PCT minimum documentation are excluded from thedata set. In this procedure, the following countries were excluded: EP, US, JP, WO,RU, SU, GB, FR, DE, CH, AT, CA

3. Since in WPI, all documents belonging to the same patent family are stored in onerecord, step 2 only leaves documents having no family member in any one of thePCT minimum countries (C07: 33880 families, C08: 23932 families of only non-PCT minimum documents).

4. Now, statistics can be made by counting the number of documents out of this setfor each main group, including its subgroups. This gives the expected number ofdocuments for all “rolled-up” main groups.

5. When a threshold is set for a maximum number of documents in a core level group,all main groups having more documents than this threshold can be examined indetail, and moving their subgroups to the core level can be considered. In thisinvestigation, we have selected the threshold to be 500 documents, i.e. when a(main) group contains more than 500 non-PCT minimum document families,moving its next-level subgroups to the core level is considered.


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Applying this algorithm, we arrive at a set of 12 main groups in class C07, and 15 maingroups in C08 having more than 500 documents, which could be recommended fortransferring subgroups into the core level.We further found that in a number of these cases, the majority of the documents wereactually classified in the main group itself, i.e. even a transfer of subgroups would notsignificantly reduce the amount of documents to search in the core level. This correspondsto the opinion of our expert in our last comments that for small offices not having veryspecialized experts it would be difficult to classify into a scheme that goes much deeperthan the main group level. In these cases it can be decided not to transfer any subgroupsto the core level.Since the whole of class C08 was treated, also main groups not having a last place rule(e.g. in parts of C08L) were taken into consideration. It turned out that with the exceptionof the 15 main groups found, the rest of class C08 should not go beyond main groups inthe core level, irrespective of the presence or absence of a last place rule.Another consideration to make is the question of country distribution within the sets ofdocuments identified for the bigger main groups. It seems that in a majority of cases,many documents come from two ISA's – China and Korea. When we assume that theseoffices would use the advanced level, even less main groups (or none at all) would need asubdivision in the core level.

ConclusionWe propose a procedure that identifies a limited number of subgroups in classes C07 andC08 that could be transferred to the core level, which for the rest should only contain maingroups in these fields.When it is confirmed that the major offices whose documents constitute a big part of theset investigated, are going to use the advanced level, it can be questioned if anysubdivision needs to be made at all.

H.Wongel

Annexes:C07stat.xls: Statistics of main group size in class C07C08stat.xls: Statistics of main group size in class C08CY_stat.xls: Statistics of publication country distribution in big main groups of class C07

[Appendixes follow/ Les appendices suivent]


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APPENDIX 1/APPENDICE 1

Statistics of non-PCT-minimum documents in class C07Source: WPI database, excluding countries EP, US, JP, WO, RU, SU, GB, FR, DE, CH, AT, CA from the total set of C07 documents

Main group Documents proposed measure comments

C07K14 1497 move 11 one-dot groups to core level maingroup 14/00 alone has already 778 documentsC07K16 1394 move 13 one-dot groups to core level maingroup 16/00 alone has already 791 documentsC07C69 1257 move 15 one-dot groups to core levelC07H21 1058 don't move one-dot groups to core level maingroup 21/00 alone has already 960 documents; subdivision would not significantly reduce

file sizeC07F9 1050 move 4 one-dot groups and 4 two-dot

subgroups of 9/06 to the core levelThe majority of documents (529) is in 9/06 and subgroups. Further subdivision (3 three-dotsubgroups of 9/06) could be considered, but is maybe not appropriate

C07D307 680 move 3 one-dot groups to core levelC07C51 667 move 14 one-dot groups to core levelC07C31 642 move 6 one-dot groups to core levelC07C49 610 move 9 one-dot groups to core levelC07C67 509 ? 22 one-dot groups would have to be moved to the core level. The number of documents is only

just above the threshold.C07D213 502 Either do nothing or move two one-dot

groups, 2 two-dot groups and 3 three-dot groups to the core level.

All documents have a classification in one of the subgroups of 213/02. Moving the two one-dotgroups to the core level would only remove the 12 documents classified in 213/00. Moving the 2two-dot subgroups of 213/02 to the core level would only remove 26

C07C29 500 ? 18 one-dot groups would have to be moved to the core level. The number of documents is onlyjust above the threshold.

C07F7 485C07C15 483C07D277 466C07D239 452C07C39 447


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Appendix 1/Appendice 1page 2



C07C7 431C07D401 416C07C43 414C07C17 401C07C47 383C07D211 381C07D295 368C07C11 365C07D487 354C07C59 346C07C45 318C07D311 317C07C53 314C07D207 303C07C5 298C07K1 295C07C211 293C07D501 287C07D251 278C07C57 275C07D209 272C07C63 268C07D233 266


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C07C19 259C07D231 246C07C37 240C07D471 239C07C2 230C07C229 226C07D499 221C07C41 218C07C13 211C07D215 211C07D405 205C07H3 202C07H19 199C07C209 197C07K7 196C07D473 195C07D417 192C07H15 188C07H1 185C07J1 185C07D235 180C07D241 178C07D249 171


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C07D403 171C07C21 162C07D409 161C07C227 157C07K5 154C07C309 152C07D333 152C07D413 146C07C33 145C07C255 144C07C1 142C07D285 141C07C233 137C07J9 137C07C65 131C07F15 131C07D263 130C07D301 130C07D495 130C07D493 129C07C25 128C07C55 126C07C27 125


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C07D237 124C07D223 121C07D337 120C07D309 119C07C231 117C07D513 117C07D303 116C07D457 114C07D491 113C07H17 110C07D498 108C07C9 107C07C35 107C07C215 104C07C323 102C07C303 100C07D279 100C07C213 99C07F3 94C07D317 93C07F5 89C07J5 86C07C61 81


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C07C50 80C07C253 79C07J75 78C07B59 76C07D519 76C07D201 74C07F1 74C07D265 73C07D243 71C07D257 71C07C217 69C07B57 68C07C205 68C07D319 68C07D261 64C07J19 64C07C319 63C07D339 63C07D271 62C07C311 61C07D221 60C07C251 59C07D305 59


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C07C68 58C07H5 57C07B63 56C07C237 56C07C271 55C07C4 53C07C317 53C07D217 53C07D275 53C07C235 52C07C273 51C07D407 51C07H7 51C07G17 50C07H13 50C07F17 49C07D253 48C07D335 48C07B35 45C07C225 43C07C275 43C07D205 43C07D461 42


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C07F11 40C07C245 39C07D327 39C07C201 38C07H11 38C07J7 38C07B37 36C07J71 36C07G5 35C07J63 35C07C23 34C07C243 33C07D489 32C07F13 32C07K17 31C07D313 30C07J13 30C07C6 29C07C279 29C07C321 29C07D455 29C07J3 29C07C403 28


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C07D323 27C07D475 27C07J53 27C07C263 26C07G1 26C07K19 26C07C249 24C07D219 24C07C265 23C07J41 23C07C46 22C07B33 21C07C315 21C07C335 21C07D203 21C07D293 21C07D477 21C07B39 20C07C62 20C07C269 20C07C333 20C07C409 20C07D281 20


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C07H23 20C07J17 20C07J21 20C07B43 19C07C257 19C07G3 19C07C405 18C07D227 18C07J31 18C07J51 18C07B41 17C07C305 17C07C327 17C07D225 17C07K9 17C07C221 16C07G15 16C07K2 16C07C313 15C07D453 15C07D521 15C07K4 15C07C241 14


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C07D411 14C07D451 14C07G11 14C07J43 14C07B31 13C07C277 13C07D273 13C07C219 12C07C291 12C07H9 12C07C281 11C07C381 11C07D267 11C07F19 11C07J73 11C07B45 10C07C401 10C07D245 10C07D321 10C07D345 10C07B61 9C07C22 9C07K105 8


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C07B53 7C07B55 7C07C239 7C07C247 7C07C259 7C07D291 7C07D341 7C07G13 7C07J11 7C07K11 7C07C407 6C07D255 6C07J61 6C07C207 5C07C307 5C07C329 5C07C331 5C07C337 5C07D315 5C07D517 5C07C223 4C07C301 4C07C325 4


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C07D229 4C07D269 4C07D325 4C07D343 4C07C71 3C07C203 3C07C391 3C07D259 3C07D329 3C07D419 3C07D497 3C07B49 2C07C66 2C07D247 2C07D283 2C07D331 2C07D459 2C07D463 2C07D505 2C07D515 2C07J33 2C07B47 1C07C261 1


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C07D415 1C07D503 1C07G9 1C07J15 1C07J65 1C07J69 1C07K101 1C07K123 1C07B51 0C07C267 0C07C395 0C07D347 0C07D421 0C07D507 0C07J67 0C07K103 0C07K121 0

[Appendix 2 follows/L’appendice 2 suit]


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C08J5 1605 move 8 one-dot groups to the core level Group 5/18 alone contains 812 documentsC08L23 1552 move 2 one-dot groups, 3 two-dot subgroups of

23/02 and 2 three-dot subgroups of 23/04 tothe core level

The majority of documents is classified in 23/04, 23/06 and 23/08

C08K5 1366 move 8 one-dot groups to the core levelC08G63 1207 move 7 one-dot groups and 3 two-dot

subgroups of 63/02 to the core levelC08J3 1038 move 6 one-dot groups to the core levelC08F2 983 move 12 one-dot groups to the core levelC08K3 961 move 10 one-dot groups to the core levelC08L63 754 move 5 one-dot groups to the core level Main group 63/00 has already 505 documents; no LPR in this main group. Only

63/02, 63/04 and 63/10 could be moved to the core levelC08G18 741 move 3 one-dot groups and 5 two-dot

subgroups of 18/06 to the core levelC08L27 716 move 2 one-dot groups and 3 two-dot

subgroups of 27/02 to the core levelGroup 27/06 alone contains 604 documents. In view of the limited effect of movinggroups to the core level, it could be considered to do nothing and to leave only themain group in the core level.

C08F4 673 move 6 one-dot groups to the core levelC08L67 609 No LPR in this main group. Only 67/02 and

67/06 could be moved to the core levelC08F8 564 move 18 one-dot groups to the core level relatively equal distribution of documents between all groupsC08L9 561 No LPR in this main group. Only 9/02 and 9/06

could be moved to the core levelC08L25 504 move 2 one-dot groups to the core levelC08G59 493C08J9 478


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C08J11 471C08B37 469C08G69 467C08L95 455C08F10 368C08L33 365C08J7 350C08L77 317C08L21 309C08L75 284C08F20 279C08L7 278C08G65 270C08L61 233C08F14 232C08L55 227C08G8 223C08F6 219C08K13 217C08G73 216C08L51 215C08L83 208C08G77 207C08K9 184C08L69 182


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C08L3 176C08G12 172C08F12 167C08F36 160C08L31 154C08K7 142C08L71 118C08L97 112C08B15 111C08L1 105C08L91 102C08B31 101C08G71 97C08L29 93C08B30 85C08B11 80C08G75 79C08L11 72C08B1 71C08L5 70C08C19 68C08C1 67C08L79 67C08L89 62C08H5 60


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C08L17 60C08L81 55C08G81 54C08F16 51C08G14 51C08L19 51C08F18 48C08L93 48C08H1 46C08L53 42C08G61 40C08L15 40C08B5 39C08G64 36C08G79 36C08K11 36C08B3 31C08G2 29C08L35 28C08L59 27C08G83 26C08G67 25C08G85 24C08L13 24C08F22 22


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C08F26 18C08C4 16C08B9 15C08L45 14C08G6 13C08G10 12C08L99 12C08L57 11C08C2 10C08F32 10C08B16 8C08B7 7C08C3 7C08L47 7C08L65 7C08L73 7C08B35 6C08F38 6C08B13 5C08L39 5C08L43 5C08L85 5C08F24 4C08F34 4C08H3 4


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C08L49 4C08B17 3C08B33 3C08F30 3C08G16 3C08L87 3C08F28 2C08G4 2C08L37 0C08L41 0

[Appendix 3 follows/L’appendice 3 suit]


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Statistics of non-PCT minimum Documents in Class C07

Main group

C07K14 1705 coming from : CN 1305KR 140BR 39

published in :2000 2002001 658

Total : 858 among which 793 from CN and 31 fromKRRest : 34 documents (for two years) for all the othercontries

C07K16 1526 coming from : CN 1462KR 40BR 7

published in :2000 1322001 711


C07C69 1266 coming from : CS 289CN 272RO 216DD 189KR 96

published in :2000 552001 61

C07H21 1171 coming from : CN 1094KR 21DD 20


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Main group

published in :2000 842001 496


2000 302001 28

C07F9 1047 coming from : DD 347CN 167RO 150CS 129KR 76

published in :2000 302001 28

C07D307 680 coming from : CS 173DD 123CN 116KR 68

published in :2000 262001 35

C07C51 673 coming from : CN 300DD 122KR 55CS 50

published in :2000 572001 65


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Main group

C07C31 646 coming from : CS 163DD 145CN 134RO 95

published in :2000 192001 35

C07C49 616 coming from : CS 189CN 105DD 94RO 65

published in :2000 202001 26

C07C67 516 coming from : CN 185DD 87RO 72CS 64

published in :2000 242001 36

C07D213 502 coming from : DD 120ES 66KR 62RO 56

published in :2000 202001 27


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Main group

C07C29 503 coming from : CN 173DD 127CS 58RO 41

published in :2000 272001 49

[End of Annex 28 and of document/Fin de l’annexe 28 et du document]

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