PRS inpadoc legal data reclassification: db structure and some insights

1

PRS inpadoc legal data reclassification: db structure and some insights

Gianluca Tarasconi

2

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

http://www.epo.org/searching/data/data/tables/regular.html

3

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

4

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.

5

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

6

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

7

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)

8

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)

9

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

10

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)

11

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?

12

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

9

01.11.2011New entry: Additional fee for renewal fee: despatch of communication + time limit

9

25.11.2011 Application deemed to be withdrawn 9

Events listed in register but missing from PRS

Data not available in 2011 ediction

13

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


13.06.1987 Publication in section I.1 EP Bulletin 1

PG25 23.11.2007Lapse of the patent in a contracting state

21

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

4

09.01.1992Lapse of the patent in a contracting state

5


5


5


5

07.05.1992 No opposition filed within time limit 5


5


5


6

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)

14

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)

15

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…

16

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

17

Life before death(I)

Example EP0230021 Has shown out that last lapse event date cannot be used to calculate patent life.

Event history


13.06.1987 Publication in section I.1 EP Bulletin 1

PG25 23.11.2007Lapse of the patent in a contracting state

21

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

4


5


5


5


5

07.05.1992 No opposition filed within time limit 5


5


5


6

18

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

19

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)

20

Life before death (IV)

•Case of double refusal

•http://application.epo.org/bulletin/archive/bulletin0909.pdf

21

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

22

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.

23

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

PRS inpadoc legal data reclassification: db structure and some insights

Technology

Transcript of PRS inpadoc legal data reclassification: db structure and some insights