This document discusses patent classification codes and their use and issues. It provides examples of using classification codes to search for patents related to 3D printing. Some issues with classification codes are that different authorities use different codes, codes may not adequately represent the technology disclosed, and coding lags behind new technologies. Possible solutions proposed include using a single international classification system and improving codes to better represent invention details. The expected impacts are a fairer patent system, easier searching and analysis of patents, and fostering innovation.

1. Case of Classification Codes
Madhav Kulkarni
IP Search and Analysis, Information Research
Dow Chemical Int. Pvt. Ltd.
03-NOV-2017
Views discussed here are of the speaker and not of the organization

2. Patent Classification Codes
• International Patent Classification (IPC)
• United States Patent Class (USPC / USC / NCL)
• European Classification System (ECLA)
• (Japanese) File Index / File Forming Term (FI/F-Term)
• Cooperative Patent Classification
• Symbol/Number/Codes and Title/Definition
• Who puts these codes to the patent document?
Patent Office/Examiner
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3. Use of Classification Codes
1. To search patents (when keywords of interest are not expected)
3D Printing
IPC: B33Y (additive manufacturing)
B29C0064 (additive manufacturing )
B44B001/02 (machine/tools for 3D printing)
CPC: B33Y (additive manufacturing)
USPC: 156/242, 156/500
a. Title, Abstract & Claims =(((3D OR 3-D OR 3-dimension* OR 3 ADJ dimension* OR (three* ADJ2 dimension*)
OR desktop* OR additive*) NEAR2 (print* OR fabricat* OR manufactur*)));
83,622 record(s) - 44846 INPADOC families
b. IPC=(B29C0064 or B33Y) OR CPC=(B33Y) OR UC=(156/242 or 156/500);
71,921 record(s) - 24931 INPADOC families
c. a OR b
125,029 record(s) – 54717 INPADOC families
d. a AND b
30,514 record(s) - 15037 INPADOC families
Other methods: private indexing (CAS, Derwent, Questel), structure search, similarity/semantic, citations, etc.
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83,622
(TEXT)
71,921
CODES
30,514
125,029 (ALL)

4. Use of Classification Codes
2. To analyze output
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5. Issues with Classification Codes
• Different Codes by various authorities
• Additional Codes by private database provides
– Derwent Codes
• Patent containing codes but not the keywords
– desired but results in non-relevant documents
• 41,407 record(s) - 11288 INPADOC families
– Affect screening and analysis
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6. Issues with Classification Codes
• Patent containing keywords (Title, Abstract, Claims) but inadequate codes
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B23K: Performing Operations; Transporting -
> Machine Tools; Metal-Working Not
Otherwise Provided For -> Soldering Or
Unsoldering; Welding; Cladding Or Plating By
Soldering Or Welding; Cutting By Applying
Heat Locally, E.G. Flame Cutting; Working By
Laser Beam -> Electron-beam welding or
cutting -> Control circuits therefor
B22F: Performing Operations; Transporting -
> Casting; Powder Metallurgy -> Working
Metallic Powder; Manufacture Of Articles
From Metallic Powder; Making Metallic
Powder; Apparatus Or Devices Specially
Adapted For Metallic Powder -> Manufacture
of workpieces or articles from metallic
powder characterised by the manner of
compacting or sintering; Apparatus specially
adapted therefor
B33Y?
B29C?
Non-English document?
Skewed code analysis?
53,108 record(s) - 30038 INPADOC families

7. Issues with Classification Codes
• Patent containing technology but missing newer/technology specific codes
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B29C41/00: Performing Operations;
Transporting -> Working Of Plastics;
Working Of Substances In A Plastic State In
General -> Shaping Or Joining Of Plastics;
Shaping Of Substances In A Plastic State, In
General; After-Treatment Of The Shaped
Products, E.G. Repairing -> Shaping by
coating a mould, core or other substrate,
i.e. by depositing material and stripping-off
the shaped article; Apparatus therefor
B29C0064?
B33Y: Performing Operations; Transporting ->
Additive Manufacturing Technology -> Additive
Manufacturing, I.E. Manufacturing Of Three-
Dimensional [3D] Objects By Additive
Deposition, Additive Agglomeration Or
Additive Layering, E.G. By 3D Printing,
Stereolithography Or Selective Laser Sintering
Photopolymer – No IPC code. CPC - C08F299/028, C08G2650/16
Pressure sensitive adhesive IPC - B65D22+ (packaging), CPC -
C08G2170/40
Maybe B33Y was added later to the codes

8. Issues with Classification Codes
• Patent containing technology but inadequate codes
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G06Q30/06: PHYSICS -> INSTRUMENTS ->
COMPUTING; CALCULATING; COUNTING ->
DATA PROCESSING SYSTEMS OR METHODS,
SPECIALLY ADAPTED FOR ADMINISTRATIVE,
COMMERCIAL, FINANCIAL, MANAGERIAL,
SUPERVISORY OR FORECASTING PURPOSES;
SYSTEMS OR METHODS SPECIALLY ADAPTED
FOR ADMINISTRATIVE, COMMERCIAL,
FINANCIAL, MANAGERIAL, SUPERVISORY OR
FORECASTING PURPOSES, NOT OTHERWISE
PROVIDED FOR -> Administration;
Management -> Commerce -> Buying,
selling or leasing transactions -> Electronic
shopping -> Request for offers or quotes
This would be missed in the search by codes as well as analysis
B33Y: Performing Operations; Transporting -> Additive
Manufacturing Technology -> Additive Manufacturing,
i.e. Manufacturing Of Three-Dimensional [3D] Objects
By Additive Deposition, Additive Agglomeration Or
Additive Layering, E.G. By 3D Printing,
Stereolithography Or Selective Laser Sintering

9. Issues with Classification Codes
• Can we search Japanese/Chinese/Korean (any language) patent documents
containing 3D PRINTING (additive manufacturing) + HEART (any body part) +
POLYMER (any material) using codes?
• Would a patent document containing 3D printing/additive manufacturing
surely contain B33Y or B29C?
• Would a patent containing B33Y or B29C surely discuss some aspect of 3D
printing/additive manufacturing?
• The classification system is complimentary but not reliably complimentary
– Not sure if all components/aspects of invention are coded
– Incorrect/broad application of codes resulting into noise
– Newer codes not applied to old documents (reclassification)
• Coding lags technology development
• Disconnect between technology in patent and code based analysis
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10. Possible Solutions
• All countries/data providers using CPC or any single coding system
– Single coding system can be developed in depth
– Avoid additional cost and/or learning curve for different/private coding system
• Increase/improve depth/levels of codes
– Where? Industry/Application/Market
– What? Product/Process/Formulation/Design
– Why? Problem
– How? Solution/Invention + Components of the solution/invention
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11. Possible Solutions
• Additional/Re classification (adding codes to the patent document)
Any time in the life of patent or maybe later (to overcome insufficient coding by
the Patent Office or in case new codes are available later) by
– Applicant (requirement under complete disclosure, infringement?)
– Patent Office/Examiner
– Data providers (co-operation with Patent Office)
– Registered users (analogy to bloggers, subject matter experts)
– Big data - Auto-classification / Pre-classification (text mining based)
• Separate field for search/analysis
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For file routing and distribution

12. Expected Impact
• Fair/simpler patent and classification system
• Focused/easier/efficient search of any patent in any language (all codes
representing components of invention)
• Improved analysis (all codes representing components of invention)
• Fostering Innovation by knowing state of the art
• Avoiding (non-willful) infringement as patents become searchable
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13. Who has the 1st question/comment/suggestion?
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