To summarize the key points: - REG codes indicate an event related to a regional/international patent application (e.g. European patent) - The country code after REG specifies the patent office where the event occurred - The actual code provides details on the type of legal event - So in this example, the event is an entry into the national phase in Ireland (country code IE) for the European patent application (EP) number provided. The REG code helps link regional/international applications to legal events recorded at specific national patent offices. It provides important context for interpreting the legal event.

1. PREPARING
LEGAL STATUS DATA
FOR EXCHANGE
LATIPAT
November 2012
Wistre Rodriguez Del Amo

2. PREPARING LEGAL STATUS DATA
FOR EXCHANGE
 The data flow at the EPO
 The data flow at your place of work
 Examples of "good practice"
 What we would wish for ...
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

3. DATA FLOW AT THE EPO
Legal Status - Back Stage
 Getting the data from A to B
 Maintaining the master database
 Delivering legal status to the world
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

4. Getting the data from A to B ...
 Sources
 internet sites
 FTP servers
 E-mail attachments
 EPO front office
 Formats
 gazettes and bulletins in PDF format
 data in TXT or CSV format
 data in SGML or XML format
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

5. Internet Sites EPO Front Office
FTP Servers E-mail
over 40 offices
raw data
80.6 Mio events
"cooked"
data valid data PRS
MASTER
DATABASE
new data services
new provider &
change of format products
quality
issues
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

6. Challenges ...
 Variety in delivery methods
 data sources, data formats
 Ever-changing environments
 change of patent law
 change of data format
 change of delivery policy
 Human resources
 manual intervention
 intellectual effort
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

7. manage delivery methods
manage changing environments
reduce manual effort
polling websites
and servers
pulling data
maintenance
dedicated
processes
"cooking" the data
monitoring
powerful engine triggering intellectual customer
validating the data database update intervention support
managing
changing parameters
Master
Database
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

8. Maintaining the master database
 Office-specific nature of the data
 language issues
 event codes used
 meta-data provided
 Availability of the bibliographic data
 pre-requisite for exchange of legal status
 contains data elements with legal implications
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

9. Challenges ...
 Identifying the nature of the event
 events of the same nature identified by different codes
 code descriptions in "exotic" languages
 Identifying data items in the input
 tidiness of the data
 quality of the documentation
 Linking to the bibliographic data
 publication kind-code not provided
 ambiguous number series across IPR-types
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

10. Define rules to
 identify legal events by country-specific codes
Still need careful analysis of the content
Still be relying on
 the tidiness of the data
 the quality of the documentation
Still be confronted with language issues
Business
Rules
Engine
PRS
Master
Define rules to :
 support access without kind-code
DOCDB  resolve ambiguous number series
Master Still be a certain degree of "second guessing"
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

11. One particular challenge ...
 Trend to exchange complete "life of a file"
 all legal events in the life of a file every time
 the most recent as well as all previous events
 Challenge ? Identifying the new events !!
 no indication which event is the new event
 no date of capture, no reliable date of capture
 Why not take the new life and dump the old ?
 invested time and effort in improving the quality
 improved and corrected data would be overwritten
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

12. Delivering legal status to the world
 On-line services
 OPS, ESPACEnet, EPO Patent Register
 free of charge
 available 24 x 7
 Raw data product
 INPADOC Worldwide Legal Status
 by subscription only
 updates once a week
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

13. EPO INPADOC
PATENT INFORMATION WORLD WIDE
RESOURCE LEGAL STATUS
EPODOC
EPO INPADOC
EXTENDED REGISTER
FAMILIES
Worldwide
Legal Status
Open
Patent
Services
End Users
ESPACEne Commercial Hosts
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

14. Products & Services
 Open Patent Services
 Raw data provided on-line through web-services
 Designed for automated queries returning fair amounts of data
 ESPACEnet - EPO Patent Register
 Patent information provided on-line in end-user format
 Designed for use by the general public
 INPADOC Worldwide Legal Status
 Raw data provided weekly through the down-load area
 Designed for use by commercial hosts and patent professionals
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

15. FACTS of LIFE
 We can only give as much as we get ...
 depend on the accuracy and timeliness of data providers
 cannot guarantee that ALL legal events are covered
 It is not uncommon ...
 NOT to receive a notification of reinstatement after a lapse
 to receive a LATE notification of reinstatement after a
lapse
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

16. FACTS of LIFE
 What we give is as good as we get ...
 do not insert legal events unless received from the provider
 do not remove legal events once received from the provider
 do not correct legal events unless requested by the provider
 That means that ...
 "lapse due to non-payment of fees" will not be removed from
the database when followed by a late "payment of fees"
 "notification of reinstatement" will not be added to the
database on evidence provided by 3rd parties
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

17. DISCLAIMER
 EPO does not accept any responsibility
for the accuracy of data and information
originating from other authorities
 EPO does not guarantee that they are
complete, up-to-date or fit for specific purposes
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

18. Why this "Disclaimer" ... ?
 Worldwide Legal Status is as good as the data it gets
 notification of a lapse may not have been given
 notification of reinstatement may be late
 notification of reinstatement may not have arrived
 Worldwide Legal Status cannot guarantee legal certainty
 inside worldwide legal status the patent might be "dead"
 out there the patent may be "alive and kicking"
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

19. Business decision to make ... ??
 Use Worldwide Legal Status to get a general idea
 Double-check against the national register at all times
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

20. So .... this is how the data flows at the EPO
How does the data flow at your office ?
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

21. Couple of questions for you :
 How have you organised your data flow ?
 How do you make your data available ?
 data-format : PDF, XML, SGML, ... , other?
 medium : internet, E-mail, electronic file transfer?
 If in PDF - what format was it in before it became PDF ?
 mark-up language: XML, SGML or even INID-
code?
 any other format that allows electronic transfer?
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

22. We will give the floor to the participants
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del

23. EXAMPLES
OF
GOOD PRACTICE
LATIPAT
November 2012
Wistre Rodriguez Del Amo

24. We will take the participants through
some examples ...
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

25. OUR "WISH LIST" ...
 Delivery Method
 Internet site with stable URL
 FTP server
 Data Format
 generally any mark-up language will do
 preferably data in XML
 not desirable are formats like TXT or PDF
 Content ....
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

26. Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

27. if you provide us with more than just the new event
tell us which of the events is the new event
clearly indicate when the event was made public
identify nature of the event by unique code
description in your own language
if possible translation in English
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

28. clearly indicate when the event has become effective
clearly indicate the application / publication
that this event is relating to
change of ownership, assignments, ...
clearly indicate previous and new owner
when in "exotic" original character set
provide names and addresses transliterated
supplementary protection certificates
clearly indicate the vital components
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

29. THUMBS UP for :
 Posting your data on the internet or on FTP
 Providing your data in structured mark-up language
 Clearly identifying the nature of the legal event
 Supporting consistent and unambiguous number series
 Making sure that we understand what we get :
 documentation is vital
 English language translations are helpful
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

30. What is a legal event?
Can you give me
some examples
of
legal events?
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

31. A legal event can be
• Any kind of invalidation, e.g.
lapses, expiries, withdrawals,
revocations, etc.
• Limitations
• Reinstatements
• Fee payments
• Grant
• Change of ownerships
• Change of representatives
• Licensing information , e.g. willing
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

32. Which legal events are in the worldwide legal event database?
In the worldwide legal event database are no
legal events that are in DOCdb
(i.e. bibliographic data)
Which legal events
can be coupled with bibliographic data?
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

33. Events received by bibliographic data
• Priorities
• Filing an application
• Each publication step (i.e. normally also grant)
• For EP documents also
– previously files application
– preceding publication date
– coming into force
 We produce Extended legal event data to
cover these events as raw data
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

34. Which legal events are in the worldwide legal event database?
Why are different
legal events collected
for each country?
(i.e. not always the same kind of events for
each country)
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

35. The reasons for different kind of data are
• Each country has a different patent law
• Each patent office sent us different data
• The collection of each country started at the different
moment
Side effect
We receive data from very different sources and
none of them can guarantee completeness and
correctness of their data
 We cannot guarantee the completeness
and correctness of our data
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

36. Which legal events are in the worldwide legal event database?
How many patent authorities are covered by
legal event data?
How many records are in the legal event
database?
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

37. Statistical data of the legal event database
• Number of records March 2012:
– 100 000 000
• Expected number of records end of 2012:
– 120 000 000
• Number of patent authorities we have received data from 2012:
– 42
• Overall number of patent authorities we have data from:
– 62
• PCT entry data from WIPO (not sent directly to us)
• not existing countries (like GDR)
• patent office stopped sending us data
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

38. Which information is in a legal event record?
Here is a legal event from
espacenet: Application Number
Publication Date
Country Code
Legal Event (what happened)
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

39. Which information is in a legal event record?
Here is the same legal event
from espacenet:
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

40. Where can you find worldwide legal event data?
Where can you
search for legal
event data?
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

41. Legal events can be received via
EPO tools
–espacenet
–OPS
–PATSTAT (add on)
–European Register (only EP patents)
–as raw data, sent to subscribers
Commercial partners
−STN
−Thomson Scientific
−Questel/Orbit
−Dialog Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

42. What is a legal event with PRS code "REG "?
In espacenet one can see this information
.... IE = Ireland
Which patent office has provided this
information?
Why has this information a code
"REG " before the real code?
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

43. Why there are "REG " codes?
In the PRS database only the country code of the patent
is included.
The PRS code consists also of these 2 parts:
Country Code
4 digit event code
The country code of the PRS code is not included in
PRS and most of the tools you can search for legal
event data
=> Country code is taken from patent identification
Therefore an original European patent has to have an
EP Code
(= "REG ") and the real national code is hidden in an
attribute.
=> in our example: EP REG Rodriguez Del Amo
IE FG4A
Wistre Versloot-Spoelstra
Fenny

44. How should "REG " codes be
interpreted?
Something happens with a patent filed in a regional office or of a
country with a number (here EPO patent 1456342) of another patent
authority
The patent office the event happened or has been announced by is the
country (in espacenet) behind "REG " (here Ireland)
What happened says the code behind the country (here entry of EP
patent into the Irish national phase)
All attributes rely on the "real code" (here original document was
published in French)
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

45. My further question?
For what are legal event data useful?
(also in combination with another patent
information)
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

46. My further question - use for legal status
data?
• Where (in which countries) is an invention
still protected?
• Where is the present owner of an invention
and where?
• How long is a patent protected?
– in a technical field
– by an applicant
– etc.
• What happened with an invention in different
countries?
• etc.
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

47. Résumé
Worldwide legal event data is a valuable
source to answer interesting questions
(especially for the industry)
for the protection of inventions and for
patents.
Wistre Rodriguez Del Amo
Fenny Versloot-Spoelstra

48. Questions ?
Comments ?
W Fenny Versloot-Spoelstra Amo
istre Rodriguez Del 21/11/12