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Classification Fundamentals
How Documents are Classified
PIUG Annual ConferencePresented by Tonya Heyboer and Brett Johnson
May 9, 2018
Serco Use Only
Classification Fundamentals – How Documents are Classified
▪ About Serco
• USPTO classification contractor for 11+ years
• Classified 3.8+ million newly filed patent applications
• Classifying in CPC since January 2013 inception
▪ Goals of today’s talk
• Insight into classifier approach
• Enhance decisions involving classification
Introduction
2 PIUG 2018 Annual Conference – Celebrating 30 Years Of Patent Information: Past, Present & Future
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How Documents are Classified
▪ Classification Timelines
▪ Initial Classification - In Depth Example
▪ Variations on Themes
▪ Classification Resources
Topics
3 PIUG 2018 Annual Conference – Celebrating 30 Years Of Patent Information: Past, Present & Future
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How Documents are ClassifiedA Brief History of Classification
4 PIUG 2018 Annual Conference – Celebrating 30 Years Of Patent Information: Past, Present & Future
USPC
Prim
ary
IPC
ECLA
CPC
Middle History
Digitization &Internationalization
• Electronically search digital files
• Search foreign art
Recent History
Digital Revolution& Globalization
• Improve patent quality and examiner efficiency
Early History
Print• Manually search print files
• Route to an Art Unit
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How Documents are Classified
5 PIUG 2018 Annual Conference – Celebrating 30 Years Of Patent Information: Past, Present & Future
Classification Timeline - US
InventionInitial
Classification
Application Filing
Application Published
Docketing & Examination
Patent Published
Reclassification
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How Documents are Classified
▪ Classification Timelines
▪ Initial Classification - In Depth Example
▪ Variations on Themes
▪ Classification Resources
Topics
6 PIUG 2018 Annual Conference – Celebrating 30 Years Of Patent Information: Past, Present & Future
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How Documents are ClassifiedInitial Classification
7 PIUG 2018 Annual Conference – Celebrating 30 Years Of Patent Information: Past, Present & Future
Initial Classification Requirements Purpose
Full Classification Picture• Expert Level CPC
Examiner Search
IPC Classification International Agreement
Routing Classification• USPC Primary
Art Unit Routing
• Inventive• Additional• First
• USPTO Special Guidelines
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How Documents are ClassifiedInitial Classification
8 PIUG 2018 Annual Conference – Celebrating 30 Years Of Patent Information: Past, Present & Future
▪ Initial Classification Example
• US20090055022 Obstacle following sensor scheme for a mobile robot
▪ Classification steps
CPC 1. Document Analysis
2. Identify Candidate Fields
3. INV symbol assignment
USPC 4. ADD symbol assignment
5. First/Primary designation
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How Documents are ClassifiedInitial Classification
9 PIUG 2018 Annual Conference – Celebrating 30 Years Of Patent Information: Past, Present & Future
▪ Initial Classification Example
• US20090055022 Obstacle following sensor scheme for a mobile robot
▪ Classification steps
CPC 1. Document Analysis
2. Identify Candidate Fields
3. INV symbol assignment
4. ADD symbol assignment
5. First/Primary designation
Serco Use Only
How Documents are Classified
▪ Goal:
• Determine What-to-Classify
• What is the invention? How does it improve upon prior art?
• Observe classifiable details
▪ Technique:
• Review all sections of the document
• Efficiency for the given art
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What-to-Classify in a document will become What-is-Findable for the CPC searcher.
CPC Document Analysis Overview
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How Documents are Classified
Obstacle following sensor scheme for a mobile robot
CPC Document Analysis
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Title:
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How Documents are Classified
Obstacle following sensor scheme for a mobile robot
CPC Document Analysis
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Title:
What is the robot’s purpose / field of application?How does it operate?
What enables the mode(s) of operation?
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How Documents are ClassifiedCPC Document Analysis
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A robot obstacle detection system including a robot housing which navigates with respect to a surface and a sensor subsystem aimed at the surface for detecting the surface. The sensor subsystem includes an emitter which emits a signal having a field of emission and a photon detector having a field of view which intersects the field of emission at a region. The subsystem detects the presence of an object proximate the mobile robot and determines a value of a signal corresponding to the object. It compares the value to a predetermined value, moves the mobile robot in response to the comparison, and updates the predetermined value upon the occurrence of an event.
Abstract:
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How Documents are Classified
1-38. (canceled)
39. A robot comprising: a substantially circular robot housing;a drive system housed by the robot housing and configured to maneuver the robot with respect to a wall; at least one sensor component in the robot housing directed for detecting the presence of the wall, the sensor component comprising: an emitter that emits a directed beam having a defined field of emission; anda detector having a defined field of view that intersects the field of emission of the emitter, the intersection of the field of emission and the field of view defining a volume of intersection space; and a circuit in communication with the detector and the drive system configured to control the drive system to rotate the robot and configured to determine: whether the detector detects the wall, whether the robot is in contact with the wall, and whether the robot has turned a predetermined angle without detecting or contacting the wall.
CPC Document Analysis
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Claims:
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How Documents are ClassifiedCPC Document Analysis
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44. The robot of claim 39, wherein the detector is configured to detect a
baseline level of ambient light and to detect the beam from the emitter.
54. The robot of claim 39 further comprising at least two edge cleaning heads
carried on opposite sides of the housing and driven about a non-horizontal
axis, each edge cleaning head extending beyond a lateral extent of the
housing to engage the surface while the robot is maneuvered across the
surface.
Claims (cont.):
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How Documents are Classified
55. A method for operating a mobile robot, the method comprising the steps of: detecting the presence of a wall; driving the robot, based on the detecting, to follow the wall until the wall is no longer detected; androtating the robot to seek the wall while determining whether: the wall is again detected,the robot is in contact with the wall, andthe robot has turned a predetermined angle without detecting or contacting the wall.
CPC Document Analysis
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Claims (cont.):
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How Documents are ClassifiedCPC Document Analysis
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Claims – conclusions
What we’ve learned:
• Robot with optical detection to alter driving course
• Contains brush heads
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How Documents are ClassifiedCPC Document Analysis
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Claims – conclusions
Use Specification and Drawings to further clarify
• What is the specific improvement?• More information about:
o Sensor detailso Mobility detailso Cleaning operation
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FIELD OF THE INVENTION
[0002] This invention relates to an obstacle detection system for an autonomous robot, such as an autonomous cleaning robot.
CPC Document Analysis
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Specification:
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BACKGROUND OF THE INVENTION
[0003] There is a long felt need for autonomous robotic cleaning and processing devices for dusting, mopping, vacuuming, sweeping, lawn mowing, ice resurfacing, ice melting, and other operations. Although technology exists for complex robots which can, to some extent, “see” and “feel” their surroundings, the complexity, expense and power requirements associated with these types of robotic subsystems render them unsuitable for the consumer marketplace.
CPC Document Analysis
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Specification (cont.):
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How Documents are Classified
[0004] The assignee of the subject application has devised a less expensive, battery operated, autonomous cleaning robot which operates in various modes, including random bounce and wall-following modes.
[0005] Unfortunately, however, presently available sensor subsystems such as sonar sensors for detecting obstacles on or in the floor or for detecting the wall in order to enter the wall-following mode (or to avoid bumping into the wall) are either too complex or too expensive or both. Tactile sensors are inefficient to ensure that walls or other obstacles can be effectively followed at a predetermined distance.
CPC Document Analysis
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Specification (cont.):
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How Documents are ClassifiedCPC Document Analysis
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SUMMARY OF THE INVENTION
[0007] Accordingly, the control system of the present invention utilizes, in one embodiment, a synchronous detection scheme inputted directly into an A/D port on a microprocessor of the robot. This allows sensor values, and not merely the presence or absence of a wall, to be used to control the robot. The synchronous detection algorithm also allows readings to be taken with and without the sensor emitter powered, which allows the system to take into account ambient light.
Specification (cont.):
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How Documents are ClassifiedCPC Document Analysis
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[0018] In one embodiment, the robot includes a surface cleaning brush. Other embodiments attach to the robot a buffing brush for floor polishing, a wire brush for stripping paint from a floor, a sandpaper drum for sanding a surface, a blade for mowing grass, etc. The emitter typically includes an infrared light source and, consequently, the detector includes an infrared photon detector. A modulator connected to the infrared light source modulates the directed infrared light source beam at a predetermined frequency, with the photon detector tuned to that frequency. The emitter usually includes an emitter collimator about the infrared light source for directing the beam and the detector then further includes a detector collimator about the infrared photon detector. The emitter collimator and the detector collimator may be angled with respect to the surface to define a finite region of intersection.
Specification (cont.):
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How Documents are ClassifiedCPC Document Analysis
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[0022] The sensor subsystem for an autonomous robot which rides on a surface in accordance with this invention includes an optical emitter which emits a directed optical beam having a defined field of emission, a photon detector having a defined field of view which intersects the field of emission of the emitter at a region and a circuit in communication with a detector for providing an output when an object is not present in the region.
[0027] In various embodiments of the above aspect, at least one emitted signal or detected signal includes light having at least one of a visible wavelength and an infrared wavelength. In other embodiments of the above aspect, at least one emitted signal or detected signal includes an acoustic wave having at least one of an audible frequency and an ultrasonic frequency. Other embodiments of the above aspect include a mobile robot, the robot having at least one infrared emitter and at least one infrared detector, wherein the infrared emitter and the infrared detector are oriented substantially parallel to each other. In certain embodiments, the signal value corresponds to at least one of a distance to the object and an albedo of the object.
Specification (cont.):
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How Documents are ClassifiedCPC Document Analysis
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[0086] In one embodiment, the emitter includes an infrared light source and the detector includes an infrared photon detector each disposed in round plastic angled collimators. The emitter, however, may also be a laser or any other source of light.
[0126] The cliff detector and wall detector can also be implemented using a laser as the source of the beam. The laser provides a very small spot size and may be useful in certain applications where the overall expense is not a priority design consideration. Infrared systems are desirable when cost is a primary design constraint. Infrared sensors can be designed to work well with all floor types. They are inexpensive and can be fitted into constrained spaces. In alternative embodiments audible or ultrasonic signals may be utilized for the emitter and/or detector.
Specification (cont.):
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How Documents are ClassifiedCPC Document Analysis
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Drawings:
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How Documents are Classified
What-to-Classify conclusions:
▪ Mobile Robot
• Purpose
- Cleaning (vacuum, mop, etc.)
- Lawn mowing, etc.
• How does it operate
- Autonomous mobility
-Wall avoidance
• What enables operation
- Sensor control system
»Optical
»Acoustic
- Integrated brush/blade/etc.
CPC Document Analysis
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How Documents are ClassifiedInitial Classification
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▪ Classification steps
CPC 1. Document Analysis
2. Identify Candidate Fields
3. INV symbol assignment
4. ADD symbol assignment
5. First designation
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How Documents are Classified
▪ Goal
• “Paint a picture” of the invention using symbols
• “Translate” what-to-classify concepts into the language of CPC
▪ Technique
• Follow the “user manual” provided by schemes and definitions
• Consider function-oriented as well as application-oriented areas of CPC
CPC Where to Classify Overview
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Efficient searching is enabled when “appropriate” symbols are included and “noise” is avoided.
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How Documents are Classified
▪ An experienced classifier is knowledgeable of candidate fields
CPC Candidate Fields
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How Documents are Classified
▪ B25J
Assigning INV Symbols
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MANIPULATORS; CHAMBERS PROVIDED WITH
MANIPULATION DEVICES
NOTE
In this subclass, the following term is used with the
meaning indicated : "manipulator" covers handling tools,
devices, or machines having a gripping or work head
capable of bodily movement in space and of change of
orientation, such bodily movement and change of
orientation being controlled, at will, by means remote from
the head.
Invention does not satisfy
definition of “manipulator”
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How Documents are Classified
▪ G05D
Assigning INV Symbols
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SYSTEMS FOR CONTROLLING OR REGULATING NON-
ELECTRIC VARIABLES
Definition statement
This place covers:
Systems for controlling or regulating non-electric variables, in
particular: position, trajectory, attitude or altitude of a vehicle;
position or direction of an object; thickness or size of materials;
flow rate; level; quantity ratio; linear or angular speed; force or
stress; fluid pressure; torque or mechanical power; vibrations;
chemical variables; humidity; temperature; viscosity; and
illumination.
"controlling" means influencing a variable in any way, e.g.
changing its direction or its value (including changing it to or from
zero), maintaining it constant, limiting its range of variation
Scope fits the
invention
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How Documents are ClassifiedAssigning INV Symbols
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Special rules of classification
Control systems specially adapted for particular apparatuses,
machines or processes are classified in the subclasses for the
apparatus, machine or process, provided that there is specific
provision for control or regulation relevant to the special
adaptation, either at a detailed level, (e.g. A21B 1/40: "for
regulating temperature in bakers' ovens") or at a general level,
(e.g. B23K 9/095: "for automatic control of welding parameters in
arc welding"). Otherwise, classification is made in the most
appropriate place in this subclass.
G05D cont.
Special adaptation, if provided for elsewhere,
would exclude G05D—not the
case here
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How Documents are ClassifiedAssigning INV Symbols
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G05D Scheme
Control of position is only area
that applies to this
invention
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Relationships with other classification places
Subclass G01S covers radio, sonar or lidar navigation systems, i.e.
navigation by use of radio, acoustic or optical waves, or analogue
arrangements using other electromagnetic waves.
Special rules of classification
This main group concerns only vehicles.
Documents are classified here in case:
• the sensors are piloting-specific: (i) to follow a predetermined trajectory;
(ii) there is an interaction between the position determination and the
goal to be achieved (for example there is a camera to recognize the
environment and a processor to determine the trajectory);
• of remote control;
• of piloting-specific optimization; or
• of interactions between vehicles.
Within this main group, the possible applications of a land vehicle are
also classified in G05D 2201/02.
G05D1/00 Definition
Relationship to G01S
Scope fits invention
ADD requirement
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How Documents are ClassifiedAssigning INV Symbols
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G05D1/00 Indents
Fits our invention
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G05D 1/02 and subgroups
This subgroup covers control systems where the position
determination or the position evolution takes place on a two-
dimensional space. If the nature of the vehicle is specified, then
it is classified in the corresponding subgroup.
G05D 1/021 and subgroups
This subgroup covers control systems to define a trajectory for a
land vehicle, and to take suitable actions to make the vehicle
follow said trajectory.
G05D1/00 Definition
Definitions confirm scope.
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How Documents are ClassifiedAssigning INV Symbols
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G05D1/021 Indents
Candidates warranting
consideration
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How Documents are ClassifiedAssigning INV Symbols
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G05D1/021 Indents
Assign
Assign
Assign
Assign
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How Documents are ClassifiedAssigning ADD Symbols
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G05D1/00 Definition:
Special rules of classification
Within this main group, the possible applications of a
land vehicle are also classified in G05D 2201/02.Need to apply
indexing
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How Documents are ClassifiedAssigning ADD Symbols
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Assign
Assign
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Assign
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How Documents are ClassifiedAssigning INV and ADD Symbols
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Classification Picture▪ G05D1/0238
• Optical Wall Sensor
▪ G05D1/024
• Laser Wall Sensor
▪ G05D1/0242
• Infrared Position Sensor
▪ G05D1/0255
• Acoustic Position Sensor
▪ G05D2201/0203
• Cleaning, polishing functions
▪ G05D2201/0208
• Lawn mowing function
▪ G05D2201/0215
• Vacuum function
What-to-Classify conclusions:
▪ Mobile Robot
• Purpose
- Cleaning (vacuum, mop, etc.)
- Lawn mowing, etc.
• How does it operate
- Autonomous mobility
-Wall avoidance
• What enables operation
- Sensor control system
»Optical
»Acoustic
- Integrated brush/blade/etc.
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How Documents are ClassifiedAssigning INV and ADD Symbols
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Classification Picture▪ G05D1/0238
• Optical Wall Sensor
▪ G05D1/024
• Laser Wall Sensor
▪ G05D1/0242
• Infrared Position Sensor
▪ G05D1/0255
• Acoustic Position Sensor
▪ G05D2201/0203
• Cleaning, polishing functions
▪ G05D2201/0208
• Lawn mowing function
▪ G05D2201/0215
• Vacuum function
What-to-Classify conclusions:
▪ Mobile Robot
• Purpose
- Cleaning (vacuum, mop, etc.)
- Lawn mowing, etc.
• How does it operate
- Autonomous mobility
-Wall avoidance
• What enables operation
- Sensor control system
»Optical
»Acoustic
- Integrated brush/blade/etc.
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How Documents are Classified
▪ Progress in evaluating candidate fields
CPC Candidate Fields
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How Documents are ClassifiedAssigning INV and ADD Symbols
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A47L
DOMESTIC WASHING OR CLEANING (brushes A46B; cleaning quantities of
bottles or of other hollow articles of one kind B08B 9/00; laundry D06F);
SUCTION CLEANERS IN GENERAL (cleaning in general B08)
Definition statement
Machines for cleaning floors, carpets, furniture, walls, or wall coverings
A47L11/00
Informative references
Control or regulation of non-electric variables G05D
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A47L Scheme
Only applicable place appears to match what was seen in definition
statement
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A47L11/00 Definition
Definition explains scheme layout
Machines for cleaning floors, carpets, furniture, walls,
or wall coverings
Definition statementThis place covers:
• Floor surfacing or polishing machines. (A47L11/02 -
A47L11/20)
• Floor-sweeping machines. (A47L 11/22 - A47L 11/24)
• Floor-scrubbing machines (A47L 11/26 - A47L 11/307)
• Carpet-sweepers. (A47L 11/32 - A47L 11/33)
• Machines for treating carpets in position by liquid, foam, or
vapour, e.g. by steam. (A47L 11/34)
• Machines for beating upholstery (A47L 11/36).
• Machines, specially adapted for cleaning walls, ceilings, roofs,
or the like (A47L 11/38).
• Parts or details of the machines, e.g. handles, arrangement of
switches, skirts (A47L 11/40 - A47L 11/4097).
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A47L11/00 Definition (cont.)
Indexing is expected
Special rules of classification
It is highly desirable to add the Indexing Code A47L 2201/00
to identify "robotic" aspects (see A47L 2201/00 for further
details) of the machines covered by this main group.
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A47L11/00 Scheme
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A47L11/40 Scheme
Assign
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A47L2201/00 Definition
Definition statement
This place covers:
This entry - A47L 2201/00 - is an orthogonal code identifying aspects or details of robotic
or autonomous suction cleaners (A47L 5/00; A47L 7/00; A47L 9/00) or cleaning
machines (A47L 11/00) for cleaning floors, carpets, furniture, walls, or wall coverings,
which are particular of robotic cleaners.
This entry - A47L 2201/00 - comprises inventive as well as additional information,
covering in particular:
Docking stations: Static station where the autonomous cleaner is serviced for further
cleaning - i.e. recharging of batteries, emptying dust container, exchange of cleaning
brushes,...
Automatic control of the travelling movement: Navigation system, automatic obstacle
detection,...
Control of the cleaning action for autonomous devices: Automatic detection of the
surface type and application of the corresponding cleaning action (sweeping, scrubbing,
vacuuming,...).
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A47L2201/00 Scheme
Assign
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How Documents are Classified
▪ Progress in evaluating candidate fields
CPC Candidate Fields
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How Documents are ClassifiedAssigning INV and ADD Symbols
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G01SRADIO DIRECTION-FINDING; RADIO NAVIGATION; DETERMINING DISTANCE OR
VELOCITY BY USE OF RADIO WAVES; LOCATING OR PRESENCE DETECTING BY
USE OF THE REFLECTION OR RERADIATION OF RADIO WAVES; ANALOGOUS
ARRANGEMENTS USING OTHER WAVES
Special Rules Of Classification (G05D1/00)
Aspects of radio, sonar or lidar navigation systems
that are important per se should also be classified
in the relevant groups of G01S.
Aspects are mentioned, not detailed to have
any particular importance
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How Documents are ClassifiedAssigning INV and ADD Symbols
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B60 – Vehicles In General
• B60K
• Scheme requires detail of how the control unit is integrated with other
aspects of the vehicle, e.g. location in proximity to steering column.
• Classification would occur in a generic place
B60K 26/00
Arrangements or mounting of propulsion unit control devices in vehicles
Relationships with other classification places
B60K 26/00 concerns the mountings of control units related to propulsion units
of vehicles.
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How Documents are Classified
▪ Progress in evaluating candidate fields
CPC Candidate Fields
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How Documents are ClassifiedAssigning ADD Symbols
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Y10S
TECHNICAL SUBJECTS COVERED BY FORMER USPC CROSS-
REFERENCE ART COLLECTIONS [XRACs] AND DIGESTS
USPTO Special Guidelines: Y10S classification requested for applicable
robotic subject matter
No Y10S Definition; however, 1:1 correlation between USPC Class 901 and
CPC
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Y10S901/00 Scheme (cont.)
PIUG 2018 Annual Conference – Celebrating 30 Years Of Patent Information: Past, Present & Future
all optical options
acoustic option
Assign
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How Documents are ClassifiedAssigning ADD Symbols
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Y10S901/00 Scheme (cont.)
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Assign
Assign
Assign
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How Documents are ClassifiedAssigning INV and ADD Symbols
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▪ G05D1/0238
• Optical Wall Sensor
▪ G05D1/024
• Laser Wall Sensor
▪ G05D1/0242
• Infrared Position Sensor
▪ G05D1/0255
• Acoustic Position Sensor
▪ G05D2201/0203
• Cleaning, polishing functions
▪ G05D2201/0208
• Lawn mowing function
▪ G05D2201/0215
• Vacuum function
What-to-Classify conclusions:
▪ Mobile Robot
• Purpose
- Cleaning (vacuum, mop, etc.)
- Lawn mowing, etc.
• How does it operate
- Autonomous mobility
- Wall avoidance
• What enables operation
- Sensor control system
» Optical
» Acoustic
- Integrated brush/blade/etc.
▪ A47L11/4011
• Control of floor cleaning machine
▪ A47L2201/04
• Automatic control of cleaning machine
▪ Y10S901/01
• Mobile Robot
▪ Y10S901/47
• Robot with optical sensing device
▪ Y10S901/46
• Robot with non-optical sensing device
Classification Picture
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▪ G05D1/0238
• Optical Wall Sensor
▪ G05D1/024
• Laser Wall Sensor
▪ G05D1/0242
• Infrared Position Sensor
▪ G05D1/0255
• Acoustic Position Sensor
▪ G05D2201/0203
• Cleaning, polishing functions
▪ G05D2201/0208
• Lawn mowing function
▪ G05D2201/0215
• Vacuum function
What-to-Classify conclusions:
▪ Mobile Robot
• Purpose
- Cleaning (vacuum, mop, etc.)
- Lawn mowing, etc.
• How does it operate
- Autonomous mobility
- Wall avoidance
• What enables operation
- Sensor control system
» Optical
» Acoustic
- Integrated brush/blade/etc.
▪ A47L11/4011
• Control of floor cleaning machine
▪ A47L2201/04
• Automatic control of cleaning machine
▪ Y10S901/01
• Mobile Robot
▪ Y10S901/47
• Robot with optical sensing device
▪ Y10S901/46
• Robot with non-optical sensing device
Classification Picture
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How Documents are ClassifiedAssigning CPC First Designation
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▪ Classification steps
CPC 1. Document Analysis
2. Identify Candidate Fields
3. INV symbol assignment
4. ADD symbol assignment
5. First designation
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How Documents are ClassifiedAssigning CPC First Designation
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▪ G05D1/0238
• Optical Wall Sensor
▪ G05D1/024
• Laser Wall Sensor
▪ G05D1/0242
• Infrared Position Sensor
▪ G05D1/0255
• Acoustic Position Sensor
▪ G05D2201/0203
• Cleaning, polishing functions
▪ G05D2201/0208
• Lawn mowing function
▪ G05D2201/0215
• Vacuum function
What-to-Classify conclusions:
▪ Mobile Robot
• Purpose
- Cleaning (vacuum, mop, etc.)
- Lawn mowing, etc.
• How does it operate
- Autonomous mobility
- Wall avoidance
• What enables operation
- Sensor control system
» Optical
» Acoustic
- Integrated brush/blade/etc.
▪ A47L11/4011
• Control of floor cleaning machine
▪ A47L2201/04
• Automatic control of cleaning machine
▪ Y10S901/01
• Mobile Robot
▪ Y10S901/47
• Robot with optical sensing device
▪ Y10S901/46
• Robot with non-optical sensing device
Classification Picture
First CPC
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How Documents are ClassifiedCPC Search Results
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Classification(s) # Search Results (Espacenet)
G05D1/0238/low 3,347
G05D1/0238/low + G05D2201/0203 412
G05D1/0238/low + G05D2201/0208 46
G05D1/0242 + G05D2201/0203 675
G05D1/0238 + G05D2201/0203 + G05D1/024 + G05D1/0242 + G05D1/0255
2
G05D1/0238/low + A47L11/4011 + A47L2201/04 16
G05D1/0238/low + A47L2201/04 261
G05D1/0242 + G05D2201/0203 + G05D2201/0208 + G05D2201/0215
8
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How Documents are ClassifiedInitial Classification
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Initial Classification Requirements Purpose
Full Classification Picture• Expert Level CPC
• Inventive• Additional• First
• USPTO Special Guidelines
Examiner Search
IPC Classification International Agreement
Routing Classification• USPC Primary
Art Unit Routing
Serco Use Only
How Documents are Classified
What to Classify
▪ Mobile Robot
• Purpose
- Cleaning (vacuum, mop, etc.)
- Lawn mowing, etc.
• How does it operate
- Autonomous mobility
-Wall avoidance
• What enables operation
- Sensor control system
»Optical
»Acoustic
- Integrated brush/blade/etc.
Initial Classification – IPC
66
Classification Picture▪ G05D1/02
• Control of robot position in two directions
▪ A47L11/40
• Details of cleaning machines
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How Documents are ClassifiedIPC Search Results
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Classification(s) # Search Results (Espacenet)
CPC G05D1/0238/lowG05D1/0238/low + A47L11/4011
3,34718
IPC G05D1/02/lowG05D1/02/low + A47L11/40/low
>10,000906
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How Documents are ClassifiedInitial Classification
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▪ Initial Classification Example
• US20090055022 Obstacle following sensor scheme for a mobile robot
▪ Classification steps
CPC 1. Document Analysis
2. Identify Candidate Fields
3. INV symbol assignment
USPC 4. ADD symbol assignment
5. First/Primary designation
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How Documents are ClassifiedInitial Classification – USPC
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▪ Classification steps
1. Document Analysis
2. Identify Candidate Fields
USPC 3. INV symbol assignment
4. ADD symbol assignment
5. First/Primary designation
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How Documents are ClassifiedInitial Classification – USPC
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▪ Classification steps
1. Document Analysis
2. Identify Candidate Fields
USPC 3. USPC Class assignments
4. USPC Discretionary assignments
5. USPC Primary assignment
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How Documents are ClassifiedInitial Classification – USPC
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▪ Classification steps
1. Document Analysis
USPC2. Identify Candidate Fields
3. USPC Class assignments
4. USPC Primary assignment
Serco Use Only
How Documents are Classified
▪ Goal:
• Interpret claims in light of disclosure
• Assess scope
▪ Technique:
• Read first claim
• Assess remaining claims for differences
• Consult disclosure for any needed clarifications
72
Variations in claim language are highly influential for USPTO Art Unit determination.
USPC Document Analysis Overview
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How Documents are Classified
▪ Classification steps
Initial Classification – USPC
73
1. Document Analysis
USPC2. Identify Candidate Fields
3. USPC Class assignments
4. USPC Primary assignment
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How Documents are Classified
▪ Goal:
• Establish a USPC class for every claim in the application
▪ Technique:
• Identify all candidate classes
• Compare USPC Class definitions and lines between classes with the language of each claim
• Only one USPC Class can be chosen for each claim
USPC Where to Classify Overview
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Nuances of USPC Class lines are highly influential for USPTO Art Unit determination.
Serco Use Only
How Documents are Classified
▪ Claims 39-63: Robot with wall sensors and method of operation.
▪ Candidate USPC Classes:
Candidate US Classes
75
US Class 180 (3 Art Units)
Land vehicles (i.e. vehicles with ground engaging members allowing movement)
US Class 134 (1 Art Unit)
Methods of cleaning
US Class 701 (3 Art Units)
Systems enabling control of vehicle operation
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How Documents are Classified
▪ Class 180 - Motor Vehicles (Art Units 3611, 3616, 3618)
▪ Similar to CPC discussion with B60K: Class 180 requires other vehicle structure in association with the control system.
• For classification to occur would need detail to type of propulsion, transmission, etc.
• No importance of these aspects discussed in this document
Assigning US Classes
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How Documents are Classified
▪ Class 134 - Cleaning and Liquid Contact with Solids (Art Unit 1711)
▪ For classification to occur would need detail based on type of cleaning implement employed
• No detail or importance placed on the implement so classification not appropriate
Assigning US Classes
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How Documents are Classified
▪ 700 – Data Processing: Generic Control Systems or Specific Applications (Art Units 1773, 2121, 2126, 2656, 3651, 3664, 3714, 3765)
▪ Would appear to fit class definition
• Claims and invention pertain to a control system
▪ Relationship between classes for 700 and 701 state:
• 700 – subclass 245, 264 for robotic arm control (Art Unit 3664)
- No robotic arm control so classification will occur in 701
Assigning US Classes
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How Documents are Classified
▪ 701 – Data Processing: Vehicles, Navigation, and Relative Location (Art Units 3655, 3661, 3747)
▪ More specific class for the application of the data processing
▪ Appropriate USPC Class for every claim
Assigning US Classes
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Section I – Class Definition
B. This class also provides electrical apparatus and corresponding methods
wherein the electrical data processing system or calculating computer function to
determine the course, position, or distance traveled.
SECTION II - LINES WITH OTHER CLASSES AND WITHIN THIS CLASS
3. This class also does not include subject matter wherein the data processing or
calculation is employed solely for the purpose of manipulating or controlling
robotic arm movement. See Search Class notes below for Class 700.
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How Documents are Classified
▪ Classification steps
Initial Classification – USPC
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1. Document Analysis
USPC2. Identify Candidate Fields
3. USPC Class assignments
4. USPC Primary assignment
Serco Use Only
▪ Goal:
• Establish the Primary class and subclass
▪ Technique:
How Documents are ClassifiedUSPC Primary Assignment Overview
81
Complex rules governing Primary designation = Art Unit surprises for applicants
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How Documents are Classified
▪ 701 Scheme
▪ 701/23 Definition
• Appropriate subclass for every claim
Assigning USPC Subclasses
82
Vehicle control, guidance, operation, or indication wherein the electrical data
processing system or calculating computer is designed to control, guide, or
operate an autonomous or unmanned vehicle (e.g., AGV).
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How Documents are ClassifiedUSPC Primary Classification
83
▪ USPC Primary Results
• US20090055022 Obstacle following sensor scheme for a mobile robot
▪ USPC Primary: 701/23 Group Art Unit: 3661
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How Documents are ClassifiedInitial Classification Results
84
▪ US20090055022 Obstacle following sensor scheme for a mobile robot
Initial Classification Requirements
Purpose Classification Results
Full Classification Picture• Expert Level CPC
• Inventive• Additional• First
• USPTO Special Guidelines
Examiner Search G05D1/0238, G05D1/024, G05D1/0242, G05D1/0255, A47L11/4011, G05D2201/0203, G05D2201/0208, G05D2201/0215, A47L2201/04, Y10S901/01, Y10S901/46, Y10S901/47
IPC Classification International Agreement
G05D1/02, A47L11/40
Routing Classification• USPC Primary
Art Unit Routing 701/23 (GAU 3661)
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How Documents are Classified
▪ Classification Timelines
▪ Initial Classification - In Depth Example
▪ Variations on Themes
▪ Classification Resources
Topics
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How Documents are Classified
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Classification Timeline - US
InventionInitial
Classification
Application Filing
Application Published
Docketing & Examination
Patent Published
Reclassification
Classification implications:• Art Unit Analysis• Patentability Searches
Serco Use Only
How Documents are Classified
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Classification Timeline - US
InventionInitial
Classification
Application Filing
Application Published
Docketing & Examination
Patent Published
Reclassification
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How Documents are Classified
▪ Grants follow essentially the same classification approach
• No USPC
▪ Changes to the classification picture are not unusual
• Grant reflects subsequent amendments
• Grant reflects clarifications resulting from the examination process
• Classification timing for grants is post-search
- Truly inventive vs. purportedly inventive
- “Useful for search”
Examiner Classification of Grants
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How Documents are Classified
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Classification Timeline - US
InventionInitial
Classification
Application Filing
Application Published
Docketing & Examination
Patent Published
Reclassification
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How Documents are Classified
▪ Reclassification occurs whenever a change to an IPC or CPC scheme indicates a reallocation of documents
▪ During reclassification
• All documents containing a symbol affected by the scheme change are part of the reclassification project
• Only those symbols affected by the project are re-evaluated
Reclassification
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How Documents are Classified
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Classification Timeline - US
InventionInitial
Classification
Application Filing
Application Published
Docketing & Examination
Patent Published
Reclassification
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How Documents are Classified
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Classification Timeline - EPO
InventionPre-classification
(for routing)
Application Filing
Application Published
Circulation& Examination
Patent Published
Reclassification
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How Documents are Classified
▪ In theory, the approach to classifying any document should be fundamentally the same regardless of Office, point in time, etc.
▪ Yet results commonly differ
• Underlying document content (e.g. amendments)
• Perspective (e.g. pre/post search)
• Publication process (e.g. circulation)
• Subjectivity
▪ Harmonization trends
• Alignment activities
• Move toward “patent family” classification pictures
Differences Between Documents
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How Documents are ClassifiedInitial Classification Results
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▪ Individual Documents vs. Patent Families
“Obstacle following sensor scheme for a mobile robot”
CPC Results:US20090055022 (today)
CPC Results:Simple Patent Family
G05D1/0238, G05D1/024, G05D1/0242, G05D1/0255, A47L11/4011, G05D2201/0203, G05D2201/0208, G05D2201/0215, A47L2201/04, Y10S901/01, Y10S901/46, Y10S901/47
G05D1/0238, G05D1/024, G05D1/0242, G05D1/0255, B25J9/1697, G01S15/931, G01S17/93, G05D2201/0203, G05D2201/0208, G05D2201/0215, A47L2201/04, Y01P90/265, Y10S901/01, Y10S901/47
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How Documents are Classified
▪ Classification Timelines
▪ Initial Classification - In Depth Example
▪ Variations on Themes
▪ Classification Resources
Topics
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How Documents are Classified
▪ Online CPC training http://www.cooperativepatentclassification.org/Training.html
▪ Guide to the IPC (CPC follows IPC practices) http://www.wipo.int/export/sites/www/classifications/ipc/en/guide/guide_ipc.pdf
▪ Guide to the CPC http://www.cooperativepatentclassification.org/publications/GuideToTheCPC.pdf
▪ CPC Publications, News, Press Releases, etc. http://www.cooperativepatentclassification.org/index.html
▪ Notices of Change https://www.uspto.gov/web/patents/classification/cpc/html/cpc-notices-of-changes.html
▪ CPC https://worldwide.espacenet.com/classification?locale=en_EP https://www.uspto.gov/web/patents/classification/cpc/html/cpc.html
CPC Resources
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How Documents are Classified
▪ Published by USPTO
• Location:
- Patents: Application Process>Learn about patent classification>USPC
- https://www.uspto.gov/patents-application-process/patent-search/classification-standards-and-development
• Key resources:
- USPC Classes, schedules and definitions
- Handbook of Classification (PDF)
- Classes arranged by Art Unit
USPC Resources
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How Documents are ClassifiedQuestions & Discussion
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