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Gianluca Tarasconi rawpatentdata.blogspot.com
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Gianluca Tarasconi rawpatentdata.blogspot.com
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• EP Register data contains information on all steps of EPO patent application.
• This presentation aims to show at a glance how Register can be used in combination with other datasets or by themselves in order to enrich patent studies or get new non trivial indicators.
• The presentation will be centered on examples in the subfield of wind energy.
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• The European Patent Register is the place where the European Patent Office stores all the public available information it has on European patent applications in the various stages of the grant procedure.
• Information includes all changes with timeline, documents and communications (EPO DATA ONLY)
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• Through the EPO website for single patent data, get XML, history, link to Espacenet
Bulletin year and week
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https://register.epo.org/regviewer
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• Two versions are available offline
• XML backfile (1978 to date) + 2 weekly updates (EBD Epo Bibliographic Data) only one table contains all info (like tls231) categorized by type of event;
• CSV (EP register for patstat) patstat compatible (link to appln_id) relational tables (twice a year) a set of 26 tables where data are grouped by type of info
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XML (EBD):
PRO: weekly update; easy to follow history of one application
CONS: no direct link to PATSTAT
CSV:
PRO: easy link to PATSTAT based DBs, info divided by type;
CONS: not timely updates; not straightforward to buildup full history of one application;
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Sample data and more info: XML (EBD): http://www.epo.org/searching-for-patents/legal/ebd.html#tab-1 (more in appendix) CSV: https://www.epo.org/searching-for-patents/business/patstat.html (PATSTAT EP register) (sample data: subset for wind energy in MS Access) In the rest of presentation we will detail CSV because Epo provides a free sample subset everybody can test as well
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• Add your text here
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• All table names in PATSTAT Raw Data are in the format REGnnn_xxxx
• REG fixed prefix • nnn unique number; the range of the number
indicates its purpose; • 100 range: bibliographic data • 200 range: procedural data • 300 range: event data • 400 range: reference list of codes used in other tables • xxxx one or more words indicating the content of the
table
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PATENT BASIC DATA (information partially contained in patstat too) REG101_APPLN: Application REG102_PAT_PUBLN: Patent publication REG103_IPC: International Patent Classification REG106_PRIOR: Priorities REG107_PARTIES: Applicant, inventor, legal representative REG108_APPLICANT_STATES: Designated state by applicant REG109_DESIGN_STATES : Designated state REG110_TITLE: Title of patent application
A reclassification of tables in groups, using the type of information contained (work in progress) – relevant tables will be detailed later on
Most of this information is already in Patstat
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LIFECICLE REG113_TERMS_OF_GRANT: Lapse REG114_DATES: Various dates REG117_RELATION: divisional or continuation application REG118_PREV_FILED_APPLN: Previously filed application REG127_PETITION_RVW: Petition review REG128_LIMITATION: Req. For limitation filings REG136_SEARCH_REPORT: Search report
SUBSET: OPPOSITIONS REG125_APPEAL: Appeal REG130_OPPONENT: Opponent
SUBSET: LICENSES REG111_LICENSEE: Licensee REG112_LICENSEE_STATES: License state
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PROCEDURAL STEPS REG201_PROC_STEP: Procedural step REG202_PROC_STEP_TEXT: Text of procedural step REG203_PROC_STEP_DATE: Date of procedural step
EVENTS FULL LIST REG301_EVENT_DATA: Event REG402_EVENT_TEXT: Event text REG403_APPLN_STATUS: label for each application status
OTHER REG135_TEXT: Miscellaneous text
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• REG101_APPLN Contains application data and appln_id (bridge to Patstat)
• REG111_LICENCEE, REG112_LICENSEE_STATES Contains information about licensees and rights (source not clear).
• REG107_PARTIES Contains applicants (R.41(2)(c) EPC), inventors (A.81 EPC) and agents / legal representatives (R.41(2)(d) EPC).
• REG131_OPPONENT This table contains data about opponent(s), their status and the date the opposition has been filed.
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• About 30% of all applications in table 101 have no appln_id since they are international applications which have not entered the EP regional phase. In these cases no EP publication exists in the PATSTAT DOCDB database to which they can be linked. (example: appln_nr WO2000JP00089 has a corresponding EP application 00900180 but no publications)
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• The following slides will show examples of possible exploitation of the Register data;
• SQL code will be annexed to the appendix for those willing to replay the results / improve them;
• Results are based on wind energy subset provided on EPO download page (14.681 application in CPC Y02E10).
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• Table 107 (parties) allows to see the full story of 3 types of entities: applicant, inventor and representative.
• Each type has a sequence number and a year and week (that are bulletin number) when change occurs.
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Id
Set_seq Nr
Seq nr
Is Latest
Type
Bulletin year
Bulletin nr
Name
Event
98954111 1 1 N A 2000 46 FOPPE, Werner original applicant
98954111 1 2 N A 2000 46 Tavera, Ivon
98954111 1 N R 2000 46 COHAUSZ HANNIG DAWIDOWICZ & PARTNER
original representative
98954111 1 Y I 2000 46 FOPPE, Werner inventor
98954111 2 1 N A 2001 11 Tavera, Ivon Chg order of applicants
98954111 2 2 N A 2001 11 FOPPE, Werner
98954111 3 1 Y A 2005 17 Deutsches Zentrum für Luft- und Raumfahrt e.V.
new applicant
98954111 2 N R 2008 31 COHAUSZ DAWIDOWICZ HANNIG & SOZIEN
representative name change
98954111 3 Y R 0 0 Cohausz Hannig Borkowski Wissgott
representative name change
reg101_appln
id appln_id appln_auth appln_nr appln_filing_date
filing_lg status internat_appln_nr
98954111 17364175 EP 98954111 1998-08-10 de 7 WO1998DE02293 17
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• How can I distinguish names changes from acquisitions?
• I should use table 301 where type of events are listed, described in table 402;
• 2 type of events: 9 - Change – applicant ; 30 - Change - name/address;
• In the example (ref to previous page) all events are listed as changes, even if the first case was a switch.
reg301_event_data id event_date event_code event_text_id bulletin_year bulletin_nr bulletin_date
98954111 2001-01-26 0009199APPR 9 2001 11 2001-03-14
98954111 2005-03-11 0009199APPR 9 2005 17 2005-04-27
98954111 2005-03-11 0008199APPR 9 2005 17 2005-04-27
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• CAVEAT:
• From handbook: “Remark: There are 2 possible EVENT_TEXT entries when the applicant/proprietor changes: “Change – applicant” and “Change – name/address”. Users should NOT infer that the “Change – applicant” event means a transfer of rights from one applicant to another. Even in case of a simple address change of an applicant a “Change – applicant” event and not a “Change – name/address” event might have been published ;
• A possible correction may be to use other info to correct the data. For example, if only the address has changed but not the name, we could assume that “change” is not a change of ownership…
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Data crosscheck using
the other subset
available in Patstat
(TLS221)
and Espacenet: they are all RAP1 (change of applicant)
appln_id prs_event_seq_n prs_gazette_date prs_code NEWOWNER
17364175 3 '2001-03-14' 'RAP1' 'FOPPE, WERNER'
17364175 4 '2001-03-14' 'RAP1' 'TAVERA, IVON'
17364175 7 '2005-04-27' 'RAP1' 'DEUTSCHES ZENTRUM FUER LUFT- UND RAUMFAHRT E.V.'
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name b_address_2001 c_address_2005
Weitkamp, Roland Hinter dem Felde 30 Östringer Weg 38
If we have the same name for an inventor but two different addresses in two different patents, how can we say they are the same person?
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• The timeline may allow to reconcile entities with different addresses, if they had one in common in the timeline (in the example 1 application was born when the other expires)
2001
2005
NAME N1 ADR A1
NAME N1 ADR A2
NAME N1ADR A1
APP #1 APP #2
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Adresses changes a_id b_id type a_is_latest b_is_latest name b_address_1 c_address_1 c_is_latest
105677 7765077 I Y N Weitkamp, Roland
Hinter dem Felde 30
Östringer Weg 38
Y
107376 4026350 A Y N Winergy AG Im Industriepark 2
Am Industriepark 2
Y
108361 2012186 A Y N Mitsch, Franz
Brentano Strasse 28
Brentanostrasse 28
Y
401735 7301360 A Y N Alcatel Lucent
54, rue La Boétie
3, avenue Octave Gréard
Y
926412 8776267 I Y N DEHLSEN, James, G., P.
200 San Ysidro Road
1505 Monte Vista
Y
1940908 3701486 A Y N Vestas Wind Systems A/S
Smed Sor̸ensens Vej 5
Alsvej 21 Y
1943176 7020910 A Y N LM GLASFIBER A/S
Rolles Moellevej 1
Jupitervej 6 Y
23 See query T00 in appendix for SQL
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• Legal Representative is a type of data not available in other datasets;
• Data are not standardized, though EPO has a clean database of those who eventually ‘pay the bills’;
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name count %
Bedford, Grant Richard 665 5,0%
(deleted) (*) 522 3,9%
Eisenführ Speiser 318 2,4%
Intès, Didier Gérard André, et al 279 2,1%
Grünecker, Kinkeldey, Stockmair & Schwanhäusser 153 1,1%
Hauck Patentanwaltspartnerschaft mbB 135 1,0%
ZBM Patents - Zea, Barlocci & Markvardsen 130 1,0%
Inspicos A/S 128 1,0%
Plougmann & Vingtoft A/S 110 0,8%
Glawe, Delfs, Moll 99 0,7%
Hoffmann Eitle 98 0,7%
Vossius & Partner 84 0,6%
Bedford, Grant Richard, et al 83 0,6%
Isarpatent 71 0,5%
(*) data not collected in 522 applications SQL code in appendix (T01)
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reptype repname typea namea typeb nameb
R
Vossius &
Partner A
MINNESOTA
MINING AND
MANUFACTURING
COMPANY A
3M Innovative
Properties
Company
R
Dahlstran
d, Björn,
et al A
ASEA BROWN
BOVERI AB A ABB AB
If two applicants share the same representative, they can be the same; Due to copatenting, non exclusivity etc. this cannot be a match criterion but can only be used in the filtering phase;
SQL code in appendix T02
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If two applicants share the same representative and address we may find non trivial results;
SQL code in appendix T03
Namea
Nameb
Address_1
Address_2
Country
Type
NEG Micon A/S
Vestas Wind
Systems A/S Alsvej 21
8900
Randers DK A
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• Looking for individual applicants who use very expert attorneys as representative;
• Hypothesis: higher attorney cost, higher revenue expectations;
• We get (query T04) 210 patents;
• Crosscheck: forward citations counts: average in all wind energy= 1,19; average in the selected data: 1,42 (20% higher);
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Opponent_name Opp_count
Vestas Wind Systems A/S 110
ENERCON GmbH 106
Siemens Aktiengesellschaft 85
NORDEX ENERGY GmbH 33
SIEMENS AG 31
REpower Systems AG 26
REpower Systems SE 18
GE Wind Energy GmbH 16
SENVION SE 12
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SQL code in appendix T05
• Another indicator of possible value are oppositions filed (Table 131);
• Here the top 10 of opposition filers (data not cleaned – Repower and Siemens are double)
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• Selecting patents who had at least an opposition may be suitable for higher value / impact?
• Selecting patents who had at least one opposition avg citation rate is 2,96 vs 1,19 overall wind energy (+150%)
• In the sample less than 0,1% of citations were introduced due to oppositions.
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cit origin count of patents % 115 5 0,3% APP 669 43,2% EXA 32 2,1% ISR 325 21,0%
OPP 2 0,1% PRS 8 0,5% SEA 506 32,7% Total 1547
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• Is a procedure that may indicate high expected value;
• Tracked through event 337 in table 301 (SQL in appendix T06);
• 36 application are filed under this type of request;
• Average citation rate: 7,083 (more than 6 time the average).
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0
1
2
3
4
5
6
7
8
Average wind energy Indiv. with 'big lawyer' Opposition filed against Accel. Examination
A B C D
type avg citation rate
A Average wind energy 1,191509245
B Indiv. with 'big lawyer' 1,419047619
C Opposition filed against 2,488397355
D Accel. Examination 7,083333333
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Too much information
running through my brain Too much information
driving me insane…
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POLICE, 1981
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• The Federated European Patent Register, collects data from the designated contracting states "on the fly".
• This display shows a minimum set of bibliographic and legal status data for European patents in the post-grant or "national" phase as retrieved by the EPO from the national registers of the designated states concerned.
• The service can be accessed by clicking on the "Federated Register" link in the left-hand panel when viewing the patent document details.
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• 26 June 2015
• The EPO has extended the Global dossier service to include file wrapper data from the United States Patent and Trademark Office (USPTO).
• The project is an initiative by the EPO, JPO, KIPO, China's State Industrial Property Office (SIPO) and the USPTO, collectively referred to as the IP5 offices, who agreed to make available information produced by each office in a family of patent applications (applications for the same invention filed at multiple offices). The aim is to simplify access to important information pertaining to these dossiers both for users and the public, and to enhance the transparency of the patent system.
• The addition of this new data completes the coverage of file wrapper information from the IP5 Offices:
• The first EPO Global Dossier was launched last June with European and Chinese dossier content the service was extended to Espacenet in October 2014. Data from Japan and Korea was added in April this year. The information is available free of charge in Espacenet and the European Patent Register.
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• aaa
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• We get a list of documents in PDF
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All data in the EBD format is extracted from the EPO's EPASYS database - a
database which contains all procedural data regarding European patent documents.
EPASYS data input is the responsibility of many EPO staff (examiners and
formalities officers) with many thousands of transactions taking place per day. No
new data content is added during the conversion to the EBD format (except XML
tags) - we can only process what is in the EPASYS database. If there is a mistake
in EPASYS, for example, there will be a mistake in the EBD data
It should be noted that the EBD file is not a cumulative record of all the changes
which may have been made to a file (for this users should refer to the Register of
European Patents (see above) - it is a ‘snap shot’ of only those changes which
occurred in a particular publication week. In addition there is a clear distinction
between A and B publications (separate files) since these are separate documents
for publication purposes - therefore, the B file is not an update of the A file;
it is a file in its own right (extracted from EPASYS) - although, of course, much of the data may be the same in both files. See included XLS file with the list of all fields or the list of available tags in next page
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main tag sub1 sub2 description
B000 Office specific system/file information
B001EP Selective mask for states involved
B002EP Changed tags
B003EP Indicator 'no A-document published by EPO'
B004EP Re-establishment of rights indicator
B005EP Printer/Producer identification
B006EP Indicator for international applications
B007EP Reserved for EPO internal use
B008EP Indicator for "small changes"
B009EP Text from B725EP tag in the three EPO official languages
B010EP Other rights and legal means of execution
B011EP Date, serial number & states concerned
B012EP New revocation procedure (Art 105a)
B0120EP Revocation-procedure
B0121EP Revocation request filed on (date)
B0122EP Kind of revocation
B0123EP Decision on revocation request
B0124EP Paid on (date)
B0125EP Language
B0126EP Date of despatch of the decision
B0127EP Date of legal effect
B015EP Number of copies to be printed
B050EP Free text
B051EP Language
B052EP Text
B053EP Additional remarks
B070EP B publication technical field (subsequently filed technical information)
B075EP Petition for review
B0750EP Petition for review
B0751EP Appeal number
B0752EP Petitioner code
B0753EP Date of notice of petition
B0755EP Date of decision
B0756EP Kind of decision
B078EP Date of 'No opposition filed'
B080EP Public notification
B081EP Inspection place
B082EP Addressee
B083EP Free text
B090EP Limitation procedure
B0900EP Limitation procedure
B091EP Limitation procedure - Initial filing
B0911EP Limitation filing date
B0912EP Limitation filing kind
B0913EP Limitation filing decision
B0914EP Limitation payment date
B092EP Limitation procedure - Rejection of limitation fields
B0921EP Kind of rejection
B0922EP Decision despatched on (date
main tag sub1 sub2 description
B0923EP Legal effect on (date)
B093EP Limitation procedure - Limitation request allowed fields
B0931EP Despatched on (date)
B0932EP Translation received on (date)
B0933EP Full payment received on (date)
B100 Document identification
B110 Publication number of the document (EPO or WIPO)
B120 Plain language designation
B121 Plain language designation of the kind of document
B121EP Descriptive text for B121 (EPO)
B130 Kind of document
B132EP Original kind code
B133EP New kind code
B140 Date of publication
B150 Patent correction information
B151 Supplementary correction code
B152 Issue date of announced correction being cancelled.
B153 Affected INID codes
B154 Standard notes
B1541 Note language
B1542 Note text
B155 Affected parts of document
B1551 Part language
B1552 Part text
B190 Publishing country or organisation
B200 Domestic filing data
B210 Application number
B220 Application filing date
B230 Other dates
B235 Date of refusal of application
B236 Date of withdrawal of application
B237 Date of application deemed withdrawn
B238 Date of decision for re-establishment of rights
B238EP Date of receipt of request for re-establishment of rights
B239 Date of revocation
B240 Dates from which industrial property rights may have effect
B241 Date of request for examination
B242 Date of despatch of the first examination report
B243 Date of 'patent maintained as amended'
B244 Request for conversion (to national application) under EPC Art
B245 Date of suspension (Rule 14) / Interruption (Rule 142) of proceedings
B245EP Suspension/Interruption indicator
B246 Date of resumption of proceedings (Rule 14 / Rule 142)
B250 Filing language
B251EP Procedure language
B260 Publication language
B270 Previously filed application
B300 Priority data
B310 Number
B320 Date
B330 Country in which the priority application was filed
B400 Public availability dates
B405 Patent Bulletin / Gazette information
B430 Unexamined document without grant (first publication)
B450 Document with grant (second publication)
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main tag sub1 sub2 description
B451EP Date of announcement of intention to grant
B452EP Date of announcement of intention to grant (after 01072002)
B453EP Limitation decision
B4530EP Limitation decision
B472 Term of grant
B475 Lapse of a patent
B477 Document printed as amended, third level of publication (eg EPO B2)
B480 Corrigendum issued data
B500 Technical Data
B510 International Patent Classification (IPC)
B516 Edition of IPC
B511 Main classification (IPCL)
B512 Further classification (OBSC)
B513 Additional information. (NOSC)
B514 Linked indexing code. (NOSC)
B515 Unlinked indexing code. (NOSC)
B517EP Non obligatory supplementary classification as one string. (NOSC)
B510EP New International Patent Classification (IPC8)(IPCR – in force 01-2006)
B540 Title
B541 Language of the title
B542 Title of the invention
B560 List of prior art documents
B561 Patent citation
B562 Non patent citation
B565 Date of completion of search report
B565EP Date of drawing up and despatch of supplementary search report
B566EP Date of despatch for correction to the search report
B590 Information about specifications and drawings
B598 Figure number on first (title) page, abstract drawing
B600 References to other legally or procedurally related domestic patent documents
B610 Earlier document information
B620 Parent application data
B620EP Divisional application(s)
B700 Parties concerned with the document
B710 Applicants
B711 Applicant data
B716EP Designated states for the applicant
B717EP Designated extension for the applicant
B718EP Effective date for transfer of rights
B720 Inventors
B721 Inventor data
B725EP The inventor has agreed to waive his entitlement to designation
B730 Grantees
B731 Grantee data
B736EP Designated states for the grantee
B737EP Designated extension for the grantee
B738EP Effective date for transfer of rights
main tag sub1 sub2 description
B740 Attorney/agent of the applicant(s)
B741 Attorney/agent data
B780 Opposition(s)
B781 Opponent data
B784 Attorney/agent of the opponent
B787 Date of rejection of the opposition procedure
B788 Date of termination of the opposition procedure
B790 Licence(s)
B791 Licence data
B796 Designated states concerned
B800 International Convention Data
B830 Information concerning deposit of micro-organisms
B830EP EPO Declaration
B831 Depository institution
B832 Accession number
B833 Date of deposit
B834 Term of deposit
B835 Free text
B840 Designated contracting states
B844EP States to which the application/patent is extended
B845EP Extended state data
B846EP Date of withdrawal
B848EP States to which the patent is validated
B849EP Validated state data
B860 PCT application data
B861 PCT date of filing &application no
B862 Filing language
B870 PCT publication data
B871 PCT date, issue number & publication number
B880 Publication of the deferred search report
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address changes, same entity(T00)
SELECT DISTINCT a.id, b.id, a.type, a.is_latest, b.is_latest, a.name, b.address_1, c.address_1, c.is_latest
FROM (reg107_parties AS a INNER JOIN reg107_parties AS b ON (a.type = b.type) AND (a.address_1 = b.address_1) AND (a.name = b.name)) INNER JOIN reg107_parties AS c ON (b.type = c.type) AND (b.name = c.name) AND (b.id = c.id)
WHERE (((b.id)<>[a].[id]) AND ((a.is_latest)="Y") AND ((b.is_latest)="N") AND ((c.address_1)<>[b].[address_1]) AND ((c.is_latest)="Y"));
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top representative (T01)
SELECT a.name, Count(a.id) AS appcount
FROM reg107_parties AS a
WHERE (((a.type)="R") AND ((a.is_latest)="Y"))
GROUP BY a.name
ORDER BY Count(a.id) DESC;
Applicants with same representative (T02)
SELECT DISTINCT a.id AS ida, b.id AS dib, t1.type AS reptype, t1.name AS repname, a.type AS typea, a.name AS namea, b.type AS typeb, b.name AS nameb
FROM (SELECT c.type, c.name, c.id, d.id FROM reg107_parties AS c INNER JOIN reg107_parties AS d ON (c.name = d.name) AND (c.type = d.type) WHERE (((c.type)="R") AND ((d.id)>[c].[id]))) as t1
INNER JOIN reg107_parties AS b ON t1.reg107_parties_id = b.id) INNER JOIN reg107_parties AS a ON (b.type = a.type) AND (t1.reg107_parties_1_id = a.id)
WHERE (((a.type)="A"));
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Applicants with same representative and address (T03) SELECT distinct a.name AS namea, b.name AS nameb, b.address_1, b.address_2, b.address_3, b.address_4, b.address_5, b.country, a.type FROM reg107_parties AS a INNER JOIN reg107_parties AS b ON (a.type = b.type) AND (a.country = b.country) AND (a.address_5 = b.address_5) AND (a.address_4 = b.address_4) AND (a.address_3 = b.address_3) AND (a.address_2 = b.address_2) AND (a.address_1 = b.address_1) WHERE (((b.name)<>[a].[name]) AND ((b.address_1)<>"") AND ((a.type)="A")); Individual applicants using expert attorneys (T04) SELECT DISTINCT a.id, app.appln_id, _biglawyers.name, _biglawyers.appcount FROM reg101_appln AS app INNER JOIN (((reg107_parties AS a INNER JOIN reg107_parties AS b ON (a.id = b.id) AND (a.name = b.name)) INNER JOIN reg107_parties AS R ON b.id = R.id) INNER JOIN (SELECT a.name, Count(a.id) AS appcount FROM reg107_parties AS a WHERE (((a.type)="R") AND ((a.is_latest)="Y")) GROUP BY a.name HAVING (((Count(a.id))>100))) as _biglawyers ON R.name = _biglawyers.name) ON app.id = a.id WHERE (((a.type)="A") AND ((b.type)="I") AND ((R.type)="R") AND ((_biglawyers.name)<>"(DELETED)"));
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TOP 10 of Companies which file oppositions (T05)
SELECT a.opponent_name, Count(distinct a.id) AS opp_count
FROM reg130_opponent AS a
GROUP BY a.oppt_name
ORDER BY Count(distinct a.id) DESC limit 0,10;
Filed Under Request Of Accelerated Examination (T06)
SELECT DISTINCT 101.*, 402.event_text
FROM (reg101_appln AS 101 INNER JOIN reg301_event_data AS 301 ON 101.id = 301.id) INNER JOIN reg402_event_text AS 402 ON 301. event_code= 402. event_code
WHERE ((301.event_code=‘EPIDOS RAEX’));
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