ep register for patent data analisys
TRANSCRIPT
EP register for patent data
analysis
EPFL, 2/10/15 Gianluca TarasconiCRIOS Univ Bocconi, Milan
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In short:• Recently released from EPO, EP Register data
contains information on all the steps of a patent application.
• This seminar 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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What is EP Register • The European Patent Register is the place
where the European Patent Office stores all the publicly 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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Accessing Register via Web
• Through the EPO website for single patent data, get XML, history, link to Espacenet
Bulletin year and week
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EP Register offline (I)
• Two versions are available offline• XML backfile (1978 to date) + 2 weekly
updates (EBD Epo Bibliographic Data) only one table contains all info (like tls221) categorized by type of event;
• CSV (EP register for patstat) patstat compatible (link to appln_id) relational tables (twice a year) a set of over 40 tables where data are grouped by type of info
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EP Register offline (II)
XML (EBD): PRO: weekly update; easy to follow history of one applicationCONS: no direct link to patstatCSV:PRO: easy link to patstat based DBs, info divided by type;CONS: not timely updates; not easy to buildup full history of one application;
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EP Register offline (III)
Sample data and more info:XML (EBD): http://www.epo.org/searching/subscription/raw/product-14-1.html (more in appendix)CSV:http://www.epo.org/searching/subscription/raw/product-14-24-2.html(sample: 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 weel
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EP Register for Patstat
• Add your text here
Logical model
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Information contained(I)
• 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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Information contained (II)
PATENT BASIC DATA (in patstat too) REG101_APPLN: Application REG102_PAT_PUBLN: Patent publication REG103_IPC: International Patent Classification REG106_PRIOR: Priority REG107_PARTIES: Applicant, inventor, legal representative REG108_APPLICANT_STATES: Designated state by applicant REG109_DESIGN_STATES : Designated state REG110_TITLE: Title of patent application REG115_NPL_CITATION: NPL citation REG116_PAT_CITATION: Patent document citation
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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Information contained (III)LIFECICLE
REG113_TERMS_OF_GRANT: Lapse REG114_DATES_RIGHTS: Various dates REG117_RELATION: divisional or continuation application REG118_PREV_FILED_APPLN: Previously filed application REG120_DATE_APPLN_REFUSED: Refused application REG121_DATE_RIGHTS_REESTD: Re-established right REG122_DATE_WITHDRAWN_BY_APPLT: Application withdrawn by applicant REG123_DATE_DEEMED_WITHDRAWN: Application deemed withdrawn REG124_DATE_REVOCATION: Revoked patent REG126_REVOCATION: Revocation REG127_PETITION_RVW: Petition review REG128_LIMIT_FILING: Limitation filing REG129_LIMIT_REJECTION: Limitation rejection REG130_LIMIT_ALLOWED: Limitation allowance REG136_SEARCH_REPORT: Search report
SUBSET: OPPOSITIONS REG125_APPEAL: Appeal REG401_APPEAL_RESULT: Appeal result REG131_OPPOSTN: Opposition REG132_OPPOSTN_REJECTED: Opposition rejected REG133_OPPOSTN_TERMINATED: opposition terminated REG134_OPPOSTN_NOT_FILED: Opposition not filed REG137_OPPOSTN_AGENT: Opposition agent
SUBSET: LICENSES REG111_LICENSEE: Licensee REG112_LICENSEE_STATES: License state
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Information contained (III)
PROCEDURAL STEPS REG201_PRCDRL_STEP: Procedural step REG202_PRCDRL_STEP_TEXT: Text of procedural step REG203_PRCDRL_STEP_DATE: Date of procedural step REG204_PRCDRL_STEP_AFFECTED_STATES: Affected state of procedural step REG205_PRCDRL_STEP_RESULT: Result of a procedural step
EVENTS FULL LISTREG301_EVENT_DATA: Event REG402_EVENT_TEXT: Event text
OTHERREG119_BIO_DEPOSIT: Bio deposit REG135_TEXT: Miscellaneous text
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Some relevant tables (I)
• REG101_APPLNContains application data and appln_id (bridge to Patstat)
• REG111_LICENCEE, REG112_LICENSEE_STATESContains information about licensees and rights (source not clear).
• REG107_PARTIESContains applicants (R.41(2)(c) EPC), inventors (A.81 EPC) and agents / legal representatives (R.41(2)(d) EPC).
• REG131_OPPOSTNThis table contains data about opponent(s), their status and the date the opposition has been filed.
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Some relevant tables (II)
• 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 WO2005KR04137)
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Playing with data• 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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Dealing with parties(I)
• 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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Dealing with parties(II)
IdSet_seq
NrSeq nr
Is Latest Type
Bulletin year
Bulletin nr Name Event
98954111 1 1 N A 2000 46 FOPPE, Werner original applicant98954111 1 2 N A 2000 46 Tavera, Ivon
98954111 1 N R 2000 46COHAUSZ HANNIG DAWIDOWICZ & PARTNER
original representative
98954111 1 Y I 2000 46 FOPPE, Werner inventor
98954111 2 2 N A 2001 11 FOPPE, Werner Chg order of applicants
98954111 2 1 N A 2001 11 Tavera, Ivon
98954111 3 1 Y A 2005 17Deutsches Zentrum für Luft- und Raumfahrt e.V.
new applicant
98954111 2 N R 2008 31COHAUSZ DAWIDOWICZ HANNIG & SOZIEN
representative name change
98954111 3 Y R 0 0 Cohausz Hannig Borkowski Wissgottrepresentative name change
dbo_ereg101_applnid appln_id appln_auth appln_nr appln_filing_da
te filing_lg status internat_appln_nr
98954111 17364175 EP 98954111 1998-08-10 de 7 WO1998DE02293
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Dealing with parties(III)
• 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 all events are listed as changes, even if the first case was a switch.
dbo_ereg301_event_dataid 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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Dealing with parties(IV)
• 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 semantic analysis 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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Crosscheck with Inpadoc Legal
statusData 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 NEWOWNER17364175 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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Using the timeline for entity resolution
(I)
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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Using the timeline for entity resolution
(II)• 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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Using the timeline for entity resolution
(III)Adresses changesa_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 S rensens o̸Vej 5
Alsvej 21 Y
1943176 7020910 A Y N LM GLASFIBER A/S
Rolles Moellevej 1
Jupitervej 6 Y
See query T00 in appendix for SQL
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Representatives• 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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Top Representatives in Wind Energy
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 applicationsSQL code in appendix (T01)
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Using Representative for entities resolution (I)
reptype repname typea namea typeb nameb
RVossius & Partner A
MINNESOTA MINING AND MANUFACTURING COMPANY A
3M Innovative Properties Company
R
Dahlstrand, 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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Using Representative for entities resolution (II)
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/SVestas Wind Systems A/S Alsvej 21
8900 Randers DK A
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Using Representative as indicator of value• 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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Using oppositions (I)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
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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Using oppositions (II)
• 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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Using oppositions (III)
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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Request for accelerated examination• 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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Altogether
Average wind energy Indiv. with 'big lawyer' Opposition filed against Accel. ExaminationA B C D
0
1
2
3
4
5
6
7
8
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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EP registry contains a lot of
information…Too much information running through my brainToo much information driving me insane…
POLICE, 1981
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Online Only
• 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.
Federated Register (I)
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Federated Register (II)
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Global dossier• 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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Global Dossier (II)• aaa
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Global Dossier (III)• We get a
list of documents in PDF
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Appendix: EBD data (I)
All data in the EBD format is extracted from the EPO's EPASYS database - adatabase which contains all procedural data regarding European patent documents.EPASYS data input is the responsibility of many EPO staff (examiners andformalities officers) with many thousands of transactions taking place per day. Nonew data content is added during the conversion to the EBD format (except XMLtags) - we can only process what is in the EPASYS database. If there is a mistakein 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 changeswhich may have been made to a file (for this users should refer to the Register ofEuropean Patents (see above) - it is a ‘snap shot’ of only those changes whichoccurred in a particular publication week. In addition there is a clear distinctionbetween A and B publications (separate files) since these are separate documentsfor 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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Appendix: EBD data (II)<B000> Office specific system/file information <B245> Date of suspension (Rule 14) / Interruption (Rule 142) of proceedings
<B001EP> Selective mask for states involved <B245EP> Suspension/Interruption indicator <B002EP> Changed tags <B246> Date of resumption of proceedings (Rule 14 / Rule 142)<B003EP> Indicator 'no A-document published by EPO' <B250> Filing language<B004EP> Re-establishment of rights indicator <B251EP> Procedure language <B005EP> Printer/Producer identification <B260> Publication language<B006EP> Indicator for international applications <B270> Previously filed application
<B007EP> Reserved for EPO internal use<B300>, <B310>, <B320>, <B330> Priority data
<B008EP> Indicator for "small changes" <B400> Public availability dates <B009EP> Text from B725EP tag in the three EPO official languages <B405> Patent Bulletin / Gazette information<B010EP> Other rights and legal means of execution <B430> Unexamined document without grant (first publication)<B012EP> New revocation procedure (Art 105a) <B450> Document with grant (second publication) <B015EP> Number of copies to be printed <B451EP> Date of announcement of intention to grant <B050EP> Free text <B452EP> Date of announcement of intention to grant (after 01072002)<B053EP> Additional remarks <B453EP> Limitation decision<B070EP> B publication technical field (subsequently filed technical information) <B477> Document printed as amended, third level of publication (eg EPO B2)<B075EP> Petition for review <B480> Corrigendum issued data <B078EP> Date of 'No opposition filed' <B500> Technical Data <B080EP> Public notification <B510> International Patent Classification (IPC)<B090EP> Limitation procedure <B510EP> New International Patent Classification (IPC8)<B091EP> Limitation procedure - Initial filing <B540> Title <B092EP> Limitation procedure - Rejection of limitation fields <B560> List of prior art documents<B093EP> Limitation procedure - Limitation request allowed fields <B565> Date of completion of search report <B100> Document identification <B565EP> Date of drawing up and despatch of supplementary search report <B110> Publication number of the document (EPO or WIPO) <B566EP> Date of despatch for correction to the search report<B120> Plain language designation <B598> Figure number on first (title) page, abstract drawing <B130> Kind of document <B600> References to other legally or procedurally related domestic patent documents<B132EP> Original kind code <B610> Earlier document information <B133EP> New kind code <B620> Parent application data<B140> Date of publication <B620EP> Divisional application(s)<B150> Patent correction information <B700> Parties concerned with the document <B190> Publishing country or organisation <B710> Applicants<B200> Domestic filing data <B720> Inventors <B210> Application number <B730> Grantees <B220> Application filing date <B740> Attorney/agent of the applicant(s) <B235> Date of refusal of application <B780> Opposition(s)<B236> Date of withdrawal of application <B790> Licence(s)<B237> Date of application deemed withdrawn <B800> International Convention Data<B238> Date of decision for re-establishment of rights <B830> Information concerning deposit of micro-organisms<B238EP> Date of receipt of request for re-establishment of rights <B840> Designated contracting states <B239> Date of revocation <B844EP> States to which the application/patent is extended<B241> Date of request for examination <B848EP> States to which the patent is validated <B242> Date of despatch of the first examination report <B860> PCT application data<B243> Date of 'patent maintained as amended' <B870> PCT publication data<B244> Request for conversion (to national application) under EPC Art <B880> Publication of the deferred search report
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Appendix: SQL codes (I)
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_latestFROM (dbo_ereg107_parties AS a INNER JOIN dbo_ereg107_parties AS b ON (a.type = b.type) AND (a.address_1 = b.address_1) AND (a.name = b.name)) INNER JOIN dbo_ereg107_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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Appendix: SQL codes (II)
top representative (T01)SELECT a.name, Count(a.id) AS appcountFROM dbo_ereg107_parties AS aWHERE (((a.type)="R") AND ((a.is_latest)="Y"))GROUP BY a.nameORDER 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 dbo_ereg107_parties AS c INNER JOIN dbo_ereg107_parties AS d ON (c.name = d.name) AND (c.type = d.type) WHERE (((c.type)="R") AND ((d.id)>[c].[id]))) as t1INNER JOIN dbo_ereg107_parties AS b ON t1.dbo_ereg107_parties_id = b.id) INNER JOIN dbo_ereg107_parties AS a ON (b.type = a.type) AND (t1.dbo_ereg107_parties_1_id = a.id)WHERE (((a.type)="A"));
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Appendix: SQL codes (III)
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.typeFROM dbo_ereg107_parties AS a INNER JOIN dbo_ereg107_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.appcountFROM dbo_ereg101_appln AS app INNER JOIN (((dbo_ereg107_parties AS a INNER JOIN dbo_ereg107_parties AS b ON (a.id = b.id) AND (a.name = b.name)) INNER JOIN dbo_ereg107_parties AS R ON b.id = R.id) INNER JOIN (SELECT a.name, Count(a.id) AS appcountFROM dbo_ereg107_parties AS aWHERE (((a.type)="R") AND ((a.is_latest)="Y"))GROUP BY a.nameHAVING (((Count(a.id))>100))) as _biglawyers ON R.name = _biglawyers.name) ON app.id = a.idWHERE (((a.type)="A") AND ((b.type)="I") AND ((R.type)="R") AND ((_biglawyers.name)<>"(DELETED)"));
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Appendix: SQL codes (IV)
TOP 10 of Companies which file oppositions (T05)SELECT a.opponent_name, Count(distinct a.id) AS opp_countFROM dbo_ereg131_oppostn AS aGROUP BY a.opponent_nameORDER BY Count(a.id) DESC limit 0,10;
Filed Under Request Of Accelerated Examination (T06)• SELECT DISTINCT 101.*, 402.event_text INTO t5• FROM (dbo_ereg101_appln AS 101 INNER JOIN dbo_ereg301_event_data AS
301 ON 101.id = 301.id) INNER JOIN dbo_ereg402_event_text AS 402 ON 301.event_text_id = 402.event_text_id
• WHERE (((301.event_text_id)=337));