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IPC/R 3/99 Rev.8ORIGINAL: English/françaisDATE: May 2, 2001/

2 mai 2001

WORLD INTELLECTUAL PROPERTY ORGANIZATIONORGANISATION MONDIALE DE LA PROPRIÉTÉ INTELLECTUELLE

GENEVA/GENÈVE

COMMITTEE OF EXPERTS OF THE IPC UNIONCOMITÉ D’EXPERTS DE L’UNION DE L’IPC

IPC REFORM PROJECT FILE/DOSSIER DE PROJET DE RÉFORME DE LA CIB

SUBJECT: INTRODUCTION OF ELECTRONIC DATA ILLUSTRATING THE CONTENTS OF IPC ENTRIES:EXAMPLES OF PATENT DOCUMENTS, DETAILED NOTES AND CLASSIFICATIONDEFINITIONS, EXEMPLIFYING TECHNICAL TERMS

SUJET : INCORPORATION DE DONNÉES ÉLECTRONIQUES POUR ILLUSTRER LE CONTENU DESENTRÉES DE LA CIB : EXEMPLES DE DOCUMENTS DE BREVET, NOTES DÉTAILLÉES,DÉFINITIONS ET EMPLOI DE TERMES TECHNIQUES CONCRETS

ANNEX/ANNEXE CONTENT/CONTENU

SEE/VOIRR 3/99

ORIGIN/ORIGINE DATE

1 Comments Observations SE 01.04.99

2 Comments Observations US 14.04.99

3 Comments Observations IB 16.04.99

4 Comments Observations DE 03.05.99

5 Comments Observations GB 04.05.99

6 Rapporteur report Rapport du rapporteur US 10.05.99

7 Decision by IPC/REF/1 andfollow-up

Décision de l’IPC/REF/1 etsuite

Rev.1 IB 28.05.99

8 Circular No. IPC 17 Circulaire no IPC 17 Rev.1 IB 17.08.99

9 Comments Observations Rev.1 PT 17.09.99

10 Comments Observations Rev.1 EP 22.09.99

11 Comments Observations Rev.1 EA 27.09.99

12 Comments Observations Rev.1 ES 27.09.99

13 Comments Observations Rev.1 SE 01.10.99

14 Comments Observations Rev.1 TR 01.10.99

15 Comments Observations Rev.1 RU 05.10.99

16 Comments Observations Rev.1 EG 12.10.99

IPC/R 3/99 Rev.8page 2


SEE/VOIRR 3/99

ORIGIN/ORIGINE DATE

17 Summary of comments Résumé des observations Rev.1 IB 25.10.99

18 Summary of comments(French version)

Résumé des observations(version française)

Rev.2. IB 09.11.99

19 Comments Observations Rev.2. US 11.11.99


Décision de l’IPC/REF/2et suite

Rev.3 IB 22.11.99

21 Discussion paper Document de discussion Rev.3 SE 13.12.99

22 Rapporteur report Rapport du rapporteur Rev.3 US 20.03.00

23 Guidelines for draftingclassifications definitions

Principes directeurs pourl’élaboration de définitionsdans la classification

Rev.4 US 21.04.00



Décision de l’IPC/REF/3et suite

Rev.6 IB 05.05.00


27 Comments Observations Rev.6 EP 29.06.00

28 Reply Réponse Rev.6 US 15.08.00

29 Reply Réponse Rev.6 US 15.08.00

30 Comments Observations Rev.6 PT 24.08.00

31 Rapporteur report Rapport du rapporteur Rev.6 US 02.10.00

32 Modified definition format Format des définitions modifié Rev.7 US 30.10.00

33 Excerpt of documentIPC/REF/4/4

Extrait du documentIPC/REF/4/4

Rev.8 IB 03.11.00

34 Comments Observations Rev.8 CA 05.01.01

35 Comments Observations Rev.8 US 10.01.01

36 Study Étude Rev.8 SE 11.01.01

37 Comments Observations Rev.8 US 15.03.01

38 Comments Observations Rev.8 GB 23.03.01


40 Consolidated paper Document de synthèse Rev.8 US 04.04.01

41 Summary Résumé Rev.8 US 04.04.01

IPC/R 3/99 Rev.8page 3


SEE/VOIRR 3/99

ORIGIN/ORIGINE DATE

42 Task Force Summary ofdiscussions (English version)

Résumé des discussions del’équipe spéciale(Version anglaise)

Rev.8 IB 17.04.01

43 Proposal (English version) Proposition (Version anglaise) Rev.8 IB 30.04.01

IPC/R 3/99 Rev.8

ANNEX 33/ANNEXE 33

EXCERPT FROM DOCUMENT IPC/REF/4/4, PARAGRAPHS 14 TO 17

INTRODUCTION OF ELECTRONIC DATA ILLUSTRATING THE CONTENTS OF IPCENTRIES (DEFINITIONS)

14. Discussions were based on the recommendations by the Definition Task Forcecontained in its Summary of discussions distributed at the session and on the modifieddefinition format paper submitted by the United States of America (see Annex 32 to projectfile IPC/R 3/99).

15. The definition format was provisionally approved with some amendments and appearsas Annex III to this report. Members of the Working Group were requested to submitcomments on the format by January 15, 2001, and to propose editorial changes that wouldbring it more in line with the IPC terminology.

16. The Working Group recalled that the Committee of Experts had instructed theDefinition Task Force to study “the difference between informative and defining references”(see document IPC/CE/29/11, paragraph 43). In this respect, the Delegation of Swedenvolunteered to prepare, by January 15, 2001, such a study and to submit it for comments bythe other members of the Definition Task Force.

17. The Working Group agreed that defining references should be retained in the titles ofsubclasses or groups of the IPC, but should not be repeated in the “Subclass title” or “Grouptitle” part of classification definitions. With regard to explanatory-type information currentlycontained in notes in the IPC, it was agreed that notes defining subject matter not covered bya subclass or group should be retained in the IPC, but other explanatory-type informationshould be transferred to classification definitions.

EXTRAIT DU DOCUMENT IPC/REF/4/4, PARAGRAPHES 14 À 17

INCORPORATION DE DONNÉES ÉLECTRONIQUES POUR ILLUSTRER LECONTENU DES ENTRÉES DE LA CIB (DÉFINITIONS)

14. Les délibérations ont eu lieu sur la base des recommandations du groupe spécial chargédes définitions figurant dans le résumé des délibérations distribué pendant la session et sur labase du document relatif au format de définition modifié présenté par les États-Unisd’Amérique (voir l’annexe 32 du dossier de projet IPC/R 3/99).

15. Le format de définition a été approuvé à titre provisoire avec quelques modifications; ilfait l’objet de l’annexe III du présent rapport. Les membres du groupe de travail ont été priésde présenter des commentaires sur le format avant le 15 janvier 2001 et de proposer desmodifications rédactionnelles en fonction de la terminologie utilisée dans la CIB.

IPC/R 3/99 Rev.8Annex 33/Annexe 33

page 2

16. Le groupe de travail a rappelé que le comité d’experts a demandé au groupe spécialchargé des définitions d’étudier “la différence entre renvois indicatifs et renvois de définition”(voir le paragraphe 43 du document IPC/CE/29/11). À cet égard, la délégation de la Suèdes’est proposée pour réaliser une telle étude avant le 15 janvier 2001 et la soumettre aux autresmembres du groupe spécial chargé des définitions pour qu’ils fassent part de leurscommentaires.

17. Le groupe de travail a convenu que les renvois de définition devront être conservés dansles titres des sous-classes ou des groupes de la CIB, mais ne devront pas être répétés dans lapartie “titre de la sous-classe” ou “titre du groupe” des définitions de la classification. En cequi concerne les informations de type explicatif figurant actuellement dans les notes de laCIB, il a été convenu que les notes définissant une matière non couverte par une sous-classeou un groupe devront être conservées dans la CIB, mais que d’autres informations de typeexplicatif devront être transférées dans les définitions de la classification.

[Annex 34 follows/L’annexe 34 suit]

IPC/R 3/99 Rev.8

ANNEX 34/ANNEXE 34

Comments re: IPC Definition Format in Annex III of IPC/REF/4/4

CIPO is pleased to offer the following comments on the definition format in order to bring it more inline with IPC terminology:

1. The phrase “citation information” is not standard. We would suggest the term “references”as in the Guide to the IPC, item 44.

2. We find the phrase “prioritized relationships” to be rather awkward, perhaps redundant. We would suggest the simpler wording “relationships” although, in some texts, the phrase“relationships, e.g. priority” may be useful.

Gerry GuzzoSection Head5 Jan. 2001

[Annex 35 follows/L’annexe suit]

IPC/R 3/99 Rev.8

ANNEX 35/ANNEXE 35

January 10, 2001

Mr. Mikhail MakarovHead, International Patent Classification SectionInter-Office Information Services DepartmentWorld Intellectual Property Organization34, chemin des Colombettes1211 Geneva 20SWITZERLAND

Re: IPC/REF/4/4, Paragraph 15 – Clarifying Amendments and Editorial Changes to theProvisionally Approved Definition Format for the Reformed IPC______________________________________________________________________________

Dear Mr. Makarov:

Upon review of the provisionally approved definition format, we have found several editorialcorrections and revisions that are needed to comply with the intent of the Reform WorkingGroup at its last meeting. The majority of these changes involve mere ‘cut and paste’ typeamendments that shift clauses from one section of the format to another. These clauses wereleft in their original locations, but are now inappropriate there because of the already approvedamendments.

I have attached two separate documents to this letter. The first explains and shows all of theeditorial changes made by USPTO to the provisionally approved format. The seconddocument shows only the USPTO’s proposed final wording.

In addition to these proposed modifications, we would strongly suggest for presentationconsistency that the sections titled “Distinctions and Prioritized Relationships With OtherSubclasses” and “Distinctions and Prioritized Relationships With Other Groups” beadditionally revised. It would be beneficial to searchers if these sections included a specifiedinternal presentation format for the two distinct types of reference material that could becovered therein. USPTO suggests that when necessary the following subsection titles be usedwithin these sections:


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• General Relationships Between Subclasses• Specific References to Subject Matter Covered by Other Subclasses

And

• General Relationships Between Groups• Specific References to Subject Matter Covered by Other Groups

The addition of these subsections allows classifiers to both broadly state a line with aparticular subclass and state within a separate reference particular group(s) in that subclass ofinterest to searchers (see USPTO rewrite of F23B, for example subclass F23G).

The USPTO has also extensively reviewed GB’s suggested “reduction in wording” of theprovisionally agreed to definition format (mailed by GB on January 8, 2001). GB’s documenthowever, was based solely on the provisionally approved format and does not contain any ofthe important amendments we have suggested above. It is noted that these amendments weremailed to GB as a member of the Task Force back on November 16, 2000.

The majority of the proposed deletions made by GB would not be acceptable to our Office.We feel that both essential and significant material was removed by GB from the formatapproved by the Trilateral Offices. In GB’s attempt to simplify the wording by deletions ofentire paragraphs from the format, its usefulness as a guide to the classifiers actually writingdefinitions was significantly damaged. Furthermore, some of the material that GB has deletedwas inserted originally by our Office to overcome the stated concerns of EP and SE during thetask force’s discussions. Removal of this material would require additional consultation withboth of these Offices.

We should remember that this guide was written for classifiers, many of whom have neverbefore written definitions. We are trying to ensure consistency in writing of definitions for thebenefit of the users of the Reformed IPC. Therefore, some small amount of detail is necessaryto ensure such consistency. To stress this point, I should point out that the guidance to USClassifiers in our USPC Handbook covers some 60 written pages. Thus we feel that theguidance given in the included format is very brief as is, and only gives a minimal amount ofinstruction for this sometimes very difficult task of writing useful classification definitions.

A short example of two of the deletions may help to illustrate our problems with GB’sproposal. In the section labeled “subclass definition” GB deleted:The statement covering standardization of subsections within a subclass definition. Thisstandardization is useful to users and is currently required in the format since it is included inno other IPC document.The statement covering where subject matter is located in the IPC that is ‘restricted out’ of adefinition by negative limitations. This information is essential to searchers and thisrequirement is not included in any other IPC document.

It is our opinion that it is preferable to ‘reduce’ the wording of the definition format at a laterdate and not waste a significant amount of time doing it now. Such reduction will be possibleafter incorporation of the information found within the current definition format into either the


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IPC Guide or a specially created handbook for aiding classifiers in writing definitions. Betterwording, although not necessarily simpler, of the format will be possible after several Officeshave written ‘real’ definitions and can conceptually understand the intent of the currentrequirements more clearly. We suggest that the definition format be adopted as modified byour Office and that the Definition Task Force investigates simplification of it only after severaldefinitions have been completed and inclusion of the substance of any deleted statements inother documents.

Sincerely,

Original signed by:

Gary AutonInternational Liaison Staff


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USIPC SUBCLASS DEFINITION FORMAT

SUBCLASSDEFINITIONFORMAT DESCRIPTION

Subclass Title To help ensure coextensive scope between a Subclass title and its definition,Subclass titles are included within the definition format, or otherwise madeviewable to the user, with the remaining definition sections. A subclass titleconsists of a concise and complete phrase that describes the intended scope ofthe subject matter appropriate for the Subclass. Referenced classificationsshould not be included with the ‘viewable title’ whenever they are specifiedin more detail in the other portions of the format. This restriction is not meantto preclude the display of important referenced classifications (e.g.,precedence notes) in other formats that use the subclass title (e.g.,classification schemes).

SubclassDefinition

A detailed description of the subject matter specifically provided for withinthe scope of the Subclass (e.g., the scope of subject matter covered by thetitles within its scheme) and broadly specified in the Subclass title. TheSubclass definition should be as structurally simple as possible and, iffeasible, should avoid numerous indents and numbered subsections.Explanatory headers are encouraged. If numbered subsections are created,the convention will be that of a standard outline, i.e., capital letter; Arabicnumeral; lower case letter; lower case Roman numeral (A., 1., a., i.). Noclassification symbol type references to other Subclasses should be includedin this section of the format.When a general statement of the particular category of classification place isappropriately includable in this section, it should precede the detaileddefinitive information associated with it. This should be done for all of theparticular categories of classification places (e.g., general, method) coveredwithin the scope of the Subclass title.While a Subclass definition may in part ‘negatively’ define the scope of theSubclass (this Subclass does not provide for), it must always positively statewhat subject matter it does provide for. Whenever references to specificclassifications are needed to completely explain appropriate locations forsubject matter restricted out by negative definitive statements, they shouldbe clearly specified in the “Distinctions and Prioritized Relationship withOther Subclasses” section. A reference(s) in this section must clearly andpositively state the classification(s) where any ‘negatively defined’ subjectmatter excluded from a Subclass is provided for.


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ExplanatoryNotes & Graphics

This section may not be needed for many Subclasses. Explanatory notesshould only be used when it is necessary to clarify or address specialsituations related to its definition. Normally these are complex issues thatcannot be covered entirely within the definitive information of the Subclassdefinition without potentially misdirecting or confusing users.When necessary, explanatory notes should consist of informational statementsthat further limit, clarify the intent of, or otherwise elucidate particular termsor concepts found in the definition of the Subclass.Any useful graphic representations may also be included in this section,except when it is already explicitly specified in the text of the Subclassdefinition or title (e.g., chemical formula). Graphic representations that areincluded must clarify, limit, or represent typical structure of a complexconcept within the definition.When this section is used, it should come before all references to otherSubclasses so users can understand the exact intent of any ‘elucidated’statements with the definition since clear understanding of all of thedefinition’s statements are essential when determining relationships withother classifications.

Distinctions andPrioritizedRelationshipsWith OtherSubclasses

This section is needed for almost all Subclasses. Its inclusion is essentialwhenever a clear understanding of the scope of its Subclass involvesspecifying interfacing relationships between several related Subclasses thatalter the inclusiveness of its stated scope.Whenever necessary, this section should exhaustively specify all essentialexplanations of relationships between the defined Subclass and anySubclasses significantly impacting its scope. It should point out (1) thedistinctions or similarities between them (i.e., Subclass “lines”) and/or (2) theprioritized relationship between them when there is major overlapping ofpossible scope.Any additional situations where subject matter would normally be covered bythe title and definition of the subclass, but should be classified in anothersubclass, should also be indicated here. Such cases are always indicated bylimiting references or precedence references in the scheme itself. However,within their schemes, classifiers more broadly specify this information withtheir Subclass titles. This should be done in a manner that clearly indicates tousers what references are associated with the title. Any reference indicationspresented within the scheme should, by necessity, be less complete andviewable in a less intrusive manner (e.g., a truncated representation,removable from screen display if preferred) than in their completepresentation versions.The set of references appropriate for this section must specify pertinentSubclasses, including particular groups or group ranges, having a relationship


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with the art of the Subclass being defined. Inclusion of the classificationsymbols of the Subclass or groups involved is required. The explanationportion of the reference should always specify what subject matter isappropriate for the cited classification and may include a short statementexplaining the differences between the defined Subclass and referencedclassification.In Subclasses where extensive references are enumerated, it may be helpful tousers to subdivide them into special categories in an appropriate manner (e.g.,where fasteners are manufactured, other types of fasteners).

InformationalReferences toOther Subclasses

This section may not be needed for many Subclasses. Whenever necessary,all references cited herein are stated in their most complete manner.The references of this section should not be included in the scheme itself.References within this section do not have as primary purpose of limiting thescope of the subclass and are intended only for providing general guidance tothe user.In Subclasses where extensive references are enumerated, it may be helpful tousers to subdivide them into special categories in an appropriate manner (e.g.,where fasteners are manufactured, other types of fasteners). The set ofreferences appropriate for this section must specify pertinent Subclasses,including particular groups or group ranges, having a relationship with the artof the Subclass being defined. Inclusion of the classification symbols of theSubclass or groups involved is required. The explanation portion of thereference should always specify what subject matter is appropriate for thecited classification and may include a short statement explaining thedifferences between the defined Subclass and referenced classification.

Glossary of Terms This section may not be needed for many Subclasses. This section consists ofdefinitions for one or more significant terms or phrases found in the Subclasstitle or its definition, or the titles or definitions of its groups, that are requiredto be used in a more precise or restricted manner than their general commondefinition would allow. The defined terms or phrases must be of particularimportance to the subject matter within the scope of the Subclass and clearlyindicated in the definition’s text as being defined (highlighted).


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IPC DEFINITION FORMAT FOR GROUPS

GROUPDEFINITIONFORMAT

DESCRIPTION

Group Title To help ensure coextensive scope between a group title and its definition,group titles are included within the definition format, or otherwise madeviewable to the user, with the remaining definition sections.A group title consists of a concise and complete phrase that describes theintended scope of the subject matter appropriate for the group within thecontext of its Subclass title and any group titles from which it depends. Ifpossible, group titles should define the coverage in a positive manner bystating the intended scope, and not by mentioning symbols of other groupsthat cover matter that is not covered by the present group.

Group Definition A detailed description of the subject matter specifically provided for withinthe scope of the group and broadly specified in the group’s title. The groupdefinition should be as structurally simple as possible and include a preambleportion specifying either (a) its Subclass when it is a main group or (b) thegroup it directly hierarchically depends upon in the scheme. If numberedsubsections are created, the convention will be that of a standard outline, i.e.,capital letter; Arabic numeral; lower case letter; lower case Roman numeral(A., 1., a., i.). No classification symbol type citations to other Subclasses orgroups should be included in the text of the definition other than in thepreamble.While a group definition may in part ‘negatively’ define the scope of thegroup (this group does not provide for), it must always positively state whatsubject matter the group and its dependent groups are clearly intended toprovide for. Whenever references to specific classifications are needed tocompletely explain appropriate locations for subject matter restricted out by anegative statement in the definition, they should be clearly specified in the“Distinctions and Prioritized Relationships With Other Groups” section of theformat. A reference(s) in this section must clearly and positively state theclassification(s) where any ‘negatively defined’ subject matter excluded froma group is provided for.

ExplanatoryNotes andGraphics

This section may not be needed for most groups. Explanatory notes shouldonly be used when it is necessary to clarify or address special situationsrelated to a group’s definition. Normally these are complex issues that cannotbe covered entirely within the definitive information of the definition withoutpotentially misdirecting or confusing users.When necessary, explanatory notes should consist of informational statementsthat further limit, clarify the intent of, or otherwise elucidate particular termsor concepts found in the definition of the group.Any useful graphic representations may also be provided in this section,except when it is already explicitly specified in the text of the groupdefinition or title (e.g., chemical formula). Graphic representations of typical


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DESCRIPTION

structure or formula that are included should clarify, limit, or represent acomplex concept within the definition.When this section is used, it should come before all references to otherclassifications so users can understand the exact intent of any ‘elucidated’statement within the definition since clear understanding of the statement maybe essential when determining relationships with other classifications.

Distinctions andPrioritizedRelationshipsWith OtherGroups

The inclusion of this section is essential whenever a clear understanding ofthe scope of a group involves specifying interfacing relationships betweenseveral related groups. This section will probably be needed for many of thegroups that are not arranged in an order of precedence.When necessary, this section should exhaustively specify all essentialexplanations of relationships between the defined group and any groupssignificantly impacting its scope. It should point out (1) the distinctions orsimilarities between them and/or (2) the prioritized relationship between themwhen there is an overlapping of possible scope.Situations where matter would normally be covered by the title and definitionof the group, but should be classified in another group, should be indicatedhere. Such cases are indicated by limiting references or precedence referencesin the scheme itself.The set of references appropriate for this section must specify pertinentSubclasses, including particular groups or group ranges, having a relationshipwith the art of the Subclass being defined. Inclusion of the classificationsymbols of the Subclass or groups involved is required. The explanationportion of the reference should always specify what subject matter isappropriate for the cited classification and may include a short statementexplaining the differences between the defined Subclass and referencedclassification.

InformationalReferences toOther Groups

This section may not be needed for many Subclasses. Whenever necessary,all references cited herein are stated in their most complete manner.The set of references appropriate for this section must specify pertinentgroups, having a relationship with the art of the group being defined.Inclusion of the classification symbols of the Subclass or groups involved isrequired. The explanation portion of the reference should always specify whatsubject matter is appropriate for the cited classification and may include ashort statement explaining the differences between the defined group andreferenced classification.References in this section should not have as primary purpose of limiting thescope of the group and are intended only for providing general guidance tothe user.In groups where extensive references are enumerated, it may be helpful to


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DESCRIPTION

users to subdivide them into special categories in an appropriate manner (e.g.,where fasteners are manufactured, other types of fasteners).The references of this section should not be included in the scheme itself.


IPC/R 3/99 Rev.8

ANNEX 36/ANNEXE 36

Swedish Patent and Registration OfficeIPC Reform, Task 3 January 11th, 2001

STUDY OF THE DIFFERENCE BETWEENINFORMATIVE AND DEFINING

REFERENCES

BackgroundAt IPC/REF/3 the Definitions Task Force was instructed to clarify the rules regarding limitingand informative references. At IPC/REF/4 Sweden volunteered to provide a paper on thematter. The following is an effort at clarifying the situation, taking into account not onlyparagraphs 26 – 28 of the Guide, relating to references, but also the rules for multipleclassification stated in paragraphs 59(b), 60, 63, 64, 65, 68, 70, 71 and 73(b) of the Guide.

Purpose of the paperMy experience of training IPC users is that interpretation of references is probably the mostdifficult thing in the IPC. Limiting and informative references look the same. There is no waythat a user can take a single look at a reference and immediately tell its function. A correctinterpretation requires analysis of the scope and function of the places. This is in conflict withthe goal of the reformed IPC that it should be easy to use.

During the discussions about definitions a lot of uncertainty has been expressed regarding theuse and presentation of references. The future separation in the IPC between the classificationscheme itself and an informative layer that is hyperlinked to the scheme allows the separationof vital information from mere user information. With “vital information” is here understoodinformation that influences the classification of individual documents.

This paper is of course partly intended for the user, so that he can more easily interpretreferences that are still present in the IPC. However, the main use of the paper is to act asguidance for revision and maintenance of the IPC, so that informative and limitinginformation can easily be separated and presented in the proper way.

Limiting versus precedence referencesThe difference between limiting references and precedence references has been debated. It hasbeen argued that their functions are slightly different, but I think they in most practicalsituations have the same function and only differ in presentation. In the reformed IPC it wouldperhaps be desirable if one single format should be chosen. It has been agreed that the IPCcan not go to a “top-to-bottom” classification rule in parts that have not been fundamentallyrevised for that purpose. I recommend that the more informative “limiting reference format”is chosen over the precedence reference format for the parts that have not been so revised,since it is less likely that these parts will have a correct precedence order of the groups.


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Limiting referencesIt is my general feeling that in spite of the rules for revision that discourage informativereferences, the majority of references in the IPC are in fact only informative. The typicallimiting reference, as described in paragraph 27(a) of the Guide, is well known andunderstood. The following two examples are typical limiting references, taking one part of thecoverage of one place and moving it to another place:

B63H 20/00 Outboard propulsion units - - -; Arrangements thereof on vesselsB63H 21/00 Use of propulsion power plant or units on vessels (use of outboard propulsion

units 20/00 - - -)

A01L 1/00 Shoes for horses or other solipeds fastened with nails (3/00 takes precedence)?A01L 3/00 Horseshoes fastened by means other than nails, with or without additional

fastening by nailing

It can be noted that the reference in B63H 21/00 could be replaced with a precedencereference saying "(20/00 takes precedence)", and that the reference in A01L 1/00 could bereplaced with one saying "(shoes fastened with nails in combination with other means3/00)"!

Definition of limiting references

We must find some way of defining a limiting reference. The following is a proposal fordefinition:

Proposal for requirements of a limiting reference:

In order to qualify as limiting, a reference must fulfil the following criteria:1. The reference must point between two places that at least partly overlap, and

must in itself limit the coverage of the place where it stands2. The reference must point between two places between which multiple

classification of one and the same piece of invention information is not allowed

Explanation of the proposal:

1. The reference must point between two places that at least partly overlap and mustin itself limit the coverage of the place where it stands

These are two requirements, but they are so closely related that it is difficult to separate them.The absolute minimum requirement for a limiting reference is of course to be valid betweenplaces that overlap – if it is not, it cannot be limiting. This should take into account not onlythe wording of the places themselves, but also the surrounding parts of the scheme and therules stated in the Guide. The intention of this requirement is that the reference should notgive redundant information by restating something that is obvious either from the wordings ofthe places or from general or local classification rules. Nevertheless, the existing IPC containsmany references that do not fulfil this requirement, see the following examples:

A44C 3/00 Medals; Badges (frames or housings for storing same A47G 1/12)


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This reference has nothing to do at all with the coverage of the place where it stands. Uselessreferences of this kind should be deleted completely from the IPC, and perhaps be replaced byan entry in the Catchword Index.

A21C 15/04 • Cutting or slicing machines or devices specially adapted for baked articlesother than bread (for cutting or slicing bread B26B, B26D)

This is a purely informative reference, since the words “other than bread” defines the scope ofA21C 15/04.

B60N 3/00 Arrangements or adaptations of other passenger fittings, not otherwise providedfor (of radio sets, television sets, telephones, safety belts, or the like B60R)

This case is similar to the previous one. The scope of a residual place is decided by thewording identifying it as a residual place (see the Guide, paragraphs 33 – 34), so anyreference out from a residual place can only be informative.

A61K 31/07 • • Retinol compounds, e.g. vitamin A (retinoic acids A61K 31/203)A further similar case is references pointing downward in last place rule schemes. Again, theborderline between the groups is clear already without the reference.

A01J MANUFACTURE OF DAIRY PRODUCTS (preservation, pasteurisation,sterilisation of milk products A23; for chemical matters, see subclassA23C)

A01J 11/00 Apparatus for treating milk (preserving or sterilising A23C)Although this is expressed as undesirable, the IPC in many cases contains references that arealready covered by other references in hierarchically superior places. Such references are alsoonly informative.

2. The reference must point between two places between which multiple classificationof one and the same piece of invention information is not allowed

A reference can not be regarded as limiting if it points between places between whichmultiple classification is allowed. The Guide expressly allows multiple classification in thefollowing situations:

1. Function-oriented places and application places (paragraphs 59(b), 63, 64)2. Combination places and subcombination places (paragraphs 60, 68)3. Product places and production places (paragraph 65)4. Unprovided-for combinations in separate main groups (paragraph 70)5. Markush-type claims (paragraph 71)6. Special places identified by notes (paragraph 73(b), e.g. A01P, C04B38/00 etc.)

Any references between places with these kinds of relationships must therefore be consideredinformative, unless there are strong technical reason for limiting multiple classification.However, it is my opinion that there are few reasons for such exceptions to the general rule.

Many of these situations of course often relate to selection of "what to classify" rather than"where to classify", but at least situations 1, 2, 4 and 6 often relate to cases where one piece ofinventive information can be classified in more than one place. Situation 5 has no relevancefor references. Situation 6 has been specially created in order to enable multiple classification,


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so references in these more or less unique situations have to be considered in the contextwhere they stand.

2.1 Function-oriented places and application placesThis situation is interesting, since it very often relates to cases where one and the same pieceof invention information has different aspects. It is thus more often closer related to “where toclassify” than “what to classify”. The following examples will serve to illustrate howinconsistently this situation has been handled in the IPC:

A41F GARMENT FASTENINGS; SUSPENDERSA41F 1/00 Fastening devices specially adapted for garments (fastening devices in general

A44B)?

A44B BUTTONS, PINS, BUCKLES, SLIDE FASTENERS, OR THE LIKE(fastenings specially adapted for footwear A43C)

A43C FASTENINGS OR ATTACHMENTS FOR FOOTWEAR; LACES INGENERAL

F16B DEVICES FOR FASTENING OR SECURING CONSTRUCTIONALELEMENTS OR MACHINE PARTS TOGETHER - - -NoteAttention is drawn to - - - the following places: - - -A44B Buckles, slide fastene rs

The inconsistency is striking! There is no consistency in placement of references in general orspecial places, or indeed even on the use of references at all. The inconsistent way that thesethings have been handled in the past indicates that references between function-orientedplaces and application places have never been seen as having an important scope-limitingfunction. It is generally agreed that references pointing from an application place to a generalplace or a function-oriented place are informative. However, in view of paragraphs 59(b), 63and 64 of the Guide it would be unreasonable to assume that references pointing the otherway would be limiting. These paragraphs clearly allow classification in both places.

However, it must be noted that the borderlines between general places and application placesdo not always conform to the normal situation. The following is an example of a situationwhere there is a mutually exclusive situation between the “general” place and the“application” place, achieved by limiting references:

A01F PROCESSING OF HARVESTED PRODUCE - - -A01F 12/00 Parts or details of threshing machines - - -A01F 12/42 • Apparatus for removing awns from the grain (decorticating or removing

awns otherwise than in threshing machines B02B 3/00)

B02B PREPARING GRAIN FOR MILLING - - -B02B 3/00 - - - Removing the awns (in threshing machines A01F 12/42) - - -

Notice that these references do not speak about “specially adapted for” or “in general”, butmerely identify the application. This kind of arrangement is not desirable, and removal of thiskind of limiting references should be part of the systematic maintenance of the IPC.


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References between function-oriented places and application places should always beinformative (again, unless there are very strong technical reasons for the opposite).References between function-oriented places and application places can very well pointboth ways. The consequences of this for the proposed future “top-to-bottom” approach mustbe considered carefully – presumably we want to be able to classify one and the same piece ofinformation in both a function-oriented and an application place even in the future!

In some places there are no function-oriented places, but only application places. Thefollowing is an example:

A01B SOIL WORKING IN AGRICULTURE OR FORESTRY- - - (- - - soil workingfor engineering purposes E01, E02, E21)

E02F DREDGING; SOIL-SHIFTING - - -

It would seem unreasonable to apply limiting references between different application places,unless there are strong technical reasons. The same would apply to situations where there areseveral parallel application places in addition to a function place.

References between different application places should always be informative (unlessthere are strong technical reasons for the opposite). They can very well point both ways.The consequences of this for the future “top-to-bottom” approach must again be consideredcarefully.

2.2 Combination places and subcombination placesThis situation could perhaps be disregarded, since it almost always relates to the question of“what to classify”. Even if one and the same claim mentions a novel combination including anovel subcombination a judgement should be made on whether there is more than one pieceof information that is worthy of classification.

However, the classification rules should be consistently presented and obvious from thestructure of the IPC, so the placement in the scheme itself or the informative layer of anyreferences between combination and subcombination places must be regulated.

Even though this might feel a bit contrived, I believe we have to differentiate between"details" versus "whole things" on one side and "combinations" versus "parts of thecombination" on the other side.

2.2.1 "Details" versus "whole things"A place for details can be placed in two different ways in the IPC. It can be placed as asubgroup to a group for the whole things or it can be placed in a completely different place. Inthe latter case it can be as a main group of its own in the same area, as a subclass of its own orin a function place somewhere else, for example in class F16 for mechanical details such asnuts and bolts. The choice of placement depends on how general the detail place is. Detailsthat are only applicable to one particular type of whole things should according to paragraph69 of the Guide be classified in the place for that whole thing. This is regardless of whether ageneral detail place exists or not. This rule is not consistently applied by users, and futurerules about classification of invention information and additional information might make itoutdated. However, it still exists, so this is the situation we have to look at.


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References from places for "whole things" to places for detailsThe interpretation of paragraph 69 is that, in general, references in places for whole things todetail places must be seen as informative. However, there are cases where it appears that theintention is to actively refer out some material - in that case the reference must be limiting.See the following example:

B60N 2/00 Seats specially adapted for vehicles; Arrangement or mounting of seats invehicles - - -

B60N 2/24 • for particular purposes - - -- - -B60N 2/42 • • the seat constructed to protect the occupant from the effect of abnormal g-

forces, e.g. crash or safety seats (- - - 2/46, 2/48 take precedence)B60N 2/44 • Details or parts not otherwise provided forB60N 2/46 • • Arm-restsB60N 2/48 • • Head-rests- - -B60N 2/64 • • Back-rests

It appears in this case that it was actively desired to have all head-rests and arm-rests in thedetail place, regardless of whether they are specially adapted for protecting the occupant ornot, while this thinking does not apply to back-rests.

This is not a very pleasing situation, and it means that there can be no automatic way ofdealing with references from places for whole things to detail places. However, it appearsthere can be no way around it.

References from places for details to places for "whole things"The classification rules state that an invention should be classified as a whole. This wouldindicate that places for "whole things" should always have precedence over places for details.Does this mean that a reference from a place for details to a place for "whole things" islimiting? No, it does not, since the rule of classification is not defined by the reference itself,but by the common provisions of the Guide.

2.2.2 "Combinations" versus "parts of combinations"

Contrary to what has been stated by some offices, I see no fundamental problems with thepresent rules for classification of combinations, apart from that it is not defined whatconstitutes a combination. It should be clarified that an invention is not a combination justbecause it contains several elements, but that it requires more than one essential function.

For the same reasons as those stated above, it is clear that references between "combinations"places and "subcombinations" places are informative. However, since there are no clear ruleson placement of combination groups in the current IPC - they are often placed as subgroups to"subcombinations" subclasses or "subcombinations" groups - it should be stronglyencouraged to introduce informative references in the "subcombination" places.

3 A special case - references pointing to residual placesThis is a special situation where it is often not very easy to define the function of a reference.The situation only occurs where residual places are subdivided – this is something that shouldprobably be avoided. See the following example:


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A47C CHAIRS (seats specially adapted for vehicles B60N 2/00) - - -

B60N VEHICLE PASSENGER ACCOMMODATION NOT OTHERWISEPROVIDED FOR (furniture construction A47)

B60N 2/00 Seats specially adapted for vehicles - - - (railway seats B61D 33/00; cycle seatsB62J 1/00; aircraft seats B64D 11/06, B64D 25/04, B64D 25/10)

The reference in A47C has the function of allowing classification of seats or chairs in B60N.If there were no reference, it would not be possible, according to paragraph 33 of the Guide,to classify seats or chairs per se in B60N – there is a place for them (A47C), so they are“otherwise provided for”! Nevertheless, the reference in A47C is not strictly limiting, since itdoes not refer out something that is defined, but something that is subject of interpretation –whether something is “specially adapted” or not is always subject of interpretation.

In this case the problem arises because the B60N title is carelessly drafted. It does not statethe scope in a positive way, even though it would have been easy enough to do so – thesubclass contains three main groups, of which only one is genuinely residual (and has anarrower scope than the subclass…).

As a future rule when residual places are subdivided, the title of the subdivision shouldbe added to the title of the residual place. This would solve the problem of referencespointing to residual places.

References themselves are only one aspect of the problem

In many cases it would be much easier to draft references if the titles of places were clearerand better drafted. This is again a good argument for a systematic review of the IPC – thereform is not finished until all schemes are reviewed and adapted to the new standards.

Anders Bruun


IPC/R 3/99 Rev.8

ANNEX 37/ANNEXE 37

USPTO COMMENTSIPC Reform Definition Task Force Date: March 15, 2001

Evaluating, and Supplementation of, the Preliminary Study ofInformative and Limiting-type References by SE

TASK FORCE OBJECTIVE

The Committee of Experts has requested that “the difference between informativeand ‘defining’ references be studied by the Definition Task Force and later explained in theGuide” (IPC/CE/29/11, paragraph 43). The Definition Task Force is to make finalizedrecommendations after the completion of its study to the Reform Working Group. Theprimary objective of the Task Force’s recommendations is to make the intent of any type ofreference immediately obvious to users by a method of differentiation (e.g., the heading it islocated under in the definitions). Therefore, any appropriate recommendations formodification of existing IPC practice must make it easier for searchers (both IPOs andPublic) and classifiers to accurately use the Reformed IPC and understand the purpose ofeach reference in its schemes and definitions.

OVERVIEW

The Delegation of SE volunteered to prepare an initial preliminary study and hassubmitted it for comments to other members of the Definition Task Force (IPC/REF/4/4,paragraph 16). The Rapporteur of the Definition Task Force, after completion of TaskForce comments and discussions, will submit finalized recommendations to the ReformWorking Group for their review.

The preliminary study submitted by SE to the Task Force for review of informativeand limiting (we agree with SE that they are never defining) types of references has someinteresting content. We completely agree with their statement that “A correct interpretationrequires analysis of the scope and function of the places.” We would only add that it alsoincludes an analysis of the patent documents appropriate for each classification in view of itstitle and definition.


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Nevertheless, in our opinion, SE’s recommendations will not produce the resultsdesired by the Committee of Experts. Again, any final recommendations by the Task Forcefor modifying reference practice must make the Reformed IPC a more efficient system forsearching inventions while also facilitating classifying these inventions in a readilyunderstandable and consistently replicable manner. The primary defect in SE’srecommendations is that their recommendations are dependent upon searchers having an‘expert level of knowledge’ to successfully utilize the Reformed IPC for searching. Since‘ease of use’ of the Reformed IPC is one of the goals of reform, an expert level ofknowledge should not be presumed or expected.

GENERAL OBSERVATIONS RELATED TO OBJECTIVE

The views of the USPTO are different from those of SE on the current extent andusage of limiting-type references in the IPC. We believe that the majority of existingreferences are in fact ‘limiting’ in nature. Furthermore, unless the IPC in the future utilizessome form of systematic prioritization in its schemes, the current number of limiting-typereferences is insufficient to avoid extensive overlapping of scope between existingclassification titles. Even SE’s final observation, that it would be easier to draft references ifthe titles of classification were clearer and better drafted, will have minor impact on theunintended overlapping between groups. Until a general superiority rule for subclasses isintroduced in the Reformed IPC, unintentional overlap of the subject matter within groupswill persist. Pending the adoption of such a rule, the inconsistently dependable, but neverthe less essential, use of the ‘best fit technique’ for searching and classification mustcontinue in the Reformed IPC.

Furthermore, we believe that definitions can only reduce the extent of thisunintended overlap; they cannot in themselves prevent it. This is mainly because usefuldefinitions (or titles) cannot normally be written in an excluding manner (e.g., only whitehats). The majority of definitions must be written in an inclusive manner that is not literallylimited to what they or their title exactly specifies (e.g., a group “Hand carried luggage”could of course also include patent documents within its scope having wheels on the handcarried luggage).

SE’s recommendations also fail to recognize one of the major underlying problemswith the existing IPC schemes. This is that the current classification titles were not normallywritten, edited, or corrected based on any significant actual reassignment of their intendedpatent documents from the back file. Until this practice is modified and the existing scope ofclassifications is gradually clarified based on fact, and not mere conjecture of appropriatedocument content, their utility for delineating concepts for searching purposes will remainhighly questionable. In this environment, without significant use of limiting references toreduce the level of conflict and confusion among users, it will be impossible for theReformed IPC to maintain the viable level of quality essential for search authorities to givefull faith to each other’s searches.


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REVIEW LIMITING REFERENCE REQUIREMENTS

The USPTO believes a limiting reference is “any reference that restricts inventivesubject matter from the scope of a classification that would otherwise fit the classification’scomplete title and definition.” Of course, the complete title and definition of anyclassification also includes the limitation of all other titles and definitions from which theclassification hierarchically depends.

Therefore, we are in agreement with SE’s statement comparing limiting andprecedence references that “they in most practical situations have the same function and onlydiffer in presentation”. However, we have taken this statement an additional degree andhave intentionally written our proposed definition of limiting reference to include within itsboundaries precedence-type references. In other words, we don’t believe that their functionis different at all (merely an extreme in degree) from other limiting references and it is onlytheir presentation that is different. The Committee of Experts did not add precedencereferences to the study only because their unique presentation method makes their intentunquestionable.

Based upon the above opinion of what a limiting reference does, we do not believethat SE correctly utilized the current paragraphs in the Guide covering multiple classificationrules. Our opinion is that the majority of the rules cited by SE should be redrafted, if theyare retained at all in their current form, in the Reformed IPC. These rules are nowappropriately used when, and only when, (a) there is a single invention in the patentdocument to direct classification or (b) they are applied separately to each of the inventionsfound within a patent document. When used in this manner, there is no inconsistency withour definition of limiting-type references and multiple classification practice.

SE’s recommendations attempt to supplant the utilization of the precise and usefulsearch information found within the current limiting references in schemes with the mereutilization of the above general rules. While this substitution could certainly reduce thenumber of limiting references, it clearly depends on an expert level of knowledge and wouldnever improve the quality or ease of searching. In fact for smaller Offices where examinersmust search an extensive range of technology, it would vastly increase the time needed forsearching for even skilled searchers. Furthermore, the exact meaning of these rules is toosubjective for even consistent interpretation by Experts. In our opinion, SE’s extremelynarrow interpretation of them is inconsistent both with the Guidelines on ‘what to classify’and the general reform policy stated by the Committee of Experts.

One essential characteristic of limiting-type references was not even included in SE’sstudy. It is when do they, and do they not, limit the classification of documents. While limiting-type references are clearly intended to restrict obligatory classifications, they have no specifiedimpact on the use of nonobligatory classification into groups. This allows them to function as rigidguides or gates when establishing the ‘most’ correct classifications among related classificationsfor each invention as a whole. On the other hand, it also allows classifiers to include useful


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information from patent documents and NPL (non-patent literature) within groups by the use ofnonobligatory classifications without impacting their intended scope. This is why only obligatorilyclassified patent documents within a classification should be used to refine its title and define its scope.

SE stated the following definition for limiting-type references in its Study.

In order to qualify as limiting, a reference must fulfil the following criteria:1. The reference must point between two places that at least partly overlap, and must in itself

limit the coverage of the place where it stands2. The reference must point between two places between which multiple classification of one

and the same piece of invention information

USPTO does not support the above definition/requirements for limiting-typereferences proposed by SE. We believe that it is a misinterpretation of the existinglimitations given in the Guide. The second part of this definition/requirements is not correctand should be totally revised. There has always been multiple classification of patentdocuments in the IPC and this practice has coexisted appropriately with limiting-typereferences (e.g., precedence references). Within the Reformed IPC, we have merelyexpanded the ‘clearly’ required obligatory classifications to cover multiple inventions andnovel components thereof found within a patent document. However, following the ‘best fittechnique’, except for a few special situations that clearly notify searchers or classifiers ofthis fact (e.g., B81B, (2) Note), the same invention as a whole was never obligatorilycovered by two distinct classifications. The added expense of doing this universally for asignificant variety of inventions would be exorbitant.

SE’s definition/requirements also fails to clarify that it is intended to cover only theclassifying of individual inventions and not individual patent documents. A “piece ofinvention information” can cover more than one invention. Nor is it an appropriaterestriction to require that “it must in itself limit the coverage of the place where it stands”.Any references must be interpreted in the context of at least the two ‘overlapping’ titles andtheir directly hierarchically related titles.

Therefore, a limiting-type reference can transfer the specified inventive subjectmatter from a classification it otherwise fits within the scope of to the noted classificationonly when the specified subject matter fits all of the referenced classification’s completetitles, notes, and definitions. Thus in SE’s example involving subclass A01L (covered belowin detail), “solipeds shoes” cannot be classified in A01L 3/00 since they do not fit its title.Stated differently, a reference can only restrict the boundaries of the title it is associatedwith, it can not expand the title it references to beyond its specified scope. This is a usefulrestriction for the classifier writing the reference. Because of it, less care needs to be takenin limiting every potential interpretation of the meaning of a reference, since its scope is self-limited by what subject matter can appropriately be transferred to the referencedclassification.


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DEFINITIONS FOR & REQUIREMENTS OF REFERENCES

A far more accurate and clearer definition/requirements of limiting-type reference isobviously needed than that proposed by SE. We suggest the following definition andrequirements as an alternative (illustrative examples that may be removed are enclosedwithin brackets).

A limiting reference is any reference associated with a classification title that restrictsinventive subject matter from its scope when this subject matter otherwise fulfils allthe requirements of the classification’s complete title and definition. Irrespective ofthis statement, limiting references do not prohibit:

1. The classification of additional distinct inventive or novel subject matter found inpatent documents from classifications, even when other inventions also foundwithin the patent documents are excluded by their references. [For example, agroup for carburetors may have a limiting reference stating that another group coverscarburetors in combination with engines. However, this statement does not precludeadditional obligatory classification of patent documents that have this combination intothe group having the reference whenever the patent documents also claim novel orinventive carburetors per se.]

2. The nonobligatory classification of patent documents containing subject matterspecified in the reference’s statement in situations where a classifier deems thisinformation useful to searching. [For example, a group for carburetors may have alimiting-type reference stating that a particular group covers carburetors in combinationwith engines. Nevertheless, this statement does not preclude nonobligatory classificationof patent documents by classifiers that claim only the combination specified in thestatement into this group if they determine that useful carburetor features are disclosed.]

Limiting references should also comply with the following standards:

• Clearly specify the inventive or novel subject matter in the reference’s statementintended to be excluded from obligatory classification within the literally stated,or potentially included, subject matter specified by the title or definition of theclassification it is associated with. [For example, a reference stating “3/00 takesprecedence” is only intended to restricted from its group any inventive subject matterotherwise fitting it that is also appropriate for group 3/00.]


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• Designate one or more classifications where this particular inventive or novelsubject matter specified in its statement could potentially be appropriatelyobligatorily covered. [For example, the reference of a group designates group A 01 K3/00 as providing for the restricted subject matter and it does in most situations.However a portion of the subject matter restricted out in the statement is actuallyappropriate for Subclass H 05 C in particular situations. Not specifying all otherpotential locations does not in any manner make this reference invalid; it is merely notentirely complete.]

Even though SE did not suggest one, a definition for informative references is alsoneeded. We suggest the following definition:

An informative reference is any reference that indicates the location of subject matterthat could be of interest for searching, but is not within the scope of the title anddefinition of the classification it is associated with.

SPECIFIC COMMENTS ON SE’s STUDY

USPTO agrees with SE that in general it is preferable to use limiting-type referencesin place of precedence-type references in many of the existing situations. In particular, thisshould be done when only a small part of the patent documents obligatorily assigned to theclassifications involved are impacted by the overlapping titles. By its nature, the limiting-typereference can be drafted in a narrower manner to give a much more precise priority.However, neither of these types of references accomplishes one of the primary benefits of auniversal top to bottom priority rule combined with inclusiveness. This benefit is that it iseasy to determine the most appropriate classification even when the subject matter specifiedin classification titles is combined with unspecified subject matter. A universal rule also actsto shorten titles and definitions since classifiers don’t need to exclude from the titles of lowerclassifications any subject matter specified in the titles of classifications above them due totheir relative priority.

One of SE’s examples shows how easily changing the type of reference used canunintentionally vary the scope of a classification. The reference SE suggested as a substitutebetween A01L 1/00 & A01L 3/00 is not quite correct as a substitute. The replacementindicates that “or other solipeds” shoes will also go to group 3/00. Since “Horseshoes” inthis title clearly does not cover “solipeds shoes” (or why would we need it in the title ofgroup 1/00) this would not be correct nor is it equivalent to the precedence reference thatrequires only horseshoes to be moved with nail and non-nail fastening means. Rewritingboth titles would be a better solution (e.g., “fastened only with nails”).


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SE’s example to groups B 63 H 20/00 and 21/00 also unintentionally changed thescope of these classifications. There is no basis for giving the other independent parts of thetitle for group 20/00 priority over group 21/00 in general. We have no idea why ‘Z-drives’or ‘Arrangements thereof on vessels’ should be given this priority without additional reviewof all of the patent documents in the back file of these classifications.

SE stated in its study (see Explanation of the proposal – section 1) “ that a referenceshould not give redundant information by restating something that is obvious either form thewording of the places or from general or local classification rules.” We believe thatacceptance of this approach by the Reform WG would be a giant step backwards in theprocess of reforming the IPC. One primary goal of the Reformed IPC is to make it easilyusable by the general public. Clarity of intent will certainly be adversely impacted by theassumption that everyone searching the classifications fully understands all generalclassification rules. Depending on everyone who uses the system to have an expert level ofknowledge is not productive to achieving this goal.

In their example to A 44 C 3/00, SE states the reference is merely informative. Wedo not think this reference is merely informative; it is also limiting in nature. The referencestates exactly where particular ‘ancillary devices’ are properly classified that could be withinthe scope of Subclass A 44 C (see group 19/00 for a similar type of ancillary device that isprovided for, but not specifically stated within the Subclass title). Paragraphs 66, 67, & 69of the Guide show the extreme danger of a searcher missing appropriate patent documentsby not knowing that other places do, or do not, exist for related inventions. In our opinion,a limiting-type reference must be added to any classification that could take a particular type‘related’ invention within its scope, based on general classification rules, except for theexistence of another classification covering this subject matter.

The reference in B 60 N 3/00 is also more than informative contrary to thestatement by SE; it is limiting in nature. This is a major problem with the existing IPC,especially in classification titles including the wording ‘not otherwise provided for’. In thesesituations, it is important to exhaustively specify all other classifications having subject matterotherwise within the scope of the residual classification. Paragraphs 33 & 34 of the Guideclearly support this view. It should be noted that it is impossible to define this type ofclassification otherwise than by use of this method of exhaustive referencing.

The reference in A 01 J 11/00 is not wrong because it is already covered by areference in A 01 J as stated by SE. This reference is far more specific and restricted to thesubject matter of the group. This extra knowledge helps searchers and is therefore useful.


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Additional review of SE’s other examples would not be beneficial to the Task Forceat this time. SE’s conclusions were based on their premise that the general rules of theGuide make most existing references merely informative in nature. Until the Task Forcestates a position on this issue, specific review of these references cannot be completed.

SE has created and defined the phrase ‘vital information’ within its study. Webelieve that SE’s definition is defective and has helped to lead them to their erroneousconclusions. Any definition of ‘vital information’ must include its primary function ofinfluencing searching. Therefore, ‘vital information’ should be defined in our discussions as“any information that influences searching or the classification of patent documents”.

Finally, we do not believe that SE’s definition of ‘combination’ has any utility in theTask Force’s study and fails to accurately interpret the intent of the Guide and classificationtitles. There is not, and never has been, any basis for SE’s statement that “an invention isnot a combination just because it contains several elements, but that it requires more thanone essential function.” This extreme and narrow definition is both unjustified and useless.For example, the definition of ‘composition’ in the Guide does not require that it have adifferent function than its ingredients or even a specified function. A composition is merely a‘combination’ of chemical ingredients mixed together that may, or may not, have the sameproperties of its ingredients. Since it is not defined separately in the Guide, the commondictionary definition of the term ‘combination’ must continue to be used. This is fullyconsistent with our interpretation of its meaning, but not SE’s extremely restrictiveinterpretation.

The study by SE and our above statements help to highlight why the USPTOpreviously attempted to avoid this additional task for the Revision Working Group. Itshould be noted that in our 1st draft of the definition format, we included distinct sections thatseparated limiting-type references from informative-type references. In later drafts we didnot, until the one proposed at the last meeting of the Reform Working Group. This was notan accident. This policy shift occurred only after we attempted to separate a few referencesin test situations. During these tests, we determined that significant amounts of time wouldbe needed to accurately separate references. We also determined that attempting to do sowould be nonproductive and dangerous without a review of a significant number of patentdocuments in the back file of all impacted classifications. Based on our problems with thistask, we would encourage the Reform Working Group, when this separation policy isfinalized, to undertake the separation of references for each classification schemesimultaneously with the writing of its subclass definition. In our opinion, attempting a singlemassive separation of informative-type and limiting-type references based merely on thestatements in the references is unworkable. The obsessive removal of limiting-typereferences that has been recommended by SE is totally unjustified and not achievable withinany reasonable time frame.


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Conclusion

USPTO urges that the Task Force adopt our definitions and requirements for bothlimiting references and informative references. We also urge that our recommended policyof more extensive use of limiting references, instead of reliance on general classification rules,be adopted by the Task Force as its recommended policy.

In addition to this, we suggest that the Task Force recommend to the ReformWorking Group that additions, corrections, and deletions of references be assigned to theIPO writing the definition for their subclass and done simultaneously therewith.


IPC/R 3/99 Rev.8

ANNEX 38/ANNEXE 38

Dear Colleagues

As promised at the last Committee of Experts meeting, Anders Bruun and I gottogether to write a definition format based heavily upon that provisionally agreed atthe last meeting of the Reform Group.

As far as we can tell it leaves absolutely nothing out but attempts to redraft in IPCEnglish with a little bit of changing the order of the appearance of some items. Thereare also some queries in red with corresponding comments in the margins. Perhapsthis corresponds more to the "editorial" changes mentioned in the report of theReform Group.

We still think there is a lot of room for looking at some of the wording as to whether itis absolutely necessary as we think that it is so long that the resulting definitions maynot be as good as they could be.

Regards

Jim

Jim CalvertSenior Examiner - International ClassificationsUK Patent and Trademark OfficeTel. 01633 814748Fax. 01633 814827


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GBIPC SUBCLASS DEFINITION FORMAT

SUBCLASSDEFINITIONFORMAT

DESCRIPTION

Subclass Title A subclass title consists of a concise and complete phrase that describes theintended scope of the subject matter appropriate for the subclass.

To help ensure that the scope of a subclass title and its definition are thesame, subclass titles are included within the definition format, or otherwisemade viewable to the user, with the remaining definition sections.

References to other subclasses should not be included with the “viewabletitle” whenever it is specified in more detail in the other portions of theformat. This restriction is not meant to stop the display of importantreferences (i.e., precedence notes) in other formats that use the subclass title(e.g., classification schedules).

SubclassDefinition

What other types ofreferences will there be?

We question the needfor this statement as itseems self-evident to us

A detailed description of the subject matter specifically provided for withinthe scope of the subclass (e.g., the scope of subject matter covered by thetitles within its scheme). The subclass definition should be as structurallysimple as possible and, if feasible, should avoid hierarchies and numberedsubsections. Explanatory headers are encouraged.

Explanatory headers are encouraged. If numbered subsections are created,the convention to be used is that of a standard outline, i.e., capital letter;Arabic numeral; lower case letter; lower case Roman numeral (A., 1., a., i.).No [classification symbol type] references to other Subclasses should beincluded in this section of the format.

When a general statement of the particular category of classification place isincluded in this section, it should precede the detailed definitive informationassociated with it. This should be done for all of the particular categories ofclassification places (e.g., general, method) covered within the scope of thesubclass title.

While a subclass definition may in part “negatively” define the scope of thesubclass (this subclass does not provide for), it must always positively statewhat subject matter it does provide for.

Whenever references to specific classifications are needed to completelyexplain appropriate locations for subject matter referred out by negativedefinitive statements, they should be clearly specified in the “Distinctions andPrioritized Relationship with Other Subclasses” section. A reference(s) inthis section must clearly and positively state the classification(s) where any‘negatively defined’ subject matter excluded from a Subclass is provided for.


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DESCRIPTION


This section may not be needed for many subclasses. Explanatory notesshould only be used when it is necessary to clarify or address specialsituations related to its definition. Normally these are complex issues thatcannot be covered entirely within the definitive information of the subclassdefinition without potentially misdirecting or confusing users.

When necessary, explanatory notes should consist of informative statementsthat further limit, clarify the intent of, or otherwise explain particular terms orconcepts found in the definition of the Subclass.

Any useful graphic representations may also be included in this section,except when it is already explicitly specified in the text of the Subclassdefinition or title (e.g., chemical formula). Graphic representations that areincluded must clarify, limit, or represent typical structure of a complexconcept within the definition.

When this section is used, it should come before all references to otherSubclasses so users can understand the exact intent of any explanatorystatements with the definition since clear understanding of all of thedefinition’s statements are essential when determining relationships withother classifications.

Distinctions andPrioritizedRelationships withOther Subclasses

I don’t think thereshould be precedencereferences to othersubclasses in theschemes

This section may not be needed for many subclasses. However, its inclusionis essential whenever a clear understanding of the scope of its subclassinvolves specifying relationships between it and related subclasses.

Whenever necessary, this section should exhaustively specify all essentialexplanations of relationships between the defined Subclass and anySubclasses significantly affecting its scope. It should point out (1) thedistinctions or similarities between them (i.e., Subclass “lines”) and/or (2) theprioritized relationship between them when [there is major overlapping ofpossible scope] the scope could overlap significantly.

Any additional situations where subject matter would normally be covered bythe title and definition of the subclass, but should be classified in anothersubclass, should also be indicated here. Such cases are always indicated bylimiting references [or precedence references in the scheme itself]. However,within their schemes, those who draft classification schemes should morebroadly specify this information with their Subclass titles. This should bedone in a manner that clearly indicates to users what references are associated


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DESCRIPTION

with the title. Any reference indications presented within the scheme should,by necessity, be less complete and viewable in a less intrusive manner (e.g., atruncated representation, removable from screen display if preferred) than intheir complete presentation versions.The set of references appropriate for this section must specify relevantSubclasses, including particular groups or group ranges, having a relationshipwith the art of the Subclass being defined. Inclusion of the classificationsymbols of the Subclass or groups involved is required. The explanationportion of the reference should always specify what subject matter isappropriate for the cited classification and may include a short statementexplaining the differences between the defined Subclass and referencedclassification.In Subclasses where extensive references are enumerated, it may be helpful tousers to subdivide them into special categories in an appropriate manner (e.g.,where fasteners are manufactured, other types of fasteners).

InformativeReferences toOtherSubclasses

The primary purpose of references in this section should be to provide generalguidance to the user, not to limit the scope of the subclass.

This section does not include limiting references should be retained in theclassification scheme itself.

This section is essential since all references are stated here in their mostcomplete manner. Nevertheless, those drafting classification schemes shouldstill broadly specify this information in subgroup titles within their schemes.This should be done in a manner that clearly indicates to users whatreferences are associated with the title.

The set of references appropriate for this section must specify relevantsubclasses, including particular groups or ranges of groups, having arelationship with the art of the subclass being defined. The explanationportion of the reference should always specify what subject matter isappropriate for the classification referred to and may include a short statementexplaining the differences between the defined subclass and subgroupsreferred to.


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DESCRIPTION

Glossary ofTerms

This section consists of definitions for significant terms or phrases found inthe subclass title or definition, or the titles or definitions of its groups, that arerequired to be used in a more precise or restricted manner than their generalcommon definition would allow. The defined terms or phrases must be ofparticular importance to the subject matter within the scope of the subclassand clearly indicated in the definition’s text as being defined (highlighted).



DESCRIPTION

Group Title A group title consists of a concise and complete phrase that describes theintended scope of the subject matter appropriate for the group within thecontext of its subclass title and any group titles from which it depends.

To help ensure that the scope of a group and its definition are the same, grouptitles are included within the definition format, or otherwise made viewable tothe user, with the remaining definition sections.


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DESCRIPTION

GroupDefinition

See correspondingalteration in “subclasstitle”

Again, we questionwhether the rest of thispara. from “Whenever --- for.” is reallynecessary.

A detailed description of the subject matter specifically provided for withinthe scope of the group and broadly specified in the group’s title. The groupdefinition should be as structurally simple as possible and include an initialportion specifying either (a) its subclass when it is a main group or (b) thegroup it directly hierarchically depends upon in the scheme.

While a group definition may in part “negatively” define the scope of thegroup (this group does not provide for), it must always positively state whatsubject matter the group and its dependent groups provide for. A detaileddescription of the subject matter specifically provided for within the scope ofthe group and broadly specified in the group’s title. The group definitionshould be as structurally simple as possible and include an introductionportion specifying either (a) its Subclass when it is a main group or (b) thegroup it directly hierarchically depends upon in the scheme. If numberedsubsections are created, the convention will be that of a standard outline, i.e.,capital letter; Arabic numeral; lower case letter; lower case Roman numeral(A., 1., a., i.). No references to other Subclasses or groups should be includedin the text of the definition other than in the preamble.Whenever references to specific classifications are needed to completelyexplain appropriate locations for subject matter restricted out by a negativestatement in the definition, they should be clearly specified in the“Distinctions and Prioritized Relationships With Other Groups” section of theformat. A reference(s) in this section must clearly and positively state theclassification(s) where any ‘negatively defined’ subject matter excluded froma group is provided for.

If possible, group titles should define the coverage in a positive manner bystating the intended scope, and not by mentioning symbols of other groupsthat cover matter that is not covered by the present group.


This section may not be needed for most groups. Explanatory notes shouldonly be used when it is necessary to clarify or address special situationsrelated to a group’s definition. Normally these are complex issues that cannotbe covered entirely within the definitive information of the definition withoutpotentially misdirecting or confusing users.

Any useful graphic representations may also be provided in this section,except when it is already explicitly specified in the text of the groupdefinition or title (e.g., chemical formula).


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DESCRIPTION

Distinctionsand PrioritizedRelationshipsWith OtherGroups

Situations where matter would normally be covered by the title and definitionof the group, but should be classified in another group, should be indicatedhere. Such cases are indicated by limiting references or precedencereferences in the scheme itself.

The inclusion of this section is essential whenever a clear understanding ofthe scope of a group involves specifying interfacing relationships betweenseveral related groups. This section will probably be needed for many of thegroups that are not arranged in an order of precedence.

When necessary, this section should exhaustively specify all essentialexplanations of relationships between the defined group and any groupssignificantly affecting its scope. It should point out (1) the distinctions orsimilarities between them and/or (2) the prioritized relationship between themwhen there is an overlapping of possible scope.

The set of references appropriate for this section must specify relevantSubclasses, including particular groups or ranges of groups, having arelationship with the art of the Subclass being defined. Inclusion of theclassification symbols of the Subclass or groups involved is required. Theexplanation portion of the reference should always specify what subjectmatter is appropriate for the classification referred to and may include a shortstatement explaining the differences between the defined Subclass andreferenced classification.

InformativeReferences toOther Groups

This section is essential since all references cited herein are stated in theirmost complete manner but are informative only, i.e. they should not havelimitation of the scope of the group as a primary purpose, but should providemore general guidance to the user.

Limiting references are retained within the classification scheme itself andshould be completely clear although this section may contain furtherexplanation of limiting references.

The set of references appropriate for this section must specify relevantgroups, having a relationship with the art of the group being defined.Inclusion of the classification symbols of the subclass or groups involved isrequired. The explanation portion of the reference should always specify whatsubject matter is appropriate for the classification referred to and may includea short statement explaining the differences between the defined Subclass andreferenced classification.


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DESCRIPTION

In groups where extensive references are enumerated, it may be helpful tousers to subdivide them into special categories in an appropriate manner (e.g.,where fasteners are manufactured, other types of fasteners).


IPC/R 3/99 Rev.8

ANNEX 39/ANNEXE 39

Dear Fellow IPC Reformer,

Please find attached some comments and suggestions for improvement of thedefinition format. I wrote them some weeks ago, but did not send them at thetime, because of the strong reactions on other comments, because it was at alate stage and Sweden had already submitted one set of comments, andbecause I realised that some of the suggestions go beyond what can beconsidered "editorial changes".

However, I believe the paper still contains some useful suggestions that couldbe helpful during the task force meeting. Some conclusions were also drawnwhile drafting proposals for definitions of F23C and C08J in the framework of"D" projects. Therefore I thought it would be more productive to send thepaper than to pretend it doesn't exist. In that way we can be better preparedfor a constructive meeting.

Best regards,Anders


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SEIPC SUBCLASS DEFINITION FORMAT


DESCRIPTION SE Proposal SE Comments

1. Subclass Title To help ensure coextensive scopebetween a Subclass title and itsdefinition, Subclass titles areincluded within the definitionformat, or otherwise madeviewable to the user, with theremaining definition sections. Asubclass title consists of a conciseand complete phrase that describesthe intended scope of the subjectmatter appropriate for theSubclass. Referencedclassifications should not beincluded with the ‘viewable title’whenever they are specified inmore detail in the other portions ofthe format. This restriction is notmeant to preclude the display ofimportant referencedclassifications (e.g., precedencenotes) in other formats that use thesubclass title (e.g., classificationschemes).

This part consists ofthe subclass title asprinted in theclassificationscheme, with theexception of anyreferences.

References should bereflected in otherparts of thedefinitions - limitingreferences in part 4and informativereferences in part 5.

In many casesthe subclasstitle as printedin the IPC is notcomplete, butmust be readtogether withthe Class title.

This questionhas not beenraised before. Isthis somethingthat we want tochange in thefuture - eitherby making thetitles completein the scheme orby making themcomplete in thedefinitions?

2. (SubclassDefinition)

Proposedwording:Coverage of thesubclass

A detailed description of thesubject matter specificallyprovided for within the scope ofthe Subclass (e.g., the scope ofsubject matter covered by the titleswithin its scheme) and broadlyspecified in the Subclass title. TheSubclass definition should be asstructurally simple as possible and,if feasible, should avoid numerousindents and numbered subsections.Explanatory headers areencouraged. If numberedsubsections are created, theconvention will be that of astandard outline, i.e., capital letter;Arabic numeral; lower case letter;

This part contains adetailed presentationof the subject mattercovered by thesubclass, headed bythe words "Thissubclass covers:".

The presentationshould, if necessary,give a more completeinterpretation of thesubclass title. Itshould take intoaccount the coverageof all main groups.

The heading"Subclassdefinition" isnot correct,since in ourunderstandingthe subclassdefinitions isthe totality ofthe differentsections.


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lower case Roman numeral (A., 1.,a., i.). No classification symboltype references to other Subclassesshould be included in this sectionof the format.When a generalstatement of the particularcategory of classification place isappropriately includable in thissection, it should precede thedetailed definitive informationassociated with it. This should bedone for all of the particularcategories of classification places(e.g., general, method) coveredwithin the scope of the Subclasstitle.While a Subclass definitionmay in part ‘negatively’ define thescope of the Subclass (thisSubclass does not provide for), itmust always positively state whatsubject matter it does provide for.Whenever references to specificclassifications are needed tocompletely explain appropriatelocations for subject matterrestricted out by negativedefinitive statements, they shouldbe clearly specified in the“Distinctions and PrioritizedRelationship with OtherSubclasses” section. Areference(s) in this section mustclearly and positively state theclassification(s) where any‘negatively defined’ subject matterexcluded from a Subclass isprovided for.

The presentationshould not includestatements of a morereasoning type. Thistype of statementsshould be placed inpart 3. Meredefinitions of wordsor expressionsshould be placed inpart 6.

The presentationshould be asstructurally simple aspossible. Each partof it should benumbered. Ifsubsections arecreated, theconvention will bethat of a standardoutline, i.e., capitalletter; Arabicnumeral; lower caseletter; lower caseRoman numeral (A.,1., a., i.)


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3. ExplanatoryNotes &Graphics

This section may not be needed formany Subclasses. Explanatorynotes should only be used when itis necessary to clarify or addressspecial situations related to itsdefinition. Normally these arecomplex issues that cannot becovered entirely within thedefinitive information of theSubclass definition withoutpotentially misdirecting orconfusing users.When necessary, explanatorynotes should consist ofinformational statements thatfurther limit, clarify the intent of,or otherwise elucidate particularterms or concepts found in thedefinition of the Subclass.Any useful graphic representationsmay also be included in thissection, except when it is alreadyexplicitly specified in the text ofthe Subclass definition or title(e.g., chemical formula). Graphicrepresentations that are includedmust clarify, limit, or representtypical structure of a complexconcept within the definition.When this section is used, itshould come before all referencesto other Subclasses so users canunderstand the exact intent of any‘elucidated’ statements with thedefinition since clearunderstanding of all of thedefinition’s statements areessential when determiningrelationships with otherclassifications.

This part containsexplanations of thescope of the subclassthat involvespecifyingrelationshipsbetween it andrelated subclassesthat can not beexplained simply inexpressions such as"This subclasscovers…" or "Thissubclass does notcover…".

When suitable, thispart should include astatement of thetypes of classificationplaces (e.g. general,function-oriented ormethod places) in thesubclass. When sucha statement isincluded, it should beplaced first in thispart.

This part may not beneeded for allsubclasses.

4. (Distinctionsand PrioritizedRelationships

This section is needed for almostall Subclasses. Its inclusion isessential whenever a clear

A detailedpresentation ofsubject matter that is

In order toreflect currentIPC reference


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With OtherSubclasses )

Proposal:Limitingreferences

understanding of the scope of itsSubclass involves specifyinginterfacing relationships betweenseveral related Subclasses thatalter the inclusiveness of its statedscope.Whenever necessary, this sectionshould exhaustively specify allessential explanations ofrelationships between the definedSubclass and any Subclassessignificantly impacting its scope.It should point out (1) thedistinctions or similarities betweenthem (i.e., Subclass “lines”) and/or(2) the prioritized relationshipbetween them when there is majoroverlapping of possible scope.Any additional situations wheresubject matter would normally becovered by the title and definitionof the subclass, but should beclassified in another subclass,should also be indicated here.Such cases are always indicated bylimiting references or precedencereferences in the scheme itself.However, within their schemes,classifiers more broadly specifythis information with theirSubclass titles. This should bedone in a manner that clearlyindicates to users what referencesare associated with the title. Anyreference indications presentedwithin the scheme should, bynecessity, be less complete andviewable in a less intrusive manner(e.g., a truncated representation,removable from screen display ifpreferred) than in their completepresentation versions.The set of references appropriatefor this section must specifypertinent Subclasses, including

covered by the title ofthe subclass, butexcluded from thecoverage by limitingreferences,precedencereferences orstatements about theresidual nature ofthe subclass. Thepresentation shouldbe headed by thewords "This subclassdoes not cover:".

Each referenceshould identify thesubject matter that isreferred out and itsclassification symbol,in the format"<subject matter>,which is covered by<classificationsymbol>". Thepresentation should,if necessary, give amore completeinterpretation of therelevant references.

The presentationunder this sectionshould not includestatements of a morereasoning type. Thistype of statementsshould be placed inpart 3.

The presentationshould be asstructurally simple aspossible. Each partof it should be

practice (i.e.that referencesare presentedimmediatelyafter the titles)and the currentpresentation ofnotes, we wouldprefer to put thelimitingreferencesbefore section3.

It was realisedwhile workingon the proposalsthat theprovisionallyapprovedformat did nottell how the listshould actuallylook.


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particular groups or group ranges,having a relationship with the artof the Subclass being defined.Inclusion of the classificationsymbols of the Subclass or groupsinvolved is required. Theexplanation portion of thereference should always specifywhat subject matter is appropriatefor the cited classification and mayinclude a short statementexplaining the differences betweenthe defined Subclass andreferenced classification.In Subclasses where extensivereferences are enumerated, it maybe helpful to users to subdividethem into special categories in anappropriate manner (e.g., wherefasteners are manufactured, othertypes of fasteners).

numbered. Ifsubsections arecreated, theconvention will bethat of a standardoutline, i.e., capitalletter; Arabicnumeral; lower caseletter; lower caseRoman numeral (A.,1., a., i.)

5. (InformationalReferences toOtherSubclasses)

Proposal:Informativereferences

This section may not be needed formany Subclasses. Whenevernecessary, all references citedherein are stated in their mostcomplete manner.The references of this sectionshould not be included in thescheme itself. References withinthis section do not have as primarypurpose of limiting the scope ofthe subclass and are intended onlyfor providing general guidance tothe user.In Subclasses where extensivereferences are enumerated, it maybe helpful to users to subdividethem into special categories in anappropriate manner (e.g., wherefasteners are manufactured, othertypes of fasteners). The set ofreferences appropriate for thissection must specify pertinentSubclasses, including particulargroups or group ranges, having a

This part contains alist of places that arerelated to thesubclass and mightbe interesting forsearch purposes, butdo not interfere withthe coverage of thesubclass as definedby parts 2-4. It maynot be necessary inall subclasses.

Each entry shouldidentify the relatedsubject matter and itsclassification symbol.The entries mayinclude a shortstatement explainingthe differencesbetween the definedsubclass and theplaces referred to.



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relationship with the art of theSubclass being defined. Inclusionof the classification symbols of theSubclass or groups involved isrequired. The explanation portionof the reference should alwaysspecify what subject matter isappropriate for the citedclassification and may include ashort statement explaining thedifferences between the definedSubclass and referencedclassification.

It is recommendedthat the list of entriesis subdivided intodifferent categoriesof related matter, forexamplecombinations of,details of,applications of, andmanufacture of thesubject matter of thepresent subclass.

The size of this listshould represent abalance betweenvolume and ease ofreference. A list ofthis kind can neverbe complete, but itshould includeplaces likely to besearched inconnection with thepresent subclass. Thesame places, or morenarrow parts of thoseplaces, can also bementioned in groupdefinitions.

The list should beheaded by the words"See also thefollowing places,which might be ofinterest for searchpurposes:" and havethe format"<classificationsymbol> for <subjectmatter>".


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6. Glossary ofTerms

Proposal:Defined wordsand expressions

This section may not be needed formany Subclasses. This sectionconsists of definitions for one ormore significant terms or phrasesfound in the Subclass title or itsdefinition, or the titles ordefinitions of its groups, that arerequired to be used in a moreprecise or restricted manner thantheir general common definitionwould allow. The defined terms orphrases must be of particularimportance to the subject matterwithin the scope of the Subclassand clearly indicated in thedefinition’s text as being defined(highlighted).

This part contains alist of defined wordsor expressions thatare used in thesubclass or itsdefinitions. Thedefinition of a wordor expression isnecessary when it isused in a moreprecise or restrictedmanner than whengenerally used.

This part may not benecessary in allsubclasses.

The list should beheaded by the words"In this subclass andits definitions, thefollowing words orexpressions are usedthe meaningindicated:"

Defined words orexpressions shouldbe highlighted whenused in the definedmeaning in thesubclass or itsdefinitions.


7. Rules ofclassification

This part containsclassification rulesaffecting thesubclass or itsgroups, such as lastor first place rules.

It was realisedwhile workingon definitionproposals thatthis section isnecessary.


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SE COMMENTS

IPC DEFINITIONFORMAT FOR

GROUPS

We are still not convinced about the need for a separateformat for groups. We wonder what necessitates it - it seemsthere is no substantial difference in the way subclasses andgroups work.

The big majority of the group format will just be a repetitionof the format for subclasses. It will be easier for the user to seethe differences (if there are any) if there is just one format, inwhich the differences are pointed out.

Since we are not sure about the need for a separate format forgroups we do not make any specific comments at this stage.


IPC/R 3/99 Rev.8

ANNEX 40/ANNEXE 40

USPTO COMMENTSIPC Reform-Definition Task Force Date: April 4, 2001

The USPTO has completed review of the format co-authored by GB and SE. Forease of use during the Task Force meeting, we have inserted our comments into a separaterow following each section of the GB/SE format. The alteration suggestions are included ineach section and ours are shown in blue and those of GB/SE are shown in red. We haveassumed in our comment and proposed modifications that limiting and informative-typereferences will be handled in a manner similar to current practice in the IPC.

In addition to these proposed modifications, we still strongly suggest for presentationconsistency that the section titled “Distinctions and Prioritized Relationships with OtherSubclasses” should be internally subdivided. It would be beneficial to searchers if thissection included a specified internal presentation format for the two distinct types ofreference material that could be covered therein. USPTO suggests that when necessary thefollowing subsection titles be used within this section:• General Relationships Between Subclasses• Specific References to Subject Matter Covered by Other Subclasses

The addition of these subsections would allow classifiers to both broadly stategeneral lines between several particular Subclasses (these could potentially specify a relativeprecedence between these Subclasses) and also state separate references to particulargroups in these Subclasses. The specific limiting references are of interest to searchers andshould be included in the schemes, while the broad relationship statements could not easilybe included within the schemes (see USPTO rewrite of F23B, for example Subclass F23G).

We would suggest that the definition format not include specific list that specify howthe references actually look when listed as suggested by SE in their comments sent April 4,2001. This would probably be better done by distribution of an example packet containingseveral actually completed and approved arrangements. Depending on the total number oflimiting and informative references included in the list, there are several appropriate ways tosubdivide them when necessary by different types of headings. A short list of references isusually best listed in standard alphanumerical order. Any useful headings are likely to be artparticular. For example, for a Subclass that includes only some of the methods ofmanufacturing the products specified in its Subclass title, a heading for ‘methods of making’might be very helpful to searchers.


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USPTO Review of the latest SE & GB Proposal for

IPC SUBCLASS DEFINITION FORMAT


DESCRIPTION

Subclass Title A Subclass title consists of a concise and complete phrase that describes theintended scope of the subject matter appropriate for the Subclass.

To help ensure that the scope of a Subclass title and its definition are the same,Subclass titles are included within the definition format, or otherwise made viewableto the user, with the remaining definition sections.

References to other Subclasses should not be included with the “viewable title”whenever it is specified in more detail in the other portions of the format. Thisrestriction is not meant to stop the display of important references (i.e., precedencenotes) in other formats that use the Subclass title (e.g., classification schemes).

We understand the resistance to the use of the term ‘coextensive’ in this section and the substitution ofthe term ‘same’. We do not object to this substitution, so long as it remains clear that the title of anySubclass or group must be written to be coextensive in scope with both (a) the obligatory patentdocuments classified therein and (b) its definition, explanatory notes, and limiting references. If this isnot now clear, then the term ‘coextensive’ should be retained.SubclassDefinitionStatement

What other typesof references willthere be?

A detailed description of the subject matter specifically provided for within thescope of the Subclass (e.g., the scope of subject matter covered by the titles withinits scheme) and broadly specified in the Subclass title. The Subclass definitionshould be as structurally simple as possible and, if feasible, should avoid hierarchiesand numbered subsections. Explanatory headers are encouraged.

Explanatory headers are encouraged. If numbered subsections are created, theconvention to be used is that of a standard outline, i.e., capital letter; Arabicnumeral; lower case letter; lower case Roman numeral (A., 1., a., i.). No[classification symbol type] references to other Subclasses should be included inthis section of the format.

When a general statement of the particular category of classification place isincluded in this section, it should precede the detailed definitive informationassociated with it. This should be done for all of the particular categories ofclassification places (e.g., general, method) covered within the scope of theSubclass title.While a Subclass definition may in part “negatively” define the scope of theSubclass (this Subclass does not provide for), it must always positively state whatsubject matter it does provide for.


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DESCRIPTION

We question theneed for thisstatement as itseems self-evident to us

Whenever references to specific classifications are needed to completely explainappropriate locations for subject matter referred out by negative definitivestatements, they should be clearly specified in the “Distinctions and PrioritizedRelationship with Other Subclasses” section. A reference(s) in this section mustclearly and positively state the classification(s) where any ‘negatively defined’subject matter excluded from a Subclass is provided for.

We recommend deletion of the second occurrence of the terminology “Explanatory headers areencouraged.”We agree with cancellation of the terminology “classification symbol type” indicated.We do not support deletion of the statement that requires that references be included directingsearchers to the proper location for any art excluded from the definition by ‘negative definitionstatements’. Searchers need this information, and while we agree it should be self- evident, it has notalways been done in the IPC.We think the terminology “and broadly specified in the Subclass title” removed by GB & SE is usefuland should be retained. We agree with SE’s comments on the incompleteness of Subclass titles madein its comments sent April 4, 2001. Subclass titles should be as complete as practical, but their fullyintended scope usually needs to be further interpreted by viewing of all of the group titles in the scheme.Only when the subject matter of group titles fails to be even broadly indicated in the Subclass title isthere a definite need to expand the Subclass title’s scope.We would agree to change the section’s designation from “Subclass Definition” to “DefinitionStatement” in view of SE’s comments sent April 4, 2001.ExplanatoryNotes andGraphics

This section may not be needed for many Subclasses. Explanatory notes shouldonly be used when it is necessary to clarify or address special situations related toits definition. Normally these are complex issues that cannot be covered entirelywithin the definitive information definition statement of the Subclass definitionwithout potentially misdirecting or confusing users.

When necessary, explanatory notes should consist of informative statements thatfurther limit, clarify the intent of, or otherwise explain particular terms or conceptsfound in the definition of the Subclass.Any useful graphic representations may also be included in this section, exceptwhen it is already explicitly specified in the text of the Subclass definition or title(e.g., chemical formula). Graphic representations that are included must clarify,limit, or represent typical structure of a complex


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DESCRIPTION

concept within the definition.

When this section is used, it should come before all references to other Subclassesso users can understand the exact intent of any explanatory statements within thedefinition since clear understanding of all of the definition’s statements are essentialwhen determining relationships with other classifications.

We agree that the suggested substitution of “explain and explanatory” for “elucidate and elucidated” isclearer. We also support the substitution of ‘informative’ for ‘informational’.We have changed the terminology “definitive information” to “definition statement” for consistency withSE’s requested alteration of the above section’s title.Distinctionsand PrioritizedRelationshipswith OtherSubclasses

I don’t thinkthere should beprecedencereferences toother Subclassesin the schemes

This section may not be needed for many subclasses. This section is normallyneeded for Subclasses. However, Its inclusion is essential whenever a clearunderstanding of the scope of its Subclass involves specifying relationships betweenit and related Subclasses that alter the inclusiveness of its stated scope.

This section may be subdivided into two distinct subsections in situation where it isbeneficial for classifiers to both broadly state general lines between severalparticular Subclasses and also state separate specific references to particulargroups of these Subclasses. When this is done, the subsections should be titled (a)“General Relationships Between Subclasses” and (b) “Specific References toSubject Matter Covered by Other Subclasses”.

Whenever necessary, this section should exhaustively specify all essentialexplanations of general relationships between the defined Subclass and anySubclasses significantly affecting its scope. It should point out (1) the distinctionsor similarities between them (i.e., Subclass “lines”) and/or (2) the prioritizedrelationship between them when [there is major overlapping of possible scope] thescope could overlap significantly. While the specific limiting references must beincluded within the Subclass’ scheme, these broad relationship statements may notbe included within its scheme (e.g., it might be located elsewhere with a class title).

Any additional specific situations where subject matter would normally be coveredby the title and definition of the Subclass, but should be classified in anotherSubclass, should also be indicated here. Such cases are always indicated by limitingreferences [or precedence references] in the scheme itself. However, within theirschemes, those who draft classification schemes


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DESCRIPTION

should more broadly specify this information with their Subclass titles. This shouldbe done in a manner that clearly indicates to users what references are associatedwith the title. Any reference indications presented within the scheme should, bynecessity, be less complete and viewable in a less intrusive manner (e.g., atruncated representation, removable from screen display if preferred) than in theircomplete presentation versions.

The set of specific references appropriate for this section must specify relevantSubclasses, including particular groups or group ranges, having a relationship withthe art of the Subclass being defined. Inclusion of the classification symbols of theSubclass or groups involved is required. The explanation portion of the referenceshould always specify what subject matter is appropriate for the cited classificationand may include a short statement explaining the differences between the definedSubclass and referenced classification.

In Subclasses where extensive specific references are enumerated, it may be helpfulto users to subdivide them into special categories in an appropriate manner (e.g.,where fasteners are manufacturing methods, other types of fasteners).

The statement “This section may not be needed for many Subclasses” is almost never correct forlimiting-type references and we have indicated alternative wording.We believe that our previously suggested terminology “that alter the inclusiveness of its stated scope” isuseful and should be included. This helps define limiting-type references (they must modify the scopefrom what could be assumed to be included) from informative type references that do not.We agree with substituting of ‘affecting’ for ‘impacting’. We also agree with replacing “there is majoroverlapping of possible scope” with “the scope could overlap significantly”.We agree that the deleting of “or precedence references” is correct (we were including the Subclasstitle as part of the scheme where it might be useful to state Subclasses having precedence), but theterminology “in the scheme itself” should be retained based upon the Reform WG policy.We agree with that the remaining changes made in this section are useful.We have included our recommendation for subdividing this section into subsections where useful.InformativeReferences toOtherSubclasses

The primary purpose of references in this section should be to provide generalguidance to the user, not to limit the scope of the Subclass.

This section does not include limiting references should be retained in the


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DESCRIPTION

classification scheme itself.

This section is essential since all references are stated here in their most completemanner. Nevertheless, those drafting classification schemes should still broadlyspecify this information in subgroup titles within their schemes. This should be donein a manner that clearly indicates to users what references are associated with thetitle.This section may not be needed for many Subclasses. Whenever necessary, allreferences should be stated in their most complete manner. The references of thissection should not be included in the scheme itself.

The set of references appropriate for this section must specify relevant Subclasses,including particular groups or ranges of groups, having a relationship with the art ofthe Subclass being defined. The explanation portion of the reference should alwaysspecify what subject matter is appropriate for the classification referred to and mayinclude a short statement explaining the differences between the defined Subclassand the subgroups referred to classifications.

We recommend deletion of the terminology “This section does not include limiting references should beretained in the classification scheme itself.” We do not understand what is intended by it and assume itis merely an editing mistake.The next section is entirely incorrect and should be deleted. The WG has indicated that informativeReferences are not to be included in the schemes. We have suggested alternative terminology.We agree that the remaining changes made in this section are an improvement in wording, except thatthe term ‘subgroups’ should be replaced by the term ‘classifications’ (could be either Subclass orgroup).Glossary ofTerms

This section consists of definitions for significant terms or phrases found in theSubclass title or definition statement, or the titles or definition statements of itsgroups, that are required to be used in a more precise or restricted manner thantheir general common definition usage would allow. The defined terms or phrasesmust be of particular importance to the subject matter within the scope of theSubclass and clearly indicated in the definition statement’s text as being defined(highlighted).

We agree with the modified wording of this section.


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DESCRIPTION

Group Title A group title consists of a concise and complete phrase that describes the intendedscope of the subject matter appropriate for the group within the context of itsSubclass title and any group titles from which it depends.

To help ensure that the scope of a group and its definition are the same, group titlesare included within the definition format, or otherwise made viewable to the user,with the remaining definition sections.

If possible, group titles should define the coverage in a positive manner by statingthe intended scope, and not by mentioning symbols of other groups that covermatter that is not covered by the present group.

Again, we understand the resistance to the use of the term ‘coextensive’ in this section and thesubstitution of the term ‘same’. We do not object to this substitution, so long as it remains clear that thetitle of any Subclass or group must be written to be coextensive in scope with both (a) the obligatorypatent documents classified therein and (b) its definition, explanatory notes, and limiting references. Ifthis is not now clear, then the term ‘coextensive’ should be retained.We have removed our inserted statement from the next section. This statement is only intended toencourage writing or rewriting group titles in a positive manner to make them easier to define andunderstand by searchers.GroupDefinitionStatement

A detailed description of the subject matter specifically provided for within thescope of the group and broadly specified in the group’s title. The group definitionshould be as structurally simple as possible and include an initial portion specifyingeither (a) its Subclass when it is a main group or (b) the group it directlyhierarchically depends upon in the scheme.

While a group definition may in part “negatively” define the scope of the group (thisgroup does not provide for), it must always positively state what subject matterthe group and its dependent groups provide for. A detailed description of thesubject matter specifically provided for within the scope of the group and broadlyspecified in the group’s title. The group definition should be as structurally simpleas possible and include an introduction portion specifying either (a) its Subclasswhen it is a main group or (b) the group it directly hierarchically depends upon inthe scheme.If numbered subsections are created, the convention will be that of a standardoutline, i.e., capital letter; Arabic numeral; lower case letter; lower case Romannumeral (A., 1., a., i.). No references to other Subclasses or groups should beincluded in the text of the definition other than in the preamble introduction portion.


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DESCRIPTION

Seecorrespondingalteration in“Subclass title”

Again, wequestion whetherthe rest of thispara. from“Whenever ---for.” is reallynecessary.

Whenever references to specific classifications are needed to completely explainappropriate locations for subject matter restricted out by a negative statement in thedefinition, they should be clearly specified in the “Distinctions and PrioritizedRelationships With Other Groups” section of the format. A reference(s) in this thelimiting reference section must clearly and positively state the classification(s) whereany ‘negatively defined’ subject matter excluded from a group is provided for.

If possible, group titles should define the coverage in a positive manner by statingthe intended scope, and not by mentioning symbols of other groups that covermatter that is not covered by the present group.

We would agree to change the section’s designation from “Group Definition” to “Definition Statement”in view of SE’s comments sent April 4, 2001.We agree with substitution the term ‘initial’ for the term ‘preamble’.We suggest deleting the duplicate statement that seems to be an editorial error.For consistency, we have changed the term “preamble” to “introduction portion”.


This section may not be needed for most groups. Explanatory notes should onlybe used when it is necessary to clarify or address special situations related to agroup’s definition. Normally these are complex issues that cannot be coveredentirely within the definitive information definition statement of the definition withoutpotentially misdirecting or confusing users.When necessary, explanatory notes should consist of informative statements thatfurther limit, clarify the intent of, or otherwise explain particular terms or conceptsfound in the definition of the group.Any useful graphic representations may also be provided in this section, exceptwhen it is already explicitly specified in the text of the group definition or title (e.g.,chemical formula).

We have changed the terminology “definitive information” to “definition statement” for consistency withSE’s requested alteration of the above sections title.We have reinserted a section that was mistakenly removed during editing (duplicate is in equivalentunder Subclass section).Distinctionsand Prioritized

Situations where subject matter would normally be covered by the title anddefinition of the group, but should be classified in another group, should be


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DESCRIPTION

RelationshipsWith OtherGroups

indicated here. Such cases are indicated by limiting references or precedencereferences in the scheme itself.

The inclusion of this section is essential whenever a clear understanding of the scopeof a group involves specifying interfacing relationships between several relatedgroups. This section will probably be needed for many of the groups that are notarranged in an order of general precedence.

When necessary, this section should exhaustively specify all essential explanationsof relationships between the defined group and any groups significantly affecting itsscope. It should point out (1) the distinctions or similarities between them and/or(2) the prioritized relationship between them when there is an overlapping ofpossible scope.The set of references appropriate for this section must specify relevant Subclasses,including particular groups or ranges of groups, having a relationship with the art ofthe groups being defined. Inclusion of the classification symbols of the Subclassesand or groups involved is required. The explanation portion of the reference shouldalways specify what subject matter is appropriate for the classification referred toand may include a short statement explaining the differences between the definedSubclass and referenced classification.

We agree with the replacement of the old terminology of this section with the new terms “affecting”,“relevant”, “of groups”, and “referred to”.InformativeReferences toOther Groups

The primary purpose of references in this section should be to provide generalguidance to the user, not to limit the scope of the group.This section is essential since all references cited herein are stated in their mostcomplete manner but are informative only, i.e. they should not have limitation of thescope of the group as a primary purpose, but should provide more generalguidance to the user.This section may not be needed for many groups. Whenever necessary, allreferences should be stated in their most complete manner. The references of thissection should not be included in the scheme itself.Limiting references are retained within the classification scheme itself and should becompletely clear although this section may contain further explanation of limitingreferences.

The set of references appropriate for this section must specify relevant groups,


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DESCRIPTION

having a relationship with the art of the group being defined. Inclusion of theclassification symbols of the Subclass or groups involved is required. Theexplanation portion of the reference should always specify what subject matter isappropriate for the classification referred to and may include a short statementexplaining the differences between the defined Subclass group and referencedclassification.

In groups where extensive references are enumerated, it may be helpful to users tosubdivide them into special categories in an appropriate manner (e.g., wherefasteners are manufactured, other types of fasteners).

We have inserted a new first section that is an equivalent section to that included in your informative-references section for Subclasses.We have replaced the old introductory section that is incorrect with terminology that is correct and wasrecommended in the equivalent Subclass section.We think your second section should be deleted as indicated since this subject is already covered in thesection for limiting references.We agree to the substitution of the terminology “relevant” and “referred to” for the old terms.The term “Subclass” must be replaced by the term “group” as indicated.


IPC/R 3/99 Rev.8

ANNEX 41/ANNEXE 41

USPTO COMMENTSIPC Reform-Definition Task Force Date: April 4, 2001

IPC Definition Summary SheetDEFINITIONFORMAT DESCRIPTION

Title A classification title consists of a concise and complete phrase that describes theintended scope of the subject matter appropriate for the classification.

Hierarchy requires that a classification is within the scope of those under which it isindented (i.e., possesses all attributes of parent classifications).

Statement An elaboration of the title which provides a more detailed definition of the subjectmatter appropriate for the classification. The description should use words whichare alternatives to those used in the Title. The words in the Title should be thosewhich best define the appropriate subject matter, and should be displayed with theStatement.

The scope of the Title and Statement are the same.

The Statement should provide a positive description of the subject matterappropriate for the classification rather than a negative description of the subjectmatter excluded from the classification. The appropriate classification for excludedsubject matter is found under References (below).


Explanatory notes are additional positive statements of what is appropriate subjectmatter for the classification. They are used to clarify or address special or complexissues which might cause confusion if included in the Statement. They are also usedto explain particular terms or concepts found in the Title or Description. Theappropriate classification for excluded subject matter is found under References(below).

Graphics are an additional representation of subject matter appropriate for theclassification.

RelationshipsBetween LargeArt Areas (e.g.,Subclasses)

When the scope of a large art area (e.g., Subclass), is fundamentally affected by itsrelationships with other large art areas (e.g., other Subclasses), those relationshipsare stated here.

References to specific classification areas are better than generalizations.


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DEFINITIONFORMAT DESCRIPTION

References Limiting References are needed when subject matter otherwise appropriate for theclassification is collected elsewhere – and indicate where it is classified.

Limiting References affect the scope of a classification only for the subject matterwhich is specifically involved.

Precedence References are a type of Limiting Reference.

Informative References are used for subject matter related to the classification butnot appropriate for the classification – and indicate where it is classified.

References can be to other groups in the same Subclass, or to classifications inother Subclasses.

It is useful to group references, especially when there are many. It is easy to groupreferences by whether they are internal or external to the Subclass. It is sometimesdifficult to decide whether references are Limiting or Informative.

Glossary ofTerms

This section consists of definitions for significant words or phrases found in theTitles or Statements. This is particularly useful when the terms are used in a moreprecise or restricted manner than their common usage. When provided, a glossaryis generally only included at the Subclass level.

Explanatory Notes can be used at the group level to help users understand terms orconcepts.


IPC/R 3/99 Rev.8

ANNEX 42/ANNEXE 42

N:\Orgipc\Shared\IPC\MEETINGS\OLD\ref\Task03\R3_an42.doc

DEFINITION TASK FORCE MEETING

Lisbon, April 17, 2001

Summary of Discussions

Participants: Portugal, Sweden, United Kingdom, United States of America, EuropeanPatent Office, International Bureau of WIPO

Items under discussion: limiting and informative references; definition format

Limiting and informative references

Discussions were based on the SE paper of January 11, 2001, and the US comments ofMarch 15, 2001.

The Task Force agreed that it was necessary to elaborate definitions for limiting andinformative references in the IPC with the principal objective of using these definitionsin the revision of the Guide to the IPC and in the preparation of classification definitionsfor particular areas of the IPC. In the future, the definitions of limiting and informativereferences should be explained in more detail in the guidelines. These guidelinesshould address different types of the users of the IPC, such as parties involved in therevision work or the general public.

The Task Force approved the following definition of limiting references:

“A limiting reference is any reference associated with a classification title that excludessubject matter from the scope of this title when the subject matter otherwise fulfils allthe requirements of the classification title or the classification definition explaining thetitle. In order to qualify as limiting, a reference must fulfil the following criteria:

1. The reference must point from one place to another place where those twoplaces at least partly overlap, and must in itself limit the scope of the placewhere it occurs.

2. The reference must point between two places between which multi-aspectclassification of subject matter is not allowed.”

The Task Force agreed that precedence references should be considered as a type oflimiting references. The expression “multi-aspect classification” should be defined inthe Guide to the IPC.

The Task Force approved the following definition of informative references:

“An informative reference is any reference that indicates the location of subject matterthat could be of interest for searching, but which subject matter is not within the scopeof the classification place where the reference occurs.”


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The Task Force agreed that limiting and informative references should be the only typesof references used in the IPC.

The Task Force realized that the correctness of the approved definitions should beverified in particular classification situations in the IPC, for example, function-orientedversus application places, and invited its members to carry out such verification, in thelight of the study presented in the SE paper and in time before the fifth session of theIPC Reform Working Group.

Definition format

The Task Force discussed the consolidated paper and the summary definition formatsubmitted by US on April 10, 2001.

The Task Force agreed that, in great majority of cases, the short version of the definitionformat would provide sufficient guidance for preparing classification definitions inspecific areas of the IPC. Having considered the summary definition format in detail,the Task Force agreed on certain amendments thereto and approved the short version ofthe definition format which is annexed to this summary.

The Task Force realized that when sufficient experience in using the approveddefinition format for preparing classification definitions is accumulated, possiblechanges to the format should be considered, for example, amendments to the text,further detailing of the format, providing an appropriate grouping of informativereferences. Elaboration of a standard template to facilitate drafting of classificationdefinitions should also be considered.

The Task Force agreed to recommend to the IPC Reform Working Group to approve theprepared short definition format and to forward it to the IPC Revision Working Groupfor practical application. Rapporteurs for D-projects should be requested to summarizeexperience in using the format and to report of their findings by March 2002.


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ANNEX

IPC Definition Format

SECTION DESCRIPTION

1.Title The title is as indicated in the classification scheme but does not include anyreferences.

The title consists of a concise and complete phrase that describes the subjectmatter appropriate for the classification place.

The words in the title should be those which best define the appropriatesubject matter.

2. Statement The statement is an elaboration of the title which provides a more detaileddefinition of the subject matter appropriate for the classification place. Thestatement should, whenever possible, use words which are alternatives tothose used in the title.

The scope of the title and statement must be the same.

The statement should provide a positive description of the subject matterappropriate for the classification place, rather than a negative description ofthe subject matter excluded from the classification. The appropriateclassification places for excluded subject matter are found under limitingreferences (see below).

3. LimitingReferences

This section contains further explanation of limiting references, althoughlimiting references are also retained within the classification scheme itself.

Limiting references are needed when subject matter otherwise covered by theclassification place is collected elsewhere. Limiting references must indicatewhere this subject matter is classified.

Precedence references are a type of limiting reference.

The limiting references should be listed in the following order: first,references pointing to places in the same subclass and then referencespointing to classification places in other subclasses, in the alphanumericalorder of these places.


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SECTION DESCRIPTION

4.RelationshipsBetween LargeSubject MatterAreas, e.g.Subclasses

When the scope of a large subject matter area (e.g., a subclass), is generallyaffected by its relationships with other large subject matter areas (e.g., othersubclasses), those relationships are stated here.

This section should only explain relationships that cannot be expressed in theform of references.

5. ExplanatoryNotes andGraphics

Explanatory notes are additional positive statements of what is appropriatesubject matter for the classification. They are used to clarify or addressspecial or complex issues which might cause confusion if included in thestatement. They are also used to explain particular concepts found in the titleor statement.

Graphics, e.g. chemical formulae, drawings, are an additional representationof subject matter appropriate for the classification.

6. SpecialRules ofClassification

This section contains special classification rules affecting the subclass or itsgroups, such as the last place rule or uniform precedence rule

7. Glossary ofTerms

This section consists of definitions for significant words or phrases found inthe titles or statements. This is particularly useful when the terms are used ina more precise or restricted manner than their common usage. Whenprovided, a glossary is generally only included at the subclass level.

8. Informativereferences

An informative reference is any reference that indicates the location of subjectmatter that could be of interest for searching, but is not within the scope of theclassification place where the reference occurs.

Informative references are not part of the classification scheme itself. It isuseful to group informative references, especially if there are many of them.


IPC/R 3/99 Rev.8

ANNEX 43/ANNEXE 43

N:\Orgipc\Shared\IPC\MEETINGS\OLD\ref\Task03\R3_an43.doc

INTRODUCTION OF ILLUSTRATING CHEMICAL STRUCTURAL FORMULAEIN THE IPC

Proposal by the International Bureau

1. At its twenty-ninth session, held in March 2000, the IPC Committee of Expertsconsidered recommendations by the ad hoc IPC Reform Working Group relating to electronicdata illustrating the contents of IPC entries and decided, inter alia, that illustrating chemicalformulae should be introduced in the electronic layer of the IPC in association with chemicalareas of the Classification, where they are needed (see document IPC/CE/29/11,paragraph 31 (b) ).

2. This decision was made in the light of one of major objectives of IPC reform, namely,to make the IPC a readily understood and easily used tool. Illustrating electronic data isintended to facilitate access to, and understanding of, the Classification by a broad range ofusers. The Committee requested the International Bureau to initiate a special project aimingat the preparation of a database of chemical formulae hyperlinked to relevant places in theIPC.

3. At the third session of the ad hoc IPC Reform Working Group, held in May 2000, theDelegation of the Republic of Korea made a presentation of a publication supplementing theKorean issue of the seventh edition of the IPC, which contained classification entries ofsubclasses C 07 C and C 07 D accompanied by illustrating chemical structural formulae (seedocument IPC/REF/3/2, paragraph 57). The Delegation informed that, for facilitating the useof the IPC, chemical formulae would be incorporated in further chemical areas.

4. Since that time, the Korean Industrial Property Office (KIPO) continued its work on theselection of appropriate illustrating chemical formulae and their incorporation into the Koreanversion of the IPC. At the present time, this work is completed. Chemical structural formulaeare introduced in all chemical areas of the IPC, including those outside Section C, such assubclasses A 01 N and A 61 K. Their total number exceeds 2,000. Selection of chemicalformulae has been made by examiners of KIPO; they used Chemdraw software for drawingstructural formulae.

5. The International Bureau appreciated the work conducted by KIPO which significantlyfacilitated access to the IPC for users in the Republic of Korea. The International Bureaurealized that the results of this work could also be used for enriching the contents of theauthentic, English and French, versions of the IPC.

6. Following discussions between the International Bureau and KIPO, KIPO kindly agreedto make available to the International Bureau the electronic data containing illustratingchemical structural formulae. An extract of the data relating to subclass A 01 N is shown inthe Appendix to this proposal. It contains a set of IPC symbols with associated chemicalformulae. The images are presented in PNG format.


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7. The International Bureau proposes that the collection prepared by KIPO be studied witha view to the incorporation of illustrating chemical formulae in the electronic layer of the IPC.If the proposal is approved, the International Bureau plans to post the whole collection on theIPC Web site and to open it for comments and eventual additions by the members andobservers of the IPC Union. Upon completion of this project, the collection of illustratingchemical formulae could be incorporated in the Classification and become an integral part ofthe reformed IPC.

[Appendix follows/L’appendice suit]



Documents

WORLD INTELLECTUAL PROPERTY ORGANIZATION …€¦ · n:\orgipc\shared\ipc\meetings\old\ref\task03\r3_8rev.doc. IPC/R 3/99 Rev.8 ORIGINAL: English/français DATE: May 2, 2001/ 2 mai