Information for Inventors

Protection and enforcement of intellectual property rights. The author - Abramenko A.P.

ST RK GOST R 15.011-2005 System development and production of products. Patent research. Content and order of.

Intellectual Property Law of the Republic of Kazakhstan: Textbook / Ed. ed. Ph.D., Associate Professor Z.Kh. Baymoldina, Doctor of Law, Professor THOSE. Kaudyrov. - Astana: State Institute of Legislation of the Republic of Kazakhstan, 2013. - 264 p.

In contemporary submissions for patenting inventions there are distinguished three main structural components: title page, description, drawings (on the condition the invention is a device). 

  • Output data of the invention (Heading);
  • Title/Name of the invention;
  • Abstract;
  • One drawing: if the invention is a physical device.

Title page contents and requirements for invention descriptions during the patent submission process may vary in different countries. Ensuring the title page is formatted according to standards adopted by the local patent board(provincial, national, etc.) is crucial for patent protection. Properly submitted pages allow patents to be systematized and cataloged in the appropriate libraries, patent bureaus and other establishments.

An important part of the patent's description is the formula(claims) of invention (patent formula). Legally the patent formula is the main part of the patent. This section must detail all the features which give the invention novelty. Despite the fact the patent formula is the continuation of the patent description, it is an independent entity within the patent. In English usage the patent formula starts with the words: claim, claims, (I claim, we claim, what I claim is, what we claim is). Normally the formula consists of multiple points presented in the form of enumerated statements. If the formula contains only one point enumeration is not necessary. Each point consists of a single sentence. 

ANALOGUE : An technical solution addressing similar features and functions utilized while designing an object for which the patent researches are given rights in adjoining fields.
PROTOTYPE is the designed object having technical essence and positive effect similar to the previous counterparts though unique enough for patent status. 
PATENT DOCUMENTS – ANALOGUES are patent documents (application forms or published title of protection), issued in different countries for the same invention with the purchase of the conventional priority or without it. It is not recommended to use the terms “patent - analogue” as it can be published applications-analogues. As well as published title of protection (i.e. patent documents) at different stages of publication. 
It is marked that in literature this notion is often given as “patent - analogue” that is not completely correct. These two expressions should not be confused with analogues.

The International Classification of Inventions (MKI), which entered into force on October 7, 1975, provides for the creation of a unified classification system covering patents for inventions, including published patent applications, copyright certificates, utility models and utility certificates (hereinafter referred to as the generic term "patent documents".

The International Classification of Inventions, adopted on the basis of the Strasbourg Agreement Concerning the International Patent Classification of March 24, 1971 and built according to the industry-functional principle, is used as the main or additional means for the internationally uniform classification and search for information about inventions.
MKI covers all areas of knowledge whose objects may be subject to protection by security documents.

МКИ разделена на 8 разделов, имеющих условные названия и обозначенные заглавной буквой латинского алфавита от А до Н:
Section А - (Human Necessities)
Section В - (Performing Operation; Transporting)
Section С - (Chemistry, Metallurgy)
Section D - (Textiles; Paper)
Section Е - (Fixed Construction)
Section F - (Mechanical Engineering; Lighting; Heating; Weapons; Blasting)
Section G – (Physics)
Section Н - (Electricity)

The hierarchy of the structure of the MKI is expressed in the breakdown of all areas of knowledge into several classification levels. In descending order, these hierarchy levels correspond to sections, classes, subclasses, main groups, and subgroups.
A full classification index consists of a combination of symbols used to denote a section, class, subclass, and main group or subgroup.

The MKI rubric is determined on the basis of the subject (object) of the search.

Each section is divided into classes, indicated by two Arabic numerals.
A class contains one or more subclasses. The subclass index consists of a class index and a capital letter of the Latin alphabet.
The subclass is divided into units, which are referred to as "rubrics". Among the headings distinguish the main (main) groups and subgroups.
The MKI fractional rubric index consists of a subclass index, followed by two numbers, separated by a slash.
The core group index consists of a subclass index, followed by a one, two, or three-digit number, a slash, and the symbol 00.
The text of the main group accurately determines the area of ​​technology in which the search is considered most appropriate.
Subgroup index. Subgroups form the headings subordinate to the main group. The subgroup index consists of a subclass index followed by a one, two, or three digit number for the main group to which the subgroup is subordinate, a slash, and at least two digits other than 00.
The text of the subgroup is always understood in the scope of its main group and determines the thematic area in which it is assumed that the search will be most appropriate. Before the text of the subgroup put one or more points that determine the degree of its subordination, i.e. indicate that the group is a heading subordinate to the next higher heading printed with a smaller shift, i.e. having one point less.
In all cases, the text of the subgroup must be understood within the content of the higher senior heading to which the subgroup is subordinate.

In accordance with the standard ST RK GOST R 15-011-96 "System development and production of products for production. Patent research. Content and procedure for conducting “patent research” refers to studies of the technical level and trends in the development of objects of economic activity, their patentability, patent purity, competitiveness (efficiency of use as intended) on the basis of patent and other information.
By their nature and content, patent research refers to applied research and development work and is an integral part of the substantiation of national economic decisions related to the creation, production, sale, improvement, use, repair and removal of production facilities.

In general, the content of patent research may be as follows:

  • study of the technical level of objects of economic activity, identification of trends, the rationale for the forecast of their development;
  • study of the state of the market of this product, the current patent situation, the nature of the national production in the country of study;
  • research of consumer requirements for products and services;
  • research areas of research and production activities of organizations and firms that operate or may operate on the market of the products under investigation;
  • analysis of commercial activities, including licensing activities of developers (organizations and firms), manufacturers, product suppliers and service firms, their patent policy to identify competitors, potential contractors, licensors and licensees, cooperation partners;
  • identifying trademarks (trademarks) used by a competitor;
  • analysis of the activities of an economic entity, the choice of optimal directions for the development of its scientific, technical, industrial and commercial activities, patent and technical policies and the justification of specific requirements for ensuring the effectiveness of the use and competitiveness of products and services; justification of specific requirements for the improvement of existing and the creation of new products and technologies, as well as the organization of services; justification of the work required for this and the requirements for their results;
  • technical and economic analysis and justification of the choice of technical, artistic and design solutions (from among the well-known industrial property objects) that meet the requirements of creating new and improving existing facilities and equipment;
  • justification of proposals on the feasibility of developing new industrial property objects for use in technology objects, ensuring the achievement of the technical indicators stipulated in the technical task (tactical and technical task);
  • identification of technical, artistic and design software and other solutions created in the process of carrying out research and development work with a view to classifying them as protectable objects of intellectual property, including industrial ones;
  • justification of the expediency of legal protection of intellectual property (including industrial) in the country and abroad, the choice of the country of patenting, registration;
  • study of patent cleanliness of objects of technology (examination of objects of technology for patent purity, substantiation of measures to ensure their patent purity and unimpeded production and sale of objects of technology in the country and abroad;
  • analysis of the competitiveness of objects of economic activity, the effectiveness of their use by purpose, compliance with trends and development forecast;
  • identification and selection of license objects and engineering type services;
  • study of the conditions for the implementation of objects of economic activity, justification of measures to optimize them; - justification of the expediency and forms of conducting commercial measures in the country and abroad for the implementation of objects of economic activity, the purchase and sale of licenses, equipment, raw materials, components, etc .;
  • development of recommendations on the use of trademarks in commercial activities;
  • carrying out other works that meet the interests of business entities.

The specific content of patent research is determined depending on the nature of the work carried out, the stages of the life cycle or stages of work at the stages of the life cycle of the object of technology, the results of the analysis of the activity of the economic entity.
Patent research serves as the basis for the creative process in solving scientific problems and developing new technology objects and consists in searching, analyzing and synthesizing an exhaustive patent and mandatory minimum of non-patent information and using it at all stages of research, development and design and technological work.
In the process of patent research confirms the feasibility of a new development, identifies the most progressive direction in the development of a given type, and also identifies the technical characteristics of the best samples.
Patent research, in the broad sense of the term, is the study of patent and non-patent materials in order to study the prior art and the status of patent rights. In a narrower sense, patent research is the search and selection of materials on a particular topic, their systematization, analysis and use.
Patent research is an integral part of patentable research and development work.
Conducting patent information research (patent search) begins with the preparation of an assignment for conducting patent information research on the topic of research (R & D) or experimental design work (R & D) or a graduation (course) project.
When carrying out a thesis (course) project, the student is set the same goals as the performers for research and development; the methodological approach remains the same in the case of the implementation of a real technical project, and for the training project.
The object (object) of the search is determined on the basis of the specific tasks of patent research, the category of the object (device, method, substance), as well as from what its elements, parameters, properties and other characteristics are supposed to be investigated.
After selecting the object (subject) of the search, the developer (student) identifies the index UDC (for searching scientific and technical literature) and the IPC index (for searching patent documentation).
Further, the depth (retrospectiveness) of information retrieval, the countries in respect of which the search is conducted and the sources of information that must be studied during the performance of patent information studies are determined.
When conducting patent research in order to identify analogs for determining the patentability of the proposed technical solution for which an application is being made in order to obtain a patent for invention in the Republic of Kazakhstan, it is recommended to study patent documentation not only in relation to Kazakhstan, but also the following countries: Austria, Australia, UK Germany, Canada, Korea, Russia, the former USSR, Switzerland, the USA, France and Japan, as well as organizations related to ensuring the protection of industrial property rights: The World Intellectual Property Organization (WIPO), the European Patent Organization (EPO), the Eurasian Patent Organization (EAPO), the African Regional Industrial Property Organization (ARIPO).
The listed list of countries and organizations in respect of which patent documents are being studied, are in accordance with Rule 34 of the Regulations under the Patent Cooperation Treaty (PCT), the so-called PCT minimum documentation.
A patent search to determine the achieved technical level of the developed object of technology in comparison with the known analogues may imply the expansion of the list of countries and organizations included in the PCT minimum, since this country, which also should be studied, takes a leading place in the relevant field of science the equipment to which the object being developed belongs, and the exclusion from consideration of the patent and non-patent documentation on technical solutions created in a given country may be distorted See the results of the analysis of the level of technology on the developed object of technology.
When establishing the depth (retrospectiveness) of searching for analogues in order to determine the achieved technical level and trends in the development of technology, a period sufficient to establish the development trends of this type of technology is established (on average, from 5 to 15 years). This should take into account the average period of renewal of equipment in a particular industry and the identified trends in the development of technology in this direction over a certain period of time in order to get a reliable picture.
When developing products for the purpose of their further production and supply to the market, including not only domestic (national), but also external (for export), it is imperative to conduct research to establish patent purity in relation to the country in which products are manufactured and countries in which it will be shipped.
In the course of conducting a patent search in order to conduct an examination of the patent purity of the object under development, all existing security documents relating to technical solutions and other elements of this object that are subject to verification by patent funds are identified.
Retrospective (depth) of the search during the examination of the patent purity of the object is determined by the period of validity of the security documents in a given country, taking into account the possibility of their extension.

When choosing a search country, the performer should be guided by the tasks of conducting patent research.

The results of patent research are used in the development of documents related to the activities of an economic entity and the rationale for its decisions, including:

  • forecasts, programs, business plans, plans for the creation and development of the production of equipment and services;
  • contractual documentation;
  • planning and technical documentation for the implementation of research and development (for example, thematic cards, applications for the development and development of products, the initial requirements of the customer, feasibility studies, technical and tactical and technical tasks);
  • reporting scientific and technical, design, technological, project documentation, technical conditions (technical descriptions), standards for developed products, as well as acts of acceptance of scientific and technical products;
  • documentation related to the assessment of the technical level and product quality, modernization or removal from production;
  • documentation related to the protection of industrial property objects in the country and abroad (inventions, utility models, industrial designs, trademarks);
  • documentation necessary to use the experience and knowledge of other economic entities, including foreign ones (in particular, through the acquisition of licenses), as well as to ensure the necessary supplies, including the import of equipment, components, raw materials;
  • documentation related to the production of equipment objects, the sale of equipment objects, industrial property objects and services in the domestic and foreign markets (for example, patent form on ST RK GOST R 15-011-96, promotional materials, draft contracts on production and delivery of products ; documentation related to the preparation for the sale of licenses);
  • documentation related to the identification and assessment of data on the alleged violation of protected industrial property rights in the country and abroad;
  • documentation relating to the formation and implementation of scientific, technical, patent and commercial policies of an economic entity;
  • documentation related to the formation and implementation of investment policy and lending, with the preparation of investment proposals and projects;
  • documentation confirming the right of an economic entity to tax benefits;
  • other documentation, the content of which may be based on the results of patent research.

If necessary, in the documents developed using the results of patent research, provide a link to the source - a report on patent research indicating its details.
The results of patent research are considered and used in the order established for consideration, acceptance and use of the results of the work carried out by the business entity as a whole, work stages, life cycle stages of the equipment object.

In accordance with the standard ST RK GOST R 15-011-96 report on patent research should contain:

  • title page;
  • list of performers;
  • content;
  • list of abbreviations, symbols, symbols, units, terms;
  • general data on the object of research;
  • the main (analytical) part;
  • conclusion;
  • applications.


The main types of patent searches are: subject, nominal (or proprietary), numbering, patent analogs. The choice of the type of patent search is determined both by the required depth of search and time constraints, and by the search capabilities of the person or organization conducting the search.

Subject search - is the main and most often used. With this type of search, a technical problem is formulated (subject to search), the subject area of ​​the search is limited to the selection of headings (headings) of the patent classification, and patent materials relating to it are identified and analyzed for the required time period.
Name (or corporate) - the search is conducted in the case when the name (s) of the inventor (inventors) or the names of firms are known. This type of search complements the subject search.
Numerical search is carried out when the number of the security document is known and by its number it is required to find out other data about the invention, utility model, industrial design.
Search for patents-analogs - is carried out to identify patents issued in any country and then patented in other countries, i.e. Patents issued in each country of patent for the same invention are identified.
It is advisable to resort to this type of search if a patent is found that is of interest to a specialist in a rare language (for example, Japanese), and analogue patents make it possible to get acquainted with the description of this invention in other more accessible languages ​​(for example, English).
In addition, this type of search complements the subject and is carried out at the stage of detailed familiarization with full descriptions of patents.

Most databases can be searched by the following criteria:

  • systematic search (by MKI indices);
  • lexical search (by keywords);
  • author search (by author name);
  • company search (by the name of the applicant);
  • search by publication data (by number and date of publication);
  • search by priority data (by the number and date of the convention application);
  • search by application data (by number and date of application)

The object (object) of the search is determined on the basis of the specific tasks of patent research, the category of the object (device, method, substance), as well as from what its elements, parameters, properties and other characteristics are supposed to be investigated.

If the subject of patent research is a device (machine, appliance), for example, a meat cutter, a sausage cooking unit, a compressor, a boiled sausage production line, then the search items can be:

  • the device as a whole (general layout, schematic diagram);
  • the principle (method) of operation of the device, for example, the principle of operation of the separator for the separation of cream;
  • components and parts, for example, a tilting mechanism in self-unloading agitators, a valve in autoclaves;
  • materials (substances) used for the manufacture of individual elements of the device, the technology of manufacture of the device, for example, the lining material of the microwave oven chamber used for cooking at home;
  • areas of mutual use: for example, mixers can be used in construction, chemical, food industries (if the theme of the graduation project is the development of a new line for the preparation of sausages, which includes mixers, then in the patent and scientific and technical literature one should look for mixers intended for mixing minced meat, not excluding at the same time viewing technical solutions related to mixers used in construction and chemical industry.


If the topic of patent research is a technological process (for example, the production of canned meat, sausages), then the search items can be:

  • the technological process as a whole, its stages, if they constitute an independent, protectable object (sterilization of canned food, preparation of minced meat for sausages);
  • initial products, for example, shredded veined meat intended for salting in the production of sausages, tin for the production of cans (tare);
  • intermediate products (sausage minced meat) and methods for their preparation (chopping meat on the top, mixing in the mixer the components of minced meat);
  • final products (sausage loaves, past heat treated, sterilized canned food) and areas of their use (use in the diet of therapeutic fermented milk products for the treatment of gastric diseases);
  • equipment on the basis of which this method is implemented (autoclave for sterilizing canned food, refrigeration unit for cooling meat products).

If the subject of patent research is a substance, then the subjects of the search can be:

  • the substance itself (its qualitative or quantitative composition), for example, sausage meat (its recipe);
  • the method of obtaining substances, for example, the method of preparation of fermented milk products, in particular cottage cheese;
  • raw materials (pasteurized milk, bacterial starters used in the production of fermented milk products);
  • areas of possible use (bacterial starters can be used in the production of dairy and meat products).


If the thesis project is associated with the development of machine systems (for example, a mechanized by-product processing line), then decompose into its component parts and search items are each component part of the machine system.
In the course of patent research, both patent and non-patent documentation are studied.
The most valuable in the materials of patent research are full descriptions of inventions and utility models, systematized in the necessary time and functional sequence in accordance with the recommendations of ST RK GOST R 15-011-96 “System of development and putting products into production. Patent research. The content and order of ”. This is explained by the fact that full descriptions of inventions, being patent information, have several advantages over other types of information due to the fact that:

  • descriptions of inventions contain information about the latest achievements of the world's leading firms, which are duplicated in other types of information only by 20-30%;
  • the description of the inventions has a standard structure, which facilitates working with it in a language accessible to the researcher;
  • information about the invention is easily systematized, which facilitates the search and the formation of databases and computer search systems;
  • the most important (effective) inventions are patented simultaneously in several countries (patent analogs), which makes it easy to determine information about the applicant, patent owner, inventor, company name, address;
  • Descriptions of the inventions contain information on which technical and economic indicators of the product can be improved by using the present invention.

Descriptions of the inventions contain information on which technical and economic performance of the product can be improved by using the present invention.

Scientific and technical information, systematized and selected during the search in accordance with the initial parameters of the search task, allows in particular to determine:

  • technical level of products at various stages of its development and commercialization;
  • conditions of competition in the market for products of this type;
  • the possibility of legal protection of scientific and technical achievements created in the development process;
  • conditions for the smooth sale of products on the market of a particular country (examination of patent purity).


Patent research, being an integral part of research and developmental works, is a powerful strategic tool in the arsenal of competition that business entities should use when considering intellectual property as an integral strategic component of the research and development process itself. 

For further information please contact: Pavlodar, 45 Lomov Str., Room 107, Tel. number 8(718 2) 31-64-83 (204)

Все права защищены. © Инновационный Евразийский университет, 2010-2019.