Journal of Intellectual Property Rights

Vol. 5 November 2000 pp 307-319

An Approach for Establishing a

Traditional Knowledge Digital Library

VKGupta

National Institute of Science Communication Dr K S Krishnan Marg, New Delhi 110 012

In September 1999, the task force on conservation and sustainable use of medicinal

plants of the Planning Commission, Government of India, constituted a core group for

integration and consolidation of database on medicinal plants. As a sequel to this, after

detailed discussions among the members, the Group assigned the responsibility of

preparing an approach paper on establishing a national traditional knowledge digital

library (fKDL) to the author of this paper which is based on the approach paper pre­

pared by him.

The paper attempts to justify the need for setting up of a national TKDL , which could

be utilized as a proof of the 'prior art' by the examiners of patent offices, nationally and

internationally. It mainly addresses the issues relating to the creation ofTKDL at con­

ceptuallevel, however, an attempt has also been made to define the major work proc­

esses so that a realizable implementation plan becomes available.

Globally, there are two distinct and poten­

tially conflicting knowledge systems. The

knowledge systems of the formal sector, of

both private and public institutions, and the

knowledge systems of the informal sector of

communities and individuals. The formal

sector knowledge systems are recorded,

well documented and are defened through

national and international laws; whereas the

knowledge systems of the informal sector

308 J INTELLEC PROP RIGHTS, NOVEMBER 2000

are often oral, not documented thus non­

defendable. The intellectual property OP) of

the former category is recognized by law.

The latter has practically no defence as no

legislation has yet been enacted. National

concerns have been shown on grant of pat­

ents by developed countries on our tradi­

tional knowledge systems. Typical examples

are patents by developed countries on kala

jeera, amaltus, Indian mustard, etc. Turmeric

patent granted by the US Patent & Trade­

mark Office (USPTO) was successfully

contested by demonstrating the proof of

'prior art'.

The paper attempts to define the need for

setting up of a national TKDL, so that this

library could be utilized as a proof of prior

art by the examiners of patent offices, na­

tionally and internationally. Efforts have

been made to analyse international devel­

opments including inter-govenmental proc­

esses and the national initiative made in the

direction of conserving and/or promoting

traditional knowledge of the country.

As TKDL aims at preventing grant of pat­

ents for non-original inventions, in our tradi­

tional knowledge systems, it is necessary

that the systems and procedures related to

grant of patents at national and international

level are well understood. Also, an innova­

tive strategy will have to be formulated for

addressing complex issues such as non­

availability of documentation, languages,

classification, integration among different

organizations on their knowledge base, so

that it becomes possible to create TKDL

within a defined time frame. Paper attempts

to address the issues relating to the creation

of TKDL at a conceptual level, however, an

attempt has also been made to defi ne the

major work processes, so that a realizable

implementation plan becomes available.

Sytstems and Procedures on Grant

of Patent

As mentioned earlier, the primary objective

of TKDL is to prevent the grant of patents

for non-original inventions in our traditional

knowledge systems .. Therefore, it is impera­

tive to understand in detail the process

relating to grant of patent in an IP office and

the requirements of a patent exami ner. A

patent application filed at an IP office is to

minimally contain information on the follow­

ing aspects:

Date of filing

Applicant

Inventor

International patent classification (IPC)

Title

Abstract

The application number and IPC classifica­

tion is done by the IP receiving office. In the

case of World Intellectual Property Organi­

zation (WIPO)-adminstered Patent Co­

operation Treaty (PeT) countries, priority

date is determined as per well-laid down

GUPTA: AN APPROACH FOR ESTABLISHING ... 309

criteria. An application filed in an IP office is

taken on first-come-first-served basis for

examination by a patent examiner by follow­

ing well-established search and examination

procedure. An examiner may object to the

grant of patent by formally communicating

to the applicant the grounds for the decision.

A mechanism of appeal and/or hearing is

available to the applicant and during ap­

peal/hearing proceedings, if the applicant is

able to satisfy the examiner/appellate board,

IP office may consider revocation of its

objections and may agree to publish the

basic details of invention in its patent gazette

or grant the patent (based on national prac­

tice) . During a definite time period, for the

countries where pre-grant opposition is

practised, member of public (national or

international) can file their formal objections

to the grant of patent. Tribunal/board of

opposition proceeding has to take a final

view on grant of patent based on the claim of

inventor and evidence filed by the party(s)

opposing the grant of patent. It may be seen

that TKDL has a dual role to contribute in

preventing grant of patents for non-original

invetions in our traditional knowledge sys­

tems, i.e. readily making available the infor­

mation to examiners during the examination

process (best option). In case, due to some

reasons TKDL does not become available to

the examiner at the examination stage, it

can be utilized by the country concerned at

the time of opposition proceedings. How­

ever, the first option is pro-active in nature,

therefore, is superior whereas the second

option is reactive in nature. Moreover, some

countries such as the United States do not

invite objections before the grant of patents.

Therefore, TKDL is the only viable route on

patent grant prevention for non-original

invention in our traditional knowledge sys­

tems where pre-grant opposition facilities

are not available, as post-grant opposition is

complex and extremely expensive.

It is apparent, the target segment ofTKDL

is a patent examiner who will be in a posi­

tion to utilize TKDL for search and examina­

tion. Therefore, it is necessary to understand

various kinds of search and examination

steps which are normally carried out in a

national IP office, viz. (i) search for novelty,

(ij) state-of-the-art search (non-obviousness),

and (iii) bibliographic search. Successful

novelty and non-obviousness search is nor­

mally the basis of grant of patents. Search

requests in an IP office in a developed coun­

try are also received from the companies as

input to R&D efforts. Search is based on

some of the following key attributes of the

first page of the patent application:

Inventor

Title

Classification

Country

Priority no.

Filing date

Abstract

Key words

310 J INTELLEe PROP RIGHTS, NOVEMBER 2000

fPC

The primary objective novelty and evaluate

inventive steps of patent application. The

IPe also serves following objectves:

An instrument for the orderly arrange­

ment of patent documents in order to

facilitate access to the technological and

legal information contained therein,

A basis for selective dissemination of

information to all users of patent infor­

mation,

A basis for investigating the state-of-the­

art (obviousness) in given fields of

technology, and

A basis for the preparation of industrial

property statistics which in turn permit

the assessment of technological devel­

opment in various areas.

The classification is hierarchical in nature.

Its major components are: section, class,

sub-class, group, main groups and sub­

group.

National Patent Classification

Patent offices for meeting country specific

requirements have developed their own

national classification which also becomes

the basis of updating international ' patent

classification. Revision to IPe is done every

five years.

Traditional Knowledge Digital

Library - Conceptual Frame Work

The objective ofTKDL is exactly similar to

that of patent database of WIPO's Intellec­

tual Property Digital Library (IPDL) . The

key difference is that IPDL or patent data­

base is created once the patent has been

granted, therefore, IPDL patent database

utilizes well-established classifications such

as IPe and INID and other available docu­

mentation, whereas in case ofTKDL similar

details are not directly available. For creat­

ing TKDL there is a need to compile similar

details as an inventor compiles at his level,

before filing an application in an IP office.

First level of search in an IP office begins

with the sheet of the patent application.

Therefore, it may be prudent to create

TKDL based on information similar to that of

the first sheet of a patent document.

Following are the key considerations which

must be addressed before taking up the

project on TKDL.

(i) Resource/knowledge classification, (ii)

Document classification, (iii) Enhancing

subject-based IPe classification to serve the

national needs, (iv) Deciding on key attrib­

utes of TKDL similar to the first page of

patent application, (v) Finalizing essential

features for search and examination, and

(vi) Identifying primary attributes ofTKDL.

The details on these aspects are described

below:

GUPTA AN APPROACH FOR ESTABLISHING ... 311

Resource/ Knowledge Classification

There may be a conflicting view point whether we need to classify knowledge or resources in various disciplines relating to plant varieties, biodiversity, traditional medi­

cines, etc. on the basis of resource type or use. Patents on products or processes are

normally granted on the basis of use, there­fore, in the first instance apparent choice may be to carry out a use-based classifica­tion. However, countries at national and regional level are primarily concerned about protecting their traditional resources. Also, a resource is likely to have multiple usage. It is possible that presently we may be aware

of only some of the uses/applications. Documentation on all the known uses/applications may not be available. For such an open-ended situation, it will be necessary to develop TKDL for the known

traditional resources, so that, as and when more information is gathered, TKDL is continuously enriched. Therefore, a re­sources-based classification may be more appropriate. This needs to be developed initially at national level and subsequently at

regional level. Efforts will have to be made at international level to make the traditional knowledge resource clasification (fKRC) as an important tool for search by patent exam­iners.

Subject Classification

IPC provides significant level of details as

regard to subject-based classification. It is

possible that the level of details available at

sub-class, group or sub-group level in IPC

may not be adequate to define all the re­

quirements related to medicinal plants.

Therefore, a national level classification on

these aspects may have to be developed.

Once a comprehensive classification suiting

national needs on traditional area is created,

attempts can then be made to get IPC en­

hanced.

Key Attributes

Similar to IPDL which is is based on patents,

attributes list has also been drawn for TKDL.

The key attributes of this list are: title,

knowledge resource, date since known,

country, contact organization, abstract on

usage, key words, IPC, other fields of

search, list of documents, synonyms for

traditional knowledge resource, details of

processes and formulations, etc. Available

INID codes have been utilized for TKDL,

and key attributes format classifications.

One illustrative example sheet for amla has

been transcribed from the Ayurvedic Phar­

macopoeia of India, Part I, Vol I, 1st edition

(see Annexure 1). It may be seen that for

each medicininal plant in actual practice

there may be several publications in differ­

ent formats, therefore for a given traditional

resource multiple sheets may have to be

filled. Presently details are not available on

TKRC, and INID codes are also not available

for all the columns. In addition, subject

312 J INTELLEC PROP RIGHTS, NOVEMBER 2000

specialists may like to provide a higher

order of magnitude details on keywords,

usage, etc. A view may also be needed on

the need and usefulness of each attribute.

Also, the need for enhancing IPC A61K

35/38, where traditional medicine is classi­

fied gets well established.

Features

TKDL is to be created as a Web-enabled

product utilizing the free search features,

and at the same time permitting search on

one or more of the attributes defined in the

attribute list of TKDL (see Annexure 2).

Data dictionary on modern and traditional

names equivalence need be integral to

TKDL so that it is possible to search TKDL

on traditional as well as modern names.

Technical Options

TKDL is likely to be created from varied sources, i.e. documents in multiple lan­guages like Hindi, Urdu, Persian, Sanskrit, English, etc. Some of the documents and publications may follow structured approach, however, majority of documents are likely to be available in an unstructured format. Significant efforts will have to be made in transcription of document and as well as on translation or transliteration. This may cre­ate obvious difficulties in realizing the objec­tives, therefore solutions in the area of document imaging and information system management must be explored for achieving

the desired simplifications. Issues which need be addressed are cross referencing, conversion between different formats, in­cluding multilingual aspects, access control links between textual and image data (bib­liographic references), search techniques

and methodologies, etc. Once these issues

are addressed implementable technical options are required for creating TKDL from: (i) structured documents, (ii) unstruc­

tured documents, and (iii) combination of structured and unstructured documents (for details see Annexure 2).

Work Processes

At this stage there is a need to finalize re­quirement specifications, so that detailed project specifications get formulated. For

realizing these objectives, it is necessary to test and validate the proof of concepts out­lined in conceptual framework. Project

needs inter-disciplinary skills such as sub­ject-based knowledge (medicinal plants) skills in patent examination including the working knowledge of IPC on drugs and

pharmaceuticals, and IT skills on document imaging, Web-enabled application develop­ment and information management systems. The major processes where efforts are re­quired to be made to finalize approach and design philosophy are defined below.

Proof of Concept

This need be done in two stages, i.e. validat­

ing the proforma on key attributes ofTKDL

GUPTA: AN APPROACH FOR ESTABLISHING ... 313

based on available documentation in a sub­

ject area (traditional medicines) and on IPC.

Test filing of this proforma from various

available source documents having different

formats and languages will clarify the issues

raised in conceptual frame work. The filled­

up proforma will also have to be examined

from the view point of a patent examiner so

that higher degree of confidence is attained

in respect of information being collected that

will be useful in preventing grants of patents

for non-original inventions in our traditional

knowledge systems. Under the technical

options, details have been provided on utiliz­

ing various techniques on documents imag­

ing in close association with the techniques

related to information management systems.

These options have been described for

structured documents as well as for unstruc­

tured documents. Therefore, some proto­

type databases may have to be created

where alternate options on document imag­

ing can be attempted. Proof of concept team

may need two to three subject specialists,

one to two patent examiners having working

knowledge of IPC and one to two IT special­

ists.

Classification Requirements

It may be useful to workout methodology on

classification of traditional knowledge re­

sources in various subject areas. Also, an

agreed approach on bibliographic identifica­

tion similar to INID for TKDL key attributes

will be needed. In certain areas IPC in its

present form may not be adequate and it

may need enhancement for meeting specific

needs of a given subject area. The team

composition for carrying out this job will

consist of subject specialists, bibliographic

experts and patent examiners. Classification

standards evolved at country level will have

to be integrated with international standards

either by adopting them or by getting

evolved at international level.

Workload Assessment

Once the experience is gained by proof of

concept team, workload assessment on

classification, document inventorization,

collection of documents, transcription of

data, document imaging requirements,

classification efforts, data entry, verification

and validation including the efforts required

on database population and TKDL hosting,

can be attempted. Workload assessment will

also provide basis for finalizing options on

sub-contracting, details on team composi­

tion, size as well as project schedules.

Requirement Specifications

The processes defined above will permit

preparation of detailed requirement speicifi­

cations which will define details on data in

the subject area, hardware, software, plat­

forms, interfaces with international data­

bases, etc. The requirement specifications

on TKDL shall form the basis of preparation

of the request for proposal (RFP).

314 J INTELLEC PROP RIGHTS, NOVEMBER 2000

WIPO and Traditional Knowledge

The WIPO with 171 signatories is responsi­

ble for the promotion of the protection of IF

throughout the world through cooperation

among its members and for the adminstra­

tion of various multilateral treaties such as

PCT, Berne and Paris Conventions. It also

assists in the implementation of TRIPS

through training and capacity building.

WIPO launched a major international initia­

tive called WIPONET. This project is being

implemented through the Standing Commit­

tee on Information Technology (SCm. The

WIPONET components are: (j) Establish­

ment and operation of a global information

network, (ij) Provision of IP information

services and the establishment of IPDL, (iii)

Automation of WIPO's internal activities

relating to the PCT, WIPO's internal net­

work and automation of the Madrid System

for the International Registration of Marks ,

and (iv) Modernization of IP offices of de­

veloping countries under the national fo­

cused action plans (NFAPs) .

In the context ofTKDL, IPDL and Moderni­

zation of IP offices are of direct relevance.

SCIT in its third plenary session held on 14-

15 June 1999 at Geneva adopted SCIT stra­

tegic information technology plan into the

21st century where the issue of creation of

traditional knowledge databases at the in­

stance of Indian delegates was taken up.

The SCIT recognizes the concern of WIPO

member States regarding the grant of IPR

on non-original inventions in their traditional

knowledge systems due to lack of traditional

knowledge being documented in the public

domain. The SCIT will take the initiative by

including activities in its work programme to

support WIPO members States, in particular

developeding countries, in their creation of

databases in the area of traditional knowl­

edge available in public domain so that prior

art gets established.

.It is also understood that SCIT draft imple­

mentation plan is likely to include creation of

traditional knowledge databases in technical

assistance programme ofWIPO.

There is a need to utilize WIPO's initiative

on WIPONET and its commitment on crea­

tion of traditional knowledge databases by

the developing countries. Following are the

interfaces which are worth pursuing:

Finalization and adaptation by interna­

tional IP community of TKDL key at­tributes. -

Evolving the structure on classifi cation

of traditional resources, development

and adaptation of TKRC.

Validation and verification of our ap­

proach on creation ofTKDL.

Evolving and adopting standards such

as document classification, etc. in the

context of TKDL by international IP

community.

GUPTA: AN APPROACH FOR ESTABLISHING ... 315

Hosting ofTKDL on WIPONET so that

it is accessible to patent examiners of all

the IP offices.

Involvement of WIPO on above mentioned

aspects will ensure utilization ofTKDL by all

the IP offiices and will also ensure estab­

lishment of prior art to the content ofTKDL.

Conclusions

The author has arrived at the following

conclusions on completion of in-depth study

of the issues relating to the creation of

TKDL:

TKDL is a complex but implementable

project.

TKDL is to be used at international

level, therefore, efforts must be made to

adapt or evolve standards on classifica­

tion specific to TKDL which are ex­

tended or adopted by international IP

community.

WIPO has taken initiative to commit

resources in creation of traditional

knowledge databases, therefore, advan­

tage of initiative are to be taken .

The format on key attributes ofTKDL is

going to be the likely basis for creation

ofTKDL, therefore, it is necessary that

proof of concept testing must be thor­

oughly done.

Once TKDL is created and is able to

serve the primary objective of preven­

tion of grant of patents for non-original

inventions in our traditional knowledge

systems, its potential for commercializa­

tion of traditional knowledge in domes­

tic and export market needs to be ex­

ploited.

Careful consideration must be given,

while deciding the contents in phase I.

This must be limited to knowledge sys­

tems which are available in open do­

main and for which possibilities of

claiming patents exist. View may have

to be taken on possibilities of taking in­

ternational patents on some of the tradi­

tional knowledge having commercial

potential and as such not available in

open domain.

For success of this project structured

approach will be necessary, and in addi­

tion to preparation of requirement

specification, the documents on project

management plan, and. quality assur­

ance plan will also have to be adopted

by the project team so that required

quality is ensured in the contents of

TKDL.

The approach outlined is a draft ap­

proach. This need be fIrmed up by dis­

cussion among experts.

316

(54)

()

(72)

(74)

Annexure 1- Key atrributes ofTKDL

AMLA (EMPLIC MYROBAlAN)

Title of Traditional Knowledge Resources

TKRC Codes ______ _

Country INDIA

Details of Contact Organisation

Knowledge Known

since (dd / mm / yyyy)

or

(tick appropriate box)

D D D More than

500 years

More than

200 years

More than

100 years

ISM, GOV[. OF INDIA, M/O HEALTH &

FAMILY WELFARE

E-mail Ph . No_~_

Fax No.

(57) Abstract On Usage RAKTAPIITA, AMLAPIITA, PREMEHA, OAHA

(55) Keywords AM LA, AONLA, NELLIKAAINLA, EMBLICA, EMBLICA

OPPICINACIS GARTEN

(51) International Patent Classification ______________ _

(52)

(58)

National Classification A61K35/78

Field of Search A23Ll/218,

(lPC and/or National

Classification)

A6 1K7/075, A61K7/48

(56) List of Documents with Date of Publiication (Prior Art)

()

()

THE AYURVEDIC PHARMACOPOEIA OF INIDAI PART-I, VOU, 1ST EDITIO N, 1989

Synonyms for Traditional Knowledge

Resource

AMALAKA, AMLAKU, AMLAKHI

OHATillPHALA,OHATm,AMBALA

NELLIKAYI, EMBALI, NELLIKKA, AU LANELLI, USlmKA AMLAJ.

Details on Precesses/Formulations 5 to 10 ML OF FRESH JUICE, FINE om ED

POWDER WITH SOME FORMULATIONS SU<;H AS CYAVANAPRASA, DHATm LAVHA,

TmPHALA CURNA

Note: Primary attribu te is resource, as regards usage attempts need to be made to provide multiple

usage in the same sheet. (However this need be debated)

317

Annexure 2 - Transferring/porting of infonnation into an electronic fonn from the

bibliographic documents

S. Bibliographic

No. Document &

Pre-requisites

1 Option-I

Structured better

quality documents

Complete direc­

tory for words and

pharases pertain­

ing to plant

Imaging Solution

Scanning and Op-

tical Character

Recognition

(OCR), Standard

Generalized

Markup Language

(SGML), Extensi-

ble Mark-up Lan-

guage (XML) and

Object Relational

Database Mgmt

System for storing

embedded objects

Better quality

documents

Complete direc-

tory for words and

pharases

Approach for Convert- Remarks

ing to E-Form

Scanning and Framing If the documents

Using OCR are not structured

Scanning of document and good quality,

Marking frames for tex-retrieving mean-

ingful information tual data and images

is prone to error Information Systems and labour inten-(fextuaI) sive.

Applying OCR to frames Realization of aim

Cleaning and Proof read- in a desired time

ing Saving in desired for- frame and pre-

mats. Uploading of data in requisites are met.

a database Porting of data Information rich into key attributes formats formats such as

Providing keywords for XMLSs are more

searching and classifica- likely to be con-

tion codes in one-line vertible to newer

mode emerging for-

Scanned Documents mats/ standards

(Image) on WEB i.e.

HTML (text), GIf Tagging for Indexes (images) and

Extensible Markup HTTP (fransport

Language (XMLs) and Security)

Converting information

system and scanned

documents into XMLSs

format for standardization

and renidition, fast brows-

ing and multilingual sup-

port

Contd

318 ] INTELLEC PROP RIGHTS, NOVEMBER 2000

Annexure 2 - Transferring/porting of information into an electronic form from the

bibliographic documents -Contd

2 Option II Scanning, Stan- Infonnation Systems More relaiable

Un-structured and dard Generalized (rextual) mannual tTans-

references in the Markup Language Manual transformation of formation of in-

form of bibliogra- (SGML); Exten- information on key attrib- formation on key

hic information sive Mark-up Lan- utes into TKDL format attributes into E-

Better quality guage (XM LS) Enby of data on key alb'i- for·m.

documents and Ojbect Rela- butes into database for- Time consuming

tional Database mats and massive ef-

Mgmt System for Providing keywords for forts in compila-

storing embedded searching and classifica- tion of information

objects tion codes in on-line mode to start with Ex-

Better quality Scanned Documents pertise required to

documents (Image) compile the in-

Tagging for indexes formation and

Extensible Markup transformation to

Language (XMLs) TKDLformat

Scanned Documents Realization of aim

([IFF Images) once the success-

Tagging for indexs ful transmission of

Extensible Markup Lan- information into

guages (XMLS) TKDLformat

Converting information

system and scanned

documents into XMLs

format for standardization

and renidition, fast brows-

ing and multilingual sup-

port

3 Option-III Scanning, Stan- Scanned Documents Documents can

Structured and dard generalized (rIFF Images) be stored in the

unstructured Markup Language Tagging for indexs form of TIFF documents (SGML), Exten- Extensible Markup (Tagged Image

sive Mark-up Lan- Languages (XMLs) File Format) , guage (XML)

Converting information which restricts system and scanned the conversion

Contd

GUPTA: AN APPROACH FOR ESTABLISHING ... 319

Annexure 2 - Transferring/porting of infonnation into an electronic fonn from

the bibliographic documents -Contd

documents into XMLs

format for standardization

and renidition, fast bows­

ing and multilingual sup­

port

between one

format to an­

other al

though supported

by Open interna­

tional standards,

strong industry

support and sup­

ported by widely

available tools.

Conversion of

TIFF images/

scanned docu­

ments require less

reliable technolo­

gies like OCR to

extract meaning

full information.

Scanned docu­

ments require

more storage

space and more

communication

bandwidth.