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1851 Identification of Patent Documents - 1800 Patent Cooperation Treaty

1851 Identification of Patent Documents [R-1]

The examiner, in completing the international search report as well as the Chapter II written opinion and final report, is required to cite the references in accordance with the provisions of Administrative Instructions 503 and 611. These sections of the Administrative Instructions require reference citations to include, in addition to other information which is apparent from the forms which the examiner fills out, an indication of the two-letter country code of the country or entity issuing or publishing the document and the standard code for identifying the kind of patent document. The discussion which follows is limited to the identification of patent documents (and nonpatent publications) and a listing of the two-letter country codes for countries or other entities which issue or publish industrial property information.

The standard codes for identifying different kinds of patent documents are found in the "WIPO Handbook on Industrial Property Information and Documentation" - WIPO Standard ST.16 which is published by the World Intellectual Property Organization. The listing is extensive. The Special Program Examiners in each Technology Center (TC) have a complete copy of Standard ST.16. It is also accessible on WIPO's web site (http://www.wipo.int/scit/en/) under the heading "WIPO Standards and Other Documentation." Provided herein is an abbreviated version representing the countries and codes commonly used by the examiner in preparing search reports.

U.S. patents published before January 2, 2001 are Code A documents generally. Beginning with patents published on January 2, 2001, U.S. patents are Code B documents. Patent Application Publications, first published on March 15, 2001, are Code A documents. Reexamination certificates published before January 2, 2001 are Code B documents. Reexamination certificates published on or after January 2, 2001 are Code C documents. Tables providing a complete list of the kind codes of patents and other documents published by the USPTO are included in MPEP § 901.04(a). All nonpatent literature documents are Code N. Numerical designations are sometimes found on published documents along with the letter code designation. These should be used by the examiner only if such numerical designation is on the document. Numerical codes along with letter codes can be found, for example, on certain published patent documents such as the German Offenlegungsschrift and published international applications. If numerical designations are not provided, the examiner should use only the letter code designation.

The most commonly cited documents are patents and published patent applications. A guideline for the citation of such documents is listed below. The listing is indicated in the order in which the elements should be listed.

In the case of a patent or published patent application:

(A) The Office that issued the document, by the two letter code (WIPO Standard ST.3);

(B) The number of the document as given to it by the Office that issued it (for Japanese patent documents the indication of the year of the reign of the Emperor must precede the serial number of the patent document);

(C) The kind of document, by the appropriate symbols as indicated on the original document or as given in Appendix II to WIPO Standard ST.16;

(D) The name of the patentee or applicant (in capital letters, where appropriate, abbreviated);

(E) The date of publication of the cited patent document indicated thereon;

(F) Where applicable, the pages, columns or lines where the relevant passages appear, or the relevant figures of the drawings.

The following examples illustrate the citation of a patent document as indicated above:

JP 50-14535 B (NCR CORP.) 28 May 1975 (28.05.75), see column 4, lines 3 to 27.

DE 3744403 A1 (A. JOSEF) 29 August 1991 (29-08-91), page 1, abstract.

US 4,540,573 A (NEURATH et al.) 10 September 1985 (10/09/85), see entire document, especially column 1, lines 10-23.

STANDARD CODE FOR THE IDENTIFICATION OF DIFFERENT KINDS OF PATENT DOCUMENTS

The Code is subdivided into mutually exclusive groups of letters. The groups characterize patent documents, nonpatent literature documents (N), and restricted documents (X). Groups 1-7 comprise letters enabling identification of documents pertaining to different publication levels.

Group 1			Use for the primary or major series of patent documents (excluding the utility model documents of Group 2 and the special series of patent documents of Group 3, below)
A		First publication level
B		Second publication level
C		Third publication leve

Group 2			Use for utility model documents having a numbering series other than the documents of Group 1
U		First publication level
Y		Second publication level
Z		Third publication level

Group 3			Use for major special types of patent document
M		Medicament patent documents
P		Plant patent documents
S		Design patent documents

Group 4			Use for special types of patent documents or documents derived from/relating to patent applications and not covered by Groups 1 to 3 above:
L		Documents, not covered by letter code W, relating to patent documents and containing bibliographic information and only the text of an abstract and/or claim(s) and, where appropriate, a drawing.
R		Separately published search reports
T		Publication, for information or other purposes, of the translation of the whole or part of a patent document already published by another office or organization
W		Documents relating to utility model documents falling in Group 2 and containing bibliographic information and only the text of an abstract and/or claim(s) and, where appropriate, a drawing

Group 5			Use for series of patent documents not covered by Groups 1 to 4, above
E		First publication level
F		Second publication level
G		Third publication level

Group 6			Use for series of patent documents or documents derived from/relating to patent applications not covered by Groups 1 to 5 above, according to the special requirements of each industrial property office
H
I

Group 7			Other
N		Non-patent literature documents
X		Documents restricted to the internal use of industrial property offices

List of Examples of Patent Documents, Previously and Currently Published, or Intended To Be Published, Divided According to Code

CODE: A	Patent Documents Identified as Primary or Major Series - First Publication Level
EXAMPLES:
Australia	Standard or petty patent application
Austria	Patent application (Aufgebot)
Belgium	Brevet d'invention/Uitvindingsoctrooi
Belgium	Brevet de perfectionnement/Verbeteringsoctrooi
Belgium	Demande de brevet d'invention/Uitvin dingsoctrooiaanvraag
Brazil	Pedido de privilégio (Unexamined patent application for invention)
Bulgaria	Patentna zajavka predostavena za publichna inspektzija (Patent application made available to the public)
Canada	Patent (prior to October 1, 1989, under previous Patent Act)
Canada	Patent application laid open to public inspection under amended Patent Act, as of October 1, 1989)
China	Patent application published before the examination
Cuba	Patent application
Czechoslovakia	Patent application
Czechoslovakia	Inventor's certificate application
Czech Republic	P£ihlá3ka Vynálezu (Application for the protection of an invention - patent)
Denmark	Almindeligt tilgaengelig patentansøgning
Egypt	Patent specification
European Patent Office	Patent application published with search report
European Patent Office	Patent application published without search report
European Patent Office	Separate publication of the search report
Finland	Julkiseksi tullut patenttihakemus-Allmänt tillgänglig patentansökan
France	Brevet d'invention (old law)
France	Brevet d'invention premiére et unique publication
France	Certificat d'addition à un brevet d'invention, premiére et unique publication
France	Certificat d'utilité, premiére et unique publication
France	Certificat d'addition à un certificat d'utilité, premiére et unique publication
France	Demande de brevet d'invention, premiére publication
France	Demande de certificat d'addition à un brevet d'invention, premiére publication
France	Demande de certificat d'utilité, premiére publication
France	Demande de certificat d'addition à un certificat d'utilité, premiére publication
Germany	Offenlegungsschrift
Germany (document published by the Patent Office of the former GDR)	Patentschrift (Ausschliessungspatent), patent granted in accordance with paragraph 17.1 of the Patent Law of the former German Democratic Republic of October 27, 1983
Germany (document published by the Patent Office of the former GDR)	Patentschrift (Wirtschaftspatent), patent granted in accordance with paragraph 17.1 of the Patent Law of the former German Democratic Republic of October 27, 1983
Greece	Diploma evresitechnias
Greece	Etisi gia Diploma evresitechnias
Greece	Etisi gia Diploma tropopiisis
Hungary	Patent application
India	Patent specification
Ireland	Patent specification
Israel	*>Bakashah< lepatent (Application of patent for invention)
Italy	Domanda di brevetto publicata
Japan	Kôkai tokkyo kôhô
Japan	Kôhyo tokkyo kôhô
Luxembourg	Brevet d'invention
Luxembourg	Certificat d'addition à un brevet d'invention
Malawi	Patent application
Mexico	Patent (Granted patent - according to old law)
Mexico	Patent application (according to new law)
Mongolia	Patent
Morocco	Brevet d'invention
Netherlands	Terinzagegelegging
New Zealand	Patent application
Norway	Alment tilgjengelige patentsöknader
OAPI	Brevet d'invention
Pakistan	Patent specification
Peru	Patente de invención
Philippines	Patent for invention
Poland	Opis zgloszeniowy wynalazku
Portugal	Pedido de patente de invenção
Republic of Korea	Konggae t'ukho kongbo
Romania	Descrierea inventiei
Romania	Cerere de brevet de invente
Russian Federation	Zayavka na izobreteniye (Published application for invention)
Slovakia	Prihláska vynálezu (Published application for invention)
Slovenia	Patent
Slovenia	Patent s skraj3anim trajanjem (Short-term patent)
Soviet Union	Opisanie izobreteniya k patentu
Soviet Union	Opisanie izobreteniya k avtorskomu svidetelstvu
Spain	Patente de invención
Spain	Solicitud de patente con informe sobre el estado de la técnica (Patent application published with search report)
Spain	Solicitud de patente sin informe sobre el estado de la técnica (Patent application published without search report)
Sweden	Allmant tillganglig patentansokan
Switzerland	Auslegeschrift/Fascicule de la demande/Fascicolo della domanda (Patent Application published and pertaining to the technical fields for which search and examination as to novelty are made)
Switzerland	Patentschrift/Fascicule du brevet/Fascicolo del brevetto (Patent published and pertaining to the technical fields for which neither search nor examination as to novelty are made)
Tunisia	Talab Baraat Ekhtiraâ
Turkey	Patent tarifnamesi
United Kingdom	Patent specification (old Law; not printed on documents)
United Kingdom	Patent application (new Law)
United States of America	Patent (published before January 2, 2001)
United States of America	Patent application publication (published beginning March 15, 2001)
World Intellectual Property Organization	International application published with or without the international search report
Yugoslavia	Patenta prijava koja se moze razgledati

CODE: B	Patent Documents Identified as Primary or Major Series -Second Publication Level
EXAMPLES:
Australia	Accepted standard or petty patent
Austria	Patentschrift
Belgium	Brevet d'invention/Uitvindingsoctrooi
Brazil	Patente (granted patent of invention)
Canada	Reissue patent (prior to October 1, 1989, under previous Patent Act)
Cuba	Patente de invención
Czechoslovakia	Popis vynalezu k patentu
Czechoslovakia	Popis vynalezu k autorskemu osvedceni
Czech Republic	Patentovy spis (patent specification)
Denmark	Fremlaeggelsesskrift (old Law)
Denmark	Patentskrift
Denmark	Patentskrift (amended)
Finland	Kuulutusjulkaisu - Utläggningsskrift
France	Brevet d'invention, deuxième publication de l'invention
France	Certificat d'addition à un brevet d'invention, deuxième publication de l'invention
France	Certificat d'utilité, deuxième publication de l'invention
France	Certificat d'addition à un certificat d'utilité, deuxième publication de l'invention
Germany	Auslegeschrift
Germany (document published by the Patent Office of the former GDR)	Patentschrift (Ausschliessungspatent), patent granted in accordance with paragraph 18.1 of the Patent Law of the former German Democratic Republic of October 27, 1983
Germany (document pub lished by the Patent Office of the former GDR)	Patentschrift (Wirtschaftspatent), patent granted in accordance with paragraph 18.1 of the Patent Law of the former German Democratic Republic of October 27, 1983
Greece	Diploma evresitechnias (Patent of invention)
Greece	Diploma tropopiisis (Patent of addition)
Hungary	Szabadalmi leiras
Indonesia	Patent granted in accordance with article 61 of the Patent Law, Number 6 of 1989 Concerning Patents
Japan	Tokkyo kôhô
Netherlands	Openbaar gemaakte octrooiaanvrage
Norway	Utlegningsskrift
Poland	Opis patentowy
Portugal	Patente de invenção (Granted patent of published application)
Republic of Korea	T'ukho kongbo
Spain	Patente de invención con informe sobre el estado de la técnica (Patent specification with search report)
Spain	Patente de invención con examen previo (Patent specification published after examination)
Sweden	Utläggningsskrift
Switzerland	Patentschrift/Fascicule du brevet/Fascicolo del brevetto (Patent published and pertaining to the technical fields for which search and examination as to novelty are made)
United Kingdom	Amended patent specification (old Law)
United Kingdom	Patent specification (new Law)
United States of America	Reexamination certificate (published prior to January 2, 2001)
United States of America	Patent (published on or after January 2, 2001)

CODE: C	Patent Documents Identified as Primary or Major Series - Third Publication Level
EXAMPLES:
Argentina	Patente de invención (Patent)
Australia	Standard or petty patent, amended after acceptance
Canada	Patent (under amended Patent Act, as of October 1, 1989)
Denmark	Patentskrift (old Law)
Finland	Patentti (Patent)
Germany	Patentschrift
Germany (document published by the Patent Office of the former GDR)	Patentschrift (Ausschliessungspatent), Patent granted in accordance with paragraph 19 of the Patent Law of the former German Democratic Republic of October 27, 1983
Netherlands	Octrooi
Norway	Patent
Poland	Opis patentowy
Republic of Moldova	Patent specification
Romania	Brevet de inventie
Russian Federation	Patent na izobreteniye (Patent for invention)
Sweden	Patentskrift
United Kingdom	Amended patent specification (new Law)
United States of America	Reexamination certificate (published on or after January 2, 2001)
Yugoslavia	Patentni spis (Patent specification)

CODE: E	Patent Documents Identified as Series Other Than the Documents Coded A, B, C, U, Y, Z, M, P, S, T, W, L or R - First Publication Level
EXAMPLES:
Canada	Reissue patent (under amended Patent Act, as of October 1, 1989)
France	Certificat d'addition à brevet d'invention (old Law)
Sweden	Patentskrift i ändrad lydelse (Amended patent specification)
United States of America	Reissue patent

CODE: H	Patent Documents Identified in Series According to Special Requirements of Individual Industrial Property Offices
EXAMPLES:
United States of America	Statutory invention registration

CODE: M	Patent Documents Identified in Series According to Special Requirements of Individual Industrial Property Offices
EXAMPLES:
France	Brevet spécial de médicament
France	Addition à un brevet spécial de médicament

CODE: P	Plant Patent Documents
EXAMPLES:
United States of America	Plant patent
United States of America	Plant patent application publication

CODE: S	Design Patent Documents
EXAMPLES:
Brazil	Pedido de privilégio (unexamined patent application for industrial model)
Russian Federation	Patent na promishlenniy obrazets (Design patent)
United States of America	Design patent

CODE: U	Utility Model Documents Having a Numbering Series Other Than the Documents Coded A, B or C- First Publication Level
EXAMPLES:
Austria	Gebrauchsmusterschrift (published with or without a search report)
Brazil	Pedido de privilégio (unexamined patent application for industrial model)
Bulgaria	Zajavka za polezni modeli predostavena za publichna inspektzija (Utility model application made available to the public)
Czech Republic	Uzitny vzor (Utility model)
Denmark	Almindeligt tilgaengelig brugsmodelansogning
Denmark	Brugsmodelskrift
Finland	Hyödyllisyysmalli-Nyttighetsmodell (Utility model)
Germany	Gebrauchsmuster
Greece	Etisi gia Pistopiitiko Ipodigmatos Chrisimotitas (Utility model application)
Hungary	Hasznalati minta leiras (Utility model specification)
Japan	Kôkai jitsuyô shin-an kôhô (Published unexamined utility model application)
Japan	Tôroku jitsuyô shin-an kôhô (Published registered utility model application) (without substantive examination)
Mexico	Utility model
Poland	Opis zgloszeniowy wzoru uzytilowego
Portugal	Pedido de modelo de utilidade (Published application for a utility model)
Republic of Korea	Konggae shilyong shin-an kongbo
Russian Federation	Svidetelstvo na poleznuyu model (Certificate for utility model)
Slovakia	Úºitkovy vzor (Utility model)
Spain	Solicitud de modelo de utilidad

CODE: Y	Utility Model Documents Having a Numbering Series Other Than the Documents Coded A, B or C- Second Publication Level
EXAMPLES:
Brazil	Patente (granted patent of utility model)
Bulgaria	Opisanie na patent za polezen model (Description of a patent for utility model)
Denmark	Brugsmodelskrift
Denmark	Brugsmodelskrift (amended)
Greece	Pistopiitiko Ipodigmatos Chrisimotitas (Utility model)
Japan	Jitsuyô shin-an kôhô (Published examined utility model application)
Poland	Opis ochronny wzoru uzytkowego
Portugal	Modelo de utilidade (Granted utility model)
Republic of Korea	Shilyong shin-an kongbo (Utility model specification)
Spain	Modelo de utilidad
Spain	Model o de utilidad

Country Codes

The two-letter country codes listed below are set forth in WIPO Standard ST.3, which is published in the "WIPO Handbook on Industrial Property Information and Documentation" and is accessible via the internet at the WIPO website (www.wipo.org). WIPO Standard ST.3 provides, in Annex A, Section 1, a listing of two-letter country codes and/or organizational codes in alphabetic sequence of their short names for the states, other entities and intergovernmental organizations issuing or publishing industrial property documents. Codes for states or organizations that existed on January 1, 1978 but that no longer exist are provided in Annex B, Section 2. Annex B, Section 1 (not reproduced below) lists States for which the Codes have changed.

List of States, Other Entities and Intergovernmental Organizations, in Alphabetic Sequence of Their Short Names, and Their Corresponding Codes
Afghanistan	AF
African Intellectual Property Organization (OAPI)	OA
African Regional Industrial Property Organization (ARIPO)	AP
Albania	AL
Algeria	DZ
Andorra	AD
Angola	AO
Anguilla	AI
Antigua and Barbuda	AG
Argentina	AR
Armenia	AM
Aruba	AW
Australia	AU
Austria	AT
Azerbaijan	AZ
Bahamas	BS
Bahrain	BH
Bangladesh	BD
Barbados	BB
Belarus	BY
Belgium	BE
Belize	BZ
Benelux Trademark Office (BBM) and Benelux Designs Office (BBDM)	BX
Benin	BJ
Bermuda	BM
Bhutan	BT
Bolivia	BO
Bosnia and Herzegovina	BA
Botswana	BW
Bouvet Island	BV
Brazil	BR
Brunei Darussalam	BN
Bulgaria	BG
Burkina Faso	BF
Burundi	BI
Cambodia	KH
Cameroon	CM
Canada	CA
Cape Verde	CV
Cayman Islands	KY
Central African Republic	CF
Chad	TD
Chile	CL
China	CN
Colombia	CO
Comoros	KM
Congo	CG
Cook Islands	CK
Costa Rica	CR
Côte d'Ivoire	CI
Croatia	HR
Cuba	CU
Cyprus	CY
Czech Republic	CZ
Democratic People's Republic of Korea	KP
Democratic Republic of the Congo	CD
Denmark	DK
Djibouti	DJ
Dominica	DM
Dominican Republic	DO
East Timor	TP
Ecuador	EC
Egypt	EG
El Salvador	SV
Equatorial Guinea	GQ
Eritrea	ER
Estonia	EE
Ethiopia	ET
Eurasian Patent Organization (EAPO)	EA
European Community Trademark Office (See Office for Harmonization in the Internal Market)	EP
European Patent Office (EPO)	EP
Falkland Islands (Malvinas)	FK
Faroe Islands	FO
Fiji	FJ
Finland	FI
France	FR
Gabon	GA
Gambia	GM
Georgia	GE
Germany	DE
Ghana	GH
Gibraltar	GI
Greece	GR
Greenland	GL
Grenada	GD
Guatemala	GT
Guinea	GN
Guinea-Bissau	GW
Gulf Cooperation Council (see Patent Office of the Cooperation Council for the Arab States of the Gulf)
Guyana	GY
Haiti	HT
Holy See	VA
Honduras	HN
Hong Kong (See The Hong Kong Special Administrative Region of The People's Republic of China)
Hungary	HU
Iceland	IS
India	IN
Indonesia	ID
International Bureau of the World Intellectual Property Organization (WIPO)	IB, WO
Iran (Islamic Republic of)	IR
Iraq	IQ
Ireland	IE
Israel	IL
Italy	IT
Jamaica	JM
Japan	JP
Jordan	JO
*>Kazakhstan<	KZ
Kenya	KE
Kiribati	KI
Korea (See Democratic People's Republic of Korea; Republic of Korea)
Kuwait	KW
Kyrgyzstan	KG
Laos	LA
Latvia	LV
Lebanon	LB
Lesotho	LS
Liberia	LR
Libya	LY
Liechtenstein	LI
Lithuania	LT
Luxembourg	LU
Macau	MO
Madagascar	MG
Malawi	MW
Malaysia	MY
Maldives	MV
Mali	ML
Malta	MT
Mauritania	MR
Mauritius	MU
Mexico	MX
Monaco	MC
Mongolia	MN
Montserrat	MS
Morocco	MA
Mozambique	MZ
Myanmar	MM
Namibia	NA
Nauru	NR
Nepal	NP
Netherlands	NL
Netherlands Antilles	AN
New Zealand	NZ
Nicaragua	NI
Niger	NE
Nigeria	NG
Northern Mariana Islands	MP
Norway	NO
Office for Harmonization in the Internal Market (Trademarks and Designs) (OHIM)	EM
Oman	OM
Pakistan	PK
Palau	PW
Panama	PA
Papua New Guinea	PG
Paraguay	PY
Patent Office of the Cooperation Council for the Arab States of the Gulf (GCC)	GC
Peru	PE
Philippines	PH
Poland	PL
Portugal	PT
Qatar	QA
Republic of Korea	KR
Republic of Moldova	MD
Romania	RO
Russian Federation	RU
Rwanda	RW
Saint Helena	SH
Saint Kitts and Nevis	KN
Saint Lucia	LC
Saint Vincent and the Grenadines	VC
Samoa	WS
San Marino	SM
Sao Tome and Principe	ST
Saudi Arabia	SA
Senegal	SN
Seychelles	SC
Sierra Leone	SL
Singapore	SG
Slovakia	SK
Slovenia	SI
Solomon Islands	SB
Somalia	SO
South Africa	ZA
South Georgia and the South Sandwich Islands	GS
Spain	ES
Sri Lanka	LK
Sudan	SD
Suriname	SR
Swaziland	SZ
Sweden	SE
Switzerland	CH
Syria	SY
Taiwan, Province of China	TW
Tajikistan	TJ
Tanzania (see United Republic of Tanzania)
Thailand	TH
The Former Yugoslav Republic of Macedonia	MK
The Hong Kong Special Administrative Region of The People's Republic of China	HK
Togo	TG
Tonga	TO
Trinidad and Tobago	TT
Tunisia	TN
Turkey	TR
Turkmenistan	TM
Turks and Caicos Islands	TC
Tuvalu	TV
Uganda	UG
Ukraine	UA
United Arab Emirates	AE
United Kingdom	GB
United Republic of Tanzania	TZ
United States of America	US
Uruguay	UY
Uzbekistan	UZ
Vanuatu	VU
Vatican City State (See Holy See)
Venezuela	VE
Viet Nam	VN
Virgin Islands (British)	VG
Western Sahara	EH
World Intellectual Property Organization (WIPO) (International Bureau of)	WO, IB
Yemen	YE
Yugoslavia	YU
Zambia	ZM
Zimbabwe	ZW
Annex B, Section 2
List of States or Organizations That Existed on January 1, 1978, But That No Longer Exist
Czechoslovakia	CS
Democratic Yemen	SY/YD
German Democratic Republic	DL/DD
International Patent Institute	IB
Soviet Union	SU

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