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"Kind Codes" Included on the USPTO Patent Documents

On January 2, 2001, the United States Patent and Trademark Office (USPTO) began printing the World Intellectual Property Organization (WIPO) Standard ST.16 code on each of its published patent documents. WIPO Standard ST.16 codes (kind codes) include a letter, and in many cases a number, used to distinguish the kind of patent document (e.g., publication of an application for a utility patent (patent application publication), patent, plant patent application publication, plant patent, or design patent) and the level of publication (e.g., first publication, second publication, or corrected publication). Detailed information on Standard ST.16 and the use of kind codes by patent offices throughout the world is available on the WIPO web site at  http://www.wipo.int/scit/en , under the links for WIPO standards and other documentation.

In accordance with the America Invents Act of 2011 (AIA), the USPTO created new post-grant procedure publications, resulting in new kind codes being established.  The new post-grant procedure publications include supplemental examination certificates, post-grant review certificates, inter partes review certificates, and derivation certificates.  Each type of certificate will have a new kind code.  Additional information on the AIA is posted on the USPTO web site at: http://www.uspto.gov/aia_implementation/index.jsp

The tables below show a summary of the kind codes no longer used as of January 2, 2001; a summary of the kind codes used on documents published beginning January 2, 2001; and a summary of new kind codes added as a result of the America Invents Act of 2011 (AIA). It is recommended that USPTO documents be identified by the following three elements: 1) the two-character country code (US for United States of America); 2) the patent or publication number; and 3) the WIPO ST.16 kind code. For example, "US  7,654,321 B1" for U.S. Patent No. 7,654,321 where there was no previously-published patent application publication, and "US 2003/1234567 A1" for U.S. Patent Application Publication No. 2003/1234567, published in 2003. Each year the numbering of published patent applications will begin again with the new four digit year and the number 0000001, so the number of a patent application publication must include an associated year.

Summary of USPTO Kind Codes No Longer Used As of January 2, 2001*
WIPO ST.16 Kind Codes
Kind of document
Comments
A
Patent
Kind code replaced by B1 or B2
P
Plant Patent
Kind code replaced by P2 or P3
B1, B2, B3
Reexamination Certificate
Kind code replaced by C1, C2, C3

*See the table below for the new uses for codes B1 and B2 beginning January 2, 2001.

 

Summary of USPTO Kind Codes Used on Documents Published Beginning January 2, 2001
WIPO ST.16 Kind Codes
Kind of document
Comments
A1
Patent Application Publication
Pre-grant publication available March 2001
A2
Patent Application Publication (Republication)
Pre-grant publication available March 2001
A9
Patent Application Publication (Corrected Publication)
Pre-grant publication available March 2001
B1
Patent
No previously published pre-grant publication
B2
Patent
Having a previously published pre-grant publication and available March 2001
C1, C2, C3
Reexamination Certificate
Previously used codes B1 and B2 are now used for granted Patents
E
Reissue Patent
No change
H
Statutory Invention Registration (SIR)
No change
P1
Plant Patent Application Publication
Pre-grant publication available March 2001
P2
Plant Patent
No previously published pre-grant publication
P3
Plant Patent
Having a previously published pre-grant publication and available March 2001
P4
Plant Patent Application Publication (Republication)
Pre-grant publication available after March 2001
P9
Plant Patent Application Publication (Corrected Publication)
Pre-grant publication available March 2001
S
Design Patent
No change

 

 

Summary of USPTO Kind Codes Added As Result of America Invents Act of  2011
WIPO ST.16 Kind Codes
Kind of document
Comments
 F1, F2, F3
Supplemental Examination Certificate  
Procedure in effect  September 16, 2012
J1, J2, J3 
Post Grant Review Certificate   
Procedure in effect  September 16, 2012
 K1, K2, K3
Inter Partes Review Certificate 
Procedure in effect  September 16, 2012 
O1, O2, O3 
 Derivation Certificate
Procedure in effect  March 16, 2013  

 

Questions concerning this notice should be directed to Christopher Kim, by telephone at (571) 272-7980, by facsimile to (571) 270-9638, marked to the attention of Christopher Kim.

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Last Modified: 9/18/2013 11:27:25 AM