XML DTD : us-patent-application-v40-2004-12-02.dtd -
DTD Comments:
  Document Type Definition for United States Patent Application Publications
  USPTO-modified version of WIPO Standard ST.36 DTD xx-patent-document
  Reference this DTD as PUBLIC "-//USPTO//DTD us-patent-application v4.0 2004-12-02//EN"
  Alias: Application Red Book (ARB)
  Contact: Bruce B. Cox
  U.S. Patent and Trademark Office
  Crystal Park 3, Suite 451
  Washington, DC 20231
  +1-703-306-2606
  bruce.cox@uspto.gov

  ***** Revision History *****
  2004-12-02

  . Added optional us-provisional-application-status(#PCDATA) to us-provisional-application element.

  2004-10-28
  . Added us-deceased-inventor* to us-bibliographic-data-application. The content model
  .. of us-deceased-inventor is addressbook with required sequence attribute.
  . Changed pre attribute xml:space to (preserve) #FIXED 'preserve'.
  . Added 'undefined' value to img attribute img-content. Renamed value flow-chart to flowchart
  .. and chemistry to chem.
  . Changed chem-type attribute of chem element from required to implied.
  . Changed the order of crossref element in p element to before figref.
  . Added id ID #IMPLIED attribute to sequence-list element and removed country attribute.
  . Changed the order of attributes in a few elements in compliance with WIPO DTDs.
  . Changed the order of sub2 and sup2 elements in sub, sup element in compliance with WIPO DTDs.
  . Changed the place holder elements math and table content model to EMPTY.
  . Changed num attributes from required to implied in nplcit and patcit.
  . Added classifications-ipcr to citation element.
  . Changed dl element attribute tsize from NMTOKEN to CDATA type.
  . Changed subname subname-type CDATA to subname-type (editor | translator |
  .. other-subname-type )  'editor'
  . Changed type-of-correction element to optional in correction element.

  2004-09-27
  . Change in mathml2 dtd reference to work around with Microsoft MSXML3 parser
  .. 'Default Namespace Declaration not supported in DTD' issue in Internet Explorer.
  .. MATHML.xmlns.attrib is set to nothing instead of setting MATHML.xmlns to nothing.

    2004-09-08
      . Change element subname attribute subname-type  from CDATA #IMPLIED to
    .. subname-type  (editor | translator)  'editor'.
    . Changed element us-rights attribute applicant-ref CDATA  #REQUIRED back to
    .. to-dead-inventor CDATA  #REQUIRED.

    2004-07-19
    . Changed us-rights content model from empty to #PCDATA.
    . Changed rel-passage content model from(text | (passage+ , category? , rel-claims?)+)
    .. to rel-passage (text | (passage+ , category* , rel-claims*)+).
    . Added gazette-reference element and gazette-num elements.
    . Replaced bulletin-gazette element with gazette-reference element used in
    .. correction and pct-or-regional-publishing-data element.
    .. Added gazette-reference to correction element.
    . Removed cited-patents and cited-others with citation content model.
    .. Replaced us-references-cited with references-cited new content model.
    . Changed chemistry content model to (img | (chem,img?)).
    .. Added a place holder element chem for future chemistry xml root element.
    .. chem element has id, file and chem-type attributes.
    . Added sequence-list-doc element and modified sequence-list element.
    .. Replaced sequence-list with sequence-list-doc in us-patent-application.
    .. Changed sequence-list country attribute type to #CDATA.
    . Changed addressbook lang to optional.
    . Added claim-type to claim and claims elements.
    . Added new element classifications-ipcr to us-bibliographic-data-application.
    ..classifications-ipcr include one or more classification-ipcr. classifications-ipcr
    ..include the following elements:
    ..		ipc-version-indicator
    ..		classification-level
    ..		section
    ..		class(reuse)
    ..		subclass
    ..		main-group
    ..		subgroup
    ..		symbol-position
    ..		classification-value
    ..		action-date
    ..		generating-office
    ..		classification-status
    ..		classification-data-source
    . Added pre to claim-text,dd,li.
    . Changed nplcit (text | (article | book | online | othercit)*)
    .. to (text | article | book | online | othercit).
    . Added further-classification to classification-locarno.
    . Added sequence attribute to further-classification element.
    . Changed he and wi to #CDATA in img and doc-page.
    . Changed id attribute of crossref to IDREF type.
    . Added flow-chart to img-content allowed values and changed DNA to dna.
    . Changed date attribute to date-produced in element us-patent-application.
    . Added date-publ attribute to element us-patent-grant.
    . Changed bibliographic-data id attribute to ID type.
    . Changed address_group text element from optional to required.
    . Changed text element in depositary to #PCDATA.
    . Renamed table-external-ref element to table-external-doc.
    .. Changed external-type attribute in table-external-doc to optional.
    . Changed parent-PCT-document to parent-pct-document.
    . Added id ID #IMPLIED to addressbook,application-reference,
    .. classification-ipc,classification-locarno ,new element
    .. classification-ipcr,priority-claims and publication-reference.

    2004-04-15 H. Li
    . Added num attribute to li element.
    . Changed content model maths from  (img | math) to (img | (math,img?)).
    . Added date attribute to element us-patent-application.
    . Added math, chemistry, table, program-listing to img-content allowed values
    .. and changed dna to DNA.
    . Add figref to li, dd, claim-text elements and table cell entry.
    . Changed subname? to subname* in serial, article and online elements.
    . Renamed table-external element to table-external-ref.


    2004-03-04 B. Cox
    . Renamed element us-continued-prosecution-application to
    .. us-publication-of-continued-prosecution-application
    .. and kept the attribute and value.

    2004-02-12
    . Renamed element references-cited to us-references-cited.
    . Renamed element cited-patents to us-cited-patents.
    . Added element us-classification to us-cited-patents.


    2003-11-23
    . Changed us-math element attribute idref (IDREF) to idrefs (IDREFS).
    . Added subname-type to element subname.
    . Element othercit modified to support highlighting.

    2003-10-31
    . Modified element us-rights to contain legal-representative information.
    . Changed element related-publication content model from (#PCDATA) to (#PCDATA | document-id)*.
    . Added new optional element parent-PCT-document to the content model of parent-doc.
    . Added attributes pgwide, orient and tabstyle to the cals table attributes to support required
    ..composition features (see entity tbl.table.att).
    . Element crossref modified to support highlighting.

    2003-10-09
    . Removed inid-code attribute from us-appendix-data element.
    . Added (img?) content model to us-math element.
    . Added more uspto specific character entities to the wipo.ent.
    . Added switching method within dtd to easily include/exclude mathml2, tables, etc..
    2003-08-14 Bruce B. Cox
    . Changed comments on elements and attributes from PCT to USPTO practice.
    . Moved us-continued-prosecution-application text from comment to cpa-text attribute.
    2003-08-07
    . Changed following id attribute type from CDATA to ID: abstract, claims, description, drawings.
    . Changed following idref attribute type from CDATA to IDREF: us-chemistry, us-math.
    . Please note we leave crossref idref attribute type as CDATA.
    2003-06-27
    . Changed us-assignees to assignees.
    2003-06-10
    . Added assignees element.
    . Added id attr for author element.
    . depository changed to (text|address)*.
    . Reverse sequence of address? and name in imprint element.
    . Added lang to deceased-inventor.
    . Changed table-external content model from empty to #PCDATA,
    ..changed external-type attribute.
    . Added sup2 and sub2.
    . Added pre to p.
    . Added lang attr to nplcit.
    . Added class-type attr to class element.
    . Added figure-labels attr to figure element.
    2002-04-16 Bruce B. Cox
    . Final draft.
    . External content element moved from p(aragraph) to us-patent-application.
    . Elements not used removed.
    . Change quantifier of us-ocr-text from + to ?
  ***** End Revision History *****
  <!--to include mathml2.dtd  change MATHML2_DTD value to "INCLUDE",
  change MATH_PLACEHOLDER value to "IGNORE", the same for the TABLE_DTD
  and TABLE_PLACEHOLDER

  INCLUDE
  IGNORE
  -->


  <!ENTITY % UNICODE_PLANE1D_ESCAPE "IGNORE">
  <!ENTITY % WIPO_ENT "IGNORE">
  <!ENTITY % MATHML2_DTD	"IGNORE">
  <!ENTITY % TABLE_DTD "IGNORE">

  <!ENTITY % MATH_PLACEHOLDER "INCLUDE">
  <!ENTITY % TABLE_PLACEHOLDER "INCLUDE">

  <![%UNICODE_PLANE1D_ESCAPE; [
   <!ENTITY % plane1D  "&#38;#xE">
  ]]>
  <![%WIPO_ENT;[
  <!--

    import character entity set.  Download from:
    http://pcteasy.wipo.int/efiling_standards/schemaDocs/wipo.ent

    Note that nsgmls-based parsers (SP, Near and Far Designer, etc.)
    may not be able to process this file for reasons described below
    in MathML comments.
   -->
  <!ENTITY % wipo PUBLIC "-//WIPO//ENTITIES WIPO 1.0//EN" "wipo.ent">
  %wipo;
  ]]>


  <![%MATHML2_DTD; [
  <!-- DTD MathML2: maintained by W3C.  Download from:
       http://www.w3.org/TR/MathML2/DTD-MathML-20010221.zip

       If using nsgmls-based parser (SP, Near and Far Designer, etc.)
       Uncomment 'mathml-charent-module' switch below or replace the
       Referenced MathML2 DTD with the version downloadable from:
       http://www.w3.org/Math/DTD/dtd-sp.zip

       This notice copied from: http://www.w3.org/Math/DTD/

       "DTD for nsgmls
        Some systems (including the popular nsgmls parser) may not be able
        to process files using 'plane 1' characters which have Unicode
        numbers higher than #xFFFF. The versions of the DTD provided here
        incorprorate the modifications mentioned above, but the high
        characters are replaced by the equivalent mchar construct
        <mchar name="..." /> this allows the DTD to be read and for MathML
        files to be validated using such systems."
  -->
  <!--ENTITY % mathml-charent.module "IGNORE" -->
  <!ENTITY % MATHML.prefixed "IGNORE">

  <!--Work around with Microsoft MSXML3 parser in IE-->
  <!ENTITY % MATHML.xmlns.attrib "">

  <!--import MathML2 dtd -->
  <!ENTITY % mathml2 PUBLIC "-//W3C//DTD MathML 2.0//EN" "mathml2.dtd">
  %mathml2;
  ]]>

  <![%TABLE_DTD; [
  <!-- DTD OASIS Open XML Exchange Table Model.
         Maintained by OASIS; download from:
         http://oasis-open.org/specs/soextblx.dtd
         Note that the FPI in soextblx.dtd refers to itself as 'calstblx'.
         That convention has been followed here.
  -->
  <!--  create content for title element in table  -->
  <!ENTITY % title "<!ELEMENT title (#PCDATA | b | i | u | sup | sub | smallcaps)* > ">
  %title;

  <!--override OASIS Exchange <entry> model -->
  <!ENTITY % tbl.entry.mdl "(#PCDATA | b | i | u | sup | sub | smallcaps | br
                   | patcit | nplcit | bio-deposit | crossref | img
                   | dl | ul | ol | chemistry | maths)* ">

  <!--import OASIS Exchange model -->
  <!ENTITY % calstblx PUBLIC "-//OASIS//DTD XML Exchange Table Model 19990315//EN"
                             "soextblx.dtd">
  <!ENTITY % yesorno  "NMTOKEN" >
  <!ENTITY % tbl.table.att        " pgwide      %yesorno;       #IMPLIED
                                    orient      (port | land)   #IMPLIED
                                    tabstyle    NMTOKEN         #IMPLIED">
  %calstblx;
  ]]>
  <![%MATH_PLACEHOLDER; [
  <!--(PLACEHOLDER:w3c math dtd)-->
  <!ELEMENT math (#PCDATA)>
  ]]>
  <![%TABLE_PLACEHOLDER; [
  <!--(PLACEHOLDER:cals table dtd)-->
  <!ELEMENT table (#PCDATA)>
  ]]>


  <!ENTITY % name_group "((name | (prefix? , (last-name | orgname) , first-name? , middle-name? ,
  suffix? , iid? , role? , orgname? , department? , synonym*)) , registered-number?)">

  <!ENTITY % address_group "((address-1? , address-2? , address-3? , mailcode? , pobox? , room? ,
  address-floor? , building? , street? , city? , county? , state? , postcode? , country) | text?)">
DTD has: 281 element definitions and 178 element attribute definitions.
Document Legend: Legend
root elements: us-patent-application

Element list

Element absno
diagram View Diagram
USPTO Comments (US: not used in publication.)
Description Abstract number.
attributes
uses Does not use other elements.
used by article, book
content character data
occurrence
source
<!ELEMENT absno (#PCDATA)>

Element abst-problem
diagram View Diagram
USPTO Comments (US: not used in publication.)
Description the alleged problem that the invention purports to solve Recommended id = 'absp'
attributes id
uses p
used by abstract
content a sequence of elements
occurrence required (default)
Attribute Detail Datatype Required Values Default Comments
id ID no (default)   not populated in US
source
<!ELEMENT abst-problem (p+)>
<!ATTLIST abst-problem id ID #IMPLIED >

Element abstract
diagram View Diagram
USPTO Comments A concise summary of the disclosure.
ST.32 equivalency SDOAB
Description ABSTRACT: PCT Rule 8 A concise summary of the disclosure, 50-150 words. Recommended id = 'abst'
US-PGPUB subdoc-abstract
attributes id, lang, status
uses abst-problem, abst-solution, doc-page, p
used by us-patent-application
content choice
occurrence required (default)
Attribute Detail Datatype Required Values Default Comments
id ID no (default)   abstract
lang string (default) no (default)   "en"
status string (default) no (default)  
source
<!ELEMENT abstract (doc-page+ | (abst-problem , abst-solution) | p+)>
<!ATTLIST abstract id ID #IMPLIED lang CDATA #IMPLIED status CDATA #IMPLIED >

Element abst-solution
diagram View Diagram
USPTO Comments (US: not used in publishing.)
Description the solution to the alleged problem that the invention purports to solve. Recommended id = 'abss'
attributes id
uses p
used by abstract
content a sequence of elements
occurrence required (default)
Attribute Detail Datatype Required Values Default Comments
id ID no (default)   not populated in US
source
<!ELEMENT abst-solution (p+)>
<!ATTLIST abst-solution id ID #IMPLIED >

Element accepted
diagram View Diagram
USPTO Comments (US: not used in publication.)
Description date article was accepted.
attributes
uses date
used by history
content a sequence of elements
occurrence required (default)
source
<!ELEMENT accepted (date)>

Element action-date
diagram View Diagram
USPTO Comments
attributes
uses date
used by classification-ipcr
content a sequence of elements
occurrence required (default)
source
<!ELEMENT action-date (date)>

Element addition
diagram View Diagram
USPTO Comments Earlier document to which this is an addition. INID 61, ST.32 equivalency = B610.
ST.32 equivalency B610
INID 61
Description Earlier document to which this Is an addition.
attributes
uses relation
used by us-related-documents
content a sequence of elements
occurrence required (default)
source
<!ELEMENT addition (relation)>

Element additional-info
diagram View Diagram
USPTO Comments Additional information. ST.32 equivalency = B513.
Description Additional information.
attributes
uses Does not use other elements.
used by classification-ipc, classification-national
content character data
occurrence
source
<!ELEMENT additional-info (#PCDATA)>

Element address
diagram View Diagram
USPTO Comments
ST.32 equivalency ADR
US-PGPUB address
attributes
uses address-1, address-2, address-3, address-floor, building, city, country, county, mailcode, pobox, postcode, room, state, street, text
used by addressbook, confplace, depositary, imprint
content choice
occurrence required (default)
source
<!ELEMENT address (%address_group;)>

Element address-1
diagram View Diagram
USPTO Comments Address, first line.
Description Address, first line
US-PGPUB address-1
attributes
uses Does not use other elements.
used by address
content character data
occurrence
source
<!ELEMENT address-1 (#PCDATA)>

Element address-2
diagram View Diagram
USPTO Comments Address, second line.
Description Address, second line
US-PGPUB address-2
attributes
uses Does not use other elements.
used by address
content character data
occurrence
source
<!ELEMENT address-2 (#PCDATA)>

Element address-3
diagram View Diagram
USPTO Comments Address, third line.
Description Address, third line
attributes
uses Does not use other elements.
used by address
content character data
occurrence
source
<!ELEMENT address-3 (#PCDATA)>

Element addressbook
diagram View Diagram
USPTO Comments ADDRESSBOOK GROUP: Holds name and contact information for individuals/organizations. The LANG attribute is REQUIRED for certain document types, e.g. the JPO PCT Request where names and addresses may be repeated in two different languages. If no structure possible use text.
Description ADDRESSBOOK GROUP: Holds name and contact information for individuals/organizations The LANG attribute is REQUIRED for certain document types, e.g. the JPO PCT Request where names and addresses may be repeated in two different languages. If no structure possible use text.
attributes id, lang
uses address, department, dtext, ead, email, fax, first-name, iid, last-name, middle-name, name, orgname, phone, prefix, registered-number, role, suffix, synonym, text, url
used by agent, applicant, assignee, author, confsponsor, correspondence-address, inventor, searcher, subname, us-deceased-inventor
content choice
occurrence required (default)
Attribute Detail Datatype Required Values Default Comments
id ID no (default)  
lang string (default) no (default)   "en"
source
<!ELEMENT addressbook ((%name_group; , address , phone* , fax* , email* , url* , ead* , dtext?) | text)>
<!ATTLIST addressbook id ID #IMPLIED lang CDATA #IMPLIED >

Element address-floor
diagram View Diagram
USPTO Comments Address floor, e.g., 10th.
Description address floor, e.g., 10th
attributes
uses Does not use other elements.
used by address
content character data
occurrence
source
<!ELEMENT address-floor (#PCDATA)>

Element advantageous-effects
diagram View Diagram
USPTO Comments (US: not used in publication.)
Description advantageous effects of the invention (PCT Rule 5.1(a)(iii) Recommended id = 'adve'
attributes id
uses heading, p
used by disclosure
content a sequence of elements
occurrence OneOrMore
Attribute Detail Datatype Required Values Default Comments
id ID no (default)  
source
<!ELEMENT advantageous-effects (heading* , p+)+>
<!ATTLIST advantageous-effects id ID #IMPLIED >

Element agent
diagram View Diagram
USPTO Comments ST.32 name: B741
ST.32 equivalency B741
attributes sequence, rep-type
uses addressbook
used by agents
content a sequence of elements
occurrence required (default)
Attribute Detail Datatype Required Values Default Comments
sequence string (default) Yes  
rep-type Enumeration Yes   agent attorney common-representative "attorney"
source
<!ELEMENT agent (addressbook+)>
<!ATTLIST agent sequence CDATA #REQUIRED rep-type (agent | attorney | common-representative ) #REQUIRED >

Element agents
diagram View Diagram
USPTO Comments Information regarding Agents or common representatives.
ST.32 equivalency B740
Description information regarding Agents or common representatives.
attributes
uses agent, customer-number
used by parties
content choice
occurrence required (default)
source
<!ELEMENT agents (customer-number | agent+)>

Element alttitle
diagram View Diagram
USPTO Comments (US: not used in publication.)
Description Alternate title for serial eg. BMJ = British Medical Journal.
attributes
uses Does not use other elements.
used by serial
content character data
occurrence
source
<!ELEMENT alttitle (#PCDATA)>

Element applicant
diagram View Diagram
USPTO Comments (US: applicant is always the inventor. Use "applicant" with applicant type attribute of "applicant-inventor.")
Description US: applicant is inventor. Use "applicant" with applicant type attribute of "applicant-inventor."
attributes sequence, app-type, designation
uses addressbook, designated-states, designated-states-as-inventor, nationality, residence, us-rights
used by applicants
content a sequence of elements
occurrence required (default)
Attribute Detail Datatype Required Values Default Comments
sequence string (default) Yes  
app-type Enumeration Yes   applicant applicant-inventor "applicant-inventor"
designation Enumeration Yes   all all-except-us us-only as-indicated "us-only"
source
<!ELEMENT applicant (addressbook+ , nationality , residence , us-rights* , designated-states? , designated-states-as-inventor?)>
<!ATTLIST applicant sequence CDATA #REQUIRED app-type (applicant | applicant-inventor ) #REQUIRED designation (all | all-except-us | us-only | as-indicated ) #REQUIRED >

Element applicants
diagram View Diagram
USPTO Comments Applicants information.
ST.32 equivalency B720
Description Applicants information: At least one of the applicants named must be a resident or national of a PCT Contracting State for which the receiving Office acts.
attributes
uses applicant
used by parties
content a sequence of elements
occurrence required (default)
source
<!ELEMENT applicants (applicant+)>

Element application-reference
diagram View Diagram
USPTO Comments Identification of a patent application.
ST.32 equivalency B200
Description application reference information: application number, country.
attributes id, appl-type
uses document-id
used by us-bibliographic-data-application
content a sequence of elements
occurrence required (default)
Attribute Detail Datatype Required Values Default Comments
id ID no (default)  
appl-type string (default) Yes   determined from B130