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1851    Identification of Patent Documents [R-08.2012]

The examiner, in completing the international search report as well as the written opinion and international preliminary examination report, is required to cite the references in accordance with the provisions of Administrative Instructions Sections 503 and 611 and WIPO Standard ST.14 . 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 (www.wipo.int/scit/en/standards/standards.htm). 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 document under WIPO Standard ST.16 or, if not indicated on that document, as provided in that Standard, if possible;
  • (D) The name of the patentee or applicant (in capital letters, where appropriate, abbreviated);
  • (E) The date of publication of the cited patent document or, in case of a corrected patent document, the date of issuance of the corrected patent document as referred to under INID code (48) of WIPO Standard ST.9 and, if provided on the document, the supplementary correction code as referred to under INID code (15);
  • (F) Where applicable, the pages, columns, lines or paragraph numbers 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 10-105775 A (NCR INTERNATIONAL INC.) 24 April 1998 (24.04.1998) paragraphs 26 to 30.

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

US 5,635,683 A (MCDERMOTT, R. M. et al.) 03 June 1997 (03/06/1997), column 7, lines 21 to 40.

  STANDARD CODE FOR THE IDENTIFICATION OF DIFFERENT KINDS OF PATENT DOCUMENTS

The Code, WIPO Standard ST.16, 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 documents resulting from a patent application and being identified as the primary or major series (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 level
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 special series of patent documents
M Medicament patent documents (e.g., documents previously published by FR)
P Plant patent documents (e.g., published by US)
S Design patent documents (e.g., published by US)
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, as specified below:
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 Prihláška 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 Prihláška Vynálezu (Published application for invention)
Slovenia Patent
Slovenia Patent s skrajšanim trajanjem (Short-term patent)
Soviet Union Opisanie izobreteniyak patentu
Soviet Union Opisanie izobreteniyak 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)
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 Úžitkovy 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

  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.int/scit/en/standards/standards.htm). 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.

Annex A, Section 1
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 Intellectual 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 Office for Intellectual Property (BOIP) 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
Community Plant Variety Office (European Community)(CPVO) QZ
Comoros KM
Congo (See Congo, below; Democratic Republic of the Congo)
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
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)
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
Guernsey GG
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
Isle of Man IM
Israel IL
Italy IT
Jamaica JM
Japan JP
Jersey JE
Jordan JO
Kazakhstan KZ
Kenya KE
Kiribati KI
Korea (See Democratic People’s Republic of Korea; Republic of Korea)
Kuwait KW
Kyrgyzstan KG
Lao People’s Democratic Republic LA
Latvia LV
Lebanon LB
Lesotho LS
Liberia LR
Libyan Arab Jamahiriya LY
Liechtenstein LI
Lithuania LT
Luxembourg LU
Macau MO
Macedonia (see The former Yugoslav Republic of Macedonia)
Madagascar MG
Malawi MW
Malaysia MY
Maldives MV
Mali ML
Malta MT
Mauritania MR
Mauritius MU
Mexico MX
Moldova (See Republic of Moldova)
Monaco MC
Mongolia MN
Montenegro ME
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
Nordic Patent Institute (NPI) XN
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
Serbia RS
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
Syrian Arab Republic 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
Timor-Leste TL
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
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
Yugoslavia/Serbia and Montenegro YU

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Last Modified: 03/27/2014 10:10:33