1851    Identification of Patent Documents [R-6]

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)
First publication level 
Second publication level 
  Third publication level 
Group 2 Use for utility model documents having a numbering series other than the documents of Group 1
First publication level 
Second publication level 
  Third publication level 
Group 3 Use for special series of patent documents
Medicament patent documents (e.g., documents previously published by FR) 
Plant patent documents (e.g., published by US) 
  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:
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. 
Separately published search reports 
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 
  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
First publication level 
Second publication level 
  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
 
   
Group 7 Other
Non-patent literature documents 
  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.

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