EPO Exchange Document: for the moment accommodates exchange of patent documents, including abstracts; in future to be extended to included images, full text and esp@cenet data. DOCDB/XML exchange makes use of natural language tags exclusively, SDOBI tags will not be used, data will be supplied in "bibliographic-data" This xsd document relates to the exchange-document format version 2.4 Change History : 20060606 : "classification-national" included; "star-indication" now Y/N switch "is-family-representative"; "abstract-accession-number" no longer supplied 20060626 : schema compressed into document dedicated to components related to DOCDB exchange only; IDT included, cited references included 20070117 : "exch:related-documents" suppressed, not supported by DOCDB; enumeration "country" extended; designation of states for ARIPO and others 20070511 : new tag in "dates-of-public-availability" : "modified-complete-spec-pub" for publication kind-codes A9 and B9 20070611 : extended with information on EPO simple patent family and family identifier in "exch:patent-family" and attribute "family-id" 20080520 : EPC 2000 - new tag "previously-filed-app" : previously filed application on EP publications, INID code 27 20100227 : ST50-republication : modified tag, in compliance with new release ICE definition 20100227 : References cited : new attribute "srep-office" on element "citation", new values attribute "srep-phase", attributes "dnum" and "dnum-type" on element "patcit" populated to cater for cited application 20100827 : Limited the cardinality of corresponding-docs to zero or one for simplification reasons (in practice there will be only one corresponding document) 20100827 : Use of complex type exch:document-idType instead of having the same definition repeated in the xsd file. 20100827 : Unbounded occurrences of document-id in patcit, publication-reference, application-reference and priority-claim element, to support multiple number formats also for citations. 20100827 : Addition of document-id-type attribute in document-id to express the format the id is given in. This to support multiple number formats also for citations. 20100827 : Addition of sub sequence in citation element according to ST-36 standard (citation element can have unbounded amount of rel-passage, category and rel-claims elements; the rel-passage element can occur after the category and rel-claims elements it relates to) 20100907 : Addition of fields of search field according to ST-36 standard. This is to support consulted classifications during search. 20101015 : Enhancement of the cardinality of the classification-national field to unbounded occurances in order to express multiple national classifications 20110101 : "application-reference" - new attribute "doc-id" - surrogate key - unique and stable identifier 20110304 : "classification-ecla" iteration replaced by "patent-classifications" group covering multiple classification-schemes (ECLA, ICO, IDT, ECNO, DOCUS, FI, FTERM) 20110217 : Addition of doi element to non patent citations according to ST-36 20110223 : References cited: removed deprecated attribute "srep-phase" and introduced "cited-phase" and "cited-by" instead according to ST-36; update of possible phases for the "cited-phase" element according to Raul 20110627 : sub-elements of the locationType used in NPL citations are not mandatory 20110627 : Addition of the generic patent-classifications element inside of the field-of-search element 20110629 : Addition of the search-report-information element as proposed by the St.36 task force Attributes used : country=publication-country, repeated in publication-reference; date-added-DOCDB=date this document was first added to DOCDB; date-of-previous-exchange= date this document was previously exchanged; date-of-last-exchange=date this document was exchanged; date-publ=publication-date, repeated in publication-reference; doc-number=publication-number, repeated in publication-reference; dtd-version=version of the DTD or schema used to validate this document instance; file=file-name of the batch of exchange-documents this document belongs to, eg. DOCDB-yyyyww-PubDateyyyymmdd is-representative=indicates whether or not the given publication is the "representative" of the publication cycle; typically out of an A2 A3 B1 B2 sequence, the A2 publication will be marked as the representative one. Value YES/NO; kind=publication-kindcode, repeated in publication-reference; status=reason why this publication was exchanged; C (new publication), D (publication deleted), A (publication amended);CV(new publication "withdrawn": DV(publication "withdrawn" deleted) IFD tag = 073; ST.30 tag = 516 IFD tag = 132; ST.30 tag = 150 IFD tag = 132; ST.30 tag = 151 Bibliographic data covers all information printed on the first page, excluding abstracts. The phase in which the citation was made is given in the attribute "cited-phase": description Cited during the Description (application) phase search General Search phase; used when no further information available. Otherwise, use one of the concrete phases below: - international-search-report Originates from International Search Report - supplementary-international-search-report Originates from the international Supplementary Search Report - national-search-report Originates from the national Search Report - supplementary-national-search-report Originates from the national Supplementary Search Report - international-type-search-report Originates from the international Type Search Report examination General Examination phase; use EXA when there is no further information available or one of the below if there is: - international-examination Cited during PCT chapter II (preliminary examination); international examination - national-examination Revealed during the national examination phase opposition Revealed during the Opposition phase limitation Revealed during the Limitation phase other Other documents of interest (cited in compte rendu but not in search report) undefined No information available (only used if there's neither information for cited-phase, nor for cited-by available) The originator of the citation is contained in the attributed "cited-by": applicant examiner opponent third-party Article 115 (Observation by third parties) other Other party, not in the list undefined no information available (only used if there's neither information for cited-phase, nor for cited-by available) Attribute "sequence" indicates the sequence within "cited-phase" Sequence will restart with every new "cited-phase" Patent citations are exchanged in "patcit", as a patent document-id NPL citations are exchanged in "nplcit", as a string of freetext with embedded reference to patent document or NPL Patent document-ids and NPL reference numbers embedded in the NPL citation are extracted and exchanged in "corresponding-docs" Categories are exchanged in "category" in a concatenated string, one occurrence of "category" per citation ******************************* CITATIONS ******************************* Grouping tag for patent literature (patcit) or non-patent literature (nplcit) plus data related to those citations. In DOCDB exchange : "patcit" will contain a document-id "nplcit" will contain freetext, embedding the document-id for a cited patent or the refno for cited literature In "corresponding-docs" : document-id will contain the cited patent-nr embedded in the NPL freetext "refno" will contain the cited literature embedded in the NPL freetext In "category" the categories will be listed in one continuous text string, ie. XPDO YET EL Attribute cited-phase will contain the phase during which the citation occured: description Cited during the Description (application) phase search General Search phase; used when no further information available. Otherwise, use one of the concrete phases below: - international-search-report Originates from International Search Report - supplementary-international-search-report Originates from the international Supplementary Search Report - national-search-report Originates from the national Search Report - supplementary-national-search-report Originates from the national Supplementary Search Report - international-type-search-report Originates from the international Type Search Report examination General Examination phase; use EXA when there is no further information available or one of the below if there is: - international-examination Cited during PCT chapter II (preliminary examination); international examination - national-examination Revealed during the national examination phase opposition Revealed during the Opposition phase limitation Revealed during the Limitation phase other Other documents of interest (cited in compte rendu but not in search report) undefined No information available (only used if there's neither information for cited-phase, nor for cited-by available) Attribute cited-by will contain the originator of the citation: applicant examiner opponent third-party Article 115 (Observation by third parties) other Other party, not in the list undefined no information available (only used if there's neither information for cited-phase, nor for cited-by available) Priority-claim, IFD tags : 080 = country; 090 = doc-number; 180 = kind-code (generated from kind in combination with linkage-type); 100= date; Priority-claim,ST.30 tags : 330 = country; 310 = doc-number; A31 = kind-code; 320 = date; Notes on Contents : When data-format = "original", ONLY the priority-number DOCDB keeps record of very early publications; where possible these are grouped into families; in these instances : doc-number = suffixed by letter 'T'; date = all zeroes; priority-linkage-type = 'T'; DOCDB has reformatted PCT applications for reasons of standardisation, in these instances : country = country of filing; doc-number = numerical string, preceded by year indication; kind = 'W'; Linkage type and active indicator serve EPO internal business needs : priority-linkage-type = 1 byte indication of priority relation, eg. '1' = "for continuation"; priority-active-indicate = Y or N included in the priority picture that defines EPO simple patent family; Attributes used : sequence = sequence as printed on the published document; data-format = "docdb" - standardised following the DOCDB standardisation rules - then exchange of a full set of reference; data-format= "epodoc" - format as represented in espacenet, concatenated in "doc-number"; data-format = "original" - as supplied by the provider - then exchange of "doc-number" only; NOTE THAT "sequence" restarts with every change of "data-format" priority claims in different formats but with identical sequence numbers cannot be guaranteed to be representations of one and the same entity Agent or common representative (Rules 90.1, 90.2) Deceased inventor name Inventor name (without address information) DOCDB only keeps a record of applicant-name and country of residence; address is only available sporadically address is included in applicant data-format="docdba" country of residence in applicant data-format="docdb" Attributes used on "applicant" level sequence = sequence as printed on the published document; NOTE THAT "sequence" restarts with every change of "data-format" applicants in different format but with identical sequence numbers cannot be guaranteed to be representations of one and the same Attributes used on "applicant-name" level data-format = "docdb", standardised following DOCDB primary standardisation rules; data-format = "docdba", standardised following DOCDB secondary rules (translation upper-case); data-format = "original", as supplied by the provider, converted to UTF8; IFD tags, applicant : 121 = name "docdb"; 120 = name "docdba"; 973 = name "original"; 123 = address; 122 = residence; ST.30 tags, applicant : 710 = name; 714 = country of residence; *** This person is successor to the rights of an inventor who is deceased, insane, or legally incapacitated, for the purposes of the designation of the United States of America The name of the applicant (without address information) Invention title, text embedded in tag itself, Invention title, IFD tags : 130 = data-format "docdb"; 954 = data-format "original"; 131 = language; Invention title, ST.30 tags : 541 = title; 540 = language; Attributes used : lang=language-code, when natural language; data-format="docdb", when natural language; data-format="original", when original language character set, converted to UTF8; Extended kind-code for DE and WO, numerical string IFD tag = 021; not in ST.30 Desigation PCT, IFD tags : 081 = designated country; 082 = designated country for a regional patent; Designation EPC, IFD tags : 081 = contracting-states; 083 = extension-states; Designation other authorities, e.g. ARIPO, OAPI 081 = contracting states; Designation of states not exchanged in ST.30; DOCDB exchanges dates of public availabilty in "date" ST.30 tags, dates of public availability A41 = gazette-pub-announcement - date of announcement of filed application in a gazette A42 = abstract-reference - date of separate publication of an abstract A43 = supplemental-srep-reference - date of separate publication of supplementary search report A44 = gazette-pub-announcement - date of announcement of a granted application in a gazette A45 = modified-first-page-pub - date of a separate publication of a modified first page report A46=modified-complete-spec-pub - date of a separate publication of a modified full specification 410 = unexamined-not-printed-without-grant - date of making available to the public by viewing or copying on request 420 = examined-not-printed-without-grant - date of making available to the public by viewing or copying on request 430 = unexamined-printed-without-grant - date of publication by printing or similar process 440 = examined-printed-without-grant - date of publication by printing or similar process 450 = printed-with-grant - date of publication by printing or similar process 460 = claims-only-available - date of publication by printing or similar process of the claims only of a document 470 = not-printed-with-grant - date of making available to the public by viewing or copying on request If none of the above, then dates-of-public-availability will not be included Date of public availability will by default be "date" in "publication-reference" Publication-date represented in dates-of-availability is a duplication of the date featuring in publication-reference ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 Date of publication by printing or similar process of a document, on which grant has taken place on or before the said date. (INID 45, ST.32:B450) ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 Document printed as amended, (eg. EPO B2). (ST.32:B477) ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 Invalidation of patent. (ST.32:B476) ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 Not printed document with grant (INID 47, ST.32:B470) ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 Document claims only available. (INID 46, ST.32 B460) ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 Examined, printed document without grant. (INID 44, ST.32:B440) ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 Unexamined, printed document without grant. (INID 43, ST.32:B430) ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 Examined, not printed document without grant. (INID 42, ST.32:B420) ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 Unexamined, not printed document without grant. (INID 41, ST.32:B410) Information about an office's gazette or bulletin - paper, electronic, etc. where, the details of the patent publication are also given. Examples WIPO gazette and EPO Bulletin The date is mandatory. (ST.32:B405) The patent-classifications element provides a generic way of giving classifications and is used for national classification schemes: Notes on Contents scheme = EC office = EP - from A through H scheme = ICO office = EP - from K through Z scheme = IDT office = EP "indeling der techniek" scheme = ECNO office = cc scheme = DOCUS office = US scheme = FI office = JP scheme = FTERM office = JP IFD tag = 070 ST.30 tags are : 511 = main-classification; 512 = further-classification; 513 = additonal info; 514 = linked-indexing-code-group; 515 = unlinked-indexing-code; 510 = text; Notes on Contents when qualified by 'A' : main-classification; when qualified by 'B' : further-classification; when qualified by '-' : additional-info; when qualified by 'J' through 'Y' : linked-indexing-code-group; when qualified by 'Z' : unlinked-indexing-code; when qualified by none of the above : text; edition is generally included in the symbol; Document identification refers to patents (and patent applications) only.See WIPO ST.14 Application-reference, IFD tags : 040 = doc-number; 070 = kind-code; 050 = date country is not included as separate entity; Application-reference,ST.30 tags : A21 = country; 210 = doc-number; 221 = kind-code; 220 = date; Notes on Contents : Defined "repeatable" to be able to cater for multiple formats; when data-format = "original", application-reference will contain ONLY the application-number DOCDB keeps record of very early publications; in these instances doc-number = suffixed by letter 'D'; date = all zeroes; DOCDB contains "exotic" kind-codes introduced for internal EPO business purposes, in these instances kind = 'D', 'K', 'L', 'M', 'N', 'Q'; DOCDB has reformatted PCT applications for reasons of standardisation, in these instances : country = country of filing; doc-number = numerical string, preceded by year indication; kind = 'W'; Attributes used : data-format = "docdb" - standardised following DOCDB standardisation rules - then exchange of a full set of reference; data-format= "epodoc" - format as represented in espacenet; concatenated in "doc-number" data-format = "original" - as supplied by the provider - then exchange of "doc-number" only; is-representative, identifies whether this application is the family representative in the EPO simple patent family IFD tag=312; not in ST.30 Date of coming into force of DE utility model = "Eintragungstag" IFD tag = 151; not in ST.30 IFD tag = 150; not in ST.30 Publication language, ISO639 language code, e.g, en,de,ja, etc. (INID 26, ST.32:B260) Filing language, ISO639 language code, e.g, en,de,ja, etc. (INID 25, ST.32:B250) Domestic or national classification. IFD tag = 071; ST.30 not available Further/secondary classification ST.32 equivalency = B512/B522 *********** Classification IPCR - NEW IPCR8 (INID 53, ST.32:B530) ******************************* * IPC DATA - NEW IPC8 ******************************* International Patent Classification (IPC) data; - to be implemented in 2006 - use B510 for until week 52, 2005 - see: http://www.wipo.int/scit/en/standards/pdf/03-08-01.pdf: Industrial property offices are asked to implement this new version of Standard ST.8 for all patent documents with a publication date from January 1, 2006, onwards. For patent documents published prior to that date, the previous version of the Standard should continue to be used. . . . This recording convention provides that symbols of the International Patent Classification (IPC) should be presented on machine-readable records for the exchange of information in machine-readable form in a fixed-length field in 50 positions, each part of the Int. Cl. symbol being recorded in specific positions and in the manner prescribed. - this can be recorded within the <text> tag. Position(s) Content Values 1 Section A-H 23 Class 01-99 4 Subclass A-Z 5 to 8 Main Group (right aligned) 1-9999, blank 9 Separating character / ("Slash") 10 to 15 Subgroup (left aligned) 00-999999 blank 16 to 19 For future use 4 blanks 20 to 27 Version indicator YYYYMMDD date format 28 Classification level C, A, S 29 First or later position of symbol F, L 30 Classification value (inventive or non-inventive) I, N 31 to 38 Action date YYYYMMDD date format 39 Original or reclassified data BRVD 40 Source of classification data H M G 41-42 Generating office AA ZZ (ST.3) 43-50 For future use 8 blanks Refers to patents (and patent applications) only; see WIPO ST.14 Publication-reference, IFD tags 010 = country 030 = doc-number 020 = kind 060 = date Publication-reference, ST.30 tags 190 = country 110 = doc-number 221 = kind A40 = date Notes on Contents : Defined "repeatable" to be able to cater for multiple formats in the future, e.g. data-format="docdb" and data-format="epodoc". DOCDB keeps record of very early publications, in those instances date = all zeroes DOCDB exchanges "withdrawn" publications, in those instances date = not supplied DE utility models: publication-date = "Bekanntmachunstag" "Modifications of full specification/first page", eg. A8 multiple publication stages per publication-id possible extending key with publication-date provides unique and unambiguous reference Attributes used data-format="docdb", standardised following DOCDB prime standardisation rules Provisions for future use : defined "repeatable" to be able to exchange more than one representation, eg. data-format="epodoc" etc. Abstract, text embedded in "p"; Notes on contents : publication may have more than one abstract multiple formats : "docdb" - natural language abstract, eg. EN, FR etc. "original" - original language character set, converted to UTF8 multiple sources : "national office" "transcript" - English transcript of non-English abstract "translation" - English translation of non-English abstract "EPO" - abstract in DE, FR, or EN as provided with EP publication Abstract, IFD tags; not in ST.30 : 136 = data-format "docdb"; 137 = data-format "original"; Attributes used : lang=abstract language (only supplied with data-format "docdb") country=publication country doc-number=publication number kind=publication kind-code date=publication-date data-format="docdb" or "original" abstract-source=one of the above listed sources ******************************* NPLCIT ******************************* Non-Patent Literature (NPL) CITation; Notes: This can be free text data without any structure -<text>(#PCDATA) which is NOT recommended or it can be highly structured data which is marked up (generally) according to ST.14 and ISO 690 layout. This is one of the most diffcult areas to standardise as there is no concensus regarding the best way to layout a bibliographic citation. We generally adopt to WIPO ST.14 and AACR2 This part of the DTD has used many different sources for element names and DTD structure and reference: AACR2 / MARC ISO 12083 - Electronic manuscript prep. and markup. DTD Association of American Publishers (AAP) Z39.59 DTD European Working Group for SGML (EWS) MAJOUR DTD SuperJournal Full Article DTD www.superjournal.ac.uk/sj Elsevier DTD Medline DTD (NLM) Attributes (recommended): id - ncit0001, ncit0002, etc for the SR: sr-ncit0001 num - 0001, 0002 npl-type - The TYPE of citation is office specific (recommended):; a - Abstract citation of no specific kind b - Book citation i - Bilogical abstract citation c - Chemical abstracts citation e - Database citation d - Derwent citation p - Patent cited within NPL group j - Patent Abstracts of Japan citation (REC 067) s - Serial / Journal / Periodical citation sc- Conference Proceedings Article w - World Wide Web / Internet search citation medium - the type of medium e.g., online, dvd, cd (CD-ROM), mt (magnetic tape), disk, file - file name on local systems eg. XP number in EPO url - where possible give full web link to document EPO and PatXML usage: id="ncit0001" for the SR: id="sr-ncit0001" num="0001" npl-type="s" etc Reference number (general); for the EPO this is the XP number Subordinate responsibility; e.g., editor, translator, etc. Author author: Person or corporate body responsible for the intellectual or artistic content of a document. [ISO 690:1987] There is no distinguishing between personal and corporate authors <author> followed by name or addressbook information use the ID attribute if, for example, there is a need to distinguish between multiple authors. Can also include affiliation details Recommended id="auth01", etc. 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. ******************************* PATCIT ******************************* PATENT CITATIONS: (ST.32:see B561 for B documents only) Patent Citation within paragraph and SR Notes: Tags arranged according to WIPO ST.14 order. This can be free text data without any structure (text). Attributes (recommended): id - pcit0001, pcit0002, etc. for the SR: sr-pcit0001 num - 0001, 0002, etc. dnum - use full number as one string, eg, "US5401234A"; file - file name eg. if actual file is stored on local systems dnum-type - type of document number (e.g., application number, publication number) url - where possible give full web link to patent eg to espacenet family-id - only used for extended ccd EPO and PatXML usage: id - pcit0001, pcit0002, etc. for the SR: sr-pcit0001 num - 0001, 0002, etc. dnum - use full number as one string, eg, "US5401234A"; dnum-type - type of document number; only used if NOT publication number; otherwise values are (in PatXML): appno and pctno url - for the SR generate link to espacenet Examples: <patcit id='pcit0001' num="0001" dnum='US4793675A' dnum-type='appno'> <document-id> <country>US</country> <doc-number>4793675</doc-number> <kind>A</kind> <name>Handa</name> <date>19881227</date> </document-id> </patcit> For the SR: <srep-citations> <citation> <patcit id='sr-pcit0001' num="0001" dnum='US6089831A' url="http://v3.espacenet.com/textdoc?DB=EPODOC&IDX=US6089831&CY=ep"> <document-id> <country>US</country> <doc-number>6089831</doc-number> <kind>A</kind> <name>ALT MATHIAS ET AL</name> <date>20000718</date> </document-id> </patcit> <rel-passage> <passage> column 3, line 66 - column 6, line 35; figure 2 </passage> </rel-passage> <category>A</category> <rel-claims>1,4,8,15,16,20,29, 30</rel-claims> </citation> <srep-citations> EPO style: - <country>, <doc-number>: bold - <name>: uppercase, brackets eg. (SMITH) - reformat date to: dd.mm.yyyy eg. 27.12.1988 Notes: - It is NOT expected that the applicant will create the tagged data unless using PatXML. - Contractor should capture as specified here ******************************* DOCUMENT ID ******************************* Document identification refers to patents (and patent applications) only. See WIPO ST.14 Name: If no distinction or detail can be given. Also to be used for: personal (natural person) and corporate (legal entity) names Term to be defined Recommended id="dt0001",etc NOT USED IN EPO. Underscore: style - single is default Document Structure doc-page - DOCument or PAGE This is primarily to be used when data for the whole or major sections of an application are in image format OR other formats such as pdf. Page range attributes are given when required pp- page range ppf - first page ppl - last page (for pdf). The 'img' may also be used for complete pages, eg. in drawings Recommended id = docp01, docp02, etc. DOCDB simple patent family consists of all publications that claim EXACTLY the same ACTIVE priorities as the "exchange-document"; Physically the DOCDB simple patent family is identified by a 9 digit unique key; this key is represented in attribute "id"; Functionally the DOCDB simple patent family is identified by the picture of the ACTIVE priorities as identified in the priority-claims of "exchange-document"; Element "abstract" contains the best quality English language abstract available in the family; Element "abstract" will not be supported in "patent family" when there is an English language abstract available for "exchange-document"; application and publication-numbers in "patent family" are represented in both data-format="docdb" and data-format="epodoc"; Element "family member" contains : "application-reference" "publication-reference" - one or more - all publication-levels of the application Part of the document other than bibliography affected by the correction information (ST.32 : B155EP) INID-codes affected by the correction information (ST.32 : B153) (ST.32:B480) Correction information B155EP Correction information B1552EP Correction information B1551EP Correction information B154EP Correction information B1542EP Correction information B1541EP Issue date of announced correction being cancelled B152EP Correction information B151EP type-of-correction [ for WIPO only ] Notes on the correction information (ST.32 : B154EP) Information on the modifications in the document (ST.32 : B153 and B155EP) Name of the affected part (ST.32 : B1552EP) INID-codes affected by the correction information (ST.32 : B153) Search report examiner. (ST.32:B569) (ST.32:B568) Place of search - international search authority. (ST.32:B567) Date of mailing of search report. (ST.32:B566) Date of completion of search report. This is mandatory for EP SRs Patent family and corresponding-docs - see example above These are also "&" cases. DOCDB may have added one additional priority to the set as printed on the published document. For internal EPO business purposes a so-called "self-claim" may have been generated. In a "self-claim" the priority-reference = the application-reference where an element of the international application referrred to in Article 11(1)(iii)(d) or (e) or a part of the description, claims or drawings referred to in Rule 20.5(a) is not otherwise contained in this international application but is completely contained in an earlier application whose priority is claimed on the date on which one or more elements referred to in Article 11(1)(iii) were first received by the receiving Office, that element or part is, subject to confirmation under Rule 20.6, incorporated by reference in this international application for the purposes of Rule 20.6 The priority document is attached to the application The library-identifier attribute is intended as an identifying code for the library containing priority documents - to be used where offices support the access of the documents from many such libraries. The recommended format of library-identifier should be composed of a WIPO Standard ST.3 code of the operating Office of service or digital library, together with service (or digital library) name (optional) separated by a hyphen to allow for the fact that some Office may operate more than one library. For example, "IB-DAS" for Digital Access Service for Priority Documents run by WIPO. The action-by attribute would indicate offices requested to retrieve priority documents (for PCT this can be the RO or the IB, default the IB). The receiving office is requested to prepare and transmit to the IB a certified copy of the earlier application Where the earlier application is an ARIPO application,indicate at least one country party to the PARIS convention for the protection of industrial property or one member of the WTO for which that earlier application was filed. Information regarding Agents or common representatives Address used for general correspondence Customer number for agents by office Inventors information: if the US is designated, all of the inventors must also be named as applicants Contains inventors in different data-formats 1. all data-format="docdb" 2. all data-format="docdba" 3. all data-format="original" DOCDB only keeps a record of inventor-name and country of residence; address is only available sporadically address is included in applicant data-format="docdba" country of residence in applicant data-format="docdb" DOCDB exchanges inventor-name in "name", address in "text"; Attributes used on "inventor" level sequence = sequence as printed on the published document; Attributes used on "inventor-name" level data-format = "docdb", standardised following DOCDB primary standardisation rules; data-format = "docdba", standardised following DOCDB secondary rules (translation upper-case); data-format = "original", as supplied by the provider, converted to UTF8; IFD tags, inventor : 111 = name "docdb"; 110 = name "docdba"; 972 = name "original"; 113 = address; 112 = residence; ST.30 tags, inventor : 720 = name; 722 = residence; Indication of specific Contracting States in or for which the applicant is seeking protection for his invention (Rule 4.9(a)) Country of residence Country of nationality EPO member states in which protection is desired. The EPO extension States for which protection is desired The EPO member States for which protection (depending upon context) is desired State(s) excluded from precautionary designations under Rule 4.9(b) Rule 4.9(b),(c) In addition to the designations made above [i.e, designation-of states], the applicant also makes under Rule 4.9(b) all other designations which would be permitted under the PCT except any designation(s) indicated in the Supplemental Box [i.e., exclusion-from-designation] as being excluded form the scope of this statement. The applicant declares that those additional designations are subject to confirmation and that any designation which is not confirmed before the expiration of 15 months from the priority date is to be regarded as withdrawn by the applicant at the expiration of that time limit. The Contracting States in which protection is desired (Rules 4.1(a)(iv) and 4.9(a)) New PCT member country states (e.g., not yet published in WIPO ST.3, joined after PCT electronic filing software published) The States for which protection or exclusion (depending upon context) is desired Regional (as opposed to national) protection being sought Any other state in which protection is being sought Protection request for the designated office. Kind of protection; e.g., patent, utility model The region for which protection or exclusion (depending upon context) is desired. Announcement of granted publication in gazette report. Tag A44 from EPO ST.30 / DOCDB Exchange Tape Format Technical Specification v6.3 Separate publication of a supplementary search report. Tag A43 from EPO ST.30 / DOCDB Exchange Tape Format Technical Specification v6.3 Separate publication of an abstract. Tag A42 from EPO ST.30 / DOCDB Exchange Tape Format Technical Specification v6.3 Separate publication of a modified complete specification Separate publication of a modified first page report Tag A45 from EPO ST.30 / DOCDB Exchange Tape Format Technical Specification v6.3 Term of grant. (ST.32:B472) Lapse of patent. (ST.32:B475) Length of Grant. (ST.32:B474) Disclaimer date. (ST.32:B473) Unlinked indexing code. (ST.32:B515/B525) Linked indexing code. (ST.32:B514/B524) Sub/further Linked Indexing Code. Main Linked Indexing Code. Additional information. ST.32 equivalency = B513 Main classification. (ST.32:B511/B521) Positions 41-42: Generating Office Since part of the original data in the advanced level and the reclassified data can be delivered by offices other than the publishing office, the information source of such data is recorded by a field of two characters. The country or office code CC, as defined by WIPO Standard ST.3, must be used. Position 40: Source of classification data The following sources of classification data are foreseen: - Intellectual classification by persons, value H for human generated data. - Machine classification by the propagation of earlier intellectual classification through the use of common priorities in the patent application. The value M is used in this case and will facilitate later corrections. - Classification symbols generated by software using automatic analysis of the content of the patent document. The letter G is used to indicate this source of generated data. Position 39: Original and reclassified data Original data is the first data assigned to the document. In case of a publishing office assigning classification symbols at the core level, another office may also assign symbols at the advanced level as original data. Reclassified data is data changed due to a change in the classification schemes. Various data is data changed due to an incidental reclassification of an individual document, such as the correction of a mistake. Deleted data is data which has to be deleted from the Master Classification Database, due to a change in assigning of classification symbols to a document. The indication of the different types of data is marked by the letters B for the basic or original data, R for reclassified data, V for various incidental changes, and D for data to be deleted. Possible status: original-classification, reclassified, various-classification, deleted-classification Positions 31-38: Action date The date of assigning the classification symbol (action date) is represented by eight digits, namely YYYYMMDD. This date can be used to check if a classification needs to be reviewed after revision of the scheme, e.g., in case of creating new subdivisions. Position 30: Classification value (inventive or non-inventive) The difference between invention information and other information is important for the retrieval of the information. The letters I and N are used for the invention and non-invention information, respectively. Position 29: First or later position of symbols The position of the first invention information classification can be recognized by this field. The letters F and L are used for first and later position, respectively. Position 28 : Classification level Offices are expected to classify each subject matter only in one level (core or advanced). However, both levels need to be completely represented in the master classification database and thus a level indicator is needed. The level indicator is also useful for indicating situations where an office does not classify in either the core or the advanced level classification, i.e., when an office only assigns classifications to the subclass level. The level indicator enables to make the difference between core, advanced and subclass levels. The letters C (Core), A (Advanced) and S (Subclass) are used for this one-digit field. Levels: ipcr-advanced, ipcr-core Positions 20 to 27: Version indicator Although in the paper publications a version indicator may contain four or six digits, the version indicator in machinereadable records contains eight digits, namely YYYYMMDD with Y for year, M for month and D for day. Positions 1 to 19: Recording of the parts of the IPC symbols IPC symbols are defined in Part 5 of the WIPO Handbook on Industrial Property Information and Documentation and in the latest version of the Guide to the IPC. ******************************* PARAGRAPH ******************************* EPO Required usage: - In case of standard paragraphs in the description: id="p0001", "p0002", etc. - In case of abstracts: id="pa01", "pa02", etc. (more than three is rare) - In case of amended-claims-statement: id="pc0001", "pc0002", etc. - In case of search reports: id="ps0001", "ps0002", etc. - num = 0001, 0002, etc. EPO style: - always left justified - precede by para. number in bold as so: [0001] - para. text indented 7mm from [0001] - see espacenet for examples abst-solution The solution to the alleged problem that the invention purports to solve. Recommended id="abss" Unlikely to be used by the EPO abst-problem The alleged problem that the invention purports to solve Recommended id="absp" Unlikely to be used by the EPO Identifies the period of time during which the depository must be able to furnish samples of the biological material. Biological accession number: (ST.32:B831) The identification assigned to the biological material by the depository Information regarding the facility storing the biological deposit. (ST.32:B832) ******************************* OTHER CITATIONS ******************************* Other citations - free form ******************************* ONLINE CITATION ******************************* Online citations Revised according to ISO-690-2 - Electronic documents and parts thereof. Please refer to this standard for definitions and examples. See: http://www.nlc-bnc.ca/iso/tc46sc9/standard/690-2e.htm#Contents The tagging in fact is a mixture of article and book tags together with specific electronic source tags. 'online' is taken to mean ANY kind of electronic documentation: databases, internet, CD-Roms, DVD, email, etc EXAMPLES:; * Complete monograph Kirk-Othmer Encyclopedia of Chemical Technology [online]. 3rd ed. New York : John Wiley, 1984 [cited 3 January 1990]. Available from: DIALOG Information Services, Palo Alto (Calif.). <nplcit id='ncit0001' num='0001' type="e" medium='online'> <online> <online-title>Kirk-Othmer Encyclopedia of Chemical Technology </online-title> <edition>3rd ed.</edition> <imprint> <address> <text>New York</text> </address> <name>John Wiley</name> <pubdate>19840000</pubdate> </imprint> <avail>DIALOG Information Services, Palo Alto (Calif.).</avail> <datecit> <date>19900103</date> </datecit> </online> </nplcit> * Article on the Internet: Clark, Carol. On the Threshold of a Brave New World. In Blueprint of the Body [online]. CNN.com, 2000. [cited 24 August 2000;10:25 EST]. In-depth specials. Available from: [http://www.cnn.com/SPECIALS/2000/genome/story/overview/] <nplcit id='ncit0002' num='0002' type='e' medium='online'> <online> <author> <name>Clark, Carol</name> </author> <online-title>On the Threshold of a Brave New World</online-title> <imprint> <name>CNN.com, </name> <pubdate>2000</pubdate> </imprint> <series> <text>In-depth specials</text> </series> <avail>Available from: [http://www.cnn.com/SPECIALS/2000/genome/story/overview/]</avail> <datecit> <date>[cited 24 August 2000;10:25 EST]</date> </datecit> </online> </nplcit> * Personal communication (e-mail) Thacker, Jane. MPEG-21 project stream on digital item identification [online]. Message to: [iso.tc46.sc9@nlc-bnc.ca]. 3 October 2000; 13:33 EST [cited 6 October 2000; 13:10 EST]. Message-ID: [002f01c02d60$051a64a0$22a2580c@vaio]. Personal communication. <nplcit id='ncit0003' num='0003' type='e' medium='online'> <online> <author> <name>Thacker, Jane</name> </author> <online-title>MPEG-21 project stream on digital item identification </online-title> <subname> <name>Message to: <iso.tc46.sc9@nlc-bnc.ca></name> </subname> <pubdate>3 October 2000; 13:33 EST</pubdate> <notes>Personal communication</notes> <avail>Message-ID: <002f01c02d60$051a64a0$22a2580c@vaio></avail> <datecit><date>6 October 2000; 13:10 EST</date></datecit> </online> </nplcit> Note: not covered in current version of PatXML Date of search/retrieval YYYYMMDD Search terms Date cited - date on which the citation was cited. May be different from srchdate below Availability and access - REQUIRED use for URL, online database, ftp address, email, etc.; Examples: - Available from Internet: http://www.epoline.org - Available from DIALOG Information Systems, Palo Alto (Calif.) - Available from: <http://www.ejb.org/content/vol2/issue3/full/3/index.html>. - Available from Bell and Howell Information and Learning via e-mail to: <umi@ppp.nasionet.net>. Numeration within host document History of the article (not serial) Miscellaneous information relating to the history of the article; see ISO 12083 Date article was revised Date article was accepted Date article was received Title of the host document/database The title within the electronic resource, equal to <atl> and <book-title> ******************************* ARTICLE CITATION ******************************* Article citations within a 'host' document After patent citations the most common citations are articles within serials (periodicals, magazines), books and electronic (eg. internet) sources). This is a very complex and varied area to standardise. The tag set below is drawn from a number of sources as is the order of the tags (which in any case can be changed depending on the stylesheet used). EPO and PatXML usage: id="ncit0001" or id="sr-ncit0001" num="0001" npl-type="s" The order of tags is (generally) that of WIPO ST.14 / ISO 690 layout: Examples: DROP, J.G. Integrated Circuit Personalization at the Module Level. IBM tech. dis. bull. October 1974, Vol.17, No.5, pages 1344 and 1345, ISSN 2345-6789. [XPnnnnnnnnnnn]. As a *Search Report* citation the markup is: <citation> <nplcit id='ncit0012' num='0012' npl-type='s' file='XP1234456'> <article> <author> <name>DROP, J.G.</name> </author> <atl>Integrated Circuit Personalization at the Module Level</atl> <serial> <sertitle>IBM Tech. Dis. Bull.</sertitle> <pubdate>October 1974</pubdate> <vid>17</vid> <ino>5</ino> <issn>2345-6789</issn> </serial> <refno id='XP1'>XP1234456</refno> </article> <rel-passage> <passage>p. 1344 and 1345</passage> </rel-passage> </nplcit> </citation> Outside the SR it would be (after </serial>): <location> <pp>p. 1344 and 1345</pp> </location> BIOLOGICAL ABSTRACTS, vol. 1, 1996 Philadelphia, PA, US; abstract no. 193987, SEVENIER, ROBERT ET AL: "Ethylene production and involvement during the first steps of durum wheat (Triticum durum) anther culture." XP002133847 <citation> <nplcit id="sr-ncit0001" num="0001" npl-type"i"> <article> <author><name>SEVENIER, ROBERT ET AL</name><author> <atl>"Ethylene production and involvement during the first steps of durum wheat (Triticum durum) anther culture."</atl> <serial> <sertitle>BIOLOGICAL ABSTRACTS</sertitle> <imprint><text>Philadelphia, PA, US</text></imprint> <pubdate>1996</pubdate> <vid>vol. 1</vid> </serial> <absno>abstract no. 193987</absno> <refno>XP002133847</refno> </article> </nplcit> </citation> Note: it is NOT expected that the applicant will create the tagged data - it can be generated from a 'pull down' data entry form (eg. in Word) or generated from internal SR databases or use PatXML. In the EPO for the SR we extract from SDMS. . Article unique ID - assigned by a eg. publisher to an article ******************************* BOOK (MONOGRAPH) CITATION ******************************* Non-serial bibliographic item, i.e. an item either complete in one part or complete (or intended to be completed) in a finite number of separate parts. [ISO 690:1987] As mentioned the style and manner of actual display/printing varies greatly (even between standards!). Generally in the order specified by WIPO ST.14 and ISO 690 and AACR2 rules for layout EPO and PatXML usage: id="ncit0001" num="0001" npl-type="b" Example: (citation from ST.14). WALTON, Herrmann. Microwave Quantum Theory. London: Sweet and Maxwell, 1973, Vol.2, ISBN 5-1234-5678-9, pages 138 to 192, especially pages 146 to 148. As a *Search Report* citation the markup is: <srep-citations> <citation> <nplcit id='ncit0013' num='0013' type='b'> <book> <author> <name>WALTON, Herrman</name> </author> <book-title>Microwave quantum theory</book-title> <imprint> <address> <text>London</text> </address> <name>Sweet and Maxwell</name> <pubdate>1973</pubdate> </imprint> <vid>Vol. 2</vid> <isbn>ISBN 5-1234-5678-9</isbn> </book> </nplcit> <rel-passage>pages 138 to 192, especially pages 146 to 148</rel-passage> </citation> </srep-citations> In other citations the <rel-passage> would be replaced by the <location> tag after <vid>. Keyword; e.g., from a Thesaurus or class. scheme (ST.32:B550) ******************************* Book number ******************************* LOCATION ******************************* Location of the reference within the cited work Referenced line within cited work Cited document line last Cited document line first Referenced paragraph within cited work Cited paragraph last Cited paragraph first Cited document column numbers Cited document column last Cited document column first Cited document page numbers Cited document page last Cited document page first Chapter; normally in a book. Example: Chapter 2 Serial section or book; or the book section Part within a serial or book; or the book part Abstract number ******************************* SERIES ******************************* Series statement Monographic series number Monographic series title Edition statement eg. 2nd edition ******************************* Book subtitle ******************************* CONFERENCE CITATION ******************************* There is no standard way of citing conference proceedings; date of the conf. may come before or after place, for example. The tags are specified in a set order where it is not possible or correct then simply use <text> Note: not in current version of PatXML Conference sponsor Conference place Conference number Conference title The title of the cited book Serial citation data: Serial: Publication, in any medium, issued in successive parts, usually having numeric or chronological designations, and intended to be continued indefinitely. [Adapted from ISO 3297:1986] This describes the volume or issue as a whole and not a particular article within it. Copyright info. Copyright of publisher of serial International Standard Book Number International Standard Serial Number Issue number Volume id/number Publisher's unique id Notes about the serial; e.g. Continues Journal of XYZ 1910-1998, published in French and English, etc. This element is used for the physical description of a book or serial; it pagination, size, whether it is illustrated, etc - generally NOT used in citations in patents. Therefore there is no detailed breakdown of the possible lower elements such as physical size. Example: xxvi, 233 p.: ill; 27cm Imprint: Publication / creation data Place of publication : publisher, date(s) of publication usually only date of publication is used for journal citations Publication date used in npl citations, may be structured or unstructured Time; format HHMM End date used in pubdate Start date used in pubdate Issue designation; Examples: - Annual - 1971- - 1890-1972 Alternate title for serial; e.g. BMJ = British Medical Journal Serial title; the host document: host document: Document containing contributions or separately identifiable component parts that are not physically or bibliographically independent. [ISO 690:1987] Article title Descriptive text Electronic address use for other than email Universal Resource Locator; e.g. www.wipo.int Email address Attribute: email-purpose informal – for informal contact only general – for any type of communication where the applicant leaves the choice of communication means to the office advance – any type of communication, but used as an advanced notice for formal messages being sent by conventional mailing (to the extent offered) main – where applicant desires this address to be used as primary means of contact as a replacement of the use of conventional post (to the extent that an Office offers this) The default value depends on e-mail policies of the relevant Office. For PCT purposes as at 1 July 2008, no attribute being included is equivalent to ‘informal’ Fax number Telephone number Address components: Address formats differ from country to country If no structure possible use text Postal code or zip code Region of country; e.g., state, province, etc. County, parish, department, etc (mainly UK, USA) City or town name Street may contain house number or name Building information in address; e.g., Hoffman building Address floor; e.g., 10th Address room; e.g., Room 55B Post Office Box number Organizational mail code Address, third line Address, second line Address, first line Registered number Synonym Department, division, section, etc. name Name suffix (e.g., II, Jr., Dip., Ing., BA, etc.) Title: e.g., Mr., Mrs., Dr. etc Role; e.g., President, Chairman, etc. Individual id Organisation name or company name Middle name(s) or initial(s) First or given name(s), initial(s) Last, family, surname First last name (father's family surname), for some countries (such as Spain) is legally mandatory. Second last name (mother's family surname), for some countries (such as Spain) is legally mandatory. Relevant passage group within patent; most used in search reports see example above Relevant claims see example above Category - see example above Categories indicating cited documents (references) of particular relevance, for the EPO: Category X: particularly relevant if taken alone; Y: particularly relevant if taken combined with another document of the same category A: technological background O: non-written disclosure P: intermediate document T: theory or principle underlying the invention E: earlier patent document, but published on ,or after the filing date; D: document cited in the application L: document cited for other reasons &: member of the same patent family, corresponding document Passage within the cited patent literature see example above Date: components of a date. Format: YYYYMMDD Document kind code; e.g., A1 (INID 13, ST.32:B130) The number of the referenced patent (or application) document Country: use ST.3 country code; e.g. DE, FR, GB, NL, etc. Also includes EP, WO. Always in upper case. Also can use "stateless" Country names and codes taken from WIPO ST.3 and ISO 3166. From IETF RFC 1766: "NOTE: The ISO 639/ISO 3166 convention is that language names are written in lower case, while country codes are written in upper case." Andora United Arab Emirates Afghanistan Antigua and Barbuda Anguilla Albania Armenia Netherlands Antilles Angola African Regional Industrial Property Organization (ARIPO) Antarctica Argentina Austria Australia Aruba Azerbaijan Bosnia and Herzegovina Barbados Bangladesh Belgium Burkina Faso Bulgaria Bahrain Burundi Benin Bermuda Brunei Darussalam Bolivia Brazil Bahamas Bhutan Bouvet Island Botswana Benelux Trademark Office (BBM) and Benelux Designs Office (BBDM) Belarus Belize Canada Cocos (Keeling) Democratic Republic of the Congo Central African Republic Congo Switzerland Cote d'Ivoire Cook Islands Chile Cameroon China Columbia Costa Rica Cuba Cape Verde Christmas Island Cyprus Czech Republic Germany Djibouti Denmark Dominica Dominican Republic Algeria Eurasian Patent Organization (EAPO) Ecuador Estonia Egypt Western Sahara Office for Harmonization in the Internal Market (Tradmarks and Designs) (OHIM) European Patent Office (EPO) Eritrea Spain Ethiopia Finland Fiji Falkland Islands Micronesia (Federated States of) Faroe Islands Frnace Gabon United Kingdom Coop. Council for the Arab States of the Gulf Grenada Georgia French Guiana Ghana Gibraltar Greenland Gambia Guinea Guadeloupe Equatorial Guinea Greece South Georgia and the South Sandwich Islands Guatemala Guam Guinea-Bissau Guyana The Hong Kong Special Administrative Region of the People's Republic of China Heard Island and McDonald Islands Honduras Croatia Haiti Hungary International Bureau of the World Intellectual Property Office (WIPO) Indonesia Ireland Israel India British Indian Ocean Territory Iraq Iran (Islamic Republic of) Iceland Italy Jamaica Jordan Japan Kenya Kyrgyzstan Cambodia Kiribati Comoros Sait Kitts and Nevis Democratic People's Republic of Korea Republic of Korea Kuwait Cayman Islands Kazakhstan Lao People's Democratic Republic Lebanon Saint Lucia Liechtenstein Sri Lanka Liberia Lesotho Lithuania Luxembourg Latvia Libyan Arab Jamahiriya Morocco Monaco Republic of Moldova Montenegro Madagascar Marshall Islands The former Yugoslav Republic of Macedonia Mali Myanmar Mongolia Macau Northern Marina Islands Martinique Mauritania Montserrat Malta Mauritius Maldives Malawi Mexico Malaysia Mozambique Namibia New Caledonia Niger Norfolk Island Nigeria Nicaragua Netherlands Norway Nepal Nauru Niue New Zealand African Intellectual Property Organization (OAPI) Oman Panama Peru French Polynesia Papua New Guinea Philippeans Pakistan Poland Saint Pierre and Miquelon Pitcairn Puerto Rico Portugal Palau Paraguay Qatar Reunion Romania Serbia Russian Federation Rwanda Saudi Arabia Soloman Islans Seychelles Sudan Sweden Signapore Saint Helena Slovenia Svalbard and Jan Mayen Slovakia Sierra Leone San Morino Senegal Somalia Suriname Sao Tome and Principe El Salvador Syrian Arab Republic Swaziland Turks and Caicos Islands Chad French Southern Territories Togo Thailand Tajikistan Tokelau Turkmenistan Tunisia Tonga East Timor Turkey Trinidad and Tobago Tuvalu Taiwan, Province of China United Republic of Tanzania Ukraine Uganda United States Minor Outlying Islands United States of America Uruguay Uzbekistan Holy See Saint Vincent and the Grenadines Venezuela Virgin Islands (British) Virgin Islands, U.S. Viet Nam Vanuatu Wallis and Futuna Islands World Intellectual Property Organization (WIPO) (International Bureau of) Samoa Hague Agreement [designs] Yemen Mayotte Yugoslavia South Africa Zambia Zimbabwe If no structure is possible, enter text (without markup) br - break, line break within a paragraph, etc Subscripted text Superscripted text Subscripted text 2nd level Superscripted text 2nd level ********************************* * FORMATTING TAGS WITHIN <p> ********************************* Bold formatting for text Italic formatting for text Overscore: ostyle - single is default Small capitals A collection of exchange documents (instances of exch:exchange-document.xsd) Identified by "file" = DOCDB-yyyyww-PubDateyyyymmdd Attributes used : date-produced; date-of-exchange; dtd-version; file; no-of-documents; orginating-office