December 4, 2012 U.S. Patent Data/XML v4.3 (a.k.a.

Red Book)
Documentation identifying AIA and CPC XML changes

<classifications- The <classifications-cpc> element is optional and will occur one time within the <us-bibliographic-data-
cpc> grant> and <us-bibliographic-data-application> element and contain the main-cpc (classification-cpc), a
further-cpc element with one or more classification-cpc element and a combination-set with one or
more classification-cpc element. And terminated by the </classifications-cpc> end tag.

{- - <!ELEMENT classifications-cpc (main-cpc, further-cpc?)>

<!ATTLIST classifications-cpc
id ID #IMPLIED

> - -}
<main-cpc> The <main-cpc> element is mandatory and will occur one time within the <classifications-cpc> element
and contain the Main CPC Classification and terminated by the </main-cpc> end tag.

{- - <!ELEMENT main-cpc (classification-cpc)>

<!ATTLIST main-cpc
id ID #IMPLIED

>- -}
<classification-
cpc> {- - <!ELEMENT classification-cpc (cpc-version-indicator, section, class, subclass, main-
group, subgroup, symbol-position, classification-value, action-date, generating-office,
classification-status?, classification-data-source?, scheme-origination-code?)>
<!ATTLIST classification-cpc
id ID #IMPLIED
sequence CDATA #IMPLIED

> - -}
<cpc-version- The <cpc-version-indicator> element will occur one time within the <main-cpc> element and contain an
indicator> 8-position numeric date in the format YYYYMMDD identifying the classification publication date and
terminated by a </cpc-version-indicator> end tag.

Example: <cpc-version-indicator><date>YYYYMMDD</date></cpc-version-indicator>
<date>
</date>
</cpc-version-
indicator>
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<section> The <section> element will occur one time within the <main-cpc> element and contain a 1-position
alphabetic (uppercase) possible value can be A through H and terminated by a </section> end tag.

The section is the highest hierarchical level within the classification scheme and as such it represents
the whole body of knowledge which may be regarded as proper to the field of Classification.
</section>
<class> The <class> element will occur one time within the <main-cpc> element and contain a -2-position
numeric class-type attribute and terminated by a </class> end tag.

The code denotes the second level subdivision of the classification scheme and as such it is a
further breakdown of the section's broad technical fields into high level subject matter.
</class>
<subclass> The <subclass> element will occur one time within <main-cpc> element and contain a
1-position alphabetic (uppercase) possible value can be A through Z and terminated by a
</subclass> end tag.

The code denotes the third level subdivision of the classification scheme and as such it is a
further breakdown of subject matter into more novel subject matter.
</subclass>
<main-group> The <main-group> element will occur one time within the <main-cpc> element and contain a 1 to 4
positions numeric and terminated by a </main-group> end tag.

The code denotes the fourth level subdivision of the classification scheme and as such is a
further breakdown of the novel subject matter.
</main-group>
<subgroup> The <subgroup> element will occur one time within the <main-cpc> element and contain
a 2 to 6 positions numeric and terminated by a </subgroup> end tag.

The code denotes the fifth level subdivision of the classification scheme and as such is a
further breakdown of the novel subject matter.
</subgroup>

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<symbol- The <symbol-position> element will occur one time within the <main-cpc> element and contain
position> 1-position alphabetic (uppercase) F defining first for the sole or first invention information CPC,
or L defining later for any second and succeeding invention information CPC and for any non-
invention information CPC. And, terminated by a </symbol-position> end tag.

The code that specifies the position of the classification symbol.

</symbol-
position>
<classification- The <classification-value> element will occur one time within the <main-cpc> element and contain a
value> 1-position alphabetic (uppercase) I defining invention information or N defining non-invention
information. And, terminated by a </classification-value> end tag.

The code that distinguishes between invention information (invention) and other information
(non-invention/additional), when describing a classification symbol on a document.
</classification-
value>
<action-date> The <action-date> element will occur one time within the <main-cpc> element and contain an
8-position numeric date in the format YYYYMMDD. This date will be issue date of the patent
document. And, terminated by a </action-date> end tag.

Example: <action-date><date>YYYYMMDD</date></action-date>

<date>
</date>
</action-date>
<generating- The <generating-office> element will occur one time within the <main-cpc> element and contain a
office> 2-position alphabetic (uppercase) country code identifying the generating Intellectual Property Office
and terminated by a </generating-office> end tag
<country> <country>US</country> identifying United States as the generating Intellectual Property Office of this
patent document being issued.
<country>
</generating-
office>

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<classification- The <classification-status> element will occur one time within the <main-cpc> element and contain a 1-
status> position alphabetic (uppercase) B defining Basic or Original and terminated by a </classification-
status> end tag.

The code that distinguishes between invention information (invention) and other information
(non-invention/additional), when describing a classification symbol on a document.
</classification
-status>
<classification- The <classification-data-source> element will occur one time within the <main-cpc> element and
data-source> contain a 1-position alphabetic (uppercase) H defining Human-Generated, a future source can be
M defining Machine-Generated and G defining Generated via Software. And, terminated by a
</classification-data-source> end tag.

The code that describes the source of the allocation of the symbol to the patent document.
</classification-
data-source>
<scheme- The <scheme-organization-code> element will occur one time within the <main-cpc> element and
organization- contain a 1-position alphabetic code denoting which patent classification scheme the symbol
code> originates from. And, terminated by a </scheme-organization-code> end tag.
</scheme-
organization-
code>
</classification-
cpc>
</main-cpc>

<further-cpc> The <further-cpc> element is optional and will one or more classification-cpc element and an optional
combination-set with one or more classification-cpc element. And terminated by the </further-cpc> end
tag.

{- - <!ELEMENT further-cpc (classification-cpc*, combination-set*)>

<!ATTLIST further-cpc
id ID #IMPLIED

>--}
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<classification-
cpc>
{- - <!ELEMENT classification-cpc (cpc-version-indicator, section, class, subclass, main-
group, subgroup, symbol-position, classification-value, action-date, generating-office,
classification-status?, classification-data-source?, scheme-origination-code?)>
<!ATTLIST classification-cpc
id ID #IMPLIED
sequence CDATA #IMPLIED

>- -}
<cpc-version- The <cpc-version-indicator> element will occur one time within each <further-cpc> element and contain
indicator> an 8-position numeric date in the format YYYYMMDD and terminated by a </cpc-version-indicator>
end tag.

Example: <cpc-version-indicator><date>YYYYMMDD</date></cpc-version-indicator>
<date>
</date>
</cpc-version-
indicator>
<section> The <section> element will occur one time within each <further-cpc> element and contain a 1-position
alphabetic (uppercase) possible value can be A through H and terminated by a </section> end tag.

The section is the highest hierarchical level within the classification scheme and as such it represents
the whole body of knowledge which may be regarded as proper to the field of Classification.
</section>
<class> The <class> element will occur one time within each <further-cpc> element and contain a -2-position
numeric class-type attribute and terminated by a </class> end tag.

The code denotes the second level subdivision of the classification scheme and as such it is a
further breakdown of the section's broad technical fields into high level subject matter.
</class>
<subclass> The <subclass> element will occur one time within each <further-cpc> element and contain a
1-position alphabetic (uppercase) possible value can be A through Z and terminated by a
</subclass> end tag.

The code denotes the third level subdivision of the classification scheme and as such it is a
further breakdown of subject matter into more novel subject matter.
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</subclass>
<main-group> The <main-group> element will occur one time within each <further-cpc> element and contain a 1 to 4
positions numeric and terminated by a </main-group> end tag.

The code denotes the fourth level subdivision of the classification scheme and as such is a
further breakdown of the novel subject matter.
</main-group>
<subgroup> The <subgroup> element will occur one time within each <further-cpc> element and contain a
2 to 6 positions numeric and terminated by a </subgroup> end tag.

The code denotes the fifth level subdivision of the classification scheme and as such is a
further breakdown of the novel subject matter.
</subgroup>
<symbol- The <symbol-position> element will occur one time within each <further-cpc> element and contain
position> 1-position alphabetic (uppercase) F defining first for the sole or first invention information CPC,
or L defining later for any second and succeeding invention information CPC and for any non-
invention information CPC. And, terminated by a </symbol-position> end tag.

The code that specifies the position of the classification symbol.

</symbol-
position>
<classification- The <classification-value> element will occur one time within each <further-cpc> element and contain a
value> 1-position alphabetic (uppercase) I defining invention information or N defining non-invention
information. And, terminated by a </classification-value> end tag.

The code that distinguishes between invention information (invention) and other information
(non-invention/additional), when describing a classification symbol on a document.
</classification-
value>
<action-date> The <action-date> element will occur one time within each <further-cpc> element and contain an
8-position numeric date in the format YYYYMMDD. This date will be the issue date of the patent
document. And, terminated by a </action-date> end tag.

Example: <action-date><date>YYYYMMDD</date></action-date>

<date>
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</date>
</action-date>
<generating- The <generating-office> element will occur one time within each <further-cpc> element and contain a
office> 2-position alphabetic (uppercase) country code identifying the generating Intellectual Property Office
and terminated by a </generating-office> end tag
<country> <country>US</country> identifying United States as the generating Intellectual Property Office of this
patent document being issued.
</country>
</generating-
office>
<classification- The <classification-status> element will occur one time within each <further-cpc> element and contain
status> a 1-position alphabetic (uppercase) B defining Basic or Original and terminated by a
</classification-status> end tag.

The code that distinguishes between invention information (invention) and other information
(non-invention/additional), when describing a classification symbol on a document.
</classification-
status>
<classification- The <classification-data-source> element will occur one time within each <further-cpc> element and
data-source> contain a 1-position alphabetic (uppercase) H defining Human-Generated, a future source can be
M defining Machine-Generated and G defining Generated via Software. And, terminated by a
</classification-data-source> end tag.

The code that describes the source of the allocation of the symbol to the patent document.
</classification-
data-source>
<scheme- The <scheme-organization-code> element will occur one time within the <further-cpc> element and
organization- contain a 1-position alphabetic code denoting which patent classification scheme the symbol
code> originates from. And, terminated by a </scheme-organization-code> end tag.
</scheme-
organization-
code>
</classification-
cpc>

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<combination-
set>
{- - <!ELEMENT combination-set (group-number, combination-rank+)>
<!ATTLIST combination-set
id ID #IMPLIED
>

<!ELEMENT combination-rank (rank-number, classification-cpc)>

<!ATTLIST combination-rank
id ID #IMPLIED
>

<!-- The sequential number that is used to identify the rank of a Symbol in a grouping of
Combination Symbols allocated to a Family. -->

<!ELEMENT rank-number (#PCDATA)> --}

A combination set is a group of CPC symbols that have one base class and one or more
subsequent ranked symbols that are linked together to convey special classification
information.

<group-number> The <group-number> element will occur one time within each <combination-set> element and contain
a numeric value that is used to identify a group of symbols, when allocating a combination set of
symbols to a patent document. And, terminated by a </group-number> end tag.
</group-
number>

<combination- The <combination-rank> element will occur one time within each <combination-set> element and
rank> contain a sequential number that is used to identify the rank of a symbol within a combination
set. (Order of the symbols is important). And, terminated by a </combination-rank> end tag.

<rank-number> The <rank-number>element will occur one time within each <combination-rank> element and contain a
numeric value and terminated by a </rank-number> end tag.

</rank-number>

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<classification-
cpc>
{- - <!ELEMENT classification-cpc (cpc-version-indicator, section, class, subclass, main-
group, subgroup, symbol-position, classification-value, action-date, generating-office,
classification-status?, classification-data-source?, scheme-origination-code?)>
<!ATTLIST classification-cpc
id ID #IMPLIED
sequence CDATA #IMPLIED

>- -}
<cpc-version- The <cpc-version-indicator> element will occur one time within each <combination-rank> element and
indicator> contain an 8-position numeric date in the format YYYYMMDD and terminated by a </cpc-version-
indicator> end tag.

Example: <cpc-version-indicator><date>YYYYMMDD</date></cpc-version-indicator>
<date>
</date>
<cpc-version-
indicator>
<section> The <section> element will occur one time within each <combination-rank> element and contain a 1-
position alphabetic (uppercase) possible value can be A through H and terminated by a </section>
end tag.

The section is the highest hierarchical level within the classification scheme and as such it represents
the whole body of knowledge which may be regarded as proper to the field of Classification.
</section>
<class> The <class> element will occur one time within each <combination-rank> element and contain a -2-
position numeric class-type attribute and terminated by a </class> end tag.

The code denotes the second level subdivision of the classification scheme and as such it is a
further breakdown of the section's broad technical fields into high level subject matter.
</class>

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<subclass> The <subclass> element will occur one time within each <combination-rank> element and contain a
1-position alphabetic (uppercase) possible value ca n be A through Z and terminated by a
</subclass> end tag.

The code denotes the third level subdivision of the classification scheme and as such it is a
further breakdown of subject matter into more novel subject matter.
</subclass>
<main-group> The <main-group> element will occur one time within each <combination-rank> element and contain a
1 to 4 positions numeric and terminated by a </main-group> end tag.

The code denotes the fourth level subdivision of the classification scheme and as such is a
further breakdown of the novel subject matter.
</main-group>
<subgroup> The <subgroup> element will occur one time within each <combination-rank> element and contain a
2 to 6 positions numeric and terminated by a </subgroup> end tag.

The code denotes the fifth level subdivision of the classification scheme and as such is a
further breakdown of the novel subject matter.
</subgroup>
<symbol- The <symbol-position> element will occur one time within each <combination-rank> element and
position> contain 1-position alphabetic (uppercase) F defining first for the sole or first invention information
CPC, or L defining later for any second and succeeding invention information CPC and for any
non-invention information CPC. And, terminated by a </symbol-position> end tag.

The code that specifies the position of the classification symbol.

</symbol-
position>
<classification- The <classification-value> element will occur one time within each <combination-rank> element and
value> contain a 1-position alphabetic (uppercase) I defining invention information or N defining non-
invention information. And, terminated by a </classification-value> end tag.

The code that distinguishes between invention information (invention) and other information
(non-invention/additional), when describing a classification symbol on a document.
</classification-
value>

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<action-date> The <action-date> element will occur one time within each <combination-rank> element and contain an
8-position numeric date in the format YYYYMMDD. This date will be the issue date of the patent
document. And, terminated by a </action-date> end tag.

Example: <action-date><date>YYYYMMDD</date></action-date>

<date>
</date>
</action-date>
<generating- The <generating-office> element will occur one time within each <combination-rank> element and
office> contain a 2-position alphabetic (uppercase) country code identifying the generating Intellectual
Property Office and terminated by a </generating-office> end tag
<country> <country>US</country> identifying United States as the generating Intellectual Property Office of this
patent document being issued.
</country>
</generating-
office>
<classification- The <classification-status> element will occur one time within each <combination-rank> element and
status> contain a 1-position alphabetic (uppercase) B defining Basic or Original and terminated by a
</classification-status> end tag.

The code that distinguishes between invention information (invention) and other information
(non-invention/additional), when describing a classification symbol on a document.
</classification-
status>
<classification- The <classification-data-source> element will occur one time within each <combination-rank> element
data-source> and contain a 1-position alphabetic (uppercase) H defining Human-Generated, a future source
can be M defining Machine-Generated and G defining Generated via Software. And,
terminated by a </classification-data-source> end tag.

The code that describes the source of the allocation of the symbol to the patent document.
</classification-
data-source>
<scheme- The <scheme-organization-code> element will occur one time within the <combination-rank> element
organization- and contain a 1-position alphabetic code denoting which patent classification scheme the symbol
code> originates from. And, terminated by a </scheme-organization-code> end tag.

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</scheme-
organization-
code>
</classification-
cpc>
<combination-
rank>
</combination-
set>

<us-references- This <references-cited> element is mandatory and will occur one time within the <us-bibliographic-
cited> data-grant> element and terminated by the </reference-cited> end tag.

The sequence of References Cited will be as follows:

U.S. Patent Documents (required)

Note: References cited will not be present for a US Plant Patent.
Foreign Patent Documents (optional)
Other Publications (optional)

{- - <!ELEMENT us-references-cited ( text | (us-citation+ , date-search-completed? ,

date-search-report-mailed? , place-of-search? , search-report-publication? , searcher? ))> --
}

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<us-citation> The <us-citation> element is mandatory and will occur one or more times, within the <us-references-
cited> element and terminated by the </us-citation> end tag. Each <us-citation> element identifies a
reference that is cited by the patent grant. A citation can be a US or foreign patent citation (patcit) or a
non-patent literature citation (nplcit).

{- - <!ELEMENT us-citation ((patcit | nplcit) , corresponding-docs* , rel-passage* , category* ,

rel-claims* , classification-ipc? , classifications-ipcr? , classifications-cpc?, classification-

national?)> - -}
<patcit> The <patcit> element is optional and, when present, will occur one time within a <us-citation> element
identifying the citation sequence. The <patcit> is mandatory when the citation for a reference cited is a
U.S. Patent Document or a Foreign Patent Document. The <patcit> will not be present when Other
Publications are cited.

{- - <!ELEMENT patcit (text | (document-id , rel-passage* ))> - -}

{- - <!ATTLIST patcit id ID #IMPLIED
num CDATA #IMPLIED
dnum CDATA #IMPLIED
dnum-type CDATA #IMPLIED
file CDATA #IMPLIED

url CDATA #IMPLIED > - -}

Note: The appearance will be <patcit num=nnnnn> where nnnnn will contain a numeric value
(sequence number), right justified with leading zeros.
Example: <patcit num=00001>

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<document-id> This <document-id> element is optional and, when present, will occur one time within a <us-citation>
element. This <document-id> is mandatory when the citation for a reference cited is a U.S. Patent
Document or a Foreign Patent Document. This <document-id> will not be present when Other
Publications are cited.

When present, this <document-id> element will occur one time within each <us-citation> of
<us-references-cited>. The contents of this <documentid> element will be a <country>,
a <doc-number>, a <kind>, a <name>, a <date>, and terminated by the </document-id> end tag.
<country> This <country> element is optional and, when present, will occur one time within a <us-citation>
element. This <country> is mandatory when the citation for a reference cited is a U.S. Patent
Document or a Foreign Patent Document. This <country> will not be present when Other Publications
are cited.

When present, the <country> element will occur one time within this <document-id> element and
contain the 2-position country code of the country publishing the document and terminated by the
</country> end tag.

Reference STANDARD ST. 3 Recommended Standard on Two-Letter Codes for the

Representation of States, Other Entities and Intergovernmental Organizations:
http://www.wipo.int/standards/en/pdf/03-03-01.pdf

</country>
<doc-number> This <doc-number> element is optional and, when present, will occur one time within a <us-citation>
element and terminated by the </doc-number> end-tag. This <doc-number> is mandatory when the
citation for a reference cited is a U.S. Patent Document or a Foreign Patent Document. The <doc-
number> will not be present when Other Publications are cited.

Note:

The content of the <doc-number>, for US documents, will appear as an alphanumeric field without
punctuation, slashes / or spaces.

The content of the <doc-number>, for foreign documents, will appear as they appear in the printed
published document.

</doc-number>

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<kind> This <kind> element is optional and, when present, will occur one time within the <document-id>
element and terminated by the </kind> end-tag. This <kind> is mandatory when the reference cited
is a U.S. Patent Document. This <kind> will not be present when Foreign Patent Documents or
Other Publications are cited.

Reference Table 3A - U.S. Patent Grants and Patent Published Applications Kind Codes
(2-position) when the reference cited US Patent Grant was issued on or after January 2, 2001.

Reference Table 3B - U.S. Patent Grants and Patent Published Applications Kind Codes
(1-position) when the reference cited US Patent Grant was issued on or prior to December 26,
2000.

</kind>
<name> This <name> element is optional and, when present, will occur one time within this <document-id>
element and terminated by the </name> end-tag. This <name> is mandatory when the citation of the
reference cited is a U.S. Patent Document. This <name> will not be present when a Foreign Patent
Document or other Publications are cited.

When present, the <name> element will contain the surname of the inventor or when multiple
inventors are present it will contain the surname of the first inventor followed by et al.
</name>
<date> This <date> element is optional and, when present, will occur one time within this <document-id>
element and terminated by the </date> end tag. This <date> is mandatory when the citation for a
reference cited is a U.S. Patent Document or a Foreign Patent Document. This <date> will not be
present when Other Publications are cited.

When present, the <date> element will contain the 8-position (YYYYMMDD) publication date of the
document. Note: The 2-position DD of this reference cited <date>, for U.S. Patent Documents and
Foreign Patent Documents, will be contain zeros.
</date>
</document-id>
</patcit>

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<nplcit> The <npicit> element is optional and, when present, will occur one time within a <us-citation> element
identifying the citation sequence. This <npicit> is mandatory when the citation for a reference cited is
non-patent literature appearing as Other Publications.

This <npicit> will not be present when U.S. Patent Documents or a Foreign Patent Documents are
cited.

{- - <!ELEMENT nplcit (text | article | book | online | othercit)> - -}

{- - <!ATTLIST nplcit id ID #IMPLIED
num CDATA #IMPLIED
lang CDATA #IMPLIED
file CDATA #IMPLIED
npl-type CDATA #IMPLIED
medium CDATA #IMPLIED

url CDATA #IMPLIED - -}

Note: The appearance will be <nplcit num=nnnnn> where nnnnn will contain a numeric value
(sequence number), right justified with leading zeros.
Example: <nplcit num=00001>

<othercit> The <othercit> element is optional and, when present, will occur one time within a <us-citation>
element.

The <othercit> is mandatory when the citation for a reference cited is non-patent literature appearing
as Other Publications and contain free form text of non-patent literature being cited. The <othercit>
will not be used for citing U.S. Patent Documents or Foreign Patent Documents. The <othercit>
element is terminated by the </othercit> end tag.

{- - ELEMENT othercit (#PCDATA | b | i | o | u | sup | sub)*> - -}

</othercit>
</npicit>

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<category> The <category> element is mandatory and will occur one time within each <us-citation> element and
terminated by the </category> end tag.

Each <category> element will contain one of the following 2 phases:

cited by examiner
cited by applicant
cited by third party

</category>

<classification- This <classification-cpc-text> element is mandatory for a US citation and will occur one time within
cpc-text> the <us-citation>, <patcit> element, identifying the Classification CPC referenced. Each
<classification-cpc-text> element is terminated by the </classification-cpc-text> end tag.

{- - <!-- Unstructured classification cpc data-->

<!ELEMENT classification-cpc-text (#PCDATA)>
<!ATTLIST classification-cpc-text

id ID #IMPLIED - -}
Reference Table 6 Cooperative Patent Classification (CPC) for the content of a
<classification-cpc-text>.

An example of a <classification-cpc-text> within one patent document.

<classification-cpc-text>E01H 1/04</classification-cpc-text>

</classification-
cpc-text>

<classification- This <classification-national> element is optional for a US citation and will occur one time within the
national> <us-citation>, <patcit> element, identifying the US classification referenced. Each <classification-
national> element is terminated by the </classification-national> end tag.

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<country> The <country> element is mandatory and will occur one time within each < classification-national >
element of a citation and contain the ST. 3 2-position country code US identifying United States as
the publishing country of the document being cited and terminated by the </country> end tag.
</country>
<main- This <main-classification> element, identifying a US classification(s) referenced within the citation, is
classification> mandatory and will occur one time and terminated by the </main-classification> end tag.

Reference Table 5 - U.S. Patent Classifications for the appearance of a <main-classification>

</main-
classification>
</classification-
national>
</us-citation>
</us-references-
cited>

<us-field-of- The <us-field-of-classification-search> element is mandatory and will occur one time within the
classification- <us-bibliographic-data-grant> element and terminated by the </us-field-of-classification-search> end
search> tag.

The content of this <us-field-of-classification-search> element can be classification-national

references within the field of search and/or classifications-ipcr references within the field of search.

{- - <!ELEMENT us-field-of-classification-search (us-classifications-ipcr | classification-

national|classifications-cpc )+> - -}

<classification-
cpc-text>

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This <classification-cpc-text> element is mandatory for a US citation and will occur one or more
times within the <us-field-of-classification-search>. Each <classification-cpc-text> element is
terminated by the </classification-cpc-text> end tag.

Reference Table 6 Cooperative Patent Classification (CPC) for the content of a

<classification-cpc-text>.

An example of a <classification-cpc-text>within one patent document.

<classification-cpc-text>E01H 1/04</classification-cpc-text>

</classification-
cpc-text>

<classification- This <classification-national> element is optional and will occur one or more times within the <us-
national> field-of-classification-search> element, identifying the US classification(s) referenced within the <us-
field-of-classification-search>. Each <classification-national> element is terminated by the
</classification-national> end tag.
<country> This <country> element is mandatory and will occur one time within each <classification-national>
element and contain the 2-position country code US identifying the country publishing the document
being referenced and terminated by the </country> end tag.
</country>
<main- This <main-classification> element, identifying a US classification(s) referenced within the <us-field-of-
classification> classification-search> element, is mandatory and will occur one time and terminated by the </main-
classification> end tag.

Reference Table 5 - U.S. Patent Classifications for the appearance of a <main-classification>

</main-
classification>

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<additional-info> The <additional-info> element, is optional and can occur one time identifying an unstructured US
classification referenced within the <us-field-of-classification-search> element, and terminated by the
</additional-info> end tag.

An unstructured US classification would identify a sub-class as a range as defined in the example

below:

<main-classification> 2247-250</main-classification>
<additional-info>unstructured</additional-info>

Reference Table 5 - U.S. Patent Classifications for the appearance of a <main-classification>

</additional-info>
</classification-
national>
<us- This <us-classifications-ipcr> element is optional and may occur one or more times within the <us-
classifications- field-of-classification-search> element and contain International Patent Classification Reform
ipcr> information. Each<us-classifications-ipcr> is terminated by the </classifications-ipcr> end tag.

An example of multiple <us-classifications-ipcr> within one patent document.

<us-classifications-ipcr>E01H 1/04</us-classifications-ipcr>
<us-classifications-ipcr>E01H 1/08</us-classifications-ipcr>

<ipc-version- The <ipc-version-indicator> element will occur one time within each <classification-ipcr> element and
indicator> contain an 8-position numeric date in the format YYYYMMDD and terminated by a <ipc-version-
indicator> end tag.

Example: <ipc-version-indicator><date>YYYYMMDD</date></ipc-version-indicator>

<date>
</date>
</ipc-version-
indicator>
<classification- The <classification-level> element will occur one time within each <classification-ipcr> element and
level> contain a 1-position alphabetic (uppercase) constant A defining advanced level and terminated by
a <ipc-version-indicator> end tag.
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</classification-
level>
<section> The <section> element will occur one time within each <classification-ipcr> element and contain
a 1-position alphabetic (uppercase) possible value can be A through H and terminated by a
</section> end tag.
</section>
<class> The <class> element will occur one time within each <classification-ipcr> element and contain
a -2-position numeric class-type attribute and terminated by a </class> end tag.
</class>
<subclass> The <subclass> element will occur one time within each <classification-ipcr> element and contain
a 1-position alphabetic (uppercase) possible value can be A through Z and terminated by a
</subclass> end tag.
</subclass>
<main-group> The <main-group> element will occur one time within each <classification-ipcr> element and contain a
1 to 4 positions numeric and terminated by a </main-group> end tag.
</main-group>
<subgroup> The <subgroup> element will occur one time within each <classification-ipcr> element and contain a
2 to 6 positions numeric and terminated by a </subgroup> end tag.
<subgroup>
<symbol- The <symbol-position> element will occur one time within each <classification-ipcr> element and
position> contain 1-position alphabetic (uppercase) F defining first for the sole or first invention
information IPC, or L defining later for any second and succeeding invention information IPC
and for any non-invention information IPC. And, terminated by a </symbol-position> end tag.
</symbol-
position>
<classification- The <classification-value> element will occur one time within each <classification-ipcr> element and
value> contain 1-position alphabetic (uppercase) I defining invention information or N defining non-
invention information. And, terminated by a </classification-value> end tag.
</classification-
value>
<action-date> The <action-date> element will occur one time within each <classification-ipcr> element and contain
the date of publication for patent published applications and the issue date for patent grants. And,
terminated by a </action-date> end tag.
<date> This <date> element is mandatory and will occur one time within the <classification-ipcr> element and
contain the 8-position (YYYYMMDD) <action-date> and terminated by the </date> end tag.
</date>
</action-date>
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<generating- The <generating-office> element will occur one time within each <classification-ipcr> element and
office> contain a 2-position alphabetic (uppercase) country code identifying the generating Intellectual
Property Office and terminated by a </generating-office> end tag.
<country> This <country> element is mandatory and will occur one time within each <classification-ipcr> element
and contain the ST. 3 2-position country code of the country or international organization where the
priority is being claimed and terminated by the </country> end tag.

Reference STANDARD ST. 3 Recommended Standard on Two-Letter Codes for the

Representation of States, Other Entities and Intergovernmental Organizations:
http://www.wipo.int/standards/en/pdf/03-03-01.pdf

</country>
</generating-
office>
<classification- The <classification-status> element will occur one time within each <classification-ipcr> element and
status> contain a 1-position alphabetic (uppercase) B defining Basic or Original and terminated by a
</classification-status> end tag.
</classification-
status>
<classification- The <classification-data-source> element will occur one time within each <classification-ipcr> element
data-source> and contain a 1-position alphabetic (uppercase) H defining Human-Generated, a future source
can be M defining Machine-Generated and G defining Generated via Software. And,
terminated by a </classification-data-source> end tag.
</classification-
data-source>
</us-
classifications-
ipcr>
</us-field-of-
classification-
search>

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<us-parties> The <us-parties> element is mandatory and will occur one time within the <us-bibliographic-data-
grant> and the<us-bibliographic-data-application> element and terminated by the </us-parties> end
tag. The element uses applicants, inventors and agents elements and refers to parties to the patent
document.

{- - <!ELEMENT us-parties (us-applicants, inventors, agents?)> - -}

<us-applicants> The <applicants> element is mandatory and will occur one time within the <us-parties> element and
terminated by the </us-applicants> end tag.

{- - <!ELEMENT us-applicants (us-applicant+)> - -}

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<us-applicant> The <applicant> element is mandatory and may occur one or more times within the <applicants>
element and terminated by the</applicant> end tag.

{- - <!--(US: applicant is always the inventor. Use "applicant" with applicant type attribute
of "applicant-inventor.")-->
<!ELEMENT us-applicant (addressbook+, residence, us-rights*, designated-states? ,
designated-states-as-inventor?)>

<!ATTLIST us-applicant
sequence CDATA #REQUIRED
app-type (applicant | applicant-inventor) #REQUIRED
designation (all | all-except-us | | us-only | as-indicated) #REQUIRED
applicant-authority-category (inventor | legal-representative | party-of-interest |

obligated-assignee | assignee) #IMPLIED - -}

The following are examples of the us-applicant tag from one patent document.

<us-applicant sequence=001 app-type=applicant-inventor designation=us-only

applicant-authority-category=inventor>
<us-applicant sequence=002 app-type=applicant-inventor designation=us-only
applicant-authority-category=legal-representative>
<us-applicant sequence=003 app-type=applicant-inventor designation=us-only
applicant-authority-category=party-of-interest>

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<addressbook> This <addressbook> element is mandatory and will occur one time within the <applicant> element and
terminated by the </addressbook> end tag.

{- - <!--ADDRESSBOOK GROUP: Holds name and contact information for

individuals/organizations.

{- - <!ELEMENT addressbook ((%name_group; , address , phone* , fax* , email* , url* , ead* ,

dtext?) | text)> - -}

Example of an addressbook used within an app-type="applicant-inventor":

<last-name>
</last-name>
<first-name>
</first-name>
<address>
<city>
</city>
<state>
</state>
<country>
</country>
</address>
</addressbook>
<residence> The <residence> element is mandatory and will occur one time within the <applicant> element and
terminated by the </residence> end tag. The element contains the country of residence.
<country> This <country> element is mandatory and will occur one time within the <residence> element and
contain the 2-position country code identifying the residence of the applicant and terminated by the
</country> end tag.

Reference STANDARD ST. 3 Recommended Standard on Two-Letter Codes for the

Representation of States, Other Entities and Intergovernmental Organizations:
http://www.wipo.int/standards/en/pdf/03-03-01.pdf

</country>
</residence>
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<us-rights> The <us-rights> element is optional and may occur one within the <applicant> element and terminated
with the </us-rights> end tag. The element contains the us-rights to-dead-inventor and kind attributes.
The element refers to a person who is the successor to the rights of an inventor who is deceased,
insane, or legally incapacitated.

<!--This person is successor to the rights of an inventor who is deceased, insane, or legally
incapacitated.-->

{- - <!ELEMENT us-rights (#PCDATA)> - -}

{- - <!ATTLIST us-rights to-dead-inventor CDATA #REQUIRED
kind (heir | heiress | executor | executrix | estate | legal-representative |
administrator | administratrix | legal-representatives |

heirs | executors | legal-heirs ) #REQUIRED > - -}

Note: The <us-rights> element will no longer be present effective with the patent grant
issue of August 25, 2009.

</us-rights>
</us-applicant>
</us-applicants>

<inventors>

{- - <!ELEMENT inventors (inventor | deceased-inventor)+> - -}

<inventor>

{- - <!ELEMENT inventor (addressbook+ , designated-states?)> - -}

<addressbook>
</addressbook>
</inventor>
</inventors>

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Note: The <inventors>, <deceased-inventor> and <us-deceased-inventor> elements

will no longer be present effective with the patent grant issue of August 25, 2009.

<agents> The <agents> element is mandatory and will occur one time within the <us-parties> element and
terminated by the </agents> end tag. The element contains information regarding Agents or common
representatives.

{- - <!ELEMENT agents (customer-number | agent+)> - -}

<agent> The <agent> element is mandatory and will occur one or more times within the <agents> element and
terminated by the </agent> end tag. The element contains the sequence and rep-type attributes and
uses the addressbook element.

{- - <!ELEMENT agent (addressbook+)> - -}

{- - <!ATTLIST agent sequence CDATA #REQUIRED
rep-type (agent | attorney | common-representative ) #REQUIRED >

<!--Information regarding Agents or common representatives.--> - -}

The following is the content of an agent tag:

<agent sequence=01 rep-type=attorney>

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<addressbook> This <addressbook> element is mandatory and will occur one time within the <agent> element and
terminated by the </addressbook>end tag.

Note: rep-type=attorney contains the following tags within the <addressbook>. The will be the
<orgname> or <lastname> , (<firstname>. Also if a <country> is not provided unknown will be
present.

<orgname>
</orgname>

<last-name>
</last-name>

<first-name>
</first-name>

<address>
<country>
</country>
</address>

<orgname>
</orgname>
<last-name>
</last-name>
<first-name>
</first-name>
<address>
<country>
</country>
</address>
</addressbook>
</agent>
</agents>
</us-parties>

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Table 1 Definition of material used throughout the documentation and the Legend of Near and Fear Designer Symbols appearing in the DTD
(Document Type Definition) for United States Patent Document Publications.

Note: Information enclosed in {- -

and --}
identifies Elements and Attributes from the DTD as identified in WIPO Standard ST. 36
International Common Elements and used/populated in U.S. documents.

Element - A logical component of a document which either begins with a start-tag and ends with a matching end-tag, or consists only of an
empty-element tag. The characters between the start-tag and end-tag are the element's content. An element can contain other elements,
simple text or a mixture of both. Elements can also have attributes.

Attribute A markup construct consisting of a name/value pair that exists within a start-tag or empty-element tag. An XML attribute may be
included with element ATTLIST declarations and must always appear within quotes.

Elements and Attributes identified from the DTD that are underlined (Example: patent-family? ) are not used/populated in U.S. patent
documents.

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Legend of Near and Fear Designer Symbols:

Connectors

Ordered connector-----Specifies that the attached sibling objects must occur in sequence within a document instance

Selection Connector-----Specifies that one (and only one) of the attached sibling objects is to appear within a document instance

Occurrence Indicators

One (occurrence indicator-----The object is required; there must be one (and only one) occurrence of the object at this point in a document instance

Zero or one (occurrence indicator-----The object is optional, but if present, can appear only once

One or more (occurrence indicator-----The object must appear at least once and could appear any number of times

Zero or more (occurrence indicator-----The object may be omitted or may occur any number of times at this point in a document instance

Terminals

Processable Character Data, or PCDATA

No Content, EMPTY

Tilde-----Indicates that the element has associated attributes

Indicates that the content model is the same as a previous element

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Table 2 Appearance of U.S. Patent Numbers

a. U.S. Patent Grants

Design Patents Position 1 A constant D identifying the granted document as a Design Patent.
Positions 2-8 Seven-position numeric, right justified, with a leading zero.

SIR Patents Position 1 A constant H identifying the granted document as a Statutory Invention Registration (SIR).
Positions 2-8 Seven-position numeric, right justified, with a leading zero.

Plant Patents Positions 1-2 A constant PP identifying the granted document as a Plant Patent.
Positions 3-8 Six-position numeric, right justified, with a leading zero.

Reissue Patents Position 1-2 A constant RE identifying the granted document as a Reissue Patent.
Positions 3-8 Six-position numeric, right justified, with a leading zero.

Utility Patents Positions 1-8 Eight-position numeric, right justified, with a leading zero.

b. U.S. Patent Application Publications

A 2-position country code US

A 4-position numeric year of publication
A 7-position numeric sequence number, right justified with leading zeros

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Table 3A - U.S. Patent Grants and Patent Published Applications Kind Code (2-position)

Note: The following 2-position kind codes will be present in the XML <kind> tags of Patent Grant Data/XML (Red Book). These 2-positions
kind codes will also be present on the printed documents with the following exceptions: Reissues will contain a single position E,
SIR documents will contain a single position H, and Designs will contain a single position S.

A1 - Utility Patent Grant issued prior to January 2, 2001.

A1 - Utility Patent Application published on or after January 2, 2001
A2 - Second or subsequent publication of a Utility Patent Application
A9 - Correction published Utility Patent Application
Bn - Reexamination Certificate issued prior to January 2, 2001.
NOTE: n represents a value 1 through 9.
B1 - Utility Patent Grant (no published application) issued on
or after January 2, 2001.
B2 - Utility Patent Grant (with a published application) issued on or after
January 2, 2001.
Cn - Reexamination Certificate issued on or after January 2, 2001.
NOTE: n represent a value 1 through 9 denoting the publication level.
E1 - Reissue Patent
Fn - Reexamination Certificate of a Reissue published prior to January 12, 2010
NOTE: n represents a value 1 through 9 denoting the publication level
H1 - Statutory Invention Registration (SIR) Patent Documents
Note: SIR documents began with the December 3, 1985 issue.
I1 - X Patents issued from July 31, 1790 to July 13, 1836
I2 - X Reissue Patents issued from July 31, 1790 to July 13, 1836
I3 - Additional Improvements Patents issued between 1838 and 1861.
I4 - Defensive Publication Documents issued from November 5, 1968 through May 5, 1987
I5 - Trial Voluntary Protest Program (TVPP) Patent Documents
NP - Non-Patent Literature
P1 - Plant Patent Application published on or after January 2, 2001
P2 - Plant Patent Grant (no published application) issued on or after January 2, 2001
P3 - Plant Patent Grant (with a published application) issued on or after January 2, 2001
P4 - Second or subsequent publication of a Plant Patent Application
P9 - Correction publication of a Plant Patent Application
S1 - Design Patent
Note: 00 Can be present for a PCT or Regional Filing Data
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Table 3B - U.S. Patent Grants and Patent Published Applications Kind Codes (1-position)

Note: The following 1-position kind codes will be present in the XML <kind> tag within the <us-references-cited> element of Patent Grant
Data/XML (Red Book) and Patent Grant Data/TIFF (Single-Page TIFF Images Yellow Book) for first publication of a patent document issued
on or prior to December 26, 2000.

A - Utility Patent Grant issued prior to January 2, 2001

B - Reexamination Certificate issued prior to January 2, 2001
E - Reissue Patent
H - Statutory Invention Registration (SIR) Patent Documents
P - Plant Patent Grant issued prior to January 2, 2001
S - Design Patent
T - Defensive Publication
~~~~~~

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Table 4 - U.S. Application Series Codes

Code: Filing Dates:

02 Filed prior to January 1, 1948

03 January 1, 1948 through December 31, 1959
04 January 1, 1960 through December 31, 1969
05 January 1, 1970 through December 31, 1978
06 January 1, 1979 through December 31, 1986
07 January 1, 1987 through January 21, 1993
08 January 22, 1993 through January 20, 1998
09 January 21, 1998 through October 23, 2001
10 October 24, 2001 through November 30, 2004
11 December 1, 2004 through December 5, 2007
12 December 6, 2007 through December 17, 2010
13 December 17, 2010 through Current

Design Patents

07 Filed prior to October 1, 1992

29 Filed after October 1, 1992

~~~~~~

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Table 5 - U.S. Patent Classifications

Class A 3-position alphanumeric field right justified with leading spaces.

Design Patents The first position will contain a D.

Positions 2 and 3, right justified,
with a leading space when required
for a single digit class.

Plant Patents Positions 1-3 will contain a PLT

All Other Patents Three alphanumeric positions, right justified,

with leading spaces

Sub-Class Three alphanumeric positions, right justified with leading spaces,

and, if present, one to three positions to the right of the decimal
point (assumed decimal in the Red Book XML), left justified.

Note: An unstructured US classification would identify a sub-class

as a range with the sub-class range being separated by a hyphen -

A digest entry as a sub-class would appear as follows:

Three positions containing DIG, followed by one to three

alphanumeric positions, left justified.

~~~~~~

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Table 6 Cooperative Patent Classification (CPC)

<main-cpc> - Identifying Main Classification, <further-cpc> - Identifying a Further Classification, or <further-cpc>

within the <combination-set> .

<classification-cpc>

<cpc-version-indicator> - 8-position numeric date in the format YYYYMMDD identifying the classification publication date

Note: The <ipc-version-indicator> date will not be present in a <classification-cpc-text> for <us-citation> or <us-field-of-classification-search>

<section> - 1-position alphabetic (uppercase) - possible value can be "A through H"

The section is the highest hierarchical level within the classification scheme and as such it represents the whole body of knowledge which may be
regarded as proper to the field of Classification.

<class> - 2-position numeric.

The code denotes the second level subdivision of the classification scheme and as such it is a further breakdown of the section's broad
technical fields into high level subject matter.

<subclass> - 1-position alphabetic (uppercase) - possible value can be "A through Z"

The code denotes the third level subdivision of the classification scheme and as such it is a further breakdown of subject matter into more
novel subject matter.

<main-group> - 2 to 4 positions numeric

The code denotes the fourth level subdivision of the classification scheme and as such is a further breakdown of the novel subject matter.

<subgroup> - 2 to 6 positions numeric.

The code denotes the fifth level subdivision of the classification scheme and as such is a further breakdown of the novel subject matter.

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<symbol-position> - 1-position alphabetic (uppercase) - will contain "F" defining "first" for the sole or first "invention information" IPC, and will contain "L"
defining "later" for any second and succeeding "invention information" IPC and for any "non-invention information" IPC

The code that specifies the position of the classification symbol

<classification-value> - 1-position alphabetic (uppercase) - will contain "I" defining "invention information" or will contain "N" defining "non-invention
information".

The code that distinguishes between invention information (invention) and other information (non-invention/additional), when describing a
classification symbol on a document

<action-date> - 8-position numeric date in the format YYYYMMDD - This date will be the date of publication for patent applications and the issue date for
patent grants

<generating-office> - 2-position alphabetic (uppercase) - United States documents will contain "US"

<classification-status> - 1-position alphabetic (uppercase) - will contain "B" defining "Basic or Original"

The code that distinguishes between invention information (invention) and other information (non-invention/additional), when describing a
classification symbol on a document

<classification-data-source> - 1-position alphabetic (uppercase) - will contain "H" defining "Human-Generated". A future source can be "M" defining
"Machine-Generated" and "G" defining "Generated via Software"

The code that describes the source of the allocation of the symbol to the patent document

<scheme-organization-code> - 1-position alphabetic code denoting which patent classification scheme the symbol originates from. And,
terminated by a </scheme-organization-code> end tag.

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Example of the Cooperative Patent Classification (CPC) in the <us-field-of-classification-search> and <us-citation>
for patents granted on or after January 2013:

<classification-cpc-text>H04M 2/02</classification-cpc-text>

<classification-cpc-text>H04M 2/0202</classification-cpc-text>

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