Attachment 27b - PatentGrantXMLv4.3Documentation.doc

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

Documentation identifying the use of XML Tags and Content U.S. Patent Grant Data/XML v4.3 (a.k.a. Red Book) Documentation identifying the use of XML Tags and Content

<?xml version=”1.0” encoding=”UTF-8”?>

<!DOCTYPE us-patent-grant SYSTEM “us-patent-grant-v42-2006-08-23.dtd” [ ]>

Reference Document Type Definition for United States Patent Grant Publications:

http://www.uspto.gov/web/offices/ac/ido/oeip/sgml/st32/redbook/rb2004/rb2004.html

Also refer to Section B of this manual for printed copies of the following:

· DTD v4.2, dated August 23, 2006, United States Patent Grant Publications

· Processing Instructions

USPTO-modified version of WIPO Standard ST. 36 – Recommendation for the Processing of Patent Information using XML (Extensible Markup Language) – International Common Elements (ICE): http://www.wipo.int/export/sites/www/standards/en/pdf/03-36-01.pdf Refer to Table 1 for Definition of material enclosed in {- - and - - } throughout the documentation and the Legend of Near and Fear Designer Symbols appearing in the DTD (Document Type Definition) for United States Patent Grant Publications.

<us-patent-grant lang="EN" dtd-version="v4.2 2006-08-23" file="USNNNNNNN-YYYYMMDD.XML" status="PRODUCTION" id="us-patent-grant" country="US" date-produced="YYYYMMDD" date-publ="YYYYMMDD"> NOTE: file=”USNNNNNNN-YYYYMMDD identifies a 7-position number of the patent grant preceded by the 2-position constant “US” and followed a 1-position constant “-“and the 8-position year, month and day identifying the publication date of the patent grant. date-produced=”YYYYMMDD” identifies the creation date of this XML document and date-publ=YYYYMMDD is the 8-position year, month and day identifying the publication date of the document.

The <us-patent-grant> element includes the following data elements and terminated, at the end of a completed document by the </us-patent-grant> end tag.

{- - <us-bibliographic-data-grant>, <abstract>, <description>, <doc-page>, <drawings>, <sequence-list-doc>, <table-external-doc>, <us-chemistry>, <us-math>, <claims> - -} NOTE: UTF-8 (8-bit UCS/Unicode Transformation Format) is a variable-length character encoding for Unicode. It is able to represent any character in the Unicode standard. Throughout an XML patent document special characters are present using the UTF-8 character encoding scheme. Also, Private Use Character Entities will be replaced with a <img> tag that will reference an external Image file.

Reference Table 7 - UTF-8 Character Encoding Table and Private Use Character Entities NOTE: Processing instructions can be present and are used to pass information to applications in a way that escapes XML rules. Their appearance is not noted by schema or DTD processors.

ReferenceTable 8 - Processing instructions

<us-patent-grant> element. The <us-bibliographic-data-grant> element contains the following bibliographic information, that is present on the front page of a patent grant, and terminated by the

</us-bibliographic-data-grant> end tag.

{- - <!ELEMENT us-bibliographic-data-grant (publication-reference, us-sir-flag?, application-reference, us-application-series-code, priority-claims?, us-issued-on-continued-prosecution-application?, rule-47-flag?, us-term-of-grant?, classifications-ipcr?, classifications-cpc?, classification-locarno?, classification-national?, invention-title, us-botanic?, us-references-cited?, number-of-claims?, us-exemplary-claim*, us-field-of-classification-search?, figures?, us-microform-quantity?, us-related-documents?, us-parties, assignees?, examiners?, pct-or-regional-filing-data?, pct-or-regional-publishing-data?, patent-family?, bio-deposit?, text*)>

<us-bibliographic-data-grant> element and contain the following publication reference

Information and terminated by the </publication-reference> end tag.

{- - <!element publication-reference (document-id)> - -}

</country>

Reference Table 2 – Appearance of U.S. Patent Grant Patent Numbers

</doc-number>

Reference Table 3A - U.S. Patent Grants and Patent Published Applications – Kind Codes

(2-position)

</kind>

</date>

</document-id>

</publication-reference>

<us-bibliographic-data-grant> element and terminated by the /> end tag.

{- - <!ELEMENT us-sir-flag EMPTY>

{- - <!ATTLIST us-sir-flag sir-text CDATA #FIXED 'A statutory invention registration is not a patent. It has the defensive attributes of a patent but does not have the enforceable attributes of a patent. No article or advertisement or the like may use the term patent, or any term suggestive of a patent, when referring to a statutory invention registration. For more specific information on the rights associated with a statutory invention registration reference 35 U.S.C.157.' > - -} Note: The Statutory Invention Registration (SIR) flag will contain the sir-text attribute as it appears on the front page of the patent grant publication.

Example of a <us-sir-flag> element:

<us-sir-flag sir-text="A statutory invention registration is not a patent. It has the defensive attributes of a patent but does not have the enforceable attributes of a patent. No article or advertisement or the like may use the term patent, or any term suggestive of a patent, when referring to a statutory invention registration. For more specific information on the rights associated with a statutory invention registration see 35 U.S.C.157."/>

<application-reference>

Note: The appropriate application reference tag identifying the application type will be present here.

The <application-reference> element is mandatory and will occur one time within the <us-bibliographic-data-grant> element and contain the following application reference information and terminated by the </application-reference> end tag.

Note: The following are the possible application reference tags identifying the application type:

<application-reference appl-type="design">

<application-reference appl-type="plant">

<application-reference appl-type="reissue">

<application-reference appl-type="sir">

<application-reference appl-type="utility"> {- - <!ELEMENT application-reference (document-id)> - -}

<country>

This <country> element is mandatory and will occur one time within the <document-id> element of the <application-reference> element and contain the ST. 3 2-position country code of “US” identifying United States as the country where the application was filed and terminated by the </country> end tag

</country>

Note: Positions 1 and 2 of this application number will contain the Series Code.

Reference Table 4 - U.S. Application Series Codes.

</doc-number>

</date>

</document-id>

</application-reference>

{- - <!ELEMENT us-application-series-code (#PCDATA)> - -} Reference Table 4 - U.S. Application Series Codes.

</us-application-series-code>

<priority-claims>

<priority-claim>

Note: The appropriate priority-claim tag identifying the priority sequence and kind will be present here.

The <priority-claim> element is optional and may occur multiple times (once for each priority being claimed) within the <priority-claims> element. Each <priority-claim> element is terminated by the <priority-claim> end tag.

Note: The following are priority claim tags identifying the priority sequence and the priority kind

<priority-claim sequence="01" kind="national">

<priority-claim sequence="01" kind="regional">

<priority-claim sequence="01" kind="international">

{- - <!ELEMENT priority-claim (country , doc-number? , date , office-of-filing? , (priority-doc-requested | priority-doc-attached)?) > - -}

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 mandatory and will occur one time within each <priority-claim> element and contain the document application number of the issuing country or international organization and terminated by the </doc-number> end-tag.

Reference WIPO Standard ST. 10/C – Presentation of Bibliographic Data Components

Presentation of Application Numbers:

Table I – Countries or Organizations Having Annual Series of Application Numbers

Table II– Countries or Organizations Having Other than Annual Numbering Systems http://www.wipo.int/export/sites/www/standards/en/pdf/07-02-01.pdf

</doc-number>

</date>

</priority-claim>

</priority-claims>

<us-bibliographic-data-grant> element when the US Application Filing Date or the PCT Application Filing Date is prior to June 8, 1995 and terminated by the /> end tag.

{- - <!ELEMENT us-issued-on-continued-prosecution-application EMPTY> - -} {- - <!ATTLIST us-issued-on-continued-prosecution-application grant-cpa-text CDATA #FIXED 'This patent issued on a continued prosecution application (CPA) filed under 37 CFR 1.53(d), and is subject to the twenty year patent term provision of 35 U.S.C. 154(a)(2).' > - -} Example – Patent 07875063, granted 20110125:

<us-issued-on-continued-prosecution-application grant-cpa-text="This patent issued on a continued prosecution application (CPA) filed under 37 CFR 1.53(d), and is subject to the twenty year patent term provision of 35 U.S.C. 154(a)(2)."/>

<rule-47-flag/>

When this <rule-47-flag/> tag is present within the <us-bibliographic-data-grant> element it signifies that the application was filed under Rule 47, indicating the applicant(s) refused to execute the application or could not be found.

{- - <!ELEMENT rule-47-flag EMPTY> - -}

{- - <!ELEMENT us-term-of-grant (text | length-of-grant | us-term-extension | disclaimer | lapse-of-patent)+> - -}

</us-term-extension>

</length-of-grant>

The <text> element will contain the constant as shown indicating the terminal disclaimer.

</text>

</disclaimer>

</us-term-of-grant>

Note: Multiple IPCR classifications, <classification-ipcr> through </classification-ipcr>, can be present within the <classifications-ipcr> element.

Reference Table 5 - Reformed IPC - Patent Published Applications and Patent Grants (International Common Elements – ICE) on or after January 2006:

<classification-ipcr>

The <classification-ipcr> element is optional and may occur one or more times within the <classifications-ipcr> element. The element contains an IPCR classification information and terminated by the </classification-ipcr> end tag.

{- - <!ELEMENT classification-ipcr (ipc-version-indicator , classification-level? , section , class , subclass , main-group? , subgroup? , symbol-position? , classification-value? , action date? , generating-office? , classification-status? , classification-data-source?)> - -} {- - < !ELEMENT classification-ipc (edition , main-classification , further-classification* , (additional-info | linked-indexing-code-group | unlinked-indexing-code)* , text?)> - -}

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

<date>

</date>

</ipc-version-indicator>

</classification-level>

</section>

</class>

1-position alphabetic (uppercase) – possible value can be “A through Z” and terminated by a </subclass> end tag.

</subclass>

</main-group>

</subgroup>

</symbol-position>

</classification-value>

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

<date>

</date>

</action-date>

</country>

</generating-office>

</classification-status>

</classification-data-source>

</classification-ipcr>

</classifications-ipcr>

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

<!ATTLIST classifications-cpc id ID #IMPLIED

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

<!ATTLIST main-cpc

<!ATTLIST classification-cpc sequence CDATA #IMPLIED

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

<date>

</date>

</cpc-version-indicator>

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>

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>

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>

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>

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>

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>

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>

8-position numeric date in the format YYYYMMDD. This date will be issue date of the patent grant. And, terminated by a </action-date> end tag.

<date>

</date>

</action-date>

2-position alphabetic (uppercase) country code identifying the generating Intellectual Property Office and terminated by a </generating-office> end tag

<country>

</generating-office>

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

</classification-status>

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

</classification-data-source>

</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

<date>

</date>

</cpc-version-indicator>

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>

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>

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>

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>

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>

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.

</symbol-position>

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

</classification-value>

8-position numeric date in the format YYYYMMDD. This date will be issue date of the patent grant. And, terminated by a </action-date> end tag.

<date>

</date>

</action-date>

2-position alphabetic (uppercase) country code identifying the generating Intellectual Property Office and terminated by a </generating-office> end tag

</country>

</generating-office>

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-data-source>

</scheme-organization-code>

</classification-cpc>

<!ATTLIST combination-set

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

<!ATTLIST combination-rank

<!-- 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>

</rank-number>

<date>

</date>

<cpc-version-indicator>

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>

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>

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>

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>

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-position>

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

</classification-value>

<date>

</date>

</action-date>

</country>

</generating-office>

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-data-source>

</scheme-organization-code>

</classification-cpc>

<combination-rank>

</combination-set>

</further-cpc>

</classifications-cpc>

{- - <!ELEMENT classification-locarno (edition , main-classification , further-classification* , text? )> - -}

<edition>

This <edition> element is mandatory and will occur one time within the <classification-locarno> element and contain the 1-position numeric edition and terminated by the </edition> end tag.

Edition: Filing Dates:

1 October 4, 1971 through February 2, 1979

2 February 3, 1979 through June 28, 1981

3 June 29, 1981 through December 27, 1983

4 January 3, 1984 through December 27, 1988

5 January 3, 1989 through December 28, 1993

6 January 4, 1994 through December 29, 1998

7 January 5, 1999 through December 30, 2003

8 January 6, 2004 through December 30, 2008

9 January 6, 2009 through Current

</edition>

The content will be as follows:

"Class" – 2-positions numeric, right justified, leading zeros.

"Subclass" – 2-positions numeric, right justified, leading zeros.

</main-classification>

</classification-locarno>

<us-bibliographic-data-grant> element, identifying the original US classification (main-classification) and cross references (further-classifications). The <classification-national> element is terminated by the </classification-national> end tag.

{- - <!ELEMENT classification-national (country, edition? , main-classification , further-classification* , (additional-info | linked-indexing-code-group | unlinked-indexing-code)* , text? ) > - -}

</country>

{- - <!ELEMENT main-classification (#PCDATA)> - -} Reference Table 6 - U.S. Patent Classifications for the appearance of a <main-classification>

</main-classification>

<further-classification> element is terminated by the </<further-classification> end tag.

{- - <!ELEMENT further-classification (#PCDATA)> - -} Reference Table 6 - U.S. Patent Classifications for the appearance of a <further-classification>

</further-classification>

</classification-national>

{- - <!ELEMENT invention-title (#PCDATA | b | i | u | sup | sub )*> and will include the attribute id. - -} The invention-title attribute "id" is unique and cryptic and populated with the node value of the element invention-title and referenced within the structure of the xml instance.

Reference: 37 CFR 1.72(a) - "The title of the invention may not exceed 500 characters in length and must be as short and specific as possible."

Example of an invention title:

<invention-title id="d0e71">Liquid crystal display panel</invention-title>

</invention-title>

{- - <!--Plant patent botanical information.--> - -} {- - <!ELEMENT us-botanic (latin-name , variety)> - -} Example:

<us-botanic>

<latin-name>Prunus persica</latin-name>

<variety>Juliepretty</variety>

</us-botanic>

<latin-name>

</latin-name>

<variety>

</variety>

</us-botanic>

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? ))> - -}

<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?)> - -}

{- - <!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”>

Example – US patent document citation Example – foreign patent document citation

<patcit> from Patent Grant 7,642,344: <patcit>) from Patent Grant 7,642,344

<us-citation> <us-citation>

<patcit num="00001"> <patcit num="00059">

<document-id> <document-id>

<country>US</country> <country>CA</country>

<doc-number>4650750</doc-number> <doc-number>2062454</doc-number>

<kind>A</kind> <kind>A1</kind>

<name>Giese</name> <date>19920900</date>

<date>19870300</date> </document-id>

</document-id> </patcit>

</patcit> <category>cited by other</category>

<category>cited by other</category> </us-citation>

<classification-national><country>US</country> <main-classification>435 7</main-classification>

</classification-national>

</us-citation>

<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 <document–id> element will be a <country>, a <doc-number>, a <kind>, a <name>, a <date>, and terminated by the </document-id> end tag.

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:

</country>

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>

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>

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>

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>

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”>

Example of a non-patent literature citation <nplcit> from Patent Grant 7,642,344:

<us-citation>

<nplcit num="00139">

<othercit>Zablocki et al., &#x201c;Potent in Vitro and in Vivo Inhibitors of Platelet Aggregation Based Upon the Arg-Gly-Asp Sequence of Fibrinogen. (Aminobenzamidino)succinyl (ABAS) Series of Orally Active Fibrinogen Receptor Antagonists,&#x201d; <i>J. Med. Chem. 38</i>:2378-2394, 1995.</othercit>

</nplcit>

<category>cited by other</category>

</us-citation>