Attachment 28b - Grant Yellow Book Documentation.docx

Yellow Book 2 U. S. Patent Images/TIFF

United States Patents (Grants and Published Applications) Delivered as CCITT Group 4 Facsimile Images

Revised March 15, 2018

United States Patent & Trademark Office Electronic Information Products Division

Update to U.S. Patent Image/TIFF (a.k.a Yellow Book 2) Table

Minor wording changes.

Updated to include examples covering 8 to 13 digits patent numbers

Updated to include examples covering 8 to 13 digits patent numbers

Updated t to include examples covering 8 to 13 digits patent numbers

II

1. Background

The original USPTO implementation of the World Intellectual Property Office (WIPO) Standard ST.33 is known as U.S. Patent Images/TIFF Yellow Book. ST.33 provides a proprietary header for CCITT Group 4 compressed raster images. This proprietary Yellow Book was discontinued the week ending June 18, 2004.

U.S. Patent Images/TIFF Yellow Book 2 (placed into production the week beginning June 21, 2004, uses a TIFF header for CCITT Group 4 compressed raster images of the pages in the patent document, accompanied by an XML instance with additional metadata for each patent document. Yellow Book 2 is based on WIPO Standards ST.33, ST.35, and current USPTO practice.

2. Summary

U.S. Patent Images/TIFF (a.k.a. Yellow Book 2) consists of United States Weekly Issued Patent Grant Documents and weekly Pre-Grant Publications (Application), as well as weekly Certificates of Correction and daily certificates (Reexamination, Supplemental Examination, Patent Trial and Appeal Board) delivered as CCITT Group 4 facsimile images enclosed in TIFF headers. Each page of a patent document is in a single TIFF file. The files are organized into directories, one directory per patent document. The external media for dissemination of U.S. Patent Images/TIFF files (Patent Grant Documents and Pre-Grant Published Applications) will be electronic files. Also included with each electronic file is a Media ID file and a Content List file that identifies all document numbers.

3. Organization of Optical Disc Content

3.1. Media ID File

The Media File ID file contains a 1-position Media Series Code (as defined in the following table) followed by a 5-position numeric serial number and the file extension .tid. Example of a Media ID File: Xnnnnn.tid, where “X” represents a Media Series Code identified in the following table. The Media ID file contains no data.

Media Series Code

B B Replacement Documents captured from paper, Certificates of Correction captured from paper.

M or D Replacement Documents, Certificates of Correction, Reexamination Certificates dissemination to the patent examining search system1.

Z Z Certificates of Correction captured electronically Certificates of Correction (Patent Term Adjustment) captured electronically

1 The Maintenance “M” or “D” file (“M” and “D” are equivalent) for the patent examining search system will contain: Replacement documents with the <status> field containing “RESCAN”. Certificates of Correction (The original document followed by the Certificate of Correction with the <status> field containing “COC”. Reexamination Certificates (The original document followed by the Reexamination Certificate with the <status> field containing “REEXAM”.

2 The Maintenance “T” file for the Patent Application Publications examining search system will contain: Replacement documents with the <status> field containing “RESCAN”.

3.2. Content List File (a.k.a. TCL)

The file name for the Content List File (a.k.a.TCL) will be:

yyyymmdd.contents

For weekly publication of patent grants (G) and certificates of correction and patent application publications (P), and for daily publication of certificates (Reexamination, Supplemental Examination, Patent Trial and Appeal Board), yyyy is the year, mm is the month and dd the day of the month, representing the issue/publication date of the patent documents on the file. For all other types of content, yyyymmdd is the date the file was created.

The Content List will identify each patent grant, patent application publication, certificate of correction and reexamination certificate present on the appropriate file. The Content List file will be in ASCII format, tab delimited Each document in a Content List file will contain the document ID, the current kind code, the issue/publication date, and page count. The data fields will be separated by a tab - “hex 09” and each record/document terminated by a linefeed character - “hex 0D0A”, Example of a Content List (TCL) for Patent Grants Documents:

20140923.contents:

Example of a Content List (TCL) for Certificates of Correction:

20140909.contents:

Example of a Content List (TCL) for Reexamination Certificates:

20140902.contents:

Example of a Content List for Pre-Grant Published Applications:

20140904.contents:

3.3. Images and Metadata File

Documents are grouped under a directory that is at the root of the directory structure. The directory will be named as follows:

yyyy-ww where yyyy is the year and ww is two digit week of the year that the documents were created or modified.

4. Document Image Pages

4.1. Directory Structure Patent Grant Documents

A directory structure will be created for each Patent Grant Publication, to store the page images (TIFF files) and the document-level metadata (XML instance file)

4.1.1 Directory Structure Hierarchy Patent Grant Documents

The hierarchy of the directory structure containing patent grants will be:

4 digit Year-2 digit week number

Position 1 and 2

Position 3, 4, and 5

Position 6, 7, and 8

4 digit Year-2 digit week number

Position 1 and 2

Position 3, 4, and 5

Position 6, 7, and 8

4 digit Year-2 digit week number

Position 1 to 3

Position 4 to 6

Position 7 to 9

4 digit Year-2 digit week number

Position 1 to 4

Position 5 to 7

Position 8 to 10

4 digit Year-2 digit week number

Position 1 to 5

Position 6 to 8

Position 9 to 11

4 digit Year-2 digit week number

Position 1 to 6

Position 7 to 9

Position 10 to 12

4 digit Year-2 digit week number

Position 1 to 7

Position 8 to 10

Root_Directory_Name

The Root_Directory_Name will contain YYYY-WW where YYYY is the year and WW is two digit week of the year that the documents were created or modified.

Following the root directory will be multi-position patent numbers intended as follows to ensure that there are no more than 1,000 subdirectories in a directory, which pertains to the directory that holds each individual patent grant:

1) – a multi-position subdirectory identifying position-1 to position-7 depending on the type and length of the patent number(s). The leading zero will not be added once patent number reaches 10 million and thereafter for Utility Patents.

-“nn” - Two-positions numeric with leading zero for patent number in the 7 digits range- Utility Patents -“nn” - Two-positions numeric for patent number in the 8 digits range- Utility Patents -“nnn” - Three-positions numeric for patent number in the 9 digits range- Utility Patents

-“nnnn” - Four-positions numeric for patent number in the 10 digits range- Utility Patents -“nnnnn” - Five-positions numeric for patent number in the 11 digits range- Utility Patents -“nnnnnn” – Six-positions numeric for patent number in the 12 digits range- Utility Patents -“nnnnnnn” – Seven-positions numeric for patent number in the 13 digits range- Utility Patents

-“D0” - Design Patents -“PP” – Plant Patents -“RE” – Reissue Patents -“H0” - Statutory Invention Registration (SIR) -“AI” - Additional Improvements -“T0” - Defensive Publication

2) – a three-position subdirectory identifying position-3, position-4 and position-5 of the patent number(s) for all patents except for Utility Patents. Follow the guidelines below for Utility Patents.

· a three-position subdirectory identifying position-3, position-4, position-5 of patent number(s) for an 8 digits patent number.

· a three-position subdirectory identifying position-4, position-5, position-6 of patent number(s) for a 9 digits patent number.

· a three-position subdirectory identifying position-5, position-6, position-7 of patent number(s) for a 10 digits patent number.

· a three-position subdirectory identifying position-6, position-7, position-8 of patent number(s) for an 11 digits patent number.

· a three-position subdirectory identifying position-7, position-8, position-9 of patent number(s) for a 12 digits patent number.

· a three-position subdirectory identifying position-8, position-9, position-10 of patent number(s) for a 13 digits patent number.

3) – a three-position subdirectory identifying position-6, position-7 and position-8 of the patent number(s) for all Patents except for Utility Patents. Follow the guidelines below for Utility Patents.

· a three-position subdirectory identifying position-6, position-7, position-8 of patent number(s) for a 8 digits patent number.

· a three-position subdirectory identifying position-7, position-8, position-9 of patent number(s) for a 9 digits patent number.

· a three-position subdirectory identifying position-8, position-9, position-10 of patent number(s) for a 10 digits patent number.

· a three-position subdirectory identifying position-9, position-10, position-11 of patent number(s) for an 11 digits patent number.

· a three-position subdirectory identifying position-10, position-11, position-12 of patent number(s) for a 12 digits patent number.

· a three-position subdirectory identifying position-11, position-12, position-13 of patent number(s) for a 13 digits patent number.

4.1.2 Directory Structure Example - Patent Grant Documents

A root directory listing for patent grants issued the 5th week of 2002, Issue date - 20020129

A directory listing for new patent grants issued in the 5th week of 2002, showing the subdirectory for document 6,342,021 follows:

2002-05

A directory listing for new patent grants issued in the 5th week of 2018, showing the subdirectory for document 16,342,021 (8 digits) follows:

2018-05

A directory listing for new patent grants issued in the 5th week of 2050, showing the subdirectory for document 116,342,021 (9 digits) follows:

2050-05

A directory listing for new patent grants issued in the 5th week of 2050, showing the subdirectory for document 1,116,342,021 (10 digits) follows:

2050-05

A directory listing for new patent grants issued in the 5th week of 2070, showing the subdirectory for document 11,116,342,021 (11 digits) follows:

2070-05

A directory listing for new patent grants issued in the 5th week of 2090, showing the subdirectory for document 111,116,342,021 (12 digits) follows:

2090-05

A directory listing for new patent grants published in the 5th week of 2100, showing the subdirectory for document 1,111,116,342,021 (13 digits) follows:

2100-05

4.1.3 Image Page(s) .tif Files for Patent Grant Documents

The TIFF file name for each image page will be:

nnnnnnnn.tif where nnnnnnnn is an eight-character field containing the page number, right-aligned with leading zeros. The page number represents the sequence of the image page within the document.

4.2 Directory Structure Pre-Grant Published Applications

A directory structure will be created for each Pre-Grant Published Application, to store the page images (TIFF files) and the document-level metadata (XML instance file).

4.2.1 Directory Structure Hierarchy Pre-Grant Published Applications

The hierarchy of the directory structure containing pre-grant published applications application publications will be:

Root_Directory_Name

The Root_Directory_Name will contain YYYY-WW where YYYY is the year and WW is two digit week of the year that the documents were created or modified.

Following the root directory will be 15-position published application numbers and kind codes intended as follows to ensure that there are no more than 1,000 subdirectories in a directory:

1) – a two-position subdirectory (position-1, position-2) containing “US” identifying the United States as the publishing country.

2) – a four-position subdirectory (position-3, position-4, position-5, position-6) identifying the year (yyyy) of publication.

3) – a four-position subdirectory (position-7, position-8, position- 9, position-10) of the published application number.

3) – a three-position subdirectory (position-11, position-12, position- 13) of the published application number.

4) – a two-position subdirectory (position-14, position-15) containing the kind code of the published application.

4.2.2 Directory Structure Example – Pre-Grant Published Applications

A root directory listing for pre-grant published applications published the 3rd week of 2002, Issue date - 20020117

A directory listing for new patent published applications published in the 3rd week of 2002, showing the subdirectory for document US20020005880A1:

4.2.3 Image Page(s) .tif Files for Pre-Grant Published Applications

The TIFF file name for each image page will be:

nnnnnnnn.tif where nnnnnnnn is an eight-character field containing the page number, right-aligned with leading zeros. The page number represents the sequence of the image page within the document.

4.3. TIFF Header Contents

The TIFF header of each page image contains standard TIFF header tags and the following tags derived from WIPO Standard ST.35.

Tags 269, 306, and 999 have been modified from the original in ST.35. Tag 50560 has been added to accommodate content type. Tag 274 will contain a constant “1” to identify that each image will be a portrait page and tag 50561 has been added to accommodate the actual rotation codes of each U.S. patent image.

type

pointer

Remarks

Default value 0.

(1) is black.

xx is a pointer to the full document number (based on WIPO Standard ST.14) as follows: Publishing office country code (2 positions); Document number (12 positions, right justified, left padded with zeros); Kind code (two positions); Date (eight positions, CCYYMMDD).

The last position of this field will contain a null value.

xx is a pointer to the full document number (based on WIPO Standard ST.14) as follows: Publishing office country code (2 positions); Document number (14 positions, right justified, left padded with zeros); Kind code (two positions); Date (eight positions, CCYYMMDD).

The last position of this field will contain a null value.

A constant 1 will be present denoting a Portrait image.

1 = portrait, 6 = landscape

4.4. Metadata File DTD

For each document there will have a metadata file that is an instance of the following document type definition. The file name of the metadata file for each document will be us-patent-image.xml.

<!--Document Type Definition for metadata to accompany facsimile images of United States patents.

Reference this DTD as PUBLIC "-//USPTO//DTD us-patent-image v1.0 2002-06-04//EN" Alias: Yellow Book 2 (YB2) Contact: Narith Tith Enterprise Data Architecture Division U.S. Patent and Trademark Office 600 Dulany Street, MDW 5C87 Alexandria, VA 22314 Phone: 571-272-5458 narith.tith@uspto.gov

******** Revision History ******** 2003-06-10 Barry Frank . Changed all references of element name "drawup" to "scan-date".

. Changed all references of element name "withdrawn-flag" to "withdrawn-indicator".

. Changed all references of element name "start" to "begin". Also changed comments referring to start .. to refer to begin.

2003-03-28 Barry Frank . Added bib-pages?,abstract-pages?,drawings-pages?,description-pages?,claims-pages? to .. the reexamination-certificate element.

. Removed the ? from the related-document element in the certificate-of-correction .. and reexamination-certificate elements. (A related document must be present) 2002-06-18 Bruce B. Cox . Final version 1. Added withdrawn as valid status type.

2002-06-04 Bruce B. Cox

. Final draft of version 1. Eliminated page metadata content model and revised document metadata

.. content model. All page-specific information now in TIFF header, for a description of which, see YB2 .. specification.

2002-05-10 First public draft.

****** End Revision History ****** <!ELEMENT us-patent-image (patent-metadata?,certificate-of-correction*, reexamination-certificate*) >

<!ATTLIST us-patent-image file CDATA #REQUIRED file-type (tiff) #FIXED "tiff" date-produced CDATA #REQUIRED lang CDATA #REQUIRED dtd-version CDATA #IMPLIED status CDATA #IMPLIED country CDATA #FIXED "us" >

<!--For both US Patent Grants and US Patent Application Publications. The data-capture contractor will use patent-metadata for all deliverables (grants, applications, certificates of correction, and reexamination certificates). Dissemination products, however, will use patent-metadata, certificate-of-correction, and reexamination-certificate appropriately.-->

<!ELEMENT patent-metadata (full-document-number,document-id,page-count,scan-date, record-status,related-document?,withdrawn-indicator?,missing-pages?, bib-pages?,abstract-pages?,drawings-pages?,description-pages?, claims-pages?,certificate-of-correction-pages?,reexamination-pages?) >

<!--Begin and End indicate the first and last pages of just this one certificate of correction relative to the entire document--> <!ELEMENT certificate-of-correction (document-id,page-count,scan-date,record-status, related-document,missing-pages?,begin,end) >

<!--Begin and End indicate the first and last pages of just this one reexamination certificate relative to the entire document--> <!ELEMENT reexamination-certificate (document-id,page-count,scan-date,record-status, related-document,missing-pages?,begin,end,bib-pages?,abstract-pages?,drawings-pages?,description-pages?,claims-pages?) >

<!--The complete document identification, arranged for display, as in ST.14--> <!ELEMENT full-document-number (#PCDATA) >

<!--Document identification refers to patents and patent applications only. See WIPO ST.14-->

<!ELEMENT document-id (country,doc-number,kind,name?,date?) >

<!ATTLIST document-id lang CDATA #IMPLIED >

<!--Total number of image pages in the document.--> <!ELEMENT page-count (#PCDATA) >

<!--Date that page image(s) were created.--> <!ELEMENT scan-date (date) >

<!--New = page images of a new publication Rescan = some or all of the image pages have been replaced with corrected images, or addition of missing pages Delete = all images of the referenced document should be deleted-->

<!ELEMENT record-status EMPTY > <!ATTLIST record-status value (new | rescan | retro | delete | withdrawn) #REQUIRED >

<!--If the document is a reissue patent, this is the number of the original document. If the document is a certificate of correction, this is the number of the corrected document.--> <!ELEMENT related-document (doc-number) >

<!--Indicates that the document has been withdrawn.--> <!ELEMENT withdrawn-indicator EMPTY >

<!--Contains a list of missing pages, comma separated. If the element is present but no page numbers are present, there are pages known to be missing, but the page numbers are unknown.--> <!ELEMENT missing-pages (#PCDATA) >

<!--The first (begin) and last (end) pages with bibliographic information. Normally, begin will always = 1.--> <!ELEMENT bib-pages (begin,end) >

<!--The first and last pages on which the abstract appears. For US documents, the abstract normally begins on page 1.--> <!ELEMENT abstract-pages (begin,end) >

<!--The first and last page numbers of the drawing pages. In US documents, drawings normally follow the abstract and precede the description. Drawing pages do not overlap with the preceding or following subdocuments.--> <!ELEMENT drawings-pages (begin,end) >

<!--The first and last pages of the description. The last page of the description might be the same as the first page of the claims. Sequence listings are normally between the description and the claims.--> <!ELEMENT description-pages (begin,end) >

<!--The first and last page of the claims. The first page of claims might be the same as the last page of the description. Sequence listings are usually between the description and the claims.--> <!ELEMENT claims-pages (begin,end) >

<!--The first page of the first certificate of correction and the last page of the last certificate of correction.--> <!ELEMENT certificate-of-correction-pages (begin,end) >

<!--The first page of the first reexamination certificate and the last page of the last reexamination certificate.--> <!ELEMENT reexamination-pages (begin,end) >

<!--First image page on which there is any part of the subdocument in question.--> <!ELEMENT begin (#PCDATA) >

<!--Last image page on which there is any part of the document in question.--> <!ELEMENT end (#PCDATA) >

<!--Country: use ST.3 country code, e.g. DE, FR, GB, NL, etc. Also includes EP, WO, and other regional authorities.

ST.32 name: B190; B330-->

<!ELEMENT country (#PCDATA) >

<!--The number of the referenced patent (or application) document.

ST.32 name: B110; B210; B310--> <!ELEMENT doc-number (#PCDATA) >

<!--The doc-number for Reexamination Certificates will contain a leading “C” following by the original patent number of the patent being reexamined-->

<!--Document kind code; e.g. A1 Kind codes changed effective 2001-01-02 to accommodate pre-grant publication status.

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 - Corrected published Utility Patent Application.

Bn - Reexamination Certificate issued prior to January 2, 2001.

B1 - Utility Patent (no pre-grant publication) issued on or after January 2, 2001.

B2 - Utility Patent (with pre-grant publication) issued on or after January 2, 2001.

Cn - Reexamination Certificate issued on or after January 2, 2001.

E1 - Reissue Patent.

Fn - NOTE: Fn was present for a Reexamination Certificate of a Reissue prior to January 12, 2010.

Fn – Supplemental Examination Certificate published after September 16, 2012

H1 - Statutory Invention Registration (SIR) Patent Documents.

SIR documents began with the December 3, 1985 issue.

I1 - “X” Patents issued from July 31, 1790 prior to July 3, 1836.

I2 - Reissued “X” Patents that issued on or before June 13, 1848.

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.

Jn - Post Grant Review Certificate published after September 16, 2012.

Kn - Inter Partes Review Certificate published after September 16, 2012.

NP - Non-Patent Literature.

On - Derivation Certificate published after March 16, 2013.

P1 - Plant Patent issued prior to January 2, 2001.

P1 - Plant Patent Application published on or after January 2, 2001.

P2 - Plant Patent (no pre-grant publication) issued on or after January 2, 2001.

P3 - Plant Patent (with pre-grant publication) 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.

X6 - Certificates of Correction. ST.32 name: B130-->

Note: Reference Table 2 - U.S. Patent Grants and Patent Published Applications – Kind Codes, in the Yellow Book 2 documentation, for a complete list of kind codes that took effect January 2, 2001.

<!ELEMENT kind (#PCDATA) >

<!ELEMENT name (#PCDATA) >

<!ATTLIST name name-type (legal | natural) #IMPLIED > <!--Format: YYYYMMDD--> <!ELEMENT date (#PCDATA) >

4.5. Metadata File Content Examples (name of XML document for PGPUB and Grant: us-patent-image.xml)

4.5.1. Patent Grant Metadata

<?xml version="1.0"?> <!DOCTYPE us-patent-image PUBLIC "-//USPTO//DTD us-patent-image v1.0 2002-06-04//EN" "..\..\..\us-patent-image-010.dtd"> <us-patent-image file="07401653" date-produced="20080702" lang="EN"> <patent-metadata> <full-document-number>07401653</full-document-number> <document-id> <country>US</country> <doc-number>07401653</doc-number> <kind>B2</kind> <date>20080722</date> </document-id> <page-count>4</page-count> <scan-date> <date>20080702</date> </scan-date> <record-status value="new" /> <bib-pages> <begin>1</begin> <end>1</end> </bib-pages> <abstract-pages> <begin>1</begin> <end>1</end> </abstract-pages> <drawings-pages> <begin>0</begin> <end>0</end> </drawings-pages> <description-pages> <begin>2</begin> <end>3</end> </description-pages> <claims-pages> <begin>3</begin> <end>4</end> </claims-pages> </patent-metadata> </us-patent-image>

4.5.1.a. The data content of the <full-document-number> and the <doc-number> xml tags will contain an 8-position patent number. Reference Table 1a - U.S. Patent Grant Patent Numbers

4.5.1.b.. The data content of the <country> xml tag within the <document-id> will contain “US” identifying the United States as the publishing country

4.5.1.c. The data content of the <kind> xml tag within the <document-id> will contain a 2-position kind code. Reference Table 2 – U.S. Patent Grants and Patent Published Applications – Kind Codes

4.5.1.d.. The data content of the <date> xml tag within the <document-id> will contain the date, in yyyymmdd format, of the patent grant.

4.5.1.e.. The data content of the <page-count> xml tag will contain the page total of the patent grant.

4.5.1.f. The data content of the <date> xml tag within the <scan-date> will contain the date, in yyyymmdd format, that the TIFF image pages were captured.

4.5.1.g. The data content of the <record-status value=" " /> xml tag will contain one of the following values:

· “new” for a new patent document or certificate of correction

· “rescan” for a rescanned patent document

· “retro” for a reexamined patent document

4.5.1.h. The data content of each <begin> xml tag and <end> xml tag will identify the beginning pages for the appropriate section of the patent grant.

4.5.2. Pre-Grant Published Application Metadata

<?xml version="1.0"?> <!DOCTYPE us-patent-image PUBLIC "-//USPTO//DTD us-patent-image v1.0 2002-06-04//EN" "..\..\..\us-patent-image-010.dtd"> <us-patent-image file="11626986" date-produced="20080715" lang="EN"> <patent-metadata> <full-document-number>US20080179035A1</full-document-number> <document-id> <country>US</country> <doc-number>20080179035</doc-number> <kind>A1</kind> <date>20080731</date> </document-id> <page-count>4</page-count> <scan-date> <date>20080715</date> </scan-date> <record-status value="new" /> <bib-pages> <begin>1</begin> <end>1</end> </bib-pages> <abstract-pages> <begin>1</begin> <end>1</end> </abstract-pages> <drawings-pages> <begin>2</begin> <end>2</end> </drawings-pages> <description-pages> <begin>3</begin> <end>4</end> </description-pages> <claims-pages> <begin>4</begin> <end>4</end> </claims-pages> </patent-metadata> </us-patent-image>

4.5.2.a. The data content of the <full-document-number> xml tag will contain the following. Reference Table 1b - U.S. Pre-Grant Published Application Number

A 2-position country code “US”

A 2-position kind code - Reference Table 2 – U.S. Patent Grants and Patent Published Applications – Kind Codes

4.5.2.b.. The data content of the <country> xml tag within the <document-id> will contain “US” identifying the United States as the publishing country.

4.5.2.c.. The data content of the <doc-number> xml tag within the <document-id> will contain a 4-position numeric year of publication and a 7-position numeric sequence number, right justified with leading zeros

4.5.2.d. The data content of the <kind> xml tag within the <document-id> will contain a 2-position kind code - Reference Table 2 – U.S. Patent Grants and Patent Published Applications – Kind Codes

4.5.2.e.. The data content of the <date> xml tag within the <document-id> will contain the date, in yyyymmdd format, of the patent publication application date

4.5.2.f.. The data content of the <page-count> xml tag will contain the page total of the patent published application

4.5.2.g. The data content of the <date> xml tag within the <scan-date> will contain the date, in yyyymmdd format, that the TIFF image pages were captured.

4.5.2.h. The data content of the <record-status value=" " /> xml tag will contain one of the following values:

· “new” for a new patent document or certificate of correction

· “rescan” for a rescanned patent document

· “retro” for a reexamined patent document

4.5.2.i. The data content of each <begin> xml tag and <end> xml tag will identify the beginning pages for the appropriate section of the patent grant.

Table 1a - U.S. Patent Grant Patent Numbers

Utility Patents

– Positions 1-8 – 8 numeric positions, right justified, with a leading zero (s) for patent numbers less than 8 digits.

– Positions 1-8 – 8 numeric positions, for 8 digits patent numbers.

– Positions 1-9 – 9 numeric positions, for 9 digits patent numbers.

– Positions 1-10 – 10 numeric positions, for 10 digits patent numbers.

– Positions 1-11 – 11 numeric positions, for 11 digits patent numbers.

– Positions 1-12 – 12 numeric positions, for 12 digits patent numbers.

– Positions 1-13 – 13 numeric positions, for 13 digits patent numbers.

Design Patents – Position 1 – A constant “D” identifying the granted document as a Design Patent.

Positions 2-8 – 7 numeric positions, 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 – 6 numeric positions, right justified, with a leading zero.

Reexamination Certificates:

issued prior to January 2, 2001

- Reissue - “BRE” followed by 5 numeric positions, right justified, with leading zeros, issued prior to January 2, 2001

- Utility

- “C” followed by 7 numeric positions, for 7 digits patent numbers , issued on or after January 2, 2001

- “C” followed by 8 numeric positions, for 8 digits patent numbers

- “C” followed by 9 numeric positions, for 9 digits patent numbers

- “C” followed by 10 numeric positions, for 10 digits patent numbers

- “C” followed by 11 numeric positions, for 11 digits patent numbers

- “C” followed by 12 numeric positions, for 12 digits patent numbers

- “C” followed by 13 numeric positions, for 13 digits patent numbers

issued on or after January 2, 2001

- Reissue - “CRE” followed by 5 numeric positions, right justified, with leading zeros, issued on or after January 2, 2001

Supplemental Examination Certificates:

Utility

- “F” followed by 7 numeric positions, for 7 digits patent numbers issued on or after September 16, 2012

- “F” followed by 8 numeric positions, for 8 digits patent numbers

- “F” followed by 9 numeric positions, for 9 digits patent numbers

- “F” followed by 10 numeric positions, for 10 digits patent numbers

- “F” followed by 11 numeric positions, for 11 digits patent numbers

- “F” followed by 12 numeric positions, for 12 digits patent numbers

- “F” followed by 13 numeric positions, for 13 digits patent numbers

Patent Trial and Appeal Board (PTAB) Certificates

Post Grant Review Certificates:

Utility

- “J” followed by 7 numeric positions, for 7 digits patent numbers issued on or after September 16, 2012

- “J” followed by 8 numeric positions, for 8 digits patent numbers

- “J” followed by 9 numeric positions, for 9 digits patent numbers

- “J” followed by 10 numeric positions, for 10 digits patent numbers

- “J” followed by 11 numeric positions, for 11 digits patent numbers

- “J” followed by 12 numeric positions, for 12 digits patent numbers

- “J” followed by 13 numeric positions, for 13 digits patent numbers

Inter Partes Review Certificates:

Utility

- “K” followed by 7 numeric positions, for 7 digits patent numbers issued on or after September 16, 2012

- “K” followed by 8 numeric positions, for 8 digits patent numbers

- “K” followed by 9 numeric positions, for 9 digits patent numbers

- “K” followed by 10 numeric positions, for 10 digits patent numbers

- “K” followed by 11 numeric positions, for 11 digits patent numbers

- “K” followed by 12 numeric positions, for 12 digits patent numbers

- “K” followed by 13 numeric positions, for 13 digits patent numbers

Derivation Certificates:

Utility

- “O” followed by 7 numeric positions, for 7 digits patent numbers issued on or after March 16, 2013

- “O” followed by 8 numeric positions, for 8 digits patent numbers

- “O” followed by 9 numeric positions, for 9 digits patent numbers

- “O” followed by 10 numeric positions, for 10 digits patent numbers

- “O” followed by 11 numeric positions, for 11 digits patent numbers

- “O” followed by 12 numeric positions, for 12 digits patent numbers

- “O” followed by 13 numeric positions, for 13 digits patent numbers

Reissue Patents

– “RE” followed by 6 numeric positions, with leading zero.

SIR Patents – SIR Utility – “H” followed by 7 numeric positions.

Additional Improvements – “AI” followed by 6 numeric positions, with leading zeros.

Defensive Publication – “T” followed by 7 numeric positions.

X-Series Patents – Utility Patents issued from July 31, 1790 to July 3, 1836. They were not originally numbered, but have since been assigned numbers in the sequence in which they were issued.

- Utility “X” Patent Numbers will contain “X” followed by 7 numeric positions, with leading zeros

RX-Series Patents – Reissued “X” Patents issued on or before June 13, 1848.

- Reissued X Patent Numbers will contain “RX” followed by 6 numeric positions, with leading zeros.

Fraction Patents – 89 early patents exist that are considered fraction “X” patents because the patent number ends with a fraction. To accommodate this fraction the last character of the patent number contains an upper case alpha character that is equated to the appropriate fraction:

- Design Fraction Patent Numbers will contain “D” followed by 6 numeric positions, with leading zeros. The 8th position of a design fraction patent number will contain an alpha character as defined below

- Reissued Fraction Patent Numbers will contain “RE” followed by 5 numeric positions, with leading zeros. The 8th position of a reissue fraction patent number will contain an alpha character as defined below

H – 1/2

Example of Utility Patent and Fraction Patent Numbers:

02712152 2712152H 02712153

Table 1b - U.S. Patent Application Publication Number

A 2-position country code “US”

A 2-position kind code - Reference Table 2 – U.S. Patent Grants and Patent Published Applications – Kind Codes

Table 2 - U.S. Patent Grants and Patent Published Applications – Kind Codes

Note: The following 2-position kind codes will be present in the XML <kind> tags of Yellow 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 A9 - Correction published Utility Patent Application A2 - Second or subsequent publication of a Utility Patent Application 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 Bn - Reexamination Certificate issued prior to January 2, 2001

There are one (1) type of Reexamination Certificate for kind code “B”:

(1). Ex Parte Reexamination Certificate under 35 U.S.C. 307

Cn - Reexamination Certificate issued on or after January 2, 2001

There are three (3) types of Reexamination Certificates for kind code “C”:

(1). Ex Parte Reexamination Certificate under 35 U.S.C. 307 (2). Ex Parte Reexamination Certificate under 35 U.S.C. 257 (3). Inter Partes Reexamination Certificate under 35 U.S.C. 316

E1 - Reissue Patent Fn - Reexamination Certificate of a Reissue issued on or prior to January 12, 2010 Fn – Supplemental Examination Certificate Published on or after September 16, 2012 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 prior to July 3, 1836 I2 - Reissued “X” Patents issued on or before June 13, 1848 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 Jn - Post Grant Review Certificate published on or after September 16, 2012 Kn - Inter Partes Review Certificate published on or after September 16, 2012 NP - Non-Patent Literature On - Derivation Certificate published on or after March 16, 2013

P1 - Plant Patent Grant issued prior to January 2, 2001 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 X6 - Certificates of Correction

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