# Red Book Conditions as of the August 29, 2000 Issue

Current DTD version: V2.2 08-21-2000

## 

## Resolved Conditions Implemented with Version 2.2

1.  Empty addresses were being generated when an assignee referenced an
    organization and not an individual. Per current rules the address is
    captured exactly as it appears on the PTOL85b form, and from nowhere
    else. Since the address information is optional, empty addresses
    within the assignee information is no longer generated.

2.  Problems with highlighting within the title of invention were
    resolved. A "composition fix" had introduced unwanted bolding
    following superscripted and subscripted text.

3.  The DTD was modified to require one or more exemplary claim. Each
    exemplary claim number is tagged separately with additional B578US
    elements.

4.  Since textual materials are often scanned from hardcopy, the
    distinction between the en-dash, em-dash and hyphen is not reliably
    detected. Since the "-" is a valid ASCII character (and to simplify
    searching capabilities) the en-dash, em-dash and hyphen entity
    characters are being replaced with "-".

5.  Implemented figure references that point to the start of the drawing
    section. We were not able to point to the actual figure since the
    target is a page not a figure, drawing sheets can contain one or
    more figures and figures within the sheets may not be in ascending
    order, and figure references are sometimes grouped.

6.  For inserted and deleted text within Reissue patents, the "\[" and
    "\]" brackets were removed. The usage of brackets, bold, Italics,
    etc. within the printed reissue patents to identify inserted and
    deleted text has been a common practice at the PTO for many years.
    However Grant Red Book already identifies with tags the inserted and
    deleted text, and the brackets are no longer required.

7.  Element PBOX is not being used even thought PBOX information is
    contained within the street text. Inconsistent and variable usage of
    PBOX text, and conflicts with "box" used elsewhere in the street
    address, prevent reliable automated extraction of the PBOX data.
    This problem is best solved within data capture, but since EFS is
    not capturing the PBOX data for PGPUB, Grant Red Book will continue
    to have this problem even with electronic filing. Consequently the
    USPTO has decided to modify the Grant Red Book DTD to reflect
    accuracy of current data capture procedures. The PBOX element has
    been removed with the content retained within the street address.

8.  Fractions and single characters with diacritical accents, that have
    mappings to characters within the existing ISO character entity
    sets, have been converted from a textual description to the
    appropriate character entity.

9.  The Empty PDAT Problem reported as resolved in V1.9, still exists.
    An evaluation of Issue 2000-06-13 revealed 42,565 cases of empty
    PDAT elements however 39,963 were valid empty table cells.
    Additional problems still existed around CWUs (2,861 cases), images
    (5 cases), paragraphs (5 cases), and headers (1 case). Empty PDATs
    within tables CWUs, and images have been removed. Paragraph and
    header issues remain.

10. A problem identified with DNA Sequences Not Adhering to WIPO ST.25,
    has been corrected.

11. Added the extraction of the military address.

12. Grant Red Book Backlog processing is complete.

## Unresolved Conditions

### 

### *Conditions Scheduled for Version 2.3 (October 2000)*

1.  Add element B597US indicating that there is an exemplary drawing.
    DTD modifications are required.

2.  Implement element B222US signifying the prosecution of the
    application includes the Continued Prosecution Application (CPA)
    procedure. DTD modifications are required.

3.  Added optional element LEGAL-REPRESENTATIVE to B721 (inventor). It
    contains a PARTY-US element with DTXT containing the text
    identifying the type of legal representative such as Legal
    Representative, Executor, Executrix, Heir, Heiress, Administrator,
    and Administratrix. Element LEGAL-REPRESENTATIVE is used when the
    inventor is deceased or incapacitated. If deceased, DTXT within the
    inventor party-US element will contain the \"deceased\" text.

4.  DTD Comments for elements B561 (Citing a patent document) and B562
    (Citing non-patent literature) were modified to clarify usage.

5.  DTD comments were added to name elements TTL, SFX, IID, and IRF
    indicating that they are reserved for future use. These elements are
    not used even if appropriate content exists within the first name
    (FNM) or sir name (SNM).

6.  DTD comments were added to address elements CNTY, EAD, TEL, and FAX
    indicating that they are reserved for future use. These elements are
    not used even if appropriate content exists within one of the other
    address elements.

7.  Removed the optional TIFF image reference (EMI) from the table CWU.
    The data capture contractor does not create TIFF images for tables.

8.  Removed attributes HE, WI, LX, LY, and TI from element EMI. HE, WI,
    LX, and LY information should be extracted from the TIFF header. TI
    is not initialized and the ST32 definitions are unclear.

9.  Removed attributes HE, WI, LX, and LY from element CUSTOM-CHARACTER
    and RTI. This information should be extracted from the TIFF header.

10. Removed attribute option ST33 (leaving just TIFF) from the IMF
    attribute of elements EMI and RTI.

11. Added attribute TYPE to element EMI with values CCITG4 (default) and
    HALFTONE. CCITG4 indicates that the image is 400dpi with CCITG4
    compression. HALFTONE indicates that the image is a 100dpi-grayscale
    image with LZW compression.

12. Modified element NCIT to include optional DOC for patent
    applications. Since the existing data capture procedures have not
    changed, patent application citation information will continue to be
    included as text within STEXT. This change is intended to allow
    implementation when the data capture procedures change.

13. DTD - added INID codes as an attribute to elements where
    appropriate.

14. In the B500 model (Technical information), added optional element
    BOTANIC after B540 (Title of Invention). Element BOTANIC is required
    for all Plant patents within Application Red Book, and will
    eventually be populated within Grant Red Book.

15. The fix for negative column widths in tables introduced in V2.1, was
    inadvertently removed in V2.2, and will be re-introduced in V2.3.

### *Unscheduled Conditions*

1.  Document Numbers Lack Standardization. For example, Design Patents
    may appear as \"D. 99999\", \"D0099999\", or \"Des. 99999\".
    Unfortunately the markup instructions for all three areas are
    different. The sources for this information are shown below:

-   Blue Book: Patent number - The first data field within each record
    will be an eight-position patent number and check digit. Position 1
    a constant D for designs, positions 2-7 right justified with leading
    zeros. Design SIR has HD, Reissue has RE, Plant has PP, SIR H.

```{=html}
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```
-   US References - Data Entry Manual - Page 18-10, Additional
    instructions for printing citations under U.S. PATENT DOCUMENTS:
    patent number, right-justified, commas within number \[except for
    SIR numbers; see below\] formats:

> Utility patent  \[example: 4,567,890\]
>
> design patent  D., space, number \[example: D. 123,456 \]
>
> plant patent  P.P., space, number \[example: P.P. 8,001\]
>
> reissue patent Re., space, number \[example: Re. 35,111\]
>
> SIR  H, no space, number \[example: H1492\]
>
> Defensive pub T, no space, number \[example: T910,213\]

-   c\) Related Application - Non-utility Data Data Entry Manual - page
    Des. 9. Example:

> \[63\] Continuation of application No. 29/123,456, Mar. 10,1998, Pat.
> No. Des. 666,666.

This is a problem common to all products, including the published
patent. Deferred to the XML implementation.

2.  The content of element B732US, Assignee Type, unreliably identifies
    whether the assignee is an individual, corporation or government
    entity, US or foreign. B732US Assignee type codes (from the DTD): 01
    Unassigned, 02 United States company or corporation, 03 Foreign
    company or corporation, 04 United States individual, 05 Foreign
    individual, 06 United States government, 07 Foreign government, 08
    County government (US), and 09 State government (US).

> The assignee type is not always easy to decipher. For example
> "Rutgers" is state government while "University of Pennsylvania" is
> not. Errors are also introduced by the applicant, and by manual errors
> within data capture process. Since this is a problem common to all
> products, including the published patent, it has been deferred to the
> XML implementation.

3.  TIFF file headers contain incorrect file name/paths (they contain
    the original creation name/path from IDC and not the Grant file
    name), and unwanted identification if the TIFF image authoring tool
    for character pullouts converted from EPS to TIFF. In addition the
    1-2-3-column/page definitions are not being maintained within Red
    Book, and this could be included within the TIFF header. Also
    FillOrder FillOrder=2 is used for custom characters and pullouts,
    which should be changed to FillOrder=1.

4.  The Mathematica process, from which math complex work units are
    derived, introduces unresolved Unicode hexadecimal special character
    references. A complete list of problem codes (identified by the
    Mathematica font set) has been identified and provided to the
    application provider for resolution.

5.  Procedures to allow special character embedded within mathematical
    structures have been defined, and required changes to Mathematica
    are being tested.

6.  Slashes still exist between the series code and the application
    number within some DNUM elements.

7.  Change content model for CLMSTEP from (PTEXT \| PARA)+ to (PTEXT)+.
    Claim steps cannot be styled the same as paragraphs.

8.  Add element for block pullouts. A block pullout is a large area on a
    source page that is captured as an image rather than as text. Block
    pullouts may be as large as a page. Character pullouts (characters
    for which there is no glyph in any of the included character sets)
    are currently tagged as CUSTOM-CHARACTER.

9.  Replace every occurrence of INS-S, INS-E, DEL-S, DEL-E, all defined
    as EMPTY, with INSERT and DELETE, both defined as (#PCDATA). This
    change is required to avoid introducing duplicate or orphaned tags
    where an insertion or deletion range spans elements.

10. Add markup instructions for Statutory Invention Registration patent
    numbers, H, HD, and HP (utility, design, and plant, respectively).