# Red Book Conditions as of the October 10th, 2000 issue

Current DTD version: V2.3 09-08-2000

## 

## Resolved Conditions Implemented with Version 2.3

1.  Made element B863 (35 USC 371 PCT date) optional since it no longer
    being captured within Application Red Book.

2.  Modified B561 (Citing a patent document) and B562 (Citing non-patent
    literature) to include optional elements CITED-BY-EXAMINER and
    CITED-BY-OTHER. If both are omitted, then it is unknown. This allows
    for an early implementation within the DTD, but the actual capturing
    of the citation source is not scheduled until January 2001.

3.  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.

4.  Element B222US content model changed from EMPTY to PDAT to allow for
    the inclusion of the notice text.

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

6.  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.
    Although implemented within the DTD at V2.3, problems with multiple
    legal representatives required a DTD modification and delayed the
    implementation within the data until V2.4.

7.  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).

8.  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.

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

10. 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.

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

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

13. 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 100-dpi
    grayscale image with LZW compression.

14. 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.

15. Added INID codes as element attributes where appropriate. Impacted
    elements are

> \[10\] B100 Document Identification
>
> \[11\] B110 Document Number
>
> \[12\] B130 Document Kind (Render in Descriptive Form)
>
> \[45\] B140 Document Date (publication or issue)
>
> \[19\] B190 Publishing Country or Organization (WIPO ST.3)
>
> \[21\] B210 Application Number for US Documents
>
> \[22\] B220 Application or PCT Filing Date
>
> \[30\] B300 Foreign Priority Data
>
> \[51\] B510 International Patent Classification (IPC) Data
>
> \[52\] B520 Domestic or National Classification Data
>
> \[54\] B540 Title of Invention
>
> \[56\] B560 Citations
>
> \[57\] B570 Abstract or Design Claim and Figure Description
>
> \[58\] B580 Field of Search
>
> \[60\] B600 Continuity Data/Prior Provisional Application
>
> \[62\] B620 Division of
>
> \[63\] B630 Continuation of
>
> \[64\] B640 Reissue of
>
> \[66\] B660 Document for which this is a substitute
>
> \[73\] B730 Assignee (grantee, assignee, holder, owner)
>
> \[86\] B860 PCT International Application Number
>
> \[87\] B870 PCT Publication Date/Number

16. Corrected a problem within CALS table processing that failed to set
    the table maximum width.

17. Corrected a problem where B473 and B474 were not reliably reported,
    and the B474US data (when available) was reported as paragraph
    content within the figure descriptions. The problem was detected
    within design patents and impacts several issues in July and August.

## Unresolved Conditions

### 

### *Conditions Scheduled for Version 2.4 (Mid-October 2000)*

1.  Change optional element LEGAL-REPRESENTATIVE of B721 (inventor) to
    zero or more, and capture the legal representative information as
    defined within the DTD.

2.  Add alias comment to DTD description.

3.  Correct a problem with Rule 47 (B221US) initialization. Note that
    B221US signifies that the application was filed under Rule 47,
    indicating that one or more of the applicant refused to execute the
    application or could not be found. If there is more then one
    applicant it does not point to a specific applicant.

4.  Correct a problem with whitespace trailing the \"+\" and \"-\"
    characters.

5.  Correct a CALS table problem with the first column being an offset
    column.

6.  Correct a problem with continuity data code 86 \"SAID\" processing.

7.  Grant Red Book Documentation (on-line DTD documentation, FAQ
    Updates, Sample Data, and MSWord documentation) will be update per
    V2.4 and posted on the web in late October 2000.

### *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}
<!-- -->
```
-   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 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).

11. CALS table headers with underlined text are not correctly
    highlighted (+UZ blue book codes).