MPEP § 1851 — MPEP § 1851
Current through: 2022-07-01

1851-Identification of Patent Documents 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Manual of Patent Examining Procedure 

 Chapter 1800 

 Section 1851 
 

 
 
 
 
 
 1851 Identification of Patent Documents [R-01.2024]

 The examiner, in completing the international search report as well as
 the written opinion and international preliminary examination report, is required to
 cite the references in accordance with the provisions of Administrative Instructions
 Sections 503 and 611 and WIPO Standard ST.14. These
 sections of the Administrative Instructions require reference citations to include, in
 addition to other information which is apparent from the forms which the examiner fills
 out, an indication of the two-letter country code of the country or entity issuing or
 publishing the document and the standard code for identifying the kind of patent
 document. The discussion which follows is limited to the identification of patent
 documents (and nonpatent publications) and a listing of the two-letter country codes for
 countries or other entities which issue or publish industrial property information.
 

 The standard codes for identifying different kinds of patent documents
 are found in the “WIPO Handbook on Industrial Property Information and Documentation” -
 WIPO Standard ST.16 which is published by the World Intellectual Property Organization.
 The listing is extensive. The Quality Assurance Specialists in each Technology Center
 (TC) have a complete copy of Standard ST.16. It is also accessible on WIPO’s website
 ( www.wipo.int/standards/en/part_03_standards.html ). Provided herein
 is an abbreviated version representing the countries and codes commonly used by the
 examiner in preparing search reports.
 

 U.S. patents published before January 2, 2001, are Code A documents
 generally. Beginning with patents published on January 2, 2001, U.S. patents are Code B
 documents. Patent Application Publications, first published on March 15, 2001, are Code
 A documents. Reexamination certificates published before January 2, 2001, are Code B
 documents. Reexamination certificates published on or after January 2, 2001, are Code C
 documents. Tables providing a complete list of the kind codes of patents and other
 documents published by the USPTO are included in MPEP § 901.04(a) . All nonpatent
 literature documents are Code N. Numerical designations are sometimes found on published
 documents along with the letter code designation. These should be used by the examiner
 only if such numerical designation is on the document. Numerical codes along with letter
 codes can be found, for example, on certain published patent documents such as the
 German Offenlegungsschrift and published international applications. If numerical
 designations are not provided, the examiner should use only the letter code
 designation.
 

 The most commonly cited documents are patents and published patent
 applications. A guideline for the citation of such documents is listed below. The
 listing is indicated in the order in which the elements should be listed.
 

 In the case of a patent or published patent application:

 
 (A) The Office that issued the document, by the two letter code
 (WIPO Standard ST.3);
 

 (B) The number of the document as given to it by the Office that
 issued it (for Japanese patent documents the indication of the year of the reign
 of the Emperor must precede the serial number of the patent document);
 

 (C) The kind of document, by the appropriate symbols as indicated on
 the document under WIPO Standard ST.16 or, if not indicated on that document, as
 provided in that Standard, if possible;
 

 (D) The name of the patentee or applicant (in capital letters, where
 appropriate, abbreviated);
 

 (E) The date of publication of the cited patent document or, in case
 of a corrected patent document, the date of issuance of the corrected patent
 document as referred to under INID code (48) of WIPO Standard ST.9 and, if
 provided on the document, the supplementary correction code as referred to under
 INID code (15);
 

 (F) Where applicable, the pages, columns, lines or paragraph numbers
 where the relevant passages appear, or the relevant figures of the drawings.
 

 
 The following examples illustrate the citation of a patent document as
 indicated above:
 

 
 JP 10-105775 A (NCR INTERNATIONAL INC.) 24 April 1998 (24.04.1998)
 paragraphs 26 to 30.
 

 DE 3744403 A1 (JOSEK, A.) 29 August 1991 (29-08-1991), page 1,
 abstract.
 

 US 5,635,683 A (MCDERMOTT, R. M. et al.) 03 June 1997 (03/06/1997),
 column 7, lines 21 to 40.
 

 
 STANDARD CODE FOR THE IDENTIFICATION OF DIFFERENT KINDS OF PATENT
 DOCUMENTS The Code, WIPO Standard ST.16 is subdivided into mutually exclusive
 groups of letters. The groups characterize patent documents, nonpatent literature
 documents (N), and restricted documents (X). Groups 1-7 comprise letters enabling
 identification of documents pertaining to different publication levels.
 

 Part 7.3 "Examples and Kinds of Patent Documents"
 provides, in the first document (Part 7.3.1), examples of patent documents,
 previously and currently published, or intended to be published, listed according to
 code. The second document (Part 7.3.2) contains a listing, in alphabetical order of
 issuing industrial property office, of kinds of patent documents and their codes, as
 applied by the offices. Finally, the third document (Part 7.3.3) provides access to
 a collection of samples of first pages of patent documents published by industrial
 property offices.
 

 Country Codes The two-letter country codes are set forth in WIPO Standard
 ST.3, which is published in the “WIPO Handbook on Industrial Property
 Information and Documentation” and is accessible via the internet at the WIPO
 website ( www.wipo.int/standards/ en/part_03_standards.html ). WIPO
 Standard ST.3 provides, in Annex I, a listing of two-letter country codes and/or
 organizational codes in alphabetic sequence of their short names for the states,
 other entities and intergovernmental organizations issuing or publishing
 industrial property documents. Codes for states or organizations that existed on
 January 1, 1978, but that no longer exist are provided in Annex II, Section 2.
 Annex II, Section 1 lists States for which the Codes have changed.
 

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 1801-Basic Patent Cooperation Treaty (PCT) Principles 

 1802-PCT Definitions 

 1803-Reservations Under the PCT Taken by, and Notifications of Incompatibility Made by, the United States of America 

 1804-[Reserved] 

 1805-Where To File an International Application 

 1806-Applicants and Inventors 

 1807-Agent or Common Representative and General Power of Attorney 

 1808-Change in or Revocation of the Appointment of an Agent or a Common Representative 

 1809-Access to the USPTO patent electronic filing system 

 1810-Filing Date Requirements 

 1811-[Reserved] 

 1812-Elements of the International Application 

 1813 - 1816-[Reserved] 

 1817-PCT Member States 

 1818-[Reserved] 

 1819-Earlier Search 

 1820-Signature of Applicant 

 1821-The Request 

 1822-[Reserved] 

 1823-The Description 
 1823.01-Reference to Deposited Biological Material 

 1823.02-Filing Nucleotide and/or Amino Acid Sequence Listings in International Applications 

 
 

 1824-The Claims 

 1825-The Drawings 

 1826-The Abstract 

 1827-Fees 
 1827.01-Refund of International Application Fees 

 
 

 1828-Priority Claim and Document 
 1828.01-Restoration of the Right of Priority 

 1828.02-Continuation or Continuation-in-Part Indication in the Request 

 
 

 1829-[Reserved] 

 1830-International Application Transmittal Letter 

 1831-[Reserved] 

 1832-License Request for Foreign Filing Under the PCT 

 1833-[Reserved] 

 1834-Correspondence 
 1834.01-Filing of Correspondence by Facsimile 

 1834.02-Irregularities in the Mail or Electronic Communications Service 

 
 

 1835-[Reserved] 

 1836-Rectification of Obvious Mistakes 

 1837 - 1839-[Reserved] 

 1840-The International Searching Authority 
 1840.01-The European Patent Office as an International Searching Authority 

 1840.02-The Korean Intellectual Property Office as an International Searching Authority 

 1840.03-The Australian Patent Office (IP Australia) as an International Searching Authority 

 1840.04-[Reserved] 

 1840.05-The Israel Patent Office (ILPO) as an International Searching Authority 

 1840.06-The Japan Patent Office (JPO) as an International Searching Authority 

 1840.07-The Intellectual Property Office of Singapore (IPOS) as an International Searching Authority 

 
 

 1841-[Reserved] 

 1842-Basic Flow Under the PCT 

 1843-The International Search 
 1843.01-Prior Art for Chapter I Processing 

 1843.02-Certain Subject Matter Need Not Be Searched 

 1843.03-No Search Required if Claims Are Unclear 

 1843.04-Procedure for Claims Not Required To Be Searched and for Claims That Are Unclear 

 1843.05-Time Limit for Establishing the International Search Report and the Written Opinion of the International Searching Authority 

 
 

 1844-The International Search Report 
 1844.01-Preparing the International Search Report (Form PCT/ISA/210) 

 
 

 1845-Written Opinion of the International Searching Authority 
 1845.01-Preparing the Written Opinion of the International Searching Authority (Form PCT/ISA/237) 

 1845.02-Notification of Transmittal of the International Search Report and the Written Opinion of the International Searching Authority,
 or the Declaration (Form PCT/ISA/220) 

 
 

 1846 - 1847-[Reserved] 

 1848-Sequence Listings 

 1849-[Reserved] 

 1850-Unity of Invention Before the International Searching Authority 

 1851-Identification of Patent Documents 

 1852-Taking Into Account Results of Earlier Search(es) 

 1853-Amendment Under PCT Article 19 

 1854 - 1855-[Reserved] 

 1856-Supplementary International Searches 

 1857-International Publication 

 1858-[Reserved] 

 1859-Withdrawal of International Application, Designations, or Priority Claims 

 1860-International Preliminary Examination Procedure 

 1861-[Reserved] 

 1862-Agreement With the International Bureau To Serve as an International Preliminary Examining Authority 

 1863-[Reserved] 

 1864-The Demand and Preparation for Filing of Demand 
 1864.01-Amendments Filed Under PCT Article 34 

 1864.02-Applicant’s Right To File a Demand 

 1864.03-States Which May Be Elected 

 1864.04-Agent’s Right To Act 

 
 

 1865-Filing of Demand 

 1866-[Reserved] 

 1867-Preliminary Examination Fees 

 1868-Correction of Defects in the Demand 

 1869-Notification to International Bureau of Demand 

 1870-Priority Document and Translation Thereof 

 1871-Processing Amendments Filed Under Article 19 and Article 34 Prior to or at the Start of International Preliminary Examination 

 1872-Availability of the International Application File for International Preliminary Examination by the Examining Corps 

 1873-[Reserved] 

 1874-Determination if International Preliminary Examination Is Required and Possible 

 1875-Unity of Invention Before the International Preliminary Examining Authority 
 1875.01-Preparation of Invitation Concerning Unity 

 1875.02-Reply to Invitation Concerning Lack of Unity of Invention 

 
 

 1876-Notation of Errors and Informalities by the Examiner 
 1876.01-Request for Rectification and Notification of Action Thereon 

 
 

 1877-Nucleotide and/or Amino Acid Sequence Listings During the International Preliminary Examination 

 1878-Preparation of the Written Opinion of the International Preliminary Examining Authority 
 1878.01-Includes Subsections Regarding Prior Art, Novelty, Inventive Step, and Industrial Applicability for Purposes of the Written
 Opinion and the International Preliminary Examination Report 
 1878.01(a)-Prior Art for Purposes of the Written Opinion and the International Preliminary Examination Report 
 1878.01(a)(1)-Novelty for Purposes of the Written Opinion and the International Preliminary Examination Report 

 1878.01(a)(2)-Inventive Step for Purposes of the Written Opinion and the International Preliminary Examination Report 

 1878.01(a)(3)-Industrial Applicability for Purposes of the Written Opinion and the International Preliminary Examination Report 

 
 

 
 

 1878.02-Reply to the Written Opinion of the ISA or IPEA 

 
 

 1879-Preparation of the International Preliminary Examination Report 
 1879.01-Time Limit for Preparing Report 

 1879.02-Transmittal of the International Preliminary Examination Report and Related Documents 

 1879.03-Translations 

 1879.04-Confidential Nature of the Report 

 
 

 1880-Withdrawal of Demand or Election 

 1881-Receipt of Notice of Election and Preliminary Examination Report by the United States Patent and Trademark Office 

 1882 - 1892-[Reserved] 

 1893-National Stage (U.S. National Application Filed Under 35 U.S.C. 371) 
 1893.01-Commencement and Entry 
 1893.01(a)-Entry via the U.S. Designated or Elected Office 
 1893.01(a)(1)-Submissions Required by 30 Months from the Priority Date 

 1893.01(a)(2)-Article 19 Amendment (Filed With the International Bureau) 

 1893.01(a)(3)-Article 34 Amendments (Filed with the International Preliminary Examining Authority) 

 1893.01(a)(4)-Claim Amendment (Filed With the U.S. Designated or Elected Office) 

 
 

 1893.01(b)-Applicant for a U.S. National Stage Application 

 1893.01(c)-Fees 

 1893.01(d)-Translation 

 1893.01(e)-Inventor’s Oath or Declaration 

 
 

 1893.02-Abandonment 

 1893.03-Prosecution of U.S. National Stage Applications Before the Examiner 
 1893.03(a)-How To Identify That an Application Is a U.S. National Stage Application 

 1893.03(b)-The Filing Date of a U.S. National Stage Application 

 1893.03(c)-The Priority Date, Priority Claim, and Priority Papers for a U.S. National Stage Application 

 1893.03(d)-Unity of Invention 

 1893.03(e)-Documents Received from the International Bureau and Placed in a U.S. National Stage Application File 
 1893.03(e)(1)-Title of the Invention 

 
 

 1893.03(f)-Drawings and PCT Rule 11 

 1893.03(g)-Information Disclosure Statement in a National Stage Application 

 
 

 
 

 1894-[Reserved] 

 1895-A Continuation, Divisional, or Continuation- in- Part Application of a PCT Application Designating the United States 
 1895.01-Handling of and Considerations in the Handling of Continuations, Divisions, and Continuations-In-Part of PCT Applications 

 
 

 1896-The Differences Between a National Application Filed Under 35 U.S.C. 111(a) and a National Stage Application Submitted Under
 35 U.S.C. 371 

 

 

 
 

 
 
 

 
 

 

 
 
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 03/09/2026 20:50:37