Release Notes. For the versions 2.2 of Annexes A and C to WIPO Standard ST.36 (Published on September 21, 2009)

Transcription

1 Release Notes For the versions 2.2 of Annexes A and C to WIPO Standard ST.36 (Published on September 21, 2009) Annexes A (.dtd) and C (ICEs) to WIPO Standard ST.36 were updated to reflect the agreements regarding PFRs ST.36/2009/001, ST.36/2009/002 and ST.36/2009/003, by the ST.36 Task Force until August 31, Further information on the adopted PFRs is available at 1. Revision Summary The three adopted PFRs can be summarized as follows: a. : - change the attribute name style of the element o to ostyle; - modify the elements math and chemistry to add the new sub-element formula-text; - modify the element amended-claims to add the sub-element heading; and - change the order of sub-elements of the elements book, online and serial. b. (Search Report): - modify the element srep-figure-to-publish to clarify the values of its attribute figinfo; - rename the element search-fee-protest to srep-protestremark and its attribute from protest to protest-remark, and to clarify the values of the attribute protest-remark; - modify the element srep-claims-info to clarify the names of its subelements and to add its new sub-elements and their attributes required for the EPO; - modify the element limitation-of-search to add attributes; - modify the element reason-limited-search to add the sub-element heading ; - modify the element srep-search-opinion to correct syntax; - modify the element translation-of-appl to add the attribute translation; - change the name of the element incomplete-search to srepincomplete-search; and 1

2 - modify the element srep-for-pub to add the sub-element srepdeclaration and its sub-elements and attributes c. PFR ST.36/2009/003 (PCT 2009 Rule Changes) - modify the element sequence-list to add attributes and to change its description - modify the element cl-sequence-listing to add attributes 2. Summary of revision of Annex C Five elements (clms-reason-1, clms-reason-2, clms-reason-3, incomplete-search, search-fee-protest) have been deprecated from the Annex C. In addition, eight new elements have been added and 24 elements have been modified. Further information of the changes made to Annex C is available in the attached tables. It is noted that new elements or texts are in bold, and removed contents or deprecated elements are in strikethrough. [Tables follow] 2

3 Table of Revised ICEs Element Name Description Uses Used By In DTD Code ST32 Category additional-info Additional information. (ST.32:B513) <!ELEMENT additional-info (p+)> p priority-opinion, classification-national, classification-ipc, iprp-priority, notannex-c-compliant, sequence-listbasis, srep-declaration search-report, iprp, wo-bibliographic-data, wo-published-application, xx-patentdocument B513 amended-claims Amended content of original application doc-page, heading, claim, amendedclaims-statement Amendments b Bold formatting for text i, o, u, smallcaps, sup, sub invention-title, u, o, statement, claimtext, dd, othercit, i, smallcaps, sub, sup, sub2, sup2, formula-text chemistry Chemistry Chemical formulae, ring structures, Markush structures, etc. For now treat as image data. Depending on industry support we may use, e.g., chemml, CML later Recommended id = chem0001, chem0002, etc img, chem, formulatext p, li, claim-text, dd application-body, table-external, searchreport, iprp, amendment-request, wopublished-application, Chemistry Checklist; a sequence listing is being furnished <!-- Checklist; a sequence listing or sequence listings is/are being furnished. BD is for Blue-Ray media submission. --> cl-sequence-listing <!ELEMENT cl-sequence-listing EMPTY> <!ATTLIST cl-sequence-listing quantity CDATA #REQUIRED forsearch-only (yes no ) #IMPLIED additional-copies-includingsearch-copy (yes no ) #IMPLIED with-identifying-statement (yes no ) #IMPLIED page-count CDATA #IMPLIED carriers (internalelectronic external-electronic paper ) #IMPLIED carriers-type ( FD CD DVD BD other) #IMPLIED carriers-quantity CDATA #IMPLIED Size CDATA #IMPLIED > check-list, demand-check-list request, demand Communication PFR ST.36/2009/003 3

4 claim-num Claim numbers <!ELEMENT claim-num (#PCDATA)> claim-remark Remarks on these claims <!ELEMENT claim-remark (p+)> p iprp-basis-claims, subjectexamination, amend-claims, applicability-not-valid, applicabilityvalid, inventive-step-not-valid, inventive-step-valid, novelty-not-valid, novelty-valid, opinion-establishedregarding, invention-not-examined, non-estab-reason-4, non-estabreason-3, non-estab-reason-2, nonestab-reason-1, srep-fee-4, srep-fee- 3, clms-reason-3, clms-reason-2, clms-reason-1, srep-claims-notsearched search-report, iprp, General Text clms-reason-2, clms-reason-1, srepclaims-not-searched search-report, General Text clms-reason-1 Claims Nos.: (insert value from cliaim-no) because they relate to subject matter not required to be searched by this Authority, namely: claim-num, claimremark srep-claims-info search-report, deprecated since clms-reason-2 Claims Nos.: (insert value from claim-no) because they relate to parts of the international application that do not comply with the prescribed requirements to such an extent that no meaningful international search can be carried out, specifically: claim-num, claimremark srep-claims-info search-report, deprecated since clms-reason-3 Claim number(s) (insert value from cliaim-no) because they are dependent claims and are not drafted in accordance with the second and third sentences of PCT Rule 6.4(a) claim-num srep-claims-info search-report, deprecated since formula-text This is for a simple mathematical or chemical formulae. <!ELEMENT formula-text (#PCDATA b i u o sup sub smallcaps)* > b, i, u, o, sup, sub, smallcaps maths, chemistry application-body, table-external, search-report, iprp, amendmentrequest, wo-published-application, xxpatent-document (E) heading Heading text identifying the parts of the description (see PCT Rule 5.1(c), PCT/AI section 204). Recommended id = h0001, h0002, etc. The attribute level defines a hierarchic level and may be associated with a style. Otherwise the formatting tags may be used to highlight the heading text. <!ELEMENT heading (#PCDATA b i u o sup sub smallcaps)*> <!ATTLIST heading level (1 2 3 ) #IMPLIED id ID #IMPLIED > b, i, u, o, sup, sub, smallcaps srep-search-opinion, description, sequence-list-text, industrialapplicability, mode-for-invention, bestmode, disclosure, advantageouseffects, tech-solution, tech-problem, search-report, wo-published-application, application-body, amendment-request, description-of-drawings, backgroundart, technical-field, claims-statement, amended-claims, reason-limitedsearch, srep-declaration Document Structure 4

5 i Italic formatting for text b, u, o, smallcaps, sup, sub invention-title, u, o, statement, claimtext, dd, othercit, b, smallcaps, sub, sup, sub2, sup2, formula-text incomplete-search The element is to process EPO SR FORM partial SR. e.g., EP text, limitation-ofsearch srep-for-pub search-report, deprecated since limitation-of-search <!ELEMENT limitation-of-search (text?, claims-searched*, claims-searched-incompletely*, claims-not-searched*, reason-limited-search*)> text, claimssearched, claimssearchedincompletely, claims-notsearched, reasonlimited-search incomplete-search, srep-incompletesearch search-report, (E) maths MATHEMATICS This is image data or coded according to mathml, version 2 Recommended id = math0001, math0002, etc. img, math, formulatext p, li, claim-text, dd application-body, table-external, searchreport, iprp, amendment-request, wopublished-application, o Overscore: ostyle - single is default b, i, smallcaps, sup, sub invention-title, statement, claim-text, dd, othercit, b, i, smallcaps, sub, sup, sub2, sup2, formula-text amendment-request, application-body, demand, iprp, package-data, pkgheader, power-of-attorney, request, search-report, table-external, wo-bibliographic-data, wopublished-application, xmit-receipt, xxpatent-document (E) p Recommended id = p0001, p0002, etc. num = 0001, 0002, etc. Note: paragraphs may occur in sections other than the description and at different times eg. for the abstract, in this case use for example "p0001a"; amended claims: "p0001ac", etc. <!ELEMENT p (#PCDATA b i u o sup sub smallcaps br pre dl ul ol crossref figref patcit nplcit biodeposit img chemistry maths tables table-externaldoc)*> <!ATTLIST p id ID #IMPLIED Num CDATA #REQUIRED > b, i, u, o, sup, sub, smallcaps, br, pre, dl, ul, ol, crossref, figref, patcit, nplcit, bio-deposit, img, chemistry, maths, tables, tableexternal-doc srep-search-opinion, complianceunity-invention, abstract, abstsolution, abst-problem, description, sequence-list-text, industrialapplicability, mode-for-invention, bestmode, disclosure, advantageouseffects, tech-solution, tech-problem, application-body, search-report, iprp, amendment-request, description-of-drawings, backgroundart, technical-field, claims-statement, subject-examination, observation-onapplication, defect-in-application, citations-explanations, non-estabreason-3, non-estab-reason-2, nonestab-reason-1, reason-limited- 5

6 search, srep-unity-of-invention, claimremark, remarks, additional-info, srep-declaration reason-limitedsearch <!ELEMENT reason-limited-search (heading?, p+)> heading, p limitation-of-search search-report, search-fee-protest Remark on protest Attribute values: no = No protest accompanied the payment of additional search fees yes = The additional search fees were accompanied by the applicant's protest. srep-unity-of-invention search-report, Fees deprecated since sequence-list SEQUENCE LISTING According to WIPO ST.25: STANDARD FOR THE PRESENTATION OF NUCLEOTIDE AND AMINO ACID SEQUENCE LISTINGS IN PATENT APPLICATIONS: see "The sequence listing as defined in paragraph 2(i) shall, where it is filed together with the application, be placed at the end of the description part of the application. This part shall be entitled Sequence Listing, begin on a new page and preferably have independent page numbering. The sequence listing forms an integral part of the description; it is therefore unnecessary, subject to paragraph 36, to describe the sequences elsewhere in the description." Therefore we create here a separate sub-document for sequence listings, it should follow any drawings or the claims. It should follow the format of ST.25 and be an external file. sequence-list-doc, package-data package-data, wo-published-application, Communication PFR ST.36/2009/003 <!ELEMENT sequence-list EMPTY> <!ATTLIST sequence-list id ID #IMPLIED file CDATA #REQUIRED lang CDATA #IMPLIED carriers (internal-electronic externalelectronic paper ) #IMPLIED seq-file-type CDATA #FIXED 'ST.25' status CDATA #IMPLIED electronic-format-type (text other ) #IMPLIED part-of-application (yes no ) #IMPLIED > 6

7 smallcaps Small capitals b, u, i, o u, o, claim-text, dd, b, i, formula-text srep-claims-info (Old PCT/ISA/210 - Box No. II) Observations where certain claims were found unsearchable This ISR has not been established in respect of certain claims under Article 17(2)(a) for the following reasons. (followed by one of the following three reasons:) The reasons for which sets of claims where not searched will be provided with an element srep-claims-not-searched for each set. <!ELEMENT srep-claims-info (srep claims not searched*) > clms-reason-1, clms-reason-2, clms-reason-3, srep-claims-notsearched srep-info search-report, srep-claims-notsearched The attribute reason defines the reason for which certain claims have not been searched. claim-num, claimremark srep-claims-info search-report, (E) srep-declaration <!ELEMENT srep-claims-not-searched (claim-num*,claimremark) > <!ATTLIST srep-claims-not-searched reason ( subject-matternot-searched-by-isa no-meaningful-search dependentclaims-incorrectly-drafted limited-to-claim-fees-paid limitedto-first-claims) #REQUIRED > Form PCT/ISA/2003 (April 2005) If no search is to be carried srep-declarationsubject-matter, out the search examiner will complete Form PCT/ISA/203 (Declaration of Non-Establishment of Search srep-declarationcompliance, srep- Report), see PCT INTERNATIONAL SEARCH AND PRELIMINARY EXAMINATION GUIDELINES, Where the declaration- sequence-listing, subject matter of all claims constitutes a subject excluded from the search where no meaningful search is possible for all additional-info, of the claimed subject matter, a declaration of nonestablishment of the international search report is issued heading, p pursuant to Article 17(2)(a) on Form PCT/ISA/203, see PCT INTERNATIONAL SEARCH AND PRELIMINARY EXAMINATION GUIDELINES, paragraph The phase attribute contains the code of the procedure, e.g. PCT, EP, US,... and permits the reuse of the present DTD in national phases. Its values has been defaulted to PCT. srep-for-pub search-report, (E) <!ELEMENT srep-declaration ((srep-declaration-subjectmatter?, srep-declaration-compliance?,srep-declarationsequence-listing?, additional-info?) (heading?, p+)) > <!ATTLIST srep-declaration phase CDATA "PCT"> 7

8 srep-declarationcompliance srep-declarationsequence-listing srep-declarationsubject-matter Form PCT/ISA/203 (April 2005) Point 2. of Form PCT/ISA/203 (April 2005) indicates which part(s) of the international application are subject to the issuance of the declaration under Article 17(2)(a). <!ELEMENT srep-declaration-compliance EMPTY> <!ATTLIST srep-declaration-compliance description ( yes no ) #IMPLIED claims ( yes no ) #IMPLIED drawings ( yes no ) #IMPLIED > Form PCT/ISA/203 (April 2005) Points 3. and 4. of Form PCT/ISA/203 (April 2005) indicate deficiencies of the international application related to sequence listings which are subject to the issuance of the declaration under Article 17(2)(a) for non compliance with Rules 13ter.1(c) and (d), namely: * The late furnishing or the non compliance with Annex C of the Administrative Instruction of a paper or an electronic sequence-listing is indicated by the paper and electronic attribute respectively; * The late furnishing or the non compliance with Annex C-bis of the Administrative Instruction of tables related to a sequence-listing is indicated by the table attribute; * The late payment of the furnishing fees is indicated with the late-furnishing-fee attribute. <!ELEMENT srep-declaration-sequence-listing EMPTY> <!ATTLIST srep-declaration-sequence-listing paper ( yes no ) #IMPLIED electronic ( yes no ) #IMPLIED late-furnishing-fee ( yes no ) #IMPLIED table ( yes no ) #IMPLIED Form PCT/ISA/203 (April 2005) When it has been established that the subject-matter of the international application falls into one of the exceptions set out in Rule 39, point 1. of Form PCT/ISA/203 (April 2005) is completed by selecting the exception. Each attribute refers to a specific type of subjectmatter excluded in Rule 39 (PCT Search and Preliminary Examination Guidelines, chapter 9). srep-declaration search-report, srep-declaration search-report, srep-declaration search-report, (E) (E) (E) <!ELEMENT srep-declaration-subject-matter EMPTY> <!ATTLIST srep-declaration-subject-matter scientific-theories ( yes no ) #IMPLIED mathematic-theories ( yes no ) #IMPLIED plant-varieties ( yes no ) #IMPLIED animal-varieties ( yes no ) #IMPLIED bio-processes ( yes no ) #IMPLIED business ( yes no ) #IMPLIED mental-act ( yes no ) #IMPLIED games ( yes no ) #IMPLIED treatment-human ( yes no ) #IMPLIED treatment-animal ( yes no ) #IMPLIED diagnosticmethods ( yes no ) #IMPLIED presentation-information ( yes no ) #IMPLIED computer-program ( yes no ) #IMPLIED> 8

9 srep-figure-to-publish Abstract Drawing The figure of the drawings to be published with the abstract is: Figure No. followed by text of attribute value: 1byapplicant = as suggested by the applicant. 2none-suggested = selected by the examiner because the applicant failed to suggest a figure. 3by-examiner = selected by the examiner because this figure better characterizes the invention. or: 4none = None of the figures is to be published with the abstract (Old PCT/ISA/210-6 a and b) <!ELEMENT srep-figure-to-publish (figure-to-publish?)> <!ATTLIST srep-figure-to-publish figinfo (by-applicant nonesuggested by-examiner none) #REQUIRED > figure-to-publish srep-info search-report, srep-for-pub srep-incompletesearch text, limitation-ofsearch srep-protestremark doc-page, classification-ipc, classifications-ipcr, SECTION III OF DTD The actual search report - start a new page classificationnational, srep-fields- The Heading is: <B>INTERNATIONAL SEARCH REPORT (ISR) - PART 2</B> <HR></HR> Repeat international application number searched, srepcitations, (?) IPC, FIELDS and DATABASES SEARCHED CLASSIFICATION OF SUBJECT MATTER <!ELEMENT srep-for-pub (doc-page+ search-report-data, search-report search-report, incomplete-search, (classification-ipc?, classifications-ipcr?, classification-national?, srep-incompletesearch, srep- srep-fields-searched, srep-citations, srep-incomplete-search?, srep-declaration, srep-admin?, srep-patent-family?, srep-earliersearch*))declaration, srepadmin, srep-patentfamily, srep-earliersearch The present application, or one or more of the claims, does/do not comply with the PCT to such an extent that a meaningful search into the state of the art cannot be carried out, or can only be carried out partially for these claims. <!ELEMENT srep-incomplete-search (text limitation-ofsearch+)> Remark on protest Attribute values: no-protest = No protest accompanied the payment of additional search fees; protestfee-paid = The additional search fees were accompanied by the applicant's protest and, where applicable, the payment of a protest fee. protest-fee-not-paid = The additional search fees were accompanied by the applicant's protest but the applicable protest fee was not paid within the time limit specified by the invitation. srep-for-pub search-report, PFR ST.36/2008/005 (E) srep-unity-of-invention search-report, Fees (E) <!ELEMENT srep-protest-remark EMPTY> <!ATTLIST srep-protest-remark protest-remark (no-protest protest-fee-paid protest-fee-not-paid ) #REQUIRED > 9

10 srep-unity-ofinvention (Old PCT/ISA/210 - Box No. III) Observations where unity of invention is lacking This ISA found multiple inventions in this international application, as follows: (use text data) <!ELEMENT srep-unity-of-invention (p*, srep-search-fees, srep-protest-remark?)> p, srep-search-fees, search-fee-protest srep-protestremark srep-info search-report, sub Subscripted text b, u, i, o, sup2, sub2 invention-title, u, o, statement, claimtext, dd, othercit, b, i, formula-text sup Superscripted text b, u, i, o, sup2, sub2 invention-title, u, o, statement, claimtext, dd, othercit, b, i, formula-text 10

11 Element Name Description Uses Used By In DTD Code ST32 Category text If no structure is possible, enter text (without markup) <!ELEMENT text (#PCDATA)> B561, B562, bibliographic-data, gazette-reference, classificationlocarno, iprp-written-opinion, iprp-info, iprp-basis-drawings, iprp-basisclaims, iprp-basis-description, patentfamily, classification-national, srepinfo, classification-ipcr, classificationipc, dispatch-info, nplcit, patcit, addressbook, dnum, correction, references-cited, printed-asamended, invalidation-of-patent, termof-grant, lapse-of-patent, disclaimer, declarations, power-of-attorney, fee-sheet, not-printed-with-grant, claims-onlyavailable, examined-printed-without- bio-deposit, ro-request-receiving-info, table-external, pkgheader, xmit-receipt, grant, unexamined-printed-withoutgrant, examined-not-printed-without- dispatch-list, demand, ipea-demandreceiving-info, fee-sheet-chapter2, prioritydoc, search-report, iprp, amendmentgrant, unexamined-not-printedwithout-grant, iprp-citations, amendsequence-listing-table, amendrequest, wo-bibliographic-data, wopublished-application, sequence-listing, amend-drawings, amend-claims, amend-description, srep-written-opinion, certainpublished-documents, srep-patentfamily, incomplete-search, srepincomplete-search, limitation-ofsearch, srep-citations, databasesearched, online, history, article, book, location, series, conference, imprint, rel-passage, reason-forrejection-info General Text u Underscore: style - single is default b, i, smallcaps, sup, sub invention-title, statement, claim-text, dd, othercit, b, i, smallcaps, sub, sup, sub2, sup2, formula-text [End of Notes] 11