Intellectual Property Industry Standards of the People’s Republic of China

\No.ZC 0006-2003

Standard for Patent Application Number
(As Issued by the State Intellectual Property Office of the People’s Republic of China on 14 July 2003 and entering into force on 1 October 2003)

Table of Contents
Standard for Patent Application Number
1. Scope 
2. Terms and Definitions 
(1) Patent Application 
(2) Patent Application Number 
(3) Check Digit 
(4) Formulation Principles 
(5) Uniqueness Principle 
(6) Scientific Plausibility Principle 
3. Formulation Principles
(1) Uniqueness Principle
(2) Scientific Plausibility Principle 
4. Rules for Patent Application Numbering 
(1) Composition of Patent Application Number 
(2) Year of Application 
(3) Number Showing the Classification of Applications 
(4) Series Number of Application 
(5) Diagram Showing the Rules for Patent Application Numbering
5. Rules for the Use of Patent Application Number 
(1) Patent Application Number Used Together with Check Digit 
(2) Patent Application Number Used Together with the China National Code “CN” 
(3) Form of Written and Printed Patent Application Number 
6. Administration of the Standard for Patent Application Number 
7. Issuance of the Standard 
8. Implementation of this Standard 
(1) Entry into Force of this Standard 
(2) Supervision of this Standard 
(3) Amplification of this Standard

Forward
This Standard for Patent Application Number No. ZC 0006-2003 is one of the intellectual property industry standards of the People’s Republic of China.
This Standard has been developed and administered by the State Intellectual Property Office of the People’s Republic of China.
This Standard has been approved by the Standardization Board of the State Intellectual Property Office of the People’s Republic of China.
This Standard has been drafted by the Working Group for the Formulation of the Standard for Patent Application Number of the State Intellectual Property Office of the People’s Republic of China.
The leading drafters of this Standard are Tian Lipu, He Hua, Huang Qing, Bu Fang, Ning Long, Wang Qiang, Zhu Renxiu, Zhai Wei, He Yuefeng, Yang Xiaowei, Wang Zhansan, Wu Dazhang, Tang Caixiang, Xu Minhua, Shi Ping, Fang Ke, Leng Ge and Yan Yonggang.

Introduction
With a view to amplifying the system of the industry standards for the intellectual property in China, the State Intellectual Property Office of the People’s Republic of China (hereinafter referred to as the State Intellectual Property Office) has hereby formulated this Standard pursuant to the Standardisation Law of the People’s Republic of China and the Patent Law of the People’s Republic of China, with reference to the WIPO standard ST.13, Recommendation for the Numbering of Applications for Patents, Spcs, Industrial Designs and Layout-Designs of Integrated Circuits issued by the World Intellectual Property Organisation.
In order to meet the needs imposed by the rapid increase in the number of patent applications in China and to further improve the quality of the public service, amendments have been made in this Standard to the Rules for Patent Application Numbering taking effect on 1 April 1985.

Standard for Patent Application Numbering
1. Scope 
This Standard has laid down the rules for patent application numbering.
.
This Standard is applicable to any entity and individual who use a Chinese patent application number in any place and in any manner for different purposes, in particular, for the purpose of statutory procedure, documentation and publication.

2. Terms and Definitions 
The following terms and definitions are used for the purpose of this Standard. Unless otherwise expressly provided for in the State laws, the State Intellectual Property Office shall have the authority to make final interpretation of the terms and definitions used in this Standard.

(1) Patent Application 
For the purpose of this Standard, the patent applications shall include applications for patent for invention, utility model and design.

(2) Patent Application Number 
The patent application number shall refer to a number assigned to a patent application when the State Intellectual Property Office accepts the application.

(3) Check Digit 
A check digit shall refer to a one-digit Arabic number (any number of 0 to 9) derived from calculation with the composition of digits used in the patent application number taken as the source data or refer to the capital English letter “X”.

3. Formulation Principles 
(1) Uniqueness Principle 
To make a patent application distinct from any other patent application in the acceptance and examination proceedings and in any other patent-related statutory proceeding, the rules for numbering patent application formulated in this Standard embodies the uniqueness principle.
The uniqueness principle has two meanings. First, it means that in the proceeding for examination of the patent application and any other pertinent statutory proceeding, and in the period of continued existence of the patent right granted to the patent application, the State Intellectual Property Office shall assign only one patent application number to the patent application. This patent application number shall not change due to amendment of the patent application document, change of the legal status of the patent application and variation of the inventor/designer, patent applicant or patentee, nor shall it change due to division of the application. When a divisional application is filed on the basis of a (parent) patent application, the divisional application will be given new patent application number, and the number of the parent application will remain unchanged. Second, a patent application number shall be used for one patent application only. Even if the patent application or the patent right granted thereto ceases to exist, it shall be impossible for the same patent application number to be used for any other patent application.

(2) Scientific Plausibility Principle 
The legal protection under the patent system and the function of technological information are socially extensive and temporally permanent, which requires that a patent application number be unique, conducive to the information administration, easy to understand and remember and convenient to use. To this effect, rules for numbering have been adopted for this Standard in such a scientific manner that a patent application number is composed of the number of the year when a patent application is accepted, the number indicating the class of the patent application and the series number indicating the relative order of the patent application.

4. Rules for Patent Application Numbering 
(1) Composition of Patent Application Number 
A patent application number is shown by a number composed of 12 Arabic digits, containing three parts: the year in which the application is filed, the number of the class of the application and the series number of the application.
From left to right, the first to fourth digits of a patent application number indicate the year in which a patent application is accepted; the fifth digit stands for the class of the patent application; and the sixth to twelfth digits (7 digits) are the series number of the application showing the relative order of the patent application accepted.
Each Arabic digit used in a patent application number is a decimal number.

(2) Year of Application 
The year of the patent application number is an anno Domini year. For example, 2004 indicates that the patent application is accepted in 2004 AD.

(3) Number Showing the Classification of Applications 
The classification of a patent application is shown by one digit in the patent application number, and the numbers used for this purpose are prescribed respectively as having these meanings: the number “1” standing for applications for patent for invention; “2” standing for applications for patent for utility model; “3” standing for applications for design; “8” standing for the PCT applications for patent for invention having entered into the national phase in China; and “9” standing for the PCT applications for patent for utility mode having entered into the national phase in China.
The meaning of other Arabic numbers, other than the abovementioned numbers, when used to indicate classification of applications shall be separately provided for by the State Intellectual Property Office.

(4) Series Number of Application 
The series application number in a patent application number is represented by seven consecutive digits, generally used in ascending sequence, starting, for example, from 0000001 progressively to 9999999.
The series application number in a patent application number of each calendar year will be renumbered, that is, from January 1 each year, the series application number in a newly issued patent application number do not follow the last number of the previous year, and the numbering will start anew from the number 0000001.

(5) Diagram Showing the Rules for the Patent Application Numbering 
XXXX X XXXXXXX

Series application number (see 4.4)
Application class number (see 4.3)
Application year number (see 4.2)

5. Rules for the Use of Patent Application Number 
(1) Patent Application Number Used Together with Check Digit 
The State Intellectual Property Office shall assign a patent application number and check digit when accepting a patent application. Check digit is placed after the patent application number, and a symbol of subscript single-byte-dot is used as a separating mark between them. Except otherwise provided for in the laws, regulations and administrative rules, the patent application number and check digit (including the mark separating them) shall be used together in the various proceedings under the Patent Law, the Implementing Regulations thereof and other relevant laws and regulations.

(2) Patent Application Number Used Together with the China National Code “CN” 
The China national code “CN” may be used together with the patent application number to show that the patent application for which the number and the code is used has received by the State Intellectual Property Office of China. The code “CN” should precede the patent application number. A one-byte blank space may be left between the code “CN” and the patent application number if necessary.

(3) Form of Written and Printed Patent Application Numbers 
Unless it is provided in the laws, regulations or administrative rules that all the numbers of a patent application number (including that used together with check digit) be consecutively written or printed, a one-byte blank space may be left respectively between the number of year and the number of classification or between the number of classification and the series number used in a patent application number.
No blank space should be used within the segment of the year number and the series number, between the series number and the separating mark or between the separating mark and check digit.
Lexical items, numbers, marks or blank spaces other than those provided for in 5.1, 5.2 and of 5.3, paragraph one shall not be used as a part of a patent application number before, after and in the patent application number (including that used together with check digit).

6. Administration of the Standard for Patent Application Numbers 
The administrator authorised by the State Intellectual Property Office is in charge of the administration of the standard for patent application number pursuant to the provisions of this Standard, and is responsible for creating an environment for the effective operation of this Standard for the patent application number. 
The specific functions and responsibilities of the administrator are as follows:
----- ensuring the uniformity of the use of the patent application number pursuant to this Standard;
----- being responsible for the administration and maintenance of the patent application number;
----- interpreting the normative terms and definitions used in this Standard; and
----- making recommendations for the amplification of this Standard.

7. Issuance of the Standard 
This Standard is issued on 14 July 2003.

8. Implementation of this Standard
(1) Entry into Force of this Standard 
This Standard shall enter into force on 1 October 2003.

(2) Supervision of this Standard 
The Standardization Board of the State Intellectual Property Office shall be responsible for the supervision and implementation of this Standard.

(3) Amplification of this Standard 
The Standardization Board of the State Intellectual Property Office shall review recommendations made by the administrator for the amplification of this Standard, and may formulate a new standard to substitute for this Standard, if necessary.