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9.2
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Categories of documents (X, Y, P, A, D, etc.)
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All documents cited in the search report are identified by placing a particular letter in the first column of the citation sheets. Where needed, combinations of different categories are possible. The following letters are used:
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(i)
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particularly relevant documents
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Where a document cited in the European search report is particularly relevant, it should be indicated by the letter "X" or "Y". Category "X" is applicable where a document is such that when taken alone, a claimed invention cannot be considered novel or cannot be considered to involve an inventive step.
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Art. 52(1)
Art. 54
Art. 56
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Category "Y" is applicable where a document is such that a claimed invention cannot be considered to involve an inventive step when the document is combined with one or more other documents of the same category, such combination being obvious to a person skilled in the art. However, if a document (a so-called "primary document") explicitly refers to another document as providing more detailed information on certain features (see C-IV, 7.1) and the combination of these documents is considered particularly relevant, the primary document should be indicated by the letter "X", i.e. not "Y", and the document referred to should be indicated as "X" or "L" as appropriate;
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Art. 52(1)
Art. 56
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(ii)
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documents defining the state of the art and not prejudicing novelty or inventive step
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Where a document cited in the European search report represents state of the art not prejudicial to the novelty or inventive step of the claimed invention, it should be indicated by the letter "A" (see, however, III, 1.1);
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(iii)
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documents which refer to a non-written disclosure
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Where a document cited in the search report refers to a non-written disclosure, the letter "O'' should be entered (see VI, 2). Examples of such disclosures include conference proceedings. In cases where the oral disclosure took place at an officially recognised exhibition (Art. 55(1)(b)), see VI, 5.5. The document category "O" is always accompanied by a symbol indicating the relevance of the document according to (i) or (ii), for example: "O, X"; "O, Y"; or "O, A";
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Rule 44(4)
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(iv)
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intermediate documents
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Documents published on dates falling between the date of filing of the application being examined and the date of priority claimed, or the earliest priority if there is more than one (see VI, 5.2 and XII, 4), should be denoted by the letter "P". The letter "P" should also be given to a document published on the very day of the earliest date of priority of the patent application under consideration. The document category "P" is always accompanied by a symbol indicating the relevance of the document according to (i) or (ii), for example: "P, X"; "P, Y"; or "P, A";
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Rule 44(3)
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(v)
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documents relating to the theory or principle underlying the invention
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Where a document cited in the search report may be useful for a better understanding of the principle or theory underlying the invention, or is cited to show that the reasoning or the facts underlying the invention are incorrect, it should be indicated by the letter "T";
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(vi)
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potentially conflicting patent documents
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Any patent document bearing a filing or priority date earlier than the filing date of the application searched (not the priority date - see VI, 3 and XII, 4) but published later than that date and the content of which would constitute prior art relevant to novelty (Art. 54(1)) should be indicated by the letter "E". Where the patent document and the application searched have the same date (see C-IV, 6.4), the patent document should also be identified by the letter "E". An exception is made for patent documents based on the claimed priority under consideration; these documents should not be cited;
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Art. 54(3), (4)
Art. 139(2)
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(vii)
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documents cited in the application
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When the search report cites documents already mentioned in the description of the patent application for which the search is carried out, these should be denoted by the letter "D" (see IV, 1.3);
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Rule 27(1)(b)
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(viii)
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documents cited for other reasons
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Where in the search report any document is cited for reasons (in particular as evidence - see XII, 5) other than those referred to in the foregoing paragraphs, for example:
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Art. 117(1)(c)
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(a)
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a document which may throw doubt on a priority claim (see VI, 5.3);
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(b)
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a document which establishes the publication date of another citation (see XII, 5); or
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such document should be indicated by the letter "L". Brief reasons for citing the document should be given. The citation of documents of this type need not be linked to any of the claims. However, where the evidence which they provide relates only to certain claims (for example the "L" document cited in the search report may invalidate the priority claim in respect of certain claims only), then the citation of the document should be linked to those claims, in the manner indicated in X, 9.3.
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CHAPTER X SEARCH REPORT
9.1 Identification of documents in the search report
9.3 Relationship between documents and claims
