HANDBOOK ON INDUSTRIAL PROPERTY

INFORMATION AND DOCUMENTATION

Ref.: Standards – ST.37 page: 3.37.1

STANDARD ST.37

RECOMMENDATION FOR AN AUTHORITY FILE OF PUBLISHED PATENT DOCUMENTS

Version 2.1

Revision approved by the Committee on WIPO Standards (CWS)

at its eighth session on December 4, 2020

Editorial Note by the International Bureau

Annexes III and IV to the present Standard, which define XML schema (XSD) and Data Type Definition (DTD), are
under preparation by the Authority File Task Force. They are planned to be presented for consideration and adoption by the
Committee on WIPO Standards (CWS) at its sixth session in 2018.

Until the said Annexes are adopted by the CWS, the only recommended format for the purpose of this Standard is text.

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Ref.: Standards – ST.37 page: 3.37.2

STANDARD ST.37

RECOMMENDATION FOR AN AUTHORITY FILE OF PUBLISHED PATENT DOCUMENTS

Version 2.1

Revision approved by the Committee on WIPO Standards (CWS)

at its eighth session on December 4, 2020

INTRODUCTION
1. This Standard defines data elements to constitute an authority file of patent documents, as well as its structure
and format.

2. The primary purpose of the authority file generated by an industrial property office (IPO) is to allow other IPOs and
other interested parties to assess the completeness of the available patent documentation.

3. In order to allow consistency checks, the authority file should contain the list of all publication numbers assigned by
the IP office. This may include publication numbers for which no published document is available – this can be the case for
applications withdrawn shortly before the publication or for destroyed documents – as well as publication numbers for which
the publication contains only bibliographic data.

DEFINITIONS
4. For the purposes of this Standard:

(a) the term “patent documents” includes patents for inventions, plant patents, design patents, inventors’ certificates,
utility certificates, utility models, patents of addition, inventors’ certificates of addition, utility certificates of addition,
and published applications therefor. “Documents” means patent documents, unless otherwise stated;

(b) the terms “publication” and “published” are used in the sense of making available:
(i) a patent document to the public for inspection or supplying a copy on request; and
(ii) multiple copies of a patent document produced on, or by, any medium (e.g., paper, film, magnetic
tape or disc, optical disc, online database, computer network, etc.); and
(c) according to certain national industrial property laws or regulations or regional or international industrial property
conventions or treaties, the same patent application may be published at various procedural stages. For the
purpose of this standard, a “publication level” is defined as the level corresponding to a procedural stage at which
normally a document is published under a given national industrial property law or under a regional or international
industrial property convention or treaty.

REFERENCES
5. References to the following Standards are of relevance to this Recommendation:

WIPO Standard ST.1 Recommendation Concerning the Minimum Data Elements Required to Uniquely Identify a
Patent Document

WIPO Standard ST.2 Standard Manner for Designating Calendar Dates by Using the Gregorian Calendar

WIPO Standard ST.3 Recommended Standard on Two–Letter Codes for the Representation of States, Other
Entities and Intergovernmental Organizations

WIPO Standard ST.6 Recommendation for the Numbering of Published Patent Documents

WIPO Standard ST.10/C Presentation of Bibliographic Data Components

WIPO Standard ST.16 Recommended Standard Code for the Identification of Different Kinds of Patent Documents

WIPO Standard ST.36 Recommendation for the Processing of Patent Information Using XML (eXtensible Markup
Language)

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Ref.: Standards – ST.37 page: 3.37.3

WIPO Standard ST.96 Recommendation for the Processing of Intellectual Property Information Using XML
(eXtensible Markup Language)

RECOMMENDATIONS
6. An authority file is generated by the IPO and contains a list of all patent documents published by that IPO from the
first publication onwards. It should also include document numbers which were allocated but for which no published
document is available (see paragraphs 22 to 25 below).

7. For practical reasons, an authority file may not include documents published during certain period (not longer than
two months) before the date when the authority file was generated by the IPO. This period depends on the document
processing practices of the IP office and, should an IPO submit a definition file as laid down in paragraphs 33 and 34 below,
then it is recommended to indicate there the date of the publication of the latest document listed in the authority file.

DATA ELEMENTS
8. For each publication, the authority file should contain the following minimum data elements to uniquely identify all
types of patent documents as originally published by the IPO:

(a) Two-letter alphabetic code of the IPO publishing the document (publication authority);
(b) publication number;
(c) kind code of the patent document (kind-of-document code); and
(d) publication date.
9. In addition to the elements listed above, the authority file may contain the following data elements:

(a) publication exception code (to indicate, for example, withdrawn or missing documents);
(b) priority application identification of the corresponding publication, which should contain the following sub-
elements:
i. two-letter alphabetic code of the IPO publishing the priority application;
ii. priority application number;
iii. kind-of-document code of the priority application; and
iv. filing date of the priority application.
(c) application identification of the corresponding publication, which should contain the following sub-elements:
v. two-letter alphabetic code of the IPO publishing the application;
vi. application number; and
vii. filing date.
10. Publication exception code (as per paragraph 9(a) above) should be always included for the documents, for which
the complete publication in machine-readable form is not available (see paragraphs 22 to 25 below). Otherwise, the data
element “publication exception code” should not be populated.

11. The provision of the optional data elements indicated in paragraphs 9(b) and 9(c) above remains within the
discretion of the IPO generating the authority file.

12. The list of documents in the authority file should be sorted firstly by publication number, secondly by type of
document (kind code), thirdly by publication date and (optionally) fourthly by publication exception code and fifthly by priority
number.

13. For the cases where a publication number has been allocated but no document has been published, data elements
“kind code” and “publication date” may not be populated.

Field formatting
14. All elements and sub-elements listed in paragraphs 8 and 9 above must be recorded in separate fields.

15. Examples of text format and XML file structures are provided in Annexes II to IV.

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Publication Authority
16. The two-letter alphabetic code for the publication authority – country or region of the IPO generating the authority file
– should follow recommendations of WIPO Standard ST.3.

Publication Number
17. Any non-alphanumeric characters – for example, those used as separators, such as dots, commas, dashes, slashes,
spaces – should preferably be removed from the publication number, while generally the publication number should be
following the recommendations of WIPO Standard ST.6.

Kind Code
18. Different kinds of patent documents should be identified following the recommendations of WIPO Standard ST.16. If
the IPO uses kind-of-document codes which do not follow the recommendations of WIPO Standard ST.16, the definitions of
such codes should be provided in the definition file (see paragraphs 33 and 34 below).

19. If no kind of patent document code was allocated or it is unknown, the corresponding data element “kind code” may
not be populated.

Publication date
20. The publication date should be presented in accordance with paragraph 7(a) of WIPO Standard ST.2. For example,
‘20170602’ for ‘June 2, 2017’.

21. If the publication date is unknown to the IPO generating the authority file, the corresponding data element
“publication date” may not be populated.

Publication exception code

22. The publication exception code should be used for publication numbers for which the complete publication is not
available in machine-readable form.

23. The following single–alphabetic letter codes should be used to indicate the reason why the complete published
document, for which the corresponding number is assigned, is not available:

C Defective documents.
D Documents deleted after the publication.
E Publication number allocated by the IPO representing a PCT national/regional phase entry
(for example Euro-PCT). No corresponding document published. A Euro-PCT application is
an international (PCT) patent application that entered the European regional phase.
M Missing published documents.
N Not used publication number,
for example, when publication numbers have been issued, but for some reason have not
been allocated to any publication. See also paragraph 24 below.
P Documents available on paper only.
R Reissued publications.
U Unknown publication numbers,
for example, when during compilation of the authority file certain publication numbers have
been found in the database, but the corresponding documents are missing without known
cause. Typically this code can indicate a database error that requires further analysis.
W Applications (or patents), which were withdrawn before the publication;
this can include lapsed or ceased patents and might depend on national patent law
regulations.
X Code available for individual or provisional use by an IPO.

24. It is recommended to list only the numbers assigned by the IPO, but in case of small gaps in the numbering
sequence (less than 1000 consecutive publication numbers), the IPO may use the publication exception code “N” to identify
the numbers, which were not used.

25. The use of codes “N”, “W” and “X” should be described in the definition file (see paragraphs 33 and 34 below).

Priority application identification

26. The recommendations for data elements, as indicated in paragraphs 16 to 21 above, should be applied
mutatis mutandis to all sub-elements of “priority application identification” element.

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Ref.: Standards – ST.37 page: 3.37.5

27. Priority application numbers should be indicated in accordance with paragraphs 12 and 13 of WIPO Standard
ST.10/C.

Application Identification
28. The recommendations for data elements, as indicated in paragraphs 16 to 21 above, should be applied mutatis
mutandis to all sub-elements of “application identification” element.

29. Application numbers should be provided in the same format as it appeared on the original patent publication issued
by the IPO. If the IPO uses application number formats in the Authority File that are different from those used on the original
publication, an explanation of the format should be provided in the definition file

RECOMMENDED STRUCTURE AND FORMAT OF THE AUTHORITY FILE

30. It is recommended to provide a single file for all publication numbers listed in the authority file.

31. If generating a single file proves impractical due to the resulting file size, the IPO may generate several files,
dividing the list of publication numbers based on one of the following criteria:

(a) Publication date (file per year or several years);

(b) Publication level (applications, granted IP rights); and
(c) Types of patent documents (file per kind-of-document code).
32. To improve file handling, IPO may generate an update file which includes data for the current year and the last
calendar year and a static file including all older data.

Definition File
33. If some of the records included in the authority file contain information, which is not evident or easily understandable,
it is recommended to provide a definition file in addition to the authority file. For example, in the definition file the IPO may:
(a) describe specific criteria for building the authority file(s);
(b) describe the use of publication exception codes, in particular codes “N”, “W” or “X”;
(c) describe the use of kind-of-documents codes (see paragraph 18 above) or provide a reference to Part 7.3 of the
WIPO Handbook if up-to-date information on kind-of-documents codes is already described in Part 7.3 of the
WIPO Handbook;
(d) indicate the date of the most recent document listed (see paragraph 7 above); and
(e) describe the numbering systems used or provide a reference to Parts 7.2.6 and 7.2.7 of the WIPO Handbook if
up-to-date information on the numbering systems used is already described in Parts 7.2.6 and 7.2.7 of the
WIPO Handbook.

34. To assist other IPOs and interested parties in a first assessment of the completeness of the available patent
documentation, the definition file may also include an overview of the data coverage, for example indicate the number of
publications per year by kind code or by publication level. Annex I contains an example of a definition file to assist IPOs in
drafting their definition files.

File Format
35. The file must be encoded using Unicode UTF-8.

36. With the aim to harmonize, as much as possible, the current practices to exchange and parsing of authority files, two
file formats are recommended:

(a) XML (eXtensible Markup Language) format – to identify the content of data fields of an authority file (see
paragraphs 8 and 9 above) using XML tags within an instance, either in an XML schema (as defined in Annex
III) or a Document Type Definition (DTD) (see Annex IV) format; and
(b) Text format (file extension TXT) – to identify the content of minimum data fields and the optional publication
exception code element using a single text coded list, where the elements are separated by commas
(preferred), tabs or semicolons and a “Carriage Return and Line Feed” (CRLF character) to represent the end of
each record (as defined in Annex II). Text files are smaller in size than XML files.

37. XML is the preferred format for the purpose of this Standard, as it provides clear data element contents and allows
automatic validation of its structure and type. IPOs may use text format for simple authority files, which contain minimum

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Ref.: Standards – ST.37 page: 3.37.6

data elements (as per paragraph 8 above) and, if applicable, publication exception code only; the content of each data field
should be obvious.

File name
38. The name of the authority file generated by an IPO should be structured as follows:

(a) for a single file (see paragraph 30 above) – CC_AF_YYYYMMDD, where “CC” is the ST.3 code of the IPO, “AF”
means “authority file” and “YYYYMMDD” – date of the generation of the authority file.

For example,
EP_AF_20160327 – single authority file generated by the EPO on March 27, 2016; and
(b) for each one of multiple files (see paragraph 31 above) CC_AF_{criterion information}_KofN_YYYYMMDD,
where “CC” is the ST.3 code of the IPO, “AF” means “authority file”, {criterion information} is a place-holder and
K is the index number of this file, N is the total number of files generated and “YYYYMMDD” – date of the
generation of the authority file.

For example,
EP_AF_A-documents_1of2_20160327 – first of two parts of the authority file generated by the EPO on March
27, 2016, this part covers applications only;
EP_AF_B-documents_2of2_20160327 – second of two parts of the authority file generated by the EPO on
March 27, 2016, this part covers granted patents only.
(c) for the instance where multiple files are provided, and each covers a different time period, please refer to the
table below for an example of recommended file naming:
CC_AF_gazetteNNXXXX_YYYYMMDD.ff contains the authority file for publication NNXXXX where
NN is the week number, XXXX is the year and ff is the
file format (XML or TXT)
CC_AF_yearXXXX_YYYYMMDD.ff contains the authority file for the year XXXX
CC_AF_YYYYMMDD.ff contains the authority file with file format ff
CC_AF.zip A zipped file which contains the three files above

IMPLEMENTATION OF THE AUTHORITY FILE

39. In order to ensure efficiency of the data exchange, authority files in XML format must be structured according to the
XML schema (XSD) or the data type definition (DTD) file as specified in Annex III and Annex IV, respectively.

40. The update frequency for the authority file should be at least annual. The date the annual update should be
provided by IPOs is March 1 each year.

41. It is recommended that IPOs generate and make available authority files covering all assigned document numbers,
no later than two months after the last covered publication date. For example, an authority file with data coverage until the
end of 2017 should be made available before March 1, 2018.

42. If an error is discovered in an authority file, a replacement file should be provided by the IPO as soon as possible.

[Annex I follows]

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Ref.: Standards – ST.37 page: 3.37.i.1

ANNEX I

EXAMPLE OF A DEFINITION FILE

Version 2.1

Revision approved by the Committee on WIPO Standards (CWS)

at its eighth session on December 4, 2020

DEFINITION FILE FOR XX AUTHORITY FILE

This definition file relates to the following authority file: XX_AF_20170322

Date of production
2017-03-22

Data coverage
Public XX documents from 1974-01-01 to 2016-12-31.
The XX authority file lists all XX patent and XX utility model publications
Coverage according to document type and kind-of-document code (see Part 7.3 of the WIPO Handbook for details on kind
codes):
Type Kind Code Total
Patent Application A1 125.568
Patent Application A2 96.430
Patent Granted B1 144.879
Utility Model Application U 24.332
Utility Model Examined Y1 18.445
A detailed (annual) data-coverage can be found online at http://www.XX-office.org/coverage.

Used options
 Application information is provided where available
 Priority data not included
 Publication Exception Codes used are the following:

Publication Exception Code Definition

D Documents deleted after the publication.
E PCT applications which have not been republished
M Missing published documents
R Reissued publications
U Unknown publication numbers
X Bibliographic details of filed patent applications, as announced in the Gazette
published by the office
W Applications (or patents), which were withdrawn before the publication

Remark:
R – Reissued publication
Before 2001-01-01 correction requests from applicants and proprietors at the XX office were registered and executed, but
not recorded in necessary electronic formats. Therefore these so-called reissued publications are only available with
bibliographic data but not as published documents.

Numbering Formats:
For details on the numbering systems used by XX office see the corresponding entries in Parts 7.2.6 and 7.2.7 of the WIPO
Handbook.

[Annex II follows]

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ANNEX II

TEXT FILE (TXT)

Version 2.1

Revision approved by the Committee on WIPO Standards (CWS)

at its eighth session on December 4, 2020

1. The authority file text structure lists the minimum data elements and the optional publication exception code
element (see paragraphs 8 and 9) for each publication record in one line, separated by a comma (preferred), tab
or semicolon and a “Carriage Return and Line Feed” (CRLF character) to represent the end of each record.
2. Data structure: <publication authority>,<publication number>,<kind-of-document code>,<publication
date>,<publication exception code><CRLF>.
3. This example illustrates an authority file represented using a TXT structure where the data elements are separated
by a comma:
...
EP,2363052,A1,20110907,W<CRLF>
EP,2363053,A2,20110907,M<CRLF>
EP,2540632,A1,20130102,P<CRLF>
EP,2540632,B1,20151202,<CRLF>

[Annex III follows]

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Ref.: Standards – ST.37 page: 3.37.iii.1

ANNEX III

XML SCHEMA DEFINITION (XSD) FOR AUTHORITY FILE

Version 2.1

Revision approved by the Committee on WIPO Standards (CWS)

at its eighth session on December 4, 2020

Editorial Note by the International Bureau:

Annex III of WIPO Standard ST.37 is the set of XML schema components to represent the minimum and extended data
elements of an Authority File of patent documents issued by a Patent Office. Annex III is based on WIPO Standard ST.96,
including the naming convention used to identify the names of the specific data components for Authority File. Annex III
includes an Appendix which is a sample XML instance of an Authority File structured according to the XML schema,
according to WIPO ST.96 V4_0.

<?xml version="1.0" encoding="UTF-8"?>

<xsd:schema xmlns:xsd="http://www.w3.org/2001/XMLSchema"
xmlns:afp="http://www.wipo.int/standards/XMLSchema/AFPatent"
xmlns:com="http://www.wipo.int/standards/XMLSchema/ST96/Common"
xmlns:pat="http://www.wipo.int/standards/XMLSchema/ST96/Patent"
targetNamespace="http://www.wipo.int/standards/XMLSchema/AFPatent"
elementFormDefault="qualified" attributeFormDefault="qualified" version="V2_1">
<xsd:import namespace="http://www.wipo.int/standards/XMLSchema/ST96/Patent"
schemaLocation="ST96_Patent_V4_0.xsd"/>
<xsd:import namespace="http://www.wipo.int/standards/XMLSchema/ST96/Common"
schemaLocation="ST96_Common_V4_0.xsd"/>
<xsd:annotation>
<xsd:appinfo>
<com:SchemaLastModifiedDate>2020-12-15</com:SchemaLastModifiedDate>
<com:SchemaContactPoint>[email protected]</com:SchemaContactPoint>

<com:SchemaReleaseNoteURL>http://www.wipo.int/standards/XMLSchema/AFPatent/V2_1/Releas
eNotes.pdf</com:SchemaReleaseNoteURL>
</xsd:appinfo>
</xsd:annotation>
<xsd:element name="PatentAuthorityFile" type="afp:PatentAuthorityFileType">
<xsd:annotation>
<xsd:documentation>Authority file for patent documents provided by patent
offices according to WIPO Standard ST.37.</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:element name="AuthorityFileDataCoverage"
type="afp:AuthorityFileDataCoverageType">
<xsd:annotation>
<xsd:documentation>List of patent documents published by industrial
property offices grouped according to their ST.16 kind-of-document codes for a given date
range.</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:complexType name="AuthorityFileDataCoverageType">
<xsd:sequence>
<xsd:element ref="com:PublicationDateRange"/>
<xsd:element ref="afp:PublicationNumberRange" minOccurs="0"/>
<xsd:element ref="afp:KindCodeCoverage" minOccurs="0"/>
<xsd:element ref="afp:ExceptionCodeCoverage" minOccurs="0"/>
<xsd:element ref="com:DataCoverageURI" minOccurs="0"/>
</xsd:sequence>
</xsd:complexType>
<xsd:element name="AuthorityFileDefinition" type="afp:AuthorityFileDefinitionType">

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<xsd:annotation>
<xsd:documentation>Provide definition file information relating to this
associated authority file, including file coverage.</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:complexType name="AuthorityFileDefinitionType">
<xsd:choice maxOccurs="unbounded">
<xsd:element ref="afp:ExceptionCodeDefinitionBag"/>
<xsd:element ref="pat:PatentDocumentKindCodeDefinitionBag"/>
<xsd:element ref="com:MostRecentDocument"/>
<xsd:element ref="afp:AuthorityFileDataCoverage"/>
<xsd:element ref="com:CommentText"/>
<xsd:element ref="com:DocumentLocationURI"/>
</xsd:choice>
<xsd:attribute ref="com:id"/>
<xsd:attribute ref="afp:groupedAFIndicator" use="required"/>
<xsd:attribute ref="afp:groupAFCategory"/>
<xsd:attribute ref="com:updateAFCategory" use="required"/>
</xsd:complexType>
<xsd:element name="AuthorityFileEntry" type="afp:AuthorityFileEntryType">
<xsd:annotation>
<xsd:documentation>An authority file entry consists of data required to
uniquely identify a patent publication according to WIPO ST.37.</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:complexType name="AuthorityFileEntryType">
<xsd:sequence>
<xsd:element ref="afp:PatentPublicationIdentification"/>
<xsd:element ref="afp:ExceptionCode" minOccurs="0"/>
<xsd:element ref="pat:ApplicationIdentification" minOccurs="0"/>
<xsd:element ref="pat:PriorityApplicationIdentificationBag" minOccurs="0"/>
</xsd:sequence>
<xsd:attribute ref="com:id"/>
</xsd:complexType>
<xsd:complexType name="PatentAuthorityFileType">
<xsd:sequence>
<xsd:element ref="afp:AuthorityFileDefinition" minOccurs="0"/>
<xsd:element ref="afp:AuthorityFileEntry" maxOccurs="unbounded"/>
</xsd:sequence>
<xsd:attribute ref="com:id"/>
<xsd:attribute ref="com:officeCode" use="required"/>
<xsd:attribute ref="com:creationDate"/>
<xsd:attribute ref="afp:st37Version" use="required"/>
<xsd:attribute ref="com:ipoVersion"/>
</xsd:complexType>
<xsd:element name="PatentPublicationIdentification"
type="afp:PatentPublicationIdentificationType">
<xsd:annotation>
<xsd:documentation>Details identifying a particular published patent
document, as part of an authority file entry. Refers to ST.9 INID Code
10.</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:complexType name="PatentPublicationIdentificationType">
<xsd:sequence>
<xsd:element ref="com:IPOfficeCode"/>
<xsd:element ref="afp:PublicationNumber"/>
<xsd:element ref="com:PublicationLanguageCode" minOccurs="0"/>
<xsd:element ref="com:PatentDocumentKindCode" minOccurs="0"/>
<xsd:element ref="com:PublicationDate" minOccurs="0"/>
</xsd:sequence>
<xsd:attribute ref="com:id"/>
</xsd:complexType>
<xsd:attribute name="groupedAFIndicator" type="xsd:boolean">
<xsd:annotation>
<xsd:documentation>Indicates that the authority file has been grouped, or
not, according to one of the defined categories.</xsd:documentation>

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</xsd:annotation>
</xsd:attribute>
<xsd:element name="ExceptionCode" type="afp:ExceptionCodeType">
<xsd:annotation>
<xsd:documentation>Exception code as indicated in WIPO
ST.37</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:element name="ExceptionCodeCoverage" type="afp:ExceptionCodeCoverageType">
<xsd:annotation>
<xsd:documentation>Data coverage summary by exception code including total
quantity of documents.</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:complexType name="ExceptionCodeCoverageType">
<xsd:sequence maxOccurs="unbounded">
<xsd:element ref="afp:ExceptionCode"/>
<xsd:element ref="com:DocumentTotalQuantity"/>
</xsd:sequence>
</xsd:complexType>
<xsd:element name="ExceptionCodeDefinition" type="afp:ExceptionCodeDefinitionType">
<xsd:annotation>
<xsd:documentation>A set of Exception codes, particularly the codes N, W
and X, and their descriptions as defined by the IP Office, which are different from
definitions in WIPO ST.37.</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:complexType name="ExceptionCodeDefinitionType">
<xsd:sequence>
<xsd:element ref="afp:ExceptionCode"/>
<xsd:element ref="afp:ExceptionCodeDescriptionText"/>
</xsd:sequence>
</xsd:complexType>
<xsd:element name="ExceptionCodeDescriptionText" type="xsd:string">
<xsd:annotation>
<xsd:documentation>A different or specific description of an exception
code, which an IP Office uses in their authority file.</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:element name="ExceptionCodeDefinitionBag"
type="afp:ExceptionCodeDefinitionBagType">
<xsd:annotation>
<xsd:documentation>List of exception codes that have a different or
specific definition in use by the IP Office rather than the definitions of exception codes
defined in WIPO ST.37.</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:complexType name="ExceptionCodeDefinitionBagType">
<xsd:sequence maxOccurs="unbounded">
<xsd:element ref="afp:ExceptionCodeDefinition"/>
</xsd:sequence>
</xsd:complexType>
<xsd:simpleType name="ExceptionCodeType">
<xsd:restriction base="xsd:token">
<xsd:enumeration value="C">
<xsd:annotation>
<xsd:documentation>Defective publication documents
</xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
<xsd:enumeration value="D">
<xsd:annotation>
<xsd:documentation>The document was deleted after the
publication</xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
<xsd:enumeration value="E">

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<xsd:annotation>
<xsd:documentation>Publication number allocated by the IPO
representing a PCT national/regional phase entry (for example Euro-PCT). No corresponding
document published. A Euro-PCT application is an international (PCT) patent application
that entered the European regional phase.
</xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
<xsd:enumeration value="M">
<xsd:annotation>
<xsd:documentation>Published document is
missing</xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
<xsd:enumeration value="N">
<xsd:annotation>
<xsd:documentation>This code is for Office internal-use and the
code description for 'N' must be provided using ExceptionCodeDefinition, for instance in
the IP Office's Authority Definition File.</xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
<xsd:enumeration value="P">
<xsd:annotation>
<xsd:documentation>Document available only on
paper</xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
<xsd:enumeration value="R">
<xsd:annotation>
<xsd:documentation>Reissued publication</xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
<xsd:enumeration value="U">
<xsd:annotation>
<xsd:documentation>Unknown publication number, for example,
when during compilation of the authority file one or a list of publication number(s) has
been found in the database, but the corresponding document(s) is(are) missing without known
cause. Typically this code can indicatecould be a database error that requires further
analysis.</xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
<xsd:enumeration value="W">
<xsd:annotation>
<xsd:documentation>This code is for Office internal-use and the
code description for 'N' must be provided using ExceptionCodeDefinition, for instance in
the IP Office's Authority Definition File.</xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
<xsd:enumeration value="X">
<xsd:annotation>
<xsd:documentation>The use of code 'X' must be described in the
IP Office's Authority Definition File.” </xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
</xsd:restriction>
</xsd:simpleType>
<xsd:attribute name="groupAFCategory" type="afp:GroupCategoryType">
<xsd:annotation>
<xsd:documentation>Identifies how the authority files has been grouped
i.e., by date, publication-level or document-kind code.</xsd:documentation>
</xsd:annotation>
</xsd:attribute>
<xsd:simpleType name="GroupCategoryType">
<xsd:restriction base="xsd:token">
<xsd:enumeration value="date">
<xsd:annotation>
<xsd:documentation>Date</xsd:documentation>

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Ref.: Standards – ST.37 page: 3.37.iii.5

</xsd:annotation>
</xsd:enumeration>
<xsd:enumeration value="publication-level">
<xsd:annotation>
<xsd:documentation>Publication level</xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
<xsd:enumeration value="document-kind">
<xsd:annotation>
<xsd:documentation>Document kind</xsd:documentation>
</xsd:annotation>
</xsd:enumeration>
</xsd:restriction>
</xsd:simpleType>
<xsd:element name="KindCodeCoverage" type="afp:KindCodeCoverageType">
<xsd:annotation>
<xsd:documentation>Data coverage summary by kind code including document
total quantity.</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:complexType name="KindCodeCoverageType">
<xsd:sequence maxOccurs="unbounded">
<xsd:element ref="com:PatentDocumentKindCode"/>
<xsd:element ref="com:DocumentTotalQuantity"/>
</xsd:sequence>
</xsd:complexType>
<xsd:element name="PublicationNumberRange" type="afp:PublicationNumberRangeType">
<xsd:annotation>
<xsd:documentation>A range of patent publication numbers which are included
within this authority file.</xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:complexType name="PublicationNumberRangeType">
<xsd:sequence>
<xsd:element ref="pat:BeginRangeNumber"/>
<xsd:element ref="pat:EndRangeNumber"/>
</xsd:sequence>
</xsd:complexType>
<xsd:element name="PublicationNumber" type="xsd:string">
<xsd:annotation>
<xsd:documentation>Publication Number. </xsd:documentation>
</xsd:annotation>
</xsd:element>
<xsd:attribute name="st37Version" type="xsd:token" fixed="V2_1">
<xsd:annotation>
<xsd:documentation>A specific release version of ST.37 XML
Schema</xsd:documentation>
</xsd:annotation>
</xsd:attribute>
</xsd:schema>

[Appendix to Annex III follows]

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Ref.: Standards – ST.37 page: 3.37.iii.6

APPENDIX

The Appendix is available at:

https://www.wipo.int/standards/en/st37/annexIII_appendix_V2_1.xml

[Annex IV follows]

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 HANDBOOK ON INDUSTRIAL PROPERTY
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Ref.: Standards – ST.37 page: 3.37.iv.1

ANNEX IV

DOCUMENT TYPE DEFINITION (DTD) FOR AUTHORITY FILE

Version 2.0

Revision approved by the Committee on WIPO Standards (CWS)

at its seventh session on July 5, 2019

Editorial Note by the International Bureau:

Annex IV of WIPO Standard ST.37 is the set of XML DTD components to represent the minimum and extended data
elements of an Authority File of patent documents issued by a Patent Office. Annex IV is based on WIPO Standard ST.36,
including the naming convention used to identify the names of the specific data components for Authority File. Annex IV
includes an Appendix which is a sample XML instance of an Authority File structured according to the XML DTD.

<?xml version='1.0' encoding='UTF-8' ?>

<!--Annex IV of WIPO Authority File Standard ST.37, XML Data Type Definition (DTD) for Authority
Files

This entity may be identified by the PUBLIC identifier:

********************************************************************************************
PUBLIC "-//WIPO//XSD AUTHORITY FILE 2.0//EN" "AuthorityFile_V2_0.dtd"
********************************************************************************************

********************************************************************************
* Revision of Annex IV was approved by the Committee on WIPO Standards (CWS) at its sixth session on
October 19, 2018.
* Revision of Annex IV was approved by the Committee on WIPO Standards (CWS) at its seventh session
on 2019-07-02 :
* (i) group-category renamed grouped-af-indicator and is now a list of boolean values 'yes' and 'no'
* (ii) backup-category renamed update-af-category
* (iii) additional-comment renamed comment-text
*
***************************************************************

* PUBLIC DTD URL

* http://www.wipo.int/standards/DTD/AuthorityFile_V2_0.dtd

********************************************************************************

********************************************************************************
* CONTACTS
********************************************************************************
[email protected]

Date draft created: 2018-09-19

-->
<!ELEMENT authority-file (authority-file-definition? , authority-file-entry+)>

<!ATTLIST authority-file country CDATA #REQUIRED

date-produced CDATA #REQUIRED >
<!ELEMENT authority-file-definition (exception-code-list | document-kind-code-list | most-recent-
document | data-coverage | comment-text | document-location-uri)+>

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Ref.: Standards – ST.37 page: 3.37.iv.2

<!ATTLIST authority-file-definition grouped-af-indicator (yes | no ) #REQUIRED

group-af-category (date |
publication-level |
document-kind ) #IMPLIED
update-af-category (full |
incremental |
differential ) #REQUIRED >

<!ELEMENT document-location-uri (#PCDATA)>

<!ELEMENT exception-code-list (exception-code-definition)+>

<!ELEMENT exception-code-definition (exception-code, exception-code-description)>

<!ELEMENT exception-code-description (#PCDATA)>

<!ELEMENT exception-code (#PCDATA)>

<!--
<!ATTLIST exception-code (C |
D |
E |
M |
N |
P |
R |
U |
W |
X )
#IMPLIED >
-->
<!ELEMENT document-kind-code-list (document-kind-code-definition)+>

<!ELEMENT document-kind-code-definition (kind, document-kind-code-description)+>

<!ELEMENT document-kind-code-description (#PCDATA)>

<!ELEMENT most-recent-document EMPTY>

<!ATTLIST most-recent-document publication-number CDATA #REQUIRED

publication-date CDATA #REQUIRED >
<!ELEMENT data-coverage (publication-date-range? , publication-number-range? , kind-code-coverage? ,
exception-code-coverage? , data-coverage-uri?)>

<!ELEMENT publication-date-range EMPTY>

<!ATTLIST publication-date-range start-date CDATA #REQUIRED

end-date CDATA #REQUIRED >
<!ELEMENT publication-number-range EMPTY>

<!ATTLIST publication-number-range begin-range-number CDATA #REQUIRED

end-range-number CDATA #REQUIRED >
<!ELEMENT kind-code-coverage (kind, document-total-quantity)*>

<!ELEMENT document-total-quantity (#PCDATA)>

<!ELEMENT exception-code-coverage (exception-code, document-total-quantity)*>

<!ELEMENT data-coverage-uri (#PCDATA)>

<!ELEMENT authority-file-entry (publication-reference , exception-code? , application-reference? ,

priority-claims?)>

<!ELEMENT publication-reference (document-id)>

<!-- document-id tag as defined in ST.36 -->

<!ELEMENT document-id (country , doc-number , kind? , date?)>

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Ref.: Standards – ST.37 page: 3.37.iv.3

<!--Two-letter alphabetic codes which represent the names of states, other entities
and intergovernmental organizations the legislation of which provides for the protection of
IP rights or which organizations are acting in the framework of a treaty in the field of IP. e.g.
"XX".
Always in upper case.-->
<!ELEMENT country (#PCDATA)>

<!--Doc-number: The number of the referenced patent (or application) document-->

<!ELEMENT doc-number (#PCDATA)>

<!--Document kind code; e.g., A1 (WIPO ST.16)-->

<!ELEMENT kind (#PCDATA)>

<!--Date: components of a date. Format: YYYYMMDD (WIPO ST.2)-->

<!ELEMENT date (#PCDATA)>

<!--Publication exception code; single-alphabetic letter code to indicate the reason why the
complete published document, for which the corresponding number is assigned, is not available:
C=Defective documents;
D= Documents deleted after the publication;
E=Publication number allocated by the IPO representing a PCT national/regional phase entry (for
example Euro-PCT). No corresponding document published. A Euro-PCT application is an international
(PCT) patent application that entered the European regional phase;
M=Missing published documents;
N=Not used publication number: e.g. publication numbers have been issued, but finally have not
been allocated to any publication;
P=Document available on paper only;
R=Reissued publications;
U=Unknown publication numbers: e.g. when during compilation of the authority file certain
publication number(s) has been found in the database, but the corresponding document(s) is(are)
missing without known cause. Typically this code can indicate a database error that requires further
analysis;
W=Applications (or patents) which were withdrawn before the publication;
this can include lapsed or ceased patents and might depend on national patent law
regulations;
X=Code available for individual or provisional use by an IPO;
-->

<!--Application reference information: application number, country.

In case of a filing reference, the kind code is empty and the date refers to the filing date.
-->
<!ELEMENT application-reference (country , doc-number , filing-date?)>

<!--Filing Date: components of a date. Format: YYYYMMDD (WIPO ST.2)-->

<!ELEMENT filing-date (#PCDATA)>

<!--Priority application identification (priority-claim)-->

<!ELEMENT priority-claims (priority-claim+)>

<!ELEMENT priority-claim (country , doc-number , kind , date)>

<!ATTLIST priority-claim sequence CDATA #REQUIRED

priority-claim-kind (national | regional | international ) #REQUIRED >

<!-- 1/07/2019 - Add CWS/7/17 for alignment with XSD <!ELEMENT additional-comment (#PCDATA)>-->
<!ELEMENT comment-text (#PCDATA)>

[Appendix to Annex IV follows]

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Ref.: Standards – ST.37 page: 3.37.iv.4

APPENDIX

The Appendix is available at:

https://www.wipo.int/standards/en/docs/st37-annexiv_appendix_V2_0.xml

[End of Annex IV and of Standard]

en / 03-37-iv Date: December 2020