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STANDARD ST.37
RECOMMENDATION FOR AN AUTHORITY FILE OF PUBLISHED PATENT DOCUMENTS
Version 2.2
Revision approved by the Committee on WIPO Standards (CWS)
at its ninth session on November 5, 2021
Editorial Note by the International Bureau
Annexes III and IV to the present Standard, w hich define XML schema (XSD) and Data Type Definition (DTD), areunder preparation by the 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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STANDARD ST.37
RECOMMENDATION FOR AN AUTHORITY FILE OF PUBLISHED PATENT DOCUMENTS
Version 2.2
Revision approved by the Committee on WIPO Standards (CWS)
at its ninth session on November 5, 2021
INTRODUCTION
1.
This Standard defines data elements to constitute an authority file of patent documents, as w ell as its structureand format.
2.
The primary purpose of the authority file generated by an industrial property office (IPO) is to allow other IPOs andother interested parties to assess the completeness of the available patent documentation. An authority file may also be
used to capture bibliographic information for patents w hich form part of the PCT Minimum Documentation set 1.
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 w hich no published document is available – this can be the case forapplications w ithdrawn shortly before the publication or for destroyed documents – as w ell 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 netw ork, etc.); and(c) according to certain national industrial property law s 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 w hichnormally 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 follow ing Standards are of relevance to this Recommendation:

WIPO Standard ST.1

Recommendation Concerning the Minimum Data Elements Required to Uniquely Identify aPatent Document

WIPO Standard ST.2

Standard Manner for Designating Calendar Dates by Using the Gregorian Calendar

WIPO Standard ST.3

Recommended Standard on Tw o–Letter Codes for the Representation of States, Other
Entities and Intergovernmental Organizations

WIPO Standard ST.6

Recommendation for the Numbering of Published Patent Documents

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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)

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 thefirst publication onw ards. It should also include document numbers w hich were allocated but for which no publisheddocument is available (see paragraphs 23 to 26 below ).
7.
For practical reasons, an authority file may not include documents published during a certain period (not longer than
tw o months) before the date w hen the authority file was generated by the IPO. This period depends on the document
processing practices of the Office and, should an IPO submit a definition file as laid dow n in paragraphs 36 and 37 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 follow ing minimum data elements to uniquely identify all
types of patent documents as originally published by the IPO:(a) tw o-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 follow ing data elements:(a) publication exception code (for example to identify w ithdrawn or missing documents);(b) priority application identification of the corresponding publication, w hich should contain the follow ing subelements:i.

tw o-letter alphabetic code of the IPO publishing the priority application;ii.

priority application number;iii.

kind-of-document code of the priority application; andiv.

filing date of the priority application.

(c) application identification of the corresponding publication, w hich should contain the follow ing sub-elements:i.

tw o-letter alphabetic code of the IPO publishing the application;ii.

application number; andiii.

filing date.

(d) indication of w hether the abstract, description, claims of a publication are text-searchable, through selection of
one of the follow ing codes:
“N” – Not available“U” – Unknow ntw o-letter language code(s) in w hich the searchable text is available, either in the original language or as
an official translation

10.
Publication exception code (as per paragraph 9(a) above) should be alw ays included for the documents, for which
the complete publication in machine-readable form is not available (see paragraphs 23 to 26 below ). Otherwise, the data
element “publication exception code” should not be populated.

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11.
The provision of the optional data elements indicated in paragraphs 9(b) to 9(d) above remains w ithin the discretionof 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.

Publication authority
16.
The tw o-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 f rom the publication number, w hile generally the publication number should be
follow ing the recommendations of WIPO Standard ST.6.
Kind code
18.
Different kinds of patent documents should be identified follow ing 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 ofsuch codes should be provided in the definition file (see paragraphs 36 and 37 below ).
19.
If no kind of patent document code w as allocated or it is unknow n, the corresponding data element “kind code” may
not be populated.
Language code
20.
The tw o-letter code which identifies the language that the text is provided in should follow the recommendations of
WIPO Standard ST.96, ExtendedISOLanguageCodeType, w hich is based on International Standard ISO 639-1 “Codes forthe representation of names of languages – Part 1: Alpha2-code”;
Publication date21.
The publication date should be presented in accordance with paragraph 7(a) of WIPO Standard ST.2. For example,‘20170602’ for ‘June 2, 2017’.
22.
If the publication date is unknow n to the IPO generating the authority file, the corresponding data element“publication date” may not be populated.
Publication exception code
23.
The publication exception code should be used for publication numbers for w hich the complete publication is notavailable in machine-readable form.
24.
The follow ing single–alphabetic letter codes should be used to indicate the reason w hy the complete publisheddocument, for w hich the corresponding number is assigned, is not available:
C
D
E
M
N

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Defective documents.
Documents deleted after the publication.
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 isan international (PCT) patent application that entered the European regional phase.
Missing published documents.
Not used publication number,

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P
R
U

W
X

page: 3.37.5

for example, w hen publication numbers have been issued, but for some reason have notbeen allocated to any publication. See also paragraph 26 below .
Documents available on paper only.
Reissued publications.
Unknow n publication numbers.
For example, w hen during compilation of the authority file certain publication numbers havebeen found in the database, but the corresponding documents are missing w ithout known
cause. Typically this code can indicate a database error that requires further analysis.
Applications (or patents), which were withdrawn before the publication;
this can include lapsed or ceased patents and might depend on national patent law
regulations.
Code available for individual or provisional use by an IPO.

25.
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, w hich were not used.
26.

The use of codes “N”, “W” and “X” should be described in the definition file (see paragraphs 36 and 37 below ).

Priority application identification
27.
The recommendations for data elements, as indicated in paragraphs 16 to 22 above, should be appliedmutatis mutandis to all sub-elements of “priority application identification” element.
28.
Priority application numbers should be indicated in accordance with paragr aphs 12 and 13 of WIPO Standard
ST.10/C.
Application Identification
29.
The recommendations for data elements, as indicated in paragraphs 16 to 22 above, should be applied mutatis
mutandis to all sub-elements of “application identification” element.
30.
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.
Availability of a publication in a text-searchable format
31.
The availability of the abstract, description and/or, claims of a publication in a text-searchable format may be
indicated in the authority file using the appropriate codes.
32.
The availability in text-searchable format of each section of a publication must be identified in the authority file w ith acode “N” for Not available, or a “U” for Unknow n (availability) or the tw o-letter language code(s) for each corresponding
language made available by the Office, either as the original language or an official translation.
RECOMMENDED STRUCTURE AND FORMAT OF THE AUTHORITY FILE
33.

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

34.
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 follow ing 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).
35.
To improve file handling, IPO may generate an update file w hich includes data for the current year and the lastcalendar year and a static file including all older data.

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Definition File36.
If some of the records included in the authority file contain information, w hich is not evident or easily understandable,
it is recommended to provide a definition file in addition to the authority file. For example, in the def inition 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);(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; and(f)describe the codes used to indicate the availability of sections of the publication in text-searchable format.

37.
To assist other IPOs and interested parties in a first assessment of the completeness of the available patentdocumentation, the definition file may also include an overview of the data coverage, for example indicate the number ofpublications 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
38.
The file must be encoded using Unicode UTF-8.
39.
With the aim to harmonize, as much as possible, the current practices to exchange and parsing of authority files, twofile formats are recommended:(a) XML (eXtensible Markup Language) format – to identify the content of data fields of an authority file (seeparagraphs 8 and 9 above) using XML tags w ithin 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, w here the elements are separated by commas(preferred), tabs or semicolons and a “Carriage Return and Line Feed” (CRLF character) to represent the end ofeach record (as defined in Annex II). Text files are smaller in size than XML files.
40.
XML is the preferred format for the purpose of this Standard, as it provides clear data element contents and allow s
automatic validation of its structure and type. IPOs may use text format for simple authority files, w hich contain minimum
data elements (as per paragraph 8 above) and, if applicable, publication exception code only; the content of each data fieldshould be obvious.
File name
41.
The name of the authority file generated by an IPO should be structured as follows:(a) for a single file (see paragraph 33 above) – CC_AF_YYYYMMDD, w here “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 34 above) CC_AF_{criterion information}_KofN_YYYYMMDD,
w here “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 thegeneration 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 tw o parts of the authority file generated by the EPO on
March 27, 2016, this part covers granted patents only.

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page: 3.37.7(c) for the instance w here multiple files are provided, and each covers a different time period, please refer to thetable below for an example of recommended file naming:
CC_AF_gazetteNNXXXX_YYYYMMDD.ff
CC_AF_yearXXXX_YYYYMMDD.ff
CC_AF_YYYYMMDD.ff
CC_AF.zip

contains the authority file for publication NNXXXX w here
NN is the w eek number, XXXX is the year and ff is thefile format (XML or TXT)
contains the authority file for the year XXXX
contains the authority file w ith file format ff
A zipped file w hich contains the three files above

IMPLEMENTATION OF THE AUTHORITY FILE
42.
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.
43.
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.
44.
It is recommended that IPOs generate and make available authority files covering all assigned document numbers,
no later than tw o months after the last covered publication date. For example, an authority file w ith data coverage until theend of 2017 should be made available before March 1, 2018.
45.

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

[Annex I follow s]

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ANNEX IEXAMPLE OF A DEFINITION FILE
Version 2.2

Revision approved by the Committee on WIPO Standards (CWS)
at its ninth session on November 5, 2021
DEFINITION FILE FOR XX AUTHORITY FILE
This definition file relates to the follow ing 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
Patent Application
Patent Application
Patent Granted
Utility Model Application
Utility Model Examined

Kind Code
A1
A2
B1
U
Y1

Total
125.568
96.430144.879
24.33218.445

A detailed (annual) data-coverage can be found online at http://www.XX-office.org/coverage.
Used options
Application information is provided w here available
Priority data not included
Availability of abstract, description and claims of the publication in text-searchable format is provided
Publication Exception Codes used are the follow ing:
Publication Exception Code
D
E
M
R
U
X
W

Definition
Documents deleted after the publication.
PCT applications w hich have not been republished
Missing published documents
Reissued publications
Unknow n publication numbers
Bibliographic details of filed patent applications, as announced in the Gazettepublished by the office
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 w ith
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 follow s]
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ANNEX IITEXT FILE (TXT)
Version 2.2

Revision approved by the Committee on WIPO Standards (CWS)
at its ninth session on November 5, 2021

1.
The authority file text structure lists the minimum data elements, the optional publication exception code element,
and the optional text-searchable abstract, description and claims indication code elements (see paragraphs 8 and 9 of Main
Body) for each publication record in one line, separated by a comma (preferred), tab or semicolon and a “Carriage Returnand 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>,<searchable abstract code (language codes or N or U )>, <searchable description code(language codes or N or U )>, <searchable claims code (language codes or N or U )> <CRLF>.
3.
The codes “N” and “U” in the elements <searchable description code>, <searchable claims code> <searchable
abstract code> mean “Not available” and “Unknow n”, respectively. The codes “language code”, “N” and “U” are represented
as a suffix of the corresponding element of the publication using one of the follow ing options, following by a dash:
i.
ii.
iii.

ABST - Abstract
DESC - Description
CLMS - Claims

If there are multiple languages available for these elements, the language indications must be separated by spaces insteadof the separator referred to in paragraph 1 above. For example: ABST-en ABST-de ABST-fr, DESC-N, CLMS-N
4.
This first example illustrates an authority file, produced w ith only the mandatory elements, represented using a TXT
structure with comma separators:…
UA,1,C2,1993-04-30 <CRLF>
UA,1,U,1995-06-30 <CRLF>
UA,2,C2,1993-04-30 <CRLF>
UA,2,U,1995-06-30 <CRLF>
UA,3,C2,1993-04-30 <CRLF>
5.
This second example illustrates an authority file, produced w ith the optional text-searchable abstract, description andclaims indication code elements again represented using a TXT structure where the data elements are separated by acomma:...
EP,2363052,A1,20110907,W, ABST-U, DESC-U, CLMS-U <CRLF>
EP,2363053,A2,20110907,M, ABST-en, DESC-N, DESC-N<CRLF>
EP,2540632,A1,20130102,P, ABST-N, DESC-N, CLMS-N<CRLF>
EP,2540632,B1,20151202, , ABST-en ABST-fr ABST-de, DESC-en, CLMS-en<CRLF>[Annex III follow s]

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ANNEX IIIXML SCHEMA DEFINITION (XSD) FOR AUTHORITY FILE
Version 2.2

Revision approved by the Committee on WIPO Standards (CWS)
at its ninth session on November 5, 2021

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_2"><xsd:import namespace="http://www.wipo.int/standards/XMLSchema/ST96/Patent"
schemaLocation="http://www.wipo.int/standards/XMLSchema/AFPatent/V2_1/ST96_Patent_V4_0.xsd"/><xsd:import namespace="http://www.wipo.int/standards/XMLSchema/ST96/Common"
schemaLocation="http://www.wipo.int/standards/XMLSchema/AFPatent/V2_1/ST96_Common_V4_0.xsd"/><xsd:annotation><xsd:appinfo><com:SchemaLastModifiedDate>2021-11-05</com:SchemaLastModifiedDate><com:SchemaContactPoint>xml.standards@wipo.int</com:SchemaContactPoint><com:SchemaReleaseNoteURL>http://www.wipo.int/standards/XMLSchema/AFPatent/V2_2/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 patentoffices 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:KindCodeCoverageBag" minOccurs="0"/><xsd:element ref="afp:ExceptionCodeCoverageBag" minOccurs="0"/>en / 03-37-iii

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page: 3.37.iii.2<xsd:element ref="com:DataCoverageURI" minOccurs="0"/></xsd:sequence></xsd:complexType><xsd:element name="AuthorityFileDefinition" type="afp:AuthorityFileDefinitionType"><xsd:annotation><xsd:documentation>Provide definition file information relating to thisassociated 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 touniquely identify a patent publication according to WIPO ST.37 </xsd:documentation></xsd:annotation></xsd:element><xsd:element name="SearchableDescriptionCode" type="afp:TextSearchableCodeType"><xsd:annotation><xsd:documentation>A code which indicates the language of the description
if a text-searchable description is available, or otherwise the code values N (notavailable) or U (unknown) </xsd:documentation></xsd:annotation></xsd:element><xsd:complexType name="TextSearchableCodeType"><xsd:choice><xsd:element ref="afp:NotSearchableCode"/><xsd:element ref="afp:SearchableLanguageCode" minOccurs="1"
maxOccurs="unbounded"/></xsd:choice><xsd:attribute ref="com:id"/></xsd:complexType><xsd:element name="NotSearchableCode" type="afp:NotSearchableCodeType"><xsd:annotation><xsd:documentation>Where the text is not available, the indicator is thecode N if the information is not available or the code U if it is unknown whether thisinformation is available</xsd:documentation></xsd:annotation></xsd:element><xsd:element name="SearchableLanguageCode " type="com:ISOLanguageCodeType"><xsd:annotation><xsd:documentation> A two-letter language code indicates, for searchable
text, the language made available by the Office either as the original language or an
official language</xsd:documentation></xsd:annotation></xsd:element><xsd:element name="SearchableClaimsCode" type="afp:TextSearchableCodeType"><xsd:annotation><xsd:documentation>A code which indicates the language of the claims if atext-searchable claims is available, or otherwise the code values N (not available) or U
(unknown) </xsd:documentation></xsd:annotation></xsd:element><xsd:element name="SearchableAbstractCode" type=" afp:TextSearchableCodeType"><xsd:annotation>en / 03-37-iii

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page: 3.37.iii.3<xsd:documentation>A code which indicates the language of the abstract if atext-searchable abstract is available, or otherwise the code values N (not available) or U
(unknown) as defined in WIPO ST.37 </xsd:documentation></xsd:annotation></xsd:element><xsd:simpleType name="NotSearchableCodeType"><xsd:restriction base="xsd:token"><xsd:enumeration value="N"><xsd:annotation><xsd:documentation>Not available</xsd:documentation></xsd:annotation></xsd:enumeration><xsd:enumeration value="U"><xsd:annotation><xsd:documentation>Unknown if available</xsd:documentation></xsd:annotation></xsd:enumeration></xsd:restriction></xsd:simpleType><xsd:complexType name="AuthorityFileEntryType"><xsd:sequence><xsd:element ref="pat:PatentPublicationIdentification"/><xsd:element ref="afp:ExceptionCode" minOccurs="0"/><xsd:element ref="pat:ApplicationIdentification" minOccurs="0"/><xsd:element ref="pat:PriorityApplicationIdentificationBag" minOccurs="0"/><xsd:element ref="afp:SearchableAbstractCode" minOccurs="0" maxOccurs="1"/><xsd:element ref="afp:SearchableDescriptionCode" minOccurs="0"
maxOccurs="1"/><xsd:element ref="afp:SearchableClaimsCode" minOccurs="0" maxOccurs="1"/></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:attribute name="groupedAFIndicator" type="xsd:boolean"><xsd:annotation><xsd:documentation>Indicates that the authority file has been grouped, ornot, according to one of the defined categories</xsd:documentation></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><xsd:element ref="afp:ExceptionCode"/>en / 03-37-iii

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page: 3.37.iii.4<xsd:element ref="com:DocumentTotalQuantity"/></xsd:sequence></xsd:complexType><xsd:element name="ExceptionCodeCoverageBag" type="afp:ExceptionCodeCoverageBagType"><xsd:annotation><xsd:documentation>Collection of data coverage summary by exception
code</xsd:documentation></xsd:annotation></xsd:element><xsd:complexType name="ExceptionCodeCoverageBagType"><xsd:sequence maxOccurs="unbounded"><xsd:element ref="afp:ExceptionCodeCoverage"/></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 fromdefinitions 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"><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 applicationthat entered the European regional phase</xsd:documentation></xsd:annotation>en / 03-37-iii

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page: 3.37.iii.5</xsd:enumeration><xsd:enumeration value="M"><xsd:annotation><xsd:documentation>Published document ismissing</xsd:documentation></xsd:annotation></xsd:enumeration><xsd:enumeration value="N"><xsd:annotation><xsd:documentation>This code is for Office internal-use and thecode 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 indicate 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 thecode description for 'W' 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 groupedi.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></xsd:annotation></xsd:enumeration><xsd:enumeration value="publication-level"><xsd:annotation><xsd:documentation>Publication level</xsd:documentation>en / 03-37-iii

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page: 3.37.iii.6</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><xsd:element ref="com:PatentDocumentKindCode"/><xsd:element ref="com:DocumentTotalQuantity"/></xsd:sequence></xsd:complexType><xsd:element name="KindCodeCoverageBag" type="afp:KindCodeCoverageBagType"><xsd:annotation><xsd:documentation>Collection of data coverage summary by kindcode</xsd:documentation></xsd:annotation></xsd:element><xsd:complexType name="KindCodeCoverageBagType"><xsd:sequence maxOccurs="unbounded"><xsd:element ref="afp:KindCodeCoverage"/></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:attribute name="st37Version" type="xsd:token" fixed="V2_2"><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 follow s]

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page: 3.37.iii.7

APPENDIX

The Appendix is available at:https://www.wipo.int/standards/en/st37/annexIII_appendix_V2_2.xml[Annex IV follow s]

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page: 3.37.iv.1

ANNEX IV
DOCUMENT TYPE DEFINITION (DTD) FOR AUTHORITY FILE
Version 2.2
Revision approved by the Committee on WIPO Standards (CWS)
at its ninth session on November 5, 2021
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 2.20//EN" "AuthorityFile_V2_2.dtd"******************************************************************************************************************************************************************************* 2021-08-24: Revision of the main body, annexes and appendixes of ST.37 approved by theCommittee on WIPO Standards (CWS) at its ninth session comprising :* (i) added elements: <searchable-abstract-code?>, <searchable-description-code?>,<searchable-claims-code?>* (ii) added attributes @code to be used with <not-searchable-indicator>, referenced byelements listed in (i)* (iii) added element <searchable-language-code>, referenced by the elements listed in (i)* (iii) changed values of grouped-af-indicator to 'true' and 'false' which are true boolean
values** 2019-07-02: Revision of Annex IV was approved by the Committee on WIPO Standards (CWS) at
its seventh session comprising:* (i) group-category renamed grouped-af-indicator and is now a list of values 'yes' an d'no'
* (ii) backup-category renamed update-af-category* (iii) additional-comment renamed comment-text** 2018-10-19: Revision of Annex IV was approved by the Committee on WIPO Standards (CWS) at
its sixth session.
* **************************************************************** PUBLIC DTD URL* http://www.wipo.int/standards/dtd/ST37PatentAuthorityFile_V2_2.dtd***************************************************************************************************************************************************************** CONTACTS********************************************************************************
xml.standards@wipo.int

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Date first draft created: 2018-09-19
Date last modified: 2021-08-24--><!ELEMENT authority-file (authority-file-definition? , authority-file-entry+)><!ATTLIST authority-filecountry
CDATA #REQUIRED
date-produced CDATA #REQUIRED ><!ELEMENT authority-file-definition (exception-code-list | document-kind-code-list | mostrecent-document | data-coverage | comment-text | document-location-uri)+><!ATTLIST authority-file-definitiongrouped-af-indicator (yes | no ) #REQUIREDgroup-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)><!--Publication exception code; single-alphabetic letter code to indicate the reason why
the complete published document, for which the corresponding number is assigned, is notavailable:
C=Defective documents;
D= Documents deleted after the publication;
E=Publication number allocated by the IPO representing a PCT national/regional phaseentry (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 finallyhave 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 filecertain 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;--><!ELEMENT exception-code (#PCDATA)>--><!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-codecoverage? , exception-code-coverage? , data-coverage-uri?)><!ELEMENT publication-date-range EMPTY>
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page: 3.37.iv.3<!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? , applicationreference? , priority-claims?, searchable-abstract-code?, searchable-description-code?,
searchable-claims-code?)><!ELEMENT publication-reference (document-id)><!-- document-id tag as defined in ST.36 --><!ELEMENT document-id (country , doc-number , kind? , date?)><!--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)><!--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 ><!ELEMENT comment-text (#PCDATA)><!-- Series of two-letter language codes that indicate, for searchable description,
abstract and claim text, the language made available by the Office either as the original
language or an official translation or alternatively 'N' if this text is not searchable or'U' if it is unknown whether this text is searchable and the language it is available inen / 03-37-iv

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page: 3.37.iv.4

<!ELEMENT searchable-abstract-code (not-searchable-code | searchable-language-code+)><!ELEMENT searchable-description-code (not-searchable-code| searchable-language-code+)><!ELEMENT searchable-claims-code (not-searchable-code | searchable-language-code+)><!ELEMENT not-searchable-code EMPTY ><!-- N means the information is not available and U indicates that it is unknown whether
this information is available or not--><!ATTLIST not-searchable-code code (N | U) #REQUIRED><!-- WIPO ST.96 language code, e.g., en, de, ja, etc.--><!ELEMENT searchable-language-code (#PCDATA)>[Appendix to Annex IV follow s]

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page: 3.37.iv.5

APPENDIX

The Appendix is available at:
http://www.wipo.int/standards/en/st37/annexiv_appendix_V2_2.xml[End of Annex IV and of Standard]en / 03-37-iv

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