ST.36 Page: 3.36.1

HANDBOOK ON INDUSTRIAL PROPERTY INFORMATION AND DOCUMENTATION

Ref.: Standards – ST.36

page: 3.36.1

STANDARD ST.36

Version 1.2
RECOMMENDATION FOR THE PROCESSING OF PATENT INFORMATION USING XML
(EXTENSIBLE MARKUP LANGUAGE)

Revision adopted by ST.36 Task Force of the Standards and Documentation
Working Group (SDWG) on November 23, 2007

TABLE OF CONTENTS

13

MEGA CONTENT

APPENDICES

The Appendices are available at: http://www.wipo.int/standards/en/xml_material/st36/)

ANNEX A: Model DTD (xx-patent-document.dtd) ANNEX B: Example XML document instance ANNEX C: International Common Elements (ICEs)

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STANDARD ST.36

Version 1.2
RECOMMENDATION FOR THE PROCESSING OF PATENT INFORMATION USING XML
(EXTENSIBLE MARKUP LANGUAGE)

Revision adopted by ST.36 Task Force of the Standards and Documentation
Working Group (SDWG) on November 23, 2007

INTRODUCTION 1. This Standard recommends the XML (eXtensible Markup Language) resources used for filing, processing, publication, and exchange of all types of patent information. It is based in large part on Patent Cooperation Treaty, Administrative Instructions, Part 7, Annex F, Appendix I (hereafter referred to as Annex F). The term “XML resources” is intended to refer to any of the components used to create and operate an XML implementation. Although XML resources normally encompasse style sheets, W3C Schemas, and other objects, this Standard presently includes only document type definitions (DTDs), content models, elements, and a small set of character entities. For further information about the W3C (World Wide Web Consortium), see http://www.w3c.org/.

2.

This Standard is an application of the Extensible Markup Language (XML) 1.1.

See: http://www.w3.org/TR/2004/REC-xml11-20040204/:

“The Extensible Markup Language (XML) is a subset of SGML that is completely described in this document. Its goal is to enable generic SGML to be served, received, and processed on the Web in the way that is now possible with HTML. XML has been designed for ease of implementation and for interoperability with both SGML and HTML.”

3.

The mark-up included in an XML instance that is in compliance with this Standard is an example of the

representation of the contents of a document using XML whereby “documents are made up of storage units called

entities, which contain either parsed or unparsed data. Parsed data is made up of characters, some of which form character data, and some of which form markup. Markup encodes a description of the document’s storage layout and logical structure. XML provides a mechanism to impose constraints on the storage layout and logical structure” (W3C).

4.

XML cannot be used per se as the basis for patent document processing – “This specification does not constrain

the semantics, use, or (beyond syntax) names of the element types and attributes ...” (W3C).

5.

Therefore, this Standard defines elements and their generic identifiers, or “tags”, and attributes for marking up

patent documents. That is, this Standard provides for some level of the semantics (meaning), the use, and the names of the elements and attributes that make up the various document types it discusses.

“ [Definition: Each XML document contains one or more elements, the boundaries of which are either delimited by start-tags and end-tags, or, for empty elements, by an empty-element tag. Each element has a type, identified by name, sometimes called its “generic identifier” (GI), and may have a set of attribute specifications.] Each attribute specification has a name and a value.” (W3C)

Note: For a complete description and definitions refer to the XML specification at http://www.w3.org/TR/2004/REC-

xml11-20040204/.

6.

The purpose of the Standard is to provide logical, system-independent structures for patent document processing,

whether for text or image data. That means that this Standard may be used in place of WIPO Standards ST.30, ST.32, ST.33, and ST.35 for filing, processing, publishing, and exchanging bibliographic data, abstracts, or full text of all patent document types. This Standard provides XML resources for the following data:

(a)

Full or partial text of patent documents, including bibliographic data, recorded as character coded-data.

(b)

Whole pages of documents represented as one image (page images) irrespective of their content

(bibliographic data, text, or images).

(c)

Data, within full-text documents, which cannot be recorded as character-coded data, such as drawings,

chemical formulae, especially complex tables (so-called embedded images).

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7.

XML instances that conform to this Standard must be well-formed XML, conforming to one of the document type

definitions (DTDs) contained in Annex F or to an office-specific DTD that itself conforms to this Standard. A DTD that conforms to this Standard must be built from the elements according to the guidelines in this Standard. Annex F DTDs are published at http://www.wipo.int/pct-safe/epct/xml_canon.htm, where the DTDs will be updated as soon as any modification is approved. Once an updated DTD appears at the Web site, it is available for official use.

DEFINITIONS

8.

For the purposes of this Standard, the following definitions are given:

(a) The expression patent document includes patents for invention, plant patents, design patents, utility certificates, utility models, documents of addition thereto, published applications and specifications, document types related to the prosecution of patents, including post-grant activities, property-rights maintenance, and all office-toapplicant and office-to-office communications.

(b)

Markup is defined as text that is added to the content of a document and that describes the structure and

other attributes of the document in a non-system-specific manner, independently of any processing that may be performed on it.

(c)

For other definitions see the XML specification at http://www.w3c.org/TR/2004/REC-xml11-20040204/.

SCOPE OF THE STANDARD

9.

Although the DTDs referenced in Annex F were designed for use under the Patent Cooperation Treaty, it is the

ambition of this Standard that they should be used by all patent offices for electronic filing. The model DTD which is reproduced as Annex A to the Standard is intended to guide the use of the international common elements (ICEs) for publishing patent documents. As the Standard evolves, other DTDs may be added to the list below.

Industry-standard DTDs Incorporated by Reference

mathml2.dtd soextblx.dtd (also referenced as calstblx.dtd)

10.

Some Annex F DTDs are also listed below with their corresponding business process as an illustration of their

intended use. The table is only a guide to the possible use of these DTDs in the patent business process; different offices may have different needs.

Business Process
DTD name

ꢀ

amendment-request application-body bio-deposit declaration demand

ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀꢀꢀꢀ
ꢀ
ꢀꢀ

dispatch

ꢀꢀ

fee-sheet iprp

ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ

package-data pkgheader power-of-attorney priority-doc request

ꢀꢀ
ꢀ

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Business Process
DTD name

ꢀ

ꢀ ꢀ

search-report

ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ ꢀ
ꢀ ꢀ ꢀ

table-entity xmit-receipt xx-patent-document

REQUIREMENTS OF THE STANDARD

General

11.

ICEs are the foundation of this Standard. ICEs are derived from Annex F, WIPO Standard ST.32, and other

sources. See http://www.wipo.int/standards/en/xml_material/st36/index.html.

12.

ICEs must be used as defined in this Standard, that is, they must have the same name, the same contents, the

same attributes and the same meaning as indicated in the list of ICEs. It is understood that this Standard and Annex F cannot possibly include all elements required by all patent offices; in such instances, office-specific elements are allowed as described below.

13.

Office-specific information may be treated as follows.

(a)

Segregated in a separate DTD referenced, for example, from the requestDTD by the office-

specific-dataelement (recommended).

(b)
Included directly within the office-specific-dataelement, in which case the element may be changed from empty to include #PCDATA or other content models as needed; and add the two-letter country code

prefix to office-specific-data. For example, wo-office-specific-data. The content model of

office-specific-datamust not be modified without adding the office prefix.

(c)

Use the XML namespace convention. XML namespaces provide a simple method for qualifying element

and attribute names used in XML documents by associating them with namespaces identified by URI (universal resource identifier) references. (see: http://www.w3.org/TR/REC-xml-names/ )

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(d)

Mix office-specific elements with international common elements. For example, in the publishing DTD

fragment below, office-specific elements are added to the content model of the related-documentselement. For further details, see DTD Conventions below.

14.

At a higher level this data may be included in separate documents referenced from the package-dataDTD

by the other-documentselement. The DTDs or tags referenced by the office-specific-dataor other-documents are entirely under the control of the responsible office.

15.

The name of office-specific DTDs and/or elements shall begin with the ST.3 two-letter country code of the

corresponding office, followed by a separator (hyphen or colon) and the name of the entity. Any other names will be understood as being international (generic) DTDs or elements. Therefore, it is advised to restrict the use of names that begin with a two-letter word to only those that represent a valid country code. For example, requestbecomes eprequestwhen modified for use by the EPO, both for the DTD file name and for the root element.

16.

For filing interoperability among patent offices, it is necessary to use the following DTDs as defined in Annex F,

and not any office-specific alternatives: application-body, table-external, pdoc-

certificate, package-header, package-data, and xmit-receipt.

17.

Where instances contain office-specific elements and/or reference office-specific DTDs the issuing authority shall

provide constructive notice to other offices and users containing information about the content and meaning of those elements and/or DTDs. Such notice should be given at a readily available web site maintained by the office or at WIPO’s web site. The notice should include the DTDs and a complete description of each of the elements.

Characters

18.

Although XML permits other character encodings, this Standard recommends Unicode exclusively. It may be

useful to add character entities for characters not yet in Unicode, such as those listed in wipo.ent(located at http://www.wipo.int/pct-safe/epct/xml_canon.htm). This entity file provides general entity names that can be used in instances in place of the code points from the encodings that they are mapped to in wipo.ent. Use of these entities requires the creation of glyphs for presentation, which do not yet exist. See

http://www.w3.org/XML/Core/2002/10/charents-20021023 for further information about character entities.

19.

Document instances must include an XML declaration as the first line in the file.

<?xml version=‘1.1’ encoding=‘utf-8’ ?>

20.

Note that only UTF-8 is recommended in this Standard. However, in the case of ideographic scripts, Unicode in

UTF-8 may produce exceptionally large files since the encoding may use up to four’ bytes per character. In such cases, national offices may select an encoding that brings files to manageable sizes. Offices that elect to do so, should be prepared to consult with their exchange partners and to give adequate public notice.

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21.

The characters that are permitted to appear in an XML document are specified in the XML 1.1 W3C

Recommendation, and are endorsed by this Standard with the following exception. The characters used in element or attribute names described in this Standard are restricted to the following set:

{abcdefghijklmnopqrstuvwxyz1234567890-}.

22.

Offices are strongly encouraged to create document instances for publication and exchange that have been

“normalized” in accord with the Character Model for the World Wide Web (http://www.w3.org/TR/2003/WD-charmod-

20030822/). Parsers that support XML 1.1 can be used to test for normalization. Doing so will significantly improve the consistency of sorting and string comparison operations by ensuring that certain character encoding options available in Unicode will have been applied consistently throughout the international patent community.

Naming international common elements

23. 24. 25.
All element names should be words from the English language. Where more than one word is required for an element name, the words shall be separated by a hyphen ( - ). Element names in this Standard use the Latin alphabet only, limited to the following set of characters:
{abcdefghijklmnopqrstuvwxyz1234567890-}. Accented characters and uppercase characters are not used. For historical reasons, the element names in the element SDOBI derived from Standard ST.32 retain their uppercase B and other uppercase element names.

26.

Names shall be descriptive, not mnemonic or abbreviated, as far as practical. The goal should be that anyone

can understand the meaning of the element name with little or no reference to any other documentation. Some notable exceptions include the most common elements used in a patent application, such as pfor paragraph and others derived from, for example, HTML, and some other widely-used formatting elements (for example, study the applicationbodyDTD). It is unlikely that any further exceptions will be required.