XML Standardization: Progress Report on WIPO Standards USPTO

1. XML Standardization: Progress Report on WIPO Standards USPTO May 12, 2014 CWS – Fourth Session

2. ST.36 Status • Patent Application Publication and Patent Grant Publication • USPTO continues to publish in ST.36 format and no end date has yet been determined • The USPTO continues to make modifications to its implementation of ST.36, known as Red Book. For example, changes were made to bibliographic data due to the following: • The Hague Agreement, which will be implemented in January 2015

3. ST.96 Status: Support to the IB • USPTO supports the IB in reviewing, updating, and/or creating WIPO ST.96 Resources for every new publication • ST.96 Annexes • ST.96 Annex I: XML Design Rules and Conventions • ST.96 Annex II: IP Data Dictionary • ST.96 Annex III: IP XML Schemas • ST.96 Annex IV: XML Schema Technical Specification • ST.96 Annex V: Implementation Rules and Guidelines • ST.96 Annex VI: Transformation Rules and Guidelines • ST.96 Main Body

4. ST.96 Status: Cont’dSupport to the IB • USPTO supports IB to update the Schematron based on V1_0_D6 DRC and then works with other IPOs to test • Schematron: is an ISO/IEC standard and is a rule-based validation language for making assertions about the presence or absence of patterns in XML schemas. • Validates whether an IPO’s implementation schema follows the XML Design Rules and Conventions of ST.96. • Identifies enforceability status because not all rules are enforceable by the Schematron. • The report identifies the components not conforming to the rules, along with details of the non-conformance, as well as, identifies the components that must be assessed manually • Current Schematron Update to include the changes to the Design Rules and Conventions (Annex 1) is In Progress • Once Schematron Update is Complete, the Schematron will be provided to the Task Force members for testing their Implementation Schemas.

5. ST.96 Status: Cont’d Patent End-to-End Initiative • Patent End To End (PE2E) Phase III • Currently use WIPO ST.96 version 1.0 D6 to create the following document-level schemas: • Claims Document • Description (Specification) • Incoming Document from applicants, inventors, and other parties • Outgoing Document from USPTO to external parties • Added markup for Forms within the Incoming and Outgoing Document-level schemas for the Office Action prototype.

6. ST.96 Status Cont’dPatent End-to-End Initiative • Patent Application Publication and Patent Grant Publication based on ST.96 • Current focus is on supporting Examination • Publication based on ST.96 is unknown at this time • Published Patent Information available in Bulk • New project that will start this year • CPC classification data product expected this year • Office Action Prototype • Includes ST.96 markup of some PCT Forms

7. ST.96 Status Cont’dTrademark Next Generation Initiative • Trademark Next Generation • Trademark Status and Documents Retrieval (TSDR) implemented version 1.0 D3 • Electronic Official Gazette (eOG) implemented version 1.0 D3 • Electronic Filing (eFILE) • Scheduled to start development Spring 2014 with a staged deployment occurring over several (probably 3) years. • Includes 60+ Forms • Internal system will be using JSON based on ST.96 • Data Exchange will be using version 1.0 D6

8. Thank You!