Commissioner for Patents
COMMISSIONER FOR PATENTS
And Reporting Offices:
COMMISSIONER FOR PATENTS
Inventor Assistance Program
DEPUTY COMMISSIONER FOR PATENT EXAMINATION POLICY
Office of Patent Legal Administration
Office of Patent Cooperation Treaty (PCT) Legal Administration
DEPUTY COMMISSIONER FOR PATENT OPERATIONS
Patent Examining Groups
Office of Initial Patent Examination
Technology Center (P/3600) -- Licensing and Review
Office of Patent Publication
DEPUTY COMMISSIONER FOR PATENT RESOURCES AND PLANNING
Search and Information Resources Administration
COMMISSIONER FOR PATENTS
And Reporting Offices (continued):
Scientific and Technical Information Center
Office of Patent Classification
Office of Patent Automation
USPTO Comprehensive Records Schedule
Section 4 - COMMISSIONER FOR PATENTS
Reference Index
Index # Series Title Disposition Authority
COMMISSIONER FOR PATENTS
1 Abandoned Applications N1-241-96-3:7
2 Chron or Reading File Nonrecord
3 Committees/Boards/Councils File GRS 26, 1a
4 Committees/Boards/Councils File GRS 26, 1b
5 Conferences File GRS 16, 8b(1)
6 Electronic Filing System (EFS) N1-241-01-4:1
7 Equal Employment Opportunity (EEO) File GRS 1, 25g
8 General Office Subject Files - (Direct Reports General Administration) N1-241-05-1:8a (Previously N1-241-
96-3:2)
9 Individual Grievance File GRS 1, 30a
10 Inventors File Nonrecord
11 Labor Management Relations File GRS 1, 28a(1)
12 Management Councils and Committees Supporting Documentation N1-241-05-1:8c (Previously N1-241-
96-3:6)
13 Meeting File GRS 16, 8b
14 Office of Commissioner for Patents Program and Policy Subject Files N1-241-96-3:1
15 Patent Application and Location Monitoring System (PALM) EXPO N1-241-96-5:59
16 Patent Application Capture and Review System (PACR) N1-241-01-05:1
17 Patent Case Files N1-241-96-3:4
18 Patent Office Professional Association (POPA) Negotiations File GRS 1, 28a(2)
19 Rule 62 Continuing Applications N1-241-96-3:5
20 Statutory Invention Registration (preceded by Defensive Publication Files) N1-241-96-3:6
Inventor Assistance Program
21 Complaints Received by the USPTO N1-241-01:7
DEPUTY COMMISSIONER FOR PATENT EXAMINATION POLICY
22 Manual of Patent Examining Procedure N1-241-96-7:24
23 USPTO Non-Core Products and Publications (Extra Copies) N1-241-05-2:3 (Previously N1-241-96-
7:24b)
Office of Patent Legal Administration
24 Decisions Mailed Files Nonrecord
25 General Correspondence Files GRS 14, 1
Index # Series Title Disposition Authority
Office of Patent Legal Administration (Cont.)
26 Notices Published in the Official Gazette and the Federal Register Nonrecord
27 Office of Petitions Subject File Nonrecord
28 Patent Term Extension Petition Files N1-241-96-7:3
29 Petitions Database GRS 20, 4
30 Petitions Database Coding Sheet GRS 20, 2a
31 Rule Making Project Files N1-241-96-7:2
Office of Patent Cooperation Treaty (PCT) Legal Administration
32 Article 20 Papers N1-241-96-3:44
33 Communication In Cases For Which No Other Form Is Available N1-241-96-3:54
34 Employee Daily Production Worksheet GRS 20, 2a
35 Employee Daily/Weekly Reporting Sheet GRS 20, 2a
36 European Patent Office Correspondence Files N1-241-96-3:50
37 General Power of Attorney Files N1-241-96-3:48
38 International Applications (Home Copy) File N1-241-96-3:45
39 International Applications (Search Copy) File N1-241-96-3:46
40 Legal Affairs Reference Library Nonrecord
41 Legal Office Library Nonrecord
42 National Stage Case Files N1-241-96-3:47
43 Notification of Defects in the International Application N1-241-96-3:52
44 Patent Cooperation Treaty Change Files Nonrecord
45 PCT Applicant's Guide Nonrecord
46 PCT Central Files Request Form GRS 23, 8
47 PCT Docket Summary by Contact Representative GRS 23, 8
48 PCT Notification Concerning Documents Transmitted N1-241-96-3:49
49 PCT Petition Decisions for International Applications N1-241-96-3:58
50 PCT Weekly Exception Report GRS 23, 8
51 POWER Reports Files GRS 23, 8
52 POWER Reports Files GRS 23, 8
53 Priority Document Log GRS 23, 8
54 Reference Library Nonrecord
55 Request for Certified Copy of Earlier National Application N1-241-96-3:43
56 Request for International Application GRS 23, 8
57 Request for International Preliminary Examination Reports (IPER) Log GRS 23, 8
Index # Series Title Disposition Authority
Office of Patent Cooperation Treaty (PCT) Legal Administration (Cont.)
58 Special Tasks and Projects N1-241-96-3:57
59 World Intellectual Property Organization (WIPO) Publications Files Nonrecord
60 World Intellectual Property Organization Reports Nonrecord
Patent Cooperation Treaty Special Programs
61 Customer Information Files Nonrecord
63 PCT Training Files GRS 20, 3b(1)
62 PCT Training Files N1-241-96-3:59
64 Quality Review Feedback Sheet N1-241-96-3:60
DEPUTY COMMISSIONER FOR PATENT OPERATIONS
Patent Examining Groups
65 Backlog Report for Technical Support Staff GRS 23, 8
66 BPAI Log/Database GRS 23, 8
67 Certificate of Corrections Log/Database GRS 23, 8
68 Critical Response Log/Database GRS 23, 8
69 Director's Correspondence N1-241-96-3:28
70 Examiners Case Action Worksheets GRS 23, 1
71 Examiners Docket Reports GRS 23, 1
72 Examiners Interference Files N1-241-96-3:30
73 Examiners Search File N1-241-96-3:87
74 Examiners Time and Activity Report File GRS 1, 23a(5)
75 Examiners Unofficial Sub-Class File Nonrecord
76 Floor Team Updates Log/Database (Fire Drills) GRS 23, 8
77 Models, Exhibits, and Specimens N1-241-96-3:33
78 Monthly Performance Rating for Technical Support Staff - Log/Database GRS 1, 23a(5)
79 Patent Examiners Performance Plans Evaluation Files GRS 1, 23a(5)
80 Patent Pendency Reports N1-241-96-3:34
81 Petitions Awaiting Decision Reports GRS 23, 8
82 Petitions Log/Database GRS 23, 8
83 Printer Waiting/Printer Rush Log/Database GRS 23, 8
Index # Series Title Disposition Authority
Patent Examining Groups (Cont.)
84 Production Folders GRS 1, 23a(5)
85 Production Summary Sheet Log/Database GRS 23, 8
86 Quality Review Files GRS 23, 1
87 Quality Review Log/Database GRS 23, 8
88 Secretary's Briefing Book GRS 23, 8
89 Signatory Authority Review Log/Database GRS 23, 8
90 Special Patent Application Reports N1-241-96-3:36
91 Statistical Reports/Patents to Printer N1-241-96-3:35
92 Supervisory Patent Examiner (SPE) Manager N1-241-96-3:32
Office of Initial Patent Examination
93 Address Change Report GRS 23, 7a
94 Customer Correspondence N1-241-96-3:85
95 Customer Window Sign-in Log GRS 23, 8
96 Disclosure Document Files N1-241-96-3:88
97 Provisional Patent Applications N1-241-02-2
Technology Center (P/3600) -- Licensing and Review
98 Certified Copies Log N1-241-96-3:40
99 Classified Mail Picked Up From Mail Room Vault Log GRS 18, 5a
100 Hand Carried/Walk In Mail Log GRS 18, 5a
101 License and Review Database GRS 23, 8
102 Mail Log GRS 18, 5a
103 Mailing Receipts Classified GRS 18, 2
104 Microfiche Log/Database GRS 23, 8
105 NATO Log GRS 18, 5a
106 New Applications With Security Classifications Log GRS 18, 5a
107 Paper Copy Log GRS 23, 8
108 Patent Applications Selected for Review for Security Issues N1-241-96-3:37
109 Patent Applications Submitted Under Secrecy Orders N1-241-96-3:38
110 PCT Log/Database GRS 23, 8
111 P-License Requests Log (License to File a Foreign Patent) GRS 23, 8
112 P-Licenses N1-241-96-3:41
113 P-Licenses Card Index N1-241-96-3:86
114 P-Licenses Granted Log GRS 23, 8
Index # Series Title Disposition Authority
Technology Center (P/3600) -- Licensing and Review (Cont.)
115 Property Rights Process Log GRS 23, 8
116 Requests For Rescinds Log GRS 23, 8
117 Retroactive Licensing Log/Database GRS 23, 8
Office of Patent Publication
118 Bar Code Label Production Log GRS 23, 8
119 Certificates of Correction Database GRS 23, 8
120 Certificates of Correction Office Copy Files N1-241-96-3:79
121 Customer Service File GRS 23, 8
122 Customer Service File Request GRS 23, 8
123 Data Preparation Manual N1-241-96-3:61
124 Draftperson's Production Log GRS 23, 8
125 Failed Issues N1-241-96-3:75
126 Index of Patents Issued From the United States Patent and Trademark Office N1-241-96-3:64
127 Informal Equal Employment Opportunity Complaint Files GRS 1, 25c(1)
128 Informal Equal Employment Opportunity Complaint Files: Cases not Developed GRS 1, 25c(2)
129 Job Control GRS 20, 1c
130 Official Gazette Notices Log GRS 13, 2a
131 Official Gazette of the United States Patent and Trademark Office: Patents N1-241-96-3:63
132 Patent Printing Invoices GRS 3, 3c
133 Patent Query Report File GRS 13, 2a
134 Patent Withdrawal Notice File GRS 13, 2a
135 Plant Patent Color Prints Nonrecord
136 Pre-Grant Publication Project Files Nonrecord
137 Preliminary Input Files for Dissemination Products and Publications N1-241-05-2:4 (Previously N1-241-96-
3:73)
138 Printer Invoices GRS 13, 3
139 Printer Production Reports GRS 13, 3
141 Production Documentation GRS 20, 1c
140 Production Documentation GRS 20, 11a
142 Publication Tape File GRS 20, 6
143 Published Issues Inspection Report N1-241-96-3:77
144 Quality Assurance Information Bulletin N1-241-05-2:4 (Previously N1-241-
96-3:62)
145 Rejection of Grant Copies Report N1-241-96-3:71
Index # Series Title Disposition Authority
Office of Patent Publication (Cont.)
146 Review and Assembly Sheets GRS 13, 2a
147 Statistical Reports Files GRS 23, 8
148 Status of Inventors' Copies Report N1-241-96-3:68
149 Statutory Disclaimers N1-241-96-3:82
150 Statutory Disclaimers Database GRS 23, 8
151 Transmittal Memos File Nonrecord
152 U.S. Patent and Trademark Office Core Publications N1-241-05-2:1a (Previously N1-241-
96-3:63a, N1-241-96-3:64a)
153 Weekly Issue Slips File GRS 13, 2a
154 Weekly Production Files GRS 1, 23a(5)
155 Withdrawal Letter Form File GRS 13, 2a
Patent Training Academy
156 Allowed Cases Batch Report (PALM Report 2A20PR1) N1-241-96-1:14
157 Bulk Transfer Database GRS 23, 8
158 Manual of Patent Examining Procedure N1-241-96-7:24
159 Patent Applications Files Used For Training N1-241-96-7:28
160 Quality Review of Sample of Allowed Patent Applications N1-241-96-1:15
161 Quality Review Subject Files N1-241-96-1:16
162 Re-examinations Log GRS 23, 8
163 Reissue Log GRS 23, 8
164 Training Manuals for the Automated Patent System (APS) GRS 24
DEPUTY COMMISSIONER FOR PATENT RESOURCES AND PLANNING
Search and Information Resources Administration
165 After Final Flag Flips Report File GRS 20, 1c
166 Appraisal of Examiners System N1-241-96-7:4
167 Automation Council - Working Papers GRS 16, 8b(2)
168 Backup Diskettes for Models and Office Projects GRS 20, 8b
169 Bank Card System - Approval 1990 N1-241-05-1:5c (Previously N1-241-
96-7:5)
170 Budget Models and Briefings N1-241-05-1:6c (Previously N1-241-
96-7:6, N1-241-96-7:7)
171 Center Administrative/Subject Files GRS 27, 5
Index # Series Title Disposition Authority
Search and Information Resources Administration (Cont.)
172 Chief Financial Officer (CFO) Reports - OPPC Input N1-241-96-7:8
173 Delegations of Authority N1-241-05-1:4c (Previously N1-241-
96-7:9)
174 Deletes of Passwords GRS 20, 1c
175 Engineering Change Requests GRS 24, 3b(2)
176 Enterprise Model Operations Budget System N1-241-96-7:10
177 Enterprise Model Working Papers N1-241-96-7:11
178 Evaluation Division Correspondence N1-241-96-7:79
179 Examiners' Education Travel N1-241-96-7:22
180 Fee Income Working Papers N1-241-96-7:12
181 Financial Obligation Statements Reports N1-241-96-7:13
182 Fund Status Reports GRS 23, 1
183 Government Performance Results Act (GPRA) Working Papers GRS 27, 4
184 Improper Attempts to Sign-On Report File GRS 20, 11b
185 Incidence and Distribution Reports N1-241-96-4:50
186 Information Dissemination Organization Products and Services Catalog N1-241-96-4:8
187 Inspector General (IG) Requested Materials Nonrecord
188 International Claims File N1-241-96-7:34
189 International Exchange Agreement File N1-241-96-7:35
190 International Liaison Staff Committee Working Papers N1-241-96-7:84
191 International Liaison Training Files N1-241-96-7:36
192 Inventories of Patent Applications GRS 20, 3b(3)
193 New Hires and Attrition (Clerical) GRS 5, 3b
194 OPBUDGET Records N1-241-98-1:1
195 Operating Budgets GRS 5, 2
196 OPPC Subject Files N1-241-96-7:15
197 Oversight Report File N1-241-96-7:77
198 PALM Daily System Reports GRS 20, 1c
199 PALM Modifications Pending Report File GRS 20, 1a
200 PALM Reports N1-241-96-7:16
201 Patent Office Budgets N1-241-96-7:17
202 Personal Service Reports for Patent Corps N1-241-96-7:18
203 Production Planning and Evaluation (Historic Documentation) N1-241-96-7:19
Index # Series Title Disposition Authority
Search and Information Resources Administration (Cont.)
204 Professional Staffing Reports N1-241-96-7:20
205 Project Implementation Files GRS 16, 5
206 Project Software Development Files N1-241-96-5:62
207 Reviews of Automated Patent System (APS) N1-241-96-7:76
208 Roster Databases GRS 20, 4
209 Running Plans GRS 1, 23a(5)
210 Search and Information Research Administration (SIRA) Model Work Papers GRS 27, 6
211 Search and Information Resources Administrator's Subject Files N1-241-05-2:6b (Previously N1-241-
96-7:31)
212 System Problem Reports GRS 20, 1c
213 Terminal Master Listings GRS 20, 1c
214 Test and Evaluation Project Files GRS 16, 5
215 User Feedback File GRS 24, 1a
216 WIPO Circulars and Related Files Nonrecord
217 Working Papers, Legal and Regulatory Compliance N1-241-05-1:3e (Previously N1-241-
96-7:14)
218 Zero-Based Analysis N1-241-96-7:23
Scientific and Technical Information Center
219 Accession Register N1-241-96-7:57
220 Automated Biotechnology Sequence Search System (ABSS) - Data Files N1-241-96-7:64
221 Automated Biotechnology Sequence Search System (ABSS) System Backups - ELECTRONIC GRS 24, 4
222 Biotechnology & Chemical News Bulletin GRS 23, 7
223 Biotechnology Sequence Listing N1-241-96-7:63
224 Biotechnology/Chemical Library Collection Nonrecord
225 Book Order File GRS 23, 8
226 Branch Database GRS 23, 8
227 Combined Search Log N1-241-96-7:59
228 Computer Readable Format Error File N1-241-96-7:65
229 Current Publications Lists GRS 23, 8
230 Foreign Document Translations Nonrecord
231 Foreign Patent Documents Nonrecord
232 Information Dissemination Product Reference N1-241-05-2:5 (Previously N1-241-96-
7:62b)
233 Informational Files Nonrecord
Index # Series Title Disposition Authority
Scientific and Technical Information Center (Cont.)
234 Interlibrary Loan Report N1-241-96-7:61
235 IT Asset and Configuration Management Files GRS 24, 3b(1)
236 Journals, Periodicals, and Abstracts Nonrecord
237 Library/Lunch Room Facility Log GRS 18, 17b
238 Log Books (Receipt of Foreign Documents) N1-241-96-7:85
239 Microfilm Charge and Problem Report GRS 23, 8
240 Non-patent Document Delivery System Backups GRS 20, 8b
241 Online Catalog System (OLCAT) N1-241-96-7:62
242 Online Catalogue (OLCAT) System Backups GRS 20, 8b
243 Periodicals File Nonrecord
244 Processing Log Book GRS 23, 8
245 Publications File Nonrecord
246 Reference Questions Log GRS 23, 8
247 Requisitions and Purchase Orders GRS 3, 3a(2)b
248 Selected Articles File Nonrecord
249 Serial Check-In Cards GRS 23, 8
250 Serial Records Files N1-241-96-7:71
251 Special Studies Files N1-241-96-7:56
252 STIC ABSS System Visitor Log GRS 18, 17b
253 STIC Holdings Lists Nonrecord
254 STIC Information Support/Resource Accountability GRS 24, 10b
255 STIC Informational Bulletins GRS 23, 7
256 STIC Informational Resource Collections Nonrecord
257 System Error Reports GRS 20, 1c
258 TRACK Database N1-241-96-7:68
Office of Patent Classification
259 447 Log/Database GRS 20, 3b(2)
260 447 Slips (Application Transfer Request) N1-241-96-7:38
261 Chron Files N1-241-96-7:32
262 Classification Definitions N1-241-96-7:51
263 Classification Orders N1-241-96-7:52
264 Foreign Patents Processed Log/Database GRS 23, 8
265 Index to the U.S. Patent Classification System N1-241-96-7:49
Index # Series Title Disposition Authority
Office of Patent Classification (Cont.)
266 International Classification Systems N1-241-96-7:43
267 International Patent Classification (IPC) Manuals N1-241-96-7:42
268 International Patent Classification (IPC) Project Files N1-241-96-7:44
269 Lectures and Training Materials Nonrecord
270 Manual of Patent Examining Procedures (MPEP) GRS 20, 6
271 Patent Master Classification File (MCF) N1-241-96-7:55
272 PCT Cases Log GRS 23, 8
273 Production and Backup Information Files N1-241-96-7:41
274 Reclassification Project Records GRS 16, 5
275 Reclassification Source and Disposition List N1-241-96-7:54
276 Subject Files - Office of Patent Classification N1-241-96-7:33
277 Survey 447 Reports N1-241-96-7:39
278 U.S. Patent and Trademark Office Core Publications N1-241-05-2:1a (Previously N1-241-
96-7:53a)
280 U.S. Patent Classification Manual N1-241-96-7:53
279 U.S. Patent Classification Manual N1-241-96-7:53b
281 United States Patent Classification/International Patent Classification Concordances N1-241-96-7:46
282 WIPO Classification Publications Nonrecord
283 World Intellectual Property Organization (WIPO) Authority/Policy Documents Nonrecord
Office of Patent Automation
284 Information Technology (IT) Program Planning Records GRS 27, 1
285 IT Asset and Configuration Management Files GRS 24, 3,b(1)
286 IT Capital Investment Records GRS 27, 3
287 IT Customer Service Files GRS 24, 10a,b
288 IT Infrastructure Design and Implementation Files GRS 24, 11b,c
289 Oversight and Compliance Files GRS 24, 1a,b
USPTO Comprehensive Records Schedule
COMMISSIONER FOR PATENTS
Record Series Detail
COMMISSIONER FOR PATENTS
1 Abandoned Applications N1-241-96-3:7
Applications that do not result in the grant of a patent. Abandonment occurs when the a. Permanent transfer to the Certified Records Center 10 years after
applicant fails to pay fees or submit documentation requested by the examiner within the abandonment. Transfer to NARA 40 years after abandonment.
allowed time; when claims made for the invention are not patentable or were previously (Reference Patent Case Files)
patented; or when another applicant has filed an application for the same invention and b. 1) Destroy 20 years after closure.
can demonstrate an earlier date for the conception of the invention. 2) Destroy 23 years after closure.
a. Applications retained because they are referred to in an issued patent.
b.
1) Abandoned Applications dated before June 8, 1995
2) Abandoned Applications dated on or after June 8, 1995.
2 Chron or Reading File Nonrecord
Copies of outgoing correspondence filed chronologically and maintained solely for Destroy when no longer needed for current agency business.
reference purposes.
3 Committees/Boards/Councils File GRS 26, 1a
Includes meeting minutes, reports, and related papers from USPTO committees, boards, Destroy/delete when no longer needed for administrative purposes.
and council meetings. Used to document participation.
Internal agency committees unrelated to an agency's mission
Committees established by an agency for facilitative or operational purposes unrelated to
the agency's mission, composed wholly of full-time officers or employees of the Federal
government, and not subject to the Federal Advisory Committee Act, e.g. committees
tasked with organizing events, selecting of interior furnishings, overseeing volunteer
activities or employee recreational activities.
Any files created and/or maintained by the committee
COMMISSIONER FOR PATENTS (Cont.)
4 Committees/Boards/Councils File GRS 26, 1b
Includes meeting minutes, reports, and related papers from USPTO committees, boards, These records are potentially permanent and must be scheduled by
and council meetings. Used to document participation. submission of an SF 115 to NARA.
Internal agency committees related to an agency's mission
Committees established by agency authority (not established by Public Law or Executive
Order) for facilitative or operational purposes, related to the agency's mission, composed
wholly of full-time officers or employees of the Federal government, and not subject to the
Federal Advisory Committee Act, e.g. committees tasked with reviewing policy, studying
reorganizations, recommending new actions or developing multi-year plans.
Any files created and/or maintained by the committee including agenda, minutes, final
reports, and related records documenting accomplishments of official boards and
committees.
5 Conferences File GRS 16, 8b(1)
Includes meeting minutes, notes, programs, handouts, authorization for training, and Destroy when 3 years old.
related papers from conferences attended. Used to document participation in
conferences.
COMMISSIONER FOR PATENTS (Cont.)
6 Electronic Filing System (EFS) N1-241-01-4:1
The Electronic Filing System (EFS) is a client/Web server database application placed into a. See GRS 24, 11b
production during the fourth quarter of 2000. EFS supports filing of new patent b. See GRS 24, 3b(1)
applications, Pre-Grant Publication (PGPub) submissions and nucleotide and/or amino c. Temporary. Cut off when application/submission is accepted by the
acid sequence listings. EFS combines custom code and commercial-off-the-shelf (COTS) USPTO. Delete 5 years after cut-off.
software to allow patent applicants and biotechnology sequence listing filers to submit d. Output (paper or electronic):
documents electronically. Although applications are received and accepted by USPTO 1) [N1-241-96-3:4]. Permanent. Print from image file format. File with
electronically, the agency retains a hard copy case file as its official record. USPTO the related item Patent Case Files and transfer paper to NARA when 40
currently accepts only Utility Patent Applications through EFS. Other application types will years old.
be added at later dates. EFS databases are maintained in Oracle. Databases contain 2) Temporary. Delete after verification of successful data transfer to
references to objects (image files), bibliographic data and financial transaction receiving system.
information: 3) Temporary. Destroy or delete when no longer needed for
a. System software and updates verification or reference.
b. Life Cycle Management Documentation 4) Submission metadata created by EFS based on input.
c. Input: EFS input is originated electronically by the inventor, law firm, or corporation (a) [N1-241-96-3:4]. Permanent. Print and retain in hard copy
submitting the application. Input may include standardized USPTO forms, textual Patent Application Case File.
information and images or drawings. (b) Temporary. Delete after recordkeeping copy is produced and
d. Output (paper or electronic): filed in the Patent Application Case File.
1) Patent Application As Filed (paper). e. Temporary. Delete after verification of successful transfer of data to
2) Electronic output to related PTO systems. Information electronically transmitted to other electronic systems or to hard copy.
the Revenue Accounting System (RAM), the Patent Application Location and Monitoring f. See GRS 24, 4a(1)
System (PALM), the Patent and Trademark Assignment System (PTAS), and the
Automated Biotechnology Sequence Search System (ABSS).
3) Pre-grant publication information, application acknowledgements receipts (paper or
electronic), and other hard copy reports and logs.
4) Submission metadata created by EFS based on input.
(a) Paper.
(b) Electronic.
e. Master data: database files, electronic log data, image files.
f. Backups.
7 Equal Employment Opportunity (EEO) File GRS 1, 25g
Copies of statistics and general information about employee awards, policy, and sexual Destroy when 3 years old, or when superseded or obsolete, whichever is
harassment. Used to insure USPTO policy accords with EEO regulations. applicable.
General correspondence and copies of regulations with related records pertaining to the
Civil Rights Act of 1964, the EEO Act of 1972, and any pertinent later legislation, and
agency EEO Committee meeting records, including minutes and reports.
COMMISSIONER FOR PATENTS (Cont.)
8 General Office Subject Files - (Direct Reports General Administration) N1-241-05-1:8a (Previously N1-241-96-3:2)
Correspondence, periodic reports, memorandums, and similar records that are created, Temporary: Close inactive files at the end of each fiscal year and destroy
received or maintained in the offices of agency direct reports to the Undersecretary of the when 5 years old.
USPTO, that pertain to general office administrative management of programs and
projects, and are used primarily for short-term reference. These records include, but are
not limited to, periodic reports, quality review, safety and security, records from
professional organizations and associations, education and training programs, human
resources, reports, delegations of authority, and the like. These records do not
document significant Office oversight, direction, policy, procedures, decisions, or
programs.
9 Individual Grievance File GRS 1, 30a
Program Office copies of individual grievances, filed under lock and key. Used to Destroy no sooner than 4 years but no later than 7 years after the case
represent the USPTO in grievance cases with representatives of labor. is closed.
10 Inventors File Nonrecord
Programs of events, notes, and pamphlets on USPTO participation in the Bicentennial Destroy when no longer needed for reference.
Year, National Inventor's Day, and National Inventor's Hall of Fame. Used to document
USPTO activities.
NOTE: Office of Public Affairs maintains record copy.
11 Labor Management Relations File GRS 1, 28a(1)
Files includes copies of adverse action, procedures, alternate dispute resolutions, Destroy 5 years after expiration of agreement.
arbitrations, monthly briefings, bulletins, newsletters, cases in Employee Relations Branch,
civil cases, general information and policy, legal assistance from the patent corps and
DOC, meetings, negotiations, Trademark Society/USPTO Bargaining - historical research
and questionnaires. Used to represent the USPTO position with representatives of labor.
12 Management Councils and Committees Supporting Documentation N1-241-05-1:8c (Previously N1-241-96-3:6)
Reports and related papers from USPTO internal management councils and committees Temporary: Destroy when no longer needed.
that administer policy direction and agency-wide actions. Subjects include automation,
advisory operations, awards, internal controls, long range planning, management &
executive training, recruitment, special laws, outreach, and communication (ethics, pride,
and morale). Used to provide administrative policy direction.
COMMISSIONER FOR PATENTS (Cont.)
13 Meeting File GRS 16, 8b
Copies of minutes, working papers, and notes from meetings. Meetings include Business Destroy when 3 years old.
Council, Commissioner's monthly staff, executive staff, and other meetings. Used to
document and prepare for Meetings.
14 Office of Commissioner for Patents Program and Policy Subject Files N1-241-96-3:1
Correspondence, reports, studies, memorandums, committee papers, minutes of Permanent. Close inactive files at the end of each fiscal year and
meetings, briefing books and papers, and similar records that pertain to overall transfer to the Certified Records Center 5 years after closure. Transfer
management, oversight, and direction of Patent policies, procedures, decision, projects, to the National Archives 20 years after closure.
and program. The records include files pertaining to the development of new USPTO
automation projects such as PALM, APS, and other automated information systems;
briefing books prepared for the Director and other high level officials; issue papers and
reports to higher levels on USPTO programs and plans; strategic and long-range planning
files; Complexity Factor files; and issues that affect the overall direction, operations, and
programs, and plans of the Commissioner of Patents and the USPTO, such as computer-
related inventions, emerging technology, intellectual property, biotechnology, and the like.
15 Patent Application and Location Monitoring System (PALM) EXPO N1-241-96-5:59
Statistical reports on patent application files such as, patent processing statistics, a. See GRS 24, 11b
examiner production, docket information, etc: b. Update or delete as needed for current agency business.
a. System software c. See GRS 24, 3b(1)
b. Data files.
c. Initial documentation and updates.
COMMISSIONER FOR PATENTS (Cont.)
16 Patent Application Capture and Review System (PACR) N1-241-01-05:1
Legislation has been enacted to facilitate the Pre-Grant Publication (PGPub) of each a. See GRS 24, 11b
pending U.S. patent application within 18 months of its effective filing date. The Patent b. See GRS 24, 3b(1)
Application Capture and Review (PACR) system supports the patent application data c. Permanent. Transfer to the Office of Initial Patent Examination. File
capture, processing, and information requirements of PGPub. PACR electronically with related records. Close patent case files at the end of each fiscal
captures patent applications submitted in paper. PACR provides increased functionality to year and transfer to Certified Records Center 10 years after closure.
determine the legal completeness and integrity of the initial patent application by Transfer to the National Archives 40 years after closure (N1-241-96-3:4).
automatic comparison of the application with the statutory and rule requirements
(formalities review). Images are then used by Product Services and the Office of Licensing d. 1) Temporary. Verify according to established standards. Delete 5
and Review for security review and industrial categorization of filed applications. The years after submission.
system utilizes three different components to achieve these functions: automated input 2) Temporary. Delete 5 years after submission.
(workflow) using a Commercial-off-the-shelf application; a relational database to capture e. Outputs (paper or electronic):
bibliographic data from the automated patent application process; and scanned image 1) Permanent. Print and transfer to the Office of Initial Patent
files. The paper file wrapper is considered record copy: Examination for PGPub requirement. File with related records. Close
a. System software and updates patent case files at the end of each fiscal year and transfer to Certified
b. Life Cycle Management Documentation Records Center 10 years after closure. Transfer to the National Archives
c. Inputs (paper or electronic source): Submitted patent applications (paper) 40 years after closure (N1-241-96-3:4).
d. Master Files (electronic) 2) Delete when transfer to PALM is verified and is no longer needed
1) Image File Format copy (electronic). for active business use.
2) Data files (electronic). Bibliographic data automatically extracted from the image file f. See GRS 24, 4a(1)
format of the paper applications. The data is maintained as Extensible Markup language g. Electronic Mail and Word Processing System Copies:
(XML) files in a relational database management system. 1) See GRS 24, 12
e. Outputs (paper or electronic): 2) See GRS 24, 12
1) Application "as perfected" printout (paper)
2) Electronic output to the Patent Application Location Monitoring (PALM) system
f. Backups
g. Electronic Mail and Word Processing System Copies:
1) Copies that have no further administrative value after the recordkeeping copy is
made. Includes copies maintained by individuals in personal files, personal electronic mail
directories, or other personal directories on hard disk or network drives, and copies on
shared network drives that are used only to produce the recordkeeping copy.
2) Copies used for dissemination, revision, or updating that are maintained in addition
to the recordkeeping copy.
17 Patent Case Files N1-241-96-3:4
Case files showing the prosecution of applications for, and the granting of, a patent. Files a. Permanent. Close patent case files at the end of each fiscal year and
include the original application, the patent drawing, and all materials relating to the transfer to Certified Records Center 10 years after closure. Transfer to
prosecution of the application and subsequent actions by USPTO. Includes patent files for the National Archives 40 years after closure (Supersedes NC1-241-76-
reissues. Arranged numerically by Patent Number (Supersedes NC1-241-76-1:59) (See 1:59a).
N1-241-96-3:33 for models and exhibits): b. Close patent case files at the end of each fiscal year and transfer to
a. Closed (granted) patent case files selected by the Commissioner of Patents and the Certified Records Center 10 years after closure. Destroy 40 years
Trademarks and the Archivist of the United States. after closure
b. All other closed (granted) patent case files. (Supersedes NC1-241-76-1:59b).
COMMISSIONER FOR PATENTS (Cont.)
18 Patent Office Professional Association (POPA) Negotiations File GRS 1, 28a(2)
Copies of working papers used to represent the USPTO in negotiations with POPA Destroy when superseded or obsolete.
representatives.
19 Rule 62 Continuing Applications N1-241-96-3:5
After filing the original application, a rule 62 application is filed causing abandonment of a. Transfer to Patent Case files.
the original application. Original application is "wrapped inside", or becomes part of the 62 b. Maintain status of most current rule 62 application.
application: c. Transfer to Abandoned Application files.
a. Rule 62 application results in a patent being issued.
b. Rule 62 application is abandoned in favor of another rule 62 application.
c. Rule 62 application becomes abandoned.
20 Statutory Invention Registration (preceded by Defensive Publication Files) N1-241-96-3:6
Files showing the inventor provisionally abandoned the patent application while retaining a. Permanent. Close completed SIR case files at the end of each fiscal
interference rights. SIR's are filed by serial number preceded by the letter H; defensive year and transfer to the Certified Records Center 10 years after closure.
publications are preceded by the letter "T." Used to search for prior art. Transfer to the National Archives 40 years after closure.
NOTE: While technically not patents, these have a similar legal status: b. (See N1-241-05-1:8c)
a. Closed SIR case files selected by the Director and the Archivist of the United States
b. All other closed SIR case files.
Inventor Assistance Program
Inventor Assistance Program (Cont.)
21 Complaints Received by the USPTO N1-241-01:7
The passage of the American Inventors Protection Act of 1999 as enacted under Public a. See GRS 24, 11b
Law (P.L) 106-113 has a number of significant impacts on the United States Patent Office b. See GRS 24, 3b(1)
(USPTO). A key provision of P.L. 106-113 is section 4001, codified at 35 U.S.C. 297, in c. Temporary. Delete 3 years after online publication.
which the USPTO is required to make complaints received by the USPTO involving d. Outputs (electronic):
invention promoters publicly available. The complaints are captured using a World Wide 1) Temporary. Delete 3 years after online publication.
Web (WWW) based Commercial-off-the-shelf (COTS) application. The form includes but is 2) Temporary. Delete 3 years after online publication.
not limited to the following data fields which allow the OIIP to track the nature of the e. See GRS 24, 4a(1)
complaint (formal or informal): the date a complaint was received; the date a letter was
sent to the complainant; a file number; the complete name of the complainant; and the
date the complaint was published on USPTO WWW page which contains the specific
information for the OIIP. The total number of complaints received is estimated to be 20-30
per year:
a. System software and updates
b. Life Cycle Management Documentation
c. Inputs: Complaint forms received by mail (paper)
d. Outputs (electronic):
1) Complaint logs, registers, indexes (paper)
2) Online complaint (electronic) converted from paper form received in item 3
e. Backups.
DEPUTY COMMISSIONER FOR PATENT EXAMINATION POLICY
22 Manual of Patent Examining Procedure N1-241-96-7:24
The Manual is published to provide United States Patent and Trademark Office patent a. Permanent.
examiners with a reference copy on the practices and procedures relative to the 1) Editions prior to the sixth edition (1994): Transfer one complete
prosecution of patent applications before the United States Patent and Trademark Office. edition with all revisions directly to the National Archives 40 years after
It contains instructions to examiners, as well as other material in the nature of information the MPEP is superseded by a new addition.
and interpretation, and outlines the current procedures which the examiners are required 2) Sixth and later editions: Transfer one complete printed edition with
or authorized to follow in appropriate cases in the normal examination of a patent all revisions to the National Archives when a new edition is published.
application. The Manual does not have the force of law or the force of the Patent Rules of b. Permanent. Transfer one complete edition with all revisions to the
Practice in Title 37, Code of Federal Regulations: National Archives in accordance with provisions in 36 CFR 1230 when a
a. Record copy (published paper copy) new edition is published. (See N1-241-05-2:3)
b. Microfilm records c. Update or delete when superseded or no longer needed for current
c. Electronic files. agency business. (See N1-241-05-2:3)
d. All other copies. d. Destroy when no longer needed for reference.
DEPUTY COMMISSIONER FOR PATENT EXAMINATION POLICY (Cont.)
23 USPTO Non-Core Products and Publications (Extra Copies) N1-241-05-2:3 (Previously N1-241-96-7:24b)
The USPTO disseminates extra copies of information to the public, some of which it also Temporary: Destroy 2 years after superseded.
uses for internal functions. Information is published for public awareness and
understanding of the USPTO functions and processes. These non-core USPTO products
and publications include, but are not limited to the following: published statistical
information regarding patents, fact sheets and similar publications produced for the public
regarding general information concerning patents, basic facts about registering a
Trademark, photocomposition reports, notices of decisions of patent appeals, roster of
attorneys/agents registered to practice before the USPTO, Trademark Trial and Appeal
Board Manual, Trademark Acceptable Identification of Goods and Services Manual, and
copy of USPTO materials for sale.
Office of Patent Legal Administration
24 Decisions Mailed Files Nonrecord
Copies of petition decisions made by the Office and the OPLA Director and mailed to the Destroy when no longer needed for reference.
applicant. Includes dismissed, denied and granted petitions. A copy is retained for
reference to expedite inquiries about a decision without having to access the patent
application. The original decision is retained in the case file.
25 General Correspondence Files GRS 14, 1
Original incoming correspondence and copies of replies regarding requests for general Destroy when 3 months old.
information.
26 Notices Published in the Official Gazette and the Federal Register Nonrecord
Electronic file of notices concerning rulemaking and proposed amendments to regulations Delete when no longer needed for reference.
that are formulated by the Office of Patent Legal Administration, signed by the Director of
the USPTO or a designee and printed for publication in the Official Gazette and the
Federal Register. Used solely for convenience in preparing updates.
27 Office of Petitions Subject File Nonrecord
Copies of important decisions made by the Office and the Director that serve as Destroy when no longer needed for reference.
precedent to future decisions. The file is used as a reference tool for training new staff
members.
Office of Patent Legal Administration (Cont.)
28 Patent Term Extension Petition Files N1-241-96-7:3
An applicant's petition to the Director of the USPTO for the extension of patent term under a. Original copy of decision to be placed in case file with the request
the appropriate statute and regulations. Copies are kept of the request and the decision once a final decision has been made. Forward case file for further
made by the Director: processing.
a. Official copies (original copy of request). b. Destroy when no longer needed for reference.
b. Public copies (duplicate file of the request and the decision made by the Director).
29 Petitions Database GRS 20, 4
Database containing information on decisions made by the Office of Patent Legal Delete when the agency determines that they are no longer needed for
Administration including application number, month, and year of the decision. The administrative, legal, audit, or other operational purposes.
database also contains codes that relate to different attributes of a case, such as code
2030 (Petition Not Timely Filed) or code 4000 (Petition Under 37 CFR 1.182). These
codes are combined and used for searching purposes.
30 Petitions Database Coding Sheet GRS 20, 2a
Coding sheet used by the Director to update the Petitions Database. The sheet lists the Destroy after the information has been converted to an electronic
month and year of the decision, serial number of the case, and the four digit codes that medium and verified or when no longer needed to support the
relate to different attributes of a case. reconstruction of, or serve as the backup to, the master file, whichever is
later.
31 Rule Making Project Files N1-241-96-7:2
Files kept by staff members relating to special projects assigned to them. Projects include a. Break files by fiscal year. Transfer to the Certified Records Center
the formulation of new rules, guidelines, and amendments to regulations that are when 3 years old. Destroy when 25 years old.
necessary based on comments received by the office in response to the request for public b.Break files by fiscal year. Transfer to the Certified Records Center
comment on the proposed rule or amendment. The new changes are forwarded, when 3 years old. Destroy when 25 years old.
reviewed, and signed by the Director of the USPTO or a designee and published in the
Official Gazette and the Federal Register:
a. Original NPR, FR signed by the Director or a designee
b. Copies of original NPR, comments and responses thereto, FR and approved
supplementary materials (e.g. executive summary, flyer, training slides).
Office of Patent Cooperation Treaty (PCT) Legal Administration
32 Article 20 Papers N1-241-96-3:44
Article 20 papers are the "Communication to Designated Offices" as set forth by the a. Place in case file when created.
Patent Cooperation Treaty. The papers consist of the international application, the priority b. Destroy 35 months from priority date.
document, and the international search report used by the Office for reference purposes:
a. When applicant enters national phase and case file is created
b. When applicant does not enter national phase and case file is not created.
Office of Patent Cooperation Treaty (PCT) Legal Administration (Cont.)
33 Communication In Cases For Which No Other Form Is Available N1-241-96-3:54
Form PCT/IB/345 is sent to the Designated Office from the International Bureau in Destroy when 3 years old, or when no longer needed for reference.
response to requests for documents. The form lists the types of documents enclosed and
the date of the request. Form is maintained in the case file.
34 Employee Daily Production Worksheet GRS 20, 2a
Daily worksheet completed by each staff member listing the amount of time spent on each Destroy after the information has been converted to an electronic
task and/or to tabulate daily totals of work performed. The sheet lists totals for demands medium and verified or when no longer needed to support the
processed, DO/EO missing parts, data entry hours, priority documents mailed or ordered, reconstruction of, or serve as the backup to, the master file, whichever is
meeting/conference hours, national hours/international hours, cases pulled, filed and later.
received for national and international cases, incoming mail processed, photocopying, and
other miscellaneous activities. These sheets are used by the supervisors to update office
production reports.
35 Employee Daily/Weekly Reporting Sheet GRS 20, 2a
Worksheet used by the staff to tabulate daily totals of work performed. The sheet lists Destroy after the information has been converted to an electronic
hours processing record copies and the number of substitute sheets reviewed and medium and verified or when no longer needed to support the
processed. These sheets are used by the supervisors to update office production reports. reconstruction of, or serve as the backup to, the master file, whichever is
later.
36 European Patent Office Correspondence Files N1-241-96-3:50
Response Letter from the European Patent Office concerning requests by USPTO on Destroy when no longer needed for reference.
International Search Reports and references. For these cases the EPO is the acting
International Search Authority. The letter also lists documents missing from cases
requested, to be forwarded at a later date when located.
37 General Power of Attorney Files N1-241-96-3:48
The file contains notices designating separate power of attorney to an agent that has Destroy when 3 years old, or when no longer needed for reference.
been appointed to represent the applicant in relation to the said international application.
The files also contain correspondence from an applicant's agent concerning any updates
or changes to be made to the case. The Receiving Office retains a reference copy; the
original copy is retained in the case file.
Office of Patent Cooperation Treaty (PCT) Legal Administration (Cont.)
38 International Applications (Home Copy) File N1-241-96-3:45
The "Home Copy" file consists of USPTO's official copy of international applications and Transfer to Certified Records Center when 3 years old, destroy when 20
related papers maintained by USPTO to ensure that a complete copy of the file is always years old.
available. The files contain the following elements: an indication that the application is
intended as an international application, the designation of at least one contracting state,
the name of the applicant, description, and claim(s). The record copy of all international
applications is maintained by the International Bureau.
39 International Applications (Search Copy) File N1-241-96-3:46
The "Search Copy" file consists of a copy of the international application used by the Transfer to Certified Records Center when 3 years old, destroy when 20
USPTO staff to search for possible prior art in its capacity as the international searching years old.
authority. Includes the International Search Report that contains citations of documents
considered to be relevant and the International Preliminary Examination Report. Also
includes the International Bureau Search Copy. This file includes a copy of the
International Application, the International Search Report, and the International
Preliminary Examination Report. The "IB Search Copy" is retained when an applicant
designates the United States Patent and Trademark Office to be the international
searching authority (ISA) for the application. It is the task of the ISA to establish
documentary search reports on prior art with respect to inventions which are the subject of
applications. The International Bureau also maintains the record copy and the search
copy for the international applications of non-U.S. designation.
40 Legal Affairs Reference Library Nonrecord
The file consists of various publications used by the legal affairs staff as a reference Destroy when superseded or obsolete.
resource including: Manual of Patent Examining Procedures; Attorneys and Agents
Registered to Practice Before the United States Patent and Trademark Office; Official
Gazette Notices; Regulations Under the PCT; PCT Applicant's Guide.
41 Legal Office Library Nonrecord
Library consisting mostly of WIPO publications and reference manuals used by the legal Destroy when superseded or obsolete.
staff as a reference resource. Some of the items found in the library are: 35 USC; 37 CFR;
Patent Cooperation Treaty with regulations thereunder; PCT Gazette; Official Gazette;
PCT Applicant's Guide; Manual of Classification; Industrial Property Statistics; US Patents
Quarterly; and the Journal of the Patent and Trademark Office Society.
Office of Patent Cooperation Treaty (PCT) Legal Administration (Cont.)
42 National Stage Case Files N1-241-96-3:47
National Stage Case Files are held in Central Files for processing. Cases begin with the a. Forward for further processing as a new national application.
receipt of any paper relating to a PCT application in the National Stage in the U.S. Files b. Transfer to the Certified Records Center 3 years after abandonment,
include the related paperwork associated with applications for which the U.S. is designated destroy when 20 years old.
or elected. The cases are accessed for processing and reviewed by the legal staff to
determine if they are in compliance with 37 CFR 1.494-1.499, 35 U.S.C. 371, and the
Patent Cooperation Treaty:
a. Case files that meet the requirements for entry into the national stage
b. Abandoned applications.
43 Notification of Defects in the International Application N1-241-96-3:52
Form PCT/IB/313 is received from the International Bureau and identifies the defects of Destroy when 3 years old, or when no longer needed for reference.
the said international application. Annex A to Form PCT/IB/313 lists the specific defects for
the application concerning the signature, applicant, language, and title. The form is
maintained in the case file.
44 Patent Cooperation Treaty Change Files Nonrecord
Copies of changes to the Patent Cooperation Treaty that are made by the World Destroy when no longer needed for reference.
Intellectual Property Organization (WIPO). The record copy is maintained at WIPO.
45 PCT Applicant's Guide Nonrecord
Reference guide used in filing applications in the International and National Phases. The Destroy when superseded or obsolete.
guide is the official "Procedure Before Designated and Elected Offices for International
Applications Under the PCT." The guide provides information on time limits, special
requirements to be complied with in connection with national and international phases,
national chapters, and questions an applicant may have. This is a WIPO publication used
for reference. (The record copy of these publications is located at WIPO).
46 PCT Central Files Request Form GRS 23, 8
Request form used by the USPTO staff to pull International and National case files from Destroy when no longer needed.
the Central File Section. The cases are pulled by various requesters throughout USPTO
as needed for processing.
47 PCT Docket Summary by Contact Representative GRS 23, 8
Report of cases "pending" an action or review by the paralegal specialist. The report lists Destroy when no longer needed.
the number of cases being handled and their status. (POWER reports)
Office of Patent Cooperation Treaty (PCT) Legal Administration (Cont.)
48 PCT Notification Concerning Documents Transmitted N1-241-96-3:49
Notifications listing documents transmitted to the applicant and the IB. Also includes an Destroy when 3 years old, or when no longer needed for reference.
annex to the notification identifying each document transmitted by the type of document,
the corresponding international application number, and, if necessary, other information.
The notification is maintained in the case file.
49 PCT Petition Decisions for International Applications N1-241-96-3:58
Copies of decisions made by the legal staff regarding various problems with an Destroy when 10 years old, or when no longer needed for reference.
international application. The types of problems encountered consist of the international
filing date, drawing problems (International Stage), change in designation, priority claim,
defective translations of PCT Amendments and Annexes, PCTRule 18 (applicant's
qualification as a U.S. resident or national), 37 CFR 1.183 Waiver of the Rules, refund/fee
problems, amendment problems, conversions, express/certificate of mail problems, 37
CFR 1.183 supervisory authority, 111 filing, bypass, demand/chapter II. The Office retains
a copy for reference purposes; the original decision is placed in the case file.
50 PCT Weekly Exception Report GRS 23, 8
Weekly PALM report for PCT "Home Copy" applications. The report lists the applications Destroy or delete when 2 years old, or 2 years after the date of the last
where the priority documents were not received from the Certification Branch within 17 entry, whichever is applicable.
days of the request date. Includes PCT serial number, U.S. prior serial number, request
date, and the contact representative. (PALM 32WK47.) Used for tracking.
51 POWER Reports Files GRS 23, 8
Various reports from POWER listing the status of PCT applications including: PCT Docket Destroy or delete when 1 year old, or 1 year after the date of the last
Summary By Contact Representative, and Range of PCT Home Copy serial numbers. Also entry, whichever is applicable.
includes the Receiving Office Backlog Report showing case location, duration at location,
and the number of days since receipt.
52 POWER Reports Files GRS 23, 8
Various reports from PALM listing the status of PCT applications including ERGO Report Destroy or delete when 2 years old, or 2 years after the date of the last
(PALM 1099) and DO/EO Backlog Report. entry, whichever is applicable.
53 Priority Document Log GRS 23, 8
Fax log of priority documents requested by the designated office from the International Destroy or delete when 2 years old, or 2 years after the date of the last
Bureau. The log includes the facsimile transmission cover sheet, the PCT number, type of entry, whichever is applicable.
document requested, and the serial number.
Office of Patent Cooperation Treaty (PCT) Legal Administration (Cont.)
54 Reference Library Nonrecord
Collection of publications used by the staff as a shared resource. The library consists of: Destroy when superseded or obsolete.
Manual of Patent Examining Procedures; PCT Applicant's Guide; Attorneys and Agents
Registered to Practice Before the United States Patent and Trademark Office; and the
United States Patent Quarterly.
55 Request for Certified Copy of Earlier National Application N1-241-96-3:43
Request form created in POWER for all incoming international applications listing the PCT Destroy when 3 years old, or when no longer needed for reference.
number, docket number, applicant, and title. The form also lists the serial number, filing
date, applicant name, and title of the national application to be copied and certified. This
information is used to create the "Priority Document" (retained in case file). It is the
obligation of the international applicant to submit to the International Bureau or the
Receiving Office a certified copy of earlier national applications (the Priority Document).
56 Request for International Application GRS 23, 8
International applications requested by the designated office from the International Destroy or delete when 2 years old, or 2 years after the date of the last
Bureau. Placed in the Case File. entry, whichever is applicable.
57 Request for International Preliminary Examination Reports (IPER) Log GRS 23, 8
International Preliminary Examination Reports requested by the Designated Office from Destroy or delete when 2 years old, or 2 years after the date of the last
the International Bureau. Placed in the Case File. entry, whichever is applicable.
58 Special Tasks and Projects N1-241-96-3:57
Record copies of incoming and copies of outgoing correspondence, handouts, and Destroy when 5 years old, or when no longer needed.
informational material relating to special tasks or projects, such as proposed rule changes
or amendments, special training meetings, etc.
59 World Intellectual Property Organization (WIPO) Publications Files Nonrecord
Files of WIPO publications including: The PCT Newsletter, a monthly publication listing Destroy when superseded or obsolete.
PCT information updates, statistics on applications filed, fee information, and the PCT
seminar calendar; Basic Facts about the Patent Cooperation Treaty, a quick reference
guide for individuals considering filing an international patent application; PCT Gazette, a
bimonthly publication listing all the applications published under the Treaty; Regulations
Under the PCT, containing the consolidated text of the Patent Cooperation Treaty that
was placed in force on January 1, 1993; PCT Applicant's Guide, a reference guide used in
filing applications in the International and National Phases. (Record copy of these
publications is located at WIPO.)
Office of Patent Cooperation Treaty (PCT) Legal Administration (Cont.)
60 World Intellectual Property Organization Reports Nonrecord
Copies of WIPO reports from various committees such as the Interim Committee for Destroy when no longer needed for reference.
Technical Cooperation and the Interim Advisory Committee for Administrative Questions.
These committees discuss topics and establish guidelines, such as the "Guidelines for
Drawings Under the PCT" and the "Guidelines for the Preparation of Abstracts of
International Applications Under the PCT."
Patent Cooperation Treaty Special Programs
61 Customer Information Files Nonrecord
Copies of PCT forms and WIPO publications that are sent to a customer upon request and Destroy when superseded or obsolete.
are used by the Help Desk staff for reference.
63 PCT Training Files GRS 20, 3b(1)
Electronic version of training material produced by the staff for internal and external Delete electronic version when the agency determines that it is no longer
training. needed for administrative, legal, audit, or other operational purpose.
62 PCT Training Files N1-241-96-3:59
Training material produced by the staff for internal and external training. Internal training a. Retain one record copy of the training material after the changes are
is for individuals involved in the PCT application process such as examiners, legal staff, made. Transfer superseded or obsolete material to Certified Records
and PCT Operations staff. PCT training is also given to external customers such as law Center when 5 years old, destroy when 10 years old.
firms and companies that deal with PCT applications. The files also include training b. Destroy when superseded or obsolete.
material and information packets distributed at various conferences such as the
"Secretaries and Administrators Conference" and the "American Intellectual Property Law
Association Conference." The training material is updated as PCT rules and procedures
change:
a. Record copy.
b. All other copies.
Patent Cooperation Treaty Special Programs (Cont.)
64 Quality Review Feedback Sheet N1-241-96-3:60
The legal staff conducts a sampling of Chapter 1 and 2 applications that were processed Destroy when no longer needed.
by the examining corps. The sampling includes a quality check for compliance with current
rules and regulations of the PCT for the International Preliminary Examination Reports
and the International Search Reports that are completed by the examiners. The feedback
sheet lists the application number, the assigned group, chapter number, whether the case
was approved, corrected, or returned, type of problem, and comments.
DEPUTY COMMISSIONER FOR PATENT OPERATIONS
Patent Examining Groups
65 Backlog Report for Technical Support Staff GRS 23, 8
PALM reports issued biweekly. Contains type of backlog in technical area. Backlog may Destroy or delete when 2 years old, or 2 years after the date of the last
include errors of omission such as files entered in the system for transfer but never mailed entry, whichever is applicable.
to destination, cases counted but not mailed, and other similar errors. Used by technical
support staff to correct processing errors.
66 BPAI Log/Database GRS 23, 8
Includes serial number, patent number, art unit, decision, and date of decision. Data is Destroy or delete when 2 years old, or 2 years after the date of the last
entered from Board of Patent Appeals and Interferences (BPAI) decisions noted in files entry, whichever is applicable.
returned to the examining group by the BPAI. Logs are maintained by fiscal year and used
to track information related to decisions made by the BPAI and as a specialized source for
examining group statistics reported monthly, quarterly, and annually.
Patent Examining Groups (Cont.)
67 Certificate of Corrections Log/Database GRS 23, 8
Includes serial number, patent number, due date, and date sent. Used to track patent files Destroy or delete when 2 years old, or 2 years after the date of the last
sent to examiners for Certificates of Correction. Logs are used to track processing and as entry, whichever is applicable.
a source for examining group statistics reported monthly, quarterly, and annually.
68 Critical Response Log/Database GRS 23, 8
Used to track office activity deadlines and provide timely responses for the Assistant Destroy or delete when 2 years old, or 2 years after the date of the last
Commissioner. Lists date request received, group due date, actual due date, group entry, whichever is applicable.
person responsible, respond to, date completed, and title of request. Used as a tickler
system for the group.
69 Director's Correspondence N1-241-96-3:28
All correspondence signed or issued by the group director and made available to the staff Close inactive files at the end of each fiscal year and destroy 3 years
for reference. after closure.
70 Examiners Case Action Worksheets GRS 23, 1
Form USPTO 1472 containing checked boxes for actions to be counted by technical staff. Destroy when 2 years old.
Lists serial number of case, application examiner's name, examiner's signature, and group
art unit. Used to document how cases were counted.
71 Examiners Docket Reports GRS 23, 1
Docket reports for individual examiners (PALM 31BW05 A-C and 31BW06 C) and Destroy when 2 years old.
Exam/Art Unit Docket Status (PALM 37AN60, 31BW10). Reports show cases assigned to
examiners in assignment order and cases assigned by art unit.
72 Examiners Interference Files N1-241-96-3:30
Central files compiled by examiners to check for interferences. Includes basic information Destroy when no longer needed.
on each interference. The cover of the affected application is usually photocopied and
included with penciled notations. May include claims or drawings. Filed by class and
subclass.
Patent Examining Groups (Cont.)
73 Examiners Search File N1-241-96-3:87
Copies of printed patents. Foreign and domestic patents are arranged first by group and Destroy when no longer needed for current agency business
then by subgroup. Domestic patents are filed using the standard patent classification (Supersedes NC1-241-76-1:132).
system. Foreign patents are filed using the International Patent Classification (IPC). The
foreign patent files may also contain non-patent literature consisting of reprints and
extracts from publications. Used for research by examiners in processing applications.
74 Examiners Time and Activity Report File GRS 1, 23a(5)
Biweekly report generated by the PALM system. Input is from Form USPTO 690E Destroy 4 years after date of appraisal.
maintained in the Examiners Performance Plans and Evaluation Files. The reports list
activities by category including training and other administrative or non-examining
activities, examining activities by type, new actions, hours, and leave. Used to determine
pay raises, promotions, and ratings. Retains information from the preceding 4 weeks.
75 Examiners Unofficial Sub-Class File Nonrecord
Examiners compilation of references, patents, and publications relating to a particular Destroy when no longer needed.
subject. Used for reference.
76 Floor Team Updates Log/Database (Fire Drills) GRS 23, 8
Log listing floor team and alternates for fire drills, and handicapped staff. Destroy or delete when 2 years old, or 2 years after the date of the last
entry, whichever is applicable.
77 Models, Exhibits, and Specimens N1-241-96-3:33
Models, exhibits, or specimens of the invention that accompany a patent application at the a. Return to the applicant upon demand and at his expense, unless it be
request of the patent examiner to determine if a patent should be granted and those deemed necessary that they be preserved in the Office.
submitted by applicant of his own volition to substantiate his claim. Also included are b. Physical exhibits in contested cases may be returned to the parties at
exhibits submitted in contested cases: their expense. If not claimed within a reasonable time, they may be
a. Requested by the patent examiner disposed of at the discretion of the Director.
b. Exhibits in contested cases c. Offer to the Patent Museum. (608.03(a) 37 CFR 1.95. Return of
c. Submitted by applicant to substantiate claims. models, exhibits or specimens; 715.07(d) Disposition of Exhibits)
78 Monthly Performance Rating for Technical Support Staff - Log/Database GRS 1, 23a(5)
Log of production for each technical employee taken from daily production sheets Destroy or delete 4 years after date of appraisal.
maintained in the Production Folder. Used to ascertain the performance of the technical
support staff for promotions, pay raises, and to expand their capabilities.
Patent Examining Groups (Cont.)
79 Patent Examiners Performance Plans Evaluation Files GRS 1, 23a(5)
Records related to employee goals and supervisory evaluations and supporting Destroy 4 years after date of appraisal.
documentation. Used during performance evaluations and signatory authority reviews.
80 Patent Pendency Reports N1-241-96-3:34
Reports produced by the PALM system or other internal systems from data input at each Destroy when superseded or no longer needed for current agency
point of processing. Used by managers to track overall production, pinpoint locations of business.
delay, for workload scheduling, and as a source for reports. Examples: Computer
Readable Format (CFR) processing reports, Potential Abandonment Listing; PCT Aging
Report. EXCLUDES employee specific reports used for evaluation Purposes.
81 Petitions Awaiting Decision Reports GRS 23, 8
PALM 3135 report listing every petition received, examiner it was assigned to, and what Destroy or delete when 2 years old, or 2 years after the date of the last
action has been taken. Used to assure rapid processing of petitions. entry, whichever is applicable.
82 Petitions Log/Database GRS 23, 8
Includes date received, serial number, art unit, type of petition, decision, and date mailed. Destroy or delete when 2 years old, or 2 years after the date of the last
Logs are maintained by fiscal year and used to track Patent Application Files sent to the entry, whichever is applicable.
group or art unit for decision and as a source for examining group statistics reported
monthly, quarterly, and annually.
83 Printer Waiting/Printer Rush Log/Database GRS 23, 8
Includes date received, serial number, date due, and date returned for cases received Destroy or delete when 2 years old, or 2 years after the date of the last
from the Office of System and Network Management for completion or correction. Logs are entry, whichever is applicable.
maintained by fiscal year and used to track the prompt processing of printer rush case
files.
84 Production Folders GRS 1, 23a(5)
Daily production sheets signed by each technical employee documenting actions Destroy 4 years after date of appraisal.
performed per hour/day. Filed by employee name and used in support of performance
issues.
85 Production Summary Sheet Log/Database GRS 23, 8
Summary sheets of daily production by technical staff. Used to monitor staff, improve Destroy or delete when 2 years old, or 2 years after the date of the last
production, and generate statistical reports. entry, whichever is applicable.
Patent Examining Groups (Cont.)
86 Quality Review Files GRS 23, 1
Copies of case sheets with checked boxes and explanations on cases reviewed for quality. Destroy when 2 years old.
Used as a reference by the group director.
87 Quality Review Log/Database GRS 23, 8
Includes columns for serial number, art unit, reason, date in, and date out. Maintained by Destroy or delete when 2 years old, or 2 years after the date of the last
fiscal year and used to track Patent Applications returned for completion or correction by entry, whichever is applicable.
examiners and technical staff.
88 Secretary's Briefing Book GRS 23, 8
Briefing book compiled by director's secretary containing instructions on operating Destroy or delete when 2 years old, or 2 years after the date of the last
equipment, procedures for processing paperwork, telephone numbers of people to call for entry, whichever is applicable.
information and repairs, and other general information intended for use by temporary
replacements when the secretary is away from her post.
89 Signatory Authority Review Log/Database GRS 23, 8
Log listing the steps and due dates for each examiner seeking authorization to sign Destroy or delete when 2 years old, or 2 years after the date of the last
documents and negotiate agreements for the USPTO. Used to ensure that each signatory entry, whichever is applicable.
review step is performed on time.
90 Special Patent Application Reports N1-241-96-3:36
Reports generated at the request of the Commissioner or other high level USPTO Destroy when 3 years old, or when no longer needed, whichever is later.
executives. Includes the tracking of applications and patents of a special nature and/or
with wide public interest. Examples: reports on transgenic animal patent applications
produced by Group 1800; reports on superconductivity patents produced by Group 1100.
Used by USPTO executives to keep abreast of, and respond to, public relations issues.
91 Statistical Reports/Patents to Printer N1-241-96-3:35
PALM statistical reports to management concerning the number of patents sent to the Destroy when no longer needed.
printer and the amount of backlog.
Patent Examining Groups (Cont.)
92 Supervisory Patent Examiner (SPE) Manager N1-241-96-3:32
Spreadsheet totals columns and calculates points and percentages used for award a. Delete when superseded or no longer needed.
amounts. Source data from PALM reports. Produces the Production & Workflow Report, a b. Destroy when updated report is received.
weekly report on each examiner listing the previous 14 pay periods with hours worked,
production, and the amount over or under the expected production. Used by Supervisory
Patent Examiners (SPEs) to track, manage, and report on examiners work production:
a. System
b. Reports
Office of Initial Patent Examination
93 Address Change Report GRS 23, 7a
Daily production report, listing address changes for patent applications that were entered Destroy when 3 months old.
the previous day. Report lists serial number, patent number, old addresses, location, and
new addresses, with labels to be affixed (Report A16 PRODUCTION, ASAP/DIRECTOR
PALM 36DA41).
94 Customer Correspondence N1-241-96-3:85
Correspondence from the applicants or their attorneys regarding the status of patent Cut off at end of fiscal year. Destroy after 3 years.
applications with a copy of the response from the Office of Initial Patent Examination.
[Status Letters are filed in the Patent application file per MPEP 8th edition]
95 Customer Window Sign-in Log GRS 23, 8
Daily log of services provided to customers, includes customer name, number of Destroy or delete when 2 years old, or 2 years after the date of the last
documents requested, and time and date of request. Used to track services provided to entry, whichever is applicable.
the public.
96 Disclosure Document Files N1-241-96-3:88
Documents submitted by inventors as evidence of the date of conception of an invention: a. Maintain with patent application.
b. Sent to Federal Records Center after two years. Destroy when 5
a. Disclosure documents that become part of a patent application filed within two years of years old.
disclosure document filing date.
b. Disclosure documents that do not have a corresponding patent application filed within
two years of disclosure document filing date.
Office of Initial Patent Examination (Cont.)
97 Provisional Patent Applications N1-241-02-2
Provisional Patent Applications are records regulated by the General Agreement on a. [Pending authorized update to N1-241-96-3:83; please reference
Tariffs and Trade (GATT), effective June 8, 1995 and the American Inventors Protection "Patent Case Files," N1-241-96-3:4(a) and Abandoned Applications," N1-
Act of 1999 (AIPA). These records may be relied upon, in an application that issues as a 241-96-3:7]. Temporary. Close Provisional Patent Applications at the
patent, to establish a U.S. filing date for an invention, among other things. Each end of each fiscal year and maintain in a separate file at the USPTO
application includes a cover sheet identifying it as a provisional application. The Repository. Transfer to the Certified Records Center 5 years after
Provisional Patent Application may be used by examiners to determine the earliest closure. Maintain for 40 years after closure or longer if needed for
effective filing date for a patent application: agency business.
a. Provisional applications referred to in a patent application that issued as a. patent b. [Pending authorized update to N1-241-96-3:83(b)]. Destroy after 5
b. All others. years old from filing date or when no longer needed for agency business.
(Supersedes N1-241-96-3:83)
Technology Center (P/3600) -- Licensing and Review
98 Certified Copies Log N1-241-96-3:40
Log of requests for certified copies of applications under Group 2200 360review. Includes Destroy form/pages when secrecy orders are rescinded.
name of requester, reason for request, application serial number, and date of request.
Used to track access to classified or confidential material.
99 Classified Mail Picked Up From Mail Room Vault Log GRS 18, 5a
Mail log listing receipt of amendments, powers of attorney, and other documents related to Destroy 5 years after documents shown on forms are downgraded,
security classified applications. Log includes sender name, application number, item transferred, or destroyed.
description, and date received. Used to track classified material.
100 Hand Carried/Walk In Mail Log GRS 18, 5a
Log of documents supplied by applicants, or their attorneys for inclusion in Patent Destroy 5 years after documents shown on forms are downgraded,
Applications which may be classified. Used to track the receipt of routine and classified transferred, or destroyed.
documents.
101 License and Review Database GRS 23, 8
Database of information on processing of security reviews of patent applications and Destroy or delete when 2 years old, or 2 years after the date of the last
petitions for license to file foreign patent applications. Data is input from bar code on files entry, whichever is applicable.
and is used to track cases through the 180 days allowed by law for completion. Database
produces two biweekly reports:
1) L & R Activity Report which tracks pendency for each process from filing to secrecy
order mailing. This report also includes average pendency by pay period from filing to
entry in database for each year from FY92; and
2) L & R Backlog Report which gives pendency in days from filing for each government
agency with totals. Used by management to determine where problems and backlogs
occur.
Technology Center (P/3600) -- Licensing and Review (Cont.)
102 Mail Log GRS 18, 5a
Log of responses to applicant. Includes date of security classification, classification type, Destroy 5 years after documents shown on forms are downgraded,
type of action, and applicant name. Used to track correspondence potentially important in transferred, or destroyed.
security breaches.
103 Mailing Receipts Classified GRS 18, 2
Return receipts for mail sent out from the office. Used to track classified documents. Destroy when 2 years old.
104 Microfiche Log/Database GRS 23, 8
Database log listing applications on microfiche sent to government agencies for review of Destroy or delete when 2 years old, or 2 years after the date of the last
national security issues or issues of government ownership. Includes names of agencies, entry, whichever is applicable.
date sent, application serial number, and related information. Used for general tracking
and to track information that may become classified.
105 NATO Log GRS 18, 5a
Log of responses to NATO related applications with date response was classified, type of Destroy 5 years after documents shown on forms are downgraded,
security classification, type of action, and applicant name. transferred, or destroyed.
106 New Applications With Security Classifications Log GRS 18, 5a
Log of applications marked "Secret" or "Confidential." Includes attorney's docket number Destroy 5 years after documents shown on forms are downgraded,
and applicant's name. Used internally to locate sealed applications and apply serial transferred, or destroyed.
number's issued by the Applications Branch. Also used to track the receipt of classified
material that may be top secret.
107 Paper Copy Log GRS 23, 8
Log listing paper copies of patent applications substituting for the microfiche usually sent Destroy or delete when 2 years old, or 2 years after the date of the last
to government agencies for review of national security issues or issues of ownership. entry, whichever is applicable.
Includes names of agencies, date sent, application serial number, and related information.
Used for general tracking and to track information that may become classified.
Technology Center (P/3600) -- Licensing and Review (Cont.)
108 Patent Applications Selected for Review for Security Issues N1-241-96-3:37
Applications received by Group 2200 for security review by defense agencies and the a. 1) Transfer to central files for continued processing when secrecy
Department of Energy (DOE). Group 2200 examiners also determine if the applications order is rescinded.
are allowable. These applications fall into one of the categories below. 2) Transfer to USPTO repository when secrecy order is rescinded.
a. Secrecy orders issued: b. Transfer to central files for routine processing.
1) Applications are allowable but patents cannot be issued until secrecy orders are
rescinded.
2) Applications abandoned by statute because subject matter of inventions are secret.
b. Cleared applications. Applications which are reviewed and cleared of security issues.
109 Patent Applications Submitted Under Secrecy Orders N1-241-96-3:38
Sealed applications received with security classification from defense agencies or the a. Transfer to Applications Branch for routine processing when secrecy
DOE remain unprocessed until secrecy orders are rescinded. Maintained in vault and order is rescinded.
processed for annual renewal of secrecy orders: b. Transfer to USPTO repository as Abandoned Applications when
a. Applications under secrecy order. secrecy order is rescinded.
b. Applications abandoned before examiner's determination of allowability.
110 PCT Log/Database GRS 23, 8
Log or database listing foreign patent applications received under the Patent Cooperation Destroy or delete when 2 years old, or 2 years after the date of the last
Treaty (PCT) for examiner searches. Log lists PCT application number, date received, entry, whichever is applicable.
examiner/art unit, date due, and completion date. Used to track files and ensure timely
processing.
111 P-License Requests Log (License to File a Foreign Patent) GRS 23, 8
Log of applications for foreign filing of patents. Includes applicant, attorney, date received, Destroy or delete when 2 years old, or 2 years after the date of the last
examiner/art unit, and government agencies contacted. entry, whichever is applicable.
112 P-Licenses N1-241-96-3:41
Petitions to the Director for license to file applications for patents in foreign countries. Break files by calendar year. Transfer to the Certified Records Center
Petitions from inventors who have filed a national patent application are filed with their when 3 years old. Destroy 25 years after date of issue.
application. Those without national applications are filed by P-number.
113 P-Licenses Card Index N1-241-96-3:86
Card index or electronic database to P-Licenses. Records include group number, filing Destroy when related P-license files are destroyed, or when 25 years
date, serial number (P-number), applicant, invention, date of license if granted, examiner, old, whichever is sooner (Supersedes NC1-241-76-1:44).
and government agencies contacted. Filed by date. Used to find P-number necessary to
recall files from storage at the Certified Records Center.
Technology Center (P/3600) -- Licensing and Review (Cont.)
114 P-Licenses Granted Log GRS 23, 8
Log of P-Licenses granted listing P-number, applicant, and date granted. Used to track Destroy or delete when 2 years old, or 2 years after the date of the last
files for applicants who petition for a license to apply for a foreign patent before applying entry, whichever is applicable.
for a U.S. patent.
115 Property Rights Process Log GRS 23, 8
Log listing quantity of work processed by group. Includes data on annual quantity of 45 Destroy or delete when 2 years old, or 2 years after the date of the last
day letters written, forms mailed, etc. Used as a source for information and a resource for entry, whichever is applicable.
report writing.
116 Requests For Rescinds Log GRS 23, 8
Log of requests by attorneys or applicants to have a secrecy order rescinded. Log Destroy or delete when 2 years old, or 2 years after the date of the last
includes application serial number, issuing agency, date of request, date mailed, and entry, whichever is applicable.
other related information. Used for tracking purposes.
117 Retroactive Licensing Log/Database GRS 23, 8
Database log created to track requests for retroactive Foreign Filing Licenses made by Destroy or delete when 2 years old, or 2 years after the date of the last
applicants who belatedly discover they are subject to the licensing requirement entry, whichever is applicable.
subsequent to filing for a foreign patent.
Office of Patent Publication
118 Bar Code Label Production Log GRS 23, 8
Log containing a list of the number ranges for bar code labels that have been issued. Bar Destroy or delete when 2 years old, or 2 years after the date of the last
code labels are used on case files for PALM and TRAM tracking. Bar code labels are entry, whichever is applicable.
produced daily for patents, and on request for trademarks and publications. Labels are
nonrecord until they are affixed to a case file.
119 Certificates of Correction Database GRS 23, 8
Database entered on receipt of request for correction. Includes patent number, inventor, Destroy or delete when 2 years old, or 2 years after the date of the last
attorney, date of original issue, issue date for correction, reviewer, and other information. entry, whichever is applicable.
Used to track processing and as a record of Certificates of Corrections issued or denied
since 1985.
Office of Patent Publication (Cont.)
120 Certificates of Correction Office Copy Files N1-241-96-3:79
Copies of certificate issued to state the fact and nature of a mistake in a patent. Filed by Destroy when 3 years old.
issue date and patent number. Used to replace lost copies.
NOTE: Original is attached to printed patent and filed in Patent Case File.
121 Customer Service File GRS 23, 8
Copies of Form USPTO-1257 requesting allowed applications from Customer Service. Destroy or delete when 2 years old, or 2 years after the date of the last
Includes the serial number, clerk, time, date, and remarks. Used to track requests for entry, whichever is applicable.
allowed applications.
122 Customer Service File Request GRS 23, 8
Computer printout listing the number of allowed applications requested by Customer Destroy or delete when 2 years old, or 2 years after the date of the last
Service, the time that it took to find them, and the number not found. Used to track allowed entry, whichever is applicable.
applications going to Customer Service.
123 Data Preparation Manual N1-241-96-3:61
Instructions to contractors detailing the procedures for preparing the 8mm tapes of Destroy when superseded or no longer needed.
optically scanned images, the data tapes of claims and classifications, and bibliographic
information from the PALM system. Used to print issued patents and the Official Gazette.
124 Draftperson's Production Log GRS 23, 8
Individual notebooks listing regular cases, sheets, and total number of approved drawings. Destroy or delete when 2 years old, or 2 years after the date of the last
Used to track production. entry, whichever is applicable.
125 Failed Issues N1-241-96-3:75
Printout of data entry errors for issues that fail the minimum allowable error rate. Used to Destroy when issues are resolved.
count errors.
126 Index of Patents Issued From the United States Patent and Trademark Office N1-241-96-3:64
Bound volumes and CD Rom (beginning with the 2002 index) published annually listing a. (See N1-241-05-2:1a)
patents that have been issued by the USPTO: b. Retain for as long as USPTO is in business.
a. Record copy. c. Destroy when no longer needed for reference.
b. Office copy.
c. All other copies.
Office of Patent Publication (Cont.)
127 Informal Equal Employment Opportunity Complaint Files GRS 1, 25c(1)
Background material such as printed e-mail messages used to document the history of Destroy 2 years after final resolution of case.
various EEO complaints.
128 Informal Equal Employment Opportunity Complaint Files: Cases not Developed GRS 1, 25c(2)
Background material used to document potential EEO complaints. Destroy when 2 years old.
129 Job Control GRS 20, 1c
Control documentation of production jobs executed on the mainframes. Logs maintained Delete/destroy when the agency determines that they are no longer
by each system constitute the record of system activity. needed for administrative, legal, audit, or other operational purposes.
130 Official Gazette Notices Log GRS 13, 2a
Log listing the title of the notice, issue date, and date sent to the printer. Used to verify the Destroy 1 year after completion of the job.
status of notices to be printed in the Official Gazette.
131 Official Gazette of the United States Patent and Trademark Office: Patents N1-241-96-3:63
Copies of the Official Gazette, the official publication of USPTO used to notify the public of a. (See N1-241-05-2:1a)
newly issued patents, expired patents, official USPTO notices, and other related b. Retain for as long as USPTO is in business.
information: c. Destroy when no longer needed for reference.
a. Record copy
b. Copy - USPTO. NOTE: No longer in print
c. All other copies.
132 Patent Printing Invoices GRS 3, 3c
Copies of requisitions and invoices for patent print orders from the Government Printing Destroy after three years.
Office (GPO). Used to check for accuracy before being sent to the Office of Finance for
payment.
133 Patent Query Report File GRS 13, 2a
Control forms used as input for a report evaluating the kinds and quantity of mistakes Destroy 1 year after completion of the of job.
made by the patent examiners.
134 Patent Withdrawal Notice File GRS 13, 2a
Form USPTO 302 listing patents withdrawn from publication and their substitutes. Used to Destroy 1 year after completion of the of job.
reorder the sequence of patents printed in the Official Gazette.
Office of Patent Publication (Cont.)
135 Plant Patent Color Prints Nonrecord
Extra copies of color prints for plant patents used for public sale. Destroy when no longer needed for sales.
136 Pre-Grant Publication Project Files Nonrecord
Copies of memos from the Project Manager relating to the publication process for PG- Destroy when no longer needed for reference.
Pub. Also includes copies of action items, statistical data, and manuals regarding data
preparation. Used for reference purposes.
137 Preliminary Input Files for Dissemination Products and Publications N1-241-05-2:4 (Previously N1-241-96-3:73)
Working copies, drafts, correction notices and the like are used to create a final product Temporary: Destroy 6 months after issue of the related publication, or
or publication that has a temporary disposition. These include final drafts of information when no longer needed for reference, whichever is sooner.
pages and brochures, drafts of assignment source materials, draft galley inputs to the
Official Gazette, and PTDL program and newsletter publication drafts.
138 Printer Invoices GRS 13, 3
Copies of audited printer invoices used to authorize payments. Destroy 3 years after close of fiscal year in which compiled or 3 years
after filling of register, whichever is applicable.
139 Printer Production Reports GRS 13, 3
Computer generated reports listing statistics such as patent number, number of pages, Destroy 1 year after close of fiscal year in which compiled or 1 year after
number of ledger offset copies to be printed, and number of one and two sided pages. filling of register, whichever is applicable.
Used to audit the invoices from the printer.
141 Production Documentation GRS 20, 1c
The record copy of all production job documentation. Documentation is used to diagnose Delete/destroy when the agency determines that they are no longer
problems. needed for administrative, legal, audit, or other operational purposes.
140 Production Documentation GRS 20, 11a
A reference library consisting of the record copy of the documentation for all production Destroy or delete when superseded or obsolete, or upon authorized
jobs executed on the A16. Documentation is used to diagnose problems. deletion of related master file or database, or upon the destruction of the
output of the system if the output is needed to protect legal rights,
whichever is latest.
Office of Patent Publication (Cont.)
142 Publication Tape File GRS 20, 6
Magnetic media in postscript format which are reproduced and disseminated as Delete when the agency determines that they are no longer needed for
publications or used for reproducing a printed publication. administrative, legal, audit, or other operational purpose.
143 Published Issues Inspection Report N1-241-96-3:77
A statistical selection of contractor's data entry errors. Used as a quality control for data in Destroy when 3 years old.
the patent text database and the photocomp driver tape. Also used as a criterion to
determine payment to the contractor.
144 Quality Assurance Information Bulletin N1-241-05-2:4 (Previously N1-241-96-3:62)
Bulletin and supporting documentation used to modify task orders for contractors Temporary: Destroy 6 months after issue of the related publication, or
preparing data tapes for the Official Gazette and issued patents. Also used as text for the when no longer needed for reference.
Data Preparation Manual:
Working copies, drafts, correction notices and the like are used to create a final product
or publication that has a temporary disposition. These include final drafts of information
pages and brochures, drafts of assignment source materials, draft galley inputs to the
Official Gazette, and PTDL program and newsletter publication drafts.
145 Rejection of Grant Copies Report N1-241-96-3:71
Report listing the issue date, rejections, problems, time called, date, and returns. Used to Destroy 2 years after issue.
remove rejected grant copies from the printing process.
146 Review and Assembly Sheets GRS 13, 2a
Sheets listing errors or clearance for pre-mailing inspection of patent grants. Copies Destroy 1 year after completion of the job.
submitted to the Review and Assembly Section of the Production Control Branch. Used to
document quality control. Sheets listing errors or clearance for pre-mailing inspection of
patent grants. Copies submitted to the Review and Assembly Section of the Production
Control Branch. Used to document quality control.
147 Statistical Reports Files GRS 23, 8
Copies of various statistical reports used to track the number of patents issued, Destroy or delete when 2 years old, or 2 years after the date of the last
Certificates of Corrections issued, and the number of errors found in the Full Patent Text entry, whichever is applicable.
Database.
Office of Patent Publication (Cont.)
148 Status of Inventors' Copies Report N1-241-96-3:68
Volume of patents by type and processing stages. Used to track patent applications Destroy 2 years after issue.
before mailing the printed patent to the inventor.
149 Statutory Disclaimers N1-241-96-3:82
Camera ready copies of documents which disclaim complete claim(s) of patent. Record Destroy when 3 years old.
copy is filed in patent files by issue date. Used to make reproductions for misplaced copies
in the patent files.
150 Statutory Disclaimers Database GRS 23, 8
Database entered on receipt of Statutory Disclaimers. Includes patent number, inventor, Destroy or delete when 2 years old, or 2 years after the date of the last
attorney, date of original issue, approved or denied, issue date if approved, reviewer, and entry, whichever is applicable.
other information. Used to track processing and as a record of Statutory Disclaimers since
1985.
151 Transmittal Memos File Nonrecord
Copies of acceptance or rejection memos to the database contractor regarding inspection Destroy when no longer needed for reference.
results on the accuracy of the Full Patent Text Database. Used for reference purposes.
152 U.S. Patent and Trademark Office Core Publications N1-241-05-2:1a (Previously N1-241-96-3:63a, N1-241-96-3:64a)
Includes the record copy of the Official Gazette of Patents and Trademarks, which is an Permanent: Transfer publicly available core publications to NARA
official publication of the USPTO of newly issued patents, trademarks, expired patents, annually when 5 years old
official USPTO notices, and other related publications and indexes.
153 Weekly Issue Slips File GRS 13, 2a
Weekly report of patents printed listing the number of the types of patents that have been Destroy 1 year after completion of the of job.
printed. Used to determine the volume of patents and what kind of patents have been
issued. Also used to check the accuracy of information to be published in the Official
Gazette.
154 Weekly Production Files GRS 1, 23a(5)
Monthly files of sheets showing weekly record of daily production submitted by each Destroy 4 years after date of appraisal.
employee. Used to track employee production for evaluations and grievances.
Office of Patent Publication (Cont.)
155 Withdrawal Letter Form File GRS 13, 2a
Forms used to remove the description, publication date, and publication serial number Destroy 1 year after completion of the print job.
from the PALM system for an issued patent withdrawn from publication.
Patent Training Academy
156 Allowed Cases Batch Report (PALM Report 2A20PR1) N1-241-96-1:14
A preliminary report received daily from PALM listing the new cases allowed for quality Destroy when 3 months old or when no longer needed, whichever is
sampling. Report lists serial number, examiner name, location and dates, class and sooner.
subclass.
157 Bulk Transfer Database GRS 23, 8
Database containing information on cases that are transferred in-bulk from one group to Destroy or delete when 2 years old, or 2 years after the date of the latest
another. Includes serial number, destination, and respective dates. entry, whichever is applicable.
158 Manual of Patent Examining Procedure N1-241-96-7:24
The Manual is published to provide United States Patent and Trademark Office patent a. Permanent.
examiners with a reference copy on the practices and procedures relative to the 1) Editions prior to the sixth edition (1994): Transfer one complete
prosecution of patent applications before the United States Patent and Trademark Office. edition with all revisions directly to the National Archives 40 years after
It contains instructions to examiners, as well as other material in the nature of information the MPEP is superseded by a new addition.
and interpretation, and outlines the current procedures which the examiners are required 2) Sixth and later editions: Transfer one complete printed edition with
or authorized to follow in appropriate cases in the normal examination of a patent all revisions to the National Archives when a new edition is published.
application. The Manual does not have the force of law or the force of the Patent Rules of b. (See N1-241-05-2:3)
Practice in Title 37, Code of Federal Regulations: c. (See N1-241-05-2:3)
a. Record copy (published paper copy) d. Destroy when no longer needed for reference.
b. Microfilm records
c. Electronic files.
d. All other copies.
159 Patent Applications Files Used For Training N1-241-96-7:28
Copies of current Patent Applications used by the Academy for training students. These Destroy when superseded or obsolete.
files are updated as needed to reflect the changing rules and procedures of the Patent
and Trademark Office.
Patent Training Academy (Cont.)
160 Quality Review of Sample of Allowed Patent Applications N1-241-96-1:15
Monthly report on allowed cases for quality review: a. Destroy 1 month after statistical report is issued.
a. Working papers used to prepare monthly statistical report b. Destroy 1 month after statistical report is issued.
1) Paper
2) Electronic - Includes databases for allowed cases, abandoned cases, and reissues.
b. Monthly Statistical Report
1) Paper
2) Electronic.
161 Quality Review Subject Files N1-241-96-1:16
Subject files containing record copy of correspondence, reports, meetings, conferences Break closed files by fiscal year, and transfer to Certified Records
and informational material used as a resource for the office. Center. Destroy when 10 years old.
162 Re-examinations Log GRS 23, 8
Log book listing incoming re-examinations. Log lists receive date, reviewer, art unit, Destroy or delete when 2 years old, or 2 years after the date of the latest
comments, completion date, and serial number. entry, whichever is applicable.
163 Reissue Log GRS 23, 8
Log book containing information on reissues. Log lists receive date, reviewer, art unit, Destroy or delete when 2 years old, or 2 years after the date of the latest
comments, completion date, and serial number. entry, whichever is applicable.
164 Training Manuals for the Automated Patent System (APS) GRS 24
Automated Patent System training manuals consist of: "Text Search and Retrieval," a. Retain one record copy of the training material produced when
"Reference Manual for Text Search and Retrieval," "Manual of the APS," and "Image." changes and updates are made. Transfer superseded or obsolete
These manuals are updated periodically to reflect system changes and are distributed material to Certified Records Center when 3 years old, destroy when 5
throughout USPTO: years old.
a. Record copy b. Destroy when superseded or obsolete.
b. All other copies.
DEPUTY COMMISSIONER FOR PATENT RESOURCES AND PLANNING
Search and Information Resources Administration
165 After Final Flag Flips Report File GRS 20, 1c
PALM 3415 reports of attempts to backdate an entry. Used to discourage backdating. Destroy when the agency determines they are no longer needed for
administrative, legal, audit, or other operational purposes.
166 Appraisal of Examiners System N1-241-96-7:4
PALM reports related to examiner appraisals. Used to analyze relationships between Destroy when no longer needed.
training, quality, and expenditure of funds, and to evaluate the examiner appraisal system.
167 Automation Council - Working Papers GRS 16, 8b(2)
Working papers and background records related to participation on the Automation Destroy when 3 years old.
Council.
168 Backup Diskettes for Models and Office Projects GRS 20, 8b
Backup diskettes for software models and data, software on workstations for new planning Delete when identical records have been deleted or when replaced by a
system, new budget modeling system, and others. subsequent security backup file.
169 Bank Card System - Approval 1990 N1-241-05-1:5c (Previously N1-241-96-7:5)
Authorizations for office credit cards with instructions on bank card use and security. Temporary: Destroy 2 years after authorization expires.
Purchase documents maintained in administrative files. Used to comply with bank card
regulations.
170 Budget Models and Briefings N1-241-05-1:6c (Previously N1-241-96-7:6, N1-241-96-7:7)
Statistical models, spreadsheets, data files and other records used to analyze forecasts of Temporary: Destroy when no longer needed.
USPTO budget information. Also, models used for reconstruction and research, and
materials used to brief new budget analysts, new directors and others in the USPTO.
These are records not covered under the GRS or other budget retention series.
Search and Information Resources Administration (Cont.)
171 Center Administrative/Subject Files GRS 27, 5
Record copy of correspondence, reports, and memoranda relating to support of IT Cut off annually. Destroy/delete when 5 years old.
program objectives.
Records that include briefings, presentations, studies, and other documents created to
support IT program objectives; responses to and decisions on matters affecting the IT
program; or operational and managerial guidance to all organizational segments of the
agency.
172 Chief Financial Officer (CFO) Reports - OPPC Input N1-241-96-7:8
Information and data compiled by OPPC for the CFO's reports. Break files by fiscal year. Destroy when 3 years old.
173 Delegations of Authority N1-241-05-1:4c (Previously N1-241-96-7:9)
Delegations of authority issued when duties and responsibilities have to be temporarily Temporary: Destroy 5 years after termination of delegation.
reassigned.
174 Deletes of Passwords GRS 20, 1c
PALM 3687 reports of passwords to be deleted. Used to remove user authorization from Destroy when the agency determines they are no longer needed for
PALM. administrative, legal, audit, or other operational purposes.
175 Engineering Change Requests GRS 24, 3b(2)
Requests for changes in PALM program modules. Used to document reasons a module Destroy/Delete when 3 years old or 1 year after termination of system,
was changed. whichever is sooner.
(2) Records of routine IT maintenance on the network infrastructure documenting
preventative, corrective, adaptive and perfective (enhancement) maintenance actions,
including requests for service, work orders, service histories, and related records.
176 Enterprise Model Operations Budget System N1-241-96-7:10
Planning model on budget forecasting and control. System under development but Delete when no longer needed to update or produce hard copy.
currently composed of several subsystems in BASIC, DBase, and Excel. Used to generate
budget documents, forecasts, and other statistical reports on production and costs for
long term planning and program control.
Search and Information Resources Administration (Cont.)
177 Enterprise Model Working Papers N1-241-96-7:11
Working papers on Enterprise Model. This model will link other models so that changes in Destroy when no longer needed for reference.
data in any one model will cause the data to be updated in all dependent models.
178 Evaluation Division Correspondence N1-241-96-7:79
Correspondence includes improvements suggested by users, responses to reports, and Destroy when no longer needed to evaluate the APS system.
hard copies of e-mail. Used to evaluate APS.
179 Examiners' Education Travel N1-241-96-7:22
Reports and related working papers containing costs projections for examiners receiving Break files by fiscal year. Destroy when 5 years old.
training. Issued by OPPC for distribution to examining groups. Used to estimate travel
costs for forecasting and budgeting purposes.
180 Fee Income Working Papers N1-241-96-7:12
Working papers for projections of fees based on anticipated work load. Used primarily to Break files by fiscal year. Destroy when 5 years old.
estimate funding (budget) levels.
181 Financial Obligation Statements Reports N1-241-96-7:13
Finance-produced accounting reports containing hours charged and costs. Produced in Destroy when no longer needed for forecasting or research.
monthly and quarterly editions, superseded by the annual report. Used for research into
activities as they relate to labor hours.
182 Fund Status Reports GRS 23, 1
Reports from Finance detailing expenditures by account number. Used to track Destroy when 2 years old.
expenditures.
183 Government Performance Results Act (GPRA) Working Papers GRS 27, 4
Background and working papers generated to comply with the GPRA. Cut off annually. Destroy/delete when 5 years old.
Records documenting agency compliance with Federal IRM laws and regulations,
including systems and reports created to support compliance with the mandates of OMB,
GAO, and other Federal IRM and IT oversight agencies.
Search and Information Resources Administration (Cont.)
184 Improper Attempts to Sign-On Report File GRS 20, 11b
PALM 2506 reports of daily failed attempts to access PALM. Used to protect PALM from Destroy when superseded or obsolete.
unauthorized access.
185 Incidence and Distribution Reports N1-241-96-4:50
Reports used to analyze incidence and distribution of patents or other disseminated PTO (See N1-241-05-2:6h)
products by various characteristics such as class, type, or geography:
186 Information Dissemination Organization Products and Services Catalog N1-241-96-4:8
A manual of services which are available to the public and to USPTO staff from the a. (See N1-241-05-2:3)
Center. b. (See N1-241-05-2:3)
NOTE: Manual is scheduled for completion in 1995:
a. Record copy
b. All other copies.
187 Inspector General (IG) Requested Materials Nonrecord
Copies of materials requested by the IG. Retained to resupply IG staff. Destroy when no longer needed.
188 International Claims File N1-241-96-7:34
Correspondence from countries making patent claims for patent related products based Destroy 2 years after resolution of claim.
on USPTO bilateral agreement obligations. Used to document claims and USPTO
responses.
189 International Exchange Agreement File N1-241-96-7:35
Correspondence with exchange partners regarding reciprocal exchange of patent related Destroy 20 years after the latest agreement expires, or when no longer
products. Includes requests for information on USPTO practices and policies. Used to needed for current reference.
document correspondence. NOTE: these files may not be transferred to the Certified Records Center
under this authority.
190 International Liaison Staff Committee Working Papers N1-241-96-7:84
Correspondence for the Standing Committee on Information Technologies (SCIT) and the Destroy when no longer needed for current agency business
Patent Cooperation Treaty Committee for Technical Cooperation (PCT/CTC) committees. (Supersedes NC1-241-76-1:68a).
Includes working papers and notes. Used for reference purposes on future projects.
Search and Information Resources Administration (Cont.)
191 International Liaison Training Files N1-241-96-7:36
Includes copies of lecture materials including audiovisuals. Used to train USPTO staff and Destroy when superseded or obsolete.
contractors, etc., on significant changes in International agreements, as needed.
192 Inventories of Patent Applications GRS 20, 3b(3)
PALM 2A95 reports of patent applications by class and subclass received by the Office of Destroy when the agency determines that they are no longer needed for
Initial Patent Examination (OIEP)). Used for short-term administrative purposes. administrative, legal, audit, or other operational purposes.
193 New Hires and Attrition (Clerical) GRS 5, 3b
Working papers and reports related to the rate of hiring and attrition of clerical workers in Destroy when 3 years after the end of the fiscal year.
the patent corps. Produced by OPPC for distribution. Used for budgeting and forecasting
purposes.
194 OPBUDGET Records N1-241-98-1:1
The Office of Patent Programs Control (OPPC) uses OPBUDGET to monitor and track a. Maintain online for 2 years; maintain offline 5 years thereafter; destroy
revenue and expenditure actuals against the budget baseline. The budget baseline when 7 years old.
includes projections of revenue generated from the patent process including filing, b. Update as needed for current agency business.
processing, issue, and maintenance fees. Expenditures include minor items such as c. Transfer to the Configuration Life Cycle management Library when
supplies and furniture purchases, and major items such as examiners' salaries. Actuals system is operational.
are monitored and reconciled with the Office of Finance records on a weekly basis against
the budget baseline. Adjustments are made to the budget and/or to projected spending
for the fiscal year as required. This is a standalone system, utilizing the Gentia COTS
product:
a. Data
b. Software
c. Documentation.
195 Operating Budgets GRS 5, 2
Cost statements, rough data, and similar materials used to prepare annual budget Destroy 1 year after the close of the fiscal year covered by the budget.
estimates. Includes duplicates of budget estimates, justifications, appropriation language
sheets, narrative statements, and related schedules. Also includes working papers,
supporting information, and originating offices' copies of reports submitted to budget
offices.
Search and Information Resources Administration (Cont.)
196 OPPC Subject Files N1-241-96-7:15
Program files on topics concerned with the office mission. Includes program policies and Destroy when 5 years old or when no longer needed, whichever is later.
procedures; statistics and analysis of patent production, pendency, staff attrition, clerical
staffing, and complexity creep; and related research topics. Contains record copy of
correspondence, cost data, and program reports. These files also contain the following
routine administrative records: administrative issuances, administrative procedures,
personnel procedures and SF 52's, office space plans, records management, and vital
records.
197 Oversight Report File N1-241-96-7:77
Reports to oversight groups including GSA, GAO, and Congress. Used to document Destroy when 5 years old, or when no longer needed, whichever is later.
USPTO reporting to oversight groups.
198 PALM Daily System Reports GRS 20, 1c
Daily report of mainframe use. Only a one day sample per month is saved. Used for Destroy when the agency determines they are no longer needed for
statistical analysis and forecasting. administrative, legal, audit, or other operational purposes.
199 PALM Modifications Pending Report File GRS 20, 1a
Contractor reports used to document delays in PALM modifications. Destroy when the agency determines they are no longer needed for
administrative, legal, audit, or other operational purposes.
200 PALM Reports N1-241-96-7:16
PALM reports include but are not limited to the following: Applications Received By Type Destroy when no longer needed.
of Technology; Exam New Case Action Profile; Class New Case Action Profile; Potential
Abandonment and Examiner's Pull Listing; Examiner Combined Quarterly Review; Listing
Pending Patent Application Files; and Patent Pendency Reports. Used as a source of data
for models and for other research.
201 Patent Office Budgets N1-241-96-7:17
Budget documents dating back to 1971. Includes details on annual funding of existing Destroy when no longer needed.
office programs, funding for new programs, government initiatives, special one-time
projects, and trial projects. Used for historical research.
202 Personal Service Reports for Patent Corps N1-241-96-7:18
Reports related to consulting and other personal services provided to the USPTO. Used Destroy when 4 years old or when no longer needed.
for research in budget preparation and for statistical reporting.
Search and Information Resources Administration (Cont.)
203 Production Planning and Evaluation (Historic Documentation) N1-241-96-7:19
Research materials for Patents Strategic Planning Report and program evaluation Destroy when no longer needed for forecasting or research.
activities.
204 Professional Staffing Reports N1-241-96-7:20
Monthly reports listing number of professional staff by examining group, new hires, and Break files by fiscal year. Destroy when 5 years old.
attrition. Issued by OPPC from Roster Databases for distribution throughout the USPTO.
Management tool used for budgeting of recruitment and training.
205 Project Implementation Files GRS 16, 5
Includes task descriptions, task modifications, reports, notes, memos, and assignments. Destroy 1 year after the year in which the project is closed.
Used to document and control internal USPTO automation implementation projects.
206 Project Software Development Files N1-241-96-5:62
Files maintained by the Automated Patent System (APS) user representative containing Transfer to the Certified Records Center 5 years after end of project or
flowcharts, working papers, requirements, user study materials, memoranda, reports, and when taken out of production. Destroy 10 years after transfer to the
other records used to develop the software to use the APS. Includes notebooks that Certified Records Center.
document the evolution of the software, the input of the APS user staff on the
development, and software user training.
207 Reviews of Automated Patent System (APS) N1-241-96-7:76
Includes reports from GAO, the Independent Review Team, Federal Quality Institute, Destroy when no longer needed to evaluate the APS system.
Business Council, APS Industry Review Panel, Center for Quality Services, and DOC
Decision Analysis Center. Used to evaluate APS.
208 Roster Databases GRS 20, 4
Roster of USPTO employees. Condor 5 database system produces Professional Staffing Delete when the agency determines that they are no longer needed for
Reports distributed to other USPTO offices, and is a source for planning models. administrative, legal, audit, or other operational purposes.
NOTE: Duplicates data in the Federal Personnel System in New Orleans, but composition
and formatting are different.
209 Running Plans GRS 1, 23a(5)
Detailed report on production goals of examining groups. Primarily used to appraise the Destroy 3 years after date of appraisal.
performance of examining directors for ratings.
Search and Information Resources Administration (Cont.)
210 Search and Information Research Administration (SIRA) Model Work Papers GRS 27, 6
Working papers consisting of comments, references, worksheets, and drafts. Produced in Cut off annually. Destroy/delete when 5 years old.
development of a revised SIRA model.
Records not otherwise identified in the General Records Schedule #27 that include
briefings, reports, presentations, studies, correspondence, and other documents created
to support IT program objectives; responses to and decisions on matters affecting the IT
program; or operational and managerial guidance to all organizational segments of the
agency.
211 Search and Information Resources Administrator's Subject Files N1-241-05-2:6b (Previously N1-241-96-7:31)
News articles, memos, reports, issuances, and committee handouts used as resources Temporary: Close inactive files at the end of each fiscal year and destroy
supporting the administration of patent information dissemination. Subjects include, but 5 years after closure
are not limited to, automation of patent processes, budgets, classification operations,
monthly reports, and international intellectual property agreements and trends.
212 System Problem Reports GRS 20, 1c
Notification of apparent bugs in PALM. Used to prepare Engineering Change Requests. Destroy when the agency determines they are no longer needed for
administrative, legal, audit, or other operational purposes.
213 Terminal Master Listings GRS 20, 1c
PALM 3595 and PALM 3593 reports matching specific terminals with authorized users. Destroy when the agency determines they are no longer needed for
Used to identify terminals with users. administrative, legal, audit, or other operational purposes.
214 Test and Evaluation Project Files GRS 16, 5
Includes reports, studies, results of surveys, notes, and recommendations for the Destroy 1 year after the year in which the project is closed.
development, implementation, maintenance, and improvement of APS. Used as
documentation of assignments, progress, and completion of projects.
Search and Information Resources Administration (Cont.)
215 User Feedback File GRS 24, 1a
Notes, correspondence, and survey results used to document suggestions for improving Destroy/delete when 10 years old
USPTO automated systems, under the USPTO Patent Search and Information Resources
Administration Program.
Records relating to the development of agency IT programs. Included are records that
document agency-wide IT goals; specify milestones to be achieved; identify performance
measures for the agency's IT portfolio; or summarize the underlying principles and
approach by which the agency will plan for and manage its IT resources. Records may
include strategic and tactical plans documenting the implementation and maintenance of
IT systems in support of the agency mission and also may include records supporting
formally issued plans, such as records of concurrence, comments, clearances,
justifications, and other issuance records.
[Note: This item does not apply to the data content or design of individual IT systems.
Records relating to specific mission-related systems must be scheduled individually by
submission of an SF 115 to NARA.]
Records of Agency-wide or Departmental CIO
216 WIPO Circulars and Related Files Nonrecord
Correspondence and documentation produced by WIPO and its working groups. The Destroy when superseded or obsolete.
Office of Legislation and International Affairs maintains a nonrecord copy with the
disposition "Destroy when no longer needed for USPTO business."
217 Working Papers, Legal and Regulatory Compliance N1-241-05-1:3e (Previously N1-241-96-7:14)
Background and working papers generated to comply with the Government Performance Temporary: Destroy/Delete when 3 years old or when no longer needed.
Results Act (GPRA) and other legislation.
218 Zero-Based Analysis N1-241-96-7:23
Historical files of zero-based analysis accounting program, instituted in 1978 and Destroy when no longer needed.
discontinued in 1979. Series of papers done for Commissioner Parker on pendency.
Contains working papers, books, and reports.
Scientific and Technical Information Center
Scientific and Technical Information Center (Cont.)
219 Accession Register N1-241-96-7:57
Handwritten register of daily accessions. Lists date received, accession number, and Destroy or delete when no longer needed.
initials of individual handling the accession. Replaced by Online Catalog System. Used to
track incoming publications.
220 Automated Biotechnology Sequence Search System (ABSS) - Data Files N1-241-96-7:64
The ABSS system accommodates amino and nucleic acid molecular sequence searching a. See GRS 24, 11b
requirements of the biotechnology and chemical examining groups. ABSS activities include b. Permanent. Transfer to NARA when no longer needed for USPTO
searching of DNA/RNA sequences using commercial sequence searching software and business.
processing of molecular sequence listings in computer readable form (CRF) as part of c. Delete data 2 years after abandonment with related case file.
biotechnology patents. The system is available 24 hours per day, seven days a week, to d. Permanent. Transfer to NARA with data files. (SEE Software Product
support examination efforts. Assurance Div. CLC Management Library b.).
NOTE: The full DNA Sequence Listing is downloaded in hard copy and placed in the
application:
a. System software
b. Data files for granted patents.
c. Data files for pending and abandoned patents.
d. Documentation.
221 Automated Biotechnology Sequence Search System (ABSS) System Backups - GRS 24, 4
ELECTRONIC
Electronic copy, considered by the agency to be a Federal record, of the master copy of a.
an electronic record or file and retained in case the master file or database is damaged or (1) Delete/destroy incremental backup tapes when superseded by a full
inadvertently erased. backup, or when no longer needed for system restoration, whichever is
later.
a. Backup tapes maintained for potential system restoration in the event of a system (2) Delete/destroy full backup tapes when second subsequent backup is
failure or other unintentional loss of data. verified as successful or when no longer needed for system restoration,
(1) Incremental Backups whichever is later.
(2) Full Backups b. Destroy/delete when superseded or obsolete.
b. Tape library records including automated files and manual records used to control the
location, maintenance, and disposition of magnetic media in a tape library including list of
holdings and control logs.
222 Biotechnology & Chemical News Bulletin GRS 23, 7
Newsletter containing searching hints, new products available in the library, and new Destroy when 3 months old.
technologies. Used as an informational resource for the public and USPTO staff.
Scientific and Technical Information Center (Cont.)
223 Biotechnology Sequence Listing N1-241-96-7:63
Original input containing raw DNA sequence listings submitted by applicants. The a. Maintain until abandoned or issued.
sequence listing is in computer readable format (CRF) and the data is downloaded into b. Destroy 5 years after issue.
the ABSS system. c. Destroy 2 years after abandonment.
a. Diskettes for Pending Applications
b. Diskettes for Issued Patents
c. Input for Abandoned Patents.
224 Biotechnology/Chemical Library Collection Nonrecord
Consists of nonpatent publications acquired by USPTO and used for reference purposes. Offer to PTDLs or the Library of Congress as part of the Gift and
Includes books, periodicals, microfilm, and microfiche. Also includes dial-up access to Exchange program when no longer needed for USPTO business.
online commercial databases and access to CD-ROM databases for full-text searching.
Library serves Chemical/Biotechnology Examining Groups 1800, 1500, 1200, and limited
public services.
225 Book Order File GRS 23, 8
Copy of examiner's or other staff member's request form for scientific and technical non- Destroy or delete when 2 years old, or 2 years after the date of the last
patent literature. Includes signature of Supervisory Patent Examiner (SPE) used to entry, whichever is applicable.
authorize purchase. Copy kept to ensure order was filled.
226 Branch Database GRS 23, 8
Includes locator information for translation reference materials permanently assigned to a. See GRS 24, 11b
the Branch. Used to account for reference materials on loan from the main collection: b. Destroy or delete when 2 years old, or 2 years after the date of the
a. System software last entry, whichever is applicable.
b. Data files.
227 Combined Search Log N1-241-96-7:59
Includes log-in date, requestor, art unit, serial number, type of search, total processing Destroy or delete when no longer needed.
time, search costs, and other information. The Log is used to track requests and to
generate statistics.
228 Computer Readable Format Error File N1-241-96-7:65
Original erred CRF diskette and copy of the ABSS Error Report. Lists problems Destroy when corrected diskette is submitted and data is entered into
experienced when processing the diskette, such as the detection of a virus or the ABSS and verified.
Sequence Listing not converted to ASCII (DOS) text. Original error report is filed with
application. Used to document errors.
Scientific and Technical Information Center (Cont.)
229 Current Publications Lists GRS 23, 8
Current listings of new books and journals acquired by STIC, for patron reference. Destroy or delete when 2 years old, or 2 years after the date of the last
Includes Library Acquisitions List, Journals Currently Received List, and Government entry, whichever is applicable.
Printing Office Titles List. Used by Branch to track STIC library material.
230 Foreign Document Translations Nonrecord
Original translations of foreign documents by Branch staff and contractors for use by Destroy when no longer needed.
examiners. Branch translations are exclusively electronic but contractors produce both
hard copy and electronic versions. Documents are indexed by the TRACK Database.
Maintained to avoid duplication of translation effort. Also used to track location of
documents.
231 Foreign Patent Documents Nonrecord
Foreign patent documents received under bilateral exchange agreements with individual a. Offer to PTDLs or the Library of Congress as part of the Gift and
countries. Documents may be on one or more of the following media: microform, paper, or Exchange Program when no longer needed.
compact disk (CD-ROM). Documents are indexed by the Receipts Records System. Used b. Offer to PTDLs or the Library of Congress as part of the Gift and
as the source documents for foreign patent searches in accordance with the USPTO's Exchange Program when superseded or no longer needed.
standing as an international patent search authority. Also used by examiners and the
public to establish the date of receipt by the USPTO for priority determinations:
a. Record copy
b. All other copies.
232 Information Dissemination Product Reference N1-241-05-2:5 (Previously N1-241-96-7:62b)
This covers information products and publications that are short-term temporary materials Delete when no longer needed for current agency business.
associated with reference and bibliographic materials that are inherently non-record but
are considered short-term temporary records because of the nature of supporting the
unique dissemination mission of the USPTO. Materials posted to the Web that are used
for public reference are considered to be dissemination products.
The USPTO develops and constantly improves upon methods of disseminating Patent and
Trademark information. The office recognizes a certain number of these methods as
“search systems.” These are disseminated both free of charge and through
subscriptions.
233 Informational Files Nonrecord
Includes information on copyright laws, commercial databases, new technology, and Destroy when no longer needed.
convenience copies of documentation on the status and nature of STIC contracts. Used
for reference purposes.
Scientific and Technical Information Center (Cont.)
234 Interlibrary Loan Report N1-241-96-7:61
Report listing interlibrary loaned nonpatent literature obtained at the request of examiners. Destroy or delete when no longer needed.
Available in hard copy upon request. Used for tracking purposes.
235 IT Asset and Configuration Management Files GRS 24, 3b(1)
Records created and retained for asset management, performance and capacity Destroy/delete 1 year after termination of system.
management, system management, configuration and change management, and
planning, follow-up, and impact assessment of operational networks and systems. NOTE: If any maintenance activities have a major impact on a system or
Includes, but is not limited to: lead to a significant change, those records should be maintained as part
of the item 3b(1).
Data and detailed reports on implementation of systems, applications and modifications;
application sizing, resource and demand management; documents identifying, requesting,
and analyzing possible changes, authorizing changes, and documenting implementation of
changes; documentation of software distribution and release or version management.
236 Journals, Periodicals, and Abstracts Nonrecord
Publications related to patents received under bilateral exchange agreements with a. Offer to PTDLs or the Library of Congress as part of the Gift and
individual countries on a variety of media. Indexed by the Receipts Records System. Used Exchange Program when no longer needed for USPTO business.
to provide access to foreign patent information to USPTO and to the public in accordance b. Offer to PTDLs or the Library of Congress as part of the Gift and
with USPTO obligations as an international patent search facility. Includes various media: Exchange Program when superseded or no longer needed.
a. Record copy
b. All other copies.
237 Library/Lunch Room Facility Log GRS 18, 17b
Log of facility use during security hours listing name, time in/out, destination and Destroy 2 years after final entry or 2 years after date of document, as
signature. Used for tracking purposes. appropriate.
238 Log Books (Receipt of Foreign Documents) N1-241-96-7:85
Individual ledgers (Form USPTO 85-19) for each country where document title, related Destroy when no longer needed for current agency business
information, and USPTO receiving date are entered. Log Books were replaced in 1992 (Supersedes NC1-241-76-1:127).
with the Receipts Records System. Used as the source record establishing the date
(necessary to determine priority) when foreign patent documents were received by
USPTO for years prior to 1992.
Scientific and Technical Information Center (Cont.)
239 Microfilm Charge and Problem Report GRS 23, 8
Form (USPTO 1401) tracks microfilm for security and collects information on problems Destroy or delete when 2 years old, or 2 years after the date of the last
encountered by patrons using foreign patent documents on microform. Identifies entry, whichever is applicable.
omissions or sequence errors and film quality problems. Used to document replacement of
lost or damaged film and errors forwarded to vendor for correction.
240 Non-patent Document Delivery System Backups GRS 20, 8b
Electronic copy, considered by the agency to be a Federal record, of the master copy of Delete when identical records have been deleted or when replaced by a
an electronic record or file and retained in case the master file or database is damaged or subsequent security backup file.
inadvertently erased.
241 Online Catalog System (OLCAT) N1-241-96-7:62
Online search system listing cataloged titles for publications housed in the STIC Main a. See GRS 24, 11b
Library, the Biotechnology/Chemical Library, the Lutrelle F. Parker, Sr. Memorial Law b. See N1-241-05-2:5
Library, and the electronic information centers. Individuals can search for a title by call c. Transfer record copy to Configuration Lifecycle Management when
number, title, subject keyword, series keyword, subject, etc. Used by examiners and the superseded or obsolete.
public as an electronic finding aid:
a. System Software
b. Data files
c. Documentation.
242 Online Catalogue (OLCAT) System Backups GRS 20, 8b
Electronic copy, considered by the agency to be a Federal record, of the master copy of Delete when identical records have been deleted or when replaced by a
an electronic record or file and retained in case the master file or database is damaged or subsequent security backup file.
inadvertently erased.
243 Periodicals File Nonrecord
Various computer related periodicals such as PC Week and Government Computer News, Destroy when no longer needed for reference.
used for reference purposes.
244 Processing Log Book GRS 23, 8
Compilation of logs such as the CRF Errors Corrected log and the Sequence Listing Destroy or delete when 2 years old, or 2 years after the date of the last
Rerun Log, which tracks the daily processing of sequence listings. entry, whichever is applicable.
Scientific and Technical Information Center (Cont.)
245 Publications File Nonrecord
Convenience copies of publications such as the Director's Annual Reports, classification Destroy when no longer needed for reference.
guides, and conference proceedings. Used for reference purposes.
246 Reference Questions Log GRS 23, 8
Reference desk log containing information on the type of questions asked by researchers. Destroy or delete when 2 years old, or 2 years after the date of the last
Lists date, type of question, user, and subject of question. Used to track topics of interest. entry, whichever is applicable.
247 Requisitions and Purchase Orders GRS 3, 3a(2)b
Original copy of requisitions and purchase orders under $25,000. Includes Examiners Destroy 3 years after final payment.
Purchase Request Form for scientific and technical nonpatent literature. Used for the
administration and receipt of payment.
Note: Finance has delegated program function to this branch.
248 Selected Articles File Nonrecord
Convenience copies of selected articles concerning automation and general library Destroy when no longer needed for reference.
information. Used for reference purposes.
249 Serial Check-In Cards GRS 23, 8
Handwritten serial check-in cards listing the volume number, quantity, date received, and Destroy or delete when 2 years old, or 2 years after the date of the last
routing number. Replaced by Online Catalog System. Used to track the routing of entry, whichever is applicable.
publications.
250 Serial Records Files N1-241-96-7:71
Logs of incoming journals, periodicals, and abstracts from the late '70s to the early 90s. Destroy when no longer needed for USPTO business.
Replaced by Receipts Records System. Used to track the date in which particular
documents were received by the Foreign Patents Branch for periods between 1978
and1992. Also includes tracking for publications received and routed to the Office of
Legislative and International Affairs.
251 Special Studies Files N1-241-96-7:56
Periodic studies completed by offices within STIC, such as "Online Commercial Database Destroy when no longer needed.
Usage Studies," Interlibrary Loan Study," and "Library Surveys." Used for tracking library
usage.
Scientific and Technical Information Center (Cont.)
252 STIC ABSS System Visitor Log GRS 18, 17b
Systems Branch visitor entry log. Lists name, organization, date, purpose of visit, and time Destroy 2 years after final entry or 2 years after date of document, as
in/out. Used to track individuals entering the area. appropriate.
253 STIC Holdings Lists Nonrecord
Reference desk copy of various holdings within STIC such as the CD-ROM Title Holdings Destroy when no longer needed for reference.
Listing, Journals Currently Received, 1995 Periodicals Holdings, CD-ROM Product List,
etc. Used for reference purposes.
254 STIC Information Support/Resource Accountability GRS 24, 10b
Series of EXCEL spreadsheets, prepared quarterly, that document services provided to Destroy/delete when 1 year old or when no longer needed for review and
each of the seven technology centers. Two other spreadsheets present service data for analysis, whichever is later.
all Electronic Information Centers and STIC as a whole.
Help desk logs and reports and other files related to customer query and problem
response; query monitoring and clearance; and customer feedback records; and related
trend analysis and reporting.
255 STIC Informational Bulletins GRS 23, 7
Bulletins such as STIC News, STIC Services Available to the Public, and Electronic Destroy when 3 months old.
Information Center Services. Made available to the public and USPTO employees as a
source for information.
256 STIC Informational Resource Collections Nonrecord
Collections of journals and publications of nonpatent literature, including CD-ROM Offer to PTDLs or the Library of Congress as part of the Gift and
reference products such as full-text proceedings and other reference tools. Also includes Exchange program when no longer needed for USPTO business.
access to commercial database services such as Dialog, Datastar, Orbit, Newsnet,
Lexis/Nexis and others. Collections are located at the Lutrelle F. Parker Center; Sr.
Memorial Law Library; the Electronic Information Center (EIC); and the STIC Main Library.
257 System Error Reports GRS 20, 1c
Copies of the STIC Database Problem Report Forms describing problems using the Destroy when the agency determines they are no longer needed for
Online Catalog System. Used to ensure problem was fixed. The original report is administrative, legal, audit, or other operational purposes.
forwarded to the catalog librarian.
Scientific and Technical Information Center (Cont.)
258 TRACK Database N1-241-96-7:68
Database designed to serve as an index to translations and to contain translation a. See GRS 24, 11b
production and control data, including expenditures of funds and budget data. Index data b. Delete when no longer needed to locate translations.
includes title, location, media, and related information. Used to search for translations on c. Delete when no longer needed for statistical reporting.
file in the Branch. Production and control data includes information on in-house oral and
written translations, contractor translations with delivery information, contractor fee rates,
and fund obligations and balances. Files are closed out monthly and archived by fiscal
year. Used for long range forecasting and statistical reporting and to produce
administrative reports:
a. System software
b. Index data files.
c. Data files.
Office of Patent Classification
259 447 Log/Database GRS 20, 3b(2)
Log of patent applications received for classification dispute resolution. Includes pay Delete after the expiration of the retention period authorized for the hard
period date, post classifier name, group, and serial number. Reports produced from this copy file, or when no longer needed, whichever is later.
data include 447 Activity Reports, Post Cases - Biweekly Transfer Report, Average
Pendency Report, and Docket Sheet. Used to track production and average pendency
within the classification groups.
260 447 Slips (Application Transfer Request) N1-241-96-7:38
Form USPTO 447A received from examiners for classification dispute resolution. Includes Destroy or delete when no longer needed.
date, serial number, reason for examiner's classification dispute, and information from the
classifier on reclassification, or rejection and return to the original art unit. Filed by
originating art unit. Used to document patent examiner's reasons for rejecting current
classification.
261 Chron Files N1-241-96-7:32
Office copies of administrative and program correspondence. Records screened for short- Transfer memos setting policy or outlining procedures to Subject Files
term administrative records and refiled in Subject Files. Used to document Office of Patent annually. Destroy remainder when 3 years old.
Classification activities.
262 Classification Definitions N1-241-96-7:51
Contains descriptions and scope of each class and subclass including notes on exclusions a. Transfer to Boyers, PA for long term storage as agency vital record
and search references for related items. Duplicated semiannually on microfiche. Used to after inspection and verification.
document the boundaries between classes/subclasses: b. Update or delete as needed for current agency business.
a. Original microfiche c. Destroy when no longer needed for current agency business.
b. Data files
c. Microfiche copies.
Office of Patent Classification (Cont.)
263 Classification Orders N1-241-96-7:52
Change orders produced by reclassification projects. Includes classification changes, a. Transfer to Boyers, PA for long term storage as agency vital record
listing of the principal source of established and the disposition of abolished subclasses, after inspection and verification.
changes to the U.S. - International Patent Classification Concordance, and definition b. Destroy draft copies when final copy is issued. Destroy final copy
changes. Used as source data to revise the Classification Definitions, and the U.S. - IPC when superseded or no longer needed for current business.
Concordance: c. Destroy when no longer needed for current business.
a. Original microfiche
b. Paper copies
c. Microfiche copies.
264 Foreign Patents Processed Log/Database GRS 23, 8
Includes pay period date, ending date, and unique (number of original foreign patents Destroy or delete when 2 years old, or 2 years after the date of the last
completed during period, by classification unit). Used to track production figures for entry, whichever is applicable.
classification of foreign patents by each classification unit.
NOTE: This activity ceased Sept. 12, 1995:
a. Datafile
b. Published manual (record set)
c. Microfiche copy
d. Duplicate copies.
265 Index to the U.S. Patent Classification System N1-241-96-7:49
Easy reference index designed to help users find correct classifications. Used by the a. Update as needed for USPTO business.
USPTO staff and the public as an index to patent classifications: b. Delete when superseded or obsolete.
a. Record copy
b. All other copies.
266 International Classification Systems N1-241-96-7:43
Documentation manuals on classification systems from other patent organizations or Destroy when no longer needed.
countries, such as the European Patent Office Classification (ECLA), Japan, etc. Used for
comparison and clarification.
267 International Patent Classification (IPC) Manuals N1-241-96-7:42
Record copy sets of all IPC editions in English and French, published by WIPO. The IPC is a. Destroy when superseded by 2 editions.
a single classification system developed by WIPO member countries to classify b. Destroy when no longer needed for USPTO business.
international patents. New editions are published every five years in paper and on CD-
ROM. This Office contributes input to this publication through work performed in IPC
projects. Used to document the development of IPC classes, and as the official source
copy for USPTO:
a. CD-ROM editions.
b. Printed editions.
Office of Patent Classification (Cont.)
268 International Patent Classification (IPC) Project Files N1-241-96-7:44
On-going projects related to IPC updates which this Office negotiates on behalf of the U.S. Destroy when no longer needed.
in the chemical, electrical, and mechanical arts. Includes documentation, comments, and
updates to documents and publications issued by WIPO. Used for work-in-progress and
preparation for negotiating meetings.
269 Lectures and Training Materials Nonrecord
Copies of Patent Academy lectures and related materials, including audiovisuals. Used to Destroy when superseded or no longer needed.
train new examiners in the IPC system and to retrain examining staff when significant
changes to IPC are implemented. Record copy at Patent Academy.
270 Manual of Patent Examining Procedures (MPEP) GRS 20, 6
Publication source file for the paper and CD-ROM editions of the MPEP. Used to update Delete when the agency determines that they are no longer needed for
the MPEP. administrative, legal, audit, or other operational purposes.
(SEE SECTION 7, Item 23; N1-241-96-7 # 24)
271 Patent Master Classification File (MCF) N1-241-96-7:55
Archival snapshot produced semiannually on microfiche listing patent number class, and a. Destroy when no longer needed for USPTO business.
subclass assignment of each patent. Produced in two sets, one in patent number order b. Destroy when no longer needed.
and one in classification order. Used as historical documentation of each patent's
classification history:
a. Microfiche master
b. All other copies.
272 PCT Cases Log GRS 23, 8
Includes serial number, date in, date out, and art unit. Used to track classification of PCT Destroy or delete when 2 years old, or 2 years after the date of the last
applications. entry, whichever is applicable.
273 Production and Backup Information Files N1-241-96-7:41
Contains information used to produce the production numbers reported to the Office of Destroy when 4 years old.
Patent Program Control for classifiers and classification projects. Serves as the source for
some data uploaded to the MIS and contains reports generated by this system.
Office of Patent Classification (Cont.)
274 Reclassification Project Records GRS 16, 5
File documenting work performed by clerical staff in the reclassification of patents and Destroy 1 year after the year in which the project is closed.
work related to the search copies. Includes monitoring records, Notice of Authority to
Remove Patents (NOA), inspection records, data entry records, and form letters to
examiners. Used to monitor project process.
275 Reclassification Source and Disposition List N1-241-96-7:54
Listing of patent numbers with old and new locations in the classification system as the a. Destroy when no longer needed.
product of a reclassification project: b. Destroy when no longer needed.
a. Record copy
b. All other copies
276 Subject Files - Office of Patent Classification N1-241-96-7:33
Subject files of administrative and program topics. Includes internal policy memos, copies Close inactive files at the end of each fiscal year and destroy 5 years
of administrative manuals, briefings, records on conferences, topics related to classes, after closure.
search files, search tools, and international patent classification. Also contains historical
records related to the search files and classification groups from 1946. Used for
background research on recurring topics and to document internal policies and
procedures.
277 Survey 447 Reports N1-241-96-7:39
Annual survey of dispute resolution activity by classifiers. Used to make decisions on Destroy when no longer needed for projections.
handling class disputes and for projections.
278 U.S. Patent and Trademark Office Core Publications N1-241-05-2:1a (Previously N1-241-96-7:53a)
Includes the record copy of the Official Gazette of Patents and Trademarks, which is an Permanent: Transfer publicly available core publications to NARA
official publication of the USPTO of newly issued patents, trademarks, expired patents, annually when 5 years old.
official USPTO notices, and other related publications and indexes.
Office of Patent Classification (Cont.)
280 U.S. Patent Classification Manual N1-241-96-7:53
Contains the titles of all classes and subclasses of the U.S. Patent Classification (USPC) a. (See N1-241-05-2:1a)
system. Each record is a class and subclass with its title, and displayed as it would appear b. Transfer directly to the National Archives when superseded by a new
in the printed U.S. Patent Classification Manual. Used to produce the CD-ROM, edition of the manual.
microfiche, and published versions: NOTE: If complete editions of superseded manuals are maintained in
a. Datafile microform format, and can be transferred to the National Archives in
b. Published manual (record set) accordance with provisions of 36 CFR 1230, microfilm will serve as an
c. Microfiche copy acceptable substitute for the paper version.
d. Duplicate copies. c. Destroy when no longer needed for current agency business if the
printed manual has already been transferred to the National Archives as
specified in sub-item "a" above.
NOTE: If the published version of the current or superseded manuals
listed in sub-item "b" above cannot be transferred to the National
Archives, microfiche will serve as an acceptable substitute if it is
transferred in accordance with provisions of 36 CFR 1230.
d. Destroy when no longer needed for current agency business.
279 U.S. Patent Classification Manual N1-241-96-7:53b
Contains the titles of all classes and subclasses of the U.S. Patent Classification (USPC) Transfer directly to the National Archives when superseded by a new
system. Each record is a class and subclass with its title, and displayed as it would appear edition of the manual.
in the printed U.S. Patent Classification Manual. Used to produce the CD-ROM, NOTE: If complete editions of superseded manuals are maintained in
microfiche, and published versions: microform format, and can be transferred to the National Archives in
accordance with provisions of 36 CFR 1230, microfilm will serve as an
Published manual (record set) acceptable substitute for the paper version.
281 United States Patent Classification/International Patent Classification N1-241-96-7:46
Concordances
Record copy sets of all editions of concordances of equivalent classes for the U.S. and Destroy with related IPC Manuals when no longer needed for USPTO
IPC classification systems published by USPTO every 5 years. Updated by this Office as business.
search tools for examiners. Used as the source copy for USPTO.
282 WIPO Classification Publications Nonrecord
Publications to which USPTO is a contributor/participant, such as Journal of Patent Destroy when no longer needed.
Associated Literature (JOPAL) and Official Catchword Index to [Each] Edition of the IPC.
Used as the USPTO source copy for proposed changes and revisions to the publication.
Record copy in the Office of International Relations.
Office of Patent Classification (Cont.)
283 World Intellectual Property Organization (WIPO) Authority/Policy Documents Nonrecord
Copies of documents containing the agreement language, requirements, policies, and Destroy when no longer needed.
procedures for USPTO programs operating under WIPO standards. Includes Handbook on
Industrial Property Information and Documentation, the Strasbourg Agreement. Used to
ensure compliance with details of treaty agreements and to maintain minimum WIPO
requirements for USPTO's contributions to this body. Record copy in the Office of
International Relations.
Office of Patent Automation
284 Information Technology (IT) Program Planning Records GRS 27, 1
Records relating to the development of agency IT programs. Included are records that Cut off annually. Destroy/delete when 7 years old or when no longer
document agency-wide IT goals; specify milestones to be achieved; identify performance needed, whichever is later.
measures for the agency's IT portfolio; or summarize the underlying principles and
approach by which the agency will plan for and manage its IT resources. Records may
include strategic and tactical plans documenting the implementation and maintenance of
IT systems in support of the agency mission and also may include records supporting
formally issued plans, such as records of concurrence, comments, clearances,
justifications, and other issuance records.
285 IT Asset and Configuration Management Files GRS 24, 3,b(1)
Records created and retained for asset management, performance and capacity Destroy/delete 1 year after termination of system.
management, system management, configuration and change management, and
planning, follow-up, and impact assessment of operational networks and systems.
Includes, but is not limited to:
Data and detailed reports on implementation of systems, applications and modifications;
application sizing, resource and demand management; documents identifying, requesting,
and analyzing possible changes, authorizing changes, and documenting implementation of
changes; documentation of software distribution and release or version management.
286 IT Capital Investment Records GRS 27, 3
Records documenting the integration of IT investments with agency-wide strategic Cut off annually. Destroy/delete when 7 years old or when no longer
planning, budgeting, procurement, and management. Records include routine and needed, whichever is later.
periodic reports on IT capital investments; capital asset plans; business cases for major
investments, systems, acquisitions, or operational assets identified in the agency's capital
investment portfolio; and clearance and review records.
Office of Patent Automation (Cont.)
287 IT Customer Service Files GRS 24, 10a,b
a. Records related to providing help desk information to customers, including pamphlets, a. Destroy/delete 1 year after record is superseded or obsolete.
responses to "Frequently Asked Questions," and other documents prepared in advance to b. Destroy/delete when 1 year old or when no longer needed for review
assist customers. and analysis, whichever is later.
b. Help desk logs and reports and other files related to customer query and problem
response; query monitoring and clearance; and customer feedback records; and related
trend analysis and reporting.
288 IT Infrastructure Design and Implementation Files GRS 24, 11b,c
Records of individual projects designed to provide and support new agency IT b. Destroy/delete 5 years after project is terminated.
infrastructure (see Note), systems, and services. Includes records documenting (1) c. Destroy/delete 3 years after final decision on acceptance is made.
requirements for and implementation of functions such as maintaining network servers,
desktop computers, and other hardware, installing and upgrading network operating
systems and shared applications, and providing data telecommunications; (2)
infrastructure development and maintenance such as acceptance/accreditation of
infrastructure components, analysis of component options, feasibility, costs and benefits,
and work associated with implementation, modification, and troubleshooting; (3) models,
diagrams, schematics, and technical documentation; and (4)quality assurance reviews
and test plans, data, and results.
b. Records for projects that are implemented.
c. Installation and testing records.
[Note: IT Infrastructure means the basic systems and services used to supply the agency
and its staff with access to computers and data telecommunications. Components include
hardware such as printers, desktop computers, network and web servers, routers, hubs,
and network cabling, as well as software such as operating systems (e.g., Microsoft
Windows and Novell NetWare) and shared applications (e.g., electronic mail, word
processing, and database programs). The services necessary to design, implement, test,
validate, and maintain such components are also considered part of an agency's IT
infrastructure. However, records relating to specific systems that support or document
mission goals are not covered by this item and must be scheduled individually by the
agency by submission of an SF 115 to NARA.]
289 Oversight and Compliance Files GRS 24, 1a,b
Records in offices with agency-wide or bureau-wide responsibility for managing IT a. Destroy/delete when 5 years old or 1 year after responsible office
operations relating to compliance with IT policies, directives, and plans including recurring determines that there are no unresolved issues, whichever is longer.
and special reports, responses to findings and recommendations, and reports of follow-up b. Destroy/delete when 3 years old or 1 year after responsible office
activities. determines that there are no unresolved issues, whichever is longer.
a. Performance measurements and benchmarks.
b. All other oversight and compliance records, including certification and accreditation of
equipment, quality assurance reviews and reports, reports on implementation of plans,
compliance reviews, and data measuring or estimating impact and compliance.
- Last Updated:
- October 14, 2008
- Questions regarding this section may be directed to the Records Management Administrator