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Exemption One: Records which are specifically authorized under criteria
established by an Executive Order to be kept secret in interest of
national defense or foreign policy and are in fact properly classified
pursuant to such Executive Order.
Exemption Two: Records related solely to the internal personnel rules and
practices of the USPTO.
Exemption Three: Records specifically exempted from disclosure by statute,
provided that such statue
- Requires that the matters be withheld from the public in such a manner as to leave no
discretion on the issues; or
- Establishes particular criteria for withholding or refers to particular
types of matters to be withheld.
Exemption Four: Trade secrets and commercial or financial information obtained
from a person that is privileged or confidential.
Exemption Five: Interagency or intra-agency memoranda or letters which would not
be available by law to a private party in litigation with the USPTO.
Exemption Six: Personnel, medical, and similar files (including financial files)
the disclosure of which would constitute a clearly unwarranted invasion of personal
privacy.
Exemption Seven: Records compiled for law enforcement purposes, but only to the
extent that the production of such law enforcement records:
- Could reasonably be expected to interfere with enforcement proceedings;
- Would deprive a person of a right to a fair trial or an impartial adjudication;
- Could reasonably be expected to constitute an unwarranted invasion of personal privacy;
- Could reasonably be expected to disclose the identity of a confidential source,
including a state, local, or foreign agency or authority or any private institution which
furnished records on a confidential basis;
- Would disclose techniques and procedures for law enforcement investigations or
prosecutions, or would disclose guidelines for law enforcement investigations or
prosecutions if such disclosure could reasonably be expected to risk circumvention of the
law; or
- Could reasonably be expected to endanger the life or physical safety of any individual.
Exemption Eight: Records that are contained in or related to examination,
operating, or condition reports prepared by, on behalf of, or for use of an agency
responsible for the regulation or supervision of financial institutions.
Exemption Nine: Geological and geophysical information and data, including maps,
concerning wells.
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A person whose initial FOIA request for records has been denied, either in part or in
whole, or whose request for a fee waiver has been denied, has the right to appeal the
denial to General Counsel of the USPTO, within 30 calendar days of the date of the denial
notification. Appeals must be in writing and include any additional information relevant
to consideration of the appeal. Appeals should be addressed to:
General Counsel
United States Patent and Trademark Office
Washington, DC 20231
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