[Federal Register Volume 63, Number 206 (Monday, October 26, 1998)]
[Notices]
[Pages 57101-57107]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-28572]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office
[Docket No. 980326078-8078-01]


Request for Comments on Proposed Internet Usage Policy

AGENCY: Patent and Trademark Office, Commerce.

ACTION: Notice and request for public comments.

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SUMMARY: The Patent and Trademark Office (PTO) requests comments on a 
proposed Internet usage policy. The policy is intended to provide 
guidance to PTO employees regarding the use of the Internet for 
official PTO business. The policy is to cover (1) communications with 
applicants via Internet electronic mail (e-mail) and (2) using the 
Internet to search for information concerning patent applications and 
elements appearing in trademark applications.

DATES: Written comments on the proposed Internet usage policy will be 
accepted by the PTO until December 28, 1998.

ADDRESSES: Written comments should be addressed to the attention of 
Magdalen Greenlief, Office of the Deputy Assistant Commissioner for 
Patent Policy and Projects. Comments submitted by mail should be sent 
to: Box Comments--Patents, Assistant Commissioner for Patents, 
Washington, D.C. 20231. Comments may also be submitted by facsimile 
transmission to (703) 305-8825 or by electronic mail through the 
Internet to ``[email protected]'.
    Written comments will be available for public inspection in Suite 
910 of Crystal Park 2, 2121 Crystal Drive, Arlington, Virginia. In 
addition, comments provided in machine-readable format will be 
available through the PTO's Website at http://www.uspto.gov.

FOR FURTHER INFORMATION CONTACT: Magdalen Greenlief, by mail to her 
attention addressed to Box Comments-Patents, Assistant Commissioner for 
Patents, Washington, D.C. 20231; by telephone at (703) 305-8813; by 
facsimile transmission to (703) 305-8825; or by electronic mail through 
the Internet to ``[email protected]'.


[[Page 57102]]


SUPPLEMENTARY INFORMATION: The Commissioner of Patents and Trademarks 
issued a Notice entitled ``Interim Internet Usage Policy'' in the 
Official Gazette of the United States Patent and Trademark Office 
(O.G.) on February 25, 1997 at 1195 O.G. 89. The Notice set forth 
interim guidelines for PTO employees regarding the use of the Internet 
to conduct official PTO business. The Notice also stated that the 
guidelines are interim since the public has not had an opportunity to 
comment on them and that the PTO will publish a Notice in the Federal 
Register and the Official Gazette requesting comments from the public 
on the use of the Internet in the PTO's patent and trademark 
examination process. Pursuant to the February 25, 1997 O.G. Notice, the 
following proposed Internet Usage Policy is being published for public 
comment.
    The Internet offers a highly effective means of identifying, 
locating, and retrieving scientific and technical information and also 
provides a means for the applicant to communicate with PTO employees 
via advanced electronic mail. Communications via Internet e-mail are at 
the discretion of the applicant. In view of the fact that all 
communications and data transmitted from or to applicant by the 
Internet may be neither encrypted nor secure, applicants who wish to 
communicate with the PTO on an unsecure medium such as Internet e-mail 
do so at their own risk. If an applicant wishes the PTO to communicate 
with the applicant on the unsecure medium, the applicant may authorize 
the PTO to do so by submitting a written authorization. Where the 
Internet is used to search patent applications, PTO employees must 
restrict their search operations to determining the general state of 
the art. The purpose of the Internet usage policy is to provide 
guidelines for PTO employees for using the Internet to conduct official 
PTO business.
    (A) Regarding communications between PTO employees and applicant by 
electronic mail, the PTO is particularly interested in comments 
relating to the following:
    (1) Regarding communication with the Patent Organization, where a 
written authorization by the applicant has been given, Patent Article 5 
of the proposed Internet usage policy limits the use of the Internet e-
mail for communications other than those under 35 U.S.C. 132 or which 
otherwise require a signature. Should such limitations be imposed? If 
so, what other types of correspondence should not be communicated via 
Internet e-mail?
    (2) What type of confirmation, if any, from the PTO would you like 
to see regarding whether the e-mail with attachments has been received 
and is readable?
    (3) Regarding communication with the Patent Organization, the 
``Interim Internet Usage Policy'' published on February 25, 1997 at 
1195 O.G. 89 indicated that an express waiver under 35 U.S.C. 122 by 
the applicant is required before Internet e-mail may be used by PTO 
employees to conduct official PTO business where sensitive data will be 
exchanged or where there exists a possibility that sensitive data could 
be identified. The reference to a waiver of 35 U.S.C. 122 has been 
deleted from the proposed Internet usage policy because it appears to 
be unnecessary. Are there any problems with the elimination of the 
waiver?
    (4) Patent Article 7 and Trademark Article 8 of the proposed 
Internet usage policy permits PTO employees to respond to applicant's 
e-mail correspondence by other appropriate means such as telephone or 
by facsimile transmission. Would you prefer to have PTO employees 
respond via Internet e-mail or is the other appropriate means noted 
above acceptable?
    (5) How likely would you utilize the Internet e-mail to conduct 
interviews under the conditions set forth in Patent Article 8 and 
Trademark Article 9 of the proposed Internet usage policy?
    (6) In view of the fact that all communications and data 
transmitted from or to the applicant by the Internet may be neither 
encrypted nor secure, how likely and how often and for what purpose 
would you utilize the Internet e-mail to communicate with PTO employees 
regarding a particular application?
    (7) Should digital signatures, digital certificates, public key/
private key encryption and key recovery be used for Internet e-mail? If 
so, what software(s) should PTO use?
    (B) The PTO is also interested in comments regarding searching and 
retrieving scientific and technical information in patent applications 
via the Internet, particularly comments relating to searching and 
retrieving scientific and technical information in patent applications 
which the PTO must maintain in confidence pursuant to 35 U.S.C. 122.
    Please submit separate comments concerning patent provisions and 
trademark provisions. Although comments may be submitted by mail or 
facsimile transmission, the Office prefers to receive comments via the 
Internet. Where comments are submitted by mail, the Office would prefer 
that the comments be submitted on a DOS formatted 3.5'' disk 
accompanied by a paper copy of the comments.
    Written comments should include the following information:

--Name and affiliation of the individual responding;
--An indication of whether the comments offered represent views of the 
respondent's organization or are the respondent's personal views; and
--If applicable, information on the respondent's organization, 
including the type of organization (e.g., business, trade group, 
university, nonprofit organization).

I. Proposed Patent Internet Usage Policy

Introduction

    The Internet and its offspring, the World Wide Web (WWW), offer the 
PTO opportunities to (1) enhance operations by enabling Patent 
Examiners to locate and retrieve new sources of scientific and 
technical information, (2) communicate more effectively with our 
customers via advanced electronic mail (e-mail) and file transfer 
functions, and (3) more easily publish information of interest to the 
intellectual property community and the general public. This new 
technology offers low-cost, high speed, and direct communications 
capabilities upon which the PTO wishes to capitalize.
    The organizations reporting to the Assistant Commissioner for 
Patents have special legal requirements that must be satisfied as part 
of the PTO's goal to make effective use of the Internet. Because 
security issues concerning transmission and capture of search requests 
by unauthorized individuals have not yet been resolved, Patent 
Examiners are to exercise good judgment and restrict their searches to 
nonspecific patent application uses.

Purpose

    To establish a policy for use of the Internet by the Patent 
Examining Corps and other organizations within the PTO;
    To address use of the Internet to conduct interview-like 
communications and other forms of formal and informal communications;
    To publish guidelines for locating, retrieving, citing, and 
properly documenting scientific and technical information sources on 
the Internet;
    To inform the public how the PTO intends to use the Internet; and
    To establish a flexible Internet policy framework which can be 
modified, enhanced, and corrected as the PTO, the public, and customers 
learn to use, and

[[Page 57103]]

subsequently integrate, new and emerging Internet technology into 
existing business infrastructures and everyday activities to improve 
the patent application, the examining, and granting functions.
Article 1. Applicability
    This policy applies to members of the Patent Organization within 
the PTO, including contractors and consultants working with, or 
conducting activities in support of, the Patent Organization.
Article 2. Scope
    This policy applies to activities associated with, or directly 
related to, use of the Internet via PTO-provided network connections, 
facilities, and services. This includes, but is not limited to, PTONet 
connections, Office of Chief Information Officer (OCIO)-provided PCs 
and workstations, and Internet provider services. This policy also 
applies to use of other non-PTO Internet access facilities and 
equipment that are used to conduct non-patent application specific 
work.
Article 3. Conformance With Existing, PTO-wide, Internet Use Policy
    This Internet Usage Policy supersedes the Interim Internet Usage 
Policy published in the Official Gazette on February 1997. The policy 
outlined in this document augments the existing PTO Internet Acceptable 
Use Policy as set forth in the Office Automation Services Guide. As 
such, this policy is an extension of current PTO office-wide Internet 
policy.
Article 4. Confidentiality of Proprietary Information
    If security and confidentiality cannot be attained for a specific 
use, transaction, or activity, then that specific use, transaction, or 
activity shall NOT be undertaken/conducted.
    All use of the Internet by Patent Organization employees, 
contractors, and consultants shall be conducted in a manner that 
ensures compliance with confidentiality requirements in statutes, 
including 35 U.S.C. 122, and regulations. Where a written authorization 
is given by the applicant for the PTO to communicate with the applicant 
via Internet e-mail, communications via Internet e-mail may be used.
    Backup, archiving, and recovery of information sent or received via 
the Internet is the responsibility of individual users. The OCIO does 
not, and will not, as a normal practice, provide backup and recovery 
services for information produced, retrieved, stored, or transmitted 
to/from the Internet.
Article 5. Communications Via the Internet and Authorization
    Communications via Internet e-mail are at the discretion of the 
applicant.
    Without a written authorization by applicant in place, the PTO will 
not respond via Internet e-mail to any Internet correspondence which 
contains information subject to the confidentiality requirement as set 
forth in 35 U.S.C. 122. A paper copy of such correspondence will be 
placed in the appropriate patent application.
    The following is a sample authorization form which may be used by 
applicant:
    ``Recognizing that Internet communications are not secure, I hereby 
authorize the PTO to communicate with me concerning any subject matter 
of this application by electronic mail. I understand that a copy of 
these communications will be made of record in the application file.''
    A written authorization may be withdrawn by filing a signed paper 
clearly identifying the original authorization. The following is a 
sample form which may be used by applicant to withdraw the 
authorization:
    ``The authorization given on ____________________, to the PTO to 
communicate with me via the Internet is hereby withdrawn. I understand 
that the withdrawal is effective when approved rather than when 
received.''
    Where a written authorization is given by the applicant, 
communications via Internet e-mail, other than those under 35 U.S.C. 
132 or which otherwise require a signature, may be used. In such case, 
a printed copy of the Internet e-mail communications MUST be given a 
paper number, entered into the Patent Application Location and 
Monitoring System (PALM) and entered in the patent application file. A 
reply to an Office action may NOT be communicated by applicant to the 
PTO via Internet e-mail. If such a reply is submitted by applicant via 
Internet e-mail, a paper copy will be placed in the appropriate patent 
application file with an indication that the reply is NOT ENTERED.
    PTO employees are NOT permitted to initiate communications with 
applicant via Internet e-mail unless there is a written authorization 
of record in the patent application by the applicant.
    All reissue applications are open to public inspection under 37 CFR 
1.11(a) and all papers relating to a reexamination proceeding which 
have been entered of record in the patent or reexamination file are 
open to public inspection under 37 CFR 1.11(d). PTO employees are NOT 
permitted to initiate communications with applicant in a reissue 
application or a patentee of a reexamination proceeding via Internet e-
mail unless written authorization is given by the applicant or 
patentee.
Article 6. Authentication of Sender by a Patent Organization Recipient
    The misrepresentation of a sender's identity (i.e., spoofing) is a 
known risk when using electronic communications. Therefore, Patent 
Organization users have an obligation to be aware of this risk and 
conduct their Internet activities in compliance with established 
procedures.
    Internet e-mail must be initiated by a registered practitioner, or 
an applicant in a pro se application, and sufficient information must 
be provided to show representative capacity in compliance with 37 CFR 
1.34. Examples of such information include the attorney registration 
number, attorney docket number, and patent application number.
Article 7. Use of Electronic Mail Services
    Once e-mail correspondence has been received from the applicant, as 
set forth in Patent Article 4, such correspondence must be responded to 
appropriately. The Patent Examiner may respond to an applicant's e-mail 
correspondence by telephone, fax, or other appropriate means.
Article 8. Interviews
    Internet e-mail shall NOT be used to conduct an exchange or 
communications similar to those exchanged during telephone or personal 
interviews unless a written authorization has been given under Patent 
Article 5 to use Internet e-mail. In such cases, a paper copy of the 
Internet e-mail contents MUST be made and placed in the patent 
application file as required by the Federal Records Act in the same 
manner as an Examiner Interview Summary Form is entered.
Article 9. Internet Searching
    The ultimate responsibility for formulating individual search 
strategies lies with individual Patent Examiners, Scientific and 
Technical Information Center (STIC) staff, and anyone charged with 
protecting proprietary application data. When the Internet is used to 
search, browse, or retrieve information relating to a patent 
application, other than a reissue application or reexamination 
proceeding, Patent Organization users MUST restrict search queries to 
the general state of the art. Internet search, browse, or retrieval

[[Page 57104]]

activities that could disclose proprietary information directed to a 
specific application, other than a reissue application or reexamination 
proceeding, are NOT permitted.
    This policy also applies to use of the Internet as a communications 
medium for connecting to commercial database providers.
Article 10. Documenting Search Strategies
    All Patent Organization users of the Internet for patent 
application searches shall document their search strategies in 
accordance with established practices and procedures as set forth in 
MPEP 719.05 subsection (B)(6).
Article 11. Citations
    All Patent Organization users of the Internet for patent 
application searches shall record their fields of search and search 
results in accordance with established practices and procedures as set 
forth in MPEP 719.05 subsection (B)(6).
    Subparagraph A. Internet document citations should include 
information which is normally included for reference documents (i.e., 
Form PTO-892). In addition, any information which would aid a future 
searcher in locating the document should be included in the citation. 
Guidelines for citing electronic information can be found as an 
attachment to this policy.
    Subparagraph B. When a document found on the Internet is not the 
original publication, then the Patent Examiner or STIC staff shall 
pursue the acquisition of a copy of the originally published document 
or an original of the document or Web object in question for all 
references cited. Note: scanned images are considered to be a copy of 
the original publication. Electronic-only documents are original 
publications.
Article 12. Professional Development
    The Internet is recognized as a tool for professional development. 
It may be useful for keeping informed of technological and legal 
developments in all art areas. For example, use of the Internet for 
keeping abreast of conferences, seminars, and for receiving mail from 
appropriate list servers is acceptable.
Article 13. Policy Guidance and Clarifications
    Within the Patent Organization, any questions regarding Internet 
usage policy should be directed to the user's immediate supervisor. 
Non-PTO personnel should direct their questions to the Office of the 
Deputy Assistant Commissioner for Patent Policy and Projects.

II. Proposed Trademark Internet Usage Policy

Introduction

    The Internet and its offspring, the World Wide Web (WWW), offer the 
PTO opportunities to (1) enhance customer services by enabling attorney 
advisors (Trademarks) and other Trademark employees to locate and 
retrieve new sources of legal, scientific, commercial and technical 
information, (2) communicate more effectively with customers via 
electronic mail (e-mail) and file transfer functions, and (3) more 
easily publish information of interest to the intellectual property 
community and the general public.
    This new technology offers low-cost, high speed, direct 
communication capabilities that the PTO wishes to leverage to the 
advantage of its customers.
    The organizations reporting to the Assistant Commissioner for 
Trademarks have special legal requirements that must be satisfied as 
part of the PTO's goal to make effective use of the Internet and 
electronic commerce.

Purpose

    To establish a policy for use of the Internet by organizations 
reporting to the Assistant Commissioner for Trademarks, including: the 
Office of the Assistant Commissioner for Trademarks, the Trademark 
Examining Operation, Trademark Services, Trademark Program Control and 
the Trademark Assistance Center;
    To address use of the Internet to conduct interview-like 
communications, and other forms of formal and informal communications;
    To publish guidelines for locating, retrieving, citing, and 
properly documenting scientific, commercial and technical information 
sources on the Internet;
    To inform the public how the PTO intends to use the Internet; and
    To establish a flexible Internet policy framework which can be 
modified, enhanced, and corrected as the PTO, the public, and customers 
learn to use, and subsequently integrate, new and emerging Internet 
technology into existing business infrastructures and everyday 
activities to improve the trademark application, examination, and 
registration business processes.
Article 1. Applicability
    This policy applies to members of the Trademark Organization 
reporting to the Assistant Commissioner for Trademarks within the PTO, 
including contractors and consultants working with, or conducting 
activities in support of, the Trademark Organization. It does not apply 
to members of the Trademark Trial and Appeal Board or contractors and 
consultants working with, or conducting activities in support of, the 
Trademark Trial and Appeal Board.
Article 2. Scope
    This policy applies to activities associated with, or directly 
related to, use of the Internet via PTO-provided network connections, 
facilities, and services. This includes, but is not limited to, PTONet 
connections, Office of Chief Information Officer (OCIO)-provided PCs 
and workstations, and Internet provider services. This policy also 
applies to use of other non-PTO Internet access facilities and 
equipment that are used to conduct non-trademark application specific 
work.
Article 3. Conformance With Existing, PTO-wide, Internet Use Policy
    This Internet Usage Policy supersedes the Interim Internet Usage 
Policy published in the Official Gazette in February 1997. The policy 
outlined in this document augments the existing PTO Internet Acceptable 
Use Policy as set forth in the Office Automation Services Guide. As 
such, this policy is an extension of current PTO office-wide Internet 
policy.
Article 4. Correspondence Acceptable Via the Internet
    Internet e-mail may be used to reply or respond to an examining 
attorney's Office Action, to reply or respond to a petitions attorney's 
30-day letter, to reply or respond to a Post Registration Office 
Action, as well as to conduct informal communications regarding a 
particular application or registration with the appropriate Trademark 
Organization employee. If e-mail communication is initiated by the 
applicant or applicant's attorney, Office Actions, Priority Actions, 
Examiner's Amendments, petitions attorney's 30-day letters, and Post 
Registration Office Actions may be sent to the applicant via Internet 
e-mail or by telephone, fax, or other appropriate means. Readable 
attachments to Internet e-mail for such purposes as the submission of 
evidence, specimens, affidavits and declarations will be accepted.
Article 5. Communications Not Acceptable Via the Internet
    Internet e-mail or other Internet communications may NOT be used to 
file Trademark Applications, Amendments to Allege Use, Statements

[[Page 57105]]

of Use, Requests for Extension of Time to File a Statement of Use, 
Section 8 affidavits, Section 9 affidavits, or Section 15 affidavits 
until such time as the PTO publishes electronic forms for these filings 
and they are made available on the Internet by the PTO. Internet e-mail 
may be used to submit specimens of use, but the Office will determine 
acceptability of the specimen(s) and if the specimens are found not to 
meet the standards for specimens of use, additional specimens will be 
required. Certified copies of foreign certificates will NOT be accepted 
via Internet e-mail. Internet e-mail may NOT be used for any 
correspondence with the Trademark Trial and Appeal Board.
Article 6. Initiating Internet Communications
    Internet communications will NOT be initiated by the Trademark 
Organization unless it is authorized to do so by the applicant or by 
the applicant's attorney. Authorization for members of the Trademark 
Organization to communicate with applicant or applicant's attorney via 
Internet e-mail may be given by so indicating in the application 
submitted to the PTO or in any official written communication with the 
Trademark Organization. The authorization must include the Internet e-
mail address to which all Internet e-mail is to be sent. Internet 
communications may also be initiated and authorized by applicant or 
applicant's attorney by telephone or by responding to an Office Action 
or other official communication via an Internet e-mail address 
indicated on the official correspondence.
Article 7. Waivers and Authentication
    Applicants and their attorneys understand that the 
misrepresentation of a sender's identity is a known risk when using 
electronic communications. Therefore, Trademark Organization users have 
an obligation to be aware of this risk and conduct their Internet 
activities in compliance with established procedures.
    Internet e-mail must be initiated and authorized by a practitioner, 
or the applicant in a pro se application. Sufficient information must 
be provided to show representative capacity in compliance with 37 CFR 
2.17 and 10.14. In trademark cases, examples of such information would 
include signing a paper in practice before the PTO in a trademark case, 
attorney docket number, and trademark application serial number or 
registration number.
    The Assistant Commissioner for Trademarks will waive 37 CFR 10.18 
to the extent that it requires an original signature personally signed 
by a trademark practitioner in permanent ink on any correspondence 
filed with the PTO. Receipt of an Internet e-mail communication by the 
Trademark Organization from the address of applicant or applicant's 
attorney containing the /s/ notation in lieu of signature and which 
references a Trademark application serial number will be understood to 
constitute a certificate that:
    1. The correspondence has been read by the applicant or 
practitioner;
    2. The filing of the correspondence is authorized;
    3. To the best of the applicant's or practitioner's knowledge, 
information, and belief, there is good ground to support the 
correspondence, including any allegations of improper conduct contained 
or alleged therein; and
    4. The correspondence is not interposed for delay.
    Applicants requesting to correspond with the Trademark Organization 
via the Internet should recognize that Internet communications might 
not be secure, and should understand that a copy of any and all 
communications received via the Internet will be placed in the file 
wrapper and become a permanent part of the record.
Article 8. Office Procedures
    When authorized to do so, the Trademark Organization will send 
Office Actions and other official correspondence to the Internet e-mail 
address indicated by the applicant or applicant's attorney. A signed, 
paper copy of the outgoing correspondence will be associated with the 
trademark application file wrapper.
    When communications are received by an examining attorney, or other 
appropriate Trademark Organization employee, the attorney or employee 
will immediately reply to the communication acknowledging receipt of 
the communication. The date the communication was received by the 
Trademark Organization that appears in the heading of the communication 
will constitute the receipt date within the PTO for purposes of time-
sensitive communications unless that date is a Saturday, Sunday, or 
Federal holiday within the District of Columbia, in which case the 
receipt date will be the next succeeding day which is not a Saturday, 
Sunday, or Federal holiday within the District of Columbia. A paper 
copy of all Internet e-mail communications, including a copy of any and 
all attachments, will be associated with the trademark application file 
wrapper. A paper copy of any informal communications regarding a 
particular trademark application or registration will be associated 
with the file wrapper and become a part of the record.
Article 9. Remedies
    When an application is held abandoned because a timely Internet e-
mail communication was sent to and received by the Trademark 
Organization but was not timely associated with the application file 
wrapper, the abandoned application may be reinstated by the Trademark 
Organization. There is no fee for a request to reinstate such an 
application.
    When an application is held abandoned because a timely Internet e-
mail communication was sent to, but apparently not received by the 
Trademark Organization, applicant or applicant's attorney may petition 
the Commissioner to revive the abandoned application pursuant to 37 CFR 
2.66 and TMEP Secs. 1112.05(a), (b). In determining whether or not an 
Internet response was timely filed, the Commissioner may accept a copy 
of a signed certificate of transmission meeting the requirements of 37 
CFR 1.8, a copy of the previously transmitted correspondence, and a 
statement attesting to the personal knowledge of timely transmission of 
the response. 37 CFR 1.8(b)(1), (2), and (3).
    In all situations, the applicant or the applicant's attorney should 
promptly notify the Office after becoming aware that the application 
was abandoned because a communication was not timely associated with 
the file wrapper or was not received by the Office.
Article 10. Use of Electronic Mail Services
    Once e-mail correspondence has been received from an applicant, as 
set forth in Trademark Article 6, such correspondence must be responded 
to appropriately. The Trademark Organization employee may respond to an 
applicant's Internet e-mail correspondence by telephone, fax, or other 
appropriate means.
Article 11. Interviews
    Internet e-mail may be used to conduct an exchange of 
communications similar to those exchanged during telephone or personal 
interviews. In such cases, a paper copy of the Internet e-mail contents 
MUST be made and placed in the trademark application file wrapper.
Article 12. Documenting Search Strategies
    All Trademark Organization users of the Internet for trademark 
application research shall document their search

[[Page 57106]]

strategies in accordance with established practices and procedures as 
set forth in TMEP Sec. 1106.07(a).
    Subparagraph A. Any information, which would aid a future searcher 
in locating the document retrieved through Internet research, should be 
included in the citation. Guidelines for citing electronic information 
can be found as an attachment to this policy.
    Subparagraph B. When a document found on the Internet is not the 
original publication, then the Trademark Examining Attorney or 
Trademark Library staff shall pursue the acquisition of a copy of the 
originally published document or an original of the document or Web 
object in question for all references cited. Note: scanned images are 
considered to be a copy of the original publication. Electronic-only 
documents are original publications.
Article 13. Professional Development
    The Internet is recognized as a tool for professional development. 
It may be useful for keeping informed of technological and legal 
developments. For example, use of the Internet for keeping abreast of 
conferences, seminars, and for receiving mail from appropriate list 
servers is acceptable.
Article 14. Policy Guidance and Clarifications
    Within the Trademark Organization, any questions regarding the 
Internet usage policy should be directed to the user's immediate 
supervisor. Non-PTO personnel should direct their questions to the 
Office of the Assistant Commissioner for Trademarks.

Attachment--Guidelines for Citing Electronic Resources

    The International Organization for Standardization (ISO) has 
created a standardized method for citing electronic resources. The 
formats are set forth in document ISO 690-2, which was published on 
November 15, 1997. The formats in ISO 690-2 are consistent with 
those proposed by the PTO in the fall of 1996.
    ISO 690-2 references several ISO standards relating to 
documentation of publications. These are namely ISO 4:1984 
Documentation--Rules for the abbreviation of title words and titles 
of publications; ISO 639:1988 Code for the representation of names 
of languages; ISO 690:1987 Documentation--Bibliographic references--
content, form, and structure (the parent standard of 690-2); ISO 
832:1994 Information and documentation--bibliographic description 
and references--Rules for the abbreviation of typical words; ISO 
2108:1992 Information and documentation--International standard book 
numbering (ISBN); ISO 3297:1986 Documentation--International 
standard serial numbering (ISSN); ISO 5127-1:1983 Documentation and 
information--Vocabulary--Part 1: Basic concepts; ISO 8601:1988 Date 
elements and interchange formats--Information interchange--
Representation of dates and times; ISO/TR 9544:1988 Information 
processing--computer-assisted publishing--Vocabulary; and ISO/IEC 
DIS 11179-3 Information technology--Coordination of data element 
standardization.

Elements of a Bibliographic Citation

    The typical elements of a bibliographic citation are:
a. Author(s)--individual and corporate
b. Title
    Titles fall into two general categories:

     Those that denote the source work (monograph, journal, 
conference, anthology/compilation, etc.)
     Those that describe the paper, chapter, or portion of 
work
c. Publication Date
d. Publisher
e. Report number/Series Number/Other identifying number
f. Editor(s)
g. Page numbers
h. Volume number
i. Issue number
j. Edition

    A single print resource may not have all of the elements listed 
above; however, they will possess those which are appropriate to the 
work. In the case of monographs the volume and/or issue number may 
not be essential; as with journals the element for edition will be 
nonexistent. Therefore, it can be noted that even in traditional 
print publications the format of citations will vary with the 
resource being cited.
    The same can be said for the realm of electronic publications. 
Electronic documents with originally published print equivalents 
will have most traditional bibliographic elements. Those that have 
no print equivalents will most likely not have traditional elements, 
even though they may look like and seem to possess many qualities of 
print publications.

Elements of Electronic Resource Citations

    What makes the electronic resource different from the print 
resource? Initially it is safe to state that basic elements of a 
print citation are also applicable to the electronic form. These 
basic elements will include a title (even in the case of electronic 
mail in which the subject line can become the title element), 
originator (author), publisher, and publication date (although with 
electronic publications this element often raises problems for those 
verifying the document). Characteristics which are inherent to print 
publications but may not be to the electronic form include volumes, 
issues, and page numbers. The electronic resource will have elements 
in addition to the print resource. These elements include:

a. Type of Media
    CD-ROM or other optical storage media
    Diskette or other magnetic storage media
    Online, including the Internet
b. Availability
    The information required to retrieve the resource. In the case 
of online Internet resources this would include address-type 
information, along with directories, filenames, etc.
c. Date(s)
     Posted/Publication
    The publication date is the date the author/originator affixes 
to the document. If that is not present, the date the system 
administrator or webmaster placed the document on the online system 
can be substituted.
     Accessed on
    The date the user found and read the document. They may also 
have downloaded the document for personal use. This date will 
provide future readers with documentation as to what version/edition 
the document was on when it was accessed. If a document was altered 
subsequently there will not be confusion as to which document the 
user is referring to.

Proposed Formats

    When an examiner retrieves a document from an electronic source, 
he/she will determine if it is useful and will cite it if 
appropriate. Assuming the examiner has located all pertinent 
bibliographic elements for a citation, the next task will be to 
format the citation.
    Punctuation is an interesting problem for electronic documents. 
Traditionally, academics and library scientists have used 
punctuation as a means for separating bibliographic elements in a 
citation. In the case of retrieving electronic documents, 
punctuation becomes part of the citation. When expressing URLs, 
directories, filenames, etc., punctuation marks are required to 
create an accurate citation. Therefore, limit the amount of 
punctuation in the citation in order to avoid confusion.
    Due to the ease and potential frequency of updates of electronic 
documents, ISO 690-2 recommends the use of month, date, year, and 
time of day on all date citations. There is no stated preference for 
dates using standard abbreviated months (Jan., Feb., Mar.) or 
complete numeric transcription (using standard format of year-month-
date).
    Additionally, standard abbreviations for journal titles, 
countries, provinces, etc. should be applied to electronic 
citations.
    The following formats are proposals for how an examiner might 
cite an electronic document. However, all possible citation 
iterations are not included; this is a sampling.

CD-ROM, Diskette, Commercial Database

    Author. (publication date). Title. Source (``source'' defined as 
the entire work, i.e. journal title). [Type of Medium], volume 
(issue), paging. Available:
    Sample:
    Smith, Joe. (January 1999). How to do an online search. 
Database. [CD-ROM], 17(2), 1-2. Available: UMI. File: General 
Periodicals Index.

FTP

    Author. (publication date). Title. Source. [Type of Medium], 
volume (issue), paging. Available: Accessed on:
    Sample:
    Smith, Joe. (January 1999). How to do an online search. 
Database. [Online], 17(2), 1-2.

[[Page 57107]]

Available FTP: ftp.database.edu Directory: pubs/journals/
database.online/vol17 File: 002dbs.txt Accessed on: February 1, 
1999.

E-mail, Listservs, Usenet

    Author.  (publication/posted date). 
Title. Source (or Subject Line replaces title/source). [Type of 
Medium], volume (issue), paging. Available: (either list the 
listserv address or fill this position with ``personal e-mail'') 
Accessed on (or received on):
    Sample:
    Smith, Joe. <[email protected]> (January 1999). How to do an 
online search. Database. [Online], 17(2), 1-2. Available: personal 
e-mail. Received on: February 1, 1999.
        OR
    Smith, Joe. <[email protected]> Here's some search advice. 
[Online] Available: [email protected] Accessed on: February 1, 
1999.

Gopher

    Author. (publication date). Title. Source. [Type of Medium] 
volume (issue), paging. Available: Accessed on:
    Sample:
    Smith, Joe. (January 1999). How to do an online search. 
Database. [Online] 17(2), 1-2. Available Gopher: meckler.dbs.org /
Database/pubs/journals/vol17/Howsearch Accessed on: February 1, 
1999.

Web Site

    Author. (publication date). Title. Source. [Type of Medium] 
volume (issue), paging. Available: Last update: Accessed on:
    Sample:
    Smith, Joe. (January 1999). How to do an online search. Database 
[Online] 17(2), 1-2. Available Web Site: www/meckler.database.org/
Database/pbs/journals/vol17/002dbs.txt Last update: January 1999 
Accessed on: February 1, 1999.
    Examiners are encouraged to speak to a PTO librarian or 
technical information specialist when they find that crucial 
elements to the citation are lacking in their records. The 
information specialist will work with the examiner to verify dates, 
authors, and other elements as needed.

    Dated: October 20, 1998.
Bruce A. Lehman,
Assistant Secretary of Commerce and Commissioner of Patents and 
Trademarks.
[FR Doc. 98-28572 Filed 10-23-98; 8:45 am]
BILLING CODE 3510-16-U