[Federal Register Volume 76, Number 185 (Friday, September 23, 2011)]
[Notices]
[Pages 59114-59115]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-24466]


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DEPARTMENT OF COMMERCE

United States Patent and Trademark Office

[Docket No. PTO-T-2011-0050]


Request for Comments on Establishment of a One-Year Retention 
Period for Trademark-Related Papers That Have Been Scanned Into the 
Trademark Initial Capture Registration System

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice.

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SUMMARY: The United States Patent and Trademark Office (``USPTO'') is 
considering establishing a retention period of one year for trademark-
related documents submitted on paper that are subsequently scanned into 
the Trademark Initial Capture Registration System (``TICRS''). TICRS is 
available to the public through the Trademark Document Retrieval 
(``TDR'') database on the USPTO Web site. After the expiration of the 
one-year retention period, the USPTO would dispose of the paper 
documents unless, within sufficient time prior to disposal, the 
relevant trademark applicant or owner files a request to correct the 
electronic record in TICRS, and the request remains outstanding at the 
time disposal would otherwise have occurred. Specifically, the proposed 
one-year retention period begins on: September 26, 2011, for papers 
scanned into TICRS prior to September 26, 2011; or a paper's submission 
date, for papers scanned into TICRS on or after September 26, 2011. The 
proposal would reduce the costs currently associated with indefinitely 
warehousing paper documents, while permitting sufficient time for the 
review and rarely needed correction of the scanning of such paper 
documents.

[[Page 59115]]


DATES: Comment Deadline Date: To be ensured of consideration, written 
comments must be received on or before November 22, 2011.

ADDRESSES: The USPTO prefers that any comments be submitted via 
electronic mail message to [email protected]. Written comments may 
also be submitted by mail addressed to: Commissioner for Trademarks, 
P.O. Box 1451, Alexandria, VA 22313-1451, Attention Cynthia C. Lynch; 
by hand delivery to the Trademark Assistance Center, Concourse Level, 
James Madison Building--East Wing, 600 Dulany Street, Alexandria, 
Virginia, Attention Cynthia C. Lynch.

FOR FURTHER INFORMATION CONTACT: Cynthia C. Lynch, Office of the Deputy 
Commissioner for Trademark Examination Policy, by telephone at (571) 
272-8742, or by mail addressed to: Commissioner for Trademarks, P.O. 
Box 1451, Alexandria, VA 22313-1451, marked to the attention of Cynthia 
C. Lynch. The comments will be available for public inspection on the 
USPTO's Web site at http://www.uspto.gov, and will also be available at 
the Office of the Commissioner for Trademarks, Madison East, Tenth 
Floor, 600 Dulany Street, Alexandria, Virginia. Because comments will 
be available for public inspection, information that is not desired to 
be made public, such as an address or phone number, should not be 
included in the comments.

SUPPLEMENTARY INFORMATION: TICRS is the USPTO's database for 
electronically capturing, storing, and retrieving all trademark 
application image files and most registration image files. The USPTO is 
nearing completion of a multi-year project to scan into TICRS all paper 
documents for every active registered mark. The data in TICRS is 
available to the public through the Trademark Document Retrieval 
(``TDR'') database on the USPTO Web site. The public can also view the 
data in TICRS at the USPTO's Public Search Facility in Alexandria, 
Virginia.
    The majority of trademark applications, and subsequent 
correspondence concerning the application, are filed electronically 
using the Trademark Electronic Application System (``TEAS'') and the 
file images are stored in TICRS. To date in Fiscal Year 2011, almost 
99% of applications were filed electronically, and over 72% of 
applications were processed and disposed of electronically. Thus far in 
fiscal year 2011, approximately 3,897 new applications were filed on 
paper, and other paper submissions (i.e., correspondence, post 
registration maintenance documents, etc.) accounted for approximately 
33,482 additional documents. Upon receipt, the USPTO scans all paper 
documents and stores the documents electronically in TICRS. Currently, 
the USPTO also retains the paper documents after scanning them, even 
though the paper documents duplicate the electronic record in TICRS. 
While not actively or routinely used, the paper records are available 
for comparison purposes in the rare situation where an issue might 
arise concerning the accuracy of the electronic records in TICRS.
    The USPTO invests heavily in its electronic systems and conducts 
multiple reviews of the electronic records in TICRS to ensure accuracy 
of the data. After a paper application is scanned, personnel in the 
Pre-Examination section of the USPTO review the application record in 
TICRS and request scanning corrections, as needed. The record in TICRS 
is reviewed again when the application is assigned to a trademark 
examining attorney who may determine, as part of the application 
review, that additional scanning corrections are necessary. Further 
review of the record is conducted by the Post Registration section of 
the USPTO when registration maintenance documents are filed. In the 
first 41 weeks of fiscal year 2011, the USPTO processed only 100 
internal requests for the rescanning of paper documents. Relative to 
the number of paper submissions, the number of requested scanning 
corrections is extremely small.
    Currently, paper documents that have been scanned into TICRS are 
boxed and sent to a warehouse for storage. The USPTO incurs warehouse 
storage costs to maintain the paper records. The USPTO anticipates that 
these costs will rise if paper records continue to be stored. 
Additionally, the USPTO's warehouse storage space is projected to reach 
its capacity by mid-year 2012, and additional warehouse storage space 
would be necessary, further increasing the costs.
    To address these costs while still allowing sufficient time for the 
review and rarely needed correction of the scanning of paper documents, 
the USPTO proposes establishing a definite period of time for the 
retention of paper records. Specifically, the proposed one-year 
retention period begins on: September 26, 2011, for papers scanned into 
TICRS prior to September 26, 2011; or a paper's submission date, for 
papers scanned into TICRS on or after September 26, 2011. This plan 
will allow the USPTO and the public sufficient time to review and 
determine the accuracy of the record in TICRS/TDR and request any 
needed corrections, thereby providing assurance that the record is 
correct. The plan will also significantly reduce the costs currently 
associated with indefinitely warehousing duplicative paper records. 
Therefore, the USPTO proposes establishing a one-year retention period 
for paper documents for which an electronic record has been created in 
TICRS/TDR. Paper filings with electronic and digital media attachments 
would not be subject to the one-year retention period and will remain 
retrievable, consistent with past practice.
    After the expiration of the one-year retention period, the USPTO 
proposes to dispose of the paper records, unless a request to correct 
the electronic record in TICRS remains outstanding. Requests to correct 
the electronic records in TICRS should be e-mailed to ``[email protected]'' using the subject line ``Electronic Record 
Correction'' at least one month prior to the expiration of the one-year 
retention period to allow sufficient time to process the request. The 
request should include: (1) The serial number or registration number; 
(2) the date and nature of the paper document filed; (3) a description 
of the error(s) in TICRS/TDR; (4) the name and telephone number of the 
applicant or owner; and (5) a replacement copy of the paper document, 
if available. Under the plan, the USPTO will review the request and 
update the record within 21 days of receipt, if appropriate. Thus, the 
applicant or owner may check TICRS or TDR approximately three weeks 
after submitting the request to verify entry of the requested changes.

    Dated: September 19, 2011.
David J. Kappos,
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.
[FR Doc. 2011-24466 Filed 9-22-11; 8:45 am]
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