(192) Proposed Records Control Schedule
As with most government agencies, the Patent and Trademark Office
periodically updates the schedule it uses to dispose of old files,
papers and records. Set forth below is a recent update of the Patent
and Trademark Office's Records Control Schedule. The schedule is
currently being reviewed by the National Archives and Records
Administration and, following its approval, will constitute the basis
for disposing of Patent and Trademark Office records.
Any comments or questions related to the proposed schedule should be
directed to John Hassett, (703) 557-0183. Written comments should be
mailed to:
John Hassett, Director
Patent and Trademark Office
Crystal Plz. 1, Lobby
Washington, D.C. 20231
THERESA A. BRELSFORD
June 17, 1986 Assistant Commissioner
for Administration
Commissioner's and Deputy Commissioner's Records
1. Commissioner's Correspondence and Subject Files. Correspondence
to and from other public officials, members of the public, and the
Patent and Tradmark Office staff; reports; special investigations and
survey reports; and related materials. (See index under Item 3).
PERMANENT. Transfer to Federal Records Center when 5 years old.
Offer to National Archives when 25 years old.
2. Reports to the Commissioner. Reports received by the
Commissioner from the Patent and Trademark Office staff and
maintained as separate series.
PERMANENT. Transfer to Federal Records Center when 5 years old.
Offer to National Archives when 25 years old.
3. Index to Commissioner's Correspondence and Subject Files.
Card index to records described under Item 1.
PERMANENT. Transfer to Federal Records Center with related files.
Offer to National Archives with related files.
4. Deputy Commissioner's Correspondence and Subject Files.
Correspondence to and from other public officials, members of the
public, and the Patent and Trademark Office staff, with related
materials (exclusive of records retained in Item 1).
PERMANENT. Transfer to Federal Records Center when 5 years old.
Offer to National Archives when 25 years old.
5. Policy Documentation Files. Formal policy and procedural
issuances, current and obsolete, such as organizational charts,
regulations, orders, circulars, manuals, and other types of
directives, with related forms, recommendations, endorsements,
clearances and comments.
PERMANENT. Transfer to FRC when obsolete. Offer to National Archives
when 25 years old.
6. Work-Flow Control and/or Statistical Reports Files. Various
periodic statistical reports used to show the flow of work through
the Patent and Trademark Office and the printers, such as PALM, TRAM,
PMS Statistical Reports on Patents to printers, and similar reports.
Destroy when 5 years old or sooner if no longer needed.
7. Production and Pendency Reports Files. Quarterly, monthly, and
biweekly statistical reports prepared to show the production and
quality output of examiners and clerks and the status of the assigned
projects. Reports are mainly used to evaluate the efficiency of
personnel for promotion purposes.
a. Office of Assistant Commissioners or equivalent.
Transfer to FRC when 5 years old. Destroy when 10 years.
b. Other Offices.
Destroy when updated report is received.
8. Special Studies Files. Report on special studies surveys, and
inspections of operations, management and systems with related papers
showing their inception, scope, procedure and results.
PERMANENT. Transfer to FRC when 10 years old. Offer to National
Archives when 25 years old.
9. Narrative and Statistical Reports Files. Annual or other
periodic narrative and statistical reports.
a. Reports to the Office of the Commissioner and the Offices of
the Assistant Commissioners.
PERMANENT. Transfer to FRC when 10 years old. Offer to the National
Archives when 25 years old.
b. Other Offices.
Destroy when 5 years old.
10.Internal Administrative Files. Administrative operations files
of organizational offices, consisting of:
a. Correspondence concerning routine or temporary internal
administrative matters.
Destroy when 2 years old.
b. Office personnel files.
Destroy after separation of employee.
c. Completed requisitions for services, supplies and equipment, and
travel documents.
Destroy 1 year after action is completed.
d. Records pertaining to charity drives, bond campaigns,
blood donations, and other voluntary activities.
Destroy on completion of program.
e. Hand receipt files.
Destroy when property is accounted for.
f. Suspense files.
Destroy when purpose is served.
g. Chronological files.
Destroy when 2 years old.
11.Program Planning and Evaluation Files. Files showing the
overall development of Patent and Trademark Office plans and the
evaluation of their effectiveness. Included are one copy of each
staff study, evaluation report, system study, and related
correspondence and background materials.
PERMANENT. Transfer to FRC when 10 years old. Offer to National
Archives when 30 years old.
12.Surplus Property Case Files. Case files on disposal of surplus
real and related personal property.
Transfer to FRC 3 years after close of file. Destroy 10 years after
close of file.
13.Excess Real Property Reports. Reports of real property with
related papers.
Destroy when 10 years old.
14.Budget Policy and Procedure Correspondence Files.
Correspondence files showing Patent and Trademark Office policy and
procedure governing budget administration, and reflecting
expenditures for Patent and Trademark Office programs.
PERMANENT. Transfer to FRC when 10 years old. Offer to National
Archives when 25 years old.
15.Budget Estimates Files. File copies of budget estimated
comprising appropriation language sheets, narrative statements, and
related schedules and data.
PERMANENT. Transfer to FRC after 10 years. Offer to National
Archives when 25 years old.
16.Records Disposition Files. Descriptive inventories, disposal
authorizations, schedules for retirement of records and
correspondence or memoranda relating to revisions.
PERMANENT. Offer to National Archives when 25 years old or when no
longer needed, whichever is longer.
17.Forms Files. One copy of each form with data showing the
inception and scope of the form, the program or administrative
purpose of the form, and the related procedure instituted, revised,
superseded, or canceled.
PERMANENT. Offer to National Archives when 25 years old or when no
longer needed, whichever is longer.
18.Systems Development Program Files. Program documents,
schedules, and correspondence pertaining to the execution, review,
and analysis of Patent Office research and development programs, and
relating to the general planning and supervision of the programs.
PERMANENT. Transfer to FRC 5 years after completion to program.
Offer to National Archives 20 years later or when 25 years old,
whichever is sooner.
19.Systems Development Task Force, Committee, and Board Files.
Agendas, directives, minutes of meetings, and related papers, of Task
Forces, Committees, Board, etc. of which the Patent Office serves as
Secretary, or Chairman thereof.
PERMANENT. Transfer to FRC 5 years after close of file. Offer to
National Archives 20 years later or after 25 years old, whichever
is sooner.
20.Technical Report Files. One copy of each technical report of
unpublished manuscript or report prepared in connection with a
project, terminal narratives, statistical and graphic complications,
summarizations, analyses, and related papers.
PERMANENT. Transfer to FRC when 5 years old. Offer to National
Archives when 25 years old.
21.Systems Development Project Case Files. Project case files
reflecting a complete history of each project from initiation through
research, development, design, and testing to completion.
PERMANENT. Transfer to FRC 5 years after completion or termination
of project. Offer to National Archives when 25 years old.
ADP Records
(also in GRS 20)
22.ADP Planning Documents Files. Planning documents consisting of
master plan, feasibility studies with associated charts and diagrams,
and supporting data that reflect on characteristics of the data
automation activity.
PERMANENT. When no longer needed or used offer to National Archives
with related materials.
23.ADP Program Management Files. Program management documents
consisting of the development of plans, policy, and procedures
governing the conversion of electrical machine operations and the
supervision, control, coordination, and operation of the
mechanization program.
PERMANENT. Offer to National Archives with related materials.
24.ADP Standardizations Files. Standardization files consisting
of data elements and codes, standardization requests, and
jusification for all data systems developed by or for the Patent
Office.
PERMANENT. Offer to National Archives with related materials.
25.ADP Data Systems Planning Files. Documents containing
definition of the system.
PERMANENT. Offer to National Archives with related materials.
26.ADP Information Retrieval System Master Reference File.
Magnetic media containing an index to patents and trademarks and
publications.
PERMANENT. Offer to National Archives on termination of Patent and
Trademark Office.
27.Publication Tape File. Magnetic media which are reproduced and
disseminated as publication or used for reproducing a printed
publication.
PERMANENT. Offer to National Archives when
publicatiion needs cease.
Patent Records
28.Advertising Files. Copies of proposed advertising matter,
circulars, letters, cards, and related correspondence intended to
solicit patent business and submitted by registrants as required by
regulations.
Destroy when 25 years old.
29.Complaint Files. Case files relating to complaints made
against attorneys registered to practice before the Patent Office.
Destroy on death of attorney.
30.Board of Appeals Decisions Files. Copies of Board of Appeals
decisions with related background materials.
a. Cases patented.
Destroy 10 years after patent issued.
b. All others.
Destroy 10 years after appeal is decided.
31.Indexes to Appeal Cases. Indexes, arranged in various ways, to
the appeal cases.
Destroy 30 years after date of appeal.
32.Declaration of Assistance Received Files. Form received from
applicants showing assistance received, if any, in the preparation of
application for patent (PTOL-284).
33.Academy Lecture Files. Lectures prepared by the Staff for
presentation at the Academy. (These lectures are updated periodically
to reflect the changing views of the Patent and Trademark Office)
a. Historical Sample
PERMANENT. Retain 1 copy of each basic lecture and of any major
changes made to it. Offer to NARS when 25 years old.
b. All other copies.
Destroy when obsolete.
34.Academy Training Sessions Files. Background materials relating
to each session of the Patent Office Academy, including names of
attendees and instructors, schedule of classes, evaluation sheets,
and related materials.
PERMANENT. Offer to National Archives when 25 years old.
35.Academy Examinations Files. Completed examinations of persons
attending the Academy.
Destroy when 1 year old.
36.Academy Application Files. Applications for training in the
Academy, including memoranda of agreement and personal history
statements.
Destroy when 2 years old.
37.Academy Correspondence File. Correspondence relating to the
courses offered by the Patent Office Academy.
Destroy when 5 years old.
38.Disclosure Document File. Documents submitted by inventors as
evidence of the date of conception of an invention.
a. Disclosure Documents referred to in a separate letter in a
related patent application filed within two years.
Dispose of with related patent application.
b. Disclosure Documents not referred to.
Destroy when 2 years old.
39.Disclosure Documents Index. Cross-reference index to
Disclosure Documents maintained by inventor's name and includes DD
number and date of receipt.
Destroy with related DD's.
40.Index to Patents Available for License or Sale. Index created
when a patent is made available for license or sale, issued to the
U.S. Government or dedicated to the Public.
Destroy when no longer needed for reference.
41.General Correspondence File. Consists mainly of inquiries and
requests for information and publications. Also includes
correspondence regarding the "Register of Patents Available for
License or Sale."
Destroy when 3 years old.
42.Foreign Filing Licensing Documents. Petitions to the
Commissioner of Patents and Trademarks for license to file
applications for patents in foreign countries.
Destroy 25 years after date of issue.
43.Indexes to Foreign Filing Licensing Documents. Indexes to
licensing documents described in Item 43.
Destroy 25 years after issue.
44.Transmittals to Other Agencies Files. Copies of transmittal
letters to other agencies enclosing correspondence and related
enclosures sent to the Patent and Trademark Office for services
rendered by other agencies, such as copyright information and
requests for publications from the Government Printing Office.
Destroy when 1 year old.
45.D-1 Files. Files relating to patent applications which may
have a bearing on national security. Files usually consist of form
listing serial number of application filing date, examining unit,
title of invention, attorney assignee, and the concurrences listing
the recommendation, signature, agency, and date; a memorandum summary
indicating whether a secrecy order is required; the defense agency's
request for a secrecy order; the secrecy order issued; and related
materials.
Destroy 35 years after date of receipt for review.
46.Drawing Correction Slips. Index arranged by serial number of
application and used to locate orders for correction of drawings.
Destroy when 2 years old.
47.Inventor's Index to Patent Applications. Index arranged
alphabetically by name of the inventor. Each slip shows the
inventor's name and residence, title of the invention, name and
address of the attorney, application serial number and the filing
date of the application.
PERMANENT. Offer to National Archives when no longer needed for
reference.
48.Numerical (serial) Index to Patent Applications. Index
arranged by the serial number assigned to the application.
PERMANENT. Offer to National Archives when no longer needed for
reference.
49.Assignment Document Files and Index. Copies of documents
assigning and transferring from one party to another the rights,
title, and interest to trademarks and inventions and the letters
patent obtained therefrom with related indexes.
PERMANENT. Offer to the National Archives when no longer needed for
current business.
50.Indexes to Government Interests. Indexes to patents in which
the Federal government has an interest by virtue of either of
ownership of the application or resulting patent, thru assignment, or
receipt of a license.
a.Government Agency Index.
PERMANENT. Offer to National Archives when no longer needed for
reference.
b. Patent Number Index.
Destroy when no longer needed for reference.
c. Assignor Index.
Destroy when no longer needed for reference.
51.Petitions to the Commissioner. Petitions to the Commissioner
concerning patent applications.
a. Original petitions in patent case file.
Dispose of with related case file.
b. Other copies.
Destroy when 2 years old.
52.Patent Protest Letters. Protest to the grant of a patent (Rule 291).
a. Letters filed in patent case file.
Dispose of with related case file.
b. Others.
Destroy when 5 years old.
53.Patent Docket Cards. Cards used to control patent
applications.
Destroy when 6 months old.
54.Classifications Definitions Files. One copy of each issuance
of Classifications Definitions, with related background papers.
PERMANENT. Transfer to FRC when 10 years old. Offer to National
Archives when 30 years old.
55.Canceled Drawings. Drawings that were canceled because they
did not meet Patent and Trademark Office specifications. Copy of
drawing is filed with application.
Destroy 5 years after filing date.
56.Abandoned Patent Application Files. Patent applications that
did not result in a patent.
a. Those that are retained because they are referred to in another
application that may have become patented.
Dispose of with patent file in which cited.
b. All others.
Destroy when 20 years old.
57.Patent Files. Case files showing the prosecution of
application for, and the granting of, a patent. Includes the original
application, copy of drawing, and all material relating to the
prosecution of the application and subsequent actions by the Patent
and Trademark Office.
a. Files selected by the Commissioner of Patents and Trademarks or
the Archivist of the U.S.
PERMANENT. Transfer to Federal Records Center when 10 years old.
Offer to National Archives when 40 years old.
b. All others.
Destroy when 35 years old.
58.Patent File Charge-out Records. Record showing name of person
charging out a patent file.
Destroy after file is returned and all papers are determined to be
in file.
59.Statistical Reports on Patents to Printers Files. Weekly
statistical report to management concerning the number of patents
sent to the printers and the amount of backlog.
a. Original Report.
Destroy when 5 years old.
b. Operating Unit Copy.
Destroy when 2 years old.
60.Quality Review of Sample of Allowed Applications. Records
relating to the examination of allowed applications sampled for
quality review, includes query to the examining group and their
reply.
Destroy 1 year after ultimate disposition of related case.
61.Sample Pull-Rate Files. Form showing which of the allowed
applications are to be selected for the quality review sample,
includes the pull rate and list of applications by serial number.
Destroy when 1 year old.
62.Printer-Waiting Register Files. Register showing status of
Query Disposition Records return to a group for reply.
Destroy when 1 year old.
63.Query Disposition Record Files. Form used to return
printer-waiting cases to a group for answer to a specific query.
Destroy 6 months after query is returned.
64.Batch Control Sheet for Allowed Cases Files. Form uses as
input to PALM System showing routing control and batch contents, such
as PTO Form 1238-1.
Destroy when 1 year old.
65.Checklist for Applications Allowed by Examiner File. Form used
in completing a final review of allowed applications before sending
to the printer, such as PTO Form 1167.
Destroy when 1 year old.
66.Patent Interference Files. Case files produced in the process
of resolving of adjudicating conflicts arising between parties in
this matter of priority of invention.
a. Cases that reach the hearing stage.
PERMANENT. Transfer to Federal Records Center when 10 years old.
Offer to National Archives when 40 years old.
b. Cases that are abandoned before reaching a hearing.
Destroy when 40 years old.
67.Board of Interference Decisions. Copies of Board of
Interference Decisions.
PERMANENT. Offer to the National Archives when 40 years old.
68.Index to Patent Interferences. Arranged numerically by
interference number. Shows names of parties involved, application
serial number and/or patent numbers involved, subject of
interference, sections, date of hearings, decisions rendered, and
other remarks.
PERMANENT. Offer to National Archives when 40 years old.
69.Index to Interference Exhibits. Describes exhibits in each
interference.
Destroy when 40 years old.
70.Proceedings Under AEC and NASA Acts. Separate series of
interference files relating to the SEC and NASA Acts.
Dispose of with related patent files.
71.Settlement Agreements. Files relating to the settlement agreed
to by parties in the interference.
Dispose of with related interference case file.
72.Court Cases. Proceedings in cases where the Commissioner is a party
of a civil suit.
a. Cases selected by the Solicitor as being precedent setting or
of historical or political significance.
PERMANENT. Offer to the National Archives when 30 years old.
b. All other cases.
Destroy when 30 years old.
73.Index to Court Cases. Card index to cases described under Item 72.
Retain in agency until no longer needed for reference.
74.Roster of Registered Patent Attorneys and Agents. Printout
listing registered patent attorneys and agents.
Destroy after undated listing is received.
75.Case Folders of Registered Attorneys and Agents. Application
folders of the attorneys, agents, or firms registered to practice
before the Patent and Trademark Office.
Destroy on death of attorney or agent.
76.Unsuccessful Application for Registration to Practice before
the Patent and Trademark Office. Application folders of those
applicants who failed to be registered.
Destroy 5 years after date of examination.
77.Examination Papers of Applicants for Registration. Examination
answer papers to applications for registration to practice before the
Patent and Trademark Office.
Destroy after grades are recorded.
Trademark Records
78.Trademark Examiners Work Reports. Records showing amount of
work processed by examiners in a given time. Used to evaluate
examiners work and progress.
Destroy when 5 years old.
79.Trademark Adversary Proceedings Files. Consists of Trademark
Opposition, Cancellation, Interference, and Concurrent-Use
proceedings files.
Destroy when 25 years old. Check with the Chairman of the Trademark
Trial and Appeal Board before destruction. General Services should
generate a list of files to be destroyed and send to the Search
Room to destroy matching cards in Adversary Proceeding file.
80.Canceled Trademark Registration Files. Consists of original
application and all related correspondence.
Destroy 2 years after the date of cancellation.
81.Expired Trademark Registration Files. Consists of original
application and all related correspondence.
Destroy 2 years after expiration of registration.
82.Abandoned Trademark Application Files. Consists of original
application and all related correspondence.
Destroy 2 years after date of abandonment.
83.Trademark Renewal Index. Index to trademark registrations that
are renewed.
PERMANENT. Offer to National Archives when no longer needed for
reference.
84.Indexes to Trademark Applications. Index shows applicant's
name, serial number of application, filing date, name of mark
description of goods, attorney's name, and final disposition of the
application.
a. Applicant's Index.
PERMANENT. Offer to National Archives when no longer needed for
reference.
b. Serial Index.
PERMANENT. Offer to National Archives when no longer needed for
reference.
85.Proceedings Index to Trademark Adversary Proceedings. Index in
the Trademark Public Search Library arranged by type of proceeding.
Destroy card from list sent by the Warehouse after matching
Adversary Proceeding file is destroyed.
86.Trademark Adversary Proceedings Records. Card file maintained
at the Trademark Trial and Appeal Board, showing records of Trademark
Adversary Proceedings, with information on mark, parties,
disposition, termination date, etc.
PERMANENT. Offer to National Archives when no longer needed for
reference.
87.Trademark Registrant's Index. Index to Trademark registrant's
name, includes serial and registration numbers, date of registration,
line of goods and other related information.
PERMANENT. Offer to National Archives when no longer needed for
reference.
88.Index to Trademark Trial and Appeal Board Ex Parte Cases.
Record of Trademark Trial and Appeal Board cases in ex parte appeals.
PERMANENT. Offer to National Archives when no longer needed for
references.
89.Public Advisory Committee for Trademark Affairs Files. Agenda,
minutes, correspondence, reports, working papers, reference
materials, and related supporting files.
Destroy when 10 years old or no longer needed for reference.
90.Trademark Petitions Files. Petitions and decisions to the
Commissioner relating to trademarks, with related materials.
a. Original Petitions in trademark case file.
Dispose of with related case file.
b. Copies of petition decisions in petition number order and in
subject order in the Assistant Commissioner's Office.
PERMANENT. Offer to the National Archives when no longer needed
for references.
c. Other copies.
Destroy when 2 years old.
91.Trademark Protest Letters. Letters of protest to the
Commissioner related to trademarks.
Destroy when no longer needed or when three years old, whichever
is earlier.
Public Information and Service Records
92.International Intellectual Property Activities Case Files.
Project case files showing Patent and Trademark Office activity
relating to problems concerning the protection of intellectual
property throughout the world. Includes correspondence with private
individuals, the Department of State and other countries; reports;
records of international meetings concerning patents; trademarks and
other matters pertaining to the protection of intellectual property
throughout the world; and other materials relating to international
affairs.
PERMANENT. Transfer to FRC 5 years after close of case. Offer to
National Archives when 25 years old.
93.Proposed Intellectual Property Legislation Files. Documents
accumulated in the preparation and processing of legislation proposed
by or in the interest of the Patent and Trademark Office. Includes
drafts of legislation, reports to committees on introduced
legislation, and comments on legislative proposals.
PERMANENT. Transfer to FRC after 5 years. Offer to National Archives
when 25 years old.
94.Printed Articles Files. Articles submitted for clearance and
printed in magazines, journals, and other information media,
including related background materials.
Destroy when 10 years old.
95.Public Affairs Report. Weekly, monthly, and quarterly reports
relating to public affairs activities prepared for the Department of
Commerce.
Destroy when 6 months old.
96.Speakers Files. Correspondence, schedules, travel material and
related records concerning the scheduling of Patent and Trademark
Office speakers.
Destroy when 3 years old.
97.Exhibit Files. Correspondence, photographs, reports and
related materials concerning major exhibits developed by the Patent
and Trademark Office, such as the 175th anniversary exhibit.
PERMANENT. Transfer to FRC when 10 years old. Offer to the National
Archives when 30 years old.
98.Photograph Files. Photographs of key Patent and Trademark
Office officials, major exhibits and other subjects that related to
the functioning of the Patent and Trademark Office. Includes the
negative and one positive print.
PERMANENT. Offer for transfer to the National Archives when 20 years
old.
99.Publications Files. Official record copy of each publication that
contributes to an understanding of the organization and functioning
of the Patent and Trademark Office.
PERMANENT. Transfer to FRC when 10 years old. Offer to National
Archives when 30 years old.
100.Speech Files. Official records copy of each speech given by
the Commissioner and other Patent and Trademark Office executives.
PERMANENT. Transfer to FRC when 10 years old. Offer to the National
Archives when 30 years old.
101.News Release Files. Official records copy of each new
release.
PERMANENT. Transfer to Federal Records Center when 10 years old.
Offer to National Archives when 30 years old.
102.Patents Received and Files Register. Register showing date
and number of patent cases received in search room and date filed.
Destroy 2 years after date of last entry in volume.
103.Reports on Search Room Activities Files. Weekly, monthly and
other periodic reports showing production and general activities of
the public search room, with related background papers.
a. Original Report.
Destroy when 1 year old.
b. Operating Office Copy.
Destroy when 2 years old.
104.Patent and Trademark Reproduction Copy Files. The master copy
of patents and trademarks used for the photoreproduction of sales
copies, includes original drawings and specifications.
Transfer to FRC when 10 years old. Destroy when 20 years old.
105.Reprint Requisition File. Requisitions, such as PTO Form 228,
used for ordering the reprint or printed patents or trademarks after
current stock is depleted.
Destroy when 1 year old.
106.Sales Journal. Shows statistical information on sales of
copies of patents and trademarks.
Destroy when 5 years old.
107.Correspondence and Sale Control Records. Records used to
control the flow of correspondence and sale of printed materials.
Destroy when 1 year old.
108.Requests for Publications. Correspondence requesting copies
of certain publications and other printed materials.
Return requests with ordered materials.
109.Microform Files. Microform copies of applications as filed,
printed patent files and printed trademark files.
a. Master microfilm files. (Certified as processed under 41 CFR
101-11.504)
PERMANENT. Transfer to classified site. Offer to National
Archives when 25 years old.
b. All other microform copies
Non-Records
110.Charged-Out Slips File. Slips recording the charge-out of
records to Patent and Trademark Office employees and the public, such
as PTO Forms 124, 125, and 271.
Destroy when records are returned.
111.Binding Instructions. Cards showing instructions on how the
various publications received by the library are to be bound.
Destroy when no longer needed.
112.Charge-out Files of Library Materials. Sets of 3"x 5" cards
showing records of library materials on temporary or indefinite loan
to researchers or Patent and Trademark Office staff.
Destroy when obsolete or on return of book.
113.Interlibrary Loans Files. Records of books borrowed from
other libraries.
Destroy 2 years after return of book.
114.Library Serial Order Cards. 3"x 5" cards used to record
purchase of journals, magazines, etc.
Destroy when no longer needed for reference.
115.Library Book Order Cards. 3"x 5" cards showing book
purchases.
Destroy when no longer needed for reference.
116.Foreign Patent Accession Register. Bound volumes arranged by
country. Each shows the patent number and the date that copy was
received in the Patent and Trademark Office.
Destroy when no longer needed for reference.
117.Inventor's Index. Arranged alphabetically by name of
inventor. Shows name and address of inventor, title of invention,
serial number of application, patent number, date of issuance,
attorney, and assignee.
PERMANENT. Offer to National Archives when no longer needed for
reference.
118.PTO Procurement Files. Contract, requisition, purchase order,
lease, and bond and surety records, including correspondence and
related papers pertaining to award, administration, receipt,
inspection and payment (other than those covered in Items 1, 2, 13,
and 15).
a. Procurement or purchase organization copy, and related papers.
1.Transactions of more than $10,000 and all construction
contracts exceeding $2,000.
Destroy 6 years and 3 months after final payment.
2. Transactions of $10,000 or less and construction contracts under
$2,000.
Destroy 3 years after final payment. (Close file at the end of the
fiscal year, retain 3 years and destroy, except that files on which
actions are pending shall be brought forward to the next fiscal
years's files for destruction therewith.)
b. Obligation copy.
Destroy when funds are obligated.
c. Other copies of record described above used by component
elements of a procurement office for administrative purposes.
Destroy upon termination or completion.
119. Solicited and Unsolicited Bids and Proposals Files.
a. Successful bids and proposals.
Destroy with related contract case files (see item 118 of this
schedule.)
b. Solicited and unsolicited unsuccessful bids and proposals.
1. When filed separately from contract case files.
Destroy when related contract is completed.
2. When filed with contract case files.
Destroy with related contract case files (see item 118 of this
schedule.)
c. Cancelled Solicitations Files.
1. Formal solicitations of offers to provide products or services
(e.g., Invitations for Bids, Requests for Proposals, Requests for
Quotations) which were cancelled prior to award of a contract.
The files include presolicitation documentation on the
requirement, any offers which were opened prior to the
cancellation, documentation on any government action up to the
time of cancellation, and evidence of the cancellation.
Destroy 5 years after date of cancellation.
2. Unopened Bids.
Return to bidder.
d. Lists or Card Files of Acceptable Bidders.
Destroy when superseded or obsolete.
120.Public Printer Files. Records relating to requisitions on the
Printer, and all supporting papers.
a. Printing procurement unit copy of requisition, invoice,
specifications, and related papers.
Destroy 3 years after completion or cancellation of requisition.
b. Accounting copy of requisition.
Destroy 3 years after period covered by related account.
Non Record Materials
The Records Disposal Act of 1943, as amended, states that "library and
museum material made or acquired and preserved solely for reference
or exhibition purposes, extra copies of documents preserved only for
convenience of reference, and stocks of publications and of processed
documents are not included within the definition of the word
'records' as used in this Act." Non-record material is disposed of as
soon as its purpose is served. The following list consists of those
non-record materials that are unique to the Patent and Trademark
Office.
121. Foreign Patents. Copies of patents issued by foreign countries.
122. Translation of Foreign Patents and Publications and Related
Indexes. Typewritten copies of translations and related indexes.
123. Card Catalogs. 3"x 5" cards used as finding aids to the
library.
124. Patent Examiner's Search Files. Reference file used by
examiners in processing applications. Arranged by class and subclass
and consist of U.S. patents, foreign patents, extracts from
publications, and other materials relating to a certain class or
subclass.
125. Printed Trademark Registrations Reference Files. Digest of
Registered marks consisting of a set of registered work marks
arranged alphabetically and secondarily by trademark registration
number; a set of registrations comprising symbols, arranged according
to the classification of the goods or services with which they are
used; of registration arranged by registration number.
126. Numerical Index to Patent Classification. Arranged
numerically by patent number and shows the class and subclass
assignment of each patent.
127. Shelf List of Classified Patents. Listing of all U.S. Patent
numbers comprising, respectively, the "original" and "cross
reference" classification of patents according to the official
classification of the Patent and Trademark Office.
128. Public Search Files of U.S. Patents. Printed or microfilm
copies of U.S. Patents arranged in two series: 1) numerically by
class and subclass assignment, and secondarily by patent number and
2) numerically by patent number.
129. Legislative History Files. Consist mainly of copies of
published materials relating to legislation that is of interest to
the Patent and Trademark Office. Includes copies of bills, public
laws, Federal Register, Congressional Record, and similar materials.
Patent and Trademark Office Records Schedule Index
Item Description Item No.
Abandoned Patent Application Files 56.
Abandoned Trademark Application Files 82.
Academy Application Files 36.
Academy Correspondence File 37.
Academy Examinations Files 35.
Academy Lecture Files 33.
Academy Training Sessions Files 34.
ADP Data Systems Planning Files 25.
ADP Information Retrieval System Master
Reference File 26.
ADP Planning Documents Files 22.
ADP Program Management Files 23.
ADP Standardizations Files 24.
Advertising Files 28.
Assignment Document Files and Index 49.
Attorneys and Agents Registered to
Practice Before the U.S. Patent and
Trademark Office Roster 74.
Batch Control Sheet for Allowed Cases Files 64.
Binding Instructions 111.
Board of Appeals Decision Files 30.
Board of Interference Decisions 67.
Budget Estimates Files 15.
Budget Policy and Procedures Correspondence
Files 14.
Cancelled Drawings 55.
Cancelled Trademark Registration Files 80.
Card Catalogs 123.
Case Folders of Registered Attorneys and Agents 75.
Charge-Out Files of Library Materials 112.
Charge-Out Slips File 110.
Checklist for Applications Allowed by Examiner
File 65.
Classifications Definitions Files 54.
Commissioner's Correspondence and Subject File 1.
Complaint Files (Against Registered Attorneys) 29.
Correspondence and Sale Control Records 107.
Court Cases 72.
D-1 Files 45.
Declaration of Assistance Received Files 32.
International Intellectual Property Activities
Case File 92.
Inventor's Index 117.
Inventor's Index to Patent Applications 47.
Legislative History Files 129.
Library Book Order Cards 115.
Library Books Card Catalogs 123.
Library Serial Order Cards 114.
Master Drawings and Specification 104.
Microform Files 109.
Narrative and Statistical Reports Files 9.
News Release Files 101.
Numerical Index to Patent Classification 126.
Numerical (serial) Index to Patent Applications 48.
Patent and Trademark Copies Sales Journal 106.
Patent and Trademark Drawings and Specifications 104.
Patent and Trademark Reproduction Copy Files
(Master Drawings 104.
Patent Docket Cards 53.
Patent Examiner's Search Files 124.
Patent File Charge-Out Records 58.
Patent Files 57.
Patent Interference Files 66.
Patent Interference Settlement Agreements 71.
Patent Protest Letters 52.
Patents Received and Files Register 102.
Petitions to the Commissioner 51.
P-Files 42.
Photograph Files 98.
Policy Documentation Files 5.
Printed Articles Files 94.
Printed Trademark Registrations Reference Files 125.
Printer-Waiting Register Files 62.
Proceedings Index to Trademark Adversary
Proceedings 85.
Proceedings Under AEC and NASA Acts 70.
Production and Pendency Reports Files 7.
Program Planning and Evaluation Files 11.
Proposed Intellectual Property Legislation Files 93.
PTO Procurement Files 118.
Public Advisory Committee for Trademark Affairs
Files 89.
Public Affairs Report 95.
Publications Files 99.
Public Printer Files 120.
Publication Tape File 27.
Public Search Files of U. S. Patents 128.
Quality Review of Sample of Allowed Applications 60.
Query Disposition Record Files 63.
Records Charge-Out Slips Files 110.
Records Disposition Files 16.
Registered Attorneys and Agents Roster 74.
Reports on Search Room Activities Files 103.
Reports to the Commissioner 2.
Reprint Requisition File 105.
Requests for Publications 108.
Roster of Registered Patent Attorneys and Agents 74.
Sales Journal (on Patent and Trademark Copies) 106.
Sample Pull-Rate Files (Allowed Applications
for Quality Review) 61.
Settlement Agreements (in Patent Interference
Cases) 71.
Shelf List of Classified Patents 127.
Solicited and Unsolicited Bids and Proposals
Files 119.
Speakers Files 96.
Special Studies Files 8.
Speech Files (Commissioner and Patent and
Trademark Executives) 100.
Statistical Reports and/or Work Control Files 6.
Statistical Reports on Patents to Printers Files 59.
Surplus Property Case Files 12.
Systems Development Program Files 18.
Systems Development Project Case Files 21.
Systems Development Task Force, Committee
and Board Files 19.
Technical Report Files 20.
Trademark Adversary Proceedings Files 79.
Trademark Adversary Proceedings Records 86.
Trademark Examiners Work Reports 78.
Trademark Petitions Files 90.
Trademark Protest Letters 91.
Trademark Registrant's Index 87.
Trademark Renewal Index 83.
Translation of Foreign Patents and Publications
and Related Indexes 122.
Transmittals to Other Agencies Files 44.
Unsuccessful Application for Registration to
Practice Before the Patent and Trademark
Office 76.
Work-Flow Control and/or Statistical Reports Files 6.
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