Request for Comments on Proposed Internet Usage Policy

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