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Trademark Information and Services Referenced Items (443, 444, 445, 446, 447, 448, 449, 450, 451, 452, 453, 454)
(454)                 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

June 17, 1986                                          THERESA A. BRELSFORD
                                                     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.
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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
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   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

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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.
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      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.
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      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.
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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
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   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
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   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
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   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.
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         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
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     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.
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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                   118.
Public Advisory Committee for Trademark Affairs
   Files                                                            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.

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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.

                         [1068 TMOG 5]