United States Patent and Trademark
                        [Docket No. 010321076-1076-01]
                                 RIN 0651-AB26

                         Notification of Required and
                         Optional Search Criteria for
                     Computer Implemented Business Method
                    Patent Applications in Class 705, and
                             Request for Comments

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice of request for public comments.

SUMMARY: The United States Patent and Trademark Office
(USPTO) is providing notification to the public of required and
optional search criteria used during examination of patent applications
related to computer-implemented Business Methods in Class 705. The
Office is seeking comments concerning databases, documenting practices,
procedures, and developments, in addition to those listed in this
notice, in specific industries within the computer-implemented business
method field, to identify additional information and materials that
could be considered during the examination process. 

DATES: The recommended database will be reviewed
quarterly. Database recommendations received before June 30, 2001, will
be included in the first evaluation process which will commence on July
31, 2001. Results of the evaluation of the first group of database
recommendations should be completed by September 30, 2001. The schedule
through June of 2002 is set forth in the Supplementary Information

telephone at (703) 305-9711 or by fax at (703) 305-0040, or James
Trammell by telephone at (703) 305-9768 or by fax at (703) 308-1396. 

ADDRESSES: Comments should be sent by electronic mail
message over the internet addressed to
Comments may also be submitted by mail addressed to: Box
Comments - Patents, Commissioner for Patents, Washington, D.C. 20231, or
by facsimile to (703) 872-9399 or (703) 308-6916, marked to the
attention of Robert A. Clarke. Although comments may be submitted by
mail or facsimile, the Office prefers to receive comments via the
Internet. If comments are submitted by mail, the Office would prefer
that comments be submitted on a DOS formatted 3 1/2 inch disk
accompanied by a paper copy. 
   The comments will be available for public inspection at the Office of
Patent Legal Administration, Office of the Deputy Commissioner for
Patent Examination Policy, located at Room 3-C23 of Crystal Plaza 4,
2201 South Clark Place, Arlington, Virginia, and will be available
through anonymous file transfer protocol (ftp) via the Internet
(address: Since comments will be made available
for public inspection, information that is not desired to be made
public, such as an address or phone number, should not be included in
the comments. 


1. Background

   On March 29, 2000, the Director of the USPTO announced the
USPTO Business Methods Patent Initiative: An Action Plan. One step in
that action plan called for: 
   Industry Outreach
   Industry Feedback: A greater effort will be made to obtain industry
feedback on prior art resources used by the USPTO, solicit input on
other databases and information collections and sources, and expand
prior art collections. 

2. Purpose

   This announcement is a request for input on the USPTO search
resources that are employed in the examination of business method
patent applications in Class 705. By this process the USPTO hopes to
achieve two significant results. First to inform the public of the
prior art resources that are currently available to the Office. Second
to identify additional information and materials that could be
considered during the examination process. 
   The announcement is presented in two major sections; the listing of the
current USPTO prior art resources and the process for providing
comments on that listing. The listing of the current USPTO prior art
resources includes a detailed description of the mandatory search that
is now required for all patent applications examined in Class 705. In
the important area of non-patent literature (NPL), the listing also
sets forth a further identification of other prior art resources that
are available to the patent examiners and may, in accordance with their
professional judgment, be searched during the examination process. The
section relating to the process for submitting comments to the USPTO
details the primary type of information the Office is seeking, how the
input may be submitted, and a general description of the process the
Office will employ in considering the comments received. The USPTO will
fully consider all comments and suggestions submitted in accordance
with the guidelines set forth below. 

Table of Contents

I. Current USPTO Prior Art Resources
   A. U.S. Patents
   1. Classified (Mandatory Search)
   2. Text (Mandatory Search)
   B. Foreign Patents (Mandatory Search)
   C. Non-Patent Literature (NPL)
   1. Core Databases (Mandatory Search)
   2. Supplemental Resources
   a. Commercial Database Services
   b. Books, Technical Reports, and Conference Proceedings
   c. Journals
   d. Web-based Resources and Internet Usage Policy
   e. Interlibrary Loan
II. Process for Providing Comments
   A. Resource Recommendations
   B. Criteria for Evaluation - Searchable Databases
   C. Schedule to Evaluate Recommended Resources

I. Current USPTO Prior Art Resources for Examination of
Business Method Patent Applications in Class 705 

   Examiners are required to search three main types of prior art
when examining every class 705 application: U.S. patents, foreign
patents, and NPL. 

A. U.S. Patents

1. Classified (Mandatory Search)

   The USPTO uses a classification schedule to sort and store all
patents issued. The classification schedule is structured into class
and subclass sections. For example, a patent on a computerized method
of determining insurance claims is classified in class 705 "Data
Processing: Financial, Business Practice, Management, or Cost/Price
Determination", and located in subclass 4, "Insurance." Thus, the
exact classification of this patent is 705/4. 
   A search of an application with claims directed to the business art
includes a classified search in at least the subclass which the claimed
subject matter of the application would be properly classified. This is
referred to as an original classification (OR). A search of an
application with multiple independent claims, some of which if
presented separately would have been classified as an original
classification in other areas, will be searched in each of the relevant
classes and subclasses. 
   Examiners are not required to search areas in which it is reasonably
determined that there is a low probability of finding the best
reference(s). In outlining a field of search, the examiner notes every
class and subclass under the U.S. Patent Classification that may have
material pertinent to the subject matter as claimed. Every subclass,
digest, and cross-reference art collection pertinent to each type of
invention claimed is included, from the largest combination through the
various subcombinations. The field of search extends to all probable
areas relevant to the claimed subject matter and covers the disclosed
features which might reasonably be expected to be claimed. The examiner
consults with other examiners and/or supervisory patent examiners,
especially with regard to applications covering subject matter
unfamiliar to the examiner. The areas to be searched are prioritized so
that the areas where relevant prior art is most likely to be found are
searched first. (For more information, see the MPEP, 
   Class 705 Schedule. The schedule for Class 705 is posted on the
home page for the USPTO at oeip/taf/moc/705.htm. 

2. Text (Mandatory Search)

   Examiners are also required to perform a text search of U.S.
patents. Examiners use Boolean and proximity operators to search
keywords and multiple concept terms to retrieve U.S. patents relevant
to the application. Concept terms are derived from many aspects of the
invention including, but not limited to: Background of the invention;
Objects of the invention; Technological and field of use environment;
Prior effort/work; Problem to be solved; Major advantages/outcomes; How
the problem is solved; How components relate; Functionality; and
Environment - Field of Use. 

B. Foreign Patents (Mandatory Search)

   Examiners are also required to perform a text search in the
Foreign Patent Databases indicated below. Concept and keywords terms
are searched using Boolean and proximity operators with search
strategies tailored to these databases. The name of each database
listed below is followed by the name of the database producer.
Derwent World Patents Index [Derwent Information]
European Patents Fulltext [European Patent Office]
JAPIO - Patent Abstracts of Japan [Japan Patent Information
WIPO/PCT Patents Fulltext [MicroPatent LLC]

C. Non-Patent Literature (NPL)

   The examination procedure for patent applications includes text
searching of commercially available databases to identify relevant
NPL. Examples of NPL include journal articles, newspaper articles,
books, software manuals, conference proceedings, and standards. 
   Commercial database providers with extensive content coverage, powerful
search interfaces, and the capability to simultaneously search multiple
files provide the primary resources to effectively search large
quantities of NPL. Examples of the search services used in the USPTO
include DataStar, Dialog, Lexis/Nexis, Questel/Orbit, STN, and Westlaw.
These services provide access to hundreds of databases from commercial
producers. Through a single set of search operations, applied
simultaneously to multiple database files of NPL selected according to
the core and subclass specific criteria specified below, through a
single commercial database provider, an examiner can retrieve search
results simultaneously from across multiple NPL sources using a single
search strategy commonly applicable to all accessed files. The USPTO
also subscribes to other resources and databases to provide examiners
with additional sources for supplemental searches. These resources are
noted in the section of this notice regarding Supplemental Resources. 

1. Mandatory

   USPTO staff have in-depth expertise on commercial database
services and their products. Based on this knowledge, databases with
business-related literature were reviewed. Representative databases
were chosen as mandatory resources to be searched for business cases.
Several factors were considered during the review of these databases
including coverage of business-related topics, date coverage (including
older materials), and inclusion in commercial database services which
allow for simultaneous searching of numerous databases. The databases
selected are considered the "core" or "mandatory" NPL databases
that must be searched for business method patent applications. This
list is not intended to be exhaustive or comprehensive. However, by
searching these databases, the examiner has searched a wide range of
resources that can provide significant and relevant prior art for
business method cases. Examiners are not restricted to searching the
databases in this list. If, in the examiner's professional judgment,
other prior art resources should be searched, they have hundreds of
additional databases available (e.g. commercial database vendors
mentioned above) to search. 
   The first section of the core database list, designated as
"Non-Patent Literature Core Databases," includes databases that are
searched for every case classified in Class 705. Databases that may
provide significant resources of NPL relevant to specific subclasses
are designated as "Subject Specific Databases." 
   For example, an application on a computerized method of determining
insurance claims is classified in class 705 and subclass 4. All the
core NPL databases in addition to the subject specific databases listed
under subclass 4 are searched for NPL. 
   Business examiners are required to perform a text search in the NPL
databases listed below. Concept and keywords terms are searched using
Boolean and proximity operators with search strategies tailored to
these databases. 
   The name of each database (except for newspapers) is followed by the
name of the database producer. 


NPL Core Databases. All Class 705 applications will be searched in the
following databases:
ABI/INFORM [Bell & Howell Information and Learning]
Business & Industry [Responsive Database Services, Inc.]
Business Week [The McGraw-Hill Companies Publications Online]
Business Wire [Business Wire]
Computer Database [The Gale Group]
Conference Papers Index [Cambridge Scientific Abstracts]
Dissertation Abstracts Online [Bell & Howell Information and Learning]
Globalbase [The Gale Group]
Inside Conferences [The British Library]
Internet & Personal Computing Abstracts [Information Today, Inc.]
The McGraw-Hill Companies Publications Online [The McGraw-Hill Companies,
Microcomputer Software Guide Online [R. R. Bowker Company]
New Product Announcements/Plus (NPA/Plus) [The Gale Group]
Newsletter Database [The Gale Group]
Financial Times Abstracts
New York Times Abstracts
San Jose Mercury News
Wall Street Journal Abstracts
PR Newswire [PR Newswire Association, Inc.]
PROMT [The Gale Group]
Softbase: Reviews, Companies, and Products [Information Sources, Inc.]
Trade & Industry Database [The Gale Group]
Wilson Applied Science and Technology Abstracts [The H.W. Wilson Company]
World Reporter [The Dialog Corporation, Dow Jones & Company and Financial
Times Information]

   Subject Specific Databases. There are other databases which
contain significant NPL resources relevant to specific Class 705
subclasses. Therefore, additional core databases are listed for the
subclasses indicated in this section. Examiners are required to search
these databases during the examination of cases classified under these
subclasses. In this list, the subclass numbers are listed to the left
of the subclass description. 

2. Health Care Management

   In addition to Core databases, examiners will search the
following databases: 

American Medical Association Journals [The American Medical Association]
EMBASE [Elsevier Science, B.V.]
Health & Wellness Database [The Gale Group]
HealthNews Daily [F-D-C Reports, Inc.]
HealthSTAR [U.S. National Library of Medicine (NLM)]
MEDLINE [U.S. National Library of Medicine (NLM)]
New England Journal of Medicine [Massachusetts Medical Society]
SciSearch [Institute for Scientific Information" (ISI)]
If drugs/pharmaceuticals are involved.
   * * *
Drug News & Perspectives [Prous Science Publishers]
International Pharmaceutical Abstracts [American Society of
Health-System Pharmacists]
Pharmaceutical and Healthcare Industry News Database
[PJB Publications Ltd.]
Pharmaceutical News Index (PNI) [Bell & Howell Information and Learning]

4 Insurance

   In addition to Core databases, examiners will search the
following databases: 

American Banker Financial Publications [American Banker-Bond Buyer]
Insurance Periodicals Index [NILS Publishing Company]
The Journal of Commerce [The Journal of Commerce, Inc.]

7 Operations Research

   In addition to Core databases, examiners will search the
following databases: 

Inventory Monitoring Databases

13 Transportation Facility Access

   In addition to Core databases, examiners will search the
following databases: 

Aerospace/Defense Markets & Technology [The Gale Group]
Aerospace Database [AEROPLUS ACCESS]
The Journal of Commerce [The Journal of Commerce, Inc.]
NTIS - National Technical Information Service [National Technical
Information Service, U.S. Department of Commerce]
Transportation Research Information Services [Transportation Research

14 Advertising/Coupon Redemption/Incentives

   In addition to Core databases, examiners will search the
following databases: 

Business Dateline [Bell & Howell Information and Learning]
Marketing & Advertising Reference Service [The Gale Group]

   The Atlanta Journal/The Atlanta Constitution
   The Arizona Republic/The Phoenix Gazette (Phoenix)
   The Sun (Baltimore)
   The Boston Globe
   Chicago Tribune
   The Christian Science Monitor
   Detroit Free Press
   The Denver Post
   Houston Chronicle
   Independent (London)
   The Irish Times
   Los Angeles Times
   The Miami Herald
   Newsday and New York Newsday
   The Oregonian (Portland)
   The Plain Dealer (Cleveland)
   The Philadelphia Inquirer
   Rocky Mountain News (Denver)
   San Francisco Chronicle
   St. Louis Post-Dispatch
   St. Petersburg Times
   Times/Sunday Times (London)
   USA Today
   Washington Post Online

26 Electronic Shopping

   In addition to Core databases, examiners will search the
following databases: 

Advertising/Coupon Redemption/Incentives Databases
Magazine Database [The Gale Group]

28 Inventory Monitoring

   In addition to Core databases, examiners will search the
following databases: 

EI Compendex [Engineering Information, Inc.]
ISMEC: Mechanical Engineering Abstracts [Cambridge Scientific Abstracts]
JICST-EPlus - Japanese Science & Technology [Japan Information Center
for Science and Technology (JICST)]
NTIS: National Technical Information Service [National Technical
Information Service, U.S. Department of Commerce]
SciSearch [Institute for Scientific Information (ISI)]
Social SciSearch [Institute for Scientific Information (ISI)]

35 Banking/Finance/Investments

   In addition to Core databases, examiners will search the
following databases: 

American Banker Financial Publications [AmericanBanker-Bond Buyer]
Banking Information Source [Bell & Howell Information and Learning]
Bond Buyer Full Text [American Banker-Bond Buyer
DIALOG Finance and Banking Newsletters [The Dialog Corporation]
EconLit [American Economic Association]

36 Portfolio Selection

   In addition to Core databases, examiners will search the
following databases:
Banking/Finance/Investment Databases

37 Trading, Matching or Bidding

   In addition to Core databases, examiners will search the
following databases: Banking/Finance/Investment Databases 

38 Credit Processing or Loan Processing

   In addition to Core databases, examiners will search the
following databases:
Banking/Finance/Investment Databases

39 Including Funds Transfer or Credit Transaction

   In addition to Core databases, examiners will search the
following databases: 

Banking/Finance/Investment Databases
Knight-Ridder/Tribune Business News [Knight-Ridder/Tribune
Business News]

   Brief descriptions are provided for the above-listed NPL and
Foreign Patent databases in Appendix I attached to this document. 

3. Supplemental Resources

   The USPTO has access to a multitude of resources and databases
containing NPL. Many of these resources include significant amounts of
business-related information. The following resources are available to
patent examiners and may, in accordance with their professional
judgment, be searched during the examination process. 
   a. Commercial Database Services. The USPTO provides access
to commercial database vendors who provide over 1,000 searchable
databases. In addition to the databases included in the core list
mentioned earlier, examiners can choose to search other databases
provided by these vendors when, in their professional judgment,
searching additional databases is warranted. 

DataStar - complete list of databases located at
Dialog - complete list of databases located at
Lexis-Nexis - complete list of databases located at
   (At the bottom of this web page, click on the link to view the
alphabetical list of their entire directory.)
Questel-Orbit - complete list of databases located at
(Click on "fact sheets")
STN International - complete list of databases located at Westlaw - the
database directory is located at WIPO Journal of Patent
Associated Literature (JOPAL) - the database directory is located
   b. Books, Technical Reports, and Conference Proceedings. The
USPTO maintains print collections of over 160,000 books, technical
reports, journals, and conference proceedings that are not available
electronically. Additionally, many materials are available in
   c. Journals. The USPTO has access to over 5,000 full text
journals. Many of these journals are available in electronic format.
Please see the following section on "Web-based Resources," which
includes sources providing access to full text electronic journals. The
USPTO also maintains full text CD-ROM products. Examples include
Computer Select (1989 to date), Advances in Cryptography (1981-1997),
and Dr. Dobb's Journals (1988-June 1997; newer Dr. Dobb's Journal
issues are available via web-based resources). The remainder of the
journal collection is in hard copy or microform formats.
   d. Web-based Resources. Examiners have direct access to the
web-based resources including technical books and reports, legal
publications, indexes, encyclopedias, dictionaries, and databases of
NPL, such as journal articles and conference proceedings. The primary
strength of many of these electronic resources is that they provide
quick access to full text publications, some of them with graphics.
Some of these resources also allow for Boolean and proximity searching
and can be searched by examiners to determine if additional relevant
prior art is available. 
   The following web-based resources are available. Brief descriptions are
provided for those most relevant to examiners in business methods

Academic Press Dictionary of Science & Technology
American Chemical Society Association for Computing Machinery (ACM) -
provides access to 95% of all ACM articles and proceedings from 1991
to the present.
Corporate Resource Net B provides access to over 4,000 journals in
electronic format.
Department of Energy Information Bridge
Encyclopedia Britannica
Faulkner - provides comprehensive coverage of the full spectrum of
computer systems, software, networking, and telecom technologies,
including trends, vendor strategies, and product solutions.
Includes B2B E-Commerce Trends reports.
Institute for Electrical and Electronics Engineers (IEEE Xplore) -
provides access to more than 500,000 IEEE/IEE articles written
since 1988. All IEEE/IEE conferences, journals and standards from
1988 on are included.
ITKnowledge - provides full text access to more than 1,000
technical computing books.
Matthew Bender Legal and Intellectual Property Publications
Patent, Trademark & Copyright Journal
Physicians Desk Reference, PDR Herbal & Stedmans Medical Dictionary
Proceedings of the National Academy of Sciences
Proquest Direct - Proquest is organized into separate, subject-based
libraries. USPTO subscribes to most of these including
the Banking Library (containing 248 journal titles); the Computing
library (containing 256 journal titles); the Telecommunications library
(containing 92 journal titles). In all, USPTO has access to the full
text and/or bibliographic records for over 5,000 journal titles through
Readers' Guide to Periodical Literature
ScienceServer - provides access to nearly 200 scientific, technical
and medical journals published by Elsevier and Academic Press.
Wiley Encyclopedia of Electrical and Electronics Engineering - covers
core knowledge of all specialties encompassed by electrical and
electronics engineering, including computer and software engineering.
Internet Usage Policy With Above Resources - When the Internet is used to
search, browse, or retrieve information relating to a patent
application, other than a reissue application or reexamination
proceeding, USPTO examiners and searchers restrict search queries to the
general state of the art unless the Office has established a secure link
on the Internet with a specific vendor to maintain the confidentiality
of the patent application. Non-secure Internet search, browse, or
retrieval activities that could disclose proprietary information
directed to a specific application, other than a reissue application
or reexamination proceeding, are not permitted.
   e. Interlibrary Loan. The USPTO maintains an interlibrary
loan operation to gain access to full text documents that are not
available electronically or on-site in hard copy or microform format.
The interlibrary loan staff have access to local, national and
international organizations and provide rapid retrieval of full text
documents to examiners. 

II. Process for Providing Comments

A. Resource Recommendations

   The USPTO requests comments regarding the search resources
employed in the examination of business method patent applications in
Class 705. In order to identify additional information and materials
that could be considered during the examination process, members of the
public are invited to recommend databases and electronic resources that
the USPTO does not currently access for searching business methods
prior art. 
   Recommended databases must be publicly available. These databases will
be evaluated based on the set of criteria published in this document.
The information you provide will help us verify that the correct
resource has been identified for evaluation. Please provide detailed
information in support of suggested resource(s). Such information
should address the following topics: 

Reason for Recommendation

   Please specify why you are recommending the database, focusing
on the specific value of the content and search features of the
particular database. For example, the database provides full text
documents, or it contains business methods information not found in
other databases. 

Database Identification

   (a) Provide the full name of the database and other names by
which the database may be identified, e.g. acronyms or
shortened names. 
   (b) Provide the name, address, and phone number for the database
   (c) Provide the name, address, and phone number for the entity that
provides access to the database. 

Database Content

   (a) What are the years of coverage?
   (b) What is the subject matter?
   (c) Does the bibliographic information include documented publication
   (d) Does the database include abstracts and/or full text?


   (a) Is the database publicly available?
   (b) If so, what are the operational hours?

Technical Support

   What is the availability of technical support?


   What is the database policy on maintaining backfile data?

Mode of Access

   How is the database available?
   (a) Online.
   (b) Web-based.
   (c) In-house CD-ROM or other electronic media.
   (1) networked.
   (2) stand-alone system.

B. Criteria for Evaluation - Searchable Databases

   Recommended databases should provide substantial added value
over resources already available. Databases will be evaluated in terms
of whether or not they are of sufficient value to be included as
mandatory search tools or whether they should be included as
supplemental resources for examiners to search, at their discretion,
during the patent application examination process. 


   The intellectual content of the database will be evaluated on:
   (a) Extent of the retrospective coverage of business-related prior art.
   (b) Extent of unique, difficult-to-find sources and content not
available in currently used tools. 
   (c) Extent of bibliographic documentation in addition to the
availability of searchable abstracts and/or full text. 
   (d) The documentation of publication dates for the information included
in the database. 
   (e) Thoroughness of indexing.
   (f) Frequency of updates.

Search Interface

   Databases should have a search interface that is powerful,
user-friendly, and has multiple access points. For example: Does
the database provide for single-search access to the entire
resource content? Does it support Boolean and proximity searching? Does
it allow for truncation and nesting of terms or synonyms? 


   The cost of the resource will be evaluated in relation to the
value of the product and the cost of other comparable products. 

Accessibility and Reliability

   Database providers or producers should deliver reliable access
24 hours a day, seven days a week. The database must be publicly

Technical Support

   Technical support must be knowledgeable and reliable, and must
be available, at a minimum, Monday through Friday. 


   Database content must be stable and consistent. In particular,
continuing availability of backfile data is critical. 

Mode of Access

   The database should be accessible via TCP/IP (online), the
Internet, or an in-house platform (networked or stand-alone). The mode
of access must meet the requirements of the USPTO's Office of the Chief
Information Officer's Technical Reference Model (TRM). The TRM is
available at the following url:

C. Schedule to Evaluate Recommended Resources

               Recommendations          Will be
                received by:             evaluated by:

                June 30, 2001            September 30, 2001.
                September 30, 2001       December 31, 2001.
                December 31, 2001        March 31, 2002.
                March 31, 2002           June 30, 2002.

Classification Section

   It has been determined that this notice is not significant for
purposes of Executive Order 12866 (September 30, 1993). 

Paperwork Reduction Act

   This notice involves information collection requirements which
are subject to review by the Office of Management and Budget (OMB)
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.). As required by the Paperwork Reduction Act of 1995 (44
U.S.C. 3507(d)), the Office has submitted an information collection
package to OMB for its review and approval. The title, description, and
respondent description for this information collection is shown below
with an estimate of the annual reporting burdens. Included in the
estimate is the time for reviewing instructions, searching existing
data sources, gathering and maintaining the data needed and completing
and reviewing the collection of information. 

   OMB Number: 0651-0047.
   Title: United States Patent and Trademark Office Business
Method Database Information. 
   Form Number: Not applicable.
   Type of Review: Approved through March of 2004.
   Affected Public: Individuals or households, business or
other for-profit, not-for-profit institutions, farms, state, local or
tribal governments, and the Federal Government. 
   Estimated Number of Respondents: 100.
   Estimated Time Per Response: 1.5 hours.
   Estimated Total Annual Burden Hours: 150 hours.
   Needs and Uses: Input from industry and the public on the
current search areas and suggestions from industry and the public on
new sources of prior art is considered important to improve the
examination process in the computer-implemented business method field.
The public feedback will be used to evaluate suggested databases for
inclusion in either mandatory or optional search areas in this field. 
   Comments are invited on: (1) Whether the collection of information is
necessary for proper performance of the functions of the agency; (2)
the accuracy of the agency's estimate of the burden; (3) ways to
enhance the quality, utility, and clarity of the information to be
collected; and (4) ways to minimize the burden of the collection of
information to respondents. 
   Interested persons are requested to send comments regarding these
information collections, including suggestions for reducing this
burden, to Robert J. Spar, Director, Office of Patent Legal
Administration, United States Patent and Trademark Office, Washington,
D.C. 20231, or to the Office of Information and Regulatory Affairs of
OMB, New Executive Office Building, 725 17th Street, N.W., Room 10235,
Washington, D.C. 20503, Attention: Desk Officer for the Patent and
Trademark Office. 
   Notwithstanding any other provision of law, no person is required to
respond to nor shall a person be subject to a penalty for failure to
comply with a collection of information subject to the requirements of
the Paperwork Reduction Act unless that collection of information
displays a currently valid OMB control number. 

   Authority: Sec. 4712, Pub. L. 106-113, 113 Stat. 1501A-572
(35 U.S.C. 2(b)(2)).

May 30, 2001                                            NICHOLAS P. GODICI
                                                  Acting Under Secretary of
                                     Commerce for Intellectual Property and
                                                     Acting Director of the
                                  United States Patent and Trademark Office

Appendix I

   Brief descriptions are provided for the above listed NPL and
Foreign Patent databases. The following descriptions are excerpts
obtained from the Dialog Corporation's Bluesheets. 
   ABI/INFORM - includes details on virtually every aspect of
business, including company histories, competitive intelligence, and
new product development. ABI/INFORM contains bibliographic citations
and 25-150 word summaries of articles appearing in professional
publications, academic journals, and trade magazines published
   Aerospace/Defense Markets & Technology (Gale Group
Aerospace/Defense Markets & Technology) - provides full-text
articles and abstracts covering all aspects of the worldwide aerospace
industry. Corporations in the aerospace/defense industry rely on
A/DM&T: for coverage of key industry sources for details on
competitors, products and technologies to monitor government funding,
budgets, and contracts to identify market opportunities in the defense
and aerospace industries. 
   Aerospace Database - provides references, abstracts, and
controlled-vocabulary indexing of key scientific and technical
documents, as well as books, reports, and conferences, covering
aerospace research and development in over 40 countries including Japan
and eastern European nations. This database supports basic and applied
research in aeronautics, astronautics, and space sciences, as well as
technology development and applications in complementary and supporting
fields such as chemistry, geosciences, physics, communications, and
   American Banker Financial Publications - corresponds to the
full text of the authoritative daily financial services newspaper,
American Banker, as well as the full text of many financial newsletters
published by American Banker in the areas of capital markets, bank
regulation, insurance letters, and public finance letters. This
collection of publications follows trends, developments, and news in
banking and related financial areas. 
   American Medical Association Journals - contains the
full-text articles from 11 medical journals, including the well-known
JAMA, The Journal of the American Medical Association. The articles
include all subject areas relating to the practice of medicine. The
American Medical Association is the world's largest single publisher of
scientific and medical information. This database also contains
peer-reviewed clinical and investigative articles in major medical
disciplines. All original articles included are full-text; the database
also includes letters to the editor, editorials, book reviews,
corrections, medical news and perspectives, columns, special features,
and occasional sections. 
   Banking Information Source - provides essential information
about the financial services industry, banking trends, topics, issues,
and operations. Its uniquely comprehensive coverage of important
industry sources meets the banking-related information needs of
researchers in banking, finance, government, tax, insurance, economics,
financial services, and business schools. It contains the full text of
cited articles from many high demand sources 
   BIOSIS Previews - contains citations from Biological
Abstracts (BA), and Biological Abstracts/Reports, Reviews, and
Meetings (BA/RRM) (formerly BioResearch Index), the major
publications of BIOSIS. Together, these publications constitute the
major English-language service providing comprehensive worldwide
coverage of research in the biological and biomedical sciences. 
   Bond Buyer Full Text - corresponds to the printed
publication, The Bond Buyer. The newspapers specialize in the
fixed-income investment market and are considered the authoritative
sources of information for the municipal bond community in the U.S.
Essential daily coverage of government and Treasury securities,
financial futures, corporate bonds, and mortgage securities is
provided. Extensive coverage of U.S. Congressional actions, worldwide
monetary and fiscal policies, and regulatory changes relating to the
bond industry is included. Bond Buyer Full Text also lists planned bond
issues, bond calls and redemptions, and results of bond sales. 
   Business & Industry - this database contains information
with facts, figures, and key events dealing with public and private
companies, industries, markets products for all manufacturing and
service industries at an international level. B&I coverage concentrates
on leading trade magazines and newsletters, the general business press,
regional newspapers and international business journals. 
   Business Dateline - provides the full text of major news
and feature stories from 550 regional business publications from
throughout the United States and Canada. The regional perspectives
reported in the business press make Business Dateline an excellent
source of in-depth business information with a local point of view.
Virtually every aspect of regional business activities and trends is
covered in the file, with particular emphasis on economic conditions in
selected cities, states, or regions, as well as mergers, acquisitions,
company executives, new products, and competitive intelligence. 
   Business Week - contains the complete text of articles from
the domestic and international English-language editions of the highly
acclaimed McGraw-Hill weekly business news magazine, Business Week.
Articles focus on companies, the economy, government regulation,
industries, labor and management issues, technology, and international
   Business Wire - contains the full text of news releases
issued by approximately 10,000 corporations, universities, research
institutes, hospitals, and other organizations. The file primarily
covers U.S. industries and organizations, although some information on
international events is included. 
   Computer Database (Gale Group Computer Database) - provides
comprehensive information about the computer, electronics, and
telecommunications industries. Coverage includes detailed information about
the evaluation, purchase, use, and support of computer and other electronic
products. Gale Group Computer Database is designed to answer the questions
of business and computer professionals about hardware, software, networks,
peripherals, and services.
   Conference Papers Index - provides access to records of the
more than 100,000 scientific and technical papers presented at over
1,000 major regional, national, and international meetings each year.
Conference Papers Index provides a centralized source of information on
reports of current research and development from papers presented at
conferences and meetings; it provides titles of the papers as well as
the names and addresses (when available) of the authors of these
papers. Also included in this database are announcements of any
publications issued from the meetings, in addition to available
preprints, reprints, abstract booklets, and proceedings volumes,
including dates of availability, costs and ordering information.
Primary subject areas covered include the life sciences, chemistry,
physical sciences, geosciences, and engineering. 
   Derwent World Patent Index (DWPI) - provides access to
information from more than 18 million patent documents, giving details
of over 9 million inventions. Each week, approximately 20,000 documents
from 40 patent-issuing authorities are added to DWPI. Patent-related
items from Research Disclosure and International Technology Disclosures
(ceased publication June 1994) are also included. 
   DIALOG Finance and Banking Newsletters - database is a
collection of full-text newsletters from primary publishers in the
field of investment, finance and banking. The database contains
specialized industry newsletters that provide concise information on
companies, products, markets, and technologies. It also contains
rulings, regulations, and other legislative activities that affect the
financial community. 
   Dissertation Abstracts Online - is a definitive subject,
title, and author guide to virtually every American dissertation
accepted at an accredited institution since 1861. Selected Masters
theses have been included since 1962. In addition, since 1988, the
database has included citations for dissertations from 50 British
universities that have been collected by and filmed at The British
Document Supply Centre. Beginning with DAIC Volume 49, Number 2 (Spring
1988), citations and abstracts from Section C, Worldwide Dissertations
(formerly European Dissertations), have been included in the file.
Abstracts are included for doctoral records from July 1980
(Dissertation Abstracts International, Volume 41, Number 1) to the
present. Abstracts are included for masters theses from Spring 1988
(Masters Abstracts, Volume 26, Number 1) to the present. 
   Drug News & Perspectives (Prous Science Drug News &
Perspectives) - this database allows users to quickly and easily consul
the latest pharmaceutical news. The Prous Science Drug News &
Perspectives database contains all articles and texts published from
selected sections of the printed journal, Prous Science Drug News &
Perspectives, plus unpublished records from the journal's sections:
"Line Extensions," "R&D Briefs," and "People on the Move."
Unpublished records, omitted from the printed journal due to space
limitations, are labeled "unpublished" and do not have volume,
issue, or page numbers. Unpublished records may also include those in
preparation for print. These records will have volume, issue and page
numbers added in a later update to the database. 
   EconLit - provides indexing and abstracts of the worldwide
literature on economics, currently covers more than 600 major economics
journals annually. In addition, this file indexes about 600 collective
volumes (essays, proceedings, etc.), 2,000 books, 900 dissertations,
2,000 working papers, and book reviews each year. 
   EI Compendex - database is the machine-readable version of
the Engineering Index (monthly/annual). It provides abstracted
information from significant engineering and technological literature.
The Compendex database provides worldwide coverage of approximately
4,500 journals and selected government reports and books. Subjects
covered include: civil, energy, environmental, geological, and
biological engineering; electrical, electronics, and control
engineering; chemical, mining, metals, and fuel engineering;
mechanical, automotive, nuclear, and aerospace engineering; and
computers, robotics, and industrial robots. 
   EMBASE - comprehensive index of the world's literature on
human medicine and related disciplines. 
   European Patents Fulltext - covers all European patent
applications and granted European patents published since the opening
of the European Patent Office (EPO) in 1978. This database also
contains bibliographic records for PCT (Patent Cooperation Treaty)
applications transferred to the EPO. 
   Financial Times Abstracts - produced by the Business
Information Services of the New York Times Electronic Media Company,
contains concise, informative abstracts of articles from the U.S.
Edition of the Financial Times newspaper. The Financial Times provides
in-depth coverage on worldwide industries, companies, and markets. 
   Globalbase (Gale Group Globalbase) -  provides
worldwide coverage of companies, products, and industries with a
primary focus on Europe. 
   Health & Wellness Database (Gale Group Health
& Wellness Database) - is a comprehensive periodical and
reference database produced by The Gale Group, providing broad coverage
in the areas of health, medicine, fitness, and nutrition. Gale Group
Health & Wellness Database is designed to address the needs of health
and medical professionals, specialized business and industry
researchers, consumers, and a wide range of people seeking a general
understanding about important health issues and practices. 
   Health News Daily - contains all the daily news and text
articles from the Health News Daily publication from F-D-C Reports. It
provides specialized, in-depth business, scientific, regulatory and
legal news. Each issue has features including news in the following
columns: Product News, People, Litigation, Legislative News, Industry
News, Research, Regulatory News, Financings, Reimbursement, and Public
Health. A feature entitled "Washington This Week" lists scheduled
congressional hearings, agency meetings, and industry conferences in
the D.C. area. The "Calendar" presents notices of upcoming
meetings, seminars, and conferences. The "Legislative Roundup"
tracks recently introduced bills, committee activities, and
congressional votes on health care issues. 
   HealthSTAR - (Health Services Technology, Administration,
and Research) is provided cooperatively by the U.S. National Library of
Medicine and the American Hospital Association. This file incorporates
all records from the former Health Abstracts, which are taken directly
from the published articles, and are included for approximately 60%
of the records.
   Inside Conferences - contains details of all papers given at
every congress, symposium, conference, exposition, workshop, and
meeting received at the British Library Document Supply Centre (BLDSC)
since October 1993. 
   INSPEC - (The Database for Physics, Electronics and
Computing) corresponds to the three Science Abstracts print
publications: Physics Abstracts, Electrical and Electronics Abstracts,
and Computer and Control Abstracts. The Science Abstracts family of
abstract journals began publication in 1898. 
   Insurance Periodicals Index - indexes and abstracts 35 of the
most respected and widely read insurance industry journals and
magazines, dating from January 1984 to the present. 
   International Pharmaceutical Abstracts - provides information
on all phases of the development and use of drugs and on professional
pharmaceutical practice. In early 1985 coverage was expanded to include
pharmacy journals that deal with state regulations, salaries,
guidelines, manpower studies and laws. The scope of the database
includes the clinical, practical, and theoretical aspects of the
literature as well as economic and scientific. A unique feature of
these abstracts is the inclusion of the study design, number of
patients, dosage, dosage forms, and dosage schedule. 
   Internet & Personal Computing Abstracts (replaced
Microcomputer Abstracts) - contains abstracts and citations to the
literature on the use of computers in business, industry, education,
libraries and the home. Over 90 traditional and cutting-edge
publications are covered, including widely read mass-market computer
publications, as well as those focusing on specific topics, such as
hardware platforms, operating systems (Windows, DOS, UNIX, Macintosh,
etc.), online systems, management, networks, and electronic publishing.
Informative abstracts summarize software and hardware. Book reviews,
feature articles, news, columns, program listings, product
announcements, and buyer/vendor guides are included. 
   ISMEC: Mechanical Engineering Abstracts - (Information
Service in Mechanical Engineering) indexes significant articles in all
aspects of mechanical engineering, production engineering and
engineering management from approximately 250 journals published
throughout the world. In addition, books, reports, and conference
proceedings are indexed. The primary emphasis is on comprehensive
coverage of leading international journals and conferences on
mechanical engineering subjects. The principal areas covered are
mechanical, nuclear, electrical, electronic, civil, optical, medical,
and industrial process engineering; mechanics; production processes;
energy and power; transport and handling; and applications of
mechanical engineering. 
   JAPIO - Patent Abstracts of Japan - provided by the Japan
Patent Information Organization, represents the most comprehensive
English-language access to Japanese unexamined patent applications
(Kokai Tokkyo Koho) published since October 1976. All technologies are
covered. Application records include both Japanese and non-Japanese
priorities. Abstracts are provided only for applications originating in
Japan, but are available for most records. Images of front page
drawings, when available for a given patent, are also included. 
   JICST-EPlus - Japanese Science & Technology - this is a
comprehensive bibliographic database covering literature published in
Japan from all fields of science, technology, and medicine. The file
contains both the JICST-E and the PreJICST-E files from Japan Science
and Technology Corporation, Information Center for Science and
Technology (JICST). 
   The Journal of Commerce - provides the complete text of all
news, columns, editorials, briefs, calendar listings, and selected
tables that appear in the Five-Star edition of the world's premier
daily business newspaper covering international trade and
transportation issues. It also includes the Six-Star news summary and
West Coast/Trade page. Journal of Commerce features special individual
sections which focus on ocean, barge, air, rail, and truck
transportation, international banking and finance, foreign trade,
energy, insurance, chemicals and plastics, electronic communications,
and commodities. The online edition also includes a summary of every
major story for each day. 
   Knight-Ridder/Tribune Business News - provides same-day,
full-text business and related news from 28 Knight-Ridder publications,
4 Tribune Company newspapers, and more than 50 affiliated papers.
Articles from contributing newspapers and magazines are available the
morning of publication. 
   Magazine Database (Gale Group Magazine Database) - is a
general interest database that contains indexes, abstracts, and
full-text records. Gale Group Magazine Database provides current and
retrospective news from more than 400 popular magazines on subjects
including consumer behavior, media trends, popular culture, political
opinion, leisure activities, and contemporary lifestyles. Gale Group
Magazine Database also contains large collections of entertainment
reviews and ratings of books, films, theater, concerts, hotels, and
restaurants. This database is ideal for searchers who need background
material and a variety of perspectives to supplement any business
search. Gale Group Magazine Database includes indexes and abstracts for
400 publications and the full text for more than 250 magazines. 
   Marketing & Advertising Reference Service (Gale Group
Marketing & Advertising Reference Service) - is a multi-industry
advertising and marketing database with abstracts and full-text records
on a wide variety of consumer products and services. Gale Group
Marketing & Advertising Reference Service is widely used by consumer
product and service companies to locate market size and market share
information, monitor new product or service introductions, evaluate
markets for existing products or services, and research the marketing
and advertising strategies of competitors. Advertising agencies and
public relations firms use Marketing & Advertising Reference Service to
research and develop new client proposals; monitor ad campaigns,
budgets, and target markets; locate information on products and
services; and gain competitive intelligence on other agencies and
public relations firms by tracking agency changes, new accounts, launch
dates, contracts and appointments. 
   The McGraw-Hill Companies Publications Online - provides the
complete text for many major McGraw-Hill publications. The database
covers not only general business but also specific industries, i.e.,
aerospace, chemical processing, electronics, and construction. The
complete text of each article is searchable and can be retrieved online
in addition to being printed offline. 
   MEDLINE - a major source of biomedical literature. MEDLINE
corresponds to three print indexes: Index Medicus TM, Index to Dental
Literature, and International Nursing Index. Additional materials not
published in Index Medicus are included in the MEDLINE database in the
areas of communication disorders, population and reproductive biology. 
   Microcomputer Software Guide Online - database contains
information on virtually every microcomputer software program and
hardware system available or produced in the United States. The
database contains bibliographic records for microcomputer software.
Each record includes ordering information, technical specifications,
subject classifications, and a brief description. 
   New England Journal of Medicine - contains full-text articles
from The New England Journal of Medicine excluding meeting notices,
"Books Received," and advertising content. Founded in 1812, The New
England Journal of Medicine (NEJM) is the oldest continuously published
medical journal in the world. It maintains the largest voluntarily paid
circulation of any peer-reviewed scientific journal, reaching
physicians and other healthcare professionals in more than 120
   New York Times Abstracts - contains concise, informative
abstracts of articles in the final Late Edition of The New York Times
newspaper, a newspaper that is respected around the world for its
unparalleled coverage of international, national, business and New York
regional news. The file provides abstracts of every article published
in the newspaper, including the Magazine, Book Review, and all other
Sunday sections. 
   Newsletter Database (Gale Group Newsletter
Database) - contains the full text of specialized industry
newsletters that provide concise information on companies, products,
markets, and technologies; trade and geopolitical regions of the world;
and government funding, rulings, and regulation and other legislative
activities which impact the industries and regions covered.
International in scope, the Newsletter Database provides searchers with
important facts, figures, analysis, and current information affecting a
broad range of industries and sectors. Information from newsletters
contained in the Gale Group newsletter Database covers the following
industries and geographic regions of the world: biotechnology,
broadcasting and publishing, computers and electronics, chemicals,
defense and aerospace, energy, environment, financial services, general
technology, Japan, Middle East, manufacturing, medical and health,
materials, packaging, research and development, telecommunications,
transportation, and more. 
   Newspapers - includes the full text of all news stories,
features, editorials, and wire stories. Items such as classified ads,
sports, statistics, fillers, and certain minor items are excluded.
(Description taken from PAPERS in the Dialog Worldwide Database
   New Product Announcements/Plus (NPA/PLUS) (Gale Group New
Product Announcements/Plus) - contains the full text of press releases
from all industries covering announcements related to products, with a
focus on new products and services. In addition to product
descriptions, press releases generally contain key details about new
products and technologies, including technical specifications,
availability, uses, licensing agreements, distribution channels, and
prices. Company contacts and phone numbers are provided to allow
follow-up by interested parties. The press releases contained in the
NPA/PLUS database are obtained directly from the product manufacturer,
distributor, or an authorized marketing representative. 
   NTIS - National Technical Information Service - database
consists of summaries of U.S. government-sponsored research,
development, and engineering, plus analyses prepared by Federal
agencies, their contractors, or grantees. It is the means through which
unclassified, publicly available, unlimited distribution reports are
made available for sale from agencies such as NASA, DOD, DOE, HUD, DOT,
Department of Commerce, and some 240 other agencies. Additionally, some
state and local government agencies now contribute summaries of their
reports to the database. NTIS also provides access to the results of
government-sponsored research and development from countries outside
the U.S. Organizations that currently contribute to the NTIS database
include: the Japan Ministry of International Trade and Industry (MITI);
laboratories administered by the United Kingdom Department of Industry;
the German Federal Ministry of Research and Technology (BMFT); the
French National Center for Scientific Research (CNRS); and many more. 
   Pharmaceutical and Healthcare Industry News
Database - consists of two files; one file is the current material,
updated daily, and contains the full text of all newsletter articles
written in the last 25 to 30 days. The other file is an archival
database, and contains the full text of indexed articles from the full
range of PJB newsletters dating back to 1980. All publications follow a
similar structure and contain sections on: Product & Research News,
Company News, U.K. & International News, People, Meetings, and
   Pharmaceutical News Index (PNI) - online source of current
news about pharmaceuticals, cosmetics, medical devices, and related
health fields. PNI cites and indexes all articles from the publications
listed in the SOURCES section below on the following topics: drugs;
corporation and industry sales, mergers and acquisitions; and
government legislation, regulations, and court action. It covers
requests for proposals; research grant applications; industry speeches;
press releases; and other news items. 
   PR Newswire - contains the complete text of news releases
prepared by U.S. companies, public relations agencies, trade
associations, city, state, Federal and municipal government agencies,
and other sources covering the entire spectrum of news. 
   PROMT (Gale Group PROMT) - is a multiple-industry
database that provides broad, international coverage of companies,
products, markets, and applied technologies for all industries. PROMT
is comprised of abstracts and full-text records from the world's
important trade and business journals, local newspapers, regional
business publications, national and international business newspapers,
industry newsletters, research studies, investment analysts' reports,
corporate news releases, and corporate annual reports. 
   San Jose Mercury News - provides local, national, and
international news coverage. Bureaus in Sacramento and Washington, DC,
enable the newspaper to provide full coverage of state and Federal
Government news. Particular emphasis is given to high technology and
the developments in the industries of Silicon Valley, including
coverage of the following companies: Hewlett-Packard, Apple Computer,
Consolidated Freightways, Intel, Amdahl, Sun Microsystems, National
Semiconductor, Tandem Computers, Seagate Technology, and Syntex.
Bureaus in Tokyo, Mexico City, Los Angeles, and Seattle enable the San
Jose Mercury News to focus on business and economic developments of the
Pacific Rim. Other major areas of coverage include science, medicine,
and real estate. 
   SciSearch - is an international, multidisciplinary index
to the literature of science, technology, biomedicine, and related
disciplines produced by the Institute for Scientific Information
("ISI"). SciSearch contains all of the records published in the
Science Citation Index (SCI), plus additional records from the
Current Contents publications.
   Social SciSearch - database is an international,
multidisciplinary index to the literature of the social, behavioral,
and related sciences, produced by the Institute for Scientific
Information (ISI). Social SciSearch contains all of the records
published in the Social Sciences Citation Index. 
   Softbase: Reviews, Companies, and Products - is a suite of
three discrete record types: review records, product records, and
company records. The three linked and inter-related record types can be
used separately or together, providing an important navigation tool for
researchers in the intelligent information technology industry.
Detailed descriptions of products in the product record file and of
companies in the company record file can be linked to each other and to
independent third-party reviews and analyses abstracted from more than
200 business, computer, technical, trade, and consumer publications. 
   Trade & Industry Database (Gale Group Trade & Industry
Database) - is a multi-industry database covering international
company, industry, product, and market information, with strong
coverage of such areas as management techniques, financial earnings,
economic climate, product evaluations, and executive changes. Industry
subfiles allow users to narrow or broaden their searches to one or more
groups of industry specific publications. 
   Transportation Research Information Services - is a composite
file with records that are either abstracts of published articles and
reports, or summaries of ongoing or recently completed research
projects relevant to the planning, development, operation, and
performance of transportation systems and their components. TRIS
provides international coverage of ongoing research projects, published
journal articles, state and Federal Government reports, conference
proceedings, research and technical papers, and monographs. 
   Wall Street Journal Abstracts - contains abstracts of all
articles published in the Eastern 3-star Edition of The Wall Street
Journal newspaper. The Wall Street Journal is a daily newspaper valued
worldwide for its coverage of business, finance, and economics. 
   Wilson Applied Science & Technology Abstracts - provides
comprehensive abstracting and indexing of more than 400 core
English-language scientific and technical publications. Non-English-
language periodicals are indexed if English abstracts are provided.
Periodical coverage includes trade and industrial publications,
journals issued by professional and technical societies, and
specialized subject periodicals, as well as special issues such as
buyers' guides, directories, and conference proceedings. Wilson Applied
Science & Technology Abstracts covers a wide range of interdisciplinary
fields through a broad array of science and technology journals.
Detailed abstracts of 50 to 150 words describe the content and scope of
the source articles. Materials indexed include feature articles,
interviews, obituaries, biographies, speeches, and product evaluations.

   WIPO/PCT Patents Full-Text - covers the full text of PCT
(Patent Cooperation Treaty) published applications issued under the
auspices of the World Intellectual Property Organization (WIPO) since
1983. At present, 171 member states participate in the PCT system. A
single PCT application can be designated as valid in any or all of the
member states, so it is essentially equivalent to having filed with
each designated national and regional patent office. 
   World Reporter - is a comprehensive, global news source,
developed jointly by three of the world's leading information
companies: The Dialog Corporation, Financial Times Information, and Dow
Jones & Company. World Reporter covers the leading newspapers, business
magazines, and newswires from all regions of the world, including
emerging markets.