DEPARTMENT OF COMMERCE
Patent and Trademark Office
[Docket No. 980326078-8078-01]
Request for Comments on Proposed Internet Usage Policy
AGENCY: Patent and Trademark Office, Commerce.
ACTION: Notice and request for public comments.
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SUMMARY: The Patent and Trademark Office (PTO) requests comments on a
proposed Internet usage policy. The policy is intended to provide
guidance to PTO employees regarding the use of the Internet for
official PTO business. The policy is to cover (1) communications with
applicants via Internet electronic mail (e-mail) and (2) using the
Internet to search for information concerning patent applications and
elements appearing in trademark applications.
DATES: Written comments on the proposed Internet usage policy will be
accepted by the PTO until December 28, 1998.
ADDRESSES: Written comments should be addressed to the attention of
Magdalen Greenlief, Office of the Deputy Assistant Commissioner for
Patent Policy and Projects. Comments submitted by mail should be sent
to: Box Comments--Patents, Assistant Commissioner for Patents,
Washington, D.C. 20231. Comments may also be submitted by facsimile
transmission to (703) 305-8825 or by electronic mail through the
Internet to ``magdalen.greenlief@uspto.gov'.
Written comments will be available for public inspection in Suite
910 of Crystal Park 2, 2121 Crystal Drive, Arlington, Virginia. In
addition, comments provided in machine-readable format will be
available through the PTO's Website at http://www.uspto.gov.
FOR FURTHER INFORMATION CONTACT: Magdalen Greenlief, by mail to her
attention addressed to Box Comments-Patents, Assistant Commissioner for
Patents, Washington, D.C. 20231; by telephone at (703) 305-8813; by
facsimile transmission to (703) 305-8825; or by electronic mail through
the Internet to ``magdalen.greenlief@uspto.gov'.
[[Page 57102]]
SUPPLEMENTARY INFORMATION: The Commissioner of Patents and Trademarks
issued a Notice entitled ``Interim Internet Usage Policy'' in the
Official Gazette of the United States Patent and Trademark Office
(O.G.) on February 25, 1997 at 1195 O.G. 89. The Notice set forth
interim guidelines for PTO employees regarding the use of the Internet
to conduct official PTO business. The Notice also stated that the
guidelines are interim since the public has not had an opportunity to
comment on them and that the PTO will publish a Notice in the Federal
Register and the Official Gazette requesting comments from the public
on the use of the Internet in the PTO's patent and trademark
examination process. Pursuant to the February 25, 1997 O.G. Notice, the
following proposed Internet Usage Policy is being published for public
comment.
The Internet offers a highly effective means of identifying,
locating, and retrieving scientific and technical information and also
provides a means for the applicant to communicate with PTO employees
via advanced electronic mail. Communications via Internet e-mail are at
the discretion of the applicant. In view of the fact that all
communications and data transmitted from or to applicant by the
Internet may be neither encrypted nor secure, applicants who wish to
communicate with the PTO on an unsecure medium such as Internet e-mail
do so at their own risk. If an applicant wishes the PTO to communicate
with the applicant on the unsecure medium, the applicant may authorize
the PTO to do so by submitting a written authorization. Where the
Internet is used to search patent applications, PTO employees must
restrict their search operations to determining the general state of
the art. The purpose of the Internet usage policy is to provide
guidelines for PTO employees for using the Internet to conduct official
PTO business.
(A) Regarding communications between PTO employees and applicant by
electronic mail, the PTO is particularly interested in comments
relating to the following:
(1) Regarding communication with the Patent Organization, where a
written authorization by the applicant has been given, Patent Article 5
of the proposed Internet usage policy limits the use of the Internet e-
mail for communications other than those under 35 U.S.C. 132 or which
otherwise require a signature. Should such limitations be imposed? If
so, what other types of correspondence should not be communicated via
Internet e-mail?
(2) What type of confirmation, if any, from the PTO would you like
to see regarding whether the e-mail with attachments has been received
and is readable?
(3) Regarding communication with the Patent Organization, the
``Interim Internet Usage Policy'' published on February 25, 1997 at
1195 O.G. 89 indicated that an express waiver under 35 U.S.C. 122 by
the applicant is required before Internet e-mail may be used by PTO
employees to conduct official PTO business where sensitive data will be
exchanged or where there exists a possibility that sensitive data could
be identified. The reference to a waiver of 35 U.S.C. 122 has been
deleted from the proposed Internet usage policy because it appears to
be unnecessary. Are there any problems with the elimination of the
waiver?
(4) Patent Article 7 and Trademark Article 8 of the proposed
Internet usage policy permits PTO employees to respond to applicant's
e-mail correspondence by other appropriate means such as telephone or
by facsimile transmission. Would you prefer to have PTO employees
respond via Internet e-mail or is the other appropriate means noted
above acceptable?
(5) How likely would you utilize the Internet e-mail to conduct
interviews under the conditions set forth in Patent Article 8 and
Trademark Article 9 of the proposed Internet usage policy?
(6) In view of the fact that all communications and data
transmitted from or to the applicant by the Internet may be neither
encrypted nor secure, how likely and how often and for what purpose
would you utilize the Internet e-mail to communicate with PTO employees
regarding a particular application?
(7) Should digital signatures, digital certificates, public key/
private key encryption and key recovery be used for Internet e-mail? If
so, what software(s) should PTO use?
(B) The PTO is also interested in comments regarding searching and
retrieving scientific and technical information in patent applications
via the Internet, particularly comments relating to searching and
retrieving scientific and technical information in patent applications
which the PTO must maintain in confidence pursuant to 35 U.S.C. 122.
Please submit separate comments concerning patent provisions and
trademark provisions. Although comments may be submitted by mail or
facsimile transmission, the Office prefers to receive comments via the
Internet. Where comments are submitted by mail, the Office would prefer
that the comments be submitted on a DOS formatted 3.5'' disk
accompanied by a paper copy of the comments.
Written comments should include the following information:
--Name and affiliation of the individual responding;
--An indication of whether the comments offered represent views of the
respondent's organization or are the respondent's personal views; and
--If applicable, information on the respondent's organization,
including the type of organization (e.g., business, trade group,
university, nonprofit organization).
I. Proposed Patent Internet Usage Policy
Introduction
The Internet and its offspring, the World Wide Web (WWW), offer the
PTO opportunities to (1) enhance operations by enabling Patent
Examiners to locate and retrieve new sources of scientific and
technical information, (2) communicate more effectively with our
customers via advanced electronic mail (e-mail) and file transfer
functions, and (3) more easily publish information of interest to the
intellectual property community and the general public. This new
technology offers low-cost, high speed, and direct communications
capabilities upon which the PTO wishes to capitalize.
The organizations reporting to the Assistant Commissioner for
Patents have special legal requirements that must be satisfied as part
of the PTO's goal to make effective use of the Internet. Because
security issues concerning transmission and capture of search requests
by unauthorized individuals have not yet been resolved, Patent
Examiners are to exercise good judgment and restrict their searches to
nonspecific patent application uses.
Purpose
To establish a policy for use of the Internet by the Patent
Examining Corps and other organizations within the PTO;
To address use of the Internet to conduct interview-like
communications and other forms of formal and informal communications;
To publish guidelines for locating, retrieving, citing, and
properly documenting scientific and technical information sources on
the Internet;
To inform the public how the PTO intends to use the Internet; and
To establish a flexible Internet policy framework which can be
modified, enhanced, and corrected as the PTO, the public, and customers
learn to use, and
[[Page 57103]]
subsequently integrate, new and emerging Internet technology into
existing business infrastructures and everyday activities to improve
the patent application, the examining, and granting functions.
Article 1. Applicability
This policy applies to members of the Patent Organization within
the PTO, including contractors and consultants working with, or
conducting activities in support of, the Patent Organization.
Article 2. Scope
This policy applies to activities associated with, or directly
related to, use of the Internet via PTO-provided network connections,
facilities, and services. This includes, but is not limited to, PTONet
connections, Office of Chief Information Officer (OCIO)-provided PCs
and workstations, and Internet provider services. This policy also
applies to use of other non-PTO Internet access facilities and
equipment that are used to conduct non-patent application specific
work.
Article 3. Conformance With Existing, PTO-wide, Internet Use Policy
This Internet Usage Policy supersedes the Interim Internet Usage
Policy published in the Official Gazette on February 1997. The policy
outlined in this document augments the existing PTO Internet Acceptable
Use Policy as set forth in the Office Automation Services Guide. As
such, this policy is an extension of current PTO office-wide Internet
policy.
Article 4. Confidentiality of Proprietary Information
If security and confidentiality cannot be attained for a specific
use, transaction, or activity, then that specific use, transaction, or
activity shall NOT be undertaken/conducted.
All use of the Internet by Patent Organization employees,
contractors, and consultants shall be conducted in a manner that
ensures compliance with confidentiality requirements in statutes,
including 35 U.S.C. 122, and regulations. Where a written authorization
is given by the applicant for the PTO to communicate with the applicant
via Internet e-mail, communications via Internet e-mail may be used.
Backup, archiving, and recovery of information sent or received via
the Internet is the responsibility of individual users. The OCIO does
not, and will not, as a normal practice, provide backup and recovery
services for information produced, retrieved, stored, or transmitted
to/from the Internet.
Article 5. Communications Via the Internet and Authorization
Communications via Internet e-mail are at the discretion of the
applicant.
Without a written authorization by applicant in place, the PTO will
not respond via Internet e-mail to any Internet correspondence which
contains information subject to the confidentiality requirement as set
forth in 35 U.S.C. 122. A paper copy of such correspondence will be
placed in the appropriate patent application.
The following is a sample authorization form which may be used by
applicant:
``Recognizing that Internet communications are not secure, I hereby
authorize the PTO to communicate with me concerning any subject matter
of this application by electronic mail. I understand that a copy of
these communications will be made of record in the application file.''
A written authorization may be withdrawn by filing a signed paper
clearly identifying the original authorization. The following is a
sample form which may be used by applicant to withdraw the
authorization:
``The authorization given on ____________________, to the PTO to
communicate with me via the Internet is hereby withdrawn. I understand
that the withdrawal is effective when approved rather than when
received.''
Where a written authorization is given by the applicant,
communications via Internet e-mail, other than those under 35 U.S.C.
132 or which otherwise require a signature, may be used. In such case,
a printed copy of the Internet e-mail communications MUST be given a
paper number, entered into the Patent Application Location and
Monitoring System (PALM) and entered in the patent application file. A
reply to an Office action may NOT be communicated by applicant to the
PTO via Internet e-mail. If such a reply is submitted by applicant via
Internet e-mail, a paper copy will be placed in the appropriate patent
application file with an indication that the reply is NOT ENTERED.
PTO employees are NOT permitted to initiate communications with
applicant via Internet e-mail unless there is a written authorization
of record in the patent application by the applicant.
All reissue applications are open to public inspection under 37 CFR
1.11(a) and all papers relating to a reexamination proceeding which
have been entered of record in the patent or reexamination file are
open to public inspection under 37 CFR 1.11(d). PTO employees are NOT
permitted to initiate communications with applicant in a reissue
application or a patentee of a reexamination proceeding via Internet e-
mail unless written authorization is given by the applicant or
patentee.
Article 6. Authentication of Sender by a Patent Organization Recipient
The misrepresentation of a sender's identity (i.e., spoofing) is a
known risk when using electronic communications. Therefore, Patent
Organization users have an obligation to be aware of this risk and
conduct their Internet activities in compliance with established
procedures.
Internet e-mail must be initiated by a registered practitioner, or
an applicant in a pro se application, and sufficient information must
be provided to show representative capacity in compliance with 37 CFR
1.34. Examples of such information include the attorney registration
number, attorney docket number, and patent application number.
Article 7. Use of Electronic Mail Services
Once e-mail correspondence has been received from the applicant, as
set forth in Patent Article 4, such correspondence must be responded to
appropriately. The Patent Examiner may respond to an applicant's e-mail
correspondence by telephone, fax, or other appropriate means.
Article 8. Interviews
Internet e-mail shall NOT be used to conduct an exchange or
communications similar to those exchanged during telephone or personal
interviews unless a written authorization has been given under Patent
Article 5 to use Internet e-mail. In such cases, a paper copy of the
Internet e-mail contents MUST be made and placed in the patent
application file as required by the Federal Records Act in the same
manner as an Examiner Interview Summary Form is entered.
Article 9. Internet Searching
The ultimate responsibility for formulating individual search
strategies lies with individual Patent Examiners, Scientific and
Technical Information Center (STIC) staff, and anyone charged with
protecting proprietary application data. When the Internet is used to
search, browse, or retrieve information relating to a patent
application, other than a reissue application or reexamination
proceeding, Patent Organization users MUST restrict search queries to
the general state of the art. Internet search, browse, or retrieval
[[Page 57104]]
activities that could disclose proprietary information directed to a
specific application, other than a reissue application or reexamination
proceeding, are NOT permitted.
This policy also applies to use of the Internet as a communications
medium for connecting to commercial database providers.
Article 10. Documenting Search Strategies
All Patent Organization users of the Internet for patent
application searches shall document their search strategies in
accordance with established practices and procedures as set forth in
MPEP 719.05 subsection (B)(6).
Article 11. Citations
All Patent Organization users of the Internet for patent
application searches shall record their fields of search and search
results in accordance with established practices and procedures as set
forth in MPEP 719.05 subsection (B)(6).
Subparagraph A. Internet document citations should include
information which is normally included for reference documents (i.e.,
Form PTO-892). In addition, any information which would aid a future
searcher in locating the document should be included in the citation.
Guidelines for citing electronic information can be found as an
attachment to this policy.
Subparagraph B. When a document found on the Internet is not the
original publication, then the Patent Examiner or STIC staff shall
pursue the acquisition of a copy of the originally published document
or an original of the document or Web object in question for all
references cited. Note: scanned images are considered to be a copy of
the original publication. Electronic-only documents are original
publications.
Article 12. Professional Development
The Internet is recognized as a tool for professional development.
It may be useful for keeping informed of technological and legal
developments in all art areas. For example, use of the Internet for
keeping abreast of conferences, seminars, and for receiving mail from
appropriate list servers is acceptable.
Article 13. Policy Guidance and Clarifications
Within the Patent Organization, any questions regarding Internet
usage policy should be directed to the user's immediate supervisor.
Non-PTO personnel should direct their questions to the Office of the
Deputy Assistant Commissioner for Patent Policy and Projects.
II. Proposed Trademark Internet Usage Policy
Introduction
The Internet and its offspring, the World Wide Web (WWW), offer the
PTO opportunities to (1) enhance customer services by enabling attorney
advisors (Trademarks) and other Trademark employees to locate and
retrieve new sources of legal, scientific, commercial and technical
information, (2) communicate more effectively with customers via
electronic mail (e-mail) and file transfer functions, and (3) more
easily publish information of interest to the intellectual property
community and the general public.
This new technology offers low-cost, high speed, direct
communication capabilities that the PTO wishes to leverage to the
advantage of its customers.
The organizations reporting to the Assistant Commissioner for
Trademarks have special legal requirements that must be satisfied as
part of the PTO's goal to make effective use of the Internet and
electronic commerce.
Purpose
To establish a policy for use of the Internet by organizations
reporting to the Assistant Commissioner for Trademarks, including: the
Office of the Assistant Commissioner for Trademarks, the Trademark
Examining Operation, Trademark Services, Trademark Program Control and
the Trademark Assistance Center;
To address use of the Internet to conduct interview-like
communications, and other forms of formal and informal communications;
To publish guidelines for locating, retrieving, citing, and
properly documenting scientific, commercial and technical information
sources on the Internet;
To inform the public how the PTO intends to use the Internet; and
To establish a flexible Internet policy framework which can be
modified, enhanced, and corrected as the PTO, the public, and customers
learn to use, and subsequently integrate, new and emerging Internet
technology into existing business infrastructures and everyday
activities to improve the trademark application, examination, and
registration business processes.
Article 1. Applicability
This policy applies to members of the Trademark Organization
reporting to the Assistant Commissioner for Trademarks within the PTO,
including contractors and consultants working with, or conducting
activities in support of, the Trademark Organization. It does not apply
to members of the Trademark Trial and Appeal Board or contractors and
consultants working with, or conducting activities in support of, the
Trademark Trial and Appeal Board.
Article 2. Scope
This policy applies to activities associated with, or directly
related to, use of the Internet via PTO-provided network connections,
facilities, and services. This includes, but is not limited to, PTONet
connections, Office of Chief Information Officer (OCIO)-provided PCs
and workstations, and Internet provider services. This policy also
applies to use of other non-PTO Internet access facilities and
equipment that are used to conduct non-trademark application specific
work.
Article 3. Conformance With Existing, PTO-wide, Internet Use Policy
This Internet Usage Policy supersedes the Interim Internet Usage
Policy published in the Official Gazette in February 1997. The policy
outlined in this document augments the existing PTO Internet Acceptable
Use Policy as set forth in the Office Automation Services Guide. As
such, this policy is an extension of current PTO office-wide Internet
policy.
Article 4. Correspondence Acceptable Via the Internet
Internet e-mail may be used to reply or respond to an examining
attorney's Office Action, to reply or respond to a petitions attorney's
30-day letter, to reply or respond to a Post Registration Office
Action, as well as to conduct informal communications regarding a
particular application or registration with the appropriate Trademark
Organization employee. If e-mail communication is initiated by the
applicant or applicant's attorney, Office Actions, Priority Actions,
Examiner's Amendments, petitions attorney's 30-day letters, and Post
Registration Office Actions may be sent to the applicant via Internet
e-mail or by telephone, fax, or other appropriate means. Readable
attachments to Internet e-mail for such purposes as the submission of
evidence, specimens, affidavits and declarations will be accepted.
Article 5. Communications Not Acceptable Via the Internet
Internet e-mail or other Internet communications may NOT be used to
file Trademark Applications, Amendments to Allege Use, Statements
[[Page 57105]]
of Use, Requests for Extension of Time to File a Statement of Use,
Section 8 affidavits, Section 9 affidavits, or Section 15 affidavits
until such time as the PTO publishes electronic forms for these filings
and they are made available on the Internet by the PTO. Internet e-mail
may be used to submit specimens of use, but the Office will determine
acceptability of the specimen(s) and if the specimens are found not to
meet the standards for specimens of use, additional specimens will be
required. Certified copies of foreign certificates will NOT be accepted
via Internet e-mail. Internet e-mail may NOT be used for any
correspondence with the Trademark Trial and Appeal Board.
Article 6. Initiating Internet Communications
Internet communications will NOT be initiated by the Trademark
Organization unless it is authorized to do so by the applicant or by
the applicant's attorney. Authorization for members of the Trademark
Organization to communicate with applicant or applicant's attorney via
Internet e-mail may be given by so indicating in the application
submitted to the PTO or in any official written communication with the
Trademark Organization. The authorization must include the Internet e-
mail address to which all Internet e-mail is to be sent. Internet
communications may also be initiated and authorized by applicant or
applicant's attorney by telephone or by responding to an Office Action
or other official communication via an Internet e-mail address
indicated on the official correspondence.
Article 7. Waivers and Authentication
Applicants and their attorneys understand that the
misrepresentation of a sender's identity is a known risk when using
electronic communications. Therefore, Trademark Organization users have
an obligation to be aware of this risk and conduct their Internet
activities in compliance with established procedures.
Internet e-mail must be initiated and authorized by a practitioner,
or the applicant in a pro se application. Sufficient information must
be provided to show representative capacity in compliance with 37 CFR
2.17 and 10.14. In trademark cases, examples of such information would
include signing a paper in practice before the PTO in a trademark case,
attorney docket number, and trademark application serial number or
registration number.
The Assistant Commissioner for Trademarks will waive 37 CFR 10.18
to the extent that it requires an original signature personally signed
by a trademark practitioner in permanent ink on any correspondence
filed with the PTO. Receipt of an Internet e-mail communication by the
Trademark Organization from the address of applicant or applicant's
attorney containing the /s/ notation in lieu of signature and which
references a Trademark application serial number will be understood to
constitute a certificate that:
1. The correspondence has been read by the applicant or
practitioner;
2. The filing of the correspondence is authorized;
3. To the best of the applicant's or practitioner's knowledge,
information, and belief, there is good ground to support the
correspondence, including any allegations of improper conduct contained
or alleged therein; and
4. The correspondence is not interposed for delay.
Applicants requesting to correspond with the Trademark Organization
via the Internet should recognize that Internet communications might
not be secure, and should understand that a copy of any and all
communications received via the Internet will be placed in the file
wrapper and become a permanent part of the record.
Article 8. Office Procedures
When authorized to do so, the Trademark Organization will send
Office Actions and other official correspondence to the Internet e-mail
address indicated by the applicant or applicant's attorney. A signed,
paper copy of the outgoing correspondence will be associated with the
trademark application file wrapper.
When communications are received by an examining attorney, or other
appropriate Trademark Organization employee, the attorney or employee
will immediately reply to the communication acknowledging receipt of
the communication. The date the communication was received by the
Trademark Organization that appears in the heading of the communication
will constitute the receipt date within the PTO for purposes of time-
sensitive communications unless that date is a Saturday, Sunday, or
Federal holiday within the District of Columbia, in which case the
receipt date will be the next succeeding day which is not a Saturday,
Sunday, or Federal holiday within the District of Columbia. A paper
copy of all Internet e-mail communications, including a copy of any and
all attachments, will be associated with the trademark application file
wrapper. A paper copy of any informal communications regarding a
particular trademark application or registration will be associated
with the file wrapper and become a part of the record.
Article 9. Remedies
When an application is held abandoned because a timely Internet e-
mail communication was sent to and received by the Trademark
Organization but was not timely associated with the application file
wrapper, the abandoned application may be reinstated by the Trademark
Organization. There is no fee for a request to reinstate such an
application.
When an application is held abandoned because a timely Internet e-
mail communication was sent to, but apparently not received by the
Trademark Organization, applicant or applicant's attorney may petition
the Commissioner to revive the abandoned application pursuant to 37 CFR
2.66 and TMEP Secs. 1112.05(a), (b). In determining whether or not an
Internet response was timely filed, the Commissioner may accept a copy
of a signed certificate of transmission meeting the requirements of 37
CFR 1.8, a copy of the previously transmitted correspondence, and a
statement attesting to the personal knowledge of timely transmission of
the response. 37 CFR 1.8(b)(1), (2), and (3).
In all situations, the applicant or the applicant's attorney should
promptly notify the Office after becoming aware that the application
was abandoned because a communication was not timely associated with
the file wrapper or was not received by the Office.
Article 10. Use of Electronic Mail Services
Once e-mail correspondence has been received from an applicant, as
set forth in Trademark Article 6, such correspondence must be responded
to appropriately. The Trademark Organization employee may respond to an
applicant's Internet e-mail correspondence by telephone, fax, or other
appropriate means.
Article 11. Interviews
Internet e-mail may be used to conduct an exchange of
communications similar to those exchanged during telephone or personal
interviews. In such cases, a paper copy of the Internet e-mail contents
MUST be made and placed in the trademark application file wrapper.
Article 12. Documenting Search Strategies
All Trademark Organization users of the Internet for trademark
application research shall document their search
[[Page 57106]]
strategies in accordance with established practices and procedures as
set forth in TMEP Sec. 1106.07(a).
Subparagraph A. Any information, which would aid a future searcher
in locating the document retrieved through Internet research, should be
included in the citation. Guidelines for citing electronic information
can be found as an attachment to this policy.
Subparagraph B. When a document found on the Internet is not the
original publication, then the Trademark Examining Attorney or
Trademark Library staff shall pursue the acquisition of a copy of the
originally published document or an original of the document or Web
object in question for all references cited. Note: scanned images are
considered to be a copy of the original publication. Electronic-only
documents are original publications.
Article 13. Professional Development
The Internet is recognized as a tool for professional development.
It may be useful for keeping informed of technological and legal
developments. For example, use of the Internet for keeping abreast of
conferences, seminars, and for receiving mail from appropriate list
servers is acceptable.
Article 14. Policy Guidance and Clarifications
Within the Trademark Organization, any questions regarding the
Internet usage policy should be directed to the user's immediate
supervisor. Non-PTO personnel should direct their questions to the
Office of the Assistant Commissioner for Trademarks.
Attachment--Guidelines for Citing Electronic Resources
The International Organization for Standardization (ISO) has
created a standardized method for citing electronic resources. The
formats are set forth in document ISO 690-2, which was published on
November 15, 1997. The formats in ISO 690-2 are consistent with
those proposed by the PTO in the fall of 1996.
ISO 690-2 references several ISO standards relating to
documentation of publications. These are namely ISO 4:1984
Documentation--Rules for the abbreviation of title words and titles
of publications; ISO 639:1988 Code for the representation of names
of languages; ISO 690:1987 Documentation--Bibliographic references--
content, form, and structure (the parent standard of 690-2); ISO
832:1994 Information and documentation--bibliographic description
and references--Rules for the abbreviation of typical words; ISO
2108:1992 Information and documentation--International standard book
numbering (ISBN); ISO 3297:1986 Documentation--International
standard serial numbering (ISSN); ISO 5127-1:1983 Documentation and
information--Vocabulary--Part 1: Basic concepts; ISO 8601:1988 Date
elements and interchange formats--Information interchange--
Representation of dates and times; ISO/TR 9544:1988 Information
processing--computer-assisted publishing--Vocabulary; and ISO/IEC
DIS 11179-3 Information technology--Coordination of data element
standardization.
Elements of a Bibliographic Citation
The typical elements of a bibliographic citation are:
a. Author(s)--individual and corporate
b. Title
Titles fall into two general categories:
Those that denote the source work (monograph, journal,
conference, anthology/compilation, etc.)
Those that describe the paper, chapter, or portion of
work
c. Publication Date
d. Publisher
e. Report number/Series Number/Other identifying number
f. Editor(s)
g. Page numbers
h. Volume number
i. Issue number
j. Edition
A single print resource may not have all of the elements listed
above; however, they will possess those which are appropriate to the
work. In the case of monographs the volume and/or issue number may
not be essential; as with journals the element for edition will be
nonexistent. Therefore, it can be noted that even in traditional
print publications the format of citations will vary with the
resource being cited.
The same can be said for the realm of electronic publications.
Electronic documents with originally published print equivalents
will have most traditional bibliographic elements. Those that have
no print equivalents will most likely not have traditional elements,
even though they may look like and seem to possess many qualities of
print publications.
Elements of Electronic Resource Citations
What makes the electronic resource different from the print
resource? Initially it is safe to state that basic elements of a
print citation are also applicable to the electronic form. These
basic elements will include a title (even in the case of electronic
mail in which the subject line can become the title element),
originator (author), publisher, and publication date (although with
electronic publications this element often raises problems for those
verifying the document). Characteristics which are inherent to print
publications but may not be to the electronic form include volumes,
issues, and page numbers. The electronic resource will have elements
in addition to the print resource. These elements include:
a. Type of Media
CD-ROM or other optical storage media
Diskette or other magnetic storage media
Online, including the Internet
b. Availability
The information required to retrieve the resource. In the case
of online Internet resources this would include address-type
information, along with directories, filenames, etc.
c. Date(s)
Posted/Publication
The publication date is the date the author/originator affixes
to the document. If that is not present, the date the system
administrator or webmaster placed the document on the online system
can be substituted.
Accessed on
The date the user found and read the document. They may also
have downloaded the document for personal use. This date will
provide future readers with documentation as to what version/edition
the document was on when it was accessed. If a document was altered
subsequently there will not be confusion as to which document the
user is referring to.
Proposed Formats
When an examiner retrieves a document from an electronic source,
he/she will determine if it is useful and will cite it if
appropriate. Assuming the examiner has located all pertinent
bibliographic elements for a citation, the next task will be to
format the citation.
Punctuation is an interesting problem for electronic documents.
Traditionally, academics and library scientists have used
punctuation as a means for separating bibliographic elements in a
citation. In the case of retrieving electronic documents,
punctuation becomes part of the citation. When expressing URLs,
directories, filenames, etc., punctuation marks are required to
create an accurate citation. Therefore, limit the amount of
punctuation in the citation in order to avoid confusion.
Due to the ease and potential frequency of updates of electronic
documents, ISO 690-2 recommends the use of month, date, year, and
time of day on all date citations. There is no stated preference for
dates using standard abbreviated months (Jan., Feb., Mar.) or
complete numeric transcription (using standard format of year-month-
date).
Additionally, standard abbreviations for journal titles,
countries, provinces, etc. should be applied to electronic
citations.
The following formats are proposals for how an examiner might
cite an electronic document. However, all possible citation
iterations are not included; this is a sampling.
CD-ROM, Diskette, Commercial Database
Author. (publication date). Title. Source (``source'' defined as
the entire work, i.e. journal title). [Type of Medium], volume
(issue), paging. Available:
Sample:
Smith, Joe. (January 1999). How to do an online search.
Database. [CD-ROM], 17(2), 1-2. Available: UMI. File: General
Periodicals Index.
FTP
Author. (publication date). Title. Source. [Type of Medium],
volume (issue), paging. Available: Accessed on:
Sample:
Smith, Joe. (January 1999). How to do an online search.
Database. [Online], 17(2), 1-2.
[[Page 57107]]
Available FTP: ftp.database.edu Directory: pubs/journals/
database.online/vol17 File: 002dbs.txt Accessed on: February 1,
1999.
E-mail, Listservs, Usenet
Author. (publication/posted date).
Title. Source (or Subject Line replaces title/source). [Type of
Medium], volume (issue), paging. Available: (either list the
listserv address or fill this position with ``personal e-mail'')
Accessed on (or received on):
Sample:
Smith, Joe. (January 1999). How to do an
online search. Database. [Online], 17(2), 1-2. Available: personal
e-mail. Received on: February 1, 1999.
OR
Smith, Joe. Here's some search advice.
[Online] Available: PACS-L@UHUPVM1.uh.edu Accessed on: February 1,
1999.
Gopher
Author. (publication date). Title. Source. [Type of Medium]
volume (issue), paging. Available: Accessed on:
Sample:
Smith, Joe. (January 1999). How to do an online search.
Database. [Online] 17(2), 1-2. Available Gopher: meckler.dbs.org /
Database/pubs/journals/vol17/Howsearch Accessed on: February 1,
1999.
Web Site
Author. (publication date). Title. Source. [Type of Medium]
volume (issue), paging. Available: Last update: Accessed on:
Sample:
Smith, Joe. (January 1999). How to do an online search. Database
[Online] 17(2), 1-2. Available Web Site: www/meckler.database.org/
Database/pbs/journals/vol17/002dbs.txt Last update: January 1999
Accessed on: February 1, 1999.
Examiners are encouraged to speak to a PTO librarian or
technical information specialist when they find that crucial
elements to the citation are lacking in their records. The
information specialist will work with the examiner to verify dates,
authors, and other elements as needed.
Dated: October 20, 1998.
Bruce A. Lehman,
Assistant Secretary of Commerce and Commissioner of Patents and
Trademarks.
[FR Doc. 98-28572 Filed 10-23-98; 8:45 am]
BILLING CODE 3510-16-U