USPTO Information Quality Guidelines

Information Quality Guidelines

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Information Quality Guidelines
I. BACKGROUND

The United States Congress recognized a need to improve the quality of information disseminated to the
public by the Federal Government. In Section 515 of the Treasury and General Government
Appropriations Act for Fiscal Year 2001 (Public Law 106-554; H.R. 5658) Congress directed the Office
of Management and Budget (OMB) to issue, by September 30, 2001, government-wide guidelines that
“provide policy and procedural guidance to Federal agencies for ensuring and maximizing the quality,
objectivity, utility, and integrity of information (including statistical information) disseminated by Federal
agencies.” OMB issued proposed information quality guidelines, which were published in the Federal
Register on June 28, 2001 (Vol. 66, No. 125, pp. 34489-34493). After public comment and revision,
OMB issued final information quality guidelines in the Federal Register on September 28, 2001 (Vol. 66,
No. 189, pp. 49718-49725). In the OMB final information quality guidelines issued in September 2001,
OMB requested additional public comment on the “capable of being substantially reproduced” standard
and the related definition of “influential, scientific, or statistical information” (paragraphs V.3.B, V.9, and
V.10), which were issued on an interim final basis. The OMB final information quality guidelines were
published in the Federal Register on January 3, 2002 (Vol. 67, No. 2, pp. 369-378); corrected on
February 5, 2002 (Vol. 67, No. 24, pg. 5365); and reprinted in their entirety February 22, 2002 (Vol. 67,
No. 36, pp. 8451-8460). Federal agencies subject to the Paperwork Reduction Act (44 U.S.C. Chapter
35) were directed by OMB to (A) issue their own guidelines ensuring and maximizing the quality,
objectivity, utility, and integrity of information (including statistical information) disseminated by the
agency; (B) establish administrative mechanisms allowing affected persons to seek and obtain
correction of information maintained and disseminated by the agency; (C) report periodically to the
Director of OMB – (i) the number and nature of complaints received by the agency regarding the
accuracy of information disseminated by the agency and; (ii) how such complaints were handled by the
agency.
Pursuant to the OMB information quality guidelines, the USPTO published a Federal Register Notice of
Availability on May 2, 2002 (Vol. 67, No.85, pg. 22052), requesting public comment on the “Proposed
guidelines for ensuring and maximizing the quality, objectivity, utility, and integrity of information
disseminated by the USPTO”. The proposed USPTO information quality guidelines were posted on the
USPTO website in the News & Notices section from April 30, 2002 – May 31, 2002.
During the public comment period (May 1, 2002 – May 31, 2002) on the proposed USPTO information
quality guidelines, the USPTO received six sets of comments. All six sets of comments were reviewed
and considered in the preparation of the final USPTO information quality guidelines.
II. INTRODUCTION

After OMB review, USPTO consideration of OMB comments, and appropriate revision; these final
USPTO information quality guidelines implement Section 515 of the Treasury and General Government
Appropriations Act for Fiscal Year 2001 (Public Law 106-554; H.R. 5658) and fulfill the OMB
requirements published in the Federal Register February 22, 2002 (Vol. 67, No. 36, pp. 8451-8460).
The USPTO collaborated closely with the Department of Commerce (DOC) in preparing these
independent guidelines. This document may be revised periodically and re-disseminated, based upon
direction from OMB, evolving requirements at the USPTO, or concerns expressed by the public.
Effective October 1, 2002, information disseminated by the USPTO will comply with all applicable OMB
and (these) USPTO information quality guidelines.
In implementing the USPTO information quality guidelines, the USPTO acknowledges that improving the
quality of information is an important management objective that takes its place alongside other USPTO
objectives, such as ensuring the success of USPTO missions, observing budget and resource priorities

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and constraints, and providing useful information to the public in a timely manner. The USPTO intends
to implement these guidelines in a way that will achieve all of these objectives in a harmonious way.
III. MILESTONES
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April 1, 2002 (extended to May 1, 2002 by OMB): Federal agencies must publish a notice of
availability of their proposed information quality guidelines in the Federal Register, and post the
proposed information quality guidelines on the agency’s website, to provide an opportunity for
public comment.

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July 1, 2002 (extended to August 8, 2002 by OMB): Federal agencies upon consideration of
public comment and after appropriate revision, must submit revised information quality guidelines
to OMB for review regarding consistency with the OMB guidelines.

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September 16, 2002: Federal agencies upon consideration of the OMB specific agency
comments, the September 5, 2002 OMB memorandum, and after appropriate revision, must
electronic mail (e-mail) their second draft of the final information quality guidelines to OMB for a
second review regarding consistency with the OMB guidelines.

z

October 1, 2002: Federal agencies upon consideration of OMB comments and after appropriate
revision, must publish a notice of availability of their final information quality guidelines in the
Federal Register, and post the final information quality guidelines on the agency’s website.

z

October 1, 2002 (continued): Federal agencies’ information quality guidelines become
effective. Federal agencies’ must conduct pre-dissemination review of information that the
agency first disseminates on or after the effective date. In addition, Federal agencies’ must allow
the public to seek correction of agency maintained or disseminated information that does not
comply with the OMB or agency’s information quality guidelines.

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January 1, 2004: The first annual fiscal-year report to the Director of OMB is due covering the
complaints, appeals, and resolutions from October 1, 2002 – September 30, 2003.

IV. DEFINITIONS

A. The definitions below are from the OMB information quality guidelines and apply throughout the
USPTO information quality guidelines.
1. “Dissemination” means agency initiated or sponsored distribution of information to the public.
Dissemination does not include: distribution to government employees or agency contractors or
grantees; intra- or inter-agency use or sharing of government information; and responses to
requests for agency records under the Freedom of Information Act (FOIA), the Privacy Act, the
Federal Advisory Committee Act or other similar law. This definition also does not include:
distribution of correspondence with individuals or persons, press releases, archival records,
public filings, subpoenas or adjudicative processes.
a. “Agency initiated distribution of information to the public” refers to information that the
agency distributes or releases which reflects, represents, or forms any part of the support of the
policies of the agency. In addition, if the agency, as an institution, distributes or releases
information prepared by an outside party in a manner that reasonably suggests that the agency
agrees with the information, this would be considered agency initiated distribution and hence
agency dissemination because of the appearance of having the information represent agency
views. By contrast, the agency does not “initiate” the dissemination of information when an
agency employee, contractor, sub-contractor, or grantee publishes and communicates their
respective research findings in the same manner as their colleagues, even if the agency retains
ownership or other intellectual property rights because the Federal government paid for the
research.
b. “Agency sponsored distribution of information to the public” refers to situations where

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the agency has directed a third party to distribute or release information, or where the agency has
the authority to review and approve the information before release. By contrast, if the agency
simply provides funding to support research, and if the researcher (not the agency) decides
whether to distribute the results and – if the results are to be released – determines the content
and presentation of the distribution, then the agency has not “sponsored” the dissemination even
though it has funded the research and even if the agency retains ownership or other intellectual
property rights because the Federal government paid for the research. Note that subsequent
agency dissemination of such information would require that the information adhere to the
agency’s information quality guidelines even if it was initially covered by a disclaimer.
2. “Government information” means information created, collected, processed, disseminated, or
disposed of by or for the Federal Government.
3. “Influential”, when used in the phrase “influential scientific, financial, or statistical information”,
means information that will have or does have a clear and substantial impact on important public
policies or important private sector decisions.
4. “Information” means any communication or representation of knowledge such as facts or data,
in any medium or form, including textual, numerical, graphic, cartographic, narrative, or
audiovisual forms. This definition includes information that an agency disseminates from a web
page, but does not include the provision of hyperlinks to information that others disseminate.
This definition does not include opinions, where the agency’s presentation makes it clear that
what is being offered is someone’s opinion rather than fact or the agency’s views.
5. “Information dissemination product” means any books, paper, map, machine-readable
material, audiovisual production, or other documentary material, regardless of physical form or
characteristic, an agency disseminates to the public. This definition includes any electronic
document, optical disc (i.e., CD-ROM, DVD-ROM, etc.), or web page.
6. “Quality” is an encompassing term comprising objectivity, utility, and integrity. These
guidelines sometimes refer to these three statutory terms collectively as “quality”.
a. “Objectivity” involves two distinct elements, presentation and substance. The presentation
element includes whether disseminated information is being presented in an accurate, clear,
complete, unbiased manner, and within a proper context. Sometimes, in disseminating certain
types of information to the public, other information must be disseminated in order to ensure an
accurate, complete, and unbiased presentation. Sources of the disseminated information (to the
extent possible, consistent with confidentiality protections) and, in a scientific, or statistical
context, the supporting data and models need to be identified, so that the public can assess for
itself whether there may be some reason to question the objectivity of the sources. Where
appropriate, supporting data shall have full, accurate, transparent documentation, and error
sources affecting data quality shall be identified and disclosed to users. The substance element
focuses on ensuring accurate, reliable, and unbiased information. In a scientific, or statistical
context, the original or supporting data shall be generated, and the analytical results shall be
developed, using sound statistical and research methods. If the results have been subject to
formal, independent, external peer review, the information can generally be considered of
acceptable objectivity. In those situations involving influential scientific or statistical information,
the results must be capable of being substantially reproduced, if the original or supporting data
are independently analyzed using the same models. Reproducibility does not mean that the
original or supporting data have to be capable of being replicated through new experiments,
samples, or tests. Making the data and models publicly available will assist in determining
whether analytical results are capable of being substantially reproduced. However, these
guidelines do not alter the otherwise applicable standards and procedures for determining when
and how information is disclosed. Thus, the objectivity standard does not override other
compelling interests, such as privacy, trade secrets, and other confidentiality protections.
b. “Utility” refers to the usefulness of the information to its intended users, including the public.
In assessing the usefulness of information that the agency disseminates to the public, the agency
considers the uses of the information not only from its own perspective but also from the
perspective of the public.

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c. “Integrity” refers to the security of information – the protection of information from
unauthorized access or revision, to ensure that the information is not compromised through
corruption or falsification.
7. “Reproducibility” means that the information is capable of being substantially reproduced,
subject to an acceptable degree of imprecision. For information judged to have more (less)
important impacts, the degree of imprecision that is tolerated is reduced (increased). With
respect to analytical results, “capable of being substantially reproduced” means that independent
analysis of the original or supporting data using identical methods would generate similar
analytical results, subject to an acceptable degree of imprecision or error.
B. The definitions below are not from the OMB information quality guidelines, and apply throughout the
USPTO information quality guidelines:
1. “Affected person” is any individual who uses, benefits from, or is harmed by the disseminated
information at issue.
2. “Business unit” is a sub-organization of the USPTO responsible for carrying out specified
substantive functions (i.e., program area).
3. “General Information” is a category of information that the USPTO maintains or disseminates.
It includes anything that is not patent or trademark related.
4. “Patents” is a category of information that the USPTO maintains or disseminates. It includes
patent applications, patent grants, and patent related documents.
5. “Person” is an individual, partnership, corporation, association, public or private organization, or
State or local government.
6. “Pre-Dissemination Review ” is a process for reviewing the quality (including the objectivity,
utility, and integrity) of information before it is disseminated.
7. “Trademarks” is a category of information that the USPTO maintains or disseminates. It
includes trademark applications, registered trademarks, and trademark related documents.
V. INTENT

The USPTO is fully committed to ensuring and maximizing the quality of information that it disseminates
and fully supports the idea of basic information quality standards established in the Paperwork
Reduction Act (44 U.S.C. Chapter 35) (PRA), in OMB Circular A-130, and in the OMB information quality
guidelines. The USPTO will establish a basic standard of quality (including objectivity, utility, and
integrity) as a performance goal by adopting the OMB information quality guidelines and will take
appropriate steps to incorporate information quality criteria into agency information dissemination
practices.
The USPTO information quality guidelines are intended to improve the quality of the information
disseminated by the USPTO to the public by formalizing the existing pre-dissemination review
processes, and establishing a new administrative mechanism with a feedback loop, “allowing affected
persons to seek and obtain correction of information maintained and disseminated by the agency”. They
are not intended to be, and should not be construed as, legally binding regulations or mandates. As
such, these guidelines do not create any right or benefit, substantive or procedural, enforceable at law or
equity, by any party against the United States; or the USPTO, to include its Director, employees,
contractors, sub-contractors, grantees, or any person(s).
Historically, a variety of mechanisms for achieving basic information quality standards for patent and
trademark information have been maintained at the USPTO. The information quality guidelines
described in this document complement any pre-existing administrative mechanisms, guidelines, or
procedures at the USPTO. All pre-existing administrative mechanisms, guidelines, and procedures for
achieving information quality remain in place.

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Specifically, for errors not covered by these guidelines, the USPTO has administrative mechanisms,
guidelines, and procedures in place to correct or change patent applications, patent grants, trademark
applications, and registered trademarks (some examples follow). Full details of the procedures are
available in the Manual of Patent Examining Procedure (MPEP) and the Trademark Manual of
Examining Procedure (TMEP) both available on the USPTO Website at:
www.uspto.gov/web/offices/pac/mpep/index.html and
www.uspto.gov/web/offices/tac/tmep/index.html
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Certificates of Correction (35 U.S.C. 254 and 255; 15 U.S.C. 1057). Certificates of Correction
are used to correct typographical errors and misspellings in patent grants and trademark
registrations but cannot be used to add new matter.

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Disclaimers (35 U.S.C. 253). The patentee may disclaim one or more claims of his/her patent
by filing a disclaimer with the USPTO.

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Reissues (35 U.S.C. 251). If defects are found in the original patent, the patentee may apply for
a reissue patent with proposed changes to correct these errors. Following an examination, a
reissue patent may be granted to replace the original for the balance of the un-expired term.
However, the nature of the changes that can be made by means of the reissue are rather limited;
new matter cannot be added.

Additionally, a new procedure “allowing affected persons to seek and obtain correction of information
maintained and disseminated by the agency” will be in place by October 1, 2002, and shall apply to
information that is maintained or disseminated on or after October 1, 2002.
VI. SCOPE
A. USPTO SPECIFIC EXEMPTIONS: The following types of information maintained or disseminated by the
USPTO are not subject to the USPTO information quality guidelines or requests for correction:

1. Public Filings – The content of public filings and any errors in the documents as received are not
within the scope of these guidelines. There are independent administrative or legal processes in
place that permit correction of errors in these publicly filed documents. However, data entry
errors or scanning errors committed by USPTO personnel or contractors that result in the
substance of a public filing being inaccurately disseminated are subject to these guidelines.
Public filings include but are not limited to:
a. Patent Applications
b. Patent Assignments
c. Patent Petitions
d. Trademark Applications
e. Trademark Assignments
f.

Trademark Petitions

2. Adjudicative Processes – Documents developed as a result of adjudicative processes have
independent legal significance and any errors in the documents themselves are not within the
scope of these guidelines. There are independent administrative or legal processes in place that
permit correction of errors in these adjudicative documents. However, data entry errors or
scanning errors committed by USPTO personnel or contractors that result in the substance of an
adjudicative document being inaccurately disseminated are subject to these guidelines.
Adjudicative documents include but are not limited to:
a. Patent Grants

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b. Registered Trademarks
B. GENERAL EXEMPTIONS: The following types of information maintained or disseminated by the USPTO
are not subject to the USPTO information quality guidelines or requests for correction:

1. Information with distribution intended for government employees or USPTO contractors, subcontractors, or grantees.
2. Information with distribution intended for intra- or inter-agency use or sharing of government
information.
3. Responses to requests for USPTO records under the Freedom of Information Act (FOIA), the
Privacy Act, the Federal Advisory Committee Act or other similar law.
4. Information from adjudicative processes, such as pleadings, including information developed
during the conduct of any criminal or civil action or administrative enforcement action,
investigation or audit against specific parties, or information distributed in documents for an
administrative action determining the rights and liabilities of specific parties under applicable
statutes and regulations.
5. Information with distribution intended as correspondence with individuals or persons, regardless
of media, to include but not limited to: electronic mail (e-mail), facsimiles, U.S. Mail, Airmail, or
overnight courier packages.
6. Press releases, press conferences, press materials or similar communications in any medium
that announce, support the announcement, or give public notice of information the USPTO has
disseminated elsewhere.
7. Subpoenas.
8. Solicitations (e.g., program announcements, vacancy announcements, requests for proposals).
9. Archival records or archival information disseminated by the USPTO before October 1, 2002, and
still maintained by the USPTO as archival material. This includes Patent and Trademark
Depository Library holdings.
10. Hyperlinks to information that others disseminate, as well as paper-based information from other
sources referenced, but not approved or endorsed by the USPTO.
11. Policy manuals and management information produced for the internal management and
operations of the USPTO, and not intended for public dissemination.
12. Information presented to Congress as part of legislative or oversight processes, such as
testimony of USPTO officials, and information or drafting assistance provided to Congress in
connection with proposed or pending legislation that is not simultaneously disseminated to the
public. However, information that would otherwise be covered by applicable guidelines is not
exempted from compliance merely because it is presented to Congress.
13. Documents not authored by the USPTO and not intended to represent the USPTO’s views,
including information authored and distributed by USPTO grantees, as long as the documents
are not disseminated (See Definitions, Section IV.A.1.a.b.) by the USPTO.
14. Research data, findings, reports and other materials published or otherwise distributed by
USPTO employees, contractors, sub-contractors, or grantees that are identified as not
representing the USPTO views.
VII. USPTO STANDARD OF QUALITY FOR DISSEMINATED INFORMATION

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The objectivity, utility, and integrity standards below are for the three categories of information that the
USPTO disseminates: Patents, Trademarks, and General Information (See Definitions, Section IV.B.
(3., 4., and 7.)).
A. OBJECTIVITY

Objectivity involves presentation and substance. Presentation focuses on disseminating information in
an accurate, clear, complete, unbiased manner, and within a proper context. Substance focuses on
ensuring accurate, reliable, and unbiased information.
The majority of information that the USPTO disseminates consists of public filings or adjudicative
documents, the substance of which is exempt from these guidelines. The USPTO controls the accuracy
of this information through independent administrative or legal processes, (See the MPEP or TMEP),
that permit correction of errors and ensure the substance of these documents is accurately
disseminated.
The USPTO’s information dissemination products are listed and described in the “USPTO Products and
Services Catalog from the USPTO Information Dissemination Services” available on the USPTO website
at the following address: http://www.uspto.gov/web/offices/ac/ido/oeip/catalog/index.html
Historically, a pre-dissemination review process of all USPTO information disseminated is incorporated
into the normal process of formulating the information. This review is at a level appropriate to the
information, taking into account the information's importance, balanced against the resources required
and the time available to conduct the review. The USPTO’s business units treat information quality as
integral to every step of the USPTO’s development of information, including creation, collection,
maintenance, and dissemination. The USPTO receives and relies on feedback from both internal and
external customers if the accuracy or completeness of the information disseminated is below standard.
Corrective measures are taken immediately to limit the impact and re-disseminate the corrected
information. In an unbiased manner, the USPTO makes every effort to provide complete databases on
the USPTO website of all patents and trademarks that have ever been captured electronically. All
USPTO information dissemination products are labeled and initially distributed with the accompanying
file specifications for clarity and proper context. Several file specifications are available on the USPTO
website. The USPTO reliably disseminates patent grants, trademark applications, and registered
trademarks every Tuesday and disseminates patent applications every Thursday (excluding Federal
holidays).
“Influential Information” disseminated by the USPTO, or information that will have or does have clear
and substantial impact on important public policies or important private sector decisions consists
primarily of statistical information on USPTO filings and operations. “Reproducibility” of these analytic
results does include “especially rigorous robustness checks” and when asked the USPTO does provide
disclosure of the data sources that have been used and the specific quantitative methods and
assumptions (if any) that have been employed. Patent applications, patent grants, trademark
applications, and registered trademarks while influential are exempt from these guidelines as discussed
above in (Scope, Section VI.).
“Financial Information”, the USPTO adopts and follows all applicable Federal government financial
procedures, rules, and laws and uses commonly accepted accounting practices, and independent
accounting firms.
Regarding “Analysis of Risks to Human Health, Safety and the Environment”, the USPTO currently does
not disseminate influential information that constitutes assessment of risks to human health, safety, or
the environment. Therefore, the USPTO is not required to adopt as an objectivity standard the
principles of the Safe Drinking Water Act Amendments of 1996 (SDWA) respecting risk assessments.
Regarding “Third-Party Information”, the USPTO currently does not disseminate third-party information.
Third-party information sources are not directly subject to the OMB or USPTO information quality
guidelines. However, if in the future the USPTO develops information products or forms the basis of a
decision or policy on third-party information, the third-party information must be of known quality and
consistent with all applicable OMB and (these) USPTO information quality guidelines. When such
information is used, any limitations, assumptions, collection methods, or uncertainties concerning it are

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taken into account and disclosed.
B. UTILITY

Utility means that disseminated information is useful to its intended users, including the public. "Useful"
means that the content of the information is helpful, beneficial, or serviceable to its intended users, or
that the information supports the usefulness of other disseminated information by making it more
accessible or easier to read, see, understand, obtain, or use.
The USPTO strives to continually improve the usefulness of its information products and the manner in
which they are disseminated. The USPTO is a global organization, and has customers worldwide. The
USPTO interacts with its customers through users’ groups, open forums, customer focus sessions,
meetings, workshops, surveys, product reviews, and other mechanisms to assess and improve the utility
and accessibility of its products.
The USPTO disseminates information products in a manner that allows them to be accessible and
understandable to a broad range of users. The USPTO meets the needs of its customers by
disseminating information through a variety of media including but not limited to: USPTO Website,
electronically by File Transfer Protocol (FTP), optical disc (i.e., CD-ROM, DVD-ROM, etc.), floppy disk,
magnetic tape, facsimile, and paper. The USPTO also utilizes international standards for patent and
trademark information, and other standard data formats to ensure information is usable by a broad
spectrum of users with varying computer equipment, operating systems, and software.
C. INTEGRITY

Integrity equates to security. Regardless of the distribution media, USPTO information is safeguarded
before, during, and after dissemination from improper access, modification, or destruction, to a degree
commensurate with the risk and magnitude of harm that could result from the loss, misuse, or
unauthorized access to or modification of such information.
All electronic information disseminated to the public by the USPTO adheres to the standards set out in
Appendix III, “Security of Automated Information Resources,” OMB Circular A-130, the Government
Information Security Reform Act, the Computer Security Act, the computer security provisions in the
Paperwork Reduction Act (44 U.S.C. Chapter 35) (PRA), and the Federal Managers Financial Integrity
Act. Compliance with the above standards or guidelines is detailed in the USPTO’s Automated
Information System Security Controls Manual.
Confidentiality of personal data collected by the USPTO is safeguarded under legislation, the Privacy
Act and Titles 13, 15, and 22 of the U.S. Code. The Privacy Policy Statement for the USPTO is
available on the USPTO Website at: www.uspto.gov/web/doc/privact.htm
VIII. PRE-DISSEMINATION REVIEW PROCESS

All business units within the USPTO must incorporate the following pre-dissemination review process
that applies to information disseminated on or after October 1, 2002.
Information quality is an integral part of the pre-dissemination review of information disseminated by the
USPTO. Information quality is also integral to information collections conducted by the USPTO, and is
incorporated into the clearance process required by the Paperwork Reduction Act (44 U.S.C. Chapter
35) (PRA) to help improve the quality of information that the USPTO collects and disseminates to the
public. The USPTO is already required to demonstrate in their PRA submissions to OMB the “practical
utility” of a proposed collection of information that they plan to disseminate. Additionally, for all proposed
collections of information that will be disseminated to the public, the USPTO should demonstrate in their
PRA clearance submissions to OMB that the proposed collection of information will result in information
that will be collected, maintained, and used in a way consistent with all applicable OMB and (these)
USPTO information quality guidelines.
Pre-dissemination review can be accomplished in a number of ways (including but not limited to
combinations of the following):

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a. Active personal review of information by supervisors and managers, either by reviewing each
individual document, or selected samples, or by any other reasonable method.
b. Use of quality check lists, charts, statistics, or other means of tracking quality, completeness,
and usefulness.
c. Process design and monitoring to ensure that the process itself imposes checks on information
quality.
d. Review during information preparation.
e. Use of management controls.
f. Any other method that serves to enhance the accuracy, reliability, and objectivity of the
information.
IX. BUSINESS UNIT RESPONSIBILITIES

Business units within the USPTO will be responsible for agency compliance with the final USPTO
information quality guidelines, appoint individuals to be points-of-contact, make decisions regarding the
corrective action to be taken, and decide appeals. The business units will be required to update or close
problem ticket records with decisions or steps taken to resolution and communicate the decisions to the
affected person(s) via electronic mail (e-mail), telephone, or U.S. Postal Service.
X. CIO RESPONSIBILITIES

The Chief Information Officer of the USPTO will be responsible for the administrative mechanisms to
track complaints, appeals, resolutions; and on a fiscal-year basis, submit a report to the Director of OMB
providing information (both quantitative and qualitative, where appropriate) on the number and nature of
complaints received by the agency regarding agency compliance with the OMB information quality
guidelines and how such complaints were resolved.
XI. AFFECTED PERSON RESPONSIBILITIES

A. Requests to correct information maintained and disseminated by the U.S. Patent and Trademark
Office (USPTO) that are subject to all applicable OMB and (these) USPTO information quality
guidelines.
1. Any affected person may request, where appropriate, correction of USPTO information that does
not comply with all applicable OMB and (these) USPTO information quality guidelines. The
burden is on the affected person to show both the necessity for correction and type of correction
sought. Additionally, the affected person has the burden of rebutting the presumption that
information subjected to formal, independent peer review is objective. Any affected person may
submit a request directly to the USPTO, in accordance with the procedures contained in these
guidelines.
2. Initial requests for correction of USPTO information must first be made through the USPTO
Contact Center (UCC) (formerly GISD) Help Desk for tracking and reporting purposes. The UCC
Help Desk will route requests to the appropriate business unit within the USPTO.
3. All requests must be made using one of the following methods:
a. Electronic Mail:
[email protected]
Please include “Data Quality” in the Subject Line.
b. Telephone:
800-786-9199 or 703-308-4357 – at the prompt, press 1 for General Patent and Trademark

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Information
Please let the UCC Help Desk person know that you are reporting a Data Quality problem.
c. U.S. Postal Service:
U.S. Patent and Trademark Office
Mail Stop USPTO Contact Center (UCC)
ATTN: Data Quality
P.O. Box 1450
Alexandria, VA 22313-1450
U.S.A.
4. A request for correction of USPTO disseminated information will not be considered under these
guidelines concerning:
a. A matter not involving “information”, as that term is defined in (Section IV.A.4.).
b. Information that has not actually been “disseminated”, as that term is defined in (Section
IV.A.1.a.b.).
c. Disseminated information the correction of which would serve no useful purpose.
d. Requests that are duplicative, repetitious, or frivolous may be rejected. This does not preclude
a request for correction alleging a recurring or systemic problem resulting in repeated similar or
consistent errors.
5. Initial requests for correction must include:
a. requester’s name
b. requester’s telephone number
c. requester’s electronic mail (e-mail) address (optional if submitting by telephone, U.S. Postal
Service, or overnight courier)
d. requester’s return address (required only if submitting by U.S. Postal Service, or overnight
courier)
e. an accurate citation to and a description of the particular information disseminated that is the
subject of the request for correction (For recurring or systemic errors, please provide a few
examples (no more than 50)).
f. an explanation of:
i. how the requester is affected by the alleged error
ii. how the information at issue fails to comply with (these) USPTO information quality
guidelines or the applicable OMB guidelines
iii. why the requester believes that the disseminated information is not correct
6. Affected persons will be given a problem ticket number for each request via one of the following
methods: electronic mail (e-mail), telephone, or U.S. Postal Service.
7. For proper requests (i.e., requests that include all applicable elements of (Section XI.A.5.
above)), the business unit will notify the requester via electronic mail (e-mail), telephone, or U.S.
Postal Service of the initial decision within 60 calendar days after receipt of the request with an
appropriate explanation of the decision being made. If the request requires more than 60
calendar days to resolve, the business unit will inform the requester within the first 60 calendar
days that more time is required indicating the reason why more time is required and an estimated
decision date.
8. If a problem ticket gets misdirected to the wrong USPTO business unit, additional effort will be
taken by the USPTO to identify and route the problem ticket to the appropriate business unit.
Once the misdirected problem ticket gets to the appropriate business unit, the business unit will
have 60 calendar days from receipt to respond to the requester via electronic mail (e-mail),
telephone, or U.S. Postal Service.
9. A proper request received concerning information disseminated as part of and during the
pendency of the comment period on a proposed rule, plan, or other action, including a request
concerning the information forming the record of decision for such proposed rule, plan or action

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will be treated as a comment filed on that proposed rulemaking, plan, or action, and be
addressed in the issuance of any final rule, plan, or action. However, where the requester
demonstrates immediate actual harm or the substantial likelihood of actual harm arising from that
dissemination prior to issuance of the final rule, plan, or action, the USPTO will provide a timely
response before issuing the final rule, plan or action, if doing so will not significantly delay the
issuance of the final rule, plan, or action.
10. For improper requests (i.e., requests that do not include all applicable elements of (Section
XI.A.5. above) or contain errors), the requester will be contacted and notified of the omission or
error within 60 calendar days. The requester has the option of amending or correcting the
problem ticket record by contacting the UCC Help Desk. If the original request is not amended or
corrected, the USPTO will close the problem ticket. If the requester cannot be contacted
because of an omission or error, the problem ticket will be closed. All requests will be counted in
the USPTO’s annual fiscal year report to OMB.
11. If the USPTO decides not to correct the disseminated information, then the affected person may
appeal that decision within 60 calendar days. The appeal will follow the same path as Initial
Requests, with the following exceptions:
a. Upon receipt of an initial adverse decision (not to correct), the initial requester has 60 calendar
days to submit an appeal. The appeal should be submitted according to (Section XI.A.5. above).
Additionally, the appeal should include a statement of the reason(s) why the requester believes
the initial adverse decision was incorrect.
b. To maintain continuity, the USPTO requires the problem ticket number from the initial request.
The original problem ticket will be reopened/updated to reflect an appeal and assigned to the
next highest organizational level.
c. If the appeal requester is not able to provide the previous problem ticket number, then the
request will be considered an initial request and not an appeal. A new problem ticket number will
be assigned by the UCC Help Desk.
d. The designated person at the next highest organizational level will notify the appeal requester
via electronic mail (e-mail), telephone, or U.S. Postal Service of the appeal decision within 60
calendar days after receipt of the appeal with an appropriate explanation of the decision being
made. If the appeal requires more than 60 calendar days to resolve, the business unit will inform
the requester within the first 60 calendar days that more time is required indicating the reason
why more time is required and an estimated decision date.
12. No opportunity for personal appearance, oral argument, or hearing on appeal is provided.
Bulletin for Peer Review
For additional information regarding the final USPTO Information Quality Guidelines Contact:

Trisha Michel – Director, Office of Electronic Information Products (OEIP)
[email protected]
(571) 272-5450
Christopher Leithiser – Computer Scientist, OEIP
[email protected]
(571) 272-5472
Electronic Mail:
[email protected]
Facsimile:
Office of Electronic Information Products
ATTN: Data Quality

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(571) 273-0110
U.S. Postal Service:
United States Patent and Trademark Office
Office of Electronic Information Products
ATTN: Data Quality
Madison West 4C18
P.O. Box 1450
Alexandria, VA 22313-1450

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