Intellectual Property Office

Ministry of Economic Development

Ad Hoc Appraisal

For  Trade Mark’s

October 2007				

Table of Contents						Page

1.	Executive summary					  3

2.	Appraisal circumstances				  4

3.	Agency Information					  4

4.	Methodology						  5

5.	Relevant Precedent					  5

6.	Disposal Criteria					  5
6.1	Recommended as Public Archives		  5
     6.1.1  Trade Mark files registered before 1890	  5
     6.1.2  Sample of removed Trade mark files	  5		  
6.2	Recommend for destruction			  5
     6.2.1  Trade Mark files from 1890			  5
     6.2.2  Trade Mark Card index			  5

7.	Series Information					  6
7.1	Trade Mark files				  6
7.2	Trade Mark Card indexes			  6

8.	Access recommendations				  7

9.	Custodial Arrangements				  7

10.	Transfer Arrangements				  7

Intellectual Property Office
Te Pou Rahui Hanga Hou

Client Name:		Intellectual Property Office of New Zealand (IPONZ)

Contact:		[name withheld]

Disposal Type:	Ad Hoc Appraisal

Agency		Intellectual Property Office of New Zealand, Business 	
Coverage:		Services Branch, Ministry of Economic Development

Scope:			Trade Mark registered files (paper), Card Index 

1.	Executive Summary

The Intellectual Property Office of New Zealand administers legislation providing for the registering of Trade Marks under the Trade Marks Act 2002 as well as protection of intellectual property rights by granting Patents under the Patents Act 1953 and the registering of Designs under the Designs Act 1953.

A previous schedule has been in place and disposal of trade marks files has been carried out. As this schedule has now expired all disposal actions have stopped while a new one-off appraisal is approved. 

With the introduction of an electronic database and online registrations the creation of paper files and the up-dating of the paper registers have ceased.  This appraisal deals with removed trade mark paper records only and a retention and disposal schedule will be drawn up to cover those files still current and the electronic side in the near future.
_________________________________________________________________

Quantity recommended for retention as public archives
		Files		    	 			     10  lm (0.40%)
				
Quantity recommended for destruction	
Files 		      				2470 lm (99.60%)
		Index cards				    45 Metal draw cabinets
Estimated amount added per year					Nil

2.	Appraisal Circumstances

This one off appraisal is to replace schedule OP96/86 for The New Zealand Patent Office which expired on 10 January 2007.

The records covered by this proposed appraisal are located at the Document and Information Services Centre, (off site storage for Ministry of Economic Development) warehouse at Seaview, Lower Hutt which is maintained by IPONZ.  The files are stored in boxes, on shelves and recorded in a record management program for easy retrieval.  Some of the files recommended for retention as public archives are in poor physical condition and have been imaged to prevent further deterioration from handling.

3.	Agency Information

Agency Code:		ABPJ
Agency name:		The Intellectual Property Office of New Zealand

Year established:	1870
Year dis-established:	N/A

The Office’s function is to examine applications for Trade Marks and to provide records on those that are registered.  They also provide advice on whether trade mark applications might conflict with trade marks already registered. 

Trade marks were first administered by the Colonial Secretary’s Department and later (ca. 1890) joined the Patent Office which was part of the Department of Justice. Local patent Offices were attached to the court in the district and administered Trade marks, Designs and Patents.  In 1995 the New Zealand Patent Office became part of the Ministry of Commerce, which changed its name to Ministry of Economic Development in 2000.  The Intellectual Property Office is counted as an agency in its own right due to its size and separate record keeping system.  

4.	Methodology

This is a series based one off appraisal for the Trade Mark files and one set of card indexes.  It is to cover those files which have been abandoned (Trade Mark application refused or withdrawn).  Removed (Trade Mark has not been renewed) from the register up to year ending December 2003.

As the functions for processing Trade Marks applications has not changed from 1997 when the last appraisal was carried out the need for an in depth physical examination of the files was considered not necessary.  Consultation with trade mark examiners was undertaken to confirm that processors had remained the same.

In determining the disposal recommendations, guidance from the following sources was sought:

•	Legislation
Trade Marks Act 2002
Trade Mark Regulations 2003
•	Consultation with Intellectual Property Office Staff

5.	Relevant Precedent

OP96/86 which expired on 10 January 2007 covered Trade Mark files, registers and card indexes.

Collections already transferred to Archives New Zealand
7416	96/86	Register of Trademarks	1881-1945	
7555	96/86	Trade Mark Key Word Index (cards)	Unknown -1997	
7556	96/86	Trade Mark Proprietors Index (cards)	Unknown –1987	

The recommendations in this appraisal conform to previous approved disposal actions set out in OP96/86.

6.	Disposal Criteria

6.1	Recommended for retention as public archives
6.1.1	Trade Mark files registered before 1890

Complements Archives New Zealand existing holdings as documented in OP96/86

6.1.2	Trade Mark files registered after 1890 – 
Transfer a sample of 5 “removed” files for every 10 years.

These files provide evidence of the core functions of trade mark applications.

6.2	Recommended for destruction

6.2.1     Trade marks files created after 1890.  
Destroy all other trade mark files once the sample files have been collected.

These are records documenting routine administrative or operational activities.

6.2.2	Card index of abandoned trade marks 

These records contain summarized material that is available in full from other sources such as gazette and journal publications.
 
7.	Series Information

7.1	Trade Mark Files 

Series Description:
The files are created in the administration of Trade Mark Applications and include papers dealing with the examination and registration of individual trade Marks.  The files constitute one series although several numbering systems have been used and some of the (early) files have been top-numbered to facilitate the entry of Trade Marks file details into a database.  The files are routinely administrative in nature and the process of Trade Mark examination and registration has remained basically the same since it began.  Trademark applications went online in October 2003 with no further files being created.

The information contained within these files is available in the registers, indexes, Patents Journals and the IPONZ database which are all available on the IPONZ website.

Series start year:		1874
Series end year:		2003
Total Quantity:		7440 boxes (2480 lm)

Quantity appraised:		7440 boxes

Annual accumulation:		Nil

Physical format:		Split pin files

Physical 
Description:	Mainly good condition although some of the older files have become fragile.

System of 			Boxed in numerical order within the removal 
Arrangement:			year date

Quantity to be retained	10 boxes
 as archives: 

Quantity to destroy:		7430 boxes

7.2     Trade Mark Card Indexes

There is one set of index cards for abandoned trade marks (trade mark was never approved or withdrawn by applicant). 

The information on these cards in minimal as once a trade mark is abandoned no further administrative work is carried out and the cards become invalid.  The cards have no information value and do not refer to any registered trade mark.

The information contained on these cards is available in the registers, indexes, Patents Journals and the IPONZ database which are all available on the IPONZ website.

Series start year:		not known
Series end year:		1997
Total Quantity:		45 metal draw cabinets

Quantity appraised:		45 metal draw cabinets

Annual accumulation:		Nil	

Physical format:		Index contained in metal draw cabinets		

Physical 
Description:			Good condition	

System of 			numerical order 
Arrangement:	

Quantity to be retained	Nil
as archives:		

Quantity to destroy:		45 metal draw cabinets

8.	Access Recommendations

There are no restrictions applied to records covered by this ad hoc appraisal.

9.	Custodial Arrangements:

No specific conditions are required for the custody of these records.

10.	Transfer Arrangements

Refer to any sentencing guidelines accompanying this report for specific recommendations:

•	Records must be kept for the minimum period specified.
•	Records may be destroyed at any point once the minimum retention periods have passed. 
•	Records do not have to be destroyed; the agency may keep them for longer if still required.

This authority is valid for a period of 5 years from date of signing, unless previously agreed with the Chief Archivist.