[Federal Register Volume 65, Number 72 (Thursday, April 13, 2000)]
[Notices]
[Pages 19868-19872]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-8862]


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DEPARTMENT OF COMMERCE

[Docket No. 000327082-0082-01]
RIN 0605-XX07


Privacy Act of 1974; System of Records

AGENCY: Department of Commerce.

ACTION: Notice of amendment of Privacy Act System of Records: Commerce/
Patent and Trademark System 1; Commerce--Patent and Trademark System 2; 
Commerce/Patent and Trademark System 5.

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SUMMARY: The Department of Commerce is amending the systems of records 
listed under Commerce--Patent and Trademark Systems 1: Attorneys and 
Agents Registered to Practice before the Patent and Trademark Office; 
Commerce-Patent and Trademark Systems 2: Complaints, Investigations and 
Disciplinary Proceedings Relating to Registered Patent Attorneys and 
Agents; and Commerce-Patent and Trademark Systems 5: Non-Registered 
Persons Rendering Assistance to Patent Applicants. This action has been 
taken to update the Privacy Act notice and to amend the routine use. We 
invite public comment on the proposed routine use in this publication.

DATES: Effective Date: The amendments will become effective as proposed 
without further notice on May 15, 2000 unless comments dictate 
otherwise.
    Comment Date: To be considered, written comments must be submitted 
on or before May 15, 2000.

ADDRESSES: Comments may be sent via United States Mail delivery to 
Raymond Chen, Office of the Solicitor, United States Patent and 
Trademark Office, Box 8, Washington, DC 20231; via facsimile at 703-
305-9373. All comments received will be available for public inspection 
at the Public Search Facilities, Crystal Plaza 3, 2021 South Clark 
Place, Arlington, VA 22202.
    For further information contact: Raymond Chen, Office of the 
Solicitor, Box 8, Washington, DC 20231, or by phone at 703-305-9035.

SUPPLEMENTARY INFORMATION: Pursuant to an executive branch initiative 
to update the Privacy Act systems of records, the Department of 
Commerce amends three Privacy Act systems maintained by the U.S. Patent 
and Trademark Office (PTO) to describe the current practices of the 
PTO.
    In addition to amending the notice of routine uses, other changes 
are being made to update the notice, including amendments to categories 
of individuals covered by the system, categories of records in the 
system, location of records, authority for maintenance of the system, 
policy and practices for storing records, and the title and business 
address of the agency official responsible for the records. A more 
detailed explanation of the changes follows for each system.
    The below-referenced Prefatory Statement of General Routine uses is 
found at 46 FR 63501-63502 (December 31, 1981).
    The Department of Commerce finds no probable or potential effect of 
the proposal on the privacy of individuals. To minimize the risk of 
unauthorized access to the system of records, the PTO has located paper 
records in lockable file cabinets or in metal file cabinets in secured 
rooms or secured premises with access limited to those whose official 
duties require access. Electronic files are stored in secured premises 
with access limited to those whose official duties require access.

Attorneys and Agents Registered To Practice Before the Patent and 
Trademark Office (PAT-TM-1)

    The system location disclosure is updated to reflect correct 
addresses and to reflect that records in this system may be contained 
in the Office of Enrollment and Discipline (OED), the Office of the 
Solicitor, and/or the Commissioner's Office. This amendment to the 
system location reflects current practice and does not constitute a new 
collection of records. Changes in the PTO enrollment and disciplinary 
rules, part 10 of 37 CFR, instituted in 1985, moved the functions of 
enrollment and discipline from the Office of the Solicitor to OED, a 
separate office. Moreover, under current enrollment and disciplinary 
rules, persons covered by this system

[[Page 19869]]

may petition OED decisions to the Commissioner of Patents and 
Trademarks. Additionally, the Solicitor provides legal advice and 
guidance on enrollment matters to both the OED and the Commissioner. 
Thus, records from this system may also be stored in the Commissioner's 
Office or in the Office of the Solicitor.
    The category of records in the system is amended to include records 
pertaining to investigations of an applicant's suitability or 
eligibility for registration to practice before the PTO. This amendment 
to the categories of records in the system reflects current practice as 
authorized by 35 U.S.C. 31 and does not constitute a new collection of 
records.
    The routine uses of records is amended to clarify the current 
notice. This amendment to the routine uses of records in the system 
reflects current practice and does not constitute a new collection of 
records or any new routine disclosure. The public roster notice in the 
current system is further defined to indicate that a registered 
practitioner's name, address, law firm or company affiliation, 
telephone number, and registration number will be published 
periodically. Currently, the PTO publishes this roster on its worldwide 
web site. The current notice is further amended to clarify that the PTO 
will release current status information (e.g., registered, not 
registered, suspended, etc.) upon inquiry from the public, state bars, 
courts, or other government agencies. The amendment also notices that 
the PTO may disclose information to solicit additional information 
regarding an applicant's suitability and eligibility to practice before 
the PTO, and that petitions for reinstatement by a suspended or 
excluded practitioner will be open to the public, pursuant to 37 CFR 
10.160(e).
    The storage notice is amended to reflect storage on microfilm and 
machine readable storage media. The safeguards notice is amended to 
reflect current practice. This amendment to the storage and 
safeguarding of records in the system reflects current practice and 
does not constitute a new collection of records, new storage means, or 
new safeguarding means. The system manager and notification procedure 
are amended to update correct addresses for those positions. The record 
source category is amended to reflect current practice of obtaining 
information from individuals.
    Further, the notice for Privacy Act system ``Attorneys and Agents 
Registered to Practice before the Patent and Trademark Office'' (PAT-
TM-1) has also been amended to add a notice regarding the PTO's 
intention to exempt that system of records from certain provisions of 
the Privacy Act as provided for in 5 U.S.C. 552a(k)(2). Some of the 
records in this system result from investigations compiled for law 
enforcement purposes. Namely, the records contain information 
regarding, inter alia, the moral and ethical fitness of an applicant to 
practice before the PTO. This information is relevant (a) to pending 
disciplinary investigations and proceedings in the PTO (b) to state bar 
violations, or (c) to violations of state and/or federal criminal and/
or civil laws. The rulemaking process is concurrently amending 15 CFR 
4b.14(b)(2) to add PAT-TM-1 to the systems of records which are exempt 
from certain provision of the Privacy Act under 5 U.S.C. 552a(k)(2).
    The reasons set forth at 15 CFR 4b.14(b)(2) for exempting certain 
systems of records from certain provisions of the Privacy Act are also 
reasons for exempting PAT-TM-1 under 5 USC 552a(k)(2). The reasons for 
asserting the exemption are to prevent subjects of investigation from 
frustrating the investigatory process, to ensure the proper functioning 
and integrity of law enforcement activities, to prevent disclosure of 
investigative techniques, to maintain the ability to obtain necessary 
information, to fulfill commitments made to sources to protect their 
identities and the confidentiality of information and to avoid 
endangering these sources and law enforcement personnel. See 15 CFR 
4b.14(b)(2).

Complaints, Investigations and Disciplinary Proceedings Relating to 
Registered Patent Attorneys and Agents (PAT-TM-2)

    The system location disclosure is updated to reflect correct 
addresses and to reflect that records in this system may be contained 
in the Office of Enrollment and Discipline (OED), the Office of the 
Solicitor, and/or the Commissioner's Office. This amendment to the 
system location reflects current practice and does not constitute a new 
collection of records. Changes in the PTO enrollment and disciplinary 
rules, part 10 of 37 CFR, instituted in 1985, moved the functions of 
enrollment and discipline from the Office of the Solicitor to OED, a 
separate office. Under 37 CFR 10.140(b), the Commissioner designates 
certain associate solicitors to serve as legal counsel for the Director 
of OED. Thus, records from this system may also be maintained in the 
Office of the Solicitor. Moreover, under current enrollment and 
disciplinary rules, persons covered by this system may petition OED 
decisions to the Commissioner of Patents and Trademarks. Additionally, 
the Solicitor provides legal advice to the Commissioner on disciplinary 
matters. Thus, records from this system may be stored in the 
Commissioner's Office or in the Office of the Solicitor.
    The categories of individuals covered by the system is amended to 
reflect current practice under PTO rules to include attorneys 
practicing trademark matters before the PTO and any other attorney 
appearing before the PTO.
    The routine uses of records is amended to clarify the current 
notice. This amendment to the routine uses of records in the system 
reflects current practice and does not constitute a new collection of 
records or any new routine disclosure. Under 37 CFR 10.135(b), a notice 
of institution of a disciplinary complaint and case against an attorney 
or agent may be publicly disclosed. Additionally, upon a final order 
reprimanding, suspending, or excluding an attorney or agent, the 
records in this system may be publicly disclosed.
    The storage notice is amended to reflect storage on microfilm and 
machine readable storage media. The safeguards notice is amended to 
reflect current practice. This amendment to the storage and 
safeguarding of records in the system reflects current practice and 
does not constitute a new collection of records or new storage means or 
new safeguarding means. The system manager and notification procedure 
are amended to update correct addresses for those positions. The record 
source category is amended to reflect the current practice of obtaining 
information from individuals.
    Further, the notice for Privacy Act system Complaints, 
Investigations and Disciplinary Proceedings Relating to Registered 
Patent Attorneys and Agents (PAT-TM-2) has also been amended to add a 
notice regarding the agency's intention to exempt that system of 
records from certain provisions of the Privacy Act as provided for in 5 
U.S.C. 552a(k)(2). All or substantially all of the records in PAT-TM-2 
comprise investigatory material compiled for law enforcement purposes. 
Namely, the records are used to aid the agency in enforcing its 
statutes and regulations regarding the conduct of patent attorneys and 
agents admitted to practice before the PTO. The rulemaking process is 
concurrently amending 15 CFR 4b.14(b)(2) to add PAT-TM-2 to the systems 
of records which are exempt from certain provision of the Privacy Act 
under 5 U.S.C. 552a(k)(2).
    The reasons set forth at 15 CFR 4b.14(b)(2) for exempting certain 
systems of records from certain

[[Page 19870]]

provisions of the Privacy Act are also reasons for exempting PAT-TM-2 
under 5 U.S.C. 552a(k)(2). The reasons for asserting the exemption are 
to prevent subjects of investigation from frustrating the investigatory 
process, to ensure the proper functioning and integrity of law 
enforcement activities, to prevent disclosure of investigative 
techniques, to maintain the ability to obtain necessary information, to 
fulfill commitments made to sources to protect their identities and the 
confidentiality of information, and to avoid endangering these sources 
and law enforcement personnel. See 15 CFR 4b.14(b)(2).

Non-Registered Persons Rendering Assistance to Patent Rendering 
Assistance (PAT-TM-5)

    The system location disclosure is updated to reflect correct 
addresses and to reflect that records in this system may be contained 
in the Office of Enrollment and Discipline (OED) and the Office of the 
Solicitor. This amendment to the system location reflects current 
practice and does not constitute a new collection of records. Changes 
in the PTO enrollment and disciplinary rules, part 10 of 37 CFR, 
instituted in 1985, moved the functions of enrollment and discipline 
from the Office of the Solicitor to OED, a separate office. Under 37 
CFR 10.140(b), the Commissioner appoints certain associate solicitors 
to serve as legal counsel for the Director of OED. Thus, records from 
this system may also be maintained in the Office of the Solicitor.
    The storage notice is amended to reflect storage on microfilm and 
machine readable storage media. The safeguards notice is amended to 
reflect current practice. This amendment to the storage and 
safeguarding of records in the system reflects current practice and 
does not constitute a new collection of records or new storage means or 
new safeguarding means. The system manager and notification procedure 
are amended to update correct addresses for those positions.

Classification

    This notice is not subject to the notice and comment requirements 
of the Administrative Procedure Act. 5 U.S.C. 553(a)(2).
    This notice is exempt review under Executive Order 12866.
    Accordingly, Privacy Act systems notices for Attorneys and Agents 
Registered to Practice before the Patent and Trademark Office (PAT-TM-
1), Complaints, Investigations and Disciplinary Proceedings Relating to 
Registered Patent Attorneys and Agents (PAT-TM-2), and Non-Registered 
Persons Rendering Assistance to Patent Rendering Assistance (PAT-TM-5) 
originally published at 40 FR 32970 (August 5, 1975) are amended as 
follows:
COMMERCE/PAT-TM-1

System name:
    Attorneys and Agents Registered to Practice Before the Office--
COMMERCE/PAT-TM-1.

System location:
    Office of Enrollment and Discipline, U.S. Patent and Trademark 
Office, 2221 South Clark Street, Arlington, Virginia 22202; Office of 
the Commissioner, 2121 Crystal Dr., Arlington, VA 22202; Office of the 
Solicitor, 2121 Crystal Drive, Arlington, VA 22202.

Categories of individuals covered by the system:
    Attorneys and agents who are, or have been, registered to practice 
before the Patent and Trademark Office (``PTO'') in patent cases, and 
applicants and former applicants for such registration to practice.

Categories of records in the system:
    Biographical information, personal and professional qualifications, 
character and fitness report, investigations of an applicant's 
suitability or eligibility for registration to practice before the PTO, 
undertakings of former patent examiners, current address, and status 
information.

Authority for maintenance of the system:
    35 U.S.C. 1, 6, and 31.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    See Prefatory Statement of General Routine uses Nos. 1-5 and 8-13. 
A public roster including an address of record, law firm or company 
affiliation, telephone number, and registration number of the 
registered individuals is published and disseminated; registration 
status is disseminated upon inquiry; and information may be published 
or otherwise disclosed to solicit information regarding an applicant's 
suitability and eligibility for registration to practice before the 
PTO.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records in file folders, microfilm, and machine readable 
storage media.

Retrievability:
    Filed alphabetically by name or registration number.

Safeguards:
    Records are located in lockable metal file cabinets or in metal 
file cabinets in secured rooms or secured premises with access limited 
to those whose official duties require access. Electronic files are 
stored in secured premises with access limited to those whose official 
duties require access.

Retention and disposal:
    Records retention and disposal is in accordance with the unit's 
Records Control Schedule.

System manager(s) and address:
    Director, Office of Enrollment and Discipline, Box OED, U.S. Patent 
and Trademark Office, Washington, DC 20231.

Notification procedure:
    Information may be obtained from Director, Office of Enrollment and 
Discipline, Box OED, U.S. Patent and Trademark Office, Washington, DC 
20231. Requester should provide name, address, date of application, and 
record sought, pursuant to the inquiry provisions of the Department's 
rules which appear in 15 CFR part 4b.

Record access procedures:
    Requests from individuals should be addressed to: Same address as 
stated in the notification section above.

Contesting record procedures:
    The Department's rules for access, for contesting contents, and for 
appealing initial determinations by the individual concerned appear in 
15 CFR part 4b.

Record source categories:
    Subject individual, references, and individuals furnishing 
information.

Systems exempted from certain provisions of the act:
    Pursuant to 5 U.S.C. 552a(k)(2), all investigatory materials in the 
record which meet the criteria in 5 U.S.C. 552a(k)(2) are exempted from 
the notice, access, and contest requirements (under 5 U.S.C. 
552a(c)(3), (d), (e) (1), (e)(4)(G), (H), and (I), and (f)) of the 
agency regulations because of the necessity to exempt this information 
and material in order to accomplish the law enforcement function of the 
agency, to prevent subjects of investigations from frustrating the 
investigatory process, to prevent the disclosure of investigative 
techniques, to fulfill commitments made to protect the confidentiality 
of sources, to maintain access to sources of

[[Page 19871]]

information, and to avoid endangering these sources and law enforcement 
personnel.
COMMERCE/PAT-TM-2

System name:
    Complaints, Investigations and Disciplinary Proceedings Relating to 
Registered Patent Attorneys and Agents--COMMERCE/PAT-TM-2.

System location:
    Office of Enrollment and Discipline, U.S. Patent and Trademark 
Office, 2221 South Clark Street, Arlington, Virginia 22202; Office of 
the Commissioner, 2121 Crystal Drive, Arlington, VA 22202; Office of 
the Solicitor, 2121 Crystal Drive, Arlington, VA 22202.

Categories of individuals covered by the system:
    Attorneys and agents registered to practice before the Patent and 
Trademark Office (PTO) in patent cases, attorneys practicing before the 
PTO in trademark cases, attorneys appearing before the PTO, and 
excluded or suspended attorneys and agents.

Categories of records in the system:
    Complaints and information obtained during investigations and 
quasi-judicial disciplinary proceedings.

Authority for maintenance of the system:
    35 U.S.C. 1, 6, and 32.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    See Prefatory Statement of General Routine Uses Nos. 1-5, 8-10, and 
13. Dissemination of information concerning the complaint, 
investigation, or disciplinary proceeding may be made to the 
complainant and to persons who can reasonably be expected to provide 
information needed in connection with the complaint, investigation, or 
disciplinary proceeding. Notice of filing of a disciplinary complaint 
may be publicly disclosed. Upon a final order reprimanding, suspending, 
or excluding an attorney or agent, the records in this system may be 
publicly disclosed.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records in file folders, microfilm, and machine readable 
storage media.

Retrievability:
    Filed alphabetically by name or registration number.

Safeguards:
    Records are located in lockable metal file cabinets or in metal 
file cabinets in secured rooms or secured premises with access limited 
to those whose official duties require access. Electronic files are 
stored in secured premises with access limited to those whose official 
duties require access.

Retention and disposal:
    Records retention and disposal is in accordance with the unit's 
Records Control Schedule.

System manager(s) and address:
    Director, Office of Enrollment and Discipline, Box OED, U.S. Patent 
and Trademark Office, Washington, DC 20231.

Notification procedure:
    Information may be obtained from Director, Office of Enrollment and 
Discipline, Box OED, U.S. Patent and Trademark Office, Washington, DC 
20231. Requester should provide name, address, date of application, and 
record sought, pursuant to the inquiry provisions of the Department's 
rules which appear in 15 CFR part 4b.

Record access procedures:
    Requests from individuals should be addressed to: Same address as 
stated in the notification section above.

Contesting record procedures:
    The Department's rules for access, for contesting contents, and for 
appealing initial determinations by the individual concerned appear in 
15 CFR part 4b.

Record source categories:
    Subject individuals, clients of same, registered attorneys and 
agents, witnesses in disciplinary proceedings, court opinions, and 
individuals furnishing information.

Systems exempted from certain provisions of the act:
    Pursuant to 5 U.S.C. 552a(k)(2), all investigatory materials in the 
record which meet the criteria in 5 U.S.C. 552a(k)(2) are exempted from 
the notice, access, and contest requirements (under 5 U.S.C. 
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)) of the 
agency regulations because of the necessity to exempt this information 
and material in order to accomplish the law enforcement function of the 
agency, to prevent subjects of investigations from frustrating the 
investigatory process, to prevent the disclosure of investigative 
techniques, to fulfill commitments made to protect the confidentiality 
of sources, to maintain access to sources of information, and to avoid 
endangering these sources and law enforcement personnel.
COMMERCE/PAT-TM-5

System name:
    Non-Registered Persons Rendering Assistance to Patent Applicants--
COMMERCE/PAT-TM-5.

System location:
    Office of Enrollment and Discipline, U.S. Patent and Trademark 
Office, 2221 South Clark Street, Arlington, Virginia 22202.

Categories of individuals covered by the system:
    Persons other than registered attorneys or agents who have offered 
or rendered, for payment, various services to inventors, patent 
applicants, and patentees.

Categories of records in the system:
    Declarations of assistance received and other reports or 
complaints, including names and addresses, of persons rendering 
services, and information obtained and used for investigatory and law 
enforcement purposes.

Authority for maintenance of the system:
    35 U.S.C. 1, 6, and 33; 5 U.S.C. 301; 28 U.S.C. 533-535; 44 U.S.C. 
3101; and E.O. 10450.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Providing notice to patent applicants regarding whether or not the 
persons from whom assistance was received are registered to practice 
before the Office. Used for investigative purposes. Also, see Prefatory 
Statement of General Routine Uses Nos. 1-5, 8-10, and 13.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records in file folders, microfilm, and machine readable 
storage media.

Retrievability:
    Filed alphabetically by name.

Safeguards:
    Records are located in lockable metal file cabinets or in metal 
file cabinets in secured rooms or secured premises with access limited 
to those whose official duties require access. Electronic files are 
stored in secured premises with access limited to those whose official 
duties require access.

[[Page 19872]]

Retention and disposal:
    Records retention and disposal is in accordance with the unit's 
Records Control Schedule.

System manager(s) and address:
    Director, Office of Enrollment and Discipline, Box OED, U.S. Patent 
and Trademark Office, Washington, DC 20231.

Notification procedure:
    Director, Office of Enrollment and Discipline, Box OED, U.S. Patent 
and Trademark Office, Washington, DC 20231. Requester should provide 
name, address, date of application, and record sought, pursuant to the 
inquiry provisions of the Department's rules in 15 CFR part 4b.

Record access procedures:
    Requests from individuals should be addressed to: Same address as 
stated in the notification section above.

Contesting record procedures:
    The Department's rules for access, for contesting contents, and for 
appealing initial determinations by the individual concerned appear in 
15 CFR part 4b.

Record source categories:
    Patent applicants who have received and paid for services by the 
individuals on whom the records are maintained.

Systems exempted from certain provisions of the act:
    Pursuant to 5 U.S.C. 552a(k)(2), all investigatory materials in the 
record which meet the criteria in 5 U.S.C. 552a(k)(2) are exempted from 
the notice, access, and contest requirements (under 5 U.S.C. 
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)) of the 
agency regulations because of the necessity to exempt this information 
and material in order to accomplish the law enforcement function of the 
agency, to prevent subjects of investigations from frustrating the 
investigatory process, to prevent the disclosure of investigative 
techniques, to fulfill commitments made to protect the confidentiality 
of sources, to maintain access to sources of information, and to avoid 
endangering these sources and law enforcement personnel.

    Dated: March 29, 2000.
Brenda Dolan,
Departmental Freedom of Information Act and Privacy Act Officer.
[FR Doc. 00-8862 Filed 4-12-00; 8:45 am]
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