[Federal Register Volume 65, Number 80 (Tuesday, April 25, 2000)]
[Notices]
[Pages 24178-24179]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-10270]


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DEPARTMENT OF COMMERCE

[Docket No. 000412105-0105-01]
RIN 0651-XX25


Privacy Act of 1974; System of Records

AGENCY: Department of Commerce.

ACTION: Notice of New Privacy Act System of Records: Commerce/Patent 
and Trademark System 16.

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SUMMARY: The Department of Commerce is creating a new systems of 
records listed under Commerce/Patent and Trademark System: PKI 
Registration and Maintenance System. This action has been taken to 
comply with the Privacy Act notice requirements. We invite public 
comments on the system announced in this publication.

DATES: Effective Date: The system will become effective as proposed 
without further notice on Mary 25, 2000 unless comments dictate 
otherwise.
    Comment Date: To be considered, written comments must be submitted 
on or before May 25, 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 the implementation of a Public 
Key Infrastructure (PKI) by the Patent and Trademark Office (PTO), a 
new system of records is being created to maintain the records of the 
application for, the grant of, and the revocation of digital 
certificates issued by the PTO, as well as key recovery services 
provided in reference to digital certificates. This notice describes 
the current practices of the PTO.
    The PKI is a program that the PTO has implemented to support secure 
electronic communications between the PTO and its customers. The 
information collected by the PTO through the Certificate Action Form 
(PTO Form PTO-2042) is used to authorize the creation and revocation of 
a digital certificate or to perform key recovery. The digital 
certificate enables the PTO to provide the customer with a digital 
identity and to support encrypted communication between the customer 
and the PTO.
    Using PKI enables the PTO to offer the option to applicants to 
review their patent application information, to send their patent 
applications, and to communicate with the PTO electronically, while 
preserving the integrity and confidentiality of these various actions.
    Both the Patent Statute (35 U.S.C. Sec. 122) and the Patent 
Cooperation Treaty established between the United States and the 
international community require that patent applications be preserved 
in confidence. Using PKI ensures that the patent applications are 
preserved in confidence because it permits the PTO to authenticate a 
customer's identity and encrypt the information exchanged between the 
PTO and the customer.
    The PTO will use PKI to support secure communications and 
electronic commerce with its applicant community, international 
business partners, the Patent and Trademark Depository Libraries, its 
own employees, and support contractors. In implementing PKI, the PTO is 
indicating to its customers that the agency is making a major 
commitment to preserve the confidentiality and integrity of the 
electronic transactions.
    In addition to the notice of routine uses, the notice includes the 
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 notice follows.
    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 electronic access limited to those whose official duties require 
access.

Classification

    Administrative Procedure Act: This notice is not subject to the 
notice and comment requirements of the Administrative Procedure Act, 5 
U.S.C. 553(a)(2).
    Executive Order 12866: This notice is exempt from review under 
Executive Order 12866.

Brenda Dolan,
Departmental Freedom of Information Act and Privacy Act Officer.
Commerce/PAT-TM-16

System name:
    USPTO PKI Registration and Maintenance System.

System location:
    Office of Enrollment and Discipline, U.S. Patent and Trademark 
Office, 2011 Crystal Drive, Arlington, VA 22202; and Office of 
Information Systems Security, U.S. Patent and Trademark Office, 2121 
Crystal Drive, Arlington, VA 22202.

[[Page 24179]]

Categories of individuals covered by the system:
    Registered Attorneys and Agents; Employees of Registered Attorneys 
and Agents designated to hold a certificate; Independent Inventors; an 
Employees of the Patent and Trademark Office and other individuals who 
apply for the use of a digital certificate including Patent and 
Trademark Depository Library personnel, employees of other Intellectual 
Property Offices, and World Intellectual Property Organization.

Categories of records in the system:
    Requester status, signature, name, address, registration number, 
telephone, facsimile, electronic mail, associated customer numbers, 
action requested (certificate application, certificate revocation or 
key recovery), reason for the request, sponsoring Attorney/Agency 
signature, Notary Public signature, trusted party signature, 
distinguished name, date of issuance, and expiration.

Authority for maintenance of the system:
    5 U.S.C. 301 and 35 U.S.C. 6, 42(c).

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 9-13.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records in file folder and electronic storage media.

Retrievability:
    Filed by organizations; cross referenced for access by name, and 
where appropriate, customer number, employee number, issue, activity, 
or other unique variable information field.

Safeguards:
    Building employ security systems. Records are maintained in areas 
accessible only to authorized personnel who are properly screened, 
cleared, and trained. Where information is retrievable electronically, 
all safeguards appropriate to secure the ADP telecommunications system 
(hardware and software) are utilized.

Retention and disposal:
    Records retention and disposal is in accordance with the Office of 
Enrollment and Discipline Records Control Schedule.

System manager(s) and address:
    Director, Office of Enrollment and Discipline, U.S. Patent and 
Trademark Office, Washington, DC 20231; Manager, Information Systems 
Security Division, U.S. Patent and Trademark Office, Washington, DC 
20231.

Notification procedure:
    Information may be obtained from: Director, Office of Enrollment 
and Discipline, U.S. Patent and Trademark Office, Washington, DC 20231; 
Chief Information Officer, U.S. Patent and Trademark Office, 
Washington, DC 20231. Requester should provide employee name and 
number, in accordance with 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 
appealing initial determinations by the individual concerned appear in 
15 CFR Part 4b. Use above address.

Record source categories:
    Subject individual, those authorized by the individual to furnish 
information, and the individual's supervisors.

[FR Doc. 00-10270 Filed 4-24-00; 8:45 am]
BILLING CODE 3510-16-M