[Federal Register Volume 66, Number 165 (Friday, August 24, 2001)]
[Rules and Regulations]
[Pages 44526-44527]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-21480]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Part 10

[Docket No. 010724188-1188-01]


Interpretation of Registration of Agents and Representative for 
Director of Enrollment and Discipline in Disciplinary Proceedings

AGENCY: Patent and Trademark Office, Commerce.

ACTION: Interpretation of regulation.

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[[Page 44527]]

SUMMARY: The United States Patent and Trademark Office (USPTO or 
``Office'') implements an interpretation of certain regulatory 
provisions. These provisions concern the composition and operations of 
the Committee on Discipline and representation of the Director in 
disciplinary cases. The interpretation is necessary in view of the 
recent creation of the Office of General Counsel at the USPTO. The 
Patent and Trademark Office Efficiency Act (PTOEA) reestablished the 
Patent and Trademark Office as the United States Patent and Trademark 
Office, a performance-based organization with responsibility for its 
own operations. Consequently, the Office has responsibility for many 
functions formerly provided by the Department of Commerce.

EFFECTIVE DATE: The interpretation is issued August 24, 2001.

ADDRESSES: Director of the United States Patent and Trademark Office, 
Washington, D.C. 20231

FOR FURTHER INFORMATION CONTACT: Harry Moatz, by mail addressed to 
United States Patent and Trademark Office, Box OED, Washington, DC 
20231, (Attn: OED Director) or by facsimile transmission to (703) 305-
4631, or by electronic mail at [email protected].

SUPPLEMENTARY INFORMATION: 37 CFR 10.140(b) relates to whom within the 
USPTO represents the Director of Enrollment and Discipline (OED 
Director) in disciplinary proceedings, and who shall be available as 
counsel to the Director of the United States Patent and Trademark 
Office (USPTO Director) in deciding such proceedings. For example, it 
states that at least two associate solicitors shall be designated to 
represent the OED Director. It also states that the Solicitor and 
Deputy Solicitor shall advise the USPTO Director.
    Additionally, the last sentence of 37 CFR 10.4(b) identifies the 
USPTO employees that shall not participate in rendering a decision on 
disciplinary changes. Among those identified as not participating in 
rendering decisions are associate and assistant solicitors of the 
Office of the Solicitor. In addition, the PTOEA designated the head of 
the USPTO as Under Secretary of Commerce for Intellectual Property and 
Director of the USPTO. 35 U.S.C. 3(a)(1).
    As a result, it is necessary and appropriate to interpret the last 
sentence of Sec. 10.4(b) and Sec. 10.140(b) in view of this 
reorganization. Because these are interpretive statements of rules, 
they are exempt from notice and comment rulemaking under 5 U.S.C. 
553(b)(3)(A). For the reasons set forth in the preamble, the United 
States Patent and Trademark Office interprets Secs. 10.4(b) and 
10.140(b) as follows:
    The last sentence of Sec. 10.4(b) provides, ``When charges are 
brought against a practitioner, no member of the Committee on 
Discipline, employee under the direction of the Director, or associate 
solicitor or assistant solicitor in the Office of the Solicitor shall 
participate in rendering a decision on the charges.'' This sentence is 
construed as providing that when charges are brought against a 
practitioner, the designated attorneys in the Office of General Counsel 
(including assistant and associate solicitors, and associate counsel) 
shall not participate in rendering a decision on the charges.
    The first sentence of Sec. 10.140(b) provides, ``The Commissioner 
shall designate at least two associate solicitors in the Office of the 
Solicitor to act as representatives for the Director in disciplinary 
proceedings.'' This sentence is construed as authorizing the USPTO 
Director to designate at least two attorneys (including assistant and 
associate solicitors, and associate counsel) in the Office of General 
Counsel to act as representatives for the OED Director in disciplinary 
proceedings.
    The second sentence of Sec. 10.140(b) provides, ``In prosecuting 
disciplinary proceedings, the designated associate solicitors shall not 
involve the Solicitor or the Deputy Solicitor.'' This sentence is 
construed as providing that in prosecuting disciplinary proceedings, 
the designated attorneys in the Office of General Counsel (including 
assistant and associate solicitors, and associate counsel) shall not 
involve the General Counsel or the Deputy General Counsel for General 
Law.
    The third sentence of Sec. 10.140(b) provides, ``The Solicitor and 
the Deputy Solicitor shall remain insulated from the investigation and 
prosecution of all disciplinary proceedings in order that they shall be 
available as counsel to the Commissioner in deciding disciplinary 
proceedings.'' This is construed as providing that the General Counsel 
and the Deputy General Counsel for General Law shall remain insulated 
from the investigation and prosecution of all disciplinary proceedings 
in order that they shall be available as counsel to the USPTO Director 
in deciding disciplinary proceedings. However, the Deputy General 
Counsel for Intellectual Property Law and Solicitor shall not remain 
insulated from the investigation and prosecution of disciplinary 
proceedings, and thus shall not be available to counsel the USPTO 
Director in deciding such proceedings.

    Dated: August 20, 2001.
Nicholas P. Godici,
Acting Under Secretary of Commerce for Intellectual Property and Acting 
Director of the United States Patent and Trademark Office.
[FR Doc. 01-21480 Filed 8-23-01; 8:45 am]
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