[Federal Register Volume 70, Number 220 (Wednesday, November 16, 2005)]
[Notices]
[Pages 69522-69524]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-22717]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Privacy Act of 1974; System of Records

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice of amendment of Privacy Act system of records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, the United States Patent and Trademark Office (USPTO) 
is amending the system of records listed under ``COMMERCE/PAT-TM-2 
Complaints, Investigations and Disciplinary Proceedings Relating to 
Registered Patent Attorneys and Agents.'' This action is being taken to 
update the Privacy Act notice. We invite the public to comment on the 
amendments noted in this publication.

DATES: Written comments must be received no later than December 16, 
2005. The amendments will become effective as proposed on December 16, 
2005, unless the USPTO receives comments that would result in a 
contrary determination.

ADDRESSES: You may submit written comments by any of the following 
methods:
     E-mail: [email protected].
     Fax: (571) 273-4097, marked to the attention of Steve 
Hanson.
     Mail: Steve Hanson, Office of Enrollment and Discipline, 
United States Patent and Trademark Office,

[[Page 69523]]

Mail Stop OED, P.O. Box 1450, Alexandria, VA 22313-1450.
    All comments received will be available for public inspection at 
the USPTO Public Search Facility, Madison East Building--1st Floor, 600 
Dulany Street, Alexandria, VA 22314.

FOR FURTHER INFORMATION CONTACT: Director, Office of Enrollment and 
Discipline, United States Patent and Trademark Office, Mail Stop OED, 
P.O. Box 1450, Alexandria, VA 22313-1450, (571) 272-4097.

SUPPLEMENTARY INFORMATION: The United States Patent and Trademark 
Office (USPTO) is giving notice of an amendment to a system of records 
that is subject to the Privacy Act of 1974. This system of records 
maintains information on complaints, investigations, and disciplinary 
proceedings involving attorneys and agents practicing, registered to 
practice, or excluded from practicing before the USPTO. The Privacy Act 
notice is being updated with current address information for the system 
location and system manager. The authority for maintenance of the 
system and rule references for the notification procedure and 
contesting record procedures are being updated to correspond to the 
current statutes and rules for those items as related to the USPTO. The 
descriptions of retrievability and safeguards have also been revised to 
indicate that the relevant electronic database for this system of 
records is password protected and accessible only by authorized staff 
members of the USPTO Office of Enrollment and Discipline.
    The Privacy Act system of records notice, ``COMMERCE/PAT-TM-2 
Complaints, Investigations and Disciplinary Proceedings Relating to 
Registered Patent Attorneys and Agents,'' was previously published at 
65 FR 19868 (April 13, 2000). The amended system of records notice is 
published in its entirety below.
COMMERCE/PAT-TM-2

System name:
    Complaints, Investigations and Disciplinary Proceedings Relating to 
Registered Patent Attorneys and Agents.

Security classification:
    Unclassified.

System location:
    Office of Enrollment and Discipline, United States Patent and 
Trademark Office, 600 Dulany Street, Alexandria, VA 22314; Office of 
the Solicitor, United States Patent and Trademark Office, 600 Dulany 
Street, Alexandria, VA 22314.

Categories of individuals covered by the system:
    Attorneys and agents registered to practice before the United 
States Patent and Trademark Office (USPTO) in patent cases, attorneys 
practicing before the USPTO in trademark cases, attorneys appearing 
before the USPTO, 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. 2.

Purpose(s):
    To carry out the duties of the USPTO under 35 U.S.C. 2(b)(2)(D), in 
particular, the enrollment and recognition of individuals to practice 
as attorneys and agents before the USPTO in patent, trademark, and 
other non-patent matters; and to aid the enforcement of statutes and 
regulations regarding the conduct of attorneys and agents admitted to 
practice before the USPTO.

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, as found at 46 FR 63501-63502 (December 31, 1981). 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.

Disclosure to consumer reporting agencies:
    Not applicable.

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. Summary of 
records maintained in a searchable database available only to 
authorized staff members of the Office of Enrollment and Discipline.

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. The electronic files are password protected.

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

System manager(s) and address:
    Director, Office of Enrollment and Discipline, United States Patent 
and Trademark Office, Mail Stop OED, P.O. Box 1450, Alexandria, VA 
22313-1450.

Notification procedure:
    Information may be obtained from the Director, Office of Enrollment 
and Discipline, United States Patent and Trademark Office, Mail Stop 
OED, P.O. Box 1450, Alexandria, VA 22313-1450. Requester should provide 
name, address, date of application, and record sought, pursuant to the 
inquiry provisions appearing in 37 CFR Part 102 Subpart B.

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

Contesting record procedures:
    The rules for access, for contesting contents, and for appealing 
initial determinations by the individual concerned appear in 37 CFR 
Part 102 Subpart B.

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

Exemptions claimed for the system:
    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,

[[Page 69524]]

to maintain access to sources of information, and to avoid endangering 
these sources and law enforcement personnel.

    Dated: November 9, 2005.
Susan K. Brown,
Records Officer, USPTO, Office of the Chief Information Officer, Office 
of Data Architecture and Services, Data Administration Division.
[FR Doc. 05-22717 Filed 11-15-05; 8:45 am]
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