[Federal Register Volume 78, Number 53 (Tuesday, March 19, 2013)]
[Notices]
[Pages 16833-16835]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-06255]


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DEPARTMENT OF COMMERCE

United States 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 currently 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 April 18, 2013. 
The amendments will become effective as proposed on April 18, 2013, 
unless the USPTO receives comments that would result in a contrary 
determination.

ADDRESSES: You may submit written comments by any of the following 
methods:
     Email: [email protected]. Include ``Privacy Act PAT-TM-
2 comment'' in the subject line of the message.
     Fax: (571) 273-0074, marked to the attention of the Deputy 
General Counsel for Enrollment and Discipline and Director of the 
Office of Enrollment and Discipline, United States Patent and Trademark 
Office, Mail Stop OED, P.O. Box 1450, Alexandria, VA 22313-1450.
     Mail: Deputy General Counsel for Enrollment and Discipline 
and Director of the Office of Enrollment and Discipline, United States 
Patent and Trademark Office, Mail Stop OED, P.O. Box 1450, Alexandria, 
VA 22313-1450.
     Federal Rulemaking Portal: http://www.regulations.gov.

All comments received will be available for public inspection at the 
Federal rulemaking portal located at www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Deputy General Counsel for Enrollment 
and Discipline and Director of the 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 attorneys and agents who are, or have been, 
registered or recognized to practice before the USPTO in patent 
matters; attorneys engaged in practice before the USPTO in trademark 
and other non-patent matters; and applicants and former applicants for 
such registration or recognition to practice. The Privacy Act notice is 
being updated with additional departmental information for the system 
manager. The descriptions of the categories of individuals covered by 
the system and the purpose of the system have been revised to clarify 
that the system includes records for registered, recognized, and 
authorized practitioners. The description of the routine uses of 
records maintained in the system has been updated to include use in law 
enforcement, audits and oversight activities, and distribution to 
contractors, all uses commonly published in other agency system of 
records notices. The description of retrievability has been revised to 
indicate that records may be retrieved by indicators other than name 
and registration number.
    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 
70 FR 69522 (November 16, 2005). The amended system of records notice 
is being renamed ``COMMERCE/PAT-TM-2 Complaints, Investigations and 
Disciplinary Proceedings Relating to Attorneys and Agents Registered or 
Recognized to Practice Before the Office'' and is published in its 
entirety below.

[[Page 16834]]

COMMERCE/PAT-TM-2

System name:
    Complaints, Investigations and Disciplinary Proceedings Relating to 
Attorneys and Agents Registered or Recognized to Practice Before the 
Office.

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, recognized, or authorized to 
practice before the United States Patent and Trademark Office (USPTO) 
in patent matters, attorneys engaged in practice before the USPTO in 
trademark and other non-patent matters, 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, for 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, 
recognized, or authorized to practice before the USPTO.
    Routine uses of records maintained in the system, including 
categories of users and the purposes of such uses:
    (1) Routine uses will include 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.
    (2) Routine uses will include disclosure for law enforcement 
purposes to the appropriate agency or other authority, whether federal, 
state, local, foreign, international or tribal, charged with the 
responsibility of enforcing, investigating, or prosecuting a violation 
of any law, rule, regulation, or order in any case in which there is an 
indication of a violation or potential violation of law (civil, 
criminal, or regulatory in nature).
    (3) Routine uses will include disclosure to an agency, 
organization, or individual for the purpose of performing audit or 
oversight operations as authorized by law, but only such information as 
is necessary and relevant to such audit or oversight function.
    (4) Routine uses will include disclosure to contractors and their 
agents, grantees, experts, consultants, and others performing or 
working on a contract, service, grant, cooperative agreement, or other 
work assignment for the United States Patent and Trademark Office, when 
necessary to accomplish an agency function related to this system of 
records. Individuals provided information under this routine use are 
subject to the same Privacy Act requirements and limitations on 
disclosure as are applicable to the United States Patent and Trademark 
Office employees.
    (5) Routine uses will include the Prefatory Statement of General 
Routine Uses Nos. 1-5 and 8-13, as found at 46 FR 63501-63502 (December 
31, 1981).

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 by name, registration number, or other retrievable 
indicators. The files are searchable in a database available only to 
authorized staff members of the Office of Enrollment and Discipline.

Safeguards:
    Records are located 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 and can only be accessed by authorized personnel.

Retention and disposal:
    Records retention and disposal is in accordance with the series 
record schedules.

System manager(s) and address:
    Deputy General Counsel for Enrollment and Discipline and Director 
of the 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 about the records contained in this system may be 
obtained by sending a request in writing, signed, to the system manager 
at the address above or to the address provided in 37 CFR 102 subpart B 
for making inquiries about records covered by the Privacy Act. 
Requesters should provide their name, address, and record sought in 
accordance with the procedures for making inquiries appearing in 37 CFR 
102 subpart B.

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

Contesting record procedures:
    The general provisions for access, contesting contents, and 
appealing initial determinations by the individual concerned appear in 
37 CFR 102 subpart B. Requests from individuals should be addressed as 
stated in the notification section above.

Record source categories:
    Subject individuals, client(s) of same, registered or recognized 
attorneys and agents, witnesses in disciplinary proceedings, court 
opinions, and other 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 exempt 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.


[[Page 16835]]


    Dated: March 14, 2013.
Susan K. Fawcett,
Records Officer, USPTO, Office of the Chief Information Officer.
[FR Doc. 2013-06255 Filed 3-18-13; 8:45 am]
BILLING CODE 3510-16-P