[Federal Register Volume 78, Number 53 (Tuesday, March 19, 2013)]
[Notices]
[Pages 16836-16837]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-06256]


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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-5 Non-Registered Persons Rendering Assistance to Patent 
Applicants.'' 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-
5 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 persons other than registered or recognized 
attorneys or agents who have offered various services to inventors, 
patent applicants, and patentees. The Privacy Act notice is being 
updated with additional departmental information for the system 
location and 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 persons 
other than registered and recognized 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 through a searchable database. 
The description of record source categories has been revised to clarify 
the sources of the information contained in this system.
    The Privacy Act system of records notice, ``COMMERCE/PAT-TM-5 Non-
Registered Persons Rendering Assistance to Patent Applicants,'' was 
previously published at 70 FR 69521 (November 16, 2005). The amended 
system of records notice is published in its entirety below.
COMMERCE/PAT-TM-5

System name:
    Non-Registered Persons Rendering Assistance to Patent Applicants.

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.

[[Page 16837]]

Categories of individuals covered by the system:
    Persons other than registered or recognized 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. 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 maintain complaints, reports, and 
other information on persons other than registered or recognized 
attorneys or agents who have offered services to inventors, patent 
applicants, and patentees.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    (1) Routine uses will include providing notice to patent applicants 
regarding whether or not the persons from whom assistance was received 
are registered or recognized to practice before the USPTO. Used for 
investigative purposes.
    (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, 8-10, and 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 
part 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 part 102 subpart B. Requests from individuals should be 
addressed as stated in the notification section above.

Record source categories:
    Subject individual, references, 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.

    Dated: March 14, 2013.
Susan K. Fawcett,
Records Officer, USPTO, Office of the Chief Information Officer.
[FR Doc. 2013-06256 Filed 3-18-13; 8:45 am]
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